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'Fro  jHUna  man  in  Alcdicval   Political   riiougiu,"  American  Historical  Review    I  VI 
:i951),  472-492.  '    ' 

EK'a  copv,  annotRtod, 


A.  "Geoffrey  of  Monmouth"  (half  page) 

B.  ''Bracton"  (idem,  yellow) 

C.  "Cicero,  De  Officiis  1.57"  (half  page) 

D.  Nevspa-  er  clipping,  Sat./Sun,  l/2  Feb  ^6 
S.  ''?atria"  ( ;^/3  nage  ) 


/  /     /  /     /  /      Jf 

U     U    U    L 


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PRO  PATRIA  MORI 
IN  MEDIEVAL  POLITICAL  THOUGHT 


By 
ERNST  H.  KANTOROWICZ 


REPRINTED  FROM  THE 

AMERICAN  HISTORICAL  REVIEW 

VOL.  LVI,  No.  3  APRIL,  1931 


/  /    n   n    u 

u    u   u     f 


U     U    U     J 


(Rc-printcd  from  Thf  American  Historical  Review,  Vol.  LVI,  No.  3,  April,  1951) 

Pro  Patria  Mori 
in  Medieval  Political  Thought* 

Ernst  H.  Kantorowicz 

CHRISTM.-XS,  1914.  Belgium  then  was  occupied  by  the  German  armies. 
Cardinal  Mercier,  the  ultrapatrioiic  primate  of  Belgium  and  archbishop  of 
Malines,  was  in  many  respects  the  champion  of  the  intellectual  resistance  of 
his  country  against  the  occupying  power.  To  comfort  his  flock  and  to  en- 
courage his  fellow  citizens  the  cardinal  distributed  on  Christmas  Day,  1914, 
his  famous  pastoral  letter  Patriotism  and  Endurance.  In  it  he  developed  some 
challenging  ideas  about  the  relations  between  patriotism  and  religion,  and 
about  the  otherworldly  effects  of  deatli  on  the  battlefield.  "Who  does  not 
feel  that  patriotism  is  'consecrated,'  and  that  an  attack  on  the  national  dignity 
is  a  sort  of  sacrilegious  profanation'"  The  cardinal  had  been  asked  whether 
the  soldier  who  fell  in  the  service  ui  a  just  cause  ("and  that  ours  clearly  is") 
was  a  martyr.  The  Prince  of  the  Church  had  to  answer  that,  in  a  strict  and 
theological  sense,  the  soldier  was  not  a  martyr,  because  he  died  arms  in  hand, 
whereas  the  martyr  gives  himself  up  u>  his  executioners  without  resistance. 

Bui  if  you  ask  ine  what  I  think  of  the  eternal  salvation  of  a  brave  man,  who 
consciously  gives  his  life  to  defend  the  honor  of  his  country  and  to  avenge  violated 
Justice,  I  do  not  hesitate  to  reply  that  there  is  no  doubt  whatever  that  Christ  crowns 
military  valor,  and  that  death  christianly  accepted  assures  to  the  soldier  the  salva- 
tion of  his  soul.  .  .  .  The  soldier  who  dies  to  save  his  brothers,  to  protect  the 
hearths  and  the  altars  of  his  country,  fulfills  the  highest  form  of  love.  .  .  .  We  are 
justified  in  hoping  for  them  the  immortal  crown  which  encircles  the  foreheads  of 
the  elect.  For  such  is  the  virtue  of  an  act  of  perfect  love  that,  of  itself  alone,  it 
wipes  out  a  whole  life  of  sin.  Of  a  sinner  instantly  it  makes  a  saint.' 

To  this  pastoral  letter  objections  were  raised  immediately,  and  not  onlv 
on  the  part  of  the  German  governor  general,  the  cultured  and  educated 

•This  paper,  read  at  tlie  joint  luncheon  of  the  .^inerivjn  Historical  Association,  Pacific  Coast 
Branch,  and  the  American  Philosophical  Associ.ition.  Picitic  Division,  on  December  2y,  1949,  at 
Mills  College,  in  Oakland,  California,  is  published  here  with  few  minor  changes  and  some 
additions.  The  intention  of  this  address,  which  had  to  nitxt  the  fields  of  iiitcrcst  of  both  his- 
torians and  philosophers,  is  clearly  not  to  exhaust  the  subiect  but  to  outline  with  a  few  strokes 
the,  in  fact,  much  more  complicated  problem.  I  am  greatly  indebted  to  Professors  I.udwig 
Fdclstein  and  Leonardo  Olschki  for  various  valuable  supccvtions 

'The  pastoral  letter  has  been  published  often;  see,  cj^..  A  Shepherd  among  Wolves:  War- 
Time  I  etters  of  C.irdinal  Meraer,  selected  by  Arthur  Boutwood  (London,  n.d),  pp.  46  f.,  whose 
translation  1  use  here. 

472 


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473  ^''0  Patria  Mori  in  Medieval  Thought 

Baron  von  Bissing.*  On  March  25,  1915,  Cardinal  Billot,  a  patriotic  French- 
man, severely  censured  the  words  used  by  his  confrere  in  the  Sacred  College. 
"To  say,"  he  wrote,  "that  the  mere  fact  of  dying  consciously  for  the  just  cause 
of  the  Fatherland  'suffices  to  assure  salvation'  means  to  substitute  the  Father- 
land for  God  .  .  .  ,  to  forget  what  is  God,  what  is  sin,  what  is  divine  for- 
giveness."* 

If  two  eminent  princes  of  the  church  disagree  so  profoundly  on  a  funda- 
mental matter  of  life  and  death,  and  of  life  after  death,  we  may  be  sure  that 
the  reasons  for  such  a  basic  disagreement  are  to  be  sought  in  a  distant  past 
and  that  the  whole  problem  has  a  lung  history.  In  fact,  to  the  ears  of  the 
professional  medievalist  almost  every  word  of  Cardinal  Mercier's  pastoral 
letter  has  the  familiar  ring  of  a  long-established  tradition.  And  since  the 
involved  problem  has  bcuh  a  historical  and  a  philosophical  background,  it 
may  be  fitting  to  trace,  if  in  a  necessarily  sketchy  fashion,  the  early  develop- 
ment of  the  idea  Pro  patria  mori  within  the  political  concepts  of  the  medieval 
Christian  world.* 

Every  schoolboy  reading  his  first  Latin  sentences  would  soon  learn  in 
what  high  esteem  Greek  and  Roman  antiquity  held  those  who  died  in  battle 
for  their  community,  polis  or  res  publica.  The  reasons  were  many  and  com- 
plex. There  was,  in  earlier  times,  the  religious  fear  of  a  return  of  the  dead, 
later  the  religious  desire  to  apotheosize  the  dead.'  The  quasi  deification  of  war 
heroes  was  fully  developed  by  the  fifth  century  b.c.  at  the  latest.  We  need  only 
to  think  of  Sparta.  But  we  may  think  also  of  that  broad  alley  on  the  Athenian 
Kerameikos,  the  Dromus,  where  on  either  side  official  tombs  honored  those 
who  had  died  in  battle  for  their  city,  and  where  Pericles  delivered  the  funeral 
sf)cech  in  which  he  placed  the  first  victims  of  the  Pcloponnesian  War  among 
the  immortals.*  Or  we  may  recall  the  lines  of  Vergil  where  Aeneas  sees  in 
the  Elysian  plains,  dwelling  together  with  priests  and  poets  and  prophets, 

2  Fcir  the  German  reaction,  sec  D.  ).  Cardinal  Mercier,  Cardinal  Meraer's  Own  Story  (New 
York,  1920),  pp.  4S  ff.  The  correspondence  between  Cardinal  Mercier  and  Baron  \on  Bissing, 
or  Baron  von  der  Lancken.  makes  peculiarly  interesting  reading  for  the  historian,  for  diere  is  a 
striking  contrast  between  the  debasement  and  brutalizaiion  of  style,  language,  and  human 
standards  which  has  taken  place  between  the  two  world  wars  and  the  courteous  form,  the  gen- 
erally humane  tone,  and  the  occupying  power's  great  patience  which  those  letters  disclose. 

s  Cardinal  Billot's  rcs|>onse  is  known  to  nie  only  from  the  excerpts  quoted  by  Franz  Cumont, 
Lux  perpetua  (Paris,  I94y>,  p.  44^,  who  has  called  attention  to  the  conflicting  opinions  of  tlie 
two  cardinals.  '  -^ 

*  I  do  not  find  that  the  problem,  though  deserving  a  monographic  study,  has  been  dis- 
cussed before.  Cjrl  F.rdmann,  Die  Fnlstehuna  des  Kreuzziigs^edankens  (Stuttgart,  1935),  touches 
upon  related  ideas  and  adduces  relevant  material. 

'  See,  e.g.,  Cumont,  pp.  332  ff. 

'  Geor>;e  Karo,  An  Atric  Cemetery:  Excavattoni  in  the  Kerameikos  at  Athent  (Philadelphia, 
1943),  pp.  24  f. 


Rrusl  If.  Kantoroivicz  474 

those  who  had  suffered  for  the  fatherland  {ob  patriam  pugnando  volnera 
passi),  and  who,  as  the  true  predecessors  of  the  crowned  martyrs  and  con- 
fessors of  the  church,  had  "their  brows  bound  with  snowy  fillets,"  the  insignia 
of  agonal  victory  like  the  crown  with  which  the  fillet  so  often  was  com- 
bined.' And  we  need  only  to  mention  the  name  of  Cicero  or  that  of  Horace, 
whose  second  "Rom.in  Ode"  (III,  2)  is  alluded  to  in  the  title  of  the  present 
paper,  in  order  to  conjure  up  that  huge  compound  of  ethical  values  which  in 
Rome  were  in.separable  from  the  death  pro  patria  and  which  later  were 
revived  by  Petrarch  and  the  early  humanists,  with  their  new  standards  of 
civic  virtues  and  merits. 

In  Greek  as  well  as  in  Roman  antiquity,  the  term  Ttatpi;  or  patria  referred 
chiefly,  if  not  exclusively,  u,  the  city.  Only  barbarians  were  named,  like 
modern  nationals,  after  their  country,  and  only  barbarians  were  patriotai, 
whereas  the  Greeks  were  proud  of  being  politai,  citizens.  The  city,  of  course, 
would  include  the  surroundings,  which  might  even  be  expanded,  as  some- 
times in  Roman  poetry,  to  the  whole  of  the  Italian  peninsula.  To  the  Stoics,  it 
is  true,  and  to  the  other  philoso[)hical  schools  as  well,  the  notion  of  patna 
may  have  meant  the  universe,  the  {osmos  of  which  they  were  citizens.  But 
then  this  was  a  philosophical  or  religious,  and  not  a  political,  conception.  For 
the  Roman  Empire  or  the  orbis  Romanus  would  not  have  been  referred  to 
as  patria,  and  if  a  soldier,  when  kilkJ  m  the  defense  of  Gaul  or  Spain  or 
Syria,  died  nevertheless  a  hero's  death  pro  patria.  it  was  a  death  for  the  res 
publica  Romana,  for  Rome  and  all  Rome  sttxid  for— her  gods,  perhaps  the 
Dea  Roma,  the  imperial  pater  patriae,  or  Roman  education  and  life  in  gen- 
eral—but not  for  the  territory  he  happened  to  defend.'  Patria,  most  certainly, 
did  not  mean  the  same  thing  at  all  times,  but  usually  meant  the  citv. 

.Although  Greek  and  Roman  anticjuity  had  made  heroes  of  and  almost 
deified  the  victims  of  war,  and  although  the  ancient  model  otherwise  deter- 
mined medieval  thought  in  more  than  one  respect,  the  Western  mind  in  the 
feudal  age  was  reluctant  or  failed  to  accept  those  views.  Civic  death  pro 

■  V'crgil,  Aeiieid,  VI,  660  ff  ;  for  the  fillets,  see  Kiiuard  Nordcn,  P.  Vergiltus  Maro  Aenas 
Buck  VI  (Leipzig,  1903),  p.  293;  for  the  connection  of  fillet  and  crown  (surviving  in  the  b<iws 
adorning  our  funerary  wreaths),  see  Erwin  R.  Goodenough,  "The  Crown  of  Victory  in  Judaism." 
Alt  hidletin,  .K.W'III  (1946),  ijq  tf..  especially  p.  iso.  nnd  tor  the  conncLtiuii  uit.i  the  .liadem. 
Andreas  .\lfoldi,  "InsiKnien  und  Tracht  der  niini^cLen  Kaiser,"  Fumische  Mitletliingen,  I  (1935), 
146;  cf.  Richard  Delbrijck,  "Uer  spatantike  Kaiscrornat,"  Anti/(e,  VllI  (1932),  7  f. 

"The  orbis  Romanus  (see.  in  general,  Joseph  Vogt,  Or/>is  Romanus,  Tiihingen,  19^9}  was 
both  Inked  to  and  -ct  over  against  the  urhs:  see,  e.g.,  the  legend  tola  urhis  et  uibis  on  coins  of 
Constantine  and  Licinius,  which  has  survived  in  the  papal  blessing  uihi  et  orbi.  But  the  orbis 
Romanus,  except  in  a  philosophical  sense  and  when  coinciding;  with  ci{oumene,  would  not  have 
been  patria  despite  tlie  lines  (Rutilius  Nanutianus.  De  reditu  suu,  1,  63  and  66>: 
Fecisti  patriam  diiersu  geniihus  uiiam 
Vrl-em  fecisti  quod  prius  orbis  erat. 


n    1 1    n 
u    u    u 


475 


Pro  Palria  Mori  in  Mrtijrral  Thaiit^ht 


patria,  whatever  "patna"  then  may  have  designated,  had  lost  its  religious 
flavor  and  semirclipous  connotations.  Christianity  was  certainly  one  factor 
causing  that  change.  With  regard  to  the  Chri.stians.  "every  place  abroad  is 
their  fatherland,  and  in  their  fatherland  they  arc  aliens,"  says  the  writer  of 
the  "Letter  to  Diognct."*'  TTie  ties  fcnering  man  to  his  patna  on  earth,  already 
.slackening  in  the  Late  Empire,  had  lost  their  value.  "Why  should  that  man 
be  praised?"  asks  Saint  Augu-stine.  "Because  he  was  a  lover  of  his  city?  This 
he  could  be  carnally.  .  .  .  But  he  was  not  a  lover  of  the  City  above." ^^  And  in 
the  City  of  God  (especially  V,  i8)  Augustine  assembles  scores  of  examples  to 
show  that,  if  the  Romans  did  their  great  deeds  for  human  glory  and  an 
earthly  city,  it  should  be  far  easier  for  Christians  to  do  similar  things  for  the 
love  of  the  patna  actema.  How  much  easier  for  a  Christian  to  offer  himself 
up  for  the  eternal  fatherland  if  a  Curtius,  leaping  into  the  chasm,  made  the 
supreme  sacrifice  to  obey  the  false  gods!  The  Christian,  according  to  the 
teaching  of  the  Fathers,  had  become  the  citizen  of  a  cirv  in  another  world. 
Ethically,  death  for  the  carnal  fatherland  meant  little  if  compared  with  that 
for  the  spiritual  patna.  Jerusalem  in  Heaven,  or  with  the  true  models  of 
civic  self-sacrifice,  the  marrvrs,  confessors,  and  holv  virgins.  The  saints  had 
given  their  hves  for  the  invisible  community  in  heaven  and  the  celestial  city, 
the  true  patna  of  their  desire.s;  and  a  final  return  to  that  fatherland  in  Heaven 
should  be  the  normal  desire  of  every  Christian  soul  while  wandering  in 
exile  on  earth. 

Nostrum   est  interim 

meniem  engere 
Et  totis  ptttnam 

t'Otis  appetere 
El  ad  Jerusalem 

a  babylonia 
Pas!  lofiga  regredi 

tandem  exsilia 

sings  Abclard,"  who  may  stand  here  for  thousands  of  others  who  have 
uttered  the  same  idea.  After  all,  in  the  exequies — ^not  to  mention  many  other 
places  in  the  liturgies — the  priest  would  entreat  God  that  the  holy  angels  be 

•  Ouottd  by  Karl  Ludwig  Schmidt,  Die  Pelts  tn  Kmhr  und  Web  (RcktoratsproFramm  dcr 
Uiiiversitiit  Kascl.  iQBii).  p.  47'  »  book  oflerinp  several  clues  ic>  die  present  problem:  see  Mipnc. 
Patr  Lut..  II,  J173C. 

1"  Augustine.  Contra  Gaudntium ,  1,  37.  in  Jacques  P.  Mipne,  Patrologta  Letma.  XUII.  729. 
The  chief  evidence  it  Book  V  of  t.hr  Citttas  Dn .  especially  V,  ife.  where  tht  preat  deeds,  of 
indi\idual  Romans  for  their  purely  terrestrial  pome  are  adduced  to  encuura^  even  trreatcr  Chris- 
tian deeds  f^o  artrrne  patna. 

^1  Aticlard,  Hvmn  29  ■■Sabt)at(>  ad  Vesperas  "  in  Guido  Maris  Drevei,  Analecta  Hymmce. 
XLVIIl  (190^),  163,  No.  139.  The  stanza  U)  "  preceded  by  three  stanzas  describuif  the  celes- 
tial city  and  the  court  of  the  King  of  Hcavtai. 


Ernst  II.  Kanioro'xicz  476 

ordered  to  receive  the  soul  of  the  dcfuna  and  to  conduct  it  ad  patriam 
Paradist.  Heaven  had  become  the  common  fatherland  of  the  Christians,  com- 
parable to  the  xoivi-|  jtatpi;  which  in  ancient  times  had  designated  the 
netherworld." 

If  religiously  and  ethically  the  Christian  idea  of  patria  was  well  defined, 
the  same  cannot  be  said  of  the  political  meaning  of  patna  during  the  cen- 
turies of  Western  feudalism.  To  be  sure,  the  word  itself  existed  and  it  was 
used  time  and  again.  But  its  meaning — much  more  closely  related  to  antiquity 
than  to  modern  times— was  practically  always  "native  town  or  village,"  the 
home  (Hamat)  of  a  man.  A  knight  going  to  war  might  make  provisions 
for  returning  home  safely  (sanus  in  patriam  fuero  regressus),  or  a  person 
might  return  to  a  town  or  county  ad  visendam  patriam  parentcsque}"  This, 
though  most  generally  the  meaning  of  patna.  did  not  necessarily  exclude  a 
lingering  of  the  broader  and  more  exalted  ancient  notion  of  "fatherland"  into 
Christian  times.  The  monks  of  early  Prankish  monasteries,  for  example, 
might  be  held  to  pra\'  pro  statu  ecclesiae  et  salute  regis  vel  patriae  or  "for  the 
eternal  s^vation  and  the  happiness  of  king  or  fatherland";"  and  even  the 
title  pater  patriae  might  be  occasionally  applied  to  a  medieval  prince,"  cases 
in  which  patna  certainly  meant  more  than  just  the  native  village.  Those, 
however,  were  formalized  phrases  of  ancient  tradition,  and  they  reflected 

1*  See  Pluurch,  Moraiia,  113C,  ed  by  William  R.  Paton  and  Hans  Wegetiaupt  (Leipzig, 
]925)-l.  234-  2- 

*"  The  examples,  chosen  ai  random,  could  easily  be  multiplied  ad  infinitum.  For  those 
ouoied.  see  hurmulur  SaT.^aUcT:srs  in  M.G.H..  Le^es.  V.  401.  23,  and  402.  17:  M.G.H..  Bneir 
dcT  drutichcn  Kaisrrznl.  V:  Bnefsammlun^rn  der  Zett  Hannchs  IV.,  ed.  by  Erdmann  and 
Fickcniiinn,  3t.9,  3,  and  patam.  Even  in  much  later  times,  and  not  only  in  Italy,  would  pjma 
refer  to  the  city.  When  PliiUp  )V  of  France  made  a  treaty  with  the  bishop  of  Verdun,  a  bishopric 
liicn  bclon^mg  to  the  empire,  and  demanded  that  the  bishop  "per  se  et  grntes  tuns  trneiur 
patnam  lutare  pro  poste  sua  et  dejendere  bona  fide  una  cum  gmti/>ui  noitrti,"  the  snpubtion 
reierreJ  not  to  France  as  patria  but  to  the  city  of  Verdun:  Fntz  Kern,  Acta  Imperii,  AngUae  et 
Frannae  (Tubingen.  191IJ,  No.  155,  pp.  103,  K^  The  plural  patriae,  eg.,  in  a  document  of 
RuJolf  Habsburg  mentiomng  patriae  rt  protinciae  ad  impmum  spectantes  (see  M.GM.,  Legei 
IV.  vol.  111.  Su.  653,  p.  654.  2).  means  cities:  d.  .\usonius.  Ordo  nobihum  urhium,  X\1I.  1O6 
(Bordeaux):  "Haet  patna  ett,  pamat  ud  Roma  superiemt  omnei."  .Also  m  the  lencri  of  Rattier 
ot  Verona  (M.G.H..  Bnefe  der  deutschm  Kmsrrzeu.  1,  ed.  by  Fntt  Weigle,  pp.  49,  4.  and 
passim  1    the   word   has   a   local   meaning. 

'■'  The  foriiiuUi  occurs  so  often  in  early  Frankish  Jocuinenti.  while  disappearing  later,  that 
it  must  be  of  ancient  ongm  and  must  go  back  to  soiiir  supplicatto.  see,  e.g..  Formulae  Murculfi. 
in  M.GJi..  Leges.  V.  40.  19.  and  43,  2,  or  the  Council  of  Compicgne.  m  757,  M.G.H.,  Concilia. 
II,  62,  13.  On  the  other  hand  tfiere  should  not  be  excluded  a  possible  relation  with  the 
Visipothic  formula  pnnceps  vrl  gens  am  patna  (see  Lex  Visigothorum,  m  M.G.H.,  Legum 
Secao  I.  vol.  1,  index.  s.f.  "patna"),  which  tomes  clever  to  anuque  concepts  of  public  law  than 
the  Frankisfi  form  which  is  attenuated.  In  the  Carolmgian  Leges  Saxonum,  for  example,  the 
mcamiig  of  patna  is  purely  local  (see  M.G.H..  funres  luns  Oermanici  anHqui  in  utum  scholarum, 
pp.  24,  27,  46  &-).  For  VisigotfiK  Spam,  see  ihe  reient  study  of  Floyd  Seyward  Lear,  "The  Public 
Ljw  of  the  Visiirottiic  Code."  Specitlum.  XW\  (1951;.  1-23,  who  suesses  (p.  20,  n.  42'  the 
dt&culty  cii  reading  positive  conclusions  ui   view  of  termmology. 

'■  Percy  hixax  scrrani::..  Kaiser  Rom  und  Rrr.aiatic  (Leipzig  and  Berlin  1929;,  1.  80  f., 
II,  Hi- 


II    II    II    o 

u   u   u   u 


477 


Pro  Patria  Mnri  it!  Mcdirval  Thitiufki 


medieval  "patriotism"  as  little  as  the  bookish  reproductions  from  Vergil, 
Horace,  and  other  classical  authors  in  the  works  of  medieval  poets  and 
writers." 

For  all  that,  however,  a  warrior's  heroic  self-.sacrificc  did  exist  in  the 
Middle  Apes;  only,  the  man  would  offer  him.self  up  for  his  lord  and  ma.ster 
(rather  than  for  a  territor\  or  an  idea  of  "state"),  comparable  to  the  martyr's 
death  for  his  Lord  and  Master.  The  political  sacrifice  of  a  knight  would  have 
been  personal  and  individual  rather  than  "public,"  and  it  was  that  personal 
sacrifice  resulting  from  the  relations  between  lord  and  vassal,  or  from  the  idea 
of  personal  fealtv,  which  medieval  literature  ha.s  so  abundantlv  prai.sed  and 
often  glorified.  A  vassal  would  follow  the  duke  of  Champagne  or  defend  the 
count  of  burgundy  against  aggression.  But  it  would  be  the  "duke"  or  the 
"count,"  and  not  some  "eternal  Burgundy"  or  an  "idea  of  Champagne"  for 
which  it  would  have  been  worth  while  to  shed  one's  blood,  even  though  the 
ancient  personifications  of  provinces  survived  in  medieval  imagery. ''  At  any 
event,  patrtu  had  lost  the  emotional  content  which  had  characterized  it  in 
antiquity,  while  on  the  other  hand  patria  was  as  vet  far  from  coinciding  with 
a  national  territory  or  a  territorial  state  as  in  modern  times. 

Like  other  great  changes  in  history  leading  tf)  modern  civilization  a 
change  in  tlie  concept  of  patna  can  be  traced  to  the  twelfth  and  thirteenth 
centuries.  The  transformation  implied  that  indeed  the  classic  emotional  values 
of  patria  were  recovered,  as  they  descended,  so  to  speak,  from  heaven  back  to 
earth;  but  it  implied  also  that  henceforth  the  notion  of  "fatherland"  might 
well  transcend  the  ancient  city  limitations  and  refer  to  a  national  kingdom, 
or  to  the  "crown"  as  the  visible  symbol  of  a  national  territorial  community. "* 
Within  certain  limited  fields  that  development  can  be  grasfied  almcj.st 
statistically.  Taxation,  for  instance,  may  be  used  as  an  example  for  illustrating 
the  re-emergence  of  the  notion  of  patria.  The  feudal  aids  which  were  due  on 
three  occasion.s — ransom  for  the  feudal  lord,  knighting  of  his  eldest  son. 
dowry  for  his  elde.st  daughter— were  [lersonal  lordly  taxes  which  had  nothing 
whatsoever  to  do  with  the  country,  nation,  or  patna  in  either  an  ancient  or 

'"Thr  model  of  Horace.  Odes,  III.  2,  l-.  quite  ohvioui,  c.p..  in  Richer,  Hutormc.  I,  K,  ed  l« 
Cirorp  Watty  (Hannvcr,  1H7T),  p.  77  "deciis  prv  patria  nion  egregtiiniifue  pru  chnstiatioriiw 
defemtone  morti  dare"  cl.  Lrdmann,  Krtuzsugsgedanke .  p.  22.  n.  62,  alsu  tor  the  parahelism  of 
pania  anil  chnsttanorum  dejensiu 

'"  h  IS  quite  sufhcieni  to  recall  the  faninus  tliroiic-iniaKCs  of  Ottn  III  fMumeli  GosikU. 
liamlwrp  loscphus),  or  the  byzantme  haloed  citv  jjixidesscs:  see,  for  the  lattc;.  Kurt  Weitzmaiin, 
The  loshua  Roll  (Princeton.  lyjR).  hp^.  65.  (17.  (>g,  71,  -t,.  and,  foi  tlir  J\cKVI)lu^  111  Calernio! 
hrnst  Kitziu;{Ci,  "The  Mosaicb  ot  the  Cappclla  Halaiuia  ir  Palermo."  jin  Bulltriw,  XXXI  (  iij4g)! 
a8(j,  and  i\y..  b. 

'"In  luK,  of  course,  patrui  wa.s  practicallv  alwavb  tin  citv  or  city-state,  thoufjli  witi:  Dante 
and  Petrarch  tile  countr\  ot  Italy,  too,  began  ti.  become  puma.  In  a  soniewhai  broader  scnjt  tlie 
terms  Imiiuth  01   Autoniu  were  meci  ui  antiquity;  sec  alsi>  below    u    2', 


Ernst  J],  Kantorawicz 


478 


a  modern  sense.  By  the  twelfth  century,  however,  the  fourth  ca.se  of  the  later 
aide  aux  quatre  cas  (the  German  VierfalUbede)  made  its  appearance:  a 
taxation  pro  defensione  rcgni}"  Professor  Straycr,  in  a  most  stimulating  little 
study,  has  pointed  out  that  Louis  VI  of  France,  when  facing  an  attack  from 
across  the  Rhine  (1124),  went  to  St.  Denis,  took  the  Onflamme  from  the 
altar,  offered  prayers  pro  defensione  regni,  and  made  grants  to  the  abbey 
dedicated  to  St.  Denis,  the  patron  saint  of  France  and  the  dynasty.  That  is 
to  say,  "for  the  defense  of  the  realm"  divine  help  was  needed,  and  it  was 
secured  by  giving  to  the  church.'"'  At  the  end  of  the  thirteenth  century,  how- 
ever, the  proportions  were  definitely  reversed.  Pro  defensione  regni  the  king 
no  longer  gave;  he  took.  He  imposed  a  tax  to  meet  the  emergency  of  the 
realm,  and  pro  necessitate  regni  he  imposed  the  tax  also  on  the  church." 
It  is  well  known  to  what  extent  the  pattern  of  those  taxes  pro  defensione 
or  pro  necessitate  regni  followed  the  pattern  of  the  crusading  taxes — ^tenths, 
fifteenths,  twentieth.s — which  were  levied  from  the  whole  church,  or  parts 
of  it,  by  the  Hoh  See  pro  defensione  (necessitate)  Terrae  Sanctae.  For,  the 
goal  of  the  crusades  has  usually,  and  in  early  times  always,  been  formulated 
in  terms  of  a  defensive  war,  a  defen.se  of  the  Christian  brothers  and  churches 
in  the  Holy  Land,  and  not  as  a  war  of  aggression  against  the  infidels.''' 
Already  the  Norman  kings  of  Sicily  had  begun  to  transfer  the  idea  of  a 
defensive  war  to  their  own  realm  and  accordingly  took  taxes  pro  defensione 
(necessitate)  regni.'"  In  order  to  simplify  here  a  rather  complicated  issue, 
and  for  the  sake  of  brevity,  we  might  sa\  :  What  was  good  for  the  regnum 
Christi  regis.  Jerusalem  and  the  HoK  Land,  was  good  for  the  regnum  regis 
Stciliae  or  Franctae.  If  a  special  and  extraordinary  taxation  was  iustifiable 

'^'' For  die  tweltdi  century,  .see  tlie  letter  of  Martin  IV  to  Charlc,  of  .\niou  (Nov.  26.  1283) 
after  lift-  Sicilian  \'c,spcri.  The  \m]k  states  that  even  betorc  Frederick  II,  w  he.  is  said  to  have  in- 
troduced, after  lii.s  return  from  the  Holy  Land,  suhi'twiones  et  coUectae  ordinertar.  the  Sicilian 
(Norman)  kings  liati  imposed,  as  an  cxtraordinan-  tax.  coliectr  .  .  .  pro  drimsionr  ipsius  rrgni 
d.  Le,  Rrgittres  du  Pape  Martin  /V  (Parii,  1913),  No,  488.  p.  225;  also  Lts  Kcpstres  du  Pupr 
Hurionus  /!'  (Parii.  iBHf)),  No.  96,  p.  75.  Pope  Martui  seems  to  fiavc  invesagated  the  maner 
rather  tlioriiuglih  tor  he  writes  "dc  mudu  suhiinitionum  etc.  nuhil  aiiud  potuii  mirntn  nisi 
quud  antiniinrtirti  hahei  reUttw."  For  Frederick  II's  culhctuc,  see  Ern.<it  Kantorowicz,  Krnser 
frirdrnh  der  Zweitr .  Erj;,  bd.   (Berlin,  1931;.  p.  gg. 

-"  loscpli  K,  Sirasc:,  "L>efense  ot  the  Realm  and  Roval  Power  in  France."  Szudi  in  Ovorr 
di  Gwc  Luzzattti  (Milan,  ig^g),  pp,  28^1  fl. 

-  This,  of  course,  wa-  die  whole  is.suc  of  Ciertcis  liucos.  See  also  Straycr.  op.  cit.,  p.  290, 
and  puiSim. 

--' Erdniann,  Kreuzzu^s^cdunkr .  p,  321;  somewhat  dificrcnt  was  die  Charter  of  .Mfonso  Vl\ 
for  tfie  Confraternitv  ot  belchitc  ( 1 1 36 )  which  wa.'-  founded  'ad  C  tmsttanorum  drimsivnrm  et 
Sanacenuruni  vi-piessionrm  "  set  Percy  Ernst  Schramm  "Das  Kastilische  K,6n%'tum  und 
kaiscrium  wahrend  dct  Rccontiuista,"  I'estschnf:  iur  Gerhard  Ktttrr  (Tiibingcn,  i95t'J.  p.  iji. 
In  Spain  the  whole  development  was  difiereni  in  so  far  as  crusadmg  idea  and  national  idea  or 
(latriotisni  coincided  .■Viso  crusaders'  songs  would  show  tlie  idea  of  annihilation  of  the  Moslems : 
"lUm  debentui  pe'yerr  Saracenoi  destruerr  '  Dreves,  AnaJ  Hymu  XLV'b  (1904),  78,  No.  06, 
stanza  7 

"^  .^bove.  n.  19. 


u   u   u 


479 


Pro  Patria  Mori  in  Miulicval  ThoiK/hl 


in  the  case  of  an  emergency  in  the  kingdom  of  Jerusalem  and  for  its  defense, 
it  seemed  also  justifiable  (especially  in  the  age  of  the  purely  secularized 
crusades,  such  as  those  against  the  Hohenstaufen  and  Aragonese)  to  meet 
the  emergencies  of  the  Sicilian  kingdom  or  those  of  France  in  the  same 
fashion.  After  all,  "Emergency  begins  at  home." 

Once  established,  that  tax  did  not  disappear  again;  only  the  terminology 
used  in  levying  it  changed  occasionally.  The  old  argument  pro  defensione 
{necessitate)  regni — sometimes  amplified  by  the  expression  "for  the  defense 
of  the  king,"  the  supreme  feudal  lord — remained  valid  throughout  and  has 
not  disappeared  even  now  in  the  twentieth  century.^''  In  addition,  however, 
in  the  second  half  of  the  thirteenth  century,  and  especially  in  France,  we  find 
a  tax  imposed  ad  tuttionem  patriae  or  aJ  defenstonem  patriae?'"  And  in  1302, 
after  the  French  defeat  at  Courtrai,  Philip  IV  or  his  officers  asked  subventions 
from  the  clergy  "for  the  defense  of  the  native  fatherland  which  the  venerable 
antiquity  of  our  ancestors  ordered  to  fight  for,  because  they  preferred  the  care 
for  the  fatherland  even  to  the  love  for  their  descendents."^*'  Here,  then,  that 
crucial  word  patria  appears  in  a  fairly  modern  sense,  referring  to  a  territorial 
national  state  and  harking  back  to  the  model  of  ancient  times.  In  other  words, 
bv  the  end  of  the  thirteenth  century  the  national  monarchy  of  France  was 
strong  enough  and  sufficiently  advanced  to  proclaim  itself  as  patria  and  to 
impose  taxes,  including  church  taxes,  ad  defensionem  natalis  patriae. 

But  was  it  worth  dying  for  that  fatherland  as  the  martyrs  died  for  the 
patria  in  heaven  ?  Perhaps  we  should  draw  a  parallel  between  the  "holy  soil" 
of  the  Terra  Sancta  overseas  and  the  "holy  soil"  of  la  doulce  France,  the 
French  fatherland.  The  emotional  ring  of  names  such  as  Lattum  or  Ausonia 
in  the  verses  of  Ovid  or  Vergil — "ecce  tibi  Ausontae  tellus;  hanc  arripe  velis" 
("Lo,  yours  is  Ausonia's  soil;  sail  and  seize  it!") — or  the  strong  emotion 
dwelling,  for  instance,  in  Pliny's  praise  of  Italy — Haec  est  Italia  dis  sacra,  a 

^■*  These  questions  have  been  studied  in  recent  years  most  successfully  by  Gaines  Post;  sec, 
alH)ve  all,  "Plena  potestas  and  Consent  in  Medieval  Assemblies,"  Traditic,  I  (1944),  571  ff.,  and 
"The  Theory  of  Public  Law  and  the  State  in  the  Thirteenth  Century."  Seminar,  vi  (1^48),  42  ff., 
esp.  5S  H  Sec  Straycr,  op.  at.,  p.  292;  "tarn  pro  capitr  nostra,  tarn  pro  corona  regni  deimdendii" : 
and  in  general  hi.-,  paper  "The  Laicization  of  French  and  Enxlisti  Society  in  the  Thirtecntli  Cen- 
tury," Speculum.  X\'  ( 1440),  76  R..  esp.  82  ft. 

^■''  Strayer.     Deteiist  oi  tiit  Realm."  p.  2g2.  n.  7,  p.  204.  n.  6. 

«8  0n  Aujiusi  29,  i?o2,  Philip  IV  writes  to  the  clergy  of  the  bailiwick  of  Bourses:  "ad 
defensionevi  natalis  patrie  pro  qua  referenda  patrum  antuimtas  piignare  precefni .  em.'  curam 
tiherorum  prelerens  carttan  .  .  ."  Quoted  by  Paul  de  Lajrarde.  "La  Philowiphie  socialr  d'flenri  de 
Gand  et  de  (iodefroid  de  Fontaines,"  Kecueil  de  trataiix  d'histoire  ei  de  phihlogie,  ^nx"  scr..  fasc. 
18  (iQ4j),  p.  8H,  n.  I.  It  u,  apparently  that  kind  of  phraseology  which  Stravcr,  "Laicization," 
p.  85,  n  2,  alludes  to;  see  also  lean  l^cler.q,  feati  di  Pans  et  I'ecclesiohnie  du  XIII'-  siecte 
(Paris,  1942).  p.  18,  n.  5,  and  in  Revue  du  woven  age  latin,  I  (1945),  166,  n.  6;  Frantz  Fuiick- 
Brentano.  Menwtre  sur  la  hataille  de  Courtrai  (Paris.  i8yi),  p.  87,  passim,  and  Philip  le  Bel 
en  Flandre  (Pans,  1897),  p.  424. 


Ernst  II.  Kantorowicz 


480 


land  numine  deum  electa— all  that  had  been  recovered  for  France  by  the 
Chanson  de  Roland  and  the  other  chan.<ons  de  geste."''  The  kingdom  of 
France,  Francta,  whose  very  name  suggested  the  fatherland  of  the  free 
(franci),  was  the  land  of  the  new  chosen  people;^*  she  too  was,  so  to  say,  a 
Francta  Deo  sacra'"  for  whose  sacred  soil  it  was  worth  while,  and  even  sweet, 
to  make  the  supreme  sacrifice,  while  to  defend  and  protect  her  would  imply 
a  quasi-religious  value  comparable  to  charity. 

Actually  the  dejensio  Terrae  Sanctae  becomes  directly  relevant  to  that 
complex  problem  once  we  ask  what  was  the  reward  for  those  fighting  and 
perishing  for  the  Holy  Land. 

The  decrees  of  the  Council  of  Clermont,  in  1095,  established  the  indul- 
gences for  the  crusaders  in  a  canonically  perfectly  correct  and  unimpeachable 
fashion.  The  second  Canon  of  Clermont  states  quite  unambiguously:  "This 
expedition  shall  be  considered  an  equivalent  of  all  penitence"  {iter  illud  pro 
omtii  poenitentia  reputetur)  .^°  That  is,  all  punishment  which  church  dis- 
cipline might  have  decreed  against  a  penitent — fasts,  alms,  prayers,  pil- 
grimages— should  be  forgotten  and  atoned  for  by  the  crusade.  The  crusading 
campaign  itself  was  the  atonement.  It  was  a  remission  of  those  temporal 
punishments  which  the  church  had  the  power  to  impose — but  not  a  remission 
of  sins.  This  distinction,  the  neglect  of  which  was  so  characteristic  of  Luther's 
contemporaries,  was  meaningless  also  to  the  contemporaries  of  the  crusades. 
All  our  sources  mention,  strangely  enough,  not  the  remission  of  ecclesiastical 
punishment  but  the  remission  of  sins,  the  remissto  peccatorum,  as  the  reward 

^''  Aenetd.  Ill,  477;  Pliny,  Nat.  Hist..  Ill,  39  fl.,  138.  It  seems  strange  that  Ausonia  and 
Ausones  preserved  its  emotional  power  in  Byzantium,  in  the  poems,  e.g.,  of  Theodores  Prodromos 
(12th  century),  ed.  b\  Angelo  Mai,  Patrum  nova  Bihliotheca  (Rome,  18^3),  \T,  399  ff.,  Con- 
stantinople IS  tailed  Auaovwv  jx6/.i:  (X,  21),  the  emperor  is  6  xcbv  Auoavwv  fj^.iog  (IV,  10) 
or  Ai'inovwv  ai'Toxunxaiti  (X,  171  1:  sec  also  ixjcms  I,  65;  II,  17;  VI,  13;  XIX,  53:  XX,  13,  as 
well  as  the  poems  of  Manuel  Holobolos  (13th  century),  ed.  by  Jean  Fi^n^ois  Boissonadc, 
Anecdota  Graeca  (Pans.  1833),  V,  159  fi..  e.g.,  II,  6  (p.  161);  IV,  1  (p.  163);  V,  16  (p.  165), 
etc.  The  Byzantine  court  tradition  can  be  easih  traced  back  to — it  may  e\en  have  been  started 
by — Optatianus  Porfinus.  Carmina.  X\'  (III),  lo:  "maxime  Caesar j  Ausontae  decus  o.  lux  pia 
KomiiliJum" :  cf.  X  (XXI).  13;  XVI  (X),  38;  "0  lux  Ausonidum".  \ll  (XXIII),  2:  "magnt/ 
Ausonidiim  ducior  " 

2*  Percy  Ernst  Schramm,  Der  Konig  von  frankrexch  (Weimar,  1939),  I,  137,  228.  and 
passim,  has  collected  some  material;  sec  also  Helmuth  Kampf,  Pierre  Duhois  (Leipzig  and 
Berlin  I9<s).  For  Franci=lihcri ,  see,  e.g.,  Alexander  of  Rocs,  Memoriale.  c.  17,  ed.  b\  Herbert 
Cirundniann  and  Hermann  HeimjK:!.  Die  Schrilten  des  Alexander  von  Roes  (Deutsches  Mittel- 
alter:  Kritischc  Studicntexte  der  Monumenta  C^rmaniae  Historica,  IV;  Weimar,  1949).  p.  38,  13, 
and  passim:  also  Wilhelm  Bergcs.  Die  rorstenspiegel  des  hohen  und  spaten  Mittelalters  (Leipzig, 
1938),  pp.  7I'  t.;  Leclercq.  jean  de  Paris,  pp.   tji,  {..  Ime.s  103  fi. 

-"One  example  for  many  Richier.  Lm  vie  de  Saint-Remi.  ed.  by  W.  N.  Bolderston  (London, 
1912),  line  61  •  "Molt  jait  dieus  aperte  monstrance/  D'especial  amour  a  France":  or  line  114; 
"A  hien  Dieus  \eri\  France  eslargie/  La  grace  duu  Saint  Espente."  For  France  n  the  "doux 
Toyaume  de  lesus  Christ"  nct  Kainpf,  p.   111.  See  also  below,  n.  41. 

*"  Lrdmann,  Kreuzzugsgedant^c,  p.  316. 


n    n 
u    u 


I    n 

I    u 


481  Pro  Patr'ta  Mori  in  Medieval  Thoiu/lil 

of  the  crusaders.  Even  Pope  Urban  II,  although  at  Clermont  the  matter  had 
been  phrased  correctly,  was  careless  when  claiming  in  his  letters  that  the 
crusade  effected  a  remissio  omnium  peccatorum.  And  this  idea  was  generally 
current  among  clergy  and  laity  alike.'" 

On  the  strength  of  this  premise  the  death  of  a  crusader  in  battle  would 
easily  appear  as  a  new  martyrdom.  The  crusader,  certain  of  the  remission  of 
all  his  sins,  was  assured  of  his  entry  straight  into  Paradise  and  might  expect, 
for  his  self-sacrifice  in  the  service  of  Christ  the  King,  the  martyr's  crown  in 
the  life  hereafter.  A  crusader's  song  reflects  this  assumption  quite  clearly: 

He  that  embarks  to  the  Holy  Land, 

He  that  dies  in  this  campaign, 

Shall  enter  into  heaven's  bliss 

And  with  the  saints  there  shall  he  dwell.''' 

This  idea  was  still  shared  by  Dante.  His  ancestor,  Cacciaguida,  was  slain  as 
a  crusader  in  the  Second  Crusade.  The  poet,  therefore,  will  meet  his  venerable 
forbear  in  the  heaven  of  Mars  where  the  champions  of  God  and  the  martyrs 
have  their  place  in  the  peace  of  Paradise.  Cacciaguida  himself  explains:  "E 
venni  dal  martiro  a  questa  pace."^^  This  was  not  only  the  language  of  poets 
and  of  public  opinion.  Ivo  of  Chartres,  the  greatest  canon  lawyer  around  iioo, 
collected  in  his  Decretum  and  in  the  Panormia  a  number  of  relevant  passages, 
and  reproduced,  along  with  others,  also  a  passage  from  a  letter  of  Pope 
Nicholas  I  (858-867)  in  which  the  pope  declared  that  any  soldier  killed  in 
the  defense  of  faith  against  pagans  or  infidels  would  be  received  as  a  citizen 
in  the  kingdom  of  heaven.  "For  if  one  of  you  should  be  killed,  the  Almighty 
knows  that  he  died  for  the  truth  of  faith,  the  salvation  of  the  patria,  and  the 
defense  of  Christians;  and  therefore  the  soldier  will  attain  the  aforementioned 
reward.""^''  The  importance  of  this  passage  should  be  sought  not  only  in  the 
fact  that  Nicholas  I  could  promise  in  good  faith  the  celestial  patria  to  those 
who  died  in  the  defense  of  faith  or  of  the  patria  in  this  world,^''  but  that  Ivo 
of  Chartres  in  his  collections  called  back  to  memory  a  number  of  utterances 

'1  Ihid.,  pp.  294,  317. 

■*2  Dreves,  Anal.  Hymn.,  XLVb,  78,  No.  g6;  Erdmann,  Kreuzzugsgedan^r,  p.  317: 
Illur  qiiictimque  tenderit, 
Mortuus  i/'i  fiieril, 
Cadi  bona  reieprrir, 
El  cum  Sanctis  permansrrit. 
^^Paradiso.  XV,  148. 

»••  Ivo,  Decretum,  X,  87,  in  Migne,  Patr.  Lat.,  CLXI,  720;  Erdmann,  Kreuzsugsgedanl^e, 
P-  248. 

3'  "quisquls  .  .  .  in  hoc  belli  certamine  fideliter  mortuus  fuerit,  regno  illi  coelestia  minime 
ne^ahuntt<r.  Not'it  enim  ownipote/is.  si  t/uulihet  lestrorum  morielur,  quod  pro  irritate  fiJei  et 
sttlutatione  patriae  ac  defenstone  Chnstianorum  mortuus  est,  ideo  ah  eo  ptaetitutatum  praemium 
consequetur." 


Ernst  II.  Kantorozvicz  482 

about  patria  which  eventually  were  to  form  a  good  basis  for  later  discus- 
sions.^* In  some  respect  the  later  theories  are  foreshadf)wed  also  in  a  letter  of 
Urban  II,  who  wrote:  "None  who  shall  be  killed  in  this  campaign  for  the  love 
of  God  and  his  brothers  shall  doubt  that  he  will  find  remission  of  his  sins  and 
the  eternal  beatitude  according  to  the  mercy  of  God.""  Here  the  parallelism 
of  "love  of  God  and  love  of  his  brothers"  is  of  some  importance  because  it 
was  the  Christian  virtue  of  caritas  which  finally  was  to  work  as  a  lever  to 
justify  ethically,  or  even  to  sanctify,  war  and  death  for  the  fatherland. 

Two  generations  after  Ivo  and  Urban,  around  1170,  the  poet  of  the 
Chanson  de  Roland  muses  about  the  Frankish-French  warriors  of  Charle- 
magne: "Se  vos  murez.  esterez  seinz  martirs"— "And  if  you  die,  you  shall 
be  holy  martyrs.""  It  is  true,  of  course,  that  the  warriors  of  Charlemagne 
supposedly  were  fighting  the  Saracens  in  Spain  and  therefore  equaled 
crusaders.  However,  to  the  French  people  of  the  twelfth  and  thirteenth 
centuries  those  Frankish  soldiers  had  become  French  soldiers  while  Charles 
himself  figured  as  "emperor  of  France."  Death  against  the  Saracens  there- 
fore was  at  the  same  time  death  for  the  French  emperor  and  French  brothers 
and  compatriots,  a  fact  which  gave  the  "martyrdom"  of  the  slain  also  a 
national  flavor.  Priority,  to  be  sure,  was  held  by  death  for  the  supreme  lord, 
divine  or  feudal.  At  a  council  at  Limoges,  in  1031,  where  the  truce  of  God 
was  discussed,  a  vassal  of  the  duke  of  Gascogne  was  told:  "For  your  lord 
you  have  to  accept  death  .  .  .  and  for  this  loyalty  you  will  become  a  martyr 
of  God."'"  Here  the  crown  of  martyrdom  descended  upon  those  suffering 
death  for  their  feudal  lord.  By  the  middle  of  the  thirteenth  century,  however, 
the  crusader  idea  of  a  holy  war  was  all  but  completely  secularized,  and  its 
place  was  taken  by  a  quasi-holy  war  for  the  defense  of  the  realm  or  of  the 
nation  symbolized  by  the  "crown"  of  France.  A  poet  of  that  age,  Richier, 
glorifying  Rheims  and  its  first  bishop,  St.  Remy,  styled  the  crown  of  France 
the  most  precious  of  all  relics  and  declared  that  those  who  were  killed  in 
protection  of  the  crown  should  be  saved  in  the  life  after  death.  Thus  they 
were   rendered  equal  to  saints  or  martyrs.  God  himself,  argues  the  (loet, 

^^^Ivo,  Decretum,  X,  93,  97,  with  places  from  another  lener  of  Pope  Nicholas  I  (M.G.H., 
Epistolae,  VI,  ■585,  11  f.)  and  from  Ambrose. 

•"Paul  Kehr,  Papsturkunden  in  Spanien.  1:  Katalamen  (Abhandlunyen  Gottin>;en,  N.  F. 
XVIII,  2;  Berlin,  1926),  p.  287  f.,  No.  23:  "In  qua  videlicet  expedmone  si  quis  pro  Dei  et 
fratrum  suorum  dilectione  occuherit.  peccatorum  projecto  suorum  indulgciitiam  et  eterne  vite 
consortium  in  renturum  se  ex  clementissima  Dei  nostri  miseratione  non  dubitet." 

■**  Chanson  de  Roland,  line  1  134:  d.  Cuniont,  Lux  perperua.  p.  445.  Leonardo  Olschki,  Der 
ideate  Mittetpun^t  franl^reichs  (Heidelberg,  1913),  pp.  14  ff. 

•="  Mi>;ne.  Purr  ImI.,  CXLIl.  mocpH  " Dehieras  pro  semote  tuo  mortem  siisapere,  .  .  .  el 
martyr  Dei  pro  lali  fide  fieres."  CI.  Marc  Bloch.  Les  rots  thaumaturges  (Strasbourg,  1924),  p. 
244,  n.  3. 


u 


1 1 

u 


'■-tx\' 


483  Pro  Patria  Mori  in  Medieval  Thought 

sanctifying  "the  king,  the  crown,  and  the  realm"  in  which  the  grace  of  the 
Holy  Spirit  had  been  multipHed,  has  sent  from  high  heaven  the  holy  balm 
of  anointment  por  la  corone  deffendre.*" 

The  voice  of  the  poet  was  echoed  by  that  of  the  priest.  When  Philip  IV 
of  France  started  his  disastrous  campaign  against  the  craftsmen  and  peasants 
of  Flanders — a  war  marking  in  so  many  respects  the  watershed  between  two 

,  ^       ,  ages — an  unknown  cleric  delivered  a  sermon  on  the  king's  departure  to  war. 

—  'He  preached  on  I  Maccabees.  7.,  10-22.  a  passage  which  in  any  century  would 

readily  lend  itself  as  a  locus  classicus  for  self-righteously  interpreted  warfare: 
"They  march  against  us  in  the  plenty  of  pride  and  lawlessness.  .  .  .  We,  how- 
ever, will  fight  for  our  souls  and  laws;  and  the  Lord  himself  will  crush  them 
before  our  faces."  To  prove  the  just  cause  of  the  French,  the  preacher  first 
exalted  the  saintly  character  at  large  of  the  nobiles  et  sancti  reges  Francorum. 
They  are  saints  (i)  for  their  love  of  purity  to  the  effect  that,  whereas  other 
princely  races  were  stained,  the  blood  royal  of  France  has  remained  per- 
fectly pure;  (2)  for  their  protection  of  holiness  in  view  of  the  church;  (3)  for 
their  spreading  of  holiness  because  they  procreate  holy  kings  {cum  generent 
'll_l' I  jfl«f/oy  reges);  (4)  for  their  working  of  miracles  by  healing  scrofula,  the 
"king's  evil" — arguments  apparently  representing  the  common  opinion  in 
the  surroundings  of  Philip  IV  and  very  well  known  from  the  political  trac- 
tates of  Pierre  Dubois.  There  follows  of  course  that  the  cause  of  those  royal 
saints  is  perforce  the  cause  of  Justice  herself,  whereas  the  Flemings  are  fight- 
ing for  an  unjust  cause  {"cum  autem  nos  bellemus  pro  justitia,  illi  pro 
injustitia").  The  wicked  Flemings  are  almost  congratulated  because  through 
the  king's  war  against  them  they  have  a  chance  to  be,  as  it  were,  "liberated" 
from  their  injustice  and  conquered  by  the  holy  king  of  France  rather  than 
by  evil.  On  the  other  hand,  death  on  the  battlefield  for  a  just  cause  receives 
its  reward.  "Since  the  most  noble  kind  of  death  is  the  agony  for  justice,  there 
is  no  doubt  but  that  those  who  die  for  the  justice  of  the  king  and  realm 
[of  France]  shall  be  crowned  by  God  as  martyrs."  The  "agony  for  justice," 
exemplified  by  Christ,  is  the  price  paid  for  the  crown  of  martyrdom,  and 
this  "justice"  is  that  of  the  king  of  France  and  his  realm.  The  preacher,  how- 
ever, demands  the  sacrifice  for  the  holy  king  for  yet  another  reason.  He 
demands  it  not  on  the  grounds  of  the  old  feudal  ties  of  lord  and  vassal  but 
on  the  grounds  of  the  new  organological  concept  of  the  state.  The  king, 
said  he,  is  the  head,  the  subjects  arc  the  members  of  the  body  politic.  Natural 

*"  Richier,  lines  46  ff.,  p.  40;  Bloch,  loc.  dr.  For  the  notion  of  "crown,"  see  Fritz  Hartung, 
"Die  Krone  als  Symbol  iler  nion.irchischen  Hcrrsthaft  iin  ausgehemlen  Mittelalter,"  Abhand- 
liirij^en  der  Prettssischrn  Akademie  (1940),  No.  13  (KerUn,  1941),  csp.  for  France  pp.  ig  ff. 
Further,  see  Richier,  hncs  61  £.,  73  fJ.,  114  ff.,  pp.  41  ff.;  and  above,  n.  1^. 


Ernst  II .  Kantorowicz 


484 


\ 


reason  commands  that  all  members  be  not  only  directed  by  the  head  and 
serving  the  head  but  also  willing  to  expose  themselves  for  the  head.  More- 
over, the  king's  peace  is  the  peace  not  only  of  the  realm  but  also  of  the  church, 
of  learning,  virtue,  and  justice,  and  it  permits  the  concentration  of  forces  for 
the  acquisition  of  the  Holy  Land.  "Therefore  he  who  carries  war  against  the 
king  [of  France],  works  against  the  whole  church,  against  the  Catholic 
doctrine,  against  holiness  and  justice,  and  against  the  Holy  Land."  Here  the 
equation  of  "war  for  France"  and  "war  for  the  Holy  Land"  has  been  carried 
through.  We  seem  already  to  hear  Joan  of  Arc  saying:  "Those  who  wage  war 
against  the  holy  realm  of  France,  wage  war  against  King  Jesus."" 

The  preacher,  by  adducing  the  organological  concept  of  state,  has  struck 
a  new  tone  which  demands  consideration  of  yet  another  topic:  the  realm  as 
corpus  mysticum. 

Whereas  the  concept  of  the  church  as  the  corpus  Christi  goes  back  to  St. 
Paul  (I  Cor.,  12,  12),  the  term  corpus  mysticum  has  no  biblical  tradition.  In 
fact,  it  is  far  less  ancient  than  might  be  expected.  Corpus  mysticum  first  ap- 
peared in  Carolingian  times,  and  it  then  referred  not  at  all  to  the  church,  or 
to  the  oneness  and  unity  of  Christian  society,  but  to  the  Eucharist.  It  desig- 
nated the  consecrated  host,  the  mystical  body  of  Christ."  This,  with  few 
exceptions,  remained  the  official  meaning  of  corpus  mysticum  until  the 
middle  of  the  twelfth  century,  that  is,  until  well  after  the  great  dispute  about 
transubstantiation  which  is  connected  with  the  name  of  Berengar  of  Tours. 
In  response  to  Berengar's  doctrine  and  that  of  heretical  sectarians,  who  tended 
to  spiritualize  and  mystify  the  Sacrament  of  the  Altar,  the  church  was  com- 
pelled to  stress  most  emphatically  not  a  spiritual  or  mystical  but  the  real 
presence  of  the  human  Christ  in  the  Eucharist.  The  Sacrament  now  was 

■"The  interesting  document  has  been  published  by  Dom  (ean  Leclercq,  "Un  sermon 
prononce  pendant  la  guerre  de  Flandre  sous  Philippe  le  Bel,"  Revue  du  moyen  age  latin,  I 
(1945),  165-72.  For  the  general  background,  see  Kampf,  Pierre  Duhois,  who  publishes  a  similar 
sermon  by  Guillaume  dc  Sauqueville  (pp.  109-11).  The  maxim  of  the  anonymous  preacher 
(Leclercq,  p.  172,  lines  163  <!.),  "si  ipsi  volunt  ah  iniustitta  vinci,  orahimus  u:  a  potestate  et 
exeralu  regto  dertncanttir.  Melius  est  enim  eis  a  rege  find  quam  a  malo  et  in  iniustiiia  per- 
durare."  indicates  the  theory  according  to  which  war  is  made  ex  caritate.  This  in  fact  was  the 
current  scholastic  doctrine;  see  Harry  Gmur,  Thomas  von  Aquino  und  der  Krieg  (Leipzig  and 
Berlin,  1933),  pp.  7  f.;  see  also  p.  46  for  the  theory  that  the  king  waging  a  just  war  acts  "ex 
zelo  iustitiae,  quasi  ex  aucloritale  Dei."  In  a  similar  fashion  all  the  other  theories  of  that  remark- 
able sermon  could  be  analyzed  as  reflections  of  contemporary  thought.  For  the  two  quotations 
see  pp.  170,  87  tf.  {"cum  enim  nohilissimum  moriendi  genus  sit  agonirare  pro  lustitia,  non 
duhium  qtiin  isli  qui  pro  lUStitia  regis  et  regni  moriuntur,  a  Deo  ut  martyres  coronenlur")  and 
pp.  170,  65  ff.  ("Igitur  qui  contra  regem  invehitur,  lahorat  contra  lotam  ecclesiam,  contra 
doitrinam  catholiram.  contra  sanctitatem    \sc.  regis]  et  iustiliam  et  Terram  Stinctam" ). 

*^  The  history  of  the  term  corpus  mysticum  has  been  settled,  in  a  brilliant  study,  by  Henri 
de  Lubac,  Corpus  mxsticum  (Paris.  1944),  also  in  Kecherches  de  science  religieuse,  XXIX  (1039) 
257  f}.,  429  tf.,  and  .\XX  (1940),  40  rt.,  191  ff. 


u   u 


I    J 

I    L 


48: 


Pro  Patr'ia  Mori  in  MtulU'val  T/ioru/lit 


termed  significantly  the  corpus  verum  or  corpus  naturale,  or  simply  the 
corpus  Christi,  the  name  under  which  also  the  feast  of  Corpus  Christi  was 
instituted  in  the  Western  Church,  in  1264.  That  is  to  say,  the  Pauline  term 
originally  designating  the  Christian  church,  now  began  to  designate  the 
host,  whereas  the  notion  corpus  mysticum,  hitherto  used  tf)  describe  the  host, 
was  gradually  transferred,  after  11 50,  to  the  church  as  an  organized  body.  It 
was  finally  through  Pope  Boniface  VIII  and  the  bull  Unam  sanctum  that  the 
doctrine  of  the  church  as  "one  mystical  body  the  head  of  which  is  Christ" 
(untim  corpus  mysticum  cuius  caput  Christus)  was  defined  and  dogmatized. 

Now  the  term  corpus  mysticum  as  a  designation  of  the  church  in  its 
sociological  and  ecclesiological  aspects  was  adopted  in  a  critical  moment  of 
church  history.  After  the  investiture  struggle  there  arose,  for  many  reasons, 
the  "danger  of  too  much  stress  being  laid  on  the  institutional,  corporational 
side  of  the  Church"  as  a  body  politic.^''  It  was  the  beginning  of  the  so-called 
secularization  of  the  medieval  church,  a  process  which  was  balanced  by  an 
all  the  more  designedly  mystical  interpretation  of  the  administrative  body. 
The  new  term  corpus  mysticum  linked  the  building  of  the  visible  church 
organism,  it  is  true,  with  the  former  liturgical  sphere;  but,  at  the  same  time, 
it  placed  the  church  as  a  body  politic  or  a  political  organism  on  one  level  with 
the  secular  bodies  politic  which  by  that  time  began  to  assert  themselves  as 
self-sufficient  communities.  Moreover,  the  terminological  change  coincided 
with  that  moment  in  the  history  of  Western  thought  in  which  cf)rporational 
and  organological  doctrines  began  to  pervade  political  theories  anew  and  to 
form  decisively  the  political  thinking  of  the  high  and  late  Middle  Ages.  It 
was  then,  for  example,  that  John  of  Salisbury  wrote  those  famous  chapters 
of  his  Policraticus  in  which  he  compared  the  commonweal  of  the  state  with 
the  organism  of  the  human  body." 

In  addition  to  the  organological  concept  of  the  spiritual  and  secular  com- 
munities there  was  yet  annlher  set  of  corporational  doctrines,  deriving  from, 

<3  I  follow  here  the  stiimilatinK  article  by  Gerhart  B.  Ladncr,  "As|>ects  of  Meiiiaeval  Thought 
on  Church  and  State,"  Rtiitu/  of  Politics,  IX  (1947),  403  H.,  csp.  414  f. 

•'■'  Policraticus.  V,  c.  2,  ed.  by  Clemens  C.  J.  Webb,  I,  282  fT.  Most  instructive  for  the  origins 
of  the  organological  concepts  is  Wilhcltn  Nestle,  "Uie  Fabel  dcs  Menenius  Agrippa,"  Klio,  XXI 
(1926-27),  3511  It.,  who  shows  to  what  extent  St.  Paul  has  reproduced  current  stoic  ideas 
(pp.  358  f.)  the  line  leading  from  Stoicism  ("socii  ems  \dei\  sumus  rt  membra";  Seneca, 
cp.  92,  30)  to  the  Christian  Chnsti  sumns  membra  (Rom.,  12,  4)  and  further  to  Roman  law 
(see  Cud.  T/ieod.,  IX,  14,  3  |In  Eutropium,  Sept.  4,  397):  "virorum  lUustniim  iiui  coiisitits  et 
consistorio  tiostro  intersunt,  senatorum  etiam,  nam  et  ipsi  pars  corporis  nostri  sunt,"  a  passage  to 
which  Professor  Otto  Maenchen  kindly  called  my  attention)  should  be  investigated  even  beyond 
Otto  von  CJierke.  Das  deutsche  Geiiossenschafisrecht  (Berlin,  1881),  111,  134  ff.  For  John  of 
Salisbury's  allcyed  source,  Pstudo-Plutarch's  tnstiinlio  Traiani,  see  Hans  Liebeschijtz,  "John  of 
Salisbury  and  Pseudo-Plutarch,"  journal  of  the  Warburg  and  Courtauld  Institutes.  VI  (1943), 
33  A.,  who  <hows  convincingly,  it  seems  to  me,  tliat  Pseudo-Plutarch  is  Salisbury  himself. 


Ernst  H.  Kantorowicz 


486 


or  closely  related  to,  the  new  study  of  Roman  law,  which  began  to  exercise 
its  powerful  influence  on  the  concepts  of  church  and  state  alike.  They  reached 
their  first  full  growth  when,  by  the  middle  of  the  thirteenth  century,  the 
great  lawyer-pope  Innocent  IV  introduced  or  elaborated  the  notion  of  the 
persona  ficta,  the  fictitious  or  (as  we  would  call  it)  juristic  person,  that  abstrac- 
tion of  any  aggregate  of  man— corporation,  community,  or  dignity— without 
which  modern  society  could  not  easily  exist."  Under  the  impact  of  those 
ideas,  soon  augmented  and  ethicized  by  Aristotelian  social  doctrines,  the 
former  liturgical  term  corpus  mysticum  lost  much  of  its  transcendental  mean- 
ing. To  what  extent  the  purely  sociological  and  juristic  features  began  to 
dominate  may  be  gathered  from  Aquinas,  who  quite  juristically  defined  the 
church  also  as  persona  mystica  instead  of  corpus  mysticum.*'  That  is,  the 
mysterious  materiality  which  the  term  corpus  mysticum  had  still  preserved, 
was  here  abandoned  and  exchanged  for  the  juristic  abstraction  of  the  "mystical 
person,"  which  was  synonymous  with  the  lawyers'  "fictitious  person." 

While  the  lofty  idea  of  the  church  as  corpus  mysticum  cuius  caput  Christus 
filled  itself  with  secular  corporational  and  legal  contents,  the  secular  state, 
striving  after  its  own  exaltation  and  quasi-religious  glorification,  itself  adopted 
the  term  "body  mystical"  and  used  it  for  its  own  justification  and  its  own 
ends.  Already  Vincent  of  Beauvais  in  the  mid-thirteenth  century  mentions 
the  corpus  reipublicae  mysticum.*''  The  lawyers  began  to  distinguish  five  or 
more  corpora  ^y^/«Va— village,  city  and  province,  realm  and  universe."  Baldus 
defined  the  populus  not  simply  as  the  individuals  of  a  community,  but  as 
"men  assembled  into  one  mystical  body"  {hominum  coUectio  in  unum  corpus 
mysticum).*"  And  in  England  as  well  as  in  France  the  terms  corpus  politicum 
and  corpus  mysticum  were  used,  without  clear  distinction,  to  designate  the 
people  and  the  state.*" 

At  any  event,  before  the  end  of  the  thirteenth  century  secular  communi- 
ties, large  and  small,  were  to  be  defined  as  "mystical  bodies,"  meaning  simply 

"  Gierke.  Ill,  246  fT. 

*"  See,  e.g.,  Thomas  Aquinas,  Summa  theol.,  Ill,  q.  48,  a.  2,  ad  i:  "Dicendum  quod  caput 
et  membra  sunt  quasi  una  persona  mystica."  Sec  Lubac,  in  Recherches,  XXIX,  461,  n.  4. 

*'  Speculum  doctrinale,  VII,  c.  8,  quoted  by  Ciierke,  III,  548,  n.  75. 

**  Gierke,  III,  545,  n.  64,  quoting  Antonio  de  Rosellis;  sec  also  Fritz  Kern,  Humana  civilitas 
(Leipzig,  1913).  tor  the  five  cori)orations  of  medieval  political  thought. 

"  Gierke,  III,  432. 

''"  In  Kngland  the  term  is  found  very  often  in  Lancastrian  times;  see,  e.g..  Rotuli  Parliamen- 
torum,  IV,  367,  in  a  parliamentary  sermon  of  the  legum  doctor  William  Lynwodc  (1430-31); 
John  Fortescue,  De  iMudibus  Legum  Angliae,  c.  13,  cd.  by  Stanley  B.  Chrimes  (Cambridge, 
1942),  p.  30,  17  and  28;  see  also  the  sermons  of  Bishop  John  Russel,  of  Lincoln  (148?),  quoted 
by  Stanley  B.  Chrimes,  English  Constitutional  Ideas  of  the  Fifteenth  Century  (Cambridge,  1936), 
pp.  180,  185.  For  France,  see  Hartung,  "Die  Krone,"  p.  29,  quoting  jean  de  Terre  Rouge 
(ca.  1430). 


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487  Pro  Palna  Mori  in  Medifval  Thoiujhl 

any  polity,  any  corpus  morale  et  politicum^^  in  the  Aristotelian  sense.  There 
was,  of  course,  no  difficulty  whatsoever  in  combining  Aristotelian  concepts 
with  ecclesiastical  terminology.  Godfrey  of  Fontaines,  a  Belgian  philosopher 
of  the  late  thirteenth  century,  integrated  very  neatly  the  corpus  mysticum 
into  the  AristoteUan  scheme.  "Everyone  is  by  nature  part  of  a  social  com- 
munity, and  thereby  also  a  member  of  some  mystical  body."  That  is  to  say, 
man  is  by  nature  a  "social  animal."  As  an  animal  sociale,  however,  man  is 
"by  nature"  also  part  of  some  "mystical  body,"  some  social  body  collective  or 
aggregate,  which  Dante  easily  defined  as  "Mankind"  and  which  others  may 
define,  as  need  be,  in  the  sense  (jf  populus  or  patria,  no  matter  whether 
referring  to  the  kingdom  of  France  or  the  city-state  of  Florence  or  any  other 
social  community  and  corporation."  From  the  works  of  Aristotle  a  new  halo 
had  descended  upon  the  organisms  of  human  society. 

It  will  not  be  difficult  now  to  draw  some  conclusions.  Once  the  corpus 
mysticum  has  been  identified  with  the  corpus  morale  et  politicum  of  the 
people  and  has  become  synonymous  with  nation  and  "fatherland,"  death 
pro  patria,  that  is,  for  a  mystical  body  corporate,  regains  its  former  nobility. 
Death  for  the  fatherland  now  is  viewed  in  a  truly  religious  perspective;  it 
appears  as  a  sacrifice  for  the  corpus  mysticum  of  the  state  which  is  no  less 
a  reality  than  the  corpus  mysticum  of  the  church.  It  all  implies  a  recovery 
of  certain  ethical  values  and  moral  emotions  which  with  regard  to  the 
secular  state  had  been  practically  absent  during  the  earlier  Middle  Ages, 
and  yet  so  dominant  in  Creek  and  Roman  antiquity.  This,  however,  does  not 
mean  simply  a  paganization  of  the  idea  pro  patria  mori.  Humanism  had  us 
effects,  but  the  quasi-religious  aspects  of  death  for  the  fatherland  clearly 

"  Gierke,  III,  548.  n-  75- 

'^GcKlfrey  of  Fontaines,  Quaestiones  ordinariae,  I,  2,  5,  ed.  by  Oilon  Lottin  (Louvain,  19??), 
p.  89;  cf.  I)e  Lagarde,  op.  cit.,  p.  64.  It  may  be  mentioned  liere  that  in  the  thirteenth  century 
aUo  the  royal  tide  begins  to  change  from  rex  Francorum  to  rex  Franciae,  indicating  the  terri- 
toiah/.ation  of  the  st;iie;  icc  Sihramm,  Dei  Kotitg  ton  Frankrrirh.  1,  111,  n.  1 :  see  also  Straycr, 
"Laicization,"  pp.  81  f.,  cf.  p.  85,  n.  3.  On  the  other  hand,  the  new  definitcncss  of  national 
boundaries  is  reflected  also  by  the  national  limitation  of  ecclesiastical  provinces,  unknown  in  the 
cjrlier  Middle  Agc-s;  see,  for  a  few  gotid  remarks,  Gerd  Tellenbach,  "Vom  Zusammenleben  der 
abendlandischcn  Volker  im  Mittelalter,"  Festsclmft  jiir  Gerhard  Ritter  (Tiibingcn,  19'io),  pp.  19  f. 
In  England  the  title  Rex  Aiigliae  became  the  general  custom  under  Henry  II.  Interesting,  in 
this  connection,  aie  the  remarks  of  Sir  Fraiicis  Bacon  on  the  importance  of  a  country's  name  as 
a  unifier  of  the  country.  When,  at  the  entree  /oyeuse  of  James  I,  in  1603,  Bacon  suggested  the 
name  of  Great  Britain  for  the  united  crowns  of  I'ngland  an<l  Scotland,  he  remarked;  "For  name, 
though  it  seem  but  a  superficial  and  outward  matter,  yet  it  carrietli  much  impression  and 
fiich;iMtiiicnt.  '  And  he  reminds  the  kinj;  of  the  power  dwcllini;  in  the  natne  ol  CJraccia  (nr  the 
Greek  resistance  aeainst  Persia,  in  that  of  Helvetia  to  knit  together  the  Swiss  confederation,  and 
in  that  of  Spain  as  "a  special  means  of  the  better  union  md  conglutination  of  the  several  king- 
doms." Ct.  Stanley  Thomas  Hindoff,  "The  Stuarts  and  Their  St)le."  Englis/i  Historical  Retiew, 
LX  (1945),  207.  See,  for  Spain,  also  Schramm,  "Das  kastilische  Konig-  und  Kaisertum," 
pp.  109  f. 


Ernst  H.  Kantorowicz  488 

derived  from  the  Christian  faith,  the  forces  of  which  now  were  activated  in 
the  service  of  the  secular  corpus  mysticum  of  the  state. 

Pope  Urban  II  had  qualified  the  crusader's  death  on  the  battlefield  as 
"charity"  when  he  glorified  death  pro  Dei  et  fratrum  dilectione.  In  the  thir- 
teenth century,  the  amor  patriae  was  commonly  interpreted  as  caritas. 

Amor  patriae  in  radice  chari talis  fundatur — Love  for  the  fatherland  is  founded 
in  the  root  of  a  charity  which  puts,  not  one's  own  things  before  those  common, 
but  the  common  things  before  one's  own.  .  .  .  Deservedly  the  virtue  of  charity 
precedes  all  other  virtues  because  the  merit  of  any  virtue  depends  upon  that  of 
charity.  Therefore  the  amor  patriae  deserves  a  rank  of  honor  above  ail  other 
virtues. 

This  is  the  opinion  of  Tolomeo  of  Lucca  in  his  continuation  of  Aquinas' 
De  regimine  principum.''^  And  in  the  same  chapter,  in  which  by  and  large 
he  follows  Saint  Augustine,  Tolomeo  adduces  Cicero  saying  that  to  all  of  us 
the  parents  and  children,  relatives  and  household  members  are  dear,  but  that 
"the  fatherland  embraces  caritate  all  those  relations.  What  good  citizen  would 
hesitate  to  welcome  death  if  it  were  profitable  for  the  fatherland?"  The 
examples  drawn  from  Roman  antiquity  which  Tolomeo  had  borrowed  from 
Augustine  were  repeated  by  Dante  with  even  greater  emphasis."  He  talks 
about  the  Roman  Decii  as  the  "most  sacred  victims"  {sacratissimae  victimae) 
and  recalls  "that  ineffable  sacrifice"  {illud  inenarrabile  sacrifictum)  of  Cato, 
of  Romans,  that  is,  who  for  the  salvation  of  their  patria  or  its  liberty  did  not 
shun  the  darkness  of  death.  "Whoever  designs  the  good  of  the  state  designs 
the  goal  of  law."  This  was  the  thema  probandum  of  Dante's  chapter  which 
opens  up  a  new  legal-philosophic  aspect  of  death  for  the  fatherland. 

To  what  extent  actually  a  hero's  death  pro  patria  was  religiously  defended 
and  defined  may  be  gathered  from  the  philosophers  of  the  late  thirteenth 
century,  an  age  steeped  in  Aristotelian  and  often  Averroistic  modes  of 
thought.  Remigio  de'  Girolami,  a  Florentine  who  had  studied  in  Paris  and 
who  seems  to  have  been  Dante's  teacher,  was  a  corporationalist  in  the  ex- 
treme.*'^ Although  he  did  not,  like  Dante,  confess  the  Averroistic  corpor- 

'' Thomas  Aquinas,  De  regimine  principum.  III,  c,  4,  ed.  by  Joseph  Mathis  (Rome  and 
Turin,  1948),  p.  41.  For  Aquinas  himself,  see  Summa  Theologiae,  I,  60,  5,  Resp.:  "Est  enim 
virtuosi  civis  ut  se  exponat  mortis  perictilo  pro  totitis  retpublicae  conservatwne" ;  also  II-II,  loi, 
3,  3  ("pietas  se  extendit  ad  patriam  .  .  ."),  with  the  good  commentary  on  patria  according  to 
Aquinas,  in  Die  Deutsche  Thomas- Ausgahe  (Heidelberg,  1943),  XX,  343  H.  In  general,  see 
Hilene  Petrc,  Cantas  (Ixjuvain,  1948),  pp.  3s  tf. 

»♦  Monarchia,  II,  ■;.  See  the  very  imjiortant  study  of  Theodore  Silverstein,  "On  the  Genesis 
of  De  Monarchia,  II,  V,"  Speculum,  XIII  (1938).  326  ff. 

■'•■''  For  Remlcio"s  De  bono  cummiitii.  sec  Richard  Egenter,  "Gemeinnutz  vor  Eigennutz," 
Scholastil^,  IX  (1954),  79-92:  see  also  Martin  Grabmann,  Mittelalterliches  Ceistrslehen  (Munich, 
1926),  I,  361  ff.,  and  "Studien  iilier  den  Einfluss  der  aristotelischen  Philosophic,"'  Sitzungsherichte 
der  bayerischen  .H^ademie  (1934 J,  No.  2,  18  ff.  The  social  aspects  of  De  bono  communi  have 


JU 


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U     U       I       I 


489  Pro  Palrid  Mori  in  Medieval  Thotic/lit 

ationalism  of  the  collective  soul,  he  nevertheless  almost  sacrifices  the  in- 
dividual soul  to  the  collective  state.  To  Remigio  the  patria,  the  city  com- 
munity, takes  precedence  over  both  family  and  individual.  Man  is  bound  to 
love  his  patria  more  than  himself;  he  should  love  it  immediately  after  God 
"for  the  similitude  which  the  city  has  with  God."  The  universe,  he  argues,  is 
more  perfect  an  image  of  God  than  the  city,  but  the  city — a  small  universe — 
is  more  perfect  an  image  of  God  than  the  individual.  That  is,  for  the  sake 
of  the  corpus  mysticum  of  the  city  Remigio  strangely  devaluates  the  physical 
individual  which  alone,  according  to  Genesis,  was  created  in  the  likeness  of 
God.  The  Florentine,  however,  with  some  reservations  went  so  far  as  to 
maintain  that  the  personally  guiltless  citizen,  if  he  could  prevent  his  country 
from  being  eternally  condemned  to  hell,  should  readily  take  upon  himself 
his  own  eternal  condemnation,  even  prefer  it  to  being  saved  himself  while 
his  city  was  condemned.  That  means  advocating  not  a  simple  pro  patria  tnori 
in  the  sense  of  suffering  a  natural  death.  It  is  an  attempt  to  defend  even  the 
eternal  death  of  the  soul,  the  jeopardy  of  individual  salvation  and  of  the 
beatitude  of  the  life  eternal  for  the  sake  of  the  temporal  fatherland.'** 

Cicero  could  ask  with  Posidonius  {De  officiis,  i,  45,  159)  whether  really 
the  community  was  always  and  under  any  circumstances  to  be  placed  above 
the  virtues  of  moderation  and  modesty.  And  his  answer  was  a  clear  No. 

For  there  are  things,  partly  so  dirty,  partly  so  disgraceful  and  vile  that  the  wise 
man  will  not  do  them  even  for  the  sake  of  the  fatherland  and  its  conservation.  .  .  . 
Such  things,  therefore,  he  would  not  take  upon  himself  for  the  sake  of  the  res 
publica,  nor  will  the  res  publico  wish  to  accept  them  for  herself. 

Hence,  the  self-denial  of  the  Christian  patriot  of  Florence  goes  far  beyond 
the  wise  moderation  which  the  classical  author  demands,  at  least  with  regard 
to  the  sage. 

Also  in  the  Aristotelian  and  Averroistic  circles  at  Paris  similar  problems 
must  have  been  widely  discussed.  Henry  of  Ghent,  though  far  from  siding 
with  the  absurdity  of  his  contemporary,  Remigio  de'  Girolami,  yet  takes  a 
stand  against  the  scholarly  selfishness  of  true  or  fictitious  Averroists  who 
held  that  the  philosopher  should  not  sacrifice  his  speculative  life,  and  there- 
with his  beatitude  of  this  world,  if  it  conflicted  with  his  civic  duties."  Henry 


been  elucidated  by  De  Lagardc,  op.  dr.,  p.  65,  and  "Individualisme  et  corporatismc  au  moyen 
age,"  Keiueil  de  navatix  d'histoire  et  de  philolo^ie,  i""*  sir.,  XLIV  (i9<7)-  ^9- 

■"  \\,T  liic  pioljlcm,  wlucli  lla^  liten  clearly  rccot-nbed  by  hj;ciitcr,  op.  cit.,  pp.  tii|  ff.,  see 
also  Post,  "The  Theory  of  Public  Law"  (above,  n.  24),  p.  48.  who  remark-,  tint  according  to 
the  scholastic  philosophers  "the  salvation  of  one's  soul  is  the  only  private  light  that  is  su()trior 
to  the  public  utility,  except  in  the  case  of  a  bishop,  who  cannot,  says  Pope  Innocent  111,  resign 
his  office  to  save  his  own  soul  il   he  is  needed  to  help  others  to  salvation  " 

5'  De  Lagardc,  "Henri  de  Gand,"  pp.  »u  ff.,  upon  whose  excerpts  I  have  to  lely,  since  die 
Quodhhets  of  Henry  of  t;hcnt  arc  not  accessible  to  iiie. 


Ernst  II.  Kantoromcz 


490 


is  one  who  strongly  defends  the  sacrifice  of  temporal  death  for  the  father- 
land but  who  no  less  strongly  objects  to  spiritual  death:  for  the  temporal 
state  man  is  not  entitled  to  sacrifice  the  salvation  of  the  soul.  Moreover,  he 
warns  of  a  false  death  pro  republica:  for  example,  if  a  man  chooses  death 
on  the  battlefield  not  for  his  fatherland  but  for  his  own  rashness;  or  if,  instead 
of  defending  the  justice  and  innocence  of  his  country,  he  strives  to  acquire 
only  honor  and  glory  for  his  country  in  defiance  of  all  justice — something 
called  "imperialism"  in  modern  language.  For  all  that,  Henry  of  Ghent 
vehemently  rebukes  the  cowards  who  run  away  instead  of  fighting.  Rather 
than  to  fly,  the  soldier  should  choose  death  on  the  battlefield  pro  patria  et 
republica  in  accordance  with  Cicero's  device  Patria  mihi  vita  mea  carior  est— 
"The  fatherland  is  dearer  to  me  than  my  life."  And  in  this  connection  Henry 
of  Ghent  gives,  as  it  were,  the  final  blessing  to  death  pro  patria:  he  compares 
the  death  of  a  citizen  for  his  brothers  and  his  community  to  the  supreme 
sacrifice  of  Christ  for  mankind." 

It  is  against  the  background  of  the  secularized  idea  of  the  corpus  mysticum 
— implying  that  the  state  as  an  abstract  notion  or  the  state  as  a  juristic  person 
finally  achieved  its  semi-religious  or  natural-rehgious  exaltation — that  we  can 
fully  understand  a  tractate  of  Enea  Silvio  Piccolomini,  later  Pope  Pius  II, 
which  in  1446  he  dedicated  to  the  Habsburg  emperor  Frederick  III.°*  With 
other  teachers,  this  learned  humanist  maintains  that  the  prince,  the  emperor, 
is  entitled  to  take  away  the  private  property  even  of  meritorious  citizens  in 
the  case  of  an  emergency  of  the  state.""  The  ruler  may  demand  even  more 
than  the  property:  he  may  demand  ad  usum  publicum  also  the  lives  of  the 
citizens. 

It  should  not  [writes  Enea  Silvio]  appear  too  hard  when  we  say  that  for  the 
benefit  of  the  whole  body  a  foot  or  hand,  which  in  the  state  are  the  citizens,  must 
be  amputated,  since  the  prince  himself,  who  is  the  head  of  the  mystical  body  of  the 
state,  is  held  to  sacrifice  his  life  whenever  the  commonweal  would  demand  it. 

Not  rarely  do  we  find  in  the  writings  of  curialists  that  the  Roman  pontilT 
is  stvleil  the  head  of  the  corpus  mysticum  of  the  church.*'  In  Enea  Silvio's 
writing,  however,  we  find  a  new  version  of  the  old  theme.  The  "mystical 
" /*/(/.,  p.  87. 

'*"  Enea  Silvio,  De  ortti  et  auctoritate  impetii  Romani,  cd.  by  Gerhard  Kallcn,  Aeneas  Silvius 
Piccolomini  als  Puhlizist  (Stuttgart,  1939).  PP-  80  ff. 

""  For  necessilas  non  hahet  le^em.  see  Post,  "The  Theory  of  Public  Law,"  p.  56. 

*'  Enea  Silvio,  Ue  ortti,  pp.  8i,  418  H.  For  the  pope  as  head  of  the  corpus  mysticum,  see, 
e.g.,  Hermann  of  Schihlitz,  Contra  haerelicos,  11,  c.  3,  cd.  by  Richard  Scholz,  Unhe^arintf 
/(irchenpolitische  Streitschrijten  aus  der  Zeit  Ludwigs  des  Bayern  (Rome,  191 4),  11,  143  f.  ("ita 
se  habent  omttes  fideles  ad  capud  ecclesie,  quod  est  Koniaiius  pontifex,  in  corpore  mistico 
ecrlesir");  see  also  Ah.irus  Pelai'iiis,  Coltiriunt,  ed.  by  Scholz,  op.  cit.,  II,  506  ("ecclesta  que  est 
corpus  Christi  misticum  .  .  .  ibi  est,  ubt  est  caput,  scilicet  papa"). 


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491  Pro  Patria  Mori  in  Medieval  ThouyJit 

body  of  the  church  the  head  of  which  is  Christ"  has  been  replaced  here  by 
the  "mystical  body  of  the  state  the  head  of  which  is  the  prince."  And  so  as  to 
make  the  parallel  quite  unambiguous  Enca  Silvio  reminds  his  princely  reader 
that  Christ  sacrificed  himself  voluntarily  althougli  he,  too,  was  princeps  et 
rector  as  the  heail  of  the  church."'" 

Here  the  parallelism  of  spiritual  corpus  mysticum  and  secular  corpus 
mysticum,  of  the  mystical  body's  divine  head  and  its  princely  head,  of  self- 
sacrifice  for  the  heavenly  transcendental  community  and  self-sacrifice  for  the 
terrestrial  metajihysical  community  has  reached  a  certain  point  of  culmina- 
tion. And  from  this  high-point  onward  the  historian  will  find  it  easy  to  coast 
down  that  road  which  ultimately  leads  to  early  modern,  modern,  and  ultra- 
modern statisms. 

It  would  be  wrong  to  underrate  the  role  which  humanism  and  revived 
antiquity  have  played  in  the  emotional  revaluation  of  the  ancient  pro  patna 
mori  in  modern  times.  The  main  spring,  however,  is  that  at  a  certain  moment 
in  history  the  "state"  in  the  abstract  or  the  state  as  a  corporation  appeared 
as  a  corpus  mysticum  and  that  death  for  this  new  mystical  body  appeared 
equal  in  value  to  the  death  of  a  crusader  for  the  cause  of  God.  And  it  may 
be  left  to  the  reader  to  figure  out  all  the  distortions  which  the  central  idea  of 
the  corpus  mysticum  has  suffered  by  its  transference  to  national,  party,  and 
racial  doctrines  in  more  distant  and  in  most  recent  times.  The  so-called 
"Tombs  of  Martyrs"  of  the  National-Socialist  movement  in  Munich,  or  the 
gigantic  streamer  Chi  muore  per  Italia  non  muore  coverip.g,  on  Christmas, 

*2  If  pro  patria  mori  became  an  act  of  caritas  and  equivalent  to  pro  Deo  (Christo)  mori,  it 
might  be  expected,  as  Professor  Philip  Merlan  kindly  pointed  out  to  me,  that  accordingly  patnuiit 
tnihere,  [reason  against  the  tathcrland,  would  be  paralleled  by  Deum  (Chnstum)  irahere  In 
fact,  Dante.  Injerno,  XXXIV,  describes  Brutus  and  Cassius  sharing  the  punishment  of  )udas. 
rhis  idea,  however,  has  a  long  history,  since  every  treasonable  act  would  be  interpreted  by 
means  of  biblical  exemplarism  as  a  rejictition  of  the  treason  of  )udas.  See,  e.g.,  Poenitentiale 
Valicellaiium,  cc.  50  and  51,  where  it  is  said  diat  not  only  a  person  delivering  anodier  man  up 
to  hii  enemies  shall  he  judged  like  Judas,  but  also  "si  quis  castelluni  irl  nvitatem  aut  aticuiiis 
itnimiioiieiti  in  maniis  inimicurum  spiniii  fudiie  tradnteni" :  Hermann  Joseph  Schniitz,  Die 
BusshiUher  tiiid  Busidisziplin  der  Kin/ie  (1883),  1,  376  f.,  quoted  by  Ferdinand  Koeiien,  in 
Deuisches  Dante-lulu hiuh,  VII  (1923),  93,  n.  11.  Moreover,  the  crimen  liiesae  niuiestatis  was 
customarily  made  parallel  vvith  the  crime  of  the  lese  majesty  of  (!od;  see  Krnst  Kantorowicz, 
Kunrr  Fnediuh,  \lx\i,.  Ud.,  p.  110.  Relevant  to  the  problem  is  the  study  ot  Maxiine  Leiuosse, 
"l.a  lese  niaicste  dans  la  monarchic  franque."  Revue  dii  moyen  age  laiin.  II  (1946),  5-24.  who 
very  neady  puints  out  how  the  notion  Uieia  niaiestas  was  replaced  in  the  West  by  the  feudal 
concept  of  infidettlas  (personal  treason  as  opposed  to  public  treason);  how  the  substance  of 
laesa  m,iie.<tiis  as  a  public  crime  was  retained  as  a  result  of  the  lelij^ious  or  ecclesioloyical  status 
of  the  king  (Alcuin,  Epist.,  Ill,  12,  in  M.O.H.,  Epist.,  IV,  24:  "hi  neiem  regis  neniu  cominunuare 
aiideiit,  quia  t  linstiis  Domini  est  .  .  .  et  omnis  qiiisijuis  till'  sairilegio  jssenserit.  .  .  .  jiidae  tiaditori 
iiKiulus  sempilervii  cremahilur  imendiis"):  and  tiow  finally  after  the  Boloi'nes  rrvi\a!  of  R.,riijn 
law  the  ancient  l./esa  maiestas  reappears  without  alwlishing  the  Chiistian  conce[it  of  the  king's 
religious  nature.  Both  trends  concur  in  the  intetpretation  of  suicide  as  treason  or  felony  because 
through  this  crime  "the  king,  being  the  head,  has  lost  one  of  his  mystical  niemlicrs  "  Kdmund 
Plowden,  The  Commentaries  or  Reports  (London,  i8i6^  p.  261, 


Erti.U  II.  Kantoroivicz  492 

1937,  the  fa5ade  of  the  Milan  cathedral  for  the  commemoration  service  for 
the  dead  soldiers  of  the  Fascist  Italian  divisions  in  Franco  Spain,  illustrate 
some  of  the  recent  nationalistic  ravings  which  so  terribly  distort  an  originally 
venerable  and  lofty  idea. 

On  the  other  hand,  the  disenchantment  of  the  world  has  progressed 
rapidly,  and  the  ancient  ethical  values,  miserably  abused  and  exploited  in 
every  quarter,  are  about  to  dissolve  like  smoke.  Cold  efficiency  during  and 
after  the  Second  World  War,  together  with  the  individual's  fear  of  being 
trapped  by  so-called  "illusions"  instead  of  professing  "realistic  views,"  has 
done  away  with  the  traditional  "superstructures,"  reUgious  as  well  as 
ideologic,  to  the  effect  that  human  Uves  no  longer  are  sacrificed  but  "liqui- 
dated." We  are  about  to  demand  a  soldier's  death  without  any  reconciling 
emotional  equivalent  for  the  lost  life.  If  the  soldier's  death  in  action— not  to 
mention  the  citizen's  death  in  bomb-struck  cities— is  deprived  of  any  idea 
encompassing  humanitas,  be  it  God  or  king  or  patria,  it  will  be  deprived  also 
of  the  ennobling  idea  of  self-sacrifice.  It  becomes  a  cold-blooded  slaughter 
or,  what  is  worse,  assumes  the  value  and  significance  of  a  political  traffic 
accident  on  a  bank  hoHday. 

Needless  to  say,  the  two  cardinals  quoted  in  the  introduction  are  far 
remote  from  those  debasing  tendencies  which  belong  anyhow  to  a  later 
period:  both  regarded  the  soldier's  death  on  the  battlefield  as  a  true  sacrifice 
which — with  or  without  otherworldly  reward — bestowed  a  final  shimmer  of 
human  nobility  on  the  human  victim.  When  now  we  turn  back  to  re-read 
Cardinal  Mercier's  pastoral  letter  of  Christmas,  1914,  we  realize  that  the 
words  he  used,  which  then  appeared  so  challenging,  are  in  fact  fully  justified 
by  a  very  long  tradition  of  ecclesiastical  doctrine  and  Western  political 
thought  in  general.  Those  words  did  not  express  his  private  opinion  or  willful 
interpretation.  Much  can  be  said  also,  however,  in  support  of  Cardinal  Billot's 
view.  From  a  theological-dogmatic  basis,  he  rejected  the  sentence  expounding 
that  "death  christianly  accepted  assures  to  the  soldier  the  salvation  of  the 
soul,"  because,  he  claimed,  this  was  substituting  the  fatherland  for  God. 
And  indeed,  this  substituting  tendency  has  become  more  and  more  obvious 
since  1914.  History,  we  might  venture  to  say,  supported  Cardinal  Mercier; 
theology.  Cardinal  Billot.  But  who  was  right  and  who  wrong,  in  the  crucial 
matter  of  the  soldier's  eternal  salvation,  cannot  be  decided  by  either  the 
historian  or,  after  the  split  between  faith  and  reason,  the  philosopher. 

Berkeley,  California 


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Geoffrey     of     M  o  nm  </ut  h  ,  ff  i  s  t  o  r  i  a    Regum 


V-C<   Hi 


—  ; 


Eritanniae     IX.4('Faral's     edition     chap.  147 
pp.  232-233  )  . 


k 


Viri  Christiana  professione  insigniti,mane» 
at  in  V o b i s  concivium  vestrorum  pietas  et 


p at r i ae , qui , p ro di t i on e  p 


aganorum  extermina- 


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ni.Quicumque     eni: 


pro     fratribus     suij    mortem     inieri 
hostiam     se 

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Ein  Spruch,  an  dem  sich  die  Geister  scheiden 

Horaz-Zitat  wird  aos  der  Universitat  entfernt  /  Stiirmische  Studentenversammlung 

Zu  einer  erregten  Debatte  kam  es  vorgestern  bci  dcr  Vollversammlung  der  MiinohnrrStudentpn<.chaft  In 
der  Inlversitat.  Es  ging  um  die  Entstheidung, ob  das  Hora/.-ZiUt ,.Uulce  et  decorum  est  pro  patria  mori" 
(SUB  und  ehrenvoll  ist  es.  fur  dw  Vaterland  lu  sterben)  im  Mchthof  der  rniversilat  erbalten  bleihrn 
Oder  durch  den  Spruch  ..Mortui  vlventes  obligant"  (Die  Toten  verpflichten  die  Lebenden)  erselzt  w  erden 
soil.  Narli  einer  uber  dreisiundlgen  Auseinandersetzung,  die  oft  minutenlang  durdi  scbrilles  Pfeifen 
und  ohrenbetiiubendp  Pfui-Rufe  unterbrochen  wurde,  stimmten  etwa  75  Prozent  der  Ober  3000  anwcsen- 
den  Studenten  fur  den  von  Rektor  Dr.  Egon  Wiberg  vorgesihlagencn  Sinnspruch  ..Mortui  vlventes 
obligant".  Der  Akademische  Senat  der  Universitat,  dem  die  letzte  Entsdjeidung  lusteht.  wird  aller 
Voraus.siciit  nadi  die  Empfehlung  der  Studenten  guthelBen. 


Die  Verwaltung  der  Universitat  halle  alle 
Vorbereitungen  getroften,  um  die  Versammlung 
nicht  in  eine  Saalschlacht  ausarten  zu  lassen.  Auf 
den  Gangen  postierten  sich  eine  Stunde  vor  Be- 
ginn  15  Manner,  die  durch  ihre  Schirmmutzen 
als  „Hauswache"  geltennzeichnet  waren.  Sie  hat- 
ten  Anweisung,  bei  einem  Krawall  darauf  zu 
achtcn,  daB  das  Mobiliar  der  Universitat  nicht 
beschiidigt  werde.  Eine  Viertelstunde  vor  Ver- 
sammlungsbeginn  war  die  Aula  bis  auf  den 
letzten  Platz  besetzt.  Als  auch  die  Gange  gefiillt 
waren,  wurde  das  Auditorium  maximum  geoff- 
net.  Dorthin  wurde  die  Diskussion  mit  Laut- 
sprechern  iibertragen.  Noch  nie  waren  zu  einer 
Vollver.sammlung  des  AStA  so  vlele  Studenten 
erschienen  wie  gestern.  In  den  beiden  groBen 
Salen  und  auf  don  Gangen  verfolgten  uber  3000 
Studierende  die  Debatte. 

Bevor  die  Versammlung  olflziell  begann,  mel- 
dete  sidi  der  Student  Walter  Weber  zu  Wort.  Er 
forderte  seine  Kommilitonen  auf,  eine  Solidari- 
tatsorklarung  fur  das  Gdttinger  Manifest  und  die 
entspredienden  Erkliirungen  Albert  Schweitzers 
und  der  Heidelberger  Professoren  abzugebcn. 
Sein  Antrag  wurde  mit  tosendem  Beifall  und 
schrillen  Pflffcn  beantwortet.  Ein  Sprecher  des 
AStA  erklarte,  uber  den  Antrag  konne  nicht  ab- 
gestimmt  werden,  da  er  nicht  vorschriftsmiiBiB 
24  Stunden  vor  der  Versammlung  beim  AStA 
eingereicht  worden  sei.  Dann  erofTnete  der  erste 
Vorsitzende  des  AStA,  Udo  Jansen,  die  Voll- 
versammlung.  Er  begruBte  besonders  Rektor  Dr. 
Egon  Wiberg.  Jansen  bezeichnele  die  Ausein- 
andersetzung  iiber  den  Sinnspruch  als  eine  reine 
interne  Hochschulangelegenheit.  Er  konne  nicht 
begreifen,  warum  der  Meinungsstreit  in  der 
Offentliciikeit  .so  ausgewalzt  worden  sci.  Man 
solle  kein  Politikum  daraus  marhen. 

Gedenken  an  die  Geschwister  Scholl 

Rektor  Dr.  Wiberg  ging  auf  die.Geschichte  des 
Horaz-Zitates  ein,  das  vor  iiber  einem  halben 
Jahrhundert  im  Lichthof  der  Universitat  ange- 
bracht  worden  sei.  ,.Bei  der  Vollversammlung 
gehe  es  nicht  um  die  Entscheidung,  ob  der  Spruch 
bleibt",  sagte  er.  „Es  geht  um  die  Respektierung 
dcr  Gefiihle.  Nach  zwei  Weltkriegen  und  nach 
Hiroshima  mag  das  Wort  vom  .siiBen  Tod'  fiir 
das  Vaterland  manchem  Mensclien  auf  der  Lippe 
erstarren.  Ist  er  desiialb  zu  vcrdammen?"  Aus 
dieser  Meinung  heraus  habe  er  den  Spruch 
„Mortui  viventes  obligant"  vorgeschlagen,  der 
an  die  Heldentat  der  Geschwister  SchoU  er- 
innere.  Der  Rektor  ermahnte  die  Studenten,  sich 


bei  der  Entscheidung  ihrer  akademi.schen  Ver- 
antwortung  bewuBt  zu  sein. 

Nadi  dem  Rektor  meldete  sidi  der  AStA-Ver- 
treter  Giinthcr  von  Wulffen  zu  Wort.  Er  vertci- 
digte  das  Horaz-Zitat.  „Halten  Sie  mich  nidU  fin- 
so  naiv,  daB  ich  glaube,  es  ware  siifi,  von  einem 
T  34  zermalmt  oder  von  Atomstaub  bedeckt  zu 
werden",  sagte  er.  „Trotzdem  ist  das  Zitat  ein 
Lobpreis  der  Vaterlandsliebe."  Zvvischenruf: 
„Sollen  wir  deshalbverrecken?"Daraur  V.'ulffen: 
„Eine  solche  Ilaltung  kommt  der  Aufgabe  der 
Kultur  des  Vaterlandes  nahe."  Minutenlanges 
ohrenbetiiubendes  Pfeifen  und  Pfui-Rufen  hin- 
derte  Wulffen  am  Weitersprechen. 

Bei  der  Diskussion  war  die  Aula  in  zwei  Lager 
gespalten:  Auf  der  linken  Seile  saBen  die  Ver- 
treter  und  Gesinnungsfreunde  des  Liberalen 
Studentenbundes,  die  gegen  das  Horaz-Zitat 
waren;  auf  der  rechten  Seite  die  Vertreter  des 
AStA  und  die  Angehorigen  der  katholisclien 
farbentragenden  und  nicht  farbentragcnden  Ver- 
bindungen.  Sie  waren  fiir  die  Beibehaltung  des 
Spruches. 

Hans  Engelhardt,  dem  Liberalen  Studenten- 
bund  nahestehcnd.  erklarte,  der  Wiederaufbau 
der  Bundesrepublik  sei  nach  dem  Motto  vor- 
gegangen  „Lasset  alles  beim  alten  und  priifet 
wenig,  denn  allcsAlte  ist  gut."  Dieses  Vorhaben 
ncnne  man  Restauration.  Sie  habe  sich  auch  beim 
Ziprgitter  im  Lichthof  wieder  gezcigt.  (Spontaner 
Beifall.)  ..Wer  Rlaubt,  daB  wir  den  Frieden  nicht 
am  dringendsten  brauchen,  der  trete  vor. "Engel- 
hardt stellte  den  Antrag,  sofort  daruber  abzu- 
stimmen,  ob  das  Horaz-Zitat  erhalten  bleiben 
soil.  Es  meldoten  sich  jcdoch  noch  andere  Stu- 
denten zum  Wort.  Sie  erklnrten,  das  Zitat  sym- 
bolisiere  ijbersteigerten  Nntionali.-^mu.''.  Es  set 
bezeichnend.  daB  es  angebiacht  wurde,  als  Kai- 
ser Wilhelm  IT.  rcglcrto 

fiir  den  Vorschlag  des  Rektor* 

Nach  dreistiindiger  Di.skussion  wurde  abge- 
stimmt:  Etwa  drei  Viertel  der  Studenten  spra- 
chen  sich  fur  den  Vorsdilag  des  Rektors  aus. 
Damit  wird  der  Spruch  ..Mortui  viventes  obli- 
gant" wahrsdicinlich  schon  in  den  naclisten 
Wochen  im  Adlergitter  des  Lichthofcs  montiert. 
Ein  Antrag,  unter  dem  Sinnspruch  die  Namen 
und  das  Todesdatum  der  Geschwister  Sclioll  an- 
zubringen,  wurde  abgelehnt.  Die  Studenten  be- 
fiirwortettn  noch,  das  altc  sdimiedeeiscrne 
Horaz-Zitat  dem  ungarischen  Studenten  zutiber- 
lassen.  Er  hatte  darum  gebeten,  vveil  er  es  an 
einer  „wurdigcn  Stelle"  aufbewahren  will. 

Edmund  Gruber 


Simsalabim  —  ein  Mann  muB  her! 


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'31.  "Dante's  'Two  Suns',"  in  Semitic  and  Oriental  Studies  PresenUd  to  William  Popper 
(University  of  California  Publications  in  Semitic  Philolog\-,  XI ;  Berkele\  and  Los 
Angeles,  1951),  217-231. 

Ul'r    coriy,    ar.ncts*"ed. 


G. 


"(3)    Ich  glaube..."    (port    of  a    letter) 

"Dante   u.    Evzanz"      (soiral   notebcck  cage) 

X 
"Duo   luininaria''      (^pi-^al    notebook  pa  ge^  ) 

"Two    suns"       (raemo   pad   slip) 

"Sol"       (half   Dape,    vellov) 

"Deux    soleils"      (half  page) 

ti  tv-oed  -Dares; 

1-ij.   te-<^t   of   Ganzelo    de    3erceo,    Duelo   de    la 
•^  irren   Mpria    (cf.    note    affired   to   p.    h,) 
1-ij.   English    translp-t- ion   of   same. 


,-mi''-- 


U     U    L     L 


firprinted  from 
.Semitic:  ani>  Orikm  m  STuniF.s 
l!nive^sir^  ol  Calitornia  Publuuituins  m  Scmitu  Philtilogx .  \olunie  XI, 


195' 


DAXTE'S  'TWO  SUNS' 


ERNST  I-l.  KANTTOPCWICZ 

Two  ondf-  luivc  b«!ii  Bii1  by  Providnnot;,  liml  mfsffabk:,  btifore  ni&u  U<  W-  (!ontempkt.«!d  by 
him:  the  blesBedness,  to  wit,  of  tliis  life  wliicii  oonsiflts  iL  tlie  exorcifif  of  man's  proper  power 
and  IB  figured  by  the  terrefltrial  paradise :  and  the  bk«HediM!SS  of  etenuJ  life  which  f!onsL«!t? 
in  the  fruition  of  th<'  divine  afijKfrl,  it.  which  his  power  nmy  not  astiend  unl<»  assisted  by 
the  divine  hpht.  And  thif  iilesHednesf  if  piven  t(j  be  undersiood  by  the  eelestial  paradise. 

Max,  aociording  to  thf  two  ends  set  before  iiim,  is  in  need  of  a  twofold  directive 
power;  the  Roman  Pontiff  to  lead  mankind  in  accordance  with  things  revealed 
to  eternal  life ;  and  the  R.oman  Emperor  to  direct  the  human  race  to  1«mporal 
felicity  in  accordance  with  the  teachings  of  philosophy. 

This  is,  in  the  words  of  a  famous  passage  of  the  Monorchia,  Dante's  \'iew 
of  a  world  order  such  as  it  should  be,  but  as  it  was  not  owing  t.o  the  incessant 
strife  tieitween  papacy  and  empire  for  the  supreme  position  in  this  world.  ^  The 
discord  lietween  the  two  supreme  authorities  has  l:)een,  time  and  again,  de- 
plored by  the  poei  as  the  mainspring  of  Italj-'s,  and  mdeed  the  world's,  political 
and  moral  disaBt,er  around  1300.  The  contest  l)etween  the  two  universal 
powers  concerning  some  alleged  supremacy  of  one  over  the  other  appieared  to 
Dante  as  a  struggle  devoid  of  substance  and  foundation.  The  twc)  offices,  so 
lie  ponders,  def?'  comparison  altogether,  since  their  tasks  are  fundamentally 
different  If,  however,  a  comparison  of  Pontiff  and  Emperor  tie  desired,  the 
first  thing  t.o  do  would  tie  to  reducie  both  to  a  common  denominat.or  allowing 
comparison. 

C)f  such  common  denominators  Dant*"  adduces  two  in  his  Mmiarchia}  Both 
Pontiff  and  Emperor  are,  above  all.  men.  Therefore  they  must  be  measured 
bj"  the  standard  of  man,  by  the  humaraiai-  which  personally  they  represent. 
"As  men  they  have  to  be  referred  i.o  the  optimua  homo  who  is  the  measure  of 
all  others  and,  as  it  were,  their  idea,  whosoever  this  'best  man'  may  be.  That 
is.  they  have  t,o  lie  referred  t.o  him  who  is  mostly  one  in  his  own  kind."  In 
other  words,  the  verv-  ''Idea  of  Man,"  the  man — "whosoever  he  may  be  " — 
that  encompasses  most  perfectly  the  human  race  and  "is  mostly  one  in  his 
kind,"  is  the  standai-d  of  both  Pontiff  and  Emperor  so  far  as  they  are  bwol 
This  is  not  only  a  truly  "humanistic  '  argument  by  which  Dant*'  transfoB 
the  theoretical  strife  of  many  centuries  to  a  completely  new  plane;  it  falls  ia 
also  •with  the  pohticaJ  doctrines  of  that  age  which  had  learned  t.o  distinguidi 
more  clearly  than  lief  ore  lietween  man  and  his  office,  lietween  king  and  crown.» 
So  far  as  the  ofia;!-  of  Pontiff  and  Emperor  are  concerned,  so  Dante  continues, 
it  is  obvious  that  both  offi(!es  derive  from  the  same  source,  which  is  God.  The 

'  Mimarckia.  Ill,  xvi,  7. 

=  Jind.,  Ill,  xii,  7  fi. 

■  J'rii7  Hart.ung,  ''Dje  Krone  alF  Symbol  der  monarcliiHchen  Herrnuhafi  mi  Mjti^lalier," 
AbhandLunfieti  der  BfrrLmer  Akadenne.  IMO,  No  ]8  (3W4]  :  also  E  KanUirowici  '  '-  ■■.^••'..^. 
EiBCUb,'    Hiriuipinii:  Festf/alH  fur  Alfred  Wetier  (Heidelberg,  ]i<48  .  jip.  225  ff..  :  ^ 

Post,  "The  Tlieor^  of  Puiihc  Law  and  the  State  in  the  Tiurtoeuth  Geutun-,'  ,^!. _      1 1 

(1948),  42  S. 

[217] 


II       II        J        J 

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218  Vniversitp  of  Califomui  Tuhltc.ationi;  in  Semitic  Philology 

pomnioii  flRnnniinatnr  of  tho  offinoK,  thoreforr,.  If  "oither  Ood  himself  in  M'hom 
all  disposition  i;-  univf'rsully  united,  or  sonu  fiuhfitaiKif  inferior  to  God,''  some 
of  the  celestiul  intelhpenreH,  in  whioli  the  deity  appears  in  a  more  particularized 
form.'' 

Ah  hiinianitaf<  in  Dante'^  scliemc  if-  always  peculiarly-  concentric  with  dcitafi, 
it  becomep  almoRt  natural  that  the  human  and  the  divine  Hhould  appear  also 
aK  the  two  planer  whicli  Pontiff  and  Emj)eror  have  in  common.  Only  when  re- 
duced to  these  two  denoniinatorh,  il  seeniF  to  Dante,  could  the  two  powers 
he(!ome  comparable  a1  all.  However,  wiien  reducjed  to  tlie  human  and  divine 
planes  the  two  powers  would  cease  to  be  in  a  state  of  competition  concerning 
the  Ruprenuicy  of  either  one  or  the  otiier;  for  in  the  mirror  of  human  perfection 
and  of  tlie  divnie  bemg,  or  tiie  celestial  beings.  Pontiff  and  Emj)eror  are  ec|ual 
anyhow 

These,  by  and  large,  are  the  arguments  which  Dante  expounds  in  the 
Mmiarchia.  In  the  iHviim  Commedia.  however,  he  reduces  the  two  universal 
})owers  to  yei  anotiier  denommator  to  prove  tlieir  equality  when,  in  addition 
to  humanitat:  and  dtvinitax  of  Pontiff  and  Emperor,  the  poet  refers  to  the 
Roman  character  tliey  have  in  common,  to  tlieir  Rontanitas.  In  fact,  nothing 
could  be  more  Dantesque  tiian  this  triad  of  Man.  God,  and  Rome. 

The  sixteenth  Canto  of  tiie  Purffotonti  has  as  its  essence  the  meeting  of 
Dante  with  the  Lombard  Marco.  Dante  had  inquired  of  Marco  about  the 
causes  of  ^'icf  and  sin  sin(te  some  people  placed  those  causes  in  the  heavens 
whereas  otiiers  sougln  tlienj  IkjIow  on  eartli. 

lirotiier, 
Tin  world  IK  blind,  aud  truly  thou  comest  from  it, 

l)egins  Marco's  reply.  He  explains  that  Necessity  deriving  from  stellar  in- 
fluence must  lie  refuted  altiiougb  indeed  the  heavens  set  man's  impulses  in 
motion  Tet  Reason  and  Freewill  are  given  to  man  to  secure  the  victori-  of 
ins  bettei  nature  Tiierefore.  ii  is  solely  man  s  fault,  mn  thai  of  the  stars,  if 
vice  and  sin  predominate  on  earth.  Man's  soul  was  created  suuple;  and  as  it 
''sprung  from  a  joyous  maker,"  it  knows  no  other  desire  than  to  return  to  Him. 
The  soul,  iiowever,  foi  it^  return  to  God.  needs  guidance;  il  needs  the  laws  to 
curb  it.  and  needs  a  ruler,  the  Emperor,  who  discerns  dello  vera  ciUad<  aimcn 
la  torrc.  "of  the  true  city  at  least  the  lower."  With  this  remark  the  Lombard 
tunis  from  the  sphere  of  tiieolug^  and  natural  philosophy  to  thai  of  jioiitical 
piiiloKopiiy  Laws,  suys  lie.  certamly  then  are.  yex  none  puts  them  to  work 
because  the  shepherd — the  Pontiff — wiu>  leads  the  flock. 

thougli  chewing  th«'  cud  hatli  not  tht  hoofs  divided. 

He  is  not  kosher.  True  enough,  he  "ruminates" :  lie  ruminates  the  theological 
knowledge  of  generations,  but  does  not  fulfill  the  other  reiiuirement  of  the 
Law:  to  discern  Ciood  from  Evil  as  indicated  by  the  cloven  hoofs.  The  flock,  the 
ignorant  crowd,  becomes  like  its;  leader  sinful  and  corrupt  and  desires  ''whereof 
he  is  greedy."  Hence,  neither  stars  noi  nature  is  responsible  foi  the  corruptness 
MmuiTchta  III,  xii,  11:  "v«l  ipw  l>eus     .  .  ,  vel  ahqua  suLwtantia  l>eo  inferior." 


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Kantoromcz:  Dante's  "Two  Suns" 


219 


of  the  world,  but  the  fault  is  with  ovil  leadership.  The  Pontiff  ha^  enpulfed  the 
Emperor,  has  joined  to  his  pontifical  staff  the  imperial  sword.  And  the  residt: 
both  Empire  and  Church  go  ill  because  united  in  one  hand  they  cease  to  fear 
each  other. 

What  should  the  right  order  of  the  world  be?  What  had  it  been  like  so 
long  as  the  world  was  good?  Here  Marco  hints  at  Rome. 

Solovu  Iloma,  cht-  il  buon  mondo  feo, 
due  soli  aver,  che  I'una  e  I'altra  strada 
faneaii  vedere,  e  del  mondo  v  di  Deo. 

(She  that  had  made  thf  pond  world,  Ilomu,  was  wont 
To  having  two  RiTNt-  whinh  made  plain  to  sight 
Both  one  road  and  the  other,  world  and  God.) 

For  centuries,  ever  since  the  age  of  Gregory  "VTI,  a  dangerous  image  had  gained 
influence  on  the  political  theory-  of  the  papacy:  Sun  and  Moon  as  symbols  of 
Church  and  Empire.^  Although  the  sheer  coexistence  of  two  celestial  luminaries 
of  unequal  size  proved,  all  bj-  itself,  less  than  nothing  in  view  of  the  relations 
of  regnum  and  sacerdotium,  the  metaphor  had  yet  been  taken  as  evidence  for 
the  inferiority  of  the  Moon-Empire  to  which  only  some  reflected  light  was 
granted  from  the  Sun-Papacy.  Dante,  in  the  Mcmarchia.  had  denied  and  ridi- 
culed the  validity  of  the  Sun-Moon  sjTiibol  as  an  evidencie  m  political  matters.' 
Now,  in  the  Comedy,  he  abolishes  it,  and  no  more  than  two  words  are  needed 
to  do  away  with  that  specter:  due  soli.  Pope  and  Emperor,  to  Dante  two 
coordinate  and  equal  powers  with  different  tasks,  no  longei-  reflect  a  major  and 
a  minor  light:  they  are  "Two  Suns'"  which  jointly  illummate  the  world  to  lead 
the  human  race  to  the  two  goals  which  "Providence,  tlrnt  ineffable,  has  set 
before  man":  the  terrestrial  paradise  and  the  celestial.  And  from  this  greater 
concept  Dante  cannot  exclude  Home.  From  liome  there  siiall  shine  forth  the 
Two  Suns  to  bring  light  to  man  and  shed  light  on  his  path;  from  Rome,  the 
capital  of  the  World  and  the  Empire  as  well  as  of  Italy.  Pontiff  and  Emperor, 
ci)e(iuals  when  measured  by  the  standards  of  Man  and  God,  are  coe(]uals  also 
with  regard  to  Rome  and  to  their  solar  characters.  Rome,  according  to  the 
poet,  "was  wont  to  having  two  suns."  And  by  the  power  of  two  luminaries 
of  equal  grandeur  Rome  had  created  the  "good  world,"  a  world  sucli  as  it 
had  been,  so  we  might  saj-,  so  long  as  an  EmjMjror  a  Deo  coronatun  and  a 
Pontiff  a  Deo  electus  still  balanced,  supported,  and  checked  one  another.' 

It  is  by  means  of  that  rather  bold  new  metaphor  that  Dante  tries  to  over- 
come the  effects  of  the  theocratic  Sun-Moon  symbolism.  There  is  nothing 
obscure  about  his  intentions.  He  wishes  to  emphasize,  once  more,  that  the 

f-  For  th(  Sun-Moon  syniboUsm  of  papacy  and  empire,  see  Konrad  BurdacJi,  Rtetizo  und 
dir  geulig>  ViamiiuMi  semer  Zett  (Voni  MiUetaUerzur  KeformaUon,  Vol.  II,  1:  Berlin  1»13- 
Uih).  pp.  27,<  ff.,  332  ff  and  ptMstni;  also  Perry  Enist  8ciiramni,  Aawer,  Rom  und  Hmot-cUw 
(Leii)zig  and  Berim,  1920;,  Vol.  1,  pp.  124  f.,  n.  o,  and  11,  p.  (K,  line  31 

;  Monorchia,  III,  iv.  See  also  the  objections  to  this  clmpt<;r'  of  DanU-s  contemporarv 
adversary  the  Dominican  Ciuido  Vemani:  Thomas  Kappeli,  "Der  I)aut«Kegner  Guido 
Vemani  O.I  .  von  Riminj,  '  QueUer,  urui  Forgchungei,  am  Ualieriuicheii  ^Uchtvet,  mid  Biblw 
Uieken,  XXVIII  (1937-1938J,  144  ff. 

'  Bee  E.  Kantorowicz,  Laudes  regtae  (Berkeley  and  Loe  Angele6,  1946),  pp.  106,  145. 


n    II    zi    r 

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220  University  of  California  PuUications  in  Semitic  Philology 

secular  sphere  exists  in  its  own  right,  that  the  celestial  paradise  is  sided  by  a 
terrestrial  paradise  of  equal  dignity,  and  that  Philosophy  and  Theologj-, 
Empire  and  Papacy  are  of  equal  rank.  Yet,  that  new  metaphor  itself— Two 
Suns  shining  forth  from  Pome— strikes  us  as  strange  and  hardly  less  fantastic 
than  the  old  Sun-Moon  symbolism  serving  as  the  evidence  for  papal  suprem- 
acy. If  taken  in  a  literal  sense,  the  idea  of  two  suns  over  Rome  appears  even 
monstrous,  frightening  rather  than  comforting.  The  appearance  of  a  second 
sun,  an  anhelion,  was  a  bad  omen  for  the  Romans  in  ancient  times,  as  may 
be  gathered  from  Uvyf  and  Claudian,  too,  uses  the  image  of  gemini  soles 
purely  in  the  negative  to  indicate  the  monstrosity  of  an  epoch.*  For  all  that, 
however,  Dante's  image  of  the  Two  Suns  was,  in  a  politico-theological  sense, 
not  at  all  foreign  to  Roman  thought,  nor,  for  that  matter,  to  medieval  thought. 

In  fact,  we  need  only  to  turn  to  Byzantium  in  order  to  find  the  image  of  the 
Two  Suns  not  too  rarely  in  the  language  of  poetrj-  and  rhetoric.  The  plurality 
of  emperors,  customary  in  Constantinople,  would  have  challenged  unfailingly 
the  court  poets  and  rhetors  to  compare  their  emperors  with  two,  or  e^-en  more, 
suns  just  as  they  were  used  to  compare  the  imperial  couple,  basileus  and  basi- 
lissa,  with  sun  and  moon." 

We  may,  however,  forget  about  those  obvious  comparisons,  and  turn  to 
what  may  be  called  the  original  version  of  Dante's  image  of  the  Two  Suns  of 
Rome, 

Theodoros  Prodromos,  a  well-known  and  indeed  prolific  poet  of  the  Com- 
nenian  age,"  has  written  among  many  other  works  a  great  number  of  poems 
for  John  II  Comnenus  (1118-1143)— epinikia,  epithalamia,  epitaphia,  and, 
following  Byzantine  court  etiquette  and  court  demands,  also  several  poems 
for  the  prokypsis}-  The  prokypsis  was  a  wooden  platform  or  tribune  which, 

*  Livy,  XXIX,  14;  cf.  Pliny,  A'cU.  Hist.  II,  31  f. 
"  Claudian,  hi  Eutropium,  1,  7. 

'"  Examples  of  tlu.«  solar  duality  are  verj-  numerous;  see,  e.g.,  Theodoros  Prodromos  (cf 
next  notch  J'oematu,  1,  6,  ed.  Mai,  I'atrum  nova  bibUotheca  (Rome,  1853),  Vol.  VI,  p.  399: 
ijXtf  Kal  vaprjKu  Svo  Xatiirpoi  ifiottTTrjpt^ 
irarrip  Kal  riicvoy  fiaaiXtis  .  .  . 
XIV,23,ed.  Mai,  p.412: 

'Vutiaiwv  ijXit  Xafi-rpi  .  .  . 

ftcrd  Ttav  •rapTjXUav  aov  twc  oi^atrroKpaTopiov . 

Manuel  Holobolos  (see  below),  II,  14,  ed.  J.  F.  Boissonade,  Anecdota  Graeca  (Paris   1833) 
vol.  V,  p.  161: 

Sn/pifoi  To(i<ri(  roiis  Xa^irpoin  iiXlom  tuv  Kbaovuiv, 

irarkpa  rt  Ka.1  tov  viov  .  .  . 

Theodoros  Hyrtalceno.s,  ed.  Boissonade,  op.  cit.,  I,  p.  258  (last  lines):  'ilivo'iy  r,\Luv  h  SLcu,, 
^ipopovvTiM  ivi  .  .  .  V,i.  Otto  Treitmger,  hie  ostrimiische  Kaiser-  und  Reichsidee  nach  ihrer 
Gestaltung  in,  hofischen  Zeremmuell  (Jena,  1938),  pp.  117  ff;  ibid.,  p.  115,  for  the  comparison 
of  the  emperor  with  Ilelios,  and  of  the  empress  with  Selene,  which  is  very  frequent  indeed. 

"  For  the  literature  on  Prodromos,  see,  in  addition  to  K.  Krumbaclier,  Geschichte  der 
byzanltnischen  Ltteralur  (2d  ed.;  Munich,  1897),  pp.  359  and  passim  ott  Index)  the  very 
complete  bibliography  by  Konrad  Heilig,  "Ostroni  und  da.s  Deutsche  Reich  urn 'die  Mitte 
des  12.  Jahrhunderts,"  m  T.  Mayer,  K.  Heilig,  C.  Erdmann,  Kauertuvt  und  Herzogsyewalt 
tmZettalter  friedriclis  I.  (Schriften  des  Reichsinstituts  fur  ult<,-re  deutsche  Geschiclitskunde 
IX;  Leipzig,  1944),  p.  237,  n,  3.  The  poems  of  Prodromos  referred  to  liere  are  found  in  Mai 
(see  n.  10),  V  ol.  \'I,  pp.  399  ff.,  and  in  the  essay  on  Prodromos  bv  Carl  Neumann,  Griechische 
Gesditchlsschreiber  und  Geschtclitscjuellen  im  zwiilften  Jahrhunderl  (Leipzig,  1888),  pp.  37  ff 

"  For  the  prokypsis,  see  August  Heisenberg,  "Aus  der  Geschichte  und  Literatur  der 
Palaiologenzeit,"  tiUzungxherichte  der  Bayenschen  Akademie,  1920,  Abli.  10,  pp.  85  ff.;  Trei- 
tmger, op.  cit.,  pp.  112  fT.  Tlic  Hellenistic  and  Late  Antique  models  of  the  ceremony  deserve 
further  investigation;  for  some  suggestions  see  M.  A.  Audreeva,  in  Seminarium  Kondako- 
vtanuni,  I  (1927),  157  fT.  (Ru.ssian). 


/I      u .  II 


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Kantorowicz :  Dante's  "Two  Suns"  221 

appropriately  draped  with  tapestries  and  golden  curtains,  was  erected  in  the 
open  to  serve  the  imperial  ceremonial  on  the  two  main  ecclesiastical  feasts, 
Christmas  and  Epiphany  (January  6),  as  well  as  on  a  few  other  occasions,  at 
weddings  in  the  royal  house  or,  in  later  times,  coronations  also.  To  this 
prokypsis  the  majesties  had  to  ascend,  while  the  front  of  the  platform  was 
still  veiled,  by  a  back  step.  When  they  had  arranged  themselves  on  the  trib- 
une, the  curtains  were  flung  open:  the  emperors,  now  visible  to  court  and 
army,  who  were  assembled  in  front  of  the  platform,  made  their  "epiphany" 
and  received  the  acclamations  which  were  due  on  that  occasion.  It  was  prob- 
ably after  those  acclamations  that  a  court  poet  or  orator  had  to  address  the 
emperor.  The  speaker  was  expected,  as  it  were,  to  interpret  the  meaning  of  this 
highly  dramatic  pageantry  by  putting  it  into  some  relation  with  the  festal 
event.  It  was  almost  traditional  that  those  poems  alluded  to  the  emperor  as 
the  Helios  basileus,  the  Sun-Emperor,  who  like  the  rising  sun  had  risen  on  the 
prokypsis.  In  a  more  or  less  skillful  fashion  the  poet  would  try  also  to  parallel 
the  imperial  epiphany  with  that  of  Christ:  on  Christmas,  with  the  epiphany 
in  the  flesh  in  the  cave-stable  of  Bethlehem ;  and  on  Epiphany,  with  that  in  the 
baptismal  waters  of  the  Jordan. 

One  of  those  prokypsis  poems  of  Theodoros  Prodromos  for  the  "Feast  of 
Lights,"  as  Byzantium  called  the  Epiphany,  is  devoted,  almost  in  its  entirety, 
to  the  theme  of  the  Two  Suns." 

Light  up,  Rhomaean  City!  And  once  more:  Light  up. 

Bask  in  the  double  beams  of  your  Two  Suns. 

You  have  the  Sun  of  Justice,  here,  the  Father's 

Reflected  splendour,  naked  in  the  Jordan. 

And,  there,  you  have  the  Sun  of  Monarchy, 

The  Father's  vicar,  shining  in  the  palace. 

Oh,  what  Ughts  flood  on  thee  today.  City  of  Rome! 

What  beams  shoot  down  on  this  earth's  face! 

In  this  manner  Prodromos  carries  through  his  comparison  between  the  Two 
Suns,  one  divine  and  the  other  imperial.  The  city,  of  course,  is  not  that  Rome 
on  the  Tiber  which  the  Byzantines  have  learnt  to  despise  and  hate,  but  the 
New  Rome,  the  Second  Rome  on  the  Bosphorus.  This  other  Rome  owns  Two 
Suns— not  emperor  and  pope,  of  course,  nor  even  emperor  and  patriarch  of 
Constantinople;  but  Christ  himself,  the  Sun  of  Justice  ("HXios  rfjs  hiKaiocbv^^), 
'^  Poem  XVIII,  ed.  Mai,  p.  413: 

*wTifoi;  T6Xts  IxjinaU,  -wiXiv  ipu  iponl^ov 

iiT\aXs  airya^ov  ralj  oiryaij  kn  Sim  tSiv  riXiwv 

<ix*'S  iKtidtv  riXiov  Tov  rijs  SiKaioaOyris, 

rd  Tov  Tarpos  iiiravyaona  yviiviv  iv  'lopbavji- 

ixm  ii/Ttv6tv  riXiov  tov  Trjs  fioyoKpariai, 

t6v  Toil  -raTpos  bidSoxov  XafiTpdy  tv  avaiCTdpois' 

01  rdaa  ipuTa  ajifitpoy  Tr)v  'yoipTjv  tppvKT(iipovaii>- 

01  rSaai  Td  repiytiov  iKTivti  SqLSovxovaiv 

dXX    6  XpKTTOS  fiiv  TJXlOS  Kal  toitjtijs  ijXiov 

ffi  S    IjXiov  tA  rpayp.ara,  axTjxToCxt,  fiapTvpovcty  .  .  . 
The  Light  and  Sun  symbolism  is  dominant  in  the  liturgies  of  practically  all  churches  on  the 
least  ot  l^piphany,  particularly  in  the  East<.Tn  churches;  see,  e.g.,  P.  Hendrix   "La  Ffite  de 
.    P'P.,fo"o?'  ^r^,"",^/^  d'Histmre  du  Christianisme:  JubiU  Alfred  Loisy  (Paris' and  Amster- 
dam, 1928),  Vol.  II,  pp.  213  ff ,  226  fT.;  Treitinger,  op.  cit,  p.  117,  n.  350. 


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222 


University  of  California  Publications  in  Semitic  Philology 


is  the  city's  great  luminary  together  with  the  emperor.  To  raise  the  question  of 
"supremacy"  would  be  ridiculous,  since  one  is  man,  the  other  God.  Still,  the 
emperor-sun  rises  "together"  with  the  Sun  of  Justice  because  he,  the  emperor, 
is  the  recognized  christomimetes — the  imitator,  even  impersonator,  of  Christ — 
whom  the  Byzantines,  in  view  of  his  share  in  the  world  government,  would 
go  far  to  style  their  "second  God"  (devrtpos  6e6s).'* 

The  emperor  a  "Sun"  as  the  mimeles  of  Christ:  this  is  the  leading  idea  which 
yet  another  Byzantine  poet  has  developed.  Manuel  Holobolos,'*  a  thirteenth- 
century  court  poet  serving  under  the  first  Palaeologan  emperors,  Michael  VIII 
and  Andronikos  II,  likewise  compares  his  Helios  basilcus  with  Helios-Christ. 
He  wonders,  when  comparing  the  Two  Suns  with  each  other,  how  the  divine 
Sun  of  Justice  found  space  in  the  "narrow  disk"  of  the  cave  of  Bethlehem, 
and  how  the  huge  imperial  Sun  could  be  encompa.ssed  by  the  small  wooden 
scaffold  of  the  prokypsis.  But  he  is  quick  to  explain  this  "miracle"  by  empha- 
sizing that  the  emperor,  after  all,  was  the  perfect  mimctes  of  Christ.'* 

This,  however,  is  only  one  aspect  of  the  emperor's  Sun-likeness.  For  the 
Byzantine  basileus  is  "Sun"  not  only  becau.se  he  imitates,  impersonates,  and 
stages  Christ.  This,  to  be  sure,  was  the  Christian  version  by  which  the  imperial 
Sun-rulership  was  made  more  palatable  to  an  age  which  rarely — except  in  the 
paganizing  circles  of  rhetoric  schools — was  conscious  of  the  pagan  origin  and 
substratum  surviving  in  this  solar  ruler-worship.  For  in  fact  the  emperor  was 
also  "Sun"  in  his  own  right  ever  since  the  times  of  Constantine,  in  whom  a  far 
older  Roman  tradition  came  to  end.'^  Theodoros  Prodromo*!,  in  a  poem  to 
Emperor  Manuel  I,  actually  strikes  tiie  right  chord  when  he,  too,  hints  at  the 
emperor's  christomimcsis  and  at  his  theophoric  name  (Manuel  =  Immanuel), 
but  adds :  ^^^^^^  ^^^  Christos,  I  dare  style  Phoibos  too." 


'*  For  the  concept  of  /it^njais  (Bfotiifiijm^,  xP'^^o/iJ/iTjiTis),  see  the  material  collected  by 
Michaelis,  s.v.  ^i/iioMoi,  in  Gerhard  Kittel,  Theoloyisrhes  Worterhuch  zum  Xeuen  Testament, 
Vol.  IV  (1(138),  pp.  661-078,  esp.  p.  C66,  n.  8,  in  connection  with  the  ruler  cult.  For  the 
Hellenistic  period,  see  Erwin  11.  Goodenough,  "The  Political  Philosophy  of  Hellenistic 
Kingship,"  Yale  Classical  Studies,  Vol.  I  (1921)),  pp.  55  fF.,  and  for  the  Constantinian  age, 
N.  11.  Baj'nes,  "Eusebius  and  the  Christian  Emp\n\" Melanges Bidez  (Annuaire  de  I'lnslitut 
de  Philologie  et  d'Histoire  Orientales,  Vol.  II;  1034),  pp.  13-18.  For  the  einpi'ror  as  SfOrtpos 
Seos,  see  Ma.v  Bachmann,  Die  Rede  des  Johannes  Syropulos  an  den  Kaiser  Isaak  II.  Angelas 
(Munich  Diss.,  1935),  p.  11,  line  15,  who  adduces  more  material;  for  the  problem  in  general, 
H.  Volknmnn,  "Der  Zweite  nach  dem  K()nig,"  Fhilologus,  XCII  (1937),  285  ff.;  F.  J. 
Dolger,  Antike  und  Christenlum,  Vol.  Ill  (1933),  p.  121;  and  for  the  early  connection  with 
the  Sun-God,  Reitzenstcin,  I'oimandres  (Leipzig,  1904),  pp.  278  ff. 

"  M.  Treu,  ".Manuel  Ilolobolos,"  Byzantinische  Zeitschrifl,  V  (1896),  538  ff.;  Heisenberg, 
op.  rit.,  pp.  112  ff.,  who  discusses  all  the  prokypsis  poems  of  Ilolobolos  as  edited  by  Bois- 
sonade,  op.  rit..  Vol.  V,  pp.  159  ff. 

»•  Compare  ilolobolos,  II,  16-18,  with  IV,  1-3;  Boissonade,  pp.  161,  163.  The  distinction 
between  the  "Sun-Gods"  and  their  disks  is  interesting;  see  Ix'low,  n.  32.  The  "contraction 

/t  of  the  sun"  to  a  size  fitting  in  a  narrow  space  was  a  very  popular  lopos.  See,  e.g.,  Ephrem, 
Hymnus  in  Epiphaniam,  II,  9,  ed.  Lamy,  I,  p.  16:  ".  .  .  celebret  Solem  nostrum  [i.e.,  Chri.s- 
tum]  quod  eousque  suam  contraxit  amplitudinem  vehement iamque  temperavit,  ut  po.s.s«!t 
internus  animae  purae  oculus  eurn  aspicere."  See  also  Usener,  Weihnarhtsfcst  (below,  n.  44), 
pp.  365  f. 

"  Treitinger,  op.  rit.,  pp.  119  f.,  has  outlined  very  clearly  the  pagan  as  well  as  the  Chris- 
tian strata  of  the  imperial  Sun-rulership. 

**  rolyap  toX^w  at  top  XpLffrdv  Kal  'i>oi^ov  ovofxaaai' 

at)  yap  is  xPi'^'OM^M'!'''"  xpiaruvvpiO^  vwdpxfit. 
Neumann  (above,  n.  11 ),  p.  ()7,  lines  70  f. ;  Ilcilig,  op.  rit.,  p.  247,  emends  70170^  (for  oO  yap). 
What  matters  here  is  only  the  comparison  of  the  emiK-ror  with  both  Christ  and  .\i)ollo  in 
one  verse. 


II    II    J    o 

U    U    L     O 


Kantorowicz :  Dante's  "Two  Suns"  223 

We  realize  that  the  emperor  is  "Sun"  as  the  Christ-imitating  prince,  but  that 
he  is  another  Phoibos  as  well,  a  Sun-God  independent  of  the  Christian  God. 
The  verse  reflects,  even  in  that  late  period,  the  essence  of  the  earlier  and  origi- 
nal triangle  of  Emperor,  Christ,  and  Sol  invidus.  It  conjures  up,  once  more, 
that  competition  of  "Suns"  so  fateful  in  the  critical  century  of  transition.  That 
Christ  and  emperor  could  appear  to  the  Byzantines  as  "Two  Suns"  becomes 
plausible  once  we  recall  that  both  could  claim,  independently  and  yet  inter- 
dependently,  a  solar  character,  and  that  each  was  the  central  figure  of  a  solar 
theology. 

The  Roman-imperial  solar  theology,  such  as  it  began  to  develop  in  the  first 
century  h.c,  has  too  many  facets  to  allow  an  unambiguous  definition.  The 
borderline  between  comparison  and  identity  of  a  ruler  with  the  Sun-God— or 
with  any  other  deity— was  never  clearly  drawn.  In  fact,  full  identity  of  the 
ruler  with  the  god  would  almost  rule  out  the  possibility  of  "duplication."  The 
main  idea  which  could  lead  to  a  gemination  of  the  celestial  body  was  that  the 
emperor  represented  a  "new  Sun,"  a  i^kos  "HXws,  a  Sol  novus.'^  The  Asiatics 
honoring  Caligula  must  have  had  some  gemination  of  the  Sun  in  mind  when 
they  declared  in  an  inscription : 


The  new  Sun,  Gaius  Caesar  Augustus  Germanicus, 
together  (with  Helios)." 


shall  with  his  own  rays  radiate 


The  verb  "to  radiate  together"  (<rwava\aixirHv)  indeed  would  suggest  the  idea 
of  a  second  sun;  and  the  fact  that  Caligula  shines  "with  his  own  rays"  (iSiais 
avyah)  makes  it  rather  obvious  that  the  imperial  "new  Sun"  is  at  the  same  time 
credited  to  be  a  second  sun  beside,  or  even  competing  with,  the  heavenly  disk. 
A  similar  idea  is  expressed  by  the  distichs  in  which  the  island  of  Rhodes 
declares : 

I,  Rhodes,  once  the  island  of  Helios,  am  now  Caesar's, 

And  I  boast  of  equal  light  from  each. 

I  was  near  extinguished  when  a  new  ray  gave  light  to  me, 

Helios,  and  aside  thy  brilliance  shone  Nero." 

'»  For  the  designation  of  a  ruler  as  a  "new"  god  (Dionysos,  Helios,  etc.),  whereby  com- 
parison and  Identification  remain  fluctuating  notions,  see  A.  D.  Nock,  "Notes  on  Ruler- 
Cult,  Journal  of  Hellenic  Studies,  XLVIII  (1028),  33  ff.  For  Christ  as  "sol  novus"  see 
Ambrosius,  Senno  VI,  Migne,  I'atr.  Lai.,  Vol.  XVH,  cols.  635  ff 

2..  Ditt^-nberger,  Sylloge  Inner.  Graec.,  3d  ed.,  1917,  No.  798  (2d  ed.,  No.  365)-  6  vto, 

I  atos   Kaiaap  ^ffaaros  TtpnaviKot  .  .  .  avpafaXan^l^ai  rats  iiiai,  avyaU.  Cf.  F.  Sauter    Der 

IWt%i'  i^'ff^'"/'  tnVK"'"''/;,""'  ^^"'/"'  (T"'"nK»T  Beitnige  zur  Altertumswis.sc.nschaft, 
llett  ^1,  btuttgart,  1934),  p.  141;  see,  for  related  expres-sions,  Papyri  Osloenses,  Fasc    HI 

m.-/l^^'™,oS'''A!"""'''''"  ^^H"'  •'•^^«>'  ^''-  126.  4,  and  p.  188;  also  No.  52,  18,  Fasc.  U 
^  '  P.  t>  ■,    .    •  sun  metaphors  were  applied  al.so  to  high  officers.  The  praetor  Brutus 

r.*lf  T       .     ^''"'  i""''T:-„ **'>'•.'.  7,  24).  Later,  an  epigram  from  Gortvn  celebrates 

"  Anlhologia  Palulimi,  IX,  178  (Antiphilus  of  Byzantium): 
"S2  xopos  'AeX(ou,  vvv  Kalaapoi  d  'P66os  (l)il 

vdaos,  Xcrov  S'  a^xw  <piyyoi  ir'  iinifiortpuiv. 
fiiri  aiifvvvfikvav  fit  via  KarofoiTiatv  AktU, 
"AXit,  Kal  irapa  adv  <piyyoi  €\afi\pe  Nepwv. 

foslJ^udw.n'fiii  f"-  'i-  L'Orange,  "Domus  aurea-Der  Sonnenpalast,"  Serta  Eitremiana 
(Uslo,  1942)  pp.  69  f  whose  thesis  of  Nero's  Sun-emperorshii),  however,  seems  to  Ix-  carried 
eths^r.',  Vil(iy47)'  Se'ff  ""'^■'-Apotheosis  in  Ancient  Rome,"  Xumismatic  Chronicle, 


"  1 

VA  I  0% 


^T 


U     U     L     U 


224 


University  of  California  Publications  in  Semitic  Philology 


The  imperial  neos  Helios  has  doubled  the  sun:  Helios  and  Nero  shine  together 
on  the  human  race,  just  as  Caligula  emanating  his  owti  beams  doubled  the 
brilliance  of  the  natural  sun.^^ 

That  the  conception  of  the  ruler  as  a  "new  Sun"  was  not  of  Roman  origin 
may  be  taken  for  granted.  The  whole  compound  of  solar  ideas  originated  in 
the  Near  East.  One  might  be  inclined  to  consider  Pharaonic  tradition,  since 
the  rulers  of  Egypt  were  consistently  identified  with  Ro'  and  praised  without 
end  as  the  Sun  of  Egypt : 

(Turn)  thy  face  unto  me,  thou  rising  Sun, 

That  illumincth  the  Two  Lands  with  its  beauty! 

Thou  Sun  of  mankind,  that  banisheth  the  dark  from  Egypt, 

Thou  art  like  thy  father  Re',  who  ariseth  in  the  firmament." 

However,  the  very  identity  of  the  Egyptian  king  with  the  Sun  makes  a 
doubling  as  expressed  in  the  cult  of  the  Roman  emperors  less  likely,  although 
there  is  much  fluctuation,  also  in  Egypt,  in  the  relationship  of  ruler  and  god- 
head.^" 

Perhaps  it  will  be  more  profitable  to  think,  in  the  first  place,  of  Persia, 
whose  model  has  so  decisively  influenced  the  Hellenistic  as  well  as  the  imperial 
solar  theology  in  its  formative  period.  If  we  may  believe  Pseudo-Callisthenes, 
the  Achaemenid  kings  already  displayed  that  official  title  which  later  the 
Sassanids  adopted:  6  'll\i(^  awavaTtWuv,  "The  one  rising  together  with 
Helios.""  Again  it  is  the  "together,"  the  simultaneous  rising  of  Helios  and 
King,  which  evokes  the  impression  of  a  duplication  of  the  sun.  And  inci- 
dentally we  find  that  very  phrase  in  a  Roman  poem.  When  greeting  Domitian 
on  the  day  of  his  new  consulate,  at  the  beginning  of  the  new  year,  Statius 
exclaims : 

Atque  oritur  cum  sole  novo,  cum  grandibus  astris  .  .  . 

(And  he  rises  together  with  the  new  sun,  with  the  great  stars  . . .) 

Statius'  phrase  oritur  cum  sole  matches  verbatim  the  'IlXiw  avpavaTtWuv  of  the 
Persian  title.  And  in  Statius  we  find  also  that  element  of  competition  between 
imperial  and  physical  sun  which  later  became  so  momentous:  Clarius  ipse 
nilens — he,  the  emperor,  shines  clearer  and  brighter  than  the  sun  and  the 
heavenly  bodies.''* 

"  See  below,  n.  40,  for  the  survival  of  those  idea.s,  and  above,  n.  19,  for  the  neos  Helios. 

"  Cf.  Ivan  Engnell,  Studies  in  Divine  Kingship  in  the  Ancient  Sear  East  (Uppsala,  1943), 
p.  6;  and  in  general,  Jules  Baillet,  Le  Rigime  pharaonique  (Paris,  1912),  V^ol.  I,  pp.  13  ff.,  and 
passim. 

'^  Baillet,  op.  cit.,  Vol.  I,  p.  15,  4,  seems  to  think  of  'Two  Suns."  A  certain  "duplication" 
(King  and  Amnion)  is  certainly  intended  by  the  statues  of  Thutmo.se  III,  at  Medinet  Habu 
and  Karnak,  where  king  and  god  appear  as  synthronoi;  cf.  Uvo  Holscher,  The  Excavations  of 
the  Eighteenth  Dynasty:  The  Excavations  of  Medinet  Habu,  II  (Chicago,  1939),  PL  III,  facing 
p.  12,  and  figs.  43,  44,  on  page  51. 

2"  Historia  Alexandri  Magni,  ed.  W.  Kroll  (Berlin,  1926),  I,  36,  2  (p.  40),  also  I.  38,  2-3, 
and  40,  2  (pp.  42,  45).  The  title  seems  to  be  authentic,  since  Antiochus  of  Commagcne  uses 
similar  titles  (synthronos  of  Mithras).  For  the  Sa.s.sanid8  (Chosroe  II),  see  Theophylact 
Simokattes,  Hist.  IV,  8,  5;  Carl  Clemen,  Griechische  und  lateinische  Xachrichlen  iiher  die 
persische  Religion  (Religionsgeschichtliche  Versuehc  und  Wirarbeiten,  XVII:  1;  Giessen, 
1920),  p.  193;  also  Arthur  Christensen,  U Empire  des  Sassanides  (Copenhagen,  1907),  p.  88. 

"  Statius,  Silvae,  IV,  1,3-4;  Saut«r,  op.  cit.,  p.  139. 


u   u   u      / 


Kantoromcz:  Dante's  "Two  Suns" 


225 


The  idea  of  a  duplication  of  the  sun  has  been  expressed  in  the  Roman 
Empire  in  various  forms,  though  usually  more  by  implication  than  explicitly. 
Imperial-divine  geminations  were  anything  but  rare  in  the  Empire,  since  the 
emperor  could  become  the  impersonator  of  any  deity,  and  vice  versa.^'  Just 
as  Juppiter  or  Mars  was  hailed  as  "Augustus"  of  the  Romans,^^  so  did  the 
Sun-God  become  "Lord  of  the  Roman  Empire":  SOL  DOMINUS  IMPERII 
ROMANI  appears  on  coins  of  Aurelian,  who  for  himself  chose  the  style 
DEUS  ET  DOMINUS  (NATUS)."  This  would  imply  that  indeed  there 
were  two  domini  of  the  Empire,  Sol  and  Aurelian. 

Further,  we  may  think  of  that  very  broad  idea  of  the  Sun-God  as  the  em- 
peror's companion.'"  SOL  INVICTUS  COMES  AUGUSTI  seems  very  close 
to  "duplication,"  especially  when  we  consider  the  coins  displaying  the  jugate 
busts  of  Emperor  and  Sol;  for  on  those  coins  the  similarity  of  the  features  of 
emperor  and  god  is  such  that  in  fact  "twinship"  seems  to  be  aspired.''  It  is 
as  though  a  biga  of  suns  was  to  protect  the  empire."  This  concept  did  not 
exclude  an  element  of  competition.  Already  in  Statius'  verses  we  noticed  the 
trend  to  exalt  the  imperial  sun  over  the  physical;  and  the  coins  inscribed 
ORIENS  AUGUSTI  or  CLARITAS  AUGUSTI  apparently  reflect  ideas 
which  would  hallow  the  "Rise"  and  the  "Brightness"  of  the  sun  as  exclusively 
imperial  monopolies." 

It  is  remarkable  that  those  ideologies  and  solar  theologumena  do  not  break 
off  with  the  introduction  of  Christianity.  To  Eusebius  the  Christian  emperor 
Constantine  still  is  the  one  "rising  together  with  the  Sun"  (6  "HXt<^  awava- 
reWwv)  f^  and  the  image  of  the  two  suns — imperial  and  physical — will  con- 
tinue to  be  used  by  the  Byzantine  court  poets  and  orators.  Corippus,  in  his 
panegyric  on  the  accession  of  Justin  II  (565),  produces  in  some  detail  his 
arguments  for  twin  suns  with  which  the  Roman  capital  was  blessed.  When 

='  Usener,  "Zwillingsbildung,"  Kleine Schriften,  IV  (1913),  pp.  334  ff.;  A.  D.  Nock,  "The  Em- 
peror's Divine  Comes,"  Journal  of  Roman  Studies,  XXXVII  (1947),  102  ff.,  e.specially 
p.  108,  with  n.  56;  E.  Kantorowicz,  "The  Quinity  of  Winchester,"  Art  Bulletin,  XXIX  (1947), 
ol  n, 

^  For  the  gods  as  emperors  see  Nock,  "Studies  in  the  Graeco-Roman  Beliefs  of  the  Em- 
pire,'your«o/  of  Hellenic  Studies,  XL\  (1925),  84  ff.,  esp.  p.  93.  The  archaeological  material- 
gods  in  the  uniform  of  emperors,  even  including  Christ— would  probably  yield  further  inter- 
esting aspects  of  the  problem. 

"  For  Aurelian  see  Mattingly  and  Sydenham,  The  Roman  Imperial  Coinage,  V:  1  (1927) 
pp.  258  f.,  cf.  p.  301,  and  PI.  VII,  110,  112;  .see  al.so  Kantorowicz,  "The  Quinity  of  Win- 
chester," p.  82,  n.  56. 

^'o  See,  for  tliat  whole  idea,  Nock,  "The  Emperor's  Divine  Comes,"  pp.  102-116.  Alfoldi, 
The  Conversion  of  Constantine  and  Pagan  Rome  (Oxford,  1948),  p.  59,  understands  the  cotne's 
Augusti  merely  as  "the  lackey  of  the  Emperor."  See  Nock,  p.  103,  against  this  interpretation 
in  the  sense  of  subordination  of  the  comes. 

"  See  Kantorowicz,  op.  cit.,  figs.  27-29;  Panegyrici  Laiini,  VII,  21,  ed.  Baehrens,  p.  177,  15 
(to  Constantine):  "vidisti  teque  in  illius  (sc.  Solis  comitantis)  six'cie  recognovisti." 

'2  Nock,  "Comes,"  p.  114,  n.  108,  directs  attt'ntion  to  the  fact  that  occasionally  a  distinc- 
tion is  made  between  the  disk  of  the  visible  sun  and  HeUos,  or  Apollo.  Perhaps  one  should 
add  Tertullian,  Apolog.  XVI,  10:  "habentes  ipsum  (i.e.  solem  =  Christum)  ubique  in  suo 
clypeo."  Al.so  Ovid,  Met.  XV,  192,  seems  to  take  the  disk  as  the  shield  of  Phoebus  ("Ipsc^ 
(sc.  Phoebi]  dei  clipeus  terra  cum  tollitur  una  Mane  rulwt").  See,  further,  Corippus,  below, 
n.  3'7;  Holobolos  (above,  n.  10),  II,  17,  and  IV,  2,  ed.  Boissonade,  Vol.  V,  pp.  161,  163.  Both 
Christ  and  emperor,  as  Helioi,  seem  to  be  tlistinguished  from  the  disk  belonging  to  them 
(which  is  not^  identical  with  the  physical  sun). 

''  I  shall  discu.ss  these  coins  in  another  connection. 

"  Eusebius,  Vita  Const.  I,  43,  ed.  Ileikel,  p.  28,  11. 


U    U    J    u 


226  University  of  California  Publications  in  Semitic  Philology 

describing  the  emperor's  elevation  on  the  buckler  he  avails  himself  of  the  fa- 
miliar sun  metaphors.  Four  selected  young  men,  writes  Corippus,"  lift  the 
"tremendous  disk  of  the  shield,"  and  standing  on  it  the  Emperor  Justin  be- 
comes manifest : 

.  .  .  Now  he  is  present,  the  greatest  benefactor  of  the  common  world,  to  whom  kings  bend 
their  necks  in  subjection,  before  whose  name  they  tremble,  and  whose  divinity  they  worship. 
There  he  stands  on  that  disk,  the  most  powerful  prince,  having  the  looks  of  the  Sun.  Yet 
another  light  shines  forth  from  the  city.  This  day  is  truly  a  marvel,  for  it  allows  Two  Suns 
to  rise  together  at  the  same  time.  Or  did  my  song  carry  mu  beyond  its  proper  bounds?  Per- 
haps it  puzzles  you  that  I  say  Two  Suns  are  rising  together  and  at  once.  But  those  are  not 
empty  words.  The  mind  of  the  Just  [sc.  Justin]  resplends  more  than  the  sun.  It  docs  not 
merge  into  the  ocean;  it  does  not  yield  to  darkness;  nor  is  it  obscured  by  a  black  shadow. 

This  is  not  the  place  to  give  any  detailed  analysis  of  Corippus'  lines.  The 
elevation  on  the  buckler  appears  to  the  poet  as  the  epiphany  of  the  Euergctes.^^ 
On  his  huge  disk  the  emperor  rises  like  another  sun;  he  appears,  like  the  mysles 
in  the  cults,  ad  instar  Solis}''  The  spiritualization  of  the  sun  as  the  "mind  of 
the  Just"  has  its  long  tradition,'*  and  the  metaphors  adduced  to  evidence  the 
superiority  of  that  new  "Sun  of  Virtue"  over  the  physical  sun  are  derived, 
almost  verbatim,  from  the  language  of  Christian  writers."  What  matters  here 
is  only  the  image  of  the  Two  Suns,  the  physical  sun  and  the  imperial.  This 
image  lingers  on  in  the  Byzantine  court  language  until  it  loses  all  its  substance. 
An  epinikion  of  Theodoros  Prodromos  for  John  II  Comnenus  may  illustrate 
this  style. 

"  Corippus,  In  laudem  lustini,  II,  145  ff.,  ed.  Partsch,  in  Mm.  Germ.  Hist.,  Auct.  ant.  Ill, 
p.  loUl 

.  .  .  nunc  maximus  orbis 

communis  benefactor  adest,  cui  subdita  reges 

coUa  parant,  nomenque  tremunt  et  numen  adorant. 

adstitit  in  clipeo  princeps  fortissimus  illo 

soils  habens  speciem.  Lux  altera  fulsit  ab  urbe. 

Mirata  est  pariter  geminos  consurgere  soles 

una  favcns  cademque  dies.  Mea  carmina  nunme 

mensuram  transgressa  suam?  niirabere  forsan 

quod  dixi  geminos  pariter  consurgere  soles. 

Nee  vacuis  verbis  nee  inanibus  ista  figuris 

ore  feres  prolata  meo,  si  dicta  rependis. 

Mens  iusti  plus  sole  nitet.  Non  mergitur  undis, 

Non  cedit  tenebris,  non  fusca  obtexitur  umbra. 

Lux  operum  aeterno  lucet  splendore  bonorum. 
Cf.  J.  A.  Straub,  Vom  Herrscherideal  der  Spatantike  (Forschungen  zur  Kirchen-  und  Geistes- 
gcschichte,  Vol.  XVIII;  Stuttgart,  193!)),  p.  134;  see  also  L'Orange,  "Domus  aurea"  (above 
n.  21),  p.  70. 

»•  The  formula  nuno-adest  is  typical  for  the  epiphany  in  an  almost  liturgical  sense.  For 
the  benefactor-tbtpyiTTji  title  in  the  ruler  cult,  see,  for  the  earlier  times,  Eiliv  Skard,  Zwei 
rehgtos-politische  Begriffe  eueroetes-concokdia  (.\vhandlinger  Norske  Videnskaps- 
Akademi,  Oslo,  1931 :  2;  1932),  pp.  6-66;  for  the  Roman  period,  I^>o  Bcrhnger,  Beitrage  zur 
inoffiziellen  Tilulatur  der  romischen  Kaiser  (Breslau  Diss.,  1935),  pp.  49,  67,  77. 

"  The  ingens  clipei  orbis  (line  137),  the  size  of  which  may  be  gathered 'from  Byzantine 
mmiatures,  is  quasi  the  di.sk  of  the  sun  (rlipeus  solis)  on  which  the  emperor  solis  habens 
speciem  rises.  Cf.  Apuleius,  Met.  XI,  24,  where  Lucius  is  presented  to  the  people  as  another 
sun. 

'^  See,  e.g.,  for  the  sunlikc  rise  of  virtue  in  man's  soul,  Philo,  Legum  alleg.  I,  45,  ed.  Cohn 
I,  p.  72,  quoted  by  F.  J.  Dolgcr,  Sol  Salutis  (2d  ed.;  Miinster,  1925),  p.  150,  n.  2;  see  aLso 
Nock,  "Comes,"  p.  114,  n.  8. 

"  See  below,  n.  47  (Maximus  of  Turin),  also  n.  45  ("Sun  without  setting"). 


/   /       11        J 

U     U     J 


Kantorowicz :  Dante's  "Two  Suns"  227 

Sun-Basileus  divine,  bringer  of  light  and  radiance, 

Thou  hidest  the  sun,  thou  shinest  ujwn  t  he  morning  earth. 

Thou  art  to  rise  henceforth  and  beam  the  rays  from  heaven. 

Thou  puttest  the  ea-st  to  flame,  lustrest  the  eve. 

Thy  mock-sun  is  the  other  sun  rising  as  thy  companion." 

There  is  still  the  old  duality  of  suns.  But  the  emperor  has  outshone  Helios, 
and  the  physical  sun  serves  only  as  the  parhelion  of  the  true  luminary  the 
emperor.  ' 

The  twinship  of  emperor  and  physical  sun,  or  of  emperor  and  Phoibos 
though  surviving  in  the  rhetorical  flowers  of  the  paganizing  Byzantine  court 
poetry,  had  lost  its  meaning  as  well  as  its  last  touch  of  "reality."  Yet,  the  old 
symbol  of  the  Two  Suns  regained,  and  retained,  some  of  its  former  values 
whenever  the  outworn  pagan  image  was  replaced  by  the  new  symbol-values 
of  Christian  thought.  Already  Corippus  strikes  that  note.  It  was  probably 
nothing  but  a  play  with  the  name  of  Justin  which  prompted  Corippus  to  inter- 
pret his  imperial  luminary  as  the  "mind  of  the  Just."  However,  since  his  main 
arguments  for  the  superior  power  of  the  "inner"  Sun,  the  "Sun  of  the  Just  " 
are  borrowed  directly  from  the  ecclesiastical,  or  even  liturgical  language,  it 
may  well  be  that  the  imperial  Sol  Jusli  was  expected  to  evoke  associations  with 
the  divine  Sol  Justitiae,  which  was  Christ. 

The  designations  of  Sol  Justitiae  (Malachi,  4:  2)  and  of  Oriens  (Luke,  1 :  78; 
cf.  Zach.  3:  8,  G:  12)  form  the  basis  of  the  solar  veneration  and  solar  theology 
which  were  rampant  in  the  cult  of  Christ."'  They  appear  from  the  earliest 
times  of  the  Christian  era,  and  they  were  perpetuated  above  all  in  the  Eastern 
liturgies,  but  are  almost  as  frequently  found  in  the  Western  service. 

O  Oriens, 

splendor  lucis  aeternae, 

et  sol  iustitiae, 

is  the  beginning  of  one  of  the  0-Antiphones  in  the  Advent  office  of  the  present 
Roman  breviary,  and  similar  examples  could  be  adduced  in  great  numbers. 
That  the  new  spiritual  Sun  was  without  competition  and  that  from  the  very 
beginning  this  divine  light  eclipsed  the  natural  sun  was,  of  course,  the  common 
and  current  interpretation  on  the  part  of  the  Church.  "He,  the  only  Sun,  has 
risen  from  on  high,"  writes  (with  Luke,  1 :  78)  Melito  of  Sardes  in  the  times  of 
Marcus  Aurelius."'  "Pie  will  rise  above  the  sun,"  writes  Justin  Martyr.«  He, 
*"  Prodromos,  X,  121  fT.,  ed.  Mai,  p.  409: 

HXie  6fit  ^atriXfi)  ipuaipopf  at\aa(p6p(, 

AiTficpu^ai  t6v  iiXiov,  X(i>i^as  «s  yrjv  iuav 

ail  yovD  Xoiirov  di/artXXt,  aii  yovv  clktivo^oXu, 

Tr)i>  lo)  Karawvpafve  S^Sovxt  xiix  iawipav, 

K^KtXvoS  (is   TTOpijXlOJ   ooi   WapaVaTfWfTU. 

A  similar  idea  in  Holobolos,  I,  1-4,  cd.  Boissonadc,  p.  159,  where  the  physical  sun  blinded 
h^nn  ^fT"'  "f  the  "suig  imperial  sun  flees  to  the  West.  Scores  of  similar  colo^es  could 
be  collected;  see  Treitingcjr,  Die  oslromuche  Kaiser-  und  Reichsidee,  pp   115  ff 

der  /Xai^^/Smn'^Kloi?).''"'  ''"' ''"'"'"'  ^  "'^^  *"  ""''  ""^  ''^""^  '^  Gerechtigkeit  urul 
"  Dolger,  SolSalutis,  p.  156,  n.  3. 
"  Ibid.,  p.  153. 


U    U     J    L 


I 


228  University  of  California  Publications  in  Semitic  Philology 

the  "new  Sun,"*''  differing  from  the  natural  sun,  is  the  "Light  without  eve- 
ning" and  the  "Sun  without  setting.""  His  is  the  plenitudo  claritatis,  who  is 
"our  Sun,  the  true  Sun,"  writes  Zeno  of  Verona."  And  in  Maximus  of  Turin 
we  find  the  model  of  Corippus'  arguments;  for,  writes  Maximus,  whereas  the 
"old  sun"  of  the  material  world  suffers  eclipses,  is  excluded  from  the  houses 
by  walls,  is  obscured  by  clouds,  and  lends  its  light  also  to  crimes  and  sins  of 
men,  the  true  Sun  of  Justice  knoweth  none  of  those  deficiencies.  A  concept  of 
Two  Suns,  divine  and  natural,  is  of  course  impossible  in  a  system  in  which  the 
New  Sun  has  quasi-monopolized  the  "Light  of  the  World"  and  owns  the 
plenitvdo  claritatis,  the  plenty,  or  even  the  totality,  of  brightness.*' 

Yet,  there  was  a  time  when  the  Sun  of  Justice  was  in  competition,  not  with 
the  physical  sun,  but  with  the  "unconquered  Sun,"  the  Sol  invictus  of  the 
pagan  religion ;  that  is,  with  the  very  deity  which,  in  its  turn,  so  long  had  been 
the  alter  ego  of  the  Roman  emperors.  It  is  true,  occasionally  a  Christian  poet 
might  identify  the  new  Sun  of  Justice  with  the  pagan  solar  deity:  Salve,  o 
Apollo  vere,  is  the  invocation  by  which  Paulinus  of  Nola  addresses  Christ;*' 
and  this  salute  is  paralleled  by  Sophronius'  Phaeton  Christos.*^  Those  identifi- 
cations with  the  pagan  god  are  relatively  rare,  since  the  true  momentum  of  the 
solar  theology  and  solar  nomenclature  of  Christ  was  that  it  served  as  a  weapon 
against  the  solar  henotheism  of  the  Invictus,  the  emperor's  celestial  double. 
The  history  of  the  final  arrangement  between  the  Two  Suns,  the  Christian 
Sol  Justitiae  and  the  imperialized  Sol  invictus,  has  often  been  traced.'"  The 
emperor,  as  it  were,  changed  his  celestial  patron  and  antitype  by  exchanging 
the  "Unconquered  Sun"  for  the  "Sun  of  Justice."  But  through  this  exchange 
the  ancient  Hellenistic-Roman  solar  theology  had  a  chance  to  survive  in  a 
Christian  garb.  Thus  we  find  in  the  Byzantine  Empire,  beside  the  deflated 
solar  imagery  of  the  paganizing  poets  and  rhetors,  a  well-rounded  tradition  of 

*'  Christ,  the  sol  novus,  as  opposed  to  the  physical  sun,  the  sol  vetus:  Maximus  of  Turin 
(attributed  to  Ambrose),  in  a  Christmas  sermon,  Migne,  Patr.  Lot.,  Vol.  XVII,  cols.  635  f.; 
of.  H.  Usencr,  Das  Weihnachtsfesl  (2d  ed.;  Bonn,  1911),  pp.  366  f.  See  also  Ephrem,  Hymnus 
in  Epiphaniam,  II,  9,  ed.  Lamy,  I,  p.  16:  "sol  iste,  qui  aestu  sue  terram  urit,  nobiscum 
celebret  Solem  nostrum." 

"  For  ^s  iivkaitfpov,  see,  e.g.,  Methodius  (f  312),  Symposium,  XI,  31,  in  W.  Christ  and 
M.  Paranikas,  Anlhologia  Graeca  Carminum  Christianorum  (Leipzig,  1871),  p.  34  (Zufis 
\opafb%,  Xpio-ri,  x"ip<,  <^5  iiviartpov) ;  see,  ibid.,  p.  174,  Cosmas  Mefodus,  Hypapante  Canon, 
lines  86  f.  (a  burden  which  is  four  times  repeated);  also  p.  198,  line  59;  or  p.  256,  for  Metro- 
phanes'  Trinity  Canon,  line  63  ((*ais]  rpiXaftTh  &vi(rxepov).  See  also  the  Hirmos  'Haafas  <pon 
JJciK  ivkairtpov,  which  was  sung,  e.g.,  on  December  24,  January  5,  February  2,  as  well  as  on 
many  other  days;  Menaia,  editio  Romana,  1892,  II,  p.  621,  III,  pp.  80,  483,  etc.  Even  more 
popular  was  the  image  of  Christ  as  iSvroi  "IIXios,  which,  e.g.,  through  Sophronius,  Oratio, 
m  Migne,  Patr.  Gr.,  Vol.  LXXXVII:  3,  col.  4004,  was  pa.ssed  on  to  the  liturgy,  although  the 
image  is  much  older;  see,  e.g.,  Methodius  of  Olympos,  Sympos.  IV,  5,  VI,  5,  VIII,  3,  ed. 
Bonwetsch,  1917,  pp.  51,  21;  09,  22;  84,  24;  see  also  Christ  and  Paranikas,  Anthologia,  pp. 
173,  251,  256,  and  passim:  also  F.  C.  Conybeare,  Rituale  Armenorum  (Oxford,  1905),  pp. 
417  («),  432,  etc.  See  also  F.  J.  Dolger,  "Christus  als  Licht  ohne  Abend,"  Antike  und  Christen- 
tum.  Vol.  V  (1936),  pp.  8  ff. 

"  Zeno,  Tract.  IX,  De  nativitate  Domini  et  majestate,  Migne,  Patr.  Lat.,  Vol.  XI,  col.  417b,  a 
sermon,  recently  analyzed  by  Dolger,  Antike  und  Christentum,  Vol.  VI  (1940),  pp.  1-56 
(not  yet  accessible  to  me). 

"  Migne,  Patr.  Lat.,  Vol.  XVII,  cols.  635  ff.,  esp.  §§3-4;  here  also  (col.  636d)  the  ex- 
pression sol  ju-ttus  et  sapiens  (above,  nn.  35,  39). 

*'  Paulinus  of  Nola,  Carmen  II,  51,  ed.  Hartel,  p.  349. 

«9  Migne,  Patr.  Gr.,  Vol.  LXXXVII:  3,  col.  3760b. 

'"  From  Usener  ("Sol  invictus,"  in:  Das  Weihnarhtsfest,  pp.  348  ff.)  to  Alfoldi,  Conversion 
of  Constantine  (above,  n.  30),  there  is  an  enormous  literature  on  the  subject. 


1 


U    U    J    D 


Kantorowicz:  Dante's  "Two  Suns" 


229 


"Sun-Rulership,"  since  the  imperial  "heliomimetes"  became  a  christomimetes, 
and  therewith  again  the  Hving  twin  image  of  a  Sun,  of  the  "Sun  of  Justice"  in 
heaven."  Nothing  can  be  more  teUing  than  the  fact  that  many  solar  metaphors 
which  henceforth  would  be  applied  to  the  emperor  were  actually  Christian 
coinages  for  Christ,  the  New  Sun.  We  have  noticed  Corippus'  borrowing,  di- 
rectly or  indirectly,  from  Maximus  of  Turin.  And  when  we  read  the  Byzantine 
acclamations  hailing  the  "rise  without  evening  of  the  imperial  power"  or 
praising  the  "inexhaustible  font"  of  the  imperial  Sun,  we  know  that  these 
acclaims  have  transferred  to  the  emperor  colores  which  were  borrowed  from  the 
liturgy  of  the  Church.*^ 

This,  then,  appears  to  be  the  origin  of  the  Byzantine  concept  of  the  Two 
Suns.  They  are  represented  by  Christ  and  the  Emperor,  the  Two  Suns  of  Rome 
on  the  Bosphorus.  And  we  now  may  ask  whether  this  vast  compound  of  ideas 
is  relevant,  in  any  respect,  to  Dante's  image  of  Pope  and  Emperor  as  the  Two 
Suns  of  ancient  Rome  on  the  Tiber.  It  would  be  foolish  to  assert  that  Dante's 
line 

Soleva  Roma,  che  il  buon  mondo  feo, 
due  soli  aver  .  .  . 

depended  directly  on  the  Byzantine  model,  and  even  more  so  to  insist  that 
Dante  consciously  followed  Byzantine  "ideas."  Nevertheless,  we  should  not 
underestimate  the  effectiveness  of  the  original  imperial  Sun-Rulership. 

It  was  the  Reform  Papacy  of  the  eleventh  century  which  created  that  image 
of  the  two  great  luminaries  as  symbols  of  the  two  universal  powers  on  earth: 
the  sun  equaling  the  pope;  the  moon,  the  emperor.  This  new  symbolism  is 
interesting  all  by  itself.  The  creation  of  a  "Sun-Papacy"  falls  in  with  that 
general  trend  of  Church  reform  to  imperialize  the  papal  office,  that  is,  to 
materialize  the  Donation  of  Constantine  to  the  letter,  and  to  claim  imperial 
prerogatives  for  the  Holy  See  to  an  extent  which,  though  known  in  outlines, 
has  not  yet  become  visible  in  all  details.  The  extravagant  claims  of  the  Dictatus 
Papae ;  the  crown  adorning  the  papal  tiara ;  the  imperial  purple  {cappa  rubea) 
as  worn  by  the  pope;  the  imperialized  acclamations  {laudes)  as  sung  to  the 
pope;  the  papal  coronations  and  crown- wearings ;  the  omni-insular  theory 
(that  is,  the  papal  claim  to  overlordship  over  all  islands) ;  the  organization  of  a 
papal  court  after  the  model  of  secular  princes;  the  papal  feudal  lordship  over 
princes,  and  the  papal  claim  to  the  vicariate  of  the  empire  should  an  inter- 
regnum occur;  the  adoption  of  the  imperial  title  vicarius  Christi  or  Dei,  as  well 
as  inummerable  other  items,  are  indicative  of  the  same  general  development : 
the  pope  has  become,   according   to   canonistic   interpretation,    the   verus 

"  This  development  has  been  outlined  very  neatly  by  Treitinger,  op.  cil.,  pp.  117  ff.;  see 
also  A.  Grabar,  L'Empereur  dans  I'art  byzantin  (Paris,  1936),  for  the  general  problem. 
"  Constantine  Porph.,  De  caerimoniis,  I,  78,  ed.  Keiske,  p.  375,  6,  and  ed.  Vogt,  II,  p.  176, 

17  IT. :  .  .  .  iopra^ei  rriv  aiiv  iivkaTrfpov  i.vdXri^'iy  t)Js  abroKpaTopiKiji  i^oixrlas,  6  Stiva,  ri  &.K(Voitov 

ippkap  T^i  oUovukviii.  For  akenolos  a.s  an  epithet  of  Christ,  see  De  caerim.  I,  2,  ed.  Reiske,  p.  40, 
ed.  Vogt,  I,  p.  33,  19.  See  also  Eustathius  of  Thes.saloniche,  Manuelis  Comneni  laudatio 
funebris,  c.  71,  Migne,  I'atr.  Gr.,  Vol.  CXXXV,  eol.  1025b,  who  praises  the  dynasty  as  a 
"sun  without  setting"  (ipuaipopritroi .  .  .  eU  fiiuroc).  AH  thost!  adjectives  have  been  transferred 
from  the  ecclesiastical  cultual  language  to  the  language  of  the  imperial  cult. 


n    1 1    J    u 

u    u    J      I 


I 


> 


230  University  of  California  Publications  in  Semitic  Philology 

im-perator.^^  To  this  concept  of  a  Caesarean  Papacy  we  may  now  add  a  new 
feature:  the  Pope  as  Sun.  Indeed,  the  Roman  Pontiff,  who  as  Vicar  of  Christ 
became  ipso  facto  also  the  antitype  of  the  Sol  Justitiae,  has  entered  as  Helios- 
Pope  on  the  full  legacy  of  the  Roman  emperors. 

For  all  that,  the  original  solar  qualities  of  the  emperor  were  not  quite  for- 
gotten, even  though  the  part  which  in  general  the  idea  of  Sun-Rulership 
played  in  the  West  was  negligible  as  compared  with  that  which  it  played  in 
the  East."  We  have  at  our  disposal  some  evidence  which  is  rather  important 
in  view  of  the  problem  of  the  Two  Suns.  Cardinal  Humbert  of  Silva  Candida, 
the  champion  of  Church  reform  in  the  eleventh  century,  has  rejected,  on  one 
occasion,  the  efforts  of  some  people  who  tried  to  compare  the  emperor  to  the 
sun.  He  declares  that  such  comparisons  were  futile,  since  they  would  lead  the 
people  to  set  a  second  sun,  the  imperial,  over  against  the  papal  sun  so  that 
those  people  in  fact  soli  alterum  solem  apponant,  "place  another  sun  at  the 
side  of  the  sun.""  This  duplication  of  the  sun  could  not  find  the  approval  of 
the  cardinal,  who  just  mentions  it  as  a  curiosity.  He  does  not  tell  us  who  the 
people  were  that  considered  the  emperor  the  "Sun."  However,  Cardinal  Hum- 
bert, this  staunch  fighter  against  the  Byzantines,  cannot  have  been  ignorant 
of  the  fact  that  the  Byzantine  emperor  was  traditionally  called  the  Helios 
basilcus;  and,  on  the  other  hand,  there  must  have  been  some  recollection  of  the 
emperor's  solar  character  even  in  the  West — as  indeed  some  miniatures  would 
suggest,^'— if  the  cardinal  considered  it  worth  his  while  to  pillory  those  styling 
the  emperor  the  "Sun." 

It  must  have  been  from  those  two  sources,  Byzantine  influx  and  Western 
recollection,  that  the  thirteenth  century  experienced  that  rather  baffling  re- 
vival of  imperial-solar  concepts  under  Frederick  II.  In  the  both  apocalyptic 
and  messianic  climate  of  that  age  the  idea  of  the  Sun-Emperor  could  not  easily 
be  separated  from  that  of  the  Savior-Emperor.  In  fact,  Frederick  II  appeared 
as  Sol  in  a  prophecy  from  Tibur."  Also,  a  North  Italian  poet  writes 

Sol  novus  est  ortus,  pax,  gloria,  semita,  portus  .  .  .  , 

a  line  reflecting  the  messianic  atmosphere  hovering  around  that  emperor  and, 

"  The  main  feature.s  of  the  impprialized  papacy  have  been  collected  recent  Iv  bv  Percy 
Ernst  Schramm,  "Sacerdotium  und  Regnum  im  Austausch  ihrer  Vorrechte,"'  Sludi  Gre- 
goriani,  ed.  G.  B.  Borino  (Rome,  1947),  Vol.  II,  pp.  403-457;  see,  for  the  omni-insular  theory, 
Luis  Weckmann,  Las  hulas  alejandrinas  de  1493  y  la  teoria  polUica  del  papado  medieval 
(Mexico,  194!)),  esp.  pp.  209  ff.;  and  in  general  E.  Kantorowicz,  Laudes  regiae  (Berkeley  and 


Koii^flA    IfujUlavKi.*^^  Angeles,  1940),  pp.  136  ff.,  and  passim. 
I  " '     0  >"  ".  See,  in  general,  Franz  Kampers,   V 


'am  Werdegang  der  ahendlandischen  Kaisermystik 


«*A  ttx-gfc  (  kivi\.uy,  (Leipzig  and  Berlin,  1924),  who  has  tried  to  trace,  in  this  as  well  as  in  his  other  writings^  the 
ITT] — TVT"/,   ^..    I     so'a'"A<lea'?  i"  the  Middle  Ages,  though  not  too  successfully.  See  below,  n.  56. 


'V0,fc7^. 


'H^  .  bl  ]  SH<lrj<»Yf,  "  Humbert,  Adversus  simoniacos,  III,  c.  21,  Mon.  Germ.  Hist.,  Libelli  de  lite,  Vol.  I,  p. 
225,  24:  "ut  modo  ei  (sc.  sacerdotali  dignitati)  velut  lunae  solem  saeculares  pot«stat«s 
praeponant,  modo  velut  soli  alterum  solem  apponant,  modo— quod  lanien  rarissime  fit — in 
solo  iiliationis  nomine  velut  filium  patri  supponant."  Dante's  solution,  in  the  last  chapter 
of  the  Monarchia,  comes  very  close  to  the  third  alternative:  "Ilia  igitur  reverentia  Caesar 
utatur  ad  Petrum,  qua  primogenitus  filius  debet  uti  ad  patrem." 

"  See,  e.g..  Otto  Brendel,  "Der  Schild  des  Achilles,"  Die  Antike,  Vol.  XII  (1936),  pi.  15, 
facmg  p.  280. 

"  K.  Hampe,  "Eine  friihe  Verkniipfung  der  WcLssagung  vom  Endkaiser  mit  Friedrich  II. 
und  Konrad  IV.,"  Sitzungsberichte  der  Heidelberger  Akademie,  1917,  Abh.  6,  p.  18,  and,  p.  1 1, 
some  additional  notes  on  solar  veneration. 


/  /    /  /    J    c 

U     U     J     J 


I 


I 


Kantorowicz :  Dante's  "Two  Suns" 


231 


in  its  first  part,  reminiscent  of  Statius.^'  Sol  mundi  is  Frederick  in  the  eyeaof 
a  South  Italian  poet/'  whereas  Manfred,  Frederick's  son,  styles  his  father 
Sol  mundi,  audor  pads,  and  even  Sol  Justitiae.^"  About  the  influence  of  the 
Byzantine  court  style  there  can  be  little  doubt  in  Frederick's  surroundings. 
We  know  the  Greek  panegyrics  written  by  South  Italian  officials,  and  their 
idioms  correspond  with  the  language  of  the  Latin  orators  of  the  Sicilian  court.*' 

This,  however,  was  also  the  air  which  Dante  breathed.  He  may  not  have 
known  the  Byzantine  poetry  of  his  time.  But  he  knew  Statius.  He  knew  Petnis 
de  Vinea  and  his  Letter  Book.  He  knew  most  certainly  the  North  and  South 
Italian  poets  of  his  age.  His  own  letters  were  couched  in  the  style  of  the  im- 
perial chancery  of  Frederick  II  and  of  the  Bolognese.  Little  wonder  that  his 
Savior-Emperor,  the  Luxembourg  Henry  VII,  appears  not  only  as  the  "Lamb 
of  God,  which  taketh  away  the  sin  of  the  world,"  but  also  as  Sol  noster,  as 
the  Titan  exoriens,  or  the  Titan  paciftcns.'^-  It  is  true,  in  the  Monorchia  the 
emperor's  solar  character  is  not  stressed,  and  in  one  of  his  letters  of  that  period, 
in  which  he  avails  himself  of  the  then  current  symbols,  Dante  condescends  to 
give  the  emperor  the  designation  of  "Moon";  for  the  poet  rebukes  the  Floren- 
tines, who  had  assumed  quasi-imperial  rights,  for  having  duplicated  Delia 
(Diana),  whereas  they  did  not  dare  duplicate  also  Delius  (Apollo),  that  is,  the 
Sun-Pope.*'  The  idea  of  a  gemination  of  the  great  luminaries  thus  had  been 
in  Dante's  mind,  if  in  a  negative  sense,  long  before  he  wrote  that  Canto  of  the 
Purgatory  in  which  he  glorifies  former  Rome's  "Two  Suns."  In  those  lines 
he  does  what  Cardinal  Humbert  had  objected  to:  he  sets  another  Sun  at  the 
side  of  the  papal  Sun.  He  actually  reinstates  the  emperor  in  his  proper  place 
as  the  Sol  mundi,  in  full  agreement  with  the  trends  of  thought  of  his  time,  and 
he  does  so  without  denying  to  the  papal  Vicarius  Christi  the  representation  of 
the  Sun  of  the  World. 

In  short,  the  lines  of  the  Lombard  Marco  are  not  simply  a  whim,  or  a  flash 
of  poetic  inventiveness  (though  they  are  that  as  well);  they  are  an  act  of 
reinstatement  of  the  emperor  in  his  old  rights.  It  is  the  language  of  his  own 
time,  it  is  the  then  customary  solar  apostrophes  of  the  imperial  power,  which 
have  lead  Dante  to  his  duplication  of  the  Sun  and  to  his  seemingly  strange 
and  irrational  metaphor  of  Rome's  due  soli. 

"  Orfinus  of  Lodi,  ed.  Ceruti,  in  Miscellanea  di  storia  Italiana,  Vol.  VII  (1869),  p.  45» 
cf.  p.  38;  see  above,  n.  26. 

"  E.  Winkelnmnn,  Acta  imperii  inedila  (1880),  Vol.  I,  n.  725,  p.  571,  5,  a  letter  of  Magister 
Terrisius  of  Atina. 

'"  IIuillard-Br6holles,  Historia  diplomalica  Friderici  Secundi  (Paris,  1861),  Vol.  VI,  p.  811. 
For  a  few  other  places  see  Kantorowicz,  Kaiser  Friedrich  der  Zweite,  Erganzungsband,  1931, 
p.  251. 

"  See  Kantorowicz,  Kaiser  Friedrich  .  .  .  ,  pp.  133,  205.  For  the  Norman-Byzantine 
8un-King8hip  in  panegyrics,  see,  e.g.,  Eugenios  of  Palermo,  ed.  L.  Stcrnbach,  in  Byzantinische 
Zeitschrifl,  XI  (1902),  p.  449,  8:  inffXOvfrai  tui  i/Mov  aals  dxricri  (to  King  William  of  Sicily); 
cf.  line  11:  iivkairtpov  ffXirwv  of  Xaftirpdv  fijiaidpov. 

"  Dante,  Epist.  VII,  1-2;  V,  1.  /      / 

"  Epist.  VI,  2.  \    ' 


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166.  A  major  mijquebranto  4  malor  mi  pesar 
Movicse  el  alfaraa  toda  de  su  logar: 
Entraron  a  Pilato  por  conselo  tomar, 

Que  non  gelo  podlesen  los  dinoipulos  furtar. 

167.  Sennor,  dixicron  ellos,  aquel  galeador 
Que  nos  revolvia  a  todos  como  grant  tnrfador, 
Decia  unas  palabras  que  nos  facen  pauvor, 

Ca  traya  tal  companna  qual  elll,  non  Eeyor, 

168.  Alavabase  elli  a  la  su  crlazon, 
Que  a  morir  avia,  tomar  en  cruz  pasion, 

Mas  que  al  tercer  dia  saldria  de  la  prision, 
Resucitaria  de  cabo  en  major  condicion, 

169.  Sennor,  pavor  avemos  que  vernan  suscriados 
Desque  fueremos  todos  en  Sabbado  entrados, 
Furtar  nos  an  el  cuerpo,  seremos  enganados, 
Foronse  de  nos  riso,  seremos  :iial  errados, 

17D,  Sennor,  tu  metl  guarda,  ca  debeslo  facer. 
Que  nos  en  tal  escarnio  non  podamos  caer: 
Mucho  mas  nos  valdria  todos  muertos  seer 
Que  de  re feces  omes  tal  escarnio  prender, 

171,  Farian  de  nos  escarnio  e  coroporri-n  canciones, 
Ca  son  omes  maldignos,  traviessas  criazones, 
Poblarian  todo  el  mundo  vallejos  e'  ren cones 
Farian  de  la  mentira  istorias,  e'  sermones, 

172,  Recudiolis  Pilatus  a  essos  gtorriones, 
Ca  bien  lis  entendia  elli  los  cora zones: 
Asaz  avedes  guardas  et  fardittdos  peones, 
Guardat  bien  el  sepuloro,  controbatli  canciones. 


/  /    /  /    u    c 

U    U       I     D 


173.  Los  unos  digan  salmos,  los  otros  lecciones, 
Los  unos  Jubedompnej  los  otros  bendlolones  t 
Pasaredes  la  noche  faclendo  tales  sones, 

175.  Cercat  bien  el  sepiilcro  de  buenos  veladores, 
Non  sean  embriagos  nin  sean  donnidores, 

No  lis  cala  demanana  facer  otras  labores, 
Nin  vaian  esta  noche  visltar  las  uxores, 

176,  Tornaron  al  sepulcro  vestidos  de  lorigas, 
Diclendo  de  sus  bocas  muchas  suclas  nemigas, 
Controbando  cantar^s  que  non  valian  tres  figas, 
Tocando  instrumentos,  cedras,  rotas  e  gigas, 

177.  Cantaban  los  trufanes  unas  controvad\aras 
Que  eran  a  su  Madre  amargas  e  mui  duras: 
Aljama,  nos  velemos,  andemos  en  corduras, 

Si  non,  far an  de  nos  escarnio  e  gahurras, 
CAHTICA,  Eya  velar,  eya  velar,  eya  velar, 

178,  Velat  allama  de  los  ludios,  eya  velar: 
Que  non  vos  furten  el  fijo  de  Dios,  eya  velar: 

?    179.  Ca  furtarvoslo  querran,  eya  velar: 

Andres  e  Peidro  et  Johan,  eya  velar, 
^   180,  Non  sabedes  tanto  descanto,  eya  velar, 

Que  salgades  de  so  el  canto,  eya  velar. 

181,  Todos  son  ladronciellos,  eya  velar, 

Que  assechan  por  los  pestiellos,  eya  velar, 
^  182,  Vuestra  lengua  tan  palabrera,  eya  velar: 

A  vos  dado  mala  earrera,  eya  velar, 
^     183,  Todos  son  omes  plegadizos,  eya  velar, 

Rioaduchos  mescladizos,  eya  velar. 


\    I 


II    II    U    L 
U     U       I    U 


/  184.,  Vuestra  lengua  sin  reoabdo,  eya  velar: 

Por  mal  cabo  vos  a  echado,  eya  velar. 
c-  185.  Non  sabodes  tanto  do  enganno,  eya  velar: 
Que  salgades  ende  este  ano,  eya  velar, 
186,  Non  sabedes  tanta  razon,  eya  velar: 
Que  salgades  de  la  prision,  eya  velar, 
//•   187,  Tomaselo  e  Matheo,  eya  velar: 

De  furtarlo  han  grant  deseo,  eya  velar. 
If      188,  El  discipulo  lo  vendio,  eya  velar: 
El  Maestro  non  lo  entendio,  eya  velar, 

189,  Don  Fhilipo,  Simon  e  ludas,  eya  velar: 
Por  furtar  buscan  ayudas,  eya  velar, 

190,  Si  lo  quleren  acometer,  eya  velar: 
Oy  es  dia  de  pare seer,  eya  velar, 

191,  Mientre  ellos  triscaban*  dician  sus  truferias, 
Cosas  mui  desapuestas,  grandes  alevosias, 

Peso'  al  Rey  del  Cielo  de  tan  graxries  follias 
Quomo  decian  de  Xpo  et  de  sus  compannlas, 

192,  Pesoli  de  su  Madre  sobre  todo  lo  al 

Que  li  dician  blasfemlas,  e'  11  dician  grant  mal: 
Tornolis  el  depuorto  en  otro  sobernal, 
Que  non  cantaban  alto,  nin  cantaban  tuval, 

193,  Vinolis  sobrevienta,  •un  espanto  cabdal, 
Nin  lis  veno  por  armas,  nin  por  fuerza  carnal j 
Mas  vinolis  por  DiDs  Sennor  spiritual, 

El  que  sofrir  non  quiso  de  aver  su  igual, 

194,  Vinolis  tal  espanto  o  tal  mala  ventura, 
Perdieron  el  sentido  e  toda  la  cordura: 


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Todos  caieron  muertos  sobre  la  tierra  dvira, 
lacian  todos  revueltos  redor  la  nepultura, 

195.  Recordaron  bien  tarde  los  mal  aventurados, 
Non  vedlen  de  los  ojos  todos  escalabrados, 
Feriense  tmos  con  otros  como  embellinados , 
Eran  todos  los  risos  en  bocedos  tornados. 

196,  Resuscito  Don  Xpto:  Dios  tan  grant  alegrial 
Dos  soles  Deo  gra.cia.Sj  nacieron  essi  dia: 
Resuscitaba  Don  Xpto,  e  la  Virgo  Maria 

Toda  la  amargtira  tor  no  en  ale^ria. 


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/  /    /  /    u    o 

U    U      I    u 


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Todos  caieron  muertos  sobre  la  tierra  d\ira, 
lacian  todos  revueltos  redor  la  nepialtura, 

195.  Recordaron  Men  tarde  los  mal  aventurados, 
Non  vedien  de  los  ojos  todos  escalabrados, 
Feriense  uiios  con  otros  como  embellinados , 

Eran  todos  los  risos  en  bocedos  tornados. 

196.  Resuscito  Don  Xpto:  Dios  tan  grant  alegrlal 
Dos  soles  Deo  graciasi  nacieron  essi  dia: 
Resuscitaba  Don  Xpto,  e  la  Virgo  Maria 

Toda  la  amargura  tor  no  en  ale^ria. 


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U     U       I       I 


Gonzalo  de  Berceo,  Duelo  de  la  Vlrgen  Mar£a 
(Complaint  of  the  Virgin  Mary) 
166  [The  Virgin:]  To  my  greatest  grief  and  sorrow 

the  v/hole  Sjmago^ue  bestirred  itself 

and  vrent  to  see  Pontius  Pilate  to  search  for  his  advice 


167 


168 


169 


170 


171 


so  that  the  disciples  [of  Christ]  vrould  not  steal  Him  [His  body] 
from  them. 

"Sir",  they  said,  "that  imposter 

who  has  brought  unrest  to  all  of  us,  as  the  cheater  that  he  is, 

has  said  words  that  frighten  us; 

he  has  indeed  with  him  companions  equal  to  him,  no  better. 

He  has  boasted  to  his  pupils 

that  he  would  die  and  suffer  on  the  cross, 

but  on  the  third  day  he  would  rise  from  his  prison 

and  be  resurrected  in  a  ne\-j  better  shape. 

Sir,  we  fear  that  Christ's  disciples 

vrtiile  we  shall  be  celebrating  our  Sabbath 

may  steal  his  body  from  us;  then  we  would  have  been  cheated, 

vre  would  be  laughed  at  and  our  predicament  vrould  be  grievous. 

Sir,  do  you  put  guards  at  his  tomb,  this  you  must  do 

in  order  that  vre   may  not  be  exposed  to  mockery. 

We  would  all  of  us  rather  be  dead 

than  to  suffer  mockery  from  such  ne'er-do-v/ells. 

They  would  jeer  at  us  and  improvise  insulting  songs, 

for  they  are  unvvorthy  people,  vdcked  creatures 

vrtio  vrould  flood  the  v^ole  vrorld,  the  most  remote  valleys  and 

corners, 
out  of  lies  they  woxild  build  their  stories  and  their  tales." 


U     U     J    U 


172  Pontius  Pilate  ansv/ered  these  strange  birds, 
for  well  did  he  understand  their  minds: 

"You  have  gxiards  enough  and  brave  foot-soldiers 
You  yourselves  guard  the  sepulchre  welll  improvise  chants I 
173   The  ones  should  recite  psalms,  the  others  lessons, 

the  ones  Jube  domne.  the  others  benedictions  [=  . . .  mebenedicere] 


You  vri.ll  spend  the  night  singing  in  this  manner... 

175  Surround  the  sepulchre  with  good  i;i/atchmen. 

They  should  not  be  drunkards  nor  prone  to  sleep. 
They  should  do  no  other  vrork  on  the  same  day 
nor  should  they  join  their  ^^d.ves  at  night," 

176  The  guards  came  to  the  sepulchre  covered  with  armor, 
saying  obscenities  in  their  hostile  mood, 
improvising  chants  not  irorth  three  figs, 

playing  instruments:  zithers,  harps  and  fiddles. 

177  The  rascals  sang  chants 

bitter  and  hard  to  hear  for  Christ's  Mother: 

"Oh  Synagogue  [=  community  of  Jews],  let  us  hold  our  v/atch  and  be  clever, 
Othen^ase  we  vrill  be  mocked  and  jeered  at  I" 
Chant:  "On  with  the  watch" 
17S  l.Keep  vratching,  oh  Synagogue:  on  vdth  the  watchl 

:  that  the  Son  of  God  should  not  be  stolen  from  you:  on  vd.th  the  watchl' 
179  2. For  they  will  try  to  steal  him  from  you,... 

:  Andrew,  Peter  and  John... 
ISO  3. Thou  [=  Christ]  knovrest  no  magic  song... 

:  strong  enough  to  let  thee  escape  from  under  the  block  of  stone... 


1 


II    II    c 

U     U     J 


181  :  /^,  All  are  fine  thieves... 

s    who  spy  through  door-locks« .. 

182  :  5.  Thy  talkative  tongue... 

:    has  brought  thee  to  a  bad  pass... 

183  :  6.  All  are  upstarts,  riffraff,  impure  of  blood... 

184  :  7.  Thy  unsuccessful  tongue... 

:    has  thrown  thee  into  mishap. . . 

185  :  8.  Thou  dost  not  know  tricks  enough... 

:    to  be  able  to  escape  hence  for  this  vdiole  year... 

186  :  9.  Thou  dost  not  knov;  enough  reason... 

:    to  be  able  to  escape  from  this  prison... 

187  :10.  Tomaseio  and  Matthew. . . 

:    have  a  great  desire  to  steal  him... 

188  :11.  His  own  disciple  betrayed  him... 
:    without  the  master  sensing  it... 

189  :12.  Sir  Philipp,  Simon  and  Judas... 

:    look  for  helpers  in  the  theft., , 

190  :13.  If  they  are  ready  for  the  enterprise... 

:    today  is  the  day  when  they  should  rise  and  appear... 
On  to  the  watch: 

191  V/hile  they  were  dancing  and  making  their  jokes, 
very  indecently  and  very  disloyally, 

the  King  of  Heaven  was  grieved  by  the  foolish  things 
they  were  saying  of  Christ  and  His  disciples. 

192  He  was  grieved  more  than  anything  else 

because  they  said  blasphemies  about  His  Mother,  they  were  indeed  saying 

harsh  things  about  her. 
He  turned  their  mirth  into  something  different,  something  unearthly, 

for  from  now  on  they  did  no  longer  sing,  either  high  or  low. 


fe 


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193  There  came  fright  to  them,  total  fear, 

it  did  not  come  through  arms  nor  through  bodily  force, 

it  came  through  God,  our  spiritual  Lord 

who  did  not  vd.sh  to  tolerate  that  anyone  should  be  equal  to  Him. 

19/^  There  came  to  them  fear  and  such  bad  luck 

that  they  lost  their  senses  and  aLl  their  vdt  (cleverness). 

All  of  them  fell  dead  on  the  hard  ground, 

all  lay  with  their  bodies  contorted  round  the  sepulchre, 

195  Too  late  the  unlucky  ones  awoke  from  their  blindness, 
they  could  not  see  with  their  eyes  gouged  out, 

they  struck  one  another  as  though  mad  from  poisoning, 
all  laughter  had  changed  into  moaning, 

196  Our  Lord  Christ  was  resurrected  -  God,  what  great  delight I 
Two  suns  through  God'  s  will  were  bom  on  that  day: 

Both  our  Lord  Christ  and  the  Virgin  Mary  were  resurrected, 
all  bitterness  was  turned  into  mirth. 


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ALBRECHT 
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PRIVATDRUCK    AUSGELIEFERT   DURCH 
HELMUT  KUPPER  VORMALS  GEORG  BONDI 


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D£R  GASTFREUND 

Achter  November  1938  ...  Berlin  .  .  .  scchs  Wochen  nach  Miinchen. 
Das  Wochencnde  vor  der  Mundiener  Krise  hatte  idi  in  Stintenburg 
verbracht,  in  ganz  kleinem  Kreise.  Statt  der  iiblichen  Gesprache,  nur 
Radio:  London,  Paris,  Rom  -  nidits  konnte  den  Nadirichtcnhunger  be- 
friedigen.  Die  siidwarts  laufenden  Militartransporte,  die  wir  auf  der 
ganzen  Strecke  gesehen  hatten,  in  Wittenberg,  in  Zarrenthin,  spradien 
deutlicher  als  die  verworrenen  Stimmcn,  die  aus  dem  Radio  tonten. 
Und  drauEen  die  heiiJe  strahlende  Sonne  windstiller  Septembertage, 
der  See  blauer  denn  je,  die  Rasenflache  griiner,  und  der  Bootsteg  wcifier. 
Die  Nervenspannung  jencr  Herbstwodien  war  zu  grofi,  um  ihrer  allein 
Herr  zu  werden,  um  allein  zu  Haus  am  Arbcitstisch  den  Abend  zu  ver- 
brmgen.  Im  Angesicht  der  Gegcnwart  verlorcn  die  Dokumente  der 
Vergangenheit  die  Kraft,  einen  in  ihren  Bann  zu  zichen.  Mehr  als  jc 
batten  die  Freunde  im  damaligen  Berlin  das  Bediirfnis,  einander  so 
haufig  wie  moglich  zu  sehen,  in  standiger  Fiihlung  zu  bleiben.  Nadi- 
ricliten  auszutauschen,  und  gcmeinsam  das  nun  schon  Unvermeidlidie, 
die  Katastrophe  Europas,  zu  iiberdenken  und,  zum  hundertstenmal,  zu 
iiberreden.  Anderes  war  kaum  zu  tun. 

Am  8.  November  sollten  Albrecht  Bernstorff  und  Helmut  Kiipper  bei^ 
mir  in  der  Carmerstrafie  cssen.  Friih  am  Morgen  dcs  8.  holte  midi  ein 
Anruf  Bernstorffs  aus  dem  Badezimmer:  wir  miifiten  das  Essen  bci  mir 
vertagen;  ich  sollte  statt  dessen  zu  ihm  konimen  und  mir  das  Notigste 
mitbringen,  um  eventuell  nach  Stintenburg  zu  fahren.  Idi  verstand  den 
Wink,  obwohl  idi  erst  etwas  spater  viber  die  Ereignisse  der  Nadit 
unterriditct  wurde:  das  Ausbrcnnen  der  Synagogcn,  die  Plunderung 
jijdisdicr  Laden  und  die  wahllosc  Verhaftung  einzelncr  Juden.  Bern- 
storff hatte  midi  vor  Haft  oder  Sdilimmerem  retten  wollen.  Dankbar 
siedclte  idi  zu  ihm  iiber,  um  mehr  als  eine  Woche  in  der  Hildebrand- 


53 


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strafie  verborgen  zu  bleiben,  bis  Gcfahr  fiir  mich  nidit  mehr  bcstand, 
idi  meinen  Pafi  in  Kandcn  hielt  und  von  ihm  zur  Bahn  geleitet,  unrer 
Kiippers  Obhut  nach  England  abreisen  konnte. 

Ob  Albrecht  daran  gedadit  hat,  in  welche  Gefahr  cr  selbst  sich  begab. 
als  er  mich  bei  sidi  verbarg?  An  jenem  Morgen  gewifb  nicht.  Ihm,  dem 
Ritterlidien,  der  nur  das  im  Augenblick  zum  Sdiutze  des  Frcundes 
Notige  erwog,  kam  der  Gedanke  an  eigne  Gefahrdung  wohl  kaum  in 
den  Sinn.  Sparer,  und  auf  mcine  Einwande  hin,  schob  er  Gedanken  an 
sich  selbst  einfadi  beiseite.  Er  veraditete  die  Gefahr,  wie  er  die  Nazis 
veraditete  -  und  halite.  Er  hat  das  ihm  selbst  Drohende,  damals  und 
spater,  verhangnisvoll  unterschatzt.  Es  gehorte  zu  seinem  Wesen;  und 
die  Freude,  mir  zur  Freiheit  verholfen  und  dem  Feind  ein  Opfer  ent- 
rissen  zu  haben,  iiberwog  alles  andere. 

Es  war  das  letztemal,  dal^  ich  mich  Albrechts  Gastfreundschaft,  der  so 
'  oft  genossenen,  erfreuen  durfte.  Er  war,  wie  es  sidi  fast  von  selbst  ver- 
stcht,  der  vorbiMlidic  Hauswirt.   Gastfreundschaft  ist  von  Freund- 
schaft,  von  Takt  und  Gute  des  Herzens,  nidn  zu  trennen.  Wem  das 
Leben  mit  Freunden  so  sehr  das  Natiirliche  war  wie  fur  Albrecht,  dem 
ist  auch  dasFeingefuhl  gegeben,  zu  wissen,  welcheBegegnungen  der  ihm 
gemeinsamen   Freunde  Bereidierung  versprechen  -  und  zu  welcher 
Stunde!  -  und  welche  Begegnungen  besser  vermieden  werden.  Wir  alle 
haben  zahliose  Facetten  unseres  Seins;  und  nicht  alles,  das  zwei  Freun- 
den gemeinsam  ist,  mui]  gleichermaf5cn  auf  Dritte  und  Vierte  iibertrag- 
bar  sein.  Albredit  BernstorfF  war  in  der  Eindeutigkeit  seines  Wesens 
nicht  schillernd.  Aber  wenige  Menschen  waren  facettenreicher  als  er,  der 
Diplomat,  Aristokrat  und  Bankier,  der  in  j'ungen  Jahren  an  der  noch 
kaiserlichen  Wiener  Botsdiafi  den  Haudi  von  Hofmannsthals  Didi- 
tung  und  den  des  literarischen  Wien  verspiirte.  Die  Zahl  seiner  Freunde 
-  wirklicher  Freunde  -  in  alien  Landcrn  West-Europas  war  ganz  un- 
gewohnlidi  groi?.  Was  er  braudite,  was  er  suchte,  war  gewifi  mandics 
und  vieles,  war  aber  vor  allem  das  «gutc  Gespradi»,  das  anregend 
mit  anderen  Schwingungsgleichheit  herstellt  und  crwarmend  mensdi- 
liche  Warme  erzeugt.  Ob  jenes  Gemeinsame  sich  im  Historisch-Politi- 
schen  einstellte,  ob  im  Literarischen,  in  der  Natur  oder  im  Anckdoii- 
sdien  iiber  Menschen  und  Dinge,  war  an  sidi  gleidigiiltig.  Bcrnstorff 
war  warmebediirftig;  und  in  menschlichen  Beziehungen  war  cr,  der 
sonst  Nadisiditige,  durch  jedc  Art  Frostigkeit  leicht  verargert.  Denn 

54 


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er  seibst  breketc  eben  jcne  \(,"arme  aus,  die  sidi  dcnen,  die  bci  mm  una 
mit  ihm  waren,  rasch  mittcilte. 

Hienn  lag  seine  grofie  und  vcrstandnjsvoUc  Kunst  als  Wirt  und  Gasi- 
freund.  Ihm  lag  gar  nichts  daran,  seibst  den  Mittelpunkt  zu  bildcn, 
aber  vid  daran,  einen  soldien  zu  sdiaffen.  Nodi  heute,  nadi  zwolf, 
funfzehn  Jahren,  liefie  sidi  iiber  fast  jedes  Zusammensein  bci  ihm  die 
Autsdirift  setzen,  in  Berlin  wjc  in  scinem  geliebten  Snntcnburg.  Den 
Kreis  seiner  Gaste  hielt  er  mcist  klein  gcnug,  urn  Zersplittcrung  nidit 
aufkommen  zu  lassen:  ein  Lundi  in  Berlin  mit  Adam  von  Trott  und 
emigen  des  spateren  Kreisauer  Kreises,  wobei  das  Gespradi  sdion 
damals  den  historisA-religioscn  Fragen  moglidxcn  >J7iderstands  gait; 
ein  anderes  mit  Maurice  Bowra,  wobci  Oxford  und  die  Erziehung  nach 
emem  -  •w'cldiem?  -  Bild  zur  Erorterung  stand;  oder  mit  Victor  Ham- 
mer, wobei  die  Kunst,  Budidruck  und  Sdinft,  im  Mittelpunkt  stand. 
Mit  Aage  Friis,  dem  jiingstverstorbcnen  Senior  dcr  curopaisdbcn  Histo- 
riker,  dessen  Attadiement  an  Albredits  Familie  und  Familicngesdiiditc 
so  weit  gmg,  dafi  er  in  Kopenhagen  in  der  Bernstorff  Vej  wohntc,  gab 
es  das  Historiker-Fadigespradi.  Und  cm  Abend  var  da,  mit  dem 
jungen  Schwabadi,  Kate  Riezler  und  anderen,  an  dem  uns  vielleidit 
allzu  leibhaft  das  Grauen  vor  der  kunftigen  Europa-Verunstaltung  vor 
Augen  trat. 

Albredit  Bernstorff  hattc  ein  tiefcs  inneres  Bediirfnis  naA  dcrlei  Gc- 
spradien.  Obwohl  er  glanzend  erziihlte  und  wunderbar  plaudertc,  war 
er  dodi  gar  nidit  darauf  aus,  Wortfiihrer  zu  sem.  Er  besafi,  vielleidit 
audi  berufsmafiig  gesdiult,  die  Fahigkeit,  zuhoren  zu  konnen  oder  dcr 
Debarte  mit  einem  Vitzwort  die  Sdiarfe  zu  nehmcn.  Im  iibrigen  sah 
man  ihn,  mit  jenem  seltsam  leiditen  Sdiritt  sdiwerer  Mensdicn,  kudos 
hm  und  her  gehen,  urn  einen  anderen  seiner  guten  Weinc,  einen  Kognak 
oder  "Whisky  zu  holen,  Glaser  auszutausdien  und  dodi  das  Gespradi ' 
nidit  abreifien  zu  lassen. 

Der  vollkommene  Virt  war  er  in  Stintenburg.  Hier,  in  dem  bezau- 
bernden  Familiensdilofs  zwisdien  den  Seen,  von  dessen  Tcrrassc  und 
Fenstern  man  nadi  Siiden  hin  iiber  die  weidic  abfallendc  Rasenfladie 
aufs  Wasser  hinumersdiaute;  hier,  auf  dcr  Halbinsel,  im  Wald,  im 
Dorf ,  war  er  wirklidi  «2u  Hause».  Hier  vereinte  er  fiir  die  Vodien- 
enden  ein  paar  Freunde,  drci,  vier  oder  fiinf,  die  nadi  dem  Essen,  fiir 
das  vorbildlid)  seine  Sdiwester  gesorgt  hattc,  um  den  groEcn  Kamin 


55 


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safien,  die  Weinglaser  zur  Scire,  von  den  Biidiern  der  Bibliothek  um 
geben  und  in  leichtere  oder  ernstere  Gesprache  verwickclt,  die  meist  erst 
langc  nadi  Mitternacht  endeten.  Bisweilen  bradite  er  auch  grolkre  Ge- 
sellsdiaft  zusammen.  Ein  Pfingstfest  1937,  bei  dem  die  Vervandten 
aus  Altenhot,  Nadibarn  aus  der  Umgebung  und  wohl  ein  DutMnd 
Wodienendgaste  aus  der  Siadt  sich  vereinten,  ist  mir  unverge(51ich  als 
eines  der  letztcn  grofien  Festc  grofien  Stils,  das  vir  «im  alten  Europa>> 
begangen  haben.  Audi  hier  bradite  es  der  Hausherr  zustande,  dafi 
selbst  die  grofie  Gesellsdiaft  cine  innere  Einhcit  wahrte. 
VielleidiT  war,  wie  jedc  Liebe,  audi  die  Liebe  zu  Stintenburg  und  zum 
Leben  mit  Stintenburg  ein  Teil  von  Albredits  Verhangnis.  Als  idi  ihn 
das  letztemal  in  London  sah,  im  Januar  1939,  kurz  vor  der  eigcnen 
'  Oberf ahri  nadi  Amerika,  bespradien  wir  seine  Moglidikeiten,  nadi 
England  zuriidizukehren  und  Deutsdiland  zu  verlassen.  Dinge  batten 
sidi  in  London  nidit  ganz  so  enrwidielt,  v.-ie  er  es  erhoffr  hatte.  Wir 
bespradien  das  Fiir  und  Wider  der  Obersiedlung  nadi  London.  Albredit 
selbst  war  unsdiliissig.  Dann  sah  er  vom  Teller  auf.  «Und  Stinten- 
burg?»  Idi  sdiwieg  und  zerpfludite  einc  Streidiholzsdiaditel. 
Stintenburg  war  ein  Teil  seiner  selbst,  sein  Rahmen,  die  Handbrcir 
festen  Bodens  unter  den  Fiiften,  die  der  KosmopoUt  braudite.  Hier 
stand  er  auf  seinem  Grund  und  Boden  —  «seinem»  nidit  nur  well  er  der 
Herr  war,  sondern  well  dies  Famllieniand,  von  ihm  belebt,  die  ihm  ge- 
mafie  Lebensluft  bot,  von  der  er  nodi  im  Savoy  in  London  zehrte, 
wie  er  umgekehrt  Londons  Luft  nadi  Stintenburg  verpflanzte.  Stinten- 
burg war  <ckosmopoiitisdi»  durdi  ihn,  dem  alle  kasernenhafte  Enge 
verhafit  und  zuwider  war,  und  der  als  Kind,  wie  er  oftmals  mit  Stolz 
erzahlte,  Bieisoldaten  in  Spielgeld  umsdimolz.  Da£  es  diesem  durdi 
und  durdi  giitigcn  Mensdien,  der  vor  allem  Freunden   Freund  sein 
wollte,  besdiieden  war,  in  den  verruditesten  Baradien  eines  geistig  und 
leiblidi  kasernierten  Deutsdiland  umzukommen,  ist  einer  der  uner- 
traglidisten  Gedanken  —  ein  Sinnbild  jcner  Leidenszeit  Deutsdilands 
und  der  Welt. 


56 


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*35.      ''Kaiser  Friedrich  II  und  das  Konigsbild  des  Hellenismus,"  in  Varia  Variorum: 
testgabejur  Karl  Reinhardt  (Miinster-Koln,  1952),  169-193. 

EK»s    co^^y,    annotated. 

A.  Postcard  from  A.  Alfoldi,  1?  Dec  ^2 

B.  Letter  from  Alfoldi,  20   Mar  55 

C.  Letter  from  H. A. PestugiSres,  5  Dec  52 

D.  Letter  from  ^Vanz  Wieacker,  10  «Jan  52 

E.  Letter  from  i-^M.  Powicke ,  1?  Ar,ril  53 
P.  Letter  from  Ihor  .'^evcenko,  29  Dec  ^2 


n    1 1    L 
u    u   u 


LEO  BAECK 
f^STlTUTB     / 

ARCHIVE 


§■■».  • 


'•■m 


LEO  BAECK  INSTITUTE  I  ARCHIVgX 

Collection  ^ 

EmST  KANTOHOWICZ 
Box  no.:     h   out   of  4 

Published  Mss. 

Accession  no.:  721 6 
AR 


Location        r    49/5 


MS^ 


n    1 1    L     D 

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• 


SONDERDRUCK 


AUS  DER 


REINHARDT-FESTSCHRIFT 


Im  Buchhandel  einzeln  nicht  kSuflich 


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m. 


ERNST  H.  KANTOROWICZ 

KAISER  FRIEDRICH  II.  UND  DAS  KDNIGSBILD 
DBS  HELLENISMUS 

(Marginalia  miscellanea) 


In  einem  anregenden  Werk  iiber  die  Apotheose  im  Spiegel  des  hclle- 
nistisdi-spatantiken  Herrsdierportrats  hat  Hans  Peter  L'Orange  an  Hand 
gewisser  Einzelziige  wie  Haartradit  und  Himmelsblidt  einen  Bildtypus  her- 
ausgestellt,  den  er  mit  Alexander  dem  Grofien  beginnen  lafit  und  dessen 
Fortleben  er  bis  zu  dem  Staufenkaiser  Friedridi  II.  vcrfolgt*).  Ob  diese 
Linienfiihrung  sadilidi  in  alien  Einzelheiten  richtig  ist,  stche  nidit  zur  Er- 
orterung*).  Audi  mag  es  hier  gleichgultig  sein,  dafi  der  diadem-gekronte 
bartige  Kopf  im  Besitze  des  Kaiser-Friedrich-Muscums  ganz  gewifi  nidit 
Friedridi  II.  darstellt').  Nadi  Ausweis  der  Miinzen  und  des  Kopfes  vom 
Capuaner  Briidientor,  dessen  AbguE  wiederzufinden  Ernst  Langlotz  kurz 
vor  dem  Zweiten  Weltkrieg  gegliidit  ist,  war  die  offizielle  Bildauffassung 
des  Kaisers  (und  nur  um  cin  offizielles  Portrat  konnte  es  sidi  dodi  handeln) 
eine  ganzlidi  andere.  Wenn  ferner  die  kaiserlidicn  Parteiganger  oberitalie- 
nisdier  Stadte  sidi  damals  die  barbarasi  nannten,  so  ermutigt  der  Partei- 
name  gewifi  nidit,  cin  bartiges  Haupt  als  Bildnis  des  letztcn  Staufenkaisers 
zu  identifizieren*). 

Der  Kopf  entstammt  jedodi  allem  Ansdiein  nadi  der  siiditalienisdien 
Bildhauersdiule  des  13.  Jahrhunderts,  und  da  der  Kiinstler,  einem  spat- 
antiken  Modell  nadiarbeitend,  den  Kopf  mit  der  ivaoro^fi  rns  k6mtis,  den 
flammenden  Lodtcn  des  Sonnengottes,  versehen  hat,  so  laf$t  sidi  L'Oranges 
weiter  Bogenspannung,  durdi  die  er  HellenistisdieS  und  Staufisdies  zu  ver- 
binden  weifi,  eine  innere  Bereditigung  nidit  abspredien.  Im  Gegenteil,  das 
ardiaologisdie  Problem,  das  der  ausgezeidinete  Osloer  Gelchrte  damit  an- 
gedeutet  hat,  lafit  die  Frage  aufkommen,  in  wcldiem  Malle  hellenistisdies 
Gut  uberhaupt  in  der  Umgebung  Friedridis  II.  wirksam  gewescn  ist,  und 
bis  zu  wcldiem  Grade  es  statthaft  ist,  audi  die  Ziige  des  hellenistisdien 
Herrsdicrtyps  in  das  historisdie  Bild  dieses  Kaisers  einzuzcidinen. 

Das  Thema  „Friedridi  II.  und  der  Hellenismus"  ist  begrciflidierweise 
sdiledithin  unaussdiopflidi.  Was  —  so  wird  man  fragen  diirfen  —  ist  denn 
nidit,  mit  Einsdilufi  des  Christentums,   letztcn  Endes   hellenistisdien  Ur- 


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170 


Ernst  H.  Kantorowicz 


sprungs  gewesen?  Ganz  gewifi  wiirde  dies  geltcn  fur  die  Rezeption  des 
Aristoteles.  Sieht  man  aber  von  all  dem  hier  ab,  so  tragi  doch  der  ganze 
sonstige  gelehrte  Betrieb  am  Kaiserhofe  den  Stempel  des  Hellenismus.  Die 
Physiognomiker,  Astrologen,  Menschen-  und  Tier-Mediziner,  die  Botaniker, 
Zoologen,  die  Opiiker  und  Alchimisten,  sie  alle  arbciten  mit  Material,  das 
letztlich  hellenistisdier  Herkunft  ist.  Selbst  wenn  man  daS  Thema  auf  das 
hellenistische  Konigsbild  einzusdiranken  sucht,  so  bleibt  des  Vagen  immer 
noch  genug.  Die  Arbeiten  von  Andreas  Alfoldi  und  anderen  haben  es  klar- 
gestellt,  dafi  Tradit  und  Zeremoniell  der  weltlidien  wie  geistlidien  Herr- 
scher  des  Mittelalters  weitgehend  und  ganz  direkt  vom  Hellenismus  be- 
stimmt  waren^).  Ein  Gelehrtenleben  hindurdi  hat  ferner  Franz  Kampers 
in  immer  erneuten,  wenn  audi  nidit  immer  ganz  gliicklidien  Anlaufen  ver- 
sudit,  von  Friedridi  II.  her  zum  Hellenismus  die  Briicke  zu  schlagen.  Dabei 
bewegten  sidi  seine  Fragen  meist  in  dem  schwer  fafibaren  Wolkenraum  von 
Kaisersage  und  Kaisermystik,  und  seine  Arbeiten  werden  dinglicher  nur 
da,  wo  sie  sich  mit  einem  ganz  konkreten  Begriff  wie  dem  der  Fortuna 
AugHSti  besdiaftigen*). 

Nun  haben  jedodi  in  jiingster  Zeit  die  Arbeiten  von  Erwin  R.  Goode- 
nough^)  und  Louis  Delatte^)  iiber  die  hellenistisdhen  Konigsspiegel,  deren 
Fragmente  bei  Stobaeus  iiberliefert  sind,  das  Problem  der  hellenistisdien 
Staatsphilosophie  sehr  viel  sdiarfer  beleuditet;  und  auf  der  Grundlage  der 
Papyri  und  Insdiriften  hat  Wilhelm  Sdiubart  weiterhin  das  Gesamtbild 
nodi  um  wesentlidie  Einzelziige  bereidiern  und  erganzen  konnen*).  Diese 
und  andere  Arbeiten'")  haben  mit  verbliiffender  Deutlidikeit  gezeigt,  in 
weldiem  bisher  ungeahnten  und  durdiaus  nidit-erkannten  Ausmafi  Konigs- 
ideal  und  Staatstheorie  des  Hellenismus  im  Mittelalter  weitergewirkt 
haben.  Die  hellenistisdie  Konigsphilosophie  hat  in  sehr  widitigen  Einzel- 
heiten  zunadist  das  spatantike,  dann  das  byzantinisdie  Kaiserbild  beein- 
flufit,  von  dem  wiederum  mandie  Zuge  eingewoben  sind  in  die  Herrsdier- 
auffassung,  der  man  am  Hofe  Friedridis  II.  gehuldigt  hat. 

Auf  weldie  Weise  etwa  die  hellenistisdien  Konigstheorien  in  das  byzan- 
tinisdie Denken  einmiindeten,  hat  Norman  H.  Baynes  an  einem  Beispiel 
verdeutlidit,  indem  er  auf  die  Vermittlerrolle  des  Eusebius  hinwies**).  Es 
handelte  sidi  dabei  ganz  besonders  um  die  Vorstellung  des  hellenistisdien 
Konigs  als  eines  „Nadiahmers"  der  Gottheit,  eincsOeomuriTT)?*-),  der  sinn- 
gemafi  in  Byzanz  immer  starker  zu  einem  xP'^^ot^'^^ITi^s  abgewandelt 
wurde,  zu  demjenigen  also,  der  gleidiSam  von  Amts  wegen  den  Gott- 
mensdien  fast  biihnenmafiig  vergegenwartigte  und  auf  Erden  die  Christus- 
rolle  spielte  —  ein  Gedanke,  der  wiederum  das  ostlidie  Hofzeremoniell  aufs 
starkste  mitbestimmt  hat^^). 

Dafi  die  mimesis  nidit  das  einzige  Theorem  hellenistisdier  Herrsdier- 
philosophie  gewesen  sein  konnte,  das  vom  Altertum  ins  Mittelalter  hiniiber- 
gewirkt  hat,  ware  von  vornherein  zu  erwarten  gewesen.  Leider  hat  jedodi 
die  mittelalterlidie  Historik,  falls  nidit  neuere  Arbeiten  hier  iibersehen  sind, 


M3L 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hellenismus 


171 


diese  neuersdilossenen  hellenistisdien  Konigsspiegel  bisher  fast  voUig  un- 
beaditet  gelassen,  sehr  zu  ihrem  eigenen  Sdiaden^"*).  Eine  Ausnahme  bildet 
dabei  Artur  Steinwenter''^),  der,  als  Reditshistoriker  dem  Begriff  des  vopos 
fpvj/uxos  und  seiner  Gesdiidite  nadigehend,  auf  jene  Stobaeus-Fragmente 
und  die  Arbeit  von  Goodenough  zuriidigegriffen  und  naturgemafi  audi  die, 
in  letzter  Zeit  vielfadi  behandelten,  Reden  des  Themistius  beriidcsiditigt 
hat,  deren  Topoi  in  die  byzantinisdie  Rhetorik  geradeso  eingingen  wie 
die  des  Eusebius  in  die  theologisdi  gefarbten  Staatslehren  der  Byzantiner'*). 
Dafi  im  Westcn  fur  die  Lehre  vom  Mittlertum  des  Kaisers  als  lex  animatu 
Friedridi  II.  eine  besonders  widitige  Stellung  einnahm,  ist  verstandlidi 
durdi  die  hier  einmal  vollig  unproblematisdie  Oberlieferung  des  Begriff s: 
Justinian  hat  die  Pragung  des  Themistius  fast  wortlidi  in  seine  Novelle  105 
iibernommen").  Durdi  das  erneuerte  Studium  des  romlsdien  Redites  ist 
dann  die  Lehre  von  der  lex  animata  sdion  im  12.,  vor  allem  aber  im 
13.  Jahrhundert  wieder  fruditbar  geworden,  und  dadurdi  indirekt  audi  die 
hellenistisdie  Lehre  vom  Mittlertum  des  Herrsdiers'*).  Glossatoren  wie  Rhe- 
toren  des  „juristisdien  Jahrhunderts"  konnten  nidit  umhin,  sidi  mit  der 
Ansdiauung  auseinanderzusetzen,  dafi  „Gott  den  Herrsdier  als  das  be- 
seelte  Gesetz  zu  den  Mensdien  herabgesandt  hat". 

Im  Zusammenhang  mit  der  Lehre  von  der  lex  animata  verdient  jedodi 
ein  weiterer  Topos  Beaditung.  In  seiner  grofien  Prunkrede  auf  Friedridi  II., 
die  ihrer  Gattung  nadi,  wenn  audi  weniger  den  Bildern  nadi,  der  ostlidien 
Enkomien-Literatur  angehort,  hat  Petrus  de  Vinea,  der  kaiserlidie  Logo- 
thet,  seinen  Herrn  gepriesen  als  den  pacator  iustissimus . .  .  quern  supremi 
manus  opificis  formavit  in  hominern,  ut  tot  rerum  habenas  flecterct  ct 
cuncta  sub  iuris  ordine  limitaret^^).  Idi  hatte  diese  Zeilen  vor  vielen  Jahren 
mit  der  Adams-Spekulation  des  13.  Jahrhunderts  in  Verbindung  gebradit: 
der  Kaiser  ist  wie  Adam  —  und  damit  wie  der  „neue  Adam",  Christus  — 
von  Gott  selbst  ersdiaffen  —  oder  gezeugt'-").  Ob  und  wieweit  diese  Idee 
mitgesdiwungen  hat,  bleibe  vorerst  dahingestellt.  Sie  war  jedodi  nidit 
allein  mafigebend;  denn  das  Bild  von  dem  Herrsdier,  „den  des  hodisten 
Werkmeisters  Hand  selbst  zum  Mensdien  geformt  hat",  ist  nidit  erst  im 
13.  Jahrhundert  gepragt  worden.  Die  einzige  Parallele,  die  idi  seinerzcit 
heranziehen  konnte,  war  eine  Stelle  bei  Benzo  von  Alba,  einem  Panegy- 
riker  der  Zeit  Heinridis  IV.,  der  seinen  Kaiser  anspradi  als  de  coelo 
missus,  non  homo  carnis'-^).  Aber  diese  Parallele  pafit  nidit  redit.  Woran 
Benzo,  dem  zumindest  einzelne  Stidiwortc  des  romisdien  Redites  bekannt 
waren-"-),  gedadit  haben  mag,  war  eher  die  lex-animata-Lchre:  der  Kaiser 
ist  der  von  Gott  zu  den  Mensdien  Herabgesandte  (Benzos:  de  coelo  missus), 
und  zwar  als  das  lebendige  oder  beseelte  Gesetz  selbst  (Benzos:  non  homo 
carnis).  Gehort  audi  das  Bild,  das  Benzo  benutzte,  dem  gleidien,  oder 
wenigstens  einem  verwandten  Ideenkreis  an,  so  ist  es  dodi  nidit  identisdi 
mit  Vincas  Kaiser,  „den  des  hodisten  Werkmeisters  Hand  selbst  zum  Men- 


/  '     I  I    L     L 
U     U    U     J 


I 


172 


Ernst  H.  Kantoroivicz 


schcn  geschaffen  hat".  Die  schlagende  Parallele  findet  sidi  jedodi  in  einer 
dcr  hellenistisdien  Staatstheorien. 

In  der  Sdirift  irepl  paaiAtia?  stellt  der  „Pythagoraer"  Ekphantos  eine 
Betraditung  iiber  die  Kosmosregionen  an,  wie  sie  in  besserer  Oberlieferung 
in  der  hermetisdien  K6pii  k6ctijiou  erhalten  ist^''*).  Jede  der  Regionen  wird 
rcgiert  von  einem  Herrscher,  der  innerhalb  seines  Bereidies  der  Gottheit 
jcweils  nachstverwandt  ist.  In  der  Himtnelsrcgion  herrschen  die  Gotter 
sclbst;  im  Ather  herrsdit  Helios  iiber  die  Sterne;  in  der  Luftregion  herrsdit 
Selene  iiber  die  Seelendamonen. 

„Bei  uns  auf  der  Erde  ist  zwar  der  Mensdi  das  Bestgeborene,  das  Gottlidiere 
aber  ist  der  Konig,  der  innerhalb  der  alien  gemeinsamen  Mensdiennatur  am  Besse- 
ren  den  Lowenanteil  hat. 

Den  iibrigen  Mensdien  gleidit  er  durdi  scin  Gehiiuse  insofern,  als  er  aus  dem 
gleidien  Stoffe  gefertigt  ist;  aber  er  ist  von  dem  hodisten  Werkmeister  geformt, 
der  ihn  fertigend  sidi  selbst  zum  Vorbild  nahm  (to  \i£v  OKavos  toIs  AoittoTs 
6noios,  o!a  yeyovobs  tK  tos  auras  OXag,  utt6  texvIto  6 'EipyaaiJievos  Xcoorco,  6; 
^TEXviTEuaev  aCrrov  apxETurrco  xpwiJEvos  tourco). 

Der  Konig  ist  also  das  eine  und  einzige  Gesdiopf,  das  des  oberen  Konigs  inne- 
wird  (KaraoxEuaaua  5f)  (bv  6  PcctiAeOs  ev  Kai  uovov  fvvoriTiKov  tco  dcvcoTEpco 
PocJiAfcos);  und  wahrend  er  seinem  Fertiger  von  jeher  bekannt  war,  ist  er  den 
von  ihm  Beherrsditen  ein  soldier,  den  man  in  seinem  Konigtum  wie  in  einem 
Lidite  erblidt-*)." 

Auf  die  konigliche  Mittlerlehre,  die  hier  wie  anderwarts  in  den  „pytha- 
goraisdien"  Konigstraktaten  sehr  deutlidi  formuliert  ist  und  die  im  Um- 
kreis  Friedridis  II.  gleidifalls  wiederkehrt,  sei  nidit  weiter  eingegangen^^). 
Der  entsdieidende  Satz  jedodi  iiber  den  gottlidien  Tediniten,  der  selbst  den 
Konig  geformt  hat,  stimmt  inhaltlidi  mit  Vineas  Lobrede  voUig  iiberein. 

Wie  ist  Vinea  nun  dazu  gekommen,  einen  Gedanken  des  Ekphantos  in 
soldi  erstaunlidier  Ahnlidikeit  zu  wiederholen?  Grundsatzlidi  wird  mit 
zwei  Moglidikeiten  zu  redinen  sein:  Vinea  konnte  den  gleidien  Gedanken 
gehabt  und  ihm  in  seiner  bibelnahen  Spradie  Ausdrudc  gegeben  haben,  oder 
aber  es  ware  mit  einer  indirekten  Oberlieferung  zu  redinen,  da  er  ja  die 
Stobaeus-Fragmente  selbst  nidit  gekannt  haben  kann. 

Hinsiditlidi  der  ersten  Moglidikeit,  der  der  Gedankengleidiheit,  lohnt 
es  sdion,  einige  Erwagungen  anzustellen.  Vineas  Ausdrudisweise  —  quern 
SMpremi  manus  opificis  formavit  in  hominem  —  lehnt  sidi  ganz  offenkundig 
an  Genesis,  2,  7  f ,  an:  Formavit  ergo  Dominus  Deus  hominem  . .  .  Gott  als 
SHpremus  opifex  oder  artifex  (Xcootos  texvIths)  ist  natiirlidi  ein  ganz  her- 
kommlidies  Bild,  so  alt  wie  die  Interpretation  des  Sedistagewerkes  selbst. 
Geht  man  nun  von  der  Genesis- Stelle  aus,  so  hattc  Vinea  im  Grunde  nidits 
anderes  getan,  als  das  vom  Mensdien  und  seiner  Ersdiaffung  generell  Ge- 
sagte  nunmehr  in  besonderer  oder  gar  aussdiliefilidier  Weise  auf  den  Kaiser 
und  Seine  Ersdiaffung  zu  beziehen.  Fricdridi  ware  demnadi  DER  Mensdi, 
der  neue  Urvatcr  gewesen,  der  wiederum  eins  war  mit  der  ganzen  Mensdi- 
heit,  als  deren  Inbegriff  Vinea  seinen  Hcrrn  denn  audi  darstellt-'). 


i«  » 


Kaiser  Friedrich  II.  und  das  Konigshild  des  Hellenismus 


173 


Es  ist  nun  aufierordcntlidi  bezeidinend,  daft  in  diesem  Falle  Vineas 
Methode  genau  die  gleidie  gewesen  ware  wie  die  des  Ekphantos.  Jener  Satz 
des  Ekphantos  findet  sidi  wortUdi  audi  bei  Clemens  von  Alexandrien,  der 
ihn  jedodi  anfiihrt  als  Zitat  aus  einer  Sdirift  ivEpl  tv/xo?  eines  anderen 
nPythagoraers",  des  Eurysos^^).  Eurysos  ist  ganz  gewifi  nidit  von  Ekphan- 
tos abhangig  gewesen-**).  Denn  das  Eurysos-Zitat  bei  Clemens  bringt,  trotz 
wortlidier  Cbereinstimmung,  einen  fundamental  anderen  Gedanken  zum 
Ausdrudc,  der  bestimmt  der  ursprunglidie  ist.  Eurysos  spridit  namlidi  gar 
nidit  vom  Konig,  sondern  vom  Mensdien  im  allgemeinen. 

„Sein  Gehause  hat  er  (der  Mensdi)  mit  den  iibrigen  Gesdiopfen  (den  Tieren) 
gemeinsam  insofern,  als  er  aus  dem  gleidien  Stoffe  gefertigt  ist.  Aber  er  (der 
Mensdi)  ist  von  dem  hodisten  Werkmeister  geformt,  der  ihn  fertigend  sidi  selbst 
Zum  Vorbild  nahm." 

Mit  anderen  Wortcn,  Clemens  von  Alexandrien  fiihrte  das  Zitat  aus  Eury- 
sos an  als  Bestatigung  der  Lehre  vom  Mensdien  als  imago  Dei,  eine  Lehre, 
die  —  von  Genesis,  1,  27,  ganz  zu  sdiweigen  —  in  einen  voUig  anderen  Zu- 
sammenhang  gehort,  sdion  damals  ihre  lange  Gesdiidite  hinter  sidi  hatte 
und  eine  nodi  langere  Gesdiidite  in  kunftigen  Jahrhunderten  entfalten 
sollte-"). 

Es  ware  also  Ekphantos  gewesen,  der  ansdieinend  als  erster  den  Satz  von 
der  Mensdienersdiaffung  im  allgemeinen  auf  die  der  Konigsersdiaffung  im 
besonderen,  ja  in  einem  aussdilieftlidien  Sinne,  iibertragen  hatte'").  Die 
Ahnlidikeit  zwisdien  Vinea  und  Ekphantos  liefe  demnadi  einzig  daraut 
hinaus,  dafi  beide  die  homo  imago  De«-Lehre  einseitig  zu  einer  aufs  aufierste 
gesteigerten  rex  imago  Def-Lehre  umgebogen  batten.  Durdi  dieses  einfadie 
Mittel  ware  der  Konig  nunmehr  als  der  einzige  von  Gott  selbst  nadi  seinem 
Ebenbild  Ersdiaffene  hingestellt  worden;  und  da  dem  Konig  ganz  selbst- 
verstandlidi  die  Aufgabe  zufiel,  seine  Untertanen  sidi  selbst  und  dadurdi 
Gott  anzugleidien,  so  war  er  kraft  der  uinriais  zu  einer  Art  MIttlerwescns 
erhoben,  um  somit  als  „letzter  der  Gotter,  aber  erster  der  Mensdien"  zu 
wirken  -  "Gedanken,  die  weder  Ekphantos  nodi  Vinea  nodi  audi  der 
papstlidien  Staatslehre  fremd  waren  und  die  audi,  wiewohl  in  anderer 
Brediung,  in  der  lex  animata-Lehrc  vorherrsdien")-  All  das  wurde  demnadi 
in  der  Hauptsadie  besagen,  daf5  der  Konig  in  fast  aussdilieftlidiem  Mafic 
die  imago  Dei  gewesen  sei.  Es  ist  nur  eine  aufierste  Uberspitzung  der  sonst 
sdion  fast  banal  zu  nennenden  und  allgemeingiiltigen  Ansdiauung  des 
Mittelalters,  der  gemafi  der  Konig  zwar  im  besonderen,  aber  keineswcgs 
cxklusiven  Sinne  als  imago  Dei  verehrt  wurde. 

Andererseits  ist  jedodi  audi  die  Moglidikeit  einer  Kontinuitat  der  Ober- 
lieferung nidit  von  der  Hand  zu  wcisen.  Es  liefien  sidi  wahrsdieinlidi  sehr 
vicle  Stellen  aus  dcr  byzantinisdien  Panegyrik  anfiihren,  die  in  irgendeiner 
Form  die  Gedanken  des  Ekphantos  aufnehmen  und  weiterspinnen.  Delattc 
hat    eine    Anzahl    soldier    Falle    zusammenstcUen    konnen,    in    denen    des 


ri    I  I    L    L 

u   u   u   u 


174 


Ernst  H.  Kantorowicz 


Ekphantos  Lehre  wenigstens  anklingt"-).  Hier  sei,  weil  der  zeitlidie  Ab- 
stand  von  Vinea  relativ  gering  ist,  nur  auf  eine  unbcaditete  Parallele  aus 
der  byzantinischen  Hofrhetorik  verwiesen.  In  einer  anonym  iiberlieferten 
Leidienrcde  auf  den  im  Jahre  1180  verstorbenen  Kaiser  Manuel  Komnenos 
sagt  ein  Rhetor'^): 

„Weh  mir,  o  Kaiser,  Gebilde  Du  der  Hande  des  besten  Werkmeisters,  Gottes 
{irAdaMaxEipcovdpiaTOTEXvoueEou);  Du  beseeltesGoIdbildnis  der  Konigsherrsdiaft 
(PaCTiAEia5XpwcroOv<i9(5puMa2mfiux°v).  das  -  Glut  des  Herzensfeuers  zwar,  dodi 
audi  eine  Hammerung  von  Drangsal  und  Muhen  —  auf  dem  gedrungenen  Ambofi 
der  Standhaftigkeit  von  dem  Demiurgen  weise  und  kunstredit  zu  einer  Stele  der 
Tapf erkeit  gefertigt  (els  avSpefa?  axriAri v  -rrpos  toO  SiimoupyoO  ao9cos  9iAoTexvTi6ev>) 
und,  wie  auf  einer  Sdiaubuhne  der  koniglidien  Warte,  den  Mensdien  als  Ur-Idee 
aufgeriditet  worden  ist   (irpos  dpxsTu-jTiav   dvepcb-rrois  .  .  .  dpQcoe^v)." 

Trotz  aller  Kiinstelei  und  durdi  alien  Schwulst  rhetorisdier  Oberladen- 
heit  hindurch  ist  doch  noch,  obwohl  gleidisam  fladigedriickt  durdi  das  Ge- 
hammcre  des  gottlidien  Bildhauer-Sdimiedes,  der  urspriinglidie  Gedanke 
zu  erkennen:  der  von  des  gottlidien  Aristotediniten  Hand  zum  Bild,  und 
damit  den  iibrigen  Mensdien  zum  Vorbild,  geformte  Kaiser,  ein  lebendes 
Goldbildnis  der  Ur-Idee  aller  Konigsherrsdiaft  oder,  wie  es  ein  Diditer  des 
spaten  13.  Jahrhunderts  ausdruckt,  ein  Euvfux°"  ivSaX^a  yuxfis  Tfjs 
paCTiAiKWTdTiis34).  Der  Leichcnredner  hat  freilidi  die  Metapher  des  Ekphan- 
tos ihres  metaphysisdien  Gehaltes  nahezu  entledigt,  indem  er  die  imago  Dei 
allzu  dinglidi  als  ein  von  Gott  -  hier  gewissermafien  einem  berufiten  He- 
phaistos  gleichend  -  mit  Hammersdilagen  gefcrtigtes  Goldbild  versteht. 
Aber  dieser  dinglidie  Bilddiarakter  des  Konigs  hat  sehr  viele  Parallelen'^), 
hervorgerufen  vielleidit  durdi  die  tatsadilidie  Bedeutung,  die  im  Osten 
dem  Kaiserbild  selbst  nodi  in  diristlidier  Zeit  zukam'"'). 

Angesidits  der  Byzanznahe  des  staufisdien  Grofihofes  ware  es  durdiaus 
statthaft,  wenigstens  die  Moglidikeit  offen  zu  lassen,  dafi  traditionelles  Ge- 
dankengut  der  hellenistisdien  Konigsspiegel  in  byzantinisdier  Brediung  auf 
Vinea  und  die  Capuaner  Rhetorensdiule  hiniibergewirkt  hat,  selbst  wenn 
sidi  eine  bestimmte  Quelle  nidit  mehr  so  eindeutig  feststellen  lafk  wie  ctwa 
im  Falle  der  Lehre  von  der  lex  animata^'').  Und  die  Frage  der  Oberlieferung 
lafit  sidi  audi  nur  allgemein,  aber  kaum  eindeutig  losen  in  bezug  auf  einen 
anderen  juristisdien  Bcgriff. 

Die  Paragraphen  I,  16-19  des  Liber  augustalis,  der  grofien  Konstitutio- 
nen-Sammlung,  die  Friedridi  II.  1231  in  Melfi  fiir  sein  siiditalisdies 
Konigreidi  veroffentlidit  hat,  und  zwar  gleidizeitig  in  lateinisdier  wie  in 
griediisdier  Spradie,  habcn  sdion  den  Zcitgenossen  ein  gewisses  Erstaunen 
abgenotigt.  Der  Kaiser  spridit  hier  von  einer  seltsamen  Einriditung  zum 
Sdiutze  des  individuellen  Besitzes  wie  dem  des  Individuums  und  seiner  An- 
gchorigen  gegen  Gewalt  durdi  das  Reditsmittcl  der  privaten  defensa'^^). 
Die  defensa   ist  ein   Friedegebot,   das  nidit  ein  Beamtcr  sondern   jeglidie 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hellenismus 


175 


Privatperson  einem  Angreifer  von  Besitz  oder  Personen  auferlegen  kann, 
indem  er  den  Kaiser  anruft  —  per  invocationem  nostri  (sc.  imperatoris) 
nominis^^).  Der  unreditmafiig  Angegriffene  sudite  sidi  also  zu  sdiiitzen 
durdi  Anrufung  des  Kaisernamens,  wobei  die  Formel  lautete:  ex  parte  impe- 
ratoris defendo,  oder  audi:  prohiheo  te  ex  parte  regis  (imperatoris)  quod 
me  offendere  non  praesumas.  Daraufhin  gait  der  Angriff,  wenn  er  dennodi 
erfolgte,  gleidisam  als  ein  Angriff  auf  die  Person  des  Kaisers  selbst,  und 
der  Fall  wurde  demgemafi,  unter  Aussdilufi  aller  Lokalgeriditsbarkeit, 
direkt  vor  das  Hofgeridit  gezogen.  Die  defensa  diente  unter  anderem  audi 
dazu,  die  koniglidie  Geriditsbarkeit  gegeniiber  den  lokalen  Gewalten  aus- 
zudehnen^*). 

Uber  die  Herkunft  dieser  Einriditung  ist  bisher  keine  Einigkeit  erzielt 
worden.  Dafi  die  Paragraphen  unter  Friedridi  II.  formuliert  worden  sind 
und  erst  1231  ihre  endgiiltige  Fassung  erhielten,  steht  wohl  fest.  Ebenso- 
wenig  kann  aber  bezweifelt  werden,  dafi  die  defensa  sdion  unter  den  Nor- 
niannen  bestanden  hat.  Ein  Dokument  vom  Jahre  1227  zeigt,  daE  nodi  vier 
Jahre  vor  der  Gesetzgebung  von  Melfi  nidit  nur  der  Herrsdier,  sondern  audi 
der  zustandige  Erzbisdiof  oder  ein  Lokalbeamter  angerufen  werden  konn- 
ten*').  Aus  normannisdier  Zeit  ist  ein  Fall  aus  dem  Jahre  1163  bekannt 
geworden,  der  in  der  Chronik  der  Abtci  Casauria  uberliefert  ist^^).  Weiier 
haben  einzelne  Gclehrte  versudit,  durdi  ein  Zuriidcdatieren  des  Stadtredits 
von  Trani  ins  elfte  Jahrhundert  die  defensa  nodi  friiher  anzusetzen'"). 
Andere  haben  daran  gedadii,  die  Institution  aus  dem  normannisdien  Redit 
herzuleiten  und  sic  mit  dem  //aro-Ruf  in  Verbindung  zu  bringen.  Haro 
ist  jedodi,  wie  das  englisdie  hue  and  cry  oder  das  hodideutsdie  zeter  ledig- 
lidi  ein  „Geruft",  das  juristisdi  als  ein  Beweismittel  der  handhaften  Tat 
diente,  und  dieser  Haro-Kuf,  der  freilidi  zunadist  ein  Alarmgesdirei  war, 
hattc  im  13.  Jahrhundert  nidits  zu  tun  mit  einem  privaten  Sclbstsdiutz 
per  invocationem  nomims  regis**). 

Was  Friedridi  II.  bezwedite,  als  er  1231  fiir  das  ganze  Konigreidi  ein- 
heitlidi  die  Anrufung  des  Herrsdiernamens  bei  Auferlegung  der  defensa 
anordnete,  sagt  das  Gesetzbudi  selbst  ganz  deutlidi;  es  war,  neben  vielem 
anderen,  cine  Manifestation  der  zumindest  potentiellen  Allgegenwart  des 
Kaisers:  et  sic  nos  etiam  qui  prohihente  individuitate  personae  ubique 
praesentialiter  esse  non  possumus,  ubique  potentialiter  adesse  credamur*^)^ 
Der  Glossator  Andreas  von  Isernia,  der  unter  den  ersten  Anjous  sdirieb, 
bemerkte  hicrzu  sehr  riditig:  Juxta  illud:  „An  nescis  longas  regibus  esse 
manusf"*^).  Ungehorsam  gegeniiber  einer  auferlegten  defensa  war  daher 
audi  gleidibedeutend  mit  einer  Veraditung  des  kaiserlidien  Namens,  so  dafi 
das  Gesetzbudi  die  Erwartung  ausspredien  konnte,  dafi  selbst  bei  falsdilidi 
gebotener  defensa  der  zu  unredit  Betroffenc  zunadist  gehordie  und  sogar 
sein  gutcs  Redit  fiir  den  AugenbliA  preisgebc  ob  reverentiam  culminis 
nostri"). 


ci,  ^bct^Au/t, 


.Cd- 


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Ernst  H.  Kantorowicz 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hdlenismus 


\77 


Das  sind  Ansdiauungen,  die  von  einem  einfadien  Gervift  weit  entfernt 
sind.  Hingegen  ist  die  Idee  der  potentiellen  Allgegenwart  des  Kaisers  urn 
so  naher  verwandt  der  antiken,  zumal  spatantiken  Vorstellung  von  der 
Allgegenwart  der  Kaiser-««m»>ja^*j.  So  ist  denn  audi  die  bisher  einzige 
einwandfreie  Parallele  zu  der  sizilisdien  Kaiserinvokation  bei  einem 
romischen  SdiriftSteller  der  Zeit  Mark  Aurels  gefunden  wordcn").  In  den 
Metamorphosen  des  Apuleius  (III,  29)  wird  erzahlt,  wie  der  unselige,  in 
einen  Escl  verwandelte  Lucius  sidi  gegen  seine  Peiniger  und  ihre  Sdilage  zu 
sdiutzen  sudite.  Er  besdilofi  ad  auxilium  civile  decurrere  et  interposito 
venerahili  principis  nomine  tot  aerumnis  me  liberare.  Er  entsdilofi  sidi  also 
dafiir,  zwisdien  sidi  und  seine  Peiniger  den  Namen  des  Kaisers  zu  „inter- 
ponieren".  In  einem  thessalisdien  Marktort  angelangt,  will  er  in  dem  Men- 
sdiengewimmel  der  Griedien  genuino  sermone,  also  dodi  wohl  in  seiner 
eignen  angeborenen  Spradie,  den  Namen  des  Kaisers  anrufen  (nomen 
augustum  Caesaris  invocare  temptavi).  Aber  Lucius  konnte  natiirlidi  nur 
in  ein  Eselsgebriill  ausbredien,  reliquum  autem  Caesaris  nomen  enuntiare 
nan  potui.  Dafi  sein  unmelodisdies  Brullen  die  Peiniger  nur  dazu  heraus- 
forderte,  mit  ihren  Lederriemen  um  so  kraftiger  auf  den  Esel  einzusdilagen, 
hat  mit  der  Sache  selbst  nidits  mehr  zu  tun,  da  ja  die  Eselstreiber  nicht 
wissen  konnten,  daB  sie  sidi  damit  beinahe  einer  Veraditung  des  Kaiser- 
namens  sdiuldig  gemadit  batten. 

Die  Stelle  zeigt  ganz  deutlich,  dafi  im  2.  Jahrhundert,  als  Apuleius,  der 
Isisglaubige  aus  dem  numidischen  Madaura,  seine  Metamorphosen  schrieb, 
eine  der  sizilisdien  defensa  durdiaus  wesensverwandte  Einrichtung  bestand 
und  dem  Diditer  —  sei  es  aus  Thessalien  oder  aus  Numidien  oder  vielleidit 
nur  aus  Gebraudien  der  Kulte  —  bekannt  war,  namlich  sidi  durch  die  An- 
rufung  des  Kaiser-Namens,  und  damit  des  Kaiser-Numens,  gegen  Angriffe  zu 
sdiutzen.  Auffallend  ist  es  nur,  dafi  sonst  im  romisdien  Bereidi  so  wenig 
von  dieser  Einriditung  bekannt  ist.  Denn  dafi  Graber  und  andere  Statten 
und  Stiftungen  unter  den  Sdiutz  des  Kaisers  gestellt  werden,  hat  mit  dem 
durdi  Kaiserinvokation  zu  erreidienden  momentanen  Reditssdiutz  nichts 
gemeinsam. 

Woran  jene  Invokation  viel  eher  erinnert,  ist  vielleidit  das  Asylredit  der 
Kaiserstatuen  und  der  Sdiutz,  der  dem  zukommt,  der  ein  Kaiserbild  beriihrt. 
In  diesem  Falle  wird  zwar  nidit  der  Name  des  Kaisers,  wohl  aber  das 
Bildnis  des  Kaisers  ninterponiert",  und  es  ist  bekannt,  dafi  dieses  Bildnis- 
Asylrecht  zu  dem  unstatthaften  Mifibrauch  gefiihrt  hat,  nun  einfadi  stets 
eine  Miinze  bei  sidi  zu  tragen,  um  somit  jeden  Augcnblidk  das  Miinzbild 
des  Kaisers  „interponieren"  zu  konnen  oder  es  wie  ein  Amulett  dem  Ver- 
folger  vorzuhalten^*).  Der  Untersdiied  zwischen  der  defensa  und  dem  ad 
statuas  conjugere  ist  natiirlidi  der,  dafi  im  ersten  Fall  der  unsdiuldig  Ange- 
griffene  den  Namen  des  Kaisers  interponiert,  wahrend  im  Falle  des  Statuen- 
Asyls  der  sdiuldig  Verfolgte  sich  durch  Flucht  zur  Kalserstatue  den  Ha- 
sdiern  entzieht.  Gemeinsam  ist  jedoch  die  Stellvertretung  des  Kaisers  durch 


Namen  oder  Bild.  Nun  ist  das  Asylwesen  in  Rom,  wenn  auch  vcrklart 
durch  das  legendare  Asylrccht  des  Romulus,  erst  im  Jahre  42  v.  Chr.  ein- 
gefuhrt  worden,  wahrend  cs  in  Agypten  schon  zur  Ptolemaerzeit  bestand*')- 
SoUte  dies  vielleicht  zum  Verstandnis  beitragen  dafur,  dafi  audi  der 
Namensanruf,  wie  ihn  Apuleius  beschreibt,  sich  auf  den  Brauch  im  ptolc- 
maischen  Agypten  zuriickfiihren  lafit? 

Die  einschlagigen  Stellen  hat  Wilhelm  Schubart  aus  den  Papyri  zusam- 
mengetragen  und  besprodien,  und  es  kann  hier  nur  das  von  ihm  Gesagte 
wiederholt  werden*-).  Ein  Tebtunis  Papyrus  des  2.  Jahrhunderts  v.  Chr. 
meldet,  dafi  in  einem  Dorf  ein  Mann  im  Bade  uberfallen  worden  sei.  In 
seiner  Besdiwerde  iiber  den  Vorfall  bekundet  der  Betroffene,  dafi,  „als  der 
um  midi  besdiaftigte  Diener  den  Konig  um  Hilfe  rief,  mehrere  Leutc  her- 
beikamen"*").  Dafi  der  Konig  selbst  gerade  in  der  Nahe  des  dorflidien 
Badehauses  geweilt  habe,  ist  mehr  denn  unwahrscheinlich.  Gemeint  ist,  dafi 
der  Junge  den  Konigsnamen  ausstiefi,  woraufhin  die  Leute  zu  Hilfe  eilten. 
Ahnlich  heifit  es  bei  einer  anderen  Gelegenheit:  „Als  idi  zum  Konig  rief 
mir  beizustehen,  horten  mich  einige  von  den  anderen  und  eilten  herbei**).* 
Wenn  ferner  die  Tempelsklaven  der  Bubastis  an  den  machtigen  Finanz- 
beamten  Zenon  schreiben,  es  hatte  sich  eine  Anrufung  des  Konigs  eriibrigt, 
da  ja  er,  Zenon,  gegenwartig  sei*'),  so  entsprache  das  etwa  der  Anrufung 
der  Lokalgewaltigen  des  vor-friderizianischen  Rechts  in  Sizilien. 

Es  ist  naturlich  richtig,  dafi  in  diesen  Fallen  der  Konigsnamen  audi  als 
Alarmgeschrei  diente,  um  Hilfe  herbeizurufen.  Aber  es  ist  doch  aufier- 
ordentlich  bezeichnend,  dafi  man,  um  Larm  zu  schlagen,  eben  nicht 
..zeterte",  sondern  den  Namen  des  Konigs  anrief,  also  etwa  schrie  paaiXtO 
poi^OEi,  so  wie  man  spater  gerufen  hatte  XpicrxJ  Poi^Oei.  Es  bleibt  ferner 
bestehen,  dafi  man  den  Konigsnamen  anrief,  wenn  ein  Angriff,  eine  Mifi- 
handlung  oder  ein  sonstiger  Rechtsbrudi  drohte  oder  stattfand,  und  in 
dieser  Bezichung  stimmt  dann  der  Brauch  in  Agypten  durchaus  iiberein  mit 
dem  bei  Apuleius  beschriebenen  Verfahren:  der  Name  des  Ptolemaerkonigs 
wurde  wie  der  des  Kaisers  „ interponiert",  geradeso  wie  spater  der  Name 
Christi  oder  Gottes  gleichsam  interponiert  wurde.  Die  Reditsbedeutung 
dessen  hat  Schubart  sicher  riditig  umschrieben,  wenn  er  sagt,  dafi  durdi  die 
i  Anrufung  des  Konigs  die  Tat  „offentlidi"    wurde  und  damit  zur  Hilfe- 

leistung  verpfliditete.  Daneben  hat  jedoch  die  Invokation  des  Herrscher- 
namens  auch  etwas  Soteriologisches.  Der  Herrscher  ist  dXt^fKOKos.  Durcii 
seine  Allgegenwart  ist  er  nahe,  audi  wenn  er  leiblich  fern  ist.  Sein  Zorn 
erreicht  den  Missetater,  und  „am  Zorne  des  Konigs  stirbt  man"**). 

Es  ist  wohl  kaum  zu  bezweifeln,  dafi  die  Papyri  und  Apuleius  die  gleiche 
Rechtsanschauung  wiedergeben.  Dies  scheint  weniger  wahrsdieinlich  hin- 
sichtlidi  der  facpdricxts  oder  Korapdnffi^,  die,  gleichfalls  in  ptolemaisdien  Pa- 
pyri nachweisbar,  dann  im  byzantinischen  Recht  eine  gewissc  RoUe  spielte 
und  sdiliefilich  in  dem  weitverbreiteten  Ndpos  yscopyiKd?  (vcrmutlich 
7.  Jahrhundert)  einen  Niederschlag  fand*^).    Das  Verfahren  ist  nach  den 

12     Reinhardt-Festsdirift 


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Ernst  H.  Kantorowicz 


wenigen  Andeutungen  des  Agrargcsetzes  nicht  deutlidi  zu  rekonstruieren, 
doch  handelt  es  sich  darum,  dafi  man,  vorwiegend  bei  Besitzstorung,  das 
„Geschrei"  erhob,  das  heifit:  bei  den  lokalen  Beamten  (im  Jahre  441  war 
es  der  Proconsul  der  Provinz  Asia)  „Einspruch"  oder  Klage  erhob^'^).  DaR 
diescr  Einsprudi  mit  Berufung  auf  den  Herrsdicr  erfolgte,  ist  wohl  fiir 
Agypten,  doch  nicht  fiir  Byzanz  bezeugt,  und  nur  die  Tatsache,  dafi  an- 
sdieincnd  das  Delikt  der  Besitzstorung  dabei  im  Vordergrund  stand,  liefie 
vielleicht  an  einen  Zusammenhang  mit  der  dejensa  des  sizilischen  Ge- 
setzbuches  denken^"). 

Der  Glossator  der  sizilischen  Konstitutionen,  Andreas  von  Isernia,  erklart 
mehrmals,  daft  das  ius  defensae  cin  ius  novum  darstelle*').  Das  ist  so 
nicht  richtig,  da  die  dejensa  unter  Anrufung  des  Konigs  oder  einer 
Lokalgewalt  schon  vor  1231  bestand.  Vielleicht  beschrankte  sich  die  Neue- 
rung  Friedrichs  II.  einfadi  darauf,  dafi  er  die  defensa  aus  dem  Lokal- 
bereich  endgiiltig  herausgelost  hat,  um  fiir  das  ganze  Konigreich  die  Auf- 
crlegung  der  defensa  durch  Anruf  des  Kaisernamens  vorzuschreiben.  Das 
Delikt  wurde  damit  unweigerlich  —  gleichsam  als  ein  plackum  coronae  —  vor 
das  Hofgeridit  gezogen.  Es  ist  dabei  gar  nicht  unmoglich,  dafi  Friedrichs 
„Neuerung"  direkt  auf  Apuleius  zuriickging,  wenigstens  in  der  Formulie- 
rung:  nomen  august  um  Cae  saris  invocare  bei  Apuleius  klingt  an  die  zwei- 
malig  wiederholte  invocatio  nostri  nominis  im  GeSetzbuch  doch  so  stark  an, 
daft  eine  Abhangigkeit  glaubhaft  erscheint.  Mit  Apuleius  war  man  damals 
durchaus  vertraut.  Johann  von  Salisbury  hat  ihn  vielfach  benutzt**).  Eine 
Handschrift  der  Metamorphosen  in  beneventanischer  Schrift  lafit  sich  im 
12.  Jahrhundert  in  Monte  Cassino,  also  im  sizilischen  Konigreich,  nach- 
weisen*-).  Es  liegt  kein  Grund  vor  zu  vermuten,  dafi  den  „Apuliern"  Apu- 
leius unbekannt  gcwesen  und  ihnen  die  Bedeutung  des  Kaiseranrufs  ent- 
gangen  sein  soUte. 

Trifft  dicse  Annahme  zu,  so  hatte  Friedrich  II.  durch  die  Vermittlung 
des  Apuleius  de  facto  gar  nicht  romischen,  sondern  hellenistischen  oder 
ptolemaischen  Brauch  wiederhergestellt.  Dies  wiirde  allerdings  nur  fiir  die 
Invokation  des  Kaisernamens  gelten,  denn  dem  Rechtsmittel  der  defensa 
selbst  mogen  andere  Rechtsanschauungen  zugrunde  liegen. 

Eine  dritte  kleine  Beobachtung  sei  hier  abschliefiend  angefiigt,  deren  Aus- 
wertung,  wenn  sie  iiberhaupt  Wert  hat,  anderen  iiberlassen  bleiben  mag. 
Es  handelt  sich  um  ein  Gedicht,  das  den  Einzug  Friedrichs  II.  in  Jerusalem, 
am  17.  Marz  1229,  verherrlicht. 

Aus  den  Casus  Sancti  Galli  hat  jiingst  Walter  Bulst  die  Bezeichnung 
susceptacula  regum  zutage  gefordert  und  damit  hochst  dankenswerter  Wcise 
den  terminus  technicus  wieder  eingefiihrt  fiir  eine  Gattung  von  Liedern, 
die  zum  feierlichen  Empfang  eines  Herrschers,  eben  ad  regem  suscipiendum, 
gcdichtet  und  vorgetragen  wurden").  Soldie  Gedichte  fiir  den  Adventus 
oder  die  Epiphanie  eines  Herrschers,  oder  auch  Bischofs,  sind  iiberaus  zahl- 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hellenismus 


179 


reich  aus  spat-  und  nachkarolingischer  Zeit  iiberliefert.  Spater  treten  sie 
zurilck  und  werden  seltener,  vielleicht  weil  dann  die  strengeren  Formcn  des 
liturgischen  Empfangs  fiir  die  freieren  literarischen  Erzeugnisse  wenig  Spiel- 
raum  mehr  licficn.  Erst  im  Spatmittelalter  tritt  die  Adventus-Dichtung 
wieder  schr  stark  hervor,  und  zwar  gab  dann,  ahnlich  wie  in  der  Musik"^), 
die  Liturgie  selbst  durch  Lockerung  oder  gar  Zerfall  ihrer  Strenge  den  Stoff 
her  fiir  die  so  beliebten  tableaux,  die  —  bereichert  noch  um  renaissancehaft 
klassizistische  Motive  —  den  nunmehr  auch  staatsrechtlich  wichtig  gewor- 
denen  Einzug,  die  entree  joyeuse  eines  Fiirsten  verherrlichten*'^). 

In  Byzanz  ist  der  Verlauf  ein  etwas  anderer  gewesen.  Aus  einer  sehr 
reichen  Tradition  schopfend  hat  die  Epiphanie-Dichtung  und  -Rhetorik 
stets  und  zu  alien  Zeiten  ihren  festen  Platz  im  Kaiserzeremoniell  behalten. 
Dabei  gait  diese  zeremoniellc  Dichtung  und  Redekunst  nicht  nur  dem 
Empfang  und  Einzug  selbst,  wenn  der  Kaiser  siegreich  oder  nach  langerer 
Abwesenheit  wieder  in  seine  Hauptstadt  zuriickkehrte,  sondern  sie  war 
unerlafiliches  Beiwerk  bei  jedcr  „Epiphanie"  des  Kaisers,  jedem  offiziellen 
Erscheinen  in  feierlicher  Form.  Oberhaupt  ist  ja  im  Osten  ganz  ahnlich 
wie  in  der  Antike  die  Idee  der  Epiphanie,  die  immer  zugleich  eine  Mani- 
festation des  Gottlidien  einschlofi,  im  Kult  wie  im  Leben  von  unendlich 
grofierer  Bedeutung  gewesen  als  im  Westen.  Das  trifft  zu  fiir  die  liturgi- 
schen Handlungen  der  Kirche  -  man  denke  etwa  an  die  Kronung  von 
Taufling  oder  Brautpaar  -  aber  auch  fiir  die  Liturgie  des  Hofes.  Hierhin 
gehorte  dann  auch  jene  Zurschaustellung  des  Kaisers  an  bestimmten  Kirchen- 
festen  (Weihnachten  und  Epiphanien)  und  an  bestimmten  Hoffesten  (Kro- 
nung und  Hochzeit),  wenn  sich  der  Basileus  auf  einer  mit  Stoffen  und 
Teppichen  reich  verkleideten  Estrade,  genannt  Prokypsis,  dem  Volke  zeigte. 
Das  Zeremoniell  verlangte  dabei,  daft  die  Vorhange,  die  zunadist  den 
Kaiser  verhiillten,  im  gegebenen  Augenblidt  und  nach  vorbcreitendem  Ruf- 
lied  —  richtigen  KXritixa  —  plotzlich  zuriicJigezogen  wurden,  um  den  Blick 
auf  den  Kaiser  freigebend  gleichsam  seine,  und  zugleich  die  gottliche,  Epi- 
phanie zu  symbolisieren.  Bei  dieser  Schaustellung  traten  dann  Poeten  und 
Rhetoren  in  ihre  Rechte,  die  in  mehr  oder  minder  festgepragten  Formen 
dieses  hochst  artifizielle  „Erscheinen"  des  Kaisers  feierten*'). 

Von  den  karolingischen  susceptacula  wie  von  den  byzantinischen  Epi- 
phaniegedichten  unterscheidet  sich  das  Gedicht  auf  Friedrich  II.  insofern, 
als  es  nicht  eigentlich  zur  Empfangs-  oder  Erscheinungsfeier  selbst  gedichtet 
worden  ist,  sondern  nur  des  Kaisers  Adventus,  seinen  Einzug  in  Jerusalem, 
beschreibt.  Dies  geschieht  allerdings  in  einer  Weise,  die  dem  sonst  fiir 
Empfange  und  Einziige  iiblichen  Ideengehalt  vollig  gleichkommt.  Dafi  der 
Dichtcr,  ein  Passauer  Kanoniker  namens  Marquard  von  Ricd,  selbst  im 
Heiligen  Land  anwesend  und  somit  Augenzeuge  war,  als  Friedrich  II.  in 
Jerusalem  einzog,  ware  an  sich  moglich  gewesen.  Bezeugt  ist  das  nicht,  und 
die  Inserierung  des  Gcdichtes  in  die  im  Wiener  Schottenkloster  entstandene 
Fortsetzung  der  Klosterneuburger  Annalen  weist  nur  auf  die  gleichen  Be- 


«• 


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zirke  im  Siidosten  des  Reiches  hin,  in  denen  Marquard,  um  1240  Propst  von 
Matsec  im  Salzburgisdien,  audi  sonst  zu  suchen  ist").  Aus  dem  relativ  um- 
fangreichen  Gedidit  seien  hier  zwei  Versgrupp)en  angefiihrt,  die  fiir  den 
Adventus  augusti  bezeichncnd  sind***). 

Subdita  sunt  elementa  Deo:  quos  foverit  ille, 

Ilia  fovent,  e  converso  quos  urserit  urgent. 

Adveniente  Dei   famulo  magno  Friderico 

Sol  nitet,  aura  tepet,  aqua  bullit,  terra  virescit. 

Fons  inquam  Syloe  qui  tnultis  aruit  annis, 

Nunc  quasi  congaudens  producit  aquas  salientes  .  . . 

Jerusalem  gaude  nomen  domini  venerare 

Magnifica  laude:  vis   ut  dicam  tibi  quare? 

Rex  quia  magnificus  Jesus  olim,  nunc  Fridericus, 

Promptus  uterque  pati,  sunt  in  te   magnificati. 

Obtulit  ille  prior  semet  pro  posteriore 

Et  pro  posterior  sua  seque  prioris  honore, 

Hie  Deus,  ille  Dei  pius  ac  prudens  imitator. 

Die  erste  Gruppe  der  bier  angefubrten  Verse  diene  lediglidi  dazu,  den 
„messianisdien"  Charakter  klarzustellen,  der  fast  stets,  oder  doch  sehr 
haiufig,  in  die  Adventus-Diditung  eingewoben  ist.  Die  vier  Elemence  sind 
Gott  untertan;  doch  sie  gebordien  dem  Diener  Gottes  und  darum  begiinsti- 
gen  sie  den  Kaiser  bei  seinem  Einzug  {adveniente  Dei  famulo).  Die  Sonne, 
hier  das  Element  des  Feuers  vertretend,  brennt  nicht,  sondern  sie  strahlt; 
die  Luft  ist  lau;  das  Wasser  sprudelt;  die  Erde  sdimiickt  sich  mit  neuem 
Griin;  und  der  seit  vielen  Jahren  trockene  Siloam-Quell  bringt  springende 
Wasser  hervor,  um  seine  Mitfreude  am  Erscheinen  des  Kaisers  zu  bezeugen. 
Das  alles  ist  gewifi  kein  verstedtter  Hinweis  darauf,  da(5  es  Friihling  ist, 
obwohl  ja  Friedridi  II.  im  Marz  in  Jerusalem  einzog.  Gemeint  ist  natiir- 
lidi  jener  messianisdi  zeitlose  Friihling,  der  kalenderwidrig  audi  im  Som- 
mer,  Herbst  oder  Winter  herrsdien  wurde,  sobald  der  Gesalbte  crsdieint*'). 
In  Agypten,  zum  Beispiel,  hatte  die  Epiphanie  des  Herrsdiers  oder  seiner 
Beauftragten  ein  Steigen  des  Nils  zur  Folge^"). 

Worauf  es  hier  jedodi  ankommt,  ist  nidit  die  messianisdie  Stimmung  des 
Advents,  sondern  der  in  der  zweiten  Versgruppe  enthaltene  antithctisdic 
Vcrgleidi  des  in  Jerusalem  einreitenden  Kaisers  mit  Christus  am  Palm- 
sonntag,  die  durdi  ein  hic-ille  eingefiihrte  christomimesis  des  Kaisers:  Hie 
Deus,  ille  Dei  pius  ac  prudens  imitator.  Vergleidie  des  Herrsdiers  mit  Gott 
oder  Christus  sind  iiberaus  haufig  im  Mittelalter:  der  Konig  ist  quasi  oder 
sicut  Deus  in  terris.  Antithesen  wiederum  wiirden  das  Untersdieidendc 
zwisdien  der  gottlidien  Allmadit  und  der  koniglidien  Teilmadit  hervor- 
heben.  Das  ist  hier  jedodi  nidit  der  pall.  Die  Antithetik  dient  viclmehr 
dem  Vergleidi;  sie  dient  dazu,  den  Untersdiied  zu  verwisdien  oder  ihn 
vergessen  zu  madien  und  den  Bild-Parallelismus  zwisdien  dem  einzichendcn 
Kaiser  und  dem  einziehenden  Gott  hervorzuheben.  Das  Erregcnde  an  jener 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hcllenismus  181 

Apostrophe  der  Einzugsstadt  Jerusalem  besteht  gerade  in  dem  Element  der 
Gleidi-  Oder  Ein-cbnigkeit  von  Gott  und  Kaiser,  die  hier  durdi  das  Bild 
des  Einzugs  erzeugt  wird,  und  in  dem  der  wediselseitigen  Bedingtheit,  in- 
dem  der  Gott  fur  den  Kaiser  das  Bild  und  Vorbild  aufgestellt,  der  Kaiser 
aber  das  Bild   des  Gottes  erneuert  und  ins  Gedaditnis  zurudcgerufen  hat. 
„Dieser  ein  Gott,  jener  des  Gottes  frommer  und  kluger  Mime."  Diese  Art, 
die   christomimesis    nidit   durdi   Aufzahlung   von    Tugenden    wie   justitia, 
aequitas,    dementia,   sondern   gleidisam   als   aktives   Bild   buhnenmafiig    zu 
vergegenwartigen,  ist  im  Westen  sonst  eher  den  Sdiilderungen  von  Heiligen      J^ 
vorbehalten:  sie  sind  es  vor  alien  anderen,  die  wie  Franziskus  siditbar  in 
den  Fufitapfen  ihres  Herrn  wandeln  und  als  die  wahren  Nadiahmer  Christi 
audi  ihrem  Herrn  Ahnlidies  verriditen.  Mit  Bezug  auf  Kaiser  und  Konige 
1st  jedodi  soldie  Bildgleidiheit  begreiflidierweise  selten,  wenn  man  von  dem  .1  ' 
Sitzen  auf  dem  Konigsthron  oder  Riditerstuhl  absieht.    Erst  die  spatmittel-     '' 
alterhdie,    und    zumal    franzosisdie,    Konigsmystik    hat    die   Bildgleidiheit 
von  Herrsdier  und  Gottheit  audi  in  andere  Bereidie,  wie  in  das  des  Wunder- 
wirkens,  hineinprojiziert. 

All  dies  ist  anders  im  Osten,  wo  gerade  jene  Art  des  antithetisdien  Bild- 
vergle.dies  hundertfadi  zu  belegen  ist,  zumal  in  der  Epiphaniediditung^')- 
Es  genuge  hier,  nur  eines  der  Epiphanie-Gedidite  anzufuhren,  die  bei  der 
Prokypsis  am  Epiphanienfest,  im  Osten  bekanntlidi  die  Feier  der  Taufe 
Chnsti,  vorgetragen  wurden.  Der  Verfasser  ist  Theodoros  Prodromes,  ein 
gefeierter  D.diter  der  Komnenenzeit,  der  Johannes  Komnenos  (1118-1143) 
mit  folgenden  Versen  begriifite'^) : 

•I6o0  SiirXfi  TTovi^yupis,  SmAti  xapdt  'Pconaiois, 
Aovrrpa  Xpitrrou,  xai  Tpdiraia  AauTTpA  toO  ^aa\Ui^' 
Xpiaxos  dXoueri  Si"  i^yas  Xovn-pu  tco  twv  OSotcov, 
dva?  iirXuveti  61  i\\ia%  Aourpcp  tu  twv  16pwTcov 
6  piv  ouvrpipsi  KEcpoXAs  Iv  Oecrri  6paK6vTuv, 
6  6i  ouyKAivEi  Ke<potAas  «Trl  xfi^  yfis  pappApcov 
6  piv  ToOs  §K9coAEuovTas  69EIS  dnroKTivvOEi, 
6  6i  ovyKAElEi  9coA£oTs  tous  irpiv  Avetous  repaos' 
t6v  \xiv  t6  TTVEOMa  napTupEl  -n-Epicn-Epas  ^v  eISei, 
Tov  6'  ^  Aeuki^  TTEpiCTTEpa  TT)?  vIktis  KOtTOyy^AAEl' 

t6v    piu    (pcovfl    TTOtpCt    TTOtTpbs    Ul6v    &VO(KTlpUTTEl, 

Tov  hi  Hepctcov  6Ao9p£UTfiv  to  Trpoyncrra  powaf 

60KU  <pcovfi5  kl  oOpavoO  SEvnipos  ^ttokoOeiv 

Powatjs  TT&Aiv  AaoT5,  oCrros  6  PoctiAeus  \io\j-  -  . 

CtiiTOS    Ets    6V    E066KTl<Ta,    TOUTCp    Kol    TTEieapXEiTE- 

<5iM96TEpoi  Koc0a(pov/ai  ii\v  paaiA(5o  irdAiv 
Aovn-pols  AvoyEwi^OECOs  Kal  iraAiyyEVEalos  •  •  • 


tii.  et' 


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182 


Ernst  H.  Kantorowicz 


Das  wiirde  in  einfadier  Obersetzung  etwa  lauten: 

Sieh  da,  zweifadie  Feier,  zweifadie  Freude  den  Romern: 

Christi  Bad  und  des  Kaisers  glanzende  Siegesmale. 

Christus  ward  fiir  uns  gewasdien  im  Bad  des  Wassers, 

Der  Herrsdier  ward  fiir  uns  gespiilt  im  Bad  des  Sdiweifies. 

Jener  zermalmt  im  Wasser  Dradienkopfe, 

Dieser  beugt  zur  Erde  Barbarenkopfe. 

Jener  totet  die  Schlangen  im  Hohlensdilupf, 

Dieser  versdiliefit  die  einst  dreisten  Perser  in  ihrem  Schlupf. 

Jenen  bezeugt  der  Geist  in  Taubengestalt, 

Diesen  vermeldet  das  WeifS  der  Siegestaube. 

Jenen  kiindet  des  Vaters  Stimme  als  Sohn, 

Diesen  rufen  die  Taten  aus  als  Perser- Verderben. 

Mir  sdieint,  idi  hort  zum  zweitenmal  vom  Himmel  eine  Stimme, 

Die  wieder  Volkern  zuruft:  „Dies  ist  mein  Konig, 

An  ihm  hab  idi  Gefallen,  und  ihm  gehorcht." 

Sie  beide  reinigen  die  Konigsstadt 

Durch  Bader  von  Wieder-  und  von  Neugeburt. 

Das  Gedanken-  oder  Bildersdiema  dieser  Verse  bedarf  kaum  des  Kom- 
mentars.  Wie  in  den  Versen  auf  den  Einzug  Friedrichs  II.  in  Jerusalem 
bildct  hier  der  antithetisdie  Vergleidi  das  wesentliche  Stilmittel.  DaiJ  uns 
die  Vergleiche  eines  tertium  zu  entbehren  scheinen,  liegt  an  uns,  nidit  an 
dem  DIchter,  der  sidi  nur  der  herkommlichen  Metaphern  bedient.  Fiir  den 
Westen  ist  der  6.  Januar  das  Fest  der  heiligen  Drei  Konige.  Fiir  den  Byzan- 
tiner  ist  es  das  Fest  der  Taufe  Christi,  das  wiederum  als  Siegcsfest  gesehen 
wird.  Hundertfach  wiederholen  die  Stichoi  der  ostlichen  Liturgien,  aber 
audi  die  Malereien,  das  Bild  des  im  Jordan  auf  die  Dradien  tretenden 
Christus.  Umgekehrt  aber  ist  der  Sieg  iiber  den  Dradien  dem  iiber  Bar- 
baren  oder  andere  Kaiserfeinde  sdion  auf  Miinzen  und  Medaillen  der  kon- 
stantisdien  und  nadikonstantisdien  Zeit  gleidigesetzt  worden:  dag  La- 
barum  mit  den  Kaiserbildern  auf  den  Dradien  aufgepflanzt  oder  der 
Kaiser,  den  Kreuzstab  in  der  Hand,  mit  dem  Fufie  auf  eine  Sdilange  mit 
Mensdienkopf  tretend'^).  Ebenso  ist  die  Geisttaube  iiber  dem  Jordan  audi 
die  Siegestaube,  die  oft  genug  in  ihrem  Sdinabel  den  Siegeskranz  tragt,  um 
Christus  zu  kronen'^).  Und  die  Katharsis  des  Reidies  durdi  den  Sdiweifi 
des  Kaisers  ist  gleidifalls  ein  seit  friihester  Zeit  unendlidi  oft  wiederholtes 
Bild'^).  Der  Osten,  der  wcit  mehr  als  der  Westen  jedcs  Fest  Christi  bild- 
haft  als  Siegesfest  auszulegen  vermag,  ist  darum  audi  unendlidi  viel  reidier 
an  Moglidikeiten,  den  Kaiser  mit  Christus  zu  vergleidien,  als  der  Westen. 
Der  kaiserlidie  christomimctcs  in  Byzanz  wandelt  ex  officio  unaufhorlidi 
in  den  Fufitapfen  seines  gottlidien  ^Mitkonigs"  wie  im  Westen  nur  ein 
heiliger  Franziskus'").  Das  ergibt  dann  audi  jene  Verfloditenheit  von 
Kaiser  und  Gottmensdi,  die  es  gestattet,  die  Himmelsstimme  den  Kaiser 


Kaiser  Friedrich  II.  und  das  Konigsbild  des  Hellenismus 


183 


gleidisam  als  Sohn  vcrkunden  zu  lassen  oder  von  Kaiser  und  Christus  als 
den  „zwei  Sonnen"  Neu-Roms  zu  singen"). 

Zwei  weitere  Beispiele  seien  hier  angefiigt,  wcil  sie  nodi  naher  an  die 
Zeit  oder  Umgebung  Friedridis  II.   heranfuhren.  Nikephoros  Blemmides, 
ein  Rhetor  und  Gelehrter  der  Laskaridenzeit,  der  unter  anderem  audi  cine 
Leidienrede  auf  Friedridi  II.,  den  Freund  und  Sdiwiegervater  des  Kaisers 
Johann  Vatatzes,  verfafite,  sdirieb  auf  die  Geburt  eines  kaiserlidien  Prinzen 
ein  ubersdiwanglidies  Gedidit.  Der  Neugeborene  ist  Sohn  des  Helios,  Kind 
der    Selene    ('HXiou  tekvov  TraMfpaoC/s,  Aap-rrpas  aeAi^vrisyovE).  Vom  Vater  hat 
er  die  Intellektualitat  (voepoxtis),  von  der  Mutter    die  Besonnenheit  oder 
Enthaltsamkeit  ((Jco<ppoCTuvTi).  Dann  folgen  die  Vergleidie: 
„Der  Jungfrau  Kind  ist  Christus;  du  das  der  Keusdiesten. 
Der  Vater  Christi  ist  hodiste  Vernunft,  Allherrsdier,  Allregiercr; 
Dein  Vater  ist  der  hodiste  Intellekt  bei  uns  auf  Erden. 
Der  Vater  Christi  ist  durdis  Los  Selbstherrsdier,  Selbstregierer; 
Denn  von  Christus  stammt  der  christos.  und  du  bistGesalbter  durdi  diesen." 
Es  folgt  dann  nodi  ein  Vergleidi  mit  den  drei  Magiern,  die  einst  Christus 
aufsuditen,  wahrend  jetzt  die  Untertanen  den  Neugebornen  sudien,  um  ihm 
Gold  zu  bringen^").    Das  gleidie  Sdiema  findet  sidi  bei  einem  suditallsdien 
Gnedien,  Nikolaus  von  Otranto,  wohl  der  Sohn  von  Friedridis  II.    GroK- 
hofnotar   Johann    von   Otranto,    der   zur    Feier    des    Malers   Paulus    von 
Otranto  den  Apostel  Paulus  als  literarisdie  Staffage  benutzt. 
„Ein  einziger  Paulus  nur  war  unter  den  Aposteln; 
Und  nur  ein  Paulus  ward  geboren  unter  Malern. 
Es  spridit  in  Worten  jener  bis  zum  heutigen  Tag; 
So  spridit  in  Bildnissen  die  Malerei. 
Jener  die  Leudite  des  gesamten  Erdenrunds, 
Dieser  die  Zier  in  allem  Kirdienbau^*)." 
Es  ist  fraglos,  dafi   diese  antithetisdien  Vergleidie,  die  auf  der  Basis  des 
b  \>kv  —  b  hi    Gottheit  und  Herrsdier  gleidisam  in-eins-setzen  und  auf  eine 
Ebene  bringen,  ein  aulkrst  beliebtes  und  immer  wiederkehrendes  Stilmittel 
bildcn"*').    Es  findet  sidi  natiirlidi  auch  bei  Rednern  und  Predigern.  So  sagt 
Eustathius  von  Thessalonidi,  der  Homersdioliast,  in  einer  Epiphanienredc 
vor  Kaiser  Manuel   Komnenus:     „Der   Allkonig     (TrauPacriXsOs)     Jesus   hat 
gegen  den  mit  Blutsdiuld  beflediten  ewigen  Tod  das  gewaltige  Siegeszeidien 
aufgeriditet;    du   aber,   o    Retter-Kaiser      (di    auTep    pacriAeO),    hast   —   so 
wage  idi  es  zu  sagen  -  gegen   den  mensdienverderbenden  Krieg  gefoditen 
und  hast  dieses  totbringende  Ubel  in  die  Tiefe  hinabgesdileudert***)." 

Die  Gesdiidite  soldier  Vergleidie  von  Gottheit  und  Fiirst  mittels  der  Anti- 
these  im  einzelnen  zu  verfolgen,  geht  hier  nidit  an.  Sie  finden  sidi  iiberall 
in  Byzanz,  im  lateinisdien  Bereidi  etwa  bei  Corippus"-).  Die  romisdien 
Kaiser-Panegyriker  des  3.  Jahrhunderts  sind  voU  soldier  Bilder  genau  wie 
die  romisdien  Kaiserdiditer  —  man  denke  etwa  an  Martials  Vergleidie  von 


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184 


Ernst  H.  Kantorowicz 


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Domitian  mit  Hercules  und  anderen  Gottern«»).  Das  friiheste  soldier  Epi- 
phanie-Gedidite,  das  wir  kennen  und  das  Gottheit  und  Konig  gleichsam  auf 
einen  Nenner  bringt,  um  sdiliefilidi  sogar  den  gegenwartigen  Konig  iiber 
die  abwesenden  und  „ohrenlosen"  Gotter  zu  stcllen,  sind  jene  Ithyphalloi, 
die  dem  Demetrius  Poliorketes  bei  seinem  Einzug  als  Befreier  Athens  im 
Jahre  290  v.  Chr.  vorgetragen  wurden  und  die  dann  den  Athenern  wie  ein 
modemer  ^Sdilager"  in  den  Ohren  lagen**^).  Das  Gedicht,  desscn  Anfang 
nidit  erhalten  ist,  wird  mit  einem  Vergleidi  von  Demeter  und  Demetrius 
begonnen  haben.  Beide  mogen  als  Athen  besonders  nahestehend  und  zu- 
gehorig  gefeiert  worden  sein;  denn  der  Diditer  fahrt  dann  fort: 

So  wie  die  grofiten  und  die  liebsten  Gotter  sind 

Sie  der  Stadt  erschienen; 
Denn  hierher  hat  Demetrios  und  Demeter 

Hergefiihrt  der  Kairos. 
SIE  kam,  um  die  hodiheiligen  Mysterien 

Kores  zu  begehen; 
ER  aber  ist  gleidi  einem  Gotte  sdion  und  heitcr 

lachelnd  gegenwartig  . . . 

Es  ist  erstaunlidi,  wie  wenig  an  diesem  Schema  die  christliche  Diditung  im 
Grunde  verandert  hat.  Von  dem  Spielcn  mit  dem  theophoren  Namen  ganz 
zu  sdiweigen«),  ist  cs  vor  allem  die  erstrebte  Gleichebnigkeit  von  Gottheit 
und  Herrscher  bei  ihrer  Epiphanie,  die  als  das  Konstante  erscheint,  aber 
auch  der  durch  ein  6  uiv  -  6  U  eingeleitete  antithetische  Vergleidi,  der 
dann  von  den  Byzantinern  -  natiirlidi  im  Sinne  von  Christus  und  Basi- 
leus  -  bis  zur  Ermudung  wiederholt  wird.  Erst  in  Byzanz  ist  allerdings 
das  sdiematisdie  „Ableiern"  soldier  Vergleidie,  vielleidit  nadi  dem  Vorbild 
osthdier  Liturgien8«),  zur  wirklidien  Mode  geworden. 

Wie  der  Passauer  Diditcr  dazu  kam,  in  etwas  uberrasdiender  Weise  jenes 
Sdiema  auf  Friedridi  II.  anzuwenden,  lafit  sidi  kaum  beantworten.  Inter- 
essanter  als  die  Quellenfrage  ware  es,  die  andere  Frage  zu  stellen,  wie  es 
denn  kam,  dafi  der  Westen  iiberhaupt  die  antithetisdien  Bildvcrgleidie  von 
Herrsdier  und  Christus  so  selten  benutzt  hat  und  dafi  plunais  offenbar  im 
Osten  und  Westen  Versdiiedenes  bedeutete. 

Dies  ware  freilich  ein  sehr  grofies  Thema,  das  nidit  cinfadi  im  Vorbci- 
gehen  behandelt  werden  kann.  Hier  waren  nur  einige  Lesefriidite  zu  ber- 
gen;  und  nidit  mehr  war  beabsiditigt,  als  durdi  wenige,  allzu  fliiditig  ge- 
zogene  Linien,  ohne  alien  Ansprudi  auf  sdiliissige  Losungen,  ein  Problem 
zu  umreifien,  das  durdi  seine  Gesdiidite  der  LoAenfrisur  des  Sonncngottcs 
der  klassisdie  Ardiaologe  angeregt  hat.  Die  hellenistisdi-staufisdic  Bogen- 
weite  der  hier  nur  angedeuteten  Fragen  aber  mag  Karl  Reinhardt,  dem 
Freund  der  Frankfurter  Jahrc,  erneut  bestatigen,  wie  sehr  iiber  Meilen  und 
Zeiten  hinwcg  und  trotz  Sdiranken  und  Sdiwcigens  der  mittelaltcrlidie  Histo- 
riker  dcs  Graecisten  bedarf. 


<  » 


•  * 


Kaiser  Friedridi  11.  und  das  Konigsbild  des  Hellenismui 
ANMERKUNGEN 


185 


1>  H.  P.  L'Orange,  Apotheosis  in  Ancient  Portraiture  (Instituttet  for  Sammen- 
lignende  Kulturforskning,  Ser.  B,  Skrifter,  XLIV),  Oslo,  1947. 

2)  Einwande  beziiglidi  einiger  Einzelheiten  (Interpretation  von  Nero)  madite 
Miss  Jocelyn  M.  C.  Toynbce,  in  Numismatic  Chronicle,  1947,  126 — 149,  dodi  be- 
riihren  dicse  das  Hauptproblem  nidit.  L'Orange's  Arbeit  ist  nidit  auf  ein  inter- 
essantes,  wcnn  audi  spateres  und  auiJerhalb  seines  Arbeitsfeldes  liegendes  Problem 
eingegangen:  wieweit  die  dvaoToAT)  ttjs  k6uti5,  die  „Sonnenfrisur",  etwa  auf  die 
Haartradit  Ludwigs  XIV.  eingewirkt  hat.  Aber  der  Kult  des  Roi  soleil  ist  nodi 
niemals  systematisdi  auf  seine  Quellen  hin  untersudit  worden. 

3>  L'Orange,  Apotheosis,  129,  Fig.  97,  versieht  iibrigens  die  Zuweisung  des  mittel- 
alterlidicn  Portraitkopfes  selbst  mit  einem  Fragezeidien.  Ansdieinend  stammt  die 
Deutung  als  „Friedridi  II."  von  A.  Venturi,  Storia  dell'  Arte  Italiana,  Mailand, 
1904,  III,  p.  540,  und  Fig.  519. 

4>  Es  ware  zu  hoffcn,  daf?  Langlotz  seinen  Fund  veroffentlidit,  selbst  wenn  der 
Abguft  etwas  enttausdiend  ist.  Zur  Bartlosigkeit,  vgl.  Kantorowicz,  Kaiser  Friedrtch 
der  Zweite:  Ergdnzungshand,  Berlin,  1931,  258  f. 

5>  A.  Alfoldi,  „Die  Ausgestaltung  des  monardiisdien  Zeremoniells  am  romisdien 

Kaiserhofe",  Mitteil.d.DeutsAen  Archaol.  Inst.,  Rom.  Abt.,  XLIX,  1934,  118  ff.,  und  ^'  ^' i»^^-H««-t , 

„Insignicn  und  Tradit  der  romischen  Kaiser",  ebda.,  L,  1935,  171  ff.;  audi  Ridiard  ■•'p.^'ftiifff.  k*.H.uOa 

Delbruck,  „Der  spatantike  Kaiserornat",  Antike,  VIII,  1932,  21  ff.,  und  die  Arbei-  ^  ci^o^,  ieft^ik*^     ' 

ten  von  Percy  Ernst  Schramm.   Fiir  die  Kirdie,  vgl.  Theodor  Klauser,  „Abendlan-  y"^  ,  -  .,  "^^ 

disdie   Liturgiegesdiidite:    Forsdiungsberidit   und    Besinnung",   Eleutheria.    Bonner 'j "  "''*^-  ^  "*■ 

theologische  Blatter  fiir  kriegsgefangene  Studenten,  I.,  1944,  10  f.,  und  vor  allem  ♦"/fJ'Z,  n-i2  , 
jetzt  Der  Ursprung  der  bisAoflichen  Insignien  und  Ehrenredote  (Bonner  akademi- 
sdie    Reden,   I.),  Krefeld,    1949,   eine   Arbeit,  der   man   nur   baldige   Fortsetzung 
wiinsdien  kann. 

*>  F.  Kampers,  „Die  Fortuna  Caesarea  Kaiser  Friedridis  11.",  Hist.  Jahrb., 
XLVIII,  1928,  208  ff.  Kampers  hat  sidi  leider  mandie  einfadie  Linie  verbaut  durdi 
Annahme  eines  „ratselvollen  Oberlebens"  oder  „dunklen  Erinnerns"  in  bezug  auf 
antike  Elemente.  Der  „Sonnenkult"  Friedridis  II.,  z.  B.,  hat  seine  klare  Briidie 
zum  byzantinisdien  Hofstil  etwa  in  dem  Gedidit  des  Eugenios  von  Palermo  auf 
Konig  Wilhelm  von  Sizilien;  vgl.  Leo  Sternbadi,  „Eugenios  von  Palermo',  Byz. 
2s.,  XI.,  1902,  449. 

'>  Erwin  R.  Goodenough,  „The  Political  Philosophy  of  Hellenistic  Kingship', 
Yale  Classical  Studies,  I.,  1928,  55  ff.,  sowie  The  Politics  of  Philo  Judaeus,  New 
Haven,  1938,  86  ff. 

*>  Louis  Delatte,  Les  Traites  de  la  Royaute  d'Ecphante,  Diotogcne  et  Sthenidas 
(Bibl.  de  la  Fac.  de  Philos.  et  Lettres  de  I'Univ.  de  Liege,  Fasc.  XCVII),  Liittich- 
Paris,  1942. 

9)  W.  Sdiubart,  „Das  hellcnistisdie  Konigsideal  nadi  Insdiriften  und  Papyri', 
Archiv  fiir  Papyrusforschung,  XII,  1936,  Iff.,  „Das  Konigsbild  des  Hellenismus', 
Antike,  XIII,  1937,  272  ff.,  und  „Das  Gesetz  und  der  Kaiser",  Klio,  XXX, 
1937,  54  ff. 

!">  Unzuganglidi  sind  mir  zur  Zeit  H.  E.  Stier,  Nomos  hasileus.  Diss.  Berlin, 
1927,  und  P.  Zancan,  //  moanarcato  ellenistico  nei  suoi  elementi  federativi, 
Padua,  1934. 

11>  N.  H.  Baynes,  „Eusebius  and  the  Christian  Empire",  Melanges  Bidez  (An- 
nuaire  de  I'Inst.  de  Philol.  et  d'Hist.  Orient,  et  Slaves,  II),  Briissel,  1934,  13  ff. 
Siche  audi,  fiir  das  Weiterwirken  in  Byzanz,  Delatte,  Traites,   152  ff.,  und  eine 


n    1 1 
u    u 


186 


Ernst  H.  Kantorowicz 


hingeworfcne,  wenn  audi  aulserst  fundierte  Bemerkung  von  Louis  Robert,  Hel- 
lenica,  IV,  1948,  p.  100,  beziiglich  der  „continuite  des  habitudes  litteraires  et  des 
cliches  moraux  et  politiques,  de  la  fin  du  Ille  siecle  a  I'epoque  justinienne".  Siehe 
ferner,  fiir  die  in  den  hellenistischen  Konigstraktaten  so  aufierordentlich  wichtige 
9iXavepw7T(a,  neben  den  Arbeiten  von  Sdiubart  (Anm.  9),  den  Aufsatz  von  H.  I. 
Bell,  „Philanthropia  in  the  Papyri  of  the  Roman  Period",  Hommages  a  Joseph 
Bidcz  et  a  Franz  Cumont  (Collection  Latomus,  II),  Briissel,  1948,  31  ff.,  fiir 
Byzanz  besonders  35  f.,  wo  jedodi  das  unendlich  weite  Feld  der  ostlidien  Liturgie 
fiir  diesen  Begriff  nicht  ausgewertet  worden  ist. 

12)  Pur  den  Begriff  und  seine  Gesdiidite,  vgl.  etwa  Midiaelis,  s.  v.  piueotiai,  in 
G.   Kittel,  Theologisches  Worterhuch  zum  N.T.,  IV,  1938—1940,  661  ff. 

13)  Otto  Treitinger,  Die  ostromische  Kaiser-  und  Reichsidee  nach  ihrer  Gestal- 
tung  im  hojisAen  Zeremoniell,  Jena,  1938,  bes.  125  ff. 

l*'  Kenneth  M.  Setton,  Christian  Attitude  Towards  the  Emperor  in  the  Fourth 
Century  (Studies  in  History,  Economics  and  Public  Law.  .  .  of  Columbia  Univer- 
sity, vol.  482),  New  York,  1941,  bringt  den  Obergang  sdion  zum  Ausdruck,  und 
Coodenough  schlieEt  seinen  Aufsatz  (.Political  Philosophy")  mit  einem  Ausblick 
auf  das  Mittelalter  (pp.  100  f.).  Aber  selbst  der  ungewohnlichen  Belesenheit  von 
V,"ilhelm  Berges,  Die  Furstenspiegel  des  hohen  und  spaten  Mittelalters,  Leipzig, 
1938,  scheinen  die  hellenistischen  Spiegel  entgangen  zu  sein. 

15>  Artur  Steinwenter,  »NOMOI  EMTYXOZ:  Zur  Geschichte  einer  politisdien 
Theorie",  Anzeiger  der  Wiener  Akademie,  LXXXIII,  1946,  250  ff.  Auf  Grund 
von  Delatte,  Traites,  245  ff.,  waren  noch  einige  Erganzungen  zu  madien,  die  je- 
doch  die  von  Steinwenter  gezeichneten  Entwicklungslinien,  insbesondere  der  spa- 
teren  Zeit,  nicht  wesentlich  beeinflussen.  Nur  als  Kuriosum  sei  vermerkt,  dafi  der 
Sultan  Melik  Nassir  Mohammed  von  Agypten  sich  in  einem  Sdireiben  an  Kaiser 
Andronicus  III.  (1328 — 1341)  f)  ^cofi  Tfjs  SiKaioovvrij  eIs  tov  Koanov  bezeich- 
nct,  was  doch  wohl  als  eine  Umsdireibung  von  voyo?  ftjyux°S  aufzufassen  ist; 
vgl.  W.  Regel,  Analecta  Byzantino-Russica,  St.  Petersburg,  1891,  p.  57,  7. 

16'  Zuletzt  etwa  Pietro  de  Francisci,  Arcana  Imperii,  Mailand,  1948,  III  :  2, 
114ff.,  und  vorher  Johannes  Straub,  Vom  Herrscherideal  in  der  Sp'dtantike, 
Stuttgart,  1939,  160  ff.  Vgl.  audi  Kampers,  „Fortuna"  223.  Fiir  die  Nadiwir- 
kung  des  Themistius  in  Byzanz,  vgl.  die  Arbeiten  von  Vladimir  Valdenberg,  in 
Byzantton,  I  und  II,  vor  allem  „Le  idee  politidie  di  Procopio  di  Gaza  e  di  Me- 
nandro  Protettore",  Studi  Btzantini  e  Neoellenici,  IV,  1935,  67  ff.,  bes.  73  f.  Die 
ideengesdiiditlich  so  wichtige  Themistius-Forsdiung  wird  erst  dann  den  voUen 
Gehalt  der  Reden  aussdiopfen  konnen,  wenn  die  veraltete  und  iiberdies  schwer 
erhaltlidie  Ausgabe  von  Dindorf  (Leipzig,  1832)  ersetzt  sein  wird  durch  die  Neu- 
ausgabe  und  englisdie  Cbersetzung,  die  Professor  Glanville  Downey,  in  Dumbar- 
ton Oaks,  vorbereitet. 

l''  Vgl.  Noz:  Just.,  105,  2,  4,  mit  Themistius,  or.  XIX,  228  a  (Rede  uber  die 
Philanthropia  des  Kaisers  Theodosius);  hierzu  Steinwenter,  251  und  260.  Obrigens 
sagt  sdion  Menander  (hasilikos  logos,  11,  ed.  Bursian,  Abh.  Akad.  Miinchen,  1882, 
p.  97,  25  f.),  dafi  der  Konig  Tfj  6'  dATi9ef<jt  tt)v  KorraPoAfiv  oOpavoQev  fx^i- 

18)  Nadiweise  bei  Steinwenter,  252  ff.;  vgl.  Berges,  Fiirstenspiegel,  49;  audi 
meincn  Erganzungsband,  86,  99. 

19>  Huillard-Breholles,  Vie  et  Correspondance  de  Pierre  de  la  Vigne,  Paris, 
1865,  Anh.  No.  107,  p.  426. 

«<»  Vgl.  K.  Friedrich  II.,  Berlin  1927,  p.  476;  ferner  die  Analyse  von  Ernst 
Benz,  Ecclesia  Spiritualis,  Stuttgart,  1934,  227  ff.,  bes.  231.  Ob  das  Studt  wirk- 
lidi  gesprodiene   Rhetorik   oder  Stiliibungsrhetorik  ist,  ist   sdiwer  zu  sagen.   An- 


Kaiser  Friedrich  II.  und  das  Konigshild  des  Hellenismus 


187 


gesidits  der  sehr  lebendigen  Panegyrik  in  Byzanz  und  audi  im  Laskaridisdien 
Reich  von  Nicaea,  zu  dem  der  Hof  engste  Beziehungen  hatte  (vgl.  etwi  Erg.Bd., 
133),  sind  derartige  Ansprachen  an  den  Kaiser  sehr  wohl  moglich  ge^/esen.  Fiir 
den  hier  verfolgten  Zweck  ware  das  iibrigens  gleidigiiltig,  da  es  nur  auf  das 
Vorhandensein   des  Topos  ankommt. 

21)  Benzo,  Ad  Heinricum,  VI,  c.  7,  MGH.  SS.,  XI,  669,  1;  vgl.  Erg.  Bd.,  108. 

22*  Vgl.  P.  E.  Schramm,  Kaiser,  Rom  und  Renovatio,  Leipzig-Berlin,  1929, 
I,  281  f.,  284. 

23)  Stobaeus,  I,  49,  45,  ed.  Wachsmuth,  I,  p.  407,  ed.  Walter  Scott,  Hermetica 
(Oxford,  1924),  I,  494  ff.;  Delatte,  Traites,  154  und  174  ff. 

2*>  Die  hier  zitierte  Stelle  ist  bei  Stobaeus  zweimal  iiberliefert,  IV,  vi,  22,  ed. 
Hense,  245,  und  IV,  vii,  64,  Hense,  272;  neue  Edition  bei  Delatte,  Traites,  25  f. 
und  27  f.,  cf.  47  f.;  Goodenough,  .Political  Philosophy",  76,  und  Politics  of  Philo, 
98  f.,  iibersetzt  die  Stellen. 

25*  Vgl.  Delatte,  Index  s.  v.  „Roi  mediateur";  auch  Goodenough,  Politics  of 
Philo,  98,  mit  anderen  interessanten  Stellen;  fiir  Friedrich  II.  im  Zusammenhang 
mit  der  lex  animata,  vgl.  Steinwenter,  263;  auch  Erg.  Bd.,  83  ff.;  unten  Anm.  31. 

26)  Benz,  Ecclesia  Spiritualis,  231. 

27)  Clemens,  Stromata,  V,  5,  29,  ed.  Stahlin,  II,  344,  20;  Goodenough,  „Politi- 
cal  Philosophy",  76,  n.  75,  bezieht  die  Stelle  auf  den  Konig;  korrekter  bei  De- 
latte,   177. 

28)  Delatte,  178  und  285. 

29)  Vgl.  Delatte,  178  ff,,  mit  Material  zur  homo  imago  Dei-Lehre,  von  der  es 
iibrigens  auch  eine  trinitarische  Version  gibt:  homo  qui  ad  imaginem  sanctae  Tri- 
nitatis  conditus  est  heiCt  es  z.  B.  in  einer  der  vielen  Antworten  auf  Karls  d.  Gr. 
Rundfrage  uber  die  Taufe  (Migne,  Patr.  lat.,  XCVIII,  939  C).  Fur  die  Durdi- 
fiihrung  dieser  Lehre,  vgl.  etwa  Anastasius  Sinaita,  Quaestio  II  (Migne,  Gr., 
LXXXIX,  344  C),  wo  der  Mensch  als  vaos  Iijlvja/xos  toO  eeoO  aufgefafit 
wird,  der  den  Vater,  den  Sohn  als  Hohepriester  und  das  Pneuma  als  Feuer 
der  Wahrheit  in  sidi  tragt.  Die  Auslegung  ist  wesentlich  durdi  das  pluralische 
,Wir"  in  Gen.,  1,  26 — 27,  bestimmt  worden,  das  sdion  Philo  Schwierig- 
keiten  bereitcte,  der  jedoch  den  Plural  auf  die  bei  der  Sdiopfung  des  Menschen 
mittatigen  6EUTepoi  bezog;  vgl.  fiir  die  Stellen  Harry  A.  Wolfson,  Philo,  Cam- 
bridge, Mass.,  1948,  I,  387,  Anm.  18.  Von  christlidier  Seite  wurde  dann  der 
Plural  auf  die  Trinitat  bezogen;  vgl.  etwa  Athanasius,  Contra  Arianos  Oratio  I, 
c.  18,  bei  Migne,  P-Gr.,  XXVI,  49  A,  oder  Gregor  von  Nyssa,  De  hominis  opi- 
ficio,  c.  6,  bei  Migne,  P-Gr.,  XLIV,  140  BC;  fur  weiteres  Material  s.  H.  Pinard, 
^Creation",  Dictionnaire  de  theologie  catholique.  III,  2111  ff.,  bes.  2118  f.,  und 
fiir  das  ikonographische  Problem  Adelheid  Heimann,  „Trinitas  creator  mundi", 
Journal  of  the  Warburg  Institute,  II,   1938—1939,   42  ff. 

S")  Es  ware  interessant,  dem  Oszillieren  zwisdien  „Menschenersdiaffung"  und 
.Konigserschaffung"  im  einzelnen  nachzugehen.  Die  Ahnlidikeit  des  Mcnsdien  mit 
Gott  (Gen.,  1,  27)  ist  zu  Zeiten  fast  gewohnheitsmafiig  dahin  interpretiert  wor- 
den, daC  Gott  und  Mensch  einander  durdi  die  paalAeia  angeglichen  seien,  ein  Ge- 
danke,  der  (von  Philo  und  Origenes  zu  schweigen)  in  groBartiger  Weise  zum 
Ausdruck  gebracht  worden  ist  von  Gregor  von  Nyssa,  De  hominis  opificio,  c.  4  f., 
bei  Migne,  PGr.,  XLIV,  136  f.,  worauf  midi  freundlicherweise  Professor  Wer- 
ner Jager  aufmerksam  machte.  Hier  ist  geradezu  eine  Theorie  der  mensdilichen 
Souveranitat,  oder  der  Souveranitat  des  koniglidien  Menschen,  formuliert  wor- 
den; sdiwadier  dann  bei  Theodoret,  Quaestiones  in  Genesim,  c.  XX.  bei  Migne, 
PGr.,   LXXX,    104  ff.,    und   bei   Anastasius   Sinaita,    Quaestiones,   c.    XXIV,    bei 


n    1 1 
u    u 


IBfi 


Ems:  H.  Kantorowm 


Migne,  PGr.,  LXXXIX.  541  fi.  Vgl.  zuna  Thema  audi  Johannef.  Hehn,  JLxod 
Ternunus  'Bild  Gortet','  Festschrift  Eduard  Sachau  (ed.  Gotthold  ^Teil),  Berlin, 
1915,  36 — 52.  Der  Oberpang  von  Adam  zv  Konig,  und  von  Konig  zn  Adam, 
fehlt  dtnn  audi  mcht  in  By2an7:Eiu6Ko  bi  fiar-i'/\Eu>5  Kocfjjuss,  BfjXoi'  o?  cru,  pacriXEu,  tw 
Kocrpti]  vfi'JX'f'i  'A5au  uev  ooi  c  -rrpuiroK  yryoutos  tu>  koctpco  vfVXT)  kki  poKriXE\>5  irrX. 
Vpl.  Theodciroi,  Hvrtakeno.s.  bei  Boissonadc  (i.  u.  Anm.  34),  1,  251.  Hier  vird 
also  der  Kaiser,  vie  Adam,  zur  "STeitseeie. 

*!'  Vpl.  Kori  knsmou.  ed.  Scott.  1.  4%,  12.  einf  haufip  anpefiihrte  Stelk,  7..  B. 
bej  T.  Boll.  >l«j  tic^  Oficnharung  Johannn.  Leipzip-Berlin,  1914.  Anh.  I]  („K6- 
nipf  aii-  Offenbarunc.straper"),  p.  137.  Fiir  dit  papale  TTieonf  peniipt  e»  hier,  auf 
Innocen?  111.  hinzuweisen :  inter  Dcum  ei  hirmmem  cnnstituti,  Ep.  \"1.  86.  Mipne, 
Patr.  Lat.,  CCXV,  BK  C.  und  die  beruhmte  Stelle  im  i>crmo  de  diversis,  II,  ebda.. 
CCXVIl,  658. 

S2'  Delarte,  152  fi. 

**'  V  Repel,  Tontcs  rerum  hvzantmarum,  St.  Petersburp.  1^17,  Fasc.  2,  p.  195, 
7—12. 

•*'  So  in  dem  Prokypsis-Gc&idca  (Nr.  19)  des  Manuel  Holobolos.  bei  J.F.  Bois- 
sonade.  Anecdote  Graeca,  Paris,  1E33,  V,  p.  181,  4;  zur  Datierunp  (1295)  vpl. 
A.  Heisenberp,  „Aus  der  Gesducfate  und  Literatur  der  Palaiolopenzeit',  Sitz.  Bcr. 
Munchen,  1920,  Abk  ID,  124  f.  Andererseiti  war  natiiriid)  der  Patriardi  eine 
exKUjv  lujcra  XpioroD  kkI  Suvfv'XDS;  cf  Peter  Charani!..  , Coronation'".  Byzantton, 
XV.  1941,  53,  Anm.  23. 

*'''  Ein  paar  Beispiek  bei  Delatte.  Traites,  pp.  154,  157,  180,  die  sidi 
auf  spaterer  Literatur  leidit  vermehren  iieiien.  Nikephoros  Blemmides,  z.  B., 
nenn:  seinen  Kaiserspiepel  peradezu  ^otcriXiKOS  auBpinj  und  Terlanpt.  daC 
der  pute  Kaiser  ein  kkuwv  sei,  strahlender  ak  der  vielbesunpent  Kanon  des 
Poiykiei  (c.  6);  Mipne,  PGr..  CLXIl,  667  C,  Tpl.  633  B.  Oder  Tbeodorus,  Hyrta- 
kenoi.  der  mit  Bezup  auf  den  Kaiser  sapt:  E&pEv  'AuBpioTov  ly^;irx'^'  iowrfis  dtvB- 
piaiTD  (Boissonade,  Anccd.  gr.,  1,  262).  Andererseits  findet  sid)  m  den  liturpi- 
sdien  Biidiem  der  Ostkirdie  iiberrasdiend  haufip  der  Ausdrudt  ^Statue*  oder 
^Steie'.  ■wc  der  "Vesten  bestimmt  nur  ..Bild'  pebraudien  ■vurde:  o-ttiXt]  Eyy-'X^S 
K3:  EiXJrvojs  eIkujv  beifii  et  bei.tpielyweist  m  emem  SudiO!.  fiir  St.  Ipnat'us 
(Menoic  editio  Romana,  H'88  fi..  111.  416,  zum  29.  Januari.  Fur  den  Gtr  • 
von  Ejju^uxos  (!■  audi  oben.  Anm.  29'  bieten  die  ostlidien  liturpisdien  i  .  ■  • 
pieidifalis  emt  vollip  unauspesdiopftt  Quelle,  die  audi  zur  Lehre  von  der  iex 
animate  sovit  zu  deren  Verstandnit  nodi  mandies  beitrapen  kbnnte.  Ubrigens  sei 
audi  darac  ennnert,  da£  in  der  theurpisdien  Praxis  die  Beiebunp  von  Gotter- 
statuettec  erwas  panz  iiblidies  var:  man  madite  das  6ya?^c  des  Gottet 
lmifk/X°^  ;  "^'pi-  ^-  I^  Doddi.  ,The  Theurpv".  Journal  oj  Roman  Studies, 
XXX VII,  1947.  62  fi.  Der  pleidisam  mapisdie  Charakter  der  Empsi'due.  im  Ostcn 
soT-ie]  starker  entvidtelt  als  im  Vesten,  viirde  erne  Untersudiung  lohnen. 

•6'  Helmut  Kruse,  Studicn  zur  offizieUen  Celtung  des  Kaiserhildes  im  rbrru- 
schen  Reich.  Paderbom.  1''34;  Treitinper.  204  fi.;  i..  audi  Sirarpie  Der  Nersessian, 
,Une  apoiopie  des  imapes  au  septieme  siecie".  Byzantion.  XVII.  1944 — 45,  60  fi., 
und  vohl  aus  detc  pieidien  Jahrhundert,  oder  -wenig  friiher.  cine  koptisdie  Pre- 
dipt.  in  der  sehr  ansdiauitdi  die  Aufstellunp  und  dai  Asylredit  det  KaiacaUda 
besdirieben  'V'ird.  freilidi  nur.  um  die  Superioritat  ernes  MutterpantAiyei  4m- 
zutun;  cf.  Villiam  H.  Vorrell,  The  Coptic  Manuscripts  m  the  Freer  Collection 
(University  of  Midiigan  Studiej,.  Humanistic  Seriei.  X'.  New  York,  1923,  p.  375. 
Max  Badimann,  Die  Redi  det  Johannes  Syropuios  an  den  Kaiser  haak  U .  An- 
gelos  (nSi—n95t,  Diss.  Mundien.  1935.  p.  32  (zu  p.  16.  32),  denkt  bd  den  Vor- 
tcn  cryytXiKai  6lKowowopq>ai  an  die  Ikonen  des  Angelos.  durd)  die.  da  iiberal]  auf- 


Kaiser  Fricirich  II.  und  das  Konigshild  des  Hellerusmus 


189 


gestellt,  das  Reidi  quasi  mit  ,Engeln*  ajigefiillt  und  in  eincm  Himmel  auf  Erden 
Tcrwandelt  sei. 

'">  Ahnlidies  pilt  audi  von  der  Lehre  der  Eridiifiung  der  K6nigs$ee!en,  die  bei 
Friedridi  II.  und  dem  djTnastisierten  13.  Jahrhunden  cine  pevisse  Rolle  spielt; 
vpl.  erw'a  den  Brief  (vohl  S:  ;-a  Conrad  IV.  bei  HuilUrd-Breholles,  Hist. 

diplom.  Friderici  Secundi,  T ^-  .5..   V,  275,  fiir  die  infusio  suhtilis  ct  nohi- 

Ls  animac  bei  Konipen.  Man  denke  audi  an  Pierre  Dubois.  Einfadier  zu  erkliren 
ist  das  Fortleben  cmes  andeicn  Axioms  des  dynastisdien  Gedankens.  C/L,  III, 
710  (Diocletian  und  Maximian):  dus  geruti  et  deorurn  creatores;  ahnlidi  sdion 
vorher  bei  Seneca,  Consolatio  ad  Marcum,  XV,  1 :  Caesares  qui  dis  gemti  dcosque 
gcniturj  diCKVtur  (vgl.  F.  Cumont,  Textes  et  monuments  relatifs  aux  mysteres  de 
Mithra,  Briissel,  1899,  1,  291,  n.  5).  n-oru  die  diristlidie  Version  unter  Philipp  IV. 
von  Frankreid)  panz  folgeriding  lautct:  sancti  reges  Frjncorum  .  . .  cum  generent 
sanctos  reges;  vgl.  Dom  jean  Ledercq,  „Un  sermon  prononce  pendant  la  guerre 
de  Flandre  sons  Philippe  le  Bel",  Ret-uc  du  moyen  age  latin,  I,  1945,  170;  audi 
meinen  Aufsatz  ,Pro  patria  mori  in  Mediaeval  Thought*,  Amer.  Hist.  Rev.,  LVI, 
1951,  483.  Die  Quelle  diirfte  in  diesem  Falle  Vergil  sein;  Aeneis,  IX,  642:  dis 
gcnitf  et  gemture  deos. 

•*>  Huillard-Breholles,  Hist,  dipl.,  IV,  pp.  17  fi.;  der  Glosse  wegen  benutze  idi 
die  Cervoni-Ausgabe:  Constitutionum  regru  Siciliarum  lihri  III.  .  .  .  sumptibus 
Antonii  Cervonii,  Neapel,  1773,  pp.  35  fi.  und  fiir  den  griediisdien  Tex:  die  Aus- 
gabe  von  C.  Carcani,  Neapel,  1786. 

•"  Liher  aug.,  I.  16.  Die  Literatur  ist  angefiihrt  bei  Hans  Niese.  Die  Gesetz- 
gehung  der  normanmschen  Dynastie  im  Regrutm  Sicdiae,  Halle,  1910,  p.  32,  n.  4. 
Neuere  A.'beiten  sind  mir  nidst  bekannt  geworden,  dodi  sdiliefit  das  deren  Exi- 
stenz  nidi:  aus. 

••'  Fiir  die  erste  Formel,  vgl.  Niese,  34,  n.  3,  auf  Grund   des  Chron.  Casaur. 

(unten,  Anm.  42),  vo  allerdingj  veto,  nidit  defendo  steht;  fiir  die  zweite  Fonnel 
vgl.  .^jidreas  v.  Isemia,  Cervoni-Ausgabe  des  Lih.  aug.,  p.  35.  Federico  Cic- 
caL..jone.  Manuale  di  sioria  del  diritto  italiano,  Mailand  (ohne  Jahr).  II.  163  f., 
S  ^i''^.  der  im  iibngen  byrantmisdie  Herkunf:  vermutet,  betont  die  Ausdehnung 
der  kaiserlidien  Geriditsbarkeit  ettemSbtr  den  lokalen  Gevalten. 


*^*  C.  A.  Garufi,  ^La  defense  ex  parte  do'^ini  imperatoris  in  un  documcnto 
private  del  1227—28',  Rjvista  itahana  per  le  icienze  gutriduhe,  XXVII,  1899, 
1 90  S.  Leidcr  ist  mir  die  Zeitsdinft,  die  cinen  groiicn  Teil  der  italienisdien 
Arbeiten  iiber  die  defense  enthalt  (vgl.  Niese,  p.  33),  gcgenm-artig  nidit  zugang- 
Lidi.  Idi  kenne  die  Arbeit  Ganifis  nur  aat  der  Besprediung  im  Ardnvio  storico 
siciUtno,  ser.  II,  vol.  XXIV,  1899,  344. 

*"  Chromcon  Casaitriense,  bei  Mnratori,  Scnptores,  II,  1009,  eine  Urkunde, 
auf  die  erstmals  Niese,  p.  34,  fur  die  defensa  aufmerksam  gemadit  hat. 

***  Cipolla,  ,Un  dubbio  sulla  data  degli  Ordinamenti  tranesi',  Rendiconti  dei 
Lincei,  ser.  V,  vol  V,  1896,  267  fi.,  der  die  Ordinamenti  von  Trani  nidit  1063, 
sondem  1363  datiert;  vgl.  hierzu  audi  L.  S.  Villanueva,  in  Arch.  stor.  stciL, 
ser.  II,  vol.  XXI,  1896,  403.  Die  defensa  -wird  is  Trani,  wie  iibrigens  audi  ander- 
■»  arcs  in  spaterer  Zeit,  auf erlegt  da  la  parte  de  la  rnia  signoria. 

♦**  Ober  den  Haro-Kvi,  vgl.  Niese,  33,  n.  4,  und  seine  Kritik  an  E.  Glasson, 
,£tude  historique  sur  la  clameur  de  Haro',  Kow.elie  revue  historique  de  droit 
fran;.ais  et  etranger,  VI,  1882,  397  ff,  517  ff.  Fiir  die  gennanisdie  Institution  des 
Geriiftet  vgl.  jrtrt  L.  L.  Hammeridi,  Clamor  (Kgl.  Danvke  Videnskabemei 
Sclskab,  XXIX  :  1),  Kopcnhagea,  19^1- 

«6>  Lii>er  aug.,  I,  17  (gegesB  Eade);  Huillard-Brehollet,  IV,  p.  20. 


•UU«(jc 


Cf 


u   u 


I    u 


^^ 


190 


Ernst  H.  KantoTowicT 


^*  Ccrvont-Ausgabc,  p.  41,  Glosst  zu  uhiquL   potcntialiter. 

4')  Liiter  aug.,  I,  19. 

*•'  CI.  Mamertinui  pancy.  ^cnathl  Maximiann  c  )A.  p.  113,  9  Baehrcns:  ,«A»- 
cumquc  sun.  tn  ununi  lice:  paiattum  cnnccsicntti.  divimtateni  vcstrani  uhiquv 
versan.  omnc^  terras  omniuquc  marui  plena  esse  vastri.  Quid  enin.  mirum  si.  cum 
possii  htc  mundus  Invn  esse  plenui,  posstt  ei  Herculis  (i.  c.  Muxtmianl)?  Ci.  Leo 
Berlinjjei,  lieitrdgv  zur  tnaffiziellen  Titulatur  der  romisdier  Kaiser,  Diss.  Breslau 
1935,  65  (audi  62,  Anm.  220).  Fiir  die  ,.vinuelit  Omniprasem"  de.";  bvzantim- 
schen  Kaiseri,  vgl.  Frany  Diil^er,  „Dif  Kaiserurkundr  der  livzaniiner  ai,s  Aus- 
drudi  ihrer  politisdiei  Ansdiauunger'  Histonsdit  I'.citsrJjrift,  CLIX,  1939,  235, 
nnni.  2.  Der  Absolutismu  ie^'aiisien  spacer  du  Omniprasen?  des  Konigs.  Vgl. 
2  li.  Sir  Vilhair  llladcstont.  C.nmmentariei  on  the  Laws  ni  England,  p.  "270 
(allf  Ausgaber  faaben  du  gleidit  Paginierung);  „A  consequence  of  (t)hi.s  prero- 
gative is  thf  legal  uhiqmty  of  the  king.  His  majejTV  in  the  eve  of  the  law  i.s 
always  present  in  [all  his  courts  ...  It  is  the  regal  offict,  and  nni  tht  rnval  per,<!on. 
that  is  always  present  in]  coun,  always  read^  t(>  unuertakt  prosecutioni  o: 
proiiouiict  ludgmen:  tor  the  benefit  and  protection  of  the  subieci.'  Da'-  ist  gcnau 
du  gieidu  An?diauun^,  die  der  Liher  aiignsiuh-  durdi  du  Antithest  praasemialtter 
—  potentiahtey  zuni  Ausdrud;  bringi 

•*9'  Francesco  Schupfcr,  „La  dciensa  e  t'asmo  di  Apulein",  Rii.  itUi..  per  Ic 
scienzc  giuTid.,  XXI,  1H96.  422  fi.;  ihid.,  XXX,  1905,  1H5:  Villanueva,  in  Arth. 
Star.  siciL,  ser.  II,  vol.  XXI,  1896.  -402  fi.;  audi  Nmo  Tamassia.  „Nuovi  studi 
sulla  defensa' ,  und  „Ancora  sulia  defense".  Am  del  R.  Istituto  }'enett>,  LX, 
190D — 1901,  343  fl.  und  685  £[..  wo  jedoch  die  preces  fiir  den  Kaiser  oder  an  ihn 
verwediseit  werden  mir  der  reditiidieii  invncatm  des  Kaisernamens.  hs  sel  iibri- 
gens  bcmerk;,  dat  in  Apuleius  Vorbiid.  Lukiar.  Asinu.  l  It.  ,^584;,  es  emfadi 
heifat  ^TTHi  5£  Tro?»AaKt'  'a  Kaio-ar'  ava&ofio-ai  STrstJuuout  was  eher  nad;  emeiE 
Seufzer  klingi,  als  nadi  emeni  reaitiiaien  vlnterponieren"  (s.  unten;  de.<-  Kaiser- 
namens. 

*•>  L.  Wenger.  ^Asvlredit",  in  Reallcxikon  fur  Antikc  und  ChTistentiim.  ]  6. 
1943,  S36ff.;  Mommsen.  Strafrecht.  45H  fi.;  cf.  Dig..  47,  IC,  38:  m  qui  tmagtnen. 
imperatoTis  m  mvidutm  altertus  ponaret. 

Si'  Friedridi  vor  Woesi,  Da.'  Asyiwesev  Agyptens  tri  der  J'tuleniderzei:  und 
die  spdtere  Entwickltntf  ,'Mundiener  lieitrage  zur  Papvrusforsdiung,  V].  Miindien 
1923.  bes,  p.  10b,  210;  i.  obei;  Anm  .3b 

'^^  'W.  Sdiuban,  ^as  helienistisdit  Konigsidea!',  Ard:.  j.  Papyrusforschung, 
XII,    1936,   16. 

S"  Tebt  III,  ■'9S.  ed.  Hunt  und  Smvh.  The  Tehtums  Papyri,  III.  1933.  251  f.; 
T0&  Trai&apiQu  poTiCTaiTO' TO'  fcccniAec  was  die  Herausgeber  iiiiersetzen :  ^Having 
shouted  for  help  ir  the  king's  name  " 

***  Berliner  Griechische  Urkunden,  III,  1007. 

«>  Cairo  P.  Zenon,  59  451,  ed.  C.  C.  Edgar,  Zenon  Papyri,  III,  Cairo,  1928, 

p.  175. 

X        49)  Die  Stellen  bei  Cumont,  L'Egypte  des  astrolngues.  Briissel.  1937.  212  Anm  1. 

*"  Cf.  Louis  Br&ier.  ^L'ekhuesis  dans  ie  droit  popuiaire  a  Byzancr' ,  Miscella- 
nea GuillaurrK  de  Jerphanioti  fOricntaha  Christiana  Periodoca,  XIII),  Rom,  1947, 
33  fi.;  Henn  Gregoirt,  „Miettes  d'hiJtoire  byzantine",  Anatolian  Studies  for  Sir 
V'Ultam  Mitdiell  Ramsay,  1923,  157  f.;  fiir  die  Daiierung  des  Agrargesetzes, 
vgl.  Georg  Ostrogorskv  Geschichte  des  hyzantinisdiet:  Staata  Miindien.  194C,  54. 
Anm.  1. 

Hierher   gehbren,   wu    mir    sdieint.  audi   einige   der   vor   Sdiuban.   p.    16,   an- 


Kaiser  Eriedrtch  II.  und  das  Komgshild  des  HeUcmsmus 


191 


ficfuhrten  Papyri.  Berliner  Griechische  L'rkundcn,  VllI,  1762,  3  f .  (V.  Sdiuban 
und  D.  Sdiafer,  Spacptolemdischc  Papyri,  Berlin,  1933,  40),  z.  B^  spridit  da  von, 
daC  „am  folgenden  Tage  nodi  vie!  mehr  Men.sdien  zum  Tore  des  .  . .  kamen  und 
die  Flilfe  der  Koniginncn  und  Truppen  anncfen  (Ksi  ^£(5oi)irro  T(*rc  Pno-iXiffffa? 
Kal    BuwduEi';!. '■      Die    Leutc   verlangtcn    die    Lntfemung    cmes    '  ••    nnd 

seiner   Genossen   aus   dem    Gau.    Darauf  kam   der  Strarepe  auf  .*■-  .   ..  ver- 

rriKtctt  die  Leutc  und  versprach.  der  Rcgicrung  zu  bcrichten.  Hicr  handcit  cs  sidi 
jedodi  nidil,  wic  bei  dem  Oberfali  im  Bade,  um  die  Abwchr  einer  imminenten 
Gefahr,  sondern  darum,  den  Villcn  der  Bewohner  durdizusetzen  durdi  einen 
wAppell"  an  die  —  selbsrversciindlidi  nidit  anwescnden  —  Koniginnen  (des  Jab- 
res  58  V.  Chr.)  und  die  Truppen,  d.  h.,  wic  die  Herausgeber  erklaren,  an  die 
^KbnigsmadiT  ais  Ganzes".  Der  Fall  ist  viel  ahnlicher  der  von  Gregoire  mit- 
geteiltcn  ephesi.sdien  Insdinft  v.].  441  n.  Chr.  als  erw-a  der  Apuleius-Stelle.  Das 
gieidic  sdieint  mir  der  Fall  zu  sein  bei  PSI  VI,  551,  (Puhhlicaziom  dcUa  Societa 
Italiana  per  la  riccrca  dci  Papiri  greet  e  lattni,  ed.  G.  Viteili,  M.  Norsa  etc, 
Florenz,  1920,  VI,  p.  2),  vom  Jahre  272/1  v.  Chr.,  wo,  wie  audi  Sdiuban  an- 
nimmi,  der  Kbnig  wohl  anwesend  war.  als  man  an  ihn  appellienc;  rjelleidit  audi 
im  P.  Cam)  Zenon.  59  52^,  p  233.  bei  dem  der  Sadiverhalt  Sdiuban  als  zweifel- 
haft  ersdiien  Icti  wiirdt  denken,  daC  es  sidi  um  die  von  Brehier  besdiriebene 
KC-raBoTiCTic  iiandek,  eint  Ankiage  also  oder  e;B  Emsprudi.  Dodi  mu£  icb  die 
Lntsdieidung  Berufeneren  iiberiassen,  da  icb  mich  in  den  sdbwierigen  Redits- 
problemen  Ap'ptens  nicht  auskenne 

**'  Gregoire,  a.  a.  O.  Vaher  Ashburnet.  .The  Farmers'  Law',  Journal  of  Hel- 
lenic Studies.  XXXIl,  1912,  pp.  9C;  und  94  f.,  iibersetzi  die  einscfalapigen  Stellen 
(§^32  und  Kl)  demgema£  audi  mit  complain 

58'  Oben,  Anm,  5",  bezugiidi  Ag^Titens. 

*"  Liher  aug.,  Cervoni,  pp.  35  und  3B;  siehe  audi  meinen  Erganzungshand ,  95. 

*1>  Vgl  die  Ausgabe  des  Policraticus  von  Clemens  C  1.  "Vebb.  Oxford.  1919, 
1,  p.  xxxiv.  WD  alierdings  nidit  die  Metamorphosen  benutzi  sind. 

62'  Cf.  E.  A.  Lowe.  The  henevenian  Script.  Oxford,  1914.  p.  12:  die  beidcn 
oeriihmten  Apuleu»-Hss.  der  Laurentiana  m  beneventanisdier  Sdirift  sind  dodi 
wohl   von   Monte  Cassino 

63*  'V  alther  Buist.  „Susccptacuia  regum*'.  Corona  Qurrma  Tis:gaht  Keri 
Strecker.  Leipzig.   ]''41.  '"ft 

"*'  Vgl.  Manfred  F.  Bukofzer,  Studies  in  Medieval  and  Rcnaisianci  Music, 
Nev  York.  1952.  besonders  217  fi.  iiber  den  Ursprunp  der  spatmitielalterlidien 
Met-Cvkien  aus  dem  Briidi.ein  der  Liturgie. 

*•'  Vgl.  Kantorowicz,  ^The  King's  Advent  and  the  Enigmatic  Panels  in  the 
Doors  of  Santa  Sabina",  Ar:  Bulletin.  XX^^,  1944,  21 C,  Anm.  2C.  P  E.  Sdiramm, 
Lier  Ki)ntg  von  TranKrci&j.  Veimar,  1939,  1,  204,  mit  Aimi.  5.  Das  Matfia'  Sbtr 
die  spatmirteiaite'liOicii  enrree.i  ist   zwar  uncndlich,  dennodi  wiirdc  e$  : 

das  neue  siaatsrediilidie  Liemcnt   herauszuarbeiten.  durdi  das  das  litu.'j, i   _  •. - 

ment  des  friihen  Minelaltcrs  vollig  verdedst  wird  —  cm  Beitrai;  zu  dem  schr 
viei  weiteren  Thema  ,Vom  liturgisdien  Kumgtum  zum  KeditskoiugtiMB  von 
Gottes   Gnader.' 

•6'  Idi  gehe  auf  Emzelheiten  hier  nidi:  ein,  die  idi  in  anderem  Zusammenhang 
bespredien  werde;  vgl.  die  klassisdie  Darstellung  der  prokypsis  von  August  Hci- 
scniierg,  Aus  der  Geschichte  und  Lttcratur  der  Palasologenzetl,  Sitr.-Ber.  Miin- 
dien. 1920,  Abh.  10,  bes.  85  fi. 

•"'  Dber  Marquard  von  Ried,  E.  \C'inkelroann,  Jahrhitcher  der  dvutsdien  Ge- 
schichte   Kaiser  Frtedrich  II.,  Leipzig.  1897,  II,  p.  78,  Anm.  3  f . 


n    II      I    L 

u    u      I    J 


192 


Ernst  H.  Kantorowicz 


•*>  Continuatio  Scotorum,  MGH.  SS.,  IX,  p.  625. 

e9'  Das  sagi  vollig  eindeutig,  z.  B.,  Walafrid  Strabo  (MGH.  Poetae,  III,  183. 
No.  XV); 

^Innmatur  nostra  laetos 
Terra  ftores  proferens: 
Ver  novum  praesencat  aestas,  (!) 
Cum  datur  te  cemerc  ..." 

Bulsr  (oben  Anni.2i  hat  vie!  zu  vielc  historisdit-  „Data"  aus  den  susccptacuU  her- 
auszulesen  versudit;  riditij;  Wolfram  von  den  Steinen,  Notker  der  Dichter, 
Bern,  1948,  I,  495  („Wenn  du  kommst,  ist  Friihlmgswetter"). 

™>  P.  Berlin,  10  580,  42  f.;  Berliner  Klassikertextc,  V,  1907,  p.  119,  zur  Be- 
griifiung  des  praefectus  praetono  Orientis: 

kK  a^Ev  eIs  KTTiTfipas  dSeo-ipcTov  iirAeTo  uBcop. 
NeTXos  dcpoupapcrrns  ^E6u(TctTo  5 '  ouXotKi  yairjs  .  ■  • 

'1>  Es  geniijir  hier,  auf  die  Akklamationen  hinzuweisen,  die  unaufhorlidi,  unter 
Verwendunp  der  Tcxtc  der  ieweilijjen  Festtagsliturgie,  Kaiser  unci  Gottiieit  anti- 
thetisdi  vergleidien;  Treitinger,  passim;  einigc  gutf  Beobaditungen  vom  Musika- 
lisdien  her  bei  Jacques  Handsdiin,  Das  Zeremonienwerk  Kaiser  Konstanttm  und 
die  sangbarc  Dtchtun^,  Baseler  Rektoratsprogramm   1940 — 41   (Basel,  1942). 

'**  Theodoros  Prodromoi,  Poemau,  XVI,  1 — 17,  ed.  Angelo  Mai,  Patrum  nova 
hibltotheca,  VI,  Rom,  1853,  p.  412. 

M)  Fiir  das  Labarum  iiber  der  Sdilange  (Spei  puhlica),  vgl.  Jules  Maurice, 
Numismatiquc  Constanttmennc .  Pans.  1908,  I.  Tafel  IX.  2,  und  dazu  die  be- 
kanntc  Besdireibunp  des  Palast^emiildes,  in  dem  Konstantins  Sieg  iiber  Licinius 
ais  Drachensie;;  gefeiert  wird,  bei  Iiusebius,  Vita  Consianttni.  Ill,  3.  Fiir  den  auf 
die  Sdilange  mit  Menschenicopf  tretenden  Kaiser,  vgl.  Babelon,  „Attila  dans  la 
nunusmatique",  Revue  numismatiquc,  ser.  IV,  vol.  XVIII,  1914,  pp.  301  ff., 
Abb.  3—8. 

'*>  Zugrundf  liegt  Psalm  73,  13:  ovvrrpivvo?  Tct<;  KEOiaAdc^  tmv  SpoKovrcov 
^1  ToO  OBcfTo;.  Damit  wird  dann  Christi  Taufc  zum  Kampf  gegen  und  Sieg 
iiber  den  Drachen;  vgl.  Carl-Martin  Edsman,  Lc  haptemc  de  feu  (Acta  Seminarii 
Neotestamentici  Upsaliensis,  IX),  Leipzig-Uppsala,  1940,  pp.  46  fi.  Fiir  einige 
biidlidie  Darstellungen,  vgl.  J.  Strzygowski,  Iconographic  der  Taufc  Christi, 
Miindien.  1885;  vgl.  audi  Dicttonnairv  d'archeolngic  chretiennc  et  de  liturgic.  II, 
346  ff.  Eines  der  schbnsten  Dokumente  fiir  die  Tauf-Siegeskrbnung  ist  em  Gold- 
medaillon  der  Dumbarton  Oaks  Collection,  in  Washington,  die  Herabkunft  der 
Geisttaube  mit  dem  Siegeskran?  darstellend,  und  eines  der  interessantesten  eine 
Stele  aus  T'alin  (Armenien)  des  6.  jahrhunderts,  deren  Kenntnis  idi  Professor 
Sirarpie  Der  Nersessian  verdanke:  dodi  wird  dieses  Thema  in  anderem  Zusam- 
menhanp  zu  behandeln  sein. 

'5»  Vgl.  etwa,  von  anderen  Prodromos-Gediditen  abgesehen.  Manuel  Holobolos 
(oben  Anm.  33),  XVI,  3  ff,  bei  Boissonade,  p.  177;  dazu  Heisenberg,  a.  a.  O..  119. 
DaC  der  Kaiser  sudorum  rivos  vergielie  audi  bei  CI.  Mamertinus,  Gratiarum 
actio,  6,  p.  249,  ed.  Baehrens,  ed.  H.  Gutzwiller,  Die  Neufahrsrede  dei  Konsuli 
Claudius  Mamertinus  vor  dem  Kaiser  Julian,  Basel,   1942,  36. 

'**  Die  Gottheit  als  tiuyipottJiAEOs  des  Kaisers  sehr  haufig  in  den  Akklamationen 
angerufen;  cf.  Consunt.  Porph.,  De  caertmoniis,  I,  5,  p.  47,  6  Reiske,  audi  II, 
19  (p.  612,  4),  II,  43  (p.  650,  4  und  22),  und  passim.  Siehe  audi  die  Gegnersdiaft 
gegen  diesen  Ansprudi  bei  den  Franken;  Libri  Caroltm,  I,  1,  ed.  Basigen  (MGH. 
Concilia.  II  SuppL),  8  ff.,  audi  130,  180  f.  (mit  Anm.  2). 

">  Prodromos,    XVIII,    ed.   Mai,   413;    s.   audi    Kantorowicz,    .Dante's    Two 


I 


Kaiser  Fricdrich  II.  und  das  Konigshild  des  Helleniimus 


193 


Suns',"    Semitic   and   Oriental   Studies   presented    to    William    Popper,   Berkeley, 
1951,   217—231. 

TO*  A,  Heiscnbergs  Ausgahc  des  Niccphorus  Blcmmides,  Leipzig  (Teubner), 
1896,  pp.  lie  f.;  Raffaele  Cantarella.  Poeti  Bizanttm,  Mailand,  1948,  No.  XCII, 
vol.  I,  p.  210,  und  II,  240,  die  iralienisdic  Obersetzung.  Die  cinsdilagigcn  Zeilcn 
tauten: 

irapSevou  toko^  6  Xptoros.  au  ttj?  aoK^poveirraTV,!;- 
XpioToO  TTcmip  6  TrpcoTO?  U0O5,  iraiTdua^.  TraiTOKpfiTcjp, 
Kai  CToO  TTcrrfip  iv  voepots  T015  koC'  finas  6  TrpwTOs. 
XptOToO  Trcrrfip  KXTipouyiKcos  aOrAua^.  auroKparoop' 
'Ek  ytip  XpiOToO  XpiCTTO?  iori.  Kai  av  Xpioro;  iK  toOtou  .    . 
W)  J.  N.  Sola,  „De  Codice  Laurentiano  X  plutei  V",  Byzantinische  Zeitsdirift, 
XX,  1911,  381: 

riaOXo?  n^v  els  f|v  T0T5  dTroa-roXoi?  uovos, 
Kai  HoOAos  i\%  TTE^vjKEv  ^v  T0T5  ^coypi<potr 
AaAeT  5'  &<£iwo;  u^xP'  "^"^  ^^  ^^  Xoyois, 
XoAeT  -rrivo^iv  oOrcos  ti  ^uypaipia' 
AduTTTi^  4k£ivo5  arrdcrris  oIkouuevtis, 
oOtos  Be  koctmos  dtrdaais  ^KKArio-iais  .  .  . 
80)  Siehe,  z.  B.,  Manuel  Holobolos,  XVIII,  1  ff.,  ed.  Boisssonade,  V,  179;  audi 
das  oben  (Anm.  77)  angefiihrte  Gedidit  des  Prodromos  sowie  dessen  XII.  Gedidit 
(Mai,  p.  411)  zur  Weihnachts-Prokypsis. 

81>  Regel,  Pontes  rerum  hyzantmarum,  p.  27,  22  ff.  Fiir  den  griedii-sdi-sizili- 
sdien  Umkreis  vgl.  etwa  die  Palmsonntagspredigt  des  Philagathos  vor  Konig  Ro- 
ger II.,  bei  Migne,  PGr.,  CXXXII,  541  B,  gedrudct  als  Homilie  XXVI  des  Theo- 
phanes  Kerameus,  wo  der  Glanz  der  Auferstehunp  mit  dem  des  Konigshofes  kon- 
trastiert  wird.  Vgl.  Ernst  Kitzinger,  „The  Mosaics  of  the  Cappelia  Palatina  in 
Palermo",  Art  Bulletin,  XXXI,  1949,  p.  281,  mit  Anm.  68  fur  die  Verfassersdiaft 
der  Homilie. 

83>  Corippus,  In  laudem  Justim,  II,  428,  ed.  Partsdi,  137  (MGH.  AA.  ant., 
111:2),  sagt,  ganz  iihnlidi  wic  nach  ihm  Marquard  von  Ried;  ille  est  omnipotens 
(sc.  Christus),  htc  ommpotcntis  imago.  Oberhaupt  sind  gewisse  Obereinstimmun- 
gen  dodi  merkwurdig;  vgl.,  z.B..  Conppus,  1.  361,  Partsch,  p.  126:  Omnia 
lustmo  praehen:  clementa  favorcm.  Omnia  congaudcnt;  siehe  aucb  II,  94  ff., 
Partsdi,   129. 

831  Cf.  Franz  Sauter,  Der  romisdic  Kaiserkult  bei  Martial  und  Statius,  Stutt- 
gart,  1934,    81  f.,   und  passim. 

*4)  Der  Text  bei  Athenaeus.  VII,  253  D,  audi  in  den  Collectanea  Alcxandnna, 
ed.  J.  U.  Powell,  Oxford,  1925.  173  f.;  dazu  Victor  Ehrenberg.  „Athenischer 
Hymnus  auf  Demetrius  Poliorketes",  Antike,  VII,  1931,  279  ff.,  und  vor  allcm 
O.  Weinreidi,  „Antikes  Gottmensdiemum",  Ncuc  Jahrbiicher,  II,  1926,  646  ff. 

85)  Fiir  das  Spielen  mit  dem  Namen  Manuel  (Emmanuel-Christus)  siehe,  z,  B., 
Eustathius  von  Thessalomdi,  bei  Regel.  Pontes,  57,  1,  oder  Theodoros  Prodromos' 
Epithalamium.  71,  bei  Carl  Neumann,  Griechische  Ccschichtssd^'-ciber  und 
Geschichtsquellen  des  zwiilften  Jahrhunderts,  Leipzig.  1888,  p.  67:  u  yap  wS 
XpicrTOuipT|Tos   XP'"'^'^'"^'^°^  CnrdpxEiS. 

86'  Es  ware  dabei  vor  allem  an  die  Paradigmengebete  und  an  die  ZtiuEpov- 
Stidioi  (bei  der  Epiphanien-Wassenieihe)  zu  denken;  vgl.  A.  Baumstark,  „Para- 
digmengebete  ostsyrischer  Kirdiendichtung",  Onens  Christianus,  Ser.  II,  vol. 
X— XI,  1923,  und  ders.,  „Die  WtM/u-Amiphonen  des  romisdien  Breviers  und  der 
Kreis  ihrer  griediisdien  Parallelen",  Die  Kirchenmusik,  X,  1909,  153  ff. 


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dehr  verehrter  Hen-  is.antorov/icz, 

ich  brauche  nicht   zm   aagen,welche   I'reude   es  ;' 
fiir  mich   ist  ,Beitrf^ge   aus    der  Hand   des   Histo- 
rikers   zu   erhalten,deB8en  ungeheurer   liinfluB 
auf   die   Jugend  von   192  5  und    193o,ja   auch  spH- 
ter  in  mir  keinesvvegs  voriibergegangen   ist  und 
dessen  Bild   durch   die   Uberlieferungen   Frank- 
furter and   Leiptiger   ?'reunde  mir   lebendig  war, 
Ich  habe   die)S    beiden  Aufsatze  nicht   weniger 
begierig  gelesen  afiis    seinerzeit    das   groBe  Jiuch. 
Was   ich   darauf   zu      erwidern  habe,kann   nicht   an- 
ders  a  Is   unf  achm-^jinisch    sein  -  mit    Ausnahme 
des   norma  mi  is Chen  haro,das   ich  aus   Anla^    des 
dezamviralen  ilndoplorare    zu   studieren  hatte 
(, Festschrift   wenger  i    (1945;    129  ff;einen 
Sonderdruck  habe   ich    leider  nicht   mehr).    Ich 
glaubte   damals   zu   lernen,daB  hier  die  nachbar- 
liche  H^  If  spf  licht   beim  Au^uf  gegen   dnn  juand- 
feind  ohne  v/e   teres   in   den  allgemeinen  Meerbanr. 
ubergehe,und   d'fl    diese   i^^riivkdr--ngunt^   des   ge- 
nosaenschnft lichen  Oharakters   der  alt en  Hilfs- 
pfiicht    darin   zum    -^uadruck  komme,daS    das    Auf- 
^ebot   a  Is    "lierrenruf  '    dem   L'^ndesherrn  vorbJa- 
h3lten,unbefugtes  (reriift   als  vider   le  haro 
buBpflichtig  werde.    ijoch    dies   ist   nur   ein 
^ebenpunkt,    flfichtiger  v/ar  mir  die    eindringende 
Erinnerung  nn  den  JJom  von  I'isa   in  diesem  J'riih- 
jahr,in  dem  rein  antike   GrebHlkformen  nicht 
mehr  als  ILontinuit^t ,  sondern  als   Vollrenaissai 
ce   erschienen;vom  Zeus-utricoli  '\'yr^^^^ 


I  I     I  I     U     J 
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des   Ohristus   nn   der  Jt.?inzel   I'isanoa    im  J<attik- 
atero   bbendort    ganz   zujR    schweigen,    ±*ro   patri^ 
mori    erinntj-'t   an   die  hierzuland  durch  die  r  - 
r  adoxe   der   letzten   ciahrzehnte   ganz  verschiit- 
tete   hiraaniatische  is-omoonente   des   I'atriotis- 
mus,j'     des   iMfltionalismusjder  liarbar  kann  kein 
i-'atriot    sein  and  wir  sahens   an  manehen   ijands- 
leuten, 

ich  weiB   nicht,vvas    ich   f?uf   die   ^eschenke 
erwidern   soli.,    ich  kann  nut  einiges    Ziuf'-'-ili- 
ge    zusamniensteliei  ,dag   unter  meinen   liufenden 
^Deparata    znr  -^i^nd   ist. 

Ich  freute  mich,mir   vosslers   im  >Tesprr-ch 
bei    ihnen  vorzust e.Iien;ich  vermisse   beide   in 
rrankfurt    in    dies em   d«hre   sehr, 

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yens  per  naturam,  dens  per  gratiam:  A  Note  on  Mediaeval  PoUtJr.l  tk     ,        , 
Harvard  Theological  Review,  XLV  (1952),  253-277  ^^^^'^^y* 

^TCs   copy,    annotated. 

A.  2-page    letter   frora  Werner   Jae^^er,    26  Jan   S3 

B.  "Deus    per  naturam"    (spiral   notebook   pa^e ) 

C.  Letter   fron    Ihor  Sevcenko,    P.^  Mar   53 

D.  Idem,    31    jnn   53 

S.      Idem    (2  pages),    25  jJan   53 

P'      2-pa,e    letter  from   Gerhart   Ladner,    20   Jan  53 

G.      Letter   from   Theodor  Klauser,    21   Apr   53 


n    II    ij    II 
u    u      I    u 


^ 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 

A  NOTE  OX  MEDIAEVAL  POLITICAL  THEOLUU\ 


BY 


ERNST  H.  KANTOROWICZ 


PRINTED  AT  THE  HARVARD  UNIVERSITY  PRINTING  OFFICE 
CAMBRIDGE,  MASS.,  U.S.A. 


Reprinted  from 

THE  HARVARD  THEOLOGICAL  REVIEW 

Vol.  XLV,  No.  4,  October  19S2 


n   1 1   u 
u   u     t 


DEUS  PER  NATUIL\M,  DELS  PER  GR-ATIAM 
A  Note  on  Mediaeval  Political  Theology 

ERNST  H.  K.\XTORO\VICZ 

Institi'te  por  -Advanced  Sti-dy.  Prdjcetox,  New  Jersey 

Dr.  George  H.  Williams"  recent  study  on  The  Xorman  Anony- 
mous of  I  loo  A.D..  published  as  an  extra  number  of  this  Review,* 
may  be  taken  as  an  excuse  for  delving  once  more  into  the  highly 
suggestive  pamphlets  of  this  anti-Gregorian  royalist.  In  a  para- 
graph beaded  Christus  per  naturam.  Christus  per  gratiam  Dr. 
Williams,  able  and  stimulating,  discusses  the  Christolog>'  —  per- 
haps we  should  say:  political  Christolog\'  —  of  that  courageous 
mediaeval  publicist."  thereby  commendably  calling  attention  to  a 
hitherto  somewhat  neglected  topic:  the  bearing  of  Christology-  on 
the  relationship  between  Church  and  State."  It  is.  however,  not 
the  christological  aspect  of  the  natura-gratia  problem  which  will 
be  dealt  with  in  the  following  pages,  but  the  historical  and 
doxographic  sides  of  it.  Dr.  Williams,  it  is  true,  has  indicated 
the  immediate,  or  possibly  immediate,  sources  of  his  author's 
pwlitical  theories,  but  it  would  have  exceeded  by  far  the  proper 
tasks  of  his  analysis  to  trace  ever>-  theorem  back  to  its  origins.* 
Although  the  building  up  of  an  unbroken  catena  phUologica  is 

^George  H  Williams.  The  Norman  .Anonymous  of  iioo  .\.D.  (Han-ard  Theo- 
lupcal  Studies.  XMII:  Issued  by  iht  Hanard  Theolopical  Re\-ie»),  Cambridge, 
1951- 

In  the  present  "Note"  the  discussion  of  many  a  problem  that  might  have  been 
interesting  and  even  essential,  has  been  omitted  or  sidestepped.  I  have  consciously 
avoided  embarking  on  interrelated  problems,  all  of  them  subtle  and  complicated, 
and  have  preferred  to  concentrate  on  the  one  question  which  the  title  indicates. 
Besides  the  obligations  acknowledged  in  the  footnotes  I  wish  to  thank  Professor 
Harold  F  Chemiss  for  many  fruitful  conversatioai,  suggestions,  and  improvements ; 
ioT  similar  courtesies  my  thanks  go  to  Professor  .\rthur  D  Nock  and  Dr.  George  H. 
WiQiams,  both  at  Harvard,  to  Professor  Ludwig  Edelslein,  at  Johns  Hopkins,  and 
Professor  TTieodor  E    Mommsen.  at  Princeton  University. 

'Williams,  i28ff. 

'  See  Williams"  Foreword,  p.  vii.  for  the  original  title  of  his  doctoral  dissertation. 
Meanwhile  Dr.  Williams  has  elaborated  this  problem  in  his  study  '"Christology  and 
Church-State  Relation  in  the  Fourth  Century."  Church  History.  XX.  i^ei.  No.  3, 
pp.  3-33,  No.  4,  pp.  3-26,  in  which  he  touches  also  upwn  the  problems  discussed  in 
the  present  "Note.'" 

*  Williams.  57f,  nos.  i68ff,  has  collected  the  parallels  within  the  writings  of  his 
author  and  has  indicated  se\eral  relevant  antecedents 


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DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 


2SS 


I        ' 


not  intended  here  either,  it  may  yet  prove  not  quite  useless  to 
spread  out  in  the  present  paper  some  material,  casually  collected 
and  perforce  incomplete,  which  might  elucidate  the  adaptation  to 
Christian  thought  of  an  axiom  of  Hellenistic  political  theory. 


The  crucial  sentence  to  which  Dr.  ^?\'illiams"  chapter-heading 
alludes  is  found  in  the  tractate  De  Romano  Pontifirr,  but  its 
essence  is  rendered  more  concisely  in  the  tractate  Dc  Consccra- 
tionc  Pontificum  ct  Rcf^um  in  which  the  Norman  AnonvTnou?  puts 
forth  with  greatest  vigor  his  ideas  about  the  proportions  prevailing 
between  the  divine  power  and  the  royal  power  .^ 

"The  king's  power  is  the  power  of  God,  but  it  is  God's  by  nature,  the 
king's  by  grace."  " 

Although  a  line  of  distinction  has  been  drawn  between  divine 
power  and  royal  power,  that  clear  distinction  itself  will  turn  out 
to  be  extremely  useful  for  blurring  the  borderline  between  divine 
and  royal  powers:  it  will  be  peculiarly  useful  to  the  Anonymous 
for  exalting  the  king  and  proving,  in  the  first  place,  his  vicariate 
of  Christ.  For  the  author  logically  continues: 

Also,  the  king  is  Deus  ct  Christum,  but  by  grace:  and  whatsoever  he 
does,  he  does  not  simply  as  a  man  but  as  one  who  has  been  made  Dcus  ct 
Christm  by  grace:  and  even  he  who  is  Dcus  ct  Christus  by  nature,  does 
what  he  does  through  his  vicar  through  whom  vicariously  he  acts." 

■'  Monumenta  Germaniat  Historica,  Libelli  df  lite,  III,  662fi.  I  shall  quoti-  this 
tractate  simpK   In   quotinp  papi-  and  line 

"6(i7,,?()t:  "Potesta^  enim  repLs  potestas  Dei  est,  Dei  quidein  est  per  naturam. 
repis  per  gratiam  " 

'667,,37-4o;  "Unde  et  rex  Deus  et  Christus  est,  sed  per  gratiam,  et  quicquid 
facit  non  homo  simpliciter,  sed  Deu.-;  factus  et  Christus  per  pratiam  facit  Immo 
ipse,  qui  natura  Deus  est  et  Christus,  per  vicarium  suum  hoc  facit,  per  qucm 
vices  suas  cxequitur  ''  For  Dru^  iactus.  see,  e.p.,  .^upustme.  I>i  fidr  el  svmlioUi. 
c.  9,  PL.,  XL,  i8cj:  "Non  enim  sunt  naturaliter  dh,  quicumquc  sunt  iacti  atque 
conditi  ex  patre  per  Filium  dono  Spiritus  sancti.''  See  also  .Augustine.  Dr  civ.,  X,  i, 
ed.  Hoffmann  (CSEL.,  40),  L  447:  '"[Deusl  facit  suos  cultures  deos";  also  IX,  23, 
Hoffmann,  I,  44of,  and  below,  nos.  iq.  6.=;.  For  vicarim  Christi.  see  now,  in  addition 
to  the  standard  studies  of  Hamaci;  and  Riviere,  also  Michele  Maccarrone,  "  '\'icarius 
Christi'  e  'vicarius  Petri'  ncl  periodo  patristico.''  Rivista  di  Storia  della  Chicsa  in 
Italia.  II,  1948,  1-32.  and  "II  Papa  'vicarm.''  Christi,'  Testi  e  dottrina  del  sec.  XII 
al  principio  del  XIV,''  Miscellanea  Paschini,  Rome,  1949,  II,  1-37. 


In  a  preceding  section  of  the  same  tractate  the  author  examines 
the  position  of  kings  and  priests  according  to  the  Old  Testament. 
He  quotes  (quite  traditionally,  as  will  be  seen  presently)  the 
versicles  Exodus, 2 2. 2 8  ("Diis  non  detrahes  et  principi  populi 
tui  non  maledices"),  and  Psalms, 81,6  ("Ego  dixi:  dii  cstis''),  in 
order  to  conclude  that  both  the  anointed  king  and  the  anointed 
priest  were  through  their  anointment  dii  or,  as  he  puts  it,  were 
Dcus  ct  Christus.  He  stresses  exphcitly  that  those  anointed  on 
earth  are  Dcus  ct  Christus  not  only  according  to  name  (nam en) 
but  also  according  to  essence  (res): 

Nam  nisi  rem  haberent,  falso  designarentur  hoc  nomine  (sc.  dii  et 
christi ) ." 

The  anointed  participate  in  the  divine  name  and  essence,  though 
not  without  some  restriction;  they  participate 

not  by  nature  but  by  grace,  since  onl}-  Christ.  Son  of  God  and  Son  of 
man,  owned  both  (name  and  essence)  by  grace  as  well  as  by  nature.  For 
he  is  God  by  nature  and  deified  by  none,  is  holy  by  nature  and  sanc- 
tified by  none.  But  I  said  also  "by  grace"  because  according  to  his 
human  nature  he  is  deified  and  is  sanctified  by  the  Father." 

Thus  enters  Christology  into  the  picture  only  to  be  carried  over, 
in  an  unusual  fashion,  to  the  royalist  theor\'.  For  now  the  Christ- 
like anointed  on  earth  is.  so  to  speak,  bound  to  receive  his  two 
natures,  too.  At  the  anointment,  says  the  author,  the  spirit  of  the 
Lord  and  his  deifying  power  "leaped"  into  the  anointed  (insiliebat 
in  cos)  changing  them  into  different  men.  In  that  moment,  and 
from  that  moment  on,  they  become  truly  "figure  and  image"  of 
the  God-man  (Christi  figure  ficrent  ct  imago),  inasmuch  as  the 
anointed  on  earth  now  becomes  a  gemina  persona,  that  is. 

one  person  by  nature,  the  other  by  grace.  ...  In  view  of  one  person 
he  is,  by  nature,  an  individual  man:  in  view  of  the  other  he  is,  by  grace. 
a  Christus,  that  is  a  God-man.^" 

"665,37-23. 

'665,24£f:  ".  .  .  non  tamen  per  naturam.  sed  per  gratiam,  quia  solus  Christus, 
filius  Dei  et  filius  hominis.  hoc  habet  et  per  gratiam  et  per  naturam  "  This  argu- 
ment (Christ  deus  per  gratiam)  has  been  often  discussed  in  earUer  times  and  has 
been  canvassed  also  bv  Peter  the  Lombard,  ej:..  Senlrntiar.  III.  dist  X.  passim. 
PL.,  CXCII,  777f 

"'664.2off:  "Itaque  in  unoquoque  gemina  intelligitur  fuisse  persona,  una  ex 
natura.  altera  ex  gratia    .  .  Una.  qua  per  conditionem  naturae  ceteris  hominibus 


I 


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256 


HARVARD  THEOLOGICAL  REVIEW 


To  be  sure,  the  author  himself  has  made  a  leap  in  his  thinking, 
for  the  point  of  reference  for  nature  and  grace  has  changed.  In 
the  one  case,  "nature''  is  what  makes  the  king  equal  to  all  other 
human  beings,  whereas  '"grace,'"  which  leaps  into  him  at  his  anoint- 
ment, exalts  him  over  all  other  men  and  makes  him  quasi  God 
and  Christ.  Contrariwise,  in  the  case  of  the  God-man,  "nature" 
indicates  the  higher  order,  that  of  divinity,  whereas  "grace"  refers 
only  to  the  humbled  Christ  in  human  flesh,  co-equal  with  all  other 
men. 

That  the  anointed  on  earth  share  also,  to  some  extent,  in  the 
divine  "nature"  is  a  different  matter;  for  through  the  New  Cove- 
nant those  anointed  become  "more  certainly  and  more  truly  par- 
ticipants of  the  divine  grace  and  nature.'"  They  become  "one  with 
God  and  Christ  by  the  spirit  of  adoption,'"  they  are  dii  ct  christi 
per  adoptionis  spiritum.  Again  the  author  has  made  a  leap  in  his 
argumentation,  and  a  significant  one  it  is.  "Adoption,'"  which  has 
here  taken  the  place  of  "grace,"  is  normally  understood  to  be 
accomplished  by  the  baptismal  unction.  Hence,  what  in  fact  was 
meant  to  distinguish  every  Christian  and  to  make  every  Christian 
a  "king  and  priest,"  now  has  been  appropriated  as  a  special  priv- 
ilege of  those  anointed  at  the  rites  of  consecration  and  ordina- 
tion." In  other  words,  a  ritual  act  which  refers  to  Christians  in 
general,  has  been  reduced  to  appear  as  a  purely  royal  and  priestly 
prerogative,  a  method  of  twisting  which  can  look  back  to  a  long 
line  of  ancestors. 

The  Norman  .Anonymous,  however,  prefers  to  employ  his  for- 


conpruerel,  altera  qua  per  eminentiam  deilicationis  el  vim  sacramenti  cunctis  aliis 
precellerel.  In  una  quippe  era!  naturaliter  individuus  homo,  in  altera  j)er  gratiam 
Christus,  id  est  Deus-homo."  Thi.s  is  the  mediaeval  version  of  tht-  later  Tudor 
theory  of  thf  Kinp's  two  Bodie.<i  (natural  and  politic)  ;  set  F.  W.  Maitland,  "The 
Crown  a.s  Corporation,''  Selected  Essays,  Cambridge,  1936,  104-127,  and  my  forth- 
coming study  on  that  subject. 

"' 667,2f{  For  thi  cnnsortcs  divinar  naturae,  sec  ;  Peter, 14.  For  the  baptismal 
mcaninj;  of  adoption  (cf.  Rom..S,T 5-2,5 ;  g.  4:  Gal,4,5),  sec  L.  VVenger,  Art. 
"Adoption,"'  Reallexilcon  fiir  Antike  und  Christentum,  I,  loyf  (e.g.,  Hesych: 
I'loOeaia  =  07101'  fiawTiafia) .  also  col.  108,  for  the  Pauline  antithesis  of  Son  of  God 
<t>v(T(i  and  sons  of  God  ecaei  (Gal. 4,8;  "qui  natura  non  sunt  dii").  Sec,  above 
all,  the  introductory  prayer  of  the  Brnedictio  Fontis:  "ad  recreandos  novos 
populos.  quos  tibi  fon.s  baptismati.<  parturit.  spiritum  adoptionLi  emittc";  H  A 
Wilson,  Tht  Gclasian  Sacramentary,  Oxford,  i8q4,  84.  It  should  be  added  that  on 
other  occasion.';  the  Anonymous  uses  the  idea  of  adoption  in  tht  normal  way,  that 
is,  referring  to  all  Christians;  sec  Williams.  i4,5ff,  and  passim. 


DEUS  PER  NATURAM,  DEUS  PER  GR.\TI.\M 


257 


mula  of  nature  and  grace.  In  the  tractate  De  Romano  Pontificc 
he  discusses  once  more  the  investiture  problem  and  defends  the 
custom  according  to  which  the  king  invests  the  bishop  whh  the 
tcmporalia. 

For  when  the  king  grants  the  investiture  he  is  not  a  la>Tnan  that  grants 
it,  but  the  christus  Domini.  That  is,  a  christus  Domini  ruling  by  grace 
together  with  him  {per  gratiam  ei  conrcgnans)  who  is  Christus  Dominus 
by  nature.  .  .  .  Verily,  that  christus  per  gratiam.  the  king,  serves  the 
Christus  per  naturam.^" 

Here  the  king's  character  of  christus  per  gratiam  leads  not  only, 
as  often  it  does,  to  a  vicariate  of  Christ  '■'  but  to  a  "throne-sharing" 
with  the  Christus  per  naturam  —  the  king  by  grace  a  synthronos 
of  the  God. 


The  arguments  of  the  Norman  writer  may  be  startling  but  they 
are  startling  only  in  their  application  to  the  Church-State  struggle 
of  post-Gregorian  Europe  and  their  integration  into  a  complex 
system  and  a  well-proportioned  edifice  of  mediaeval  royalism. 
Apart  from  that,  his  arguments  ha\'e  their  set  place  within  a  very- 
long  tradition. 

The  special  variety  of  the  antithesis  of  nature  and  grace  as 
exhibited  by  the  AnonjTnous  is  the  essential  factor  of  his  system. 
His  antithesis  is  not  the  customar\'  one  which  restores  man  to 
his  original  nature  and  therewith  to  immortality.  This  version,  of 
course,  forms  the  theme  of  Ephesians.2,3-5:  "By  nature  we  were 
children  of  wrath.  .  .  .  But  God  .  .  .  has  quickened  us  together 
with  Christ:  by  grace  ye  are  saved."  It  is  the  theme  also  of  St. 
Augustine's  treatise  Dc  natura  ct  gratia  and  his  other  anti-Pela- 
gian writings."  But  it  does  not  describe  the  antithesis  favored 
by  the  Norman  author.  According  to  his  version  "nature"  is  not 
used  in  the  lower  sense  of  something  in  need  of  being  remedied 

"'685,42ff;  6864. 

"Sec  also  668,3q:  "Nee  pulo  quod  aliquis  iustius  debeat  ea  preropare  quam 
Christus  ex  natura  per  Christum  ex  gratia,  sanctus  ex  natura  per  sanctum  ex 
gratia."    See  below,  n.  6s,  for  the  "throne-sharing"  of  all  men  with  Christ. 

"  PL.,  XLR',  247ff. 


/  /    n 
u    u 


u    u 


258 


HARVARD  THEOLOGICAL  REVIEW 


and  redeemed  by  "grace."  Nature  appears  as  the  higher  quality 
(God  by  nature)  and  grace  as  the  lower  (god  by  grace). 

The  views  of  the  Anonymous  have  antecedents.  In  an  address 
to  the  bishops  assembled  at  Ravenna,  in  877,  Pope  John  VIII 
referred  to  the  events  of  Christmas  875  when  he  elevated  Charles 
the  Bald  to  the  imperial  dignity.  The  pope,  for  reasons  closely 
connected  with  the  political  situation  at  that  time,  chose  to  bestow 
rather  highilown  titles  upon  his  protege.  He  referred  to  him  as 
the  christus  whom  God  anointed  with  the  oil  of  gladness  above 
his  fellows  (Psalms,44,8;  Hebrews, 1,9),  a  prince  "constituted 
by  God  as  saviour  of  the  world"  (a  Deo  constitutus  schator 
mundi),^''  and  then  explained  to  what  effect  God  had  established 
Charles  as  the  prince  of  his  people: 

ad  imitationem  .  .  .  veri  Regis  Christi  filii  sui  .  .  .  .  ita  ut  quod  ipse 
[Christus]  possidet  per  naturam,  iste  [imperator]  consequeretur  per 
gratiam.^^ 

Pope  John's  oration  was  not  to  fall  into  oblivion.  It  found  its 
place  in  at  least  two  canonical  collections:  in  that  of  Anselm  of 
Lucca  the  earlier  redaction  of  which  may  fall  in  the  year  1083. 
and  in  that  of  Cardinal  Deusdedit,  written  between  1085  and 
1087.^"  Other  canonical  collections  may  contain  that  document, 
too.  At  any  rate,  there  is  evidence  that  the  address  of  Pope  John 
Vni  was  known  to  two  prominent  contemporaries  of  the  Norman 
Anonymous,  and  it  may  have  attracted  the  attention  of  others 
as  well. 

The  similarity  between  the  address  of  Pope  John  and  the  argu- 
ments of  the  Norman  publicist  is  striking.    The  papal  formula, 

'"For  the  political  situation,  sec  Williams,  58,  n.  169;  P.  E.  Schramm,  Der 
Konig  von  Frankreich,  Weimar,  1939,  I,  36ff;  and,  for  the  general  papal  prt- 
dicamcnts  in  that  period,  F.  Engreen,  "Pope  John  the  Eighth  and  the  .^rabs," 
Speculum,  XX,  1945,  318-330.  For  the  salvator  mundi  title,  see  Heinrich  Linssen, 
"OEOi:  2:i!TIU':  Entwicklung  und  Verbreitung  einer  liturgischen  Formelgruppe," 
Jahrbuch  fiir  Liturgicwissenschaft,  VIII,  1928,  32ff,  70!,  who  however,  does  not 
consider  the  mediaeval  ruler  epithets.  But  on  soter  cf.  also  Nock  in  The  Joy  of 
Study,  ed.  Sherman  E.  Johnson,  N.  Y.  1951,  layff. 

'"Bouquet,  Recueil  des  Historiens  des  Gaules,  VII,  694ff;  Mansi,  Concilia. 
XVII,  .Appendix,  p.  172. 

".Anselm  of  Lucca,  Collcclio  canoniim,  1,79,  ed.  M.  Thaner,  Innsbruck,  I90(>- 
191S,  pp.  52f.;  PL.,  CXLIX,  489  (here  numbered  I,  78);  Deusdedit,  IV,  92,  ed. 
Victor  Wolf  von  Glanvell.  Die  Kanonessammlung  des  Kardinals  Deusdedit,  Padcr- 
born,  1 90s,  I,  439. 


DEUS  PER  NATURAM,  DEUS  PER  GRATLAM 


259 


however,  is  of  even  greater  interest,  since  two  notions,  new  to  us, 
here  make  their  appearance:  (i)  the  imitatio  of  Christ,  the  gen- 
uine supreme  King;  and  (2)  the  antithesis  of  owning  (possidet) 
and  achieving  {consequeretur).  All  that  was  implicitly  expressed 
by  the  Norman  writer  as  well ;  but  it  is  said  more  powerfully  by 
the  pope  and  it  adds  some  new  flavor  to  the  formula  contrasting 
divinity  by  nature  and  divinity  by  grace.'* 

That  formula  was  applied  by  Pope  John  VIII  to  kingship:  In 
imitation  of  Christ,  King  eternal  and  universal,  the  Carolingian 
emperor  ascended  by  grace  to  a  dignity  which  Christ  owned  by 
nature.  Such  reference  to  kingship  was  unwarranted  by  the 
natura-gratia  formula  taken  all  by  itself.  In  the  Commentary  on 
the  Psalms,  ascribed  probably  wrongly  to  Bede,  the  same  topic 
appears  in  connection  with  the  8ist  Psalm,  as  indeed  it  often  does. 
To  the  divine  title  Deus  dcorum  (Psalms  81,1,  and  49,1)  the 
author  remarks: 

[that  refers  to  him]  through  whom  all  those  who  are  not  gods  by  nature, 

but  become  gods  by  grace  {per  gratiam  dii  jiunt).  are  deified   {deifi- 

cantur). 

One  is  God  by  nature,  many  (are  gods)  by  grace;  one  is  born  (a  God) 

from  the  Father's  substance,  many  have  become  (gods)  by  his  grace. 

The  distinction  between  "being  God"  and  "becoming  gods,"  which 
is  equivalent  to  the  papal  possiderc-consequi,  is  certainly  put 
forth  very  vigorously.   Then  the  author  comments  upon  dii  estis 

(Psalm  81,6), 

that  is,  ye  may  be  gods  if  ye  will  have  done  what  I  shall  order  ye  to  do. 
And  3'e  all,  without  exception,  may  be  "sons  of  the  most  High  —  sons, 
that  is,  by  adoption,  and  gods  by  grace." '" 

The  commentator  is  more  cautious  than  the  Norman  Anonymous 
in  keeping  apart  adoption  and  grace.    And  he  certainly  does 

"Above,  n.  7;  also  664, i9f:  ".  .  .  ut  in  regendo  populo  Christi  Domini  figuram 
viccmque   tenerent    et   in   Sacramento   preferrent   imaginem." 

"•/n  Psallorum  Librum  Exrgcsis,  LXXXI,  PL.,  XCIII,  924D,  926.^;  see  also, 
for  Psalm  49.1,  P.740BC:  "L  nus  namque  Deus  est  per  naturam,  multi  per 
gratiam ;  unus  natus  est  ex  substantia  Patris.  multi  fact!  ex  eius  gratia.  .  ."  The 
author  here  draws  heavily  from  .\ugustine,  Enarralio  in  Psalmos,  XLIX,  2,  PL., 
XXXVI,  565  (see  below,  n.  21).  For  the  authorship  of  the  Psalter  Exegesis,  see 
M.  L.  W.  Laistner.  .\  Hand-List  of  Bede  Manuscripts,  Ithaca,  N.  Y.,  1943,  159. 


U     U       I     J 


260 


HARVARD  THEOLOGICAL  REVIEW 


not  think  of  kings.-"  He  talks  about  the  baptized  as  sons  of 
adoption  who  potentially  may  become  also  "gods  by  grace,"  pro- 
vided that  they  obey  the  divine  commandments.  In  other  words, 
he  talks  about  Christians  in  general,  about  the  justi  et  dcificati, 
whereby  the  "deification"  again  refers  to  Man  in  general.-' 

Nevertheless,  the  interpretation  of  dii  in  the  restricted  sense 
of  kings  and  princes  must  have  existed  and  even  have  been  fairly 
common,  as  may  be  gathered  from  Jerome's  Tractates  on  the 
Psalms.  In  his  exposition  of  Psalm  8i,  Jerome  says  epigram- 
matically:  Quod  dii  sumus,  non  sutnus  natura,  sed  gratia."  And 
he  adds: 

God  did  not  say:  "I  have  said:  ye  are  gods"  with  regard  to  kings  and 
princes,  but  to  all:  to  all  those  to  whom  I  have  equally  given  body,  soul, 
and  spirit,-^  I  have  given  also  equally  divinity  and  adoption.  Equally 
we  all  are  born,  emperors  and  paupers. 

""Nor  do  others;  see,  e.g.,  .Augustine,  De  fide  et  symbolo,  c.  9  (above,  n.  7), 
and  Enarratio,  XLIX  (above,  n.  19).  Cassiodorus,  one  of  the  sources  of  Pseudo- 
Bede,  says  in  the  Expositio  in  Psalterium,  XLIX,  i:  "Dii  dicuntur  homines,  qui 
bonis  conversationibus  gratiam  supernae  Majestatis  accipiunt.  .  .  Ita  ergo  filii 
dicuntur  sicut  et  dii,  quia  utrumque  gratia  praestat  utique,  non  natura";  and 
similarly  LXXXI,  6:  "(iilii)  per  gratiam  utique,  non  per  naturam,"  since  only 
Christ  "proprie  dicitur  Dei  Filius"  whereas  the  others  are  sons  only  kot'  ivaXoylap ; 
PL.,  LXX,  348D,  S94CD.  Also  Justin  Martyr,  Dialogus,  c.  124,  ed.  E.  J.  Good- 
speed,  Die  altesten  .\poIogeten,  Gottingen,  1914,  245,  stresses  the  fact  that  all 
men  may  become  sons  of  God;  to  Irenaeus,  Adv.  haer.,  Ill,  vi,  i,  ed.  Harvey,  II,  22, 
those  having  received  the  grace  of  the  adoption  appear  as  the  "gods."  It  would 
be  easy  to  collect  similar  places  in  great  numbers. 

"  Pseudo-Bcde,  In  P.sall.,  XLIX,  PL.,  XCIII,  740B:  "Deus  dcorum,  id  est  Deus 
iustorum,  Deus  deificatorum.  Si  cnim  est  iustilicans,  est  et  deificans,  quia  de  iustis 
dictum  est:  'Ego  dixi:  Dii  estis.' "  The  Justification  betrays  Augustinian  ideas; 
see  Enarratio,  XLIX,  2,  PL.,  XXXVI,  565:  "Manifestum  est  ergo,  quia  homines 
dixit  dc'os,  ex  gratia  sua  deificatos,  non  de  substantia  sua  natos.  .  .  Qui  autem 
iustificat,  ipse  deificat,  quia  iustificando  filios  Dei  facit." 

"Tractatus  in  Librum  Psalmorum,  LXXXI,  i,  ed.  G.  Morin,  .\necdota  Mared- 
solana,  Maredsou,  1897,  III:  2,  p.  77;  see  also  Williams,  72,  n.  214,  who  adds  a 
few  more  places  (.\ugustine,  the  Glossa  ordinaria,  etc.)  for  dii  as  applied  to  all 
Christians,  an  interpretation  which  was,  of  course,  well  known  to  the  Norman 
Anonymous  as  well;  see  Williams,  i44f,  I46f,  passim. 

"^The  Pauline  trichotomy  (i  Thess.,5,23)  should  be  noted;  cf.  Erich  Dinkier, 
Die  Anthropologic  Augustins,  Stuttgart,  1934,  25.i;ff;  also  F.  E.  Brightman,  "Soul, 
Body,  Spirit,"  Journal  of  Theological  Studies,  II,  igoi,  273ff,  for  the  Eastern 
liturgies ;  the  trichotomy,  however,  is  found  also  in  the  West  despite  later  "emenda- 
tions"; see,  e.g.,  H.  A.  Wilson,  The  Gelasian  Sacramentary,  Oxford,  1894,  70,  in 
the  Benediction  of  Oil  for  Anointing  the  Sick:  "tutamentum  corporis,  animae  et 
spiritus." 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 


261 


Jerome  would  hardly  have  bothered  to  emphasize  so  strongly  the 
potential  deification  of  all  men  and  to  refute  a  singling  out  of 
rulers  had  there  not  existed  some  tendency  to  interpret  (sug- 
gested perhaps  by  Exodus,2  2,2  8)  the  "gods"  of  the  Old  Testa- 
ment as  kings  and  princes.  In  fact,  Eusebius,  when  discussing  the 
8ist  Psalm,  thinks  of  the  deoi  mentioned  therein  in  terms  of 
Tjyovfievoi  Kal  dpxovTe<;.  and  so  did  others."*  Even  Chrysostom 
would  answer  the  question  "Whom  does  he  call  gods  in  that 
place?"  with  "The  rulers."  -''  Jerome,  of  course,  did  not  polemize 
against  Eusebius,  but  against  a  common  opinion,  whereas  the  one 
man  against  whom  he  really  struggles  throughout,  Origen,  is  far 
from  giving  so  much  as  a  thought  to  kings  or  princes.  Origen, 
who  actually  seems  to  have  fathered  the  conventional  interpreta- 
tion of  Psalm  81  (contrasting,  in  that  place,  the  God  by  nature 
with  the  gods  by  grace),  may  be  Hkewise  responsible  for  the 
exegesis  of  the  word  "gods"  in  the  sense  of  "nothing  but  a  name." 

To  those  created  by  God  the  name  [gods]  has  been  conferred,  though 
not  by  nature,  but  by  grace. 

Although  they  [the  gods]  are  powerful  and  seem  to  have  been  given  that 
name  by  grace,  yet  none  of  them  is  found  similar  to  God  in  either  power 
or  nature.^" 

To  expound  the  term  "gods"  as  a  mere  name  or  speech,  a 
X6yo<;  <//i\d?,  was  an  expedient  adopted  also  by  other  interpreters. 
Theodore  of  Mopsuestia,  for  example,  says  very  pointedly  that 

•'Eusebius,  In  Psalmos  C ommentaria,  LXXXI,  PGr.,  XXIII,  988B;  see  also 
XLIX,  2  (col,  433D):  The  Seventy  Sfout  (KoKtaav  toi's  n  apxocTas  (tai  (cptVoi, 
hvtp  iSior  fiovov  0€oi'.  For  later  times  see,  e.g.,  Euthymius  Zigabenus,  PGr., 
CXXVIII,  853f,  with  reference  to  Exod.,22,28.  .\ntonius  Melissa,  Loci  communes, 
II,  3  (al.CLXXIII),  PGr.,  CXXXVI  1020B,  apparently  reproducing  John  Chrys- 
ostom, interprets  Exod.,;2,28,  in  the  sense  that  the  "gods"  arc  the  "priests"  as 
opposed  to  the  "princes"  mentioned  in  the  second  half  of  the  versicle;  see,  how- 
ever, next  note;  and,  for  the  great  variety  of  interpretations,  the  summary  by 
J.  J.  Reeve,  Art.  "Gods,"  International  Standard  Bible  Encyclopaedia,  Chicago, 
1915,  II,  1270-1272. 

"  John  Chrys.,  Expositio  in  Psalmos,  XLIX,  PGr.,  LV,  24of,  who  gives  as  the 
first  meaning  of  8eoi  that  of  princes:  nVas  fyroCSo  \e7fi  tftoi's;  Toits  opxo*Toj. 
He,  too,  refers  to  Exod.,22,28,  while  discussing  Ps..4g.i :  0«6s  ftfuif. 

"Origen,  In  exodum  Homilia  VI,  c.  s,  ed.  Baehrens,  I,  196, 22f;  also  Homilia 
VIII,  c.  2,  Baehrens,  I,  200,25.  The  nomen  interpretation  is  applied  by  others  as 
well  (see,  e.g.,  John  Chrys.,  PGr.,  XLXTI.  758f)  and  may  go  back,  in  the  last 
analysis,  to  the  Xe^oMci'oi  9toi  of  i  Cor. ,8,5. 


n    1 1    u    L 
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262 


HARVARD  THEOLOGICAL  REVIEW 


those  styling  themselves  "gods"  do  not  prevail  in  the  nature  of 
God,  but  that  they  have  received,  merely  by  grace,  the  name  of 
god  which  is  a  pure  matter  of  speech.-'  And  Theodoret  of  Cyrus 
explains  even  more  straightforwardly  that 

God  the  creator  of  all  has  a  divine  nature,  not  the  mere  name  |  of  God  |, 
whereas  man  has  only  the  name  "Image  [of  God],"  but  is  lacking  the 
thing  itself.-* 

The  setting  over  of  ovo/xa  against  npayfia  in  that  connection  ex- 
plains why  the  Norman  Anonymous  exclaimed  almost  angrily: 
"Nisi  rem  haberent,  falso  designarentur  hoc  nomine."  -" 

We  may  neglect  here  the  numerous  authors  who,  in  the  midst 
of  the  christological  struggles,  used  the  antithesis  of  God-by- 
nature,  god-by-grace  chiefly  to  prove  that  the  Second  Person  of  the 
Trinity  was  co-equal  and  consubstantial  with  the  First:  the  Son, 
like  the  Father,  was  God  f/)vo-ct  whereas  all  others,  "be  they  sons 
and  gods  on  earth  or  in  heaven,"  •"'  were  "gods"  only  x^P'"'''-  of 
were  "sons  of  God"  only  Secret,  by  adoption.  This  is  what  Atha- 
nasius  expounds,  time  and  again,  in  his  Orations  against  the 
Arians;  '"  and  some  arguments  of  John  Chrysostom ''-  and  Cyril 
of  Alexandria  ■"  have  a  similar  intention.  Their  purpose  is  to  show 

^  In  evang.  Joannis,  X,  35,  PGr.,  LXVI,  760D.  See  also  the  Scholia  Vetera  in 
Joannem,  X,  34,  PGr.,  CV'I,  1260CD,  which  come  very  close  to  Theodore's  text. 
Since  in  John, 10,34,  the  vcrsicle  Ps.,8i,6,  is  quoted  most  authoritatively  by 
Christ  himself,  the  exegesis  of  John  frequently  is  concerned  with  the  interpreta- 
tion of  Sfoi. 

'"Theodoret,  Quaestiones  in  Genesim,  I,  20,  PGr.,  LXXX,  io8.\. 

"  Above,  n.  8. 

■^  .\thanasius,  Oralio  I,  c.  39,  a  quotation  from  i  Cor. ,8,5.    (See  next  note.) 

'' Athanasius  applies  that  antithesis  very  often;  sec,  e.g.,  Contra  Arianos 
Oratio  I,  cc.  8,  39;  Oratio  II,  cc.  51.  61 1  Oratio  III,  c.  6,  and  passim,  PGr.,  XXVI, 
29A,  93A,  272C,  273C,  277A,  334.^.  Some  of  his  definitions  are  interesting: 
Or.  I,  8,  the  gods  by  charis  are  set  over  against  Christ,  "the  true  image  of  the 
Father's  ousia" ;  Or.  I,  39,  the  "true  and  one  Son  of  the  true  God,"  who  is  God, 
not  as  a  reward  for  virtue  (iita$l>%  dpertis),  but  ^ucrei  Kar'  ovaiav,  is  distinguished 
from  rrai'Tcj  otroi  I'ioi  [toi"  OeoC]  re  koI  Btol  iK\T]Biiaav,  tire  eTri  7^5,  fiVe  in 
oipavoU  (see  below,  n.  76) ;  Or.  II,  59,  the  "Becoming"  sons  of  God  by  adoption 
is  stressed:  tA  niv  yap  'yeveadai',  5ta  to  fii)  0iVei,  dWa  ffiaei  avToiii  XeyeaOai  lioi'S 
0»;cti;  and  in  the  same  chapter  he  contrasts  Kara  x^P'"  with  Kara  (pvaiv;  Or.  II,  61, 
he  discusses  the  nature-grace  problem  with  regard  to  Christ  alone  who  is  the 
Bringer  of  grace  rather  than  the  Son  by  grace  (above,  n.  9). 

"^  John  Chrys.,  In  Joannem  Homilia  III  (al.  II),  c.  2,  PGr.,  LIX,  39. 

"Cyril  plays  throughout  with  the  nomen  interpretation  (above,  nos.  :6,  2S, 
29):  men  are  only  "called"  gods;  see,  e.g.,  In  Psalmum  LXXXI,  PGr.,  LXIX, 
1205;   In  Jvannii  Evaitniiium,   I,  c.    10    (to   John, 1,18),   PGr.,   LXXIII,    i79.\.B; 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 


263 


that  Christ,  like  the  Father,  is  "God  by  nature"  and  that  he  is 
the  only  "Son  of  God,"  and  that  in  comparison  with  the  Son's 
natural  divinity  and  divine  sonship  the  so-called  deification  of 
man  by  grace  or  man's  adoption  to  sonship  of  God  cannot  detract 
from  the  uniqueness  of  the  God-man. 

We  may  turn  instead  to  another  aspect  of  the  problem,  one 
which  has  been  conjured  up  in  the  address  of  Pope  John  VIII 
when  he  declared:  the  emperor  achieved  by  grace  a  dignity  ad 
imitationcm  Regis  Christi  who  was  the  true  King  by  nature.  With- 
out raising  as  yet  the  question  how  imitatio  entered  into  that 
picture,  it  should  be  taken,  for  the  present  moment,  simply  as  a 
fact  that  the  very  complex  cluster  of  notions  connected  with 
imitatio  Dei  or  homo  imago  Dei  has  been  linked  with  the  prob- 
lem of  nature  and  grace;  or  that,  biblically  speaking,  Psalm  8i,6 
(dii  estis),  is  inextricably  conjoined  with  Genesis,i,26:  Faciamus 
hominem  ad  imaginem  et  similitudinem  nostram.  That  combina- 
tion is  fairly  illustrated  by  Cyril  of  Alexandria,  who,  in  his 
exegesis  of  the  Fourth  Gospel,  declares  that  all  men  were  adopted 
(by  grace)  to  the  likeness  of  Christ,  God  by  nature,  because 
images  are  always  to  the  likeness  of  the  archetype.^* 

Cyril,  of  course,  does  not  speak  of  kings,  he  speaks  of  men  in 
general.  On  the  basis  of  Genesis, 1,26,  however,  man  and  king 
become  easily  interchangeable.  Theodoret  of  Cyrus,  for  example, 
discusses  in  one  of  his  Quaestiones  the  Genesis  verse  and  asks 
what  it  means. •''•''  Some  people,  writes  Theodoret,  seek  man's  like- 
ness to  God  in  an  anthropomorphic  conception  of  the  deity;  others 
hold  that  man's  God-likeness  should  be  sought  in  the  sphere  of 
the  invisible,  of  the  soul.  Philo,  who  seems  to  have  started  within 
the  Greek-speaking  world  that  kind  of  discussion  on  Genesis, 1,26, 
had  decided  in  favor  of  the  invisible,  the  soul.^"  Theodoret,  how- 
ever, declared  both  opinions  wrong.    Man  is  the  likeness  of  God 

VII  (to  John,:o,34),  PGr.,  LXXIV,  25C,  32A;  sec  also,  for  the  problem  of 
adoption,  I,  c.  9  (to  John. 1,13),  PGr.,  LXXIII,  i53f. 

•"Cyril,  In  Joannis  Ev.,  V,  c.  5  (to  John,8,42),  PGr.,  LXXIII,  S,S4D,  and 
passim. 

°°  Theodoret,  Quaest.  in  Gen.,  I,  20,  PGr,,  LXXX,  i04ff,  almost  verbatim  re- 
peated by  Anastasius  Sinaita  (below,  n.  37). 

"Philo,  De  opiftcio,  69,  Cohn-Wendland,  1, 23, iff,  in  addition  to  other  places; 
cf.  Harry  A.  Wolfson,  Philo.  Cambridge  1948,  I,  116,  347,  passim. 


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264 


HARVARD  THEOLOGICAL  REVIEW 


above  all  with  respect  to  dominion  (KaTo.  to  dpxiKov),  that  is,  to 
his  lordship  over  nature: 

Just  as  God  himself  has  the  lordship  over  all  and  everythin;?,  so  he  gave 
man  the  lordship  over  the  living  creatures  lacking  reason. 

In  other  words,  man  is  the  image  of  God  chiefly  because  he  is 
ruler  like  God.  Theodoret  admits  other  possibilities  as  well,  since 
the  similitude  of  man  with  God  may  result  also  from  imitations 
of  the  archetype  (w?  apxervirov  jxifirJixaTa) .  Man,  after  a  limited 
fashion,  is  a  creator;  he  too  makes  images;  he  rules  and  judges  in 
imitation  of  God  (^aa-iXevei  a.v0pu)7To<;  Kal  Kplvei  Kara  piprjcrip  tov 
0€ov) ;  but  man  is  imperfect  in  all  that  because  God  creates  with- 
out labor  and  without  time  (Si'xa  novov  Kal  xpovov),  gives  life  to 
his  images,  and  is  omniscient  —  all  of  which  is  beyond  man's 
abilities.  These  considerations  lead  Theodoret  to  his  statement, 
quoted  above,  that  man  has  only  the  "name"  of  God's  image  but 
lacks  the  essence. 

This  conclusion  apparently  did  not  satisfy  Anastasius  Sinaita,  a 
most  popular  seventh-century  author,  whose  influence  on  late 
Byzantine  and  early  Russian  thought  and  art  has  as  yet  to  be 
studied.  In  his  Quaestiones  he  quotes  Theodoret  and  reproduces 
the  latter's  text  almost  verbatim.  However,  he  deviates  where 
Theodoret  declares  that  man  has  only  the  "name"  of  God's  image, 
and  instead  connects  the  idea  of  man's  rulership  after  the  divine 
model  with  Psalm  8i,6,  and  says  that  the  kingly  men,  as  marked 
out  by  Theodoret,  are  sometimes  called  "gods"  in  Holy  Scripture 
although  there  is  a  great  difference  between  those  gods  and  God: 
"God  is  God  by  nature,  man  by  grace."  "  And  Anastasius  con- 
cludes that  man  is  to  the  likeness  of  God  in  view  of  his  intellect, 
his  free  will,  and  his  kingly  rule.  Concerning  the  emphasis  on 
rulership  Anastasius  may  have  followed  Diodorus  of  Tarsus 
whose  interpretation  of  Genesis,i,26,  has  been  added  (probably 
by  a  later  editor)  to  Theodoret's  exegesis;  for  Diodorus  states 
quite  bluntly: 

"Anastasius  Sinaita,  Quaestiones,  XXIV,  PGr„  LXXXXIX,  54iff,  csp.  S44D, 
S45B.  I  am  much  obliged  to  Professor  Andre  Grabar,  of  Dumbarton  Oaks,  for 
calhng  my  attention  to  this  author  and  his  influence  on  later  Byzantine  thought. 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 


265 


In  what  respect  is  man  the  image  of  God?  According  to  his  rulership 
and  his  power.'** 

This  theme  is  echoed,  even  more  strongly,  in  the  West.  The  so- 
called  Ambrosiaster,  writing  in  Rome  during  the  pontificate  of 
Pope  Damasus  (366-384),  likewise  explains  in  his  Quaestiones: 
"In  dominatione  imago  Dei  factus  est  homo,"  ^^  only  to  go  even  a 
step  further  in  a  later  Question.  Man,  writes  he,  is  the  image  of 
God  for  the  purpose  that  One  be  made  quasi  Lord  on  whom  all 
others  depend,  for 

man  has  the  imperium  of  God,  as  it  were,  as  his  vicar,  because  every 
king  has  the  image  of  God  (habens  imperium  dei  quasi  vicarius  eius, 
quia  omnis  rex  dei  habet  imaginem)  *^ 

The  oscillation  between  the  notions  of  man,  of  man  a  king,  and 
of  royal  office  could  hardly  be  more  irritating  than  in  the  case  of 
Ambrosiaster. 

At  any  rate,  by  building  up  a  doctrine  of  man's  original  king- 
ship and  of  man's  essentially  royal  character  those  authors  come 
to  create  a  theory  fluctuating  between  homo  imago  Dei  and  rex 
imago  Dei.  They  are  —  perhaps  with  the  exception  of  Ambrosias- 
ter —  far  from  singling  out  the  professional  king  as  the  only 
image  of  God,  but  their  concept  of  "man"  in  general  is,  like  that 
of  Philo,^'  avowedly  royal.  The  idea  of  man's  inner  kingship  is 
found  everywhere  in  early  Christian  literature,  and  it  has  been 
expounded  in  a  truly  grand  fashion,  for  example,  by  Gregory  of 
Nyssa  in  his  vision  of  man's  natural  imperial  sovereignty,  in  his 

"PGr.,  LXXX,  108CD:  riaii  ovv  6€oC  ei'/cwv  6  avSpuTTO^'.  Kara  to  ipxiKdn,  koto 
TO  ciovataaTiKov.  I  am  grateful  to  Professor  G.  B.  Ladner  for  mentioning  this  place 
to  me.  See  also,  for  Chrysostom,  above,  n.  25;  further,  Ps.  .■\thanasius,  Quaestiones 
in  Vet.  Test.,  LV  (to  Gen.,  i,  26),  PGr.,  XXVIII,  733B:  Just  as  God  liacnXiva, 
SpXii,  fJoi'iTidfei  in  the  universe,  oi'tui  xai  6  di'ffpwrroj  apxuif  <cat  ^a<Tt\fiis  Ka8iaT7)Kt 
ira.fTwv  Tujv  ewiyeiujy  wpayfioiTut>. 

""  (Ambrosiaster),  Quaestiones  \'eteris  et  Novi  Testamenti,  \L\,  3,  ed.  Souter 
(CSEL,  50),  82,  20.  See  also  Williams,  i75ff,  for  the  problem  Rex  imago  Dei, 
sacerdos  Ckrisli. 

*°0p.  cit.,  CVI,  :7,  Souter,  243,  i2ff.  It  would  be  probably  worth  while  to 
study  Ambrosiaster  within  the  framework  of  the  Eastern  Quaestiones  literature, 
since  the  similarities  are  rather  remarkable. 

"See,  e.g.,  Philo,  De  opificio,  148,  cd.  Cohn-Wendland,  I,  5if.  The  kingliness 
and  godliness  of  the  Sage,  who  in  many  respects  is  comparable  to  the  vision  of 
the  kingly  man  as  created  originally  by  God,  will  not  be  considered  here;  see, 
for  some  aspects  of  the  problem  within  the  Philonic  context,  Goodenough,  The 
Politics  of  Philo  Judaeus,  New  Haven,  1938,  esp.  goff,  gSff,  passim,  and  below,  n.  81. 


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266 


HARVARD  THEOLOGICAL  REVIEW 


lapidary  statement  "Where  the  power  of  ruling  prevails,  there 
prevails  the  image  of  God,"  and  in  his  stirring  apostrophe:  "Thou 
art  a  kingly  being,  Man"  —  dpxtKov  d  ^woz^,  dvOpcone.'*'^ 

What  matters  here  is  only  the  combination  of  the  antithesis 
"God-by-nature,  god-by-grace"  with  the  broad  idea  of  homo-rex 
imago  Dei  and  of  the  God-vicariate  of  the  "image."  In  this  re- 
spect not  only  is  Ambrosiaster  illuminating  but  so  also  is  a  brief 
remark  of  Aponius,  an  author  of  the  fifth  century  too  little  ex- 
plored, who  in  his  commentary  on  the  Canticum  canticorum 
observes : 

What  Christ  is  by  nature,  is  achieved  by  those  whom  ...  he  has  placed 
as  his  vicars,  through  the  itnage.*^ 

Aponius  thinks  in  the  first  place  of  the  apostles,  in  the  second 
of  the  apostles'  episcopal  successors,  that  is,  of  Church  officers; 
however,  the  rcligiosissimi  rcges  appear  to  him  also  as  "vicars  of 
God."  "  More  remarkable  is  the  fact  that  in  Aponius'  work  we 
find  "grace"  replaced  by  "image,"  and  we  may  wonder  whether 
his  version  of  the  problem  centered,  as  it  is,  in  "image"  and  "imi- 
tation," does  not  come  closer  to  the  original  strata  than  the 
Christian  notion  of  grace. 

It  will  be  appropriate,  though  at  first  glance  seemingly  not  fit- 
ting, to  adduce  here  that  famous  christological  argument  of  St. 
Basil  which  later,  during  the  controversy  on  images,  was  repeated 
over  and  over  again.^'^'  Basil,  like  all  the  other  anti-Arian  christo- 
logical champions,  endeavored  to  demonstrate  the  oneness  of 

"Gregory  Nyss.,  De  hominis  opificio,  4-5,  and  In  verba  'jaciamus  hominem' 
Oratio  I,  in  PGr.,  XLIV,  i36f,  264f.  For  the  connections  with  Philo  and  Plato,  see 
Harold  F.  Chcrniss,  The  Platonism  of  Gregory  of  Nyssa  (University  of  California 
Publications  in  Classical  Philology,  XI),  Berkeley,  1934,  jgf.  (nos.  43f,  p.  75); 
cf.  82,  n.  45. 

"Aponius,  In  Canticum  Canticorum,  ed,  H.  Bottino  and  J.  Martini,  Rome, 
1843,  P-  235  (Lib.  XII,  ad  Cant.  VIII,  10).  In  addition  to  Harnack,  "Vicarii  Dei 
vel  Christi  bei  Aponius:  Ein  Bcitrag  zur  Idcengeschichte  dcs  Katholizismus," 
Delbruck-Festschrift,  Berlin,  1908,  37-46,  see  Michele  Maccarrone,  ''Vicarius 
Christi  e  Vicarius  Petri  ncl  pcriodo  patristico,"  2off  (see  above,  n.  7).  Cf.  Williams, 
176,  n.  s86. 

"Aponius,  p.  202  (Lib.  X,  ad  Cant.  VII,  5). 

"Basil,  De  Spiritu  sancto,  c.  45,  PGr.,  XXXII,  149C,  and  Homilia  XXIV  contra 
Sabellianos,  c.  4,  PGr.,  XXXI,  608A.  For  the  later  repetitions  of  that  passage 
by  John  of  Damascus,  see  Kenneth  M.  Setton,  Christian  Attitude  towards  the 
Emperor  in  the  Fourth  Century,  New  York,  1941,  igg,  n.  9.  Basil's  comparison 
has  its  antecedents  in  the  writings  of  .\thanasius ;  see  next  note. 


DEUS  PER  NATURAM,  DEUS  PER  GR.ATIAM  267 

God  the  Father  with  God  the  Son  and  defeat  the  opinion  that  "two 
Gods"  were  involved  in  the  orthodox  dogma.  For  that  purpose  he 
avails  himself,  among  other  arguments,  of  a  comparison  with  im- 
perial images  also,  and  declares:  The  emperor  and  the  emperor's 
image  are  not  two  emperors  even  though  the  same  respects  are 
paid  to  the  image  as  to  the  emperor  himself;^"  nor,  for  that  matter, 
are  there  two  Gods,  since  the  identity  of  the  Son,  who  is  the  per- 
fect "Image"  of  the  Father,  with  the  divine  archetype  is  absolute 
and  therefore  greater  than  that  of  the  emperor's  image  with  the 
imperial  archetype.  For  in  the  emperor's  case  identity  of  image 
and  archetype,  so  far  as  it  goes,  is  achieved  by  imitation 
(fnij.r]TiKw<;),  whereas  the  identity  of  the  Son  with  the  Father  — 
not  "achieved"  at  all  —  is  one  by  nature  (^vaiKox;)  .*''  We  face  a 
new  antithesis,  that  of  physis  and  mimesis,  which  presumably  was 
looming  at  the  back  of  all  the  theorems  discussed  in  these  pages ; 
and  it  leads  directly  to  the  Hellenistic  origins  of  the  nature-grace 
formula. 


The  "Pythagorean"  tractates  On  Kingship,  the  fragments  of 
which  have  been  transmitted  by  Stobaeus,  discussed  by  Goode- 
nough,  and  re-edited,  translated,  and  commented  on  by  Delatte, 
were  composed  probably  not  earlier  than  the  first  or  second  cen- 
turies A.D.,  which  does  not  preclude  reflection  of  ideas  of  the 

"All  that  is  expressed,  in  essence,  already  by  Athanasius,  Contra  .Arianos,  III, 
S,  PGr.,  XXVI,  332A.B.  who  (333A)  stresses  that  the  oneness  of  the  Son  with  the 
Father  is  ov  koto  x^-P'-"  but  according  to  the  ousia  of  God  which  here  takes  the 
place  of  physis.  See,  for  the  survival  of  the  Athanasian  argument  in  Pseudo- 
Atbanasius  and  John  of  Damascus,  Setton,  op.  cit.,  199,  n.  8.  The  seemingly  strange 
comparison  of  Christ  with  the  imperial  images  derives  from  the  concept  that 
Christ  was  the  perfect  image  of  the  Father,  even  his  mimetes  (Ignatius,  Ad  Philad., 
7,  2:  ^(/iijTT/s  Tov  narpbs  airoC).  The  comparison  with  imperial  images  is  found 
time  and  again;  see,  e.g.,  Sirarpie  der  Nersessian,  "Une  apologie  des  Images  au 
scptieme  siecle,"  Byzantion,  XVTI,  1944-45,  6of,  for  Chrysostom  {In  inscriptionem 
altaris  homilia  I,  c.  3,  PGr.,  LI,  7if)  and  for  the  Armenian  tractate  on  images  by 
Vrt'anes  K'ert'ogh  (shortly  after  600  A.D.) ;  also  Gregory  Ny.ss.,  De  hominis 
opificio,  4-5  (above,  n.  43),  and  De  professione  Christiana,  PGr.,  XL VI,  245 A, 
a  place  to  which  Professor  Werner  Jaeger  kindly  called  my  attention.  The  other- 
wise very  useful  study  of  Helmut  Kruse,  Studien  zur  offiziellen  Geltung  des 
Kaiscrbildes  im  romischen  Reich,  Paderborn,  1934,  is  less  satisfactory  with  regard 
to  the  Christian  problems. 

"PGr.,  XXXII,  149C:  S  ovv  etTTiv  cyroOSo  fiifiriTiKUs  i)  fiKwy,  tovto  ixet  <t>vaiKus 
i  Tidt. 


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268  HARVARD  THEOLOGICAL  REVIEW 

Hellenistic  period.''  One  of  the  fragments  goes  under  the  name  of 

Sthenidas  of  Lokri/"  The  author  elaborates  the  topos  of  the  wise 

king: 

The  King  must  be  a  wise  man,  for  so  he  will  be  an  imitator  and  emulator 

of  the  f^rst  God. 

He  (the  God)  is  the  first  king  and  ruler  by  Nature  [and  by  BerngJ, 
the  king  only  by  Becoming  and  by  Imitation.  The  one  rules  in  the 
entire  universe,  the  other  on  earth;  and  the  one  governs  and  vivifies  all 
things  forever,  in  himself  possessing  wisdom,  the  other  has  only  under- 
standing within  Time.^° 

The  similarity,  especially  of  the  central  section,  with  the  Chris- 
tian doctrines  is  striking.  The  resemblance  of  thought  would 
reach  identity  of  thought  if  we  disregard  for  the  present  moment 
the  fact  that  there  has  been  set  over  against  the  God  and  uni- 
versal King  "by  nature"  a  royal  demi-god,  not  "by  grace,"  but 
by  "imitation."  We  should  not  forget,  however,  to  what  extent 
the  idea  of  imitatio  had  penetrated  the  Christian  —  and  Jewish  — 
theories  of  kingship.""^  Moreover,  there  is  in  Sthenidas'  parallel- 

«Stobaeus,  IV,  vi,  22;  vii,  61-64,  ed.  Hense,  IV,  pp.  244f,  263-279;  Erwin  R 
Goodenough,  "The  Political  Philosophy  of  Hellenistic  Kingship,  Yale  Classical 
Studies,  I,  1928,  55-102;  Louis  Delatte,  Les  Traites  de  la  Royaute  d  Ecphante, 
DiotogJne  et  Sthenidas,  Liege  and  Paris,  1942,  according  to  whose  edition  the  texts 
are  quoted  here,  whereas  the  English  translation  follows  that  of  Goodenough.  For 
the  date  of  the  texts,  see  Delatte,  284f,  and  passim  (especially  the  arguments  on 
DP  87  and  io8f)  ;  the  date  seems  to  be  accepted  by  the  reviewers;  see,  e.g.,  M.  V. 
Charlcsworth,  in  Classical  Review,  LXIII,  1949,  "f;  J-  S.  Morrison,  in  Journal 
of  Hellenic  Studies.  LXIX.  iq49,  9if;  A.  D.  Nock  mentioned  some  doubts  be- 
cause there  is  no  evidence  "that  any  Gentile  read  Philo"  (see  also  Charlcsworth, 

p.  23,  n.  i). 

"For  the  name  Sthenidas,  see  Delatte,  283. 

"Stobaeus,   IV,  vii,  63;   Delatte,  4Sf,  cf.   56   and   274ff;    for  "vivifies     (Jo-oc), 

"•  Above,  n.  16.  For  the  Byzantine  emperor  as  mimetes  of  God  and  Christ, 
see  Baynes  (below,  n.  78),  who  indicates  Euscbius  as  the  mediator  of  those  ideas 
which,  however,  are  found  throughout  (Agapetos).  For  the  Jewish  strand,  see 
the  Letter  of  Aristeas,  188,  210,  281;  Goodenough,  Politics  of  Philo,  goff;  see  also 
Nock  (below,  n.  81),  215:  "Jews  and  Chri-Stians  alike  accepted  the  philosophical 
view  that  the  king  was  the  counterpart  of  God  and  that  it  was  his  duty  to 
imitate  the  moral  excellences  of  divinity."  In  general,  see  Michaclis,  Art.  ''ixi^lofxai, 
/iiMITTij,"  in:  Theologischcs  Worterbuch  zum  Ncuen  Testament,  ed.  G.  Kittel, 
Tubingen,  1959,  IV,  661-678,  who,  however,  does  not  consider  the  ritual  mimesis 
of  myths  (see  Sallustius,  c.  iv,  ed.  Nock,  Cambridge,  1926,  p.  8)  or  the  spiritual- 
ization  of  the  painter's  mimesis:  the  mass-celebrating  priest  a  "painter"  imitating 
the  true  mass  in  heaven;  see,  e.g.,  R.  H.  Connolly,  The  Liturgical  Homilies  of 
Narsai,  Cambridge,  1909,  46-  passim ;  R.  H.  Connolly  and  H.  W.  Codrington,  Two 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM 


269 


ogram  of  divinity  and  kingship  also  the  remarkable  antithesis  of 
Being  (ousia)  and  Becoming  (genesis)  which  matches  the  esse  or 
possidcre  as  opposed  to  fieri  and  consequi  in  the  Christian  versions 
of  that  thought.  The  antithesis  of  atl  and  iv  xpo»'w,  intensifying 
that  of  nature  and  imitation,  likewise  is  reflected  in  the  Christian 
texts. ^^  Moreover,  the  concept  of  the  royal  dii  et  christi  and  of 
kings  as  mediators  between  God  and  men  is  marked  out  very 
clearly  in  all  the  Pythagorean  political  tractates.  Diotogenes,  for 
example,  another  Pythagorean,  holds  that  the  God-imitating  king, 
who  himself  is  the  Animate  Law,  "has  been  metamorphosed  into 
a  deity  among  men"  —  of  course  not  by  grace,  but  by  mimesis:'^ 
.\nd  Diotogenes  resumes  also  the  theme  of  physis  and  mimesis 
when  he  contrasts  the  God,  who  "by  nature"  is  the  best  of  all 
things  most  honored,  with  the  king,  who  "by  imitation"  is  best 
on  earth  and  among  men.*^* 

Other  parallels  are  frequent  and  suggestive.  We  are  reminded 
of  the  Norman  Anonymous  and  his  distinction  between  the  king 
as  an  ordinary  individual  man  and  the  king  as  Deus  et  Christus 
by  grace  when  we  read  how  Ecphantus,  a  third  Pythagorean,  ex- 
plains the  geminate  nature  of  his  king:''"' 


Commentaries  on  the  Jacobite  Liturgy,  Oxford,  1913,  35,  cf.  17;  also  the  Nes- 
torian  Order  of  Baptism,  in  H.  Denzinger,  Ritus  Orientalium,  Wiirzburg,  1863, 
L  336f;  Chrysostom,  In  Actus  Homilia  XXX,  4,  PGr.,  LX,  226-228,  where  the 
Holy  Spirit  is  the  painter  of  the  truly  "imperial"  (divine)  images. 

""For  iiaia  in  that  place,  see  Delatte,  45,  270;  cf.  supra,  nos.  31,  46;  and  for 
the  antithesis  of  Time  and  Eternity,  above,  p.  263  (n.  35). 

"Delatte,  39,11,  and  255;  Goodenough,  68.  For  the  kings  as  .\nimate  Law,  see 
the  recent  study  by  Artur  Stcinwenter,  "NOMOi:  EM^I'TXOi::  Zur  Gcschichte  einer 
politischen  Thcorie,"  .\nzciger  der  Wiener  .■Xkademie,  LXXXIII,  1946,  25off,  and 
Delatte,  24sff. 

■'■*Sec,  for  this  passage  (Stobaeus,  IV,  vii,  61,  Hense,  265,  5),  the  commentary  of 
Delatte,  p.  254. 

''■See  above,  n.  10.  Goodenough,  76;  Delatte,  2;f,  28  (the  passage  h,is  been 
transmitted  twice  by  Stobaeus),  and  the  important  commentary,  pp.  I79ff. 
Delatte  has  not  made  use  of  the  Philonic  parallel  adduced  by  Goodenough,  Poli- 
tics (above,  n.  41),  99,  a  Philo  fragment  transmitted  by  .\ntonius  Melissa,  Loci 
communes,  II,  c.  2  (al.  CIV),  PGr.,  CXXXVI,  1012B:  Tn  Mf"  oiaia  tov  awfiaTo%  lao^ 
iravrii  Svepiiiwov  6  /3o<rt\fii5,  rfi  eJoiKTi?  Si  tov  dJiw/iiaToi  o/uoios  eiTTi  rw  ewi  TrdvTwi' 
e^v.  This  passage  is  verbatim  repeated  by  the  composer  of  the  Russian  Laurcnlian 
Chronicle,  ed.  P.  Bychkov  (3rd  ed.,  .Archeographic  Commission),  St.  Petersburg, 
1898,  p.  351  (ad  a. 1175),  who  actually  quotes  Philo,  though  he  purports  to  quote 
Chrysostom,  when  he  writes;  "By  his  earthly  nature  the  Tsar  is  like  all  men; 
by  the  power  of  his  rank,  however,  he  is  like  God."  I  am  grateful  to  Dr.  Michael 
Cherniavsky,  at  Princeton,  for  having  called  my  attention  to  this  passage.  See 
also  below,  n.  72. 


ri-^im.  .,«■   iM 


/  II  11 

U      I    u    u 


270 


HARVARD  THEOLOGICAL  REVIEW 


On  the  earth  and  among  us,  man  has  the  best  nature  of  all;  but  more 
divine  is  the  king  who  claims  the  lion's  share  of  the  better  elements  in 
the  common  nature. 

He  is  like  other  men  in  his  tabernacle,'**'  inasmuch  as  he  is  formed  of 
the  same  material;  but  he  is  fashioned  by  the  supreme  Artificer,  who 
in  making  the  king  used  himself  as  archetype. 

Ecphantus  thus  establishes  also  a  king  of  two  bodies  or  two 
natures,  one  human  and  the  other  god-like  —  again,  not  godlike 
by  grace,  but  by  mimesis. 

In  addition  to  that  Ecphantus  availed  himself  of  the  stratagem 
to  claim  for  the  king  exclusively  what  normally  would  refer  to 
man  in  general,  a  method  not  dissimilar  to  that  applied  by  the 
Norman  Anonymous  when  he  represented  the  ordinary  baptismal 
unction  and  "adoption"  as  though  it  implied  a  special  privilege 
of  his  royal  and  priestly  anointed.''"  Ecphantus  borrowed  the 
second  sentence  of  the  afore-mentioned  passage  verbatim  from  an- 
other Pythagorean,  Eurysus,  who  was  quoted  by  Clement  of  Alex- 
andria."'^ But  Eurysus,  in  his  Uepl  ruxa?,  does  not  talk  about 
kings  at  all,  he  talks  about  man: 

Man  is  like  the  others  (sc.  created  beings)  in  his  tabernacle,  inasmuch 
as  he  is  formed  of  the  same  material  (sc.  as  the  animals) ;  but  he  is 
fashioned  by  the  supreme  Artificer,  who  in  making  him  (man)  used 
himself  as  archetype." 

In  other  words,  Eurysus  said  that  the  Demiurge  created  man 
to  his  own  image  and  likeness,  a  concept  for  which  he  may  have 
drawn  inspiration  from  various  sources,  most  likely  however  from 
Genesis, 1, 2 6.°"   Ecphantus,  while  taking  over  that  statement  ver- 

"  For  iTKavos  and  its  equivalents,  rendered  by  the  Vulgate  (i  Ptr.,  1,13-14)  as 
tabernaculum  and  meaning  the  dwelling  place  of  the  soul,  which  is  the  body,  see 
Delatte,  181.  The  word  is  used  also  with  regard  to  the  incarnate  Christ,  e.g., 
Augustine,  Enarrationes  in  Psalmos,  XC,  5,  PL.,  XXXVII,  1163:  "In  ipso  taber- 
naculo  Imperator  militavit  pro  nobis."  According  to  the  Acts  of  the  Persian 
Martyrs,  it  is  used  also  by  King  Shapur  to  designate  his  own  body  ("so  long  as 
I  remain  in  my  tabernacle")  ;  cf.  Oskar  Braun,  Ausgewahlte  Aktcn  Persischcr 
Martyrer  (Bibl.  d.  Kirchenvater),  Kempten  and  Munich,  1915,  p.  3,  where  the 
translator's  question-mark  may  be  safely  omitted. 

"Above,  n.  II. 

"Clement,  Stromata,  V,  s,  29;  Goodenough,  76,  n.  75,  gives  that  parallel,  but 
Delatte,  i77ff.,  discloses  its  true  implications. 

"  Delatte,  1 79,  gives  parallels  from  Timaeus,  but  believes  that  Eurysus  was 
inspired  by  Genesis,  i,  36. 


t         .• 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM  271 

batim,  twisted  it  by  changing  "animals"  into  "men,"  and  "man"      ^   ^ 
into  "king,"  and  thus  adapted  Eurysus'  statement  to  the  king      ^     %_ 
exclusively,  claiming  for  him  alone  what  had  been  said  of  man       ^~    " 
in  general.   Stratagems  of  that  kind  were  rare  in  classical  times      ^    -i 
when  texts  were  not  synonymous  with  absolute  authority;   and        C     ^ 
even  the  Jewish  interlocutor  supporting  Celsus  against  the  Chris-        ^     £ 
tian  exegesis  complains  that  scores  of  prophecies  had  been  claimed 
for  Jesus,  or  by  Jesus,  which  might  just  as  well  have  been  claimed 
to  refer  to  countless  others.""  This  tendency  to  establish  and  then 
to  monopolize  claims  was  daily  bread  in  mediaeval  thought,  when 
words  of  the  Bible  were  applied  and  adapted  and  turned  around 
as  circumstances  demanded,  on  the  greatest  scale  by  Joachim  of 
Fiore.  More  relevant  to  the  present  problem  is  a  phrase  of  Petrus 
de  Vinea,  the  imperial  logothete  and  court  orator,  who  in  his  great 
eulogy  on  Frederick  II  praised  his  emperor  as  the  one  quern 
supremi  manus  opificis  jormavit  in  hominem.   What  he  did  was 
merely  to  twist  by  a  new  application  Genesis, 2, 7:  Formavit  Deus 
hominem;  but  since  Vinea  certainly  did  not  want  to  proffer  a 
truism,  he  evidently  wished  to  imply  that  his  emperor  exclusively 
and  by  special  privilege  had  been  formed  by  the  hand  of  the 
supreme  Artificer  himself."*  Or,  the  most  famous  example  of  those 
twists,  I  Cor. ,2,1 5:  Spiritualis  iudicat  omnia,  et  ipse  a  nemine 
iudicatur.   By  a  process,  as  tortuous  as  it  is  revealing,  that  verse 
in  which  St.  Paul  demonstrates  the  inner  sovereignty  of  man  en- 
dowed with  the  Spirit,  supposedly  came  to  mean  (and  in  practice 
it  did  mean  and  still  does)  that  the  pope  exclusively  was  that 
pncumatikos  to  whom  the  Apostle  referred,  and  that  he  alone 
owned,  in  a  forensic  sense,  the  privilege  of  judging  all  and  being 
judged  by  none."-    This  twisting  method  of  "monopolizing  by 

"Origen,  In  Celsum,  I,  50,  ed.  Koetschau,  loi,  17. 

"  Huillard-Breholles,  Vie  et  correspondance  de  Pierre  de  la  Vigne,  Paris,  1865, 
p.  426,  No.  107;  see,  for  a  fuller  discussion,  Kantorowicz,  "Kaiser  Friedrich  II. 
und  das  Konigsbild  des  Hellenismus,"  Varia  Variorum:  Festgabe  fiir  Karl  Rein- 
hardt,  Munstcr  and  Cologne,  1952. 

°°The  material  has  been  neatly  summed  up  by  Albert  Michael  Kocniger,  "Prima  "  i  *  ? 
sedes  a  nemine  iudicatur,"  Beitrage  zur  Geschichte  des  christlichen  Altertums  und  ^~^  i?  © 
der  byzantinischen  Literatur:  Festgabe  Albert  Ehrhard,  Bonn  and  Leipzig,  1922,  '~'_»  § 
273-300.    As  usual,  the  papal  maxim  finally  became  a  cornerstone  of  royal  abso-        *  .^ 

lutism;  see,  e.g.,  Salmasius,  Defensio  regia  pro  Carolo  I.,  Paris,  1650  (first  published       i      O     .S 
in  1649),  ch.  VI,  p.  169:  "Rex  a  nemine  iudicari  potest  nisi  a  Deo";  and  p.  170:      .— >  \^  <-'> 
".  .  .  ilium  proprium  (regem  esse),  qui  iudicat  de  omnibus  et  a  nemine  iudicatur."  ' 


4.14 


y^S'^-*^i 


I     I  I 

U      I    u 


X^  ■fcoa«:t.Vli»N   tU*l  ,  i*^  «-■  tl*>«**^J  (pAXio^ft  :    Pick**  d. 


c  B>ftUoi/, 


tu)i/IUiA 


272 


HARVARD  THEOLOGICAL  REVIEW 


exclusion"  was  indeed  a  very  mediaeval  method:  the  office  claimed 
what  was  valid  for  man  at  large.  It  is  a  method  of  putting  office 
above  man,  indicating  at  the  same  time  the  shift  from  man  to 
office.  The  wheel  turned  full  circle  only  when,  with  Dante,  "Man" 
himself,  or  "being  Man,"  became  an  office. 

A  related  method  of  twisting,  and  of  changing  application,  may 
be  observed  in  view  of  the  dii  of  the  Old  Testament,  and  thereby 
some  light  will  be  shed  on  the  natura-gratia  formula  so  closely 
connected  with  the  "gods."  Clement  of  Alexandria,  when  referring 
to  Psalm  8 1, 6,  interprets  "gods"  as  those  endowed  with  pneuma 
or  gnosis,'''-^  those  who  are  made  perfect  and  therefore  immortal,"* 
and  he  styles  those  human  "gods"  the  synthronoi  of  the  Saviour, 
ranking  them  with  or  after  the  angels."''  Occasionally  he  illus- 
trates the  words  of  the  8ist  Psalm  by  quoting  Empedocles  on 
the  sages  that  become  gods,""  just  as  on  another  occasion  he  ex- 
plains man's  becoming  like  unto  God  by  quoting  Heraclitus: 

^ Stromata,  II,  xx,  125,  s,  and  IV,  xxiii,  149,  8,  Stahlin,  II,  181,  314;  see  also 
Protrepticos,  XX,  123,  Stahlin,  I,  86,  18. 

'* Paedagogus,  I,  vi,  26,  i,  Stahlin,  I,  105,  22.  Immortality  is,  per  se,  divinity: 
cl  ovv  addfaro!  yi-^ovtv  i  d.v9pwirot,  iarai  Kal  6(6^  (Hippolytus,  Sermo  in  sanctam 
theopkaniam,  c.  8,  PGr.,  X,  860A).  Sec  G.  W.  Buttcrworth,  "The  Deification  of 
Man  in  Clement  of  Alexandria,"  Journal  of  Theological  Studies,  XVII,  1916, 
iSgff,  and  in  the  same  volume  (257ff)  some  further  notes  on  the  subject  by 
Cuthbert  Lattey,  who  points  out  that  "deification"  docs  not  imply  polytheism,  but 
sanctifying  grace.  For  the  Christian  deification  in  general,  see  J.  Gross,  La  divinisa- 
tion  du  Chretien  d'apres  les  peres  grecs,  Paris,  1938;  also  M.  Lot-Borodine, 
La  doctrine  de  la  deification  dans  I'eglise  grecque.  Revue  de  I'histoire  des  religions, 
CV-CVII,  1932-1933,  and  the  remarks  as  well  as  bibliographic  notes  of  A.  D. 
Nock,  in:  The  Journal  of  Religion,  XXXI,  1951,  2i4f. 

"°Stromata,  VII,  x,  56,  6,  Stahlin,  III,  41,  24.  Lattey  (above,  n.  64),  p.  261, 
stresses  that  the  usage  of  the  word  synthronos  indicates  a  connection  of  Christian 
deification  with  Ptolemaic  king-worship;  the  connecting  link,  however,  should  be 
sought  in  Psalm  logCiio),!,  a  problem  which  I  shall  discuss  elsewhere  on  a 
broader  basis.  For  the  equation  with  angels,  see  also  Friedrich  .Andres,  "Die  Engel- 
und  Damonenlehre  des  Klemens  von  Alexandria,"  Rbmische  Quartalschrift,  XXXIV, 
1926,  :3iff;  Williams,  162,  n,  548.  The  idea,  widely  spread  in  the  East  and 
especially  in  the  early  Church,  was  that  Christ  himself  represented  the  "God  of 
gods"  with  regard  to  deified  men  ("gods")  who  shared  the  throne  with  him;  see, 
e.g.,  Irenaeus,  Adv.  haer.,  Ill,  vi,  1,  ed.  Harvey,  II,  22;  Athanasius,  Contra  Arianos, 
I,  c.  39,  PGr,,  XXVI,  92f.  The  idea  is  found  also  in  the  West:  Augustine,  Enarrat. 
in  Ps.,  XLIX,  1,  PL.,  XXXVI,  565  (with  regard  to  the  dii  jacti) ;  Cassiodorus, 
Expos,  in  Ps.,  XLIX,  PL.,  LXX,  348D  ("Deus  autem  deorum  est  Dominus 
Christus").  This  became  finally  the  generally  accepted  interpretation,  see  Peter  the 
Lombard,  Comment,  in  Ps.,  XLIX,  1,  PL.,  CXCI,  47sB. 

"Stromata,  IV,  xxiii,  149,  8,  Stahlin,  II,  314,  26;  Dicls,  fr.  146. 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM  273 

avOpoTToi  deoi,  deal  avdpwiroi.'"  For  Clement  the  "gods"  were 
exalted  (that  is,  redeemed  or  saintly)  men  and  angels,  which  was 
true  for  Jerome  too  and  for  others  as  well."**  Eusebius  and  others 
recognized  them  as  rulers  and  princes.  Jerome  expressly  rejected 
that  idea,  and  thought  rather  of  all  men  or  at  least  of  all  Chris- 
tians. Theodoret  and  his  predecessors  or  followers  —  they  de- 
pended directly  or  indirectly  on  Philo  —  think  of  the  royal  man 
as  Image  of  God.  Ruiinus  tells  a  spurious  story  about  Constantine 
the  Great  who  allegedly  addressed  the  bishops  assembled  at 
Nicaea  as  "gods."""  Pseudo-Isidorus,  in  the  forged  letters  of 
Popes  Anacletus,  Marcellus,  Melchiades,  and  others,  repeats 
Rufinus'  statement,  styling  the  bishops  now  quasi  ex  cathedra 
"gods."  ^"  Finally,  Pope  Nicholas  I  allows  dii  to  refer  to  the  pope: 
"...  pontificem  quem  constat  a  pio  principe  Constantino  Deum 
appellatum,  nee  posse  Deum  ab  hominibus  iudicari  manifestum 
est."  Nothing  could  be  more  telling  than  the  new  twist  from  the 
plural  pontificcs  to  the  one  Roman  Pontiff,  and  from  the  "gods" 
to  the  one  God  "who  obviously  cannot  be  judged  by  man."  Surely 
this  was  "monopolizing  by  exclusion."  ~^ 

We  now  see  that  with  the  interpretation  of  dii  in  the  sense  of 

"  Paedagogus,  III,  i,  2,  i,  Stahlin,  I,  236,  25;  Diels,  fr.  67. 

°*  Jerome,  Commentarioli  in  Ps.,  LXXXI,  i,  ed.  G.  Morin,  Anecdota  Mared- 
solana,  III:i,  1895,  p.  63:  "[dii]  angeli  sive  sancti."  See  above,  n.  20  (Cassiodorus), 
n.  21  (Pseudo-Bede),  n.  65  (Athanasius,  .Augustine).  Augustine  prefers  to  think  of 
men  rather  than  of  angels:  ".  .  .  non  frustra  in  scripturis  Sanctis  expressius  homines 
nuncupatos  deos  quam  illos  inmortalcs  et  bcatos,  quibus  nos  acqualcs  futures  in 
resurrectione  promittitur."  De  civ.,  IX,  23,  Hoffmann,  I,  4408;  cf.  X,  i,  and  XV, 
23,  Hoffmann,  I,  447,  and  II,  112. 

""Rufinus,  Hist,  eccl.,  I,  2,  PL.,  XXI,  468.  See  also  Didascalia  Apostolorum, 
II,  34,  cd.  R.  H.  Connolly,  Oxford,  1929,  96,i7ff,  for  the  bishop  as  king  and  god. 

™See  the  letters  of  Pseudo-Anaclet,  c.  xix,  Pseudo-Marcellus,  c.  x,  Pseudo- 
Melchiades,  c.  xi,  ed.  Hinschius,  Decretales  Pseudo-Isidorianae,  Leipzig,  1863,  pp.  76, 
228,248,  and  passim;  the  places  have  been  collected  by  Dr.  Schafer  Williams, 
\'isio  aetatis  aurcac  ecclesiae  Pseudo-Isidorianae,  Ph.D.  Diss,  (unpubl.),  Berkeley, 
1951- 

"Nicolaus  I,  £/>.,  86,  PL.,  CXIX.  961,  Mon.  Germ.  Hi.st.,  Epistolac,  VI,  p.  486, 
178;  cf.  Jean  Riviere,  "Sur  I'expression  Papa-Deus  au  moyen  age,"  Miscellanea 
F.  Ehrle,  Rome,  1924.  II,  279,  who  correctly  refers  to  Exod.,22,28,  and  Ps.  81,6, 
but  concludes  that  Nicholas  wished  to  appear  merely  as  primus  inter  pares.  For 
the  principle  of  monopohzing  by  exclusion,  see  Friedrich  Hciler,  Altkirchliche 
.Autonomic  und  piipstlichcr  Zintralismus,  Munich,  1941,  27off,  csp.  274f.  Gregory 
the  Great  (Reg.,  V,  36,  Mon.  Germ.  Hist.,  Epistolae,  I,  318,  i5ff)  uses  the  Rufinus 
story  with  reference  to  priests  in  general,  and  Gregory  VII,  in  his  letter  to  Bishop 
Hermann  of  Metz  (Reg.,  VTII,  21,  ed.  Caspar,  533),  gives  to  the  story  an  unmis- 
takably hierarchic  tcndcncv. 


5/^^f 


\     \  \     J 

U       I    U    L 


274 


HARVARD  THEOLOGICAL  REVIEW 


"anointed  on  earth"  —  kings  and  priests  —  the  Norman  Anony- 
mous was  in  good  company,  including  that  of  his  seventeenth- 
century  opposite  number,  Bossuet.''-  At  any  rate,  his  arguments 
were  based  on  a  very  definite  and  very  sound  tradition.  This  is 
true  also  with  respect  to  the  "God-by-nature,  god-by-grace"  for- 
mula which  customarily  was  connected  with  the  dii  of  the  8ist 
Psalm.  The  usefulness  of  that  formula  for  political  theory  hinged, 
of  course,  on  the  interpretation  of  dii  in  the  sense  of  kings.  That 
was  originally  not  the  case.  It  is  true  that  the  contrast  of  physis 
and  mimesis,  which  in  the  last  analysis  is  Platonic,"'  was  adapted 
by  the  Pythagoreans  to  political  theory  as  a  means  of  harmonizing 
the  state  with  the  cosmos,  of  attuning  men  to  the  king,  and  the 
king  to  God,  and  thereby  also  of  exalting  the  king  and  making 
him  for  cosmic  reasons  as  similar  as  possible  to  the  godhead.'^ 
The  Christian  version  of  the  physis-mimesis  contrast  had  orig- 
inally nothing  whatever  to  do  with  political  ideas.  The  attuning 
of  earth  to  heaven  was  achieved  by  other  means,  chiefly  through 
the  liturgy,  whereas  the  new  physis-charis  formula  served  differ- 
ent purposes.  Origen,  who  may  have  introduced  that  formula  to 
explain  those  puzzling  dii  of  the  Old  Testament,  used  the  con- 
trast of  nature  and  grace  for  apologetic  ends;  and  it  retained  its 
apologetic  character  also  when  applied  to  christological  thought 
as  a  defense  and  weapon  against  Arians  and  other  heterodox. 
The  formula  then  served,  above  all,  to  demonstrate  that  Christ 
was  truly  "God  by  nature"  and  not  identical  with  that  plurality 
of  "gods"  who,  if  they  were  gods  at  all  and  not  by  name  only, 
were  Christian  "sons  of  adoption"  or  "gods  by  grace."    Only 

■'"Vous  etes  des  Dieux,  mais  dcs  Dieux  de  chair  et  de  sang,  de  boue  et  de 
poussifere";  quoted  by  Fritz  Hartung,  "L'etat  c'cst  moi,"  Historische  Zeitschrift, 
CLXIX,  1949,  20.  As  Dr.  M.  Chcrniavsky  kindly  points  out  to  mc,  the  same 
arguments  were  used  in  Russia,  around  1500,  by  the  Abbot  of  the  Volokolamsk 
Monastery,  Joseph  Sanin,  Illuminator,  c.  16,  in:  Pravoslavnyi  Sobcscdnik,  Kazan, 
1857,  Parts  3-4,  pp.  6o2f:  "You  are  gods  and  the  sons  of  the  most  High.  .  . 
God  has  placed  you  in  his  place  on  his  throne,  because  the  Tsar  in  his  nature 
is  like  all  men,  but  in  his  power  he  is  like  the  supreme  God."  See  above,  n.  55. 

"See  Michaelis  (above,  n.  51),  663£f,  also  for  the  increase  of  the  word  mniotiai 
and  its  derivatives  in  the  works  of  Philo;  Cherniss  (above,  n.  42),  62,  for  the 
Platonic  usage  of  that  figure  of  speech;  and  Henry  G.  Meecham,  The  Epistle  to 
Diognetus,  Manchester,  1949,  i43f,  for  the  commonplace  character. 

"See  especially  the  tractate  of  Diotogenes;  Delatte,  37ff  (cf.  270!!);  Goode- 
nough,  7iff. 


DEUS  PER  NATURAM,  DEUS  PER  OR  ATI  AM  275 

through  the  adaptation  of  dii  to  a  restricted  group  of  men,  to  kings 
or  bishops,  did  the  natura-gratia  formula  become  available  also 
for  political  theory  and  political  theology. 

To  summarize,  the  mediaeval  formula  of  "God  by  nature,  gods 
by  grace,"  which  has  been  thrown  into  focus  by  the  twelfth-cen- 
tury Norman  royalist,  goes  back  to  the  Pythagorean  or  Hellen- 
istic antithesis  of  "God  by  physis,  god  by  mimesis;'  which  the 
post-classical  or  late  antique  philosophers  have  combined  with 
their  theories  on  kingship.  To  what  extent  certain  other  and  older 
distinctions  —  <^uo-et  Oeol  and  Oicrei  Oeol,  men  immortal  and  gods 
mortal,  man  a  terrestrial  mortal  god  and  god  a  celestial  immortal 
man  '°  —  would  demand  consideration  cannot  be  decided  here. 
The  way,  however,  in  which  Clement  of  Alexandria  quoted  the 
Heraclitean  audpojirot.  deoi,  6eol  dv6po)TToi,  and  Athanaslus,  follow- 
ing St.  Paul  (i  Cor.,8,s),  introduced  the  sons  of  God  and  gods 
€iTc  cVi  yrj<;,  eire  iv  ovpavo1<;  allows  us  to  wonder  whether  those 
older  distinctions,  even  though  expounded  in  a  new  non-dialectical 
and  more  appropriate  fashion,  may  not  have  been  contributive, 
too.^^  At  any  rate,  in  the  antithesis  of  "God-by-nature,  gods-by- 
grace"  we  have  to  recognize  the  Christian  equivalent  of  at  least 
one  aspect  of  pre-Christian  deification,  deification  by  mimesis.'''' 
It  is  certainly  not  the  only  political  theorem  which  survived  dur- 
ing the  Middle  Ages  by  transference.^** 

The  "transference"  itself,  however,  demands  a  few  words  of 
comment.  How  did  the  Hellenistic  mimesis  change  into  the  Chris- 
tian charts,  or  how  did  imitatio  enter  into  the  natura-gratia 
scheme?    One  has  to  start  from  the  dogmatic  truism  that  man 

"The  relevant  places  have  been  collected  by  Bywater,  in  his  edition  of  Hera- 
clitus,  Oxford,  1877,  26f,  and  by  R.  Walzcr,  Eraclito,  Florence,  1939,  loif;  see 
also  Carl  Langer,  "Euhcmeros  und  die  Theorie  der  <t>vaei  und  diati  0eol,"  Angelos, 
H,  1926,  53ff.  As  late  as  the  i:th  century,  the  Byzantine  emperor  is  addressed 
6tit  iwiyttof,  though  x<>/>"''  (V.  Valdenberg,  "Nikoulitza  et  les  historiens  contem- 
porains,"  Byzantion,  HI,  1927,  97;  cf.  R.  Guilland,  "Le  droit  divin  k  Byzance," 
Eos,  XLH,  1947,  142,  149),  and  to  Hobbes  (Leviathan,  c.  XV'II)  the  sovereign  is 
a  Deus  mortalis.  ^' 

■*.\bovc,  nos.  3:,  67;  cf.  n.  11.  and  below,  n.  81. 

^Hans  Joachim  Schoeps,  Aus  fruhchristlicher  Zeit,  Tiibingen,  1950,  298f. 

"Delatte,  i52ff;  N.  H.  Baynes,  "Eusebius  and  the  Christian  Empire,"  Melanges 
Bidez  (Annuaire  de  I'lnstitut  de  Philologie  et  d'Histoire  Orientales  et  Slaves,  H), 
Brussels,  1934,  i3ff;  Steinwenter  (above,  n,  53);  also  the  study  mentioned  above, 
n.  61. 


i-<(   <  ^ 


(LTfLytto. 


U       I    U     J 


276 


HARVARD  THEOLOGICAL  REVIEW 


achieved  his  God-likeness  and  regained  his  original  immortality 
as  "Image  of  God"  through  the  medium  of  divine  grace,  mani- 
fested and  activated  through  the  Incarnation.  Not  by  his  proper 
nature,  but  by  divine  grace  does  man  become  like  God.  Apart 
from  the  deification  from  above,  however,  it  is  in  man's  proper 
power  to  become  and  be  like  God  by  imitation  of  the  Godhead, 
whereby  the  notion  of  mimesis  implies  not  merely  active  imitation, 
but  also  "ontologically"  the  Being  like  to  God  as  the  Living  Image 
of  the  Deity.  Hence  the  two  notions  of  gratia  and  imitatio,  appear- 
ing so  often  almost  interchangeable,  are  in  fact  interrelated 
through  the  medium  of  imago  Dei.  Man  the  Image  of  God  is  the 
fundamental  idea  which  charis  and  mimesis  have  in  common  and 
to  which  they  can  be  reduced.  There  is  hardly  a  difference  be- 
tween cikon  and  mimesis,  just  as  in  charis  the  idea  of  elKwv  tov 
Oiov  is  included.  Gregory  of  Nyssa's  xP^o-Tiai/tcr/id?  eo-n  t^5  6ela^ 
{j)v(Te(o<;  fji.ifn]cri^  '"  is  probably  the  formulation  bringing  us  as  close 
as  we  can  hope  to  come  to  determining  the  transition  from  imita- 
tion to  grace. 

The  difference  between  mimesis  of  pagan  thought  and  gratia  of 
Christian  thought  remains  nevertheless  considerable.  According 
to  the  Hellenistic  philosophers  it  was  an  act  of  man's  own  virtue 
to  become  God-like  and  be  the  God's  perfect  imitator;  it  was  an 
act  of  purely  human  effort  and  human  industry:  deorum  virtus 
natura  excellit,  hominum  autem  industria,  as  Cicero  puts  it.**" 
According  to  Christian  teaching,  however,  man  could  not  by  his 
proper  human  power  alone,  despite  his  free  will,  hope  to  be  re- 
stored to  his  divine  Being  and  divine  immortality:  this  was  pos- 
sible by  the  intervention  of  grace  only,  since  every  natural  virtue 
became  of  merely  relative  value  without  veri  Dei  vcrus  cultus. 
Even  if  the  possibility  of  a  completely  sinless  virtuous  man  were 
admitted,  writes  Augustine,  this  man  would  yet  be  without  sin, 
not  by  his  own  natural  efforts  and  merits,  but  by  divine  grace.**' 

'"Greg.  Nyss.,  De  professione,  PGr.,  XLVI,  244C;  also  244D;  and  In  verba 
'faciamus  homincm,'  Or.  I,  PGr.,  XLIV,  273D.   Cf.  Cherniss,  62. 

*  Cicero,  Topica,  76;  cf.  Delatte,  277,  also  for  additional  places. 

"Augustine,  De  natura  et  gratia,  c.  42(49),  PL.,  XLIV,  271;  also  De  civ.,  XIV, 
1,5:  "Dii  enim  creati  non  sua  veritate,  sed  Dei  participationc  sunt  dii.  Plus  autem 
appetendo  minus  est.  .  .  Illud  itaquc  malum,  quo,  cum  sibi  homo  placet  tamquam 
sit  et  ipse  lumen,  avertitur  ab  eo  lumine,  quod  ei,  si  placeat,  et  ipse  fit  lumen." 
The  idea  of  grace  in  connection  with  imitation  and  deification  is  found  already  in 


DEUS  PER  NATURAM,  DEUS  PER  GRATIAM  277 

In  other  words,  the  supranatural  was  interposed  between  man  and 
his  deification.  And  the  supranatural  —  that  is,  grace  — had  to 
be  interposed  if  redemption  were  to  make  sense.  It  was  this 
antinomy  of  Classical  and  Christian  attitudes  which  was  over- 
come when  Dante,  despite  his  full  recognition  of  the  celestial 
paradise  of  grace,  unlocked  a  paradiso  terrestre  to  man's  proper 
virtii. 


the  Epistle  to  Diognctus,  X,4,  cd.  Meecham,  86,  who  in  his  commentary  (p.  134) 
stresses  that  "it  is  the  divine  grace  and  initiative  that  enables  men  to  imitate  God." 
On  the  other  hand,  A.  D.  Nock  pointed  out  that  there  were  many  aspects  of  Chris- 
tian "imitation  of  God"  and  that  the  purely  human  efforts  towards  imitation  were 
considered  effective  too  (Journal  of  Religion,  XXXI,  1951,  214,  in  his  review  of 
Meecham  which  unfortunately  came  to  my  knowledge  only  after  having  finished 
the  present  study).    However,  also  the  pagan  antecedents  of  Christian  deification 
had   many   aspects.    It   was   the  current   view   of   pagan   philosophy   in   the   post- 
classical  era  that  the  philosopher  or  the  sage  shared,  one  way  or  another,  the  life 
of  the  gods  either  by  his  nature  or  by  his  training   (see  also  above,  n.  41)      It 
should  be  stressed,  however,  that  for  Plato  the  h^oiu^it  0(if  existed  onlv  (card  t6 
Svvarov  (Theaet.  176B)   whereas  Plotinus,  when  quoting  that  passage  (Enn.,II,i), 
omitted  the  modification  and  allowed  man  to  become  god-like  or  even  god  without 
such    restriction    (cf.    11,6).     In    that   generalization,   the    Neo-Platonists    certainly 
approximated   Christian  deification,   a   fact   very   strongly   felt   by   Augustine.    He 
fought  the  Platonici  on  the  ground  of  their  failure  to  make  it  clear  that  their  im- 
mortals were,  like  good  Christians,  gods  a  summo  Deo  facti;  for  if  the  Platonists 
would  only  admit  that  their  gods  were  not  per  se  ipsos  beati,  there  would  be  little 
difference  between  their  teaching  and  that  of  the  Christians  who,  in  agreement  with 
many  passages  of  Holy  Scripture,  likewise  called  their  exalted  men  dii  (De  civ., 
IX,23).    Hence  pagan  and  Christian  deification,  despite  all  obvious  contrasts,  did 
not  appear  totally  incomparable,  and  the  convergent  trends  might  be  exposed  in 
a    far    more    subtle    and    satisfactory    fashion    than    by    the    essay    of    O.    Faller, 
"Griechische  Vergottung  und   christliche   N'ergottlichung,"   Gregorianum,  VI,   1925! 
426fr.    For  that  purpose  the  most  recent  studies  on  Epicurus  should  be  considered 
too,  since  they  suggest  a  fellowship  of  the  sage  with  the  gods  by  some  kind  of 
homogeneity  rather  than  as  a  result  of  supreme  efforts.    Further  investigations  in 
that  direction  might  succeed  in  establishing  a  new  link  between  pagan  god-likeness 
and  Christian  deification   by  grace.    See  A.   H.   Armstrong,   "The   Gods  in   Plato, 
Plotinus,    Epicurus,"    Classical    Quarterly,    XXXII,    1938,    190-196;    Norman    W. 
De  Witt,  "The  New  Piety  of  Epicurus,"  Transactions  of  the   Royal  Society  of 
Canada,  3rd  Ser.,  XXXVIII,  1944,  79-88. 


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I    J    n 
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G 


DEUTSCHER    AKADEMISCHER    A  U  ST  A  U  S  C  H  D  I  E  N  ST 

Professor   Dr.    -heo^^or  Klauser 


8854/55   -k/m- 


BONN.DEN      21.   April   1953 

NASSHSTRASSE  J  1 .» 
TELEFON  3i2  6n 


Herrn 

Professor  Dr.  Ernst  Kantorowicz 

Institute  of  Advanced  Studies 

Princeton  /  New  Jersey 

U.S.A. 


c 


Sehr  verehrter  Herr  Kollege  Kantorowicz, 

Ihre  Untersuchung  iiber  die  Formel  "Deus  per  nflturam,  Deus  per 
gratiam",  die  Sie  mir  "mit  den  besten  Neujahrswiinschen"  zuzuschicken 
die  Liebenswurdigkeit  hatten,  hat  bis  jetzt  ungelesen  auf  meinem  Schreib- 
tisch  liegen  bleiben  miissen;  Vervvaltungsf unktionen  und  Lexikonarbeit 
hinder-ten  mich,  mich  friiher  damit  zu  bofassen.  Heute  habe  ich  Ihre 
ebenso  subtile  wie  ergebnisreiche  Studie  endlich  durchgearbeitet  und 
bin  erneut  tief  beeindruckt  von  der  Umsicht,  dem  Spiirsinn  und  der  Sorg- 
fait,  mit  der  Sie  heidnische  und  christliche  Vorstufen  mittelal ter_ 
licher  Vorstellungen  blosszulegen  verstehen.  Hoffentlich  haben  Sie 
Schiiler,  an  die  Sie  Ihre  Methods  und  Sehweise  weitergeben  konnen.  Bei 
uns  ist  der  qualif izierte  Nachwuchs  sehr  sparlich  geworden  und  ich 
denke  mit  Sorge  daran,  woher  ich  die  Heifer  zur  Bearbeitung  der  vielen 
Themen  des  Reallexikons  fur  Antike  und  Christentum  nehmen  soil,  -,venn  nidt 
das  Ausland  mit  seinen  Kraften  einspringt.  Zur  Sache  habe  ich  im  Augen- 
blick  nichts  von  wesentlicher  Bedeutung  beizutragen.  ./as  Sie  an         ^ 
deutscher  Literatur  nicht  erwahnen,  ist  meines  Erachtens  auch  nicht 
sonderlich  belangreich.  Das  gilt  speziell  von  K.  Priimm,  Christentum  als 
Neuheitserlebnis  (Freiburg  1939),  wo  auf  Seite  235/64  uber  die  Ver- 
gottlichung  verhandelt  wird,  im  wesentlichen  in  den  Spuren  Fallers,  bei 
dem  das  apologetische  Interesse  im  Vordergrund  steht.  Forderlich  ist 
dagegen  die  Untersuchung  uber  den  Begriff  der  Gottverahnlichung  von 
Platon  bis  Gregor  Nyssa,  die  der  Schweizer  Merki,  der  Schiiler  von  17. 
Theiler  in  Bern,  vor  einiger  Zeit  veroff entlicht  hat. 


-2- 


-    2   - 


Sie  sind  durch  Ihre  Studien  liber  die  politische  Theologie  so  tief  mit 
den  Problemen  wie  mit  den  Quellen  vertraut,  dass  ich  meinen  mochte, 
dass  niemand  zur  Zeit  besser  als  Sie  selbst  den  Artikel  "Herrscher" 
fiir  das  Reallexikon  schreiben  konnte.  .Viirden  Sie  einen  solchen  Auftra^ 
ubernehmen? 

iiit  den  besten  Griissen  und  Vmnschen  Ihr  sehr  ergebener 


(Professor  Dr.  Theodor  Klauser) 


U       I    L     L 


f\ll  ll\(p     l^u 


fcrio5f   ll'p\\A^aro{/j]  cZ    CoU^cH(7y] 


■^^3 


9 


^k^  f^rficla  (H  Amenc-eW  Journal  o^  /Ir^Ua^ofo^^^  uvii  q3S5) 


rn6'10.  i(rr{^v\d\  rA'j^\(mii  3>'l) 


I    J    J 


'37.      "ZYN0PONOZ  AIKHI,"  American  Journal  of  Archaeology,  LVII  (1953),  65-70. 
EK'a    copy,    nnnotated, 

A.  "G.    Zuntz,"    (3x.^   slip) 

B.  Postcard  from  A. D. Nock,  lij.  Dec  53 

C.  Postcard  from  A.  Alf oldi ,  2?.   Oct  53 

D.  "Appendix,  Synthronos  Dikei"  (full  sheet) 


L 


/    J    u 

U       I     L        / 


df) 


American  Journal  of  Archaeology 
Vol.  57,  No.  2  (April,  1953) 


2YN0PONO2     AIKHI 


ERNST  H.  KANTOROWICZ 


JULIANUS,  Prefect  of  Egypt  under  Justinian 
I,  addressed  one  of  his  very  many  poems  to 
Tetianus,  a  high  official  of  the  empire.  Teti- 
anus  had  refused  to  accept  the  governorship  of 
some  distressed  areas  which  the  emperor  had 
offered  to  him,  and  the  poet  praised  that  deci- 
sion. Tetianus  (said  he)  wished  to  enjoy  his 
inherited  fortune  and  increase  it  righteously, 
and  he  wished  no  more.  For,  "Justice,  en- 
throned beside  you,  knows  ((rvvOpovo';  otSe  AtK»;) 
that  you  loathe  to  touch  wealth  won  from 
those  that  you  rule."  *  In  Didyma  several  in- 
scriptions were  dedicated  to  the  Proconsul 
Festus  who,  in  or  around  a.d.  263,  had  accom- 
plished some  public  works.  One  of  his  improve- 
ments by  which  he  obliged  the  citizens  was  the 
new  setting  of  a  fountain  which  Apollo,  miracu- 
lously, had  caused  to  gush  forth  when  Gothic 
barbarians  were  besieging  the  city  while  the 
town  people  were  parched  with  thirst.  The 
waters  had  been  sacred  to  the  god;  "now,  how- 
ever, (expounds  an  epigram)  this  has  become 
the  fountain  of  Festus,  throne-sharer  of  golden 

Dike"     (tu  I'iJf  Se  $t)otoii  (7Vv6p6vov  )(pVCTr]<!  A(K7;f)  . 

A  related  idea  is  expressed  in  an  epigram  in 


1  Greek  Anthology  9.445  ed.  and  trsl.  W.  R.  Paton,  III, 
p.  219. 

2  Supplementum  epigraphicum  graecum,  red.  J.  J.  E. 
Hondius,  IV   (1929) .  No.  467. 

3  Greek  Anthology  9.779,  Paton,  III,  p.  421,  who  forgot 
to  translate  these  words. 

4  P.  Berlin,  10580,  line  SO;  Berliner  Klassikertexte ,  V 
(1907),  p.  118. 

B  Louis  Robert,  Hellenica  IV  (Paris  1948),  dedicates 
practically  the  whole  volume  to  governor  inscriptions, 
disclosing  thereby  one  of  the  most  fruitful  sources  for 
the  knowledge  of  political  thought.  Practically  all  the 
epigrams  quoted  in  the  present  short  paper  have  been 
discussed  l)y  him;  for  those  quoted  above,  see  pp.  25f, 
68f,  71f,  98,  n.2. 

6Thalheim,  "Dike,"  RE  5.574;  Rudolf  Hirzel,  Themis, 
Dike  und  Verwandtes  (Leipzig  1907) . 


which  a  Pretorian  Prefect  under  Justin  II  is 
styled  "coachman  of  the  throne  of  Dike"  (Ai(o;s 
6p6vov  fjvioxivuyv)  .^  There  is  a  shift  within  the 
metaphor  when  another  governor  is  called  "son 
of  the  gold-crowned  and  right-minded  Dike" 
(tt;'!  \pv(ToaTC(f>avoto  voT^fj.ovot  vita  AtKiy?) .''  Never- 
theless, that,  too,  forms  part  of  the  large  num- 
ber of  epigrams  for  Roman  provincial  governors 
which  acclaim  the  justice  of  the  governing 
official  and  which  have  been  recently  collected 
and  brilliantly  discussed  by  Louis  Robert.' 

Throne-sharing  with  Dike,  of  course,  was  not 
a  new  feature.  Dike,  a  daughter  of  Zeus,  sat 
at  the  side  of  the  father  of  gods  and  men,  at 
whose  other  side  we  often  find  Themis.^  The 
two  goddesses  became  also  the  natural  throne- 
companions  of  kings,  especially  when  the  Hel- 
lenistic political  philosophies  conceived  of  the 
king  as  fiLp.rjrrj';  of  the  supreme  god.^  Dio  of 
Prusa,  for  example,  calls  Kingship  "the  child  of 
Zeus  the  King"  (Atos  ySao-iAcw?  tKyovos) ,  and  at 
her  sides  there  were  seated  Dike  and  Eirene  as 
well  as  Eunomia,  while  Nomos  as  chief  adviser 
and  counsellor  was  standing  nearest  to  her 
throne.*     Occasionally    a    philosopher    might 


7  Erwin  R.  Goodenough,  "The  Political  Philosophy  of 
Hellenistic  Kingship,"  Yale  Classical  Studies  1  (1928) 
55-102;  Louis  Delatte,  Les  traitSs  de  la  royauti 
d'Ecphante,  Diotogene  et  Sthenidas  (Lidge  1942)  ,  Index, 
s.v.  "imitation;"  Norman  H.  Baynes,  "Eusebius  and  the 
Christian  Empire,"  Melanges  Bidez  (Annuaire  de  I'ln- 
stitut  de  Philologie  et  d'Histoire  orientales  et  Slave*  2, 
1934),  13-18. 

8  Dio  Chrysostom,  Oratio  1.73(1;  cf.  V.  Valdenberg,  "La 
thtorie  monarchique  de  Dion  Chrysostorae,"  Revue  des 
etudes  grecques  40  (1927)  159;  cf.  148f,  for  the  imitation 
of  Zeus.  For  other  examples  as  well  as  for  the  whole 
problem,  see  Arnold  Ehrhardt,  "The  Political  Philoso- 
phy of  Neo-Platonism,"  Studi  in  onore  di  Vincenzo 
ArangioHuiz  (Naples  1952)  I  457-482,  whose  interesting 
study  came  too  late  to  be  utilized  here. 


65 


J 


I    J    c 

I    L     J 


66 


ERNST  H.  KANTOROWICZ 


claim  that  "Zeus  himself  was  Dike  and  Themis 
and  the  oldest  and  ultimate  Law."  and  might 
therefore  accord  a  similar  absolutistic  character 
also  to  the  king.  Hovever,  more  moderate  doc- 
trines prevailed:  one  understood  Dike  and 
other  \'irtues  as  the  king's  throne-sharing  com- 
panions though  admitting  the  king's  identity 
with  the  Law  as  r6fju>i  e/«/Tr)fo«.*  Finally,  what 
applied  to  the  king  applied  also  to  the  gov- 
ernors, especially  when  Diocletian's  separation 
of  civil  and  military  administrations  turned 
the  governors  primarily  into  judges  qui  iusti- 
tiam  vestram  (sc.  imperatoris)  iudices  aemu- 
lantur.^^  Hence,  it  was  only  after  the  middle  of 
the  third  century  of  our  era  that  epigrams 
began  to  praise  governors  as  cn-i-^^ovot  XU-g   (or 

The  word  axvOpovo-:,  a  relatively  rare  word  in 
classical  Greek,  appears  more  often  in  Hellen- 
istic, late  Roman,  and  Christian  times.  That 
gods  were  said  to  share  their  thrones  with  other 
gods  and  demigods,  or  with  kings,  heroes,  and 
philosophers,  was  not  only  a  peculiarity  of  the 
pagan  ages.  Christ  as  Man  became  the 
cn'i'^poi'o?  of  the  Father,  the  Holv  Spirit  that  of 
Father  and  Son;  Adam  was  created  (rCnSpovo's  of 
God;  the  Apostles  became  throne-sharers  of  the 
Redeemer,  and  the  Redeemed  were  expected 
to  share  with  Christ  the  Throne  of  Eternitv.^^ 
"Throne-sharing"  there  was  also  in  a  less  cul- 
tual  and  more  figurative  or  moral  sense.  Philo, 
for  example,  considered  Dikaios\Tie  and  Phron- 


[A]A  57 

esis  together  with  the  other  Virtues  the  cn,\Spovoi 
of  the  Soul,  and  Origen  called  the  same  \'irtues 
"tlirone-sharers"  of  Eusebeia  who  herself  had 
her  abode  in  the  soul  of  the  pious  who  turned 
towards  God.'^ 

Do   we   have   to   understand   the   governors' 
throne-sharing  with  Dike,  as  divulged  by  the 
epigrams,  in  a  figurative  and  moral  sense,  or  do 
we  have  to  take  into  consideration  some  cul- 
tual  substratum.    The  cultual  meaning  seems 
to  be  favored  by  VV^  Vollgrafl.    He  refers  to  a 
number  of  epigram  inscriptions  mentioning  a 
"Temple  of  Dike,"  and  like  others  before  him 
he  takes  those  expressions  (tc/ao'd?,  ■7rp69vpa  Ai'kt;?, 
also  ayxiBvpo'i  .  .  .  A1K17S,  and  others)    to  mean 
real  shrines  of  the  goddess  Dike  in  front  of 
which  "the  Greeks  of  the  fourth  centurv-  had 
the  custom  to  erect  statues  of  the  proconsuls 
whom  they  intended  to  honor."  "  Special  sanc- 
tuaries of  Dike  were  practically   unknown   in 
classical  times,  and  their  ver)'  existence  has  been 
inferred  chiefly  from  the  late  epigrams  of  the 
fourth  century  and  thereafter."    However,  we 
may  reasonably  have  our  doubts   whether  in 
Christian  times,  as  late  as  the  latter  half  of  the 
sixth  century,  for  example,  a  statue  for  Justin 
II  o'  irpoBvpomri  AUr/i,  or  for  his  Empress  Sophia 
Aiici^s  irpoirdpoiSf.  Ox-pawv,  should  really  suggest  the 
existence  of  genuine  temples  of  Dike  consisting 
in   (as  Vollgraff  assumed)   "un  edifice  rond  de 
dimensions    modestes."  i«     Although    \'ollgraff 
does  not  enlarge  specifically  on  the  subject  of 


f  See  Pluurch.  Alexander  52.4,  and  Ad  princ.  inerud. 
4  Moralia  781 B) ,  for  the  theories  of  Anaxarchos;  also 
Themistios,  Oratio  9.12Sa,  Dindorf,  p.  147,4  ao  \'alen- 
tinian  II) ;  further  Artur  Steinwenter,  "NOMOJ 
EM-^-TXOS:  Zur  Geschichie  einer  poliiischen  Theorie," 
Anzeiger  der  Akademie  der  Wisiemchaften  in  H'i>n 
1946,  No.  19,  250-268. 

^0  Paneg.  lat.  2  (10)  5,  Baehrens.  p.  265,  15f:  see 
Robert,  pp.  1075.  in  his  brief  but  comprehensive  resume. 
The  phrase  nrc  jccra  iudicam,  frequently  found  in 
inscriptions  of  that  time,  has  the  same  meaning:  cf. 
Glanville  Downe>-,  "'Personifications  of  Abstraa  Ideas  in 
the  Antioch  Mosaics,"  Trans.  Amer.  Philol.  Ass.,  69, 
(1958)    549-56!. 

11  For  the  alternative  construction  aOr»porot  r^JJt  (icai) 
TofSt,  see  Scholia  in  Dionysii  Thracis  artem  grammati- 
cam,  ed.  Alfred  Hilgard  (T^ipzig  1901)  p.  589,  n.  2 
(marginal  note  on  the  Scholia  Marciana)  . 

12  I  shall  discuss  the  material  in  detail,  including  the 
theological  asftects,  in  a  forthcoming  study:  "ZtV^porot: 


God  and  King  as  Throne-Sharers."  For  a  related  sub- 
jea,  see  .Arthur  D.  Nock,  "Zilrroot  ttot."  Harvard  Studies 
in  Classical  Philology  41    (1950)    1-62. 

"Philo,  Legum  allegoriae  5.247,  c.  88,  Cohn-Wcnd- 
land,  I,  p.  168:  SiKO-iovvrii  koX  ^pirn^it  itoi  ol  ciriporot 
Toi'Tifj  fi-^t  ^vx^s]  iptral.  A  similar  idea  is  found  in 
Cicero,  ad  Q.  fratrem  1.1.51:  "tuas  vinutes  consecratas  et 
in  deorum  numero  collocatas  vides,"  quoted  by  Nock, 
op.  cit.  58,  note. 

Origen,  CeU.  550,  Koetschau,  I,  p.  246,  19:  rdi 
avrfiporovs  toi't^i  [r^j  evcre^ftajl  iptras-  Figuratively  the 
word  is  used  also  in  the  Greek  Anthology,  12.257.8: 
avrSpofos  tipviiat  Ttpfiaatr  eiuiaflat.  .\  related  meaning 
seems  to  be  indicated  by  the  enumeration  of  virtues  in 
inscriptions;  cf.  Downey,  op.  cit.  S52ff. 

i«  W.  Vollgraff,  "Argos  dans  la  d^pendance  de  Cor- 
inthe  au  TV'  siMe,"  Antiquity  classique  14    (1945)    5ff. 

IS  RE  5.574. 

i«  Greek  Anthology  9.812,  815;  Vollgraff,  p.  9. 


I    L     U 


195S] 

throne-sharing,  we  may  nevertheless  deduce 
that  the  person  whose  statue  was  placed  in 
from  of  these  alleged  temples  of  Dike  could  be 
staled  with  some  justification,  and  with  refer- 
ence to  the  temple,  a  miwao';  or  irvvfipovry;  Atr»^. 

Louis  Robert,  who  has  inspected  the  inscrip- 
tions for  governors  more  thoroughly  than  any 
other  scholar,  arrives  at  a  slightly  different 
result.  While  rejecting  the  thesis  of  those  little 
round  sanctuaries  of  Dike,  he  makes  ii  quite 
plausible  that  refievo';  Aikt^-;  and  similar  expres- 
sions refer  simply  to  the  praetorium  or  to  the 
basilica  where  the  governor  sal  in  court  and 
rendered  justice.  "C'est  la  que  siege  le  gouv- 
emeur,  avvBpnvo^  At'»M;s."  He  admits,  of  course, 
that  'the  statues  of  governors  were  erected  in 
front  of  the  sanctuary  of  Dike,  since  thLs  fact 
is  attested  to  bv  very  many  inscriptions;  but 
that  the  sanctuarv-  itself,  according  to  Robert, 
was  simplv  the  praetorium}-''  Qther  inscrip- 
tions, however,  pronij)t  him  to  claim  that  the 
governor  was  "throne-sharer  of  Dike"  mainly 
in  a  figurative  sense  as  a  man  giving  right  judg- 
ment (diT/f)  IBvhiKO's)  and  sitting  on  a  tribunal 
from  which  right  judgment  emanated  {(i-rifxa 
WvhtKox)  }^  In  other  words,  the  governor  ap- 
peared a  throne-sharer  of  Dike  tiirough  his  just 
decisions  and  righteous  judgments.  This  inter- 
pretation, to  be  sure,  comes  very  close  to  a 
purely  figurative  or  "moral"  meaning  of  the 
Uteran^  image,  even  though  Rol»ert  still  com- 
bines the  idea  of  throne-sharing  with  the  actual 
duties  of  the  governor-judge. 

With  regard  to  VoUgraff's  thesis  it  may  be 
said  that  it  appears  highly  imj)robable  that 
TeMevos  AtKrji:  and  related  expressions  entitle  us 


2-V"N®rON05  AIKHl 


67 


to  think  of  architectural  temple  constructions 
any  more  than  when  we  read  in  Justinian's 
Codex  (1.17.1.5)  about  the  sanctissimum  tem- 
plum  itistitiae  or  even  about  (1.17.2.20)  iusti- 
tiar  Romanac  iemplum.  This  is  not  factum  de 
marmore  iemplum,  which  Ovid  (Pont.  $.6.2bl.) 
mentions,  but  one  mentis  in  aede  suae.  In  this 
sense,  a  governor  of  Crete  could  be  styled 
"temple  of  Justice"  (n^a?  'EvhiKiif^)  .^*  Louis 
Robert,  it  seems  to  me,  is  perfectly  correct  when 
denying  the  existence  of  shrines  proper  of  Dike 
so  far  as  they  are  e\'idenced  only  by  the  epi- 
grams. He  was,  however,  perhaps  not  quite 
specific  enough  when  interpreting  rnnSpovtn 
AIkji  chiefly  in  a  figurative  sense. 

There  is,  I   think,  some  e\idence   that   the 
governor  was  throne-sharer  of  Dike  not  only 
figuratively,  but  also  as  a  figura.    The  S'^riac 
"Life  of  St.  Basil"  is  falsely  ascribed  to  Amphilo- 
chius  of  Iconium,  a  friend  of  the  great  Capp»- 
docians  of  the  fourth   century.    To  the  same 
author  there  is  ascribed  also  a  Greek  biography 
of  Basil  which,  however,  is  not  identical  with 
the  Siriac  version.   The  latter  may  actually  go 
back  to  the  sixth  centun .-"  The  S\riac  version, 
easily  accessible  in  a  German  translation,  be- 
gins with  an  interesting  passage  which  has  some 
rele^-ance  to  governors  as  throne-sharers  of  Dike. 
"The  municipal  authorities    (writes  the  au- 
thor)  do  not  deny  recognition  to  governors, 
even  to  incapable  persons  whose  administra- 
tion has  been  but  brief,  by  erecting  images 
in  their  honor.   In  fact,  they  represent  them 
as  just  and  righteous  of&cers  by  means  of  STi-m- 
bolic  figures  wliich  the^  place  on  the  right 
and  left  sides  of  the  statues.    Although  the 


1"  Roliert.  p  139.  Tfac  praciortum  as  a  "ahrine"  is 
perba}>s  paralleled,  as  Professor  Downe^  kindl^  pointed 
out  u>  me,  hv  Tiiemistius,  Or.  4.52c  R.  Dindori.  p  C". 
will)  speaks  of  CoH.staiiunople  as  the  shnne  (i/«a>5i  of 
the  cmperoi. 

If'  Rolien,  pp.  12fi,  17fi,  passim,  for  thest  and  similar 
expressions. 

1'' Inscription  from  Gortvn:  Roliert..  p  lO'i.  For 
•i/fiiKto  a.s  the  kings  throne -sharer,  see  Themistius,  Or. 
15.189b,  Dindorf,  p.  233. 

2<i  K..  von  Zettcrsteen.  "Eim  Homilie  des  .^mphilo- 
diius  von  Iconiimi  iiiier  liasihus  von  Caesarea."  Tcii- 
schrift  Lduard  hachau  zum  siehzipsien  Gehurtsiof,. 
edited  b\  Gotthold  WeiJ  (Berlin  1915)  223R.  re^>njduces 
the  Syriac   text  which   had    lieen   previousl'.    edited   by 


Paolo  Bedjan,  Acta  Marr\"rum  et  Sanctorum  (Paris  JB96) , 
\'l,  pp.  297ff;  c£.  A.  Baumstark,  is  Orims  Ckristianus, 
Ser.  2,  vol.  5  il915)  32Bt.  For  a  German  translation!, 
upon  which  1  have  to  relv,  see  Zetiersleen,  in  Onetw 
ChristianiLs,  Ser.  S.  vol.  8  (1933)  fTR.  There  is  also  a 
Greek  text  of  a  "Lite  of  Basil"  attributed  to  Ampliilo- 
cluus  of  Iconium.  which  was  pubhshed  In  Combefa, 
Ampttiiochii  Iccmensn.  Methodii  yataren.szf  el  Andreae 
Cretensis  opera  paeco-lattna  (Paris  1644)  155ff  (not 
accessible  to  me)  ;  »ec  also  Karl  Holl.  Amphiluchitis  von 
Ikontum  m  seinem  T'eriiultntf  su  den  prosirn  Kappa- 
uaztrrri  Tiibinpen  and  Leipzip  19(»4)  59.  The  Greek 
lexl  diflers  trom  tlie  Svriac;  see,  ior  the  date  of  the 
latter,  A.  Baumstark,  Gescttichte  der  ryrischen  Literatur 
(Bonn  1922)   262,  with  the  note  on  p.  S5S. 


u    I  d 


68 


ERNST  H.  KANTOROWICZ 


cities  mnv  despise  the  unjust  administration 

of  thosf  men   they   nevertheless  exah   them 

with  pompous  names.   Thus,  so  as  to  have  at 

least  one  pleasure  of  those  men's  sins,  they 

preserve  in  the  people's  memory  the  images 

ol  the  officers  rather  than  their  power  which 

has  disappeared  from  the  city  in  which  they 

had  heen  active  for  a  short  time  only." 

The  author  then  mentions  the  hronze  statues 

put  up  for  the  victors  m  the  circus  and  in  the 

games   before   he  starts   to   discuss   his   proper 

subject,  the  mnnumcntum  ae.re  pcrenntus  which 

he  ventures  to  place  before  the  minds  of  his 

readers  b)  writing  the  Lite  of  Saint  Rasil. 

It  is  evident  that  the  author,  when  describ- 
ing the  statues  or  images  of  governors  with  the 
flanking  personifications,  alludes  to  something 
ttiat  must  have  been  common  practice  in  the 
cities  of  the  late  empire.  We  know  the  "pomp- 
ous titles"  h\  which  the  cities  extolled  the  gov- 
ernors, for  tiiose  eulogizing  words,  mentioned 
also  by  Gregory  Nazianzen,^'  have  been  re- 
peated over  and  over  again  in  the  epigrams. 
But  dci  we  know  also  tfu  monuments,  or  can 
we  imagine  wtiat  tiiey  were  liker 

We  are  told  that  the  symbolic  figures  were 
supposed  to  represent  the  governor  as  just  and 
righteous.  In  other  words,  f>ersonifications  of 
Dike,  Themis,  Eunomia,  or  other  civic  virtues 
must  have  been  placed  on  either  side  of  the 
governor's  statue  or  image.  In  the  companv  of 
those  hgures  the  governor  would  actually  ap- 
pear as  "throne-sharer  of  Dike"  or  of  any  other 
of    the    personified    jjolitical    virtues     (iSmT^p 


[AJA  67 


'Evvo/j.irj'i.  So<^tV  Tnfur)>i)  which  the  epigrams  ad- 
duce in  his  prai.se  and  which  so  ably  have  been 
put  into  focus  by  Louis  Roberi.22  Such  alle- 
gorical synthrnnismoi  of  princes  with  political 
or  civic  virtues  are  found  not  only  in  epigrams 
but  also  in  the  political  literature.  Dio  of 
Pru.sa,  Themistios,  Aulus  Gellius,  and  others 
offer  famous  examples  of  those  personified  vir- 
tues .surrounding  the  throne,  and  their  ideas 
lingered  on  throughout  the  Middle  .\ges:  Pla- 
centinus,  the  great  jurist  of  the  twelfth  century, 
outlines  in  one  of  his  tractates  an  impressive 
visionary  image  of  such  a  tcmplum  lustitiac  in 
which  justice  thrones  with  Reason  and  Equity 
and  other  virtues.''-^ 

Similar  personifications  are  just  as  common 
in  art.  The  miniatures,  for  example,  of  the 
Paris  Psalter  abound  in  personifications  of  all 
kinds.  David  as  a  harper  appears  in  the  com- 
pany of  Melodia  and  Echo;  David  slaying  the 
lion  is  assisted  by  Ischvs;  in  his  fight  against 
Goliath  he  is  protected  by  Dynamis.  and  when 
he  prostrates  himself  to  do  penance  Metanoia  is 
present.^-*  More  striking,  however,  and  more 
relevant  to  the  subject  discus.sed  here  is  the 
formal  ceremonious  ruler  portrait  in  the  same 
Codex:  David  with  Sophia  on  his  right  side  and 
Projjhetia  on  his  left.  The  Psalter  in  his  left 
liand  IS.  as  11  were,  his  lawbook  which  is  in- 
spired by  the  Spirit  perched  in  the  shape  of  a 
dove  on  tiie  halo  that  surrounds  his  head  and 
crown.=«f'  Similarly  we  find  tlie  Empieror  Nike- 
phoros  Botaniates  (]()78-J()8Jj  in  the  companv 
of  Dikaiosyne  and  Aietheia.^e  The  pattern  was 


23  Oregon  Naz.,  Carmim  2.T.7ft:  Mignc,  PC  37.1551: 
Roi)en.  fj.  17.  li  is  not  unlikeh  that  tlit  unknown  an 
tlioT  of  the  Syriai  Pseudi.-Ani|>hiii)diian  "Liti  ot  Basil' 
was  inspired  U\  Grcgor\  Nazianzeii  and  drew  upon  tlie 
verses  Ad  Nemesxum,  bui  tiic  investigation  of  the  Svriac 
text  lias  til  bt  iett  to  others 

2- Robert,  pp  l.lfi,  «(ift  <)lfl.  WH.  for  tin  persoiiihca 
tions  in  general,  set-  Downey   (atMive,  n.lO)  . 

23  Above,  notes  8,  9;  Gellius,  Nodes  Att.  HA.   For  the 
"Templt   of  Justice"  of  I'lacentinus,  sec  Hermann   Ran 
toniivia.  Studies   w   tUr   Glussatim  of  thr  Honiati  Lau 
(Cambridge  1938)    183ff. 

!«■»  Hugf)  Ituchthal,  Tlie  Miniatures  of  the  Paru.  Psalter 
(London  1938),  Pis.  1,  2,  4.  8  That  Mera^oto  ha.s  the 
nieaniiif;  ol  'prostration"  has  liecn  stressed  hv  Milton 
\  Aiiastos.  "Pletht>s  Calendar  and  Liturgy,'  Humharton 
Oaks  Papers  4   (1948)  261,  n.  403 


2-  liuchthal.  PI.  VII.  Por  ao0^a  in  the  epigrams,  see 
Roiien.  p  107.  n.  1.  A  replica  of  the  image  of  David  is 
lound  in  a  12th-centur\  Psalter  of  the  National  Library 
in  Athens  (MS  9,  fol.  1)  ;  d.  Paul  Buberl,  Die  Mtiuatur- 
handsclirifleu  der  Natimmlhiblwihek  in  Allien  I'Denk- 
scliritten  der  Wiener  Akademie.  fi(J.2)  1917,  p.  14,  PI. 
X\'ll,  hg.  38;  tor  other  MSS  influenced  bv  the  Paris 
Psalier,  see  Buchthal.  p.  2fi.  nos.  S,  4,  who  adduces  also 
a  tew  parallels  (iigs  48-50)  .  That  the  master  of  the 
I'ans  Psalter  was  not  the  one  who  introduced  the  tvpc 
Ls  perlecth  evident. 

«« Paris,  B.N.MS  Coishn  79,  fol.  2:  Henri  Omont. 
lacsimiles  des  mttiiatures  des  plus  anciens  MSS.  giccs 
de  to  Uihl.  Nat.  (Pans  l9U2i  ,  PI.  LXIU.  For  other  reprc 
sentations  of  Dikaimvne,  see  Downey  349,  n.  1  (Coptic, 
4ti.  .ith  cent.)  .  and  Sbh.  n.  13  (Syrian,  Euteknia  flanked 
by  Philosophia  and  Dikaiosyne) . 


I    J    u 

U       t    L     U 


1953] 


2YN0PONO2  AIKHI 


69 


familiar  also  in  the  West  where,  in  the  Gospel 
Book  of  Monte  Cassino,  the  official  state  image 
shows  the  Emperor  Henry  II  with  Justitia  and 
Pietas,  Sapientia  and  Prudentia,  Lex  and  }us, 
while  Ratio  in  the  shape  of  the  dove  of  the 
Holy  Spirit,  descending  from  above,  indicates 
tlie  divine  inspiration.^^ 

The  late  date  of  those  miniatures  (tenth  and 
eleventh  centuries)  does  not  abate  their  im- 
portance because  the  painters  were  still  working 
within  the  antique  tradition.  This  has  become 
perfectly  clear  from  the  paintings  at  Touna  el 
Gebel,  near  Hermopolis,  which  prove  strikingly 
that  the  personifications  of  human  affections 
and  emotions,  which  interpreted  the  state  of 
mind  or  the  actions  of  the  one  portrayed,  de- 
rived from  Hellenistic  models.^**  Moreover,  in 
the  Vienna  Dioscurides  (around  a.d.  512)  we 
find  perhaps  the  most  accurate  example  of  those 
synthronismoi  which  the  contemporary  epi- 
grams allude  to:  Anicia  Juliana,  the  noble 
{)atroness  of  arts  and  learning,  seated  on  her 
sella  curulis  and  flanked  by  Megalopsychia  and 
Phronesis.^" 

That  the  governor  memorials  often  consisted 


of  paintings  with  epigrams  added  to  the  pic- 
ture is  shown  by  Gregory  Nazianzen's  poem  to 
Nemesius  and  by  many  epigrams  of  the  Greek 
Anthology.'"  On  the  other  hand,  there  is  no 
doubt  that  usually  the  governors  would  receive 
statues.  Groups  such  as  those  described  by 
Pseudo-Amphilochius  do  not  seem  to  have  been 
preserved.  This,  however,  does  not  imply  that 
they  have  not  existed.  In  the  so-called  "House 
of  Megalopsychia"  at  Antioch  on  the  Orontes, 
reliably  dated  middle  of  the  fifth  century,  we 
find  in  the  topographical  border  (section  c) 
of  the  great  mosaic,  between  a  group  of  dicing 
men  and  the  front  of  a  portico  of  seven  col- 
umns, a  group  of  three  statues.-''^  They  are 
standing  obviously  in  the  piazza  in  the  middle 
of  the  town  ^-  in  front  of  some  official  building; 
and  although  that  section  of  the  mosaic  border 
is  badly  damaged  we  yet  recognize  in  the  center 
a  figure  with  short  tunic  and  paludamentum  — 
probably  a  prince  or  pretorian  prefect  — 
flanked  by  two  men  whose  high  rank  is  sug- 
gested by  the  long  chlamys  they  wear  and  by 
the  long  staffs  they  hold  near  their  shoulders.^' 
We  may  assume  that  the  governors  with  their 


27  The  literature  on  that  MS  (\'at.  Ottob  lat.  74,  fol. 
193')  has  been  convenientlv  summed  up  by  Herbert 
Bloch,  "Monte  Cassino,  Byzantium,  and  the  West  in  the 
Earher  Middle  Ages,"  Dumbarton  Oaks  Papers  3  (1946) 
181,  n.  53;  see  fig.  221  for  a  reproduction.  For  the  Middle 
Ages  in  general,  sec  Adolf  Katzenelienbogen.  Allegories 
of  the  Virtues  and  Vices  in  Mediaeval  Art  (Studies  of 
the  Warburg  Institute,  10) ,  London  1939. 

28  Sami  Gabra,  "Caractdres  de  I'art  copte:  ses  rapports 
avec  I'art  egyptien  et  I'art  hellenistique,"  Bulletin  de  la 
sociite  d'archeologie  copte  1  (1935)  37-41.  For  the  indi- 
cation of  this  article  as  well  as  for  many  another  hint  I 
am  greatly  indebted  to  Professor  Andre  Grabar:  it  has 
not  been  utilized  in  the  excellent,  if  brief,  outline  of  the 
history  of  personifications  offered  by  Doro  Levi,  Antioch 
Mosaic  Pavements   (Princeton  1947)   1,  253ff.  and  passim. 

2f>  Dioscurides:  Codex  Aniciae  Julianae  picturis  illus- 
tratus  .  .  .  phototypice  editus,  moderante  Josepho  de 
Karabacek  (Leyden  190fi)  ,  fol.  6".  Perhaps  the  diptych 
of  Constantius  III  (?)  ,  of  a.d.  417  (Richard  Delbriick, 
Die  Konsulardiptychen  [Berlin  and  Leipzig  1929]  PI.  II 
and  [text]  p.  89)  ,  should  lie  mentioned  in  this  connec- 
tion, too,  because  the  personifications  —  not  of  virtues, 
but  of  cities:  Rome  and  Constantinople  —  are  found 
sitting  together  with  the  emperors  on  one  tlirone  bench. 


The  two  cities,  which  here  are  haloed,  appear  often 
standing  on  either  side  of  the  chair  oi  the  consul  (e.g., 
Delbruck,  Pis.  16,  22-25,  32,  35) .  Only  in  the  Constantius 
diptvch,  however,  are  the\  genuine  throne -sharers  after 
the  pattern  of  the  personified  Commagene  on  Nemrud 
Dagh.  See  further  Katzenellenbogen.  Allegories,  PI.  XI'V, 
fig.  27,  for  Vergil  between  two  Muses  (cf.  PI.  XV,  fig.  29)  , 
and  for  a  kindred  subject,  PI.  X\'I,  fig.  31  (Christ  l>e- 
tween  Eleemosyne  and  Dikaiosyne) . 

so  Migne,  PC  37.1552  (Ad  Nemesium,  verse  13) ,  where 
both  paintings  and  sculptures  arc  mentioned.  In  the 
Greek  Anthology  there  are  man\  epigrams  connected 
with  icons;  see  also  the  scholion  to  Anthol.  Planud. 
(Anth.  Graeca  16)  380,  ed.  Piibner,  II,  p.  640,  quoted 
by  A.  A.  Vasiliev,  "The  Monument  of  Porphvrius  in  the 
Hippodrome  at  Constantinople,"  Dumbarton  Oaks 
Papers  4  (1948)  40,  n.  29.  where  an  epigram  l)elongs 
to  the  paintings  in  the  irpoKinrnov  (the  imperial  box) 
in  the  hippodrome. 

31  Doro  Levi,  Antioch.  II,  PI.  LXXIXc,  to  which  Pro- 
fessor Sirarpie  Der  Nersessian  kindly  called  my  attention. 

32  Ibid.,  I,  p.  331.  See  also  Gregory  Naz.  Ad  Nemesium 
14f,  Migne  PC  37.1552:  ei-  /itadrnai  trrrtaavrts  irroXUaciP- 
Cf.  Robert,  p.  17,  n.  2. 

33  Doro  Levi,  Antioch,  I,  p.  331. 


70 


ERNST  H.  KANTOROWICZ 


companions  of  personified  virtues  were  repre- 
sented in  a  similar  fashion.  Statues  of  Justitia 
are  known  to  have  existed.^*  If  represented 
together  with  that  goddess,  the  governor  would 
appear  in  fact  as  the  "throne-sharer  of  Dike." 

84  A.  Milchhoefer,  "Dike,"  JDAI  7  (1892)  203-208. 
Justitia  in  imagery  is  very  common,  of  course;  see  above, 
notes  26,  29. 


[AJA  57 

At  any  rate,  the  text  of  Pseudo-Amphilochius 
makes  it  more  than  likely  that  the  expression 
mjv6povo<s  AiK-g  had  also  a  more  realistic  meaning 
than  has  hitherto  been  recognized. 

Ernst  H.  Kantorowicz 

The  Institute  for  Advanced  Study 


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Institute   for   .idvanced    ^tudy, 
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APPENDIX  ,  SYNTHRONCB  DIKEI 


For  page  6?,  in  reference  to  the  moral  meant rg  of  throne-sharing, 

marginalia:     O.Ztintz,  "The  Altar  of  Mercy*',  Classica  et  Mediaevalia. 
3tXV  (1953),  77.  "Having  the  alUr  of  pity  in  one's  soul",  Philostratus, 


V. 


ep.l3,  Kayser  231,  18.   (ep.39,  Kayser  2U7,  18  -  13th  God). 


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"Inalienability:   A   Note   on   Canonical  Practice  and  the  English  Coronation 
Oath  in  the  Thirteenth  Century,"  Speculum,  XXIX  (1954),  488-502. 

Offprint;    no   annotnt-.ions. 

A.  Letter  from  R.  3tuart  Hoyt,  i|  Nov  ^ij. 

B.  Letter  from  Josef  Qeev ,    9  Nov  ^h, 

C.  Letter  from  Joseph  R.  Straver,  6  Oct  


I    J    u 


AN  OFFPRINT  FROM 


SPECULUM 


A  JOURNAL  OF  MEDIAEVAL  STUDIES 


Vol.  XXIX  July.1954 


No.  5 


INALIENABILITY:  A  NOTE  ON  CANONICAL  PRACTICE 

AND  THE  ENGLISH  CORONATION  OATH  IN  THE 

THIRTEENTH  CENTURY 

ERNST  H.  KANTOROWICZ 


4 


THE  MEDIAEVAL  ACADEMY  OF  AMERICA 

CAMBRIDGE,  MASSACHUSETTS 


U       I     J       I 


AN  OFFPRINT  FROM 


SPECULUM 

A  JOURNAL  OF  MEDIAEVAL  STUDIES 


Vol.  XXIX  July.1954 


No.  3 


INALIENABILITY:   A  NOTE  ON  CANONICAL  PRACTICE 

AND  THE  ENGLISH  CORONATION  OATH  IN  THE 

THIRTEENTH  CENTURY 


ERNST  H.  KANTOROVVICZ 


THE  MEDIAEVAL  ACADEMY  OF  AMERICA 

CAMBRIDGE,  MASSACHUSETTS 


}      I    u 


INALIENABILITY 

A  Note  on  Canonical  Practice  and  the  English 
Coronation  Oath  in  the  Thirteenth  Century 

By  ERNST  II.  KANTOROWICZ 

In  two  letters,  one  of  1233  and  tlie  other  of  1235,  Vope  Gregory  IX  referred  to 
the  Coronation  Oath  of  King  Henry  III  of  Englanil.'  In  the  letter  of  1233,  Vope 
Gregory  reminded  the  king  that,  at  the  time  of  Henry's  coronation  in  1216,  he, 
the  young  king,  had  sworn  a  corporeal  oath  "de  regni  Angliae  iuribus  et  honorihus 
ronservandis  ac  revocandis  alienatis  illicite  vel  distractis."^  In  the  second  letter, 
that  of  1235,  the  i)0])e  stressed  once  more  that  "in  coronatione  tua  iuraveris,  ut 
nioris  est,  iura,  libertates  et  dignitates  conservare  regales."'  It  is  well  known  that  a 
"non-alienation  clause"  by  which  the  king  swore  not  to  alienate  the  rights  of  the 
Crown  and  to  revoke  what  had  been  alienated,  did  not  form  part  of  the  custom- 
ary trii)artite  oath  which,  with  slight  changes,  had  survived  from  Anglo-Saxon 
times.''  That  standard  oath  has  been  quoted  by  Bracton,  and  there  is  every  reason 
to  believe  that  Bracton  reproduced,  with  substantial  accuracy,  the  oath  which 
the  English  king  in  the  thirteenth  century  actually  professed.'  The  papal  letters, 
however  (which,  as  Mr  Richardson  proposes  in  a  highly  suggestive  study,  may 
even  have  repeated  phrases  used  by  the  royal  scribes),*  indicate  that  Henry  III 

'  Nothing  could  l)e  farther  remote  from  the  present  writer's  ambition  than  to  rehearse  at  full  length 
once  more  the  vexed  question  of  the  English  Coronation  Oath  and  Edward  II's  "fourth  clause."  All 
that  is  intended  here  Is  to  communicate  a  few  observations  which  may  or  maj'  not  prove  relevant  to 
tlie  problem  of  inalienability,  and  which  have  little  to  do  with  the  aims  of  the  subtle  studies  of  B.  Wil- 
kinson ("The  Coronation  Oath  of  Edward  II,"  Essays  in  Honour  of  James  Tail  [Manchester,  1933], 
405  ff.,  and  "The  Coronation  Oath  of  Edward  II  and  the  Statute  of  York,"  Speculum,  xix  [1944], 
445  ff.)  or  with  the  investigations  of  Percy  Ernst  Schramm  (History  of  the  English  Coronation  [Ox- 
ford, 1937],  204  ff.,  and  "Ordines-Studien  III:  Die  Kronung  in  England,"  Archiv  fiir  Urkunden- 
forschung,  xv  [1938],  349  ff.,  357  ff.),  although  they  have  sometliing  to  do  with  the  numerous  studies 
of  11.  G.  Richardson,  suumied  up  in  his  penetrating  article  on  "The  Engli-sh  Coronation  Oath,"  in 
Speculum,  xxiv  [1949],  44-75.  Where  Mr  Richardson  stopped  the  present  brief  note  wishes  to  con- 
tinue, if  only  with  a  very  limited  goal. 

^  W.  Shirley,  Royal  and  Other  Historical  Letters  of  the  Reign  of  Henry  III  (London,  1862),  I,  551. 

'  Rymer,  Foedera,  i:  1, 229,  and,  for  the  correct  date  (1  July),  Potthast,  9952;  cf.  Richardson,  p.  51, 
nos.  43,  44. 

*  The  problem  has  been  clearly  recognized  by  Professor  C.  H.  Mcllwain,  The  Growth  of  Political 
Thought  in  the  West  (New  York,  1932),  p.  379:  "It  is  a  curious  fact  calling  for  further  investigation, 
that  in  no  surviving  contemporary  form  of  the  English  medieval  coronation  oath  is  there  to  be 
found  any  provision  touching  the  inalienability  of  regalian  rights;  and  yet  the  statements  just  cite<l, 
and  a  number  of  others,  seem  to  leave  no  doubt  that  in  the  thirteenth  and  fourteenth  centuries  at 
least,  the  English  king  at  his  coronation  did  take  some  kind  of  solemn  engagement  under  oath  not  to 
dismember  his  realm  nor  to  'blemish'  the  rights  of  his  Crown  .  .  .  ."  The  history  of  tlie  tripartite 
Anglo-Saxon  oath  has  been  efficiently  and  conveniently  summed  up  by  Schramm,  Coronation,  pp. 
179  ff. 

'  Bracton,  De  Legibus,  fol.  107,  ed.  Woodbine,  ll,  305.  For  the  recension  which  Bracton  used,  and 
for  the  slight  changes  resulting  from  the  oratio  obtiqna,  see  Richardson,  pp.  44  f.,  nos.  3-4;  also  Fritz 
Schulz,  "Bracton  on  Kingship,"  English  Historical  Review,  Lx  (1945),  137,  145  ff. 

•  Richardson,  p.  52,  has  tried  to  reconstruct  from  Gregory's  answer  to  Henry  III,  in  1283,  the  work 

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489 


must  have  sworn  at  some  time  something  about  maintaining  the  rights  of  the 
Crown  and  refraining  from  alienations.  In  other  words,  there  must  have  existed, 
in  addition  to  the  standard  tripartite  oath,  some  further  promise  or  clause  con- 
cerning non-alienation  which  curiously  did  not  go  on  record  and  of  which  we  have 
only  indirect  knowledge  through  the  papal  letters. 

This  as.sum])tion  becomes  almost  a  certainty  in  the  case  of  Edward  I.  No  addi- 
tional clau.se  appended  to  the  standard  oath  taken  by  King  Edward  has  been  re- 
corded, and  yet  the  king  himself,  only  a  few  months  after  his  coronation,  referred 
in  a  letter  to  Pope  Gregory  X  to  an  oath  sworn  at  his  coronation  by  which,  as 
Edward  asserted,  the  king  was  "astricted"  to  conserve  the  rights  of  the  Crown.' 
On  seven  other  occasions  —  the  reader  may  be  sent  back  again  to  Mr  Richard- 
son's exhaustive  study*—  King  Edward  repeated  that  assertion.  Finally,  Pope 
Clement  V  alluded  likewise  to  that  clause  of  the  coronation  oath.  We  are,  there- 
fore, compelled  to  believe  that  in  fact  both  Henry  HI  and  Edward  I  took  at  the 
time  of  their  coronations  some  additional  oath  which,  for  one  reason  or  another, 
has  escaped  codification.  When  finally  at  the  coronation  of  Edward  II  a  fourth 
clause  was  added,  it  differed  in  content  widely  from  what  his  two  predeces.sors 
must  have  sworn.' 

Nevertheless,  the  non-alienation  issue  had  not  disappeared  from  the  oath  of 
Edward  II  entirely.  Mr  Richardson,  who  has  sifted  and  inspected  the  relevant 
material  with  great  care  and  ingenuity,  has  remarked  very  correctly  that  in 
liturgical  books  not  all  that  is  said  is  always  codified  (as  occasionally,  for  example, 
the  Laudes) ;"  and  we  may  add  that  not  all  that  is  codified,  is  always  said  (as,  for 
example,  the  commemoration  of  the  emperor  in  the  Orationes  mlemncs  on  Good 
Friday)."  In  the  Liber  regalis,  a  service  book  from  the  beginning  of  Edward  II's 


of  the  royal  clerks  who,  as  he  suggests,  may  have  borrowed  from  Innocent  Ill's  bull  of  1215  (con- 
demnation of  Magna  Charta).  However,  the  papal  chancery  itself  could  independently  have  drawn 
from  the  Innocentian  bull  by  checking,  so  to  speak,  the  file  "England"  in  the  papal  archives. 

'  Parliamentary  WriU.  I,  381  f.:  "  .  .  .  et  iureiurando  in  coronacione  nostra  prestito  sumus  astricti 
qno<l  iura  regni  nostri  servabimus  illibata."  See  below,  n.  60. 

'  Richardson,  p.  49  f. 

»  For  the  oath  of  Edward  II  itself,  see  the  studies  by  Wilkinson  and  Schramm  (above,  n.  1),  but 
also  Richardson's  earlier  studie.s.  Richardson,  p.  60  ff.,  has  demonstrated  that  the  non-alienation 
promise  was  actually  embedded  in  the  first  clause  of  Edward  II's  oath,  that  is,  in  the  reference  to  the 
Laws  of  Edward  the  Confessor,  including  the  interpolation  from  the  Leges  Anglorum.  The  problem  of 
inalienability  in  the  Leges  Anglorum  will  not  be  dealt  with  here.  It  should  be  mentioned,  though,  that 
the  findings  of  Richardson,  as  put  forth  in  the  nulletin  of  the  Institute  of  Historical  Research,  xvi 
(1938).  7  and  10.  and  in  Transactions  of  the  Royal  Historical  Society,  4th  Series,  xxni  (1941),  149  f., 
defeat  the  thesis  of  Schramm,  Coronation,  p.  206.  and  in  Archivf  Urk.  Forsch.,  xv.  350.  according  to 
which  the  rex  Edwardus  of  the  oath  of  1308  supposedly  referred,  not  to  the  Confessor,  but  to  Ed- 
ward I.  See  below,  n.  64. 

'"  Richardson,  p.  46. 

"  See.  e.g..  Edmund  Bishop.  Liturgica  Historica  (Oxford.  1918),  p.  297:  "  .  .  .  the  present  Roman 
Missal,  in  which  we  may  read,  but  do  not  say.  a  commemoration  of  the  'Emperor.'  "  In  the  more 
recent  editions  of  the  Missale  Romanum  (e.g..  the  New  York  edition  of  1937).  the  commemoration  of 
the  emperor  has  dropped  out  completely.  Similar  examples  may  be  found  time  and  tune  agam. 
What  about  the  acclamation,  for  example,  to  the  nobilissima  proles  in  the  Laudes  of  Emperor  Henry 


/_/  / 


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Inalienability 


491 


reign,  which  may  have  been  used  at  the  coronation  itself,  Mr  Richardson  has  dis- 
covered an  anonymous  additional  note  saying  "that  the  king  at  his  coronation 
has  to  swear  to  maintain  undiluted  the  rights  of  his  kingdom. "'^  In  that  note, 
perhaps  a  reminder  to  the  celebrant,  the  anonymous  cleric  made  a  perfectly 
scholarly  allegation  to  the  Liber  Extra,  the  Decretals  of  Gregory  IX.  Thnt  is,  he 
quoted  in  a  juristic  manner  a  decretal  of  Pope  llonorius  III,  originally  directed 
(in  1220)  to  the  Archbishop  of  Kalocsa  in  Southern  Hungary,  in  which  the  pope 
complained  of  certain  alienations  made  by  King  Andrew  II  of  Hungary  altliough 
that  king  "in  sua  coronatione  iuraverit  iura  regni  sui  et  honorem  coronae  illibata 
servare."" 

This  decretal,  first  identified  apparently  by  Professor  Schramm,'*  has  been 
quoted  by  Mr  Richardson  according  to  Friedberg's  authoritative  edition  of  the 
Corpiis  iuris  canonici}^  Unfortunately,  the  philologically  best  edition  is  not  al- 
ways the  one  most  useful  to  the  historian.  The  Kriiger-Mommsen-Schoell  edition 
of  the  Corpus  iuris  civilis,  for  example,  is  next  to  useless  for  the  mediaeval ist,  be- 
cause it  lacks  the  index  of  initia  of  the  individual  laws  and,  in  the  edition  of  the 
Novellae,  even  that  of  the  rubrics."  The  old  sixteenth-century  editions  of  both 
Roman  and  canon  laws,  despite  their  dubious  readings,  not  only  arc  far  more  con- 
venient and  even  indispensable  for  verifying  mediaeval  allegations  but  also 
yield  materially  more  to  the  mediaevalist  than  the  modern  editions  because  — 
and  that  above  all  —  they  contain  the  otherwise  almost  inaccessible  ordinary 
glosses.i^  But,  alas,  ghssae  non  leguntur  —  and  therewith  we  historians  deprive 
ourselves  of  the  accumulated  scholarship  of  many  generations  while  endeavoring 
at  the  same  time  individually  to  reassemble  materials  which  schools  of  glossators 
have  collected  already  700  years  ago.  Had  Mr  Richardson  checked,  not  indeed 
the  best  edition,  but  one  of  the  old  glossed  editions  of  the  Gregorian  Decretals, 
the  present  paper  would  have  been  superfluous,  because  the  gloss  would  have 
sent  him  in  the  same  direction  as  it  sent  me,  when,  in  the  course  of  a  little  investi- 
gation on  the  notion  of  "Crown"  in  canon  law,  I  naturally  chanced  upon  the  de- 
cretal of  Honorius  III.  He  would  have  found  most  or  all  of  the  allegations  which 
are  used  in  the  following  pages  and,  as  I  believe,  clarify  that  fourth  or  additional 


II,  whose  saintliness  was  founded  also  in  his  Joseph-like  marriage  and  who  certainly  had  no  proUt 
worth  the  acclamation?  See  my  Laudes  regiae  (Berkeley  and  Los  Angeles,  1946),  p.  99,  n.  119. 

"^  Richardson,  in  Bull,  of  the  Inst,  of  Hist.  Res.,  xvi,  11. 

"  The  allegation  Extra  de  vireitirando,  inteUe<-to,  etc.,  refers  to  Liher  Extra,  title  De  wreiurando. 
chapter  Iniellecto,  that  i.s,  to  c.  33  X,  2,  24. 

"  See  Schramm,  in  Arch.f  Urk.  Forsch.,  xvi  (1939),  284.  Wilkinson,  in  Speculum,  xix,  450,  n.  1, 
apparently  overlooked  Schramm's  remark,  because  he  has  thoroughly  misunderstood  the  canonistic 
reference. 

"  Richardson,  p.  48,  n.  26,  quoting  E.  Friedberg,  Corpus  iuris  canonicl  (Leipzig,  1881),  ii,  373. 
'« See  Hermann  Kantorowicz,  "Die  Allegationen  im  spSteren  Mittelalter."  Arch.  f.  Urk.  Forsch., 
xin  (1935),  15-29,  esp.  25  f. 

"  Throughout  I  am  quoting  canon  law  according  to  a  glossed  standard  edition  in  three  volumes 
(Turm,  1588),  and  Roman  law  according  to  a  glossed  standard  edition  in  five  volumes  (Venice, 
1584),  without  reference  to  volume  or  page. 


clause  of  the  coronation  oath  of  Henry  III,  sworn  to  apparently  also  by  Ed- 
ward I  and  perhaps  even  by  Edward  II. 

♦     ♦     * 

It  has  been  observed  recently  by  Profes.sor  Marcel  David  that  after  the  age  of 
the  church  reform  in  the  eleventh  century  the  old  professiofidei  made  by  a  bishop 
at  his  consecration  changed  into  a  iuramentum  fidelitatis,  and  that  this  change 
affected,  in  the  course  of  the  twelfth  century,  also  the  secular  sphere  when  the 
king's  coronation  promissio  was  gradually  transformed  into  a  coronation  iura- 
mentum.^^  This  change  was  paralleled  by  the  development  of  the  episcopal  oath 
itself  and  of  its  wording.  Under  the  influence  of  feudal  law,  which  began  to  spread 
in  the  States  of  the  Church  during  the  eleventh  century,"  as  well  as  more  gen- 
erally under  the  impact  of  the  imperializing  tendencies  which  transformed  the 
Church  administration  into  a  centralized  papal  monarchy,'"  the  ancient  oath  of 
office  taken  by  bishops  and  prescribed  by  the  Liber  diurnus  was  replaced  by  a 
new  form.2'  Whereas  the  ancient  formularies  of  the  Liber  diurnus  demanded  from 
the  bishop  a.ssurances  mainly  in  matters  of  faith  and  of  devotion  to  the  papal 
head  of  the  Church,  the  new  oath  was  rather  a  politico-administrative  oath  of 
office  and  fealty  in  which  the  word  "faith"  no  longer  had  a  place. =" 

The  oldest  form  of  the  new  oath  goes  back,  so  far  as  we  know,  to  1073.  It  is 
the  oath  which  Archbishop  Wibert  of  Ravenna,  at  his  ordination,  swore  to  Pope 
Alexander  II;  for,  the  three  North  Italian  metropolitans   (Ravenna,  Milan, 

'«  Marcel  David,  "Le  serment  du  sacre  du  IX"  au  XV«  si6cle,"  Revue  du  Moyen  Age  Latin,  vi  (1950), 
esp.  168  ff.  (published  also  .separately,  Strasbourg,  1951);  see  also  the  review  by  Schramm,  in  Zeil- 
schrift  der  Satrigny-Siiftung  fur  Rechtsgeschichte,  germ.  .\bt.  lxix  (1952),  542-547. 

"  Karl  Jordan,  "Das  Eindringen  des  Lehenswesens  in  das  Rechtsleben  der  rBmischen  Kurie," 
Arch.f.  Urk.  Forsch.,  xii  (1931),  13-110,  esp.  44  ff. 

"  See,  for  the  imperialization  of  the  papacy,  Schramm,  "Sacerdotium  und  Regnum  im  Austausch 
ihrer  Vorrechte,"  Studi  Gregoriani.  u  (1947),  403-457.  esp.  436  ff.;  also  my  Laudes  regiae,  p.  135  B., 
and  the  article  "Dante's  Two  Suns,"  Semitic  and  Oriental  Studies  Presented  to  William  Popper  (Berke- 
ley and  Los  Angeles,  1951),  p.  229,  for  the  "Sun-Papacy";  and,  for  some  additional  features  (the  papal 
"omni-insular  theory"),  Luis  Weckmann,  Las  Bulas  Alejandrinas  de  li93  y  la  Teorla  Poliiica  del 
Papado  Medieval  (Mexico,  1949),  esp.  pp.  37  flf. 

"'  For  the  history  of  the  episcopal  oath,  see  the  very  thorough  study  of  Th.  Gottlob,  Der  kirchliche 
Amtseid  der  Bischofe  (Kanonistische  Studien  und  Texte,  ix  [Bonn,  1936)).  a  book  which  should  be 
consulted  throughout  even  when  not  mentioned  in  the  footnotes.  For  the  early  oaths,  see  Liher 
diurnus,  Nos.  73  {^Promissio  fidei  episcopi),  74  {Cautio  episcopi),  75  {Indiculum.  episcopi),  and  76 
{Indiculum  episcopi  de  Langobardia),  ed.  Th.  von  Sickel  (Vienna,  1889),  pp.  69  ff.,  74  ff.,  79  f.,  80  f.; 
the  edition  in  Migne,  PL,  cv,  67  ff.,  is  confusing.  The  forms  have  been  reprinted  by  Gottlob,  pp.  170 
a.,  and  analyzed,  pp.  11  ff. 

"  This  item,  of  course,  has  been  noticed  by  Gottlob,  p.  45,  who  indicates  (p.  122)  that  the  essence 
of  the  ancient  Promissio  Jidei  is  contained  in  the  first  clause  of  the  new  oath:  "Ego  .  .  .  ab  hac  hora 
in  antea  fidelis  ero  Sancto  Petro  etc."  This,  in  fact,  is  the  opinion  of  Innocent  IV,  quoted  by  Johannes 
Andreae,  Novella  in  Decretales  (Venice,  1612),  fol.  184,  on  c.  4  X,  2,  24  (Ego.  N.).  gl.  Sancto  Petro: 
"id  est  fidem  quara  beatus  Petrus  servavit  et  docuit,  fideliter  observabo."  However,  fidelis  ero  refers 
to  fealty  rather  than  to  faith;  accordingly  Johannes  Andreae  {loc.  cit.),  when  glossing  on  fidelis, 
sends  the  reader  to  Hostiensis  who  glossed  on  that  word  under  the  title  De  feudis  of  the  DecreUls; 
see  his  Summa  aurea  (Venice,  1586).  col.  972,  on  X,  3,  20,  n.  10.  See,  for  the  controversy,  below,  n.  29. 


/    U     J 
U       I       I     L 


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493 


Aquileia)  were  consecrated  by  the  pope  himself.*'  The  oath  contained  seven 
clauses,''^  of  which  the  last  three  referred  exclusively  to  certain  episcopal  duties: 
(V)  to  the  reception  of  papal  legates,  (VI)  to  the  appearance  at  synods  when  sum- 
moned by  the  pope,  and  (VII)  to  the  annual  visits  ad  Umina  Aposlolorum.^  The 
first  four  clauses,  however,  were  of  a  different  nature.  The  bishop  (I)  swore  fealty 
and  obedience  to  St  Peter,  the  Church,  and  the  pope,  including  the  pope's  legiti- 
mate successors;  (II)  forswore  acts  of  treason  in  counsel  and  action;  (III)  prom- 
ised secrecy  with  regard  to  everything  the  pope  might  intimate  to  the  bishop 
either  directly  or  through  envoys  or  in  writing;  and  (IV)  swore  to  defend  the 
papatus  Romanus  and  the  regalia  sandi  Petri.^ 

Clauses  I-IV  agree,  minor  changes  not  withstanding,  with  the  first  four  clauses 

"  See  Gottlob,  pp.  20  ff.,  44  f.  The  claims  of  the  papacy  to  the  two  formerly  Lombard  ecclesiastical 
provinces  and  to  that  of  the  Exarchate  of  Ravenna,  of  course,  are  very  old. 

'<  For  the  form  of  Wibert's  oath,  see  Deusdedit,  Collectio  canonum,  v,  c.  423,  ed.  Wolf  von  Glan- 
vell  (Paderborn,  1905),  i,  599;  Liber  censuum.  No.  148,  ed.  Fabre  und  Duchesne  (Paris,  1910),  i,  417; 
Gottlob,  pp.  176  f.;  also  Gregory  VII,  Registnm,  i,  3,  ed.  Caspar  (Berlin,  1920),  p.  6,  n.  3. 

^  Those  clauses  agree  with  the  standard  oath  (below,  n.  35),  which  Johannes  Andreae,  loc.  cit., 
calls  the  F(rrma  iuramenti  septem  capitula  continens.  For  the  bishops'  annual  visits  to  Rome,  see 
Jaiiuarius  Pater,  Die  bischiijliche  tisitatio  liminum.  as.  AposUilorum  (Veroffentlichungen  der  Gcirres- 
gesellschaft:  Seklion  fUr  Rechts-  und  Sozialwissenschaft,  xix  [Paderborn,  1914)).  That  limina  Apos- 
toloritm  finally  came  to  mean  not  Rome,  but  the  pope,  has  been  clearly  expressed  by  Johannes  An- 
dreae, who  renders  only  the  common  opinion  when  he  glosses  Limina:  "limina  enim  apostolorum  esse 
intelliguntur,  ubi  est  papa  ...  qui  liminibus  illis  praeest  et  qui  fungitur  vice  et  auctoritate  eorum 
(sc.  apostolorum)." 

''  "Papatum  Romanum  et  regalia  sancti  Petri  adiutor  ero  ad  retinendum  et  defendendum,  salvo 
meo  ordine,  contra  omnes  homines."  The  notion  of  regalia  sancti  Petri,  abundantly  used  or  perhaps 
even  introduced  by  the  Reform  Papacy,  indicates  yet  another  feature  of  the  "iniperialization"  of 
the  papal  Church  (above,  n.  20).  The  term  appears  not  only  in  the  oaths  of  the  Norman  princes  and 
in  the  oaths  and  promissiones  of  many  German  kings  and  emperors  — see,  e.g.,  Mon.  Germ.  Hist., 
Const.,  I,  564,  14,  No.  394  (oath  of  Conrad,  son  of  Henry  IV,  to  Urban  II,  in  1095),  or  op.cit.,  168, 
17,  No.  115  (Promissio  of  Lothar,  in  1133),  or  201,  26.  No.  144;  also  353,  29,  No.  250  (Barbarossa)] 
and,  in  a  slightly  different  form  (negotiations  with  Henry  V),  159, 31,  No.  107,  also  163,  29,  No.  1 10  — 
but  also  in  the  writings  of  the  political  pamphleteers  of  that  period.  See,  e.g.,  the  Dialogus  de  Pon- 
tificatu,  in  Mon.  Germ.  Hist.,  LibeUi  de  Lite,  in,  538,  30;  also  Gerhoh,  De  investigations  Antichristi, 
I,  c.  69,  op.  cit.,  389,  10,  who  claims  that  it  was  the  duty  to  defend  et  regalia  atque  pmUificalia  beati 
Petri.  The  antithesis  of  regalia  and  pontificalia  reflects  the  rex  et  sacerdos  idea  which  dominates  the 
Reform  Papacy  and  which  Gerhoh  (388,  45)  expresses  quite  bluntly  when  he  says  that  the  bishops, 
since  they  possess  not  only  the  sacerdotalia  of  tithes  and  oblations  but  also  the  regalia  on  the  part  of 
their  king,  may  claim  to  be  quodammodo  et  reges  et  sacerdotes  domini;  they  are  therefore  entitled  to 
demand  obedience  on  the  part  of  the  people  and  even  an  oath  of  fealty  ad  dejensionem  videlicet  re- 
galium  simul  et  poniificalivm  beati  Petri.  See,  in  that  connection,  also  Descriptio  Laleranensis  Ec- 
clesiae,  c.  9,  ed.  R.  Valentini  and  G.  Zucchetti,  Codice  topografico  della  Cittd.  di  Roma  (Fonti  per  la 
Storia  d'ltalia,  xc  [Rome,  1946]),  iii.  345,  5  (including  the  variant  reading  in  the  footnote),  where  the 
pope  is  styled  sacerdos  regalis  et  imperialis  episcopus.  Those  concepts  were  supported  by  Justinian's 
Novella  IX  in  its  mediaeval  interpretation  (Rome  as  patria  legum,fons  sacerdotii).  —  Also  the  notion 
■papatus  (absent  from  the  ifftcr  diurnus)  became  current  at  the  same  time;  for  whereas  the  consider- 
ably older  notions  of  pontificatus  and  patriarchatus  designated  umambifruously  the  spiritual  aspects 
of  the  office,  papatus  could  be  easily  adjusted  to  encompassing  also  the  temporal  sphere  and  thus  to 
fall  in  with  the  rex  et  sacerdos  theories.  Hence,  Innocent  IV  interpreted  the  word  papatus  of  the  oath 
as  meaning  principatus  tarn  in  spiritualibus  quam  in  iemporalibus;  see  Johannes  Andreae,  loc.  cit. 
(above,  n.  22).  All  those  terms  are  very  much  in  need  of  being  carefully  investigated.  It  is  noteworthy 
that  both  the  word  fidelis  (clause  I)  and  the  words  regalia  sancti  Petri  (clause  IV)  have  been  elim- 


of  the  oath  of  fealty  taken  by  Robert  Guiscard  in  1059.''^  It  is  not  impossible  that, 
a  few  months  earlier  than  the  Norman  prince,  Archbishop  Wido  of  Milan  de- 
livered a  similar  oath;"*  but  the  form  of  Wido's  oath  is  not  preserved,  and  there- 
fore Gui.scard's  oath  of  1059  represents  to  us  the  earliest  pattern  of  the  first  four 
clauses  which  were  to  be  included  into  the  new  episcopal  oath.  Although  that  new 
episcopal  oath  implied  neither  vassalage  nor  feudal  tenure  in  the  proper  sense  of 
those  words — with  regard  to  the  spiritualia  this  actually  would  have  been  simony'' 
—  the  general  influence  of  feudal  thought  is  nevertheless  evident.  This  influence 
can  be  traced  back  to  Fulbert  of  Chartres  (975-1029?).  Fulbert,  when  asked  what 
an  oath  of  fealty  should  contain,  gave  his  expert  opinion  in  a  letter  (1020  A.D.) 
addres.sed  to  Duke  William  of  Aquitaine,  and  the  points  enumerated  by  Fulbert 
match,  by  and  large,  clauses  I-IV  of  both  the  Guiscard  oath  and  the  new  episco- 
pal oath.'"  The  authority  of  Fulbert's  letter  in  later  times  is  easily  explained,  for 
in  the  cour.se  of  the  twelfth  century  it  was  included  by  Gratian  in  his  Decretum,^^ 
and  it  was  included  in  the  Libri  feudorum  as  well.'"  Hence,  through  Fulbert's  letter 
the  feudal  background  of  the  new  episcopal  oath  finds  a  plausible  ex-planation. 
Only  in  one  respect  did  the  oaths  imposed  by  the  Holy  See  show  a  remarkable 
deviation  from  feudal  norms:  the  defense  of  the  personal  lord,  the  pope,  has  been 
supplemented  by  a  defen.se  of  the  impersonal  papatus  Romanus  and  the  likewi.se 
impersonal  regalia  sancti  Petri,  two  notions  which  hardly  antedate  the  eleventh 
century  and  which  are  probably  coinages  of  the  Reform  Papacy." 


inated  from  the  episcopal  oath  as  prescribed  for  the  bishops  of  the  United  States  of  America;  see 
Gottlob,  p.  99,  n.  103. 

*'  For  Guiscard's  oath,  see  Deusdedit,  Cdl.  canonum,  iii,  o.  285,  ed.  Glanvell,  393  f.;  Liber  censuum. 
No.  163,  ed.  Fabre  and  Duchesne,  i,  422;  and,  for  the  repetition  of  the  oath  in  1080,  Gregory  VII, 
Registrvm,  \m,  la,  ed.  Caspar,  p.  514. 

"  Gottlob,  p.  43. 

-'  See  c.  11  X,  5,  41,  a  decretal  of  Lucius  III:  "Indignum  est  et  a  Romanae  ecclesiae  consuetudine 
alienum,  ut  pro  spiritualibus  facere  quis  homagium  compellatur."  See  also  gl.  humagium  on  that 
decretal:  "id  est  .sacramentum  fidelitatis,  qviod  pro  aliquo  spirituali  facere  quis  non  debet,  cum  sit 
illud  simoniacum  .  .  .  ."  Since,  however,  all  the  decisive  words  —  such  aafidelitas,  beneficium,  etc.  — 
were  ambiguous  (see  above,  n.  22),  they  were  open  to  feudal  interpretation  as  well.  See,  for  the  con- 
troversy on  that  point,  Gottlob,  pp.  115  ff.,  who  (esp.  pp.  120,  125)  proves  convincingly  that  the 
episcopal  oath  was  not  really  a  feudal  oath.  However,  Pope  Innocent  II,  at  the  Lateran  Council  of 
1139,  himself  remarked  that  "Romani  pontificis  licentia  ecclesiastici  honoris  celsitudo  quasi  foeudalis 
iuris  consuetudine  suscipitur  et  sine  eius  permissione  legaliter  non  tenetur."  Mansi,  Concilia,  xxi 
534,  quoted  by  E.  Eichmann,  Dit  Kaiserkrunung  im  Abendland  (WUrzburg,  1942),  ii,  172;  see  also 
p.  178,  for  the  parallelism  of  episcopal  and  feudal  oaths,  and,  for  a  very  striking  later  example, 
F.  Bacthgen,  "Die  Promissio  .\lbrechts  I.  fUr  Bonifaz  VIII.,"  Aus  Politilc  und  Geschichte:  Geddchl- 
nisschrift  fiir  Georg  von  Below  (Berlin,  1928),  pp.  75-90. 

"  Fulbert  of  Chartres,  Epistolae,  58;  Migne,  PL.,  clxi,  229  CD. 

"  Decretum,  c.  18,  C.  22.  q.  5,  ed.  Friedberg,  i,  887.  with  n.  157. 

^  Libri  feudorum,  n,  6  (in  Vol.  iv  of  the  Corpus  iuris  civilis;  above,  n.  17).  Karl  Lehmann,  Die 
Entstehung  der  Libri  feudorum  (Rostock.  1891;  also  in  Festschrift  der  Rostorker  Juristenfakultdt  zum 
60  jiihrigen  Doktirrjubilaum  Sr.  Excellem  des  Staatsrathes  Dr.  von  Buchka),  pp.  34  f.,  claims  that  the 
epistola  Philiberti  (i.e..  Fulberti)  came  very  early  into  the  collection  of  the  Libri  feudorum  and  is  found 
already  in  the  twelfth-century  Cod.  Par.  4615  (see  p.  17). 

^  This  has  been  noticed  also  by  Eichmann,  "Die  rOmischen  Eide  der  deutschen  KOnige,"  Savigny 
Zs.f.  Rechtsgeschichte,  kan.  Abt.  vi  (1916),  172.  See  also  above,  n.  26. 


U     J 

I    J 


494 


Inalienability 


The  oath  which  Wibert  of  Ravenna  took  in  1073  became,  with  minor  changes," 
the  "standard  form"  which,  appropriately  modified,  was  to  serve  many  other  pur- 
poses as  well.**  It  was  included  in  the  Liber  Extra  of  Pope  Gregory  IX,  in  1234, 
and  therewith  became  the  oflScial  norm  within  the  Roman  Church. **  It  still  con- 
tained no  more  than  the  seven  clauses  followed  by  the  customary  corroboration: 
Sk  me  Deus  adiuvet  et  liaec  smieti  Dei  evangelia.  What  a  surprise,  then,  to  find 
around  1200  A.D.  scattered  references  to  some  additional  oath!  In  a  decretal  of 
Pope  Celestine  III  (1191-98),  originally  a  letter  addressed  to  Archbishop  William 
of  Ravenna,  the  metropolitan  was  reminded  of  his  "oath  of  fealty"  by  which 
"he  was  held  to  alienate  nothing  from  the  Holy  See."'"  Similarly,  Pope  Innocent 
III,  Celestine 's  successor,  reminded  the  archbishop  of  Milan  in  a  letter,  which 
likewise  became  a  decretal,  that  the  archbishop  was  "held  astricted  by  his  oath 
not  to  reinfeudate  anew  without  previous  consultation  with  the  pope."" 

The  parallel  of  canon  law  evidence  with  available  evidence  concerning  England 
is  striking:  in  England,  an  official  oath  of  only  three  clauses,  and  yet  a  frequently 
mentioned  non-alienation  clause;  in  Rome,  an  official  oath  of  seven  clauses,  and 
yet  repeated  allusions  to  some  additional  non-alienation  clause.  With  regard  to 
Rome,  however,  we  are  more  fortunate  than  with  regard  to  England,  because 
forms  containing  the  "eighth  clause"  of  the  episcopal  oath  are  indeed  known. 

Forms  containing  clause  VIII  begin  to  make  their  appearance  by  the  time  of 
Pope  Gregorj-  IX.  The  earliest  one  so  far  known  refers  by  chance  to  Archbishop 
Edmund  Abingdon  of  Canterbury,  consecrated  in  1234.  It  has  been  transmitted 
in  the  Liber  eensuum  with  the  forms  of  Archbishops  Marianus  of  Tuam  (1235), 
Jarlerius  of  Upsala  (1236),  Peter  of  Rouen  (1237),  and  Martin  of  Leon  (probably 
Martin  Arias:  1239)."  We  know,  however,  also  the  forms  of  Raoul  of  Lyon 
(1234)"  and  of  Ra\-mond  of  Peiiafort,  who  became  archbishop  of  Tarragon  after 
1234.^'  That  is  to  say,  forms  containing  that  "eighth  clause"  make  their  appear- 
ance suddenly  and  simultaneously  in  the  thirties  of  the  thirteenth  century.  In  that 

"  One  of  the  changes  refers  to  the  phrase  "pape  .  .  .  suisque  successoribus,  qui  per  mehuref  car- 
dirudes  intraveriBt."  The  sUndard  oath  has  replaced  the  iUlicized  words  by  canonke  (catholice,  in 
the  oath  of  King  John  [see  below,  n.  35],  is  an  error  and  must  \>e  corrected),  because  in  the  meantime 
the  papal  decree  of  election  of  .\lexander  III  (c.  6,  X,  1,  6;  Friedberg,  ii,  51)  had  established  the 
principle  of  the  two-thirds  majority;  cf.  Gottlob,  58,  n.  81. 

»  The  standard  form  agreed  basically  with  the  oath  taken  by  all  sorts  of  papal  dependents:  by 
the  papal  vice-chancellor  and  tlie  papal  noUries  (M.  Tangl,  Die  papstiichen  Kandeiordnungen  ron 
lWO-1500  [Innsbruck,  1894],  pp.  33  ff.,  Nos.  1  and  3),  by  the  Roman  Senator,  the  community  of 
Tibur,  and  by  the  papal  feudatories  {Liber  centum,  Xos.  59,  Hi,  67,  edd.  Fabre  and  Duchesne," pp. 
313,  415,  341);  cf.  Baethgen,  "Promissio,"  pp.  81  ff.  (above,  n.  29).  The  form  was  used  also  for  the 
feudal  oath  of  King  John;  see  Stubbs,  Select  Charter*,  pp.  280  f.,  and  below,  nos.  50,  51. 

»  See  c.  4  X,  2,  24,  ed.  Friedberg,  n,  360. 

*"■  See  c.  8  X,  3,  13,  ed.  Friedberg,  ii,  514  (Jaflfe-Loewenfeld,  17049):  "cum  ex  lacramenlo  fideliUtij 
tenearis  .\postolicae  Sedi  nihil  alienare." 

"  See  c.  2  X.  3.  20,  ed.  FriedWg,  ii,  525  (Potthast,  3525):  "iuramento  tenearis  astrictua  non 
infeudare  de  novo,  Romano  pontifice  inconsulto." 

"  Liber  cermjum.  Nog.  198-198d,  edd.  Fabre  and  Duchesne,  pp.  449  f.;  cf.  No.  147,  p.  416. 

"  Lib.  ceru.,  So.  54b,  p.  287. 

♦'  Tangl,  KantUiordnungen,  p.  50,  No.  XMII;  cf.  Gottlob,  p.  56  f. 


i 


Inalienability 


495 


clause  VIII,  which  was  simply  tacked  on  to  clause  W\  (annual  visits  ad  limina 
Apostolorum),  the  archbishop  swore  that  he  would  not  sell,  give  away,  pawn,  rein- 
feudate, or  otherwise  alienate,  inconsulto  Romano  pontifice,  the  property  pertain- 
ing ad  mrnsam  archiepiscopalem,  that  is,  pertaining  to  the  "table  possessions"  of 
the  archbishopric,  which  served  for  the  support  of  the  archbishop  and  a  few  other 
purposes.** 

To  what  extent  the  non-alienation  clause  was  felt  to  be  something  additional 
becomes  strikingly  clear  when  we  turn  to  another  thirteenth-century  formulary, 
referring  to  Amanicu  II  of  Armagnac,  archbishop  of  Auch,  who  was  consecrated  in 
Rome  in  1263.  This  is,  seemingly,  a  rather  late  date.  In  fact,  however,  the  fornm- 
lary  is  archaic  —  as  archaic  as  the  manu.script  itself  in  which  it  has  been  trans- 
mitted and  which  served  Professor  ]\I.  Andrieu  for  the  reconstruction  of  the 
Roman  pontifical  of  the  twelfth  century.*'  In  the  formulary  of  Auch  we  find  the 
customary  seven  clauses  of  the  standard  oath  as  prescribed  by  canon  law  in  the 
Liber  Extra;  there  follows  the  corroboration,  and  thereafter,  in  no  organic  con- 
nection whatsoever  with  the  oath  proper,  comes  the  non-alienation  clause.  It  will 
simplify  the  matter  if  the  oath,  beginning  with  the  seventh  clause,  be  quoted  here 
in  full." 

(VII)  Apostolorum  limina  singulis  anni.s  aut  per  me  aut  per  meum  nuntium  visitabo,  nisi 
eorum  absolvar  licentia. 

Sic  me  Deus  adiuvet  et  hec  sancta  Dei  evangelia. 

"  "Possessiones  vero  ad  mensam  mei  archiepiscopatus  pertinentes  non  vendam  neque  donabo 
Deque  inpingnorabo  neque  de  novo  infeudabo  vel  aliquo  modo  alicnabo  inconsulto  Romano  pontifice. 
Sic  me  Deus  adiuvet  et  hec  sancta  evangelia."  The  phrase  inconsulto  Romano  pontifice  was  u.sed,  in 
that  connection,  already  by  Innocent  III  (above,  n.  38).  The  English  writ  Denon  procedendo  rege  in- 
eontuUo,  famous  through  Sir  Francis  Bacon  {Works,  ed.  James  Spedding  [London,  1870],  \ii,  687  ff.), 
has  nothing  to  do  with  the  canonistic  formulae.  For  the  mensa  episcopalis,  see  .\.  Poschl,  Bischnfsgut 
und  merua  episcopalis  (Bonn,  1908-1911);  also  his  "Bischofliche  TafelgUter  oder  Urbare,"  ZeiUchri/t 
del  hifiorischen  Vereint  fiir  Striermurlc,  xx\T  (1931),  141-153. 

"  The  form,  as  yet  unknown  to  Gottlob,  was  published  by  Michel  Andrieu,  Le  Pontifi/^(d  romain 
au  moyen-&ge  (Studi  e  Testi,  86  [Vatican  City,  1940]),  i,  290  f.;  cf.  p.  51,  for  the  manuscript,  date, 
and  other  details.  The  manuscript  Vat.  lat.  7114  is  late  thirteenth  century,  but  reflects  condi- 
tions of  the  preceding  century.  For  example,  the  form  of  laudei,  in  the  Coronation  Order  Ad  ordi- 
nandum  imperaiorem  secundum  OccidentaUs,  is  out  of  date  and  belongs  to  the  twelfth  century  and  to 
the  era  of  Benedict  of  St  Peter,  though  in  one  respect  an  effort  has  been  made  to  modernize  them  (cf. 
my  Laudes  regiae,  pp.  237  f.).  Moreover,  the  Coronation  Order  secundum  Occidentales  which,  such  as  it 
stands,  has  never  been  used,  belongs  to  a  much  earlier  period  and  to  an  ideologj-  different  from  the  late 
thirteenth  century;  see  C.  Erdmann,  Forschungen  zur  poiitischen  Ideenwelt  det  Friihmittelalters  (Ber- 
Im,  1951),  pp.  72  ff.  That  two  manuscripts  of  this  Coronation  Order  originated  in  the  diocese  of 
Auch  —that  is.  Vat.  lat.  7114,  and  the  so-called  Codex  Gemundensii  (from  the  Cistercian  monastery 
of  Gimont,  diocese  of  Auch;  see  Erdmann,  p.  76,  n.  1,  an  addition  by  Dr  R.  Elze)  —  is  most  remark- 
able. It  will  not  be  hazardous  to  conclude  that  also  clause  VIII  of  the  episcopal  oath  reflects  an  earlier 
•tage;  it  certainly  gives  the  impression  of  being  older  than  the  standardized  clause  VIII  as  quoted 
above  (n.  42),  and  like  the  Laudes  and  the  Coronation  Order  it  was  superannuated  by  the  time  the 
manuscript  wm  written.  Therefore,  also,  it  was  not  the  superannuated  .\uch  form  of  the  episcopal 
oath,  but  the  one  referred  to  above  (nos.  39-42),  which  finally  was  taken  over  by  the  Pontifical  of 
Durandus  and  therewith  became  the  common  usage  of  the  Roman  Church.  See,  for  the  Durandus 
form,  Andrieu,  op.  cit.,  in,  392,  including  footnote  33,  which  refers  to  bishops  consecrated  in  Rome. 


U       I 


u   u 


496 


Inalic7i.ahil.ity 


CVTH)  Predia,  iKisseasioues.  oruameuta  et^dcsiastica.  que  iuris  sunt  N.  ecclesie,  nunquam 
uhenaho.  ner  vcndam,  iiec  in  pipiora  ponam,  nequr  alicui  sine  eommuni  consensu 
capituli  vel  potions  parths  el  sanioris  consilii  in  hencficio  vel  feudo  dah<..  Qik  dis- 
tracta  sunt,  vel  in  pipnor.-  posita,  ut  ad  ius  et  proprietatem  eiusdem  N.  revocentur 
eeelesie,  fideliter  lahoraho. 

The  non-ulienation  promise,  which  in  this  case  referred  no!  only  1o  the  mensal 
property  of  the  see,  but  to  aU  properties,  possessions,  and  church  valuables  que 
vuri.s  /ninl  N.  ecdc^ie,  is  clearly  an  ad  hoc  addition  quite  loosely  connected  with  the 
standard  oath  of  the  Decretals. 

What  are  the  imj.lications  of  this  practice?  It  appears  that  canon  law  jirovided 
for  a  standard  ei)is(;opal  oath  of  seven  clauses,  but  that  in  some  instances  an 
eiphth  clause  was  aj>pended  forswearing  alienation  and  i.romising  revocation  of 
properties  belonging  either  to  tlie  nuni.m  rpLHcopalu  or  to  the  church  as  such:  that 
IS  to  say,  of  possessions  allowing  the  bishoj.  i)ersonallv  "to  live  on  his  own"  or  of 
I.ossessions  ser^-ing  the  general  and  public  utility  of  the  see.  But  on  what  occa- 
sions was  thai  j)romise  added?  At  tlial  j>oint  the  glosses  shed  some  light  on  the 
procedure.  Bernard  of  Tarma,  who  comi)osed  the  Glo-ina  ordinaria  on  the  De- 
cretals of  Gregorv'  IX  around  1245,  remarked  on  the  decretal  of  Celestine  III: 
"Every  bi.sho})  who  is  immediately  under  the  pope,  swears  to  him  that  he  will  not 
alienate  j)ro}>erty  of  the  Church,  nor  give  it  away  in  tenure."-"  A  centurA-  later, 
Baldus  glossed  the  standard  oath  of  seven  clauses  of  the  Liher  Extra.  At  the  veri' 
end  of  his  interpretation  he  alleged  the  decretal  of  Innocent  III  and  added  the 
brief  remark:  "The  Liher  Extra  notes  thai  the  exnn.pti  have  to  swear  also  {et.iam) 
that  they  will  not  alienate  Church  property  without  having  consulted  the  poj.e  "« 
Other  glosses,  not  readily  accessible  to  me,«  would  i)robably  make  similar  state- 
ments; but  the  two  glosses  adduced  here  are  sufficient  to  clarify  the  matter  The 
glossators  mdicate  thai  certam  bishoj.s  were  obliged  to  take  an  additional  oath 
concernmg  non-alienation,  although  such  an  oath  was  neither  ])rescribed  bv  the 
standard  oath  nor  on  record  in  the  body  of  canon  law.  The  group  of  bishops  bound 

.  *"  ^5]  '°^'"'"^'^'  ""  <=•  8  X.  8.  18:  "Nan,  quUibel  e„i.copu.s  qui  immediate  d,mun„  papr  .mheH 
mral  e.  fidelitaten,  qimtl  noi,  ulieiml.it  bona  ecclesie.  nee  in  feudum  dabit  de  nov„,  el  idem  iurame.,- 
tuffi  prestent  ah,  epi.s,-opi  .,uls  metropolitanLs."  Gottlnb.  p.  BS,  n.  ]()H,  l.olds  that  tl.e  pl,.asut„r  was 
inaccurate  whei,  talk.up  about  h,nw  eccUnar  „,  general,  and  n.,t  specifi.-alh  about  the  p.,.,.,e.,„onc.  ad 
mm»am  ,H^a,ente.s  Tl.e  ob.servatio,,  of  Gottlob  is  of  peculiar  interest:  apparent),  Bernard  of 
Ptema,  the  .M^mposer  of  the  G/,«,,a  ardinana,  still  referred  to  the  older  form  a.  transmitted  hv  the 
pontd.cal  of  Auch  ("possessiones  ...  que  iuri.  sunt  N.  ecclesie;"  .ee  above,  n,  48).  a  fom,  necessarily 
unkiiown  to  Gottlob.  For  the  oath,  of  the  suffragan.  t„  their  metropolitans,  winch  mav  be  disr^ 
garded  here,  see  Gottlob,  pp.  13R-16P;  ah,,,  p.  ]H8,  for  tl.<  lute  form.s  of  that  oath. 

^  Baldus,  in  Decretalium  volumtn,  cimimmtaria  (Venice  edition  of  1.5H0.  fol.  8411'),  on  c  4  X  2  24 
n.  14 :  "Ext™  no.  quod  excmpii  delnml  etiam  lurarc  quod  noi,  alienabunt  proprietates  ecclesiae  Romano 
i-ontihce  mconsulto,  de  feu.  c.  2.  de  reb.  ecc.  non  ali.  (-c.  2  X,  8,  20)." 

«^  .lohnnnes  Andreae,  loc.  cit.  (above,  n.  22).  introduces  the  oath  form  as  pertinent  t.  the  r7„,.op,- 
?«>  sunt^empU,  and  adds  in  gl.  mdlr  medur.  "idem  servatur  in  aliis,  si  confirmationem,  consecrati- 
onem  vel  palhun,  a  papa  recip.unl  "  But  he  is  silent,  just  as  ..  Host.ens«,  about  the  non-alienation 
Clause.  The  earlv  glossators,  including  those  of  tl.e  CmipOaiw  prima  which  contained  alread,  the 
rtandard  oath,  might  have  been  of  great  interest  to  this  study,  but  unfortunately  thev  wen  "inac- 
cessiwe  to  me.  ' 


I  nali.en  ability 


497 


to  add  that  eighth  clause  to  their  oaths,  were  designatf-d  a.s  exempti  or  imm.cdi<iie 
sub  papa.  Now,  those  who  were  md}.o  medio  directly  under  the  pojie  were,  in  the 
first  place,  the  papal  suffragans  of  the  pope's  owti  ecclesiastical  province  and 
jurisdiction  —  by  and  large,  the  bishops  within  the  States  of  the  Church;  second, 
the  archbishops  of  Ravenna,  Milan,  and  Aquileia,  heading  the  three  North 
Italian  ecclesiastical  pro\-inces  within,  as  it  were,  the  pomerium  of  the  papal 
power  or  under  the  pope  as  the  "Primate  of  Italy"  (although  this  title  —  but  not 
the  claim  —  was  of  a  later  date) ;  third,  certain  exempt  bishoprics  such  as  Bam- 
berg, Puy,  the  Corsican  sees,  and  indeed  verj-  many  others  as  well,  which,  for  one 
reason  or  the  other,  depended  nulh  me.dio  on  the  Holy  See.  To  these  there  were 
added,  at  the  latest  during  the  thirteenth  century,  most  of  the  metroix)litans  and 
other  recipients  of  the  pallium  who  were  likewise  nullo  medio  under  the  p>ope, 
although  not  all  of  them  had  to  swear  to  the  eighth  clause." 

At  what  time  exaclly  the  additional  oath  was  introduced  it  would  be  difficult 
to  tell.  At  the  Roman  synod  of  1078,  Tojte  Oregon,-  MI  decreed  that  no  bishop 
consecrated  by  the  pope  himself  —  that  is,  one  who  was  nidlo  medio  under  the 
pope  —  was  allowed  to  hand  out  possessions  of  his  church  as  fiefs  without  the 
consent  of  the  pope.^"  This,  however,  was  simply  a  decree,  and  it  had,  all  by  itself, 
nothing  to  do  with  the  episcopal  oath  of  offic-e ;  whereas  the  decretals  of  Celestine 
III  and  Innocent  III  make  it  clear  that  by  the  end  of  the  twelfth  century  the 
eighth  clause  had  already  been  added  to  the  oaths  of  at  least  the  North  Italian 
archbishops,  perhaps  in  agreement  with  the  pattern  preserved  in  the  Auch  for- 
mulary'. On  the  other  hand,  the  sudden  accumulation  of  evidence  in  the  liSO's  of 
metropolitans  swearing  to  the  eighth  clause  would  suggest  that  —  earlier  individ- 
ual cases  notwithstanding  —  it  became  a  more  general  practice  only  under 
Gregory-  IX  to  make  the  metropolitans  at  large  take  the  oath  of  the  exempti  in 
Italy. 

However  thai  may  t>e,  the  practic-e  observed  in  Rome  around  liOO  is  as  obvi- 
ous as  the  tendency-  of  expanding  the  number  of  the  bishops  who  depended  on 

''■  The  oath  at  the  reception  of  the  pallium  (cf.  above,  n.  46)  was  substantiallr  the  same  as  the 
standard  oath;  see  Liber  cnutun-m.  No.  148,  ed.  Fabre  and  Duchesne,  p.  417.  Not  all  metropolitans  and 
primates,  however,  were  bound  to  include  clause  WW.  see,  e.g.,  the  form  of  the  primate  of  Bulgaria 
in  which  the  additional  clause  is  lacking  (Innw^nt  III,  Rejittrum.  y-n,  11;  Migne,  PL,  ccxv,  295.\; 
Gottlob.  p.  54  f.);  and  whether  it  was  included  in  the  form  valid  for  the  Latin  ftatriarchs  in  the 
Eart  (Gottlob.  p.  55  f.),  is  doubtful. 

**  Gregorj-  Vil,  Reg.,  \i,  Sb.  t.  30.  ed.  Caspar,  402,  16:  "Ut  nulli  epiacopi  predi*  eodeaiae  in  bene- 
ficium  tribuant  sine  consensu  pape.  si  de  sua  sunt  consecratione."  Cf.  Gottlob,  p.  57.  Since  this  was  a 
decree,  but  not  yet  part  of  the  oath,  the  non-alienation  clause  is  still  lacking  in  the  oath  of  .\quileia 
of  tlie  eleventh  century;  Gregorj-  VII,  Reg.,  \i,  17a,  4.  ed.  Qsspu,  pp.  428  f.  The  exempt  bishoprics 
are  listed  in  the  Liber  ceruruum,  edd.  Fabre  and  Duchesne,  i,  243;  see  the  notes  247  ff..  and  also  Gott- 
lob, pp.  C4  ff.  For  a  Bamlierg  fi>rm,  see  Raynald.  Annalet  ecclefiagtiri,  ad  a.  1206,  §13.  Gottlob.  p.  57, 
assumes  probably  correctlj-  that  the  nou-alienatioc  clause  was  introduced  for  the  metropolitans  at 
laige  bj-  the  time  of  Gregory  IX.  but  that  it  had  been  added  previously  for  such  sees  as  were,  for  one 
reason  or  another,  in  particularly  close  rehitionship  with  the  Holy  See.  For  the  distinction  between 
inalienable  Church  property  and  a  bishop's  ahenable  private  property,  the  jurists  often  referred  to 
the  Decretum,  c.  IS,  D.  XXVII]  ("De  Syracusanae",!,  a  problem  neatly  put  forth  by  the  author  of  tlie 
Summa  Paritientit,  ed.  Terence  P.  McLaughlin  (Toronto.  1952),  p.  28. 


4»8 


hialienability 


the  Ho!>  See  nulla  medio  and  therefore  had  to  take  the  non-ahenation  oath.  It  all 
amounted  to  the  development  of  the  new  custom  according  to  which  those  who 
were,  so  to  say,  "tenants-in-chief"  of  the  pope,  had  to  add  to  the  standard  oath 
of  seven  clauses  an  eighth  clause  in  which  they  promised  not  to  alienate  the  prop- 
erties of  their  episcopal  sees. 

The  canonical  procedure  may  shed  some  new  light  on  the  practice  observed  in 
England  and  alluded  to  so  frequently  in  the  correspondence  between  English 
king.s  and  the  Holy  See.  To  the  English  standard  oath  there  was  added,  appar- 
ently, u  non -alienation  clause  which  was  not  legally  codified.  Its  absence,  how- 
ever, no  longer  need.s  to  startle  us,  for  the  corresi)onduig  clause  was  absent  also 
from  the  standard  oath  of  the  Decretals.  Furthermore,  the  addition  of  the  non- 
alienation  clause  to  the  English  coronation  ])rocedure  find.s  a  i)lausible  exi)lana- 
tion:  CJarduial  Guala  Ihachieri,  who  in  1216  acted  as  the  pa})al  legate  to  England 
and  who  administered  the  oath  to  Henry  HI,*"  simply  followed  the  practice 
known  to  him  because  observed,  by  that  time,  in  Rome;  that  is,  that  the  exempli 
who  were  nulla  media  under  the  i)oi>e,  swore  not  only  the  standard  oath,  but 
promised  also,  and  additionall\ ,  not  to  alienate  i)ossessions  of  their  episcnpatus. 
The  imi)ersonal  episcojmtus,  of  course,  was  sensibly  replaced  by  the  likewise  im- 
I)ersonal  corona:  but  otherwise  the  English  king  and  "tenant-in-chief"  of  the 
Holy  See  was  treated  —  at  least  with  regard  to  the  additional  non-alienation 
oath  —  like  the  episcopal  "tenants-in-chief,"  the  exempli. 

While  the  connection  of  coronation  and  non-alienation  oath  thus  gains  a  high 
degree  of  probability,  it  still  remains  })erfectly  legitimate  to  ask  whether  the 
additional  clause  was  api)ended  to  the  three  clauses  of  the  English  coronation 
oath  proper  or  rather  to  the  oath  of  fealty  sworn  tf.  the  i)ope  —  a  question  which 
raises  immediately  the  problem  whether  or  not  King  John,  in  1213,  took  that 
non-alienation  oath.  Unfortunately,  it  does  not  seem  ])o.ssible  to  an.swer  those 
questions  satisfactorily.  The  feudal  oath  of  King  John'"  has,  like  other  oaths  of 
pai)al  feudatories  and  pajml  officials,"'  the  first  four  clauses  in  common  with  the 
standard  episcoiml  oath,  notwithstanding  the  in.sertion  of  a  s])ecial  clause,  taken 
from  the  old  Liber  diumu."  oath,  of  which  ro])e  Innocent  III  availed  him.self  on 
other  occasions  as  well.s^  The  similarity  of  King  John\s  feudal  oath  with  the  then 
current  e))iscopal  oath  might  suggest  that  indeed  already  under  this  king  the 
non-alienation  clause  of  the  exempli  was  added  to  the  oath  of  fealty  by  which  the 
king  recognized  the  ))apal  overlordshij).  This  hypothesis  —  and  l)eyond  the  si)here 
of  the  hyi)othetical  we  cannot  move  —  would  further  suggest  that  the  non-alien- 

*"  See  Richardson,  pp.  55,  74. 

•"  Stubbs,  Select  Charters,  »th  ed.  fOxford,  1921),  pp.  280  f. 

"  Seo  above,  n.  35,  also  n.  34. 

"  The  insertion  reads:  "Eorun.  [i.e.,  pope  and  suceessors)  damnum,  si  scivero,  impediam  et  remov- 
ere  faciani  si  potero:  alioquin  quam  citiu.s  potero.  intimal),,  vel  tall  personae  dican.  quani  em  credam 
pro  ccrto  dicturam."  The  sentence  i.s  taken  fron,  the  anc.ent  hidtculuv,  epucopi  of  the  Librr  diumus 
iNo.  75  (above,  n.  21).  Innocent  III  added  that  phrase  also  to  the  oath  of  the  Buipiriai,  primate  se< 
above  M  47  Also,  the  word.s  ■papatu.'<  and  regalia  smicli  Petri  have  been  replaceti  b^  "PatTimonium 
beati  Petri  t\.  specialiter  regnvm  Angliae  et  regnum  Hiberniae  adiutor  ero  ad  tenendum  el  defendeudum 
contra  omne.s  homines  pro  posse  meo  " 


InaUennhility 


499 


ation  clause  was  tacked  on  to  the  oath  of  fealty  rather  than  to  the  three  clau.ses 
of  the  English  coronation  oath  when,  in  1216,  an  oath  of  fealty  to  the  pope  finst 
entered  into  the  Engli.sh  coronation  ceremonial. 

There  remains,  however,  yet  another  factor  to  \h-  considered.  In  1220,  four 
years  after  the  coronation  of  Henry  III,  Pope  Honorius  III  wTotc  the  letter 
(above,  p.  490)  to  the  archbishop  of  Kalocsa  in  which  he  demanded  that  King 
Andrew  IT  of  Hungary  revoke  certain  alienations  because  "at  his  coronation, 
he  [the  king]  had  sworn  to  maintain  undiluted  the  rights  of  his  realm  and  the 
honor  of  his  Crown."''  This  letter,  we  recall,  passed  by  1234  into  the  Liber  Extra, 
so  that  the  basic  ideas  of  that  letter  became  binding  law  within  ecclesiastical 
practice.  We  have  no  means  to  determine  whether  the  King  of  Hungary  had  really 
taken  a  non-alienation  oath  at  his  coronation.  But  whether  he  did  so  or  not  ap- 
pears of  minor  importance  compared  to  the  fact  that  apparently  the  Holy  See 
by  that  time  was  already  proceeding  on  the  assumption  that  an  oath  of  that  kind 
was  customarily  taken  by  any  king  at  his  coronation,  just  as  it  was  taken  by  an 
ever-ex7)anding  group  of  high-ranking  princes  of  the  Church  at  their  consecra- 
tion.*^ In  other  words,  in  Rome  the  existence  of  certain  royal  obligations  towards 
the  impersonal  crown  was  taken  for  granted  at  a  time  when  that  idea  had  as  yet 
barely  penetrated  secular  jiolitical  thought.**  Vl  mnriit  est  ("as  is  the  custom"), 
wrote  Pope  Gregory  IX  to  Henry-  HI  in  1235^  —  the  "custom,"  we  may  add, 
according  to  the  assumption  unilaterally  represented  by  the  Holy  See,  and  prob- 

'■^  Set  c.  38  X,  2,  24,  and  above,  n.  18.  It  would  be  worth  while  to  investigate  the  influence  of  that 
Honoriaii  decretal  of  1220.  Gregory  IX  repeated  it  suitstaiitialiy  in  a  letter  to  King  -Andrew  II  of 
Hungary  (31  January,  1238;  see  Potthast,  9080),  and  sections  of  it  were  reiterated  abo  in  the  letter 
to  Henry  III  of  1235  (above,  n.  2).  It  should  not  be  underestimated  to  what  extent  the  papal  chancery 
used  the  same  phrasings  on  the  recurrence  of  similar  situations.  The  Golden  Bull  of  Kirip  .'Vndrew  II 
of  Hungary,  for  example,  brought  aliout  u  sunilar  reaction  on  the  part  of  the  Holy  See  as  King  John's 
issuance  of  Magna  Chartu;  see  Josef  Deer,  "Der  Weg  zur  Goldeneii  Bulle  Andreas'  II.  von  1222," 
tichteeixer  Leitriigc zvr  allgemeinen  GesckichU,  x  (1922),  183  ff.,  136. 

**  Certain  coincidences  should  be  noted:  Gregory's  Liher  Extra  wa.s  commissioned  in  1230  and  fin- 
ished in  1234;  the  oath.«  of  metropolitans  begin  to  show  the  non-alienation  clause  regularly  and  gen- 
erally after  1234;  and  Pope  Gregory's  letters  to  Henry  III  fall  in  the  same  period,  1238  and  1235. 
Should  it  have  been  in  these  years  only  that  the  pope  "assumed"  that  a  king  at  his  coronation  took 
customarily  an  oath  concerning  the  malieuability  of  Crown  property!'  The  Honoriac  decretal  tt> 
Hungary  was  certainly  earlier  than  1234,  and  so  were  the  decretals  of  Celestine  lU  qnd  Innocent  III 
concerning  tiie  North  Italian  archbishops.  However,  it  ma\  have  lieen  Gregory-  IX  who  started  to 
generalize  what  previously  had  been  hicidental. 

"■  Georges  de  Lagarde,  La  Saiaaance  di  l'e*prU  Idique  au  declin  dv  nuryen  6g€,  l;  Bilan  dv  XIII* 
aiicU  (Vienna.  1934),  158,  n.  28,  remarks  that  the  idea  of  inalienability  of  rights  of  the  state  "a  ete  une 
des  plu.s  lentes  a  penetrer."  For  a  few  remarks  on  the  continental  development,  see  Schramm,  Coro- 
naiiim,  pp.  198  f..  and  "Das  kastilische  Kiinigtum  in  der  Zeit  Alfonsos  des  Weisen  (1252-84 1,"  Feni- 
schrift  Edmund  E.  Utengel  (MUuster  and  (Cologne.  1952),  p.  4(K);  and,  for  Spain,  also  Gifford  Davis, 
"The  Incipient  Sentiment  of  Natlonulit^  in  Mediaeval  Castile:  the  Patrimonw  real,"  SpEcti-UM,  xn 
(1937),  351-358. 

•"  Above,  n.  8,  also  n.  64.  Most  surprisuigly,  tlie  same  phrase  had  been  used  by  Prince  Louis  of 
France  in  liLs  declaration  of  1215,  in  which  he  asserted  that  King  John  "in  corouatioue  sua  solemp- 
niter,  jrroul  vwrm  eai,  iurasset  se  iura  et  consuetudiueh  ecclesie  et  regni  .\nglie  coiiservaturum."  Cf. 
Hichardson,  pp.  51,  64.  The  French  prince,  of  course,  knew  perfectly  well  that  Buch  oath  was  not  the 
mot  of  France,  at  least  not  by  that  time  (aw  next  note) . 


/    U     L 

}       I     U 


500 


Inalienability 


Inalienability 


501 


ably  with  regard  not  only  to  England,  but  to  the  European  kingdoms  at  large. 
Even  though  it  can  be  proved  easily  that  this  assumption  was  substantially 
wrong  —  for  example  with  regard  to  France"  —  there  is  nevertheless  no  reason 
to  doubt  that  in  England  the  papal  legate  Guala  would  have  seen  to  it  that  the 
facts,  m  one  way  or  the  other,  corresponded  to  the  papal  assumption  and  that  in 
agreement  with  canon  law'^  some  non-alienation  promise  was  made  by  the  king. 
There  is  no  ambiguity  concerning  the  influence  of  Canon  Law  with  regard  to 
Edward  I.  By  this  time,  the  decretal  of  Honorius  III  mentioning  in  so  many 
words  the  inalienable  rights  of  the  Crown,  began  to  be  effective  at  the  royal  court 
too.  When  Edward,  ten  months  after  his  coronation,  referred  for  the  first  time  to 
the  obligations  deriving  from  his  coronation  oath,  his  clerk  or  legal  adviser  — 
perhaps  Francis  Accursius  or  Stephen  of  S.  Giorgio"  —  quoted  the  Honorian  de- 
cretal saying  that  the  king  was  obliged  "to  maintain  undiluted  the  rights  of  the 
realm"  and  added,  by  an  interesting  twist  of  the  romano-canonical  maxim  Quod 
omnes  tangit,  that  by  his  oath  the  king  was  bound  also  "to  do  nothing  that  touches 
the  Diadem  of  this  realm  without  having  resorted  to  the  counsel  of  prelates  and 
magnates."*"  Obiter,  because  far  beyond  the  scoi)e  of  this  pai)er,  it  may  be  re- 
marked that  the  decretal  of  Honorius  III  concerning  the  Hungarian  crown  fur- 
thered also  the  development  of  the  notion  of  "Crown"  in  connection  with  the 
idea  of  the  inalienability  of  royal  rights  and  possessions.  The  notion  of  Crown,  it 
IS  true,  was  quite  common  in  England  ever  since  the  twelfth  century  especially 
with  regard  to  fiscal  and  judicial  matters;  but  it  was  only  in  the  course  of  the 
thirteenth  that  the  impersonal  crown  achieved  constitutional  importance."' 

"  See  Schramm,  Der  Kbnig  von  Frankreich  fWeiniar,  1939),  i,  237,  nos.  ]  and  7,  for  the  introduction 
of  the  non-alienation  clause  in  the  French  coronation  ceremonial  in  1365.  Actually,  a  few  Ihies  had  to 
be  erased  in  King  Charles  Vs  private  de  luxe  edition  of  the  ritual  in  order  to  squeeze  the  new  clause 
into  the  old  version  of  the  oath. 

"  We  may  think  of  the  decreUls  of  Celestine  III  and  Innocent  III:  above,  nos.  37,  38. 

"  See,  for  Accursiu.s  as  well  as  Stephen  of  S.  Giorpio,  G.  L.  Haskins  and  E.  H.  Kantorowicz.  "A 
Diplomatic  Mission  of  Francis  Accursius,"  EnalUk  HUtmical  Review,  imii  (1943),  424  ff.;  also  424, 
n.  4:  for  Stephen,  see  also  Robert  Weiss,  "Cinque  lettere  inedite  del  Cardinale  Bendetto  Gaetani 
(Bonifacio  VIII),"  Rivista  di  Stmia  della  Chieta  in  Italia,  m  (1949),  157-164,  esp.  162  ff.;  there  is, 
however,  stUl  much  unedited  material  on  that  South  Italian  clerk  at  the  court  of  Edward  I. ' 

•»  Parliamentary  WriU,.  i,  381  f.:  "  .  .  .  et  iureiurando  in  coronacione  nostra  prestito  sumus  astricti 
quod  lura  regni  nostri  servabimus  Ulibate  nee  aliquid  quod  diadema  tangat  regni  eiusdem  absque 
ipsorum  Iprelatorum  et  procerum]  requisite  consilio  faciemus."  Richardson,  49  f.,  has  clearly  recog- 
nized Uie  influence  of  the  Honorian  decretal  on  the  wording  of  that  letter.  The  strict  observation  of 
the  cursus,  however,  should  be  noticed  too:  also  the  fact  that  the  oath,  normally  called  luramentvm  or 
sacramentum,  here  Is  called  solemnly  iusivrandum,  apparently  in  allusion  to  the  legal  title  De  ivreiu. 
rami,  under  which  the  Decretal  of  Honorius  III  to  Hungary  had  found  its  place  in  the  Liber  Extra 
(above,  n.  13);  finally,  dUidema  for  corona  is  unusual  in  the  products  of  the  English  chancery  and 
might  indicate  the  Italian  scribe.  See  further  Gaines  Post,  "A  Romano-Canonical  Maxim,  'quod  om- 
ne.s  tangif  m  Bracton,"  TradMo,  iv  (1946),  197-252;  Antonio  Marongiu,  UlstituU,  parlamentarc  in 
Itaha  daUc  origin,  al  1600  (Rome,  1949),  pp  6.5-78,  has  devoted  a  chapter  to  that  maxim,  but  liis 
suggestion  that  Edward  1  may  have  borrowed  it  from  the  summons  of  Rudolph  of  Habsburg  for  the 
Diet  of  NUrnberg  in  1274,  is  defeated  by  the  far  earlier  evidence  from  Engknd  as  assembled  bv 
Post. 

•'  See  the  extremely  useful  study  by  Fritz  Hartung.  Di*  Krone  ah  Symbol  der  monarchuichen  Herr- 
'chaft  tm  ausgehenden  MiUelalter  (Abhandlungen  der  Preussischen  Akademie  der  Wissenschaften 
1840.  PhU.-hisl.  Kl..  Nr.  13  [Berlin.  1941J).  esp.  pp.  6-19.  for  the  notion  of  the  Crown  in  England        ' 


f{ 


It  is  hard  to  believe  that  Edward  I,  only  ten  months  after  his  coronation  and 
at  a  time  when  every  one  concerned  would  have  known  what  the  king  had  prom- 
ised on  that  occasion,  should  have  tried  to  fabricate  a  story  about  a  coronation 
pronii.se  which  in  fact  he  had  not  made.*^  The  contrary  seems  to  be  true:  that  is, 
the  papal  assumption  concerning  a  generally  practiced  non-alienation  promise 
made  by  a  king  at  his  coronation  must  have  met  with  the  facts  also  in  the  case  of 
Edward  I.  That  Edward  utilized  that  promise  in  pursuit  of  his  own  interests  by 
turning  it  again.st  the  Holy  See  does  not  mitigate  the  probability  that  he  made  the 
additional  promi.se.  It  seems  less  likely,  though,  that  the  same  can  be  said  of 
Edward  II  whose  non-alienation  promise  has  to  be  extracted  (as  Mr  Richardson 
has  shown)*'  from  the  reference  to  the  Laws  of  the  Confessor  contained  in  the 
first  clause  of  the  new  coronation  oath."  However,  Edward  II  him.self  seems  to 
have  referred  to  an  "oath  which  he  had  sworn  to  maintain  the  laws  of  the  land 
and  the  estate  of  the  Crown"  when,  in  1321,  he  refused  to  grant  the  barons  letters 
of  pardon;**  and  the  note  in  the  Liber  regalis,  citing  once  more  the  Honorian  de- 
cretal concerning  the  king  of  Hungary,  shows  that  the  idea  of  the  k-ing's  non- 
alienation  promise  was  engrained  as  deeply  in  the  minds  of  the  clergj-  as  certainly 
it  was  in  the  minds  of  fourteenth-century  jurists.  "Take  notice,"  wrote  Baldus, 
"that  all  kings  in  the  world  have  to  swear  at  their  coronation  to  conserve  the 
rights  of  their  reahn  on  the  honor  of  the  Crown,"**  which  undoubtedly  was  true 
in  the  latter  half  of  the  fourteenth  century  when  Baldus  wrote.  But  the  jurists 
noticed  the  parallelism  of  royal  and  episcopal  oaths  at  an  earlier  date.  Already 
the  Ghasa  ordinaria  on  the  Honorian  decretal  indicates  that  the  bishops  too,  and 
not  only  the  kings,  have  to  promi.se  not  to  alienate.*'  Lucas  de  Penna,  writing  in 
the  fifties  of  the  fourteenth  century,  holds  that  bishops  and  kings  are"equiparate" 
with  regard  to  their  oaths  concerning  alienation.*'  And  his  contemporary  Petrus 
de  Ancharano  .says  quite  straightforwardly:  "The  king,  at  the  time  of  his  corona- 
tion, swears  not  to  alienate  the  things  of  his  kingdom ;  similarly,  the  bishops  swear 
[not  to  alienate]  the  rights  of  their  bishopric."**  Related  ideas  may  have  prompted 
the  English  cleric  who,  in  1308,  added  the  note  to  the  Liber  regalis. 

•=  I  differ  here  from  Wilkinson,  "Coronation  Oath,"  Speccxum,  xnc  (1944),  448  ff. 

"  See  above,  n.  9. 

•"  See,  for  this  point,  also  tfie  forthcoming  study  by  Robert  S.  Hoj-t,  "The  Coronation  OaUi  of 
1S08."  Traditio,  x  (1954),  which,  through  the  kindness  of  its  author,  I  was  able  to  read  in  manuscript 
long  after  the  present  paper  hiid  gone  to  the  press. 

»  Johanne.s  de  Trokelow,  Annales,  ed.  H.  T.  Riley,  Rolls  Series  (London,  1866),  p.  109,  quoted  by 
Hoj't,  op.  cit.,  note  85:  "  .  .  .  iuramentiun  quod  de  legibus  terrae  et  statu  coronae  manutenendis 
fecerat.  ..." 

«  Baldus,  on  c.  33  X,  2,  24,  n.  3,  In  Decretales  (Venice.  1580).  fol.  261':  "Nota  quod  omnes  reges 
mundi  in  sua  coronatione  debent  iurare  iura  regni  sua  conservare  et  honorem  coronae." 

''  See  c.  33  X,  2,  24,  gloss  R^gni  sui:  "Sic  et  episcopi  iurant  in  sua  consecratione.  quod  iura  sui 
episcopatus  noii  alienabunt.  ..." 

«*  Lucas  de  Penna.  In  tref  librof  (Lyon,  1682),  564,  on  C,  XI,  58,  7,  n.  8:  "Nam  aequiparantur 
quantum  ad  hoc  etiam  iuramentum  super  his  praestitum  de  alienatione  facta  non  revocando  (?) 
episcopus  et  rex.  Ita  et  principi  alienatio  rerum  fiscalium  .  .  .  noscitur  interdicta."  ^ 

•»  Petrus  de  Ancharanus  (1330-1416),  on  c.  33  X,  2,  24,  n.  1,  Hvper  Decrelakt  (Bolognf,  1581),  fol. 
291 :  "Rex  iurat  tempore  suae  coronationis  non  alienare  res  regni  sui.  Simibter  episcopi  iurant  sui 
episcopatus  iura." 


U       I 


I    u 


502 


I V  alienability 


To  summarize,  the  non-alienation  promises  of  Henry  III  and  Edward  I,  so 
often  referred  to  by  both  the  Holy  See  and  the  king,  must  probably  be  taken  as  a 
historical  fact.  Their  very  existence,  at  any  rate,  cannot  be  ruled  out  on  the  ground 
that  they  did  not  go  on  record;  for  the  non-alienation  oath  of  the  clergy  also 
formed  an  additional  clause  which  was  not  part  of  the  standard  oath  as  prescribed 
by  canon  law.  Most  interesting,  however,  and  revealing,  is  yet  another  point 
related  to  what  perhaps  may  be  termed  "constitutional  semantics."  A  feudal 
oath  had  been  adopted  by  the  Church.  It  had  been  transformed  into  an  ej)iscopal 
oath  at  a  time  when  the  papal  monarchy  was  in  its  formative  stage.  Owing  to  that 
appropriation  by  the  Church,  however,  the  feudal  vassalitic  oath  became  an  oath 
of  office  binding  the  bishop,  not  as  a  vassal,  but  as  an  "officer,"  and  binding  him 
not  only  to  the  pope  personally  but  also  to  the  abstract  institution,  the  papains, 
and  to  the  bishop's  own  office,  the  episcopatus.  Later  on,  the  ecclesiastified  and 
now  pseudo-feudal  oath  returned  in  a  new  guise  to  the  .secular  state  as  an  obliga- 
tion on  the  part  of  the  king  to  protect  an  impersonal  institution,  the  Crown.  To 
be  sure,  a  development  in  that  direction  was  well  on  its  way  in  England  even 
before  King  John's  surrender  to  the  Holy  See.  Nevertheless,  as  a  result  of  that 
event,  of  the  early  application  of  canonistic  practice  and  maxims  to  England  as  a 
papal  feudatory  state,  and  of  an  objectively  false  or  incorrect  assumption  on  the 
part  of  the  Holy  See,  the  canonistic  doctrine  of  "Inalienability"  was  articulated 
and  became  the  norm  in  England  much  earlier  than  in  other  European  countries. 

The  Institute  for  Advanced  Study 
Princeton,  New  Jersey 


'   u    u 

'      I    u 


State  University  of  rowA 
Iowa  City,  Iowa 


Department  or  History 


S2M   fi.  College 
I  owe  City,  lov/a 
4  November  1954 


Dear  Professor  Kantorowicz, 

1  wes  so  Dleased 
to  receive  an  offprint  of  your  "Inalienability," 
for  which  1  thank  you  very  much.   (Now  1  can 


refer  to  it  so  much  more  easily,  and  won't 
to  worry  about  losing  an  issue  of  Speculum 
1   ffive    it  to  students   to  reed.) 

1  may  be  reading  nore   into  your  v/ords 
you   intended,    but    it   seems   to  me   that  your 
tide  has--pt   last.', 
coronation  oath--set 


a  1 


have 
hen 


tiiRn 
ar- 
in  the  literature  on  the 
the  Droblem  in  the  larger 


context  in  which  it  belongs,  viz.,  the  "national" 
and  the  "canonical"  (or  romano-cenonical)  theory 
of  the  crown- -Schramm  certainly  pointed  the  way 
but  in  his  comrrehensive  account  did  no  more, 
while  1  have  always  felt  a  little  uneasy  about 
Richardson's  reluctance  to  face  un  to  the  theo- 
retical (or  ideological)  implications  of  the 
interpolation  in  the  Leges  AHHlorum.  His  inter- 
Dretation  of  1308,  #1,  is  to  me  wholly  convinc- 
ing, including  the  brilliant  part  on  the  Laws 
of  the  Confessor.  But;   if  the  interpolation  is 
a  source  on  v;hich  later  theory  drew,  the  inter- 
polation itself  is  a  product  of  earlier  theory. 
The  interDolator  (working  from  Kichard's  oath 
in  Howden's  G-esta-Chronicle  version)  bridged 
the  gap  between  the  oath  and  rights  of  the  crown, 
then  why  could  not  the  advisers  of  iDdward  I?  If 
they  could,  and  if — as  you  indicate  is  probable-- 
<John  and  i^enry  need  not  be  assumed  to  have  sworn 
an  "additional  promise,"  then  the  assumution  that 
Ldward  I  swore  an  additional  Dromise  is  greatly 
diminished.   (Anolop-ies  for  going  on  and  on  like 
this--of  course  vou  ore  right,  that  we  should 
ask  Mr.  Richardson  to  produce  the  text  of  lidward 


'    U     U 


I's  oath  and  1  hoDe  ^ou  will  do  so.  And  while 
awaiting  his  discovery,  I  would  be  willing  to 
wager  an  Indian-head  nickel  that  the  text  which 
he  unearths  wo^'ld  give  hira  quite  a  surprise!) 

The  delay  attendant  uDon  publishing  my  co- 
ronation oath  article  in  i'raditio  gave  me  the 
or)portunity  to  make  some  revision--auite  substan- 
tial, in  fact--and  i  houe  some  improvement  in 
the  article.   I  eliminated  some  material  and  add- 
ed much  more  on  les  leys  et  les  custumes,  which 
meant  that  1  had  to  get  out  on  a  limb  on  the 
textual  r)roblem  involved  in  Diceto  vs.  iiO#den. 
I  definitely  do  not  want  to  impose  on  your  gen- 
erosity when  1  know  you  are  so  busy,  as  you  are 
right  now,  but  whenever  you  do  feel  you  have  the 
time  and  would  like  to  see  tne  revised  l,iS  I  wouM 
be  much  in  your  debt  for  any  reaction  you  might 
care  to  express. 

iv^any  thanks  for  the  Geoffrey  of  i,ionmouth 
references — I  confess  that  l  am  relieved  that 
you  did  not  refer  me  iirimed lately  to  an  obvious 
and  verbatim  source  of  my  Simeon's  leges  patriae. 
Although  I  did  not  mention  it  in  my  letter  to 
you,  tjimeon's  phrases  struck  me  as  surprisingly 
"mature"  or  "sonhisticated"  and  I  was  heartened 
by  vour  reference  to  the  same  effect  in  your 
letter--now  that  vou  have  said  it,  i  certainly 
agree  that  the  lohrase  is  what  one  would  exoect 
in  the  13th  century,  jr.s   for  G-eoffrey,  1  haven't 
found  my  source  there,  although  he  comes  near  to 
it  several  times,   (I  can  only  add  that  the  iaea 
of  dying  for  the  Fifth  i^mendmant  is  only  less 
repulsive  than  for  the  Btlrgerliches  Gesetzbueh — 
so  much  more  to  die  for  in  the  letuer.) 

1  look  forward  to  reading  your  Chicago 
"oaDer  ^^-hen  it  a  pears  in  the  ii.i'.K.  (and  since 
1  do  not  subscribe  to  the  review,  I  hoDe  you 
might  spare  ne  en  offprint;,   v^ith  inany  thanks 
again  for  your  letter  and  for  the  oifprint, 
end  with  warmest  regards, 


iiincerely  yours. 


>*^w^^^ 


I    J    u 


t^^.t> ) 


Bern, den  9«Noveraber  1954. 
Vira"bemstr,47. 


Sehr  verehrter  Herr  Professor  Kantorowicz! 

loh  danke  Ihnen  vorerst  verbindlichst  filr  die  Zusendung  Ihrer 
mich  so  sehr  interessierenden  Studie  und  deren  Dedikation,  Mit  der 
"Inalienability"  steht  es  in  Ungam-  soweit  ich  es  auf  Grund  raeines  Je^'j^***. 
hOchst  lilckenhaften  Apparats  feststellen  kann-  ungefahr  so:  In  seiner 
Urkunde  von  1217  /  £•  ^aentpetery,  Regesta  regum  stirpis  Arpadianae 
critico-diplomatica, Budapest, 1923, Tom. I.  Nr,322,  p,103  f;  Text  bei: 
Knauz,  Monumenta  ecclesiae  Strigoniensis  I,1874,p,2l6  oder  i'ejer. 
Codex  dipl.regni  Hungariae  ecclesiasticus  ac  oivilis  III/l,p,255/,  o^iA^ -^"-^^^ 
^^ass  er  frtlher  -  -urn  1210-  Neuerungen  einflihren  wollte/novae  institu- 
tiones/,  indem  er  "  den  von  seinen  Vorfahren  unversehrt  bewahrten  Zu- 
stand  seines  Landes  anderte  imd  die  Komitate,  Burgen,  Besitz\mgen  imd 
die  anderen  Einktlnfte  des  reichen  Ungams  als  perpetuas  hereditates 
imter  seinen  Baronen  und  nilites  verteilte".Der  damalige  Erzbischof 
von  Gran  widersprach  in  der  Beratijng  der  Kiorie  dera  Kbnig  imd  fiel  des- 
wegen  in  Ungnade  und  vexlA^m   ein  Gut,  das  die  Kirche  von  Gyan  vom 
Vorganger  und  Bruder  ^dreas'II.,  von  K5nig  Emerich  erhielt. Jetzt, 
1217,  wird  der  Erzbischof  wieder  in  Gnade  aufgenommen  und  erhielt  das 
Gut  zurtick,  Auch  im  §l6  der  Goldenen  Bulle  von  1222  muss  Andreas  ver- 
3prechen:Integro3  comitatus  vel  dignitates  quascunque  in  praedia  seu 
possess iones  non  confer amus  perpetuo.  D^irauf  folgt  das  von  Ihnen  an- 
geftlhrte  Decret  Honorius*  III,  an  den  Eb.  von  Kalocsa<rBle  ungarische 
Porschung-  vor  alien  Ik-enc  Eckhart,A  SzenSLorona-eszme  tbrtenete/Ge- 
schichte  der  Idee  der  HI, Krone/, Bp, 1941,8.50,  der  tlbrigens  auf  die 
englische  Parallele  hinwies-  zweifelte  nicht  daran,  dass  Andreas  ei- 
nen  solchen  Eid"  bei  seiner  KrOnung  tatsachlich  geleistet  hat. Und 
zwar  deshalb  nicht,  weil  Honorius  IJI  in  einem  BrM*  an  den  rex  iunior 
B^la-  der  spatere  Bdla  IV-aus  dem  J. 1225  seine  frtthere  Behauptimg  mit 
■■  grossenvl^iachdruck  wiederholt  und  das  Vorgehen  Andreas*  eben  unter 
Hinweis  auf  seinen  KrSnungseid  einer  scharfen  Kritik. unter zieht 
/Eckhart  a. a. 0,3. 22;  fUr  den  Text  fUhrt  er  Fej^r  God.dipl-.III/2,p.47 
an/;  hier  ist  u.a,  davon  die  Rede,  dass  Andreas  sogar  einen  Eid  daftlr. 
^^iifliSSc^iS^  o^^»Lii^  seine  Schenkungen  nicht  rttckg&ngig  machen  wird, 
DieserT^id  sei  nach  der  I-Ieinung  des  Pap'stes  ungtQtig,  weil  er  dem 
KrSnungseid  widerspricht  imd  so  auch  nicht^uThalten  sei.  Von  einer 
Kronungseid  ist  dann  in  der  Urkunde  S1g)hans  V.  des  Enkels  Andreas  II., 
vQn  1270  die  Hede/Szentpetery  Reg,  nr.1961.  Text  n'en2el,Cod,Dipl,T,XII, 
PclOrleider  im  VTortlaut  mir  zurzeit  nicht  zuganglich/.  Aus  dem  Regest 
bei  Szentpetery  kann  ich  nur  entnehmen,  dass  er  sich  den  Untertanen 


gegentlber  v^rpflichtete,  einen  jeden  in  seinem  Recht  zu  belassen  und 
die  entfremdeten  liechte  einem  jeden  wiederherzustellen.  Wohl  auch  die 
der  Krone.  Oanz  deutlich  spricht  dagegen  der  Kronimgseid  des  ersten 
Anjou-KOnigs,  Karls  1/   I3IO.I342/:  regnum  sibi  commissiim  non  minuere, 
nee  aliena^-e,  sed  potius  augere  et  mala  alienate  hactenus  secimdum 
datam  sibi  gratiam  ad  ius  pristinum  reyocare/  M.Kovachich,  Vestigia 
comitiorum  apud  Hmigaros,  Budae,1790,p-,174./  In  einem  gewissen  Zusam- 
menliang  stehen  danit  die  £ide,  die  die  Konige  auf  die  territorielle 
Integritat  des  Landes  gegenUber  auslandischer  Usurpation  zu  leisten 
hatten,  so  m.W.  als  erster  Andxeas  III  im  J. 129ft  ;  -dieser  als  §21  des 
Gesetzes  von  1298  ist  auch  in  das  Corpus  luris  Hungarici  eingegangen. 
Zusammenfassend  -laube  ich,  dass  der  tiberlieferte  Eid  Karls  I  im  we- 
sentlichen  mit  dem  Andreas' n  ubereinstimmt.  Die  Opposition  des  £b  -s 
vonGran  gegen  die  Neuerungen  des  K6nige,.war  sicher  in  dessem  Eide  be- 
grtodet,  den  die  Kirche-  wie  Eckhart  m.E.  mit  fiecht  vermutet-  das  erste- 
mal  eben  von  Andreas  11-  den  man  schon  aus  der  Zeit,als  er  noch  dux 
war,  als  emen  Yerschwender  kannte-  verlangt  hat.  Das  ungarische  Ur- 
k^mdenmaterial  des  i3.Jh.-s  enthalt  auch  sonst  vieles,  was  8ie  inter- 
essieren  ^de,  vor  allem  sehr  viel  fUr  pro  patria  mori.  Gerade  jetzt 
habe  ich  Ihre  frtiheren  Aufsatz^^t  viel  BeXelirun^  gelesen.  Da  ich 
aus  dem  guellenlieft  "Herrschaftsvertrag^  des  Spatmittelalters"  zwei 
Exemplars  besitze,  erlaube  ich  es  mir,  Ihnen  das  eine  zuzuschicken.' 

Verbindlichst  habe  ich  Ihnen  fUr  Ihren  letzten  Brief  zii  meinem 
Cremmenaufsatz  zu  danken.  Obwohl  ich  Hans  Vfentzel-  aus  seiner  Erwie- 
derung  in  der  ^^eitschrift  fUr  Kuns^feschichte  1954-ersichtlich-  nicht 
tiberzeugt  habe,  halte  ich  die  doi-t  ausgefUh^ten  unverandert  auf  recht 
Ihrem  VTunsch  gemass  habe  ich  einen  Sonderabdruck.LIiss  Minor  geschickt 
und  ich  hoffe,  dass  Sie  diesen'  aUch  ei-halten  hat.  Binnen  eines  Jahres' 
werden  von  mir  verscLledene  ^Videriciana  herauskommen,  ajSU   in  Zusain- 
menarbeit  z-.T.  mit  Schramm,  z.T.  mit  von.Kaschnitz;  der  letztere  hat 
wieder  ganz  sensationelle  Dinge  gefunden. 

In  der  Hoffnung,  dass  es  Ihneh  wohl  ergeht,  verbleibe  ich  mit 
vielen  herz lichen  Gpiissen 

Ihr  sehr  ergebener 

PS  Anfang  September  war  ich  auf  dem  Internat  Kongress  f  .Frtlhmittelalter- 
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vorgelesen  wurde.Er  hat  ein  neues  Dokument  tlber- den  Triumphboren  Ein- 

s^f m! St Sf v«;'i n^  "T  o\de^  Tat, ein- Reliquiar. Also  keine  antiqari- 
f?w!  ^^jstifikation.wie  Schramm  meinte.  Wissen  Sie,  dass  Cecchelli  in 
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gen. Ich  sprach  ebendort  von  der  Ikonographie  des  Aachener  Lothatkreu- 

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*39.      "Mysteries  of  State:  An  Absolutist  Concept  and  its  Late  Mediaeval  Origins,' 
Harvard  Theological  Review,  XLVIII  (1955),  65-91. 

EK's    copy,    annotated. 


r- 


40. .  Spanish  Translation  by  Rodriguez  Aranda:  "Secretos  de  Estado,"  Revista 

deEstudios  Politicos,  LXV  (1959),  37-70. 

Ek's  copy,  not  annotated.  In  with  it,  ho^-ever,  a  cor- 
rected pape-rroof  version  that  vns  not  incorporated 
in  the  final  printing. 

The  following  items  found  in  the  English  version,  f^39: 

A.   "Angelo  de  Ubaldis"  (slip) 

'3.   "ji.  39),  $112  (slip) 

C.  "Resp.    in  Princ,    Prin.    in   republ.''    (slip) 

D.  "Rex  maritus"    (slip) 

E.  "Mysterium-minis^erium"  (slip) 
P.  Idem. (slip,  yellow) 

G.  ''ludex- 3acerdos''  (half  page,  yello") 

H.  ''i-Uritus  reinublicae  (half  page) 

I.  ''Angelo  de  Tummulillis"  (half  page) 

J.  Letter    from   A.D.Kock,    5  Har   ^i\. 

K.  "Misterium-miiiisterium''    (half  page  ) 

L.  "oilentium"    (half  page) 

M.  ''Sponsus"    (half   page) 

N.  "Mr.  Oavies'  Oisraiasal''  (clipping  from  NYTirnes ) 

0.  "Sponsus"'  (half  page,  gellovr) 

P.  Letter  from  V/m.  Elton,  10  May  63 

Q.   "Not  so  long  ago..."  (Apparently  a  draft  of  opening 
sentences  oT  the  article;  full  page,  vellow) 

R.   ;?-r>age  letter  from  A.  Alfbldi,  6  Nov  (or  11  June)  ^5 

S,   "Silentium"  (half  page) 


I    J    O 


'1 


Aj^ 


MYSTERIES  OF  STATE:  AN  ABSOLUTIST  CONCEPT  AND 
ITS  LATE  MEDIAEVAL  ORIGINS 


BY 


ERNST  H.  KANTOROWICZ 


Reprinted  from 

THE  HARVARD  THEOLOGICAL  REVIEW 

Vol.  XL VIII,  No.  1,  January,  1955 


PRINTED  AT  THE  HARVARD  UNIVERSITY  PRINTING  OFFICE 
CAMBRIDGE,   MASS.,   U.S.A. 


U       I     J 


MYSTERIES  OF  STATE 

An  Absolutist  Concept  and  Its  Late 
Mediaeval  Origins  * 

ERNST  H.  KANTOROWICZ 

The  Institute  for  Advanced  Study 
Princeton,  New  Jersey 

Mysteries  of  State  as  a  concept  of  Absolutism  has  its  mediaeval 
background.  It  is  a  late  offshoot  of  that  spiritual-secular  hybrid- 
ism which,  as  a  result  of  the  infinite  cross-relations  between  Church 
and  State,  may  be  found  in  every  century  of  the  Middle  Ages  and 
has  deservedly  attracted  the  attention  of  historians  for  many  years. 
After  A.  Alfoldi's  fundamental  studies  on  ceremonial  and  insignia 
of  Roman  emperors,'  Theodor  Klauser  discussed  more  recently 
the  origin  of  the  episcopal  insignia  and  rights  of  honor,  and  showed 
very  clearly  how,  in  and  after  the  age  of  Constantine  the  Great, 
various  privileges  of  vestment  and  rank  of  the  highest  officers  of 
the  Late  Empire  were  passed  on  to  the  bishops  of  the  victorious 
Church.-  At  about  the  same  time,  Percy  Ernst  Schramm  published 
his  compendious  article  on  the  mutual  exchange  of  rights  of  honor 
between  sacerdotium  and  rcgnum,  in  which  he  demonstrated  how 
the  imitatio  imperii  on  the  part  of  the  spiritual  power  was  balanced 
by  an  imitatio  sacerdotii  on  the  part  of  the  secular  power.' 
Schramm  carried  his  study  only  to  the  threshold  of  the  Hohen- 
staufen  period,  and  he  was  right  to  stop  where  he  did.  For  the 
mutual  borrowings  of  which  he  speaks  —  insignia,  titles,  symbols, 
privileges,  and  prerogatives  —  affected  in  the  earlier  Middle  Ages 
chiefly  the  ruling  individuals,  both  spiritual  and  secular,  the  crown- 

*  This  paper  was  read  at  the  joint  session  of  the  .American  Catholic  Historical 
Association  and  the  American  Historical  Association,  on  December  28,  1953,  in 
Chicago.  The  title  has  been  slightly  modified;  the  content  remains  practically 
unchanged. 

'Andreas  Alfoldi,  "Die  Ausgestaltung  des  monarchischen  Zeremoniells  am 
romischcn  Kaiscrhofe,"  and  "Insignien  und  Tracht  der  romischen  Kaiser,"  Romische 
Mitteilungen,  XLIX  (1934),  1-118;  L  (1935),  1-171. 

'Theodor  Klauser,  Der  Ursprung  der  bischoflichen  Insignien  und  Ehrenrechte 
(Bonner  akademische  Rcdcn,  I:    Krcfeld,  1949). 

*  Percy  Ernst  Schramm,  "Sacerdotium  und  Regnum  im  Austausch  ihrer  Vor- 
rechte,"  Studi  Gregoriani,  II  (1947),  403-457. 


/     J    U 


66 


HARVARD  THEOLOGICAL  REVIEW 


wearing  pontiff  and  the  mitre-wearing  emperor,  until  finally  the 
sacerdotiutn  had  an  imperial  appearance,  and  the  regnutn  a  clerical 
touch.  By  the  beginning  of  the  thirteenth  century  at  the  latest,  a 
certain  state  of  saturation  was  reached,  when  both  the  spiritual 
and  secular  dignitaries  were  rigged  with  all  the  essential  attributes 
of  their  offices. 

The  borrowings  between  the  two  orbits,  however,  did  not  then 
come  to  an  end.  Only  the  objectives  changed,  as  the  center  of 
gravity  shifted,  so  to  speak,  from  the  ruling  personages  of  the 
Middle  Ages  to  the  ruled  collectives  of  early  modern  times,  to  the 
new  national  states  and  other  political  communities.  That  is  to 
say,  the  field  of  exchanges  between  Church  and  State,  and  of  mu- 
tual influences,  was  expanded  from  individual  dignitaries  to  com- 
pact communities.  Therewith  sociological  problems  began  to  shape 
ecclesiological  problems  and,  vice  versa,  ecclesiology,  sociology. 
Under  the  pope  as  princeps  and  verus  imperator  the  hierarchical 
apparatus  of  the  Roman  Church  —  notwithstanding  some  impor- 
tant features  of  Constitutionalism  *  —  showed  a  tendency  to  be- 
come the  perfect  prototype  of  an  absolute  and  rational  monarchy 
on  a  mystical  basis,  whereas  simultaneously  the  state  showed  in- 
creasingly a  tendency  to  become  a  quasi-Church  and,  in  other  re- 
spects, a  mystical  monarchy  on  a  rational  basis.  It  is  here  in  these 
waters  —  brackish  waters,  if  you  prefer  —  that  the  new  state 
mysticism  found  its  breeding  and  dwelling  place. 

The  basic  problem  may  be  approached  most  easily  by  posing  a 
simple  question:  How,  by  what  channels  and  by  what  techniques, 
were  the  spiritual  arcana  ecclesiae  transferred  to  the  state  so  as 
to  produce  the  new  secular  arcana  imperii  of  absolutism?  The 
answer  to  this  question  is  given  by  the  sources  on  which  we  have 
to  rely;  for  without  neglecting  either  narratives  or  arts,  ceremonial 
or  liturgy,  it  may  yet  be  said  that  our  main  evidence  is  legal.  It 
is  mainly  by  our  legal  sources  that  the  new  ways  of  exchange  be- 
tween the  spiritual  and  the  secular  become  evident.  After  all,  the 
Canonists  used  and  applied  Roman  Law;  the  Civilians  used  and 
applied  Canon  Law;  and  both  Laws  were  used  also  by  Common 

*  See  Brian  Tierney,  "The  Canonists  and  the  Mediaeval  State,"  Review  of  Politics, 
XV  (1953),  378-388. 


"t 


MYSTERIES  OF  STATE  67 

Law  jurists.''  Moreover,  both  Laws  were  influenced  by  scholastic 
method  and  thought,  as  well  as  by  Aristotelian  philosophy;  finally, 
the  jurists  of  all  branches  of  Law  applied  freely,  and  without 
scruples  or  inhibitions,  theological  metaphors  and  similes  when 
expounding  their  points  of  view  in  glosses  and  legal  opinions. 
Under  the  impact  of  those  exchanges  between  canon  and  civilian 
glossators  and  commentators  —  all  but  non-existent  in  the  earlier 
Middle  Ages  —  something  came  into  being  which  then  was  called 
"Mysteries  of  State,"  and  which  today  in  a  more  generalizing 
sense  is  often  termed  "Political  Theology." «  Felicitous  as  ever, 
Maitland  once  remarked  that  eventually  "the  nation  stepped  into 
the  shoes  of  the  Prince."  '  While  fully  agreeing,  I  yet  feel  that  we 
should  add:  "Not  before  the  Prince  himself  had  stepped  into  the 
pontifical  shoes  of  Pope  and  Bishop." 

In  fact,  "Pontificalism"  was  perhaps  the  outstanding  feature 

of  the  new  monarchies,  and  few  princes  —  not  even  Louis  XIV 

were  so  genuinely  pontifical  as  King  James  I  of  England.  In  a 
little  juristic  dictionary,  published  in  1607  and  called  The  Inter- 
preter, an  able  civilian.  Dr.  John  Cowell,  advanced  certain  polit- 
ical theories  with  which  normally  James  I  would  not  have  dis- 
agreed: that  the  king  is  ever  of  full  age;  that  he  is  not  taken  to 
be  subject  to  death,  but  is  a  corporation  in  himself  that  liveth 
forever;  that  the  king  is  above  the  laws;  and  that  he  admits  legis- 
lation by  the  estates  only  by  his  benignity  or  by  reason  of  his 
coronation  oath.**  Since  the  Interpreter  roused  the  indignation  of 

°This  has  been  pointed  out  repeatedly  by  Gaines  Post;  see  especially  his  study 
on  "A  Romano-Canonical  Maxim,  'Quod  omnes  tangit,'  in  Bracton,"  Traditio,  IV 
(1946),  197-251,  and  his  paper  read  before  the  Riccobono  Seminar  on  "The  Theory 
of  Public  Law  and  the  State  in  the  Thirteenth  Century,"  Seminar,  VI  (1948) 
42-59 ;  also  his  latest  study  on  "The  Two  Laws  and  the  Statute  of  York,"  Speculum,' 
XXIX  (1954),  417-432. 

"The  expression,  much  discussed  in  Germany  in  the  early  1930s,  has  become 
more  popular  in  this  country,  unless  I  am  mistaken,  through  a  study  by  George 
LaPiana,  "Political  Theology,"  The  Interpretation  of  History  (Princeton,  194?) 

■  F.  W.  Maitland,  "Moral  Personality  and  Legal  Personality,"  in  his  Selected 
Essays  (Cambridge,  1936),  230. 

"  For  the  case  of  Dr.  John  Cowell,  see  Charles  H.  Mcllwain,  The  Political  Works 
of  James  I  (Cambridge,  Mass.,  1918),  pp.  l.xxxviiff,  and,  more  recently,  Stanley  B 
Chrimes,  "Dr.  John  Cowell,"  English  Historical  Review,  LXIV  (1949),  461-487, 
who  prints  in  the  .Appendix  the  relevant  passages  from  Cowell's  Interpreter  or 
Book  Containing  the  Signification  of  Words,  first  published  in  Cambridge,  1607 
Cowell  quotes  many  French  authors,  and  it  may  have  been  derived  from  one  of 
those  sources  that  he  points  at  the  king's  "benignity"   (s.v.  "Parliament")     His 


I    L     U 

I     J       I 


68 


HARVARD  THEOLOGICAL  REVIEW 


the  Commons,  on  whom  the  king  depended  for  a  subsidy,  the  king 
himself  was  compelled  to  take  exception  to  Dr.  Cowell's  words. 
And  thus  an  irate  king  descended  upon  a  poor  scholar  who  had 
meant  to  please  his  sovereign  lord.  James  I  complained,  in  a 
proclamation  of  1610,  that  nothing  "is  now  unsearched  into," 
neither  the  "very  highest  mysteries  of  the  Godhead,"  nor  "the 
deepest  mysteries  that  belong  to  the  persons  or  state  of  King  and 
Princes,  who  are  Gods  on  earth,"  and  that  incompetent  men  "will 
freely  wade  by  their  writings  in  the  deepest  mysteries  of  monarchy 
and  politick  government."  "  On  other  occasions,  James  I  spoke  of 
"my  Prerogative  or  mystery  of  State,"  of  the  "mysterie  of  the 
King's  power,"  and  of  "the  mysticall  reverence,  that  belongs  unto 
them  that  sit  in  the  Throne  of  God,"  ^**  or  ordered  the  speaker  of 
the  House  of  Commons  "to  acquaint  that  house  with  our  pleasure 
that  none  therein  shall  presume  to  meddle  ('to  meddle'  was  a 
favorite  expression  of  absolutism)  with  anything  concerning  our 
government  or  mysteries  of  State."  ^^ 

It  would  not  be  easy  to  decide  quickly  and  accurately  whence 
that  notion  Mysteries  of  State  derived.  It  might,  of  course,  have 
been  a  translation  of  Tacitus'  arcana  imperii  temptari,  "to  make 
trial  of  the  innermost  of  the  empire"  —  and  Tacitus  may  well  have 


contemporary  Charles  Loyseau,  for  example,  when  discussing  the  validity  of  the 
provincial  Coutumiers  and  the  legislative  power  of  the  provincial  assemblies,  says 
also  that  "sa  [the  king's]  bonte  permette  au  peuple  des  Provinces  coustumi^res  de 
choisir  certaines  Coustumes,  selon  lesquelles  ils  desire  vivre."  Loyseau's  Trait6  des 
Seigneuries  was  first  printed  in  1608;  but  Loyseau  was  probably  not  the  first  to 
use  the  phrase;  see  William  Farr  Church,  Constitutional  Thought  in  Sixteenth- 
Century  France  (Harvard  Hist.  Stud.,  XLVH;  Cambridge,  1941),  325,  n.  57. 

"See  Thomas  P.  Taswell-Langmead,  English  Constitutional  History,  8th  ed.  by 
Coleman  Philippson  (London,  1919),  488,  note  (y),  where  the  better  part  of  the 
proclamation  is  printed;  cf.  Chrimes,  op.  cit.,  472f.  See  also  Parliamentary  Debates 
in  1610,  ed.  by  S.  R.  Gardiner  (Camden  Society,  81;  London,  1862),  22ff. 

"Mcllwain,  Polit.  Works,  332  f.,  for  King  James'  Speech  in  the  Star  Chamber,  of 
1616.  It  should  be  noted,  however,  that  the  king  says  also:  "For  though  the  Com- 
mon Law  be  a  mystery  and  skill  best  knowen  vnto  your  selues  .  .  ."  Here  the 
word  "mystery"  certainly  has  the  meaning  of  handicraft  or  trade  —  in  the  sense 
of  "arts  and  mysteries,"  which  perhaps  would  allow  the  suggestion  that  "mysteries 
of  state"  are  the  handicraft  or  trade  of  kings. 

"See  Parliamentary  History  of  England  (London,  1806),  I,  1326  f.  where  the 
"mystery"  is  the  Spanish  marriage  of  Prince  Charles ;  see  also  Mcllwain,  Constitu- 
tionalism Ancient  and  Modern  (rev.  ed.,  Ithaca,  N.Y.,  1947),  112,  cf.  125.  To 
"meddle"  turns  up  time  and  time  again;  it  is  the  equivalent  of  Latin  se  inlromittere; 
see,  e.g.,  Matthaeus  de  Afflictis  (below,  n.  22),  I,  fol.  45,  on  Liber  aug.,  I,  4:  "Ut 
nuUus  se  intromittat  de  factis  et  consiliis  regis." 


MYSTERIES  OF  STATE  69 

been  known  to  scholarly  James  I.   However,  Mysteries  of  State 
has  perhaps  more  a  Christian  than  a  Tacitean  flavor,  although  the 
word  arcana  served  to  designate  both  the  pagan  and  the  Christian 
mysteria}-  There  is,  however,  reason  to  think  not  of  the  Roman 
historian  but  rather  of  Roman  Law,  of  a  law  of  the  Emperors 
Gratian,  Valentinian,  and  Theodosius  who,  in  395,  addressed  them- 
selves to  the  praejectus  Urhi  Symmachus  when  they  said  it  was 
"sacrilege"  to  dispute  the  Prince's  judgment  and  selection  of  offi- 
cials.'3  "Sacrilege,"  to  be  sure,  is  a  strong  word  which  borders  on 
the  "zone  of  silence"  reserved  for  mysteria  and  arcana,  for  actions 
in  church  and  in  court.'^   However,  this  ancient  law,  inserted  by 
Justinian  in  his  Code,  was  prominent  in  the  legislation  of  Roger  II 
of  Sicily  as  well  as  of  Frederick  11,^^  and  was  repeated,  in  a 

"Tacitus,  Annales,  II,  36.  The  expression,  of  course,  was  known;  see,  e.g., 
ParUamentary  Debates  in  1610,  p.  52,  where  the  Lords  are  said  to  "sitt  neerer  the 
Sterne  of  government,  and  therefore  are  made  acquainted  first  with  those  things 
that  are  Arcana  imperii  etc"  For  the  interrelations  between  arcana  and  mysteria, 
see  Othmar  Perler,  Art.  "Arkandisziplin,"  Reallexikon  fur  Antike  und  Christentum, 
I  (1950),  667-676,  with  full  literature. 

"Codex  Theodos.,   i,   6,  9  -  C.g,   29,   2:   "Disputari  de  principali  iudicio  non 
oportet:   sacrilegii  enim  instar  est  dubitare,  an  is  dignus  sit,  quern  elegerit  imperator." 
"  For  the  connections  between  arcana-mysteria  and  silenlium,  see  Odo  Casel,  De 
philosophorum   graecorum   silentio   mystico    (Religionsgeschichtliche   Versuche   und 
Vorarbeiten,  XVI:2;   Giessen,   1919).    The  silentium   belonged  also  to  the  court 
ritual  of  the  Roman  emperors;  see  Alfoldi,  "Zeremoniell"  (above,  n.  i),  38  f.    O. 
Treitinger,  Die  ostromische  Kaiser-  und  Reichsidee  nach  ihrer  Gestaltung  im'  hofischen 
Zeremoniell  (Jena,  1938),  52  f.;  and,  for  its  representation  in  earlv  Christian  art, 
the  important  remarks  of  .\ndre  Grabar,  "Une  fresque  visigothique  et  I'iconographie 
du  silence,"  Cahiers  archeologiques,  I  (1945),  126  ff.    The  sUentium,  however,  was 
just  as  strictly  imposed  by  Frederick  II  on  the  parties  appearing  in  the  law  courts; 
see  Liber  augustalis,   I,  32:    "Cultus  iustitiae  silentium   reputatur."    The   words 
derive  from  Isaiah,  32,  17;  but  the  law  itself  is  framed  on  Gratian's  Decretum,  II, 
C.  V,  qu.  4,  c.  3,  ed.  Emil  Friedberg,  Corpus  iuris  canonici  (Leipzig,  1879),  L  548  f ,' 
a  passage  taken  from  the  acts  of  the  nth  Council  of  Toledo  (675  A.D.)i  which 
had  passed  through  various  canonical  collections,  including  that  of  Pseudo-Isidorus, 
before  it  was  received  by  Gratian  and,  probably  through  him,  bv  Frederick  II! 
For  his  law  in  the  Liber  augustalis,  see  Constitutionum  rcgni  Siciliarum  libri  tres 
(Sumptibus  Antonii  Cervonii,  Naples,  1773),  82.    I  am  quoting  the  law  book  of 
Frederick  II  throughout  according  to  this  edition   (abbreviated  Liber  aug.   [with 
book   and   title],   ed.    Cervone    [with    page])    because   it    contains    the   glosses   of 
Marinus  de  Caramanico  and  Andreas  of  Isernia;  the  edition  of  C.  Carcani  (Naples, 
1786),  though  in  some  respects  superior  because  it  contains  also  the  Greek  text,' 
lacks  the  gloss;  and  the  "chronological"  edition  of  J.   L.  A.   Huillard-Breholles| 
Historia  diplomatica  Friderici  Secundi  (Paris,  1852-1861),  IV,  i  ff.,  though  it  may 
have  some  better  readings,  is  practically  useless  for  the  legal  historian  because  it 
breaks  up  the  unity  of  books  and  titles. 

"See  the  so-called  Vatican  .Assizes,  I,  17  (published  probably  in  1140,  at  Ariano 
in  Apuha),  ed.  Francesco  Brandileone,  II  diritto  Romano  nelle  leggi  Normanne  e 


«HM 


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slightly  attenuated  form,  also  by  Bracton.'"  Nor  did  it  fail  to 
impress  James  I,  who  in  1616,  very  fittingly  in  a  Star  Chamber 
speech,  clearly  referred  to  it  when  he  said:  "That  which  con- 
cernes  the  mysterie  of  the  Kings  power,  is  not  lawful  to  be  dis- 
puted.'' He  warned  his  audience  "to  keep  in  their  own  bounds, 
because  it  was  not  lawful  to  dispute  the  absolute  Prerogative  of 
the  Crown  ...  It  is  Athiesme  and  blasphemie  to  dispute  what 
God  can  doe  ...  So,  it  is  presumption  and  high  contempt  in  a 
Subiect,  to  dispute  what  a  King  can  do  .  .  ."  '^  The  references 
to  the  law  of  the  three  Roman  emperors  are  evident.  Needless  to 
say  that  this  law  had  passed,  long  before,  also  into  Canon  Law 
where  it  was  applied  to  the  pope.'* 

"Mysteries  of  State,"  then,  derived  obviously  from  that  orbit 

Sveve  del  regno  di  Sicilia  (Turin,  1884),  103.  The  text  matches  that  of  the  Codex 
(above,  n.  13),  but  after  the  word  iudicio  there  is  added:  consiliis,  inslitutionibus, 
factis.  The  same  text  is  repeated  by  Frederick  II,  Liber  aug.,  I,  4,  ed.  Cervone,  15. 

"  Bracton,  De  Icgibus  et  consuetudinibus  Angliae,  fol.  34,  ed.  by  G.  E.  Woodbine 
(New  Haven,  1915-1942),  II,  109:  "De  cartis  vero  regiis  et  factis  regum  non 
dcbent  nee  possunt  iustitiarii  nee  privatae  personae  disputare,  ncc  etiam,  si  in  illis 
dubitatio  oriatur,  possunt  earn  interprctari."  It  is  difficult  to  follow  the  arguments 
on  this  passage  advanced  by  Fritz  Schulz,  "Bracton  on  Kingship,"  Engl.  Hist.  Rev., 
LX  (1945),  173,  admirable  though  his  discussion  is  in  so  many  other  respects. 
Schulz  claims  that  "here  the  words  et  factis  regum  must  be  interpolated."  These 
words,  however,  are  well  attested  in  this  connection  by  the  two  Sicilian  Law  Codes 
(above,  n.  15);  there  is  no  reason  to  assume  an  interpolation,  but  much  reason  to 
wonder  where  the  de  factis  came  from.  Schulz  claims  also  that  the  plural  regum 
instead  of  regis  "is  conspicuous."  I  do  not  think  so:  the  plural  slipped  in  because 
C.  9,  29,  2,  which  Schulz  did  not  take  into  consideration,  has  the  heading  "Idem 
A.\.\.  (  =  .\ugusti)  ad  Symmachum  praefectum  Urbi,"  for  the  law  was  issued 
by  the  three  emperors  Gratian,  \alcntinian,  and  Theodosius;  and  the  plural  first 
slipped,  not  into  Bracton's  treatise,  but  into  Liber  aug.,  I,  4,  the  title  of  which 
reads:  "Ut  nullus  se  intromittat  (see  above,  n.  11)  de  factis  seu  consiliis  regum"  — 
a  significant  slip  because  the  Byzantine  plurality  of  emperors  influenced  the  South- 
Italian  scriptoria  and  chanceries  not  at  all  rarely;  see  G.  B.  Ladner,  "The  'Por- 
traits' of  Emperors  in  Southern  Italian  Exultet  Rolls  and  the  Liturgical  Commemo- 
ration of  the  Emperor,"  Speculum,  XVH  (1942),  189  ff.,  who  convincingly  inter- 
prets tho.se  plurals  in  South-Italian  liturgical  texts.  How  to  explain  the  similarity 
of  Bracton's  wording  with  that  of  the  Sicilian  law-book  is  a  different  matter;  but 
when  Bracton  wrote  his  treatise  (probably  between  1250  and  1259),  England  was 
"swamped"  by  Sicilians;  see  E.  Kantorowicz,  "Pctrus  de  Vinea  in  England," 
Mitteilungen  des  Osterrcichischen  Instituts  fur  Geschichtsforschung,  LI  (1937-38), 
esp.  74  ff.,  81  ff. 

"  Mcllwain,  Political  Works  of  James  I,  m  f. ;  see  also  Parliamentary  Debates 
in  1610,  p.  23,  §  3. 

"*The  law  of  the  three  emperors  penetrated  also  Canon  Law;  see  the  gloss  on 
Decretum,  II,  C.XVII,  qu.  4,  c.  4.  And,  as  Professor  Gaines  Post  kindly  pointed  out 
to  me,  the  law  was  transferred  also  to  the  pope;  see  Hostiensis,  Summa  aurea 
(Venice,  1586),  col.  1610,  De  crimine  sacrilegii,  n.  2:  "Similiter  de  iudicio  summi 


II 


i 


i 


which  the  jurists  of  the  twelfth  and  thirteenth  centuries  —  Placen- 
tinus,  Azo,  and  others  —  termed  religio  iuris,  "Religion  of  Law,"  ''■• 
and  what  in  the  surroundings  of  Frederick  II  was  termed  some- 
times mystcrium  lustitiae.-"  It  is  true,  the  emperor  himself  in  his 
Sicilian  Constitutions  mentioned  only  the  ministerhim  lustitiae,  or 
rather  the  sacratissimum  minis tcrium  lustitiae,  which  he  entrusted 
to  his  officials.-'  But  the  two  words  —  ministerium  and  mysterium 
—  were  almost  interchangeable  since  early  Christian  times,  and 
they  were  perpetually  confused  in  mediaeval  times:  a  later  glos- 
sator of  the  Sicilian  Constitutions,  Matthaeus  de  Afflictis,  when 
glossing  Frederick's  law,  still  found  it  necessary  to  point  out  in 
many  words  the  difference  between  ministerium  and  mysterium." 

_       ..  .  Y  c!  ,Gui«Le  tall*  , 

Pontificis  disputare  non  licet."    See  also  Oldradus  de  Ponte,  Consilia,  LXII,  n.  i      r  ' 

(Lyon,  1550),  fol.  21"':    "De  potestate  vestra  dubitare  sacrilegium  essct.  arg.  C.  de  ^Wa.LXV,  f*<. 
cri.^sacri.  1.  H  (C.  9,  29,  2)."  gtT^./O:!''':?''***^ 

'"  The   religio   iuris   is   usually   discussed   by    the   glossators   in   connection    with        '. 
Justinian's   Institutes,   Prooem.:    ".  .  .  et   fiat    [princeps    Romanus]    tarn   iuris   re-  ^*^*"  **  7"*^"'" 
ligiosissimus  quam  victis  hostibus  triumphator."   Cf.  Placentinus,  Summa  Institutio-  Uc.  i^^^»<^  **" 
num,  ed.  H.  Fitting,  Juristische  Schriften  des  friiheren  Mittelalters  (Halle,   1876),  (.»(>«.]  poU^*«f*- 
222,  21;  Azo,  Summa  Institutionum,  cd.  F.  W.  Maitland,  Select  Passages  from  the  .,,^^^^-^' i,'(,4;o    •_ 
Works  of  Bracton  and  .\zo  (Selden  Society,  VIII:   London,  1895),  6.    The  Glossa 
ordinaria  (gl.  on  "religiosissimus")   parallels,  like  .\zo  and  others  did  before,  the  ^^^  \^«*>''>, 
notions  iuris  religio  and  Iriumphus.    See  also  .Andreas  of  Isernia,  on  Liber  aug.,  I,  Cfu^itu  S4fY\'(».,\' 
99,  ed.  Cervone,   168:   "lustitia  habct   multas  partes  inter  quas  est  relieio  et  sac-  Covuiw^  f>'f-. 
ramentum  .  .  .  Nam  sacramentum  est   religio:    unde  dicitur  iurisiurandi   religio."  ,    ^^ 
lurisiurandi  religio  remained  a  technical  term  of  Jurisprudence,  and  it  is  significant''"  "'"'S,'^ 
that  a  16th-century  French  jurist,  when  referring  to  Philo,  De  specialibus  legibus,  J*A  ,  Xiii  :  / 


II:   De  iureiurando  religioneque,  quoted  Philo,  Liber  de  iurisiurandi  religione;   see      iT'/tfl      j. 
Pierre  Gregoire,  De  Republica,  VI,  c.  3,  n.  2  (Lyon,  1609),  137,  in  marg.  ,''" 

""'Pctrus  de  Vinea.  Epistolac,  III,  69,  ed.  by  Simon  Schard  (Basel,  1566),  512: 
"vendere  precio  iusticiae  mysterium,"  a  school  letter  distorting  the  imperial  laws. 
Venal  justice,  of  course,  compared  with  simony;  see  Philipp  of  Leyden  (below,  n. 
67),  Casus  LX,  n.  33,  p.  253  f.;  Lucas  de  Penna,  on  C.  12,  45,  i,  n.  61,  p.  915: 
"gravius  crimen  est  vendere  iustitiam  quam  praebendam ;  legimus  enim  Christum 
esse  iustitiam  [see  Decretum,  C.  XI,  q.  3,  c.  84,  ed.  Friedberg,  I,  666],  non  Icgitur 
autem  esse  praebendam." 

"'Liber  aug.,  I,  63,  ed.  Cervone,  124. 

*■'  For  the  interchangeable  use  of  ministerium  and  mysterium,  see  F.  Blatt, 
"Ministerium-Mysterium,"  .Archivum  latinitatis  medii  aevi.  I\'  (1923),  80  f.;  one 
might  add  E.  Diehl,  Inscriptioncs  latinae  christianae  veteres  (Berlin,  1924),  I,  4, 
No.  14  ("ministeriis  adque  mysteriis  religiose  celebrandis") ;  also  The  Book  of 
Armagh,  ed.  by  John  Gwynn  (Dublin,  19J3),  p.  ccxxi  (quotation  of  Romans, 
II,  25).  Matthaeus  de  .Afflictis,  In  utriusque  Siciliae  .  .  .  Constitutiones  (Venice, 
1562),  I,  fol.  216",  on  Liber  aug.,  I,  63  [60],  nos.  4-5,  finds  the  chief  difference 
between  the  two  notions  finally  in  the  fact  that  "mysterium  non  potest  fieri  in 
privatis  domibus  .  .  .  ,  sed  ministerium  iustitiae  potest  fieri  etiam  in  privatis 
domibus,"  a  somewhat  disappointing  result  of  a  promising  effort.  See  also  .\.  Souter, 
A  Glossary  of  Later  Latin  (Oxford,  1949),  s.v.  "ministerium." 


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There  seems,  therefore,  little  doubt  that  it  was  from  the  stratum 
of  the  "Mysteries  of  Justice"  —  "Justice"  standing  in  that  period 
for  "Government"  or  "State"  —  that  James  I's  concept  of  Mys- 
teries of  State  arose.  And  it  was  from  the  same  stratum  that  the 
Pontificalism  of  absolute  kings  originated. 

The  royal  "PontificaHsm,"  then,  seems  to  be  resting  in  the 
legally  settled  belief  that  government  is  a  mysterium  administered 
alone  by  the  king-highpriest  and  his  indisputable  officers,  and 
that  all  actions  committed  in  the  name  of  those  "Mysteries  of 
State"  are  valid  ipso  facto  or  ex  opere  operate,  regardless  even 
of  the  personal  worthiness  of  the  king  and  his  henchmen. 

Whence  does  this  pontifical  attitude,  unknown  in  the  earlier 
Middle  Ages,  derive?  To  be  sure,  the  "king-priest,"  the  rex  et 
sacerdos,  was  an  early  mediaeval  ideal  of  many  facets,-''  though 
always  inseparable  from  the  Christ-centered  kingship  of  that  age; 
or,  if  you  prefer,  from  the  liturgical  kingship  linked  to  the  altar, 
which  finally  gave  way  to  a  legalistic  kingship  by  divine  right. 
This  legalism  began  in  the  twelfth  century  when  the  king's  quasi- 
sacerdotal  character  no  longer  was  legitimized  exclusively  as  an 
effluence  of  unction  and  altar,  but  as  an  effluence  of  the  gravity  of 
Roman  Law  which  styled  judges  and  lawyers  sacerdotes  iustitiae, 
"Priests  of  Justice."  -*    The  ancient  solemnity  of  liturgical  lan- 

"*  There  is  a  considerable  lack  of  clarity  with  regard  to  the  rex  et  sacerdos  ideal. 
Without  trying  to  solve  a  complicated  problem  in  a  footnote,  a  few  remarks  may 
not  be  out  of  order.  In  the  early  Christian  centuries,  the  rex  et  sacerdos  ideal  had 
nothing  to  do  with  consecrations:  it  was  chiefly  a  survival  of  the  imperial  title 
Poniijex  Maximus,  though  also  an  adaptation  of  that  title  to  Christian  thought  by 
way  of  the  biblical  model  of  Melchizedek.  The  introduction  of  royal  anointments 
in  the  7th  and  8th  centuries  produced  the  liturgical  note:  the  new  coronation 
anointing  of  Old-Testament  pattern  was  fused  with  the  baptismal  anointing  of 
New-Testament  pattern  "ut  intelligat  baptizatus  regale  ac  sacerdotale  minbterium 
accepisse"  (see,  among  a  score  of  similar  phrasings,  .^malar  of  Trier's  response  to 
the  questionnaire  of  Charlemagne  on  baptism,  Patr.  lat.,  XCIX,  898D):  the  king, 
like  the  neo-baptized,  was  rex  et  sacerdos,  though  in  a  special  sense,  and  his  priest- 
hood was  esoteric  only,  and  not  clerical.  After  the  introduction  of  head-anointings 
at  the  bishops'  consecration,  the  king's  coronation  was  strongly  assimilated  to  the 
ordination  of  a  bishop:  the  royal  office  was  "clericalized"  and  the  ruler  considered 
nott  omnino  laicus.  Roman  and  Canon  Laws  finally  produced  a  new,  neither 
esoteric  nor  liturgico-clerical,  but  legalistic-clerical  interpretation  of  the  old  rex  et 
sacerdos  ideal,  though  without  inactivating  the  earlier  layers  completely. 

''Digest,  I,  I,  i:  "(Ulpianus)  Cuius  merito  quis  nos  sacerdotes  apf>ellet:  iustitiam 
namque  colimus  .  .  ."  VVTio  he  (quis)  was  that  called  the  judges  and  jurists  priests 
is  not  said;  see,  however,  Aulus  Gellius,  Noctes  .Atticae,  XIV,  4:  ".  .  .  iudicem,  qui 
Iustitiae  antistes  est";  also  Quintilian,  Inst.  orat..  XI,  i,  69:  "iuris  antistes"  See 
further  the  inscription  CIL.,  VI,  2250:  sacerdos  iustitiae,  with  Mommsen's  quota- 


guage  mingled  strangely  with  the  new  solemnity  of  the  legist's 
idiom  when  Roger  II,  in  the  Preface  to  his  Sicilian  Assizes  of 
(probably)  1140,  called  his  collection  of  new  laws  an  oblation  to 
God.  Dignum  et  necessarium  est,  "It  is  meet  and  necessary"  — 
with  these  words  the  Preface  opened  to  explain  the  purpose  of  the 
collection,  and  continued: 

In  qua  oblatione  —  By  this  oblation  [of  new  laws]  the  royal  office 
presumes  for  itself  a  certain  privilege  of  priesthood,  wherefore  some 
wise  man  and  jurisprudent  called  the  law  interpreters  'Priests  of  Law.'  ^^ 

With  the  last  quoted  words  King  Roger  referred  to  the  opening 
paragraph  of  Justinian's  Digest  which  naturally  attracted  the  at- 
tention of  the  mediaeval  jurists.  Accursius  (died  ca.  1258),  in  the 
Glossa  ordinaria  on  D.  i,  i,  i,  drew  a  clear  parallel  between  the 
priests  of  the  Church  and  those  of  the  Law: 

Just  as  the  priests  minister  and  confection  things  holy,  so  do  WE, 
since  the  laws  are  most  sacred  .  .  .  And  just  as  the  priest,  when  im- 
posing penitence,  renders  to  each  one  what  is  his  right,  so  do  WE  when 
we  judge.-® 

An  imperial  judge  at  Florence  around  1238,  John  of  Viterbo,  in- 
ferred from  the  Codex  that  "the  judge  is  hallowed  by  the  presence 
of  God"  and  that  "in  all  legal  causes  the  judge  is  said,  nay,  be- 
lieved to  be  God  with  regard  to  men,"  whereby  the  fact  that  the 
judge  administers  a  sacramentutn,  the  oath,  and  had  a  copy  of 
Holy  Scriptures  on  his  table,  served  —  or  was  pressed  to  fit  —  the 


•      f 


tion  of  D.  I,  I,  1;  also  Symmachus,  Ep.  X,  3,  13,  Mon.  Germ.  Hist.,  Auct.  ant., 
VI,  282,  28,  addressing  the  emperors  Iustitiae  sacerdotes.  For  the  passage  itself,  see 
Ulrich  von  Liibtow,  "De  iustitia  et  iure,"  Savigny  Zeitschrift  fiir  Rechtsgeschichte, 
rom.  Abt.,  LXVI  (1948),  458  £f.,  esp.  524,  559  £f.,  563. 

*  Brandileone,  Diritto  Romano  (above,  n.  15),  94  f.:  "In  qua  oblatione  regni 
officium  quoddam  sibi  sacerdotii  vendicat  privilegium ;  unde  quidam  sapiens  legisque 
peritus  iuris  interpretes  iurb  sacerdotes  appellat."  Compare  Dignum  et  necessarium 
est  with  the  Preface  of  the  Mass:  Vere  dignum  et  iustum  est;  and  the  relative 
junction  In  qua  oblatione  with  Quam  oblationem  before  the  Consecration.  Neither 
the  similarities  nor  the  slight  variations  are  meaningless:  one  wanted  the  assonance 
with  the  Mass,  but  refrained  as  yet  from  profanation. 

"  Glossa  ordinaria,  on  D.  i,  i,  1,  gl.  'sacerdotes':  "quia  ut  sacerdotes  sacra  minis- 
trant  et  conficiunt,  ita  et  nos,  cum  leges  sunt  sanctissimae  .  .  .  Ut  ius  suum  cuique 
tribuit  sacerdos  in  danda  poenitentia,  sic  et  nos  in  iudicando."  A  long  commentary 
on  the  subject  is  found  in  Guillaume  Bude,  Annotationes  in  XXIIII  Pandectarum 
libros  (Lyon,  iSSi),  28  ff. 


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purpose  of  a  para- religious  exaltation  of  the  jurist-priest.""  So 
great  a  jurist  as  William  Durand,  the  Speculator,  writing  at  the 
end  of  the  thirteenth  century,  quoted  the  glossators  to  the  effect 
"that  the  emperor  ranked  as  a  presbyter  according  to  the  passage 
where  it  is  said  (D.i,i,i ):  'Deservedly  we,  the  judges,  are  called 
priests.'  "  -**  And  he  referred  to  both  Roman  Law  and  Gratian's 
Decretum,  as  he  added:  "The  emperor  is  called  also  pontiff."-" 
It  is  most  significant  that  here  a  positive  effort  was  made  to  prove 
the  king's  non-laical,  and  even  pontifical,  character  within  the 
Church,  not  as  a  result  of  his  anointment  with  the  holy  balm,  but 
as  a  result  of  Ulpian's  comparison  of  judges  with  priests.  At  any 
rate,  kingship  was  about  to  be  severed  from  the  altar  space,  and 
the  ancient  ideal  of  priest-kingship  after  the  model  of  Melchizedek 
and  of  Christ  was  gradually  replaced  by  a  new  regal  pontificalism 
after  the  model  of  LTlpian  or  even  Justinian  himself. 

That  the  Mysteries  of  State  were  inseparable  from  the  sphere 
of  law  and  jurisdiction  demands  no  further  comment.  The  claim 
to  universal  jurisdiction  which  Barbarossa  ( advised,  as  the  story 
goes,  by  the  four  Doctors  of  Bologna )  put  up  on  the  basis  of  Feu- 
dal and  Roman  Laws,  was  a  failure.  It  was  not  a  failure  when  the 
same  claim  was  made  by  the  Roman  Pontiff  on  the  basis  of  i 
Corinthians  2,15:  "The  spiritual  man  judges  all,  but  himself  is 
judged  by  none."  We  are  well  acquainted  with  the  history  of  that 

"John  of  Viterbo,  De  repimine  civitatum,  c.25,  ed.  Gaetano  Salvemini,  in: 
Bibliotheca  iuridica  medii  aevi  (Bologna,  1901),  ni.226:  ",  .  .  nam  iudex  alias 
sacerdos  dicitur  quia  sacra  dat  .  .;  et  alias  dicitur:  'Judex  dei  presentia  con.secra- 
tur'  .  .  .;  dicitur  etiam,  immo  creditur,  esse  deus  in  omnibus  pro  hominibus  .  .  ." 
The  places  referred  to  are  D.i,i,: ;  C.  3,1,14;  C.  2,59,2.8. 

^Guillelmus  Durandus,  Rationale  divinorum  officiorum,  11,8,6  (Lyon,  1565), 
fol.55'  "Quidam  etiam  dicunt  .  .  .  (D  1.8,9,3)  quod  [imperator]  fit  presb\1.er' 
iuxta  illud:  "Cuius  merito  quis  nos  sacerdotes  appellat'." 

"Durandus,  loc.cit.:  •Imperator  etiam  pontifex  dictus  est."  Cf  Rationale,II,ii : 
"Unde  et  Romani  Imperatores  pontifices  dicebantur."  This  is  simply  the  customary- 
quotation  from  Gratian,  Decretum,  I,  Dist.XXl.c.i  ,§8,  ed.  Friedberg,  1,68.  The 
passage  in  the  Decretum  is  taken  from  Isidore  of  Seville,  Etym.,\'ll,i2.  The 
civilians  rarely  failed  to  aUege  that  place  of  the  Decretum  when  they  came  to 
discuss  the  pontifical  and  sacerdotal  qualities  of  the  Prince  in  connection  with 
Justinian,  lnstit.,II,i,8  ("per  pontifices  deo  consecrata  sunt"),  or  with  D.  1,8,9,1 
("cum  princeps  eum  [locum  sacrum]  dedicavit").  Later  Bude.  op.  cit.  (above4i.26), 
30,  blames  Accursius  —  and,  for  that  matter,  the  whole  old  school  of  glossators  — 
quod  ad  nostras  pontificf.^  rctulit :  that  is,  for  having  equated  the  ancient  pontijes 
with  the  modern  Christian  bishop.  This  does  honor  to  Bude's  strong]>-  developed 
hLstorical  understanding  By  that  time,  however,  the  damage  was  done  and  the 
king  had  become  "pontifical." 


maxim,  and  know  how  the  "Man  endowed  with  the  Holy  Spirit," 
the  pncumatikos  of  the  Apostle,  finally  was  replaced  by  the  in- 
cumbent of  an  office,  the  bishop,  and  was  identified  in  particular 
with  the  Bishop  of  Rome;  and  how,  after  passing  through  the 
Dictatus  papae  of  Gregory  \'II  and  the  bull  Unam  sanctam  of 
Boniface  VIII,  the  papal  maxim  claiming  universal  jurisdiction 
under  certain  circumstances  was  established  for  all  times  to  come: 
Sancta  Scdcs  omncs  iudicat.  sed  a  ncminc  iudicatur?^ 

Far  less  well  known  is  the  later,  secular,  history  of  that  maxim. 
Baldus,  the  great  legal  authority  of  the  fourteenth  century,  re- 
marked that  the  emperor  was  also  called  Rex.  quia  alios  regit  et  a 
nemjne  regitur.  "Ruler,  because  he  rules  others  and  is  ruled  by 
none.  "  ''  Matthaeus  de  Afflictis.  the  Sicilian  glossator  at  the  be- 
ginning of  the  sixteenth  century,  declared:  "The  emperor  com- 
mands the  others,  but  he  is  commanded  by  none."  '*'-  De  .Afflictis, 
of  course,  did  not  quote  or  twist  St.  Paul;  he  quoted  Baldus,  who 
in  his  turn  hardly  thought  of  the  Epistle  to  the  Corinthians,  but  of 
the  canonist  maxim:  Sancta  scdcs  omncs  iudicat.  The  same  was 
probably  true  when  James  I  declared  that  God  had  the  fxjwer  "to 
judge  all  and  to  be  judged  by  none,"  not  without  adding,  though, 
that  "Kings  are  justly  called  Gods,'^'  for  that  they  exercise  a 
manner  or  resemblance  of  Divine  Power  on  earth."  '^*  Nor  did 
Salmasius,  an  absolutist  of  a  good  vintage,  think  of  the  Apostolic 
Letter  when,  in  his  Regal  Defense  of  Charles  I  of  England,  first 
printed  in  1649,  said  plainly  and  simply:    "He  is  a  king  in  the 

■"See  .\lbert  Michael  Koeniger,  "Prima  sedes  a  nemine  iudicatur,"  Beitrage  zur 
Geschichte  des  christlichen  .Mtertums  und  der  byzantinischen  Literatur:  Festgabe 
Albert  Ehrhard  'Bonn  und  Leipzig,  192:).  273-300;  see,  for  Boniface  Mil,  also 
Konrad  Burdach.  Rienzo  und  die  geistige  Wandlung  seiner  Zeit  (Vom  Mittelalter 
zur  Reformation,  II,::  Berlin.  3913-28),  53S  ff.  See  the  angn.-  16th-century  diatribe 
against  the  papal  maxim  by  Pierre  de  Belloy,  Moyens  d'abus.  entreprises  et  nuUitez 
du  rescrit  et  bulle  du  Pape  Sixte  X"'  (Paris,: 586).  61  ff. 

"Baldus,  on  Digest,  Prooem.j1.23    ( Venice,! 5 86),  I,fol.2'. 

"'Matthaeus  de  .\fBictis.  In  Sicil.  Const.,  praeIudia,quXXI,n  3,fol.:8:  "quia 
imperator  aliis  imperat.  sed  sibi  a  nemine  imperatur.  ut  dicit  Baldus  in  prin.ff. 
veteris.in  ii.col."  (see  above,n.3i). 

•''For  the  kings  as  "gods"  (dn),  see  my  paper  ''Deus  per  naturam.  Deus  p>er 
gratiam."  Harvard  Theological  Review,  XLV  (1952),  253-277.  where  I  have  indi- 
cated (e.g.,274,n.72 )  the  connections  with  absolutist  theories,  though  without  pene- 
trating the  matter  and  without  recognizing  to  what  extent  that  notion  was  actuaUy 
pivotal  in  the  theories  of  English  and  French  absolutists.    See,  e.g.,  above,  n.9. 

"James  I's  Sp)eech  to  the  Lords  and  Commons,  March  21,  1609;  see  Mcllwain, 
PoUtical  Works.  307  f. 

"<{/Ly<-*»    'V**-    fA^**   iM.'Cr^C' fr<rt*^^    tt<.dLccoit  .'  I<xo»    uy,a^c9J-  i^-tc^/^  '3't*<A      i^cuit 
A*  ?flufo(x  dUcU-wn  ^.tV-  uX^-^  r«-cffl.  c«.iv,  t^ta^^x<<u*^  pct<^^A^  t^tf^iOt^oi 


I    U     J 


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HARVARD  THEOLOGIC'VL  REVIEW 


proper  sense  of  the  word,  who  judges  all  and  is  judged  by  none."  ''•''' 
Salmasius  clearly  twisted  nothing  but  the  papal  theory  by  trans- 
ferring its  essence  to  the  secular  state.  Literally,  the  absolute 
Prince  had  stepped  into  the  shoes  of  the  Roman  Pontiff:  he,  the 
Prince,  now  became  the  super-man,  that  homo  spiritualis  whom 
Boniface  VIII  so  powerfully  had  tried  to  monopolize  to  the  exclu- 
sion of  all  others  for  the  Roman  Pontiff.-^'' 

The  ''Mysteries  of  State"  were  practically  always  bound  to  the 
legal  sphere.  On  the  accession  of  Henry  II  of  France,  in  1547, 
there  was  introduced  into  the  French  Coronation  Order  a  rubric 
before  and  after  the  bestowal  of  the  ring,  saying  that  by  this  ring 
''the  king  solemnly  married  his  realm,"  —  Ic  ray  cspousa  solcm- 
nellcment  Ic  rpyaumc.^'  This  was  not  just  a  metaphor  introduced 

*'' Salmasius,  Defensio  repia  pro  Carolo  I.,c.VI  (Paris.  1650  [first  published  in 
1649!),  i6g:  "Rex  a  nemine  iudicari  potest  nisi  a  Deo";  and  170:  "...  ilium 
proprium  [regem  esse],  qui  iudicat  de  omnibus  et  a  nemine  iudicatur." 

"'See  Burdach,  Rienzo  (above,  n.,^o),  211  f.,  26Q  f..  and  passim  (Index,  s.v. 
"Obermensch"),  on  the  idea  of  the  "superman"  and  its  connection  witli  the  homo 
spiritualis.  The  genealogy  of  "superman"'  is,  however,  very  complicated,  though  a 
connection  with  St  Paul  and  the  Epistle  to  the  Corinthian.<;  cannot  easily  be  denied. 
See  Gregory  the  Great,  Moralia.  XVIII,c.54  (§  92).  on  Job,27.20-2:  ;  Patr.  lat.. 
LXXVI,9sA.  Gregory  comment.'^  on  i,  Cor.2,10.  and  says  about  St.  Paul;  "More 
suo  [Paulusl  'homine.";'  vocan.s  omnes  humana  sapientes.  quia  qui  divina  sapiunt, 
videlicet  supra  homines  sunt  \'idebimu.'i  igitur  Deum,  si  per  coelestem  conversa- 
tionem  suprahomines  esse  mereamur."  The  notion  of  suprahomines  thus  coincides 
largely  with  that  of  dii  (see  above.n.3,^).  See  Charles  Norris  Cochrane.  Christianity 
and  Classical  Culture  (Oxford,  1940),  ii3,n.i;  J.  Maritain.  Theonas.  Conversations 
of  a  Sage  (London  and  New  York,  1933).  189;  see  also  R.  Reitzenstein,  Die  hel- 
lenistischen  Mysterienreligionen  (ud  ed.,  Berlin,  1927),  .^68  ff..  for  St  Paul,  and 
further  Karl  Holl.  Luther  (Tiibingen,  1932), 222,533.  There  is,  however,  yet  an- 
other strand.  Nikephoras  Gregoras,  writing  in  the  14th  century,  still  styles  the 
Byzantine  emperor  "divine  and  man  above  men"  (delos  xal  itvip  dvepuwav 
irepwiro!)  ;  cf.  Rodolphe  Guilland.  "Le  droit  divin  a  Byzance  "  Eos.  XLII  (1947), 
153.  This  strand,  of  course,  leads  to  the  very  broad  problem  of  the  theios  aner, 
which  cannot  be  broached  here.  Cf  L  Bieler.  OElOl  AMI!':  Das  Bild  des 
"gotthchen  Menschen"  in  Spiitantike  und  Fruhchristentum  (Vienna,  1935). 

''Th.  Godefroy,  Le  ceremonial  de  France  (Paris,  i6iq),  348.  for  the  coronation 
of  1547.  and.  p.  661,  for  the  more  detailed  rubric;  of  1594:  '.\NNEAr  ROYAL: 
Parcc  qu'au  jour  du  Sacre  le  Roy  espousa  solemnellement  son  Royaume,  et  fut 
commc  par  le  doux,  gracieux,  et  amiable  lien  de  mariage  inseparablement  uny  avec 
ses  subjects,  pour  mutuellement  sentrfelaimer  ainsi  que  sont  le.s  espoux.  luy  fut 
par  le  dit  Evesque  de  Chartres  presente  un  anneau,  pour  marque  de  ceste  reciproque 
conjonction."  The  rubric  after  the  ceremon\  say.'^  that  the  same  bishop  "mit  le  dit 
anneau.  duquel  le  Roy  espousoit  son  Royaume.  au  quatriesme  doigt  de  sa  main 
dextrt,  dont  procede  certaine  veine  attouchant  au  coeur."  See,  for  the  last  remark 
concerning  the  ring  finger,  Gratian,  Decretum,  II,  C.XXX,  qu.5,c.7,  ed.Friedberg ; 
1,1106.  In  his  edict  of  1607,  concerning  the  reunion  to  the  Crown  of  his  private 
patrimony  of  Navarre,  Henry  I\'  quite  obviously  alludes  to  those  rubrics,  when  he 


MYSTERIES  OF  STATE 


77 


for  its  handsomeness,  as  perhaps  occasionally  in  an  address  of 
James  I,^*  but  for  its  agreement  with  the  fundamental  law  of  the 
realm  and  with  contemporary  legal  concepts.  In  1538,  a  French 
lawyer.  Charles  de  Grassaille.  advanced  in  his  book  On  the  Regalian 
Rights  of  France  the  theory  that  "a  marriage  both  moral  and  poli- 
tic" {matrimonium  morale  ct  politicum)  was  contracted  between 
the  king  and  his  respublica.^"  Grassaille  as  well  as  other  sixteenth- 
century  lawyers  —  Rene  Choppin,  in  1572,'"'  or  FranQois  Hotman, 
in  1576  ^'  —  declared  that  the  king's  power  over  the  domain  and 
the  fisc  was  only  that  which  a  husband  had  over  the  dowry  of  his 
wife:  "The  domain  is  the  dowry  inseparable  from  the  pubhc 
state."  *^  Rene  Choppin  actually  went  so  far  as  to  say  that  the 
king  "is  the  mystical  spouse  of  the  respublica'  (Rex  rcipublicae 
mysticus  coniunx).*'^   This  has  been  looked  upon  occasionally  as 

says  about  his  predecessor  kings  that  "ils  oni  contracte  avec  leur  couronne  une 
espece  de  mariage  communcment  appelle  .saint  et  poUtique";  cf.  Recueil  general 
des  anciens  lois  franQaises,  ed.by  Isambert,  Taillandier  et  Decrusy,  vol.  XV  (Paris, 
1829).  32R,  No.iQi  ;  see  also  Hartung  ft)elow,n.40),  33  f  ;  and,  for  the  sponsus 
metaphor  in  general.  Burdach,  Rienzo.  41-61. 

""  See,  e.g.,  King  James  I's  Speech  to  his  First  Parliament,  in  1603 ;  Parliamentary  i 
History,  1,930;  "'What  God  hath  conjoined  then,  let  no  man  separate'    I  am  the 
husband,  and  all  the  whole  island  is  m>  lawful  wife;  1  am  the  head,  and  it  is  my 
body ;  1  am  the  shepherd,  and  it  L*;  my  flock." 

*  Charles  de  Grassaille,  Rccahum  Franciae  libri  duo,  I.  ius  xx  (Paris,  I.^4^),  217: 
"Rex  dicitur  maritus  reipublicae  .  .  .  Et  dicitur  esse  matrimonium  morale  et  poli- 
ticum; sicut  inter  ecclesiam  et  Praelatum  matrimonium  spirit uale  contrahitur.  .  . 
Et  sicut  vir  est  caput  uxoris.  uxor  vero  corpus  viri  ....  ita  Rex  est  caput 
reipublicae  et  respublica  eius  corpus  "    See  above,n.38,  and  below,  nos.48,s6. 

"Rene  Choppin.  De  Domanio  Franciae.  Lib.II,  tit.i,  n.2  (Paris,  1605),  p.203; 
"Sicuti  enim  Lege  JuUa,  dos  est  a  marito  inalienabiUs :  ita  Regium  Coronae  patri- 
monium,  individua  Reipublicae  dos";  also  Lib.III.  tit. 5.  n.6.  p.449;  "Rex.  curator 
Reipublicae  ac  mysticus  ipsius  coniunx."  See.  for  the  French  version,  Choppin, 

Les  oeuvres  (Paris.  1635).  11,117  and  259  See  also  the  very  useful  study  of  Fritz 
Hartung,  Die  Krone  als  Symbol  der  monarchischen  Herrschaft  im  ausgehenden 
Mittelalter  ( Abhandlungen  der  Preussischen  .Mcademie,  1940,  Nr.13 ;  Berlin,  1941  K 
33  i- 

"Fran(;ois  Hotman,  FrancogalUa.  c.  IX.  n.  5  (first  published  in  1576;  the  early 
editions  do  not  contain  Chapter  IX.  and  the  later  editions  were  not  accessible  to 
me) ;  cf.  Andre  Lemaire.  Les  lois  fondamentales  de  la  monarchie  frangaise  (Paris, 
I907),93.n.2.  for  the  editions  (also  99,n.2).  and.p.ioo,  for  the  marriage  metaphor 
used  also  by  Pierre  Gregoire,  De  RepubUca,  IX,:,ji  (Lyon,i6o9;  first  published 
in  1578),  p.267.\:  the  Prince  as  sponsus  reipublicae  and  the  fisc  as  the  dos  pro 
oneribas  danda. 

*"See  Filippo  E.  Vassalli.  "Concetto  e  natura  del  fisco."  Studi  Senesi.  XXV  (1908), 
198,  nos.  3-4,  and  201.  for  the  metaphor.  The  problem  of  inalienability  of  the  fisc 
or  demesne  in  France  is  one  of  the  leading  subjects  in  the  excellent  study  of  William 
F.  Church.  Constitutional  Thought  in  Sixteenth-Century  France  (above,  n.  8). 

"Above,  n.40;  also  Church.  Const.  Thought,  82. 


U)ZM. 


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I    U       I 


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HARVARD  THEOLOGICAL  REVIEW 


a  "new  theory."*^  In  fact,  however,  those  French  lawyers,  es- 
pecially Grassaille,  quoted  verbatim  from  the  Commentaries  on 
the  last  three  books  of  Justinian's  Codex  by  a  South-Italian  jurist, 
Lucas  de  Penna  (born  ca.  1320),  whose  work  was  widely  studied 
and  six  times  reprinted  in  sixteenth-century  France/''  The  pas- 
sage from  Lucas  de  Penna,  quoted  by  Grassaille,  contains  a  whole 
political  theory  in  nuce,  based  on  Ephesians,  5,  the  apostolic  Lesson 
of  the  matrimonial  Mass;  and  since  it  leads  to  other  relevant 
problems,  we  may  use  Lucas  de  Penna's  arguments  as  stepping 
stones  for  further  discussion."*" 

Lucas  de  Penna  commented  on  Codex,  11,58,7,  on  the  Occu- 
pation of  Desert  Land,  excepting,  however,  lands  belonging  to  the 
fisc  and  the  patrimony  of  the  Prince.  It  is  actually  the  fisc  which 
he  wishes  to  discuss,  and  quite  skilfully  he  starts  with  a  quotation 
from  Lucan  who  styled  Cato  urbi  pater  urbiquc  maritus,  ''father 
to  the  city  and  the  city's  husband."  ^^  From  this  metaphor  he 
makes  his  way  to  the  subject  in  which  two  hundred  years  later  the 
French  lawyers  were  interested,  as  he  argues: 

There  is  contracted  a  moral  and  political  marriage  between  the  Prince 
and  the  respublica. 

Also,  just  as  there  is  contracted  a  spiritual  and  divine  marriage  be- 
tween a  church  and  its  prelate,  so  is  there  contracted  a  temporal  and 
terrestrial  marriage  between  the  Prince  and  the  State. 

Also,  just  as  the  church  is  in  the  prelate  and  the  prelate  in  the 

"  See  Hartung,  Krone  als  Symbol,  33. 

••See  Walter  UUmann,  The  Medieval  Idea  of  Law  as  represented  by  Lucas  de 
Penna  (London,  1946),  n.n.2,  for  the  editions.  Ullmann  reasonably  restricts  him- 
self to  a  "few  obvious  examples"  of  French  jurists  who  referred  to  Lucas  de  Penna 
(Tiraqueau,  Jean  de  Montaigne,  Pierre  Rebuffi,  Bodin)  ;  their  number,  however,  is 
legion.  Grassaille  copies  verbatim  and  actually  cites  Lucas'  commentary  on  C.ii,'s8, 
7,  in  the  passage  quoted  above  (n.3Q) . 

"Lucas  de  Penna,  Commentaria  in  Tres  Libros  Codicis,  on  C.  11,  58,  7,  n.  8  ff. 
(Lyons,  1582),  563  f.,  a  place  which  Ullmann  does  not  seem  to  have  discussed, 
though  (p.i76,n.i)  he  quotes  another  marriage  metaphor  of  Lucas.  See  below, 
n.49,  for  the  biblical  and  ritual  background. 

*'"Item  princeps  si  verum  dicere  vel  agnoscere  volumus,  ...  est  maritus 
reipublicae  iuxta  illud  Lucani  .  [Pharsalia,  11,388]."  The  history  of  the  Roman 
title  pater  (parens)  patriae  has  been  admirably  discussed  by  A.  Alfbldi,  "Die 
Geburt  der  kaiserlichen  Bild.symbolik:  3.  Parens  patriae,"  Museum  Helveticum,  IX 
(IQ52),  204-243,  and  X  (1953).  103-124.  The  title  urbi  maritus  is  not  quite 
rare  either,  since  it  is  found  in  Priscian,  Servius,  and  others,  as  every  well  com- 
mented edition  of  Lucan  may  show. 


church  .  .  . 
the  Prince.*^ 


MYSTERIES  OF  STATE  79 

so  is  the  Prince  in  the  respublica,  and  the  respublica  in 


Here  some  of  the  roots  of  royal  "Pontificalism"  are  laid  bare. 
Lucas  availed  himself  of  the  very  old  metaphor  of  the  mystical 
marriage  of  the  bishop  to  his  see  to  interpret  the  relations  between 
Prince  and  state  ^"  —  a  metaphor  widely  and  generally  discussed 
two  generations  before  when  Pope  Celestine  V,  by  his  abdication 
of  1294,  actually  "divorced"  himself  from  the  universal  Church  to 
which  he  was  married.''"' 

In  addition,  Lucas  de  Penna  cited  verbatim  a  passage  from 
Gratian's  Decretum:  "The  Bishop  is  in  the  Church,  and  the 
Church  in  the  Bishop."  ''^  Those  words,  hailing  from  a  famous 
letter  of  St.  Cyprian,  have  always  been  taken  as  a  corner-stone 
of  the  doctrine  of  the  "monarchic  episcopate."  "    When  trans- 

'"  Lucas  de  Penna,  loc.cit.:  ".  .  .  inter  principem  et  rempublicam  matrimonium 
morale  contrahitur  et  politicum.  Item,  sicut  inter  ecclesiam  et  praelatum  matrimon- 
ium spirituale  contrahitur  et  divinum  .  .  .  ,  ita  inter  principem  et  rempubUcam 
matrimonium  temporale  contrahitur  et  terrenum;  et  sicut  ecclesia  est  in  praelato 
et  praelatus  in  ecclesia  .  .  .  ,  ita  princeps  in  republica  et  respublica  in  principe." 
Lucas  de  Penna  may  have  been  guided  by  .\ndreas  of  Isernia,  a  NeapoUtan  like 
himself,  who  on  I  feud.,  3  ("Qui  successores  teneantur"),  n.  16,  In  usus  feudorum 
(Naples,  1 571),  2r,  wrote:  "Est  princeps  in  republica  sicut  caput,  et  respublica  in 
eo  sicut  in  capite,  ut  dicitur  de  praelato  in  ecclesia,  et  ecclesia  in  praelato"  (see  also 
below,  n.  53). 

*"The  basis  is,  of  course,  Ephes.,5,25  ("sicut  et  Christus  dilexit  ecclesiam"),  which 
is  also  basic  for  the  nuptial  mass ;  the  early  Christian  marriage  rings,  therefore,  dis- 
played in  the  bezel  the  marriage  of  Christ  to  the  Church;  see  O.M.Dalton,  Cata- 
logue of  Early  Christian  .Antiquities  and  Objects  from  the  Christian  East  ...  of 
the  British  Museum  (London,  1901),  130  and  131  ;  a  particularly  beautiful  specimen 
is  in  the  Dumbarton  Oaks  Research  Library  and  Collection,  Washington.D.C. 
The  marriage  of  a  bishop  to  his  see  is  a  very  common  image  to  which,e.g..  Pope 
Clement  II,  who  refused  to  divorce  himself  from  his  bishopric  Bamberg,  alluded  in 
most  telling  words;  see  Clement  II,  Ep.,MII,  Patr.lat.,CXLII,58SB;  and,  above 
all,  the  decretal  X,  i,  7,  2  (Innocent  III),  ed.  Friedberg,  II,  97. 

"'The  argument  was  used  especially  on  the  part  of  the  French  legists  in  the 
trial  against  the  memory  of  Pope  Boniface  VIII;  cf.P.Dupuy,  Histoire  du  difierend 
d'entre  le  Pape  Boniface  VIII  et  Philippe  le  Bel  (Paris,  1655),  453  £f.,  and  passim; 
Burdach,  Rienzo,  52  f. 

"  Gratian,  Decretum,  11^  C.VII,qu.i,c.7,  ed.Friedberg,  1,568  f. 

""'Cyprian,  Ep.,66,c.8,  ed.  W.Hartel  (CSEL.,III:2,  1871),  11,733,5.  It  would  be 
rewarding  to  investigate  the  history  of  Cyprian's  image  of  reciprocity.  See,  e.g., 
Athanasius,  Oratio  III  contra  Arianos,c.5,  PGr.,XXVI,332A,  quoted  by  G.Ladner! 
"The  Concept  of  the  Image  in  the  Greek  Fathers,"  Dumbarton  Oaks  Papers,  VII 
(i953).8.n.3i  ("The  image  might  well  say:  'I  [the  image]  and  the  emperor  are 
one,  I  am  in  him  and  he  is  in  me'  ").  Or,  for  a  much  later  period,  Petrus  Damiani, 
Disceptatio  synodalis,  in:  Mon.Germ.Hist.,  Libelli  de  lite,  1,93,36  f.:  "ut  ...  rex 
in  Romano  pontifice  et  Romanus  pontifex  inveniatur  in  rege"  (a  place  to  which 
Professor  Theodor  E.  Mommsen  kindly  called  my  attention).   The  ultimate  source, 


L 


I    L     L 
I    U     J 


80 


HARVARD  THEOLOGICAL  REVIEW 


f erred  to  the  secular  sphere — already  by  Andreas  of  Isernia,  gloss- 
ing the  Sicilian  Constitutions  shortly  after  1300,  then  by  Lucas  de 
Penna  and  Matthaeus  de  Afflictis  '^  —  the  words  of  St.  Cyprian 
fitted  no  less  neatly  as  a  corner-stone  of  the  "pontifical  mon- 
archy": "The  Prince  is  in  the  respublica,  and  the  rcspublka  is  in 
the  Prince."  A  certain  corpo rational  twist  came  into  the  secular 
version  of  that  maxim  '^^  certainly  through  Lucas  de  Penna,  as  will 
be  shown  presently.  The  English  crown  jurists  under  Queen  Eliza- 
beth, however,  twisted  that  twist  when  they  pointed  out  that  "the 
king  in  his  body  politic  is  incorporated  with  his  subjects,  and  they 
with  him,"  and  when  Sir  Francis  Bacon  rendered  an  even  more 
condensed  formula,  coined  by  his  predecessors  and  defining  the 
king  as  "a  body  corporate  in  a  body  natural,  and  a  body  natural 
in  a  body  corporate"  {corpus  corporatum  in  corpore  naturali,  ct 
corpus  naturale  in  corpore  corporato):'^  No  doubt,  St.  Cyprian's 
coinage  had  been  changed,  but  the  die  and  the  die-sinker  are  still 
recognizable. 


of  course,  is  in  all  those  cases  John  14,10,  whose  own  model  is  difficult  to  determine. 
See,  however,  Eduard  Nordcn,  Agnostos  Theos  (Berlin,i923),  305;  Wilfred  L.Knox, 
Some  Hellenistic  Elements  in  Primitive  Christianity  (Schweich  Lectures,i942: 
London,i944),78,n.3,  believes  that  the  Johannine  saying  "goes  back  to  the 
pantheistic  tradition  of  Stoicism  influenced  perhaps  by  the  religion  of  Egypt,"  and 
quotes  (p.73,n.2,  at  the  very  end  of  the  note)  as  "the  nearest  parallel  to  the 
Johannine  language"  a  phrase  found  several  times  in  the  magical  papyri:  av  yap 
fl  eyu  Kal  eyu  air,  see  K.  Preisendanz,  Papyri  graecae  magicae  (Leipzig  and  Berlin, 
1931),  II,  47  (P.  VIII,  37  ff.,  49  ff.)  and  123  (P.  XIII,  795,  with  some  literature  in 
the  footnote).  The  parallel,  however,  does  not  contain  the  word  in  (ep),  which  in 
fact  reflects  two  different  "spaces"  and  which  is  essential  for  the  development  from 
John  14,10,  to  St.  Cyprian  and  thence  to  the  corporational  doctrines  of  early  modern 
times.  See  also  next  note. 

"Andreas  of  Isernia,  Prooemium  super  Constitutionibus,  ed.  Cervone  (above, 
n.14),  p.xxvi,  whUe  discussing  the  fisc  ("fiscus  et  respublica  Romanorum  idem 
sunt"),  concludes:  "Rex  ergo  et  respublica  regni  sui  idem  sunt  .  .  .  ,  qui  est  in 
regno  sicut  caput,  respublica  in  co  sicut  in  capite."  The  basis  is  clearly  John  lo.^o, 
and  14,10  (as  in  the  case  of  Athanasius,  quoted  above,n.S2),  but  the  juristic 
allegation  quoted  by  Andreas  is  the  place  of  the  Decretum  (above,n.5i).  Matthaeus 
de  Afflictis,  on  Const.,II,3,n.62,  fol.iT,  refers  to  Lucas  de  Penna:  "Princeps  est  in 
republica  et  respublica  in  principe." 

"The  corporational  interpretation  of  that  passage  in  a  mystical  sense  was 
certainly  very  old  within  the  Church,  though  it  was  not  juristicaUy  rationalized 
before  the  12th  or  13th  century.  For  Lucas  de  Penna,  see  below,  nos.  56  f. 

"Edmund  Plowden,  Commentaries  or  Reports  (London,i8i6),  233a  (Willion  v. 
Berkley),  one  of  a  score  of  similar  utterances;  see  Bacon,  "Post-nati,"  in:  Works  of 
Sir  Francis  Bacon,  ed.  by  Spedding  and  Heath  (London,i892),VH,667,  who 
actually  quotes  Plowden,  Reports,2i3  (Case  of  the  Duchy  of  Lancaster). 


V 


MYSTERIES  OF  STATE 


81 


This  corporational  aspect,  though  with  a  different  emphasis, 
was  brought  into  the  picture  by  Lucas  de  Penna  at  the  latest. 
While  continuing  his  political  exegesis  of  Ephesians  5,  he  applied 
to  the  Prince  the  versicle:  "The  man  is  the  head  of  the  wife,  and 
the  wife  the  body  of  the  man,"  and  logically  concluded:  "After 
the  same  fashion,  the  Prince  is  the  head  of  the  realm,  and  the  realm 
the  body  of  the  Prince."  "'"  The  corporational  tenet,  however,  was 
formulated  even  more  succinctly,  when  he  continued: 

And  just  as  men  are  joined  together  spiritually  in  the  spiritual  body, 
the  head  of  which  is  Christ  ....  so  are  men  joined  together  morally 
and  politically  in  the  respublica,  which  is  a  body  the  head  of  which  is 
the  Prince."  " 

Here  we  envisage  that  portentous  equation,  which  became  cus- 
tomary around  the  middle  of  the  thirteenth  century:  the  corpus 
rcipublicae  mysticum,  headed  by  the  Prince,  compared  with  the 
corpus  ecclesiae  mysticum,  headed  by  Christ.''^  While  ignoring 
here  the  very  obvious  parallelism  of  the  ecclesiastical  and  the  secu- 
lar "mystical  bodies,"  which  has  been  discussed  in  another  con- 
nection, it  is  pertinent  to  indicate  the  importance  of  Aristotle's 
doctrine  of  human  society  (or  the  state)  as  an  entity  having  both 
moral  and  political  ends.  For  it  was  in  the  last  analysis  a  concept 
based  on  Aristotle  when  the  jurists  pointed  out,  time  and  again, 
that  the  state  was  a  corpus  morale  et  politicum  which  then  indeed 
could  be  set  over  against  the  corpus  mysticum  et  spirituale  of  the 
Church  with  the  same  ease  with  which  Dante  assembled  the  ter- 

°°  Lucas  de  Penna,  loc.  cit.:  ".  .  .  item,  sicut  vir  est  caput  uxoris,  uxor  vero 
corpus  viri  .  .  .  ,  ita  princeps  caput  reipubUcae,  et  respublica  eius  corpus."  The 
quotation  is  Ephes.  s,23  and  28;  that  is,  it  belongs  to  that  apostolic  writing  which 
(above,  n.49)  predominantly  referred  to  both  marriage  rite  and  corporational 
doctrines  in  their  early  setting.  See  also  next  note,  and  above,  n.38,  for  James  I, 
who  quoted  those  passages. 

■""Item,  sicut  membra  coniunguntur  in  humano  corpore  carnaliter,  et  homines 
spirituaU  corpori  spiritualiter  coniunguntur  cui  corpori  Christus  est  caput  .  .  .  , 
sic  moraliter  et  politice  homines  coniunguntur  reipublicae  quae  corpus  est,  cuius 
caput  est  princeps." 

■"See  "Pro  patria  mori,"  .\merican  Historical  Review,  LVI  (i9Si),486  f.,  490  f., 
for  additional  examples.  See  also  Huguccio  of  Pisa  (d.  1210),  who  sets  over  against 
the  body  of  Christ  that  of  the  Devil  (".  .  •  ita  infideles  sunt  unum  corpus,  cuius 
caput  est  diabolus");  cf.  Onory,  Fond  canonisUche  (below,n.84),i7S.n.2,  who  adds 
similar  places. 


T 


I 


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82 


HARVARD  THEOLOGICAL  REVIEW 


restrial  paradise  and  the  celestial  paradise  on  one  denominator 
as  the  two  goals  of  mankind.''' 

Lucas  de  Penna,  by  his  quid  pro  quo  method,  thus  arrives  at 
an  "equiparation"  not  only  of  Prince  and  bishop,  but  also  of 
Prince  and  Christ.  And  he  made  the  comparison  with  Christ 
poignantly  clear  when  he  added: 

Just  as  Christ  joined  to  himself  an  alien-born,  the  Church  of  Gentiles, 
as  his  spouse  .  .  .  ,  so  has  the  Prince  joined  to  himself  the  state  as  his 
sponsa,  which  is  not  his 


(iO 


Thus,  the  venerable  image  of  sponsus  and  sponsa,  Christ  and  his 
Church,  was  transferred  from  the  spiritual  to  the  secular  and 
adapted  to  the  jurist's  need  for  defining  the  relations  between 
Prince  and  State.  We  now  understand  how  the  French  jurist  hap- 
pened to  style  the  king  the  mysticus  coniunx  of  France.  The 
Prince  not  only  donned  the  episcopal  shoes,  but  became  —  like  the 
bishops'  celestial  prototype  —  both  the  head  of  a  mystical  body 
and  its  groom. 

With  this  canonistic  mysticism  there  was  fused  the  institutional- 
ism  of  Roman  Law.  Lucas  de  Penna's  true  purpose,  when  enlarg- 
ing on  those  marriage  metaphors,  was  to  illustrate  the  peculiarities 
of  the  fisc.  He  interpreted  the  fisc  as  the  dowry  of  the  respublka, 
and  maintained  that  the  husband  was  entitled  only  to  use,  but  not 
to  alienate,  the  property  of  his  wife.  He  further  paralleled  the 
vows,  exchanged  by  groom  and  bride  at  their  marriage,  to  the 
oaths,  taken  by  kings  at  their  coronation  and  by  bishops  at  their 

'''  For  the  connection  of  morale  ("ethical"  in  the  Aristotelean  sense)  and  politicum 
it  will  suffice  here  to  quote  Thomas  Aquinas'  Prooemium,c.6,  of  his  Expositio  in 
libros  Politicorum  Aristotelis,  ed.  by  Raymundus  M.Spiazzi  (Turin  and  Rome, 
1951),  p. 2:  ".  .  .  et  huiusmodi  quae  ad  moralem  scientiam  pertinent:  manifestum 
est  politicam  scientiam  .  .  .  contineri  .  .  .  sub  activis  [scientiis]  quae  sunt  scien- 
tiae  morales."  The  expression  corpus  politicum  el  mysticum  is  found  frequently 
in  England  and  France  as  a  predication  of  the  state;  see,  e.g.,  S.B.Chrimes,  English 
Constitutional  Ideas  in  the  Fifteenth  Century  (Cambridge,  1936),  180,185  ("the 
mistik  or  politike  body") ;  for  France,  Church,  Constitutional  Thought,  29, 
n.2o;  34,n.36;  278,n.i6  ("le  corps  politique  et  mystique").  See  also  above,  n.37 
("saint  et  poUtique"). 

""Lucas  de  Penna,  loc.cit.:  "Amplius,  sicut  Christus  alienigenam,  id  est,  gentilem 
ecclesiam  sibi  copulavit  uxorem,  3S.q.l.  §  hac  itaque,  sic  et  princeps  rempublicam, 
quae  quantum  ad  dominium  sua  non  est,  cum  ad  principatum  assumitur,  sponsam 
sibi  coniungit  .  .  ."  The  reference  is  to  Gratian's  Dccrctum,  II,C.XXXV,q.i,§i 
(Gratian's  commentary  on  .Augustine,  De  civitate  Dei,XV,c.i6),  ed.  Friedberg, 
1,1263. 


MYSTERIES  OF  STATE 


83 


ordination,  by  which  both  promised  not  to  alienate  property 
belonging  to  the  fisc  and  to  the  church  respectively.^' 

Tempting  though  it  would  be  to  demonstrate  how  indeed  the 
king's  non-alienation  promise  at  his  coronation  derived  from  and 
was  related  to  the  episcopal  oath  (and  in  the  first  place  the  non- 
alienation  oath  of  the  English  kings  in  the  thirteenth  century ),®2 
we  may  pass  over  that  vexed  question,  and  turn,  so  to  speak,  to 
the  mystcria  fisci  which  Lucas  de  Penna,  seemingly  in  some  absurd 
mood,  had  linked  to  the  mystic  marriage  of  Christ  and  the  Church. 
Christus  and  fiscus,  however,  were  not  so  far  apart  for  the  me- 
diaeval lawyers  as  they  would  be  to  us."' 

In  144 1,  in  a  law  suit  tried  before  the  Court  of  the  Exchequer, 
John  Paston,  then  a  Justice  of  the  Court  of  Common  Pleas  and 
well  known  to  us  as  the  compiler  of  the  Paston  Letters,  dropped 
quite  casually  a  strange  remark:  "What  is  not  snatched  by 
Christus,  is  snatched  by  the  Fiscus''  (Quod  non  capit  Christus, 
capit  fiscus).^*  Professor  Plucknett,  the  learned  interpreter  of 
that  law  suit,  took  that  sentence  apparently  as  a  bon  mot  of  Paston 
which  he  quoted  because  he  rightly  considered  it  "too  good  to  be 
lost."  But  Paston's  remark  would  not  have  been  lost  anjrway.  In 
his  collection  of  emblems,  first  published  in  1522,  the  great  Italian 
jurist  and  humanist  Andrea  Alciati  presented  an  emblem  carrying 

"Lucas  de  Penna,  op.cit.:  "Nam  aequiparantur  quantum  ad  hoc  etiara  iuramen- 
tum  super  his  pracstitum  dc  alienatione  facta  (non)  rcvocando  episcopus  et  rex.  Ita 
et  principi  alienatio  rerum  fiscalium,  quae  in  patrimonio  imperii  et  reipublicae  sunt 
et  separate  consistunt  a  privato  patrimonio  suo,  iuste  noscitur  interdicta."  There 
follows  the  comparison  of  the  fisc  with  the  dos  which  the  respublica  entrusts  to  the 
Prince  at  her  marriage.  See  above,n.4i.  Naturally,  the  palrimonium  Petri  figures  as 
the  dos  of  the  papal  sponsa,  Rome;  see,  e.g.,  Okiradus  de  Ponte,  Consilia,  LXXXV, 
n.i  (Lyon, 1550),  fol.28'',  who  admonishes  the  pope  "ut  sanctitas  vestra  revertatur 
ad  sponsam  .  .  .  et  reparet  suum  patrimoniura  et  suam  dotem,  quae  multipliciter 
est  collapsa."  The  doctrine  finally  traveled  its  full  circular  course  in  the  17th  century, 
when  the  Roman  pontiff  appeared  as  the  maritus  of  a  respublica  temporalis  (the 
States  of  the  Church)  iure  principatus  and  ex  sola  ralione  dominii  publici,  though 
as  a  bishop  he  was  also  married  to  the  Roman  Church  (tanquam  vir  Ecclesiae) ; 
De  Luca,  Theatrum  I  de  feudis,  disc.  61,  n.  6,  quoted  by  Vassalli,  "Fisco,"  209 
(above,  n.  42). 

"'See  my  study  on  "Inalienability:  Canon  Law  and  the  English  Coronation 
Oaths  of  the  Thirteenth  Century,"  Speculum,  XXIX  (1954),  488-502- 

"  Without  then  knowing  either  the  origin  or  later  history  of  that  comparison, 
I  have  briefly  discussed  the  problem  in  "Christus-Fiscus,"  Synopsis:  Festgabe  fiir 
Alfred  Weber  (Heidelberg, 1949), 225-235. 

•*  T.F.T.Plucknett,  "The  Lancastrian  Constitution,"  Tudor  Studies  Presented 
to  .\.F.Pollard  (London,  i924),i68,n.io. 


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HARVARD  THEOLOGICAL  REVIEW 


the  motto  Quod  non  capit  Christus,  rapit  fiscusS'''  And  from 
Alciati's  authoritative  and  incredibly  influential  book,  the  motto 
wandered  into  scores  of  highly  respectable  collections  of  emblems, 
devices,  and  proverbs  of  which  the  Renaissance  was  so  fond."^ 
Nor  was  the  hon  mot  a  coinage  of  Paston.  A  century  before  him 
the  Flemish  Civilian  Philip  of  Leyden  had  remarked:  "We  com- 
pare the  patrimonial  possessions  of  Christ  and  the  Fisc"  {Bona 
patritnonialia  Christi  et  fisci  comparantur)!'''  Similar  remarks  are 
found  in  Baldus'  works;  and  even  in  the  thirteenth  century,  Brac- 
ton  singled  out  the  res  nullhts,  "the  things  belonging  to  no  individ- 
ual," as  property  "only  of  God  and  the  Fisc."  "^ 

The  source  of  all  those  lawyers  was  Gratian's  Decretum,  the 
chapter  on  tithes:  Hoc  tollit  fiscus,  quod  non  accipit  Christus, 
"What  is  not  received  by  Christus,  is  exacted  by  the  Fiscus." '" 
Gratian  borrowed  the  passage  from  a  pseudo-Augustinian  sermon. 
However,  the  genuine  St.  .\ugustine  likewise  talks  about  the  fiscus 
of  Christ  ^"  —  metaphors  whose  importance  should  not  be  mini- 
mized, because  in  the  course  of  the  Poverty  Struggle  in  the  times 

■"Andrea  Alciati,  Emblemata  (Lyon.issi;  first  edition  1522),  p.158,  No.CXLVII. 
The  motto  is  tm^  found  in  the  edilio  prince ps  of~i5w,  but  in  that  of  1531 ;  see  Henry 
Green,  Andrea  Alciati  and  the  Books  of  Emblems  (London,  1872),  324,  who  indi- 
cates (p.viii)  that  in  the  wake  of  Alciati's  publication  some  thirteen  hundred 
authors  published  more  than  3000  Emblem  Books,  while  .Alciati's  original  was 
translated  into  all  European  languages.  I  am  indebted  to  Mrs.  Catcrina  Olschki 
for  having  called  my  attention  to  the  Alciati  emblem. 

""See,  e.g.,  K.  F.  W.  Wander,  Deutsches  Sprichworterlexikon  (Leipzig,  1867), 
1,538,  Nos.S4,56,57;  V,ii02,  N0.95,  cf.  Nos.103,104;  Johannes  Georgius  Seyboldus, 
Selectiora  Adagia  latino-germanica  (Niirnberg,i683),3o6;  Gustavo  Strafforello,  La 
sapienza  del  mondo  ovvero  dizionario  universale  dei  proverbi  di  tutti  popoli  (Turin, 
1883),  II,  86,  s.v.  "Fisco." 

"'Philippus  de  Leyden,  De  cura  rei  publicae  et  sorte  principantis,I,9,  cd-  hy  R. 
Fruin  and  P.C.MoIhuysen  (The  Hague,i9i5),  13. 

""The  phrase  "fiscus  et  ecclesia  aequiparantur"  is  found  time  and  time  again; 
cf.Baldus,  on  C.io,i,3,n.2  (Venice,is86),  fol.236'.  Especially  in  connection  with 
Justinian's  Novel  7,2,  those  equiparations  would  be  found;  e.g.,  Bartolus,  Super 
Authenticis  (Venice,is67),  fol.13'.  Matthaeus  de  Afflictis  quotes  the  proverb  at 
least  twice;  see  In  Constit.  Sicil.,  praeludia,  qu.XV,n.3  (fol.14'),  and  on  Const., 
1,7  ('de  decimis'),  fol.S3^  Bracton,  fol.14,  ed.  Woodbine,  11,57  f-:  "•  ■  .  sed  t.mtum 
in  bonis  Dei  vel  bonis  fisci." 

""Decretum,  II,C.XVI,qu.7,c.8,  ed.Friedberg,I,8o2.  The  passage  was  taken  from 
[Pseudo-lAugustinus,  Sermoncs  supposititii,  86,3,  Patr.lat.,  XXXIX,  col. 191 2 

™ Augustine,  Enarrationes  in  Psalmos,CXLVI,i7,  Patr.lat.,XXXVII,  C0I1911 
The  whole  passage  is  quoted  and  interpreted,  e.g.,  by  Lucas  de  Penna,  op  cit  on 
C.io,i,i,n.7,  p.  5. 


MYSTERIES  OF  STATE 


85 


of  Pope  John  XXII  those  and  similar  passages  served  to  prove 
that  Christ,  as  he  had  a  fiscus,  owned  property.^' 

The  antithetical  juxtaposition  of  Christus  and  Fiscus  may 
sound  like  blasphemy  to  moderns,  since  the  magnitudes  do  not 
seem  comparable.  Mediaeval  jurists  obviously  thought  and  felt 
differently.  To  them,  Christus  meant  simply  the  Church,  and  the 
comparison  hinged  upon  the  inalienability  of  both  ecclesiastical 
and  fiscal  property,  of  property  belonging  to  either  one  of  the  two 
"dead  hands,"  the  Church  or  the  fisc.  What  ecclesia  and  fiscus 
had  in  common  was  perpetuity:  in  legal  language,  the  "fisc  never 
dies,"  fiscus  nunquam  moriturp  It  is  immortal  like  the  Dignitas, 
the  Dignity  of  Prince  or  king,  pope  or  bishop,  which  "never  dies" 
even  though  the  mortal  incumbent  may  die.  Nor  did  time  run 
against  the  fisc,  as  it  did  not  run  against  the  king  either,  the  king 
as  King,  the  king  in  his  DignitasP 

In  the  last  analysis,  the  "equiparation"  of  Church  and  fisc  goes 
back  to  ancient  Roman  times  when  things  belonging  to  the  tetnpla 
—  since  the  fourth  century  gradually  replaced  by  ecclcsiac  — 
were  legally  on  equal  footing  with  things  belonging  to  the  sacred 
demesne  of  the  emperor."^    Accordingly,   Bracton   called   those 

"  The  decisive  passages  are  Decretum,  II,C.XII,q.i,c.i2  ("Quare  habuit  [Christus] 
loculos  cui  angeli  ministrabant,  nisi  quia  ecclesia  ipsius  loculos  habitura  erat?")  and 
C.17  ("Habebat  Dominus  loculos,  a  fidclibus  oblata  conservans  .  .  .")  ;  both 
passages  are  taken  from  Augustine,  In  Johannem,  12,6  ("loculos  habens"),  and 
they  are  referred  to  by  Pope  John  XXII  in  his  decretals  against  the  Spirituals;  cf. 
Extravagantes  loannis  XXII,  tit.XIV,c.5.  ed.  Friedbcrg,II,i230  ff.,  esp.  12,53.  The 
word  loculus,  meaning  "pur.se,"  then  could  be  taken  to  mean  "fi.sc";  see  Matthaeus 
de  .Afflictis,  op. cit.,  prael.,X\',nos.7-g,  who  elaborates  on  the  question  whether  or  not 
Christ  had  a  fisc  in  the  proper  sense  of  the  word.  The  whole  problem  will  be  dis- 
cussed separately. 

■Baldus,  Consilia,  I,27i,n.3  (Venice,  15 75),  foLSi':  "respublica  et  fiscus 
quid  eternum  et  perpetuum  quantum  ad  essentiam,  licet  dispositioncs  ; 
mutentur:  fiscus  cnim  nunquam  moritur." 

The  principle  SuUum  tempus  rurrit  contra  rcgem  was  commonly  acknowledged 
in  the  thirteenth  century  at  the  latest ;  see,e.g.,  Bracton,  fols.14,56,103,  ed.Woodbine, 
11,58,167,293,  and  passim. 

"See  Justinian's  Institutcs,2,i,7;  also  D. 1,8,1,  and  C. 7,38, 2.  .\s  late  as  the  fifth 
century  do  we  find  that  ius  publicum  and  ius  templorum  are  treated  on  equal 
footing;  see  Arthur  Steinwenter,  "Uber  einige  Bedeutungen  von  ius  in  den 
nachklassischen  Quellcn,"  lura,  IV  (1953),  138  f.,  who  shows  also  that  tcrmino- 
logically  ius  ecclesiar  simply  took  the  place  of  ius  templorum,  although  with  the 
edict  of  Licinius,  of  313  (at  least  in  the  form  transmitted  by  Lactantius,  De  morti- 
bus  persecutorum,  48),  the  new  notion  of  corpus  C hristianorum  was  connected 
with  Church  property;  cf.  Arnold  Ehrhardt,  "Das  corpus  Christi  und  die  Korpora- 


smt 
icpe 


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things  fiscal  also  res  quasi  sacrae,'"'  and  Lucas  de  Penna  talked 
occasionally  about  fiscus  sanctissimus,  "the  most  holy  Fisc"  ^®  — 
though  perhaps  we,  today,  find  it  easier  to  understand  Baldus  who 
called  the  fisc,  owing  to  its  immortality,  "the  soul  of  the  state" 
(fiscus  reipublicac  anima)?'' 

Moreover,  to  the  fisc  the  lawyers  attributed  ubiquity  and  omni- 
presence: Fiscus  ubique  pracsens  declared  Accursius  (ca.  1230) 
in  a  gloss  ''*  often  repeated,  especially  by  the  glossators  of  the 
Sicilian  Constitutions,^"  an  ubiquity  which  made  "usucaption  of 
land  for  absence  of  the  owner"  impossible.**"  As  so  often,  it  was 
Baldus  who  drew  from  that  mysterious  ubiquity  and  omnipresence 
of  the  fisc  a  straightforward  conclusion:  Fiscus  est  ubique  et  sic 
in  hoc  Deo  similis,  "The  Fisc  is  omnipresent,  and  in  that,  there- 
fore, it  is  similar  to  God."  ** 


tionen  im  spatromischen  Recht,"  Zeitschrift  fiir  Rechtsgeschichte,  rom.Abt.,  LXXI 
(I9S3),  299  ff-,  and  LXXII  (1954). 

'"Bracton,  fol.  14,  ed.  Woodbine,  II, 57  f.;  cf.  fol.407.  Woodbine, III, 266,  and  passim. 

™Lucas  de  Penna,  on  C.io,i,n.2  (Lyon, 1582),  p. 5,  with  reference  to  C. 7,37, 2: 
sacratissimus  fiscus  and  sacralissimum  aerarium.  Those  expressions  are  found  also, 
time  and  time  again,  in  the  works  of  the  French  jurists  of  the  sixteenth  century, 
though  not  without  an  intention  to  claim  imperial  rights  for  the  king;  e.g.,  Choppin 
(above,n.4o),  II,tit.i,n.2,  p. 203:  "Sacrum  enim  existimatur,  ut  Imperiale,  sic  Regale 
Patrimonium,  quod  ideo  a  re  privata  ipsorum  Principum  separari  solet."  This  is 
one  of  the  numerous  adaptations  of  imperial  prerogatives  to  royal  claims  in  the 
wake  of  the  rex  imperator  in  regno  suo  theory  (see  below,n.84). 

"Baldus,  Consilia,  I,27i,n.2,  foLST:  "Et,  ut  ita  loquar,  est  [fiscus]  ipsius 
Reipublicae  anima  et  sustentamentum."  This  does  not  prevent  him,  of  course,  to 
say  on  another  occasion  correctly:  "Fiscus  per  se  est  quoddam  corpus  inanimatum"; 
see  Consilia,I,363,n.2,  fol.  118'.  Popular  also  was  the  comparison  with  the  stomach 
(Lucas  de  Penna,  on  C.ii,s8,7,n.io,  p.564)  which  is  found  as  early  as  Corippus, 
In  laudem  Iustini,II,249  f.  (Mon.Gcrm.Hist.,  .Auctorcs  antiquissimi,  111,2,  p.133): 
".  .  .  cognoscite  fiscum  /  Vcntris  habere  locum,  per  quem  omnia  membra  cibantur," 
which  in  its  turn  goes  back  to  the  parable  of  Menenius  Agrippa  which  itself  has  a 
long  history;  see  Wilhelm  Nestle,  "Die  Fabel  des  Menenius  Agrippa,"  Klio,  XXI 
(1926-27),  358  f.,  also  in  his  Griechische  Studien  (1948),  502  ff.;  Friedrich  Gombel, 
Die  Fabel  'Vom  Magen  den  Gliedern'  in  der  Weltliteratur  ( Beih.z.Zeitschr  f 
roman.  Philol.,  LXXX:  Halle,  1934). 

•"Glossa  ordinaria,  on  C.7,37.i,v.  'Continuum.' 

"Marinus  de  Caramanico,  on  Liber  aug,.  III,  39,  ed.  Cervone  (above,  n.  14), 
p.399a:  ".  .  .  et  sic  non  loquitur  de  fisco  qui  semper  est  praesens."  See  also 
Matthaeus  de  Affiictis,  on  the  same  law,  n.3,  vol.11, foI.i86:  ".  .  .  nee  requiritur 
probare  de  praesentia  fisci,  quia  liscus  semper  est  praesens." 

""See,  e.g.,  Justinian,  Instit.,II,6,rubr.:  ".  .  .  inter  praesentes  decennio,  inter 
absenles  viginti  annis  usucapiantur."  Presence  or  absence  of  the  owner  makes 
legally  some  difference,  but  the  fisc  is  legally  always  present. 

"  Baldus,  on  C.7,37,1,  fol,  37^  We  should  not  forget  that  the  Church  also  has 
ubiquity;  see  Marcus  Antonius  Peregrinus,  De  iure  lisci  libri  octo  (Venice,  161 1), I, 


MYSTERIES  OF  STATE  87 

We  should  not  be  mistaken:  that  language  does  not  betray,  or 
rather  does  not  yet  betray,  an  effort  to  "deify"  the  fisc  and  the 
State;  but  it  does  betray  an  effort  to  explain  by  means  of  theolog- 
ical terms  the  nature  of  the  fisc,  its  perpetuity  or,  to  quote  Baldus, 
the  fact  that  it  is  quid  eternum  et  perpetuum  quantum  ad  essen- 
tiam,  "something  eternal  and  perpetual  with  regard  to  its  es- 
sence." **-  The  reverse  side  of  the  application  of  theological  lan- 
guage to  secular  institutions  was,  on  the  one  hand,  that  the  fisc 
and  the  state  machinery  eventually  did  become  godlike,  whereas, 
on  the  other  hand,  God  and  Christ  were  demoted  to  mere  symbols 
of  legal  fiction  in  order  to  expound  the  ubiquity  and  eternity  of 
the  fictitious  person  called  Fisc. 

It  was  always  that  lingua  mczzo-tcologica  customary  with  the 
jurists,  which  elevated  the  secular  state  into  the  sphere  of  "mys- 
tery." This  is  true  also  of  that  strange  personification,  the  "Dig- 
nity which  does  not  die."  For  with  regard  to  the  immortal  Dignitas 
we  find  again  the  same  juxtaposition:  "The  king  (said  Baldus) 
is  under  no  obligation  to  man,  though  he  is  obligated  to  God  and 
his  Dignity  which  is  perpetual."  "'  It  was  always  a  problem  of 
TIME,  of  perpetuity,  which  made  the  Deity  comparable  to  the 
Fisc  or  to  the  Dignity  or  to  the  "King  Body  politic." 

The  speculations  about  the  immortal  Dignity  as  well  as  the  ap- 
plication of  that  notion  ran  through  many  phases:  from  abbot  to 
bishop  and  pope,  from  pope  to  emperor,  and  from  the  emperor  to 
the  "kings  not  recognizing  a  superior."  ^"^  Eventually  one  said  that 


2,n.22:  ".  .  .  quia  sicut  Romana  Ecclesia  ubique  est,  sic  fiscum  Ecclesiae  Romanae 
ubique  existcre  oportet."  See,  on  the  emperor's  ubiquity,  my  paper  ''Invocatio 
nominis  imperatoris,"  Bollettino  del  Centro  di  studi  fllologici  e  linguistic!  siciliani, 
in  (I9SS). 

"^See  above,n.72. 

*"  Baldus,  on  X, 2, 24,33,  "S-  I"  Decretalium  volumen  commentaria  (Venice, 
1580), fol. 261':  "Unde  imperator  .  .  .  non  obligatur  homini,  sed  Deo  et  dignitati 
suae,  quae  perpetua  est." 

"The  basis  is  a  decretal  of  Alexander  III:  X, 1,29, 14,  ed.Friedberg,  11,162;  see 
for  the  development  of  the  theory,  O.von  Gierke,  Das  deutsche  Genossenschaftsrecht 
(Berlin,i88i),  III,27i,n.73.  For  the  secular  dignitaries,  see  Baldus,  Consilia,  III, 
'.S9.n-3.  fol.4s';  and,  ibid.,  n.4,  for  the  perpetuity  of  the  regal  dignity  if  the  king 
non  cognoscit  superiorem.  For  the  origins  of  the  doctrine  of  kings  not  recognizing 
a  superior,  see  the  excellent  study  of  the  late  Sergio  Mochi  Onory,  Fonti  canonistiche 
dell'idea  moderna  dello  stato  (Pubblicazioni  dell'universiti  cattolica  del  Sacro 
Cuore,  N.S.,  XXXVIII:  Milan,i95i). 


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the  rcgia  Dignitas  "never  dies,"  **''  or  that  the  regia  Maiestas 
"never  dies,"  **"  or  one  confronted  Hke  Baldus  the  persona  per- 
sonalis of  the  mortal  dignitary  with  his  persona  idealis,  the  Dig- 
nity which  never  dies,**'  so  that  finally  the  French  king  could 
claim  to  have  two  guardian  angels,  one  by  reason  of  his  indi- 
vidual person,  and  another  by  reason  of  his  Dignity.*"*  And  per- 
force one  arrived  one  day,  though  not  apparently  before  the  six- 
teenth century,  at  the  lapidary  formula:  Le  roy  ne  meurt  jamais, 
"The  King  never  dies,"  even  though  the  English  jurists  of  that 
period  still  were  careful  enough  to  say:  "The  king,  as  King, 
never  dies."  *® 

Other  jurists  compared  the  Dignitas  with  a  more  classical  sym- 
bol of  immortaHty  and  resurrection,  the  legendary  bird  Phoenix.'*'^ 
The  comparison  was  not  badly  chosen :  there  was  always  only  one 
Phoenix  alive  at  a  time;  every  new  Phoenix  was  "identical"  with 
his  predecessor  and  would  be  "identical"  with  his  successor;  more- 
over, in  the  case  of  this  bird  —  somewhat  similar  to  the  angels  — 
species  and  individual  coincided.  "The  whole  kind  is  preserved  in 
the  individual,"  as  Baldus  put  it,  so  that  every  Phoenix  was  at 

•"  Matthaeus  de  .\fflictis,  on  Liber  aug., 11,35,11.23,  vol.II.fol.;?:  "Quae  dignitas 
regia  nunquam  moritur." 

*■  Baldus,  on  X,i,2,7,n.78,  In  Decretales,  fol.18:  "Nam  regia  maiestas  non  moritur." 

"Baldus,  Consilia,III,2i7,n.3,  fol.63':  ".  .  .  [persona]  personalis  quae  est  anima 
in  substantia  hominis,  et  non  persona  idealis  quae  est  dignitas." 

"*  Grassaille,  Regalium  Franciae  libri  duo,  I,  ius  xx  (Paris, 1545), 210:  "Item,  Rex 
Franciae  duos  habct  bonos  angelos  custodes:  unum  ratione  suae  privatae  personae, 
alterum  ratione  dignitatis  regalis." 

*"The  slogan  turns  up  quite  frequently  in  the  arguments  of  English  jurists  in  the 
middle  of  the  16th  century;  see,  e.g.,  Plowden,  Reports,  233a:  "for  as  to  this  Body 
[his  body  politic]  the  King  never  dies."  In  France,  it  is  certainly  found  by  the 
end  of  the  century,  though  it  should  not  be  confused  with  the  funerary  cries  Le 
rot  est  mart!   Vive  le  rot!   which  have  a  quite  different  and  non-juristic  origin. 

""The  comparison,  to  my  knowledge,  is  first  found  in  the  Glossa  ordinaria  of 
Bernard  of  Parma  on  the  Gregorian  Decretals;  see  gl.  "substitutum,"  on  X, 1,29, 14. 
See  further  Johannes  .^ndreae.  In  Decretalium  libros  Novella  (Venice, 1612),  fol. 
2o6'-207,  on  X,i,29,i4,nos.30-3i,  gl.  "Phenix,"  Baldus,  on  the  same  decretal,  n.3, 
In  Decretales,  fol.107,  who  draws  philosophically  the  right  conclusion:  "Est  autem 
avis  unica  singularissima,  in  qua  totum  genus  servatur  in  individuo."  The  com- 
parison is  far  more  striking  than  can  be  intimated  here;  see  Jean  Hubaux  and 
Maxime  Leroy,  Le  mythe  du  Phenix  (Liege  and  Paris,  1939),  and  the  important 
remarks  on  that  study  by  .A.-J.Festugiere,  "Le  symbole  du  Phenix  et  le  mysticism 
hermetique,"  Monuments  Piot,  XXXVIII  (1941),  147-1S1,  with  which  one  should 
compare  Jean  de  Tcrre  Rouge,  Tructatus  de  iure  futuri  successoris  legitimi  in  regiis 
hereditatibus,  esp.  I,art.2,  in  the  appendix  of  F.Hotman,  Consilia  (.\rras,  1586) 
35  «• 


MYSTERIES  OF  STATE 


89 


once  the  whole  existing  "Phoenix-kind."  Hence,  being  mortal  as 
individual  and  immortal  as  species,  the  Phoenix  probably  could 
claim,  if  he  claimed  at  all,  to  be  a  prototype  of  the  "Corporation 
sole."  '•" 

In  the  speculations  about  the  Dignitas  theological  metaphors 
were  effective  too,  and  even  the  christological  substratum  is  often 
quite  unmistakable.  St.  Thomas  Aquinas  —  by  combining  Aris- 
totelean  doctrines  about  the  organon,  or  instrumcntum,  with  a 
theological  tenet  of  Byzantine  origin  which  he  came  to  know 
through  John  of  Damascus  —  had  expanded  upon  his  doctrine 
according  to  which  the  humanitas  Christi  was  the  instrumentum 
divinitatis  and  therewith  the  instrument  of  the  principalis  causa 
efficiens  which  was  God."- 

This  doctrine,  too,  wandered  to  the  lawyers  and  was  applied  to 
their  political  theories.  They  equated  the  Dignitas  "which  does 
not  die"  with  the  Divinitas,  and  the  mortal  body  natural  of  the 
dignitary  with  the  humanitas;  and  on  that  basis  Baldus  could 
write: 

Here  we  recognize  the  Dignity  as  the  principalis  and  the  person  as 
the  instrument  alls.  Hence,  the  fundament  of  an  action  is  the  Dignitas 
her.self  which  is  perpetual."'' 

Or,  when  discussing  the  two  persons  concurring  in  the  Prince,  he 
writes : 

And  the  king's  [individual]  person  is  the  organum  et  instrumentum 
of  that  other  person  which  is  intellectual  and  public.  And  that  persona 

"' Maitland,  Selected  Essays,  73-127,  and  passim. 

"The  subject  has  been  treated  very  thoroughly  by  Theophil  Tschipke,  Die 
Menschheit  Christi  als  Heilsorgan  der  Gottheit  unter  besonderer  Beriicksichtigung 
der  Lehre  des  Heiligen  Thomas  von  .\quino  (Freiburger  Theologische  Studien,  LV: 
Freiburg,i94o) ;  see  also  M.Grabmann,  "Die  Lehre  des  Erzbischofs  und  Augustiner- 
theologcn  Jakob  von  \iterbo  (t  1307/8)  vom  Episkopat  und  Primal  und  ihre 
Beziehung  zum  Heiligen  Thomas  von  .\quino,"  Episcopus:  Studien  iiber  das 
Bischoisamt  .  .  .  Kardinal  von  Faulhaber  .  .  .  dargebracht  (Regensburg,  1949). 
i90,n.io,  for  further  literature. 

"Baldus,  Consilia, III, 1 2 1, n.6,  fol.34:  "Ibi  attendimus  dignitatem  tanquam  prin- 
cipalcm  et  personam  tanquam  instrumentalem.  L'nde  fundamentum  actus  est  ipsa 
dignitas  quae  est  perpetua."  In  the  same  paragraph  he  also  makes  the  distinction 
"quod  persona  sit  causa  immediata,  dignitas  autem  sit  causa  remota,"  whereby  we 
should  recall  that  God  is  often  said  to  act  (e.g.  at  elections)  as  the  causa  remota. 


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intellectualis  et  publka  is  the  one,  which  principaliter  causes   the 
actions.^* 

We  now  understand  the  method  and  may  understand  also 
whence  derives  that  ecclesiological  substratum  which  so  often  is 
perceptible  in  the  speeches  and  pleadings  of  English  Crown  jurists 
in  late  Tudor  times.  We  immediately  recognize  the  ecclesiological 
doctrine  of  the  corpus  mysticiim  when,  for  example,  one  of  the 
judges  opined  that  suicide  was  a  crime  not  only  against  God  and 
Nature,  but  also  against  the  king,  "because  he,  being  the  Head, 
has  lost  one  of  his  mystical  Members."  ""'  The  same,  though  per- 
haps less  obvious,  is  true  for  the  terminology  of  the  English  jurists 
whenever  they  argued  about  the  king  as  an  individual  and  the 
king  as  King,  and  then  usually  talked  about  the  king's  "two 
bodies"  while  slipping  only  rarely  and  saying  instead  "two  per- 
sons" —  after  all,  they  were  not  Nestorians,  and  Sir  Edward  Coke 
as  well  as  others  cautiously  pointed  out  that  though  the  king  has 
"two  bodies"  he  "hath  but  one  person."  ""  We  may  actually  hark 
far  back,  to  the  twelfth  century  when  the  Church  first  emerged  as 
the  corpus  mystkum,^''  and  to  teachers  such  as  Simon  of  Tournai 
or  Gregory  of  Bergamo,  to  find  some,  later  often  repeated,  theo- 
logical formulations  of  the  following  pattern: 

Two  are  the  bodies  of  Christ:  the  human  material  body  which  he 
assumed  from  the  Virgin,  and  the  spiritual  collegiate  body,  the  college 
of  the  Church.®* 

"  Baldus,  Consilia,III,i59,n.6,  fol.45':  ".  .  .  loco  duarum  personarum  Rex 
fungitur  .  .  .  Et  persona  regis  est  organum  et  instrumcntum  illius  personae 
intellectualis  et  publicae.  Et  ilia  persona  intellectualis  et  publica  est  ilia,  quae 
principaliter  fundat  actus:  quia  magis  attenditur  actus,  seu  virtus  principalis,  quam 
virtus  organica."  Compare,e.g.,  Aquinas,  Summa  theologiae.  Ilia,  qu.LXII,a.s 
resp.:  "Principalis  autem  causa  efficicns  gratiae  est  ipse  Deus,  ad  quern  comparatur 
humanitas  Christi  sicut  instrumcntum  coniunctum";  or  IIIa,qu.\'lI,a.i,  ad  3: 
"Quod  humanitas  Christi  est  instrumcntum  divinitatis  .  .  .  tanquam  instru- 
mentum  animatum  anima  rationali."  The  transition  to  the  juristic  application  of 
this  doctrine  may  perhaps  be  found  in  Aquinas  himself  when  he  writes  (Ilia, 
qu.VIII,a.2):  "In  quantum  vero  anima  est  motor  corporis,  corpus  instrumcntaliter 
servit  animae." 

"Plowden,  Reports,  261 ;  Maitland,  Selected  Essays,  iio,n.2. 

"Coke,  in  Calvin's  Case  (Reports,  VII, loa),  distinguishes  theologically,  or 
even  christologically,  when  he  says  that  the  king,  though  he  has  "two  bodies" 
(and  "two  capacities"),  has  "but  one  person."    Maitland,  op.cit.,  iio,n.4. 

"See,  in  addition  to  Lubac  (next  note),  G.B.Ladner,  "Aspects  of  Mediaeval 
Thought  on  Church  and  State,"  Review  of  Politics,  IX  (1947),  403  ff.,  esp.414  f. 

"Simon  of  Tournai,  quoted  by  Henri  de  Lubac,  Corpus  mysticum  (Paris,  1949), 


f 


♦ 


1 

I 


MYSTERIES  OF  STATE 


91 


One  body  of  Christ  which  is  he  himself,  and  another  body  of  which 
he  is  the  head."** 

And  with  those  and  many  similar  definitions  of  the  bodies  indi- 
vidual and  collective  of  Christ  we  then  may  compare  the  legal 
distinctions  of  the  Tudor  judges  who  pointed  out,  time  and  time 
again,  that 

the  King  has  two  Bodies,  the  one  whereof  is  a  Body  natural  .  .  .  and 
in  this  he  is  subject  to  Passions  and  Death  as  other  Men  are;  and  the 
other  is  a  Body  politic  and  the  Members  thereof  are  the  subjects,  and 
he  and  they  together  compose  the  corporation,  and  he  is  incorporated 
with  them  and  they  with  him,  and  he  is  the  Head,  and  they  are  the 
Members;  and  this  Body  is  not  subject  to  Passions  and  Death,  for  as  to 
this  Body  the  King  never  dies.^"" 

It  is  from  these  strata  of  thought,  I  believe,  that  the  absolutist 
concept  "Mysteries  of  State"  took  its  origin  and  that,  when  finally 
the  Nation  stepped  into  the  pontifical  shoes  of  the  Prince,  the 
modern  absolute  state,  even  without  a  Prince,  was  enabled  to 
make  claims  like  a  Church. 


i22,n.29:  "Duo  sunt  corpora  Christi:  Unum  materiale,  quod  sumpsit  de  virgine, 
et  spirituale  collegium,  collegium  ecclesiasticum."    See  also,  ibid.,n.30. 

"Gregory  of  Bergamo,  De  veritate  corporis  Christi,  c.i8,  ed.H.Hurter,  Sanc- 
torum patrum  opuscula  selccta  (Innsbruck,  1879),  vol.  XXXIX,  75  f.:  ".Aliud  esse 
novimus  Christi  corpus,  quod  videlicet  ipse  est,  aliud  corpus,  cuius  ipse  caput  est." 
Cf,  Lubac,  op.cit., 18s  (with  n.155),  also  123  f.,  and  passim,  for  many  more  examples 
of  the  duplex  corpus  Christi. 

™Plowden,  Reports,233a,  quoted  also  by  Sir  William  Blackstone,  Commen- 
taries on  the  Laws  of  England,  I,p.249- 


U       I 


SECRETOS     DE     EST ADO 

(UN    CONCEPTO    ABSOLUTISTA    Y    SUS    TARDIOS 
ORIGENES    MEDIEVALES)    (•) 


La  expresion  Secretos  de  Estado  como  concepto  del  absolutismo 
tiene  un  fondo  medieval.  Es  un  tardi'o  hrote  de  aquel  hibridismo 
secular-espiritual  que,  como  resultado  de  las  infinitas  relaciones  en- 
tre  Iglesia  y  Estado,  puede  hallarse  en  cada  uno  de  los  siglos  de 
la  Edad  Media  y  que  durante  muchos  anos  ha  atraido  merecidamen- 
te  la  atencion  de  los  historiadores.  Despues  de  los  fundamentales 
estudios  de  A.  Alfoldi  sobre  el  ceremonial  y  las  insignias  de  los 
emperadcres  romanos  (i),  Theodor  Klauser,  en  epoca  mas  recien- 
te,  examine  el  origen  de  las  insignias  episcopales  y  de  los  derechos 
honorificos,  y  mostro  con  mucha  claridad  como  pasaron  a  los  obis- 
pos  de  la  victoriosa  Iglesia,  en  la  epoca  de  Constantino  el  Grande 
y  posteriormente,  determinados  privilegios  de  investiduras  y  ca- 
tegorias  de  los  funcionarios  del  Imperio  de  la  ultima  epoca  (2). 
Por  el  mismo  tiempo,  Percy  Ernst  Schramm  publico  su  breve  ar- 
ti'culo  sobre  los  intercambios  mutuos  de  derechos  honorificos  entre 
sacerdotium  y  regnum,  en  el  que  demostraba  como  la  imiUitto  im- 


(*)  Estc  ensayo  fue  lei'do  en  la  sesion  conjunta  de  la  American  Catho- 
lic Historical  Association  y  de  la  American  Historical  Association,  cl  28  de 
diciembre  de  1955,  en  Chicago,  y  se  publico  por  primera  vez  en  The  Harvard 
Theological  Rei-iew,  XLVIII  (1955),  65-91.  Muchos  de  los  problemas  insi- 
nuados  en  este  articulo  se  han  examinado  con  mas  cuidado  en  mi  libro  The 
King's  Two  Bodia:  A  study  in  Medwvflj  Political  Theology  (Princeton.  C-C^Ci'  C  C 
1957),  aunque  aqui  he  anadido  algunas  cosas  que  no  se  encuentran  en  el 
libro.  Quedo  reconocido  a!  Dr.  Rodri'guez  Aranda  por  la  traduccicn  al  espafiol 
de  mi  ensayo.  , 

(i)     Andreas    AlpoLDI:     "Die    Ausgcltaltung    des    monarchischen    Zere-  Ic 

moniells   am    romischen   Kaiserhcfeo,    e    Hnsignien    und    Tracht    der   romis- 
chen  Kaiser»,  Romische  Mitteilungen,  XLIX  (19^4),   1-118;   L  (1935),   l'i7i. 

(2)     Theodor  KlaiJSER:    Der  Urs(>:iii^  der  btschofltchen  hisignieri  und  /  ^ 

Ehrenrechte  (Lecturas   academicas  de   Bonn,   I.  Krefeld,    1949). 


»| 


I     L 


ERNST    H.    KANTOROWICZ 

pern  por  parte  del  poder  espiritual  fue  eqinhbrada  por  una  tmmw 
sacerdout  por  parte  del  poder  secular  (3).  Schramm  llevo  su  estu- 
d.o  solo  al  umbral  del  pen'odo  Hohenstaufen,  y  estuvo  acertado 
en  detenerse  donde  lo  h.zo.  Pues  los  mutuos  prestamos  a  que  se 
refiere        ms.gnias.  tftulos.  smbolos.   pr.v.leg.os   y   prerrogafvas- 
afectarcn  a  prmcip.os  de  la  Edad  Med.a.  principalmente  a  las  m- 
a.v,duahdades  d.rigentes.  espintaales  y  seculares.  al  pont.'f.ce  que 
llevaba  corona  y  al  emperador  que  llevaba  m.tra.  hasta  que  fmal- 
mem^  el  sacerdoUum  tuvo  apanenca  .mpenal,  y  e!  regnum  aspec- 
to  cler,ca:    A  comienzos  del  siglo  x.u,  lo  mas  tarde.  se  alcanzo  un 
c.erto   estadc  de   saturacion   cuando  los  d.gnatar.os   espirituales   y 
seculares  se  atav.aron  con  los  atr.butos  esenciales  de  sus  funciones. 
S.n  embargo    los  prestamos  entre  las  dos  orbuas  no  acabaron. 
Solo  camharon  los  objet.vos  cuando  el  centro  de  gravedad  se  mo- 
V.O.  por  decrlo  as.',  de  los  personajes  d.rigentes  de  la  Edad  Me- 
d.a a  las  colect.v.dades  dingidas  de  pr.nc.pios  de  los  tiempos  mo- 
dernos^a  los  nuevos  estados  nacionales  y  a  otras  ccmun.dades  polf. 
t.cas.  Es  deer,  el  ambito  de  intercamb.os  entre   Igles.a  y  Estado. 
y  de  .nfluencas  mutuas.  se  cxpand.6  desde  los  d.gnatar.os  md.v., 
duales  a  las  comunidades  compactas.  Por  esto.  los  problemas  socio- 
lcg.cos  empezaron  a  conf.gurar  los  problemas  ecles.ast.cos  y.  vi<-e. 
versa,  lo  ecles.ast.co  a  lo  sociolog.co.  Con  el  Papa  como  Pnnc.o,  y 
verus  ,mperator  el  aparato  jerarquico  de  la  iglesia  romana         ,"  J 
sa.  de  algunos  .mportantes  rasgos  de  const.tucional.smo  (4)-     mos- 
t.o  tendenca  a  convertirse  en  el  protot.po  perfecto  de  una  monar- 
qu.a  absoluta  y  .ac.onal  sobre  una  base  m.'st.ca.  m.entras  que  s.- 
mu.taneamente  el  Estado  mostro  una  crecente  tendencia  a  con- 
vernrse  en  una  semiWglesia.  y.  en  o.ros  .espectos.  en  una  monar- 
qu.a    m.st.ca   sobre    una   base   rac.onal.    Fue   aqu.'   en   estas   aguas 
aguas  nauseahmdas.  si  as,  se  quie,e       donde  el  m.sticismo  del 
nuevo  Estado  hallo  su  alimento  y  su  morada. 

El  problema  fundamental  se  puede  enfocar  con  mas  faclidad 
planteando  una  simple  cuest.on  :  ^Como.  por  que  canales  y  me' 
di^nte  que  tecn.cas.  se  transf.r.eron  al  Estado  los  espirituales  ar^ 


^^y/,>^  ^ 


.hrer  Vorrechte...   Stud.  Gregonam.    II  (,947),   405,457 

(4)  Vease  BR.AN  T.Erney  :  The  Canon.su  and  the  Med.aeval  State,, 
Rev,.,  o  PoUUcs,  XV  (,95,).  ,78-588.  y  su  impor.nn.e  T^b;rT/,c.  Fou.. 
ilattom  of  the  Conahar  Theory  (Cambridge.    1956). 


38 


SECRETOS    DE   ESTADO 

cana  ecclesiae  para  producir  los  niievos  seculares  arcana  iaipem  del 
absoliitismo?  La  respuesta  a  esta  pregunta  esta  dada  por  las  fiien- 
tes  con  las  que  tenemos  que  contar ;  sin  olvidar  los  relatos  o 
las  artes,  el  ceremonial  o  la  liturgia,  se  puede  decir  que  nuestra 
principal  evidencia  se  debe  a  las  leyes.  Principalmente  por  nuestras 
fuentes  legales  se  han  hecho  evidentes  los  nuevos  modos  de  in- 
tercambio  entre  los  espiritual  y  lo  secular.  Despues  de  todo,  los 
canonistas  usaban  y  aplicaban  el  Derecho  romano ;  los  civilistas 
usaban  y  aplicaban  el  Derecho  canonico ;  y  ambos  derechos  fueron 
usados  tambien  por  juristas  del  Derecho  consuetudinario  (5).  Ade- 
mas,  ambos  derechos  fueron  mfluidos  por  el  metodo  y  el  pensa- 
miento  escolastico,  asi  como  por  la  fi'.osofia  aristotelica ;  finalmen- 
tc,  los  juristas  de  todas  las  ramas  del  Derecho  aplicaban  libremente, 
y  sin  escrupi'.los  o  inhibiciones,  similes  y  metaforas  teologicas  cuan- 
de  exponian  sus  puntos  de  vista  en  glosas  y  opiniones  legales.  Ba- 
jo  el  impacto  de  estos  intercambios  entre  glosadores  y  comenta- 
listas  canonicos  y  civiles  — que  no  existian  en  la  A!t2  Edad  Me- 
dia—  surgio  algo  a  lo  que  se  le  llamo  entonces  "Secretes  de  Es- 
cado",  y  que  hoy,  en  un  sentido  mas  generalizado,  se  denomina  con 
frecuencia  uTeologia  pol.tica»  (6).  Afortunado  como  siempre,  no- 
taba  una  vez  Maitland  que  eventualmente  «la  nacion  usurpna  las 
funciones  del  Principen  (7).  Aunque  estoy  por  complete  de  acuer- 
do,  creo  que  podriamos  agregar :  uPero  no  antes  de  que  el  Prin- 
cipe mismo  usurpara  las  funciones  pontificales  del  Papa  y  del 
obispc". 

En   efecto,  el   »pontificalismo'>   fue  quiza  el  lasgo  mas  sobre- 
saliente  de  las  nuevas  monarqu.'as,  y  pocos  principes  — ni  siquie- 


(5)  Esto  ha  sido  apuntado  repetidamente  por  Gaines  Post:  vease  es- 
pecialmente  su  cstudio  sobre  -A  Romano-Canonical  Maxim,  "Quod  omncs 
tangit".  in  Bracton.',  Tradttio,  IV  (1946),  197-251,  y  su  ensayo  leido  ante 
el  Riccobono  Seminar  sobre  «The  Theory  of  Public  Law  and  the  State  in 
the  Thirteenth  Century».  Seminar,  VI  (1948),  42-59;  tambien  su  mis  re- 
ciente  estudio  sobre  "The  Two  Laws  and  the  Statute  of  York'  ,  Speculum. 

XXIX  (1945),  417-452. 

(6)  La  expres:6n,  muy  discutida  a  principios  de  la  decada  de  1950 
(Carl  Schmitt:  Politische  Theologte.  Munich  y  Leipzig.  1923),  se  ha  po- 
pularizado  mas  en  este  pais,  si  es  que  no  mc  equivoco,  debido  a  un  estu- 
dio de  George  Lapiana,  Political  Theology  .  The  Interpretation  of  His- 
tory (Prmceton,   1943). 

(7)  F.  W.  MAffLAND:  <.Moral  Personality  and  Legal  Personality",  en 
sus  Selected  Essays  (Cambridge,    1936),    230. 


39 


'    u 


RRNST    H.    KANTOROWICZ 


ra  Luis  XIV-  fiieron  tan  genuinainente  pontificales  como  el  Rey 
[aime  I  de  Inf,laterra.  En  un  peqiieno  diccionario  de  Deiecho,  pu- 
blicado  en  1607  y  llamado  The  Interpreter,  un  capacitado  civilista. 
el  Dr.  John  Cowell,  anticipo  ciertas  teori'as  politicas  con  las  que  nor- 
malmente  Jaime  I  no  habri'a  estado  en  desacuerdo :  que  el  rey 
siempre  es  mnyor  de  edad :  que  no  esta  sujeto  a  la  muerte,  sine 
que  es  en  si  mismo  una  institucion  que  vive  eternamente;  que  el 
rey  esta  por  encima  de  las  leyes;  y  que  admite  la  legislacion  de! 
Estado  solo  a  causa  de  su  benignidad  o  en  razon  de  su  juramento 
de  coronacion  (8).  Puesto  qje  The  Intepreter  suscito  la  indignacion 
de  los  Comtines,  de  qmen  el  rey  dependia  para  lograr  su  subsidio, 
el  rey  rmsmo  se  molesto  por  las  palabras  de  Cowell.  Asi,  pues,  un 
rey  airado  fulmino  a  un  pobre  erudite  que  solo  queri'a  agradar 
a  su  soberano.  Jaime  I  se  quejaba.  en  una  proclama  de  1610,  de 
que  nada  ise  deja  ahora  sin  investigam  ni  "los  mas  altcs  mis- 
terios  de  ia  cabeza  dc  Dios .,  ni  «los  secretos  mas  profundos  que 
pertenecen  a  las  personas  o  Estado  del  ley  y  los  principes,  que 
son  Dios  en  la  Tierrai,  y  que  hombres  incompetentes  «escudri- 
naran  libremente  con  sus  escritos  los  mas  profundos  secretos  de 
la  monarquia  y  de  !a  gobemacion  poHtica  >  (9).  En  otras  ocasione^, 


IL 


Cjoy-rcci-  *-^  t/>   ' 


ILL 


(8)  Para  el  caso  del  Dr.  John  Cowell.  vease  Charles  H.  Mc  Ilvvain  : 
The  Political  Works  of  James  I  (Cambridge.  Mass.,  iqi8),  pp.  XXXVl! 
y  sigs.,  y  mis  recientemente,  Stanley  B.  Chrimes.  ^Dr.  John  Cowell  , 
English  Historical  ReiieTi»,  LXIV  {1949),  461-487,  que  reprodujo  en  el 
Ap>cndice  los  pasajes  importantes  del  libro  de  CowELL,  Interpreter  or 
Book  Containing  the  Signification  of  Words,  publicado  por  vez  primera 
en  Cambridge,  1607.  Cowell  cita  muchos  autores  Franceses,  y  puede  pro- 
ceder  de  una  de  estas  fuentes  el  haber  hablado  de  la  benignidad-  del 
rey  (v.  <.Par!amento «).  Su  coetaneo  Charles  LoyseaM,  por  ejemplo,  al 
discutir  la  validcz  de  los  Coutumiers  provinciales  y  cfel  poder  legislative) 
de  las  asambleas  provinciales  dice  tambien  que  <.sa  bonte  (la  del  rey)  pcr- 
mette  au  peuple  des  Provinces  coustumieres  de  choisir  certaines  Coustu- 
mes,  selon  lesquelles  ils  desire  vivre».  EI  traite  des  Seigneuries  de  Lo\ , 
SEA^  fue  impreso  por  primera  vez  en  1608:  pero  probablementc  Loysea^ 
no  fue  el  primero  que  uso  la  frase ;   vease  William  Farr  Church:    ^Con- 

i^Oi'  .     smuticnal   Jhqught    in    Sixteenth-Century    France^    {Harvard    Hist.    SiudT, 
XLVII;   Cambridge,    1941),  325,  n.  57.  ' 

(9)  Vease  Thomas  P.  Taswell  -  Langmead  :  English  Constitutional 
History,  8.»  ed.,  de  Coleman  Philippson  (Londres,  1919),  488,  nota  (y). 
en  la  que  se  halla  improsa  la  mayor  parte  de  la  proclama;  cf.  Chri- 
MES,  op.  cit.,  472  y  sig.  Veanse  tambien  los  Debates  parlamentarios  de 
1610,  ed.  por  S.  R.  Gardiner  (Cimden  Society,  81  :  Londres.  1862),  22  y 
siguientes. 

40 


U       I 


I    D 


SECRETOS    DE    ESTADO 


f€. 


jaime  I  se  refirio  a  <«mi  Prerrogativa  o  secreto  de  Estado".  al  'se- 
creto  del  poder  del  rey»,  o  a  «la  reverencia  mi'stica  que  pertenece 
a  qiiienes  se  sientan  en  el  trono  de  Dios.>  (lo),  u  ordeno  al  'Speaker 
de  la  Camara  de  los  Comunes  «que  advirtiera  a  aquella  Camara 
que  no  intentara  nadie  entrometerse  (enrrometerse  era  una  expre- 
sion  favorita  del  absolutismo)  en  nada  que  concerniera  a  nuestra 
gcbernacion  o  secretes  de  Estado)>  (ii). 

No  seri'a  facil  decidir  rapidamente  y  con  precision  de  donde 
se  deriva  el  concepto  de  Secretos  de  Estado.  Podn'a  haber  sido. 
naturalmente,  una  traduccion  del  arcana  imperii  temptan,  de  Ta- 
cito,  (cexaminar  los  secretos  del  imperio)),  y  es  posible  que  el  culto 
faime  I  conociera  a  Tacito.  Si  embargo,  la  expresion  secretos  de 
Estado  tiene  mas  sabor  cristiano  que  de  Tacito,  aunque  la  pala- 
bra  arcana  servi'a  para  designar  los  misteria  paganos  y  los  cristia- 
nos  (12).  Sin  embargo,  hay  razones  para  pensar  no  en  el  historiadoi 
romano,  sino  en  el  Derecho  romano  debido  a  una  ley  de  los  em- 
peradores  Graciano,  Valentmo  y  Teodosio,  quienes  en  el  afio  ^95  se 
dirigi'an  al  praefectus  Urbi  Symmachus  diciendo  que  era  sacrile- 
gio»  discutir  el  juicio  del  Principe  y  las  decisiones  de  los  fimcio- 
narios  (13).   Seguramente  que   «sacrilegio))   es  una   palabra  fuerte 

(10)  MclLWAIN:  Polit.  Works,  332  y  sigs.,  para  el  discurso  del  icy 
laime  en  la  Star  Chamber,  en  1616.  Debe  notarse,  sin  embargo,  que  el 
rey  dice  tambien :  «For  though  the  Common  Law  be  a  mystery  and  skill 
best  knowen  unto  your  selues..."  Con  toda  seguridad,  la  palabra  .mystc 
ry»  tiene  aqui  el  sentido  de  oticio  o  comercio,  en  el  sentido  de  .cartes  y 
secretos)),  lo  que  quiza  puede  sugerir  que  secretos  de  Estado»  son  los 
oficios   o  comercios  que  hacen   los   reyes. 

(11)  Vease  Parliamentary  History  of  England  (Londres,  1806),  I,  1.326 
y  sigs..  en  donde  el  .secretO"  es  el  matrimcnio  espanol  del  Principe  Car- 
los; vease  tambien  McIlwain:  nConstitutionalism  Ancient  and  Modern 
(rev.  ed.,  Ithaca,  N.  Y.,  1947),  112,  ef.  125.  Entrometerse  se  repite  un.i 
y  otra  vez;  es  el  equivalente  del  latin  se  tntromittere ;  vease.  por  ejem- 
plo,  Mateo  de  Afflictis  (abajo.  n.  22).  I,  fol.  45,  sobre  Liber  augustalis. 
I.  4:    Ut  nulliis  se  intromittat  de  factis  et  consiliis  regis." 

(12)  TXciTO:  Anales,  II,  36.  La  expresion,  naturalmente,  era  conoci- 
da;  veanse,  por  ejempio,  los  .Debates  Parlamentarios»  de  1610,  pag.  52. 
donde  se  dice  que  los  lores  que  "se  sientan  mas  cerca  del  gobierno  y.  per 
tanto,  se  familiarizan  primero  con  aquellas  cosas  que  son  Arcana  impe- 
rii, etc.".  Para  las  interrelaciones  entre  arcana  y  misteria,  vease  Othmap 
PURLER,  arti'culo  "Arkandisziplin...  Reallextkon  fiir  Antike  und  Christen- 
tiini,   I  (1950),   667-676,   con  una  completa  bibliografia. 

(13)  Codigo  de  Teodosio,  I,  6,  g^C.  9,  29,  2:  "Disputari  de  principali 
ludicio  non  oportet :  sacrilegii  enim'instar  est  dubitare,  an  is  dignus  sit, 
^uem  elegerit   imperator.» 

4» 


/    U 


ERNST    H.    KANTOROWltZ 

que  bordea  la  ..zona  de  silencio»  reservada  para  mtsterta  y  arcana, 
para  las  acciones  en  la  iglesia  y  en  el  tribunal  (14).  No  obstante. 
esta  vieja  ley,  incluida  en  su  Codigo  por  Justiniano  fue  capital,  tanto 
en  la  legislacion  de  Rogerio  II  de  Sicilia,  como  de  Federico  II  (15). 
y  fue  tambien  repetida.  en  forma  ligeramente  atenuada,  por  Brae- 
ton  {16).  No  dejo  de  impresionar  a  Jaime  1,  quien  en   1616,  muy 


It 


J 
/ 


1  4sSi«.c.e 


i'vitr 


(14)  Para  las  conexiones  entre  arcana-mystena  y  sikntium,  vease  Odd 
Casel:  De  philosophorum  graecorum  stlentio  mysttco  (Religionsgeschichtli- 
che  Versuche^  V=rarbeiten,  XVI,  2;  Giessen,  1919).  El  .ikntium  per^ 
teneo'a  tambien  al  ritual  de  la  corte  de  los  emperadores  romanos;  vease 
AlfoLDI:    uZeremotiiell..  (arnba,   n.   i),   38   y  sigs.   O.  Treitinger  :    Die  os- 

■■     ■  ■       -  A 


Iromtsche    Kaiser-und   Retchsidee    mch   ihrer   Ge^italtunn   im    hiifnchen   Ze 
remoyiiell  (Jena.    1938),   52  y  sigs.   y,  para  su   representacion  en  el  arte  cris- 
tiano    primitive,    las    importantes   observaciones    de    Andr/  Grabar  :     >'Uni  /t 
fresque   visigothique   et   Ticcnogriphie   du    silence...    Cahiers   archeolo^iques,  ■ 
I   (1945).   126  y  sigs.   Sin  embargo,   el   silenttum  fue   impuesto  estrictamente 
por   Federico   II    sobre   las   partes   que   comparecian   ante   los   Tribunals    de 
la   Ley;    vease   Liber  augustalts.   1.    32:    ..Cultus   iustitiae   silentium   reputa- 
tur...  Las  palabras  proceden  de  IsaIas,   32.    17.   pero  la  ley  misma   esta   for- 
jada   sobre  el  Decretum  de  Graciano,    II.  C.   V.   qu.   4.   c.    3.   ed.   de  Emil 
Friedberg.   Corpus  tuns  caywnia  (Leipzig.    1879),    I.   548   y  s:gs..   pasaje   to- 
rnado de  las  actas  del   n  Concilio  de  Toledo  (675  despues  de  C.)  que  paso 
a  traves  de  varias  colecciones  canonicas.   incluycndo  la   del   Pseudo-Isidoro, 
antes   de  que   lo  recibiera   Graciano   y,    probablemente    a   traves   de   el.    Fe- 
derico  II.    Para   su   ley   en   el   Uher  augustalis,   vease   Coustttutionum   regni 
Stabarum  Ubn  tres  (Sumptibus  Antonii  Cervonii.   Napoles.    1773.   82).  Cito 
el  libro  de  leyes  de  Federico  II  de  acuerdo  con  esta  edicion  (en   abreviado. 
Liber  aug.,  ed.   Cervine),    porquc   contiene   las   glosas   de   Marinus   DE   Ca- 
RAMANICO  y  ANDREAS  DE  ISERNIA :   la  edicon  de  C.  Carcani  (Napoles.   1786), 
aunque    superior   en    algunos    respectos    porque    contiene    tambien    el    texto 
griego,    carece    de    comentarios :     y    la    edicion      cronolcgica»    de    J.    L.    A. 
Huillard-Breholles.  Histona  diplomattca  Fnderta  Secuiidi  (Pan's.    1852-1861), 
IV,   I  y  sigs.,   aunque  tiene  algunas   interpretaciones  mejores.   practicamente 
es  intjtil  para  el  historiador  de  las  leyec   oorque   rompe  la  unidad  de  libros 
y  titulos. 

(15)  Veanse  las  llamadas  «Sesiones  del  Vaticano,-.  I.  17  (publicadas 
probablemente  en  1140  en  Ariano,  en^'Apulia).  ed.  Francisco  Br.indileone. 
II  dmtto  Romano  nelle  legg,  Nomuinne  e  Sveve  del  regtio  di  Sicilta  (Tu- 
rm.  1884).  103.  El  texto  es  igual  al  del  Codigo  (arriba.  n.  13).  pero  des^ 
pues  de  la  palabra  ludtcio  se  afiade :  cmtsiliis,  institutionihus,  factis.  El 
mismo  texto  es  repetido  por  Federico  II.  Uber  aug.,  I.  4.  ed.  Cervone.  15. 

(16)  Bracton:  De  legihus  et  consuetudintbus  An^liae,  fol.  34.  ed.  de 
E.  Woodbine  (New  Haven.  1915-1942).  II.  .09:  „De  cartis  vero  regiis 
et  factis  regum  non  debent  nee  possutji  iustitiarii  nee  privatae  personae 
disputare.    nee   etiam.    .se  in    illis  dubitatio  oriatur.    possurn   cam    interpreta- 


t: 


42 


I 


iHt 


U       I 


SECRETOS    DE    ESTADO 


oportunamente  en  un  discurso  en  la  Star  Chamber,  se  refirio  Cia- 
ramente  a  ello  diciendo:  No  es  legal  discutir  aquello  que  concier- 
ne  al  secreto  del  poder  del  rey".  Adverti'a  a  su  auditono  <.que  se 
mantuviera  dentro  de  sus  li'mites.  porqiie  no  era  legal  disputar  so- 
bre  la  Prerrogativa  absoluta  de  la  corona.  Es  ateo  y  constituye 
una  blasfemii  discut'^-  io  que  puede  hacer  Dios...  Del  mismo  modo, 
es  presuncion  y  gran  desden  en  un  subdito.  discutir  lo  que  puede 
hacer  un  rey...-  (17).  Las  refereniias  a  la  ley  de  los  tres  emperado- 
res  romancs  son  evidentes.  No  es  preciso  decir  que  esta  ley  se  habia 
convertido,  mucho  tiempo  antes,  en  ley  canonica  cuando  se  apli' 
CO  al  Papa  <i8). 


ri.'  Es  d-.fi'cil  seguir  los  <,rgi;mentos  sobre  este  pasaje  anticipados  por  Fritz 
SCHULZ:  Bracton  on  Kingship.  Engl.  Hist.  Rev..  LX  (1945),  j;?-  aun- 
que  su  examen  es  admirable  en  muchos  otros  respecios.  SCHULZ  pretendc 
que  las  palabras  et  facUs  regum  deben  ser  interpoladas  .  Sin  embargo. 
estas  palabras  se  halian  bien  atestiguadas  en  esta  conexion  por  los  dos 
Cc'digos  sicilianos  (arriba.  n.  15):  no  hay  razon  para  suponer  una  inter 
polacion.  pero  si  para  preguntarse  de  donde  procede  de  jaciis.  SCHUL7 
pretende  que  es  conspicuo^  el  plural  regum  en  vez  de  regts.  No  lo  creo: 
el  plural  se  desliza  porque  C.  g.  29.  2.  que  SCHULZ  no  tomo  en  conside- 
racion.  tiene  el  encabezamiento  Idem  AAA.  (-Augusti)  ad  SyMmachum 
praefectum  Urbi>',  pues  la  ley  fue  prcmulgada  por  los  tres  emperadores : 
Grac.ano.  Valentiniano  y  Teodosio;  y  el  plural  se  deslizc  primero.  no  en 
el  tratado  de  Bracton.  sino  en  el  Liber  Aug.,  I.  4.  cuyo  ti'tulo  dice:  -Ut 
nullus  se  intromittat  (vease  arriba.  n  11)  de  facta  seu  consiliis  regum' 
— desliz  significative  porque  la  pluralidad  de  emperadores  bizantinos  del 
sur  de  Italia  no  es  raro  que  inf.uyera  en  las  scriptoria  y  cancillerias  del  sur 
de  Italia — :  vease  G.  B.  Ladnep  :  The  Portraits'  of  Emperor  in  Southern 
Italian  Exultet  Rolls  and  the  Liturgical  Gammemoration  of  the  Emperor>., 
Speculum.  XVII  (1942).  189  y  sigs..  que  interpreta  estos  plurales  en  los 
textos  litiirgicos  del  sur  de  Italia  de  un  modo  convincente.  Como  explicar 
la  semeianza  de  los  terminct  de  Bracton  con  el  del  libro  de  leyes  Sici- 
lian© es  una  cuestion  distinta :  pero  cuando  Bfacton  escribio  su  tratado 
(probablemente  entre  1250  y  1259).  Inglaterra  estaba  inundada  de  sici- 
lianos: vease  E.  KanTOROWICZ:  Petrus  de  Vinea  in  England  .  Mitfei- 
lungen  dei  ^iterreichtschen  /nstituts  fur  Geschtchftforchung,  f-LW/  (1937- 
58),  esp.  74  y  sigs..  81   y  sigs.  '^ 

(17)  MclLWAlN:  PcUttcal  Works  of  ]ames  1,  3}.;.  y  sigs.  Vease  tambien 
Parhamentary  Debates  in    1610,  pig.   2}.   f>arrafo  j. 

(18)  La  ley  de  los  tres  emperadores  pcnetro  tambien  e!  Derecho  ca- 
nonico:  vease  la  glosa  sobre  el  Decretum,  II.  C.  XVII.  qu.  c.  4.  Y  como 
el  profesor  Gaines  Post  me  supirio  amablemente.  la  ley  paso  tambien  al 
Papa:  vease  HosTIENSIS :  Summa  Aurea  (Venecia.  1586),  col.  1610,  De 
crtmint    sacrilegti,    n.    2 :       Similiter    de    ludicio    summi    Pontificis    disputare 


43 


I    u 


[  1*1 


ERNS7     H.    KANTOROWICZ 

'.Sccrctos  de  Estado-.  pue.s.  precede  claramcnrc  dc  ia  oibiu  que 
los  junstas  de  Jos  siglos  xii   >'  xin   ^  Placentinus,  Azo  y   otros 
Uamaron  rehgto  juns.  (Religion  del  Derecho-^  (i9).  y  que  en  t.em- 
pos  de  Federico  11  fue  Ilamada,  a  veces.  fnystenum  lus^ttme  (io). 
Es  aerto  que  el   emperador  mismo  en  sus  Constiruciones  sicilia- 
nas  solo  mencionaba  el  mmi^enum  lusuUae,  o  mis  bien  el  sacru- 
tissimimi  ministenum  lustttiae,  que  confiaba  a  sus  fiincionanos  <2il. 
Pero  las  dos  palabras  —mimst-enum  y  mystenum—  eran  casi  inrer- 
cambiables  desde  los  pnmeros  tiempos  del  cristianismo,  y  fueron 
confundidas  perpetuamenie  en  tiempos  medjevales;    un  comenta- 
nsta  posterior  de  las  Constitucionc.   s.cilianas.  Maicr   de   Afflict is. 


.,ui   "VvitoV' 


non  licet.,,  Veasc  tambien  Oldradus  dl  Pontt  :  Cimsilio.  LXU.  i. 
(Lyon.  1550).  fol.  21  rb. :  .Dc  porestate  vestra  dubitarc  sacnkgiuni  cshi 
are.  C.  de  en.  sacn...^^Il  (C.  9.  29,  2).  Vease  tambien  Angelo  dec: 
Ubaldi  en  C.  9.  2S.  2.  -n.  2  (Venecia.  1570).  fol.  26g :  ,  nunquam  dc  inh:, 
bil.tatc  vcl  .n.sufic.entia  (off.ciali.s)  a.s.suinpt.  per  Papam  vcl  per  prmapcir 
disputandum  est..  Tambien  GuiDO  Papa  :  Consxka.  LXV.  n.  lo  (Lyon. 
1544).  fol.  86:  uDisputare  enim  de  ipsorum  (sc.  papac  ci  imperaicr,;,)  ^. 
testate  nemini   licet:    quimmo  faciens   crimen   .sacrilegu  committn 

(19)     El   rehgio  .uni   es   discutido   cornentemente    por   los   plosa3c.-e5    t: 
conexion  con  las  Institucionts  dc  lustmiano-  Proemio :    <        ei  fiat  (cl   Pn'r. 
cipe    romano)    ta^   mns   rehtiio.si.ssimus    quam    victis    hostibus    tnumphator. 
Cf.   Placentinus:    Summa  InstauUonum,  ed  H.  FrmNC:    JunsUsche  Srh'i' 
ten  dcsfruj^ren  Mittclalter,   (Halle    1876).   222.   21:    AzO:    Summa  Jr;.-:::. 
Unnum.  ISTF.  W.  Maitland.  Sehcted  Passage!:  from  the  Works  oj  BrarUn 
and  .^o  (Seiden  Society.  VIII.  Londres.   1895).   6.  La  Glossa  ordtuane  (glc- 
sa   sobre    «rel.giosisstmus. )   compara.   como   lo  hicieron   antes   Azo   y   otro.v 
las  nociones  luns  rehg,o  y  tnumpkus.  Vease   tambien   Andreas  DE  hi  ■ 
sobre  el  Uher  auf.,  1.  ^,  ed.  Cervone.    168:    .  lustitia  habet  multas  ;.  •  ■ 
inter    quas    est    rcligio    et    sacramentum       Nam    sacramentum    est    religio: 
unde    dicitur   lunsiurandi    religio.,    lunsiurandi   rebgw   quedo   como   te—  ■.: 
tecnico  de  la  lunsprudencia.  y  es  significative  que   un   mnsta  irancet  oi 
glo   XVI.    a!    refenrsc    a   Filon.   De   Speciaiihus   legibus.  II:    De  tureturandt 
veUgionequt.  citara   a   Fil6n.   Uber  de  iur^siurand,  reltpone ;    vease  PlERRI 
GRECOIRE:    De   RepuhUca.   VI.    c.  j.   n.  2"'(Lyon.    1609).    137.'^ 

(20)  PEmus  DL  ViNEA:  Efrstolue .  III.  (,9.  ed.  de  Simon  Schard  (B. 
silea.  1566).  512:  .venderc  precio  lustinae  mystenum  .  carta  desvirtuan 
do  las  leyes  impenalcs.  Justicia  venal  por  supuesto.  compa^da  con  la 
simonia  :  veasc  Felipe  DE  Leyden  (abaK).  n.  67) :  Cas^s,  LX.  n.  33.  pap- 
nas  253  y  sigs.  LuCAS  DE  Penna  :  en  C.  12.  45.  i.  n.  6j.  pig.  955:  ,  gra. 
vius  crimen  est  vendere  lusiitiam  quam  praebendam :  lepimus  emm  Chris- 
tum esse  lustitiam  (veasc  Dti-rettum.  C.  XI.  q.  3.  c.  84.  ed.  Friedberp. 
I.  666),  non  legitur  autem  esse  praebendam.> 

(21)  Uber  aug..  1.  63,   ed.   Cervone.    124. 


4A 


d^  J    t  s  c u.  ^Ol 


U       I 


n 


SRCRETOS    DE    ESTADO 

al  glosar  la  ley  de  Federico.  luzgaba  aiin  necesano  expresai  exten- 
samentc  la  diferencia  que  exisic  entre  mimstemmi  y  mystei-ium  (22). 
Por  tanto.  parece  ofrecer  pocas  dndas  que  fuc  del  estrato  «secretos 
de  la  justiciar  — en  aquel  tiempo  .dusticiav  sipnificaha  •  Gohier- 
no>'  o  (tEstado' —  de  donde  surgio  el  concepto  dt  Secrctos  de 
Estado  de  (aime  i.  Y  fue  en  el  mismo  estrato  donde  sc  orifjino  el 
pontificalismo  de  los  reyes  absolutos. 

EI  .(pontificalismov  real.  pues.  parece  descansar  en  la  creencia 
legalmentc  establecida  de  que  el  pobierno  es  un  ni'^'Sterwm  admi- 
nistrado  solo  por  el  alto  sacerdotc  real  y  sus  indiscutiblcs  funcio 
narios,  y  que  todas  las  acciones  realizadas  en  nombre  de  csos  use- 
cretos  de  Estado^.  son  validas  ipso  facto  o  ex  ohere  opcato,  pres- 
cindiendo  incluso  del  valor  personal  del  rey  y  de  sus  seeuidores. 

c'De  donde  se  deriva  esta  activiciad  pontifical,  desconorida  en 
la  aha  Edad  Media?  Seouramente,  el  rey-sacerdote.  el  rex  ci  iucar- 
doi,  fue  un  ideal  primitivo  medieval  de  muchas  facetas  (23),  aunquc 


U-i)  Para  e'.  ust  uucrcambiabU  dt  nuiitsierunr.  y  mysteriiim,  veast 
f.  BlatT:  iMinistenum-Mystcnuni' .  Archtvum  laUmtatu  mediiaevx,  IV 
J1923).  80  y  sigs. ;  podria  afiadirsr  E.  DiEHL :  hncnpttonei  latnutL  Chrts- 
Uanac  veteres  (Berlin,  rg^^).  I,  4.  niim.  14  (  'mini.?terjs  adqur  mystcriis 
religiose  celebrandis.-):  tambiei.  booh  of  Amtaah.  ed.  dt-  John  Gwynr 
(Dublin,  191  jj.  pag.  ccxxi  (citas  dc  romano;,  u.  25).  Mated  DE  Afflictis  : 
In  utnusque  StciUat:..  CmisMuttom: ^  fVenecia.  1562).  1.  fol  216  v..  en 
Uher  au}i..  I.  h^  (60).  nunu.  4-5.  eiicuentra.  por  ultimo,  qut-  la  diteren- 
cia  principal  entre  las  do.s  nocionej>  reside  en  e!  hecho  de  que  .mysterium 
non  potest  fier;  111  pnvati.s  domibui...  sed  miiusterium  lustitiae  potest 
fieri  etiam  in  pnvati.s  domibui  .  resultado  algo  decepcionantc  dc  un  pro 
mctedor  esfueno.  Veast  tambieu  A  SoiTrER  :  A.  Glossary  aj  Later  Lrttni 
(Oxford.    1949).   s.    V.     iministenum   . 

(23)  Existe  un.i  considerable  faita  de  clandad  respecto  al  rea  et  sacer- 
dos  idea!.  Sm  intentar  resclver  un  problem,  coniplic.ido  en  una  nota.  qui- 
za  scan  oportuna.s  unas  cuanta.s  obscrvacione;..  En  iot.  siglos  cnstianos  pn- 
mitivos,  el  rex  et  sacerdos  idea!  no  tenia  nada  que  ver  con  las  consagra- 
^iones:  pwbnbiemealU  era  un  supervivientc  del  tttulo  imperial  Pmitifej 
Maxtmu!,.  aunqui  t.imbieii  era  una  adaptacicn  de  ese  titulo  e':  pensamien- 
to  cnstiano  siguiendo  el  modelo  blblico  de  Meiquisedec.  La  introduccion 
de  las  uncioiies  reaies  tn  ios  siglo.s  vii  y  vili  produio  la  nota  litiirgica :  la 
nueva  coronacion  uiigida  .1  cstilo  del  Vieio  Testamento.  .ut  intelligat  bap- 
tizatu.s  regale  ac  sacerdotak  ministenum  accepisse  (veasc.  entre  una  vein- 
tcna  de  frase.s  semeiantes.  la  respuesta  dc  Amalar  de  Trier  al  cuestiona- 
rio  de  Carlomagno  sobre  el  bautismo.  Pair.  lat..  XCIX.  898.  i):  el  rey. 
como  el  neofito  bautizado.  era  rex  el  sacerdos.  auiiquc  en  un  sentido  es- 
pecial,  y   su  sacerdocio  era   s61o  esotenco   v    ni'   clerical     Despues   dc    la    in- 


■^ 


pr\*^Ut>tJLiAAt^i^ 


45 


U      I    u    u 


ERNST    H.    KANTOROWICZ 

siempre  inseparable  de  la  monarquia  con  Cnsto  como  centre  de 
aquella  epoca;  o,  si  se  prefiere.  de  la  monarquia  litiireica  liga- 
da  al  altar,  que  por  ultimo  dio  lugar  a  una  monarquia  legalista  de 
derecho  divino.  Este  legalismo  empezo  en  el  siglo  Xll,  cuando  el 
caracter  casi -sacerdotal  no  se  legitime  ya  exclusivamente  como  un 
ef.uvio  de  uncion  y  altar,  sino  como  un  efluvio  de  la  seriedad  del 
Derecho  romano  que  nombraba  a  jueces  y  abogados  sacerdotes  lu^ti- 
tiae.  usacerdotes  de  la  jusricia>>  {24).  La  antigua  solemnidad  del 
ienguaje  litiirgico  se  mezclaba  extrafiamente  con  la  nueva  solemni- 
dad del  idioma  de  los  junstas  cuando  Rogerio  II,  en  el  prefacio 
a  BUS  Debates  silicianos  de  (probablemente)  1 140,  llamo  a  su  co- 
leccion  de  leyes  nuevas  una  oblacion  a  Dios.  Dignus  et  nectasartum 
est,  con  estas  palabras  empezaba  el  prefacio.  explicando  el  prcpo- 
sito  de  la  coleccion,  y  contmuaba : 


AaT^") 


<dn  qua  oblattone.  Por  esta  oblacion  (de  leyes  nuevas)  el 
funcionario  real  asume  para  si  mismo  determinado  privilegio 
sacerdotal,  por  lo  cuai  algiin  sabio  llamo  a  los  interpretes  de 
la  ley  "sacerdotes  de  la  ley>'  (25). 


troduccion  de  las  unciones  de  cabeza  en  las  consagraciones  de  los  obis- 
pos.  la  coronacion  del  rey  sc  hizo  muy  parecida  a  la  ordenacion  de  un 
obispc :  el  funcionanc  real  fue  cclericalizado  y  sc  considero  al  gobernan- 
te  not!  omnmo  latcus.  El  Derecho  romano  y  canonico  produicron  final- 
mente  una  interpretacicn  nueva,  ni  esoterica  ni  linirgica-clerical.  sino  lega- 
lista-clencal,  del  vieio  rex  et  sacerdoi,  ideal,  aunquc  sin  dejar  dc  activar 
per  complete  las  priniitivas  cap>as.  '^ 

(24)  Dj^eslc),  1.  I.  1  :  Ulpiano.  Cuiu;,  merito  qui.',  nos  sacerj^s  ap 
pellet:  lustitiam  namquc  colimus..  No  sc  dice  a  quienes  llamaba  el 
jueces  y  junstas  sacerdotes;  veasc.  sin  embargo,  AULUS  Gellius,  Nodes 
Atttcae,  XIV,  4:  :...  ludicem,  qui  lustiiiae  antistes  est:  tambien  QuiNTl- 
LIANO.  Inst  Oral.,  XI,  I,  69:  "iuris  antistes".  Vease.  ademas.  la  inscnp- 
cion  CIL,  VI.  2250:  iocerdo!:  lustitiae,  con  la  iiota  dc  MoMMSEN  de  D.  t. 
I.  i:  tambien  Symmachus,  Ep.  X.  3.  13.  Mon.  Gemi.  Hist.,  Auct.  ant.. 
VI.  282.  28.  llama  a  Ics  emperadores  lustittot  sacerdotes.  Para  e!  pasaje 
mismo.  vease  Ulrich  VON  LiJBTOW ;  .Ek  lustitia  et  iure>' :  SAVIGm  : 
Zeitschrift  fur  Rechtsgeschichte,  rom.  Abt..  LXVl  (1448).  458  y  sigs.. 
esp.   524,   559  y  sigs.;    56:5. 

(25)  BrANDILEONT.  :  Dtritto  Romano  (arriba.  11.  15),  94  y  sip.:  In  qua 
oblationc  regni  officium  quoddam  sibi  sacerdotii  vendicat  pnvilegium;  unde 
quidnm  sapiens  leghsque  pcritus  iuris  interpretes  mris  sacerdotes  appellat. 
Comparese,  Dtgnum  et  necessanum  est  con  el  prefacio  de  la  misa :  Vere 
diauuni  e^  lustum  est,  y  la  relativa  union  In  qua  ohlatione  con  Quam  obUi- 
tioneni   antes  dc   la   consagracion.   Ni  las  .semcianzas   ni   las   vanaciones  mas 


46 


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SECRETOS    DE    ESTADO 

Con  las  palabras  citadas  en  ultimo  lugar  el  rey  Rogeno  se  re^ 
feria  al  paragrafo  pnmerc  ,-|el  Digesto  de  Justiniano  que.  como  es 
natural,  atrajo  la  atencion  de  los  juristas  medievales.  Accursiiis 
(muerto  hacia  1258),  en  la  Glosa  ord.naria  en  D.  i.  i.  i.  hace  nn 
claro  paralelo  entre  los  sacerdotes  de  la  Iglesia  y  los  de  la  ley : 

"Del  mismo  modo  que  los  sacerdotes  administran  y  se 
ocupan  de  las  cosas  sagradas.  asi'  lo  hacemos  NOSOTROS,  pues^ 
to  que  las  leyes  son  mas  sagradas  ..  Y  asl  como  el  sacerdote, 
cuando  imponc  penitencia.  da  a  cada  uno  lo  que  le  corres^ 
ponde  en  derecho.  asi  lo  hacemos  NosoTROS  cuando  juzea^ 
mos..  (26).  ^ 

Un  juez  imperial.  Juan  de  Viterbo.  hacia  1238  en  Florencia 
inferia  del  Cod.go  que  -el  juez  esta  consagrado  por  la  presenc.a  de 
Dios.  y  que  .,en  todas  las  causas  legales  se  dice,  o  meicr.  se  cree 
que  el  ,ucz  es  D.os  con  respetto  a  los  hombres.,.  de  donde  el  hecho 
de  que  el  ,uez  admm.stre  un  sacramentum  y  tenga  un  ejemplar 
de  las  Sagradas  Escnturas  sohre  su  mesa,  servfa  -o  se  intentaba 
que  sirviera-  a  los  fines  de  una  exaltacon  para-religiosa  del 
sacerdote^junsta  (27).  Un  junsta  tan  grande  ccmo  William  Du- 
rand,  el  Speculator,  que  escribfa  a  fines  del  siglo  xiii,  c.taba  a  los 
glosadores  para  decir  .que  el  emperador  podi'a  considerarse  como 
pre^em  segun  el  pasaje  en  que  se  dice  (D.  i.  ,.  ,,):    „Nosotros 

ligeras  careccn  de  senndo;  se  deseaba  la  corre.pondenc.a  con  la  n„sa.  p.ro 
absteniendosc.    s.n   embargo,   de   la    profanacion. 

(26)     Glosa  ordtnana,   en  D     i     i     i     al       o-.,-»,j  . 
J         5  '  '^-    '•    '•    !•   S'-      sacerdoteS). :     ..quia   ut   sacer- 

dctesj   sacra  m.n.trant   et   conficiunt.   ,ta  e,   nos.   cum   leges  sunt  sanct.ss- 

T  "V '"'/""";/""'"'  ''''^""^  '''"'^°'  '"  ''^"'^^  PO<=naem;a.  sic  et 
no  .n  ,ud.cando..,  Un  cxtenso  comentano  sobre  el  tema  se  encuen.ra  en 
GU,LMUME  Bude:    A,„u.taUones  ,..  XXIV  PandecUrum  Ubros  (Lyon     I  J 

DEgL    Uba^  •    ''f  ■"    ^'"    ''    P"^'^'"""    ''    '"'^^^    y    --^'^^-    ANCELO 
uno   verbo  Docorem   facere   poss.t.    dicendo:     "Pronuntio  te   Doctorem     " 
e    eodem  modo  papa   pronuntiat  sacerd.tem.,    Para  o.ros  aspectos  del   pro' 
blema.  vease   The  K.r.g's   T^o  Baches.    ,20   y  sigs 

(27)     lUAN    DE    Vn^RBO:     De    re,.r.,ne    ctv^tatum.    c.    .,.    ed     Gaetano 
Salvemen.    en:     B,H,otHeca   ,und,ca   n.dn   ae..    (Bolon.a.     ',01).    I,?.! 

I|idex    deJ  p.esent.a    consecratur  .." ;    diatur    et.am.    .mmo    creditur.    esse 
eus  .n  omn,bus   pro   hom.n.bus  .       Los   pasa.es  citados  es.an   en   D     , 
'•   t-  ^.  I.   14:   C.   [.  ,9.  2,  8. 


J 


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ERNST    H.    KANTOROWICZ 

ios  jueces.  somos  llamados,  con  razon,  sacerdotes»  (28).  Y  se  re- 
fiere  al  Derecho  romano  y  al  Decreto  de  Graciano,  anadiendo : 
"El  emperador  se  llama  tambien  Donti'fice»  (29).  Es  altamente  sig- 
nificativo  que  se  hiciera  aqui'  un  positive  esfiierzo  para  probar  el 
caracter  no  laico,  e  incluso  pontifical,  del  rey  dentro  de  la  Iglesia. 
no  como  resultado  de  ungirlo  con  el  balsamo  sagrado,  sino  como 
consecuencia  de  la  comparacion  que  hace  Ulpiano  de  Ios  jueces 
con  Ios  sacerdotes.  De  cualquier  forma,  la  realeza  esta  a  punto  de 
.ser  separada  del  altar,  y  el  viejo  ideal  de  la  monarqm'a  sacerdotal 
segiin  el  modelo  de  Melquisedec  y  de  Cristo  fue  sustituida  gra- 
dualmente  por  un  nuevo  pontificalismo  real  segun  el  modelo  de 
Ulpiano  e  incluso  del  mismo  Justiniano. 

Que  Ios  Secretos  de  Estado  eran  inseparables  de  la  esfera  de 
la  Ley  y  de  la  jurisdiccion  no  necesita  mas  comentarios.  La  pre- 
tension a  una  jurisdiccion  universal  que  Barbarroja  (aconsejado, 
segun  cuenta  la  historia.  por  Ios  cuatro  doctores  de  Bolonia)  esta- 
tlecio  basandose  en  e!  Derecho  lomano  y  feudal,  fue  un  fracaso. 
No  constituyo  un  fracaso  cuando  hizo  la  misma  pretension  el  Ro- 
mano Pontifice  basandose  en  la  epistola  i."  a  Ios  corintios,  2,  15: 
"El  hombre  espiritual  juzga  a  todos,  pero  a  el  mismo  no  lo  juzga 
nadie...  Conocemos  muy  bien  la  historia  de  esta  maxima,  y  sabe- 
mos  como  el  .Hombre  dctado  con  el  Esp'ritu  Santo,  el  IneumaU. 
kos  del  Apostol.  fue  sustituido  finalmente  por  un  funcionario,  el 


(28)  GUILLELMUS  DURANDUS :  Ratiotmle  dhinorum  offictorum,  II.  8,  6 
(Lyon,  1565),  fol.  55:  ..Quidam  etiam  dicunt ...  (D.  i.  8.  9.  3)  quod  (im- 
peratir)  fit  presbyter  iuxta  ill„d :  "Cuius  merito  quis  nos  sacerdotes  an- 
pcllat*'.» 

(29)  DuRANDUS:  he.  at.:  .  Imperator  etiam  pontifex  dictus  est.- 
Cf.  Rationale,  11.  11:  .Unde  et  Romani  imperatores  pontifices  diceban- 
tur...  Esta  cs  simplemente  la  aco.stumbrada  cita  de  Graciano:  Decrelum. 
I.  Dist.  xxi.  c.  ,.  paragrafo  8.  ed.  Friedberg,  I,  68.  El  pasaje  en  el  De- 
cretum  esta  tornado  de  IsiDORO  DE  SevillA:  Etimologias,  VII.  12.  Los  ci- 
vilistas  raramente  dejan  de  alegar  este  parrafo  del  Decretum  cuando  dis- 
cuten  las  cualidades  pontifirales  y  sacerdotales  del  Principe  en  relacion 
con  Justiniano.  Instit.  II.  i.  8  (-per  pontifices  deo  consecrat^  sunt..),  o  con 
D.  I.  8.  9.  I  („cum  princ^  eum  (locum  sacrum)  dtdicavit..).  Ma^ 
adelantc.  BuDg.  op.  cit.  (arriba.  n.  26),  30.  acusa  a  Accursius  -y  con 
este  motivo  a  toda  la  escuela  de  glosadores—  quod  ad  nostros  pontifices 
retuUt:  es  decir,  per  haber  igualado  al  pontifice  antiguo  con  el  moderno 
obispo  cristiano.  Esto  hace  honor  al  sentido  historico  tan  fuertemente  des- 
arrollado  de  BUDg.  En  aquella  epoca.  sin  embargo,  cl  dano  estaba  hecho 
y  el  rey  se  habi'a  convertido  en     pontifical.'. 


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obispo,  y  file  idcntificado  en  particular  con  el  obispo  de  Roma ; 
y  como,  despues  de  haberse  probado  por  el  Dicfatui  papae  de 
Gregorio  VII  y  la  biila  Unam  sanctam  de  Bonifacio  VIII,  se  es- 
tablecio  para  todos  los  tiempos  futures  la  maxima  papal  que  exi- 
gfa  la  jurisdiccion  universal  en  determinadas  circunstancias :  Samta 
Sedes  Onines  iudicat,  sed  a  nemine  iudicatur  (30). 

Mucho  menos  conocida  es  la  posterior  y  secular  historia  de 
esta  maxima.  Baldus,  la  gran  autoridad  juridica  del  siglo  xiv,  ob- 
servaba  que  al  emperador  se  le  llamaba  tambien  Rex,  quia  aHoi 
regit  et  a  nemine  regitur,  "Rey  porque  rige  a  los  otros  y  no  es 
regido  por  nadie»  (31).  Mateo  de  Afflictis,  el  comentarista  sici- 
liano  del  siglc  XVI,  declaraba  :  "El  emperador  manda  a  los  otros. 
pero  a  el  no  le  manda  nadie"  {52).  De  Afflictis,  por  supuesto.  no  ci- 
taba  o  interpretaba  a  San  Pablo;  citaba  a  Baldus,  quien,  a  su  vez, 
apenas  pensaba  en  la  Epi'stola  a  los  Corintios,  sino  en  la  maxi- 
ma de  los  canonistas :  Sancta  sedes  omnes  iadicat.  Esto  mismo 
era  cierto  probablemente  cuando  Jaime  I  declare  que  Dios  tenia 
poder  «para  juzgar  a  todos  y  no  ser  juzgado  por  nadieo,  no  sin 
anadir,  sin  embargo,  que  los  icreyes  son  llamados  dioses,  con  ra- 
z6n»  (33),  pues  realizan  una  especie  de  poder  divino  en  la  Tie- 


^ 


;ix 


(50)  Vease  ALBERT  MiCHAEL  KoeNiCER :  .Prima  sedes  a  nemine  iudi- 
catur", Blitm^e  Zur  geschichte  des  Chnstlwheii  Altcrtiims  uiiJ  der  byzan- 
tinischer.  ..vcratur;  FTT,  g.ioe  Albert  Ehrhard  (Bonn  y  Leipzig,  1922),  27^ 
300;  vease,  para  Bonifacio  VIII,  tambien  KoNRAD  BuRDACH:  Rienzo  und 
die  geistige  VVo;»7»g  seiner  Zeit  (Von  Mittclalter  zur  Reformation,  II. 
I.  Berlin,  1913-28),  538  y  sigs.  Vease  la  violenta  diatriba  del  siglo  xvi 
contra  la  maxima  papal  por  PIERRE  DE  Belloy:  Moyens  d'abus,  enlre- 
prises  et  nullitez  dii  resent  et  hulle  du  Papa  Sixte  V  (Pan's,  1586),  6i  y 
siguientes. 

(31)  Baldus,    sobre   el    Dtgesto.    Prc«mio,    n.   23    (Venecia,    1586),  j6i    y- 

(32)  Mateo  de  Afflictis  en  Sicil,  Const.,  praeludia,  qu.  XXI,  n.  3. 
folio  18:  'iquia  impcrator  aliis  imperat,  sed  sibi  a  nemine  imperator,  ut 
dicit  Baldus  ini  prij  f  gigaj  veteris.  in  ii.  coI.»  (vease  arriba,  n.  31).  Cf. 
Angelo  DEGLI  TUbaldi  en  Dig.  proemri  rubr.  (Venecia,  1580),  fol.  2:  Im- 
perator quia  imperat  et  a  nem/ni  sibi  imperatur.x  Tambien  Albericus  DE 
RosATE  en  Dig  proem.  "Omnem",  n.  15  (Venecia.  1585),  fol.  4:  quia 
ipse  [imperator]  facta  subditorum  iudicat :  sua  iudicat  solus  Deus :  sicut 
de  Papa  dicitur...  (C.  U^  q.  3,  c.  15)  cum  sit  aequalis  potestas  utriusquc. ..>' 
La  referencia  al  Decretum  es  un  pasaje  del  pseudo-Isidoro ;  cf.  Friedberc,  : 
Corpus  luris  Canonici  (Leipzig,   1879),  I,  6ia,  n.  224. 

(33)  Para  los  reyes  como  "dioses>'.  vease  mi  ensayo  <  Deus  per  natu- 
ram,   Deus   per  gratiam».   Harvard  Theological  Ret-iew,   XLV   (1952),   253- 


2.^. 


49 


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'V^  UCjLfeVU'VW^'^. 


1 


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1-1 


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rrai>  (34).  Salmasius,  absolutista  de  (ja)  buena  (epocg),  tampoco  pen- 
saba  en  la  carta  apostclica  cuando  en  su  Regal  Defeme  oj  CharLsi  I 
of  England,  impresa  por  vez  primera  en  1649.  dijo  clara  y  simple- 
mente:  «Es  rey  en  el  vcrdadero  sentido  de  la  palabra.  que  juzga  a 
todos  y  no  es  juzgado  por  nadie..  (35).  Lo  que  interpretaba  Salma- 
sius no  era  sino  la  teoria  papal,  transfiriendo  su  esencia  el  estado 
secular.  Literalmente,  el  principe  absoluto  habi'a  usurpado  !a  fun- 
cion  al  Romano  Pontifice ;  el.  el  principe.  se  convirtio  ahora  en 
el  superhombre.  ese  homo  Spmtualts  i\  que  Bonifacio  VIII  habfa  m- 
tentado  energicamente  monopolizar  en  beneficio  del  Romano  Pon- 
tifice. con  exclusion  de  todos  los  otros  (36). 

277.  donde  he  indicado  (por  ejemplo.  iy^,  n.  72)  ks  conexiones  con  lav 
teonas  absolutistas.  aunque  sin  penetraV  mucho  en  el  asunto  y  sin  reco- 
nocer  hasta  que  punto  la  nocion  fue  realmente  cardinal  en  las  teor.'as  de 
los  absolutistas  ingleses  y   franceses.   Vaese,   por  ejemplo.   arriba,  n.  9. 

(34)  Discurso  de  Jaime  I  en  la  Camara  de  Ics  Lores  y  de  los  Comu- 
ncs,  11  de  marzo  de  1609;  vease  McIlwain:  Political  Works,  307  y  sigs. 
(55)  Salmasius:  Defensio  regia  pro  Carolo  I,  c.  VI  (Pan's,  1650-  pu- 
bhcado  per  primera  vez  en  1649).  169:  .Rex  a  nemine  ludicar/  potesl  nis. 
a  Dec;  y  170:  „...  ,llum  proprium  [rege/  esse]  qui  iudicat 'de  omnibus 
et  a  nemine  iudicatur.' 

(36)     Vease   Burdach:    RwnZo   (arriba,    n.    30),    211    y   sig.,    269   y   s,g 
y    pass,m  (Index,   s.    v.    4Aermensch«).    sobre    la    idea   del    .superhombre' 
y  su  relation  con  el  homo  sptrituaUs.  La  genealogia  del    .superhombre..  es 
no   obstante,    muy   complicada.    aunque   no   puede    negarse    su    relacon   con 
^an   Pablo   y   la   Epi'stola   a   los  Corintios.   Vease   Gregorio   el   Grande,    Mo- 
ralia.   XVIII,   c.    54  (paragrafo  92),    en    Job,    27.    20-21 :    Pair.    lat.    LXXVl 
95A.   Los  comentanos^,.Grs^ori9_j_,.   Cor.   2.    .0,    y  dice   sobre   San   Pa- 
blo:    More    n,o    [Paulus^l    "hom.ues"    vocans    omnes    hunyina    sap,entes, 
qma  qm  diz^na  sapmnt,  vuUUcet   -supra  hommes"   sunt.    Vtdebtmus  .gitur 
Deum,  «  per  coelestem   conversattonem    "suprahomxnes"   esse   mereumur 
La   noc.cn  de   suprahomines  coincide,    as,   pues,   en   gran   parte,    con    la  de 
du  (vease  arriba,  n.  53).  Ve»«|  Vease  Charles  Norris  Cochrane-   Chns- 
Uamty  and  Classud  Culture  (Oxford,   .940).   1,3,  n.   i;   J.  MaRITAIN:    Theo- 
nas,  Conversations  of  a  Sage  (Ix,ndres   y  Nueva   York,    ,95,),    ,89.    ve^se 
tambien    R.    Reitzenstein :     Dte    hellemt.sche   MystenenreUgionen    (J*    ed.. 
cion     Berhn     ,927),    368  y   sigs.,   para   San   Pablo,   y   tambien   Karl   HoLL: 
Luther  (Tubingen,    ,932),    222,   533-    Existe.    sin   embargo,    todavfa   o.ra   co- 
rriente.    Nikephoras   Gregoras,    que   escribfa    en   el    siglo    xiv,    llama    atin 
al  emperador   b.zantino   <,divino   y  hombre   sobre   los  hombres..  '(e-o^  k^I  bx=o 
avOp,„r,„v  c!vOp„.:ro;    cf.    Rodolphe   Guilland:      Le   droit    divin    a    Bv- 
zance,.,   Eos     XLII   (,947),   .53-   Esta   corriente,   por  supues.o.   lleva    al   muy 
amp  10    problema    del    the.os    ancr.    del    que    no    podemos    ocuparnos    aqu." 
Cf.   L.   Bieler:     hKIOv    an  HP:    Dar^Bikldes    .gtMuhen  Menschen.  m 
ipatantike   und  Friihchnstentum   (Viena,    1935). 


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0/ 


Los  <(Secretos  de  Estado>-  se  limitaron  siempre,  practicamente, 
a  la  esfera  jiiri'dica.  A  la  siibida  al  trono  de  Enrique  II  de  Francia, 
en  1547,  se  introdujo  en  la  Orden  de  Coronacion  francesa  un  paira- 
fo  antes  y  despues  de  la  concesion  del  anillo,  diciendo  que  por  este 
anillo  »el  rey  se  casaba  solemnemente  con  su  reino  — le  roy  espon- 
sa  solemnellement  le  royaume  (37).  Esto  no  era  precisamente  una 
metafora  introducida  por  su  belleza,  como  quizan  ocurrio  ocasional- 
mente  en  un  discurso  de  la  reina  Isabel  o  Jaime  I  (38),  sino  por  su 
acuerdo  con  el  Derecho  fundamental  del  remo  y  con  los  conceptos 

(37)     Th.    GoDEFROY:     Le    Ceretnomal    de_^  France    (Pan's,     i6iy),    348, 
para  la  coronacion  de  1547,  y  p.  661  para  ^irrafos)  mas  detallados  de  n954>       lS"ff 
..ANNEAU    ROYAL:    Pane    qu'a^   jour   dti   Sacre  Te    Roy    espo^sa   sokmnelle-      1  f 

ment  son  Royaume,  et  jut  comme  par  le   cloux,  gracieux,   et  amuible   hen  '  "^ 

de    niariage    .nseparablement    uny    avec    ses    subjects,    pour    t^nttuellement 
s'entr(e)aimer   amsi    que    sout    les    espoux,    luy    jut    par   le    dtt    Eiesque    de 
ChartKej_  presente  un  amieau,  pour  nuirque  de  ceste  redproque  cotij^tiori.,.. 
El  parrafo.de   despues  de   la  ceremonia   dice  que   el   mismo   obispo  /mit   le 
dit    anneau,    duquel    le    Roy   espousoit    son    Royaume,    a)^'   quatriesmc    doigt 
de  sa  main  dextre,   dont  precede  certaine  veine  attouchpnt  au  coeur-.  Vea- 
se,    para    la    ultima    observacion    concerniente    al    dedo    anular,    Graciano: 
Decretum,   II.    C.    XXX,    q.    5.    c.    7,    ed.   Fnedberg^    I,    ,106;    vease   para 
las    liltimas    fuentes    clasicas    de   esta    doctrina    (Geli.ius  :     Noct.    .\tt£7.    X, 
10,   1-2;    Macrobius:    Sat.,  VIII,   13,  7-10;    Isidoro  de  Sevilla:    De  ojj. 
eccles.,   II,   20,  8),   Franz  Joseph  Dolger:    Antike   uml  Christentum,   V 
(i9?3).    199;    y  para  el   renacimicnto  de   la   doctrina   en   Ordo  ad  jcwtendum 
tiponsalia  en   !a   Iglesia  de  Saruni.   William  Maskell:    Monumenta  Ritua- 
m  Ecdesiae    Anglicanae   (2."    ed.,   Oxford,    1882),    I,    59.    En    su   edicto    de 
1607   sobre    la    union   a    la    corona   de    su    patrimonio   privado    de    Navarra, 
Enrique   IV  alude  claramente  a   estas  riibricas  al  decir  de   los   reycs  que   le 
preccdieron  que   .ils  ont  contracte   avec  leur  couronne   une  esp^ce   de  ma- 
nage  communement    appelle    saint    et    politique));    cf.    Recueil   general    des 
anciens  lois  jranfaises,  ed.   de   Isambert,   Taillandier   et   Decrusy,   vol.    XV 
(Paris,    1829),   328,   num.    191:    veasc    tambien   Hartung   (abajo.   n.   40),    33 
y  sigs.  y  para  la  metafora  del  Sponsus  en  general,  BurdacH:    Rien^^o,  41-61. 
(38)     La   reina   Isabel    recordo  a   su   Parlamento    ><el   compromise  de   este 
mi    matrimonio   con    mi    reino.;    cf.    MiLTON    WaLDMAN:     England's    Eliza- 
beth   (New    York    y    Boston,     1933),    66.    Vease,    para    el    rey    Jaime    I,    el 
discurso  a  su  primer  Parlamento  en   1603:    Parliamentary  History,  I,  930: 
«"Lo   que    Dios   ha    unido.    ningun    hombre    puede    separarlo".    Yo    soy    el 
esposo   y   toda   la  isla   es   mi    esposa   legftima;    yo   soy   la  cabeza   y   ella   es 
mi   cuerpo;    yo    soy   el    pastor    y    ella    es    mi    rebano.»    Vease    tambien    la 
Declaration  of  John  Pym,  Esq.,  en  John  Rushwortd,  The  Tryal  of  Tho- 
mas Earl  of  Strafford  (Londres,   1680),  666:    «E1   [el   rey]  es  el  esposo  de 
la    Commonwealth. ...    el    es    la    cabeza,    ellos    son    el    cuerpo;    es    tanta    la 
union  que  no  pueden  separarse  sin  destruirse  ambos.') 


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legales  contemporaneos.  En  1538.  iin  abogado  frances,  Charles  de 
Grassaille,  avanzo  en  su  libro  sobre  los  derechos  regalistas  de  Fran- 
cia  la  teon'a  de  que  ise  contiaia  iin  matnmonio  moral  y  politico 
(matrimonnim  morale  et  polittaim)  entre  e!  rey  y  su  republican  {^9). 
Grass.aille,  asi  come  otros  jurisconsultos  del  siglo  XVi  — Rene  Cho- 
pin, en  1572  (40)  o  Franfois  Hotman.  en  1576  (41)  declararon 
que  el  poder  del  rey  scbre  el  reino  y  el  fisco  era  solo  como  el  qi:2 
tenia  un  marido  sobre  la  dote  de  su  mujer :  «E1  reino  es  la  dote 
inseparable  del  Estado  publico-  (42).  Rene  Chopin  llego  hasta  de- 
cir  que  el  rey  .es  el  esposo  mistico  de  la  respublica  (Rex  reipu- 
blicue  mystuus  contunx)  (43).  Esto  se  ha  considerado  ocasional- 
mente  como  una  ateoria  nueva»  {44).  De  hecho,  no  obstante,  aqiie- 
ilos  abogados  Franceses,  especialmente  Grassaille.  citaban,  palabra 
por    palabra,    los    Ccmentarios    sobre    los    tres    ultimos    libros    del 


(i9)  Charles  de  Grassaille:  Regalwm  Fraiiaat  Ubn  Ouo,  I,  ms  XX 
(Pan's,  1545),  217:  ..Rex  dicitur  maritus  rcipublicae...  Et  dicitur  esse  ma- 
trimonium  morale  et  politicum :  sicut  inter  ecclesiam  et  Praelatum  matri- 
mcnium  Spirituale  contrahitur ...  Et  sicut  vir  est  caput  axons,  uxor  veto 
corpus  viri...  ita  Rex  est  caput  reipublicae  et  respublica  eius  corpus.. 
Vease   arriba,   n.   38,   y  abajo   niims.   48,    56. 

(40)  Rene  Choppin:  De  Domanto  Franciae,  lib.  II,  tit.  i,  2  (Paris. 
1605),  p.  205:  Sicuti  eniin  Lege  Julia,  dos  est  a  marito  iiialienabilis: 
ita  Regium  Coronae  patrimonium.  individua  Reipublicae  dos.;  tambieii 
lib.  Ill,  tit.  5.  n.  6,  449:  .<Rex,  curator  Reipublicae  ac  mysticus...  ipsius 
coniun^o  Vease,  para  la  version  francesa,  Choppin:  Les.  Oeuvres  (Paris. 
1635),  II,  117  y  259.  Vea.se  tambien  el  muy  litil  estudio  de  Fritz  Har- 
TUNG:  Die  Krone  als  Jyvtbol  der  monarchischen  Herrschaft  im  ausge- 
hencieji  Mittekilter  (Abhandlungen  der  Prcussischcn  Akademie,  1940,  nii- 
mero   I3:    Berlin.    1941).    33   y  sig. 

(41)  Francois  Hotman  :  Francogalha,  c.  IX.  n.  5  (publicada  por  pn- 
mcra  vez  en  1576;  las  primeras  ediciones  no  contienen  el  capi'tulo  IX,  y 
las  ultimas  no  me  fueron  accesibles);  cf.  Andr£  LemairE:  Lds  lois  fon- 
damentales  cle  la  monarchte  franfuise  (Paris.  1907),  93,  n.  2  para  las  edi- 
ciones (tambien  99,  n.  2)  y  p.  100,  para  la  metafora  del  matrimonio, 
empleada  tambien  por  PIERRE  Gregoire,  DeRepuhlica,  IX,  i,  11  (Lyon, 
1609J,  publicada  por  primcra  vez  en  1578,  p.  267A :  el  principe  como 
Spousiis  reipublicae,  y  el  fisco  como  el  dos  pro  oneribus  danda. 

(42)  Vease  FiLlPPo  E.  Vassali:  ..Concetto  e  natura  del  fisco.,  SUidi 
Senesi,  XXV  (1908),  198,  niims.  3-4,  y  201  para  la  metafora.  EI  problema 
de  la  inalienabilidad  del  fisco  o  posesion  real  en  Francia  es  uno  de  los 
temas  principales  en  el  excelente  estudio  de  William  F.  Curch:  Constt- 
tutional  Thought   in    Sixteenth-Century   France,   arriba,    n.    8. 

(43)  Arriba,  n.   40;    tambien  CHURCH:    Const.  Thought,  82. 

(44)  Vease  HaRTUNG:    Krone  als  Symbol,   33. 


52 


I    u 


SECRETOS    DE    ESTADO 

Codigo  de  Jiistiniano  de  iin  juiista  del  sur  de  Italia,  Lucas  de 
Fenna  (nacido  hacia  1320),  cuya  obra  fiie  miiy  estudiada,  y  reim- 
presa  seis  veces  en  Francia  en  el  siglo  XVi  (45).  El  pasaje  de  Lucas 
de  Penna,  citado  por  Grassaille,  contiene  toda  un  teon'a  poli'tica  in 
nuce,  basada  en  los  Efesios,  5,  la  leccion  apostolica  de  la  misa  ma- 
trimonial ;  y  puesto  que  lleva  a  otros  problemas  importantes  pO' 
demos  emplear  los  argumentos  de  Lucas  de  Penna  come  medio  para 
una  discusion  ulterior  (46). 

Lucas  de  Penna  comento  el  Codigo.  11,  58,  7,  sobre  la  ocupa' 
cion  de  tierra  desierta,  pero  exceptuaba  las  tierras  que  pertenecian  al 
fisco  y  el  patrimonio  del  pri'ncipe.  Es  el  fisco  realmente  lo  que  desea 
discutir,  y  con  mucha  habilidad  empieza  con  ima  cita  de  Lucano 
que  llamo  a  Caton  ttrbi  pater  urbique  mantus,  <•  padre  de  la  ciu- 
dad  y  marido  de  la  ciudad"  (47).  De  esta  metafora  pasa  al  tema 
por  el  que  se  interesaron  doscientos  afios  despues  los  jurisconsul- 
tos  Franceses ;   se  expresa  asi : 

Hay  contraido  un  matrimonio  moral  y  politico  entre  el  princi- 
pc  y  la  repi'iblica. 

Del  mismo  modo  que  hay  contraido  un   matrimonio  espiritual 


(45)  Vease  WALTER  Uli.MANN  :  the  Meuieid)  Idea  0/  Laic  a<  repre- 
sented fry  Lucas  de  Peiiiia  (Loiidres,  1946),  14,  n.  2  para  las  ediciones. 
Razonablemente,  UllmaN  se  limita  a  unos  cuantos  ejemplos  obvios/  de 
los  iuristas  franceses  que  sc  refieren  a  Lucas  de  Penna  (Tiraqucau.  lean 
de  Montaigne,  Pierre  Rebuffi,  Bodino);  su  niimero,  no  obstanle,  forma 
legicn.  Grassaille  copia  literalmente  las  citas  del  comentario  de  Lucas  so- 
bre C.    II,   58,  7  en  el  pasaje  arriba  citado   (n.    59). 

(46)  Lucas  de  Pi-.NNA:  Commentaria  in  Ties  Libros  Codicil  sobre 
C.  II,  58,  7,  n.  8  y  sigs.  (Lyon,  1582),  563  y  sij?.,  lupar  que  Ullman  no 
parecc  habcr  cxaminado,  aunque  (p.  176,  n.  i)  cita  otra  metafor.i  de  Lu- 
cas sobre  el  matrimonio.  Vease  abajo,  n.  49,  para  el  fondo  biblico  y  ri- 
tual. Lucas  de  Penna  quiza  fue  estimulado  por  su  maestro  Cynus  de 
Pisioia,  en  C.  7,  37,  3,  n.  5  (Frankfurt,  1578),  fo!.  446:  tambien  Albe- 
ricus  de  Rosatc,  en  C.  7,  37,  3.  n.  12  (Venecia,  TS85),  fol.  107,  se  rcfie- 
re  al  matrimonium  i>itellectuale  del  pri'ncipe.  Vease,  para  un  cxamen  mas 
dctcnido.   The  Kiug's  Two  Bodies,  212  y  sigs.,  y  221   y  sigs. 

(47)  "Item  princeps  si  vetum  dicere  vcl  agnoscere  volumus...,  csi  ma- 
ritus  reipublicae  iuxta  illud  Lucani  (Farsalia,  II,  38^.'  La  historia  del  ti- 
tulo  romano  pater  {parens)  patriae  ha  sido  admirablcmente  examinada  por 
A.  Al.FoLDI:  -Die  Geburt  dcr  Kaiscrlichcn  Bildsymbolik :  3.  Parens  pa- 
triae". Museum  Heheticuni,  IX  (i9'52),  204-243.  y  X  (1953),  105-124.  El 
titulo  urln  maritus  no  cs  tampoco  muy  raro,  puesto  que  se  halla  en  Pris- 
ciano,  Servius  y  otros,  como  lo  puede  demosttar  toda  edicion  bicn  comen- 
tada  de  Lucano. 


53 


/   o   o 

U      I    u    u 


ERNST    H.    KAOTOROWICZ 

entre  una  I^lesia  y  su  prelado,  asi  hay  tambien  contraido  iin  ma- 
trimonio  temporal  y  terrestre  entre  el  prfncipe  y  el   Estado. 

Asi  como  la  Iglesia  esta  en  el  prelado  y  el  prelado  en  la  Igle- 
sia...,  asi  el  prfncipe  esta  en  la  respublica,  y  la  reipvHica  en  el 
principe   (48). 

Aqui  se  hallan  expiiestas  al  desnudo  algunas  de  las  rai'ces  del 
«pontificalismo>)  real.  Se  valia  Lucas  de  la  antiquisima  metafora 
del  matrlmonio  mi'stico  del  obispo  con  su  rebano  para  interpretar 
las  relaciones  entre  el  principe  y  el  Estado  (49),  metafora  amplia 
y  generalmente  d'scutida  oos  generaciones  antes  cuando  el  Papa 
Celestino  V,  al  abdicar  en  1284,  se  cdivorcio"  de  la  Iglesia  uni- 
versal con  la  que  estaba  casado  (50). 

Ademas,  Lucas  de  Penna  citaba  literalmente  un  pasajc  del  De- 
cretum,  de  Graciano :  "El  obispo  es  en  la  Iglesia,  y  la  Iglesia  en 
el  obispo^>  {51).  Estas  palabras,   procedentes  de  una  famosa  carta 


0^ 


(48)  Lucas  de  Penna:  Loc  cif. :  "...  inter  principcm  et  rempublicam 
matrimoniutn  morale  contrahitur  ct  politicum.  Item,  sicut  inter  ecclesiam 
et  praelatum  matrimonium  spirituale  contrahitur  et  divinum...,  ita  inter 
principem  et  rempublicam  matrimonium  temporale  contrahitur  et  terre- 
num :  et  sicut  ecclesia  est  in  praelato  et  praelatus  in  ecclesia...,  ita  prin- 
ceps  in  republica  et  respublica  in  principe. »  Lucas  de  Penna  pudo  haber 
sido  orientado  por  AndrEas  DE  ISERNIA,  napolitano  como  el  mismo,  quien 
("Qui  successores  teneantur»)  n.  16,  In  usus  feudorum  (Napolcs,  1571). 
21,  escribia!  «Est  princeps  in  republica  sicut  caput,  et  respublica  in  eo 
sicut  in  capite,  ut  dicitur  de  praelato  in  ecclesia,  et  ecclesia  in  praelatO" 
(v^ase   tambien   abaio,    n.    5^). 

(49)  La  base  es,  por  supuesto,  Efesios,  5,  25  ('sicut  et  Christus  dile- 
xit  ecclesiam»),  que  es  tambien  la  base  para  la  misa  nupcial ;  los  primiti- 
vos  nnillos  dc  boda  cristianos,  por  tanto,  mostraban  en  el  bisel  el  matri- 
monio  de  Cristo  con  la  Iglesia ;  vease  O.  M.  Dalton  :  Catalogue  of  Early 
Christian  Antiquities  and  Objects  from  the  Christian  East...  of  the  British 
Museum  (Londres,  igoi),  i^o  y  1:51:  un  ejemplar  especialmente  bello  se 
encuentra  en  la  Dumbarton  Oak  Research  Library  and  Collection,  Washing- 
ton, D.  C.  El  matrimonio  de  un  obispo  con  su  sede  es  una  imagen  muy 
corriente  a  la  que  se  aludc  con  las  mas  notables  palabras,  como  por  ejem- 
plo,  el  Papa  Clemente  II.  Ep.  VIII,  Patrol,  let.,  CXLII,  588B:  y  sobrc 
todo.  el  decretal  X,    i,  7.   2  (Inocente  III),  ed.   Friedberg,   II,  97. 

(50)  El  argumento  fu^  empleado  especialmente  por  parte  de  los  !e- 
gistas  franceses  en  el  juicio  contra  la  memoria  del  Papa  Bonifacio  VIII : 
cf.  P.  Duptrv:  Histoire  du  differend  d'entre  le  Pape  Boniface  VIU  et  Phi- 
lippe k  Bel  (Pan's,  1655),  45:}  y  sigs.  y  passim;  BuRDACH :  Rieti;:o,  52  y 
siguiente. 

(51)  Graciano:  Decretum.  II.  C.  VII.  q.  r.  C.  7.  ed.  Friedberg.  I. 
568  y  sig.  I 

54 


/  u  u 

I    U       I 


SECRETOS    DE    ESTADO 

de  San  Cipriano,  se  han  considerado  siempre  como  una  piedra  an- 
gular de  la  doctrina  del  (cepiscopado  monarquico»  (52).  Cuando  se 
aplican  a  la  esfer,i  secular  — ya  por  Andreas  de  Isernia,  glosando 
la  Constitucion  siciliana  poco  despues  de  1  joo,  y  luego  por  Lucas  de 
Penna  y  Mateo  de  Afflictis  {53)—.  las  palabras  de  San  Cipriano  se 
adecuan  con  no  menos  precision  como  piedra  angular  a  la  «monar' 
quia  pontifical).  :  EI  principe  es  en  la  reslmblica,  y  la  reipublica  es 
en  el  principe)>.  Una  determinada  peculiaridad  respecto  al  cuerpo 


(52)  Cipriano:  Ep.,  66,  c.  8.  ed.  W.  Hartel  (CSEL..  Ill:  2,  1871), 
II.  733.  5-  Valdri'a  la  pena  investigar  la  historia  de  la  imagen  de  la  reci- 
procidad  de  Cipriano.  Vease,  por  ejemplo.  Atanasio:  Oratw  HI  contra 
Arpanos,  c.  5,  PGr..  XXVI.  332A.  citado  por  G.  Ladner  :  ..The  con- 
cept of  the  Image  in  the  Greek  Fathers..,  Dumbarton  Oiks  Papers,  Vll 
{1953),  8,  n.  31  (<.La  imagen  podri'a  decir  muy  bien :  'To  [la  imagen] 
y  el  emperador  somos  uno,  yo  soy  en  el  y  el  es  en  mi".»  O  bien,  para 
una  epoca  mucho  mas  tardi'a,  Petrus  Damiani:  ..Disceptatio  synodalis», 
en  Mon.  Germ.  Hist.  Ubelli  de  lite,  I,  93.  36  y  sig.;  ..ut...  rex  in  Roma- 
no Pontifice  et  Romanus  pontifex  inveniatur  in  rege»  (pasaje  hacia  el  que 
llamo  mi  atencion  amablemente  el  profesor  Theodor  E.  Mommsen).  La 
fuente  esencial  es,  naturalmente,  en  todas  estas  cosas,  Juan,  14,  10,  cuyo 
propio  modelo  es  dificil  determinar.  Vease,  no  obstante,  Eduard  NoRDEN: 
Agnostos  Theos  (Berlin,  1923),  305;  Wilfred  L.  Knox  :  Some  Hellems^ 
Uc  Elements  m  Pnmttive  Chnstiamty  (Schwcich  Lectures,  1942;  Lon- 
dres,  1944),  78,  n.  5.  cree  que  la  expresion  de  San  Juan  «vuelve  a  la 
tradicion  pantei'sta  del  estoicismo  quiza  influida  por  la  religion  de  Egipto«, 
y  cita  (p.  73,  n.  2^31  fmal  de  la  nota,  como  .,el  paralelo  mas  cercano  al 
lenguaie  de  San  Jilan.>  la  frase  que  se  ^cuentra  varias  veces  en  el  papiro 
magi  " 


o 


4- 


ou  fr/.(i  il   i-^u)  Ka;  i-j 


■'■  ^Y'"  3I;  vease    K.    Preisendanz  :    Papyri   grae- 
cae    rkagicae   (Leipzig   y   Berlin,    i^i),    II,   47    (/T  VIII,    37   y   sigs.,   49   y 


siguientes)  y  123  (P.  XIII,  795,  con  alguna  b(ibliografia  en  la  nota).  El 
paralelo,  sin  embargo,  no  contiene  la  palabra  en  (iv),  que  de  hecho  refleja 
dos  espacios  diferentes  y  que  es  esencial  para  el  desenvolvimiento  desde 
San  Juan,  14.  10,  hasta  San  Cipriano,  y  de  aqui  a  las  doctrinas  corpo- 
rativas  de  principios  de  los  tiempos  modernos.  Vease  tambien  la  nota 
siguiente. 

(53)  Andeas  de  Isernia:  Proj^mmn  super  ConsUluUombus,  ed.  Cer- 
vone  (arriba,  n.  14),  p.  xxvi,  al  examinar  el  fisco  (..fiscus  et  respublica 
Romanorum  idem  sunt).),  concluye :  ..Rex  ergo  et  respublica  regni  sui  idem 
sunt...,  qui  est  in  regno  sicut  caput,  respublica  in  eo  sicut  in  capite...  La 
base  es  evidentemente  San  Juan,^i4,  10  (como  en  el  caso  de  Atanasio, 
arriba  citado,  n.  52),  pero  la  alegacion  juridica  citada  por  Andreas  esta 
iX  H  ^^  lugar  del  Decretum  (arriba,  n.  51).  Mateo  de  Afflictis,  en  Const.. 
0  II,  3,  n.  62,  fol.  Ir^,  se  refiere  a  Lucas  de  Penna:  .Pnnceps  est  in  repu- 
blica  et  respublica  in  principe.)) 


/' 


lO.ZD 


ir- 


3 


P'^'J 


OlA><».|«1- 


55 


/   u    n 
I      t    u 


ERNST    H.    KAmOROWICZ 

penetra  la  version  secuiar  de  esta  maxima  (54),  precisamente  por 
medio  de  Lucas  de  Penna,  como  se  mostrara  ahora.  No  obstante. 
Ids  juristas  de  la  corona  inglesa  bajo  la  reina  Isabel  retorcieron  el 
sentido  de  esta  peciiliaridad  al  indicar  que  del  rey  en  su  cuerpo 
politico  se  incorpora  a  sus  subditos,  y  ellos  a  el»,  llegando  a  dar 
Francis  Bacon  una  formula  aiin  mas  condensada,  acunada  por  sus 
predecesores  y  que  definia  al  rey  como  "un  cuerpo  social  en  un  cuer- 
po natural,  y  un  cuerpo  natural  en  un  cuerpo  social-  {corpus  corpo- 
ratitm  in  corpore  naturah,  et  corpus  naturale  in  cort>cre  corpara- 
to  (55).  Sin  duda,  la  acunacion  de  San  Cipriano  habi'a  fido  cam- 
biada,  pero  el  sello  y  el  giabado  podi'an  aun  reconocerse. 

Esta  metafora  del  cuerpo,  aunque  con  una  acentuacion  dite- 
rente,  la  expreso  por  ultimo  Lucas  de  Penna.  Continuandc  su  exe- 
gesis poli'tica  de  los  Efesios,  5,  aplico  al  principe  el  verskulo :  (El 
hombre  es  la  cabeza  de  la  esposa.  y  la  esposa  el  cuerpo  del  hcm- 
breii,  y  concluia  logicamente :  Del  mismo  modo,  el  principe  es 
la  cabeza  del  reino,  y  el  reino  el  aierpo  del  principe»  {56).  Sin 
embargo,  el  credo  corporative  fue  formulado  aun  mas  sucinta- 
mente,  al  continuar : 

<<Y  del  mismo  modo  que  los  hombres  estan  unidos  espt- 
ritualmente  en  el  cuerpo  espiritual,  cuya  cabeza  es  Cristo.  , 
asi  los  hombres  estan  unidos  moral  y  politicamente  en  la 
respiMica,  que  es  un  cuerpo  cuya  cabeza  es  el  principc"  <57). 


(54)  La  interpretacion  corporativa  dc  cste  pasaie  en  un  sentido  mfs' 
tico  era  ciertamcnte  muy  antigua  dentro  de  la  Iglesia,  aunque  no  estuvo 
jun'dicamcnte  racionalizada  ante  de  los  siglos  XII  o  xiii.  Para  Lucas  DE  Penna 
vease  abajo,  nums.  56  y  sig. 

(55)  Edmund  Plowden:    Commentaries  or  Reports  (Londres,   t8i6)  233     /  Ct 
,1    (WiLLION    V.    Berkley),    como    ejemplo    de    una    entre    una    vcintena    de 
cxpresiones  parecidas;    vease  Bacon :    '.Post-nati»,  en  Works  of  Sir  Francis 
Bacon,  ed.   de  Spedding  and   Heath   (Londres,   1892),  VII,  667,   quien  cita 

a   Plowden  :    Reports   213   (Caso  del  Ducado  de   Lancaster). 

(56)  Lucas  de  Penna,  loc.  cit.-.    ..Item,  sicut  vir  est  caput  uxoris,  uxor 
vero   corpus   viri...,    itc   princeps   caput   reipublicae,    et    rcspublica   eius   cor- 
pus."   La    cita    es   de    Efesios,    5.    23    y    28;    esto    es.    pert;enece    al    cscrito 
apostolico   que    (arriba,    n.    49)    se    refiere    principalmente    tl    rito    matrimo-     '  Q  . 
mial   y   a  las   doctrinas   corporativas   en    su    marco   primeroi    Vease  tambien 

la  nota  siguiente,  y  arriba,  n.  38,  para  Jaime  I,  quien  cito  estos  pasajes. 

(57)  ..Item,  sicut  membra  coniunguntur  in  humano  corpore  carnaliter. 
et    homines    spirituali    corpori    spiritualiter   coniunguntur    cui    corpori    Chris- 


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Nos  encontramos  aqui  con  esa  portentosa  eciiacion  que  llego 
d  ser  corriente  a  niediados  del  siglo  XIII :  el  corpm  reihublicae 
mysttciim,  encabezado  por  el  pn'ncipe,  comparado  con  el  corpus 
edesiae  mysticum,  encabezado  por  Cristo  {58).  Prescindiendo  aqui 
del  muy  obvio  paralelismo  con  los  <<cuerpos  misticos»  eclesiasticos 
y  seculares,  que  se  ha  examinado  en  otia  conexion,  conviene  in^ 
dicar  la  importancia  de  la  doctrina  aristotelica  sobre  la  sociedad  hu- 
mana  (o  el  Estado)  conio  entidad  con  fines  morales  y  politicos. 
Fue,  en  ultimo  analisis,  el  concepto  basado  en  Aristoteles,  indicado 
una  y  otra  vez  por  ios  junstas,  de  que  el  Estado  era  un  corpus  mo- 
rale et  poUticum,  el  que  se  opuso  hiego  al  corpus  mysticum  et  i/n- 
ntuale  de  la  Iglesia,  con  la  misma  facilidad  con  que  Dante  reunio 
en  un  comun  denominador  el  paraiso  terrestre  y  el  paraiso  celes- 
tial como  las  dos  metas  de  la  humanidad  (59). 

Lucas  de  Penna,  con  su  metodo  quid  pro  quo,  llega  de  este 
modo  a  una  equiparacion  no  solo  del  pn'ncipe  y  del  obispo.  sino 
tambien  del  pn'ncipe  y  Cristo.  Y  el  mismo  hizo  la  comparacion 
con  Cristo  acerbamente  clara  al  anadir  : 

"Del  mismo  modo  que  Cristo  une  a  si  como  si  fuera  su 
esposa  a  una  institucion  ajena,  la  Iglesia  de  los  Gentiles... 
asi  el  pn'ncipe  ha  unido  a  el  el  Estado  como  si  fuera  su  s/'on- 
sa,  que  no  es  suya..."  (60). 

tus  est   caput...,   sic  moraliter  et   politice  homines  coniunguntur   reipublicae 
quae  corpu^s  est,  cuius  caput  est  princeps.» 

(58)  Vase  <iPro  patria  mori",  American  Historical  Review,  LVI  (1951),       / 

486  y   sig.,'para  mas  eiemplos.  Veasc  tambien   HUGUCCIO  DE  PISA   (muerto     /    j    |  /I 

en    1210)  qbe   enfrento  al  cuerpo  de   Cristo  el   del  diabto  ("...    ita   infideles 

sunt    unum    corpus,    cuius   caput    est    diabolus»),    fr.    Onory:     Fonti   cano. 

mstiche  (abaio,    n.   84).    t,-  ygi   n.    2,   que    anade   pasajes   parecidos.  i  "I  ^ 

(59)  Psra    'a    relacion    de    morale    (xeticc    en    el    sentido    aristotelico)    y       I 
pnliticum    bastara    citar    aqui    el    Prooemium,    c.    6    de    Santo    Tomas    DE 
Aquino    a    su    Expositio    in    libros    Politicorum    Aristotelis,    ed.    de    Ray- 
mundus  M.   Spiazzi   (Turin   y  Roma,    1951),    p.   2:    "...   et   huiusmodi   quae 

ad  moralem  scientiam  pertinent:  manifestum  est  politicam  scientiam... 
contineri...  sub  activis  (scientiis)  quae  sunt  scientiae  morales>'.  La  expre- 
sion  corpw:  politicum  et  mysticum  se  balla  con  frecuencia  en  Inglaterra 
y  Francia  como  aflrmacion  del  Estado:  vease,  por  e)emplo.  S.  B.  Chrimes: 
English  Constitutional  Ideas  in  the  Fifteenth  Century  (Cambridge,  19^6), 
180.  18";  (.^  mfsticj  o  cuerpo  poli'tico"):  para  Francia,  Church,  Constitu- 
tional Thought.  29,  n.  20:  ^4,  n.  36:  278,  n.  16  ("le  corps  politique  et 
mystique..).  Vease  tambien  arriba,   n.   -^y  (nSaint  et  politique>>). 

(60)  Lucas  de  Penna.  Ioc.  cit.:     .Amplius,  sicut  Christus  alienigenam. 


u  u 


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Asi,  pues,  la  venerable  metafora  del  sponsus  y  la  iponsa,  Cristo 
y  su  Iglesia.  paso  de  lo  espiritual  a  lo  secular,  adaptandose  a  las 
necesidades  del  jurista  para  definir  las  relaciones  entre  principe 
y  Estado.  Comprendemos  ahora  por  que  los  juristas  franceses  11a- 
maron  al  rey  el  mysttcus  conwnx  de  Francia.  El  principe  no  solo 
usurpo  las  funciones  episcopales.  sino  que  se  convirtio  -como  pro- 
totipo  celestial  del  obispo—  en  la  cabeza  de  un  cuerpo  mistico  y 
en  su  novio. 

Con  este  misticismo  canonico  se  fundio  el  institucionalismo  del 
Derecho  romano.  El  verdadero  proposito  de  Lucas  de  Penna.  al 
amphar  las  metaforas  sobre  el  matrimonio,  era  ilustrar  las  peculia- 
ridades  del  fisco.  Consideraba  al  fisco  como  la  dote  de  la  reipii^ 
hltca,  y  sostenfa  que  el  marido  era  el  unico  que  estaba  autorizado 
a  usar,  pero  no  a  enajenar,  los  bienes  de  su  esposa.  Comparaba. 
ademas.  los  votos  cambiados  por  el  novio  y  la  novia  en  su  matri- 
monio con  los  juramentos  de  los  reyes  en  su  coronacion  y  de  los 
obispos  en  su  ordenacion.  y  por  los  cuales  prometian  ambos  no 
enajenar  los  bienes  pertenecientes  a!  fisco  y  a  la  Iglesia  respecti- 
vamente  (6i). 

Aunque   seri'a   tentador   demostrar  como.   sin   diida   alguna.    la 

id  est.  gentilem  ecclesiatn  sibi  copulavit  uxorem,  35.  q.  i. 'hac  itaque.  sic 
et  princcps  rcmpublicam,  quae  quantum  ad  dominium  su.l^non  est.  cum 
ad  principatum  assumitur.  sponsam  sibi  coniungit...»  Se  refiere  al  De- 
cretum  de  Graciano.  II.  C.  XXXV.  q.  I.  paragrafo  I  (Comentar.o 
de  Graciano  sobre  De  Cnntate  Dei,  de  San  Agustin,  XV.  c.  16).  ed.  Fried- 
berg,   I.    1.263.  , 

(61)     Lucas  de  Penna.  op.  cit.:    ,.Nam   aequipaintur  quantum  ad   hoc 
etiam    luramentum    super   his    praestitum.de    alincatone    facta    (non)    revo- 
cando   episcopus    et    rex.    Ita    et    principi^    alienatio    rerum    fiscalium.    quae 
m   patrimonio  imperii   et   republicae  sunt  et   separate  consistunt  a   private 
patrimonio   suo,    iuste    noscitur   interdicta.»    Sigue   la   comparacion   del   fisco 
con  el  dos  que  la  respubUca  confia   al   principe  en   su   matrimonio.   Vease. 
arriba   n.   41.    Naturalmente.   el   patnmonium   Petn   figura   como   el   dos   de 
la  Sponsa  papal,  Roma;    vease,  por  ejemplo.   Oldrados  de  Ponte:    Cotj- 
itlul,   LXXXV.    n.    I    (Lyon.    1/550),    fol.    2&e-  quien    amonesta    al   Papa    -ut  /  _ 
sanctitas  vestra   revertatur  ad  Sponsam.  .    et   reparet  suum   patrimonium   et  ' 
suam   dotem.   quae  multipliciter  est   collapsa...   Finalmente   la   doctrina    reco- 
m6  su  curso  circular  completo  en  el   siglo  xvii,   cuando  el   Romano  Pon- 
tffice   aparecio  como   cl   mantus   de   una   respubhca   temporalis   (los   Estados 
de   la   Iglesia)   lure   prinapatus   y   ex   sola   ratione   dominii  publici,   aunque    ; 
como  obispo  estaba  casado  con  la  Iglesia   romana   (tanquam  vir  EAesiae);  Ire 
De  Luca:    Theatrum  I  de  Feudis.   disc.   61.   n.   6.   citado  por  vJfssALLi:  ' 
«Fisco>'.    209  (arriba,   n.   42). 


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no  enajenacion  prometida  por  el  rey  en  su  coronacion  se  deriva  y 
estaba  relacionada  con  el  juramento  episcopal  (y  en  primer  lugar 
el  juramento  de  no-enajenacion  de  los  reyes  ingleses  en  el  si- 
glo  xril)  (62),  dejaremos  esta  enojosa  cuestion,  volviendo,  por  de- 
cirlo  asi.  a  los  mystena  fisci  que  Lucas  de  Penna,  al  parecer  de 
un  modo  absurdo,  habi'a  unido  al  matrimonio  mistico  de  Cristo 
y  la  Iglesia.  Cristo  y  el  fisco,  sin  embargo,  no  estaban  tan  apar- 
tados  de  los  jurisconsultos  medievales  como  pueden  estarlo  de  nos- 
otros  {63). 

En  1 44 1,  en  una  demanda  que  se  tramitaba  en  el  Tribunal  dei 
Exchequer,  John  Paston,  juez  entonces  en  el  Juzgado  de  Common 
Pleas  y  al  que  conocemos  bien  como  compilador  de  las  cartas  Pas- 
ton,  pronuncio  casualmente  una  observacion  notable:  «Lo  que  no 
se  lo  lleva  Cristo  se  lo  lleva  e!  fisco  (Quod  non  calnt  Chmtu&,  capit 
fiscus  (64). 

EI  profesor  Plucknett,  docto  interprete  de  la  demanda  a  que 
nos  referimos,  tomo  la  scntencia  al  parecer  como  una  bon  mot  de 
Paston  a  la  que  el  citaba  porque  la  consideraba  con  razon  «dema- 
siado  buena  para  que  se  perdiera.>.  Pero  la  observacion  de  Paston 
no  se  habri'a  perdido  de  todos  modos.  En  su  coleccion  de  emble- 
mas.  publicada  por  primera  vez  en  1522.  el  gran  humanista  y 
)urisconsulto  italiano  Andrea  Alciati.  presentaba  un  emblema  que 
ostentaba  el  siguiente  mote:  Quod  non  capit  Christus,  rapit  fis- 
cus (65).  Y  del  autorizado  e  mcrei'blemente  influyentc  libro  de  Al- 
ciati. el  mote  se  extendio  a  una  veintena  de  muy  respetables  colec- 


(62)  Vcasc  mi  estudio  sobre  -Inalienability:  Canon  Law  and  the  En- 
glish Coronation  Oaths  of  the  Thirteenth  Century...  Speculum,  XXIX 
ii<M,  488-502. 

(63)  Sin  conocer  entonces  el  origen  o  la  historia  posterior  de  esta  com- 
paracion  examine  brevemente  el  problcma  en  Christus-Fiscus>.,  Synopsn: 
Festgabe  fiir  Alfred   Weber.  (Heidelberg,    1949),   225-235. 

(64)  T.  F.  T.  PLUCKlErr:prhe  Lancastrian  Constitution...  Tudor 
Studies  Presented  to  A.  F.\Pollard  (Londres.    1924).    168.   n.    10. 

(65)  Andrea  Alciati  :  Er,ihler,mta  (Lyon,  1551;  primera  edicion  1522). 
pagina  158.  num.  CXLVII.  El  mote  se  halla  en  la  edicion  de  1531;  v^ase 
Henry  Green  :  Andrea  Alciati  and  the  Books  of  Emblems  (Londres.  1872). 
324.  que  indica  (p.  VIII)  que  despues  de  la  publicac.on  de  Alciati.  mil 
trescientos  autores  publicaron  mas  de  tres  mil  libros  de  cmblemas,  en  tanto 
que  el  original  de  Alciati  se  tradujo  a  todos  los  idiomas  europeos.  Estoy 
reconocido  a  Mrs.  Caterina  Olsechki  por  haber  Uamado  mi  atencion  hacia 
el  emblema  de  Alciati. 


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Clones  de  emblemas,  divisas  y  pioveibios,  a  !os  que  fiie  tan  aficio- 
nado el   Renacimiento  (66).  Tampoco  fiie  la   bon  mot   acufiacion 
exclusiva  de  Paston.  Un  siglo  antes  que  el,  el  civilista   flamenco 
Felipe    de    Leyden    habi'a    observado :    «Se   pueden   comparar    ios 
bienes  patrimoniales  de  Cristo  con  Ios  del  fisco»   (Bona  patrimo- 
nuiha   Chnsti    et   fisci  comparantur)  {67).    Se    encuentran    obscrva- 
clones  semejantes  en  las  obras  de  Baldus;  e  incluso  en  el  siglo  xill, 
Bracton  distingui'a  la  res  nullws,   ..las  cosas  que  no  pertenecen  a 
nadie»  como  bienes  que  pertenecen  ((solo  a  Dios  y  al  fisco»  (68). 
La  fuente  de  todos  aquellos  jurisconsultos  era  el  Decretum  de 
Graciano,  en  el  capltulo  que  se  titula  :    Hot  tollit  fiscus,  quod  nan 
accipit  Chnstus  {.<Lo  que   Cristo  no  lo  recibe,  el  fisco  se  lo  lie- 
vaw   (69).   Graciano  tome   el   pasaje  de   un   sermon   pseudo-agusti- 
niano.  Sin  embargo,  el  mismo  San  Agustin  habla  tambien  sobre  el 
fisais  de  Cristo  {70),  metafcra  cuya  importancia  no  debe  estimarse 
en  poco,  porque  en  el  curse  de  la  lucha  de  la  pobreza  en  tiempos 
del  Papa  luan  XXII,  estos  y  otios  pasajes  parecidos  Servian  para 
probar  que  Cristo,  en  tanto  que  tenia  un  fiscus,  posei'a  bienes  (71). 


(66)  Veasc.  por  e)emplo.  K.  H.  W.  Wander:  Deutsche  Sprtchwin- 
terlextkou  (Leipzig,  1867),  I,  5}8,  niims  54,  56,  57:  V.  1.102,  mime- 
ro  95,  cf.  miins.  105,  104;  Iohannes  Georgius  Sryboidus:  St-lectwra 
Adugia  latmo-aermatuca  (Niiriibcrg.  1685,  306:  Gustavo  Strafforeij.o  : 
La  Sapienza  del  mondo  o  zero  dizfonario  universale  det  proverbi  di  tiitti 
popoh  (Turin.   1883),   II.  86.  S.  V.   .Fisco". 

(67)  Felipe  de  Leyde.N:  De  cura  i-ei  publtcae  et  sorte  pnapatitis. 
1,  g.  ed.  por  R.  Fruin   y  P.  C.  Molhuysen  (La  Haya,    1915).    13. 

(68)  La,  frase  .fiscus  et  ecclcsiae  aequiparantur"  se  halla  una  y  otra 
vez;  cf.  BOLDUS,  en  C.  10,  i.  3.  ,11.  2  (Venecia.  1.586).  fol.  236.  Especial- 
mente  en  relacion  con  la  Norelal  de  JUSTINIANO.  7,  2,  pueden  encontrarse 
cstas  equiparaciones:  ej.  Bartolus:  Super  Authenticis  (Venecia.  1567), 
fol.  13.  Mateo  de  Affuctis  cita  el  proverbio  por  Ios  menos  dos  vcces: 
vease  en  Constit-Stcil,  proclui'da,  qu.  XV.  n.  3  (fol.  14),  y  en  Const..  I.  7 
(<.de  decimis.).  fol.  53.  Br«-on,  fol.  14,  cd.  Woodbine,  II,  57  f. :  .  scd 
tantum  in  bonis  Dei  vel  bonis  fisci. » 

(69)  Decretum,  II,  C.  XVI.  qu.  7.  c.  8.  ed.  Friedberg,  I,  802.  EI 
pasaje  fue  tornado  del  pseudo-Agustiii,  Sermones  SuppostMu.  86 
3   Patr.   lat.   XXXIX,   col.    1912. 

(70)  AcusTfN:  Enarrattones  in  Psahnos,  CXLXI.  17.  Patr.  lat.  XXXVII. 
col.  191 1.  Tcdo  el  pasaje  lo  cita  e  interpreta.  por  ejemplo.  Lucas  df 
Penna.  op.  cit.,  en  C.   10,   i,   i.  n.  7,  p.  5. 

(71)  Los  paisajes  decisivos  son  Decretum,  II.  C.  XII.  q.  i,  c.  12 
(..Quare  habuit  [Christus]  loculos  cui  angeli  ministrabant,  nisi  quia  ccclesia 
ipsius  loculos  habitura   cr.it?.)  Y  c.    17   (  Habebat   Dominus   loculos,   a   fide- 


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La  antitetica  )'uxtaposici6n  de  Cnslus  y  Ftscus  puedc  parecer 
una  blasfemia  a  Jos  modemos.  puesTo  que  las  magnitudes  no  pa- 
recen  ccmparables.  Es  obvjo  que  los  juristas  medievales  pensaban 
y  sentfan  de  un  modo  distmro.  Para  eUos  Christus  significaba  sim- 
plemente  la  Jglesia,  y  la  comparacion  giraba  sobrc  la  malienabi- 
lidad  de  los  bienes  eclesiasticos  y  fiscalcs.  de  los  que  pent- ■  .-r 
a  una  de  las  dos  <  manos  muertas«.  la  Iglesia  o  el  fisco.  Lo  que 
la  Ecclcsia  y  el  ftfcus  tenfan  en  comun  era  la  perpetuidad :  en  len- 
guaje  legil  «el  fisco  nunca  muere",  fiscus  nunquam  moniur  (-2). 
Es  mmortal  como  la  Digmtas,  la  dignidad  del  principe  o  el  rcy. 
el  Papa  o  el  obispo,  que  -  nunca  mueren) .  aunque  individualmente 
puedan  monr.  El  tiempo  no  podia  hacer  nada  contra  el  fisco.  come 
no  podia  tampoco  contra  el  rey.  el  rev  en  cuanto  rey.  el  rev  en 
su  Dtgmtas  (73). 

En  ultimo  termino,  la  -equipararion,  de  la  Iglesia  con  cl  fisco 
se  remonta  a  los  tiempos  de  la  antigua  Roma  cuando  las  cosas  que 
pertenecian  ?  los  templa  — reemplazados  gradualmente  desde  e! 
siglo  IV  por  las  ecclesia£~  eran  legalmente  iguales  a  las  cosas  que 
pertenecian  al  patrimonio  saerado  del  emperador  (74).  Per  consi- 


libus  obiata  conservans  >.);  ambo.'  pasa,e*  ...-.a:,  u^miao.  de  AGL'STiN: 
In  lohannem.  12.  6  (Lorulos  habensv)  y  los  cita  el  Papa  luan  XXII  en  sus 
decretos  contra  los  esp;ritualistas:  rf.  Eitrflt.fl.gflr.tfi,  johanms  XXll,  ti- 
Tulo  XIV.  c.  5.  ed.  Fncdberg  II.  3.230  y  s,gs.  espec.  1.233.  La  palabra 
Ionium,  que  signifies  cofrc.  se  podia  lomar  entonces  como  significando 
•  fisco:  veasc  MaTCO  DE  Afflictis.  op.  cri..  prael.  XV.  nums.  7-9.  que 
irata  de  la  cucsuon  de  si  Cnsto  ruvo  o  no  un  fisco  en  el  sentido  propio 
de  la   palabra.   Se   exanunara   todo  e!   problems   apane. 

(72)  Baldus:  Consilui,  I.  271.  n.  3  {Venecia.  1575!.  fol.  81:  Res- 
publica  et  fiscus  suit  quid  etemum  ei  perpetuum  quantum  ad  essennan.. 
licet  dispositiones  saepe  mutcntur:    fiscus  enim  nunquam  moritur.. 

(73)  El  principio  Nullum  tempus  cumi  contra  regem  fue  corr.erite- 
mente  reconocido  en  el  siglo  XIII  y  despues:  vease.  por  etemplo.  Brac- 
TON.  fols.   14.   56.   IC5.  ed.  Woodbine.   II.  58.    167.  293   y  passim. 

(74)  Veanse  las  lni.tituta  de  luSTINlANO.  2.  i.  7:  tambien  O.  i.  8.  i 
y  C.  7.  38,  2.  En  feha  tan  tardia  como  el  siglo  v  vcmos  que  se  tratan  en 
iguales  terminos  tui.  puhhrum  y  tus  Umplorum:  vease  Apthltf  Steivwen- 
TER:  OJ^  einige  Bcdeutungen  von  jus  in  den  nachklassischen  Quellen  . 
lura.  IV|]953).  138  y  sig..  que  muestra  tambien  que  termmologicamente 
zus  ecclesiae  ocupo  el  lugar  de  .uj  tenyplorum.  aunque  con  el  edicto  de 
Licinius  del  ano  313  (al  menos  en  la  forma  transmitida  por  LaCTanqo: 
De  mortdbuf  pcrsecutorum.  48).  el  nuevo  concepto  de  corpus  ChnsUanorum 
se   relaciono  con   bienes  de   la   Iglesia:    cf.   ARNOLD  Ehrhardt  :    >.Das  Cor- 


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gmente.  Bracton  llamo  a  cstas  cosas  fiscaies  tambien  res  quasi  sa- 
crae  {75).  y  Lucas  de  Penna  (76)  hablo  ocasionalmcnte  sobrc  e!  jiscus 
sancttssimus.  aunque  en  la  acrualidad  qiuzi  nos  sea  mas  ficil  com^ 
prender  a  Baldus  que  llamo  al  fisco,  deb.do  a  su  mmortalidad.  .el 
alma  del   Estado.^    (Fiscus  retpubltcac  anima)  (77). 

Los  junsconsultos  atribuian,  ademds.  al  fisco.  ubicuidad  y  om- 
mpresencia:  fiscus  uhiquc  praescus.  declaro  Accursius  (ca.  i.2?ol 
en  una  glosa  repetida  con  frecuencia  (78).  especialmenre  per  los  co- 
mcntanstas  de  las  Constituciones  s.cilianas  (79).  ubicuidad  que  han'a 
imposible  la   <  prescripcion  de  la  tierra  por  ausencia  del  propieta- 

PU.S   Chnst,    and    d.cj^rporat.oncn,    im   Spatrom.schen    Rechr. .    Zc^lscHnn 
furiechtgesTKirhie  rorn.  AL.,  LXXl  (1953).  299  y  s.gs.  y  LXXII  (1954). 

nJw       r"^™-  ^^''-   '"^^   ^«'^'""'=-  "•  57  y  s.g..  ef.   fo!  40-.   WoOD- 
BINE,   III.   266  y  passtm. 

(76)  Lucas  de  Penna.  en  C.  ,0.  u  n.  .  (Lyon.  ,58a).  p.  5.  co.  retc 
rcnc.a  a  L.  7.  ^7.  2:  Sacrati^stmus  ftscus  y  sacratisstmus  aeranum  Esta. 
cxpres.ones  .e  hallan  tamb.en.  una  y  otra  vez.  en  las  obras  dc  los  jur.s- 
tas  franceses  del  s.glo  XVl.  aunque  no  sin  mtencion  de  cx.g.r  derecho. 
.mpenales  para  el  rey:  por  e,emplo.  Chopper,  (arriba.  n.  40).  II.  titu- 
lo  1.  n.  2.  p.  203:  uSacrum  emm  existimatur.  ut  Imperiale.  sic  Regale 
Patnmonium.  quod  idco  a  re  privata  ipsorum  Prmcipum  separar,  solet.. 
Esta  es  una  de  las  numerosas  adaptaciones  de  las  prerrogativas  impenale^ 
a  las  pretensiones  reales  en  el  despertar  de  la  teoria  rer  trnfcrato.  ,„ 
regno  suo  (veasc   abaio.   n.  84). 

(77)    Baldus  :    ConsiUa.  1.  2-1,  n.  2,  fol    81  •    ,Et    ,,,   „ 

rr-         1    ■  „  ^^'    "'    'I''    loquar,    est 

ItiscusJ  ipsius  Reipubhcae  an.ma  et  sustcntamcntum, .  Esto  no  1-  impidc 
por    supuesto.    decir    en    otra    ocasion    correctameme :     ,<Fikus    per    se    est 
quoddam   corpus   inanimatum    :    vease   Cimstlm.   I,   36^   n.   2,   fol.    1,8    Era 
lambien  popular  la  comparacion  con  el  estomago  (Lucas  DE  Penna.  en  C.  11. 
58,  7-  n.   10,  p.  5641  que  sc  encuentra  ya  en  CoRlPPUs  :    In  iaudem  lusum 
11,   249   y  sig.    (Mon.    Germ.  Hist.,   Auctores   antiquissimi.    Ill     2    p     13,)- 
u...   cognoscte  fiscum   Ventris  habere   locum,   per  quem  omnia   membra  cl 
bantur,,.   el   cua!   se   remonta   a   la   parabola    de   Menen.o   Agripa.    cue   t.ene 
una    larga    histona .-    vease    Wilhelm    Nestle  :       Die    Fabel    des    Meneniu. 
Agrippa.,,    KUo.    XXI    (1926-27).   358   y   sig. ;    tambien   en   sus   Gnech.sche 
}>tud,en   (,948).    502    y   sigs;    Pricolstch   GoMBEL :     ,<Die   Fabel    "Von   Ma- 
gen  den  Ghedgsi."   ,n  der  Weltlheratur,    (Beih.   z.  ZetUchr.   /.   roman    Ph^- 
U,  1.  LXXX.    Halle.   1934). 

(78)  Glossa  ordtnana.  en  C.   7,  37.   i.  V.   "Contmuum" 

(79)  Marinus    de   CaRAMANICO.    sobre    Ltb.    ang..    HI.    39.    ed.    Cervone 
(amba.   n.    14),   p.   339a:      .  .   et   sic   non   loquitur  de   fisco   qui   semper  est 
praeseus...   Vease   tambien   Matco   de   Afl.CTIS.   sobre   la   misma    ley.   n     3 
volumen   II.   fol,    ,86:    ....    nee   requiritur  probare   de   praesem.a   fiscu   qu.J 
nscus  semper  est   praesens.)- 


62 


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no.  (80).  Y  con  frecuencia  fiie  Baldus  quien  dedujo  de  esas  mis- 
renosas  ubicuidad  y  omnipresencia  del  fisco  una  conclusion  recta : 
Fiscus  est  uhique  et  sic  in  hoc  Deo  stmilis,  (cel  fisco  es  omnipre- 
sente,  y.  por  tanto,  en  esto  semejante  a  Dios"  (81). 

No  debemos  equivocarnos:  cste  lenguaje  no  revela.  o  mas 
bien.  no  revela  aiin  el  esfuerzo  por  .(deificar>.  al  fisco  y  al  Es- 
tado:  pero  revela  el  esfuerzo  por  explicar  mediante  terminos  teo- 
logicos  la  naruraleza  del  fisco.  su  perpetuidad  o.  c:tando  a  Baldus, 
el  hecho  de  que  es  quid  eternum  et  perpetuum  quantum  ad  esen- 
Uam.  oalgo  externo  y  pcrpetuo  respecto  a  su  esencia)>  (82).  El  re- 
verse de  la  aphcacion  de!  Icnguajc  teologico  a  las  instkuciones  se- 
culares  fue.  por  una  parte,  que  e!  fisco  y  la  maqumana  estatal  se 
convirtieron  eventuaimente  en  scmejantes  a  Dios,  en  tanto  que, 
por  otra  parte.  Dios  y  Cnsto  fueron  reducidos  a  meros  simbolos 
legales  ficttcios  para  exponer  la  ubicuidad  y  eternidad  de  esa  per- 
sona ficticia  que  se  llamaba  Fisco. 

Fue  siempre  aquelja  Lin?:ita  mezzo -teologxca,  usual  en  los  ju- 
nstas,  la  que  elevo  al  Estado  secular  a  la  esfera  del  ■  secreto)). 
Tambien  se  puede  decir  esto  de  aquella  extrana  personificacion. 
'da  dignidad  que  no  muere.-.  Respecto  a  !a  inmortal  Digmtas  ha- 
llamos  siempre  la  misma  yuxtaposicion  :  El  rey  —dice  Baldus— 
no  depende  de  ningun  hombre,  sino  de  Dios  y  de  su  propia  dig- 
nidad, que  es  perpetua«  (83).  Siempre  fue  un  problema  de  tiempo, 
de  perpetuidad,  lo  que  hizo  comparable  la  deidad  a!  fisco  o  a  la 
Dignidad,  o  al  «cuerpo  politico  de!  rey)). 

Las  especulaciones  sobre  la  Dignidad  inmortal,  asi  como  ia  apli- 


(80)  Vease.  por  cicmplo.  lusTINIANO:  Instit.,  II.  6,  rubr. :  ...  inter 
pracsentes  decennio.  inter  ahsentes  vigint.  annis  usucapiantur.,  La  pre- 
sencia  o  ausencia  del  propietario  implica  legalmente  alguna  diferencia.  pero 
legalmente   el   fisco  esta  presente   siempre. 

(8i>  Baldus  en  C.  7.  37.  i,  fd.  37.  No  debe  olvidarse  quo  tambien 
la  Iglesia  tiene  ubicuidad:  vease  Marcus  Antonius  Peregrinus  :  De  jure 
fisci  Ubri  octo  (Venecia.  i6ii).  I.  2,  n.  22:  ..  quia  sicut  Romana  Ec 
clesia  ubique  est,  sic  fiscum  Ecclesiac  Romanae  ubique  existere  oportet.. 
Vease.  sobre  la  ubicuidad  del  emperador,  mi  ensayo  .dnvocatio  nominis 
imperatoris:.  BoIiet.no  del  Ceutn,  di  Stud>  Filologtci  e  Unguisttci  sia- 
Itani.  Ill  (1955). 

(82)  Vease.  arriba.   n.  72. 

(83)  Baldus,  en  X,  2,  24.  33.  n.  5.  in  Decretaltum  volumen  commen- 
tary (Venecia.  1580).  fol.  261:  .<Unde  imperator...  non  obligator  homini. 
sed  Deo  et  dignitati   suae,  quae   perpetua  est.. 


63 


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I    u 


ERNST    H.    KAN10R0W1C7. 

cacion  de  cse  concepto  paso  por  miichas  fases :  desde  el  abad  a! 
obispo  y  al  Papa,  del  Papa  al  emperador  y  del  emperador  a  los 
oreyes  que  no  reconocen  superior"  (84).  Eventualmente  se  dijc 
que  la  regta  Digmtas  ..nunca  muere.<  (85),  o  que  la  regia  Maicstax 
.  nunca  muerc.  (86).  o  se  confromo,  como  hizo  Baldus,  la  i>eriom 
f)ersondiK  del  dignatario  mortal  con  su  persona  idealis,  la  dignidad 
que  nunca  muere  (87).  hasta  el  punto  de  que  el  rey  frances  pre- 
tendio  que  tenia  dos  angeles  de  la  guarda,  iino  por  razon  de  su 
persona  individual,  y  otro  por  razon  de  su  dignidad  (88).  Y  asi 
forzosamente  se  Uego  un  dia.  aunqiie  al  parecer  no  antes  del  si- 
glo  XVI.  a  la  lapidaria  formula:  Le  roy  ne  meurt  ]U>tWS,  "cl  rey 
no  muere  nunca:  no  obstante  los  juristas  ingleses  de  aquel  pe- 
riodo  tuvieron  buen  cuidado  de  hacer  la  observacion :  (El  rey. 
en  cuanto  rey,  no  muere  nunca»  (89). 

Otros  juristas  compararon  la  Dignitas  con  el  mas  clasico  sim- 
bob  de  la  inmortalidad  y  la  resurreccion,  la  legendaria  ave  Fe- 
nix  i^o).  La  comparacion  no  estaba  mal  escogida :    en  un  tiempc 


(84)  La  base  es  un  decreto  de  Alejandro  III:  X.  i,  29.  14.  ed.  Fried- 
berg.  II,  162:  vease.  para  el  dcsarrollo  de  la  teon'a,  O.  vON  GIERKE:  Das 
deutsche  Genossevschaftsrecht  (Berlin.  1881).  Ill,  271.  n.  7:5.  Para  los  dig- 
natarios  seculares.  vease  Baldus  :  Cmisilia,  111.  159.  n.  ?.  fol.  45:  e  ihid.. 
n.  4.  para  la  perpetuidad  de  la  dignidad  real  si  el  rey  »iotj  cop^osat  su- 
periorem.  Para  los  on'genes  de  la  doctrina  dc  los  reyes  que  no  conocen 
superior,  vease  cl  excelente  estudio  del  difunto  Sercic  MoCHl  Onory  : 
Fonti  canonistiche  dell'idea  moderna  dello  stato  (publicazioni  deH'univer- 
sita   cattolicn   de!   Sacro  Coure.   N.   S.   XXXVIII.  Milan,    iq^il- 

(85)  Mateo  de  Afflictis.  en  Liber  aug.,  II.  ■>,•>.  n.  2^.  vol.  II.  fol.  77: 
"Quae   dignitas  regia   nunquam  moritur.o 

(86)  Baldus.  en  X.  i.  2.  7-  n.  78.  In  Decretales.  fol.  18:  Nam  regia 
maiestas  non   moritur." 

(87)  Baldus:  Consilia,  HI.  217.  n.  s-  fol-  6?:  •  [personaT  personalis 
quae  est  anima  in  substantia  hominis.  et  non  persona  idealis  quae  est  dig- 
nitas.^ 

(88)  GrassaillE:  Regalium  Franciae  Uhri  duo.  I.  ius  XX  (Paris,  154^)' 
210:  .(Item.  Rex  Franciae  duos  habet  bonos  angelos  custodes :  unum  ra- 
tione   suae    privatae    personae.    alterum    ratione    dignitatis    regalis.- 

(8q)  El  slogan  vuelve  con  mucha  frecuencia  en  los  argumentos  de  los 
luristas  ingleses  de  mediados  del  siglo  XVI:  vease.  por  ejemplo,  Pl.OW- 
DEN:  Reports.  2:5^3:  "cn  lo  que  respecta  a  su  cuerpo  [su  cuerpo  politi- 
co] el  rey  nunca  muere..  En  Francia  se  encucntra  a  fines  de  siglo.  aun- 
quc  no  debe  confundirse  con  el  grito  funerario  Le  roi  est  mort!  Vive  le 
roi].  que  tienc  un  origen  totalmente  distinto  y  no  juridico. 

(qo)     La   comparacion.   que   yo   sepa.   se   halla   primero  en   la   Glossa  or- 

64 


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SECRETOS    DE    F^TADO 

determinado  solo  habia  una  Fen.x  viva;  cada  nueva  Fen.x  era 
.dent.ca..  a  su  predecesora.  Y  sen'a  .dentica  a  su  sucesora;  ade^ 
mas.  en  el  case  de  esta  ave  -parecida  en  cierto  mode  a  los  in- 
geles-.  la  espeac  y  el  individno  coincid.'an.  .El  genero  entero 
esta  preservado  en  el  mdividuc.  como  d.jo  Baldus.  de  mode  que 
cada  Fen,x  era  a  la  vez  todo  el  existente  «genero-Fenix..  De  aqu.' 
que  siendo  mortal  en  cuanto  indiv.duo  e  inmortal  como  espec.e 
el  ave  Fen.x  pudiera  pretender  ser.  si  es  que  pretendfa  algo.  el 
prototipo  de  la  <'Corporaci6n  absoluta..  (9i). 

En  las  especulaciones  scbre  ia  Dxgmtas  teologica.  las  metaforas 
ueron  tamb.en  eficaces.  e  mcluso  e!  substrato  cr>stol6gico  es  con 
trecuenna,  completamente  inequfvcco.  Santo  Tomas  de  Aquino 
-combmando  las  doctrinas  anstotehcas  sobre  el  organon,  o  ins- 
irurnentum,  con  un  credo  de  origen  bizantino  que  conocio  a  traves 
de  Juan  de  Damasco-  hab.'a  creado  su  doctrina.  segun  la  cual. 
la  humamtas  Chnstt  era  el  imtrumenUnn  dtvmitatis  y  con  ello  .1 
instrumento  de  la  imncipahs  causa  cffiaens.  que  era  Dios  (92) 

Esta  doctrma  psso  tambien  a  !os  junsconsultos  y  se  apl.co  a 
sus   teona^polffcas.    Equipararon   estos   la    Digmtas   „que   nunca 

^retal,ur.   hbros    novella   (Venecia.    ,6,a),    fol.    .06-207.    e„    X     ,     .0    Z 
nun,s.  30^3,.   gl.   ..Phen.x..:    Baldus.  en  el   n.sn,o  decreto.   „    ;.  Z^. 
el";  '°''    ''"^'^'""    filo-fican^ente    ,a    conclus.on    re    a :     „ E  t 

o      La  LZ:;    ^■"^"'"■"''"^'    -    ^^^   —    «enus    servatur   in    .ndiv I 
Juo.>.   La  comparacon  es   mas  notable  de  lo  que   se   puede   msinuar  aaui 
Vease    ea.  HUBA^x  y  Max.mh  LhroV:    Le  ,ny.He  ^u  PH^^^TZ  y  P. 
"s.    1939).    y    las    .mportan.es   observnciones    sobre    este    estudio   por   A     I 
FhstucerE:     ,.La    .ymbole   du    Phen.x   et    la    myst.csn,    hermet.q^e,,     Mo, 
nu.,e„ts    P.ot,    XXXVIII    (,94.).    147-5..    con    lo    que    se    debe    compara 

Mim  (Arras.    1586).   35  y  sigs. 

(91)     Maitland:    Selected  Essays.    73,,.;    y   pass^m. 

92)     El  tema  ha  sido  tratado  de  un  modo  acabado  por  Te<3f,i.o  Tsch.p- 

B    uck.,chU,un,   derLehre   des    He.U.en    Thor^as   ron    A.u.no   (Freibur- 

MANN  n''tl  .""•  '-''•  ''"■'"^^'  '^^"^^  --^  --''-  M-  Grab- 
MANN:  „D,e  Lehre^Erzbischofs  und  Augusfner.heologen  Jacob  von 
Viterbo  (muerto  haca  ,307-8)  vom  Episkopa,  und  Pnmat  und  ,hre  Be- 
z.ehug  .um  Hej.gen  Thomas  von  Aquino...  Episcopus:  Stud^en  Ober  da. 
B.schofsamt...  Kard.nnl  von  Faulhaber  dargelnach,  (Regensbu;r'.Q4Q) 
190.  n.   10  para  mas  literatura  sobre  el   tema. 


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ERNST    H.    KANTOROWICZ 

muere»  con  la  Divinitas,  y  el  ciierpo  mortal  natural  del  dignata- 
rio  con  la  humanitas ;   y  basandose  en  esto,  pudo  escribir  Baldus : 

iReconocemos  aqiii  la  dignidad  como  lo  principalis  y  la 
persona  como  lo  instrumentalis.  Per  tanto,  el  fundament©  de 
una  accion  es  la  Dignitas  misma,  que  es  perpetua»  (93). 

O,  cuando  examma  las  do?  personas  que  concurren  en  el  prln- 
cipe,  escribe : 

'<Y  la  person  I  (individual)  del  rey  es  el  organiitn  et  iijs- 
trumentum  de  esa  otra  persona  intelectual  y  publica.  Y  esta 
persona  inteUectualis  et  publica  es  la  que  realiza  principali- 
ter  las  accionesn  (94). 

Comprendemos  ahora  el  metodc  y  podemos  comprender  tarn- 
bien  de  donde  se  deriva  el  substrato  eclesiastico  que  con  tanta 
frccuencii  se  percibe  en  !os  informes  y  alegatos  de  !os  juristas 
de  la  Corona  inglesa  en  los  ultimos  tiempos  de  la  dinastia  Tudor. 
Reconocemos  inmediatamente  la  doctrina  eclesiastica  del  corpus 
mysticum  cuando,  por  ejemplo,  uno  de  los  jueces  opinaba  que  el 


(93)  Baldus:  Comilui,  111.  121,  n.  6.  £0!.  34:  dbi  attendimus  digni- 
tatem tanquam  pnncipalem  ct  personam  tanquam  mstrumentalem.  Undr 
fundamentum  actus  est  ipsa  dignitas  quiae  est  pcrpctua.  -  En  el  inismc 
parrafo  hace  t.imbien  la  distincion  <iquod  persona  sit  causa  inmcdiata, 
dignitas  autem  sit  causa  remota»,  por  donde  podemos  recordar  que  a  mc- 
nudo  se  dice  que  Dies  actua  (por  eiemplo,  en  las  elecciones)  como  la  cau- 
sa remota. 

(94)  Baldus:  ConsiUa.  HI,  159,  n.  6,  fol.  45:  ..  loco  duarum  per- 
sonarum  Rex  fungitur...  Et  persona  regis  est  organum  et  instrumentum 
illius  personae  inteUectualis  et  publicae.  Et  ilia  persona  inteUectualis  et 
publica  est  ilia,  quae  principaliter  fundat  actus:  quia  magis  attenditur 
actus,  seu  virtus  principalis,  quam  virtus  organica.i.  Comparese,  por  ejem- 
plo, Santo  Tomas:  Sumnw  theologiae,  Ilia,  q.  LXII.  a.  5,  resp. :  "Prin- 
cipalis autem  causa  efficiens  gratiae  est  ipse  I>eus.  ad  quern  comparatur 
humanitas  Christi,  sicut  instrumentum  coniunctum>> ;  o.  Ilia,  q.  VII,  a.  1 
a  3:  (iQuod  humanitas  Christi  est  instrumentum  divinitatis...  tanquam 
instrumentum  animatum  anima  rationali...  La  transicion  a  la  aplicaci6n 
juri'dica  de  esta  doctrina  se  puede  hallar  quizi  en  el  mismo  Santo  Tomas 
cuando  escribe  (Ilia,  q.  VIII,  a.  2):  «In  quantum  vero  anima  est  motor 
corporis,   corpus  instrumentaliter  servit   animae.» 


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suicKlio  era  un  crimen  no  solo  contra  Dios  y  la  naturaleza.  «no 
tambien  contra  el  rey,  cporque  el,  que  es  la  Cabeza,  ha  perdido 
lino  de  sus  miembros  mfsticos,.  {95).  Lo  mismo  se  pi.ede  afirmar 
aunque  es  qu.za  menos  obvio.  de  la  terminolog'a  de  los  juristas 
mgleses  s.empre  que  hablan  del  rey  como  individuo  y  del  rey  en 
cuanto  rey,  y  luego  cornentemente  suelen  hablar  de  los  »dos  cu^r- 
pos.>  del  rey,  aun  cuando  alguna  vez  se  equivocaban  d.ccndo  ..dos 
personas»;    despues   de   todo  no   eran   nestonanos   y   S,r   Edward 
Coke  y  otros  ohservaron  cautamente  que  aunque  el  rey  tenia  «dos 
cuerpos.s  solo  .tenfa  una  persona-  (96).  Realmente  tenemos  que 
remontarnos  al  siglo  xu.  cuando  la  Iglesia  aparecio  por  pr.mera 
vez  como  un  corpus  mysUcum  {97).  y  a  pred.cadores,  tales  como 
Simon  de  Tournay  o  Gregoric  de  Bergamo,  para  encontrar  algi. 
nas  formulacone.  teclogicas,  repetidas  despues  con  frecuencia.  del 
tipo  siguiente : 

•Hay  dos  cuerpos  de  Cristo:  el  cuerpo  material  humano 
que  rec,b.6  de  la  V.rgen  y  el  cuerpo  espiritual.  constitu.'do 
como  colegio  de  la  Iglesia  >■  (98). 

.'Un  cuerpo  de  Cr.sto.  que  e.  el  mismo.  y  otro  cuerpo. 
del  ci:al  es  la  cabeza»  (99), 

Y  con  estas  y  otras  defimc.ones  parecidas  de  los  cuerpos  .ndi^ 
v.duales  y  colect.vos  de  Cnsto  podemos.   pues.  comparar  las  dis- 

(95)  Plowden:    Report..   .6.;    Ma,tund:    SeUcted  Essays,   „o    „     , 

(96)  Coke,    en    Calvin's  Case   fReoorts     VI[     ,^     \     a 

cuerDo<!»     l\,      J„,  J    .      ,  M  ^  «;•   'cy   aunque  tiene   «dos 

o^X  uo.  nl  '■''''''''-"^'      -'^    '-^    -^    Pe-n..,.    MAr^.A^^,. 

(97)  Vease,  ademas  de  LUBAC  (nota  siguiente),  G.  B.  Ladner  ■  „As 
Ijcts  o  Mediaeval  Thought  on  Church  and  State.,.  R..e.  o7  Po^.t 
'X  (1947).  405  y  sigs..  espec.  414  y  sig  '    r^«ncs, 

ri,1.     n     A  /'  ^      "^"°  '""'  ™''P°"  Christi:    Unum  mate- 

r       .    quod    sun,ps,t    de    virgine,    et    spirituale    collegium,    collegiu^  Tcfe 
siasticuin.»   Vease  tambien,   ibid,  n    30  °"eg>um    eccle- 

(99)     GRECOR,o    OE    BERCAMO:     <,De    ver.tate    corporis    Christ,.,    c.     .8 

lumen   x™*  """    "'""■"'"    "^"'^    '^'"^    (Innsbruck.    ,8^),    vo- 

lumen  XXXIX.   75  y  s,g. :    „Ail,ud  esse   novimus  Chirst.   corpus,   q^od  Z- 

.85  (con  el  n    ,55),  tambi^n  r.j  y  s,g..  y  pass,„,.  para  mucho.  m^ ^Tm 
plos  del  duplex  corpus  Christi.  ' 


67 


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tinciones  legalistas  de  los  jueces    rudor,  quienes  apuntaron  repe- 
tidamente  que 

«...ei  rey  tiene  dos  cuerpos,  de  los  cuales  uno  es  un  cuer- 
po  natural....  y  en  este  el  esta  sometido  a  las  pasiones  y  a 
la  muerte  como  lo  estan  los  hombres;  y  el  otro  e?  -.m  cuerpo 
politico  y  sus  miembros  son  sus  subditos,  y  el  y  ellos  juntos 
componen  la  corporacion  y  el  esta  incorporado  a  ellos  y  ellos 
a  el,  y  el  es  la  cabcza  y  ellos  son  los  miembros :  y  este  cuer- 
po no  esta  sujeto  a  las  pasiones  y  a  la  muerte.  nues  con  res- 
pecto  a  este  cuerpo,  el  rey  nunca  muere  (loo). 

Creo  que  fue  en  estos  estratos  de  pensamiento  donde  se  on- 
gmo  el  concepto  absolutista  de  "secretos  de  Estado,.  y  que  cuan- 
do  por  ultimo,  la  Nacion  se  apodero  de  las  funciones  pontificales 
del  prmcipe.  el  moderno  Estado  absoluto,  incluso  sin  pn'ncipe,  es- 
tuvo  en  condiciones  de  hacer  exigencias  como  si  fuera  una  Iglesia. 

Ernst  H.  Kantorowicz 


R^SVMt 

Us  Mysteres  de  I'Etat,  comme  un  concept  de  I'Absoluttsme, 
ont  un  fondement  medieval.  C'est  le  dernier  rejeton  de  cet  hibns^ 
me  spirituel,  un  resultat  de  l<i  serie  des  relations  entre  I'EgUse  et 
I'Etai,  qu'on  peut  trouver  dans  chaque  siicle  du  Moyen  Age, 
ayant  attire  I'attention  des  histonens  pendant  des  annees. 

On  peut  se  rapprocher  plus  jacilement  du  probleme  basique  en 
posant  une  simple  question:  Par  quelles  voies  et  par  quelles  tech- 
niques peut  etre  transfere  le  spirituel,  arcana  ecclesiae  a  I'Etat  pour 
\nodutre  le  secular  arcana  imperii  de  I'absolutisme? 

Sous  I'impact  des  relations  entre  les  glossateurs  et  commen- 
tateurs  cannonistes  et  civilistes.  qui  n'existaient  pas  dans  la  pre- 
miere  epoque  du  Moyen  Age.  pris  corps  ce  qui  jut  appelle  plus 


(loo)    Plowden:   Report..,  135a.  citado  tambi^n  por  Sir  William  Black- 
STONE:  Commentaries  on  the  Laws  of  England,  I,  p.  249. 

68 


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tard  "Les  Mysthes  de  I'Etat"  et  qu'aujourd'hut  dans  un  sens  (.lus 
general  on  appelle  "U  Theologte  Politique". 

n  est  evident  que  les  Mystcres  de  I'Etat  6tment  ms^arables 
dudomame  de  la  lor  et  de  la  jundtction.  lis  etaient  toujours  urns 
a  la  loi  et  a  la  jundiction.  Rene  Chopfnn  a  dit  que  le  ro,  "est 
I'epoux  mystique  de  la  respublica". 

Cest  ici  que  Von  person  la  grande  equation,  hubituelle  uu 
Moyen  Age  et  au  XIW"  siecle:  le  corpus  reipublrcae  mysticum. 
a  la  tete  de  laquelle  se  trotive  jesuchrist. 

Cest  de  ce  dermer  estrate  de  la  pensee,  que  I'auteur  crmt  que 
le  concept  absolutiste  "Mystcres  de  I'Etat"  prit  son  ongine  et  c'est 
en  dernier  lieu  que  la  Nation  amva  jusqu'aux  souliers  pontijicaux 
du  Prince;  le  moderne  Etat  Absolut,  que,  mime  sans  un  Pnnce. 
«/  pouvoit  fane  ses  petitions  comme  une  Eglise. 


SUMM  ARY 

Mysteries  of  State  as  a  concept  of  Absolutism  has  its  mediaeval 
background.  It  is  late  offshoot  of  that  spintual^secular  hybnsm 
which,  as  a  result  of  the  infinite  cross  -  relations  beinieen 
Church  and  State,  may  be  found  m  every  century  of  the  Middle 
Ages  and  has  deservedly  attracted  the  attention  of  historians  for 
many  years. 

The  basic  problem  may  be  approached  most  easily  by  posmg 
a  simple  question:  How,  by  ivhat  channels  and  by  what  techni- 
ques, were  the  spiritual  arcana  ecclesiae  transferred  to  the  state 
as  to  produce  the  new  secular  arcana  imperii  of  absolutism? 

Under  the  impact  of  the  exchanges  between  canon  and  civu 
han  glossators  and  commentators  -all  but  non-existent  m  the 
earlier  Middle  Ages—  something  came  into  being  which  then 
was  called  "Mysteries  of  State",  and  which  today  in  a  more  gene- 
ralizing sense  is  often  termed  "Political  Theology". 

That  the  Mysteries  of  State  were  inseparable  from  the  sphere 
of  law  and  jurisdiction  demands  no  fuHher  comment,  because  they 
were  practically  always  bound  to  the  legal  sphere.  Rene  Choppin 
actually  went  so  far  as  to  say  that  the  king  "is  the  mystical  spouse 
of  the  respublica". 


69 


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ERNST    H.    KANTOROWICZ 

Here  ue  envisage  that  portentous  equation,  which  became 
customary  around  the  middle  of  the  thirteenth  century:  the  cor- 
pus reipublicae  mysticum,  headed  by  Christ. 

It  is  from  this  strata  of  thought  that  the  author  believes 
the  absolutist  concept  "Mysteries  of  State"  took  its  origin 
and  that,  u'hen  the  Nation  finally  stepped  into  the  pontifical 
shoes  of  the  Prince,  the  modern  Absolute  State,  even  without  a 
Pnnce,  was  enabled  to  make  claims  like  a  Church. 


70 


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n    J    II    i~ 

u    L    u    J 


Revista    de    Estudios    Politicos 


Marzo- Abril 


959 


Nu 


MERO    104 


nep6»ito   legal.   M.   3.436.— 1968. 


Su 


m  a  r  1  o 


ESTUDIOS  Y  NOTAS: 

Carlos  Martinez  de  Campos:   El  limite  eldstico  en  las  relacio- 

nes  diplomdticas. 
Ernst  H.  Kantorowicz:   Secretos  de  Estado  (Un  concepto  ah- 

solutista  y  sus  tardios  origenes  medievales). 
Francisco  Murillo  Ferrol:    Umdad,  teologia  y  poUtica. 
Emilio  Garrigues:    Espana  vista  por  Maquiavelo  y  Campanella 

o  de  la  razon  a  la  pasion  de  Estado. 
SlLio  Rivisi :    Lm  Constitiicion  tiirca  republicana. 
]ose  M."  DfEZ'ALEGRfA,  S.  J.:    La  filosofia  de  la  esperanza  de 

Pedro  Lain. 
Camilo  Barcia  TrelleS:    El  ayer,  el  hoy  y  el  mafiana  interna- 

cionales. 

MUNDO  HISPAt^ICO: 

Juan  Francisco  Marsal  :   La  sociologia  posttwista  en  Argentina. 

RECENSIONES 

NOTICIAS  DE  LIBROS 

REVISTA   DE  REVISTAS 

BIBLIOGRAFIA: 

Melchor  Fernandez  Ai.magro:    BihUografia  de   historia  conte- 
pordnea  de  Esparia. 


I 


i 


I.A  REVISTA  DE  ESTUDIOS  POLITICOS  pubiica  seis  ndmeros  al  ano. 
Precio  de  la  suscripci6n  anuai:  Espana,  120  pesetas;  Portugal,  paises  de 
habla  espaiiola  y  Estados  Unidos,  150  pesetas;  otros  paises,  ioo  pesetas. 
Numero  suelto:   40    pesetas.  Niimero  atra.,ado:   50   pesetas. 

Los  suscriptores  a  la  REVISTA  DE  ESTUDIOS  POLITICOS  que  compren 
directamente  al  Instituto  los  libros  por  el  editados,  disfrutaran  de  una 
bonificacidn   del   20   por    100   sobre  el    precio  de   venta   marcado   en   ellos. 

INSTITUTO  0E-EST11DI0.S  POLITIfO.S- MADRID  PI.  d.  I,  M.rina  E,p,fiol,,  8 


n    J    II    L 

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"3" 

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ERNST    H.    KANTOROWICZ 


SECRETOS    DE    ESTADO 

(UN    CONCEPTO    ABSOLUTISTA   Y    SUS    TARDIOS 
ORIGENES    MEDIEVALES) 


INSTITUTO  DE  tSiUDIOS  POLITICO^ 


MADRID 

1     g     5    y 


/  /      J     I  I 

U     L     U 


SECRETOS     DE     ESTADO 

(UN    CONCEPTO    ABSOLUTISTA    Y    SUS    TARDIOS 
ORIGENES    MEDIEVALES)    (•) 


La  expresion  Secretes  de  Estado  como  concept©  del  absolutijino 
tiene  un  fondo  medieval.  Es  un  tardio  brote  de  aquel  hibridismo 
secular-espiritual  que,  como  resultado  de  las  infmitas  relaciones  en- 
tre  Iglesia  y  Estado.  puede  hallarse  en  cada  uno  de  los  siglos  de 
la  Edad  Media  y  que  durante  miichos  aiios  ha  atraldo  mtrccidamen- 
te  la  atencion  de  los  historiadores.  Despues  de  los  fundamentales 
estudios  de  A.  Alfoldi  sobre  el  ceremonial  y  las  msignias  de  los 
emperadcres  romanos  (i).  Theodor  Klauser.  en  epoca  mas  recien- 
te.  examine  el  origen  de  las  msignias  episcopales  y  de  los  derechos 
honorificos,  y  mostro  con  mucha  claridad  como  pasaron  a  los  obis- 
pos  de  la  victoriosa  Iglesia.  en  la  epoca  de  Constantino  el  Grande 
y  posteriormente.  determinados  pnvilegios  de  investiduras  y  ca- 
tegorias  de  los  funcionarios  del  Imperio  de  la  ultima  epoca  {2). 
Por  el  mismo  tiempo,  Percy  Ernst  Schramm  publico  su  breve  ar- 
ti'culo  sobre  los  intercambios  mutuos  de  derechos  honorificos  entre 
sacerdotium  y  regnum.  en  el  que  demostraba  como  la  imttdtto  i«j- 


(*)  Este  ensayo  fue  lei'do  en  la  sesi6n  ronjunta  de  la  American  Catho- 
lic Historical  Association  y  de  la  American  Historical  Association,  el  28  de 
diciembre  de  1953.  en  Chicago,  y  se  publico  por  primera  vez  en  Tht  Hanani 
Theological  Review,  XLVIII  (,95,).  6,-9..  Muchos  de  los  probiemas  insi- 
nuados  en  este  artfculo  se  han  examinado  con  mas  cuidado  en  mi  libro  Tht 
King's  Two  Bodici:  A  study  m  Mediaeval  Polittcal  Theology  (Princeton. 
1957).  aunque  aqui  he  anadido  Mgunas  cosas  que  no  se  encuentran  en  el 
libro.  Quedo  reconocido  al  Dr.  Rodrfgwe?  Aranda  por  la  tradiircicn  al  espaflol 
de  mi  ensayo. 

(i)  Andreas  Alfoldi:  ..Die  Ausgeltaltung  des  monarchischen  Zere- 
moniells  am  romischen  Kaiserhcfe»,  e  .Insignien  und  Tracht  der  romis- 
chen  Kaiser..  Rdmische  Mittetlungen,  XLIX  (1934),   1-1,8;   L  (1935),   1-17.. 

(2)  Theodor  Klauser  :  Der  Lhsprumg  der  btschiifUchen  Insiynien  Mtirf 
Ehrenrechte  (Lecturas  academicas  de   Bonn.   I.  Krefeld.    1949). 


/  /    ./    n    o 

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ERNST    H.    KANTOROWICZ 

i>em  por  parte  del  poder  esp.ntual  fue  equilibrada  por  una  tmitatio 
sacerdotn  por  parte  del  poder  secular  d).  Schramm  llevo  su  estu^ 
dio  solo  al  umbral  del  pen'odo  Hohenstaufen.   y  estuvo  acertado 
en  detenerse  donde  lo  hizo.  Pues  los  mutiios  prestamos  a  que  se 
ref.ere  -^.ns.^n.as.  litulos.  s:mbolos.   priv.legios  y  prerrogatwas- 
afectarcn  a  prmc:p,os  de  la  Edad  Media,  prmcipalmente  a  las  in- 
d.v,dual.dades  d.ngentes.  esp.rituales  y  seculares.  al  pontffice  que 
Hevaba  corona  y  al  cmperador  que  llevaba  mitra,  hasta  que  final- 
mentz  el  sacerdoUum  tuvo  apariencia  imperial,  y  e!  re^num  aspec- 
to  clenca.  A  com.enzos  del  siglo  Xlii.  lo  mas  tarde.  se  alcanzo  un 
c.erto  estadc  de   saturacion   cuando  los  dignatanos  esp.rituales   y 
seculares  se  atav.aron  con  los  atributos  esenciales  de  sus  funciones. 
Sm  embargo,  los  prestamos  entre  las  dos  orbitas  no  acabaron. 
Solo  cambiaron  los  objetivos  cuando  el  centro  de  gravedad  se  mo- 
v.o.  por  deorlo  as.',  de  los  personajes  dingentes  de  la  Edad  Me- 
dia a  las  colect.v.daces  dirigidas  de  prmcipios  de  los  tiempos  mo- 
dernos.  a  los  nuevos  estados  nacionales  y  a  otras  comumdades  polf- 
ticas.  Es  aec.r.  el  ambito  de  intercambios  entre  Fglesia  y  Estado. 
y  de  mfluencas  mutuas.  se  expandio  desde  los  dignatar.os  ind.v.- 
duales  a  las  comumdades  compactas.  Por  esto.  los  problemas  socio- 
logicos  empezaron  a  configurar  los  problemas  ecles.asticos  y.  vi^e- 
versa.  lo  ecles.ast.co  a  lo  sociologico.  Con  el  Papa  como  prtnct,^  y 
verus  tmperator  el  aparato  jerirquico  de  la  Idesia  romana         .'pe, 
sar  de  algunos  importantes  rasgos  de  constituconal.smo  (4)    -  mos- 
tro  tendenca  a  convertirse  en  el  prototipo  perfecto  de  una  monar- 
quia  absoluta  y  ..icional  sobre  -ma  base  m.'stica.  mientras  que  s.- 
multaneamente  cl  Estado  mostro  una  creciente  tendencia  a  con- 
vernrse  en  una  sem.-Iglesia.  y.  en  otros  respectos.  en  una  monar- 
quia   mist.ca   sohre    una   base    racional.    Fue   aqiu'   en   estas   aguas 
-aguas  nauseabundas.  si  as!  se  quiere-  donde  el  misticismo  del 
nuevo  Estado  hallo  su  alimento  y  su  morada. 

El  problema  fundamental  se  puede  enfocar  con  mas  facilidad 
planteando  una  simple  cuest.on :    ^Como.  por  que  canales  v  n.c- 
diante  que  tecmcas.  se  transfirieron  al  Estado  los  espirituales  ar- 


(J)  PERCY  ERNST  SCHRAMM:  -Sacerdcum  und  Re«„um  ,m  Aus.ausch 
ihrer  Vorrechie..   Studi  Gregorian,.   II  (,947),   40^457 

(4)  Vease  Brian  Tierney  :  The  Canonists  and  the  Mediaeval  S,ate>., 
Re„,cw  of  Pol.ucs,  XV  (19,?).  578-588.  y  su  importante  i.bro  The  Foun- 
dations of  the  Conaltar  Theory   (Cambridge,    1956). 


38 


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cd»fl  ecdesiae  para  prodiicir  los  mievos  seculares  arcana  imperii  del 
Absolutismo?  La  respuesta  a  esta  pregunta  esta  dada  por  las  fuen- 
tes  con   las  que   tenemos  que  contar;    sin   olvidar   los   relates   o 
las  artes,  el  ceremonial  o  la  liturgia,  se  puede  decir  que  nuestra 
principal  evidencia  se  debe  a  las  leyes.  Principalmente  por  nuestras 
fuentes  legales  se  han  hecho  evidentes  los  nuevos  modos  de  in- 
tercambio  entre  los  espiritual   y  lo  secular.  Despues  de  todc,  los 
canonistas  usaban   y  aplicaban   el   Derecho   romano;    los  civilistas 
usaban  y  aplicaban  el  Derecho  canonico;  y  ambos  derechos  fueron 
usados  tambien  por  juristas  del  Derecho  consuetudinario  (5).  Ade- 
mas,  ambos  derechos  fueron  influidos  por  el  metodo  y  el  pensa- 
miento  escolastico,  asi  como  por  la  filosofia  aristotelica ;  finalmen- 
te,  los  juristas  de  todas  las  ramas  del  Derecho  aplicaban  libremente, 
y  sin  escrupulos  o  mhibiciones,  similes  y  metaforas  teologicas  cuan- 
de  exponian  sus  puntos  de  vista  en  glosas  y  opiniones  legales.  Ba- 
jo  el  impacto  de  estos  intercambios  entre  glosadores  y  comenta- 
listas  canonicos  y  civiles  — qi,e  no  existian  en  la  Alta  Edad  Me- 
dia— ■  surgio  algo  a  lo  que  se  le  llamo  entonces  ((Secretes  de  Es- 
iado'>,  y  que  hoy,  en  un  sentido  mas  generalizado,  se  denomina  con 
frecuencia  ((Teologia  pol.tica))  (6).  Afortunado  como  siempre,  no- 
taba  una  vez  Maitland  que  eventualmente   (da  nacion  usurpo  las 
funciones  del  Principe.'  (7).  Aunque  estoy  por  complete  de  acuer- 
do,  creo  que  podriamos  agregar :    ((Pero  no  antes  de  que  el  Prin- 
cipe   mismo    usurpara    las   funciones    pontificales   del   Papa    y    del 
obispo)). 

En  efecto,  el   ((pontificalismo.>   fue  quiza  el  lasgo  mas  sobre- 
saliente  de  las  nuevas  monarqu.'as,  y  pocos  principes  —  ni  siquie- 


(5)  Esto  ha  sido  apuntado  repetidamente  por  Gaines  Post;  vease  es- 
pecialmente  su  estudio  sobre  .  A  Romano-Canonical  Maxim,  "Quod  omncs 
tangit",  in  Bracton-,  Tradttto.  IV  (1946),  197-251.  y  su  ensayo  leido  ante 
e!  Riccobono  Seminar  sobre  «The  Theory  of  Public  Law  and  the  State  in 
the  Thirteenth  Century».  Seminar,  VI  {1948),  42-59:  tambien  su  mas  re- 
ciente  estudio  sobre  -The  Two  Laws  and  the  Statute  of  York.,  Speculum. 
XXIX  (1945),  4I7-4J2. 

(6)  La  expresion,  muy  discutida  a  principios  de  la  decada  de  1950 
(Carl  Schmitt:  PoUttsche  Theologie.  Munich  y  Leipzig,  1923),  se  ha  po- 
pularizado  mas  en  este  pais,  si  es  que  no  me  equivoco,  debido  a  un  estu- 
dio de  George  Lapiana,  Political  Theology.  The  Interpretation  of  His- 
tory (Princeton,   1943). 

(7)  F.  W.  Maitland:  «MoraI  Personality  and  Legal  Personality..,  en 
sus  Selected  Essa.ys  (Cambridge,    1936).   230. 


39 


ERNST    H.    KANTOROWICZ 

ra  Luis  XIV  ^  fueron  tan  genuinamente  pontificales  como  el  Rev 
(aime  I  de  Inglaterra.  En  un  pequeno  diccionario  de  Derecho,  pu^ 
blicado  en  1607  yllamado  The  Interpreter,  un  capacitado  civilista. 
el  Dr.  John  Cowell.  anticipo  ciertas  teorias  politicas  con  las  que  nor^ 
malmente   Jaime   I   no  habn'a   estado  en  desacuerdo :    que   el   rey 
s.empre  es  m.ivor  de  edad :   que  no  esta  sujeto  a  la  muerte.  sine 
que  es  en  si  mismo  una  Institucion  que  vive  eternamente;  que  ei 
rey  esta  por  encima  de  las  leyes;   y  que  admite  la  legislacion  del 
Estado  solo  a  causa  de  su  benignidad  o  en  razon  de  su  juinmento 
de  coronacion  (8).  Puesto  q.ie  The  Intepreter  suscito  la  indignation 
de  los  Comunes.  de  quien  el  rey  dependia  para  lograr  su  subsidio. 
el  rey  m-smo  se  mclesto  por  las  palabras  de  Cowell.  Asi,  pues.  un 
rey  airado  fulmino  a    un   pobre   crudito   que    solo  queria   agradar 
a  su  soberano.  Jaime  I  se  quejaba,  en  una  proclama  de   i5io,  de 
que  nada   -se  deja  ahora  sin   investigar-.   ni    ..los  mas  altcs   mis- 
tenos  de  ia  cabeza  de  Dios..  ni  »los  secretos  mas  profundos  que 
pertenecen  a  las  pcrsonas  0   Estado  del   ley  y  los  pn'nc.pes,  que 
son  Dios  en  la  Tierra...   y  que  hombres  incompetentes   «escudri- 
naran  Iibremente  con  sus  escntos  los  mas  profundos  secretos  de 
la  monarqu.'a  y  de  la  gobemacion  pcKtica-  (9).  En  otras  ocasiones 


(8)    Para  el  caso  del  Dr.  John  Ccwell.  vease  Charles  H.  Mc  Ilwain 
The   PohUcal   Works   of  James   1   (Cambridge.    Mass..    ,q,8),    pp.    XXXVII 
y   sigs..    y   mas   recientemente,    Stanley    B.    Chrimes.      Dr.    John    Cowell 
EngUsh    H.stoucal    Rev.eu,.    LXIV    (,949).    461-487.    que    reprodujo    en    e! 
Apend.ce    los    pasa,es    importantes    del    libro    de    CoWELL,    Interpreter    ov 
Book   Contannng   the   Signification   of   Words,    publicado    por    vez    primen 
en  Cambridge.    ,607.   Cowell   cita  muchos   autcres   Franceses,    y   puede   pro- 
ceder   de   una   de   est-is   fuentes    el    haber   hablado   de    la      benignidad..    de' 
rey    (v.    ..Par!amento«).    Su    coetaneo    Charles    Loysean,    por    ejempio     al 
d.scut.r  la    vahdez   de    los   Coutumiers    provinciales    y   del    poder    legislative 
de  las  asambleas  provinciales  dice   tambien  que   ..sa  bonte  (la  del  rey)  pcr- 
mette   au    peuple   des   Provinces   coustumieres   de   choisir   certaines   Coustu- 
mes.   selon   lesquelles  ils   desire    vivre...   El   traite   des  Seigneunes  de    Lov  - 
SEAN  fue   impreso  por   primera  vez  en    1608:    pero  probablemente   Loysean 
no  fue  el  primero  que  uso  la  frase:    vease  William  Farr  Church-    uCon- 
stituticnal    Thought    in    Sixteenth-Century    France..    (Hanard    Hist.    Stud.. 
XLVII;   Cambridge,    1941),   J25,   n.  5-. 

(9)  Vease  Thomas  P.  Taswell  -  Langmead:  EngUsh  Constitution^- 
H,.Uory,  8.»  ed..  de  Coleman  Ph.lippson  (Londres,  .9,9).  488.  nota  (y) 
en  la  que  se  halla  impr.sa  la  mayor  parte  de  la  proclama:  cf.  Chri- 
MES,  op.  cit..  472  y  sig.  Veanse  tambien  los  Debates  parlamentarios  de 
'6,0,  ed.  por  S.  R.  Gardiner  (Camden  Society.  8,  ;  Londres.  1862).  22  v 
siguientes. 

40 


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jaime  1  se  refino  a  .mi  Prerrogaiiva  o  secreto  de  Estado> .  al  se- 
creto  del  poder  del  rey)),  o  a  "la  reverencia  misnca  que  pertenece 
a  quienes  se  sientan  en  el  trono  de  Dios..  <io).  u  ordeno  al  Spe£.ker 
de  la  Camara  de  los  Comunes  que  advirtiera  a  aquclla  Camara 
que  no  mtentara  nadie  entrometerse  (entrometerse  era  una  exore- 
sion  favcrita  del  absolutismo)  en  nada  que  concerniera  a  nuestra 
gcbemacion  o  secretos  de  Estado»  (ii). 

No  seria  facil  decidir  rapidamente  y  con  precision  de  donde 
se  denva  el  concept©  de  Secretos  de  Estado.  Podna  haber  side, 
naturalmente.  una  traduccion  del  arcana  tmperii  temptan.  de  Ta- 
cito,  « examinar  los  secretos  del  impcrio»,  y  es  posible  que  e!  culto 
laime  I  conociera  a  Tacito.  Si  embargo,  la  expresion  secretos  de 
Estado  tiene  mas  sabor  cristiano  que  de  Tacito.  aunque  la  pala- 
bra  arcana  servla  para  designar  los  mistena  paganos  >■  los  cristia- 
nos  (12).  Sin  embargo,  hay  razones  para  pensar  no  en  el  histonador 
romano,  sino  en  el  Derecho  romano  debido  a  una  ley  de  los  em- 
peradores  Graciano.  Valentino  y  Teodosio,  quienes  en  el  ano  ^9^  se 
dingfan  al  praefectus  Vrbi  Symmachus  diciendo  que  era  sacrile- 
gio>.  discutir  el  juicio  del  Principe  y  las  decisiones  de  los  fiinoc- 
nanos  (13).   Seguramente  que    «sacrilegio"    es  una   palabra  fuerte 

(10)  MclLWAIN:  Polit.  Works.  332  y  sigs..  para  e]  discurso  del  ley 
laime  en  la  Star  Chamber,  en  1616.  Debe  notarse.  sin  embargo,  que  e! 
rey  dice  tambien :  .For  though  the  Common  Law  be  a  mystery  and  skill 
best  knowen  unto  your  selues.  .■  Con  toda  segundad,  la  palabra  ..myste- 
ry •>  tiene  aqui  el  sentido  de  oficio  o  comercio.  en  el  sentido  de  .artes  y 
secretos..  lo  que  quiza  puede  sugenr  que  .secretos  de  Estado.  son  kjj 
oficios   o  comercios  que  hacen   los   reyes. 

(n)  Vease  Parhamentary  Hislorj.  of  England  (Londres.  1806).  1,  1.326 
y  sigs.,  en  donde  el  .secreto.-  es  el  matnmcnio  espanol  del  Principe  Car- 
los: vease  tambien  McIlwain:  .Constitutionalism  Ancient  and  Modern 
(rev.  ed..  lihace.  N.  Y..  1947),  112.  ef.  125.  Entrometerse  se  repite  una 
y  otra  ver:  es  el  equivalente  del  latin  se  sntromttUre ;  vease.  por  eiem- 
plo.  Mated  de  Afflictis  (abajo.  n.  22).  I.  fol.  45,  sobre  Uber  augustah.^. 
I.  4:    Ut  nulli:s  se  in'.romittaf  de  factis  et  consiliis  regis.. 

(12)  Ticrro:  Anales.  II.  36.  La  expresion.  naturalmente.  era  conoci- 
da:  veanse.  por  e)empk).  los  .Debates  ParIamentar)os»  de  1610.  pag.  5:. 
donde  se  dice  que  los  kres  que  .  se  sientan  mas  cerca  del  gobierno  y.  per 
tanto.  se  famihanzan  pnmero  con  aquellas  cosas  que  son  Arcana  tmpt- 
ni,  etc....  Para  las  interrelaciones  entre  arcana  y  nustena.  vease  Othmap 
PaRLER.  articulo  .Arkandisziplin- .  Redllexjkon  fur  AnUkt  und  ChnsUn- 
Una.  I  (1950)'   667-676.   con  una  completa  bibliografia. 

ii3>  Codtgo  ie  Teodosto,  I,  6.  9<;.  9.  29.  2:  ..Disputari  de  principali 
iudicio  non  oportet :  sacrilegii  enim  instar  est  dubitare.  an  :s  dignus  sit. 
^uem  elegerit   amperator.>. 

4* 


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I    L 


ERNSl    H.    KANTOROWIC7 

que  bordea  la  <.zona  de  silenc.o..  reservada  para  rmstenu  y  arena. 

^ra  las  acc.ones  en  la  .gle.a  y  en  el  tribunal  (X4).  No  obstante. 

sta  V  e,a  ley.  .nclu.da  en  su  Cod.go  por  )ustmuno  fue  cap.tal.  tanto 

en  la  leg-s^acon  de  Rogeno  li  de  S.cil.a.  como  de  Fedenco  II  (.5,. 

ton  /  r^'"."""^'^"  "''  ^°™^  I'S-—'-  atenuada.  por  Brae- 
ton  06).  No  de,o  de  .mpres.onar  a  Ja.me  I.  qu.en  en   :6x6.  muy 

f«i«„e^fc»    f  ,    ^   (••"'Da.    n.    I),    3B    y   sig^     o.   TreiTINGER:    Die   05. 

■  '     ^     ^-   ^'-  f""  •'"   '■epresentacion  en  e]  ate  ens 

uano    pnm.t,vo.    las    ■mportante.    observaconcs    de    Andr,    Grabar         In 

tur..  La.  nnUhr  ""f*^^'-   '•    3=:    ■•Cultus    lusntiae   silentuim    reputa- 

cur.>.  i^s  palabras  proceden   dc  Isaias    22     t-    r«.,^  1     1 

.ada   sobre  el  De..et„„,   dc  Gracm^o     I     C    V  ""'"'  "-''    •"' 

e!  hbro  de  leyes  de  Fedenro  TI   A^  j  'Napoles.    i,,^,   Hz).   Cito 

«">,.,   CD.    L.ervune,.    tx>rquc   contieiu-    las    elosas   dr    Mapim/.-    ,«    r 

■::r  »r";"  °  ■ ""°'  ™"-°'  --  —  •->■"  i  -» 

(16)     BR*rrr.M.    n     j      i.  '-"'c  ottg.,  1.  4,  ed.  Cervone.  15. 

IK)     BRaCToN:    De   iep/,„.s    ci    consuetudtnibus   Anzlme    fol     ..     .A     1 
E.    Woodbme    (New    Haven.    .qi,-ig42)     n     ,00  •      tI 


SECRETOS    DP    nSTAfX) 


cportunarnente  en  un  discurso  en  la  Star  Chamber,  se  refirio  cla- 
ramente  a  ello  diciendo :  «No  es  legal  discutir  aquello  que  concier- 
ne  al  secreto  del  poder  del  rey...  Advertia  a  su  aiiditorio  "que  se 
mantuviera  dentro  dc  sus  limites.  porque  no  era  legal  disputar  so- 
bre  la  Prerrogativa  absoluta  dc  la  corona..  Es  ateo  y  constituye 
una  biasfzmii  disciitu-  lo  que  pucv-ie  hacer  Dios...  Del  mismo  modo, 
es  presuncion  y  gran  desden  en  un  subdito,  discurir  lo  que  puede 
hacer  un  rey...»  (17).  Las  referennas  a  la  ley  de  los  tres  emperado- 
res  rcmanos  son  evidentes.  No  es  preciso  decir  que  esta  ley  se  habia 
convertido,  mucho  tiempo  antes,  en  ley  canonica  cuando  se  apli- 
c6  al  Papa  (18). 


n..   Es  dificil  seguir  los  .irgumentos  sobre  cstc  pasajc  anticipados  por  Fritz 
SCHULZ:      Bracton  on   Kingship  .   En^l.   Hisi.   Ret..    LX   (1945),    17^.   aun- 
que   su   cxamen   es  admirable   en   muchos   otro.'i   respectcs.   ScHULZ   pretendc 
■que    las   paiabras    et   factis   rtgitm   debcn    scr    interpoladas. .   Sin    embargo, 
estas   paiabras    se    hallan    bier,    atestiguadas   en    esta   conexion    por   los    dos 
Ccdipos   sicilianos   (arriba,   n.    15);    no  hay   razon   para    suponer   una    inter 
polacion,    pero    si    para    preguiuarsc    de    donde    precede    de    factis.    SCHULZ 
pretende  que   .<es  conspicuo.    el  plural  ref;um   en  ve?   dc   regis.  No  lo  creo : 
el  plural  se  desliza   porque  C.   g.   2g.   2.   que  Schulz   no  tomo  en   conside- 
racion.    tiene    el    encabezamiento      Idem    AAA.    (-Augusti)    ad    Synsmachum 
pracfectum  Urbi»,   pues   la    ley   fue   promulgada   por   los  tres  emperadores : 
Grac;ano.   Valentiniano  y  Teodosio:    y  el    plural   sc   deslizc    primero.  no  en 
el  tratado  de  Bracton.   sino  en   el  Liber   Aug.,   I.   4.  cuyo  titulo  dice:    «Ut 
nullus   se    intromittat    (vease   arriba.    n     11)   de   facUi,   seu    consiliis    reguni' 
— desliz    significativo   porque    la    pluralidad    de    emperadores    bizantinos    del 
sur  dc  Italia  no  es  raro  que  influyera  en  las  icrtptorta  y  cancillen'as  del  sur 
de  Italia—:   vease  G.  B.  Ladner  :      The  Portraits'  of  Emperor  in  Southern 
Italian  Exultet   Rolls   and   the  Liturgical  Commemoration   of   the   Emperor>., 
Speculum.    XVII    (1942).    i8g  y   sigs.,   que    mterpreta    estos    plurales   en    los 
textos  litiirgicos   del  su.    de   Italia   de   un   modo  convincente.   Como  cxplicar 
la   semeianza   de    ios   termino:.   dc   Bracton  con    el   del    libro   de    leyes   sici- 
liano   es   una   cuestion   distinta ;    pero   cuando   Bracton   cscribio   su    tratado 
(probablcmcntc   entre    i3«io    y    ij^g).    Inglaterra    estaba      rnundada-    de    sici- 
lianos:    vease    E.    KantorowicZ:      Petrus    de    Vinea    in    England..    M«tt«- 
lungen   des    Osterreichmchen    Instituts    fin   Geschtchetforchung,    LIII    (1937- 
?8).  esp.  74  y  sig.s..  81    y  sigs. 

(17)  MclLWAIN:  Poltttcal  Works  of  loines  I.  m.  y  sigs.  Vease  tambien 
ParliamenUiry  Debates  in    1610.  pag.  2j.   parrafo  3. 

(18)  La  ley  de  los  tres  emperadores  penetro  tambien  el  Derecho  ca- 
iidnico:  vease  la  glosa  .sobrc  el  Decretuni,  II.  C.  XVII.  qu.  c.  4.  Y  como 
el  profesor  Gaines  Post  me  sugirio  amablemente.  la  ley  paso  tambien  al 
Papa:  vease  HoSTIENSis :  Summa  Aurea  (Venecia.  1586),  col.  1610.  De 
crtmine  sacrilegit.   n.    2:       Similiter    de    ludicio    summi    Pontificis    disputare 


43 


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ERNST    H.    KANTOROWICZ 

«Secretos  de  Estado).,  pi.es,  procede  claramente  de  la  orbita  que 
los  juristas  de  los  siglos  xii  y  xili  Placentinus.  Azo  y  otros 
llamaron  religto  juris,  ^Religion  del  Derecho»  (i9),  y  que  en  tiem^ 
pos  de  Federico  II  fue  llamada,  a  veces.  mystenum  lustitwe  (20). 
Es  cierto  que  el  emperador  mismo  en  sus  Constituciones  sicilia- 
nas  solo  mencionaba  el  mimsterium  hstitiae,  o  mis  bien  el  sacra- 
tissimum  mmistenum  lustiUae,  que  contiaba  a  sus  funcionarios  {21). 
Pero  las  dos  palabras  —mmisterium  y  mystenum  -  eran  cast  inter- 
cambiables  desde  los  primeros  tiempos  del  cnstianismo.  y  fueron 
confundidas  perpetuamentc  en  tiempos  medievales;  un  comenta- 
nsta  posterior  de  las  Constituciones  sicilianas.  Mateo  de  Afflictis. 


non  licet...  Veasc  tambien  Oldkadus  de  Ponte  :  Consilta,  LXII,  n.  1 
(Lyon,  1550),  fol.  21  rb. :  .Dc  potestate  vestra  dubitare  sacrilegium  essct. 
arg.  C.  de  cri.  sacri....  1.  H  (C.  9,  29,  2).  Vease  tambien  Angelo  dec.i  1 
Ubaldi  en  C.  9,  28,  2.  n.  2  (Venecia.  1579).  fol.  269:  nunquam  de  inh.v 
bihtate  vel  insuficientia  (officialis)  assumpti  per  Papam  vel  per  principcm 
disputandum  est...  Tambien  GuiDO  Papa  :  ConstUa,  LXV,  n.  10  (Lyon. 
1544).  fol.  86:  .Disputare  enim  de  ipsorum  (sc.  papae  ct  imper.itoris)  po- 
testate nemini   licet:    quinimo  faciens  crimen   sacrilegii  committit... 

(19)  El  reltgto  iuris  es  discutido  conientemente  por  los  glosadores  en 
conexion  con  las  Instituciones  de  Justiniano,  Proemio:  ...  et  fiat  (el  Prin- 
cipe romano)  tan  iuris  religiosissimus  quam  victis  hostibus  triumphator... 
Cf.  Placentinus:  Summa  Instttutwnum,  ed  H.  Fitting:  Junsttsche  Schrif- 
ten  des  fruheren  MitteUlters  (Halle  1876).  222.  21;  Azo:  Summa  Institu- 
Uonum,  ed.  F.  W.  Maitland,  Selected  Passages  from  the  Works  of  Bracton 
and  Azo  (Seiden  Society,  VIII,  Londres.  1895).  6.  La  Glossa  ordmaua  (glo- 
sa  sobre  ^religiosissimus.)  ccmpara.  como  lo  hicieron  antes  Azo  y  otros. 
las  nociones  mris  reltgio  y  inumphus.  Vease  tambien  Andreas  de  Isernia 
sobre  el  Uber  auj^.,  I,  99,  ed.  Cervcne.  168:  -lustitia  habct  multas  parte... 
inter  quas  est  religio  ct  sacramentum.  .  Nam  sacramentum  est  religio: 
unde  dicitur  iurisiurandi  religio...  lunsmrandi  religio  quedo  como  termino 
tecnico  de  la  jurisprudencia.  y  es  significative  que  un  jurista  frances  del  si- 
glo  XVI.  al  referirse  a  Fil6n.  De  Specialtbus  legibus,  II :  De  lureiurandv 
religioneque,  citara  a  Fil6n,  Uber  de  turusiurandi  relipom- ;  vease  PlERRE 
GRfcoiRE:    De  RepubUca,  VI.  c.  3,  n.  2  (Lyon.   1609).    1^7. 

(20)  Pett?us  de  Vinea:  Epistolae,  III.  69.  ed.  de  Simon  Schard  (Ba- 
silea.  1566),  512:  .vendere  precio  iustitiae  mysterium  .  carta  desvirtuan- 
do  las  leyes  imperiales.  )usticia  venal,  por  supuesto,  comparada  con  la 
simonia:  vease  FELIPE  DE  Leyden  (abajo,  n.  67):  Casus,  LX.  n.  35,  pagi- 
nas  255  y  sigs.  Lucas  de  Penna:  en  C.  12,  45.  i,  n.  61.  pag.  915:  .gra- 
vius  crimen  est  vendere  iustitiam  quam  praebendam ;  legimus  enim  Chris- 
tum esse  iustitiam  (vease  Decrettum.  C.  XI.  q.  3.  c.  84.  ed.  Friedberg. 
I.  666),   non  legitur  autem  esse  praebendam.. 

(21)  Ljfcer  aug.,  I.  63,   ed.   Cervone.    124. 


44 


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al  glosar  la  ley  de  Federico,  juzgaba  aiin  necesario  expresar  exten- 
samente  la  diferencia  que  existe  entre  ministerium  y  mysterium  (22). 
Por  tanto,  parece  ofrecer  pocas  dudas  que  fue  de!  estrato  ..secretos 
de  la  Justicia»  —en  aquel  tiempo  «Jiisticia»  significaba  ..Gobier- 
no>.  o  ((Estado» —  de  donde  surgio  el  concepto  de  Secretes  de 
Estado  de  Jaime  I.  Y  fue  en  el  mismo  estrato  donde  se  origino  el 
pontificalismo  de  los  reyes  absolutes. 

El  «pontificalismo)>  leal.  pues.  parece  descansar  en  la  creencia 
legalmente  establecida  de  que  el  gobierno  es  un  mysteritim  admi- 
nistrado  solo  por  el  alto  sacerdote  real  y  sus  indiscutibles  funcio- 
narics,  y  que  todas  las  acciones  realizadas  en  nombre  de  esos  «se- 
cretos  de  Estado»  son  validas  ipso  facto  o  ex  ohcre  ope'ato,  pres- 
cindiendo  incluso  del  valor  personal  del  rey  y  de  sus  seguidores. 

cDe  donde  se  deriva  esta  actividad  pontifical,  desconocida  en 
la  alta  Edad  Media?  Seguramente,  el  rey-sacerdote,  el  rex  et  meet' 
dos,  fue  un  ideal  primitivo  medieval  de  muchas  facetas  (23),  aunque 

(2.1)  Para  el  uso  uuercambiable  de  mimslenum  y  myslenitm,  vease 
F.  BlatT:  Ministerium-Mysteriutn»,  Archivum  latimtatis  mediiaem,  IV 
(192?),  80  y  sigs.:  podri'a  anadirse  E.  DiEHl, :  Inscriptiones  latmae  Chris- 
tianae  veleres  (Berlin,  1924).  I.  4.  num.  14  (  ministeris  adque  mysteriis 
religiose  celebrandis-.);  tambien  hook  of  Armagh,  ed.  de  John  Gwynn 
(Dublin,  ign).  pag.  CCXXI  (citas  de  rcmanos  11.  25).  Mateo  de  Afflictis  : 
In  utriusque  Sialiae...  ConsMutio>ies  (Venecia,  1562),  1,  fol.  216  v..  en 
Ltber  aug.,  I,  63  (60),  niims.  4-5,  encuentra.  por  ultimo,  que  la  diferen- 
cia prmcipal  entre  las  dos  nociones  reside  en  el  hecho  de  que  •  mysterium 
non  potest  fieri  in  privatis  domibus...,  sed  ministerium  iustiti,ie  potest 
fieri  etiam  in  privatis  domibus.,  resuitado  algo  decepcionante  de  un  pro- 
metedor  csfuerzo.  Vease  tambien  A.  SONTER :  A.  Glossary  of  I^ter  Latin 
(Oxford.    1949),   s.    V.    xministerium. . 

(23)  Existe  una  considerable  faita  de  claridad  respccto  al  rex  et  sacer- 
dos  ideal.  Sin  intentar  resolver  un  problema  complicado  en  una  nota.  qui- 
za  scan  oportunas  unas  cuantas  observaciones.  En  los  siglos  cristianos  pri- 
mitivos.  cl  rex  et  sacerdos  ideal  no  tenia  nada  que  ver  con  las  consagra- 
ciones:  probablemente  era  un  superviviente  de!  titulo  imperial  Pontifex 
Maximus,  aunque  tambien  era  una  adaptacicn  de  ese  titulo  el  pensamien- 
to  cristiano  siguiendo  el  modelo  biblico  de  Melquisedec.  La  introduccion 
de  las  unciones  reales  en  los  siglos  vil  y  vill  produjo  la  nota  liturgica :  la 
nueva  coronacion  ungida  a  estilo  del  Viejo  Testamento,  ..ut  intelligat  bap- 
tizatus  regale  ac  sacerdotale  ministerium  accepisse..  (vease,  entre  una  vein- 
tena  de  frases  semejantes,  la  respuesta  de  Amalar  de  Trier  al  cuestiona- 
rio  de  Carlomagno  sobre  el  bautismo,  Patr.  lat.,  XCIX,  898,  i):  el  rey. 
como  el  neofito  bautizado,  era  rex  et  sacerdos,  aunque  en  un  sentido  es- 
peaal,   y  su  sacerdocio  era  s6Io  esoterico  y    no  clerical.   Despues  de   la   in- 


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siempre  inseparable  de  la  monarquia  con  Cristo  como  centre  de 
aquella   epoca ;    o.   si    se   prefiere,   de   la   monarquia    liturgica    lipn- 
da  al  altar,  que  por  ultimo  dio  lugar  a  una  monarquia  legalista  de 
derecho  divino.  Este  legalism©  empezo  en  el  siglo  Xll,  cuando  el 
caracter  casi-sacerdotal  no  se  legitime  ya  exclusivamente  como  un 
eEuvio  de  uncion  y  altar,  sino  como  un  efluvio  de  la  seriedad  del 
Derecho  romano  que  nombraba  a  jueces  y  abogados  sacerdotes  imti- 
tiae.   (isacerdotes  de  la  justicia»   (24).  La  antigua  solemnidad  dei 
ienguaie  liturgico  se  mezclaba  extranamente  con  la  nueva  solemni- 
dad del  idioma  de  los  juristas  cuando  Ro^erio  II,  en  el   prefacio 
a  sus  Debates  silicianos  de  (probablemente)   11 40,  llamo  a  su  co- 
leccicn  de  leyes  nuevas  una  oblacion  a  Dios.  Dignus  et  necessanum 
est,  con  estas  palabra:  empezaba  el  prefacio.  explicando  cl  prcpo- 
sito  de  la  coleccion,  y  continuaba: 

«/n  qua  oblattone.  Por  esta  oblacion  (de  leyes  nuevas)  ei 
funcionario  real  asume  para  si  mismo  determinado  privilegio 
sacerdotal,  por  lo  cual  algun  sabio  llamo  a  los  interpretes  de 
la  ley  «sacerdotes  de  la  ley»  (25). 


troduccion  de  las  unciones  de  cabeza  en  las  consagraciones  de  los  obis- 
pos,  la  coronacion  del  rey  sc  hizo  muy  parecida  a  la  ordenacion  de  un 
obispc:  el  funcionario  real  fue  clericalizado  y  se  considero  al  gobcrnan- 
te  non  omntuo  laicus.  El  Derecho  romnno  y  canonico  prodtiieron  finat- 
mente  una  interprctacicn  nueva,  ni  esotenca  ni  liturgica-clerical,  sino  lega- 
lista-clerical,  del  vieio  rex  et  sacerdos  uieal,  aunque  sin  dejar  de  activar 
por  complete  las  priniitivas  capas. 

(24)  Digesto,  I,  I,  I  :  .  Ulpjano.  Cuius  merito  quis  nos  sacerdos  ap- 
pellet:  iustitiam  namque  colimus...  ■  No  se  dice  a  quienes  llamaba  el 
jueces  y  juristas  sacerdotes;  vease,  sin  embargo,  AuLUS  Gellius.  Nodes 
Atticae,  XIV,  4:  ludicem.  qui  lustitiae  antistes  est»;   tambien  QuiNTI- 

LIANO,  Inst  Orat.,  XI,  i,  69:  .iuris  antistes».  Vease.  ademas,  la  inscrip- 
cion  CIL,  VI.  2250:  sacerdos  lustitiae,  con  la  nota  de  Mommsen  de  D.  i, 
I.  i:  tambien  Symmachus.  Ep.  X,  3.  ij.  Mon.  Germ.  Htst.,  Auct.  ant.. 
VI,  282.  28,  llama  a  los  emperadorcs  lustitiae  sacerdotes.  Para  el  pasaje 
mismo.  vease  Ulrich  von  LiJBTOW :  <.De  iustitia  et  iure» ;  Savigny  : 
Zeitschrift  fiir  Rechtsgeschichte,  rom.  Abt..  LXVI  (1948).  458  y  sigs.. 
esp.  524.   559  y  s'gs. ;   563. 

(25)  Brandileone:  Diritlo  Romano  (arriba.  n.  15),  94  y  sig. :  «In  qu.i 
oblationc  regni  officium  quoddam  sibi  saccrdotii  vendicat  privilegium;  undc 
quidam  sapiens  Icgisque  peritus  iuris  interpretes  iuris  sacerdotes  appellat. 
Comparese  Dignum  et  necessanum  est  con  el  prefacio  de  la  misa :  Vere 
dtgnum  es  iustum  est,  y  la  relativa  union  In  qua  oblattone  con  Quam  obla- 
tionem  antes  de  la   consagracion.   Ni  las  semejanzas  ni   las   variaciones  mas 

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Con  !as  palabra?  citadas  en  ultimo  liigar  el  rey  Rogerio  se  re- 
fen'a  al  parigrafo  primero  .-|el  Digesto  de  Justiniano  que.  como  es 
natural,  atrajo  la  atencion  de  los  juristas  inedievales.  Accursiiis 
(muerto  hacia  1258),  en  !a  Glosa  ordinaria  en  D.  i.  i,  i.  hace  .-n 
claro  paralelo  entre  los  sacerdotes  de  la  Iglesia  y  los  de  la  ley: 

"Del  mismo  modo  que  los  sacerdotes  administran  y  se 
ocupan  de  las  cosas  sagradas.  asi'  lo  hacemos  NOSOTROS,  pues- 
to  que  las  leyes  son  mas  sagradas  ..  Y  asi  como  el  sacerdote. 
cuando  imponc  penitencia,  da  a  cada  uno  lo  que  le  corres- 
ponde  en  derecho,  asi  lo  hacemos  NOSOTROS  cuando  juzga- 
mosi)  (26). 

IJn  juez  imperial,  [uan  de  Viterbo.  hacia  1238  en  Florencia. 
inferia  del  Codigo  que  .el  jliez  esta  consagrado  por  la  presencia  de 
Dios"  y  que  -en  todas  las  causas  legales  se  dice,  o  mejcr.  se  cree 
que  el  juez  es  Dios  con  respecto  a  los  hombres»,  de  donde  el  hecho 
de  que  e!  juez  administre  un  sacramentum  y  tenga  un  ejemplar 
de  las  Sagradas  Escrituras  sobre  sii  mesa,  servia  — o  se  intentaba 
que  sirviera—  a  los  fines  de  una  exaltacion  para-religiosa  del 
sacerdote-jurista  (27).  Un  jurista  tan  grande  ccmo  William  Du- 
rand,  el  Speculator,  que  escrib'a  a  fines  del  siglo  XIli,  citaba  a  los 
glosadores  para  decir  «que  el  emperador  podia  considerarse  como 
presbitero  segun  el  pasaje  en  que  se  dice  (D.  i,  i.  i,):    .Nosotros 

ligeras  carecen  de  sentido;   se  deseaba  la  correspondenc.a  con  la  misa.   p^ro 
absteniendose,    sin  embargo,   de   la   profanacion. 

(26)  Glosa  ordwaru..  en  D.  ..  i.  ,.  gl.  ..sacerdotes,,:  .quia  ut  sacer- 
dotes,,  sacra  mmistrant  et  conficiunt.  ita  ct  nos.  cum  leges  sunt  sanctissi- 
mae...  Ut  lus  suum  cuique  tribuit  sacerdos  in  danda  poenitentia.  sic  et 
nos  in  rudicando.,.  Un  extenso  comentano  sobre  el  tema  se  encuen.ra  en 
GUILLAUME  BUD^:  AtwotaUoncs  ,n  XXIV  Pandectarum  Ubros  (Lyon.  1,5,). 
28  y  sigs.  Cf.  tambien  para  el  paralelismo  de  index  y  sacerdos,  Angeic 
DEG1.I  Ubard,  en  C.  9,  29.  2.  n.  ,  (Venecia.  ,579),  fol.  .69:  -.Imperator 
uno  verbo  Doctorem  facere  possit.  dicendo:  "Pronuntio  te  Doctorem  " 
et  eodem  modo  papa  pronuntiat  sacerdctem...  Para  otrcs  aspcctos  del  pro- 
blema.   veasc   The  King's   Two  Bodies,   120   y  sigs. 

{27)  lUAN  DE  Viterbo:  De  regimine  civitatum,  c.  ,5.  ed  Gaetano 
Salvemen..  en:  BMwtheca  nmdica  medn  aev,  (Bolonia.  1901),  III.  226- 
^....  Nam  mdex  al.as  sacerdos  dicitur  quia  sacra  dat...:  et  alias  dicitur: 
Index  del  prcsentia  consecratur..." ;  dicitur  etiam.  immo  creditur.  esse 
deus  m  omnibus  pro  hominibus...  „  Los  pasajes  citados  estan  en  D  i  , 
■:   C.   i.    1.   14;   C.    I.  59,   2.  8. 


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ios  jueces,  somos  llamados,  con  razon,  sacerdotes»  {28).  Y  se  re- 
fiere  al  Derecho  romano  y  al  Decreto  de  Graciano,  anadiendo: 
"El  emperador  se  llama  tambien  Dontifice»  (29).  Es  altamente  sig- 
nificativo  que  se  hiciera  aquf  un  positivo  esfuerzo  para  probar  el 
caracter  no  laico,  e  incluso  pontifical,  del  rey  dentro  de  la  Iglesia. 
no  como  resultado  de  ungirlo  con  el  ba'.samo  sagrado,  sine  como 
consecuencia  de  la  comparacion  que  hace  Ulpiano  de  Ios  jueces 
con  Ios  sacerdotes.  De  cualquier  forma,  la  realeza  esta  a  punto  de 
ser  separada  del  altar,  y  el  viejo  ideal  de  la  monarquia  sacerdotal 
segi'in  el  modelo  de  Melquisedec  y  de  Cristo  fue  sustituida  gra- 
dualmente  por  un  nuevo  pontificalismo  real  segun  el  modelo  de 
Ulpiano  e  incluso  del  mismo  fustiniano. 

Que  Ios  Secretos  de  Estado  eran  inseparables  de  la  esfera  de 
la  Ley  y  de  la  jurisdiccion  no  necesita  mas  comentarios.  La  pre- 
tension a  una  jurisdiccion  universal  que  Barbarroja  (aconsejado. 
segun  cuenta  la  historia,  por  Ios  cuatro  doctores  de  Bolonia)  esta- 
tlccio  basandose  en  el  Derecho  lomano  y  feudal,  fue  un  fracaso. 
No  constituyo  un  fracaso  cuando  hizo  la  misma  pretension  el  Ro- 
mano Pontifice  basandose  en  la  epistola  i."  a  Ios  corintios,  2,  15: 
"El  hombre  espiritual  juzga  a  todos,  pero  a  el  mismo  no  lo  juzga 
iiadie».  Conocemos  muy  bien  la  historia  de  esta  maxima,  y  sabe- 
mos  como  el  -Hombre  dotado  con  el  Espi'ritu  Santo,  el  tnet(matu 
kos  del  Apostol,  fue  sustituido  finalmente  por  un  funcionario,  el 


(28)  Guil.LELMUS  DURANDUS:  Rationale  dk-inorum  oijiaorum,  II,  8,  6 
(Lyon,  1565).  fol.  55:  oQuidam  etiam  dicunt...  (D.  i,  8,  g,  3)  quod  (im- 
peratur)  fit  presbyter  iiixta  illud :  "Cuius  merito  quis  nos  sacerdotes  ap- 
pellat".» 

(29)  DuRANDUS:  loc.  cil.i  Imperator  etiam  pontifex  dictus  est.» 
Cf.  Rationale,  II,  n;  Unde  et  Romani  imperatores  pontifices  diceban- 
tur.»  Esta  es  simplemente  la  acostumbrada  cita  de  Graciano  :  Decretunh 
I,  Dist.  xxi,  c.  T,  paragrafo  8,  ed.  Friedberg,  I,  68.  El  pasaje  en  el  De- 
cretum  esta  tornado  de  IsiDORO  DE  Sevilla  :  Etimologias ,  VII,  12.  Los  ci- 
vihstas  raramente  dejan  de  alegar  estc  parrafo  del  Decretiim  cuando  dis- 
futen  las  cualidades  pontificales  y  sacerdotales  del  Principe  en  relacion 
con  Justiniano.  Insth.  II,  i.  8  (.per  pontifices  deo  consecrate  sunt-),  o  con 
D.  I,  8,  9,  I  (r.cum  principes  eum  (locum  sacrum)  dedicavit»).  Mas 
adelante,  BuD^,  op.  cit.  (arriba,  n.  26),  30,  acusa  a  Accursius  — y  con 
este  motivo  a  toda  li  escuela  dc  glosadores—  quod  ad  Witros  jyovtifices 
retiiltt:  es  decir,  per  haber  igualado  al  pontifice  antiguo  con  el  moderno 
obispo  cristiano.  Esto  hace  honor  al  sentido  historic©  tan  fuertemente  des- 
arrollado  de  Buofi.  En  aquella  dpoca,  sin  embargo,  el  daflo  estaba  hecho 
y  el  rey  se  habfa  convertido  en     pontifical". 


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obispo,  y  file  identificado  en  particular  con  el  obispo  de  Roma; 
y  como,  despiies  de  haberse  probado  por  el  Dictatui  papae  de 
Gregorio  VII  y  la  biila  Unam  sanctum  de  Bonifacio  VIII,  se  es- 
tablecio  para  todos  los  tiempos  futuros  !a  maxima  papal  que  exi- 
gia  la  jiirisdiccion  universal  en  determinadas  circunstancias :  Samta 
Sedes  Omnes  mdicat,  sed  a  nemine  ludtcatur  (30). 

Mucho  menos  conocida  es  la  posterior  y  secular  historia  de 
esta  maxima.  Baldiis,  la  gran  autoridad  juridica  del  siglo  xiv,  ob- 
servaba  que  al  emperador  se  le  llamaba  tambien  Rex,  quia  altoi 
regit  et  a  vemtne  regttur,  ..Rey  porque  rige  a  los  otros  y  no  es 
regido  por  nadie-  {31).  Mateo  de  Afflictis,  el  comentarista  sici- 
liano  del  siglo  XVi.  declaraba :  .El  emperador  manda  a  los  otros. 
pero  a  el  no  le  manda  nadie..  (32).  De  Afflictis,  por  supuesto.  no  ci- 
taba  o  interpretaba  a  San  Pablo ;  citaba  a  Baldus,  quien,  a  su  vez. 
apenas  pensaba  en  la  Epi'stola  a  los  Corintios,  sino  en  la  maxi- 
ma  de  los  canonistas :  Sancta  sedes  omnes  mdicat.  Esto  misnio 
era  cierto  probablemente  cuando  Jaime  I  declare  que  Dios  tenia 
poder  «para  juzgar  a  todos  y  no  ser  juzgado  por  nadie..,  no  sin 
anadir.  sin  embargo,  que  los  -reyes  son  llamados  dioses,  con  ra- 
z6n.>  ^33),  pues  realizan  una  especie  de  poder  divino  en  la  Tie- 

(?o)  Ve<ise  Albert  Michael  Koeniger:  .Prima  sedes  a  nemine  ludi- 
catur..,  Badrage  Zur  geschichte  des  Chnstlichen  Altertums  und  der  hyzan- 
tmischen  Uteratur;  Festgabe  Albert  Ehrhard  (Bonn  y  Leipzig.  1922).  27V 
?oo:  vease.  para  Bonifacio  VIII,  tambien  Konrad  Burdach  :  Rienzo  und 
die  geistige  Wandhig  seiner  Zeit  (Von  Mittclalter  zur  Reformation.  II, 
I.  Berlin.  191^-28),  5^8  y  sigs.  Vease  la  violenta  diatriba  del  siglo  xvi 
contra  la  maxima  papal  por  Pierre  de  BelLoy  :  Mttyens  d'abus,  entre. 
pnses  et  nullttez  du  resent  et  bulle  du  Papa  Sixte  V  (Pan's.  1586).  61  y 
siguienfes. 

(?i)  Baldus.  sobre  el  Dtgesto.  Proemio.  n.  2:5  (Venecia.  1586),  61  y 
siguientes. 

(32)  Mateo  de  Affi.ICTIS  en  5icj7.  Const.,  praeludia,  qu.  XXI.  n.  ^ 
folio  18:  ..quia  imperator  aliis  imperat,  sed  sibi  a  nemine  imperator.  ut 
dicit  Baldus  ins  pri.  y  sigs.  veteris.  en  ii.  col...  (vease  arriba.  n.  31).  Cf. 
Angelo  DEGLI  Ubaldi  en  Dig.  proem,  i  ruhr.  (Venecia.  1580).  fol.  2:  -Im- 
perator quia  imperat  et  a  nemeni  sibi  imperatur...  Tambien  Albericus  de 
Rosate  en  Dig  proem.  "Omnem".  n.  ij  (Venecia.  1585).  fol.  4:  .quia 
ipse  [imperator]  facta  subditorum  iudicat :  sua  mdicat  solus  Dcus:  sicut 
de  Papa  dicitur ...  (C.  IC.  q.  3.  c.  15)  cum  sit  iiequalis  potestas  utriusque.  ..>■ 
La  refcrencia  al  Decretum  es  un  pasaje  del  pseudo-Isidoro ;  cf.  Friedberg: 
Corpus  luris  Canomci  (Leipzig,   1879),  I,  610,  n.  224. 

(33)  Para  los  reyes  como  dioses".  vease  mi  ensayo  Deus  per  natu- 
ram.    Dcus   per   gratiam.    Harvard   Theological   Review.    XLV   (1952).    2<;v 

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rra»  (34).  Salmasius,  absolutista  de  la  buena  epoca,  tanipoco  peii' 
saba  en  la  carta  apostolica  cuando  en  su  Regal  Dejease  of  CharLei  I 
of  England,  impresa  por  vez  primera  en  1649,  dijo  clara  y  simple- 
mente:  «Es  rey  en  el  vcrdadero  sentido  de  la  palabra,  que  juzga  a 
todos  y  no  es  juzgado  por  nadie))  (35).  Lo  que  interpretaba  Salma- 
sius no  era  sino  la  teon'a  papal,  transfinendo  su  esencia  el  estado 
secular.  Literalmente,  el  principe  absolute  habla  usurpado  la  fun- 
cion  al  Romano  Pontifice;  el,  el  principe,  se  convirtio  ahora  en 
el  superhombre,  ese  homo  Spiritualts  al  que  Bonifacio  Vlil  habia  in- 
tentado  energicamente  monopolizar  en  beneficio  del  Romano  Pon- 
tifice,  con  exclusion  de  todos  los  otros  (36). 


277,  donde  he  indicado  (por  ejemplo,  174,  n.  72)  las  conexiones  con  las 
teori'as  absolutistas,  aunque  sin  penetrar  mucho  en  el  asunto  y  sin  rcco- 
nocer  hasta  que  punto  la  nocion  fuc  realmente  cardinal  en  las  teorias  de 
los  absolutistas  ingleses  y  franceses.   Vaese,   por  ejemplo,   arriba,  n.  9. 

(54)  Discurso  de  Jaime  I  en  la  Camara  de  los  Lores  y  de  los  Comu- 
nes,  21   de  marzo  de   i6oy;    vease  McIlwain:    Political  Works,  307  y  sigs. 

(35)  Salmasius:  Defensio  regia  pro  Carolo  I,  c.  VI  (Paris,  1650;  pu- 
blicado  por  primera  vez  en  1649),  169:  ..Rex  a  nemine  iudicare  potest  nisi 
a  E>eo>';  y  170:  .(...  ilium  proprium  [reges  esse]  qui  iudicat  de  omnibus 
et  a  nemine  ludicatur.- 

(36)  Vease  BurdacH:  RtenZo  (arriba,  n.  30),  211  y  sig.,  269  y  sig., 
y  passim  (Index,  s.  v.  -Ubermcnsch>.),  sobie  la  idea  del  superhombre.. 
y  su  relacion  con  el  homo  spiritualts.  La  genealogia  del  .-superhombre..  es, 
no  obstante,  muy  complicada,  aunque  no  puede  negarse  su  relacion  con 
San  Pablo  y  la  Epi'stola  a  los  Corintios.  Vease  Gregorio  el  Grande,  Mo- 
ralta,  XVIII,  c.  54  (paragrafo  92),  en  )ob,  27,  20-21 ;  Pair.  lat.  LXXVl, 
95A.  Los  comentarios  de  Gregorio  a  i.  Cor.  2,  10,  y  dice  sobre  San  Pa- 
blo: i'More  suo  [Paulus]  "homines"  vocans  omnes  humana  saptentes, 
quia  qui  divina  sapiunt,  vidilicet  "supra  hoynines"  sunt.  Videbtmus  igitur 
Deum,  SI  per  coelestem  conversatwnem  "suprahomines"  esse  mereamur.» 
La  nocicn  de  suprahomines  coincide,  asi  pues,  en  gran  parte,  con  la  de 
dU  (vease  arriba.  n.  33).  Vease  Vease  Charles  Norris  Cochrane:  Chns- 
tiantty  and  Classical  Culture  (Oxford,  1940).  113.  n.  i;  J.  Maruain:  Theo- 
nas,  Conversations  of  a  Sage  (Londres  y  Nueva  York,  1933),  189;  vense 
tambien  R.  Reitzenstein  :  Die  hellenitische  MysUrienreligionen  (3.*  edi- 
cion.  Berlin.  1927),  368  y  sigs.,  para  San  Pablo,  y  tambien  KaRl  Holl: 
Luther  (Tubingen.  1932).  222.  533.  Existe.  sin  embargo,  todavia  otra  co- 
rriente.  NiKEPHORAs  Gregoras.  que  escribia  en  el  siglo  XIV,  llama  aiin 
al  emperador  bizantino  odivino  y  hombre  sobrc  los  hombres..  'isfo;  Kni\  j^ji 
av^pn') TT.ov  a V Op, tiro;  cf.  RoDOLPHE  GuiLLAND :  ,.Le  droit  divin  a  By- 
zance..,  Eos.  XLII  (1947),  153.  Esta  corriente.  por  supuesto,  lleva  al  muy 
amplio  problema  del  theios  aner,  del  que  no  podemcs  ocuparnos  aqui 
Cf.  L.  Bieler:  HEIOv  an  IIP:  Dar  BM  des  .gtittlichen  Menschen.  m 
Spatantike  und  FnihchrisUntum   (Viena.    1935). 


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SECKETOS    DE    ESTADO 


Los  ((Secretes  de  Estado-  se  limitaron  siempre,  practicamente, 
a  la  esfera  juridica.  A  la  subida  al  trono  de  Enrique  II  de  Francia, 
en  1547.  se  introdiijo  en  la  Orden  de  Coronacion  francesa  un  parra- 
fo  antes  y  despues  de  la  concesion  del  anillo,  diciendo  que  por  este 
aniUo  ((cl  rey  se  casaba  solemnemente  con  su  reino  — le  roy  Cipon- 
sa  solemnellement  le  royaume  (37).  Esto  no  era  precisamente  una 
metafora  intrcducida  por  su  belleza,  como  quizan  ocurrio  ocasional- 
mente  en  un  discurso  de  la  reina  Isabel  o  Jaime  I  (38),  sine  por  su 
acuerdo  con  el  Derecho  fundamental  del  reino  y  con  los  conceptos 


(37)  Th.  GoDEFROY:  Le  Ceremonial  de  France  (Pan's,  1619),  348, 
para  la  coronacion  de  1547,  y  p.  661  para  parrafos  mas  detallados  de  1954- 
«ANNEAU  ROYAL:  Puree  qu'an  jour  du  Sacre  le  Roy  esponsa  solemnelle- 
ment  son  Royaume,  et  fut  comme  par  le  doux,  gracieux,  et  amiable  lien 
de  mariage  imeparablement  uny  avec  ses  subjects,  pour  mutuellement 
s'entr(e)aimer  ainst  que  sont  ks  espoux,  luy  fut  par  le  dtt  Evesque  der 
Chartres  presente  un  anneau,  pour  marque  de  ceste  reciproque  con;ocfioti.>- 
El  parrafo  de  despues  de  la  ceremonia  dice  que  el  mismo  obispo  mit  le 
dit  anneau,  duquel  le  Roy  espousoit  son  Royaume,  an  quatriesme  doigt 
de  sa  main  dextre,  dont  proccde  certaine  veine  attouchant  au  coeut".  Vea- 
se,  para  la  ultima  observacion  conccrniente  al  dedo  anular,  GraciaNO: 
Decretum,  II,  C.  XXX,  q.  5.  c.  7,  ed.  Friedberg;  I,  1106:  vease  para 
las  ultimas  fuentes  clasicas  de  esta  doctrina  (Gellius:  Noct.  Atta.,  X, 
10,  1-2:  Macrobius:  Sat.,  VIII,  13,  7-10;  Isidorc  de  Sevilla:  De  off. 
eccles.,  II,  20,  8),  Franz  Joseph  EXjLGER:  Antifee  und  Christentum,  V 
(1953),  199;  y  para  el  renacimiento  de  la  doctrina  en  Ordo  ad  facxemium 
Esponsalia  en  la  Iglesia  de  Sarum,  WILLIAM  Maskell:  Monumenta  Rttua- 
lia  Ecclesiae  Anglicanae  (2.*  ed.,  Oxford,  1882),  I,  59.  En  su  edicto  de 
1607  sobre  la  union  a  la  corona  de  su  patrimonio  privado  de  Navarra. 
Enrique  IV  alude  claramente  a  estas  rubricas  al  decir  de  los  reyes  que  le 
precedieron  que  lils  ont  contracte  avec  leur  couronnc  une  espece  de  ma- 
riage communement  appelle  saint  et  politique" ;  cf.  Recueil  general  des 
anciens  lois  franfaises,  ed.  de  Isambert,  Taillandier  et  Decrusy.  vol.  XV 
(Paris,  1829),  328,  num.  191 ;  vease  tambien  Hartung  (abajo,  n.  40),  33 
y  sigs.  y  para  la  metafora  del  Spotxsus  en  general,  BuRDACH :    R«en*o,  41-61. 

(38)  La  reina  Isabel  recordo  a  su  Parlamento  >el  compromise  de  este 
mi  matrimonio  con  mi  reino» ;  cf.  MiLTON  WaldmaN:  England's  Eliza- 
beth (New  York  y  Boston,  1933),  66.  V^ase,  para  el  rey  Jaime  I,  et 
discurso  a  su  primer  Parlamento  en  1603:  Parliamentary  History,  I,  930: 
(('*Lx>  que  Dios  ha  unido,  ningun  hombre  puede  separarlo".  Yo  soy  el 
esposo  y  toda  la  isla  es  mi  esposa  legi'tima;  yo  soy  la  cabeza  y  ella  es 
mi  cuerpo:  yo  soy  el  pastor  y  ella  es  mi  rebano.»  Vease  tambien  la 
Declaration  of  John  Pym,  Esq.,  en  John  Rushwortd,  The  Tryal  of  Tho- 
mas  Earl  of  Strafford  (Londres,  1680),  666:  ((El  [el  rey]  es  el  esposo  de 
la  Commonwealth...,  el  es  la  cabeza,  ellos  son  el  cuerpo;  es  tanta  lat 
union  que  no  puedcn  separarse  sin  destruirse  ambos.» 


51 


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legales  contemporaneos.  En  1538,  un  abogado  frances.  Charles  de 
Grassaille.  avanzo  en  sii  libro  sobre  los  derechos  regahstas  de  Fran- 
cia  la  tecn'a  de  que  ..se  contraia  un  matrimonio  moral  y  politico 
[matnmomum  morale  et  polittcum)  entre  e!  rey  y  su  republics  [^% 
Grassaille,  asi  conic  otros  jurisconsultos  del  siglo  xvi     -Rene  Cho- 
pin, en    1572  (40)  o  Frangcis  Hotnian,  en    1576  (41)   -  declararon 
que  el  poder  del  rey  sobre  el  reino  y  el  fisco  era  solo  como  el  qi:c 
tenia  un  mar.do  sobre  la  dote  de  su  mujer :    „E1  reino  es  la  dote 
inseparable  del  Estado  publico..  (42).  Rene  Chopin  llego  hasta  de- 
cir  que  el  rey  ..es  el  esposo  mistico  de  la  re^publua  (Rex  reipw 
bhcae   mysUcus  comunx)   (43).    Esto   se    ha   ccnsiderado    ccas.onal- 
mente  como  una  ..teon'a  nueva..  {44).  De  hecho.  no  obstante,  aque- 
lios  abogados  franceses,   especialmente  Grassaille,   citaban.   palabra 
por    palabra.    los    Comentarios    sobre    los    tres    iiltimos    libros    del 

(i9)  Charles  de  Grassaille:  Regaltum  Franaae  Ubn  Duo,  I.  n,s  XX 
(Pan's.  1545),  217:  .Rex  dicilur  maritus  reipublicae..  Et  dicitur  esse  ma- 
tnmon.um  morale  et  politicum:  s.cut  inter  ecclesiam  et  Praelatum  matri- 
mcuum  Spintuale  contrahuur...  Et  s.cut  vir  est  caput  axons,  uxor  vero 
corpus  v,n...  ,ta  Rex  est  caput  re.publicae  et  respublica  ems  corpus.. 
Vease  arriba.   n.   58,  y  abajo   niims.   48.    56. 

(40)  Ren£  ChopfiN:  De  Domamo  Franaae.  lib.  II.  tit.  i.  .  (Paris 
1605),  p.  205:  S.cut.  cn.m  Lege  Jul.a.  dos  es.  a  manto  inal.e'nabilis :' 
ua  Reg.um  Coronae  patnmon.um,  .nd.vidua  Reipubl.cae  dos..;  ,ambie.i 
lib.  III.  t.t.  5,  n.  6.  449:  „Rex.  curator  Re.publicae  .-.c  mysticus..  .ps.us 
cci.uns...  Vease,  para  la  version  francesa.  Choppin  :  Us  Ocuvres  (Paris. 
1635).  n.  .17  y  259.  Ve.ase  tambien  el  muy  lit.l  estud.o  de  Frit7  Har' 
TUNC:  Dw  Krone  als  symbol  der  r,wnarMschen  Herrschaft  ,m  ausee- 
heudem  M,ttelaltcr  (Abhandlungen  der  Prcuss.schen  Ak.idem.e.  ,040  mi- 
mero   h;    Berlin.    1941).    ^5   y  sig. 

(4.)  Francois  Hotman:  Francogallm,  c.  IX,  n.  5  (publ.cada  por  pr.- 
niera  vez  en  1,76:  las  pr.meras  ed.ciones  no  contienen  el  cap.'tulo  IX  y 
las  ult.mas  no  me  fueron  .iccesibles) ;  cf.  Andri?  Lemaire  :  Las  Ims  ion- 
cameniaks  ce  la  „u>narch,e  fran^atse  (Par.'s.  ,907).  95.  n.  2  para  las  edi- 
cones  (tamb.e^n  99.  n.  2)  y  p.  ,00.  para  la  metafora  del  matrimon.o, 
empleada  tamb.en  por  Pierre  Gregoire,  De  RepuhUca,  IX  ,  , ,  (Lyon 
.609).  pubhcada  por  pnmera  vez  en  ,578.  p.  267A :  el  pr.ncipe  como 
Sponsus  retpubUcae.  y  el  fisco  como  el  dos  pro  onenbus  danda 

(4^)  Vease  F.LlPPo  E.  Vassali :  .Concetto  e  natura  del  fisco..  Studi 
W..  XXV  (,908).  ,98.  nums.  ,-4.  y  .01  para  la  metafora.  El  problema 
de  la  .nal.enab.lidad  del  fisco  o  posesion  real  en  Franca  es  uno  de  los 
temas  pr.nc.palcs  en  el  excelente  estudio  de  William  F.  Curch  :  Coustu 
tutwnal   Thought   i.i    Sixteenth-Century   France,   arriba,    n.    8. 

(43)  Arnba.   n.  40:    tambien  Church:    Const.   Thought,  82. 

(44)  Vease  Hartung  :    Krone  als  Symbol,   53. 


52 


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Codigo  de  Justiniano  de  iin  jiiiista  del  sur  de  Italia,  Lucas  de 
Penna  (nacido  hacia  1320),  ciiya  obra  fue  muy  estudiada,  y  reim- 
presa  seis  veces  en  Francia  en  el  siglo  XVi  {45).  El  pasaje  de  Lucas 
de  Penna,  citado  por  Grassaille,  contiene  toda  iin  teon'a  politica  m 
nuce,  basada  en  los  Efesios,  5,  la  leccion  apostolica  de  la  misa  ma- 
trimonial ;  y  puesto  que  Ueva  a  otros  problemas  importantes  po- 
demos  emplear  los  argumentos  de  Lucas  de  Penna  como  medio  para 
una  discusion  ulterior  (46). 

Lucas  de  Penna  coinento  el  Codigo.  11,  58,  7,  sobre  la  ocupa- 
cto'n  de  tierra  desterta,  pero  exceptuaba  las  tierras  que  perteneci'an  al 
fisco  y  el  patrimonio  del  principe.  Es  el  fisco  realmente  lo  que  desea 
discutir,  y  con  mucha  habilidad  empieza  con  una  cita  de  Lucano 
que  llamo  a  Caton  urbi  pater  urhique  marttus,  "padre  de  la  ciu- 
dad  y  marido  de  la  ciudad.'  (47).  De  esta  metifora  pasa  al  tenia 
por  el  que  se  interesaron  doscientos  anos  despues  los  jurisconsul- 
tos  Franceses ;   se  expresa  asi : 

Hay  contraido  un  matrimonio  moral  y  politico  entre  el  pn'nci' 
pe  y  la  repi'iblica. 

Del  mismo  modo  que  hay  contraido  un  matrimonio  espiritual 


(45)  Veasc  Walter  Uli.Mann:  The  Medieval  Idea  of  Lau  as  repre- 
sented fry  Lucas  de  Penna  (Londres,  1946),  14.  n.  2  para  las  ediciones. 
Razonablemente,  Ullman  se  limita  a  "unos  cuantos  cjcmplos  obvioS"  de 
los  juristas  franceses  que  se  refieren  a  Lucas  de  Penna  (Tiraqucau.  lean 
de  Montaigne,  Pierre  Rebuffi,  BoHino);  su  niimero,  no  obstante,  forma 
legicn.  Grassaille  copia  literalmente  las  citas  del  comentario  de  Lucas  so- 
bre C.    II,   58,  7  en  el  pasaje  arriba  citado  (n.   jg). 

(46)  Lucas  de  Penna:  Commentaria  m  Tres  Libros  Codicis  sobre 
C.  II,  58.  7,  n.  8  y  sigs.  (Lyon.  1582),  563  y  sig.,  lugar  que  Ul.LMAN  no 
parece  haber  examinado,  aunquc  (p.  176,  n.  i)  cita  otra  metafora  de  Lu- 
cas sobre  el  matrimonio.  Vease  abajo,  n.  49,  para  el  fondo  biblico  y  ri- 
tual. Lucas  de  Penna  quiza  fue  estimulado  por  su  maestro  Cynus  de 
Pistoia,  en  C.  7.  57.  5,  n.  5  (Frankfurt.  1578).  fo!.  446:  tambien  Albe- 
ricus  de  Rosate,  en  C.  7.  37.  3.  n.  12  (Venecia.  1^85),  fol.  107.  se  refie- 
re  al  matrtmomum  intellectiiale  del  principe.  Vease,  para  un  examen  mas 
detenido.   The  Kiiiji's  Tuo  Bodies,  212  y  sigs.,  y  221   y  sips. 

(47)  Item  princeps  si  verum  dicere  vel  agnoscere  volumus. ..,  est  ma- 
ritus  reipublicae  iuxta  illud  Lucani  [Farsalm.  II.  588.'  La  historia  del  ti'- 
tu!o  romano  paley  {parens)  patriae  ha  sido  admirablomente  examin.ida  por 
A.  AlFoLDI:  Die  Geburt  der  Kaiscrlichen  Bildsymbolik :  3.  Parens  pa- 
triae". Museum  Heheticum.  IX  (1952).  204-24?.  y  X  (195?).  10^124.  El 
ti'tulo  urbt  mantus  no  es  tampoco  muy  raro,  puesto  que  se  halla  en  Pris- 
ciano,  Servius  y  otr-s.  como  lo  pucdc  demosttar  toda  edicion  bien  comen- 
tada  de  Lucano. 


53 


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ERNST    H.    KANTOROWICZ 

entre  una  Iglesia  y  sii  prelado,  asl  hay  tambien  contraido  un  ma- 
trimonio  temporal  y  terrestre  entre  el  pn'ncipe  y  el  Estado. 

Asi  como  la  Iglesia  esta  en  el  prelado  y  el  preladc  en  la  Igle- 
sia..., asi  el  pn'ncipz  esta  en  la  respublica,  y  la  reipiiblica  en  el 
pn'ncipe  (48). 

Aqiii  se  hallan  expuestas  al  desnudo  algunas  de  las  rai'ces  del 
«pontificalismo))  real.  Se  vali'a  Lucas  de  la  antiquisima  metafora 
del  matrimonio  mistico  del  obispo  con  su  rebano  para  interpretar 
las  relaciones  entre  el  pn'ncipe  y  el  Estado  (49),  metafora  amplia 
y  generalmente  d''scutida  dos  generaciones  antes  cuando  el  Papa 
Celestino  V.  al  ahdicar  en  1284,  se  «divorci6»  de  la  Iglesia  uni- 
versal con  la  que  estaba  casado  (50). 

Ademas,  Lucas  de  Penna  citaba  literalmente  un  pasaje  del  De- 
cretum,  de  Graciano :  «E1  obispo  es  en  la  Iglesia,  y  la  Iglesia  en 
el  obispo»  (51).  Estas  palabras,  procedentes  de   una  famosa  carta 


(48)  Lucas  de  Penna  :  Loc  cit.:  ■...  inter  principem  et  rempublicam 
matrimonium  morale  contrahitur  et  politicum.  Item,  sicut  inter  ecclesiam 
et  praelatum  matrimonium  spirituale  contrahitur  et  divinum...,  ita  inter 
principem  et  rempublicam  matrimonium  temporale  contrahitur  et  terre- 
num;  et  sicut  ecclesia  est  in  praelato  et  praelatus  in  ecclesia...,  ita  prin- 
ceps  in  republica  et  respublica  in  principo-  LucAS  DE  Penna  pudo  haber 
sido  orientado  por  ANDREAS  DE  Isernia,  napolitano  como  el  mismo,  quien 
('.Qui  successores  teneantur»)  n.  16,  In  usus  feudorum  (Napoles,  1571), 
21,  escribia:  «Est  princeps  in  republica  sicut  caput,  et  respublica  in  eo 
sicut  in  capite.  ut  dicitur  de  praelato  in  ecclesia,  et  ecclesia  in  praelato» 
(vcase   tambien   abajo,    n.    5^). 

(49)  La  base  es,  por  supuesto,  Efesios,  5,  25  (-sicut  et  Christus  dile- 
xit  ecclesiami>),  que  es  tambien  la  base  para  la  misa  nupcial;  los  primiti- 
ves anillos  de  boda  cristianos,  por  tanto,  mostraban  en  el  bisel  el  matri- 
monio de  Cristo  con  la  Iglesia;  vease  O.  M.  Dalton:  Catalogue  of  Early 
Christian  Anti<juities  and  Objects  from  the  Christian  East...  of  the  British 
Museum  (Londres,  1901),  130  y  131;  un  ejemplar  espccialmente  bello  se 
encuentra  en  la  Dumbarton  Oak  Research  Library  and  Collection,  Washing- 
ton, D.  C.  El  matrimonio  de  un  obispo  con  su  sede  es  una  imagcn  muy 
corriente  a  la  que  se  alude  con  las  mas  notables  palabras,  como  por  eje 
plo.  el  Papa  Clemente  IL  Ep.  VIII,  Patrol,  let.,  CXLII.  588B:  y  sob 
todo.  el  decretal  X,    i,  7,   2  (Inocente  III),  ed.   Friedberg,   II,  97. 

(50)  El  argumento  fu^  empleado  especialmente  por  parte  de  los  le- 
gistas  Franceses  en  el  juicio  contra  la  memona  del  Papa  Bonifacio  VIII; 
cf.  P.  DUPUY:  Histoire  du  diffirend  d'entre  le  Pape  Boniface  VIII  et  Phi- 
lippe k  Bel  (Pan's.  1655),  455  y  sigs.  y  passim:  BuRDACH :  RienZo,  52  y 
siguiente. 

(51)  Graciano:  Decretum,  II,  C.  VII,  q.  i.  C.  7,  ed.  Fnedberg,  I. 
568  y  sig. 

54 


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de  San  Cipriano,  se  han  considerado  siempre  como  una  piedra  an- 
gular de  la  doctrina  del  «episcopado  monarquicow  (52).  Cuando  se 
aplican  a  la  esfern  secular  — ya  por  Andreas  de  Isernia,  glosando 
la  Constitucion  siciliana  poco  despues  de  1300,  y  lucgo  por  Lucas  de 
Penna  y  Mateo  de  Afflictis  {53)—.  las  palabras  de  San  Cipriano  se 
adecuan  con  no  menos  precision  como  piedra  angular  a  la  ((monar- 
quia  pontifical)' :  El  principe  es  en  la  respublica,  y  la  rcipttblica  e.s 
en  el  principe».  Una  determinada  peculiaridad  respecto  al  cuerpo 


(52)  Cipriano:  Ep.,  66,  c.  8,  ed.  W.  Hand  (CSEL..  llh  2,  1871). 
II.  735.  5-  Valdn'a  la  pena  investigar  la  historia  de  la  imagen  de  la  reci- 
procidad  de  Cipriano.  Vease,  por  ejemplo,  Atanasio:  Oratio  III  contra 
Arrianos,  c.  5,  PGr.,  XXVI,  332A,  citado  por  G.  Ladner  :  «The  con- 
cept of  the  Image  in  the  Greek  Fathers»,  Dumbarton  Ooks  Papers,  VII 
{1953),  8,  n.  31  («La  imagen  podria  decir  muy  bien:  "Yo  [la  imagen] 
y  el  emperador  somos  uno,  yo  soy  en  el  y  el  es  en  mi'"."  O  bien,  para 
una  epoca  mucho  mas  tardia,  Petrus  DaMIANI:  «Disceptatio  synodalis», 
en  Mon.  Germ.  Hist.  LibelU  de  lite,  I,  93.  36  y  sig. ;  «ut...  rex  in  Roma- 
no Pontifice  et  Romanus  pontifex  inveniatur  in  rege)'  (pasaje  hacia  el  que 
Uamo  mi  atencion  amablemente  el  profesor  Theodor  E.  Mommsen).  La 
fuente  esencial  es,  naturalmcnie,  en  todas  estas  cosas,  Juan,  14,  10,  cuyo 
propio  modelo  es  difi'cil  determinar.  Vease,  no  obstante,  Eduard  NoRDEN: 
Agnostos  Theos  (Berlin,  1923),  305;  WILFRED  L.  KnoX:  Smne  Helkms- 
ttc  Elements  in  PrimHive  Christianity  (Schweich  Lectures,  1942:  Lon- 
dres,  1944),  78,  n.  3,  cree  que  la  exprcsion  de  San  Juan  >  vuelve  a  la 
tradicion  panteista  del  estoicismo  quiza  influida  por  la  religion  de  Egipto», 
y  cita  (p.  73,  n.  2)  al  final  de  la  nota,  como  "el  paralelo  mas  cercano  al 
lenguaje  de  San  Juan»  la  frase  que  se  encuentra  varias  veces  en  el  papiro 
magico:  ob  7c(p  e!  ifto  Kai  371!)  atj;  vease  K.  PreisendanZ:  Papyrt  grae- 
cae  magicae  (Leipzig  y  Berlin,  1931),  II,  47  (P-  VIII,  37  y  sigs.,  49  y 
siguientes)  y  123  (P.  XIII,  795,  con  alguna  bibliografia  en  la  nota).  El 
paralelo,  sin  embargo,  no  contiene  la  palabra  en  (:v),  que  de  hecho  refleja 
dos  espacios  diferentes  y  que  es  esencial  para  el  desenvolvimiento  desde 
San  Juan,  14,  10,  hasta  San  Cipriano,  y  de  aqui  a  las  doctrinas  corpo- 
rativas  de  principios  de  los  tiempos  modernos.  Vease  tambien  la  nota 
siguiente. 

(55)  Andeas  de  Isernia  :  Proemitin  super  Constitutionibus,  ed.  Cer- 
vone  (arriba,  n.  14),  p.  xxvi,  al  examinar  el  fisco  (nfiscus  et  respublica 
Romanorum  idem  sunt»),  concluye:  "Rex  ergo  et  respublica  regni  sui  idem 
sunt...,  qui  est  in  regno  sicut  caput,  respublica  in  eo  sicut  in  capiten.  La 
base  es  evidentemente  San  Juan.  14,  10  (como  en  el  caso  de  Atanasio, 
arriba  citado,  n.  52),  pero  la  alegacion  juri'dica  citada  por  ANDREAS  esti 
en  el  lugar  del  Decretum  (arriba,  n.  51).  Mateo  de  Afflictis,  en  Const., 
II,  3,  n.  62,  fol.  11,  se  refiere  a  LuCAS  DE  Penna  :  Princeps  est  in  repu- 
blica  et  respublica  in  principe. »  . 


55 


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ERNST    H.    KAtsnOROWICZ 

penetra  la  vers.on  secular  de  esta  max.ma  (54).  preasamente  por 
medio  de  Lucas  de  Penna.  como  se  mostrara  ahora.  No  obstante, 
los  junstas  de  la  corona  mglesa  bajo  la  reina  Isabel  retorc.eron  el 
senudo  de  esta  peculundad  al  md.car  que  .,e!  rey  en  su  cuerpo 
pol>t.co  se  mcorpora  a  sus  sUbditos,  y  ellos  a  el,.,  llegando  a  dar 
Francs  Bacon  una  formula  atin  mas  condensada.  acunada  por  sus 
predecesores  y  que  defm.'a  al  rey  como  .un  cuerpo  social  en  un  cuer- 
po natural,  y  un  cuerpo  natural  en  un  cuerpo  social,  (corpus  corpo- 
rattmi  m  corpore  naturah,  et  corpm  naUiraU  m  cort^cre  cvrpora^ 
to  (55).  Sin  duda.  la  acunacion  de  San  Cipriano  hab.'a  ndo  cam- 
biada.  pero  el  sello  y  el  grabado  podi'an  aun  reconocerse. 

Esta  metafora  del  cuerpo,  aunque  con  una  acentuacion  dife- 
rente,  la  expreso  por  ultimo  Lucas  de  Penna.  Cont.nuando  su  exe- 
gesis polftica  de  los  Efesios.  5.  aplico  al  nrinc.pe  el  versiculo :  .El 
hombre  es  la  cabeza  de  la  esposa,  y  la  esposa  el  cuerpo  del  hem- 
bre>,  y  conclui'a  log.camente :  .Del  mismo  modo,  el  prmcipe  es 
la  cabeza  del  reino,  y  el  reino  e!  cuerpo  del  prfncipe.  (56).  Sin 
embargo,  el  credo  corporat.vo  fue  formulado  aun  mas  sucinta- 
mente,  al  continuar: 

<'Y  del  mismo  modo  que  los  hombres  estan  unidos  espi- 
ntualmente  en  el  cuerpo  espiritual,  cuya  cabeza  es  Cristo 
asf  los  hombres  estan   un.dos  moral   y  poli'ticamente  en  la 
respubhca,  que  es  un  cuerpo  cuya  cabeza  es  el  principe..  {57). 


(54)  La  .nterpretacon  corporative  de  este  pasaje  en  un  sent.do  mis- 
t.co  era  c.ertamente  muy  antigua  dentro  de  la  Iglesia,  aunque  no  estuvo 
jundicamente  racionalizada  ante  de  los  siglos  xil  o  xill.  Para  Lucas  df  Penna 
vease  aba)o.  niims.  56  y  sig. 

(55)  Edmund  Plowden:  Commentan.s  or  Reports  (Londres.  ,8r6)  2U 
a  (W1LL.0N  V.  Berkley),  como  ejemplo  de  una  entre  una  ve.ntena  de 
expresiones  parecdas;  vease  Bacon :  .Post-nati«.  en  Works  of  S,r  Franc, 
Bacor,,  ed.  de  Spedd.ng  and  Heath  (Londres.  ,892).  VII.  667.  qu.en  eta 
a   Plowden:    Reports   2.5   (Caso  del  Ducado  de   Lancaster). 

(56)  LUCAS  DE  Penna,  Ice.  at.:  ..Item,  sicut  v,r  est  caput  uxor.s.  uxor 
vero  corpus  vr,....  „e  prmceps  caput  re.pubiicae.  et  respublica  eius  cor- 
pus.. La  eta  es  de  Efesu>s,  5.  23  y  .8;  esto  es.  pertenece  al  escnto 
apostohco  que  (arriba.  n.  49)  se  refiere  principalmente  el  rito  matrimo- 
nial y  a  las  doctrinas  corporativas  en  su  marco  pr.mero.  Vease  tambien 
ia  ,,ota  s.gu.ente.  y  arriba.   n.  38,  para  Jaime  I.  quien  cto  estos  pasajes. 

(57)  'Item,    s.cut    membra   con.unguntur   in   humano  corpore  carnai.ter. 
et    homines   sp.ntuali   corpori    spiritualite,    con.unguntur   cu,    corpori    Chns- 

56 


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Nos  encontramos  aqui  con  esa  jxsrtentosa  ecuacion  que  Ilego 
a  ser  corriente  a  mediados  del  siglo  Xlll :  eJ  corpui  reiPuhlicae 
mysticum,  encabezado  por  el  pn'ncipe,  comparado  con  el  corpiu 
eclesiae  mystvcum,  encabezado  por  Cnsto  (58).  Prescindiendo  aqui 
del  muy  obvio  paralelismo  con  los  ■  cuerpos  misncos"  eclesiasticos 
y  seculares,  que  se  ha  exammado  en  otra  conexion.  conviene  in- 
d)car  la  imjxsrtapcia  de  la  docrnna  aristotclica  sobre  la  sociedad  Hu- 
mana (o  el  Estado)  como  enndad  con  fines  morales  y  poli'ticos. 
Fue,  en  ultimo  analisis.  el  concepto  basado  en  Aristoteles,  indicado 
una  y  otra  vez  por  los  junstas,  de  que  el  Estado  era  un  corpus  mO' 
rale  ct  poUticum.  el  que  se  opuso  luego  al  corpus  mysticutn  et  s^t- 
ntuale  de  la  Iglesia.  con  ia  misma  facilidad  con  que  Dante  reunio 
en  un  comun  denominador  el  paraiso  terrestre  y  el  parafso  celes- 
tial como  las  dos  metas  de  la  humanidad  (59). 

Lucas  de  Penna,  con  su  meiodo  qutd  pro  quo,  llega  de  este 
modo  a  una  equiparacion  no  solo  del  principje  y  del  obispo.  sino 
tambien  del  pn'ncipe  y  Cnsto.  Y  el  mismo  hizo  la  comparacion 
con  Cnsto  acerbamente  clara  al  anadir : 

■  Ekl  mismc  modo  que  Cnsto  une  a  si  como  si  fuera  su 
esposa  a  una  institucion  ajena.  la  Iglesia  de  los  Gentiles  ., 
asi  el  prmcipe  ha  unido  a  el  el  Estado  como  si  fuera  su  sporj' 
sa.  que  nc  es  suya     -   (60). 


tus  est   caput     .   sic  morahter  et   politice  homines  coniungvintur   reipublicae 
quae  corpues  est.  cuius  caput  est  pnnceps.> 

(58)  Vease  'Pro  patria  mori>,  American  Historiccd  Rn-ie-u,  LVI  (1951). 
486  y  sig..  para  mas  ewmplos.  Vease  tambien  HuGUCao  DE  PISA  (muerto 
en  j2io)  que  enfrento  al  cuerpo  de  Cnsto  el  del  diablo  (  ...  na  infideles 
sunt  unum  corpas,  cuius  caput  est  diabolus»),  fr.  OnoRY  :  Fonti  cano- 
msUchr  (abaio.   n.   84),    1.    75.   n.    :.   que    anade   pasaies   parecidos. 

(59)  Para  la  relacion  de  morale  {»etico'  en  el  sentido  an&totelico)  y 
poUiirum  bastara  citar  aqui  el  Prooemium,  c.  6  de  Santo  Tomas  DE 
j^(JUINO  a  su  EipofiUo  in  Ubros  PoUticorum  Aristotehs.  ed.  de  Ray- 
mundus  M.  Spiarri  {Turin  y  Roma.  1951).  p.  i :  ■  et  huiusmodi  quae 
ad  fnoralem  sncnUam  pertinent :  manifestum  est  poUticam  scieniuim  . . 
contineri  sub  activis  (scientiis)  quae  sunt  icientiae  morale i^.  La  expre- 
sion  corpus  poUUcum  et  mysUcurn  se  halla  con  frecuencia  en  Inglaterra 
y  Francia  como  afirmacion  del  Estado:  vease.  por  eiemplo.  S.  B.  Chrimes: 
En^Ush  ConsUiuUonal  Ideas  in  the  Fifteenth  Century  (Cambridge.  1956). 
180.  185  <'la  mistica  o  cuerpo  politico'):  para  Francia.  Church.  ConstitU' 
twnal  Thought,  29.  n.  20:  54.  n.  j6:  278.  n.  16  ("le  corps  politique  et 
mysnque>).  Vease  tambien  arriba.  n.   ^7  (<'Saint  et  pcditique"). 

(60I    Lucas  de  Penna.  loc.  cit.:    .Amplius.   sicut  Christus  alienigenam. 


-'    _'    o 

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Asi,  pues,  la  venerable  metafora  del  sponsus  y  la  aponsa.  Cnsto 
y  su  Iglesia,  paso  de  lo  espintual  a  lo  secular,  adaptindosc  a  las 
necesidadcs  del  junsta  para  defmir  las,  relaciones  enrre  prmcipe 
y  Estado.  Comprendemos  ahora  por  que  los  juristas  franceses  lla- 
maron  al  rey  el  mysticus  contunx  de  Francia.  El  principe  no  solo 
usurpo  las  funciones  episcopales.  sino  que  se  convirtio  — como  pro- 
totipo  celestial  del  obispo—  en  la  cabeza  de  un  cuerpo  mistico  y 
en  su  novio. 

Con  este  misticismo  canonico  .'^e  fundio  el  mstirucionalismo  del 
Derecho  romano.  EI  verdadero  proposito  de  Lucas  de  Penna.  al 
amphar  las  metaforas  sobre  el  matrimonio,  era  ilustrar  las  peculia- 
ndades  del  fisco.  Consideraba  al  fisco  como  la  dote  de  la  re&pu^ 
hhca,  Y  sostenia  que  el  mando  era  el  linico  que  est:.ba  auronzado 
a  usar,  pero  no  a  enajenar,  los  bienes  de  su  esposa.  Comparaba. 
ademas.  los  votos  cambiados  por  el  novio  y  la  novia  en  su  matri- 
monio con  los  juramentos  de  los  reyes  en  su  coronacion  y  de  los 
obispos  en  su  ordenacion,  y  por  los  cuales  prometi'an  ambos  no 
enajenar  los  bienes  pertenecientes  al  fisco  v  a  la  Iglcsia  respecti- 
vamente  (6i). 

Aunque   seria   tentador   demostrar  como.   sm   duda   alpuna.   la 

id  est.  gentilem  ecclesiam  sibi  copulavit  uxorem,  35.  q.  1.  hac  itaquc.  sic 
et  prmceps  rempublicam.  quae  quantum  ad  dominium  sua  non  est.  cum 
ad  pnncipatum  assumitur,  sponsam  sibi  coniungit  >  Sc  refierr  nl  De- 
cretun,  6e  Graciano,  II.  C.  XXXV.  q.  I.  paraprafo  1  (Comentano 
de  Graciano  sobre  De  Civitate  Dei.  de  San  Agustin.  XV.  c.  16).  ed.  Fried- 
berg,   I.    1.263. 

(61)  Lucas  OT  Penna.  op.  cit. :  <Nam  aequiparentur  quantum  ad  hoc 
etiam  luramentum  super  his  praestitum  de  alineatione  faaa  (non)  revo- 
cando  episcopus  et  rex.  ha  et  princip.o  alienatio  rerum  fiscalium.  quae 
in  patrimonio  imperii  et  republicae  sunt  et  separate  consistunt  a  private 
patrimonio  suo.  iuste  nosatur  interdicta.>  Sipue  la  comparacion  del  fiaco 
con  el  dos  que  la  resfnthUco  confia  al  principe  en  su  matrimonio.  Vcasc. 
arriba  n.  41.  Naturalmente,  el  patnmomum  Petn  figura  como  el  dos  de 
\s  Sponsa  papal.  Roma:  vease.  por  eiemplo.  Oldrados  DE  PoNTE:  Con- 
siita.  LXXXV.  n.  i  (Lyon.  1.550).  fol.  28.  quien  amonesta  al  Papa  -m 
sanctitas  vestra  revertatur  ad  Sponsam  et  reparct  suum  patrimonium  et 
suam  dotem.  quae  multipliciter  est  collapsa.  .  Finalmente  la  doctnna  reco- 
rrio  su  curso  circular  complete  en  el  siglo  xvil.  cuando  el  Romano  Pon- 
tffice  aparecio  como  el  mantus  de  una  respuhhca  temporaits  flos  Estados 
de  la  Iglesia)  iure  pnncxpatus  y  ex  sola  ratione  dormnii  pubUci.  aunque 
como  obispo  estaba  casado  con  la  Iglesia  romana  (ianquam  inr  Eclesiae)- 
De  Luca:  Theatrum  1  de  Feudis.  disc.  61.  n.  6.  citado  por  Vassalli  : 
«Fisco>-.   20Q   larriba.   n.   42). 


«8 


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no  enajenacion  prometida  por  el  rey  en  su  coronacion  se  deriva  y 
estaba  reiacionada  con  el  juramento  episcopal  (y  en  primer  lugar 
el  juramento  de  no'enajenacion  de  los  reyes  mgleses  en  el  si- 
glo  xni)  {62),  dejaremos  esta  enojosa  cuestion,  volviendo.  por  de- 
cirio  asi.  a  los  mysteria  ftsa  que  Lucas  de  Penna,  al  parecer  de 
un  modo  absurdo.  habia  unido  al  matnmonio  mistico  de  Cnsto 
y  la  Iglesia.  Cnstc  y  el  ftsco,  sm  embargo,  no  estaban  tan  apar- 
tados  de  los  jurisconsultos  medievalcs  como  pueden  estarlo  de  nos- 
otros  (63). 

En  1441,  en  una  demanda  que  se  tramitaba  en  el  Tribunal  dei 
Exchequer.  John  Paston,  |uez  entonces  en  el  Juzgado  de  Common 
Pleas  y  al  que  conocemos  bien  como  compilador  de  las  cartas  Pas- 
ton,  pronuncio  casualmente  una  observacion  notable :  «Lo  que  no 
se  lo  Ileva  Cristo  se  lo  lleva  e!  fisco  (Quod  non  captt  Chnstui,  capii 
jiscus  (64). 

Ei  profesor  Plucknett,  docto  interprete  de  la  demanda  a  que 
nos  refenmos,  tomo  la  scntencia  al  parecer  como  una  bon  mot  de 
Paston  a  la  que  el  citaba  porque  la  consideraba  con  razon  ((dema- 
siado  buena  para  que  se  perdieran.  Pero  la  observacion  de  Paston 
no  se  habria  perdido  de  todos  modos.  En  su  coleccion  de  emble- 
mas.  piiblicada  por  primera  vez  en  1522.  e)  gran  humanista  y 
lurisconsulto  itahano  Andrea  Aiciati.  presentaba  un  emblema  que 
ostentaba  el  siguiente  mote:  Quod  non  capit  Chnstus,  rapit  fis- 
cus  (65).  Y  del  autonzado  e  mcreiblemente  mfiuyente  libro  de  Ai- 
ciati, el  mote  se  extendio  a  una  veintena  de  muy  respetables  colec- 


(021  Vcasi  m:  estudio  sobrc  .Inalienability:  Canon  Law  and  the  En- 
glish Coronation  Oaths  of  the  Thirteenth  Century  .  Siteculuni.  XXIX 
|ic)45),   488-502. 

(63)  Sm  conocer  entoncef-  ei  origen  o  la  historia  posterior  dc  est.i  com- 
paracion  examine  brevemente  el  problema  en  '>Christus-Fiscus...  Synopsis: 
Festgabe  fiir  Alfred  Weber  (Heidelberg.    1949),    225-235. 

(64)  T.  F.  T.  PluckuetT:  The  Lancastrian  Constitution).  Tudor 
Studies  Presented  to  A.  F.  PoUard  (Londres,   1924).   168.  n.   10. 

(65)  Andrea  Alqati:  EmhU-mata  (Lyon,  1551;  primera  ediaon  1523). 
pagma  158.  niim.  CXLVII.  El  mote  se  halla  en  la  edicion  de  1531 :  vease 
Henry  Green:  Andrea  AlcutU  and  the  Books  of  Emhlemi  (Londres,  1872). 
i24-  que  indica  (p.  VIII)  que  despues  de  la  publicacion  de  Alciati.  mil 
trescientos  autores  publicaron  mas  de  tres  mil  libros  dc  embiemas.  en  tanto 
que  el  original  de  Aiciati  se  tradujo  a  todos  los  idiomas  europcos.  Estoy 
reconocido  a  Mrs.  Caterina  Olsechk.  por  haber  Uamado  mi  atencion  hacia 
«1  emblema  de   Aiciati. 


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Clones  de  emblemas.  divisas  y  proverbios,  a  'os  que  fiie  tan  aficio- 
nado el   Renacimiento  (66).  Tampoco  fue  la   hon   mot   acunacion 
excliisiva  de  Paston.  Un  siglo  antes  que  el.  e!  civilista   flamenco 
Felipe    de    Leyden    habia    observado :     .,Se    pueden    comparar    los 
bienes  patnmoniales  de  Cnsto  con  los  del  fisco-.   {Bona  patnmo^ 
malm  ChrisU   et   fisct   comparantur)  {67).   Se   encuentran   observa- 
Clones  semeiante.s  en  las  obras  de  Baldus:  e  incluso  en  el  siglo  Xlll, 
Braaon  distmguia   la   res   nullms,    ,  !as  cosas  que  no  pertenecen  a 
nadie»  como  bienes  que  pertenecen  usolo  a  Dios  y  al  fisco).  (68). 
La  fuentt  de  todos  aquellos  jurisconsultos  era  el  Decretum  de 
Graciano.  en  el  capitulo  que  se  titula  :    Hoc  tolht  fiscus.  quod  non 
acciptt   Christus  {.Lo  que   Cnsto  no  lo  recibe.  el  fisco  se   !o  lie- 
va»   (69).   Graciano  tome  el    pasaje  de   un   sermon   pseudo-agusti- 
mano.  Sm  embargo,  el  mismo  San  Agusti'n  habla  tambien  sobre  el 
fiscus  de  Cristo  (70).  metafora  cuya  importancia  no  debe  estimarse 
en  poco.  porque  en  el  curse  de  la  lucha  de  la  pobreza  en  tiempos 
del  Papa  Juan  XXII,  estos  y  otros  pasajes  parecidos  Servian  para' 
probar  que  Cristo.  en  tanto  q-je  tenia  im  fiscus,  poseia  bienes  (71). 

(66)  Vease.  por  e,emplo.  K.  F.  W.  Wander:  Deutsche  Spnch-wdr- 
terlex,kou  (Leipzig.  ,867).  I.  558.  nums  54.  56.  57:  V.  ,.,02.  nume- 
ro  95.  cf.  nums.  10?.  104:  Johannes  Georgius  Seyboldus:  Sekctmra 
Aclagta  lattno-gernuimca  (Niiruberg.  ,685,  ^06:  Gustavo  Strafforello  : 
Let  Sapienza  del  mondo  o  vera  diztottano  umversale  de,  proverb,  d,  tutU 
popoh  (Turin.    188?).   II,  8^,.   S.  V.     Fiscc. 

(67)  Felipe  de  Leyden.-  De  cura  re,  puhUcae  et  sorte  pnapautts. 
I.  9.  ed.   por  R.  Fruin   y  P.  C.   Molhuysen   (La   Haya,    1915).    i^. 

(68)  La  frase  .fiscus  et  ecclesiac  aequiparantur..  se  halU  una  y  otra 
vez;  cf.  BOLDUS,  en  C.  ,0.  1.  -,.  n.  2  (Venecia.  ..586).  fol.  236.  Especial- 
mente  en  relac.on  con  la  Novela.  de  Iustiniano.  7.  2.  pueden  encontrarse 
cstas  equiparaciones:  e,.  Bartolus  :  Super  Autheutins  (Venecia.  ,567). 
fol.  ,3.  Matco  DE  AFFLIcris  cita  el  proverbio  por  los  menos  dos  veces: 
vease  en  Constit-Sial.  procluida.  qu.  XV.  n.  3  (fol.  .4).  y  en  Const  I  - 
(..de  decimis..),  fol.  53.  Braton,  fol.  14.  ed.  Woodbme.  II.  ,7  f . :  .  sed 
tantum  in  bonis  Dei   vel  bonis  fisci.. 

(69)  Decretum.  II.  C.  XVI.  qu.  7.  c.  8.  ed.  Fnedbcrg.  I.  80^.  El 
pasaie  fue  tornado  del  pscudo-Agustin.  Sermones  SupposMu.  86 
3   Patr.   lat.   XXXIX.  col.    1912. 

(70)  AGUSTfN:  Enarrationes  ...  Psalmos,  CXLXI.  17.  Patr.  lai.  XXXVII. 
^1.  191..  Todo  el  pasaie  lo  cita  c  interprets,  por  c,cmplo,  LuCAS  DF 
Penna.  op.  cit..  en  C.   10.   1,   i,  n.  7.  p.  ,. 

(71)  Los    paisaies    decisivos    son    Decretum.    II.    C.     XII.    q      i 
(..Quare  habuit   [Chnstus]   loculos  cui  angel,  minist'r.nbant,   n>s,  quia '  ecclesia 
ipsms  loculos  habiturn  er...?,)  Y  r.    ,7   (  Habeba.    Dominus   loculos.   a   fide- 


60 


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La  antitetica  yuxtaposicion  de  Crtstus  y  Ftscus  puede  parecer 
una  blasfemia  a  los  modernos,  puesto  que  las  magnitudes  no  pa- 
recen  comparables.  Es  obvio  que  los  juristas  medievales  pensaban 
y  sentian  de  un  modo  distinto.  Para  ellos  Christus  significaba  sim- 
plemente  la  Iglesia,  y  la  comparacion  giraba  sobre  la  inalienabi- 
lidad  de  los  bienes  eclesiasticos  y  fiscales,  de  los  que  pertenr-'an 
a  una  de  las  dos  nmanos  muertas»,  la  Iglesia  o  el  fisco.  Lo  que 
la  Ecclesia  y  el  ftscus  teni'an  en  comun  era  la  perpetuidad :  en  len- 
guaje  legal  <(el  fisco  nunca  muere^,  ftscus  nunquam  moniur  (72). 
Es  inmortal  como  la  Dignitas,  la  dignidad  del  pn'ncipe  o  el  rey, 
el  Papa  o  el  obispo,  que  "Hunca  mueren",  aunque  individualmente 
puedan  morir.  El  tiempo  no  podia  hacer  nada  contra  el  fisco,  como 
no  podia  tampoco  contra  el  rey,  el  rey  en  cuanto  rey.  el  rey  en 
su  Dignitas  (73). 

En  ultimo  termino,  la  'equipararion'  de  la  Iglesia  con  el  fisco 
se  remonta  a  los  tiempos  de  la  antigua  Roma  cuando  las  cosas  que 
perteneci'an  a  los  templa  — reemplazados  gradualmente  desde  el 
siglo  IV  por  las  ecclesiae —  eran  legalmente  iguales  a  las  cosas  que 
perteneci'an  al  patnmonio  sagrado  del  emperador  (74).  Por  consi- 


libus  oblata  conservans.  . . ) ;  ambos  pasajes  estan  tornados  de  AgustIn: 
In  Johannem,  12.  6  (Lorulos  habens>)  y  los  cita  el  Papa  Juan  XXII  en  sus 
decretos  contra  los  espintualistas;  cf.  Rxtrava^anles  Johamits  XXII,  ti- 
tulo  XIV.  c.  5.  ed.  Fnedberg  II,  1.230  y  sigs.  espec.  1.233.  La  palabra 
loculus,  que  significa  cofre,  se  podia  tomar  entonces  como  significando 
<fiscou;  vease  Mateo  DE  Afflictis,  op.  at.,  prael.,  XV.  nums.  7-9,  que 
trata  de  la  cuestion  de  si  Cristo  tuvo  o  no  un  fisco  en  el  sentido  propio 
de   la   palabra.   Se   examinara   todo  el   problema   aparte. 

(72)  Baldus:  Constlta,  I,  271,  n.  3  (Venecia,  1575),  fol.  81:  Res- 
publica  et  fiscus  sint  quid  etcrnum  et  perpctuum  quantum  ad  essentiam. 
licet  dispositiones  saepc  mutentur:    fiscus  enim  nunquam   moritur.' 

(73)  El  principio  Nullum  tempus  cumt  contra  regem  fue  corriente- 
mente  reconocido  en  el  siglo  XIIl  y  despues ;  vease,  por  ejemplo,  Brac- 
TON.   fols.   14.   56.    103.   ed.  Woodbine,   II.   58.    167.   293   y  passtm. 

(74)  Veanse  las  Instttuta  de  lusTlNIANO,  2,  1.  7;  tambien  O.  1.  8.  1 
y  C.  7,  38,  2.  En  feha  tan  tardi'a  como  el  siglo  v  vemos  que  se  tratan  en 
Iguales  terminos  jus  publicum  y  ius  temphrum;  vease  ARTHUR  Steinwen- 
TER :  "Uber  einige  Bedeutungen  von  tus  in  den  nachklassischen  Quellen  . 
lura,  IV  (1953).  138  y  sig.,  que  muestra  tambien  que  terminologicamentc 
ius  ecclesiae  ocupo  el  lugar  de  lus  templorum,  aunque  con  el  edicto  de 
Licinius  del  ano  313  (al  menos  en  la  forma  transmitida  por  Lactancio: 
De  mortibus  persecutorum,  48),  el  nuevo  concepto  de  corpus  Chnstianorum 
se  relaciono  con   bienes   de   la   Iglesia:    cf.    ARNOLD   Ehrhardt:      Das   Cor- 


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guiente,  Bracton  llamo  a  estas  cosas  fiscales  tambien  res  quasi  sa- 
crae  (75),  y  Lucas  de  Penna  (76)  hablo  ocasionalmente  sobre  el  jiscus 
sanctissimus,  aunqiie  en  la  actiialidad  quiza  nos  sea  mas  facil  com- 
prender  a  Baldus  que  llamo  al  fisco,  debido  a  su  inmortalidad,  «el 
alma  del   Estadoi   (Fiscus  reipublicae  anima)  {77). 

Los  jurisconsultos  atribuian,  ademas,  al  fisco,  ubicuidad  y  om' 
nipresencia:  jiscus  idnque  praeseus,  declare  Accursius  (ca.  1.2^0) 
en  una  glosa  repetida  con  frecuencia  (78),  especialmente  por  los  co- 
mentaristas  de  las  Constituciones  sicilianas  (79),  ubicuidad  que  han'a 
imposible  la  (cprescripcion  de  la  tierra  por  ausencia  del  propieta- 


pus   Christi    and    die    korporationem    im   Spatromischen    Rechtu.    Zeitschnjt 
fiir  Rechtgeschichte  rom.  Abt.,  LXXI  (1953),  299  y  sigs.  y  LXXII  (1954). 

(75)  Bracton,  fol.  14.  ed.  Woodbine,  II,  57  y  sig.,  ef.  fo!  407.  Wood- 
bine, III,  266  y  passim. 

(76)  Lucas  de  Penna.  en  C.  10,  i,  n.  2  (Lyon,  1582),  p.  5,  con  refe- 
renda a  C.  7,  37,  2 :  Sacratissimus  fiscus  y  sacratissimus  aeranum.  Estas 
cxpresiones  se  hallan  tambien.  una  y  otra  vez,  en  las  obras  de  los  juris- 
tas  franceses  del  siglo  xvi,  aunque  no  sin  intencion  de  exigir  derechos 
imperiales  para  el  rey;  f>or  ejemplo,  Choppin  (arriba,  n.  40),  II.  ti'tu- 
lo  I,  n.  2,  p.  203:  I  Sacrum  enim  existimatur,  ut  Imperiale,  sic  Regale 
Patrimonium,  quod  ideo  a  re  privata  ipsorum  Principum  separari  solet". 
Esta  es  una  de  las  numerosas  adaptaciones  de  las  prcrrogativas  imperiales 
a  las  pretensiones  reales  en  el  despertar  de  la  teori'a  rex  imperatar  in 
regno  suo  (vease  aba  jo,   n.  84). 

(77)  Baldus:  ConsiUa,  I,  271.  n.  2,  fol.  81:  .>Et,  ut  ita  loquar,  est 
[fiscus]  ipsius  Reipublicae  anima  et  sustentamcntumi'.  Esto  no  le  impide, 
por  supuesto,  decir  en  otra  ocasion  coriectamente:  <cFiscus  p)er  se  est 
quoddam  corpus  inanimatum" :  vease  Cimsiha,  I.  363,  n.  2,  fol.  118.  Era 
tambien  popular  la  comparacion  con  el  estomago  (LuCAS  DE  F>Enna,  en  C.  ii. 
58,  7,  n.  10,  p.  564)  que  se  encuentra  ya  en  CoRIPPUS :  In  laudem  lusttm, 
II,  249  y  sig.  (Mon.  Germ.  Hist.,  Auctores  antiquissimi.  III,  2,  p.  133): 
«...  cognoscite  fiscum  Ventris  habere  locum,  per  quern  omnia  membra  ci- 
bantur",  el  cual  se  remonta  a  la  parabola  de  Mencnio  Agripa,  que  tiene 
una  larga  historia;  vease  WiLHELM  NESTLE:  Die  Fabel  des  Menenius 
Agrippai>,  Klio,  XXI  (1926-27),  358  y  sig.;  tambien  en  sus  Griechische 
Studien  (1948),  502  y  sigs;  Fricolsich  Gombel:  «Die  Fabel  "Von  Ma- 
gen  den  Gliederu"  in  der  Weltliteratur»  (Beih.  z.  Zeitschr.  f.  roman.  Phi- 
lo  I.  LXXX.    Halle.   1934). 

(78)  Glossa  ordiruiria,  en  C.  7,  37,   i,  V.  "Gjntinuum". 

(79)  Marinus  de  Caramanico,  sobre  Lib.  ang..  III.  39,  ed.  Cervonc 
(arriba,  n.  14),  p.  339a:  i<...  et  sic  non  loquitur  de  fisco  qui  semper  est 
praeseus. »  Vease  tambien  Mateo  DE  Aflictis,  sobre  la  misma  ley,  n.  3, 
volumen  II,  fol.  186:  «...  nee  requiritur  probare  de  praesentia  fisci,  quia 
fiscus  semper  est  praesens.» 


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rio>.  (80).  Y  con  frecuencia  fue  Baldus  quien  dedujo  de  esas  mis- 
tenosas  ubicuidad  y  omnipresencia  del  fisco  una  conclusion  recta : 
Fiscus  est  ubique  et  sic  in  hoc  Deo  simtlis,  ael  fisco  es  omnipre- 
sente,  y,  por  tanto,  en  esto  semejante  a  Dios»  (81). 

No  debemos  equivocarnos :  este  lenguaje  no  revela,  o  mas 
bien,  no  revela  aiin  el  esfuerzo  por  "deificar)>  al  fisco  y  al  Es- 
tado ;  pero  revela  el  esfuerzo  por  explicar  mediante  terminos  teo- 
logicos  !a  naruraleza  del  fisco,  su  perpetuidad  o,  c:tando  a  Baldus, 
el  hecho  de  que  es  .juid  eterntim  et  perpetnum  quantum  ad  esen- 
ttam,  <(algo  externo  y  perpetuo  respecto  a  su  esencia»  {82).  El  re- 
verso  de  la  aplicacion  del  lenguaje  teologico  a  las  instituciones  se- 
culares  fue.  por  una  parte,  que  el  fisco  y  la  maquinaria  estatal  se 
convirtieron  eventualmente  en  semejantes  a  Dios,  en  tanto  que. 
por  otra  parte.  Dios  y  Cristo  fueron  reducidos  a  meros  simbolos 
legales  ficticios  para  exponer  la  ubicuidad  y  eternidad  de  esa  per- 
sona ficticia  que  se  llamaba  Fisco. 

Fue  siempre  aquella  Lingua  mezzo -teologica,  usual  en  los  ju- 
ristas,  la  que  elevo  al  Estado  secular  a  la  esfera  del  «secreto». 
Tambien  se  puede  decir  esto  de  aquella  extrana  personificacion. 
"la  dignidad  que  no  muere)).  Respecto  a  !a  inmortal  Dignitas  ha- 
llamos  siempre  la  misma  yuxtaposicion :  .El  rey  dice  Baldus— 
no  depende  de  nmgun  hombre,  sino  de  Dios  y  de  su  propia  dig- 
nidad, que  es  perpetua»  {83).  Siempre  fue  un  problema  de  tiampo, 
de  perpetuidad,  lo  que  hizo  comparable  la  deidad  al  fisco  o  a  la 
Dignidad.  o  al  <(cuerpo  politico  del  rey». 

Las  especulaciones  sobre  la  Dignidad  inmortal,  asi  como  la  apli- 


(80)  Vease.  por  cjcmplo.  Justiniano:  bntit.,  11,  6,  rubr. :  ,  ...  inter 
praesentes  decennio,  inter  ahsentes  viginti  annis  usucapiantur.,,  La  pre- 
sence o  ausencia  del  propietario  implica  legalmente  alguna  diferencia.  pero 
legalmente  el  fisco  esta   presente   siempre. 

(81)  Baldus  en  C.  7.  37.  ,.  fol.  37.  No  debe  olvidarse  que  tambien 
la  Iglesia  tiene  ubicuidad;  vease  Marcus  Antonius  Peregrinus  :  De  iure 
fisci  Ubri  octo  (Venecia.  161 1),  I,  2.  n.  22:  «...  quia  sicut  Romana  Ec- 
clesia  ubique  est.  sic  fiscum  Ecclesiae  Romanae  ubique  existere  oportet.. 
Vease,  sobre  la  ubicuidad  del  empcrador,  mi  ensayo  oinvocatio  nominis 
imperatoris...  BoIlef.no  del  Centra  di  Studi  Filologici  e  Unguistk,  sic 
liani.  111  (1955). 

(82)  Vease,   arriba,   n.   72. 

(83)  Baldus,  en  X,  2,  24,  53.  n.  5.  /,.  DecretaUum  volumen  conxmeu- 
tana  (Venecia,  1580).  fol.  261:  ..Unde  imperator...  non  obligatur  homini, 
sed  Deo  et  dignitati   suae,  quae  perpetua  est." 


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cacion  de  ese  concepto  paso  por  muchas  fases :    desde  el  abad  al 
obispo  y  al  Papa,  del  Papa  al  emperador  y  del  emperador  a  los 
..reyes  que   no   reconocen   superior..    (84).   Eventualmente   se   dijo 
que  la  regia  Dij^mtas  ..nunca  nuiere..  (85),  o  que  la  regia  Maiestus 
■nunca  muere..  (86).  o  se  confronto,  como  hizo  Baldus,  la  penonii 
personalis  del  dignatario  mortal  con  su  persona  idealis,  la  dignidad 
que  nunca  muere  (87).  hasta  el  punto  de  que  el  rey  frances  pre- 
tendio  que  teni'a  dos  angeles  de  la  guarda,  uno  por  razon  de  su 
persona  mdividual.   y  otro  por  razon  de  su  dignidad   (88).   Y  asf 
forzosamente  se  llego  un  di'a,  aunque  al  parecer  no  antes  del  si- 
glo  XVI.  a  la  lapidaria  formula:    Le  roy  ne  meurt  jamais,  »el  rey 
no  muere  nimca";    no  obstante  los  juristas  ingleses  de  aquel  pe- 
ri'odo  tuvieron   buen  cuidado  de   hacer  la  observacion :    «E1  rey. 
en  cuanto  rey,  no  muere  nuncai)  (89). 

Otros  juristas  compararon  la  Digmtas  con  el  mas  clasico  sim- 
bolo  de  la  inmortalidad  y  la  resurreccion,  la  legendaria  ave  Fe- 
nix  {9o).  La  comparacion  no  estaba  mal  escogida :    en  un  tiempo 


(84)  La  b.ise  es  un  decreto  de  Alejandro  III:  X.  1.  29,  14,  ed.  Fried- 
berg,  II.  162:  vease.  para  el  desarrolio  de  la  teori'a.  O.  voN  GIERKE:  Das 
deutsche  Genossenschaftsrecht  (Berlin.  1881).  III.  271.  n.  75.  Para  los  dig- 
natarlos  seculares.  vease  Baldus :  Consilia,  III.  159.  n.  ?.  fol.  45;  e  ihtd.. 
n.  4,  para  la  perpetuidad  de  la  dignidad  real  si  el  rey  >wn  cognoscit  su- 
periorem.  Para  los  on'genes  de  la  doctrina  de  los  reyes  que  no  conoccn 
superior,  vease  el  excelente  estudio  del  difunto  Sergio  Mochi  Onory  : 
Fonti  cationistiche  dell'idea  moderna  dello  stato  (publicnzioni  dell'univer- 
sita   cattolica   del   Sacro  Coure.    N.   S.    XXXVIII.   Milan.    195 1). 

(85)  Mateo  de  Afflictis,  en  Liber  aug.,  U.  155.  n.  2^  vol.  11.  fol.  77: 
"Quae   dignitas   regia   nunquam   moritur... 

(86)  Baldus.  en  X.  i.  2.  7.  n.  78.  In  Decretales,  fol.  18:  Nam  reg.a 
maiestas  non   moritur." 

(87)  Baldus:  ComiUa.  III.  217.  n.  ^  fol.  6,:  •  [personal  personalis 
quae  est  anima  in  substantia  hominis.  et  non  persona  idealis  quae  est  dig- 
nitas." 

(88)  Grassaille:  Regaltum  Franctae  lihri  duo.  I.  ius  XX  (Paris.  1545). 
210:  ..Item.  Rex  Franciae  duos  habet  bonos  angelos  custodes:  unum  ra- 
tione    suae    privatae    personae.    alterum    ratione    dignitatis    regalis... 

(89)  El  slogan  vuelve  con  mucha  frecuencia  en  los  argumentos  de  los 
juristas  ingleses  de  mediados  del  siglo  XVI ;  vease.  por  ejemplo.  Plow- 
DEN:  RepoHs,  2^?a:  .en  lo  que  respecta  a  su  cuerpo  [su  cuerpo  politi- 
co] el  rey  nunca  muere..  En  Francia  se  encuentra  a  fines  de  siglo,  aun- 
que no  debe  confundirse  con  el  grito  funerario  Le  roi  est  mart]  Vive  le 
roil,  que  tiene  un  origen  totalmente  distinto  y   no  juri'dico. 

{90)     La   comparacion.   que    yo  sepa.    .se   halla   primero  en    la   Glo.sa  or- 

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determinado  solo  habia  una  Fenix  viva ;  cada  nueva  Fenix  era 
'identica»  a  su  predecesora.  Y  seria  identica  a  su  sucesora;  adc' 
mas,  en  el  caso  de  esta  ave  — parecida  en  cierto  modo  a  los  an- 
geles — ,  la  especie  y  el  individiic  coincidian.  «E1  genero  entero 
esta  preservado  en  el  individuo»,  como  dijo  Baldus,  de  modo  que 
cada  Fenix  era  a  la  vez  todo  el  existente  <(generO'Fcnix)>.  De  aqui 
que  siendo  mortal  en  cuanto  individuo  e  inmortal  como  especie, 
el  ave  Fenix  pudiera  pretender  ser,  si  es  que  pretendia  algo,  el 
prototipo  de  la  cCorporacion  absoluta»  (9i). 

En  las  especulaciones  sobre  la  Dtgnitas  teologica,  las  metaforas 
fueron  tambien  eficaces,  e  incluso  e!  substrate  cristologico  es,  con 
frecuencia,  completamente  inequivcco.  Santo  Tomas  de  Aquino 
— combinando  las  doctrinas  aristoteiicas  sobre  el  organon,  o  ins- 
trumentum,  con  un  credo  de  origen  bizantino  que  conocio  a  traves 
de  Juan  de  Damasco  —  habi'a  creado  su  doctrina,  segun  la  cual, 
la  humanitas  Christi  era  el  instrument  urn  divinitatis  y  con  ello  el 
mstrumento  de  la  frincipa/ii  causa  cjjiciens,  que  era  Dios  (92). 

Esta  doctrina  paso  tambien  a  los  jurisconsultos  y  se  aplico  a 
sus  teorias   politicas.    Equipararon   estos   la   Dignitas   «que   nunca 


liinaria  de  Bernardo  de  Pai.Ma  a  los  Decretos  gregorianos;  vease  gl.  '^sub- 
stitutumo,  en  X,  i,  29,  14.  Vease,  adetnas,  JOHANNES  Andreae:  In  De- 
cretalium  libros  novella  (Venecia.  1612),  fol.  206-207,  en  X,  i,  29,  14, 
niims.  30-31,  gl.  ((Phenixx;  Baldus,  en  el  mismo  decrcto,  n.  3,  In  De- 
cretales,  fol.  107,  que  deduce  filosoficamente  la  conclusion  recta:  oEst 
autem  avis  unica  singularissima,  in  qua  totum  genus  servatur  in  indivi- 
duo." La  comparacion  es  mas  notable  de  lo  que  se  puede  insinuar  aqui. 
Vease  Jean  Hubanx  y  Maxime  LeroY:  Le  mythe  du  Phenix  (Lieja  y  Pa- 
ris, 1939),  y  las  importantes  observacioncs  sobre  este  estudio  por  A.  J. 
Festugiere:  «La  symbole  du  Phenix  et  la  mysticism  hermetique»,  Mo' 
numejits  Piot,  XXXVIII  (1941),  147-51,  con  lo  que  se  debe  comparar 
Jean  de  FerrE  Rouge:  Tractatus  de  iure  futun  succesoris  legitimi  in  re^ 
gits  hereditatibus,  esp,  I  parte,  art.  2,  en  el  apendice  de  F.  Hotman,  Con- 
silia  (Arras,    1586),   35  y  sigs. 

(91)  Maitland:    Selected  Essays,   73-127   y  passtm. 

(92)  El  tema  ha  sido  tratado  de  un  modo  acabado  por  Te<3filo  Tschip- 
KE :  Die  menschheit  Christi  als  Heilsorgan  der  Goltheil  unter  hesonderer 
Beriick-sichtigung  der  Lehre  des  HeiUgen  Thomas  von  Aquino  (Freibur- 
ger  Theologische  Studien,  LV.  Freiburg,  1940) ;  vease  tambien  M.  Grab- 
MANN:  "Die  Lehre  der  Erzbischofs  und  Augustinertheologen  Jacob  von 
Viterbo  (muerto  hacia  1307-8)  vom  Episkopat  und  Primat  und  ihre  Bc- 
ziehug  zum  Heiligen  Thomas  von  Aquinon,  Episcopus :  Studien  Uber  das 
Bischofsamt...  Kardinal  von  Faulhaber...  dargehrachi  (Regensburg.  1949), 
190,  n.  10  para  mis  literatura  sobre  el  tema. 


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inuere»  con  la  Divinitas,  y  el  ciierpo  mortal  natural  del  dignata- 
no  con  la  humamtas ;   y  basandose  en  esto.  pudo  escribir  Baldus : 

"Reconocemos  aqui  la  dignidad  como  lo  pnncipalis  y  la 
persona  como  lo  instrumentalis.  Por  tanto,  el  fundamento  de 
una  accion  es  la  Dtgnttas  misma,  que  es  perpetua»  (93). 

O,  cuando  examina  las  dos  personas  que  concurren  en  el  prin- 
cipe,  escribe : 

"Y  la  person  I  (individual)  del  rey  es  el  argamim  et  ius- 
tntmentum  de  esa  otra  persona  intelectual  y  publica.  Y  esta 
persona  intellectualis  et  publica  es  la  que  realiza  prmcipalu 
ier  las  acciones»  (94). 

Comprendemos  ahora  cl  metcdc  y  podemos  comprender  tam- 
bien  de  donde  se  deriva  el  substrato  eclesiastico  que  con  tanta 
frccuencii  se  percibe  en  los  informes  y  alegatos  de  !os  juristas 
de  la  Corona  inglesa  en  los  liltinios  tiempos  de  la  dinastia  Tudor. 
Reconocemos  inmediatamente  la  doctrina  eclesiastica  del  cgrpm 
mysticum  cuando,  por  ejemplo,  uno  de  los  jueces  opinaba  que  el 


(9i)  Baldus:  Cons.ha,  III.  ,.,.  „.  6.  fd.  ^4 :  .,Ib.  attend.mus  dign,- 
tatem  tanquam  pnncipalem  et  personam  tanquam  instrumentalem.  Undt 
fundamemum  actus  est  ipsa  dignitas  quiae  est  perpetua.-  En  el  mismo 
parrafo  hace  tambien  la  distincion  -quod  persona  sit  causa  inmediata. 
dignitas  autem  sit  causa  remota...  por  dondc  podemos  recordar  que  a  mc- 
nudo  se  dice  que  Dios  actiia  (por  e|emplo.  en  las  elecciones)  como  la  cau- 
sa remota. 

(94)  Baldus:  Comtha.  III.  ,„.  n.  6.  fol.  45:  ...  loco  duarum  pcr- 
sonarum  Rex  fungitur...  Et  persona  regis  est  organum  et  instrumentum 
illius  personae  intellectualis  et  publicae.  Et  ilia  persona  intellectualis  et 
publica  est  ilia,  quae  principaliter  fundat  actus:  quia  magis  attenditur 
actus,  seu  virtus  principalis,  quam  virtus  organica..  Comparcse.  por  ejem- 
plo,  Santo  Tomas:  Summa  theologiae.  llla,  q.  LXII,  a.  5.  resp. :  Prin- 
cipalis autem  causa  efficiens  gratiae  est  ipse  Deus,  ad  quern  comparatur 
humanitas  Christi,  sicut  instrumentum  coniunctum»;  o.  Ilia,  q.  VII,  a.  i 
a  3:  (.Quod  humanitas  Christi  est  instrumentum  divinitatis...  tanquam 
instrumentum  animatum  anima  rationali...  La  transicion  a  la  aplicaci6n 
luridica  de  esta  doctrina  se  puede  hallar  quiza  en  el  mismo  Santo  Toma. 
cuando  escribe  (Ilia,  q.  VIII,  a.  2):  ..In  quantum  vero  anima  est  motor 
corporis,   corpus  instrumentaliter  servit   animae.» 


66 


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SECRETOS    DE    ESI  ADO 

suicidio  era  un  crimen  no  solo  contra  Dios  y  la  natiiraleza.  sino 
tambien  contra  el  rey,  «porqiie  el,  que  es  la  Cabeza,  ha  perdido 
uno  de  sus  miembros  misticos-  {95).  Lo  mismo  se  puede  afirmar. 
aiinque  es  qiiiza  menos  cbvio,  de  la  terminolog'n  de  los  juristas 
ingieses  siempre  que  hablan  del  rey  como  individuo  y  del  rey  en 
cuanto  rey,  y  luego  corrientemente  suelen  hablar  de  los  "dos  cuer- 
pos>^  del  rey,  aun  cuando  alguna  vez  se  equivocaban  diciendo  ..dos 
personaso;  despues  de  todo  no  eran  nestorianos  y  Sir  Edward 
Coke  y  otros  observaron  cautamente  que  aunque  el  rey  tenia  «dos 
cuerpos)),  solo  «tenia  una  persona.  (96).  Reaimente  tenemos  que 
remontarnos  al  siglo  XH.  cuando  la  Iglesia  aparecio  por  primera 
vez  como  un  corpus  mysttcum  (9y),  y  a  predicadores,  tales  como 
Simon  de  Tournay  c  Gregoric  de  Bergamo,  para  encontrar  algu- 
nas  formulacionei  tLologicas,  repetidas  despues  con  frecuencia,  del 
tipo  siguiente : 

«Hay  dos  cuerpos  de  Cnsto :  el  cuerpo  material  humano 
que  recibio  de  la  Virgen  y  el  cuerpo  espiritual,  constituido 
Como  colegio  de  la  Iglesia..  (98). 

«Un  cuerpo  de  Cnsto.  que  es  il  mismo.  y  otro  cuerpo. 
del  ciial  es  la  cabeza»  (99). 

Y  con  estas  y  otras  defmiciones  parecidas  de  los  cuerpos  indi- 
viduales  y  colectivos  de  Cnsto  podemos.   pues.  comparar  fes  dis- 

(95)  Plowden:     Reports,    261:    MaitlanD:    Selected   Essays,    no    n     2 

(96)  Coke,    en    Cairn's   Case    (Reports.    VIJ,    .0   a),    d.stingue    leolog- 
camente.    y  hasta  cnstologicamente.   al  decir  que  el   rey  aunque  tiene   ..dos 
cuerpos..     (y     ,dos     capacidades  ).     .solo     ticne     una     personn-.     Maiti  and 
op.  ctt.,   no,  n.  4. 

(97)  Vease.  ademas  de  Lubac  (nota  siguiente),  G.  B.  Launer  •  „As- 
pects  of  Mediaeval  Thought  on  Church  .^nd  State,.,  Rez^ew  of  PoUUcs, 
IX  (iQ47),  40J  y  sigs.,  espec.  414  y  sig. 

(98)  Simon  de  Tournai,  citado  por  Henry  de  Lubac  :  Cor^,  Mys- 
ttcum (Pan's,  ,949).  122,  n.  29:  ..Duo  sunt  corpora  Chnsf :  Unum  mate- 
riale,  quod  sumpsit  de  virgine,  et  spirituale  collegium,  collegium  eccle- 
siasticum...   Vease  tambien.   ibid,  n.   30. 

(99)  Gregorio  de  Bergamo:  „De  ventate  corporis  Chnsti..,  c.  ,8. 
ed.  H.  Hurler.  Sanctorum  Patrum  opucula  electa  (Innsbruck,  1879).  vo- 
lumen  XXXIX.  75  y  sig.:  „Alliud  esse  novimus  Chirsti  corpus,  quod  vi- 
dehcit  ipse  est,  aliud  corpus,  cuius  ipse  caput  est...  Cf.  Lubac,  op  cit 
185  (con  el  n  ,55),  tambien  12^  y  sig..  y  pass,,,:,  para  muchos  mis 'eiem' 
plos  del  duplex  corpus  Christt. 


fi7 


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ERNST    H.    KANTOROWICZ 

tinciones  legalistas  de  los  jueces    rudor.  qu.encs  apuntaron  repe- 
tidamente  que 

"  .ei  rey  tiene  dos  cuerpos,  de  los  cuales  uno  es  un  cuer- 
po  natural,..,  y  en  este  el  esta  sometido  a  las  pasiones  y  a 
la  muerte  como  lo  estan  los  hombres;  y  el  otro  es  un  cuerpo 
poh'tico  y  sus  miembios  son  sus  subditos,  y  el  y  ellos  juntos 
componen  la  corporacion  y  el  esta  incorporado  a  ellos  y  ellos 
a  el,  y  el  es  la  cabcza  y  ellos  son  los  miembros :  y  este  cuer- 
po no  esta  sujeto  a  las  pasiones  y  a  la  muerte.  oues  con  res- 
pecto  a  este  cuerpo,  el  rey  nunca  muere  (loo). 

Creo  que  fue  en  estos  estratos  de  pensamiento  donde  se  ori- 
Sino  el  concepto  absolutists  de  .secretos  de  Estado.  y  que  cuan- 
do  por  ult.mo  la  Nac.on  se  apodero  de  las  funciones  pontificales 
del  pnncpe.  el  moderno  Estado  absolute,  mcluso  sin  prmcipe  es- 
tuvo  en  condiciones  de  hacer  exigencias  como  si  fuera  una  Iglesia. 

Ernst  H.  Kantorowicz 


ResuMe 

Les  Mysteres  de  I'Etat,  comnu  un   concept   de  I'Absoluttsme, 
ont  un  fondement  medieval.  C'est  le  dermer  rejeton  de  cet  htbns^ 
me  spmtuel,  un  resultat  de  k  serve  des  relations  entre  I'EgUse  et 
I'Etat.   qu'on   peut   trouver   dans   chaque   sthle   du    Moyen    Age 
ayant  attire  I'attention  des  histonens  pendant  des  annees 

On  pent  se  rapprocher  plus  facilement  du  probleme  basique  en 
posant  une  simple  question:  Par  quelles  voies  et  par  quelles  tech^ 
mques  peut  etre  transfers  le  spintuel,  arcana  ecclesiae  a  I'Etat  pour 
inoduire  le  secular  arcana  imperii  de  I'absolutisme? 

Sous  I'lmpact  des  relations  entre  les  glossateurs  et  commen- 
tateurs  cannomstes  et  civilistes,  qui  n'existaient  pas  dans  la  pre- 
miere epoque  du  Moyen  Age,  pris  corps  ce  qui  jut  appelle  plus 


Jr^^°'^''"''   ^'^''  '"'•  '■''•'^''  '^'"•'i^"  ^  Sir  W,LL.AM  Black- 
.STONE:   Commentaries  on  the  Laws  of  England,  I.  p.  249. 

68 


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SECRETOS    DE    ESTADO 

tard  "Les  Mysteres  de  I'Etat"  et  qu'aujourd'hut  dam  im  sens  plus 
general  on  appelle  "La  Theologie  Politique". 

II  est  evident  que  les  Mysteres  de  I'Etat  etaient  inseparables 
du  domame  de  la  loi  et  de  la  jundictwn.  lis  etaient  toujaurs  im,s 
a  la  loi  et  a  la  juridiction.  Rene  Choppin  a  dtt  que  le  rm  ''est 
I'epoux  mystique  de  la  respuhlica". 

C'est  ici  que  I'on  per^oir  la  grande  equation,  hahituelle  au 
Moyen  Age  et  au  XIW"-  siecle:  le  corpus  reipublicae  mysticum. 
a  la  tete  de  laquelle  se  trouve  jesuchnst. 

C'est  de  ce  dernier  estrate  de  la  pensee,  que  I'auteur  croit  que 
le  concept  absolutiste  "Mysteres  de  I'Etat"  prit  son  ongine  et  c'est 
en  dernier  lieu  que  la  Nation  arriva  jusqu'aux  souliers  pontificaux 
du  Prince;  le  moderne  Etat  Absolut,  que,  meme  sans  un  Pnnce, 
il  pouvoit  fane  ses  petitions  comme  tine  Eglise. 


SUMMARY 

Mysteries  of  State  as  a  concept  of  Absolutism  has  tts  mediaeval 
background.  It  is  late  offshoot  of  that  spiritual-secular  hybrtsni 
uhich.  as  a  result  of  the  infinite  cross  -  relations  betueen 
Church  and  State,  may  be  found  m  every  century  of  the  Middle 
Ages  and  has  deservedly  attracted  the  attention  of  historians  for 
many  years. 

The  basic  problem  may  be  approached  most  easily  by  posing 
a  simple  question-.  Hon;  by  ichat  channels  and  by  what  techm- 
ques,  were  the  spiritual  arcana  ecclesiae  transferred  to  the  state 
as  to  produce  the  new  secular  arcana  imperii  of  absolutism? 

Under  the  impact  of  the  exchanges  between  canon  and  civt- 
lum  glossators  and  commentators  —all  but  non-existent  in  the 
earlier  Middle  Ages—  something  came  into  being  which  then 
was  called  "Mysteries  of  State",  and  which  today  in  a  more  gene- 
ralizing sense  is  often  termed  "Political  Theology". 

That  the  Mysteries  of  State  were  inseparable  from  the  sphere 
of  law  and  jurisdiction  demands  no  further  comment,  because  they 
were  practically  always  bound  to  the  legal  sphere.  Rene  Choppin 
actually  went  so  far  as  to  say  that  the  king  "is  the  mystical  .fpouse 
of  the  respuhlica". 


69 


n    J    u    n 
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ERNST    H.    KANTOROWICZ 

Here    ue   envtsage    that   portentous    equation,   uhrch    became 
^usto^naryjound  the  mMle  of  the  thnteenth  century.    hZ 
pus  re,publ.cae  mysticum.  headed  by  Christ 

the'\b!T.    ""'   ''""'"   "f   '^"'*^^'    '^''    '^^   '^-^hor   beUeves 
/  rmce.  uas  enabled  to  make  clmms  hke  a  Church. 


70 


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HARVARD  UNIVERSITY 

Cambridge  38,  Massachusetts 


K21  Eliot  House 


March  5,    1954 


Professor  Ernst  H.  Kantorowicz 
Institute  for  Advanced  Study- 
Princeton,  New  Jersey 

Dear  Kantorowicz: 

Many  thanks  for  your 
good  letter  and  for  the  article.   Please 
pardon  me  if  in  the  pressure  of  business 
which  is  upon  us  all  here,  at  this  time 
of  year,  I  am  a  little  slow  in  being 
able  to  answer  you  definitely.   I  need 
not  say  that  there  is  no  question  of  the 
value  of  any  article  from  you  but  only 
the  one  which  you  mention  of  its  suita- 
bility for  this  particular  journal.   I 
shall  want  to  read  it  carefully  myself 
and  to  get  at  least  one  colleague  to 
read  it . 

Your  trip  to  Greece 
soimds  most  enviable.  I  have  long  had 
a  desire  to  see  Delos  and  Thera.  Your 
choice  of  an  ideal  title  is  excellent; 
but  I  would  have  to  consider  as  an  alter- 
native Cardinal  Prefect  of  the  Vatican 
Library, 

George  Williams  has  been 
doing  verywftll  indeed.   It  will  be  pleasant 
to  see  you  in  iway,  all  being  well  and  I  hope 
that  you  will  keep  a  Monday  free  to  dine 
with  the  Society.   It  is  splendid  news  that 


n    J    L     J 

U     L      J     J 


your  book  Is    to  go   to  Press    so  soon   and   i 
am  sure    that  your  paper   at  D.O.  will  be 
well  worth  the    trouble    It    takes   you. 

By  the  way   in   support  of    the   view   that 
^5;?  !?^??°^.^^   metaphorical  you  will  have 
p     100  W^   f'ragment   of  Moschion  in  Stob.    I  8.38 


Yours    ever. 


CUjlJL.,  ^     NJ 


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TOKYO    Aiahl   Bulldliit 

VIENNA    tl)    Loewelstrasse  8 


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NOTHING  HAPPENS  TWICE 

Politics  would  be  much  simpler  If, 
like  the  weather,  its  trends  could 
be  scientifically  predicted.  Unfortu- 
nately, even  the  Weather  Bureau 
sometimes  errs  when  it  encounters 
hurricanes,  and  the  political  predic- 
tors are  far  less  reliable.  Wind  from 
the  east,  or  wind  from  the  west;  we 
scarcely  know  in  advance  how  it  is 
going  to  blow  and  how  strongly.  There 
is  a  belief  that  the  party  in  power 
always  loses  some  votes  in  Congress 
in  a  midterm  election.  Usually  it  does, 
but  nobody  can  be  sure  how  many. 
Last  Tuesday  it  wasn't  very  many. 
Last  Tuesday,  for  example,  did  not 
resemble  1946,  when  the  Democratic 
majority  in  the  House  dropped  from 
243  to  188.  To  go  farther  back,  it  did 
not  resemble  1938,  when  the  Demo- 
cratic majority,  though  still  main- 
tained, dropped  from  333  to  262. 

The  truth  is  that  this  is  a  country 
and  an  age  of  great  change — so  much 
so  that  we  could  say  pretty  confi- 
dently that,  politically  speaking,  noth- 
ing happens  twice.  The  old  influences 
are  affected  by  new  influences.  Popu- 
lation grows  but  it  does  not  grow 
evenly.  Centers  of  cities  lose  to  out- 
lying districts.  New  industrial  areas, 
as  in  Detroit  and  still  more  recently 
in  Los  Angeles,  overshadow  the  old 
ones.  Southerners  come  North  with- 
out losing  their  Southern  sentiments. 
Easterners  go  West  without  losing 
their  Eastern  sentiments.  What  shall 
we  make  of  the  people  of  Oklahoma 
and  Arkansas  who  went  to  California 
during  the  great  depression,  settled 
there  and  now  vote  there  ?  What  are 
they  doing  to  the  returns  from  Cali- 
fornia? Certainly  this  is  something 
not  easy  to  determine  even  if  one  has 
an  adding  machine  big  enough  to  fill 
Grand  Central  Terminal  and  as  com- 
plicated as  the  Milky  Way. 

If  we  look  back  over  a  series  of 
midterm  elections  we  detect  an  ebb 
and  flow  in  the  powers  of  the  great 
parties  even  when,  as  was  actually 
the  case,  the  Republican  party  held 
control  for  twenty-four  years  from 
1860  to  1884  and  the  Democratic  party 


j\    MR,  DAVIES'  DISMISSAL 

After  what  former  Ambassador 
George  F.  Kennan  describes  as  a 
"long  ordeal  of  unfortunate,  repeti- 
tious investigations  and  uncertain- 
ties," John  Paton  Davies  Jr.,  career 
diplomat  of  twenty-three  years'  ex- 
perience, has  been  dismissed  from  the 
federal  service.  In  his  statement  on 
the  final  action  taken.  Secretary 
Dulles  i>oint3  out  that  Mr.  Davies' 
loyalty  is  not  in  question  but  that  his 
"judgment,  discretion  and  reliability" 
are  in  question. 

For  this  reason  Mr.  Davies  is  not 
only  deprived  of  a  salaried  position, 
but  also  of  the  pension  to  which  he 
would  have  been  entitled  after  four 
more  years  of  service.  In  other 
words,  though  he  is  not  charged  with 
committing  a  crime,  he  is  being  sub- 
jected to  a  severe  financial  penalty. 
Secretary  Dulles  concurs  with  the  de- 
cision of  a  security  hearing  board  of 
five  members  that  "the  continued  em- 
ployment of  Mr.  Davies  is  not  clearly 
consistent  with  the  interests  of  the 
national  security."  This  is  about  as 
negative  a  way  of  stating  a  reason 
for  action  as  could  be  readily 
imagined. 

In  a  letter  addressed  to  Lieut.  Gen. 
Daniel  Noce,  chairman  of  the  secu- 
rity hearing  panel,  Mr.  Davies  out- 
lines his  opinions,  attitudes  and  re- 
ports over  a  period  of  years.  It  is 
fairly  clear  from  this  letter  and  from 
the  statements  of  Mr.  Dulles  that 
Mr.  Davies'  offenses,  if  this  is  the 
right  word,  were:  first,  a  difference 
of  opinion  as  to  a  proper  American 
policy  in  China;  second,  associations 
with  known  or  suspected  Commu- 
nists; third,  a  frank  expression  of 
opinion  to  persons  outside  the  Depart- 
ment of  State,  presumably  newspaper 
men.  It  was  Mr.  Davies'  belief,  as  his 
letter  emphasizes,  that  it  was  diffi- 
cult for  a  diplomat  to  know  enough 
about  communism  without  knowing 
Communists. 

In  the  absence  of  any  testimony 
except  that  given  by  Mr.  Davies  him- 
self in  his  letter  it  is  impossible  for 
the  public  to  condemn  Mr.  Davies  or 
to  exonerate  him.  He  himself  has 
expressed  a  willingness  to  have  the 
whole  record  made  public.  The  State 
Department  at  this  writing  has  not 
been  so  willing.  Mr.  Davies  is  dis- 
missed after  what  is  essentially  a  star 
chamber  proceeding. 

The  Davies  case  is  not  likely  to  be 
a  good  recruiting  argument  for  the 
State  Department.  We  need  diplomats 
of  courage  and  intelligence  in  all 
levels  of  the  service.  These  almost 
furtive  proceedings  do  not  attract 
such  men.  Voltaire  said  when  the  Eng- 
lish shot  Admiral  Byng  for  being  too 
cautious,  that  they  doubtless  did  it 
to  encourage  the  others.  But  this 
principle  is  not  any  sounder  today 
than  it  was  two  hundred  years  ago, 

A  SYMBOL  IS  REVIVED 


mi  let, 

ince,  about 
hai   and  ar 
Formosa,    i 
opposite    th 
airfields  at 
is  an  impor 

A  third  f 
is  halfway  t 
the  Tachens, 
River  off  th 
city  of  Food 
Quemoys,  ha? 
Nationalist  in 
rying  war  ms 
nists.  There  w 
on  Peikantang 
29,  which  wa.' 

Thus   far  t 
on   these   vari 
sporadic  and  i 
seem  to  have  h 
propaganda  valu. 
abroad,  rather  th 
determined  effort 
rious   positions   p 
has  been  fairly  1 
ling    at    Quemo; 
have  been  comir 
nists  to  any  of 
Nationalists     hf 
planes  in  attac 
artillery  positic 

These  island 
said  to  be  step^ 
quest  of  the  m; 
essentially  def 
fensive   in   cha 
stitute  part  of 
mation    and 
Formosa.    It 
the   National!' 
ited  reply  to 


SOVIET 

Today   is  t: 
versary  of  th 
which    brougl 
Russia.      As    i 
in  Moscow  wi 
for    speeches 
displays  of  S 
parades  to  a 
taneous   entl 
citizens  whc 
Sunday  day 
by    the   oblij 
the     "spontf 
will  know  b" 
thoughts. 

Thirty-sev 
siderable  tir 
beings.    Th( 
ers  who  m 
tion  are  g: 
Babes  boi 
m      and 
threshold 
fought  f. 
ago  had 
for  the 
childrer 
neither 
harsh 
makes 
the  Wf 
fumbi' 


/  /    J    c    o 

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U     L      J       I 


UNIVERSITY  OF  CALIFORNIA 


DEPARTMENT  OF  ENGLISH 
RIVERSIDE,  CALIFORNIA 


10  May,  1965 


ProfesBorErnBt  Kantorowicz 

The  Institute  for  Advanced  Study 

Princeton,  New  Jeraey 

Dear  Profeaaor  Kantorowiczj 

Thank  you  for  your  cordial  note,  just 
received.   I  want  to  apologize  for  my  stupid  error  of  memory, 
which  I  caught  shortly  after  I  sent  you  my  enthusiastic  letier 
concerning  your  work.   I  suppose  I  was  too  excited  to  recall  that 
the  Troilus  reference  is  not  in  Act  IV  but  in  Act  III.  To  atone— 

r^A  u,',,  ^^P'— ^  °^^«'  t^«  quote  herex.  Ulysses  says  in  III.iii.l96-206 
to  Achilles^  I  italicize  key  words)j 

The  providence  that*  s  in  a  wfctchful  state 

Knows  almost  every  grain  of  Pluto's  gold, 

Finds  bottom  in  th*  uncomprehensijhre  deeps, 

Keeps  place  with  thought,  and  almost,  like  the  gods. 

Does  thoughts  unveil  in  their  dumb  cradles. 

There  is  a  mystery— with  whom  relation 

Durst  never  meddle..in  the  soul  of  state. 

Which  hath  an  operation  more  divine 

Than  breath  or  pen  can  give  expressure  to. 

All  the  commerce  that  you  have  had  with  Troy 

As  perfectly  is  ours  as  yours,  my  lord.,.. 

The  state  assumes, therefore,  providential  omniscience  and  mystery;  the 
state  is  more  than  secular,  is  indeed  a  power  ineffable.  The  mystery 
is  thus  not  to  be  meddled  with  or  questioned.   Or  do  I  misread? 
.^Li*"!*.;;^  ?•  ^^""l   °^  official  Elizabethan  propagand.-the  so-called 
Tudor  myth"--is  perhaps  strei^hened  by  the  fact  that  it  is  Ul,sse;,too, 
who  delivers  the  most  mmemorable  defence  of  hierarchy  and  "order"  in 
Shakespearem  (I.iii.  75-lM).   Both  speeches, therefore,  tend  to  support 
!u  *;!;'■  ^^^^^^^Pt—an  absoluteness  beyond  question.  All  I  can  say  is 
that  I  feel  strongly  the  relevance  of  your  "mystery  of  state"  essay 
to  my  understanding  of  the  passage  I  have  quoted. 

As  faa  as  the  Inns  of  Court  are  concerned,  I  believe  I  have 
■ubstantial  evidence  to  indicate  the  coniervative  political  thinking,at 
the  period  in  question,  congruent  with  the  above  references.   I  have 
almost  ready  a  monograph  on  the  play  which  includes,  among  other  perspectires. 
one  which  will  .how  the  play  to  tend  towards  a  defence  of  the  law. 

I  should  be  most  delighted  and  honored  by  the  chance  to  meet  and 
„  ^  ^    ,     talk  with  you.   Im  shall  write  you  when  I  arrive  in  New  York  this  fall, 

P.S.  I  enclose  a  nail  note,  -^^Jfours  sincerely, ^^*-<tjt*-- hCLl 

written  years  'go-^bghfag^j^wiU^ba^  underline  the  legal  points  r;^*Stliarmo'H*"'    ^ 


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V 


41.      ''Invocatio   Nominis  Imperatoris:   On  w.   21-25  of  Cielo  d'Alcamo's   Contrasto" 
Bolletlino  del  Centra  di  Studi filologici  e  linguistici  Siciliani,  III  (1955),  35-50. 

EK's   cor>y,    annotated. 

A.  Postcard,  unsigned,  S/2>/Sl 

B.  PostcRT-d,  author  unrecognized,  10  May  55 

C.  "Letter  to  the  ICE  BOX"  (ne-spaner  clioning) 

D.  "Cosmne  Prag-ensis"  (slip,  vello-O 

E.  Letter  from  Gerhart  Ladner,  Ih   June  55 
P.  "Invocatio"  (slip,  yellov) 

G.  "Omnipresence"  (slip) 

H.  Letter  from  Leo  onitzer,  ll\.   Nov  55 

I.  "Baldus,  Cons.  I"  (slip) 

J.  i-etter   from  Prof.    Ettore,    1?.   Dec   Sk 


\. 


n    J    L 
u    (_    u 


&) 


ERNST    KANTOKOWICZ 


INVOCATIO    NOMINIS 
IMPERATORIS 

(On  vv.  21-25  of  Cielo  d'Alcamo's  Contrasto) 


Eslralto  dal  Bolletlino  del  Centro  di  Studi  Filologici 

e  Linguialici  Siciliani  —  Vol.  Ill  —  1955        o    vT  ^     'CT) 


G.    MOHI    &    FIGLI    -    PALEHiMO 


n    J    L    L' 

U     L     U    U 


I 


ERNST    KANTOROWICZ 


INVOCATIO    NOMINIS 
IMPERATORIS 

(On  vv.  21-25  of  Oielo  d'Alcarao's  Contrasto) 


Eslratlo  dal  Bollettino  del  Cetilro  di  Sludi  Filologici 
e  Ijinguislici  Siciliani  —  Vol    111  —  1955 


G.    MOlU    &    FIGLI    -    PALEKMO 


/  '     _'    L     U 

U     L     U       I 


Se  i  tuoi  parent!    trovammi.  —  e  the  mi  pozzon  tari? 
Una  (ktcnsa  mvtuxi  —  di  dumilia  agostari, 
Non  mi  tocara  padreto  —  per  cp.anto  avert  a  'm  Bari, 
Vive  lo  'mperadorc,  grazi'a  Deo! 

Intcndi,  bella,  quel  che  ti  dieo  eo? 

Every  student  of  early  Sicilian  vernacular  poetry  knows  Cielo 
d'Alcamo's  Rosa  f reseat  and  he  is  sure  to  knovv  the  fifth  stanza  quo- 
ted above  because  it  contains  all  the  clues  for  datn.g  ^he  poem  Fhe 
,<u.u.tales,  those  beautiful  medallion-like  gold  coins  of  trederK:k  II, 
^ve';•e  first  issued  in  .23./  Hence,  the  poem  must  have  originated  after 


(,)  The   text   of  the   Contras.o   rendered   here    follows    the   e.h.ion  of   C.   G;^"'«™'^Cro^ 
<:J  'zl  M<:  nl  Cuna,  Milan.    ..47.   J^^^,  .>vhich  ^ievKU^s   rn   ^,--— \S-,:f  ^.^J 

Crocetti  -s  edition,  the  review  ot  th.s  hook  by  ^^}^^^r^^    n         'enuure,  ^s'^e   Antomo 

suggests  its  valne  and  P^-^f.^-''''^;^'l:'Z^''ta^7X^i^o..  AU.  del  Come^no 
Paomaro.    ..  Caratlere   e   iradi/.one  .<W   t"ntrasto   d.    '-^cu,   a  ^^ 

Intcrnaziovale   di   Studi   Fcdenaam,   Palermo.    .952.   408.   "•    "■   """   ^PP'    ^      '       J^*- 

replace  a.ere  a  'm  B«r^  '''"y ^^'Xt^^^Il'^  "'in";ddi,ion   to   Ernst   Kantorow.cz.   KaUer 
(2)  For   the   ««s«.s/«/rv   of  Fredcruk  II,     cc   .n  ^^^    ^^^^^^    ^^^^^^.^^   j^^ 

Friedruh  dcr  Z^eUc:  ^-^-"'i:"P"""^;^\  '^^'d  clie  ahen.i.andische  Glvp.ik  des  .3. 
Hans  Wkntzel.    «  Oer    Augustahs    1-ntdnihs    11.    ""°    '  „  Mhte'alter   und    Antikc 

lahrhnnderts...  ZeUschn^  fur  ^'"^'f^'^'^^^^^;,^'s,,^^/]aiu^r,ade  H.nr:k  Cornell, 
Int  Spiegel  ^^-"  ^^^%^\^J^'^^^:v^:^:,  ForLun^en  .ur  Kur,s„e- 
Stockholm.    .950.  9-ff.   •'"''      I      ,  TI     .,,-,    iriff-   also  Tosek  DEtR.  "Die  Easier  lx)wen. 

.chkh.e  und  c/,n.s//,c/,e.  ^''^I'^f^^'^^'^^^^,  ^i^'  ,.  .md  .v  Jahrhunderts  ...  ZeUscUrift 
Kaniee  und  der  sud..,>l.en>sche  Gcntme- schmtt      es    .  -     un        3    j  ^   ,^,ia„v     i.S.Sff- 

/,Vr  .«-/mr,-<-r,,se;„-  .1  r<;,«o/«,t;„-  '""^ , '^""^'f .  "  J^  f:,  ,han  t^fore  the  .2th-centurv  eur- 
Those  reeent  stu.lies  allow  us  to  understand  f'';  '<^;;;' /.'^^^"^J^;,^  ^..^.j^a^ding  the  .no- 
.ents  of  South-nalian  art  o  whu^  "-j;;:"  l^^  ^  ^o-i-rLg-oina  ...  *^r.„.^o  .^o 
TTl  ;•::r,;"«H:^«^•^V^:^93.  .^.^  hi  s-sten.  .dottato  da  Rusg.ero  ,1...  fu 
seguito.  non  istituito...  da  Federico  II  ») 


I    n 
I    u 


that  date,  and  since  the  emperor  is  acclaimed  as  still  alive  —  no  mat- 
ter as  to  whether  we  read  Vive  or  Viva  ^  —  it  must  have  been  written 
before  1250.  It  is  true,  of  course,  one  might  try  to  argue  that  also  the 
Emperor  Henry  VII,  in  his  Statute  of  January  13,  13^2,  ordered  the 
minting  of  gold  coins  called  aiigustarii,  so  that  the  unnamed  emperor 
might  refer  also  to  Henrv  VII.'  However,  the  coins  of  the  Luxem- 
bourg prince  remained  a  project  and  were  probably  never  issued;  nor 
could  the  poem  itself  belong  to  that  late  period,  since  it  is  cited  bv 
Dante  in  his  De  vulgari  eloquentia  which  falls  in  the  years  1303  or 
1304.''  Besides,  the  mention  of  the  defensa  prevents  us  from  moving 
beyond  the  orbit  of  the  kingdom  of  Sicily  and  Apulia:  the  defensa 
as  an  institution  of  law  was  restricted  to  the  South.  If,  however,  stu- 
dents of  the  history  of  literature  often  try  to  prove  that  Cielo's  Rosa 
fresca  must  be  later  than  1231  because  in  that  year  only  was  the  de- 
fensa introduced  by  the  Liher  augustalis,  that  is,  the  great  collection 
of  laws  published  in  both  Latin  and  Greek  by  Frederick  II  at  the  Diet 
of  Melfi,  then  they  are  not  quite  correct:  the  defensa  existed  in  Nor- 
man times."  Nevertheless,  the  combination  of  augustales  and  defensa 
leaves  no  alternative  as  to  the  date  of  the  poem,  and  this  date  is  fur- 
thermore supported  by  the  acclamation  or  invocation  of  the  emperor. 
For  according  to  the  Liber  augustalis  a  private  person  could  impose 
the  defensa  only  per  invocationem  nostri  [imperatoris)  nominis,  and 
to  this  invocadon  the  line  Vive  (or  Viva)  In  '  mperadore ,  graz'a  Deo 
doubtless  refers.' 

The  titles  I,  16-19.  »f  the  Liher  augustalis  commanded  both  the 
admiration  and  the  surprise  of  Frederick's  contemporaries.  The  em- 
peror regulated  or  re-established  in  these  paragraphs  a  rather  strong 
and  effective  legal  remedy  for  the  protection  of  a  person,  including 
his  family,   and  of  personal   projjerty.   against   imminent   aggression. 


(3)  Whereas  Monaci  and  Ufiolini  read  Viva,  Guerrieri-Crocctti,  135.  suRgcsts  the  reading 
Vive.  With  regard  to  the  daiing  ilic  variants  are  of  no  importance  because  in  either  case 
the  emperor  woiihl   pr()\c   to  he  aUve.   See   below,  n.   7. 

(4)  Monumctila  Cennimuw  Hislonca:  Coiistittttioties  ct  Ada  puhlka  IV  No  7^7  S8  80 
p.  718,  34  ft.  and  No.  72g.  §  4,  p.  72,,   ,3  f.  /  -       -        •  /-/.  ss      J- 

(5)  /•><■  vtili^aTi  el,H,„cntia.  I,  12;  for 'the  date  of  that  work,  see  Aristide  Marigo,  De 
Vulf^an  clnqucnua,  Horence,  1938  (=  vol.  VI  of  Michcle  Rarbi's  Dante  edition)  pp  XXII-XXIH- 
also  l-RiKtmicii  SciiNKintR,  Daute,  4th   ed.,   Weimar.    1947.    102. 

(6)  Hans  Nikse  Die  GesetzgehuUf,  dcr  nonnanmschen  Dxnaslie  im  Rennum  Siciliae, 
Halle,    1910.   34,   n.   6;   .see  below,   n.    17.  •  ^ 

(7)  Viva  wou!d  Ix-  more  appropriate  for  an  acclamation  or  invocation  despite  the  following 
graza  Deo  (..  Long  live  the  F.m|K-ror,  thanks  be  to  Cod  >.).  Vive,  however,  woidd  make  sense 
too  (..  The  Emperor  lives,  thanks  l,e  to  God  .).  nor  woidd  this  version  jeopardize  the  accla- 
matory  character:  Christm  vivit  {el  ref^mt)  is  likewise  an  acclamation;  see.  for  the  problem. 
Et-GEN  Rosen.st.k:k-Hi;essy,  .,  Vivit  Oeus  .,  /„  memoriam  Ernsl  Lohmeyer,  hrsg..  von  Werner 
Schmauch,   fituttgart,    1951,   250-260. 


^ 


Ihe  defensa  could  be  miposed  on  the  aggressor  not  only  by  every  offi- 
cial, high  and  low,^  but  by  every  private  individual  wishing  to  protect 
either  his  property  or  his  person  and  the  persons  of  his  household 
against   violent   action   of  any   kind.   And   he   protected   himself   per 
invocationem  nominis  imperatons  -  or  regis,  as  the  glossators  were 
quick  to  point  out,  indicating  that  .the  king  is  emperor  in  his  realm).  " 
\n  other  words,  the  unlawfully  attacked  person  forbade  in  the  name 
of  the  emperor  the  trespasser  to  continue  his  violent  action,  whereby 
the  formula  had  to  be  used:  ex  parte  imperatoris  defendo,  or  prohibeo 
te  ex  parte  regis  {imperatoris)   quod  me  offendere  non   praesumas^'^ 
After  this  magic  formula  had  been  exclaimed,  the  attack  was  consi- 
derert  an  attack  agamst  the  emperor  himself.   The  trespasser's  case 
(juite  logically,  was  brought,  under  exclusion  of  all  local  jurisdiction' 
directly  and  immediately  before  the  Magna  Cuna  or  the  law  courts  of 
the  emperor  himself,  so  that  the  defensa,  among  other  things    served 
also  to  strengthen  and  extend  the  sove.eign  jurisdiction  against  the 
local   powers  -   Other   implications,   however,   have   to  be   considered 
in  the  hrst^ place.  Marino  da  Caramanico,  who  composed  the  ordinary 
gloss  on  the  Liber  augustalis   about   ,275,  was  j)erhaps  coirect  when 
ne   said:    tt  per  hanc   constitutionern   succurnt  Imperator   drbilihus 
qui  sepe  a  potenttbus  opprimuntur.''  But  the  foremost   intention   of 


men  b.rw,ro'tecte7bv\h^;  '','';  '•"'•  x^  "^'"  •'"^""-"  '''■^"'"'  ='"<'  '''''  '^'""'^-  •'"''  '-'"'•-hold 
tmmixrs   protected    Dy   the   defema.   The   invocation   of   the   king    replaced. Of   course     th-.t 

ot  the  emperor;  see.  e.  g..  MA.r..AEes  „e  Akf,.,ct,s,  /„  utrius^ue^iA.e  AV./,o/4ri '-  o 
nes  et  consUtuHo.^es  n.,vnsi„u.  t>raelect,o  (Venice,   ,562).  on  L,h.  au^r.,  I.   ,7.;,.  f.      9    ". 

aui-;   ,..x   ?    ,  A  '""•^•■"'""'^   ""■"i"'''   Im|X-ra,oris    huitis    regni.   extetiditur   .•  d    regim  ■" 

quia  tc-xtus  loquens  de  Im,Kratore.  extenrlitur  a<l  regem  .,.  For  the  fornu.la  Rex  in  uZo 
dTsen:frT:;,i:,;Vd-;'^'^  ••'  ..k-  S..uth-.talian  gl„s^a.ors  (Marino  da  C.-rama^tico  aX 
aisernia,  Hai^tolotnco  da  Capua,  and  others),  see  France.sco  Cai.asso.  /  ../ovsa/on'  e  la  leoria 
delta  sovra,uta,  Ma^,  ,9,-,,  and  for  that  formtda  in  general.  SERGto  Moc,„  Ovorv  Foni 
canomstiche    delrtdea    moder>ia    dello    stalo,    Milan     u)t, 

(.0)  For   the   first  version   (defendo),    see  Niese,   Cesetzgehunf;,    ,4.    n.    3    The   law    itself 
(L,^  a«.g     I.   ,6.  Cervone,  p.   36)  says:    „  F.idem.iue  ex   parte  In,fx.ria  i   prohilxa'    ut   in  uni 

30  andlv  M^Uh"  Afflic^iT"""';";-  ■"''^'"™  ^''  ^^•'^■^'"'  bv'Andrea^l•Isc"ni.;  Cerne 
.<>!,  diui  oy  iviaitn.     Atliictis,  on     l.ih  aup    I      ir     (  —  1      <fi\   r,    -,  f^i  c/;  it,  or.      , 

be  adapts  the  formula  in  the  foll.S  fa^i^ioiv'  E^  "a  ;'t£  ^r' ::;^';';,:,^r 
maiestatis  Regis  nostri  Ferdinand,  prohibeo  te  talem.  atque  reqniro  ,■  hin^^n-, nte ,  'n 
praesiimas  me  oflenderc  in   t)ersonam  ...  <^M>""'   ut    nmc   inantea   n,)n 

n.ci"*  ^''''  ""^  '  '■  'I'  ''"'""■'  """'  '"  '^''f''"'"  "■"«  ""'>■  "  Magistrati  Justitiarii  et  Tustitiarii 
no  tn    cognoscant  ...    ANtmEA   dTser.va.     „n   Uh.   aug..    I.    ,8.   Cervone     4^.    declares  ,cm 

nota  quod  non  imponitur  defensa  ex  parte  Con.itis  vel  Baronis.  scd  .antum  Regis..  Xoil 
.ludere  del,ent  all.  hoc  ,us  s.b,  vendicare  ,..  The  tendency  of  expanding  the  roval  jt.risdictio^ 

M  an"rno"S  >  "^'m  '^^J^— "  C,cc:AG..,o^E.  Ma.ua'e  d.  s,ona  del  d.r.L  ..aUaZ 
iMilan  (no  year),  II,   i63f;  also  Niese.  Gesetzi;ebung.  34.  n    4. 

(12)  Marino  da  Caramanico,  on  Lib.  aug..   I,    16,"  Cervone,   35. 


U     L 


these  laws  was  to  protect  the  »  king's  peace  »,  that  is,  the  peace  of 
the  land,  as  Matthaeus  de  Afflictis,"^  a  later  glossator  of  Frederick's 
Constitutions,  clearly  recognized:  omnes  istae  constitutiones  practen- 
tae  tendiint  ad  pacem  el  bene  agendum.^^ 

It  is,  of  course,  this  institution  of  law  to  which  Cielo  d'Alcamo's 
poem  alludes.  The  voung  lover,  who  was  about  to  steal  his  girl,  or 
his  girl's  heart,  from  her  parents,  was,  so  to  speak,  a  trespasser  on 
the  property  of  the  family  and  an  aggressor  of  a  family  member. 
But,  asks  the  lover,  what  'could  the  girl's  parents  do,  after  all?  They 
could,  by  invoking  the  name  of  the  emperor,  impose  a  defensa  on 
him  tor 'attacking  the  heart  of  their  daughter.  This  trespass  would 
cost  him  2000  (lugustales  —  «  there  lives  an  emperor,  thanks  be  to  God  ». 
The  whole  situation  is  depicted  fairly  correctly,  although  the  sum 
of  2000  augustcdes  seems  rather  excessive  and  the  juristic  situation  is 
judged  too  favorably.  The  normal  procedure  was  that  the  attacker 
yielding  to  a  defensa  while  trying  to  rob  an  oxen,  had  to  let  the 
oxen  go  and  pay  to  the  fisc  as  a  fine  for  his  attack  the  value  of  the 
attacked  object.'  In  this  case,  the  poet  would  have  assessed  the  girl's 
value,  or  the  value  of  her  heart,  generously  at  2000  augustales.  But  ^ 

the  lover,  of  course,  had  not  the  intention  to  let  his  object  go.  He 
therefore  became  guiltv  of  contempt  of  the  defensa  and  therewith 
of  the  emperor's  name:  and  in  this  case  the  fine  would  have  amounted 
to  one-third  of  the  value  of  his  property  if  the  attack  was  carried 
through  bv  force  of  arms,  or  to  a  quarter  if  arms  were  not  used.'^ 
Hence,  the  voung  lover  must  have  been  quite  a  wealthy  man.  Yet, 
despite  his  wealth  the  legal  case  would  not  have  been  in  his  favor, 
because  on  top  of  the  line  for  contempt  of  the  defensa  he  would  have 
been  condemned  to  return  the  girl  to  her  parents.  The  poet,  therefore. 
did  not  really  talk  in  legal  terms,  nor  may  he  have  intended  to  do 
so.  What  the  poem  suggests  is  actually  a  good  deal  of  bragging  on 
the  part  of  the  lover  and  of  minimizing  the  legal  difficulties  involved, 
since  nobody  could  steal  a  girl  simply  by  paying  2000  augustals.  But. 
after  all.  those  words  were  meant  not  to  pass  a  legal  test,  but  onlv 
to  impress  the  hella  and  seduce  her  —  and  what  laws  and  facts  would 
not  be  twisted  or  d'storted  in  such  a  case?^  ■  A^t  ivvvo*    be/vii^^eA ; 

-J ^-^  -^  vJ  -  ""^iMJt^ 

(13)  Mattii     Akki...  on  Lih    aiig.,  I,   i5  (=   I,  17).  n.  3,  fol.  92;  see  .tIso  Nikse,  Ctse/zjjf-  riZiTTTT-i 
bunj^,    34.    cnncciniiif^       l.andfricdcn  >■.  ^!I— ^ 

(14)  Lih.  mig.,  I,   16,  Ccrvone,  38:    >■  I't  lamen  si  justae  dcfensae  imponantiir  pro  rebus  ,        j^^ 
mobilibus,   utpote  bovc  ab'aio   vel   similibus,   tloniinus,   qui   ronira   tlcfcnsam   vcncrit,  et   id,  -^ 
quod   pDst  dcfensam  ab>^tulit,  rcddat;  et  aliud   tantundcm  curiae  nostrae  componat  ".               >%i^'  -j 

(15)  Lib.  (111^..   I.    iH,  Ccrxoiic.   42:    •■  Si   quidcni   cum   arniis  hoc  fecerit,    in   tenia   parte       hX-oJ ' 
omnium   bonoruni   Mioruni   puniatur...  Si   vcro  sine  armis,   in  quarta  bonorum   praedictorum 

parte  omnino  contemptorem  daninandum  esse   sancimus  ». 


About  the  origins  of  the  Sicilian  defensa  there  is  no  unanimity 
among  scholars.  That  the  titles  I,  16-19.  of  the  U.her  augiistalis  were 
shaped  under  Frederick  II  and  received  their  final  form  onlv  in  1231, 
there  can  be  no  doubt.  On  the  other  hand,  it  cannot  be  doubted 
either  that  the  defensa  existed  before  1231  and  was  known  in  Norman 
times.  A  document  of  1227,  four  years  before  the  codification  of  the 
defensa  laws,  shows  that  not  onlv  the  emperor  but  also  the  competent 
bishop  or  local  official  could  be  invoked.'"  From  Norman  times,  a 
case  of  1 163  is  known  which,  by  chance,  has  been  transmitted  in  the 
Chronicle  of  the  Abbey  of  Casauria:  here  the  king  was  invoked.''  Some 
scholars  have  tried  to  date  back  to  the  iith  (cntury  the  municipal 
by-laws  of  Trani  mentioning  the  defensa  and  thereby  to  date  back  the 
defensa  as  well."  Others  tried  to  derive  the  defensa  from  the  customs 
of  Normandy  and  connect  it  with  the  Haro  cry  Haro,  however,  was 
like  the  Middle  High  Geiman  Zeter  merely  a  <  hue  and  cry  »  which 
juristically  served  as  an  evidence  gained  in  the  very  act  of  crime;  but 
this  Haro  cry,  which  was  in  the  first  )>lace  an  alarm,  had  in  the  13th 
century  nothing  to  do  with  the  private  self-protection />:r  ittvncationem 
nominis  iniperatoris  or  regts.^'^ 

How  Frederick  II  himself  interpreted  that  custom  and  what  his 
intentions  were  when,  in  1231.  he  introduced  uniformly  for  the  whole 
kingdom  the  invocation  of  the  imperial  name  for  inij^osing  a  defensa 
is  said  quite  clearly  in  the  Liber  augiistalis  itself.  For  one  thing,  it 
was  a  manifestation  of  the  emperor's  omnipresence,  or  at  least  his 
potential  omnipresence:  et  sic  nns  etiam  qui  prohihente  individuitate 
personae  nbicjue  praesentialiter  esse  non  possumns,  ubiqiie  potentia- 
liter  adesse  credaniur.'"  To  the  words  ubique  potentialiter  the  glossator 


(161  C  A.  Gari  Fl,  '  I.a  (lifi-nsa  ex  part:-  domini  iniftiralons  ir.  tin  documcnto  privato 
del  12:7-28  >i,  Rivisia  ilalitiiia  per  Ir  scienze  i^iunflicln-.  WVII,  i8()g.  i(;o-i(;4  (cf.  Archivio 
slorico  sUiliaiio,  scr.  II,  vol,  XXI\'.  1899.  344),  publishes  a  document  containinj;  a  complaint 
about  an  abbess  of  a  nimncrv  in  Messina  ■  ini!)(>ncns  nobis  tiefensam  ex  parte  domini  nostri 
divi  impcratoris  et  vencrabilissimi  pairis  nosiri  archicpistopi  ».  This,  by  the  way,  is  one  of 
the  earliest  cases   where   in   a   document  Frederick   11   is   referred  to  as  divus. 

(17)  See  Chronicon  Casauriense,  in  MtRAXORi,  Scriplorcs,  II.  1009,  a  document  to  which 
NiKSE,  Gesetzgebiinfr,  34,  called  attention  in  connection  with  the  defensa 

{18)  Thai  the  Ordimimenti  of  Trani  should  be  dated  i3''3.  and  not  1063.  has  been  shown 
bv  C1P01.LA,  »  Un  (lubbio  sulla  data  dej;li  Ordinamcnti  iranesi  •.  Rindieonli  dvi  l.incei. 
ser.  V,  vol.  V,  1896,  267ff;  cf,  L.  S.  Vii.lanieva,  in  Arch.  star,  sicil.,  ser.  II,  vol.  XXI,  1896, 
403.  The  defensa  was  imposed  in  Trani  (as  well  as  in  other  places  during  the  later  Middle 
Ages)  da  la  parte  de  la   mia   signoria. 

(19)  For  the  Haro  cry,  sec  NiFsr,  Cesclzi^ehuni^.  33,  n,  4.  and  his  criticism  of  F,.  Glasson, 
"  fitude  historique  sur  la  clameur  de  Haro  ».  .Xouzelle  rente  historupic  de  droit  franfaii 
et  etranger,  VI,  1882,  397!!,  5i7ff;  for  the  Germanic  institution  of  the  «  hue  and  cry  » 
see  L.  L.  Hammericii,  Clamor  (in  Kgl.  Danske  Videnskabcrnes  Selskab,  XXIX :  1),  Copen- 
hagen, 1 94 1.  See  also  below,  n.  33. 

(20)  See  the   last  clause  of  Lib.  aug.,  I,    17,  Cervone,   41. 


U     L 


I     J 
I    L 


(ftVJ 


Maiiiio  da  Caramanico.  (|iiotiiig  fioin  Ovid's  Hcroides,  remarked  \erv 
neatly:  Juxta  iUnd:  'An  nescis  longas  regibus  esse  niamis? ''^  The 
meaning  of  this  imperial  ubiquity,  of  course,  was  that  the  officers  as 
well  as  the  private  individuals,  when  imposing  the  defensa  by  invo- 
cation of  the  emperor's  name,  acted  as  the  emperor's  vicegerents,  just 
as  the  emperor  himself  acted  as  the  vicegerent  of  God:  \Fidelcs]  sola 
protections  nostrue  post  Deum  defensione  laetantur,  says  the  preamble 
of  that  law  (I.  17).  iVIatthaeus  de  Afllictis,  glossing  the  words  post 
Deuni,  expounded  accordingly  that  a  man  has  security  when  standing 
sub  Dei  regisque  protect:one,  and  that  by  an  assault  not  only  the 
pe:-son  attacked  was  insulted  but  also  «  God  and  the  king » :  ««»; 
rex  studet  dare  securitateni  in  regno  mo,  et  ideo  Imperator  dicitur 
Deus  totiiis  mundi.  scdicet,  ratione  iiirisdictionis  et  protcctionis.-'^  It  is 
logical,  therefore,  that  contempt  of  a  defensa  was  synonymous  with 
contempt  of  the  emperor's  name,  of  the  emperor  himself,  and  ultima- 
tely of  God:  and  accordingly  the  legislator  decreed  that  a  defensa  by 
invocation  of  the  emperor's  name,  even  when  falsely  imposed,  was 
for  ihe  moment  to  be  obeyed  ob  reverenttam  cuhninis  nostrir'  To 
this  the  glossators  remarks  that  likewise  <.  an  unjust  excommunication 
binds  in  order  that  there  may  be  held  in  greater  reverence  the  keys 
of  the  Church  »." 

These  are  concepts  far  remote  from  a  simple  ■<  hue  and  cry  >. 
Al!  the  more  closely,  however,  is  the  idea  of  the  emperor's  potential 
omnipresence  related  with  the  antic|ue,  especially  late-antique,  concejit 
of  the  omnipresence  of  the  numina  of  the  Roman  emperors."  In  fact. 


(|U1.1     'X 

iini 


(:i)  Ibid..  r1    •>  l'bi(|iio  pounli.iliicr  .>:   cf,    Ovin,  F/;..  XVI.  i66. 

{22)  MAmi,   AKri.icTis.   on   Lib.   aui^.,  I,    i6    (=    I,    17),    n.    %,   fol.   gir:    •• 

tali    insuitu   nin   solum   est   oficnsiis   ipse   insiiltatus,   sed   etiam    Deus  et   rex,    sub   quor 
protectione  erat    ipse  offensus  ».   For   the   doctrine   accordinR   to   which    the    ruler   was    hnst 
n.tim  seaiiidiis.  some  relevant  material  has  been  collected  bv  H.  Xoi.kmanv      «  Der  Zweite 
nach    dem    Kiinig  ...   /'//i/o'oijks.   XCII.    1937,    ;H^-3i6. 

{it,)  Lib.   r/i/i;.,    I.    iQ.   Cervone.   48f.  " 

(24)  l^^^TT^I.  Afi-i.iciis,  on  IJb.  aiig  .  I,  18  (=  I,  19),  n.  11.  fol.  loiv:  ,-  Idco  excomnui- 
nicat^o  miusta  ligat,  ut  clavcs  ecclesiae  habcant  in  maiori  reverenlia  ...  He  then  continue^ 
saymi;  .  quml  ille  qui  iniuste  est  cxcommunicatus,  si  hoc  patienter  ferat,  apud  Deum 
corona m    habehit  ...  •  "^ 

(25)  Ci..  Mamertinis.  I'tiiici^.  i^ciiflhl  M,i\imia>io,  c.  14,  ed.  Rakhp.kn.s.  p.  113.  9:  „  uhi- 
cuniqiie  siiis,  in  unimi  licet  palatiuni  conce.sseritis,  divinitatem  vestram  ubiqiie  versari. 
omncs  terras  oiuniaque  maria  plena  esse  vestri.  Quid  cnim  minim  si,  cum  possit  hie  mundiis 
lovis  esse  pleniis,  possit  et  Hcrculis  (sc.  M.iximiani)?..  See  Lf:o  Berlincer,  Reilrage  :ur 
mojfi::cUcn  Tiliilatur  titr  romischeu  Kiiisrr.  Diss  Brcslau.  193^.  6^  (also  62.  n.  220).  For 
the  «  virtual  omnipresence  >.  of  the  Hy/antine  emperor,  sec  Franz  Doiger,  ..  Die  Kaiserurkunde 
der  Byzanliner  a!s  Ausdruck  ihrer  politischcn  AuschauunRen  ..,  Hislorische  Zeilschrifl. 
Cl-IX.  1939,  235.  n.  17  (also  in  Doi.GKR,  liyzaiiz  unci  die  curopiiiuhe  SlnatenweH.  Ettal,  19^3. 
i6)_  ^or  the  following,  see  also  my  article  .Kaiser  Friedrich  11.  und  das  Kiinigsbild  des 
Hellemsmiis  ...  Van,,  Vonorum:  Festt^abe  fiir  Karl  Reiuhardt.  Miinster  and  Cologne,  19^2, 
i76fT,  some  material   of   which    is   repealed   here  with   considerable   additions. 


the  only  unassailable  parallel  of  the  Sicilian  invocation  of  the  emperor 
hitherto  detected  is  found  in  a  Roman  author  of  the  times  of  Marcu;, 
Aurelius,  in  the  Metamorphoses  of  Apuleius.-''  Francesco  Schupfer,  the 
great  Italian  historian  of  law,  first  called  attention  to  the  passage  where 
the  unfortunate  Lucius,  transformed  into  an  ass.  tried  to  protect  him- 
self against  the  whacks  of  the  most  unpleasant  and  rude  donkey-driv- 
ers. Lucius  decided  ad  auxilium  civile  decurrere  et  interposito  vene- 
r:ihdi  principis  nomine  tot  aerumnis  me  liberare.  That  is  to  say,  he 
decided  to  <>  interpose  »  the  emperor's  name  between  himself  and  his 
torturers.  When  arriving  in  a  little  town  in  Thessaly  where  crowds  of 
Greeks  were  marketing,  he  made  an  attempt  to  invoke  in  his  own 
human  language  the  name  of  the  emperor  {nonien  augustum  Caesa- 
'tis  invocare  teniptavi).  Poor  Lucius,  however,  could  only  hee-haw, 
reliquiini  autem  Caesaris  nomen  enuntiare  non  potiu.  That  his  unmel- 
odious  howling  was  merely  another  challenge  for  his  torturers  to  resume 
whacking  the  donkey  with  their  leather  whips  has  nothing  to  do  with 
the  problem  under  discussion  here;  for  the  donkey-drivers  could  net 
know   that  thev  were  acting  in  contempt  of  the  emperor's  name. 

The  passage  shows  clearly  that  in  the  second  century,  when  Apu- 
leius,  the  Isis  worshij^per  from  Numidian  Madaura.  wrote  his  Meta- 
morphoses, some  legal  institution  must  ha\e  e\i<red  which  was  closely 
related  with  the  emperor  invocation  of  the  Sicilian  defensa:  a  self- 
protection  by  invoking  the  emperor's  name.  What  is  remarkable  is  one 
thing  only:  that  otherwise  this  institution  seems  to  have  been  un- 
known within  the  Roman  orbit.  For  the  fact  that  tombs  or  foundations 
were  placed  under  the  protection  of  the  emperor  has  nothing  to  do 
with  the  momentary  remedy  of  law  attainable  by  the  invocation  of 
the  emperor's  name.  What  this  invocation  may  remind  us  of  is  the  right 
of  asylum  granted  by  the  imperial  statues,  that  is.  the  protection 
which  a  person  derived  from  taking  refuge  to  and  touching  the  em- 
peror's image.  In  this  case  it  was  not  the  name  but  the  image  of  the 
emperor  which  was  »  interposed  »:  and  it  is  well  known  that  this  right 
of  image  asylum  led  to  the  illicit  misuse  of  simply  carrying  a  coin  in 
one's  pocket  in  order  to  '-  interpose  ^'  at  any  moment  the  coin  image 


(26)  Api'i.eius,  Mclam.,  Ill,  29ff.  Cf.  Franck.sco  Schvpfer.  .  I.a  defensa  c  rasino  di 
Apuleio  ..,  Riv.  ital.  her  Ic  scienze  giurid..  XXI,  1896.  ^22-424;  Viu,anleva,  in  .4rr/i.  stor^ 
sicil  ser  II  vol  XXI.  1896,  402!?;  also  Nino  Tamvssia,  .  Nuovi  studi  sulla  dejensa  «  and 
«  Ancora  sulla  defeusa  ...  .l/(t  del  R.  Jstilulo  Vetielo.  l.X.  1900-1901.  u.^ff  and  685ff.  where, 
however  the  preces  for  the  emperor  (or  to  him)  are  mistaken  for  the  legal  tnvocatto  of  the 
im|)erial  name.  The  obscrvaticm  may  lie  added  that  in  the  mcxlel  of  Apulcius,  that  is,  in 
Lucian's  Acinus,  c.  16  (S84).  the  text  savs  simply  f'/K-MV  :n-,i/.A(iKi>  "'">  K"a/oao"  (ivi/ioj)- 
■aai  yhinlriinvi:  This  is  a  sigh  rather  than  a  legal  interposition  of  the  imixrial  naiiie.  and 
the  place  from  Lucian,  therefore,  shows  that  the  juristic  aspect  originalh   was  lacking. 


n    J      I    J 

U     L        I     J 


of  the  emperor  or  to  hold  it  up  against  a  persecutor  like  an  amulet.^^ 
The  difTercnce  between  the  defcnsa  and  the  ad  statnas  cotifugcrc,  of 
course,  is  tliat  in  the  case  of  the  defcnsa  the  person  guiltlessly  attacked 
interposes  the  name  of  the  emperor,  whereas  in  the  case  of  the  image 
asylum  the  guilty  tries  to  flee  from  his  persecutors  by  taking  refuge 
to  the  statues.  Piowever,  both  institutions  have  in  common  the  idea 
that  the  emperor  was  vicariously  present  in  either  his  name  or  his 
image.  The  right  of  asylum,  though  glorified  by  the  legends  of  Rom- 
ulus, was  yet  a  denizen  of  Rome;  it  was  introduced  in  42  B.  C.  only, 
whereas  it  existed  in  Egypt  since  the  times  of  the  Ptolomees."^  Does  that, 
perhajjs.  help  us  to  understand  that  also  the  invocatio  Caesaris  nominis 
as  described  by  Apuleius  can  be  traced  to  customs  observed  in  Ptole- 
mean  Kgypt? 

The  relevant  places  have  been  brought  together  from  the  papyri 
by  Wilhelm  Schubart.  who  discussed  them  so  ably  that  no  more  need 
be  done  here  than  repeat  what  he  said.-"  In  a  Tebtunis  Papyrus  of  the 
second  century  B.  C.  we  read  that  in  some  village  a  man  was  attacked 
in  the  bath-house.  In  his  complaint  about  the  incident,  the  man  test- 
ified that  H  when  the  boy  occupied  with  my  care  cried  to  the  king 
for  help,  several  people  came  up  in  haste  ».•'"  That  the  king  himself 
should  have  happened  to  be  near  the  village  bath-house  is  indeed 
more  than  unlikely.  What  the  attacked  meant  to  say  is  that  the 
young  servant  invoked  the  name  of  the  king  whereupon  several  people 
came  running  along  for  help.   On   another  occasion,   it  is   said  in   a 


n.     *"^*   I'-    Wknger,   ..  Asvlrccht  .,   in:    Rcallcxikon   fur   Antike  imd  ChrUt,-«i,„r,    I    «,/;»• 
MoMMSKN,  Romisches  Slrafrnhl    4;Sff    .Sec  /),V     .7    in    ,8  LUristinlum,   I,   S^eff; 

in   invidi.-,.n   alterius   portarct       and    ,'l  n   .h.     1    ^'  7' A*       "  "'^  q"'"  •m^S'"'^'"  imporatoris 

msmmmmm 

iauxUium)  as   the  essential   fUtnre-       i^',,.  A  ^^  J^%  ''^".  recognizes    the    imperial    relief 


9- 

papyrus :  ..  When  I  called  to  the  king  for  assistance,  some  of  the 
others  heard  me  and  came  up  in  a  hurry  ».'*  Furthermore,  when  the 
temple  slaves  in  the  Bubastis  wrote  to  the  powerful  officer  of  finances, 
Zeno.  that  an  invocation  of  the  king  had  [jroved  unnecessary,  since 
he,  Zeno,  was  present, '^  they  may  have  had  in  mind  the  invocation 
of  the  competent  local  official,  this,  we  recall,  was  the  custom  in 
Sicily  prior  to  the  legislation  of  Frederick  11. 

It  is,  of  course,  perfectly  correct  to  say  that  in  all  those  cases  the 
king's  name  served  as  an  alarm  to  call  for  help. *'  But  it  is  nevertheless 
most  significant  that  when  one  wanted  to  beat  <m  alarm,  one  did  not 
cry  Zetcr  or  Haro,  but  invoked  the  name  of  the  king  as  though  he 
were  present,  and  probably  cried  Bnnun')  (i,>,]ih,,  just  as  one  would 
have  cried  in  later  times  Xoiorr  fioi'iOi /.Moreover,  it  is  true  also  that 
in  Ptolemean  Egypt  people  invoked  the  king's  name  when  an  assault 
or  trespass  was  imminent  or  took  place;  and  in  this  respect,  the  cu- 
stom of  Egypt  seems  to  be  identical  with  the  practice  described  bv 
Apuleius:  the  name  of  the  Ptolemean  king,  just  like  that  of  the  em'- 
peror,  was  interposed.  The  legal  significance  of  that  jiractice  has  been 
described,  no  doubt  correctly,  by  Schubart  who  says  that  by  the  in- 
vocation of  the  king's  name  the  act  of  violence  became  «  j)ub'lic  »  and 
therewith  implied  a  public  obligation  to  help.  In  addition  to  that, 
however,  the  invocation  of  the  ruler's  name  has  also  its  soteriological 
aspects.  The  prince  is  dAi-^inan'K.  Owing  to  his  omnipresence  he  is 
near,  even  though  corporeally  he  may  be  far  away.  His  wrath  will 
reach  the  evil-doer,  and  »  of  the  king's   wrath  you  die  ».'* 

It  can  hardly  be  doubted  that  the  papyri  and  Apuleius  reflect 
the  same  legal  ideas.  In  other  words,  the  invocatio  regis  or  iwperatoris 
seems  to  hail  from  Egypt  and  must  have  been  known  within  the  Roman 
orbit   by   the   second   century   at   the  latest.   Unfortunately   Apuleius' 


(.^1)  Berliner   Griechische    Vrkundcn.    HI.    1007. 

(32)  Cairo  P.  Zcnon.  59  451,    c<l.  C.  C:.  Kik.xr,     Zennn  Pa[>\ri.  Ill  (Cairo.   1928).   17V 

(t,Ti)  The  legal  clamor,  of  course,  is  found  also  in  Roman  Law;  see  Franz  Wh-aikkr, 
-  Endoplorare  ..,  Miimliener  lieitrui^r  :ur  I'afxrusforschinit;  und  aiuikcn  Richlsiiesihiclite, 
XX\I\'  {:^  Festschrift  fiir  Ix-opold  Wcngcr,  I).  1944.  \2g-\-g.  a  stiidv  to  which  Professor 
Wieackcr  kindly  called  my  attcniion.  What  matters  here,  however,  is  the  fact  that  the 
king's  name  served  as  clamor  and  that  therewith  the  persecution  of  the  crime  no  longer 
was  a  matter  of  the  private  group  of  neighbors  but  became  one  of  public  justice  exercised 
by  the  king.  See.  for  that  development  in  general.  W'ikacker,  i-fSi:  ..  Es  war  der  Fortschritt 
der  st.iatHchen  Inrechtsverfolgung,  der  gnindsiitzlich  keine  private  Unrechtsabwehr  mehr 
htt  ».  The  invocation  of  the  kings  name  sets  that  staatliche  Uttrechtszcrfotirunt;  into  mo- 
tion, and  It  is  at  this  point   that  the  Hellenistic  practice  is  paralleled  by  that  of  Sicilv. 

(34)  ^t-  F.  CuMONT,  L'f.^ypte  dcs  aslroloi^ues.  Brussels,  1937,  212,  n.' i  See  also  above, 
n.  21.  For  the  parallel  between  the  •  wrath  of  Cod  and  ihe  wrath  of  the  king  >,  see 
KuDOLF  K6STI.KR,  Hulderxlzug  ah  Strafe  ( ==  Kirchenrechtliche  Abh.mdlungen,  LAII). 
Stuttgart,   1910. 


n    jf      /    u 

u    L      I      f 


10 


evidence  appeared  of  little  value  because  allegedly  his  story  was  not 
countenanced  by  other  sources.  This,  however,  is  not  correct,  as  Am- 
mianus  Marcell'inus  may  prove.  Aginatius,  a  Roman  of  senatorial 
rank  and  vicariiis  urbis  about  370  A.  1).,  was  charged  with  adultery 
achieved  by  magic.  His  enemies  used  the  charge  to  do  away  with 
the  man  and  have  him  put  to  death.  They  proceeded  brutally,  and 
when  thev  came  to  arrest  him  «  no  one  took  the  slightest  notice  when 
Aginatius  in  a  loud  voice  exclaimed  the  names  of  the  emperors  »  — 
nee  audittis  [est  Aginatius],  ciun  mugnis  clamorihus  appcllaret  noniina 
principum.-''^  As  Professor  A.  Alfoldi  (who  kindly  called  my  atten- 
tion to  this  passage)  informs  me,  this  kind  of  appeal  to  the  emperor 
belonged  to  the  privileges  of  Roman  senators  in  that  period.  However 
that  may  be,  the  invocation  of  the  emperor's  name  in  case  of  acts 
of  violence  was  practiced  in  Rome,  according  to  Ammianus,  by  the 
end  of  the  fourth  century.  Perhaps  additional  relevant  places  will  be 
found  in  time.  It  does  not  seem  likelv.  however,  that  the  invocatio 
noiuinis  inipcratoris  is  reflected  also  in  the  tufioiiOiL;  or  nardfioijOi^ 
which  can  be  traced  to  Ptolemean  papyri  and  which  later  on  was  of 
some  importance  in  By/antine  law  where  it  is  found  also  in  the  widely 
known  vuikk  ;-/  (.;o;7»a)s  of.  probablv,  the  seventh  century.'"  It  is  dif- 
ficult to  reconstruct  the  jirocedure  on  the  basis  of  that  agrarian  law. 
Hov.ever.  when  landed  property  was  trespassed  the  person  affected 
could  set  up  a  c  clamour  »,  that  is,  remonstrate  and  complain  before 
the  local  official.  A  case  of  that  kind  is  known  in  the  year  441  wi.en 
such  a  complaint  was  brought  before  the  proconsul  of  the  province 
of  Asia.''  That  one  appealed  on  that  occasion  to  the  king  by  invoking 
his  name  was  perhaj)s  the  custom  in  Egypt,  but  apjiarently  not  in 
Byzantium.  At  any  rate,  on  the  basis  of  our  present  evidence  it  would 
be   hazardous   to   connect   the   Sicilian    dcfoisa   with   that   Byzantine 


custom. 


(35)  Ammiani's  Marcki  i.im  s.  XWIII,  i,  55f:  cf.  Andrkw  Ai.ioi.di,  A  CstiflicI  of  Ideas 
in    the  l.ttic  Roman   Empire,   Oxford,    1952,   74  and    136,   n.    26. 

(36)  Cf.  I,oi:is  Urfiiifr,  '.  \.'fl{boesi'i  dans  le  droil  populairc  a  Bvzance  ».  Miscellanea 
Cuilliiinne  de  Jerplianion  (=  Orientalia  I'hristiana  I'criodita,  XIII),  Rome.  1Q47,  3.^tt.  For 
the  Aj;rarian  Law  (niainlv  §§  32  and  81),  see  the  edition  bv  Walter  Ashburner.  •The 
Farmer's  Law  )•.  Journal  of  Hellenic  Studies,  XXX,  1910,  R^ff,  and,  for  a  translation,  ibid., 
XXXII,  1912,  6Sff.  For  the  date  (between  early  7th  and  early  Hth  centuries),  see  Franz 
Doi.(;i:r,  ..  1st  tier  Xonios  Georgikos  ein  Gcsetz  des  Kaisers  Justinian  II.?  »,  Miinchener 
Heitrui^e  ziir  Pafiynisforscliiint^  XXXV  (=  Festschrift  Wcnger,  II),  1945.  18-48;  cf.  Georc 
OsTROooHSKY.  Gesclticlilc  des  byzantinischen  Staates,  Munich,  ic^4o,  54,  n.  1;  also  E.  E. 
LipSic.    Ii\:anz   iind   die   Slaven,   Weimar.    1951.   38ff. 

(37)  Hk.nri  Grkc.oirk,  .  Mictles  d'histoire  by/antine  >,  Anatolian  Studies  for  Sir  William 
Mitchell  Ramsay.  Manchester,  1923,  I57f.  Asiihurnf.r,  op.  cit..  XXXII,  90  and  94f,  translates 
H'iT(t/iot}r  with    I.  complain  ». 

(38)  Mr.  Coi.iN  Roberts,  at  Oxford,  kindly  called  niv  attention  to  the  ft'tFvii^,;  (petition) 
fig  Til  Tov  l^(ini/J(.t^  /'niiiin.  which   is  found   in   the  ])apyri   of  the   third   century  B.   C.    (cf. 


II 


Andreas  of  Isernia  claims  in  his  Pcregrinu,  the  learned  gloss  on 
the  Liber  aiigustalis  written  around  1309,  that  Frederick  IPs  lus  de- 
fensae  represents  a  ius  novum.'"  This  is  not  quite  correct,  since  the 
defen.sa  by  invocation  of  the  king  or  of  a  local  power  existed  before 
1 23 1.  What  seems  to  have  been  new  was  that  Frederick  II  severed  the 
private  defema  definitely  and  completely  from  all  entanglements  of 
local  jurisdiction  and  tried  to  brmg  those  cases  directly  before  his 
courts  or  the  Magna  Curia.  A  means  to  that  end  was  his  order  de- 
creeing that  a  jirivate  person  could  impose  a  defen.sa  onlv  bv  invo- 
cation of  the  emperor's  name,  and  later  glossators  excluded  most 
emphatically  any  other  invocation,  though  Matlhaeus  de  Atflictis 
adds:  msi  regnum  esser  vaean,  a  rrge;  for' in  this  case  posset  imponi 
defensa  sub  nomine  Papae,  since  the  pope  was  feudally  the  lord  pa- 
ramount of  the  kingdom.'"  7'he  reason  for  this  practice  is  perfectily 
clear:  the  invocation  of  a  local  lord  would  have  brought  the  case  be- 
fore the  court  of  the  lord  whose  protection  was  impbred.  The  inten- 
tion of  the  emperor,  however,  was  to  make  every  defensa  case,  as  it 
were,  a  p/aeituni  coronae,  a  plea  of  the  Crown,  and  thereby  to  freeze 
out  the  jurisdiction  ol  feudal  and  ecclesiastical  lords.  Through  the  pri- 
vate defensa  every  individual  subject  was  forced  to  submit  to  the 
jurisdiction  oi  the  Crown  directly  —  a  development  of  administrative 
technique  which  was  in  full  swing  everywhere  in  Western  Europe.  It 
seems,  therefore,  that  Frederick  IPs  innovation  (if  we  disregard  other 
technical  details)  consisted  chiefly  in  decreeing  the  invocation  of  the 
emperor's  name  throughout  the  realm,  uniformly  and  without  an 
exception,  as  a  means  of  undercutting  the  competency  of  local  courts. 

It  is  legitimate  to  ask   whether  there  can   be  found  any  link  to 
the  Hellenistic    models.  Hans    Niese    verv    correctly    observed  that  in 


F.  PRElsiciKt,  Wiirterbucli  der  i^riecliischen  I'apyruswkiinden.  Berlin,  192s.  II,  i8,,  s.  x. 
J'lVftfiu.  2e)  and  suspects  that  the  later  ?^i.-/.'o»/r,(..  had  a  similar  meaning.  In  fact,  some  of 
the  papyri  mentioned  bv  Sciiibart  (p.  16)  suggest  likewise  a  petition.  Herliner  Criechische 
Urkunden.  VIII,  176;,  ^f  (W.  SciiinART  and  D.  Sciiafir,  Spdtptolemdische  Papyri,  Berlin, 
ic;33.  p.  40),  says  that  the  people  went  to  the  gates  of  the  city  i:„i  rni l^ln<:>eroTa^'i  urn Ainnn,; 
Hill  !\vi  nun,;  to  remove  frmi  the  region  some  criminal  with  his  cotiipanions.  That  is.  thev 
"  implored  the  queens  and  military  authorities  »  to  ban  those  malefactors,  or  appealed 
to  the  Kiini'^smachl  als  Canzes,  as  Schubart  put  it,  which  however  does  not  imply  that  the 
queens  (of  the  year  58  B.  C.)  were  personally  present.  This  case  (and  two  others  quoted 
by  Schubart)  is  apparently  more  closely  related  to  the  incident  described  bv  Gregoire  (aliovc. 
n.  37)  than  to  the  iinocatio  imperatoris  niennoned  b\  Apulcius.  Nor  is  it  a  clamor  in  the 
legal  .sense,  though  it  is  perhaps  compaiablc  to  the  Roman  <  i/m  questione  inclamme  which 
Wicacker  (above,  n.  33),  p.  147.  renders  with  ..  klagefiihr-nd  um  Gericht  rufen  »:  onlv. 
the  inchiinare  in  Eg\pt  seems  to  have  included  the  spelling  cut  of  the  ruler's  name. 
However,  it  has  to  be  left  to  the  competent  legal  historian  to  solve  the  intricacies  of  the 
law  of  the   papvri. 

(39)  On    /,»/..   auf^.,  I,    16.   Cervone,   38. 

(40)  Mattii.  Akfi.ictis.  on  Lib.  ciuir..  I,   17  (=    I,   18),  n.   20,  fol    95V;  see  alxjve,  n.   11. 


U     L 


I    L 
I     J 


Frederick's  laws  the  word  invocatio  was  merely  a  rhetorical  phrase 
circumscribing  rather  than  describing  the  formula  by  which  the  de- 
fensa  should  be  imposed;  tor  the  correct  formula  was  ex  parte  impe- 
nail  {imperatoris)  prolnbeo,  as  the  lawbook  itself  explains: '^  and  this 
is,  strictly  speaking,  not  an  invocation:  it  is  an  action  «  In  the  Name 
of  the  Emperor  ...^Whence  then  did  the  imperial  dictatores  who  for- 
mulated the  law  derive  that  phrase?  It  will  not  he  too  bold  to  answer: 
from  Apuleius.  For  Apuleius'  nomen  augustum  Caesaris  invocare 
bears  so  much  resemblance  to  the  twice-repeated  phrase  nostri  nomi- 
nis  invocatio  of  the  Libcr  augustahs  that  a  rhetorical  dependence  ap- 
pears plausible  enough.  Apuleius  was  not  an  auctor  ignotus.  We  hap- 
pen to  know  of  a  12th  century  manuscript  of  the  Metamorphoses 
in  Beneventan  script  which  was  in  Monte  Cassino,  that  is,  in  the 
Sicilian  kingdom,"  and  there  is  every  reason  to  believe  that  copies 
of  that  author  were  available  to  the  imperial  dictatores  in  the  13th 
century.  Nor  can  we  assume  that  Apuleius  should  have  escaped  the 
«  Apulians  »  or  that  they  missed  the  importance  of  the  invocation  of 
the  emperor's  name  which  the  Roman  poet  mentions.  If  that  be  correct, 
then  Frederick  II  would  have  restored  through  Apuleius  not  so  much 
a  Roman  as,  indirecdv,  a  Hellenistic  or  Ptolemean  custom,  when  he 
decreed  that  the  defensa  be  imposed  per  invocationem  nostri  noniinis. 
In  concluding,  a  word  may  be  added  about  the  imperial  ubiquity. 
The  Pseudo-Aristotelian  De  nuindo  was  known  in  the  West  during 
the  Middle  Ages  through  a  Latin  translation  made  by,  or  at  least 
ascribed  to  Apuleius  among  whose  philosophical  writings  the  treatise 
was  included."  Two  independent  versions  of  the  De  mundo,  however, 
originated  in  the  thirteenth  century  in  the  Sicilian  kingdom  where 
translations  from  Greek  into  Latin  were  a  very  normal  occupation  in 
the  Norman  and  Hohenstaufen  periods.  One  translation  was  made, 
apparently  before  1240.  by  Nicolaus  Siculus  who  wrote  in  Paris;  the 
other  one.  occasionally  called  the  hitcrprctotio  Manfrediatia,  was  pro- 
bably made  even  before  that  of  Nicolaus  Siculus."  That  at  the  court 


(41)  NiESK.   Cesitzi^fbunf^.   34,   n.    y.   above,   n.    10. 

(42)  CI.   K,   A.    LowK,   The   Bcnevetilan    Script,   Oxford. 
•  The    l'iii<|iic    Manuscript    of   Apuleius'   Mctainorphosca    (I>a 
Transcript   (Lnurcnti.Tn.    ^y.i)  >'.  CLissical  Qiirirli'rly,   XIV.    192 

(43)  Aristolehs   (qui   fcrtui    libilhis)   De    mumlo,   cd.    W. 
and  W.  L.   Lorimkk.  The    Texl  TracHtwii  0/  Psetido-Arislolle 
University   Publications.   No   XVIlIl,    1924.    i(){f.   I   am   greatly 
Edelstcin,    in     Johns    Hopkins    University,    who    called    my 
transmission   of  l'>c   mundo. 

(44)  I-oKiMKR,  7V.V/  Tradition.  25-28;  in  his  edition  of 
revises  his  former  statinients  and  is  inclined  to  date  the 
saeculi   XIII   > 


gi4,    16,   as   well    as    his   study 

ureniian,    68.1)   and    its    Oldest 

o,    150-155. 

L.  I^)RiMKR.  Paris,  1933,  i8ff, 
'  De  mundo'  (=  St.  Andrews 
indebted   to  Professor  Ludwig 

attention    to    the    Sicilian    text 

De  mundo,  z6fi,  however,  he 
Manfrediana    «  fortasse    initio- 


\ 


«3 


of  Frederick  II  the  treatise  was  known  seems  most  likely,  especially 
when  we  read  in  Dc  mundo  the  detailed  description  of  the  King  of 
Persia  and  his  government,  which  I  quote  here  according  to  the  older 
version,  though  putting  the  variances  of  Nicolaus  Siculus  into  square 
brackets.^' 

The  passages  about  the  king  of  Persia  are  introduced  to  ex])lain 
how  the  deity  residing  in  heaven  and  far  distant  from  the  terrestrial 
sphere  could  yet  be  the  cause  of  everything  wholesome  on  earth.  For, 
says  the  author,  in  a  similar  fashion  the  Persian  Great  King  is  found 
residing  in  his  palace  at  Susa  or  Ekbatana  —  omnibus  invtsibilis. 
Nevertheless,  through  his  satellites  and  various  ranks  of  officials  and 
servants  ipse  rex  [imperator],  dominus  et  dens  nominatus  \dictus\, 
omnia  quidem  videt  [videat],  omnia  aiitcm  audit  [audiat],  because 
through  a  system  of  signals  by  beacon-fires  the  king  was  informed 
within  a  day's  time  about  all  events  in  the  mo>t  distant  parts  of  his 
far-flung  enijnre  stretching  from  the  Hellespont  to  the  Indus.  If  it 
were  unseemly  for  the  Persian  king  to  be  in  person  everywhere  {stan- 
tem  esse  ubique  [per  se...  insistendo  disponere]),  it  would  be  even 
more  unseemly  for  the  deity.  For  it  is  more  dignified  and  venerable 
to  reside  in  the  remoteness  of  the  sui)reme  region,  and  yet  to  be  the 
<:ause  of  everything  salutiferous  and  wholesome  "  by  the  power  exten- 
ding through  the  whole  world  »  (potentia  autem  per  universum  habi- 
iante   [vim  vera  per  universum   orbem    progressam])."' 

This  is  not  the  place  to  discuss  the  new  ideal  of  a  king  who 
personally  kept  remote  from  battlefield  and  visible  interference,  while 
being  only  invisibly  effective  through  his  power  —  an  idea,  by  the 
way,  which  was  represented  also  by  the  philosophical  romance  of 
Sidrach,  allegedly  translated  from  Arabic  into  Latin  for  Frederick  II, 
and  which   later  fascinated   Pierre  Dubois.'"  This  ideal  was  not  that 


(45)  The  two  versions  arc  edited   by    Lorimer.  Text  Tradition,  42fT. 

(46)  Lorimer,   Text   Tradition.  76ff:   cf.  De  mundo.    3^80  t,  ed.  Lorimer.  S^ff. 

(47)  Friedruii  Ai'GUST  von  der  Hevpte,  OiV  (ieburtsslunde  des  souzerdnev  Staates.  Re- 
■gensburg.  1952,  -,29f.  n.  v.  quotes  (unfortunately  without  folio  or  chapter)  from  the  as 
yet  unedited"  Paris,  Bibl.  Nat.  MS  24^95.  the  .advice  of  Sidrach  holding  that  in  the  case 
of  war  the  king  should  not  himself  Hght  his  battles,  but  stay  at  home  and  commission 
others  For  the  Sidrach  and  Frederick  II,  see  Cm  -\'.  Langi.ois,  l.a  connaissauce  de  la  nature 
et  du  mondc  au  mayen  d<ic.  Paris.  1911.  i8iff.  .85f;  Frederick's  tamous  questions,  trans- 
mitted as  an  addenc.um  to  Slichael  Scotus'  I.iber  particularis  and  first  published  by  Charles 
Homer  Haskins.  Sliidie,  in  the  Hiv/orv  of  Mediaeial  Science.  Cambridge,  1924.  2q2ff,  are 
quite  obviously  inspired  by  the  Sidrach  (see,  e.g..  Langlois,  207).  By  the  end  of  the  century 
Pierre  Dubois,'  Summaria  hrnis  et  compendiosa  doctrina,  cd.  Heiimit  Kampi  .  Ixipzig  and 
lierlin.  19^6,  p.  19.  lines  2ifT  (sec  a'so  Kampe,  Pierre  Dubois  und  die  geistigen  Grundlagen 
des  franziisischen  \ationalbe'dUsslseius  urn  ifoo,  Ui|)zig  and  Berlin,  1935,  70),  recommends 
Philip  IV  of  France  to  let   princes  and   dukes  wage  his  wars,   ^  [vos]   remanentes   in   terra 

-testra    natali,    liberorum    procrcacioni,    eorum    educacioni,    instruccioni,    cxercituum    prepa- 


U     L 


•4 

of  Frederick  II,  to  all  that  we  know.  It  is  rather  the  antithesis  of 
personal  and  potential  presence  of  the  emperor  that  we  are  interested 
in  here.  Obviously,  the  invocatio  nominis  imperatoris  was  supposed 
to  compensate  for  the  want  of  the  personal  presence  prohibente  indu 
viduitate  personae,  as  the  law  had  it.  The  emperor's  ubiquity  existed 
only  potentialiter  and  in  this  respect  it  was  effective  in  every  private 
individual  imposing  a  defcnsa  in  the  emperor's  name,  though  it  was 
effective  normally  through  the  imperial  officials.  This  idea  was  pro- 
claimed, time  and  time  again,  in  Frederick's  diploma  for  the  appoint- 
ment of  governors:  quia  pracsfntialiter  iihique  adesse  non  pnssumus,  iihi 
Innge  latequc  puti'titialiter  pri'Diineriuis."'  The  same  idea  was  repeated  in 
two  letters  transmitted  in  the  collection  of  Petrus  de  Vinea,  probably 
school  exercises,  where  the  emperor  supposedly  said :  Ciimque  ad  id  cxe- 
quendum  non  possumus...  personalitrr  interesse,  licet  snnus  potentia- 
liter uhique.^''  The  ensuing  assertion  that  through  the  medium  of  the 
officials  the  emperor's  commands  were  carried  '^  from  potentiality  to 
actuality  »,  de  potentia  ad  actum,  leaves  no  doubt  about  the  Aristo- 
telian background  of  these  utterances.'"  But  thev,  too,  imply  that  the 
emperor  was  potentialiter  iibique. 

The  ruler's  ubiquity,  however,  derives  also  from  the  Law,  Roman 
as  well  as  Canon.  The  Glossa  ordinaria  of  Accursius,  composed  proba- 
bly around  1228,  produces  the  legal  maxim  Fiscus  ubiqtie  praesens, 
meaning  that  the  fisc  could  never  forfeit  property  by  prescription  for 
"  absence  of  the  owner  »  because  the  fisc  could  never  be  absent :  it  \vas\ 


racioni  vacando  —  ad  honortni  Dei...  «  He  justifies  that  attitude  bv  hinting;  at  the  modet 
of  Roman  emperors  and  Tartar  khans :  «  ymmo  Icgitur  nonnullos  Romanos  im|)cratores 
sic  quam  plura  mundi  rcgna  et  climata  gubernasse.  Audivi  qucndam  qui  cum  Tartaris 
conver.satus  fucrar,  rccitarc  quod  rex  terre  eorum  quiesciens  circa  medium  regni  sui  sic 
mittit  ad  singulas  partes  cius  pugnans  per  alios  cum  nccessitas  hoc  cxposcit  ».  News  about 
the  Tartars  and  the  brilliance  of  their  capital  were  readily  accessible:  see,  e.g.,  Leonardo 
Ol.sciiki,  GuiUaume  liouchcr:  A  French  Artist  at  the  Court  of  the  Khtiin,  Baltimore,  1946. 
The  ideal  of  the  rex  quiesciens  or  roi  assis  became  prominent  again  under  Ch,nrles  V  of 
France;  see  Heydte,  334,  n.  41,  whose  ultimate  source  is  probably  Christine  de  Pisan,  Le 
livrc  des  fais  et  bonnes  meurs  du  sai^e  my  Charles  V,  cd.  S.  Soi  knte.  Paris,  1936.  131: 
"  Ci  dit  comment  le  roy  Charles  moult  conquestoit  en  ses  guerres,  non  obsiant  n'v  alast 
en  i^rsonne  »;  or  Froissart,  Chroniques.  II,  §87,  ed.  Gaston  Raynai'd,  Paris,  1894,  vol. 
I.\,  127:  .(  car,  tons  quois,  estans  en  ses  cambres  et  en  ses  deduis,  il  reconqueroit  ce  que 
si  prediccsseurs  avoient  perdu  sus  les  camps,  la  teste  armce  et  I'tspcc  en  le  main...  >.  To 
what  extent  this  new  ideal  may  have  Ix-en  influenced  bv  the  ideal  of  Ps.  Aristotle's  De 
muiido  and  by  the  jurists'  concept  of  the  king  as  dcus  in  terris  would  need  further  invest- 
gaiion. 

(48)  Monumenta    Germaniae    Historica.    Constitutiones    et    Acta    puhlica,    II,    No.    223, 

(49)  Petrus  de  Vinea,  Ep.,  Ill,  68,  ed.  Simon  Schard,  Basel,  i  s66,  p.  507;  cf.  Ep  ,  III, 
69,  p.  511. 

{50)  Ep.,  Ill,  68,  p.  507:  «  ...ut  quod  in  potentia  gerimus,  per  eos  velut  ministros  iusti- 
ciae  deduceretur  ad  actum  >..  See  also  Ep.,  Ill,  64,  p.  493:  ,.  quo  medio  in  actum  velut 
de  ])otcntia   singula  prodeunt  ". 


15 

always  and  everywhere  present.'  The  maxim  Fiscus  ubiqtie  praesens 
remained  standard.  It  was  repeated,  e.  g.,  by  Marino  da  Caramanico 
in  his  gloss  on  the  Liber  angustalis,''  and  it  was  quoted  by  Matthaeus 
de  Atflictis  in  a  similar  connection."  Finally  Baldus  drew  the,  so  to 
speak,  logical  and  last  consequence:  Fiscus  est  ubique  et  sic  in  hoc 
Deo  similts  est.''  But  ubiquity  was  not  restricted  to  the  fisc,  it  belonged 
also  to  the  Church  and  to  the  administration  of  justice.  The  Glossa  or- 
dinaria on  the  Digest  claimed  that  the  fisc,  the  Church,  and  the  admi- 
nistration of  justice  (pfjicnim  magistratuum)  were  de  jure  publico.  Per- 
haj)s  we  might  say  that  only  something  that  was  «  public  »  could  be  also 
('  ubiquitous  ».  Ihe  maxim  Roniana  Ecclesia  ubique  est  was  naturally 
recognized  as  valid,  with  or  without  reference  to  the  ecclesiastical  fisc; 
for  the  Church  was  publit  in  an  eminent  sense. ^"^  Hence,  the  emperor, 
being  the  persona  publica  without  restriction  and  par  excellence,  had 
ubiquity  in  a  juristic  sense.  Baldus.  when  commenting  on  the  passage 
of  the  Digest  where  the  argument  of  Chrysippus  on  the  rotio^  fjaot/.ev^ 
is  mentioned,  says:  «  The  king  is  the  animate  Law  (Nov.  105,  2,  4), 
and...  therefore  the  subjects  can  say:  I  sleep,  and  my  heart,  that  is,  my 
king,  watches  ». ''  In  other  words,  the  Prince  as  the  lex  animata  and  the 
viva  et  vigilans  iustitia  was  credited  to  be  omnipresent:  and  he  had  ubi- 
quity, ah  )ve  all,  ratione  uuisdictionis  et  protectionis.'"  It  is  this  doctri- 


(51)  Glossa  ordinaria.  on  C.  7,  37,   1,  gl.  "  Continuum  ". 

(52)  On  Lib.  aug..  Ill,  39,  Cervone,  399:  "  ...sic  non  loquitur  de  tisco  qui  semper  est 
praesens  'i. 

(53)  ,M.\TTii.  AiKUCTis,  on  Lib.  aiifi.lU.  31  (~--  III.  39),  n.  3,  vol.  Ill,  fol.  i86r:  "  Nee 
rcquiritiir  probare  de  praescntia  fisci :   quia  fiscus  semper  est  praesens  ». 

(54)  Bai.dis,  on  C.  7,  37.   I,  n.  i   (Venice,   1586),  fol.  37r;  cf.  fol.  28r. 

(55)  G/o.v.sn  ordinaria,  on  /);g  ,  1,  1.  1.  2.  c.\.  «  in  sacns  :  cf.  Gainks  Post.  «  The  Two 
Laws  and   the  Statute  of  York  «.  Speculum,  XXIX.   1954,  421.  n.    18. 

(56)  Marc;is  Antoniis  Peregrims,  De  iure  fisci  iihri  octo  (Venice,  161 1),  I,  2,  n.  22: 
"  ...quia  sicut  Romana  Ecclesia  ubique  est,  sic  fiscnm  Fcclesiao  Ronianac  ubique  existcrc 
oportet  ». 

(57)  BAi.ni:s,  on  Dit^..  1.3.2  (\enice.  1586),  fol.  \-\\  "Rex  est  lex  animata:  et...  subditi 
possunt  tunc  dicere:  Ego  dormio  et  cor  meum.  id  est.  Rex  meus,  vigilat  (Cant.,  5.2)...  »  Baldus 
aciuallv  fuses  two  different  doctrines,  lex  est  rex  and  the  king  as  lex  animata,  both  deriving 
from  Roman  Law  (Dig.,  i.  3,  2,  and  .Voi..  105,  2.  4).  This  is  true  also  of  Aecidiis  Romanus: 
De  rei^miine  principum,  I,  i,  c.  12  (cfr.  R.  W.  Cari.yi.e  and  A.  J.  Carlyee,  A  History  of 
Mediaeval  Political  Theory  in  the  M'est.  Edinburgh  and  Ixindon.  1928.  V.  76,  n.  2) :  «  Est 
enim  rex...  quaedam  lex,  et  lex  est  quidam  rex  sive  princeps:  nam  lex  est  quidam  inani- 
matus  princeps,  princeps  vero  est  quaedam  animata  lex  •.  The  doctrines,  only  vaguely 
connected  with  the  idea  of  royal  omnipresence,  shall  not  be  discussed  here:  sec  Hvns  Erich 
Stier,  tX,„in^  fiiifl(/i.Fr^*,  Pliiloloiius.  LXXXIII,  1928,  225-258:  Artir  Steinwenter,  ..y.w/o,s 
f/ui/fvyoi;:  Zur  Geschichte  einer  politischcn  Iheoric  »,  Anzeijicr  der  .{kademie  dcr  Wisser. 
schaf'ten  in  Wien,    LXXXIII,   1946.  250-268. 

(58)  For  the  king  as  an  ever  vigilant  justice,  sec  Ai.berti  s  M.\cnus.  hi  Matthaeum,  VI, 
10,  ed.  A.  Borgnet.  Paris,  i8<>3,  vol.  XX,  266:  .  Haec  autem  potestas  animata  del>et  esse 
iusiiti."i,  quia  rex  non  tantum  deln-t  esse  iustus....  non  torix?ns  vel  dormiens,  sed  viva  et  vigi- 
lans iustitia  ».  Sec  also  above,  n.  22.  and  Lib.  aug.,  I,  17,  for  iurisdiclio  el  prolectio, 


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ne  which,  at  the  end  of  a  long  historical  development,  was  couched  by 
Sir  William  Blackstone  in  the  loUowine  words: 

«  A  consequence  of  [the  king's]  prerogative  is  the  legal  ubiquity  ot  the 
((  king.  His  majesty  in  the  eye  of  the  law  is  always  pres>ent  in  [all  his  courts... 
«  It  is  the  regal  office,  and  not  the  royal  person,  that  is  always  present  in] 
«  court,  always  ready  to  undertake  prosecutions,  or  pronunce  judgment  for 
«  the  benefit  and  protection  of  the  subject  ».'"'' 

The  distinction  between  office  and  person,  to  he  sure,  was  not  as 
clear-cut  in  the  earlv  thirteenth  century  as  it  was  in  the  eighteenth 
when  Blackstone  wrote.  But  ubiquity  of  emperor  or  king  as  a  persona 
piiblica  for  the  sake  of  jurisdiction  and  protec  tion  —  this  is  still  the 
same  compound  of  ideas  and  the  same  language  which  guided  Fre- 
derick II  when  he  issued  the  laws  of  defensa  and  introduced  for  the 
whole  kingdom  of  Sicily  the  invocalio  nominis  imperatoris  as  a  legal 
remedy  against  violence  and  attack.'"' 

Of  all  these  implications,  of  course,Cielo  d'Alcamo  was  not  aware 
when  he  wrote  his  Contrasto;  nor  the  young  lover  when  he  bragged 
about  paying  a  defensa  of  2000  augustals:  nor.  for  that  matter,  the 
girl  when  she  was  kissed.  Their  ubiquity  was  of  a  different  kind. 


The  Institute  for  Advanced  Sliulv 
Princeton,  U.S.A. 


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(59)  Sir  Wnj.iAM  Blackstone,  Commenlaries  nn  the  La'ds  of  England,  p.  *  270  (all  edi- 
tions have  the  same  pagination). 

(60)  Only  after  having  returned  the  galleys,  did  I  gel  to  see  the  aitide  by  Ridolf  M. 
Ki/x)s,  Nikolaus  von  Hari,  fine  nciic  Otii-llc  ztir  Kh(.i.i<  fe/ioji;  tier  Kaiscridec  uulcr  Frie- 
drich  II.,  in  Driitsches  Archiv.W  (19^4),  166-190,  in  which  we  find  another  allusion  to  the 
emperor's  ubi<juity.  Nicholas,  Abbot  and  Deacon  of  the  Church  of  Ban,  wrote,  in  or  after 
1235,  an  encomium  in  praise  of  Frederick  II  in  which  he  demanded  (p.  175,  §  16)  that  evcrv 
subject  serve  the  emperor,  ■  (juia  omnia  novit  et  falli  non  potest...,  quia  ubique  eius  poten- 
tia  invenitur  et  ideo  fuge  aditus  denegalur;  si  asccndcro  ad  cclum,  ad  summa  moncium, 
illuc  est,  et  si  descendero  ad  infernum  (Ps.  138,8),  id  est  in  abditis  latitavero,  non  efTugiam 
manus  cius  (Sap.  16,  15:  Tob.  13,  2)  iuxta  illud  poeticum :  .In  nescis  longas  rei^ibtis  esse 
manus  ».  This  is  the  same  line  from  Ovid  which  Marino  da  Caramanico  quoted  (above, 
n.  21).  The  encomia  of  Abbot  Nicholas  of  Bari  deserve  to  be  studied  and  analysed  very 
thoroughly. 


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'ictu.,utke  ICE  BOX 


TO  THE  EDITOR:  This  selection 
herein  submitted  to  you,  we  hope 
will  not  prove  too  subversive  or 
controversial  to  preclude  its  pub- 
lishment. We  felt  it  closely  reflected 
the  classroom  atmosphere  that  too 
many  academicians  have  to  work  in 
today.  As  to  this  writer's  identity, 
he's  but  a  fifth  amendment  poet 
without  a  tinge  of  pink  except  for 
his  short  term  as  president  of  the 
Politburo. 

Ode  to  Hysteria  (tune:  "I  am  the 
very  model  of  a  modern  major  gen- 
eral") 

I  am  the  very  model  of  a  mem- 
ber of  the  faculty. 

Because  I'm  simply  overcome 
with  sentiments  of  loyalty. 

I  daily  think  of  reasons  why  I'm 
so  glad  to  be  American, 

And  thank  the  Lord  I've  always 
been  a  registered  Republican. 

The  thoughts  I  think  are  only 
thoughts  approved  by  my  commu- 
nity. 

I  pledge  allegiance  to  the  flag  at 
every  opportunity. 

I  haven't  had  a  thing  to  do  with 
Communist  conspirators. 

And  neither  have  my  relatives, 
descendants  or  progenitors. 

I  try  to  keep  away  from  proposi- 
tions controversial; 


I've  no  opinions  social,  political 
or  commercial. 

And  so  you  see  that  I  must  be, 
with  sentiments  of  loyalty. 

The    very    perfect    model    of    a 
member  of  the  faculty. 
Chorus 

And  so  you  ."jee  that  he  must  be, 
with  sentiments  of  loyalty. 

The  very  perfect  model  of  a  mem- 
ber of  the  faculty. 

I'm  qualified  to  educate  in  mat- 
ters of  heredity, 

Un.sullied  by  the  taint  of  any  doc- 
trinaire rigidity. 

I  teach  the  Darwin  theory  with 
evaluation  critical. 

Uninfluenced  by  dogmatics,  re- 
ligious or  political. 

I  understand  the  economic  forces 
that  have  made  us  great, 

The  system  of  free  enterprise  I 
do  not  underestimate. 

I'm  well  equipped  objectively  to 
point  out  flaw.=  in  Marxist  thought. 

Because  I've  never  read  his  work 
and  rest  assured  I  will  not. 

I  freely  follow  the  truth  in  ways 
which  I  am  sure  will  satisfy 

The  Board  of  Regents,  'Wilham 
Hearst,  and  Hoover  of  the  F.B.l  — 
Art  linear.  Bill  Toles  and  Jim 
Green. 


n    J   u    J 

u    L    u    J 


-rnsis  Cl'irouica  Boemonua.  II,viii,  ed.  B.  Bretholz, 
■>.,,   ns.  95-4. 

[Bohemians,  in  1040  object  to  Henry  III  raising  the 
amount  of  tribute,  which  had  been  fixed  they  say  by 
Charleaagne  •  s  son  Pippin.  The  ECiueror  justifies  his 
action  with  the  following  speech.] 

Re^ibus  hie  mos  est  semper  alit.uid  novi  legi  ac'dere 

anteriori,  necue  onim  amis  lex  est  constituta  tempore  in 

uno,  sed  per  successores  regum  crevit  serin r  legum.  Nam  qui 

regunt  leges,  non  reguntur  legibus,  quia  lex,  ut  aiunt  vulgo, 

cereum  habet  nasum  ot  rex  ferream  manum  et  longam,  ut  earn  |^ 

placeat . 
flectere  queat,  quo  sibi/  [Ed.  notes  Grimi:.,  «(f<Jrterbuch,  VII, 

408,2;  XIII, 130, 4  ]  .  ippinus  rex  fecit  quod  voluit;  vos 

autem  nisi  quo  volo  faciatis^  ostendam  vobis,  quot  pictos 

habeam  clipeoo  aut  quid  bello  valeam. 


^J 


i  I    J    u    u 

U     L     U       I 


FORDHAM     UNIVERSITY 
New  York  58,  N.  Y. 


DEPARTMENT  OF  HISTORY 


June  14,195l> 


D«ar  Eka, 


c 


llftny  thanks  for  your  equally  charming  and  erudite 
paper  on  Cielo  d'Alcamo's     Rosa  Pre  sea  — oMly  you 

could  achieve   such  a  combination.     Sjnong  the  many 


interesting  things  in  the  article,    I  was  particularly 
struck  by  the   antithesis  praesentialiter-potentialiter, 
because,    just  as   in  the   antithesis  of  legatine  power 
and  papal  plenitudt  potestatis.  here, too,    the  formulation 
of  absolutism  seems  to  deTelopput  of  the   impossibility 
of  actual  omnipregeace.  ' 

I  hope  you  are  v/ell,    and  I   shall   see  you  during 
the   summer  either   in  Sea  Grirt  or,  if  not,  if  I   should  come 
to  Princeton.    T  am  now  working  hard  at  my  reform  book, 
even  though  I  am  really  dreadfully  tired, especially  as 
T  had  to  gc   to  Toronto  a  week  ago  to  bring  my  more  and 
more   invalid  mother-in-law  to  Jcarsdale,    and  since  then 
John  has  had  virus  pn(JVJnonia;he   is  getting  over  it  novf. 

The   trouble   is  that  one  finds  so  many  more 
intersting  things  wdiile  working. I   still  have   to  write 
two  short  but  concentrated  chapteiyon  reform  terminology 
and  ideology  in  the  early  liturgy  an"   canon  law  and 
to  enlarge   considerably  the  last  chapte.',on  early 
monasticism.   And  then, of  course, many  of  the   notes  are 
not  yet  in  definitive   shape.    I  hope   I  can  do  it  all 
during  the   summer.  Not  much  of  a  holiday 

Werner  Jaeger  has  asked  me   to  give   the  lecture 
on  Gregory  of  Nyssa's     anthropology  at  next  yea'^'s 
DO  Symposium. I  had  to  reply  that  I  can  only  do  it  if  I 
shall  have  finished  my  book  by  September, at  least 
"in  the   rough".    It  would  be  nice   to  give   the  lecture; 
nevertheless,!  half  hope  he  will  not  be  able  to  wait. 

With  best  wishes 
Yours  as  ever 


^z- 


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Tho:nasHodRkin,  Tlielettorr,  of_Ca^:iPiHHil>  London,!  •  •,  3/i-i^->i-!-. 
Car^siodor:  7'- ---no,  B^.Vjr,  "^orv-lp  ?o  "porTnula  bcstOTinr  trolice 
IrotGctlor '".    fTuitio  Ilefrii  noninie.  ' 

"Thounih   it   seen3    superfluous   of   rrrant   ^^  J^^  J^T^J^J^f  ^' 
to  r,nv  of  our   sub.lects,    since  all   are  Phielded  by  the 
lavrs,'-et  no-ed  by  your   cr"  for  help  v;e  a-e   -niinr  ^o 
rnl^ve  ^^ou  and  to    -ive  you  as  a    str-n-  torer  oi    defence 
the   s^-^elter  of  our  name    (tuitio  nostri  nonmis),.  into 
which  you  rr^-  retire   v,^ien  v/ounded  ^The  assaulc.    of 
cnenies. 

^d.note,    thi?    -'ettor  com-iented  unon  by  Dahn,    Koniry;.  '^^  92^^:1^^' 
iii,    1P.^-1?7. 


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REPRINT 


FROM 


LATE  CLASSICAL 

AND  MEDIAEVAL  STUDIES 

IN  HONOR  OF 

ALBERT  MATHIAS  FRIEND,  JR, 


EDITED   BY   KURT  WEITZMANN 

■WTTH  THE  ASSISTANCE  OF 

SIRARPIE   DER   NERSESSIAN     •    GEORGE    H.    FORSYTH,  JR. 

ERNST    H.   KANTOROWICZ    •    THEODOR   E     MOMMSEN 


PRINCETON,  NEW  JERSEY 

PRINCETON    UNIVERSITY   PRESS 

1955 


/  /     J    U     L 

U     L        I    U 


23.   THE  CAROLINGIAN   KING 
IN   THE  BIBLE  OF  SAN  PAOLO  FUORI   LE  MURA 

ERNST  H.    KANTOROWICZ 

NOTHING  is  problematic   about  the  approximate  date  of  the  magnificent  Caro- 
lingian  Bible  which  for  a  long  time  had  been  deposited  in  the  Roman  monastery 
of  San  Callisto  before  it  was  entrusted  to  the  care  of  the  Benedictine  monks  of  the 
Abbey  of  San  Paolo  fuori  le  mura.  Artistic  considerations  make  it  impossible  to 
suggest  for  that  precious  manuscript,  whme  ceremonial  throne  image  is  closely  related 
to  that  of  the  St.  Emmeram  Codex  aureus  in  Munich,  a  date  other  than  the  latter  half 
of  the  ninth  century.  This  was  a  period  when  the  Carolingian  school  of  painting, 
which  Professor  Albert  M.  Friend  ingeniously  tried  to  locate  in  St.  Denis,  was  at  its' 
best.^  Since  the  Bible  is  dedicated  to  a  king  named  "Charles,"  lea\'ing  us  the  choice 
between  either  Charles  the  Bald  or  Charles  the  Fat,  the  work  must  have  been  executed 
in  the  sixties,  seventies,  or  eighties  of  the  ninth  century.=^  The  reduction  of  that  still 
rather  wide  chronological  margin  depends  entirely  upon  the  person  of  the  king  to 
whom  the  Bible  was  dedicated;  that  is,  whether  the  king,  ceremoniously  represented 
on  fol.  ir  (Fig.  i),  should  be  identified  as  Charles  II  or  Charles  III.  Needless  to  say, 
both  the  Bald  and  the  Fat  Charles  found  their  intercessors  and  champions  among 
modern  scholars  until  finally  the  law  of  gra\'ity  seems  to  ha\T  pre^-ailed:  the  scale 
of  Charles  the  Fat,  as  might  be  expected,  appeared  as  the  heavier  one.- 

One  clue  for  solving  the  question  has  been  given  by  the  artist  himself.  He  has 
covered  the  disc-like  globe  in  the  left  hand  of  the  prince  with  one  of  those  highly 
artificial  and  complicated  monograms  (Fig.  A)  M'hich  had  become  the  fashion  in 
Greek  and  Roman  antiquity  and  survived  throughout  the  Middle  Ages."  Unfortu- 
nately that  monogram  is  ambiguous  too;  it  may  be  deciphered  as  containing  a  reference 
to  either  Charles  the  Bald  or  Charles  the  Fat  and  to  either  one  of  their  queens. 
Richildis  or  Richardis.  and  therefore  it  is  of  little  help.  Indirectly,  perhaps,  it  may 

^Alben  M.  Friend.  "Carolingian  .A.n  in  tlie  Abbev  of  St.  Denib."  Art  Studies,  i    (iqitii^    67--     "Two 
Manascripts  of  tht  Sctiool  of  St.  Denis."  Speculum,  i   (1926).  59-70 

■^Mon.  Grrm.  Hi.^1..  Poetae..  m.  257   (So.  vi.  ,):  "Hunr  karolum  repem-  also  2=,8.  55:  ".  .  .  rex  Karolus 
ore  sertnub.  -^-^  «">jjui> 

=  Apart  from  Mabillon  and  Montfaucon,  who  took  it  for  granted  tliat  tlie  manuscript  should  be  ascribed 
to  Cltarles  the  Bald  (cf.  Dummler,  m:  Keuc.s  Archiv.  iv  [.87c,],  r,Hf..  {Jn-;  also  Pertz.  in:  Archtv.  v  fa 824]   4.6) 
lus  ascription  ha.s  beet,  favored,  for  example,  b^   Comte  P.  Dumeu.  "Ingobert,  un  grand  calligraphe  du 
IV  ^i^di^.    M.lan^cs  off  em  a  trmle  CMatelatn.  Paris  ,9,0,  pp.  .fl..  Friend,  op.  cU..  p.  71.  n   v  A.   Boeckler 
Al,endlandtsche  Mtmatureru  J^^lir.  and  Leipzig   1930.   .,76-.   though   tending  tow^ds  Charles  the  Bald 
leaves  the  question  undecided.  For  Charles  III.  see  H.  Janitschek,  D:e   Tr^rrer  Ada-Handschuft.  Leipzig 
.889.  P   99-  n    .S.  who  believed  that  tlie  manuscript  was  written  ca.  88..  tliat  is.  even  before  Charles  III 
becanu    king  of  Irance    (also  Traube:    below,  note  6);  F.   F.  Leitsdmh.    Gesrhichte  drr  Karohng:schrn 
Malere^  Beri.n  1894.  p.  87.  at  least  adds  a  question  mark:  <auf  Befehl  des  Konigs  Karl    (des  Dicken')  " 
Later,  however,  Georg  Leidmger,  Der  Codex  Aureus  der  Ba^en.sche-n  StautshibUothek  m  Munrhen    Munich 
1921 -.925.  VI.  ,23,  talks  about  "das  dem  Munchener  Codex  aureus  am  nachsten  stehende  Prachtwerk  der 
karc^mgischen  Buchkunst  ....  die  Bibel  Karis  des  Kahlen  in  San  Paolo  fuon  le  mura."  See  below,  notes  r,fi 
*  On  monograms,  see  V  Gardthau.sen.  Das  alte  Monogramm.  Leipzig  19.4:  also  s.v.  "Monogramm."  Ae 
XXXI   (.93J5  ,  133-143:  and  for  eariy  Christian  times.  H.  Ledercq.  s.v.  "Monogramme."  Dictionnane  d'arche- 
ologte  chrettenne  et  de  liturgie,  xi.8   (1934).  £369-2392. 

28  7 


/  /    J    u 
U    C       I 


ERNST  H.  KANTOROWICZ 


Fig.  A 

offer  an  additional  clue,  though  only  after  the  problem  has  been  attacked  and  solved 
or  clarified  in  a  different  fashion. 

The  chief  argument  in  favor  of  Charles  III  as  against  his  literature-inspiring  and 
art-patronizing  uncle  has  been  extracted  from  a  line  of  the  verse  inscription  filling 
the  purple  panel  under  the  throne  image  and,  as  usual,  interpreting  the  meaning  of 
the  scene.  Two  verse  lines  refer  to  the  veiled  queen  who,  followed  by  another  woman, 
probably  a  lady-in-waiting,  approaches  the  throne  from  the  king's  left  (Fig.  i).  They 
read: 

Nobilis  ad  laevam  coniunx  de  more  venustat, 
Qua  insignis  proles  in  regnum  rite  paretur. 

Beautifying  as  usual  is  the  noble  consort  on  the  left, 

By  whom  distinguished  issue  may  be  rightfully  given  to  the  realm. 

It  is  not  really  the  whole  couplet  that  is  supposed  to  decide  date  and  fate  of  the 
manuscript.  It  is  a  single  word,  the  subjunctive  paretur,  which  prompted  a  group 
of  scholars  to  assume  that  the  royal  couple  addressed  by  the  poet  was  as  yet  without 
children.  Against  Mabillon  and  Montfaucon  this  theory  was  produced,  in  1824,  by 
G.  H.  Pertz.'  It  gradually  became  the  vulgate  opinion  within  the  Monumenta  Ger- 
maniae  Historica.  Reluctantly,  and  almost  withdrawing  in  a  footnote  the  decision 
made  in  the  text,  even  Ludwig  Traube"  accepted  the  suggestion  of  Pertz,  which 
through  C.  Schnaase  and  H.  Janitschek  had  already  started  to  pen-ade  also  the  works 
of  art  historians.'  Monumenta  tradition  and  art  history  happily  came  to  cooperate  in 

^  Pertz,  Archiv.  v,  456[. 

"Traubt.  in  his  edition  of  Mon.  C.rrm.  Hist..  Poctae.  iii,  242.  ^vf.  "Cum  Penzio  tamen  crediderim 
Karoluni  III  esse  quo  auctore  codex  scriptus  est,  i.e.  intra  880  et  88;  nam  .  .  .  de  Karolo  Calvo  propter 
coniunctivum  i,  14  [reference  to  the  poem,  op.  cit..  257]  cogitari  nequit."  In  the  footnote  (n.  2),  however, 
he  sliow.s  that  he  feels  rather  uncomfortable:  "Haud  scio  an  haec,  dum  Pertz  et  Schnaase  f,see  next  note]  .  .  , 
mihi  imponuni,  confidentiu.x  pronuntiaverim.  Nam  quod  .Schnaase  .  .  .  adfirmat.  potest  errare:  quod  autem 
rex  orbus  dicitur,  contra  suadet.  ut  de  Karolo  Calvo  coRitemus  "  He  dien  refers  to  E.  Dummler,  Geschichte 
des  OstfratiktschfTi  Rficlie;.  Berlin  i8(),r,,  1,  r.Stjfl,,  758,  that  is,  the  very  places  which  actually  would  prove 
tliat  the  codex,  after  all.  refers  to  Charles  the  Bald. 

"  Janitschek,  op.  at..  99:  he  overstresses  the  meaning  of  rite  paretur  in  the  sense  of  legitimacy,  for  the 
line  merely  parallels  the  rtte  guherriat  which  refers  to  the  king  (line  6);  C.  Schnaase,  Geschichte  der 
bildenden  Kiinstr  tm  Mittelalter.  and  ed.,  Dusseldorf  1865-1879.  lu,  640,  n.  2,  actualh  preceded  Janitschek. 
and  exercised  some  influence  on  Traube. 

2  8  8 


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1.  Rome,  San  Paolo  f.I.m.  Bible.  Fol.  Ir:  Charles  the  Bald 


/  /    -'    u    u 

U     L        I       I 


X  I.  M 


1.  Rome,  San  Paolo  f.l.m.  Bible.  Fol.  Ir:  Charles  the  Bald 


•I 


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r 


2.  Rome,  San  Paolo  f.l.m.  Bible.  Fol.  185v:  King  Solomon 


3.  Paris,  B.  N.  Cod.  lat.  1111.  Fol.  2v:  Coronation  of  a  Prankish  Prince 


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THE  CAROLINGIAN  KING  IN  THE  BIBLE  OF  SAN  PAOLO 

the  works  of  Percy  Ernst  Schramm.  After  a  careful  investigation  of  the  whole  matter 
and  after  weighing  almost  all  the  pros  and  almost  all  the  cons,  Schramm  nevertheless 
followed  the  lead  of  Traube  and  Pertz  chiefly  because  he  felt  he  had  to  make  a  decision 
a  tout  prix.'  His  authority,  safe  under  the  carapace  of  Traube's  authority,  practically 
decided  the  matter  by  drawing  a  conclusion  which  seemed  straightforward  and  simple 
enough.  Charles  the  Bald  (so  the  argument  runs)  had  descendants;  Charles  the  Fat 
had  none.  The  poet  had  expressed  the  hope  that  the  queen  may  give  noble  princes  to 
the  realm.  Was  it  too  bold  then  to  conclude  that  the  subjunctive  (paretur),  which  in 
Latin  carries  also  the  burden  of  a  Greek  optative,  referred  to  Charles  the  Fat  without 
children  and  therefore  desirous  of  issue,  whereas  the  same  subjunctive  precluded  the 
identification  with  Charles  the  Bald  who  had  issue  and  therefore  could  not  reasonably 
be  desirous  of  more? 

Psychology  is  perhaps  not  so  good  a  guide  in  Carolingian  family  relations,  nor  are 
straightforward  solutions  always  the  best.  Three  persons  celebrating  their  birthday  on 
the  same  day  discover  that  together  their  ages  amount  to  99  years:  does  that  necessarily 
imply  that  each  participant  is  33  years  old?  Straightforwardness  with  regard  to  royal 
offspring  has  often  enough  wrought  havoc  with  datings  of  manuscripts  or  attributions 
of  poems  and  other  documents.  Emperor  Henry  H  was  made  a  saint,  not  to  mention 
other  miracles,  for  his  Joseph-like  marriage.  Do  we  have  to  blush  for  him,  or  for  the 
Church  which  mistakenly  canonized  him,  when  we  find  that  a  form  of  Laudes  casts 
a  shadow  on  his  chastity  by  indiscreetly  acclaiming  his  nobilissima  proles}  I  do  not 
think  so;  for  the  acclamatory  formula,  which  has  puzzled  scholars  of  rank,  had  the 
meaning  of  a  potentialis:  had  there  been  offspring,  the  princes  would  have  been 
acclaimed  as  nobilissima  proles.  That  is  all.  The  formula  does  not  indicate,  nor  is  it 
meant  to  indicate,  a  historical  fact.«  Things  are  no  better  when  the  historian  jubilates 
because  younger  kings,  precellentissimi  filii  reges,  are  acclaimed,  was  gerade  auf 
Ludwig  den  Frommen  passt.''  Unfortunately  it  is  the  live  essence  of  liturgical  formulae 
that,  in  one  way  or  the  other,  they  always  "fit  the  occasion,"  since  that  is  what  they 

8  Schramm,  "Umstrittene  Kaiserbilder  aus  dem  9.  bis  12.  Jahrhundert,"  Neues  Archiv,  xlvii  (1928),  478, 
makes  it  perfectly  clear  that  Charles  II  was  as  good  a  candidate  as  Charles  III;  but  then  he  decides  abruptly 
for  the  latter  without  offering  any  other  reason  than  the  authority  of  Traube  and  Pertz.  In  his  admirable 
work  Dte  Deutschen  Kaiser  und  Konige  in  Bildern  Hirer  Zeit:  75/7/52,  Leipzig  and  Berlin  1928,  641.,  that 
attribution  appears  as  an  established  fact,  and  also  the  caption  of  pi.  41  does  not  betray  by  a  question  mark 
Schramm's  former  wavering.  For  a  good  plate,  see  A.  Boinet,  La  miniature  Carotin gienne,  Paris  iq.9 
pi.  CXXI.  ^   ^ 

•See,  for  those  Laudes,  F.  Leitschuh,  Katalog  der  Handschriften  der  kgl.  Bibliothek  zu  Bamberg,  Bamberg 
1898, 1.i,  147;  also  Pat.  Lat.,  cxl,  54f.,  and  Acta  Sanctorum,  July,  iii,  699.  To  solve  the  nonexistent  mysteries 
of  a  proles  regalis  in  the  Laudes  of  Conrad  II  has  been  tried  in  vain  by  W.  Wattenbach,  in:  Neues  Archiv. 
"  (1877).  439-  Similar  efforts  of  F.  E.  Warren,  The  Liturgy  and  Ritual  of  the  Celtic  Church.  Oxford  1881! 
to  solve  the  problems  of  some  Irish  nobilissima  proles  in  an  Exultet  have  been  indicated  by  Edmund 
Bishop,  Ltturgtca  Historica.  Oxford  1918,  p.  297,  who  warns  of  the  "very  common  pitfalls"  of  those 
formulae  and  adds  that  it  is  "very  unsafe  to  attempt  strict  historical  deductions  from  liturgical  formulae, 
new  or  old."  See  also  his  remarks  on  p.  13,  where  he  sounds  another  warning. 

"See  E.  Eichmann,  "Die  Ordines  der  Kaiserkronung."  Zeitschrift  der  Savigny-Stiftung  fiir  Rechtsge- 
schichte  \.&n  Abt.,  11  (1912),  10,  who  overlooked  that  this  was  simply  the  standard  formula  of  the  Franco- 
Roman  Laudes  (see  my  Laudes  regiae,  Berkeley  and  Los  Angeles  1946,  pp.  losff.,  109,  n.  146);  but  others 
were  no  more  fortunate  in  other  respects  (see  Laudes,  p.  55,  n.  142,  or  p.  107,  n.  140). 

28  9 


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are  there  for:  if  offspring  there  be,  the  formula  will  be  sung;  and  if  there  be  none,  it 
will  not  be  sung;  and  if  it  were  sung  nevertheless,  no  great  harm  would  be  done 
because  its  presaging  solemnity  might  "fit"  an  occasion  to  come.  The  scholarly 
criticism  concerning  the  offspring,  however,  may  have  grossly  misleading  effects, 
which  brings  us  back  to  unlucky  Charles  without  children.  The  St.  Gall  ms  381 
contains  a  number  of  poems  'Tor  the  Reception  of  Kings,"  that  is,  poems  sung  for  a 
king's  adventiis  at  the  gates  of  the  monastery.  One  of  those  chants  is  formed  almost 
verbatim,  if  with  the  transposition  of  some  lines,  after  the  "Blessings"  of  Deut.  aSigff., 
and  reads: 

Blessed  shalt  thou  be  when  thou  comest  in, 

and  blessed  shalt  thou  be  when  thou  goest  out. 

Blessed  shalt  thou  be  in  the  city, 

and  blessed  shalt  thou  be  in  the  field. 

Blessed  shall  be  the  fruit  of  thy  body,  and  the  fruit  of  thy  ground. 

Blessed  shall  be  thy  basket  and  thy  store  .  .  . 

The  modern  literary  critic  who  maintains  that  the  words  Benedictus  fructus  ventris  tui 
"speak  against  attribution  to  Charles  III  whose  marriage  was  without  issue,  so  that 
to  all  likelihood  the  lines  referred  to  Louis  the  German,"  borders  on  blasphemy  and 
leaves  us  uncertain  as  to  whether  to  laugh  or  cry.  Those  Blessings  of  unsurpassed 
simplicity,  dignity,  and  beauty  "fit"  every  occasion,  every  Charles  and  Louis  and 
Henry,  simply  because  they  are  "Blessings,"  and  therefore  they  are  found  already  in 
the  Liber  responsalis  as  a  fitting  form  for  the  reception  of  any  and  every  king,  be  he 
even  a  king  without  a  fruit  of  his  body  or  a  basket  or  a  store."  The  literary  critic  did 
not  fare  better  with  another  susceptaculum  composed  of  four  lines  from  Hosea  i2:5f., 
and  a  burden  Salve  proles  regum  invictissimorum  intercalated  after  every  line  and 
serving  also  as  an  opening.  We  are  told  that  the  proles  must  refer  to  children  of  a 
ruling  king,  which  allegedly  wovdd  "fit"  only  the  sons  of  Louis  the  German,  among 
them  Charles  III,  and  only  before  August  28,  876,  when  Louis  the  German  died. 
Why  sons  should  stop  being  "offspring  of  most  unconquered  kings"  after  the  death 
of  their  father  is  a  mystery  of  literary  criticism  which  none  will  be  desirous  of  pene- 
trating; but  the  greeting  salve  proles  regum  fitted  every  ruling  Carolingian  king  of 
the  ninth  century,  since  there  was  none  who  had  not  kings  as  fathers  and  grand- 
fathers.'^ It  is  a  futile  occupation  to  try  to  extract  allusions  where  there  are  none,  just 

11  W^.  Bulst,  "Susceptacula  regum,"  Corona  Quernea:  Festgabe  Karl  Strecker  (Schriften  des  Reichsinstituts 
fiir  altere  deutsche  Geschichtskunde,  vi,  Leipzig  1941),  io5f.  It  is  the  merit  of  Dr.  Bulst  to  have  excavated 
tlif  technical  term  susceptacula  and  to  have  collected  the  St.  Gall  chants  sung  at  the  reception  of  kings; 
but  his  ascriptions,  practically  throughout,  are  doul)tful  and  often  untenable.  See,  for  the  Benedictus  tu 
in  civitate  etc.  the  responsories  In  susceptione  regum  of  the  Liber  responsalis:  Pat.  Lat.,  lxxviii,  828C. 

12  Bulst,  op.  cit.,  lo^ff.  Dr.  Bulst  assumes  that,  because  in  the  Laudes  the  acclamation  of  the  proles  regalis 
refers  to  the  younger  princes,  proles  is  always  used,  so  to  speak,  in  view  of  future  generations  and  not  of 
past.  This,  however,  is  wrong.  A  mature  emperor  or  king  could  still  be  proles  regalis.  Instead  of  long 
arg;uments,  it  suffices  to  quote  a  line  of  Walahfrid  Strabo  for  a  reception  of  Charles  the  Bald: 

Salve  regum  sancta  proles 
Care  Christo  Carole. 

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as  futile  as  the  effort  to  determine  the  month  or  season  of  the  year  of  a  king's  reception 
when  a  poem  says:  "When  thou  comest,  the  flowers  bloom  and  the  pastures  turn 
green  again.""  Nor  should  we  be  startled  when  we  find  that  a  number  of  charters  of 
Charles  III  contain  prayer-like  formulae  for  the  ruler's  proles:  it  has  been  recognized 
long  ago  that  as  historical  evidence  for  or  against  descendants  those  formulae  are 
completely  worthless.^* 

The  question  arises  whether  the  lines  under  the  ceremonial  throne  image  of  "King 
Charles"  in  the  Bible  of  S.  Paolo  likewise  are  without  value.  After  all,  to  express  the 
hope  that  a  queen  may  give  "distinguished  descendants"  to  her  kingdom  was  a  very 
natural  expectation  because,  once  more,  that  was  what  a  queen  was  there  for,  whether 
her  name  be  Hermintrude  or  Richildis  or  Richardis.  But  let  alone  the  possibility  that 
a  generality  was  expressed,  does  that  wish,  even  when  couched  in  the  subjunctive 
paretur,  necessarily  imply  that  the  queen  has  never  before  borne  children  at  all?  For 
one  thing,  the  queen,  after  having  given  birth  to  several  children,  may  have  been 
expectant  again  when  the  inscription  was  composed.  The  subjunctive,  all  by  itself, 
would  not  exclude  that  possibility.  Or  else,  her  children  may  have  died  or  been  crippled 
or  otherwise  incapacitated.  Why,  then,  should  it  not  be  desirable  that  the  queen 
give  birth  to  other,  and  perhaps  more  fortunate  children?  But  even  if  we  wink  at 
the  experts  and  assume  that  the  queen  to  "King  Charles"  was  meant  to  be  as  yet  with- 
out offspring,  it  would  demand  a  good  portion  of  hard-boiled  credulity  to  accept  any 
proposition  which  ruled  out  the  possibility  that  the  verse  might  yet  refer  to  a  queen, 
or  to  two  queens,  married  to  Charles  the  Bald." 

Charles  II  was  married  twice.  His  first  consort  Hermintrude  died  October  6,  869. 
She  had  given  birth  to  many  children,  to  at  least  four  sons,  so  that  (to  use  the  words 


See  Mon.  Germ.  Hist.,  Poetae,  11,  406,  No.  64.  In  another  poem  of  that  kind,  Charles  the  Bald  is  greeted 
on  his  entry  into  Metz: 

Carolus  praeclarus  Progenie  sancta 
Quern  Deus  elegit  Regere  gentes. 
Cf.  A.  Prost,  "Caractdre  et  signification  de  quatre  pieces  liturgiques  compos^es  k  Metz,"  Memoires  de  la 
societe  nationale  des  antiquaires  de  France,  xxxvii  (1876),  zogf.  There  was  no  panegyric  poetry  which  did 
not  stress  the  7eVo5  of  the  praised,  and  the  pattern  as  established  by  Simonides  and  Pindar,  poured  into 
rules  by  Aphthonius  and  Menander,  and  transmitted,  for  example,  by  Themistius  and  Himerius  to  the 
East,  and  by  Claudian  and  others  to  the  West  (see,  for  the  latter,  L.  B.  Struthers,  "The  Rhetorical  Structure 
of  the  Encomia  of  Claudius  Claudianus,"  Harvard  Studies  in  Classical  Philology,  xxx  [1919],  49-88),  was  of 
course  received  by  the  Carolingian  poets  and  preachers.  See,  for  example,  Hincmar's  allocution  to  Charles 
the  Bald  at  the  latter's  coronation  in  Metz  (869)  which,  though  for  special  reasons,  is  a  long  praise  of 
Charles'  ancestry;  see  Mon.  Germ.  Hist.,  Capitularia,  11,  340,  aSff.,  No.  276;  also  Friend,  "Two  manuscripts," 
p.  67,  and  below,  n.  47.  See  also  E.  R.  Curtius,  Europdische  Literatur  und  lateinisches  Mittelalter,  Bern 
1948,  p.  164,  for  the  panegyric  technique   (formula  laudis)  in  the  Middle  Ages. 

^  '■•'In  Egypt,  to  be  sure,  the  Nile  rises  on  that  occasion;  see  my  remarks  on  that  congaudere  of  nature  in 
"Kaiser  Friedrich  II.  und  das  Kiinigsbild  des  Hellenismus,"  Varia  Variorum:  Festgabe  fiir  Karl  Reinhardt, 
Munster  and  Cologne  1952,  p.  192,  nos.  69-70.  For  the  imperial  "Spring"  metaphor,  it  is  sufficient  to  quote 
Horace,  Carmina,  iv,  5,  6ff.: 

Instar  veris  enim  voltus  ubi  tuus 
Adfulsit  populo,  gratior  it  dies 
Et  soles  melius  nitent. 

"  See  Paul  Kehr,  in  his  Introduction  of  Mon.  Germ.  Hist.,  Diplomata  Karoli  Tertii,  p.  xl:  "Als  historische 
Zeugnisse  smd  diese  formelhaften  Bestimmungen  .  .  .  ohne  Bedeutung." 

"  It  must  be  admitted  that,  for  example,  Leidinger  or  Schramm  (above,  notes  3,  8)  did  not  rule  out  entirely 
another  solution  as  did  Pertz  and  others. 

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of  a  bishop)  "the  loyal  subjects  were  to  be  congratulated  for  having  the  best  hopes" 
for  a  secured  succession  to  the  throne."  However,  during  the  last  three  or  four  years 
of  Hermintude's  life  the  succession  came  to  rest  on  one  son  alone,  on  Louis,  a  stam- 
merer, whom  (according  to  the  same  bishop)  God  had  destined  "to  undergo  suffering 
as  all  the  faithful  know  to  their  sorrow,"  and  for  whom  Charles  the  Bald  showed  little 
sympathy."  It  is  true,  a  brother  of  Louis,  Karloman,  was  alive;  but  that  prince  had 
been  given  up  to  religious  life;  he  was  abbot  of  St,  Medard  and  did  not  count  as  a 
possible  successor  to  the  throne,  although  on  a  later  occasion  he  made  two  unfortunate 
and  abortive  efforts  to  seize  power,  whereupon  he  was  blinded  by  his  father.  Two 
other  sons  of  Queen  Hermintrude  died  within  a  year.  Lothar,  abbot  of  St.  Germain, 
who  had  always  been  in  ill  health,  died  in  865.  And  Charles,  King  of  Aquitaine,  had 
an  accident  while  hunting,  and  died  on  September  29,  866.'*  This  prince  was  already 
a  dying  man  when  Charles  the  Bald,  after  having  been  married  to  Hermintrude  for 
24  years,  asked  the  Prankish  bishops  assembled  in  Soissons  to  grant  his  consort  a 
solemn  coronation  and  unction." 

Separate  coronations  of  princesses  were  not  a  very  old  custom  in  the  Carolingian 
house;  but  by  866  they  were  not  unusual  either.  Charles  the  Bald  himself  had  ordered 
his  daughter  Judith  crowned,  in  856,  before  she  was  married  to  King  Eathelwulf  of 
East  Anglia.  Thereafter,  in  862  and  865  respectively,  Lothair  II  had  his  two  queens 
crowned.^"  Hence,  Charles  the  Bald  seems  to  have  followed  simply  the  new  custom  of 
which  he  himself  had  been  the  initiator  by  the  coronation  of  Judith,  when  after  a 
long  marriage  he  finally  demanded  a  solemn  consecration  for  his  consort  Hermin- 
trude. But  the  newly  established  custom  was  not  the  chief  reason  for  the  solemnity 
which  took  place  on  August  25,  866,  in  Soissons.  In  an  allocution  which  preceded  the 
coronation  proper,  two  bishops  put  forth  that  the  Prankish  kingdom  rested  on  the 
succession  of  princes  of  the  blood  and  that  the  house  of  Charles  II  had  been  met  by 
various  afflictions  during  the  last  year,  and  finally  they  said  quite  bluntly:  "Therefore 
the  king  demands  that  there  be  extended  the  episcopal  blessing  to  his  wife  that  the 
Lord  may  deign  to  give  him  through  her  that  issue  from  which  the  holy  Church  may 
have  solace  and  the  realm  the  necessary  defense  ...  if  God  so  wills  and  cooperates." 
The  bishops  concluded  their  address  to  the  people  by  referring  to  Abraham  and  Sarah 
who  in  far  more  advanced  years  than  the  king  and  queen  were  nevertheless  blessed 
with  a  son,  Isaac,  and  they  asserted  that  the  prayers  of  priests  and  their  supplications 

18  See  the  Adlocutio  duorum  episcoporum  at  the  consecration  of  Queen  Hermintrude,  in  866;  Mon.  Germ. 
Hist.,  Capit.,  11,  453,  37,  No.  301:  ".  .  .  in  quorum  nobilitate  .  .  .  fideles  illius  [regis]  spem  maximam  se  habere 
sunt  gratulati." 

''■''Ibid.,  p.  454,  1:  ".  .  .  aliquibus  [filiis  scil.  Hludowico  et  Karolo  Aquitaniae]  .  .  .  suo  iudicio  talem 
passionem  permisit  incurrere,  sicut  fideles  illius  agnoscunter  dolore."  See  also  Diimmler,  Ostfr.  Reich,  1. 2, 
483,  sSgf. 

18  Diimmler,  Ostfr.  Reich,  1. 2,  590,  n.  80,  for  Lothair;  588(1.  and  759ff.,  for  Karloman;  543f.,  for  the 
accident  of  Charles  of  Aquitaine. 

^^  Annates  Bertiniani,  ad  a.  866,  ed.  Waitz  (Script,  rer.  German.,  1883),  82f. 

20  For  the  coronation  of  Judith,  see  Schramm,  "Ordines-Studien  II,"  Archiv  fUr  Urkundenforschiing,  xv 
(1938),  8fF.,  and,  for  the  coronations  of  other  queens,  11,  n.  5;  see  also  his  Der  Konig  von  Frankreich, 
Weimar  1939,  i,  2 iff. 

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might  make  the  mercy  of  God  inclined  to  cooperate  and  to  connive  at  the  king's 
demands. ^^ 

In  other  words,  Charles  the  Bald  hoped  that  the  consecration  and  unction  of  his 
queen  might  have  the  effects  of  a  Fruchtbarkeitszauber.  To  attribute  extra-sacramental 
powers  to  a  sacramental  act  was,  of  course,  nothing  unusual.  Baptism  not  only  freed 
man  from  the  consequences  of  the  original  sin,  but  was  believed  also  to  have  supra- 
natural  healing  powers  as  experienced,  according  to  the  legends,  by  Constantine  the 
Great.  To  the  consecration  of  the  Byzantine  emperor  the  Patriarch  of  Antioch, 
Theodore  Balsamon,  ascribed  the  same  effects  as  to  baptism,  that  is,  to  do  away  with 
all  the  crimes  and  sins  of  the  emperor's  former  life."  That  idea  was  still  favored  in 
fourteenth-century  France  when  Jean  Golein,  a  clerk  in  the  surroundings  of  Charles  V, 
declared  that  the  king  by  his  anointment  was  "telement  nettoie  de  ses  pechiez  come 
celui  qui  entre  nouvellement  en  religion  esprouvee:  que  aussi  comme  ou  baptesme 
les  pechiez  sont  pardonnez  ..."''  And  even  in  Elizabethan  England  the  Crown  jurists 
held  that  the  descent  of  the  Crown  "wipes  away  imperfections.""  The  same  was  true 
with  regard  to  holy  orders;"  and  also  concerning  the  sacrament  of  marriage  a  decretal 
of  Pope  Alexander  III  expounded:  "Such  is  the  power  of  matrimony  that  those  born 
out  of  wedlock  become  legitimate  after  matrimony  has  been  entered  on."'*  It  is  there- 
fore not  surprising  to  find  that  Charles  the  Bald  ascribed  to  the  touching  with  chrism 
the  power  to  restore  fertility  to  his  aging  queen. 

The  decisive  thing  here,  however,  is  that  Queen  Hermintrude's  coronation  was 
staged,  expressis  verbis,  for  the  purpose  of  calling  down  on  her  the  blessings  of  heaven 
for  further  descendants.  It  is,  therefore,  difficult  to  understand  why  the  supplication 
of  the  dedicatory  poem  in  the  Bible  of  S.  Paolo-"by  whom  there  be  given  progeny"— 
should  have  "fitted"  only  Charles  III  because  he  had  no  children,  and  not  Charles  the 
Bald  although  he  had  children." 

These  considerations  would  allow  the  poem  to  be  written,  and  the  Bible  to  be 
executed,  around  866  when  everyone  knew  that  the  king  was  hoping  for  more  sons. 
Since,  however.  Queen  Hermintrude  died  on  October  6,  869,  it  would  seem  safe  to 
set  the  date  of  the  Bible  after  866  and  before  869.  "Before  869"  is  actually  the  date 

21  Mon.  Germ.  Hist.,  Capit.,  ii,  453f.,  esp.  454,  gfl.:  "Propterea  petit  benedictionem  episcopalem  super 
uxorem  suam  venire,  ut  talem  sobolem  ei  Dominus  de  ilia  dignetur  donare,  unde  sancta  ecclesia  solacium 
et  regnum  necessariam  defensionem  .  .  .  annuente  et  cooperante  Domino  possit  habere."  That  Hermin- 
trude's unction  was  supposed  to  have  the  effects  of  a  fertility  charm  has,  of  course,  been  noticed  before;  see 
Schramm,  Konig  von  Frankreich,  1,  2^{. 

^^Pat.  Gr.,  cxxxvii,  1156;  Marc  Bloch,  Les  rois  thaumaturges,  Strasbourg  1924,  pp.  198,  476. 

23  Bloch,  op.  cit.,  p.  483. 

"Edmund  Plowden,  Commentaries  or  Reports,  London  1816,  p.  238;  the  same  idea  was  repeated  by 
Sir  Edward  Coke,  Sir  Francis  Bacon,  Sir  William  Blackstone,  and  other  English  Jurists. 

"  Bloch,  op.  cit.,  p.  483,  n.  2,  quotes  Bernard  of  Clairvaux  saying  that  entering  into  a  monastic  order 
secundum  baptisma  nuncupetur   {Pat.  Lat.,  clxxxii,  889). 

28  "Tanta  est  vis  matrimonii,  ut  qui  antea  sunt  geniti,  post  contractum  matrimonium  legitimi  habeantur." 
Cf.  c.  6  X,  4,  17;  E.  Friedberg,  Corpus  iuris  canon ici,  Leipzig  1881,  n,  712. 

"  Traube  (above,  note  6),  however,  when  quoting  Dummler,  apparently  recognized  that  the  "althouch" 
deserved  to  be  considered. 

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suggested  by  Professor  Friend,  though  for  different  reasons.^'  However,  there  yet 
remains  another,  and  preferable,  possibility  of  linking  the  manuscript  to  Charles 
the  Bald. 

The  celestial  blessings  which  Charles  II  had  hoped  for,  failed  to  materialize.  When 
Queen  Hermintrude  died,  the  king  waited  only  a  few  months  to  get  remarried. 
Already  on  January  22,  870,  Charles'  marriage  with  his  former  mistress,  Richildis, 
sister  of  the  Count  of  Provence,  was  solemnized."  Apart  from  other  reasons,  the  haste 
of  his  second  marriage  may  be  explained  also  by  the  king's  desire  to  secure  the  succes- 
sion to  the  throne.  However,  Charles'  second  marriage  remained  without  issue.  In 
875,  Queen  Richildis  had  a  miscarriage.  In  876  she  was  pregnant  again;  but  the  son 
to  whom  she  gave  birth  on  the  road  when  fleeing  from  Heristal  after  the  defeat  of 
Charles  near  Andernach  at  the  hands  of  his  German  nephew,  died  after  a  few  months.^" 
That  is  to  say,  Charles  the  Bald  actually  did  remain  without  descendants  from  his 
second  queen.  At  long  last,  the  subjunctive  paretur  suggesting  a  marriage  without 
issue  seems  justified  and  may  nevertheless  refer  to  Charles  the  Bald,  and  not  to  the 
childless  Charles  III.  Everything  "fits,"  and  with  regard  to  Queen  Richildis  it  may 
be  said:  Nihil  obstat. 

There  is  more  to  all  that  than  a  joke  and  a  hypothesis.  A  charter  of  Charles  the 
Bald  has  been  preserved  which  is  quite  relevant,  but  which  hitherto  has  been  over- 
looked by  those  trying  to  date  and  locate  the  Bible  of  S.  Paolo.  This  oversight  is 
pardonable.  The  editor  of  the  document  dated  it  846— wrongly,  to  be  sure,  because 
Queen  Richildis  is  mentioned.  The  charter  therefore  must  fall  after  870.  Further, 
Charles  is  called  king,  and  not  emperor,  and  therefore  it  must  fall  between  870  and 
875.  Actually,  the  charter  is  now  competently  dated  May  12,  871."  At  that  time, 
Charles  made  a  grant  to  Notre  Dame  of  Paris  in  which  he  placed  the  abbey  of  St.-£loi 
under  the  jurisdiction  of  the  bishop  of  Paris.  When  making  that  grant,  the  king 
expressed  the  hope  that  a  donation  to  the  cathedral  of  Maria  Genetrix  might  bring 
profit  to  king  and  queen  from  the  Virgin.  And,  says  the  text,  to  gratify  the  bishop's 
petition  pleases  the  king  all  the  more  because  the  Virgo  Genetrix,  for  the  sake  of  the 
whole  Christian  people,  might  in  return  grant  him  and  the  queen  descendants. 
Actually,  the  thought  of  royal  descendants  pervades  the  entire  document,  which 
contains  also  a  clause  stipulating  that  the  canons  of  Notre  Dame  as  well  as  the  monks 

28  Friend,  "Carolingian  Art,"  p.  71,  followed  Durrieu  too  closely  when  assuming  that  the  monogram 
contained  the  cipher  of  Hermintrude;  see  below,  note  36. 

^^  Annales  Bertiniani,  ad  a.  870,  ed.  Waitz,  p.  108;  Diimmler,  Ostfr.  Reich,  1. 2,  758f. 

^'>  Ann.  Bert.,  ad  a.  875  ("aborsu  filium  pcperit"),  and  ad  a.  876  ("et  fugiens,  subsequenti  nocte  galli 
cantu  in  via  peperit  filium");  Waitz.  pp.  126,  i32f. 

81  The  charter,  edited  by  Jules  Tardif,  Monuments  historiques,  Paris  1866,  p.  gSf.,  No.  152,  was  dated 
by  him  May  12,  846.  The  second  volume  of  the  great  edition  of  charters  of  Charles  the  Bald  by  M.  Georges 
Tessier,  Recueil  des  actes  de  Charles  II  le  Chauve,  roi  de  France,  i,  Paris  1943,  840-860,  was  not  yet  avail- 
able to  me  so  that  I  still  have  to  rely  on  the  edition  of  Tardif.  The  charter,  however,  which  belongs  to 
the  small  group  of  documents  carrying  the  Byzantine  legimus  in  red  ink,  has  been  dealt  with  in  another 
connection  by  M.  Tessier,  "Diplome  de  Charles  le  Chauve  pour  Saint-Philibert  de  Tournus,"  Bibliothique 
de  I'tcole  des  Charles,  xciii  (1932),  201,  where  the  correct  date  is  given.  See  also  Jusselin,  in:  Le  Moyen 
Age,  XXXIX  (1929),  231. 

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of  St.-£Ioi  were  held  to  celebrate  annually  not  only  the  ordinary  anniversaries  of 
Louis  the  Pious  and  Empress  Judith,  the  king's  parents,  but  also  the  king's  birthday 
and  day  of  consecration,  the  birthday  of  Queen  Richildis,  and  the  wedding  anniversary 
of  the  royal  couple.  Those  were  stipulations  which  had  become  customary  in  Charles 
the  Bald's  later  years."  In  addition,  however,  there  follows  once  more  a  reference  to 
the  expected  royal  progeny,  as  the  charter  adds:  "Moreover,  the  present  and  future 
bishops  shall  celebrate  with  the  continuous  assiduity  of  prayers  and  masses,  together 
with  all  the  clergy  under  their  authority,  the  birth  of  our  offspring  if  it  should  come 
to  pass  that  such  be  granted  by  the  prolific  Virgin;  and  a  refection  shall  be  held  with 
the  greatest  care  in  both  congregations  on  the  day  of  the  birth  of  our  offspring  if,  as 
we  said,  such  shall  have  been  granted  by  the  Mother  of  God."*' 

It  is  evident  that  the  thought  of  additional  descendants  occupied  the  mind  of 
Charles  the  Bald  not  only  after  866  when  he  lost  an  able-bodied  son  by  accident  and 
had  Queen  Hermintrude  crowned  for  the  clearly  defined  purpose  of  securing  more 
children;  but  also  after  his  second  marriage  he  was  possessed  by  the  same  idea.  The 
charter  for  Notre  Dame  shows  that  the  king's  hopes  and  wishes  had  been  transferred 
to  his  new  queen.  And  while  in  866  Charles  the  Bald  had  placed  his  hopes  in  a  sacra- 
mental action  and  in  the  supplications  of  the  priests,  he  now  turned  to  the  fecunda 
Virgo  Genetrix  herself  who,  in  so  many  respects,  had  taken  over  the  functions  of  the 
Roman  goddess  Fecunditas. 

If  we  take  all  those  dispositions  of  Charles  the  Bald  into  consideration,  it  becomes 
almost  incomprehensible  that,  on  account  of  the  disputed  verse  line,  the  attribution 
of  the  S.  Paolo  Bible  to  Charles  the  Bald  could  ever  have  been  ruled  out  highhandedly 
and  straightforwardly  because  that  king  had  children  and  Charles  III  had  none.  The 
attribution  to  Charles  the  Bald,  however,  eliminates  also  other  acknowledged  difficul- 
ties: first,  how  to  explain  the  improbable  fact  that  a  French  scriptorium  which  evidently 
was  closely  attached  to  the  West-Frankish  dynasty,  should  have  donated  one  of  the 
most  precious  manuscripts  to  the  Eastern  Carolingian,  who  certainly  was  not  held  in 
high  esteem;'*  and  second,  how  to  ignore  the  book's  dedication  to  a  "king,"  whereas 

32  The  charter  is  badly  mutilated,  but  its  contents  are  clear.  The  bishop  of  Paris,  petitioning  the  king, 
"deprecatus  est  ut  ob  nostrae  mercedis  coniugisque  reginae  .  .  .  [Virjginis  intemeratae  genitricis  Mariae 
emolumentum"  the  abbey  be  placed  under  the  bishop  of  Paris.  "Cuius  petitionibus  eo  cessimus  libentius 
cjuo  nostrae  utilitati  profuturum  perspeximus  amplius,  et  ob  domini  nostri  Jhesu  Christi  suaeque  virginis 
[matris  hon]orem  .  .  .  et  utilis  .  .  .  [propter?]  nobis  in  salutem  populi  Christiani  a  genitrice  virgine  prolis 
attributionem.  .  .  ."  The  stipulations  concerning  the  anniversaries  will  be  discussed  in  my  forthcoming 
study,  long  overdue,  on  "Charles  the  Bald  and  the  Natales  Caesarum." 

33  The  king  orders  the  bishop  to  celebrate  "nativitatem  praeterea  amabilimae  coniugis  nostrae,  Richildis 
reginae,  kalendis  Augustis,  et  copulam  secundum  Dei  voluntatem  nostrae  coniunctionis,  insuper  et  ortum 
prolis  nostrae,  si  a  fecunda  virgine  impetrando  data  fuerit,  sub  continua  orationum  missarumque  assiduitate 
cum  omni  clero  sibi  commisso,  praesens  futurusque  antistes  celebret,  et  refectio  in  utraque  congregatione, 
in  die  ortus  prolis  nostrae,  si,  ut  diximus,  a  genitrice  Dei  data  fuerit,  studiosissime  peragatur." 

3*  Schramm,  "Umstrittene  Kaiserbilder,"  p.  478,  as  well  as  in  Die  deutschen  Kaiser  und  Konige  etc.,  pp.  64^, 
takes  it  as  an  effluence  of  Charles  Ill's  imperial  dignity  and  his  reunion  of  the  empire  of  Charlemagne  "that 
the  so-called  School  of  Corbie  executed  for  him,  the  scion  of  the  Eastern  Prankish  line,  a  Bible  which 
represents  the  apex  of  book  illumination  of  that  generation."  The  happiness  of  that  reunion  of  the  empire 
may  have  been  less  great  in  France  than  in  the  East  Prankish  parts  of  the  empire. 

2  9  5 


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Charles  Ill's  relations  to  France  fell  in  the  period  when  he  was  emperor.^'  Even  though 
inaccuracies  with  regard  to  the  title  might  be  taken  into  account  if  everything  else 
pointed  in  the  other  direction,  there  is  nevertheless  no  reason  for  simply  brushing 
aside  a  piece  of  perfectly  sound  evidence. 

One  point  is  as  yet  in  need  of  clarification:  was  the  queen  approaching  the  throne 
Charles  11 's  first  consort  Hermintrude,  or  was  she  Richildis,  the  second  queen,  whom 
he  married  in  870?  Here  the  monogram  on  the  orb  may  be  of  some  help  (Fig.  A). 
Schramm  thought  of  deciphering  the  monogram  as  Christe,  conserua  Karolum  et 
Richardim  or  something  to  that  effect;  he  admitted,  however,  that  the  weird  agglom- 
eration of  characters  could  be  read  just  as  well  et  Richildim,  whereas  it  seemed  more 
difficult  to  extricate  the  letters  for  et  Hermintrudim  from  the  intricate  design.'"  That, 
if  nothing  else,  may  settle  this  question  of  Hermintrude  versus  Richildis.  It  will 
probably  be  safe  to  identify  the  veiled  princess  in  the  miniature  with  Queen 
Richildis." 

There  is,  however,  some  good  additional  reason   for   that  ascription.   Professor 
Schramm,  keen  observer  that  he  is,  has  stressed  most  emphatically  the  uniqueness  of 
a  queen's  representation  in  a  Carolingian  painting.''  Pictures  of  consorts  are  indeed 
very  rare  in  Carolingian  art.  Their  names  are  occasionally  mentioned  on  coins;  there 
is  a  medallion  picture  of  the  Empress  Judith  on  the  front  page  of  Hrabanus  Maurus' 
commentary  on  the  Book  of  Judith;  and  there  exists— if  genuine— a  gem  displaying  a 
female  head  with  the  inscription  richilde.'"  But  in  a  highly  ceremonious  picture, 
showing  the  king  in  full  regalia  seated  on  his  throne,  the  simultaneous  representation 
of  a  royal  consort,  even  in  the  reduced  size  in  which  she  appears  in  the  S.  Paolo  Bible, 
was  unique  in  that  period.  Even  in  later  times,  in  the  works  of  Ottonian  art  when 
queens  were  represented  more  often,  a  devotional  pattern  prevailed  depicting  the 
queen  crouching  with  the  king  at  the  feet  of  Christ  or  being  crowned  by  Christ;"  but 
also  the  Ottonian  throne  images  do  not  seem  to  take  cognizance  of  queens  at  all. 
Considering,  therefore,  the  quite  extraordinary  display  of  a  queen  in  the  Bible  of 
S.  Paolo  and  her  explicit  mention  in  the  explanatory  verse,  we  are  bound  to  think  of 
some  special  occasion  for  which  the  manuscript  may  have  been  executed;  and  it  will 
not  appear  farfetched  if  we  now  conclude  that  the  Bible  of  S.  Paolo  was  executed  on 
the  occasion  of  Charles  the  Bald's  marriage  to  Richildis. 

•''=  This  fact  has  been  hushed  up  to  make  the  attribution  to  Charles  III  possible.  Janitschek  and  Traube, 
however,  were  ready  to  date  the  Bible  "between  880  and  888,"  that  is,  even  before  Charles  III  began  to  rule 
over  France;  see  above,  notes  3  and  6. 

3«  Schramm,  "Umstrittene  Kaiserbilder,"  pp.  479f.,  is  probably  correct  against  Pertz,  Archiv,  v,  pp.  454fr.,  and 
other  suggestions.  Without  being  an  expert  in  the  deciphering  of  monograms,  I  too  find  it  difficult  to  recon- 
struct the  name  Hermintrudis.  The  flatness  of  the  globe  which  appears  more  like  a  disc,  is,  however,  not 
necessarily  a  sign  of  degeneration;  it  agrees  with  Byzantine  and  Near  Eastern  art  where  angels  are  not  rarely 
seen  holding  a  disc-globe  with  the  monogram  of  Christ  or  the  cross  or  other  symbols. 

^-  It  seems  devious  to  me  to  try  to  identify  the  second  lady,  behind  Richildis,  as  Charles  II's  first  queen 
Hermintrude. 

2*  Schramm,  Deutsche  Konige  unci  Kaiser,  p.  65. 

39  Schramm,  op.  cit.,  p.  51,  for  Angilberga;  pi.  16,  for  Empress  Judith;  and  fig.  37a,  for  the  gem  of  Richildis 

««  ibid.,  pis.  65,  66,  71b,  81,  etc. 

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This  hypothesis  would  justify  the  presence  of  the  queen  in  the  ceremonious  throne 
image.  It  may  even  explain  the  fact  that  the  queen  makes  her  appearance  veiled,  and 
not  crowned.  Also  the  verse  inscription  expressing  the  hope  that  the  newly  wedded 
queen  may  give  birth  legitimately  to  noble  descendants  would  find  a  very  natural 
explanation.  It  is  true,  a  difficulty  remains:  Queen  Hermintrude  died  on  October  6, 
869,  and  Charles'  marriage  to  Richildis  took  place  on  January  22,  870.  How  could 
the  voluminous  Bible  of  S.  Paolo  have  been  written  and  illustrated  within  less  than 
four  months?  To  begin  with,  it  would  be  reasonable  to  argue  that  the  Bible  was  not 
dedicated  on  the  very  day  when  the  wedding  was  celebrated,  but  on  some  other 
suitable  occasion  in  the  course  of  the  ivedding  year.  Even  the  possibility  should  not 
be  ruled  out  completely  that  the  Bible  may  have  been  made  for  the  wedding  anni- 
versary, since  Charles  the  Bald,  contrary  to  all  Western  custom,  had  ordered  the 
liturgical  celebration  of  his  wedding  anniversaries  in  various  monasteries  and  cathe- 
drals. At  St.  Denis  this  custom  can  be  traced  as  far  back  as  862;  the  observance  of  the 
anniversary  of  his  marriage  to  Queen  Richildis  was  ordered  by  the  king  for  St. 
Stephen's  of  Lyon  in  870,  and  in  the  following  year  for  Notre  Dame  of  Paris  and  the 
abbey  of  St.-£loi.-  However,  the  Bible  manuscript  itself  furnishes  us  with  some  clues 
It  has  been  observed  that  all  the  full-page  miniatures  as  well  as  a  great  number  of 
pages  containing  large  initials  or  incipits  have  been  subsequently  pasted  into  the 
Bible;  that  the  images  betray  the  hands  of  several  artists;  and  that  the  illustrations 
were  executed  hastily  (some  of  the  ornamental  borders  remained  unfinished,  and  the 
purple  panels  inserted  for  inscription  in  gold  lettering  remained  sometimes  vacant)  " 
In  other  words,  to  a  Bible  text  which  was  ready  in  writing,  the  images  were  added 
with  some  speed  and  for  some  special  purpose.  It  can  hardly  be  doubted  that  this 
special  purpose  should  be  sought  somehow  in  connection  with  the  king's  second 
marriage  in  870. 

Every  bit  of  evidence,  in  addition  to  reason  and  probability,  therefore  compels  us 
to  abandon  Pertz'  quite  arbitrary  attribution  of  the  manuscript  to  Charles  the  Fat,  an 
attribution  hinging  upon  a  subjunctive  wrongly  related,  on  a  disregard  of  the  title 
"king,"  and  on  some  mysterious  devotion  of  a  French  monastery  to  its  unpleasant 
and  gauche  East-Frankish  lord.  As  a  wedding  gift  for  Charles  III  the  manuscript 
cannot  be  taken  into  account.  Charles  the  Fat  ivas  married  in  862,  when  no  French 
scriptorium  would  have  dreamed  of  honoring  that  unknown  prince.  And  whether 
Charles  III  was  really  so  desirous  of  having  an  offspring,  as  has  been  rashly  assumed 
may  reasonably  be  doubted.  Archbishop  Hincmar  of  Reims  may  have  known  more 
than  we  know  today  about  Charles  Ill's  wishes  when  he  reported  that,  in  873  the 
young  king,  in  a  fit,  exclaimed  that  he  did  not  touch  his  wife   (quia  uxorem  mam 

^  "r^^'^'''fi'  ^/"""'"^"'^  («bove.  note  31),  p.  ,,8,  No.  .86.  for  St.  Denis;  Bouquet.  Recueil  des  historiens 
desGaules  et  de  la  France,  vni.  6..,  No.  ..3.  for  Lyons:  and  above,  note  33.  for  Par  s  and  S  .feSi 

no      A     H^  '  'T.r'  "uf  '°  ^°'"''  '  ^""^  "^^="''«"  '«  '""P^"  '^^  S.  Paolo  Bible.  I  am  grealy  indebted  to 
ofT  PatoTd  "■"  ^^T:'"'"^-^  '«  »he  Library,  and  to  Don.  Ildefonso  Tassi.  the  lea/n  d  1  b  arian 

of  S.  Paolo,  for  discussing  with  me  the  many  problems  of  the  Codex  and  for  calling  mv  attention  to  the 
observations  summarized  in  the  text.  AH  detailed  evidence  must  be  left  to  the  future  edLrlfTe  manuscript 

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carnali  commercio  non  contingeret);*'^  and  at  a  later  time,  in  887,  so  we  are  told, 
Charles  declared  publicly  that  never  during  his  long  married  life  had  he  had  inter- 
course with  Queen  Richardis  (publice  protestatur  numquam  se  carnali  coitu  cum  ea 
miscuisse).**  True  or  not,  it  was,  as  numerous  legends  concerning  Richardis  show," 
public  gossip  that  something  was  wrong  with  this  king's  married  life.  Therefore,  it 
would  have  been  exceedingly  tactless  to  remark  on  his  expected  descendants,  as  it 
would  have  been  an  incomprehensible  faux  pas  to  display,  contrary  to  all  tradition, 
the  unfortunate  Empress  Richardis  in  a  throne  image  of  Charles  III.  That,  it  would 
seem,  finishes  off  Pertz'  unhappy  suggestion  and  severs,  once  and  for  all,  any  connec- 
tion of  Charles  the  Fat  with  the  Bible  of  S.  Paolo. 

Being  restored  to  Charles  the  Bald,  the  Bible  of  S.  Paolo  returns  again  to  its  proper 
surroundings  and  to  the  place  to  which  it  belongs  and  from  which  it  should  never 
have  been  removed:  to  the  great  number  of  precious  manuscripts  which  were  pro- 
duced in  the  surroundings  of  Charles  the  Bald,  and  probably  commissioned  by  him, 
in  the  sixties  and  seventies  of  the  ninth  century.  But  do  we  know  anything  about  the 
scriptorium  in  which  that  extravagant  Bible  could  possibly  have  originated?  Beyond 
guesswork  nothing  certain  can  be  said.  There  is,  however,  some  little  observation 
which,  for  what  it  is  worth,  should  not  be  passed  unmentioned. 

In  addition  to  the  throne  image  of  Charles  the  Bald,  the  Bible  of  S.  Paolo  contains 
yet  a  second  throne  image,  that  of  King  Solomon  (Fig.  2).  The  King  of  Wisdom, 
throned  like  his  Frankish  successors  under  a  magnificent  canopy,  is  about  to  decide 
the  case  of  the  two  harlots  and  to  pronounce  his  famous  judgment.  He  is  represented 
as  a  mature  man,  the  face  framed  by  a  full  dark  beard.  In  the  upper  register  King 
Solomon  is  seen  once  more,  this  time  on  the  way  to  Gihon,  his  coronation  place. 
Riding  a  white  mule,  he  is  preceded  by  Nathan  the  Prophet  and  Zadoc  the  priest. 
Again,  as  in  the  central  picture,  Solomon  is  bearded;  and  he  is  dressed  in  a  long  gown 
which  reaches  down  to  his  ankles  even  while  sitting  on  his  mount.  Finally,  in  the 
upper  right  corner  we  recognize  Solomon's  anointing  at  the  hands  of  Zadoc  while 
Nathan  assists  on  his  right  side.  This  type  of  coronation  scene— the  king  between  two 
haloed  priests  or  saints— was  anything  but  conventional  in  Carolingian  art.  We  have  to 
descend  probably  to  the  Bamberg  Apocalypse,  where  Otto  III  is  crowned  by  Saints 
Peter  and  Paul,  before  we  encounter  once  more  this  variation  of  an  otherwise  well- 
known  pattern."  Nevertheless,  Carolingian  art  did  produce,  perhaps  only  a  year  or 

*^  Annates  Berlin.,  ad  a.  873,  ed.  Wait?,,  p.  122. 

**  Regino  of  Priim,  Chronkon.  ad  a.  887,  cd.  Kurze  (Script,  rer.  german.;  1890),  p.  127.  According  to  that 
chronicle,  Richardis  herself  is  supposed  to  have  made  a  statement  to  the  effect  that  she  "ab  omni  viril 
commixtione  se  inmunem  esse  profitetur."  She  went,  in  887,  to  a  monastery  to  become  a  nun  (see  next  note) 

*5  Already  the  account  of  Hincmar   (i.e.,  the  Ann.  Berlin.),  and  even  more  so  that  of  Regino  of  Priim 
have  novelistic  features  and  come  close  to  the  pattern  of  hagiographic  legends.  For  the  later  legends  con 
cerning  the  virginal  sancla  Richardis  imperalrix,  see  Diimmler,   Oslfrdnkisches  Reich,  11,  285f.,  esp.   nos 
70-73.  Whatever  the  truth  may  be,  there  is  no  doubt  but  that  ever  since  873  some  grave  disturbances  of 
Charles  Ill's  married  life  were  generally  known  and  common  talk.  The  only  thing  that  is  really  startling  is 
that  scholars  of  highest  rank  should  have  been  taken  in  by  Pertz'  superficial  and  rash  conclusion. 

*8  Schramm,  Die  deulschen  Konige  und  Kaiser,  pi.  78,  cf.  pi.  83. 

298 


U     J 


THE  CAROLINGIAN  KING  IN  THE  BIBLE  OF  SAN  PAOLO 

two  earlier  than  the  anointment  of  Solomon,  a  scene  of  that  kind.  The  frontispiece  of 
the  unfinished  sacramentary,  cod.  lat.  1141  of  the  Bibliotheque  Nationale  (Fig.  3), 
shows  the  coronation  "by  the  Hand  of  God"  of  a  haloed  prince  in  Prankish  garment', 
flanked  by  two  likewise  haloed  bishops.  Professor  Friend  has  identified  the  figures  as 
King  Clovis  attended  by  St.  Remi  and  St.  Arnulf  of  Metz;  but  more  recently,  the 
two  bishops  have  been  disclosed  to  represent  Popes  Gelasius  and  Gregory  the  Great, 
whose  Sacramentaries  were  authoritative  in  the  Frankish  Empire,  whereas  the  ex- 
tremely youthful  king  has  been  called  Charlemagne."^  What  attracts  our  attention, 
however,  is  not  so  much  the  whole  coronation  scene  and  its  meaning  as  the  young 
coronandus  of  ms  1141.  For  apparently  under  his  influence,  King  Solomon,  the 
coronandus  of  the  S.  Paolo  Bible  (Fig.  2),  has  completely  changed  his  appearance. 
Instead  of  being  bearded,  as  he  was  before,  he  is  beardless,  and  instead  of  wearing  a 
long  gown  reaching  down  to  the  ankles  he  wears  a  short  tunic  which  leaves  his  feet 
in  high  boots  and  his  knees  visible.  In  short,  Solomon  at  his  coronation  has  been 
replaced  by  another  personage:  instead  of  a  Jewish  king  there  appears,  all  of  a  sudden, 
a  youthful  beardless  "Clovis"  in  Frankish  attire  who  resembles  the  haloed  prince  of 
the  unfinished  Metz  sacramentary  as  a  brother  (Figs.  2,  3).*'  How  that  picture  slipped 
into  the  Solomon  scenes  will  probably  never  be  known.  It  is  an  "iconographic 
interpolation"  caused  perhaps  by  the  fact  that  the  artist,  for  depicting  the  coronation 
scene,  turned  to  ms  1141  for  a  model,  but  then  failed  to  assimilate  the  central  figure 
of  his  model  to  the  Solomon  type  of  the  Biblical  image. 

The  inferences  of  this  observation  might  be  rather  far-reaching.  Ms  1 141  could  not 
easily  have  left  the  scriptorium  in  which  it  originated,  since  it  was  as  yet  unfinished; 
nor  could  it,  for  that  very  reason,  have  been  widely  known  in  870  or  871  when  the 
S.  Paolo  Bible  was  worked  on.  Would  that  imply  that  the  painter  of  the  "interpolated 
prince"  worked  in  the  same  scriptorium  in  which  the  as  yet  unfinished  ms  1 141  was 
deposited  or  waiting  to  be  finished?"  And  was  the  scriptorium  of  ms  1 141,  as  Professor 

<^  Friend,  "Two  Manuscripts,"  pp.  66ff.  (cf.  Schramm,  op.  cit.,  p.  58),  identified  the  three  figures  on  the 
basis  of  Hincmar's  address  at  the  Lotharingian  coronation  of  Charles  the  Bald,  in  869;  see  Mon  Germ  Hist 
Captt.,  n,  340,  22ff.  (see  above,  note  12).  New  findings,  however,  bring  new  solutions.  Professor  Andrd 
Grabar  called  my  attention  to  the  study  of  J.  Croquison,  "Le  'Sacramentaire  Charlemagne,'  "  Cahiers 
archeologiques,  VI  (1952),  55-70  (with  pis.  xvi-xvni),  who  has  shown— convincingly,  as  I  believe— that  the 
two  bishops  were  meant  to  be  Pope  Gelasius  (carrying  the  closed  book)  and  Pope  Gregory  the  Great 
(carrying  the  open  book),  the  two  representatives  of  the  liturgy  valid  in  the  Frankish  Empire.  The  identifica- 
tion of  the  youth  with  Charlemagne,  so  treacherously  obvious  from  the  point  of  view  of  liturgical  historv 
seems  to  me  less  satisfactory:  a  ruler  who  died  at  the  age  of  72,  would  not  easily  be  represented  half  a 
century  or  more  after  his  death,  in  the  extremely  youthful  age  displayed  by  the  central  figure  which  is 
lacking  all  the  familiar  features  of  Charlemagne  known  from  other  representations.  The  possibilities  to 
identify  the  young  pnnce  more  convincingly  are  not  yet  exhausted.  See,  e.g.,  below,  note  49 

««I  have  also  inspected  ms  1141,  hoping  that  the  color  schemes  might  provide  some  additional  clue  The 
agreements,  however,  are  too  general  to  allow  any  conclusions— mantle:  red  with  gold  dots-  boots-  blue- 
trousers:  red;  tunic:  yellow  with  light  violet  (ms  1141)  or  light  violet  and  lacking  the  yellow   (S   Paolo  ms)' 

"Friend  o/,.  a<  naturally  dated  ms  1.41  ca.  869-870,  since  he  connected  it  with  Charles'  coronation 
at  Metz,  which  would  bring  the  Sacramentary  and  the  Bible  of  S.  Paolo  chronologically  very  close  together 
M.  Croquison  (above,  note  47)  makes  no  indication  as  to  the  date,  though  he  too  thinks  of  Charles  the  Bald 
who  may  have  ordered  it  for  the  liturgical  service  in  his  palace  chapel."  Professor  E.  A.  Lowe  (to  him  as 
well  as  to  Professor  Kurt  Weitzmann  I  am  greatly  indebted  for  stimulating  advice  and  criticism)  kindly 
informed  me  that,  while  accepting  870-871  as  the  date  of  the  Bible  of  S.  Paolo,  he  would  be  inclined  to 

299 


u 


J 
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ERNST  H.  KANTOROAVICZ 

Friend  suggests,  the  abbey  of  St.  Denis?  And  if  that  were  correct,  would  then  the  slip 
of  the  painter  of  the  S.  Paolo  Bible,  owing  to  the  interrelations  with  ms  1141,  draw  all 
the  other  manuscripts  of  the  so-called  "School  of  Corbie"  to  the  scriptorium  in  which 
MS  1141  was  executed,  presumably  St.  Denis? 

The  present  author  can  only  pose,  not  answer,  those  questions.  For  to  solve  those 
problems  would  be  the  task,  not  of  the  historian,  but  of  the  art  historian,  which  the 
author  of  this  contribution  in  honor  of  Bert  Friend  is  not. 

THE  INSTITUTE  FOR  ADVANCED  STUDY- 
PRINCETON,  NEW  JERSEY 


attribute  to  ms  1 141  a  date  of  10  to  20  years  earlier.  It  would  seem  good  to  recall  that  not  onlv  Charlemagne 
was  interested  in  liturgical  matters,  but  that  this  was  true  also  of  Charles  the  Bald.  We  know,  e.g.,  that 
Charles  the  Bald  occasionally  ordered  to  celebrate  before  him  the  old  Gallican  mass,  just  as  he  had  the 
liturgies  of  Jerusalem  and  Constantinople  celebrated  in  his  presence,  but  that  he  decided  for  the  Roman 
mass:  "sed  nos  sequendam  ducimus  Romanam  Ecdesiam  in  missarum  celebratione."  Cf.  Mabillon.  De  liturgia 
gallicana  libri  tres.  praef.,  c.  3.  in  Pat.  Lot.,  lxxii,  103-104.  Would  that  allow  us  perhaps  to  identify  the 
young  prince  between  the  two  representatives  of  the  ancient  and  the  modern  liturgies  with  Charles  the  Bald? 


300 


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u    J 


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G3^J~^       Enc. 


h 


(K'lA^^f      ScU^ci^ 


^  f  T-<.  flL^^^  .UJt,        ^    '<      '=<^^>X         ^'^^^*l-^-<:<-^r>i    ^.f'it-C^ 


(Jisi  .  /^,uj  . 


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I    u 


F  r   1  1.     C      l;   t   c. 


■  U  v;  1  c ; . 

'tudies 


)rov;ic2 , 


vcn  dem  un,^ 


.en  sehr 
brik  im  Ordo 
-iin^a-e: 


1  chert  Byzantir 
ich  aus  Ihrer  letzten  freundlichen  Sonderin:cV 
ftir  die  ich  Ihnen  sehr  herzlich  danke,  wenigst-'r.r  rr.hr- 
beit  lesen:  The  Carolingian  King".    Ausgezeichr 
Stand ardcharakter  liturgischer  Formen  sagen. 

:  orre-t-end  auch,  wie  :;ie  die  Frap-^  ^"-" 
losen.  .  .._  _..  einem  Punkt  kann  ich  Ihritj  ..j,, 
kische  Herrscher  zwisohen  Gelasius  r-  '   -ppror  iir.  „oc 
der  Sr"— -  — -  -j.--  Bibel  vor  "■-'■■ 
f-chen  _rii:ia:  rasus  esse  debet,  sagt  die  liturgit 
des  iiber  Censuum.  Leider  habe  ich  alle  Textunterlagen 
una  kann  Ihnen  daher  im  Aufenblick  nicht  mit  wait- 

•-:.nn  aber  evtl.  Dr.  Elze  tun,  der  zukfinftige  Herausgeber  der  Cr- 
dines  in  den  Monumenta  Germaniae,  den  ich  ai.        3he  weger 
tigkeit  des  fruhen  Zeugniss^      -lerksam  gemacht  habe,  Zu  Seite 
mochte  ich  noch  darauf  hinweisen,  dass  die  "M:inchsweihe" ,  also  Hi^ 
klbsterliche  Profes;-  -  ttelalterlichen  Theologie  nit 

V.'irkungen  verbimden  7/ird ,  vie  die  Tauf  e ;  dariiber  brlr.rt  t- 
die  Arbe:  sel:  Jahrbuch  fiir  Liturgiev, . .  _ 

23ff .  Ich  freue  mich  schcn  auf  die  Lektur-^  ■"T-^.or  anderei,  ..,  . 
".'ie  ich  beim  Durchb]  f^'+.+  f^-r-^  ^^v   v,,.-h^n  c-^-^       -^^.4-    ;[)inge  ro> 


Herzlichst  grussend  Ihr 


^^^V^^^-^t^ 


n    J      I    c 

U    J      I    D 


(^-f^.xrd) 


(^        FRANZ  JOSEPH  DDLGER-INSTITUT 
ZUR  ERFORSCHUNG  DER  SPATANTIKE 


BONN,     den   50.    November   1955 

UNIV.-HAUPTGEBAUDE,  AM  HOF  1 
TELEFON:  31941/433 


Professor  Dr.  Ernst  Kantorowicz 
The  Institute  for  Advanced  Study 
Princeton,  New  Jersey 


Sehr  verehrter  Herr  Kantorowicz, 

auf  Ihren  Brief  vom  11.  Oktober  habe  ich  nicht  gleich  geantwortet, 
weil  ich  erst  mit  Herrn  Dr.  Elze  wegen  des  Ordines-Material>  sprechen 
wollte.  Ich  selbst  habe  in  meiner  Bibliothek  die  Ordines-Unterlagen 
nicht  mehr,  nachdem  sie  1 944  ein  Opfer  der  Flammen  geworden  sind. 
Ich  konnte  also,  als  ich  Ihnen  meinen  ersten  Brief  schickte,  nur  die 
eine  Rubrik  mitteilen,  die  sich  im  Ordo  Cencius  befindet.  Dieser  Text 
ist  auch  bei  Eichmann  angegeben. 

Nun  sagt  mir  Herr  Dr.  Elze,  dass  er  ausser  dieser  einen  Stelle  im 
Ordo  Cencius  keine  zweite  kennt.  Herr  Elze  ist  inf olgedessen  geneigt 
anzunehmen,  dass  die  Bartlosigkeit  des  Herrschers  bei'^ronung  erst 
relativ  spat  eingef;ihrt  worden  sei,  und  die  von  Ihnen  behandelten 
Miniaturen  daher  nicht  damit  erklart  warden  konnen.  Ich  glaube  das 
nicht.  Es  steht  nicht  alles  in  rubricis,  quod  est  in  factis.  Viel- 
leicht  stossen  Sie  selber  im  Laufe  der  Zeit  auf  Zeugnisse,  die  die 
Sache  in  dem  einen  oder  dem  anderen  Sinne  klaren. 

Ihre  Betrachtung  iiber  Istanbul  und  die  allgemeine  Weltlage  entspricht 
meinen  eigenen  Eindracken.  Auch  fiir  mich  ist  Rom  nach  wie  vor  nicht 
zu  ubertreffen.  Auch  Athen  fand  ich  trotz  der  Akropolis  nicht  ver- 
gleichbar. 


Mit  sehr  herzlichen  Griissen  Ihr 


J\'.\.     ^  IS.  <:  , ., 


:\  i>^\ 


7^, 


U     J 


I    u 


;  i 


I  11\h 


Lf 


Pl^ii,c,-l    UPilfkiynit  nCl    rcf  '^o  f-(-i'(7V\ 


•^^I 


IX -y   (!35/;),  go^-^6/.  (oh^'M^I  (UJ7^4<7r^  ;^V5, 


^ 


^  y 


U    3 


45.  "The  Baptism  of  the  Apostles,"  Dumbarton  Oaks  Papers,  IX-X  (1956),  204-251. 
EK's    copy,    annotated. 

A.  "H.  Arbman"'  (slip) 

B.  "Queen.  .  .Maundy  Money''  (newspancr  clipping) 

C.  "Rom.  pedilr>\  iuiti"  (slip,  yellow) 

D.  Letter  from  Lud"ig  Bieler,  16  Feb  58 

E.  "Pussvaschung"  (spiral  notebook  pa(-e) 
P.  Idem. 

G,  Letter  from  Leonardo  Olschki,  3  Nov  57 

H,  Letter  from  Stephan  Seeliger,  I4..6.57 

I.  Letter  from  Leo  Eisenhofer,  11  Feb  5? 

J.  Letter  from  Me^er  ^iaapiro,  1  Jan  57 

K.  Letter  from  Prancis  vformald,  13  June  57 

L.  l;-page  letter  (legal  sized)  from  A.  Alfbldi,  3  Dec  5^ 

M,  Photo  of  ■'■'intoretto' s  "El  Lavatorio"  from  Prado 


U     J 


I     0 

I    u 


I 


AN  OFFPRINT  FROM 


Dumbarton  Oaks  Papers 


NUMBERS  NINE  AND  TEN 


THE  BAPTISM  OF  THE  APOSTLES 


Ernst  H.  Kantorowicz 


HARVARD    UNIVERSITY    PRESS 


I 
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u     J       I       I 


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\ 


THE  BAPTISM  OF  THE  APOSTLES 


Ernst  H.  Kantorowicz 


U     J    L 


•  • 


This  study  is  in  substance  identical  with  a  paper 
read  at  the  "Symposium  on  Byzantine  Liturgy 
and  Music"  at  Dumbarton  Oaks  in  April  1954. 
Only  after  returning  the  galleys  to  the  Press  did  I 
receive  the  news  that  on  December  7, 1955,  Manfred 
Bukofzer  died  at  the  age  of  forty-five.  The  present 
volume  of  Papers  is  dedicated  to  the  memory  of  a 
venerable  scholar  and  venerated  colleague  of  whose 
presence  the  Dumbarton  Oaks  community  has  been 
deprived,  but  I  do  not  want  this  Paper  to  appear 
without  also  commemorating  the  name  of  the  friend 
who  inspired  it:  Manfred  Bukofzer. 

E.  H.  K. 


*   • 


•  k 


•    » 


t  « 


UERIES  originating  in  a  field  of  knowledge  outside  that  of  one's 
own  studies  often  have  the  effect  of  a  stimulant.  Professor  Manfred 
Bukofzer,  my  friend  and  formerly  my  colleague  at  Berkeley, 
chanced,  in  a  Huntington  Library  manuscript,  upon  a  musicologically  inter- 
esting passage.  His  findings  prompted  him  to  raise  the  question  whether 
the  so-called  Mandatum  -  the  ritual  Feet-washing  on  Maundy  Thursday 
—  had  any  significance  beyond  die  obvious  one  of  estabfishing  the  supreme 
example  of  humility  and  charity.  Since  the  performance  of  that  ceremonious 
laving  projected  into  the  political  sphere,  in  so  far  as  it  was  practiced  in  the 
later  Middle  Ages  by  Byzantine  emperors  and  Western  kings,^  the  present 
author  happened  to  be  vaguely  acquainted  with  the  problem  itself  and  ven- 
tured to  say  that  the  rite  might  have  something  to  do  with  the  "Baptism  of 
the  Apostles."  Only  after  delving  much  more  deeply  into  the  matter,  how- 
ever, did  it  become  apparent  how  involved  the  problem  actually  was. 
Many  strands  of  a  diffused  tradition  had  to  be  drawn  to  a  common  center 
in  order  to  answer  with  some  precision  the  musicological  question  of  Pro- 
fessor Bukofzer,  who  could  anticipate  and  briefly  summarize  in  a  recent 
study  some  results  of  the  present  investigation." 


An  Epiphany  antiphon  of  the  Eastern  Church,  which  drifted  along  with 
similar  chants  into  the  Western  Liber  responsalis,  refers  to  the  institution  of 
the  Sacrament  of  Baptism: 

Today  the  sting  of  sin  has  been  broken,  the  Lord  has  been  baptized,  and  regeneration 
has  been  given  to  us.'* 

'  See  below,  n.  160. 

'  Manfred  Bukofzer,  Studies  in  Mediaeval  and  Retmisaance  Music  (New  York,  1950),  238, 
n.  47.  While  it  stands  to  reason  that  my  own  remarks  on  the  musicological  aspects  of  the 
Mandatum  —  briefly  discussed,  as  they  are,  at  the  end  of  this  paper  —  rely  entirely  upon  Pro- 
fessor Bukofzer's  investigations,  I  wish  to  emphasize  that  in  other  respects  also  I  am  indebted 
to  him  for  several  valuable  hints.  My  tlianks  go  further  to  Professor  Sirarpie  Der  Nersessian, 
Professor  Albert  M.  Friend,  Jr.,  Dr.  Ralph  E.  Giesey,  Dr.  Rosalie  B.  Green,  Mrs.  Dora  Panof- 
sky.  Professor  Kurt  Weitzmann,  and  Dr.  Schafer  Williams,  from  whose  help,  advice,  sugges- 
tions, and  assistance  1  greatly  profited.  Several  photographs  were  kindly  placed  at  my  disposal 
by  the  Department  of  Art  and  Archeology  of  Princeton  University  (figs.  40,  51,  52,  55),  by 
Professor  Weitzmann  (figs.  17a-b,  24,  31,  32,  35,  37,  41,  42,  43,  45,  53),  by  Professor 
Friend  (fig.  44)  and  by  the  Morgan  Library,  in  New  York  (figs.  16,  25). 

'  Liber  responsalis.  In  octavas  Theophaniae,  PL.,  LXXVIIl,  744  B:  "Peccati  aculeus 
conteretur  hodie,  baptizato  Domino;  et  nobis  data  est  regeneratio."  For  Eastern  patterns,  see 
Ritiiale  Arrnenoruv^,  ed.  F.  C.  Conybeare  (Oxford,  1905),  for  example,  p.  418,  n.  13;  426, 
n.  23;  also  186,  nos.  40,  43,  32.  For  the  general  scheme,  see  the  a^fupov  (hodie)  antiphons 
described  by  A.  Baumstark,  "Die  Ho^iic-Antiphonen  des  romischen  Breviers  und  der  Kreis 
ihrer  griechischen  Parallelen,"  Die  Kirchenmusik,  X  (1909-1910),  153-160;  also  Egon  Wellesz, 


'  /       _'       J       J 

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ERNST  H.  KANTOROVVICZ 


There  is  nothing  really  remarkable  in  this  text;  for  nothing  would  seem  more 
natural  than  to  link  the  institution  of  the  Sacrament  of  Regeneration  with 
the  Baptism  of  Christ  in  Jordan,  that  is,  widi  the  feast  of  Epiphany.  What 
appears  most  natural,  however,  is  not  always  what  happens  in  history. 
Festal  calendars,  establishing  the  Hturgical  year  of  a  political  or  religious 
community,  have  their  peculiar  difficulties  in  all  reUgions  —  pre-Christian, 
non-Christian,  and  Christian  alike.  Those  calendars  are  conditioned,  prac- 
tically everywhere,  by  the  cycles  of  nature  as  well  as  by  the  annual  recur- 
rence of  mythically  or  historically  memorable  events  —  propriiwi  de  tempore 
and  proprium  sanctorum.  But  the  efforts  to  force  those  two  species  of  festi- 
vals into  coincidence  have  frequently  obscured  the  original  reference  point 
of  an  anniversary.  The  later  Roman  calendars  such  as  the  Feriale  Duranum 
or  the  Calendar  of  354  demonstrate  those  difficulties  time  and  time  again, 
and  the  calendar  of  the  Christian  liturgical  year  does  not  form  an  exception.^ 
We  need  think  only  of  the  complicated  history  of  the  feast  of  Christmas, 
that  is,  the  introduction  of  December  25th  as  the  Nativity  of  Christ  in  the 
Western  and  Eastern  Churches,  to  understand  the  interference  of  natural 
cycles  widi  historical  commemorations.'  Moreover,  as  a  result  of  the  general 
spiritualization  of  Christian  religious  thought,  the  commemorative  dates  of 
anniversaries  were  often  subordinated  to  other  considerations  -  spiritual, 
speculative,  mystical,  or  local  -  and  thus  it  happened  that  the  date  of  the 
institution  of  the  Sacrament  of  Baptism  also  could  begin  to  fluctuate. 

To  be  sure,  the  Epiphany  date  remained  valid  as  that  of  the  institution 
of  baptism,  and  as  such  it  was  observed  at  all  times  in  the  Eastern  Churches. 
However,  even  in  the  East  this  anniversary  date  was  in  competition  with  the 

Eastern  Elements  in  Western  Chant  (Monumenta  Musicae  Byzantinae,  Subsidia  II;  Oxford, 
1947),  141  ff.  See  also  Hieroiiymus  Frank  OSB,  "Hodie  caelesti  sponso  iuncta  est  ecclesia," 
Vom  Christlichen  Mysterium:  Gesammelte  Arheiten  zum  Geddchtnis  von  Odo  Casel  OSB 
(Diisseldorf,  1951),  192-226,  who  admits  the  Eastern  (Syrian)  background  of  the  famous 
Epiphany  antiphon  though  chiiming  tliat  the  composition  of  the  chant  was  Roman.  No  less 
interesting  than  the  question  when  and  how  those  Eastern  chants  got  into  the  Western  Liber 
responsalis  is  the  question  when  and  how  they  were  eliminated  from  the  Western  responsoria. 

'  For  the  Feriale  Duranum,  see  R.  O.  Fink,  O.  S.  Hoey,  and  W.  F.  Snyder,  in:  yak  Classi- 
cal Studies,  VII  (1940);  A.  D.  Nock,  'The  Roman  Army  and  the  Roman  Rehgious  Year  " 
Harvard  Theological  Review,  XLV  (1952),  187-252;  and,  for  the  Calendar  of  354,  the  recent 
monograph  by  Henri  Stern,  Le  Calendrier  de  354  (Institut  frangais  d'archeologie  de  Beyrouth 
LV;  Paris,  1953),  which  in  many  respects  may  be  called  final. 

"  For  the  problem  of  Christmas,  see  the  bibliographie  raisonnee  by  Hieronymus  Frank 
"Fruhgeschichte  und  Ursprung  des  romischen  Weihnachtsfestes  im  Lichte  neuerer  Forschung  " 
Archiv  fiir  Liturgiewissenschaft,  II  ( 1952),  1-24,  to  whom  unfortunately  the  valuable  study  by 
Dom  Anselm  Strittmatter,  "Christmas  and  Epiphany:  Origins  and  Antecedents  "  Thourht 
Xyil  (1942),  600-626,  remained  inaccessible.  For  a  few  additional  texts  on  Epiphany  see 
Theodor  E.  Mommsen,  "Aponius  and  Orosius  on  the  Significance  of  Epiphany  "  Late  Classical 
and  Mediaeval  Studies  in  Honor  of  Albert  Matthias  Friend,  Jr.  (Princeton  1955)   96-111 


t  tf 


«    « 


•    t 


*  {' 


THE  BAPTISM  OF  THE  APOSTLES  207 

other  great  rehgious  ideas  which  made  different  dates  no  less  important.  The 
Pauhne  baptism  "into  the  Death  and  Resurrection  of  Christ,"  as  well  as 
the  Pentecostal  Descent  of  the  Spirit  conferring  the  spiritual  baptism,  were 
the  "great  religious  ideas" "  which  detracted  from  the  calendar  anniversary 
of  the  Jordan  events;  and,  whereas  the  ideas  of  Easter  and  Pentecost  were 
merely  rivals  of  the  idea  of  Epiphany  in  the  Oriental  Churches,  they  defi- 
nately  prevailed  in  the  West  -  all  the  more  so  since  here  the  feast  of  Epiph- 
any was  dominated  by  other  events.  After  some  vacillation,  the  Western 
Churches  abandoned  Epiphany  as  the  chief  baptismal  day  of  the  catechu- 
mens and  gave  preference  to  the  vigils  of  Easter  and  Pentecost.'  Other 
baptismal  days  were  observed  regionally  —  Christmas,  for  example,  or  the 
day  of  St.  John  the  Baptist.**  Rarely,  however  —  even  in  liturgical  literature 
—  is  there  mention  of  an  old  tradition  according  to  which  Maundy  Thursday 
was  looked  upon  as  the  day  when  the  Sacrament  of  Baptism  was  officially 
instituted. 

The  tradition  of  Maundy  Thursday  as  the  date  of  the  institution  of 
baptism  is  inextricably  bound  up  with  the  vexed  question  of  the  Baptism  of 
the  Apostles  which  puzzled  ecclesiastical  writers  in  the  early  centuries  of  the 
Christian  era."  Were  the  apostles  baptized  or  not?  And  if  they  were,  was  it 
Christ  himself  or  another  person  who  baptized  them?  The  bearings  of  that 
question  are  evident.  The  dominical  prescription,  transmitted  in  the  Fourth 
Gospel  (John  3:5),  says  that  "Except  a  man  be  born  of  water  and  of  the 
Spirit,  he  cannot  enter  into  the  kingdom  of  God."  Was  one  supposed  to 
assume  that  the  apostles  were  not  saved  because  they  lacked  their  evan- 
gelically certified  rebirth  by  water?  Already  Tertullian  had  spoken  against 
this  assumption.'"  On  the  other  hand,  if  the  apostles  were  saved  without 

*  The  distinction  between  commdmoraisons  historiques  and  jetes  d'idee  has  been  skil- 
fully carried  through  by  A.  Baumstark,  Liturgie  cumparee,  3rd  ed.  by  Dom  Bernard  Botte 
(Chevetogne  and  Paris,  1953),  173  f,  179  ff. 

'  For  Epiphany  as  baptismal  day,  see  the  classical  study  of  Karl  Hoi!,  "Der  Ursprung  des 
Epiphanienfestes,"  in  his  Gesammelte  Aufsdtze  zur  Kirchengeschichte,  II  (Tiibingen,  1928), 
123-154;  in  general,  see,  e.g.,  Ludwig  Eisenhofer,  Handbuch  der  katholischen  Liturgik,  II 
(Freiburg,  1933),  232  f,  §  b.  For  the  problem,  see  also  F.  M.  Braun,  "Le  bapteme  d'apr^s 
le  quatrieme  Evangile,"  Revue  thomiste,  XLVIII  (1948),  347-369. 

'  The  shifting  of  the  baptismal  day  from  January  6th  to  December  25th  is  easily  explained, 
because  originally  the  Nativity  of  Christ  was  celebrated  on  the  day  of  Epiphany;  hence,  the 
reference  point  may  have  been  mistaken,  but  not  really  changed  (cf.  Eisenhofer,  loc.  cit.). 
That  the  day  of  St.  John  the  Baptist  served  as  baptismal  dav  is  almost  self-evident.  The  Copts 
baptized  on  the  day  of  the  Consecration  of  the  Chrism  and  of  the  "Baptism  of  the  Apostles" 
(see  below,  n.  45). 

•See  Harry  A.  Echle,  "The  Baptism  of  the  Apostles,"  Traditio,  III  (1945),  365  f. 

"'Tertullian,  De  baptismo,  c.  12,  ed.  A.  Reifferscheid  and  G.  Wissowa  {CSEL.,  XX: 
Vienna,  1890),  210  S,  also  ed.  R.  F.  Refoule  and  M.  Drouzy  (Paris,  1952),  82  ff,  with  valu- 
able notes.  Tertullian,  like  Augustine  in  his  letter  to  Seleuciana  (below,  n.  12),  neatly  sums 


-'       J       J 

U     J     L     J 


208 


ERNST  H.  KANTOROWICZ 


participation  in  baptism,  then  to  all  appearances  the  dominical  prescription 
Jacked  general  validity.  The  Gospels  gave  no  answer  to  those  questions,  and 
the  allusion  of  John  4:1-2  seemed  to  deny  at  any  rate  a  baptism  at  the  hands 
of  Christ:  "Jesus  himself  did  not  baptize,  but  his  disciples  did."  This  verse 
made  the  problem  even  more  perplexing:  could  the  apostles  baptize  others 
without  themselves  being  baptized? 

It  is  not  surprising,  then,  that  there  arose  the  question  concerning  the 
Baptism  of  the  Apostles,  and  that  since  the  correct  answer  could  not  be 
known,  it  was  answered  in  many  different  ways.  Some  authors  held  that  the 
disciples  were  baptized  by  Christ,  others  said:  "By  John  the  Baptist." 
Clement  of  Alexandria  seems  to  have  thought  that  Christ  baptized  Simon 
Peter  only,  who  in  turn  baptized  some,  or  all,  of  the  other  disciples."  St. 
Augustine  was  inchned  to  believe  that  all  apostles  were  baptized  by  Christ 
himself,  but  declined  to  accept  the  version  according  to  which  all  were 
baptized  on  Maundy  Thursday  in  connection  with  the  Last  Supper/^ 

This  version  sprang  from  the  Gospel  of  John,  for  only  the  Fourth  Gospel 
describes  the  Feet-washing  ceremony  in  the  Upper  Room,  whereas  it  omits 
the  narration  one  would  expect  in  that  place,  that  of  the  Last  Supper  and  of 
tlie  Institution  of  the  Eucharist.  This  central  event  is  barely  alluded  to  in 
John  13,  where  it  is  said  quite  briefly:  "And  supper  being  ended  ...  he 
risetli  from  supper."  Instead,  all  stress  is  laid  upon  the  scene  about  which 
tlie  Synoptics  are  silent:  the  Laving  of  the  Feet." 

up  the  various  opinions  current  in  his  times;  he  refers  also  to  John  13:9-10,  but  deduces  from 
that  passage  that  the  apostles  were  baptized  previously,  probably  by  John  the  Baptist.  Cf. 
Echle,  loc.  cit. 

"  For  Clement,  whose  theory  is  transmitted  indirectly  only  through  scattered  remarks  in 
John  Moschos,  Sophronios,  Nikephoros  Kallistos,  and  other  writers,  see  Echle,  367  f. 

"Augustine,  In  Joannis  Evangelium,  LVI,  c.  3  if,  PL.,  XXXV,  1788  f,  says  nothing  about 
the  Baptism  of  the  Apostles,  though  in  LVII,  c.  1,  he  says:  Ubi  visum  est  intelligendum  quod 
Baptismo  quidem  homo  totus  abluitur;  sed  dum  isto  postea  vivit  in  saeculo,  humanis  affectibus 
terram  velut  pedibus  calcans  .  .  .  contrahit.  In  his  letter  to  Seleuciana,  however,  while  al- 
luding to  John  13,  he  says:  .  .  .  quos  [apostolos]  intelligimus  iam  fuisse  baptizatos  sive 
baptismo  Joliannis,  sicut  nonnulli  arbitrantur,  sive,  quod  magis  credibile  est,  baptismo  Christi. 
Cf.  Ep.,  CCLXV,  cc.  4  £F,  ed.  A.  Goldbacher  {CSEL.,  LVII;  Vienna,  1911),  641  ff,  esp.  643. 
This  passage  became,  so  to  speak,  the  official  version;  it  was  repeated  verbatim,  e.g.,  by 
Thomas  Aquinas,  Summa  theologiae.  Ilia,  q.  72,  a.6,  2,  who  likewise  reflects  upon  the  Baptism 
of  the  Apostles  in  connection  with  John  13:10,  just  as  TertulUan  does,  De  baptismo,  c.  12. 

"  The  theological  hterature  on  this  topic  is,  of  course,  immense.  See,  in  general,'  A.  Malvy, 
"Lavement  des  pieds,"  Dictionnaire  de  tlieologie  catholique,  IX  (1926),  16-36-  H  Leclercq' 
"Lavement,"  DACL.,  VIII:2  (1929),  2002  ff.  There  are  some  more  recent  studies,  e.g.  Paul 
Fiebig,  "Die  Fusswaschung,"  Angehs,  III  (1928),  121  ff;  H.  von  Campenhausen  '  "Zur 
Auslegung  von  Job.  13,6-10,"  ZNW.,  XXXIII  (1934),  259-271;  Ernst  Lohmeyer  "Die 
Fusswaschung,"  ZNW.,  XXXVIII  (1939).  74-94,  and  Anton  Friedrichsen.  "Bemerkungen  zur 
Fusswaschung,"  ibid.,  94-96.  The  theological  commentaries  on  Jolm  13  yield  historically  not 
very  much;  see,  however,  Alfred  Loisy,  Le  quatrieme  evangile,  2nd  ed.  (Paris,  1921),  382  ff- 
Oscar  Cullmann,  Les  sacrements  dans  Fevangile  Johannique  (Paris,  1951),  73  ff;  R.  p'  Braun 


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THE  BAPTISM  OF  THE  APOSTLES 


209 


The  Johannine  narration  of  the  course  of  events  is  simple  enough,  and  it 
will  be  well  to  recall  some  of  the  details,  since  they  will  have  to  be  referred 
to  quite  frequently.  Christ  rises  from  supper,  lays  his  garments  aside,  and 
girds  himself  with  a  towel.  After  that,  he  puts  water  into  a  basin  -  viTTTrjp 
in  Greek,  pelvis  in  Latin  -  and  begins  to  wash  the  feet  of  the  disciples  and 
wipe  them  with  the  towel  with  which  he  is  girded.  Venit  ad  Petrum  -  he 
comes  to  Simon  Peter,  apparently  not  the  first  of  the  disciples  whose  feet 
were  bathed,'*  and  at  that  point  there  develops  the  memorable  stichomythia 

"Le  lavement  des  pieds  et  la  repon.se  de  Jesus  k  Pierre,"  Revue  Biblique,  XLIV  (1935),  22  ff; 
also,  for  a  few  remarks,  Wilfred  L.  Knox,  Some  Hellenistic  Elements  in  Primitive  Chriliianittj 
(Schweich  Lectures,  1942;  London,  1944),  75,  n.  3.  For  the  synagogical  background,  see 
below,  n.  15.  Two  important  studies  on  the  Mandatum  proper  may  be  added  here:  for  the 
East,  see  S.  Petrides,  "Le  lavement  des  pieds  dans  leglise  grecque,"  t,chos  d'Orient,  III  (1899- 
1900),  321-326,  and,  for  the  West,  Dionys  Stiefenhofer,  "Die  liturgische  Fusswaschung  am 
Griindonnerstag  in  der  abendliindischen  Kirche,"  Festgabe  Aloys  Knopfler  zur  Vollendung  des 
70.  Lebensjahres  (Freiburg,  1917),  325-339. 

'*  East  and  West  differ  on  that  point.  Origen,  In  loannem  Commentarius,  XXXII,  4  ff,  ed. 
Preuschen  (GCS.,  X  =  Origen,  IV;  Berlin,  1903),  435,18  ff,  says  one  would  assume  that 
Peter  was  first  and  Judas  last;  Christ,  however,  acting  like  a  good  physician,  started  with 
Judas  who  needed  medical  treatment  most  urgently,  and  treated  Peter  last  J,,  D^arrov  ■Kavrwv 
ht6fLivov  T7/S  vixpiw^  tS>v  TToSwf.  Ephrem  (below,  n.  30),  ed.  Lamy,  I,  394,  likewise  gives  Peter 
the  last  place  in  the  file  of  apostles:  Auctor  gratiae  lavavit  pedes  omnium  disciptdorum  usque 
ad  Simonem;  quum  autem  ad  eum  accessisset  .  .  .  ,  Hie  timuit  etc.  Ephrem 's  reason  for  this 
sequence,  however,  was  not  medical,  but  ethical:  Incipiendo  autem  a  minimo  docuit  omnes 
humilitatem  (p.  392).  See  also  Cyrillonas  (below,  n.  32),  p.  28.  This  remained  the  traditional 
sequence  within  the  Orthodox  Church;  cf.  J.  Goar,  Euchologion  (Paris,  1647),  753,  nos.  12- 
13,  also  p.  748  for  the  custom  of  beginning  the  Feet-washing  with  Judas  (traditionally  staged 
by  the  ostiarius)  and  ending  it  with  Peter  (traditionally  staged  by  the  oeconomicus)  ■  cf 
Petrides,  322  f. 

The  opposite  opinion  we  find  represented  in  the  West  by  Augustine,  In  loannem,  LVI, 
V.  I,  PL.,  XXXV,  1788:  .  .  .  deinde  subiunctum  est,  'Venit  ergo  ad  Simonem  Petnjm,'  qua.si 
aliquibus  iam  lavisset,  post  eos  venisset  ad  primum.  Quis  enim  nesciat  primum  Apostolorum 
esse  beatissimum  Petrum?  Sed  non  ita  intelligendum  est  quod  post  aliquos  ad  ilium  venerit; 
sed  quod  ab  illo  coeperit.  Quando  ergo  pedes  discipulorum  lavare  coepit,  venit  ad  eum,  a  quo 
coepit,  id  est,  ad  Petrum.  This,  then,  seems  to  have  been  a  widely  spread  opinion  in  the  West; 
it  is  quoted,  e.g.,  in  Bernard  of  Porto's  Ordo  Lateranensis,  c.  133,  ed.  Ludwig  Fischer  (Munich 
and  Freising,  1916),  53;  also  Ernaud  of  Bonneval,  Liber  de  cardinalihus  operibus  Chri.<di,  c.  7 
("Deablutionepedum"),PL.,  CLXXXIX,  1650  A:  .  .  .  de  mensa  stirgens,linteo  sc  praecinxit. 
et  ad  genua  Petri  .  .  .  obtulit  famulatum.  Ernaud  even  excluded  Judas  from  the  pedilavium, 
which  Augustine  did  not  do  (below,  n.  83).  It  is  interesting  to  notice  that  even  in  this  rela- 
tively insignificant  matter  there  prevails  in  the  West  a  hierarchic  rationalism,  the  tendency 
to  proceed  in  rank  from  top  to  bottom,  whereas  the  East  -  here  as  always  —  recognizes  the 
mystery  in  the  unexpectedly  reversed  order. 

The  question  of  Peter's  precedence,  or  that  of  Judas,  cannot,  unfortunately,  be  specified 
by  the  iconographic  material.  There  are,  it  is  true,  scores  of  pictures  showing  the  apostles  as 
they  handle  their  sandals  while  Peter  is  washed;  rarely,  however,  can  it  be  told  whether  thev 
are  lacing  their  sandals  after  the  washing,  or  unlacing  them  in  order  to  be  washed.  Only  one 
type  suggests  that  Judas  has  preceded  Peter:  a  small  crouching  figure,  separated  from  the 
other  disciples,  is  rubbing  his  feet  or  putting  on  his  sandals,  while  Peter  is  being  washed.  This 
is  quite  obvious  in  a  Byzantine  fresco  in  Curtea  de  Arges  (Rumania);  see  Oreste  Tafrali, 
Monuments  byzantins  de  Curtia  de  Arges  (Paris,  1931),  pi.  LXXl  bis,  and  text  p.  137  ff; 


n    J    J    u 

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210  ERNST  H.  KANTOROWICZ 

between  Master  and  disciple  which  was  to  become  basic  for  all  representa- 
tions of  that  scene: 

(6)  And  Peter  saith  unto  him:  "Lord,  dost  thou  wash  my  feet?" 

(7)  Jesus  answered  and  said  unto  him:  "What  I  do  thou  knowest  not  now;  but 
thou  shalt  know  thereafter." 

(8)  Peter  saith  unto  him:  "Thou  shalt  never  wash  my  feet."  Jesus  answered  him: 
"If  I  wash  thee  not,  thou  hast  no  part  with  me." 

(9)  Simon  Peter  saith  unto  him:  "Lord,  not  my  feet  only,  but  also  my  hands  and  my 
head"  (non  solum  pedes,  scd  etiam  manus  et  caput). 

(10)  Jesus  saith  to  him:  "He  that  is  washed  needeth  not  save  to  wash  his  feet,  but 
is  clean  every  whit.  And  ye  are  clean,  but  not  all  are." 

The  last  words,  of  course,  hinted  at  Judas'  imminent  betrayal.  In  the  Synop- 
tic Gospels,  this  prediction  forms  an  indispensable  part  of  the  Last  Supper; 
in  the  Fourth,  it  is  shifted  to  the  Feet-washing  ceremony,  although  it  will 
be  repeated  once  more  when  Christ,  later  on,  dips  the  sop  for  Judas.  For, 
so  we  are  told,  after  having  washed  the  feet  of  the  disciples  and  taken  his 
garments,  Christ  returned  to  the  table,  reclined  again,  and  set  out  to  ex- 
plain what  his  doing  meant.  "If  I  then,  your  Lord  and  Master,  have  washed 
your  feet,  ye  also  ought  to  wash  one  another's  feet."  It  was  an  example  of 
humility  and  charity  set  to  the  disciples,  a  Mandatum  novum  (ipToXr)  Kaivri) 
or  new  commandment  of  mutual  love  —  and  this  is  what  the  Mandatum  was 
in  the  first  place. 

The  intentions  of  the  writer  of  the  Fourth  Gospel,  in  omitting  from  his 
narration  the  communion  of  the  apostles  and  inserting  instead  the  cere- 
monious pedilavium,  will  have  to  remain  his  own  secret.  It  is  easily  under- 
stood, however,  that  later  interpreters  were  inclined  to  raise  the  laving  in 
the  Upper  Chamber  to  a  sacramental  level,  an  act  hardly  less  meaningful 
and  portentous  than  the  breaking  of  the  bread  itself,  with  which  the  Feet- 
washing  was  so  closely  connected.  At  any  rate,  the  exegetes  were  inclined 
to  see  that  ancient  ritual  of  the  Synagogue  ^^  in  a  new  light,  to  attribute  to 
it  more  than  an  act  merely  of  humility  and  charity,  and  to  visualize 

see  further,  for  a  Byzantine  silver  embroidery,  S.  Eitrcm,  "La  Sainte  Ablution  sur  une  broderie 
en  argent  byzantine,"  Ei's-  Mnj/iT/v  STn'ptSoji'os-  Ad'/xTrpoi'  (Athens,  1935),  160  (fig.);  see  also 
Bibl.Nat.,  MS.  copte  13  (below,  n.  128,  and  fig.  45).  See,  for  the  West,  e.g.,  Hanns  Swarzen- 
ski,  Die  iUuminiertcn  Handschriften  dcs  XIII.  Jahrhunderts  in  den  Landern  an  Rhein,  Main 
und  Donau  (Berlin,  1936),  pi.  144,  fig.  805,  and  text  page  64  ("der  sich  die  Fiisse  trocknende 
Apostel"). 

"  The  synagogical  background  of  the  ritual  washing,  important  though  it  is,  may  be  left 
aside  for  the  present  discussion;  see,  however,  H.  Strack  and  P.  Billerbeck,  Kommentar  zum 
Neiien  Testament  aus  Talmud  und  Midrasch,  II  (Munich,  1924),  557;  Robert  Eisler,  "Zur 
Fusswaschung  am  Tage  vor  Passah,"  ZNTW.,  XIV  (1913),  268  ff,  as  well  as  the  papyrus 
Gospel  fragment,  published,  e.g.,  by  H.  B.  Swete,  Ztvei  neue  Evangclienfragmente  (Lietz- 
manns  Kleine  Texte,  31;  Bonn,  1908;  reprinted  in  1924,  pp.  4-9);  Joachim  Jeremias,  "Der 


THE  BAPTISM  OF  THE  APOSTLES 


211 


some  inner  causal  connection  between  the  Feet-washing  and  the  Institution 
of  the  Eucharist.  In  short,  one  began  to  attribute  to  the  ritual  washing  a 
sacramental  and,  more  specifically,  a  baptismal  meaning.  Peter's  reluctance 
to  accept  his  Master's  services  compared  ideally  with  the  reluctance  of  John 
the  Baptist  to  perform  the  service  demanded  of  him,  a  parallelism  between 
the  Baptism  in  Jordan  and  the  Laving  in  the  Upper  Chamber  which  did  not 
escape  St.  Ambrose,'"  and  which  occasionally  was  reflected  in  the  art  of  a 
later  period  (figs.  57,  58).  ''  If,  further,  Clement  of  Alexandria  held  that 
only  St.  Peter  was  baptized  by  Christ  himself,  he  too  may  have  thought  of 
the  Feet-washing  at  which,  of  all  the  apostles,  Peter  alone  was  distinguished 
by  being  told  that  he  was  clean,  and  therefore  apparently  had  been  cleansed 
before.^® 

Moreover,  any  event  or  action  connected  with  water  would  have  evoked 
in  early-Christian  typological  thinking  some  association  with  baptism.'* 
Hippolytus  of  Rome,  for  example,  interpreted  the  bath  of  Susanna  as  a  bap- 
tism which  he  linked  to  passover.'"'"  The  Syrian  Aphraates,  called  the  "Persian 
Sage,"  who  wrote  around  a.d.  340,  drew  an  even  more  succinct  parallel: 

Israel  [he  wrote]  was  baptized  in  the  middle  of  the  Red  Sea  on  this  paschal  night  .  .  .  ; 

Zusammenstoss  Jesu  mit  dem  pharisaischen  Oberpriester  auf  dem  Tempelplatz:  Zu  Pap.  Ox. 
V,  840,"  Coniectanea  Neotestamentica,  XI  (1947),  97-108. 

'"Ambrosius,  De  fiacramentis.  III,  1,  4,  ed.  Johannes  Quasten,  Monumcnta  cucharistica  et 
liturgica  vetustissima  (Florilegium  Patristicum,  VII;  Bonn,  1936),  152,  10  R:  .  .  .  et  ait 
illi  Petrus:  'Tu  mihi  lavas  pedes?'  .  .  .  Habes  hoc  et  alibi:  'Venit  ad  lohannem,  et  ait  illi 
lohannes:  Ego  a  te  dcbco  baptizari,  et  tu  venis  ad  me  [.Matth.  3:14]?'  See  also  the  sermon 
attributed  to  Fulgentius,  Scrmo,  XXVI,  PL.,  LXV,  893D:  Sic  et  conversus  ttius  Joannes  ex- 
cusabat  ad  Jordanem,  sic  et  tu  excusas  ad  pelvrm;  and,  for  a  later  period,  Bemaud  of  Bonneval, 
Liber  de  cardinalibus  operibus,  VII,  PL.,  CLXXXIX,  1652B:  Simili  mode  et  Johannes  venienti 
Domino  ad  baptismum  tentavit  resistere  .  .  .  The  resistance  of  John  was  a  famous  subject  for 
dramatization  in  sermons,  dialogues,  and  mystery  plays;  see  George  LaPiana,  Le  rappre- 
sentazioni  sacre  ( Grottaf errata,  1912),  72  ff. 

"  Notably  in  the  casket  of  Farfa  (fig.  57;  cf.  n.  154);  see  also  the  portable  altar  from  the 
Rhine  (fig.  58,  n.  155). 

"Echle,  in  Traditio,  III  (1945),  367  f. 

"  The  monograph  of  Per  Ivar  Lundberg,  La  typologie  baptismale  dans  I'ancienne  egli.se 
(Upsala,  1942),  may  replace  here  an  enumeration  of  the  vast  literature  on  that  subject;  see, 
however,  also  F.  J.  Dolgcr,  "Der  Durchzug  durch  das  Rote  Meer  als  Sinnbild  der  christlichen 
Taufe,"  Antike  und  Christentum,  II  (1930),  63-69,  also  70  ff. 

'^  Hippolytus,  e;?  tov  AavL-qK,  I,  16,  ed.  Bonwetsch  {GCS.,  I:  1,  1897),  26  f:  Trolav  "exdiTov 
iijficpav)"  flAA.'  *j  rrjv  rov  Trdaxa;  iy  jy  to  Xovrpov  iv  TrapaSiirrw  toU  Karrro/xf rots  tTOifJu'i^fTai  Kal 
(rj  iKKkijaia  (us)  SoKTarra  a.ToXovo/j.fi'rj  KaOapa  }'vp(f>rj  Otu)  wapitnaTai.  The  bath  of  Susanna  is 
paralleled  here  mainly  with  the  nuptial  bath  of  the  Church;  cf.  Odo  Casel,  "Die  Taufe  als 
Brautbad  der  Kirche,"  Jahrbuch  fiir  Liturgietvissemchaft,  V  (1925),  144  ff,  and,  for  the 
Hippolytus  passage  in  particular,  his  "Art  und  Sinn  der  altesten  christlichen  Osterfeier," 
JLW.,  XIV  (1938),  23.  Casel,  in  that  connection,  refers  also  to  the  Maundy  Thursday  bath  of 
the  catechumens  mentioned  in  Hippolytus'  Apostolic  Tradition,  c.  20,  reprinted  bv  L. 
Duchesne,  Christian  Worship,  5th  ed.  (London,  1931),  533. 


'  /    J    J    c 

U     J     L     J 


212 


ERNST  H.  KANTOROWICZ 


and  our  Saviour  washed,  also  on  the  paschal  night,  the  feet  of  his  disciples,  which  is 
the  Sacrament  of  Baptism. ^^ 

In  a  similar  vein  Origen,  a  century  before  Aphraates,  had  already  inter- 
preted the  famous  scene  under  the  oak  trees  of  Mambre  in  a  baptismal 
sense.  Abraham  washed  the  feet  of  his  three  angelic  visitors  before  serving 
them  their  meal: 

For  Abraham  | wrote  Origen]  knew  that  the  dominical  sacrament  cannot  be  consum- 
mated except  by  washing  the  feet.22 

If  by  "dominical  sacrament"  the  Eucharist  was  meant,  then  indeed  the 
Laving  of  the  Feet  must  have  meant  baptism  to  Origen.  At  any  rate,  Origen 
placed  in  parallel  the  laving  of  the  angels  before  their  meal  and  the 
pedilavitim  of  the  apostles  -  yet  another  typological  concordance  of  which 
late  mediaeval  manuscript  painters  availed  themselves  (fig.  IS).'"* 

Origen's  simile  calls  to  our  attention  a  rather  important  point.  Abraham, 
as  was  the  custom  in  the  Mediterranean  world,  first  washed  his  visitors'  feet 
and  thereafter  served  the  meal.  Was  that  the  sequence  of  events  in  the 
Upper  Chamber  too?  Did  the  laving  take  place  before  or  after  the  breaking 
of  the  bread?  Did  the  Feet-washing  precede  or  follow  the  Communion  of 

"  Aphraates,  Homily  XII  ("On  the  Pasch") ,  c.  6,  trsl.  Georg  Bert,  Aphrahat's  des  permchen 
WnsenHomdien  (Texte  und  Untersuchungen  zur  Geschichte  der  altchristhchen  Literatur 
III:  3-4;  Leipzig,  1888),  191.  In  the  Latin  translation  of  J.  Parisot,  Aphraati,  Sapientis 
Persae  Demonstratioues,  in  Graffin,  Patrologia  Syriaca,  I  (1894).  527,  the  passage  reads- 
Bapttzatus  est  ciutcm  Israel  in  medio  man  hac  paschatis  nocte,  in  die  salmtionis;  et  Salvator 
noster  ettam  pedes  lavit  discipulomm  suorum  nocte  paschatis,  quod  est  sacramcntum  haptismi 
See,  for  the  whcl,,-  problem,  the  extremely  useful  study  by  Edward  J.  Duncan,  Baptism  in 
the  Demonstrations  of  Aphraates  the  Persian  Sage  (The  Catholic  University  of  America 
Studies  in  Christian  Antiquity,  No.  8;  Washington,  D.  C,  1945) ,  esp.  53  f  and  67  ff 

Origenes,  In  Genesim  Homiliac,  IV,  c.  2,  ed.  Baehrens  (Origenes,  VI:  1  GCS  XXIX- 
Berhn,  1920),  53,  5:  Sciebat  enim  [Abraham]  dominica  sacramenta  non  nisi  in  lavandis  pedi- 
busconsummanda.  For  no  obvious  reason  Origen  first  relates  that  AI,raham  ordered  the  meal 
tor  his  guests  before  he  discusses  the  Feet-washing.  See  next  note 

f^'X  ''T'''tA^I"'.J^J°^-  ^^'''  "'"""^  *^°'""^"'  ^'''''«  ;'«"P^'-'""  (Stockholm,  1925),  pi. 
63  and  p.  334.  §  25.  The  text  of  the  Biblia  pauperum  is  highly  significant  for  the  confused 
chronology  of  events  characteristic  of  the  Western  Church.  The  author  first  states:  "Da  begat 
unser  herr  das  mandat.  Then  he  tells  the  story  of  Abraham  at  Mambre:  "kaum  das  sv  7u  im 
chomen,  da  er  m  nun  -"  e^sen  und  zu  trinken  geben  het  und  ir  fuez  gewasehen  het."  Genesis 

Th.  .  V^  T"''  ''^'  /  ^^'"^'"^  ^'''  ^"'^"^  '^^  ^'''  ^"^  ^h^"  ^^"  t«  prepare  the  meal. 
The  author  has  a  reason  for  correcting  Genesis:  "Abraham  petzaichnet  unseren  herren  der 
sich  diemutikleichen  neiget  fur  sein  lunger  und  ir  fues  zwug  naeh  dem  essen."  Rome,  on  the 
whole,  favored  this  sequence  of  events  (see  below,  nos.  82,  83),  and  therefore  the  author  of 
the  B,W,a  pauperum  changed  also  the  sequence  of  Genesis  18.  See  also  Hans  von  der 
Gabeentz,  ^'l^f^^Panperum  und  Apokalypse  der  Grossherzogl.  Bibliothek  zu  Weimar 

ha  of  Tohn  3  ^'  '  ,T/^;  ^r^""  u^"^"^^  °'  •^^^"*^-  ^^^  ^eet-washing  of  Genesis  and 
tliat  of  John  13  are  paralleled  also  in  the  Modena,  Bibl.  Estense.  MS.  a.  U.  6  7  fol  34' 
of  which  a  reproduction  is  found  in  Eneiclopedia  Cattoliea  (Vatican,  1951),  VII '969  See 
below,  n.  26,  for  Augustine's  chronology. 


THE  BAPTISM  OF  THE  APOSTLES 


213 


•• 


the  Apostles?  The  Fourth  Gospel,  our  only  source,  is  not  at  all  clear  on  that 
point.  The  narration  begins  with  the  words:  "And  supper  being  ended  .  .  . 
he  riseth  from  supper."  This  would  suggest  that  the  Feet-washing  was 
performed  after  the  meal,  and,  apparently,  after  the  Institution  of  the 
Eucharist -an  additional  act  of  charity  and  humihty,  accentuating  the 
charitable  contents  of  the  preceding  brotherly  repast.  On  the  other  hand, 
so  we  are  told,  the  laving  being  accomplished  Jesus  reclined  again  at  the 
table,  not  only  to  explain  the  meaning  of  the  "New  Commandment,"  but 
also  to  dip  the  sop  for  Judas.  If  this  Judas-Communion  be  taken  as  an  inte- 
gral part  of  the  Last  Supper,  as  it  is  in  the  other  Gospels,  then  indeed  the 
Feet-washing  would  have  taken  place  before  the  Communion  of  the 
Apostles. 

All  that  can  be  said  on  the  basis  of  the  Fourth  Gospel  is  that  the  laving 
interrupted  the  meal,  or,  at  least,  that  it  was  performed  during  the  meal. 
The  scene  is,  in  fact,  occasionally  so  represented  by  mediaeval  miniaturists. 
The  twelfth-century  Bible  of  Floreffe  (near  Liege),  for  example,  shows  the 
disciples  still  at  the  table,  together  with  Christ  who  gives  the  sop  to  Judas; 
at  the  same  time,  however,  Christ  washes  the  foot  of  Peter  from  under  the 
table  (fig.  14)."*  In  magnificent  simplicity  and  directness  this  scene  is  shown 
in  a  Psalter,  likewise  of  the  twelfth  century,  in  the  Morgan  Library:  the 
bread,  as  yet  unbroken,  is  on  the  table  at  which  the  disciples  are  seated, 
while  the  lordly  halneator  (to  use  an  expression  of  Zeno  of  Verona)  reaches 
again  from  under  the  table  for  Peter's  foot  to  bathe  it  (fig.  16).-'  Those 
paintings  may  follow  the  perfectly  sound  interpretation  of  Augustine  who 
pointed  out  that  Coena  ergo  facta  means  Coena  iam  parata,  "the  table  being 
prepared"  instead  of  "supper  being  ended."  However,  this  interpretation, 
though  found  in  some  other  paintings  (see,  e.g.,  fig.  25),  was  not  the  one 
to  conquer  despite  the  authority  of  its  champion.^** 

=*  Brit.  Mus.,  Add.  MS.  17737-8,  fol.  4\ 

""New  York,  Morgan  Library  MS  645,  fol.  4',  a  particularly  beautiful  Psalter  fragment 
containing  the  Entry  into  Jerusalem  with  the  Reception  (fols.  3'-4'),  the  Feet-washing,  and 
the  Crucifixion  (5').  I  am  indebted  to  the  Morgan  Library  for  placing  a  photograph  at  my 
disposal.  Cf.  Zeno  of  Verona,  Tractatus,  II,  c.  35,  PL.,  XI,  480f:  lam  balneator  praecinctus 
exspectat  .  .  .  (with  reference  to  baptism,  although  the  epithet  praecinctus  is  reminiscent 
of  the  Feet-washing) ;  see  also  James  of  Edessa,  The  Hymns  of  Severus  of  Antioch  and  Others, 
ed.  and  trsl.  by  E.  W.  Brooks,  POr.,  VI  (1911),  106  f  (Hymn  63):  "[we]  have  gained 
cleansing  through  the  divine  laver  of  regeneration." 

"Augustine,  In  Joannis  Evangelium,  LV,  c.  3,  PL.,  XXXV,  1786:  Non  ita  debemus  intel- 
ligere  coenam  factam  veluti  iam  consummatam  atque  transactam:  adhuc  enim  coenahatur,  cum 
Dominus  surrexit  et  pedes  lavit  discipulis  suis.  Nam  postea  recubuit,  et  buccellam  suo  traditori 
dedit,  utique  coena  nondum  fxnita,  hoc  est,  dum  adhuc  panis  esset  in  mensa.  'Coena  ergo  facta,' 
dictum  est,  iam  parata,  et  ad  convivantium  mensam  usumque  perducta.  It  is  surprising  that 
in  this  case  the  West,  with  few  exceptions,  disregarded  Augustine's  interpretation. 


n    J    J    L 

U     J    L     U 


214 


ERNST  H.  KANTOROWICZ 


However,  upon  the  question  whether  the  laving  was  meant  to  precede  or 
to  follow  the  Last  Supper,  other  conclusions  depended.  If  that  ceremony  was 
performed  after  the  Last  Supper,  it  could  be  understood  exclusively  as  the 
act  of  humility  and  charity  which  the  Mandatum  novum  was  at  any  rate. 
If,  however,  that  humble  service  was  assumed  to  have  been  rendered  before 
the  meal,  as  was  the  custom  (so  to  speak)  since  Abraham's  times,  then 
indeed  the  washing  and  the  meal  would  appear  to  be  in  causal  relationship 
with  one  another  and  a  totally  different  chain  of  symbols  could,  though  not 
of  necessity,  be  activated.  For  in  this  event  the  washing  could  have  taken 
place  in  preparation  for  the  Supper  and  for  the  Institution  of  the  Eucharist; 
that  is,  in  preparation  for  the  First  Communion  of  the  Apostles  —  and  the 
first  communion  normally  followed  immediately  after  baptism.  In  other 
words,  the  washing  in  the  vliTT-qp,  the  foot-basin,  might  appear  as  the  Bap- 
tism of  Apostles.  Moreover,  the  Feet-washing,  if  it  preceded  directly  the 
Institution  of  the  Eucharist,  might  be  taken  to  be  synonymous  widi  the  In- 
stitution of  the  Sacrament  of  Baptism  in  general,  and  the  two  holy  rites  of 
salvation  could  be  said  to  have  been  instituted  on  the  same  day. 

Hence,  the  chronology  of  events  was  of  major  importance  for  the  evalu- 
ation of  the  ceremonious  laving.  It  could  be  taken  either  as  an  act  of  charity 
and  only  charity,  or  it  could  be  taken  to  have,  in  addition  to  its  charitable 
values,  a  sacramental  meaning.  In  short,  a  double  interpretation  sprung  up, 
one  charitable  and  the  other  sacramental,  which  now  shall  be  traced  in  its 
radiations  into  various  spheres  of  influence. 


n 

A  few  texts  may  first  illustrate  the  baptismal  exegesis  of  the  Feet-wash- 
ing. When  Origen  said  that  "the  dominical  sacraments  cannot  be  consum- 
mated without  washing  the  feet,"  he  must  have  assumed  that  the  pedilavium 
preceded  the  ritual  meal  -  as  in  the  case  of  Abraham's  angelic  visitors.-' 
Quite  unequivocal  as  usual,  however,  is  the  Syrian  tradition,  which  most 
significantly  connects  the  baptismal  interpretation  of  the  Feet-washing  di- 
rectly with  the  chronology  of  events  in  the  Upper  Chamber.  Aphraates  we 
recall,  styled  the  Mandatum  straightforwardly  the  "Sacrament  of  Baptism  " 
When  contrasting  the  baptism  of  the  disciples  with  Israel's  baptism  in  the 
Red  Sea,  he  made  the  sequence  of  events  one  of  the  essentials  of  his 
argument: 

IV  ^Tr^'  T:  ?a"f/  ^"u  "''"  ^"S'"'  ^"  ^"""""'"'  •'^'^-^"-  -*•  47,  «1.  Pn-uschen  (Origenes, 
Abrrham  °"''  ""''  ''''  P<^dilaviu,n  is  compared  with  the  services  of 


THE  BAPTISM  OF  THE  APOSTLES 


215 


After  the  Lord  had  washed  their  feet  and  reclined  again  fat  the  table],  he  gave  them 
his  Body  and  Blood;  whereas  Israel  first  ate  the  paschal  meal  and  was  baptized  there- 
after in  the  Red  Sea.-'* 

Aphraates  further  pointed  out  what  the  baptismal  laving  of  the  apostles 
meant:  whereas  the  baptism  performed  by  the  Precursor  referred  to  peni- 
tence only,  the  laving  of  the  disciples  represented  the  evangelical  institution 
of  true  baptism,  because  in  that  paschal  night  the  Lord  revealed  to  the 
apostles  the  mystery  of  a  baptism  into  his  Passion  and  Death.-'"  Other  Syrian 
authors  show  some  familiarity  with  the  baptismal  exegesis  of  the  Feet-wash- 
ing.""' They  may  not  always  be  quite  clear  about  the  point;  but  the  evidence 
of  Cyrillonas,  a  Syrian  poet  of  the  end  of  the  fourth  century,  is  unmistakable, 
for  he  conceived  of  the  Feet-washing  as  the  prelude  to  the  reception  of  the 
Eucharist.  He  seems  to  have  had  in  mind  the  passing  of  the  newly  baptized 
from  the  baptistery  into  the  church,''  when  he  makes  Christ  speak  after  the 
laving: 

Behold,  I  have  washed  and  cleansed  you;  now  hasten  joyfully  into  the  church  and  enter 
into  her  portals  as  heirs.''- 

"  Aphraates,  Homily  XII,  c.  6;  Bert,  Apliraliat,  192  f;  Parisot,  in  Patr.  Syr.,  I,  531:  Et 
pnstquam  lavit  pedes  eonim,  dedit  eis  Corpus  et  Sanguinem  suum.  Seats  autem  \populus\ 
Israel,  (fui  posU/tiam  pascha  mandticaverunt,  baptizati  sunt  in  nube  et  in  mart.  Duncan, 
Aphraates,  68  f. 

"  Bert,  Aphrahat,  193;  Parisot,  op.  cit.  527  f :  Noveris  etenim,  carksime,  Salvatorem  nocte 
ilia  dedisse  baptismum  veritatis.  Nam  quamdiu  cum  discipulis  conversatus  e.st,  haptismtis 
legis,  quo  sacerdotes  baptizahant,  erat  baptismus  ille  de  quo  dicebat  lohannes:  'Paenitentiam 
agite  a  peccatis  vestris.'  At  in  ea  nocte  manifestavit  eis  sacramentum  baptismi  passionis  mortis 
suae,  sicuti  dixit  Apotolus:  'Consepulti  estis  ei  per  baptismum  in  mortem,  et  cum  eo  surrexistis 
per  virtutem  Dei.'  Cf.  Duncan,  Aphraates,  67  S,  who  has  collected  the  Aphraates  passages 
referring  to  the  Feet-washing. 

""See,  e.g.,  Theodore  of  Mopsuestia,  Commentarium  in  Evangelium  Johannis  Apostoli, 
ed.  and  trsl.  by  J.-M.  Voste,  in:  Corpus  scriptorum  Christianorum  orientalium.  Script.  Syri, 
ser.  IV,  vol.  Ill,  versio  latino  (Louvain,  1940),  18.3,  on  'Non  habebis  partem':  Cum  autem  ex 
hoc  verbo  exktimaret  baptismi  loco  esse  banc  lotionem,  et  ab  ea  se  sumpturum  participationem 
cum  Domino,  atque  idcirco  diceret  ut  se  totum  lavaret,  si  ita  res  se  haberet,  Dominus 
corrigit  eius  ignorantiam,  diccns:  Qui  lotus  est  etc.  Dominus  noster  vero  loquens  Simoni  dicere 
vult:  Hie  non  e.st  bapti.imus  in  remissionem  peccatorum  .  .  .  Theodore  then  goes  on  saying: 
Receperunt  nempe  discipuli  baptismum  remissionis  a  Johanne.  .  .  ,  eos  vero  perfecit  descensus 
Spiritus  qui  postca  venit  super  eos.  This  argumentation,  of  course,  is  quite  conventional  and 
may  be  found,  time  and  time  again,  in  both  East  and  West.  See  also  Ephrem,  Sermo  III  in 
hebdomadam  sanctam,  c.  4,  ed.  T.  J.  Lamy  (Malines,  1882),  I,  398,  who  indicates  at  least 
the  connection  of  John  13:10  with  baptismal  ideas  by  adding  the  word  baptismus  {Qui 
baptismo  ablotus  est  .  .  .  nullo  prorsus  lavacro  indiget);  Ephrem  holds  that  the  disciples 
were  previously  baptized  "with  fire  and  with  the  spirit,"  though  not  with  water,  and  he,  too, 
assumes  that  the  Feet-washing  preceded  the  Institution  of  the  Eucharist;  see  ibid.,  414  flF. 
See  also  a  sermon  falsely  attributed  to  John  Chr\sostom,  PGr.,  LIX,  718. 

"Duncan,  Aphraates,  71. 

"  Cyrillonas,  Ihjmnus  iiber  die  Fus.<iwa.schung,  trsl.  by  P.  S.  Landersdorfer,  Amgewdhlte 
Schriften  der  syrisclicn  Dichter  (Bibliothek  der  Kirchenviiter,  \'I;  Kemptcn  and  Munich 
1912),  29. 


U     J     L 


216  ERNST  H.  KANTOROWICZ 

And  during  the  Last  Supper  itself,  according  to  Cyrillonas,  Christ  referred 
to  his  preceding  services: 

Behold,  how  highly  I  have  honored  you.  I  have  laved  your  feet  and  have  invited  you  to 
share  my  meal.'*'* 

No  doubt  could  arise  for  Cyrillonas  that  the  Feet-washing  was  the  prepara- 
tion for  the  Eucharist. 

This  tradition  belonged  not  to  the  Syrians  alone.  They  may  have  started 
it,  but  it  was  popular  and  persistent  throughout  the  East.  Anastasius  Sinaita, 
writing  before  a.ix  700,  was  a  Syrian  by  birth,  it  is  true;  but  his  writings  form 
part  of  Byzantine  literature.  On  one  occasion,  when  discussing  in  his  Hexa- 
emeron  the  achievements  of  the  fifth  day  of  the  Creation,  he  happened  to 
compare  the  Temple  of  Solomon  with  the  Church  of  Christ,  and  thereby 
remarked: 

After  the  fifth  day,  Solomon  the  son  of  David  washed  the  temple  in  the  type  of  the 
baptismal  washing  of  the  Church  by  Christ  the  son  of  David;  therefore,  the  basin  of 
the  Last  Supper  on  the  fifth  day  [that  is,  the  fityakr,  ■kIix-^tt,,  feria  quinta]  takes  the  place 
of  the  baptismal  font:  the  feet  of  the  apostles  were  laved  in  a  baptismal  fashion  by 
Christ,  whereafter  he  gave  them  to  participate  in  his  Body  and  Blood. »* 

Anastasius  Sinaita,  who  later  exercised  considerable  influence  on  the  Russian 
Church  and  on  Russian  Church  symbolism,  culled  his  flowers  from  many  a 
theological  bypath.  In  this  case,  however,  he  seems  simply  to  have  enlarged 
upon  an  ISiofieXov  dSea-noTop,  an  anonymous  and  undated  chant  which  in 
the  tenth  century  appears  in  a  Grottaferrata  manuscript  as  an  Epistham- 
honos  -  a  prayer  ad  poptilum  said  at  the  end  of  the  mass  from  behind  t]i(> 
ambo  -  and  normally  belongs  to  Vespers  on  Holy  Thursday  in  the  Greek 
Church  as  well  as  in  her  daughter  Churches.  It  begins  with  the  words: 
The  glorious  disciples  were  illuminated  in  the  basin  of  the  Last  Supper.=»- 

To  "illuminate"  (cf>coTtCeip)  means  to  baptize,  and  the  "basin  of  the  meal" 

{vlnrrip  ro5  SetVvou)  refers  here  -  as  in  the  exegesis  of  Anastasius  Sinaita  - 

2  Cyrillonas,  Erste  Homilie  iiber  das  Pascha  Christi,  trsl.  by  Landersdorfer   34 

Anastasius  S.naita,  Zn  Hexaemeron,  V,  PGr.,  LXXXLX,  922C  (only  in  a  Latin " version )  • 

Haec  nos  cj,untus  d^s  docet  de  Christo  et  Ecclesia,  symholn  et  Ligmata,  ante  12^1- 

rn^cans  rnnapn.m  haptismatisin  quo  creati  sunt  c,uinque  sensus  huLnae  naturae  I 

hoc  qmnto   mquam   dte  saeculi,  in  quinquies  millesimo  anno,  factum  est  etiam  lamc'rum  a 

Sdomone^Uo  David  in  templo  Dei  Hierosolymis,  in  typum  haptisnu^tis  Eccle^ecZisii 

Der  filn  Dav,d.  Quomodo  etiam  rur...  ilU  peM.  in  magno  coenaLlo,  quintoZele2Zm 

hahens  puscnae;  pedes  discipulorum  primum  baptizavit  Christus,  et  deinde  ded'itcoZ^et 

sangumem  in  participationem  ...  "t^"wt  aeatt  corpus  et 

R  ."'^I"'^"'"^..^!!"'^^''  "Le  P'-^g'^ere  opisthambonoi  dei  Codici  criptense,"  Bollettino  delta 
Badia  Greca  di  Grottaferrata,  III  (1949)  62  no  29  lines  -^  ff-  "  ^  •  -  ^  '"^"*"°  "^"" 
eV  r^  n.rr,p.  .of,  8„V.o  ,  i^f^J^oJ  .  .  •  S^W  Chris  and  J'  p"  "'"^  "'  -^f'/aV-  aov 
carminumChristianorum(Le]p7i  1871)    94  '"'^'''  ^""'"'«g'«  ^''''<^- 


THE  BAPTISM  OF  THE  APOSTLES  217 

to  the  foot-bath  which  thus  takes  the  place  of  the  "Jordan,"  the  baptismal 
font.  Smce  it  seems  quite  unlikely  that  the  idiomelon  was  formed  after  the 
text  of  Anastasius  Sinaita,  who,  on  the  contrary,  probably  used  or  para- 
phrased the  chant,  we  may  assume  that  the  chant  antedated  at  least  the 
seventh  century.  It  belongs  until  the  present  day  to  the  Maundy  Thursday 
service  of  the  Greek  and  Russian  Churches,-  and  the  basic  idea  embedded 
m  the  idiomelon  will  therefore  be  found  everywhere  within  the  Orthodox 
orbit,  from  Grottaferrata  to  Moscow. 

This  is  true  also  with  regard  to  the  Gospel  lessons  in  the  hturgy  on  Holy 
Thursday.  The  pericopes  are  Matthew  26:2-19,  John  13:3-17  and  again 
Matthew  26:21-39.  The  readings  are  arranged  in  such  a  fashion  that  by 
the  mtercalation  of  John  into  the  report  of  Matthew,  the  impression  is  given 
that  the  Feet-washing  preceded  the  Communion  of  the  Apostles." 

The  same  chronology  of  events  is  reflected  also  by  the  Armenian  rite 
in  which  the  baptismal  interpretation  of  the  pedilavium  was  not  unknown 
either.  A  prayer  after  the  Feet-washing  and  preceding  the  liturgy  says: 

Wherefore  even  this  day  thou  completedst  in  the  economical  humanity  the  two  works 
of  our  salvation  begun  in  ineffable  humihty,  by  washing  in  the  holy  upper-chamber  the 
teet  of  thy  disciples  and  by  distributing  among  them  thy  body  and  blood.3« 

Since  the  preceding  prayer  remembers  the  renewal  of  God's  command 
"through  the  visible  water  of  this  washing"  and  entreats  God  to  "endue  us 
with  the  holiness  of  thy  holy  Spirit,"  there  can  be  but  Httle  doubt  that  the 
"two  works  of  our  salvation"  instituted  on  Holy  Thursday  were  Baptism  and 
the  Eucharist. 

These  concepts  can  be  traced  also  in  the  Egyptian  Church.  It  would 
be  difficult  to  tell  whether  Origen's  exegesis  of  Genesis  18:4,  the  washing 
of  the  feet  of  Abraham's  angelic  visitors,  has  influenced  the  lectionaries. 
However  that  may  be,  the  later  Coptic  lessons  for  Maundy  Thursday  con- 
tained the  pericope  Genesis  18:1-23,^"  immediately  followed  by  the  Man- 
datum  ceremony  which,  in  turn,  opened  with  two  specially  composed 
lessons:  one  referring  to  Israel's  crossing  of  the  Red  Sea/"  and  the  other 

"Triodion  (Rome,  1879)  665;  Service  Book  of  the  Holy  Orthodox-Catholic  Apostolic 
o^riZT''^  '  ^^  ^'''^^  ^^"'^"'^'^  "''Pg""^  (^°='t'^"  ^d  New  York,  1906), 

^Uo,   CI.   ^  J.U. 

''  Euaggelion  (Rome,  1880),  131  f. 

''Rituale  Armenorum,  ed.  F.  C.  Conybeare  (Oxford,  1905),  219. 

"Le  lectionnaire  de  la  Semaine  Sainte:  Texte  copte  .  .  .  d'aprds  le  manuscrit  Add  5997 
du  British  Museum,  ed.  and  trsl.  by  O.  H.  E.  Burmester,  POr.,  XXV  (1943)  253  f  The 
Genesis  pericope  is  followed  by  the  rubric:  "Void  les  le^-ons  qu  on  lit  sur  le  Bass'in."  It  seems 
that^in  the  Coptic  Church  the  laving  had  its  place  within  the  frame  of  the  mass. 

"Op.  cit.,  257:  "Quand  Israel  traversa  le  mer  Rouge,  leurs  pieds  foulerent  la  mer 
ils  all^rent  violemment  dans  I'eau;  les  pieds  d'lsrael  et  de  toute  la  maison  de  Jacob    leurs 


/  /    J    J    u 

U     J     L     U 


218 


ERNST  H.  KANTOROWICZ 


THE  BAPTISM  OF  THE  APOSTLES 


referring  to  the  crossing  of  the  Jordan  nnder  Joshna/'  While  normally  both 
crossings  were  taken  to  be  typological  prefignrations  of  Baptism,  they  were 
here  prefignrations  of  the  Feet-washing,  too,  as  the  repetition  of  the  word 
"feet"  clearly  demonstrates.  The  Feet-washing,  therefore,  belonged  to  the 
general  componnd  of  baptismal  ideas.  Moreover,  in  the  Coptic  Cluirch,  the 
pedilaviian  and  the  reading  of  John  13:1-17  were  followed  by  the  pericopes 
of  the  Institution  of  the  Eucharist  from  I  Corinthians  11:23-26  and  Mat- 
thew 26:20-29  so  that  clearly  the  Feet- washing  preceded  the  Last  Supper. "*- 
This  chronology  is  found  also  in  the  ApopJithegnuita  patrtim,  "The  Say- 
ings of  the  Monastic  Fathers,"  and  in  the  Syriac  derivatives  of  that  collection 
of  edifying  tales,  which  was  composed  in  Egypt  in  the  fourth  or  fifth  cen- 
tury." In  one  of  these  stories  we  find  the  discussion  of  the  Ordines  Christi  — 
a  speculative  interpretation  of  the  life  of  Christ  in  which  an  effort  was  made 
to  attribute  to  Christ  the  performance  of  every  duty  and  function  pertaining 
to  the  various  orders  and  ranks  of  the  ecclesiastical  hierarchy.  That  cursus 
honorum  started  with  the  function  of  uatiurius  which  Christ  allegedly  exer- 
cised when  driving  the  money-changers  from  the  Temple,  and  it  ended  in 
the  Last  Supper  when  Christ  as  a  priest  or  bishop  imparted  the  bread  and 
the  cup  to  the  apostles.  This  priestly  or  episcopal  function,  however,  was 
preceded  by  the  diaconate  of  Christ,  who  took  upon  himself  the  obligations 
of  a  deacon  when  he  washed  the  feet  of  the  apostles.  In  other  words,  the 
Feet-washing  preceded  the  Communion  of  the  Apostles.  It  may  be  men- 
tioned obiter  that  the  towel  with  which  Christ  girded  himself,  was  accord- 


219 


pieds  danserent;  ils  eviterent  la  ruine;  ils  chanterent  le  cantique:    Louons  le  Seigneur,  car  il 
a  ete  glorifie'." 

"  Op.  cit.,  258:  "Josue  avec  le  peuple  traverserent  le  Joiirdaiii;  leurs  pieds  foulerent  las 
pierres  qui  sont  au-dessous  de  I'eau;  leurs  pieds  furent  fennes;  ils  battirent  leurs  enneinis." 

"  Op.  cit.,  267-273,  follows  a  long  and  interesting  litany  wliicli  was  repeated  also  on  the 
day  of  Peter  and  Paul,  when  once  more  tlie  lavatio  pedum  was  performed;  see  Burmester 
"Two  Services  of  tlie  Coptic  Church  attributed  to  Peter,  Bishop  of  Bahnesa,"  Mtiscou,  XLV 
(1932),  241  f.  Then  (p.  277)  a  short  grace  is  said  after  the  laving  and  (277-282)  the  lessons 
referring  to  the  Last  Supper  begin.  See  also  p.  239,  the  "Prayer  of  the  Basin  (Lakane)," 
where  the  baptismal  meaning  of  the  Feet-washing  is  expressed  quite  clearly:  ".  .  .  who 
didst  prepare  for  us  the  way  of  Life  by  the  feet  of  Thine  elect  holy  Apostles."  The  Br  Mus 
MS.  Add.  5997  is  dated  1273;  but  the  lectionary  itself,  which  of  course  contains  very  old 
material,  is  said  to  have  been  composed  by  the  Patriarch  Gabriel  II  (1131-1146)-  see 
Burmester,  in  POr.  XXIV  (1933),  173. 

"For  the  Greek  text  of  the  Apophthegmata  passage,  see  A.  Wilmart,  "Les  ordres  du 
Christ,"  Revue  des  sciences  religieuses.  III  (1923),  324  ff,  esp.  326,  who  has  admirably  traced 
the  history  of  that  topic.  See,  for  the  Syriac  tradition,  Ernest  A.  VVallis  Budge  The  Paradise 
or  Garden  of  the  Holy  Fathers  (London,  1907),  II,  135  (c.  594),  and  243  (c  429)-  and  for 
the  Latin  version,  Verba  Seniorum,  IV,  c.  8,  PL.,  LXXIII,  1()16A.  Within  the  tradition  of 'that 
story  there  are  many  variations  with  regard  to  tlie  ranks  (see  Wilmart,  op.  cit.),  but  tlie  Feet- 
washing  is  practically  always  interpreted  as  a  function  of  Christ  the  Deacon. 


ingly  interpreted  as  the  Orarion,  the  stole  of  the  deacon."  Later  on,  in  the 
mediaeval  Coptic  Churcli,  we  have  also  the  testimony  of  Bishop  Macarius 
of  Manuf,  secretary  to  the  Patriarch  between  920  and  933.  Not  only  does  he 
assert  that  "on  the  day  of  the  preparation  of  the  chrism  the  baptism  of  the 
apostles  took  place,"  but  he  mentions  also  that  on  the  same  day  the  Patriarch 
performed  baptism  "because  it  is  said  that  on  this  day  Christ  baptized  his 
disciples."  " 

We  notice  that  in  all  Eastern  Churches  there  was  a  certain  readiness  to 
interpret  the  pedihwium  in  a  baptismal  fashion  or  at  least  to  have  it  chrono- 
logically precede  the  Institution  of  the  Eucharist. 


Ill 

With  regard  to  imagery,  our  interest  will  be  concentrated,  for  obvious 
reasons,  on  representations  which  show  both  the  Feet-washing  and  the  Last 
Supper.  The  earliest  evidence  for  the  treatment  of  these  two  themes  in  one 
picture  is  found  in  the  purple  Codex  of  Rossano,  a  Greek  Gospel-book  of  the 
sixth  century  (fig.  17a).'"  At  first  glance  we  might  be  inclined  to  think  that 
the  Rossanensis  has  the  wrong  chronology:  the  Judas  scene  seems  to  precede 
the  lavatio  pedum.  This,  however,  is  not  quite  correct.  Judas  does  not  receive 
the  sop,  but  dips  his  hand  into  the  dish.  Hence,  the  artist  did  not  follow  the 
Fourth  Gospel,  but  presented  the  scene  according  to  Matthew  26:23,  or 
Mark  14:20.  It  cannot  be  said,  therefore,  that  he  disregarded  the  sequence 
of  events  in  John  when  he  added  marginally  —  following  probably  an  old 
iconographic  formula ''  —  the  Mandatiim  scene  in  the  upper  right  corner. 
In  fact,  he  may  have  been  quite  conscious  of  the  correct  sequence,  for  after 

"Cf.  H.  Lecleicq,  s.v.  "Lavement,"  DACL.,  VIII:  2  (1929),  col.  2004.  See  also  the 
Coptic  "Prayer  of  the  Basin"  for  the  extreme  importance  attributed  to  the  "towel";  Burmester, 
in  Museon,  XLV,  239  (above  n.  42). 

"L.  Villecourt,  "Un  manuscrit  arabe  sur  le  Saint  Clireme  dans  I'eglise  copte,"  Revue 
d'histoire  ecclesiastique,  XN'III  (1922),  16  ff.  The  chronology  is  confused  and  it  is  not  clear 
exactly  what  day  was  meant;  however,  baptism  was  performed  on  the  day  on  which  the 
chrism  was  consecrated  and  the  apostles  were  baptized.  This  day,  it  is  true,  was  for  a  long 
time  Good  Friday;  but  since  933  -  with  a  brief  interruption  -  it  seems  to  have  been  Holy 
Thursday;  cf.  Philipp  Hofmeister,  Die  heiligen  Ole  in  der  morgen-  und  abendliimiischen 
Kirche  (Das  ostliche  Christentum,  N.  F.,  Heft  6-7;  Wurzburg,  1948),  46;  see  also  Riedel,  in 
Gottinger  Nachrichten  ( 1902 ) ,  697  ff . 

"  Rossano,  Bibl.  Arcivescovile,  Gospel-book,  fol.  3';  see  A.  Muiioz,  7/  codice  jnirpurco  di 
Ro.ssano  e  il  framinento  sinopense  (Rome,  1907),  pi.  5. 

"This  formula  (the  placing  of  the  Feet-washing  in  the  right  comer  of  the  Last  Supper), 
which  is  found  in  all  centuries,  may  be  of  considerable  age,  as  Professor  Kurt  Weitzmann 
kindly  pointed  out  to  me.  The  vlim^p,  of  course,  is  marginal  in  the  Psalters  where  it  illustrates 
Ps.  50:9  ("Thou  shalt  sprinkle  me  with  hyssop,  and  I  shall  be  cleansed");  cf.  J.  J.  Tikkanen, 
"Die  Psalter-Illustration  im  .Mittelalter,"  Acta  Societatis  Scicutiarum  Fennicac,  X.X.XI:  5 
(1903),  55. 


'  /    _'    J    u 
U     J    L        / 


220 


ERNST  H.  KANTOROWICZ 


the  laving  he  depicts  the  Communion  of  the  Apostles  whereby  the  disciples, 
as  in  wall  paintings  and  mosaics,  approach  Christ  from  opposite  directions 
to  receive  the  bread  and  the  chalice  respectively  (figs.  17b-c)/*  We  might 
argue  that  the  artist  followed  the  Greek  lessons  of  Maundy  Thursday,  which 
were  Matthew,  John,  and  again  Matthew,  and  that  he  merely  took  the  free- 
dom to  intercalate  John,  not  after  Matthew  26:19,  as  the  pericope  would 
suggest,  but  after  Matthew  26:23,  thereby  throwing  the  Judas  scene  to  the 
first  pericope  and  severing,  by  the  Feet-washing,  the  Last  Supper  from  the 
Communion  of  the  Apostles. 

There  arise,  however,  certain  difficulties.  The  peculiar  tripartition  of 
scenes,  rare  on  the  whole,  is  found  mainly  in  Syrian  manuscripts,  the  British 
Museum  Additional  7170  "■'  and  the  Vatican  Syriac  559  (figs.  18a-c),'"  both 
of  the  early  thirteenth  century,  in  which  the  Feet-washing  is  not  inter- 
calated, but  precedes  both  the  Last  Supper  and  the  Communion.  This  might 
strengthen  the  hypothesis  according  to  which  the  Codex  Rossanensis  origi- 
nated in  Antioch,"  and  not  in  Byzantium,  where  that  tripartition  is  not 
found;  for  the  Paris  Gospels,  Bibl.Nat.MS.gr.74,  repeat  apparently  by  mis- 

"See,  e.g.,  Charles  Diehl,  Manuel  d'art  byzantin,  I  (2nd  ed.,  Paris,  1925),  258  ("rappel- 
lent,  par  leur  disposition,  la  decoration  d'un  hemicycle  d'abside").  As  Professor  A.  M.  Friend 
kindly  informed  me,  this  pattern  was  found  already  in  Zion  Church,  in  Jerusalem;  see  Hugues 
Vincent  and  F.  M.  Abel,  Jerusalem:  Recherches  de  topographie,  d'archeoloEie  et  d'histoire 
(Paris,  1912-1926),  II:  3,  p.  456,  n.  5. 

"  For  the  manuscript,  see  Hugo  Buchthal,  "The  Painting  of  the  Syrian  Jacobites  in  its 
Relation  to  Byzantine  and  Islamic  Art,"  Sijrm,  XX  (1939),  136  flF  (cf.  next  note).  The  sequence 
is:  Feet-washing  (fol.  139'),  Last  Supper  (fol.  139'),  Communion  of  the  Apostles  (fol.  141') 
Th^  by  the  way,  is  also  the  sequence  of  events  depicted  by  Ephrem;  see  Sermo  111  in 
Hebdomadam  Sanctum  (above,  n.  30),  cc.  1-3:  Feet-washing;  cc.  4-8-  Judas  (=  Last 
Supper);  and  Sermo  IV,  cc.  1-4:  Institution  of  the  Eucharist  (  =  Communion  of  the  Apostles) 
See  below,  n.  51,  for  other  sequences. 

"  See  G.  de  Jerphanion,  Les  miniatures  du  manuscrit  syriaque  No.  559  de  la  Bibliotheque 
VatU:ane  (V^^^^n  City  1940),  pis.  xvi-xvn,  figs.  32-34.  This  MS.,  by  and  large,  duplicates 
Brit.  Mus.  Add.  7170  (cf.  Jerphanion,  62  f).  -'  f         i 

~  Anton  Baumstark,  "Bild  und  Liturgie  in  antiochenischem  Evangelienbuchschmuck  des 
6.  Jahrhunderts,  Ehrengabe  deutscher  Wissenschaft,  ed.  by  Franz  Fessler  (Freiburg  1920) 
233-252,  does  not  discuss  Feet-washing  and  Last  Supper  when  he  tries  to  hnk  the  Rossanensii 
to  the  Syrian  Lectionary  reconstructed  mainly  on  the  basis  of  the  hymns  and  sermons  of 
Severus  of  Antioch  (Severus,  unfortunately,  yields  little  for  the  Laving  on  Maundy  Thursday)  ■ 
see  also  Baumstark,  "Das  Kirchenjahr  in  Antiocheia  zwischen  512  und  518"  Rdmusche 
Quartalsckrift,  XI  (1897),  31-66.  For  the  pericopes  at  a  later  date,  see  Jerphanion  opct 
19;  they  do  not  seem  to  justify  the  sequence  of  events  depicted  in  the  Rossano  Codex  At- 
tention may  be  called  to  the  fact  that  in  the  later  Cappadocian  cycles  the  Last  Supper  always 

TZtV^n^^ToZT'  "'  '''l*f "  P"^'"^"'^  ^y  Jerphanion,  La  voix  des  monuments 
(Pans.  1930),  24^249.  However,  the  Last  Supper  apparently  is  always  represented,  as  in  the 
Rossanensis,  accordmg  to  Matthew  26  (Judas  dipping  his  hand),  and  not  according  to  John 
13  Judas  receiv^mg  the  sop).  One  may  wonder  whether  the  confusing  narration  of  Tat  an's 
Du:tessaron  has  had  any  mfluence;  but  to  answer  this  question  is  beyond  the  capabilities  of 
the  present  author.  » 


THE  BAPTISM  OF  THE  APOSTLES  221 

take  the  Last  Supper,  which  both  precedes  and  follows  after  the  Feet-wash- 
ing, but  omit  the  Communion."  The  Syrian  readings,  however  do  not 
follow  the  Byzantine  scheme,^^  and  the  only  feature  which  the  Eastern 
representations  seem  to  have  in  common  is  that  the  pedilavium  precedes  the 
Last  Supper  and  the  Communion  of  the  Apostles.  This  is  true  of  an  eleventh- 
century  Athos  manuscript ''  as  well  as  of  several  Armenian  manuscripts  »' 
although  on  the  whole  the  laving  ceremony,  in  Eastern  art,  is  rarely  con- 
joined with  the  Last  Supper  or  the  Communion  of  the  Apostles  in  one 
image."" 

The  scheme  of  the  Rossanensis  and  the  Syrian  manuscripts  remained 
practically  without  influence  in  the  East,  and  it  was  completely  unknown  in 
the  West.  Even  in  the  one  extraordinary  case  in  which  the  Communion  of 
the  Apostles  appears  together  with  the  washing  ceremony  in  a  western  work 
of  art  -  the  thirteenth-century  Enamel  Casket  from  Huy  -  the  Communion 
precedes  the  laving  (figs.  19a-b)."  It  would  be  hazardous  to  call  this 
sequence  of  events  without  qualification  "Roman,"  although  it  is  remarkable 
that  in  the  Roman  orbit  there  is  a  certain  predilection  for  this  chronology. 
The  Sacramentary  of  Ivrea  of  the  time  of  Otto  III  (fig.  20)  may  serve  as  an 
illustration:  ''  in  the  upper  register  is  the  Last  Supper  according  to  John, 

"  Cf.  H.  Omont,  Bibliothec^ue  Nationale,  Departement  des  MSS:  Evangiles  avec  peintures 
byzantmes  du  XV  siecle  (Paris,  n.  d.),  for  the  MS.;  pi.  167  (fol.  195):  Last  Supper   pi   168 
(195'):  Feet-washing;  pi.  168b  (fol.  196):  Last  Supper  (almost  identical  with  fol    195) 
where  one  would  expect  the  Communion  of  the  Apostles. 

"Jerphanion,  Syriaque  No.  559,  19,  gives  the  later  readings.  Severus  of  Antioch  in  his 
hymn  On  the  Washing  on  Maundy  Service,"  does  not  convey  any  suggestions  with  regard  to 
the  pericopes;  see  James  of  Edessa.  Hymns  of  Severus,  ed.  Brooks,  POr.,  VT,  106  f.  Nor  are 
we  certain  about  the  Byzantine  pericopes  in  the  earlier  times. 

"Athos,  Dionysiou  740,  fol.  52'  (Feet-washing)  and  fol.  53'  (Last  Supper).  I  am  in- 
debted to  Professor  A.  M.  Friend  for  acquainting  me  with  this  manuscript.  This  sequence  is 
also  that  of  the  texts;  see.  e.g..  Minisci,  "Le  preghiere  opisthambonoi"  (above,  n.  35).  61. 
no.  28,  lines  16  ff,  where  the  Feet-washing  precedes  the  Institution  of  the  Eucharist. 

"  As  Professor  Sirarpie  Der  Ncrsessian  kindly  informs  me  the  Feet-washing  precedes  the 
Last  Supper  and  the  Communion  of  the  Apostles  in  the  following  Armenian  manuscripts: 
Jerusalem,  Armenian  Patriarchate,  MS.  2583,  fol.  13  (Feet-washing)  and  fol.  14'  (Com- 
munion of  the  Apostles).  Gospels  dated  1444;  Manchester.  John  Rylands  Libr.,  MS.  armen. 
20,  fols.  24  and  25"  (Last  Supper),  Gospels  dated  1587;  Paris,  Pozzi  Collection  (no  foho 
numbers:  Washing  and  Communion),  Gospels  dated  1586.  In  about  twelve  other  Armenian 
MSS.,  however,  the  Washing  of  the  Feet  comes  after  the  Last  Supper  or  Communion,  and  in 
the  Gospel-book  of  1653  (Jerusalem.  Armenian  Patriarchate,  MS.  2350)  the  Last  Supper  is 
above  and  the  Feet-washing  below,  though  without  a  line  separating  the  two  scenes. 

"  The  reason  is  that  most  of  the  Eastern  representations  of  the  laving  are  found  in  the 
Psalters  as  an  illustration  of  Ps.  50:9  (see  above,  n.  47),  whereas  Gospel  and  Lectionary 
illustrations  of  that  scene  are  relatively  rare.  See.  however,  above,  no.  55. 

"  Fernand  Crooy.  Les  emaux  carolingiens  de  la  Chdsse  de  Saint  Marc  a  Huu-sur-Meuse 
(Paris,  1948). 

"Ivrea,  Bibl.  Capitolare  MS.  86,  fol.  50'  (ca.  a.d.  1001-1002);  cf.  A.  Ebner,  Quellen  uiul 
Forschungen  zur  Geschichte  und  Kungstgeschichte  des  Missale  Romanum  (Freiburg.  1896), 


/  /       _/       J       II 

U    J    J    u 


222  ERNST  H.  KANTOROWICZ 

in  the  lower  is  the  lavatio  padum.''^'  We  find  this  scheme  ven-  frequently,  for 
example,  in  a  Gospel-book  of  Gnesen  of  the  late  eleventh  century  (fig.  21 ),"" 
or  in  the  clear  outhne  of  an  English  Psalter  of  tlie  tliirteenth  (fig.  22),"  not 
to  mention  a  score  of  other  similar  representations."'  It  was  a  very  conven- 
tional artistic  manner  of  depicting  the  narration  of  John,  even  though, 
rather  surprisingly,  the  chronolog>-  of  e\ents  has  been  re\ersed.  To  be  sure, 
the  relation  between  upper  and  lovv'er  sections  need  not  always  be  that  of  a 
chronological  order  proceeding  from  above  to  below.  A  Munich  Psalter  of 
tlie  thirteenth  century,  for  example,  would  suggest  that  the  contents  have 
to  be  read  from  below  to  above,  since  otherwise  the  Entry  into  Jerusalem 
would  follow  after  the  Laving  and  the  Last  Supper  (fig.  23)."'  Scruples  of 
chronology,  however,  have  to  be  excluded  when  examining  the  tvielfth- 
century  Gospels  from  Pembroke  College  where  a  third  scene  is  introduced: 
the  Kiss  of  Judas  and  the  Arrest  of  Christ  (fig.  24).'"  Here  the  sequence  is 
clearly:  Last  Supper,  Laving,  Arrest. 

Contrariwise,  the  magnificent  Gospel-book  of  Matilda  of  Tuscany  ( Mor- 
gan Library),  which  falls  in  the  second  half  of  the  eleventh  century,  shows 
that  the  West  had  not  totally  surrendered  to  tlie  wrong  chronolog)-  (fig. 
25)."'  In  the  uppermost  third  where  the  Feet- washing  takes  place,  the  table 
is  laid  with  dishes  as  yet  untouched  —  coena  iam  parata,  as  Augustine  inter- 
preted versicle  13:2  of  St.  John."'^  There  follows,  in  the  central  section,  the 
Last  Supper  with  the  Judas  scene  according  to  John;  finally,  in  the  lowest 

57;  G.  B.  Ladner,  "Din  italienisclie  Malerei  im  11.  Jalirhundert,'"  Jahrbuch  der  kuiisthiistorischcn 
Sammlungen  in  M'ien,  \  (1931j,  137,  fig.  115;  Luigi  Maguaiu,  Lc  miniatuw  del  Sacra- 
mentariu  d'lvrea  e  di  cdtri  codici  Wamioudtani  (Vatican,  1934 j,  pi.  xiw 

"^  It  seems  that  the  West  had  a  strong  prelereuce  for  representing  the  Last  Supper  accord- 
ing to  jofui,  whereas  the  East  apparently  prefened  tlie  versions  ol  Mattliew  and  Maik.  The 
problem,  however,  should  be  studied  in  greater  detail  than  is  intended  here. 

""Gnesen,  Chapter  Library  MS.  la,  fol.  45\  cf.  Societe  frangaise  dc  reproductions  de 
manuscrits  a  peinturcn.  bulletin,  XIX  (Paris,  1938),  pi.  xxxix 

"British  Museum,  Royal  MS.  1.  D.  X.,  fol.  4';  cf.  A.  Herbert,  'A  Psalter  in  the  B.M. 
(Ro)-al  MS.  1.  D.  X)  Illummated  in  England  in  tlie  Thirteenth  Genturv,"  Wdvole  Societu 
Annual,  m  (1913-14),  47-56.  '  ^  ^ 

•"  See  below ,  figs.  27,  28  (nos.  69,  70) ;  also,  for  a  Lectionan-  at  Karlsrulie,  O.  Hombuiger 
and  K.  Preisendanz,  Dai  Evangeliatar  den  Spetierer  Domcn  (Leinzic  1930)  ■">()  i  nl  ■''1 
(fol.  28).  ^      f    b^  ;,  -      ,  pi.  -i 

■"Cf.  Hanns  Swarzenski,  DU'  lateinischen  illuminiertcn  Handnchriften  des  XIII.  Jahr- 
hundertn  in  den  Ldruiem  an  Rhein,  Main  und  Donau  (Berlin,  1936),  pi.  84  fig  498 

"  Cambridge,  Pembroke  College  MS.  120,  fol.  3';  cf.  M.  R.  James.A  Descriptwe  Catalogue 
of  tlw  MSS.  in  the  Library  of  Pembroke  College,  Cambridge  (Cambridge.  1905),  facing  p. 

-New  York,   Morgan   Library  MS.  492.   fol.   100-   cf.   Sir  George  \A'arner,   Gos-TH'h  of 
Matilda,  Countess  of  Tuscany  (Roxburghe  Cluh,  1917),  pi.  xxiv. 
"  Above,  n.  26. 


THE  BAPTISM  OF  THE  APOSTLES 


223 


third,  the  Arrest.  This  sequence  of  events  will  be  found  no  less  frequently 
than  the  other  version,  and  it  might  be  found  in  Europe  anywhere  -  most 
telhngly,  for  example,  in  the  Wilten  chalice  of  the  twelfth  century  (fig. 
26),*'"  or  in  a  wall  painting  of  St.  Caecilia  in  Cologne,  of  the  late  thirteenth 
(fig.  30).''  The  correct  chronology,  as  represented  by  these  images,  does 
not  belong  to  any  one  school  or  any  one  country  alone.  Nevertheless,  on  the 
basis  of  a  cursor)'  examination  of  tlie  Index  of  Christian  Art  it  has  been  ob- 
ser\'ed  that  especially  in  late  mediaeval  France  the  pcdilmium  preceding 
the  Last  Supper  is  almost  in\ariably  the  order  displayed  by  all  kinds  of 
works  of  art.  For  example,  the  Psalter  (so-called)  of  St.  Louis  and  Blanche 
of  Castile  of  the  thirteenth  century  shows  the  well-known  scheme  of  the 
Ivrea  Sacramentar\-  (fig.  20)  or  the  Gnesen  Gospels  (fig.  21)  in  a  reversed 
order:  the  Mandatum  is  in  the  upper  register,  the  Last  Supper  in  the  lower 
(fig.  27).'"  The  same  sequence  is  persistent  in  the  ivories  -  and  if  die  dip- 
t>'ch  of  the  Collection  Reubell  (fig.  28)  should  not  be  deemed  unambiguous 
enough,  then  the  dipt)'ch  of  die  Musee  de  Cluny  (fig.  29)  may  dispel  every 
possible  doubt  concerning  the  chronology:  tlie  Feet-washing  follows  im- 
mediately after  the  Entr\'  and  therefore  clearly  precedes  the  Last  Supper.'" 
Admittedly,  there  are  exceptions  which  give  the  opposite  chronology." 
However,  the  question  arises  whether  the  predilection  of  French  artists  can 
be  accounted  for  by  some  other  e\idence,  and  whether  the  observation  of 
the  correct  chronology  ma)-  have  some  significance.  Perhaps  the  hterary 
tradition  in  the  West  can  provide  us  with  some  clue. 


IV 

In  the  Roman  Church,  the  baptismal  interpretation  of  the  lavatio  pedum 
was  never  accepted.  Rome,  in  that  respect,  was  peculiarly  guarded  and  un- 
rec-eptive.  St.  Augustine,  far  from  recognizing  the  equation  of  Feet-washing 
and  Baptism  of  the  Apostles,  warns  of  confounding  the  ceremony  of  charity 
with  the  Sacrament  of  Regeneration;  he  mentions  in  his  letter  to  Januarius 
that  in  order  to  sever  the  pedilavium  completely  from  baptism  many  teachers 

""Heinrich  lOapsia,  "Der  Bertoldus-Kelch  aus  dem  Kloster  Wilten,"  Jahrb.d.kunsthist. 
Sammlungen  in  Wien,  N.  F.  XII  (1938),  7-34. 

"P.  Clemen,  Die  gotisclie  Monumentalmalerei  der  Rheirdande   ( Diisseldorf ,  1930),  pi. 

XX. 

•Paris,  Bibl.  de  l.^rsenal,  MS.  lat.  1186,  fol.  22';  cf.  Henri  Martin,  Les  joyaux  de  F Arsenal 
(Paris,  1909),  1,  pi.  xxvui. 

'"Raymond  Koechlin,  Les  ivoires  gothii^ues  fran^is  (Paris,  1924),  pi.  cxxxvii,  figs  799 
and  805. 

''  I  am  greatly  indebted  to  Dr.  Rosahe  B.  Green,  of  the  Princeton  Index  of  Christian  Art, 
who  called  my  attention  to  various  items  touched  upon  here. 


n    J    J 

u    J    J 


224 


ERNST  H.  KANTOROWICZ 


(or  churches)  have  refused  to  make  it  a  custom  or  to  introduce  it  at  all, 
that  others  had  no  scruples  toward  eliminating  the  laving  from  the  custom- 
ary rite,  and  that  a  third  group  found  it  expedient  to  defer  the  whole  laving 
ceremony  to  a  different  date.^"  He  pointed  out  that  the  disciples  had  been 
baptized  previously  either  by  John  or,  preferably,  by  the  Master  himself 
so  that  a  repetition  of  baptism  M'ould  have  been  wholly  improper,"  and 
declared  that  whereas  by  baptism  the  whole  man  was  cleansed,  the  washing 
of  the  feet  referred  only  to  the  daily  pardonable  sins/*  \'ery  consciously 
Augustine  severed  the  act  of  charity  from  the  Sacrament  of  Baptism,  there- 
by admitting,  of  course,  by  imphcation  that  he  was  quite  famiUar  with  the 
concept  of  a  baptismal  exegesis  of  the  pedilavium.  He  could  not  easily  have 
avoided  such  admission;  for  among  those  who  beheved  that  the  laving  did 
pertain  to  the  Sacrament  of  Baptism  was  the  imposing  figure  of  Ambrose  of 
Milan  who,  in  387  at  San  Lorenzo  in  Milan,  presumably  stooped  to  wash, 
in  a  thoroughly  non-Roman  fashion,  the  feet  of  his  unusually  gifted  cate- 
chumen from  Tagaste,  Augustine.^^ 

St.  Augustine's  attitude  may  have  been  determined  by  conditions  in 
Africa.  More  than  a  generation  before  him,  Optatus,  Bishop  of  Mileve  in 
Numidia,  had  written  against  the  schismatic  Donatists  who  logically  had  to 
defend  the  possibilit)'  of  a  second  baptism  if  the  first  had  been  performed  bv 
a  traditor,  and  in  that  connection  Optatus  declared  that, 

when  Christ  laved  the  feet  of  his  disciples,  ...  he  fulfilled  merely  a  form  of  humility, 
but  pronounced  notlung  concerning  the  sacrament  of  baptism.'" 

'=  Augustine,  Ep.  LV,  c.  33,  ed.  Goldbacher  (CSEL.,  XXXIV,  2),  208:  Ne  ad  ipsum 
baptismi  sacramentum  pertinere  videretur,  multi  hoc  in  comuctudincm  reciperv  nolucrunt 
notmulli  etiam  de  consuetudiuv  auferre  non  duhitavenmt,  alujui  auUnn,  ut  hoc  iecretiore 
tempore  comineudanmt  el  a  baptismi  sacramcnto  distiuouerent,  vel  diem  tertium  octavarum 
.  .  .  vel  etiam  tpmm  octavum,  ut  hoc  facerent,  elegcrunt.  It  is  not  at  all  unlikelv  that  amonc 
the  multi  who  dechned  to  introduce  tlie  Laving,  was  Rome;  see  below,  nos.  107 '  108 

"Augustine,  Ep.  CCLXV,  ed.  Goldbacher  {CSEL.,  LVII),  643;' see  aboJe    n    1"    Cf 
Echle,  in  Traditiv,  III,  366,  n.  8.  -     —      ». 

'*  Augustine,  In  Joannem,  LVII,  c.  1,  PL.,  XXX\,  1790:  Ubi  vimm  est  intelligeudum  quod 
Bapttsmo  quidem  homo  totus  ahluitur;  sed  dum  isto  postea  vivit  in  saeculo,  humanLs  affectibu.s 
terram  velut  pedibm  calcans.  .  .  ,  contrahit  undc  dicat  'Dimitte  nobis  debita  nostra '  See 
also  ibid.,  LVI,  c.  4-5,  col.  1789:  .  .  .  homo  in  sancto  quulem  Baptus-mo  totus  abluitur  non 
praeter  pedes,  sed  totus  omnina.  verumtamen  cum  in  rebus  humanis  postea  vivitur  quasi 
pedes  sunt,  ubi  ex  humanis  rebus  afficimur.  Even  tho.se  who  are  clean  l)ecause  the^  Mvv  right 
eously,  opus  tamen  habent  pedes  lavare,  quoniam  sine  peccato  utique  non  sunt  Augustine's 
arguments  are  closely  related  to  those  of  TertuUian,  De  baptLsmo,  c.  12-  see  also  Theodore 
of  Mopsuestia,  above,  n.  30.  Bernard  of  Clairvaux  (below,  n.  79)  followed  .Augustine  closelv 

"See  below,  n.   103.  Stiefenhofer,  "Die  liturgische  Fusswaschung"   (see  above    n    13')" 
32,  J:    Erst  Augustn,  schneidet  bewusst  die  \erbindung  von  Taufe  und  Fusswaschung  durch  " 
Optatus  of  Mileve,  De  schismate  Donatistarum.  \\  c.  3.  PL..  XI,  1049B    Cum  lavaret 
pedes  dtscipulis  suis.  .  .  ,  solam  fecerat  formam  humilitatis,  nihil  pronuntiaverat  dr  .sacra 
mento  baptismatis.  ^  " 


i 


THE  BAPTISM  OF  THE  APOSTLES  225 

Optatus  tried  to  preclude  every  possible  interpretation  of  the  pedihvium 
as  a  "better"  bapHsm  than  the  one  which  the  apostles  may  have  previoiisly 
received,  and  he  therefore  stressed  the  point  that  the  washing  had  merely 
charitable,  but  not  sacramental,  values.  This  distinction  must  have  been 
deeply  engrained  in  the  African  Church.  In  one  of  the  four  sermons  Dc 
lavandis  pcdihus  ascribed  to  Fulgentius  of  Ruspe,  an  ardent  defender  of 
Augustine  s  anti-Donatist  doctrines  in  Africa,  the  preacher  .said  straight- 
for^^'ardly:  "The  Feet-washing  is  not  the  Mystery  of  Baptism,  but  the  obser- 
vation of  charity."  "  This  antithesis  of  charitable  and  sacramental  aspects 
should  be  kept  in  mind,  for  it  will  be  heard  from  the  other  side  of  the  fence 
as  well. 

The  reluctance  of  the  African  bishops  to  acknowledge  in  the  Maundy 
Thursday  ceremony  any  traits  other  than  those  of  charity,  as  well  as  their 
resistance  to  making  any  concessions  in  that  matter,  resulted  clearly  from 
the  horror  which  they  felt  toward  anything  resembling  re-baptism,  which 
the  Donatists  demanded  -  or  were  charged  with  -  and  which  might  imply 
a  serious  encroachment  on  the  sacramental  power  of  the  hierarchv.  What 
exactly  the  repercussions  of  the  anti-Donatist  struggles  were  in  the  long  run, 
and  to  what  extent  they  influenced  the  Roman  Church  in  the  sense  in  which 

''See  (Pseudo-) Fulgentius.  Scrmo  XXIIl,  PL.,  LXV,  890D:  Non  est  istud  mysterium 
baptismi.  sed  ohsequium  caritatis.  Cf.  Sermo  XXTV,  col.  891C:  Oficium  i>os  doceo  humilitatis, 
non  repctitkmcm  baptismi.  While  a  great  number  of  these  sermons  have  been  identified  by 
G.  Morin,  "Notes  sur  un  manuscrit  des  homehes  du  Pseudo-Fulgentius,"  Retme  benedictine, 
XXVI  (1909),  223-228,  the  four  sermons  Dc  lavandis  pedibus  (XXIII-XXTI)  have  not  yet 
found  their  author  and  may  actually  be  by  Fulgentius:  see  also  ELgius  Dekkers  and  Aemilius 
Gaar,  C/at)t,v  Patrum  Latinorum  (Sacris  erudiri.  III;  Bruges  and  Hague,  1951 ),  147  f,  no.  844. 
Ac-cording  to  Morin,  p.  228.  the  collection  represents  an  African" ti-pe  of  the  fifth  or  sixth 
centur>'.  In  fact,  it  can  hardl\-  be  later  than  that  because  many  sermons  contain  an  intimate 
knowledge  of  imperial  ceremonial  not  easil\'  obtainable  at  a  later  period.  Whether  the 
sermons  are  "African"  is  a  different  matter.  For  example,  Sermo  XXV  (cok.  891-893) 
contains  a  long  passage  from  Augustine,  In  Joannem,  LV,  c.  7,  PL..  XSXV.  1787  {Quid  autem 
mirum  .  .  .),  which  in  its  turn  served  to  compose  the  Inlatio  (the  Preface)  of  the  Moz- 
arabic  Maundy  Thursday  mass;  cf.  Liber  Mozarabicus  Sacramentorum,  ed.  Marius  Ferotin 
(Paris,  1912),  241.  no,  586;  also  the  Mozarabic  Missale  Mixtum.  in  PL.,  LXXX\',  416A. 
This  passage,  borrowed  presumably  from  the  Mozarabic  mass,  appears  also  in  the  Maundv 
Thursda>-  lllatio  (or  Preface)  of  the  GaUican  Missale  Gothicum,  xx\iii,  PL.,  LXXII,  266;  ed. 
H.  M.  Bannister  (Henr>-  Bradshaw  Sncieti',  LII;  London  1917),  63  f.  It  does  not  seem  likely 
that  the  Mozarabic  mass  was  derixed  from  the  Gallican,  which  follows  the  text  of  Augustine  less 
closely  than  the  Hispanic  mass;  see,  for  all  that.  Marcel  Havard,  "Centonisations  patristiques 
dans  les  formules  hturgiques,"  in  F.  Cabrol.  Les  origines  liturgiques  (Paris,  1906),  287  ff 
(cf.  246  ff),  who  reproduces  the  three  texts  (Augustine.  Mozarabic,  Gallican)  in  parallel. 
However,  it  has  not  been  noticed  that  Fulgentius'  sermons  have  a  few  additional  clauses  in 
common  with  the  Galhcan  mass  which  the  Mozarabic  has  not. 


Fulgentius  XX\'l 
(col.  893C) 
.  tremoie    concussi    (discipuh)    conba- 


Missale  Gothicum 

(col.  266) 

Turbatur  Petrus  cemens  exemplum  tantae 


/  /       _/       J       J 

U     J     J    L 


226 


ERNST  H.  KANTOROWICZ 


anti-Arianism  finally  moulded  Rome,"  would  be  difficult  to  assess.  How- 
ever,  even  in  so  peripheral  a  matter  as  the  lavatio  pedum  the  Roman  attitude 
was  extremely  imyielding  throughout  the  Middle  Ages. 

It  is  true,  of  course,  that  Bernard  of  Clairvaux  called  the  ahlutio  pedum, 
when  he  discussed  it  together  with  Baptism  and  Communion  in  a  Maundy 
Thursday  sermon,  a  "sacrament."  But  he  used  this  term  in  the  sense  of  a 
"sacramental,"  that  is,  a  holy  action  not  reckoned  among  the  sacraments 
proper  as,  e.g.,  a  king's  consecration.  The  Mandatum  was  to  him  a  sacra- 
mental instituted  to  wash  off  the  daily  venial  sins,  a  "sign,"  a  symbol  of 
humility  and  charity,  but  definitely  not  a  ritual  action  preparatory  to  Com- 
munion.'" Similar  arguments  were  brought  forth  by  Bernard's  contemporary 
Ernaud,  Abbot  of  Bonneval.*"'  Ernaud  clearly  defines  the  laving  as  a  sacra- 
mental, and  not  as  a  sacrament,  and  in  addition  to  that  he  betrays  certain 
confusions  which  must  have  been  very  common  in  his  times,  and  for  which 
he  cannot  be  held  responsible.  It  was  a  minor  matter  that  he  deviated  from 
Augustine  in  that  he  held  that  the  Institution  of  the  Eucharist  preceded  the 


hiimilitati.s  in  regc  tantac  maiestatis;  trcru- 
cscit  pavens  humanitas,  quia  ad  eius  vcxtigia 
scsc  inclinare  dignatur  Divinitas. 


dicere  non  audebant.  Cecidt'iat  super  eo.s 
cuiusdam  formidolosa  sarcina:  quia  muiidi 
dynasta  ad  servilia  dignatus  se  inclinare 
vestigia. 

In  addition  to  the  italicized  words,  the  passages  have  in  common  tlie  tremor  (trcmcscit)  of 
the  disciples,  from  wliich  Fulgentius  proceeds  to  mention  mundi  dijnanta  where  the  Mlssalc 
Gothicum  has  rex  tantac  maiestatis.  See  further  Fulgentius,  XXIV,  891B,  and  XX\'I,  894A: 
grandc  mtjstcrium;  o  carwn  mysterium  (also  XXV,  892A:  O  stupendum  miraculum!  6 grandc 
spectaculum!),  and  compare  Miisale  Gothicum:  O  admirahilc  sacramcntum,  grandc  mysterium! 
Here  the  Gothicum  seems  to  have  used  Augustine,  /fi  Joannem,  LVII,  c.  2,  PL..  XXXV,  1790 
who  (with  reference  to  the  Song  of  Songs)  hkewise  exclaims:  O  admirahilc  .sacramet^tum'  o 
grande  mysterium!  That  Augustine  was  the  source  of  both  the  sermon  and  the  GaUican  mass 
goes  without  saying.  However,  there  are  certain  interrelations  (and  there  may  be  more)' 
between  the  sermon  and  the  Mlssalc  which  it  might  be  worth  while  to  investigate.  Also  the 
perpetual  comparisons  of  the  pedilavium  with  the  laving  of  infants  and  with  baptism  despite 
a  definitely  anti-baptismal  interpretation  of  the  Feet-washing,  might  suggest  for  the  sermon 
surroundings  in  which  the  baptismal  Feet-washing  was  still  practiced. 

™  See  the  excellent  sketch  by  J.  A.  Jungmann,  "Die  Abwehr  des  germanischen  Arianismus 
und  der  Umbruch  der  religiosen  Kultur  des  friihen  Mittelalters."  Zeitschrifi  fur  katholische 
Theologic,  LXIX  (1947),  3&-99;  but  nothing  comparable  has  been  wTitten  on  the  influence 
which  anti-Donatism  or  its  Abwehr  exercised  on  the  Western  Church  -  a  central  theme  in 
Rudolph  Sohms  Das  alt  katholische  Kirchenrecht  und  das  Dekrct  Gratians  (Leipzig  1918) 
Actually,  the  fear  of  any  kind  of  re-baptism  was  not  unreasonable.  The  Anabaptists  of  the 
sixteenth  centiir)',  as  opposed  to  the  Lutherans,  clung  to  the  Feet-washing  as  "a  sacrament 
instituted   and   ordained    by   Christ,"  whereas   to   the   Lutherans   it   appeared   as   grdulicher 

^ZTir  IfS\"^;  "•  ^-  ^""''^'  ^""^'^  '''"^^'^'"-  '''^''^'  Lutheranae,  II    (Leipzig 
1848),  38  and  424;  below,  n.  160.  ^    ^ 

"Bernard  of  Clairvaux,  In  Coena  Domini:   Scrmo  de  baptusmo,  saeramento  altaris  et 
ahlutwnc  pedum  (esp.  cc.  3-4),  PL.,  CLXXXIII  271  ff 


THE  BAPTISM  OF  THE  APOSTLES  227 

Feet-washing,  whereas  Augiistine  taught  that  the  laving  took  place  before 
the  meal  proper  started.**'  Ernaud  may  simply  have  followed  the  chronology 
established  by  the  Roman  prayer  at  Communion  on  Holy  Thursday:  "The 
Lord  Jesus,  after  he  had  supped  with  his  disciples,  washed  their  feet."  *' 
Ernaud  goes  much  further,  of  course,  when  he  asserts  that  Judas  no  longer 
was  present  at  the  Feet-washing  because  he  had  left  the  Upper  Chamber 
after  receiving  the  sop  -  a  scene  which  he,  like  scores  of  miniaturists,  places 
chronologically  before  the  pedilavium,  so  that  finally  the  Biblia  pauperum 
likewise  reversed  the  order  of  Genesis  18:4-10  and  claimed  that  Abraham 
washed  the  feet  of  his  angelic  visitors  after  the  meal.'"'  Here  again  Ernaud 
disregards  Augustine,  who  strongly  emphasized  that  even  Judas  was  washed 
although  the  Master  knew  that  this  disciple  would  betray  him;  "*  and  in  the 
Eastern  Church  the  hturgical  chants  voice  the  lament  that  Judas  betrayed 
Christ  although  his  Lord  had  humbled  himself  to  v^'ash  the  disloyal  disciple's 
feet.'''  Ernaud,  however,  must  have  represented  an  opinion  widely  diffused 

"'  Ernaud  {loc.  cit.)  begins  his  sermon  with  the  words:  7am  sacramcnta  corporis  sui  apostolis 
Dominus  dtstrihucrat,  iam  exierat  Judas,  cum  rcpcnte  dc  mcn.sa  surgcns  linteo  .se  praccinxit, 
et  ad  genua  Petri,  lavaturus  pedes  eius,  ipse  genibus  flcxis  Dominus  servo  con.summatae 
humilitatis  ohtulit  jamuhtiim.  See  above,  n.  14,  for  Petnis  and  Judas. 

"■■  Dominus  Jesus,  postquam  coenavit  cum  discipuhs  suis.  lavit  pedes  corum,  ct  ait  illis: 
'Scitis  quid  fecerim  vobis.  .  .'.  This  Communion  prayer  is  based  on  John  13:12  where  the 
text,  however,  reads:  'Postquam  ergo  la\it  pedes  eorum  .  .  .  dixit  eis:  Scitis  .  .  .'.  The  text  of 
the  prayer  is  of  considerable  age,  since  it  is  found  in  the  Liber  antiphonarius  the  oldest  manu- 
script of  which  is  the  Compiegne  Codex  wTitten  under  Charles  the  Bald  {PL.,  LX.XXVIII, 
675CD);  see  also,  for  the  transmission  of  the  prayer  in  later  times,  Michel  Andrieu,  Lc 
Pontifical  Romain  an  moyen-dge  (Studi  e  Testi,  86;  Vatican,  1938),  I,  226,  also  228  and  233. 

"See  the  place  quoted  above,  n.  81,  as  well  as  Emaud's  specific  remark  (col.  16.53C) : 
An  mensac  tuac  participationem  Judas  proditor  est  admi.s.sus;  .sed  ab  hoc  lavacro  salutari 
exclusus,  lavari  in  fine  non  potuit,  quia  Apostolatus  sui  honorem  detestabiJi  cupiditate  focdavit. 
See,  for  the  Biblia  pauperum,  above,  n.  23. 

"*  Augustine,  In  Joannem,  L\.  c.  6,  PL.,  XXXV,  1786  f:  .  .  .  ut  hoc  quoque  ad  maximum 
cumulum  humilitatis  accederet,  quod  etiam  Uli  non  dedignatus  est  pedes  lavare,  cuius  manus 
iam  praevidebat  in  scelere.  But  Augustine  (ibid.,  LXII,  c.  3,  col.  1802)  denies  the  communion 
to  Judas,  whereas  Ernaud  holds  the  opposite  view  (see  preceding  note).  It  is  remarkable 
though  that  the  early  sacramentaries  do  not  deny  the  Judas  communion.  In  the  Preface  of  the 
Maundy  Thursday  .Mass  in  the  Gelasian  Sacramentary,  ed.  H.  A.  Wilson  (Oxford,  1894),  73, 
the  participation  of  Judas  is  an  essential  point:  Pascit  igitur  mitis  Deus  barharum  Judas,  ct 
sustinet  in  mensam  crudelem  convivam,  donee  se  suo  laqueo  perderet.  .  .  See  also  .\lban 
Dold  and  Leo  Eizenhofer,  Das  Prager  Sakramentar  (Texte  und  Arbeiten  der  Erzabtei  Beuron, 
1.  Abt.,  Heft  38-12;  Beuron,  1949),  49°,  as  well  as  other  Gelasiana.  The  Gregorianum  also 
has  this  Preface,  though  shghtly  attenuated:  Patitur  mitis  Deus  immitem  Judam,  et  sustinet 
pius  crudelem  convivam,  qui  merito  laqueo  suo  periturus  erat.  .  .  Cf.  The  Gregorian  Sacra- 
mentary under  Charles  the  Great,  ed.  Wilson  (Bradshaw  Societv,  XLIX;  London,  1915); 
also  PL.,  LXXNTII,  82.  See  next  note. 

•"See,  e.g.,  Triodion  (Rome,  1879),  669,  the  Kathisma:  Horo?  ai  Tp6no<:,  lovBa,  ■7rpoS6Ty,v 
Tov  ^u>Typo<i  upyuaaTo;  •  •  .  firj  OTi'SctiriT/o-as  iKtivoK  tre  rrj^  rpaTrt^rji;  uiri!>aaTo;  (it]  twv  oAAo)!' 
viipas  Tm'<;  iroSa',.  tovs  rrov-;  VTrcpeiSa';  *n  vncnov  ayaBCov  apu'TjpAin'  iyivov\  These  rhetorical  questions 

are  implied  already  in  Ephrcm,  Scrmo  III  in  hebdomadam  sanctam,  ed.  Lamv,  I,  400  and  408: 


II       J       J       J 

U     J     J     J 


228 


ERNST  H.  KANTOROWICZ 


in  the  West,  for  in  fact  we  often  find  in  western  imagery  that  only  eleven 
apostles  were  present  at  the  Mandatum.^^ 

The  attitude  of  Rome  was  certainly  important;  but  Rome,  especially  in 
the  early  Middle  Ages,  was  not  yet  identical  with  the  West,  and  Roman 
liturgical  customs  were  not  yet  those  of  all  the  Western  Churches  in  many 
of  which,  the  Prankish  included,  a  definitely  non-Roman  stratum  remained 
vigorous  for  many  centuries.  In  a  Carolingian  catechism  of  the  ninth  cen- 
tury, the  catechumen  asks:  "Why  are  those  reborn  in  the  font  of  baptism  led 
to  the  table  of  the  Lord?"  And  he  receives  the  answer: 

To  confirm  in  them  all  the  sacraments  of  Christianity.  .  .  .  For  also  the  Lord,  after 
laving  the  feet  of  the  apostles,  handed  to  them  the  mysteries  of  his  Body  and  Blood."  " 

In  the  same  century,  the  Pseudo-Isidorian  Decretals  were  composed  in  Gaul. 
One  of  the  false  decretals,  the  so-called  Second  Letter  of  Pope  Fabian  ( 240- 
253 ) ,  contains  a  long  paragraph  about  the  consecration  of  chrism  on  Holy 
Thursday:  the  Pope  is  made  to  remark  that  not  only  was  the  preparation  of 
the  holy  oils  instituted  on  Maundy  Thursday,  but  also  communion  and 
baptism  -  "for  the  washing  of  our  feet  signifies  baptism."  "*  From  Pseudo- 
Isidorus  that  passage  wandered  to  other  collections  of  canon  law.  Bonizo  of 

Etenim  quamvis  agnosceret  pravam  eius  mentem,  inclinavit  se  ut  lavaret  ei  pedes,  sed  cor 
alius  non  fuit  ablutus.  See  Lamy,  I,  423,  n.  1,  on  the  question  of  the  Judas  communion.  It  is 
noteworthy  that  these  ideas  are  found  also  in  a  Maundy  Thursday  antiphon  of  the  Beneventan 
rite:  Lavi  pedes  tuos,  discipule;  feci  te  testem  sacramenti  mei.  Manducasti  panem  mettm;  et  tu 
quare  sine  causa  sitisti  sanguinem  meum?  See  the  Beneventan  Gradual,  in  Paleographie 
musicale,  XV  (1931),  288,  where  the  learned  editor  adds:  "Expression  bien  hardie,  et  qui 
semble  assez  pen  romaine  d'inspiration.  Spontancment  on  pense  a  un  original  grec."  He  is 
reminded  of  the  tone  of  the  Improperia;  but  the  prototype  is  found  in  Ephrem.  It  is  significant 
for  the  non-Roman  climate  that  this  antiphon  has  the  rubric:  Deinde  rcsponsorium  Am- 
brosmnum,  although  it  is  not  found  in  the  Milanese  service  books  that  we  know. 

"See,  e.g.,  the  Salzburg,  Stiftsbibliothek  Antiphonal  (MS.  a.  XII.  7,  fol.  298),  of  the 
middle  of  the  twelfth  century,  reproduced  by  Karl  Lind,  Ein  Antiphonarium  mit  Bild^chmuck 
tm  Stifte  St.  Peter  zu  Salzburg  (Vienna,  1870),  pi.  x,  and  p.  15;  or  the  New  York,  Morgan 
Library,  Pierpont  MS.  521;  cf.  M.  R.  James,  "Four  Leaves  of  an  English  Psalter,"  Walpole  So- 
ciety  Annual,  XXV  (1936-37),  pi.  vi.  Rather  significant  for  the  later  stvle  is  Duccio's  Retable  at 
Siena,  m  the  Cathedral  Museum  (Opera  del  Duomo),  of  1308-1311  (see  fig  40)  See  also 
below,  n.  121,  for  the  Bernini  relief  in  the  Cathedra  Petri  (fig.  39).  If  the  Mozarabic  Liber 
ordtnum,  ed.  M.  Ferotin  (Monumenta  ecclesiae  liturgica,  V;  Paris,  1904),  190,  line  24  (cf 
n.  2),  says:  ".  .      exiendum  ad  viginti  duos  pedes;  et  accedendum  est  adcenam  pos^ pedes 

reslno'  "  "  '  ''^"  ^^  "°  "^""^^  *^^*  °"'^  ^^^^^"  ''P°'*'^'  ^^^^  ^""^^  ^^""^'^^  ""*  ^^'"^ 

nQlv^riQ^inilTiV'^""  catechese  baptismale  du  IX*  siecle,"  Revue  benedictine,  LVII 
( 1947),  196-200  §17:  Quare  renati  fonte  haptismatis  mox  corporis  et  sanguinis  domini  sacra- 
mentaperapmnt?  Resp.  Ob  hoc  videlicet  ut  omnia  christianitatis  in  eis  sacramcnta  firmentur 
Nam  et  salvator,  postquam  lavit  pedes  apostolorum  [see  above,  n.  82],  tradidit  eis  sui  corporis 
et  sangumts  mtsteria.  '^ 

lfin7.K^'';r^<r:,^'''"^'''  ^^'f"-^"^"'^"'"^  ^t  capituh  AngHramm   (Leipzig,    1863). 

lAbo'  «9^    """"^^  Honentales  episcopos":  In  illo  die  dominus  Iest,s,  postquam  coenavit 

(see  above,  n.  82)  cum  dtsapults  suts  et  pedes  eorum  lavit,  sicut  a  Sanctis  apostolis  praedcccs- 


THE  BAPTISM  OF  THE  APOSTLES  229 

Sutri,  for  example,  who  wrote  at  the  end  of  the  eleventh  century,  still  re- 
peated that  passage  and  asserted  that  "after  the  laving  of  the  feet  of  St. 
Peter  and  the  other  apostles,  the  sacrament  of  Body  and  Blood  was  dis- 
pensed." «« It  is  true,  the  whole  passage,  including  the  interpretation  of  the 
pedilavium  as  baptism,  may  still  be  found  in  liturgical  writings,  for  example 
m  the  somewhat  old-fashioned  Ordo  Lateranensis  of  Bernard  of  Porto  {ca. 
IISO).""  On  the  whole,  however,  it  may  be  said  that  by  the  time  of  Bonizo 
the  canonists  had  begun  to  omit  the  baptismal  passage  from  the  second 
Fabian  letter,  even  though  the  letter  itself  was  quoted  regularly  on  account 
of  the  confection  of  chrism  on  Holy  Thursday;  and  in  this  connection  it  was 
mcorporated  also  into  the  Roman  Breviary."'  However,  the  underlying  idea 
of  the  clause  equating  the  Mandatum  with  baptism  was  probably  no  longer 
understood,  since  it  deviated  too  strongly  from  the  Roman  customs  which 
became  the  binding  norm  in  the  age  of  the  Church  Reform.  At  any  rate,  the 
baptismal  phrase  in  the  Fabian  letter  no  longer  is  found  either  in  Iv'o  of 
Chartres  or  in  Gratian's  Decretumr  although  both  authors  still  quote  the 
letter  itself.  Therewith  the  idea  of  the  baptismal  values  of  the  pedilavium 
was  lost  to  the  jurists  who  glossed  the  Decretum,  and  likewise  it  strayed  out 
of  the  sight  of  the  theologians. 

This  does  not  imply  that  the  chronology  of  events  propagated  under  the 
influence  of  Roman  customs  was  uniformly  accepted.  The  Egyptian  medi- 
tation about  the  ordines  Christi,  according  to  which  Christ  as  a  deacon 

sores  nostri  acceperunt  nobisque  reliquerunt,  crisma  conficere  docuit;  ipsa  enim  lavatio  pedum 
nostrorum  sigmficat  baptismum,  quando  sancti  crismatis  unctione  perficitur  atque  conftrmatur 
Dr.  Schafer  Wi  hams,  in  Washington,  was  kind  enough  to  call  my  attention  to  this  passage! 
For  the  letter  of  Fabian  with  regard  to  the  confection  of  the  holy  oils,  see  also  Goar  Eucho- 

S?'  .  t'u^:  ^^*'*';^"  P""^"'--  ^e  consacrer  le  Saint  Chreme,"  ^chos  dOrient,  III  (1899- 
1900),  4;  Philipp  Hofmcister,  Die  heiligen  Ole  (above,  n.  45),  45. 

"Bonizo,  Liber  de  vita  Christiana,  II,  c.  52,  ed.  E.  Perels  (Berlin,  1930)  60-  In  cena 
Dommi  antiqua  traditione  a  Sanctis  patribus  accepimus  reconciliari  specialiter  debere 
pcnttentes  ideo  quia  eo  die  sacramentorum,  baptismi  scilicet  et  sanguinis  Domini,  apostolis  a 
domtno  Christo  donata  fuit  traditio.  Ibid.,  II,  c.  55,  p.  62:  [On  this  dav  the  consecration  of 
the  chrism  and  the  reconciliation  of  the  penitents]  quia  ultimo  pascha  cum  discipulis  celebrato 
post  Petri  ceterorumque  discipulorum  pedum  lavationem,  ut  nobis  evangelica  narrat  hystoria 
tterum  Christum  scimus  recubuisse  et  sacramcnta  sui  corporis  et  sanguinis  et  ordinem  cele- 
brandi  apostolis  tradidisse.  .  .  . 

"  Cf .  Bernhardi  Cardinalis  et  Lateranensis  ecclesiae  prioris  Ordo  Officiorum  ecclesiae  Later- 
anensis, c.  126,  ed.  Ludwig  Fischer  (Historische  Forschungen  und  Quellen,  2-3-  Munich  and 
Freising,  1916),  49  f. 

"Breviarium  Romanum,  January  20th,  "SS.  Fabiani  et  SebasUana":  Idem  statuit  ut 
quotannis  feria  quinta  in  Coena  Domini,  vetere  combusto,  chrisma  renovatur.  Cf  Hofmeister 
Die  heiligen  Ole,  45. 

"  Ivo  of  Chartres,  Decretum,  II,  73,  PL.,  CLXI,  176;  for  Gratian,  see  c.  18,  D.3  de  con- 
secratione,  ed.  E.  Friedberg,  Corpus  luris  Canonici,  I  (Leipzig,  1879),  1357  (with  n.  173  for 
the  older  canonical  collections ) . 


/  '    _/    -/    u 

U     J     J       I 


230 


ERNST  H.  KANTOROWICZ 


washed  the  feet  of  the  apostles  before  he  instituted  as  a  priest  or  bishop  the 
Sacrament  of  the  Altar,  was  translated  at  an  early  time  into  Latin  —  prob- 
ably in  the  sixth  century.  The  translation  apparently  was  made  in  Rome, 
but  it  was  the  Irish  —  with  their  strange  preference  for  things  Egyptian  — 
who  spread  the  story  in  the  West,  especially  on  the  fringes  of  the  Roman 
Patriarchate.""  It  appears  in  the  so-called  Hihcrncnsis  (the  Irish  collection 
of  canons  of  the  seventh  century)  and  in  the  Bobbio  Missal  as  well  as  in 
the  Malalianus  Chronicle  of  the  eighth  century  and  in  St.  Gall  manuscripts 
of  the  ninth.  In  the  twelfth  century  its  popularity  rose.  The  story  is  reported 
by  Ivo  of  Chartres  and  Honorius  of  Autun,  by  the  Norman  Anonymous, 
Stephen  of  Range,  Hugh  of  St.  Victor,  and  finally  by  Peter  the  Lombard; 
and  it  is  found  in  manuscripts  from  Monte  Cassino  and  Cluny,  from  St. 
Martial  and  Paris,  Chartres  and  Troyes,  and  from  various  other  places."' 
In  short,  through  that  story  of  the  Egyptian  monks  some  recollection  re- 
mained alive  of  the  old  tradition  according  to  which  the  laving  was  per- 
formed in  preparation  of  the  Last  Supper. 

All  that,  however,  is  of  minor  importance.  What  matters  here  is  that  in 
the  early  Middle  Ages  the  non-Roman  Churches  of  the  West  practiced  the 
pedilavitim  as  part  of  the  baptismal  rite  itself:  the  feet  of  the  neophyte  were 
washed.  In  Spain  and  in  Africa  this  rite  was  eliminated  by  the  fourth  and 
fifth  centuries.-  In  the  Irish  Church  the  baptismal  Feet-washing  was  prac- 
ticed as  late  as  the  ninth  century,  when  it  is  mentioned  by  the  Stowe 
Missal.-  A  Ravenna  inscription  suggests  that  this  rite  was  not  unknown  in 

"  Wilmart,  "Les  ordres  du  Christ"  (above,  n.  43),  has  carefully  inspected  the  texts  refcTrcd 
to  -y^s  Paragraph^not  all  of  which,  however,  contain  the  passage  on'he  p.rf,7«j:^: 

The  Norman  Anonymous  escaped  Wilmart;  see  Heinrich  Bohmer.  Kirche  unci  Siaat  in 
England  und jn  der  Normandie  im  XI.  und  XII.  Jahrhundert   (Leip.iriSQQ      457    d" 

Ordination  of  the  Apostles";  similarly  Tractate  XIX,  ed.  Bohmer  473  f-  see  aKo  441    11^  t 
a  number  of  relevant  observations.  George  H    Wil  iim.    tZV  a  '         '      ' 

A.a  (Hazard  Theological  Studies,  XVnrcL!:;!!;  Lss!  ZTIsT'"''"'''  "^  '''' 

does  not  seem  to  have  wriHor.  fl.^  *.  J  .t.  ,  '"'"'  ^^^  ^^^^^^  ^  n.  who  unfortunate  v 
The  polemic^  of  ^^1;^  li  hrpf  (aW  tf  7r  77^^"^  ^''''  ''  ''V'--'- 
''^"^;:';rT^/r-^^"^^^^---"^  that  a  baptismal 

About  the  sequence  o?evnts^f is  :^^  ^^'"^^'^  ^^'^f-^'  ^S^D.  217. 

linteo  is  followed  byrserof  . i^o^    Cor^^^^^^^  "'-"/""^  '"^'^"'"^  ^^^'^  '''-  --''"' 

vitam  aeternam  Amen  '"^'P'^""^'  ^'"^^"^  ''  Sang.m  donUni  nostri  icm  christi  .sit  tihi  in 


THE  BAPTISM  OF  THE  APOSTLES  231 

the  Church  of  the  former  Exarchate  either."'  And  it  was  generally  observed 
over  a  long  period  in  the  Churches  of  Gaul  and  Milan.  Although  there  is  no 
direct  evidence  extant  that  the  East  ever  practiced  a  baptismal  Laving  of 
the  Feet,  it  is  difficult  to  imagine  that  all  the  non-Roman  Churches  of  the 
West  should  have  adopted  that  ritual  without  the  stimulus  of  ideas  which 
were  common  in  Syria  and  not  unknown  to  the  other  Eastern  Churches."' 

The  practice  of  the  Gallican  Church  is  well  known,  and  the  places  refer- 
ring to  the  baptismal  rite  Ad  pedes  lavandos  in  the  Missale  Gothicum,  the 
Gallicanum  vettis,  and  the  Bohhien.se  have  often  been  collected.""  Additional 
evidence  can  be  gleaned  easily  from  the  answers  of  Frankish  bishops  to 
Charlemagne's  inquiry  concerning  baptism.'""  The  ceremony  itself,  the 
washing  of  the  feet  of  the  neo-baptized  after  he  had  left  the  font  and  donned 
his  white  garment,  is  of  minor  interest  here  -  with  one  exception:  According 
to  all  the  Gallican  service  books  the  celebrant,  after  having  accomplished 
the  washing,  speaks  the  formula  Ego  tihi  lava  pedes.''''  This  formula  cor- 
responds with  that  spoken  at  the  accomplishments  of  other  holy  actions 
(Ego  te  baptizo.  Ego  te  absolvo  etc.),  and  it  may  suggest  what  kind  of 
liturgical  rank  was  attributed  to  the  baptismal  Laving  of  the  Feet.'"' 

By  far  the  most  interesting  evidence,  however,  comes  from  Milan.  The 
ritual  itself  was  similar  to  that  of  Gaul,  though  it  was  somewhat  more  elab- 
orate. The  celebrant,  or  the  bishop  if  he  himself  performed  the  rites,  not  only 
kissed  the  foot  of  the  neo-baptized  after  the  laving,  but  also  ( according  to 
a  later  Milanese  Order)  placed  on  his  head  three  times  the  heel  of  the 
neophyte's  foot  -  a  strange  variety  of  sacred  calcatio  colli,  or  rather  a  ges- 

"^Tlie  Feet -washing  is  referred  to  in  the  baptistry  of  S.  Giovanni  in  Fonte,  where  an  ,.,/  rj^  .-,* 

inscription  beneath  a  mosaic  showing  the  Baptism  of  Christ  reads:  ''^f-vu-  <-«^*5^     > 

Ubi  deposuit  Ihs  vestimenta  sua  et  misit  aquam  ^  ^u^^<cn^^^  dl^Tok*u«t 

In  pclvim,  coepit  lavare  pedes  discipttlorum  .stiorum. 
Duncan,  Aphraates,  74  f. 

""  Duncan,  Aphraates,  71,  is  certainly  correct  when  he  refutes  the  generally  accepted  view 
(cf.  L.  Ducliesnc,  Christian  Wor.ship  [5th  ed.,  London,  1931],  326)  according  to  which  "there 
was  in  the  Orient  no  trace  of  a  washing  of  feet  in  connection  with  baptism."  There  is,  however, 
no  evidence  that  a  washing  of  the  feet  actually  belonged  to  baptismal  rites. 

■"See  Leclercq,  DACL.,  VIII:  2,  col.  2007-9;  Malvy,  Diet,  theol.  oath.,  IX,  17;  Quasten. 
Monumenta  eucharistica,  128,  n.  1;  Duncan,  Aphraates,  75. 

""See  F.  Wiegand,  Erzhi.schof  Odilbert  von  Mailand  iiber  die  Tatife  (Studien  zur 
Geschiclite  der  Thcologie  und  der  Kirche,  IV:  I;  Leipzig,  1899),  63  flF;  Odilbert's  work  was 
submitted  to  Charlemagne  in  answer  to  the  emperor's  inquiry  of  812  to  which  only  nine  answers 
were  known  until  J.  M.  Hanssens,  "Deux  documents  carolingiens  sur  le  bapteme,"  Ephemerides 
liturgicae,  XLI  ( 1927),  69  ff,  added  a  tenth  from  an  Orleans  manuscript.  See  also  A.  Wilmart, 
Analccta  Reginemia  (Studi  e  Testi,  59;  Vatican,  1933),  154,  n.  3,  who  mentions  seventeen 
such  answers,  though  admitting  that  "plusieurs  sont  irreellcs." 

"•  See  PL.,  LXXII,  275C,  370A,  502D. 

""Other  actions,  to  be  sure,  are  introduced  in  a  similar  fashion:  Pcrungo  te  chri.tma  .lancti- 
tatis,  for  example,  precedes  the  laving  formula  in  the  Missale  Gothicum;  PL.,  LXXII,  275C. 


10  f^  .  -uci  Uu- 


/  /     _/     _/    C 

U     J     J     J 


232 


ERNST  H.  KANTOROWICZ 


ture  of  caput  suhmittere  quasi  cleo  praesenti,  "inclining  the  head  nnder  the 
quasi-present  God,"  of  which  other  examples  are  known. ^"*  What  matters 
here  is  that  Ambrose  of  Milan  himself,  at  various  times,  interpreted  the 
meaning  of  the  baptismal  Feet-washing,  and  that  his  remarks  shed  all  the 
light  we  may  desire  on  our  present  problem.'"^  Ambrose,  too,  considered 
the  laving  above  all  an  act  of  humility  and  charity;  but  he  saw  more  in  it 
than  that.  He  held  that  Christ  not  only  humiliated  himself  by  giving  the 
example  of  mutual  love,  but  that  he  also  washed  the  venena  serpentis,  the 
"poisons  of  the  snake,"  from  his  disciples  by  cleansing  them.""  He  further 
compared  the  reluctance  of  Peter  to  be  laved  by  his  Master  with  the  reluc- 
tance of  John  the  Raptist  to  perform  the  laving  in  Jordan  for  Christ  and 
thereby  established  an  interrelation  between  the  laving  on  Epiphany  and 
the  laving  on  Maundy  Thursday.'""  Finally  Ambrose,  while  defending  the 
baptismal  essence  of  the  Feet-washing,  enlarged  upon  the  differences  pre- 
vailing between  the  liturgical  uses  of  Rome  and  Milan. 

We  know  very  well  that  this  custom  [of  washing  the  feet  at  baptism]  is  not  observed 
by  the  Roman  Church  whose  type  and  form  in  all  other  respects  we  follow;  but  this 
rite  of  feet-washing  Rome  has  not.  Perhaps  Rome  avoided  [its  introduction]  on  ac- 
count of  the  crowds.  Nonetheless,  there  are  those  who  dare  excuse  [that  omission]  and 
maintain  that  the  laving  shall  be  performed  not  at  the  Mystery,  not  at  Baptism,  not  at 
the  Regeneration,  because  the  washing  of  the  feet  should  be  offered  only,  as  it  were, 
to  a  guest.^"'' 

'"•  Stiefenhofer,  "Liturgische  Fusswaschung"  (above,  n.  13),  327,  sums  up  the  material 
from  Beroldus,  ed.  M.  Magistretti,  Beroldus  sive  Ecclesiae  Amhrosianae  Mediolanensis  kalen- 
darium  et  ordines  saec.  XII  (Milan,  1894) ;  inaccessible  to  me  was  Joseph  Visconti,  De  antiquis 
baptismi  ritihus  et  caeremoniis  (presumably  in  his  Observationes  ecclesiasticae  [Milan,  1615- 
1626] ),  Lib.  11,  c.  17-20,  where  the  rites  as  mentioned  above  are  described.  On  Holy  Saturday, 
the  Archbishop  of  Milan  himself  baptizes  three  boys,  naming  them  Peter,  Paul,  and  John  (see,' 
for  a  similar  practice  in  Rome,  M.  Andrieu,  Le  Pontifical  romain  au  moyen-dge,  1  [Vatican 
City,  1938],  245,  with  n.  24),  and  washes  their  feet  after  the  fashion  described.  See,  for  caput 
submittere,  F.  J.  Dolger,  Sol  Salutis  ( Liturgiegeschichdiche  Forschungen,  4-5;  2nd  ed 
Munster,  1925),  7  ff. 

"**The  passages  are  collected  by  Quasten,  Monumenta  eucharistica,  128,  n.  1.  J.  Huhn 
Die  Bedeutung  des  Wortes  Sacramentum  bei  dem  Kirchenvater  Ambrosius  (Fulda  1928)' 
33-43  (inaccessible  to  me),  seems  to  hold  that  Ambrose  defended  the  pcdilavium  as  a  "sacra- 
mental," and  not  as  a  "sacrament";  see,  however,  the  review  of  Karl  Adam,  in  Theoloaischc 
Quartalschrift,  CX  (1929),  177-179,  who,  on  the  contrary,  stresses  vigorously  its  character 
as  a  sacrament.  Cf.  Duncan,  Aphraates,  72  ff;  also  above,  n.  85.  for  the  Beneventan  Gradual- 
Lavt  pedes  tuos,  discipule;  feci  te  testem  sacramenti  mei,  and  the  rubric  Respomorium 
Ambrostanum. 

"•Ambrose,  De  Sacramentis,  III,  1,  7,  Quasten,  p.  153:  Lavas  ergo  pedes,  ut  laves  venena 
serpentis;  also  In  Psalmum  48,  n.  8:  Unde  dominus  discipulis  pedes  lavit,  ut  lavaret  venena 
serpentts;  PL  XIV,  1215A;  Quasten,  128,  n.  1.  The  metaphor  was  very  common  both  in  the 
East  and  the  West. 

'"■  See  above,  n.  16. 

-  De  Sacramentis  III,  1,  5,  ed.  Quasten,  152:  mn  ignoramus  quod  ecclesia  Romana  banc 
consuetudmem  non  habeat,  cuius  typum  in  omnibus  sequimur  et  formam;  banc  tamen  con- 


THE  RAPTISM  OF  THE  APOSTLES  233 

It  will  not  be  superfluous  to  add  the  remark  here  that  even  the  ordinary 
lavatio  pedum  of  the  clerics  on  Maundy  Thursday  is  not  attested  to  in  Rome 
prior  to  the  twelfth  or  thirteenth  century;  '»«  and  we  may  wonder  whether 
Augustine's  remark  about  the  attitude  of  some  churches  which  found  it 
"safer"  not  to  introduce  the  laving  at  all,  was  not  made  in  reference  to 
Rome.'""  What  Saint  Ambrose  stressed,  however,  was  the  difference  between 
the  Milanese  sacramental  concept  of  the  laving  and  the  Roman  charitable  or 
hospitable  concept  of  that  ceremony.  Nor  was  Ambrose  the  man  to  content 
himself  with  mere  hints.  He  was,  in  fact,  extraordinarily  outspoken,  as  he 
continued: 

One  thing  is  humility,  another  is  sanctification.  Now  listen  why  [the  laving]  is  a 
mystery  and  a  sanctification:  "Unless  1  wash  thy  feet,  thou  wilt  have  no  part  with  me  " 
This  I  say  not  to  rebuke  others,  but  to  recommend  my  own  way  of  officiating  In  every 
respect  1  am  desirous  to  follow  the  Roman  Church.  Yet,  we  too  are  men  having  our 
senses.  Hence,  what  is  retained  more  correctly  in  other  places,  that  more  correctly  we 
too  shall  retain. '1"  ■' 

Those  were  strong  words  directed  against  Rome  and  Roman  usage,  and  not 
without  irony  Ambrose  concluded  his  diatribe,  saying: 

WE  follow  the  Apostle  Peter  himself.  WE  cling  to  his  devotion.  What  savs  the  Roman 
Church  now?  For  to  us  the  Apostle  Peter  himself  is  the  author  of  our  assertion  he  who 
was  a  priest  of  the  Roman  Church.  Peter  himself  said:  "Lord,  not  my  feet  only,  but  also 
my  hands  and  my  head"  -  non  solum  pedes,  sed  etiam  manus  et  caput. 

And  Ambrose  added: 

Notice  the  faith.  What  first  he  objected  to,  was  a  matter  of  his  humility;  what  after- 
wards he  offered,  was  a  matter  of  his  devotion  and  faith.*" 

suetudinem  non  habet,  ut  pedes  lavet.  Vide  ergo,  forte  propter  multitudinem  declinavit.  Sunt 
tamen,  qui  dicant  et  excusare  conentur,  quia  hoc  non  in  mysterio  faciendum  est,  non  in 
baptismate,  non  in  regeneratione,  sed  quasi  hospiti  pedes  lavandi  sint. 

"»  See  Ordo  Roincnus  X,  c.  12,  PL.,  LXXVIII,  1013A;  according  to  the  new  edition  bv 
Andneu,  Pontifical  romain,  II,  464  and  552  (Pontificale  Romanae  Curiae,  saec.  XIII,  Ordo 
XLII,  c.  31),  the  Ordo  X  does  not  seem  to  antedate  the  thirteenth  century.  See  also  Eisenhofer 
Liturgik,  II,  523,  n.  77. 

""  See  above,  n.  72. 

"°  De  Sacramentis,  111,  1,  5,  Quasten.  152.  23  ff:  Aliud  est  humUitatis,  aliud  sanctificationis 
Dentque  audi,  quia  mysterium  est  et  sanctificatio:  'Nisi  lavero  tibi  pedes,  non  habebis  mecum 
partem.'  Hoc  idea  dico,  non  quod  alios  reprehendam,  sed  mea  officio  ipse  commendem.  In 
omnibus  cupio  sequi  ecclesiam  Romanam;  sed  tamen  et  nos  homines  sensum  habemus;  ideo, 
quod  alibi  rectius  servatur,  et  nos  rectius  custodimus.  Strangely  enough  this  passage  served 
Pope  Nicholas  II,  in  a  letter  to  the  Milanese,  as  proof  of  Ambrose's  conformity  with  Rome: 
Unde  et  ipse  S.  Ambrosius  se  in  omnibus  sequi  magistram  sanctam  Romanam  profitetur 
ecclesiam -a.  passage  incorporated  into  Gratian's  Decretum,  c.  1.  D.XXII  ed  Friedberp 
1, 73  (with  n.  3).  '  ^' 

"'De  Sacramentis,  III,  1,  6,  Quasten,  152.  30  ff:  Ipsum  sequimur  ajyostolum  Petrum, 
ipsius  infiaeremus  devotioni.  Ad  hoc  ecclesia  Romana  quid  respondet?  Utique  ipse  auctor  est 
nobis  huius  adsertionis  Petrus  apostolus,  qui  sacerdos  fuit  ecclesiae  Romanae.  Ipse  Petrus  ait: 


n    J    J    L 
u    J    J   u 


234  ERNST  H.  KANTOROWICZ 

The  difference  between  the  Milanese  sacramental  and  the  Roman  charitable 
concepts  of  the  pedilavium  may  be  rednced  to  a  different  emphasis  laid  on 
different  versicles  of  the  Fonrth  Gospel.  Ambrose,  conceiving  of  the  Feet- 
washing  as  a  "mystery"  and  baptismal  "sanctification,"  stressed  the  (so  to 
speak)  positive  versicles:  the  hidden  promise  contained  in  the  words 
"Unless  I  wash  thy  feet,  thon  wilt  have  no  part  with  me,"  and  Peter's  devo- 
tion and  faith  —  as  distingnished  from  his  humility  "-'  — when  he  said: 
"Lord,  not  my  feet  only,  but  also  my  hands  and  my  head."  Contrariwise, 
Rome,  seeing  in  the  ceremony  only  the  expression  of  lunnility  and  charity, 
stressed  the  (so  to  speak)  negative  versicles  in  which  Peter  remonstrated: 
"Dost  thou  wash  my  feet?"  and  "Thou  shalt  never  wash  my  feet."  Those  are 
two  different  concepts  of  which  Ambrose  on  the  one  hand  and  the  Africans 
on  the  other  are  the  chief  exponents. 

In  whatever  fashion  one  may  wish  to  explain  the  origin  of  this  dichotomy, 
about  its  existence  there  can  be  no  doubt,  especially  since  our  archaeological 
and  iconographic  evidence  strikingly  supports  and  illustrates  the  dual  con- 
cept. This,  of  course  would  not  imply  that  the  antithesis  of  Roman  and 
Milanese  rites  can  be  held  responsible  for  the  differing  artistic  concepts,  but 
rather  that  both  art  and  liturgy  reflect  the  same  conceptual  difference. 

IV 

In  the  Rossano  Codex  (fig.  17a)  Peter  is  shown  as  he  tries  to  keep  his 
Master  from  humiliating  himself,  and  the  disciple's  beseeching  gesture 
seems  to  say:  "Dost  thou  wash  my  feet?"  This  version  is  found  sporadically 
in  the  East,  in  Byzantium  as  well  as  in  Syria.  The  Leningrad  Lectionary,  for 
example,  shows  most  impressively  the  gesture  of  supreme  embarrassment 
and  amazement  on  the  part  of  Peter  (fig.  31)."'  We  find  a  similar  gesture 
also  in  a  Syrian  miniature  of  the  twelfth  or  thirteenth  century  (fig.  32),'" 
although  here  the  objections  of  Peter  are  less  reproachful  than  they  are 
categorical,  as  if  he  were  saying:  "Thou  shalt  never  wash  my  feet."  This 
gesture  of  amazement  and  reproach  coupled  with  remonstrance  and  resist- 
ance is  iconographically  very  old.  In  fact,  it  goes  back  to  the  very  first 
representations  of  the  Feet-washing  that  we  know:  to  a  group  of  early  Chris- 

•Domine,  non  solum  pedes,  sed  etiam  manus  et  caput.'  Vide  fidem.  Quod  ante  excmavit 
humilitatis  fiiit;  quod  postea  obtulit,  dcvutionis  et  fidci.  ' 

'"Above,  n.  Ill;  also  110:  aliud  .  .  .  humilitatis,  aliud  sauctificatiouis 
-Leningrad,  Public  Library,  MS.  gr.  21,  fol.  6-  photograph  by  courtesy  of  Professor 
Weitzmann.  See  also  Charles  Rufus  Morey,  "Notes  on  East  Christian  Miniatiires  "  Art  Bui- 
ktin,  XI  (1929),  fig.  96,  p.  83  f.  For  other  instances  of  that  gesture  in  the  East    see    ee 
Venice,  San  Giorgio  dei  Greci,  Lectionary,  fol.  274'.  '        ' 

"*  Berlin,  Staatsbibl.  MS.  Sachau,  304,  fol.  89'. 


THE  BAPTISM  OF  THE  APOSTLES  235 

tian  sarcophagi  of  the  fourth  and  fifth  centuries  (figs.  33,  34)."''  In  those 
sculptures,  which  still  breathe  the  moderation  of  late  classical  works  of  art 
the  emotions  are  tempered.  Christ,  humiliated  before  the  enthroned  Pilate' 
IS  counter-balanced  by  the  Feet-washing  Christ  humiliating  himself  beforJ 
the  enthroned  disciple  who  will  become  the  princeps  apostolomm.  The 
latter  s  gesture  is  one  of  quiet  remonstrance,  which  still  survives  in  the  tenth- 
century  ivory  casket  from  Quedfinburg  (fig.  35),  as  well  as  in  the  Gospels 
of  Emperor  Henry  II  (fig.  36),>'«  both  works  of  art  of  the  Ottonian  period 
The  gesture  came  to  the  British  Isles  with  the  Gospels  of  Saint  Augustine 
(seventh  century),  at  the  latest;  "^  and  it  is  found  in  the  twelfth-century 
Psalter  from  St.  Swithin's  Priory  at  Winchester  (fig.  37),"**  which  still  re- 
flects the  former  calmness  and  balance  of  emotions.  A  century  later,  Peter's 
reproachful  resistance  will  be  expressed  more  vehemently;  for  before  the 
thirteenth  century  one  would  hardly  expect  the  versicle  "Dost  thou  wash 
my  feet?"  to  be  represented  so  drastically  as  in  the  altar  frontal  from  Copen- 
hagen, where  the  bewildered  apostle  points  his  right  index  finger  at  Christ 
(fig.38)."«  ^ 

Monsignore  Wilpert  was  indined  to  call  this  gesture  of  humble  remon- 
strance and  deprecation  the  "Roman  gesture."  '^"  Indeed,  Roman  it  may  be 
called,  especially  when  we  remember  St.  Ambrose's  antithesis:  "One  thing 
is  humility,  another  is  sanctification."  For  those  representations  express  the 
humihty  of  both  the  lavator  and  the  lavatus,  but  they  do  not  reflect  the  idea 
of  sanctification.  And  Roman  it  may  be  called  for  yet  another  reason:  that 
gesture  is  displayed  in  the  most  prominent  place  of  the  Roman  world,  in  the 
Cathedra  Petri  itself,  at  St.  Peter's  in  Rome,  where  the  throne  of  the  Prince 
of  Apostles  in  its  Bernini  encasement  has  its  place  in  the  center  of  the 
tribwia.  Here,  on  one  of  the  bronze  side  panels  of  die  seat  (fig.  39),  we  find 
Bernini's  relief  of  the  Feet-washing.'-'  He  shows  the  familiar  gesture  of  the 

"^J.  Wilpert,  /  sarcofagi  cristiani  antichi,  I  (Rome,  1929-36),  pi.  xn  fig  5  (Crvot  of 
St.  Peter's  in  Rome)  and  fig.  4  (Aries,  Mas.  Lapidaire). 

""A.  Goldschmidt,  Die  Elfenbeimkulpturen  aus  der  Zeit  der  kawlingischen  uml  otto- 
nu^chen  Kau^er,  I  (Berlin,  1914),  pi.  lxxi,  fig.  147b;  and  Goldschmidt.  German  llluminatiori, 
n  (New  York,  n.d.),  pi.  3/   (Munich,  Staatsbibliothek,  Clm.  4452,  fol.  105') 

'"  Francis  Wormald,  The  Miniatures  in  the  Gospels  of  St.  Augustine,  Corpus  Christi  Col- 
lege MS.  286  (Cambridge,  1954),  pi.  i  (cf.  pi.  5),  and  p.  12  (with  n   1)        ^ 

-Brit.  Mus.,  Cotton  Nero  C.  IV,  fol.  20';  see  G.  F.  Warner.  Reproductions  from  Illumi- 
nated Manuscripts  in  the  British  Museum,  III  (London,  1910-28),  pi.  vii. 

"'Poul  N0rlund,  Gyldne  altre:  jysk  metalkunst  fra  valdenmrstiden  (Copenhagen    IQ-^fi) 
fig.  151  B.  r  b     .        -    /, 

""Wilpert,  Die  romischen  Mosaiken  und  Malereien  (Freiburg,  1916),  p.  853. 

■='  Roberto  Battaglia,  La  cattedra  Berniniana  di  San  Pietro  (Rome,  1943),  pi.  xxv  (facing 
p.  120)  and  pp.  106  f.  See,  for  the  reduction  to  eleven  apostles,  above,  n.  86,  and  the  Sienese 
panelof  the  early  fouiteenth  century  (fig.  40)     ' 


^f  .    l-K-^Cx-.f   a-o-vc    <jri-*iiiK      ''  f^ 


e-M-iC"»  - 


n    J    J 
u    J    J 


236 


ERNST  H.  KANTOROWICZ 


...^^^^'■^ 


M  3 1  f.^-'?  ) 


disciple  in  an  unfamiliar  fashion:  an  almost  terrified  Peter  remonstrates  not 
so  much,  it  would  seem,  to  the  laving  itself  as  to  the  passionate  baccio  di 
piede  which,  though  not  mentioned  in  the  Gospel,  has  been  taken  over  from 
both  the  baptismal  laving  and  the  then  customary  Maundy  Thursday  ritual 
as  influenced  perhaps  by  monastic  practice.  The  bearded  apostles  likewise 
are  terrified  or  stunned,  while  the  beardless  youngest  of  the  remaining 
eleven  disciples  (Judas  is  absent),  being  the  only  one  whose  eyes  potentially 
meet  the  Master's,  glides  past  —  almost  Hoats  —  behind  St.  Peter,  with  a  non- 
chalant gesture  of  his  right  hand. 

As  opposed  to  the  Roman  gesture  of  remonstrance  an  iconographic  type 
was  introduced  which  usually  is  called  "Byzantine,"  and  of  which  our 
earliest  evidence  is  probably  the  Chludov  Psalter  of  the  ninth  century  ( fig. 
41).^^^  The  characteristic  feature  of  that  type  is  the  gesture  of  St.  Peter:  he 
puts  his  right  hand  to  his  head,  illustrating  of  course  the  words:  "Not  only 
the  feet,  but  also  my  hands  and  my  head."  There  are  few  variations  of  this 
gesture  which  actually  may  be  considerably  older  than  the  ninth  century, 
since  the  master  of  the  Chludov  Psalter  was  certainly  not  the  first  painter 
to  apply  that  type  when  illustrating  Psalm  50:9.^-^  Sometimes  Peter  would 
only  point  at  his  head,  as  in  the  Berlin  Gospels  or  the  Sinai  Sticherarion,  both 
of  the  thirteenth  century  (figs.  43-44);  '"^  sometimes  he  may  mournfully 
hold  his  head,  as  in  the  tenth-century  Gospel-book  from  Patmos  (fig.  42).^"'^ 
The  Roman  "stand-off"  gesture,  to  be  sure,  was  not  unknown  in  the  East  — 
it  will  suffice  here  to  recall  the  Rossanensis  or  the  Leningrad  Lectionary 
(figs.  17a;  31),^^"  but  it  is  true  nonetheless  that  the  "hand  to  head"  pictur- 
ing of  Peter  remained  typical  in  Byzantine  art,  and  in  that  of  the  Eastern 
Churches  in  general:  the  author  of  the  Painter's  Guidebook  from  Mount 
Athos  mentions  the  gesture  as  the  standard  representation  of  that  scene.'" 
Actually,  the  clinging  to  that  gesture  could  lead  to  a  genuine  tour  de  force, 
as  in  a  curious  Coptic  manuscript  of  the  thirteenth  century  in  the  Biblio- 
theque  Nationale:  Peter,  standing,  holds  his  head  and  awkwardly  balances 
on  one  foot  while  Christ,  contrary  to  most  representations,  is  seated  (fig. 

''^  Moscow,  Historical  Museum,  Cod.  129,  fol.  50'. 

•'"See  Tikkanen,  "Psalter-Illustration,"  (above,  n.  47),  55,  for  Ps.  50:9,  also  for  the 
Chludov  Psalter  in  general. 

'"  Berlin,  Staatsbibl.,  MS.  gr.  qu.  66,  fol.  314';  Sinai,  MS.  gr.  1216,  fol.  203',  to  which 
Professor  A.  M.  Friend  kindly  called  my  attention,  is  most  peculiar  because  the  Feet-washing 
takes  place  in  the  open,  and  not  in  the  Upper  Chamber;  notice  also  the  figure  of  Judas. 

"°  Patmos,  Libreria  Monte  Giovanni  MS.  70,  fol.  177'. 

'"  See  also  above,  n.  113. 

'"  'Epixtvtla  Ti,t  C<»ypa(t,iKi,<i  T(xvr]<s:  Dos  Handbuch  der  Malerei  vom  Berae  Athos  German 
trsl.  by  G.  Schafer  (Trier,  1855),  198  f. 


THE  BAPTISM  OF  THE  APOSTLES  237 

45).'''  To  have  Christ  seated  -  actually  on  a  stool  decked  very  imperially 
with  a  roll-shaped  cushion  -  and  Peter  standing,  while  the  other  aposdes 
wait  their  turn  in  file,  might  be  meaningful  because  it  is  reminiscent  of 
Byzantine  court  ceremonial.  According  to  Codinus,  the  emperor  was  seated 
when  on  Maundy  Thursday  twelve  well-groomed  poor  were  led  into  his 
chamber  to  get  their  right  foot  washed,  wiped,  and  kissed  by  the  emperor.'''" 
It  is  strange,  however,  that  this  usage  should  be  reflected  in  only  one  - 
Coptic  -  manuscript  even  though  attention  has  been  called  recently  to  cer- 
tain similarities  between  Byzantine  and  Fatimid  court  ceremonial.'^" 

The  observation  has  been  made  that  Peter  holding  his  head  sometimes 
shows  a  face  that  seems  to  express  sorrow,  distress,  and  pain;  and  we  may 
wonder  whether  that  gesture  did  not  originally  serve  to  express,  purely 
iconographically,  real  physical  pain.  For  indeed,  Peter's  gesture  seems  to 
have  classical  antecedents.'"  A  warrior,  probably  a  wounded  Philoctetes, 
embossed  in  the  cheek  piece  of  a  helmet  from  Megara  (fig.  46),  holds  his 
head  with  his  right  hand,  obviously  expressing  the  pains  he  suffered  from 

'"  Bibliotheque  Nationale,  MS.  Copte  13,  fol.  259'. 

''■•Codinos,  De  officialibus,  c.  12,  ed.  I.  Becker  (Bonn,  1839),  70  f.  The  crucial  place  is 
p.  70,  19  f :  /cat  toi'tov  fj-iv  Ka6laavT0<i,  tov  8t  irporoTraTrd  .  .  .  to  tvayytkiov  avayiViuaKovroi  kt\- 
The  interpretation  of  the  genetivus  abwlutus  {tovtov  fuv  Ka6iaavro<:)  is  di£Bcult  because  it 
might  refer  also  fo  the  first  of  the  twelve  poor  who  entered  with  candles  in  their  hands. 
However,  the  parallelism  of  the  one  seated  and  the  protopapas  {tovtov  fitv  -  tov  8i)  leaves  us 
hardly  a  choice:  the  emperor  is  seated,  the  protopapas  reads  the  Gospel  -  and  who,  if  any 
person,  could  be  seated  while  the  Gospel  was  read,  but  the  emperor?  This,  at  any  rate,  is  the 
interpretation  of  Petrides,  "Lavement,"  Echos  d Orient,  III,  324  (Treitinger,  Kaiser-  und 
Reichsidee,  126  f,  unfortunately  did  not  paraphrase  this  place).  I  am  grateful  to  Dr.  George 
Stamires,  of  the  Institute  for  Advanced  Study,  at  Princeton,  for  giving  me  additional  argu- 
ments supporting  this  interpretation,  and  to  Professor  R.  J.  H.  Jenkins,  of  the  University  of 
London,  for  expressing  his  opinion  and  for  calling  my  attention  to  the  study  quoted  below, 
n.  130. 

'""See  M.  Canard,  "Le  ceremonial  fatimite  et  le  ceremonial  byzantin:  Essai  de  com- 
paraison,"  Bijzantion,  XXI  (1951),  355-420,  who  shows  that  there  were  similarities  of  cere- 
monial between  Fatimid  Egvpt  and  Byzantium,  but  admits  also  (418  flF)  that  these  similarities 
may  just  as  well  betray  Uttle  more  than  a  common  oriental  origin.  The  question  arises  whether 
in  Coptic  circles  it  could  have  been  known  what  the  Feet-washing  ceremonial  was  hke  in 
Constantinople  —  provided  that  the  interpretation  of  the  Codinus  passage  be  correct;  for 
Professor  Milton  Anastos  kindly  informed  me  that  in  his  opinion  the  genetivus  absolutus 
referred  to  the  first  of  the  twelve  poor  men,  and  not  to  the  emperor.  —  In  a  Western  miniature 
(Seligmann  Sammlung,  H.  Paul  and  P.  Graupe  [Berlin,  1930],  pi.  xliv,  fig.  140)  Peter  is 
standing  upright  while  Christ  performs  his  humble  service  with  bended  knees;  but  in  this 
picture,  the  ceremonious  details  of  B.N.  Copte  13  are  lacking. 

"'  Mrs.  Dora  Panofsky  was  kind  enough  to  call  my  attention  to  this  fact,  and  to  place  at 
my  disposal  the  iconographic  material  collected  by  her.  The  interrelations  between  the  antique 
medical  scenes  and  the  mediaeval  ritual  lavings  have  been  noticed  also  by  Eitrem,  "Sainte 
ablution"  (above,  n.  14),  161,  by  Sudhofi^  (below,  nos.  141,  143),  and  Miss  Milne  (see  note 
133). 


'  /     _'    -'    u 
U    J    J    u 


238 


ERNST  II.  KANTOROWICZ 


a  wound  in  his  leg.""  This  may  prompt  us,  for  what  it  is  worth,  to  inspect 
the  representations  of  medical  treatments  of  wounds  and  diseases  in  which 
the  viTTT-qp  or  TToSai'iiTTTjp,  tlic  foot-basin,  is  often  displayed. 

In  the  first  place,  we  should  recall  that  —  very  different  from  modern 
customs  —  a  footbath  belonged  to  the  furniture  of  an  antique  dining-room, 
because  banquet  guests  had  their  feet  washed  before  they  lay  down  for  the 
meal.*''^  On  a  Corinthian  jar  we  see  a  servant  performing  that  lowly  service 
to  a  diner  (fig.  48),'''^  and  we  may  think  of  Plato's  Symposium  (175  a): 
"Then  Agathon  said  to  the  servants:  "Wash  Alcibiades,  servants,  that  he  may 
recline  as  the  third  with  us.'  "  Not  to  mention  many  similar  places  in  Greek 
literature,"'^  we  need  think  only  of  Herodotus'  famous  story  about  the  golden 
foot-bath  of  Amasis,  which  later  was  worked  into  an  image  of  a  god  —  a 
story  often  referred  to  by  early  Christian  apologetics  in  order  to  argue 
against  image  worship  and  prove  the  base  nature  of  the  pagan  deities  in 
general  ^■'"  —  to  understand  that  a  vivT-qp  naturally  was  found  also  in  the 
Upper  Chamber,  at  least  according  to  the  report  of  the  Fourth  Gospel. 
That  useful  basin,  however,  also  served  medical  purposes,  as  may  be 
gathered  not  only  from  inscriptions  in  Epidaurus  but  also  from  numerous 
pictures.'"  An  anjhaUos,  an  oil-flask,  in  the  Louvre  displays  a  full  clinical 
scene  with  a  foot-bath  in  the  center  (fig.  49)."''  A  terracotta  relief  from  the 
necropohs  of  the  Isola  Sacra  shows  a  complete  medical  instnimentarium 
while  the  physician  treats  the  patient  whose  foot  is  in  the  basin  (fig.  SO).''"' 
Our  illustrated  medical  manuscripts,  it  is  true,  are  of  a  late  date;  but  as  in 
the  herbals,  in  astronomic-astrological  and  other  scientific  works,  the  manu- 
script illustrations  were  derived  from  late  antique  models.'*"  In  a  Viennese 

'""L.  von  Sybel,  "Zwei  Bronzen,"  Jahrbuch  dcs  deutschen  Archdolopischen  Imtituts  II 
(I887),15fF,  andpl.  I. 

''■"  The  remarks  following  here  are  drawn  from  the  rich  material  collected  by  Miss  Marjorie 
J.  Milne,  "A  Greek  Footbath  in  the  Metropolitan  Museum  of  Art,"  American  Jourml  of 
Archeology,  XLVIII  (1944),  26-63,  esp.  30  ff;  see  31,  n.  40,  for  the  footbath  as  "a  piece  of 
dining  room  furniture." 

""Corpus  Vasortan  Antiquortim:  Bihliotheque  Nationale,  fasc.  1,  ed.  S  Lambrino  (Paris 
1930),  pi.  17,  4;  Milne,  56,  No.  40. 

'^  Plato,  Symp.  175A;  Plutarch,  Phocion,  c.  XX;  Milne,  31,  n.  39. 

"*"  Herod.,  II,  172  f;  see  Milne,  32,  and  the  passages  from  Christian  authors  collected  bv 
her  in  n.  44. 

"'  Milne,  31,  n.  38. 

"•E.  Pottier,  "Une  clinique  grecque  au  V  siecle,"  Monuments  Piot,  XIII  (1906),  148  ff 
pis.  xm,  XIV,  1;  Milne,  53,  No.  13. 

•"Guido  Calza,  La  necropoli  del  Porto  di  Roma  nelV  Isola  Sacra  (Rome,  1940),  251 
fig.  149. 

""For  the  general  problem,  see  Kurt  Weitzmann,  Greek  Mythology  in  Byzantine  Art 
(Prmceton,  1951),  with  the  literature  on  p.  4,  n.  3;  see  also  his  study  on  "The  Greek  Sources 
of  Islamic  Scientific  Illustrations,"  Archaeologica  Orientalia  in  Memoriam  Ernst  Herzfeld 


THE  BAPTISM  OF  THE  APOSTLES  239 

medical  codex  we  see  the  physician  kneading  the  leg  of  the  patient  over  a 
TTohavLTTTT)p  (fig.  47a-b),'"  a  motion  found  not  rarely  in  representations  of 
the  pedilavhwi;  for  example,  in  a  painting  on  a  twelfth-century  Pisan  cruci- 
fix where,  as  so  often,  Christ  rather  kneads  the  leg  than  washes  the  foot  of 
Peter  (fig.  52).'"  And  in  the  same  Vienna  medical  codex  we  find  not  only 
the  foot-basin,  but  also  a  patient  holding  his  head  while  bathing  his  feet 
(fig.47c)."^ 

It  would  be  beside  the  point  to  carry  the  medical  relations  too  far;  yet 
it  is  not  at  all  devious  to  associate  the  medical  treatment  with  the  laving  on 
Maundy  Thursday,  which  was,  according  to  Origen,  a  washing  of  the  "feet 
of  the  soul."  '**  Holy  Thursday  was,  if  any  day,  the  medical  day  of  the 
liturgical  year,  on  which  Christus  medicus  was  peculiarly  present.  God  the 
Physician  and  Christ  as  the  tW/ao?  :iojTT]p,  the  one  "giving  medical  treatment 
to  the  sufl^erings  of  all  souls  and  healing  the  afflictions  of  the  bodies,"  were 
invoked  time  and  time  again  on  that  day  in  the  rite  of  the  Consecration  of 
the  Holy  Oils  of  the  Eastern  Church:  larpk  twj^  xpvxoJv  Kai  twu  crcopaTcju 
u  p6vo<;  \\ivxSiv  re.  kol  a-cjpdTCJv  iaTp6<;,  "Physician  of  the  souls  and  the  bodies. 
.  .  .  The  only  physician  of  souls  and  bodies"  '"''  -  such  were  the  invocations 
which  in  great  variety  were  repeated  at  the  Maundy  service.""  Also  in  the 

(Locust  Valley,  N.  Y.,  1952),  244-266.  See  also  Sudhoff  (next  note)  p.  105:  ".  .  .  der 
Antike  entstammendes  urspriingliches  Illustrationsgut"  (cf.  p.  80). 

'"  Karl  SudhoH,  "Szenen  aus  der  Sprechstunde  und  bei  Krankenbesuchen  des  Arztes  in 
mittelalterlichcn  Handschriften,"  Archiv  fiir  Gcschichte  der  Medizin,  X  (1917),  71  ff.  and 
105  ff;  his  material  derives  chiefly  from  Pseudo-Apuleius  MSS,  especially  from  the  Vienna, 
Nat.  Bibl.,  Cod.  93  (thirteenth  century);  see  pi.  ii,  fig.  5  (fol.  9")  and  pi.  vi,  fig.  13  (fol.  43"). 

'"Pisa,  Museo  Civico,  right  arm  of  a  Cross  (twelfth  or  thirteenth  century);  Princeton  Art 
Department  photograph. 

'"  Sudhoff,  op.  tit.,  pi.  X,  fig.  62,  and  p.  122,  where  he  mentions  the  connections  with  the 
Feet-washing  of  the  apostles. 

'"Origen,  On  Jeremiah,  1,  9  =  Fragmente  aus  der  Prophetenkatene,  Nr.  XXIII,  ed. 
Erich  Klostermann  (Origen,  III  =  GCS.,  VI),  246:  Tr,',&as  ry^  i/^vx'/*  <iKa6apaiav  {koX) 
StriOyvai  tov  'Irjvov.  Origen  speaks  often  about  "the  feet  of  our  soul";  see,  e.g.,  In  Isaiam 
Homilia,  VI,  3,  ed.  W.  A.  Baehrens  (Origen,  VIII  =  GCS.,  XXXIII),  273,  3:  animae  vestrae 
pedes  lavare;  also  //»  Ezechielem  Homilia,  II,  4,  ibid.,  p.  346,  15:  firmos  animae  pedes 
fmbere.  The  expression  passed  on  to  the  prayers;  cf.  Teodoro  Minisci,  "Le  preghiere 
opisthambonoi,"  (above,  n.  35),  61,  no.  28,  lines  16  ff:  .  .  .  ilTr6ir\vi'ov  tov<;  (/'i'X"toi\  koI 
croj/xaTtKoi's  TroSa?. 

'"" Euchologion  (Rome,  1873),  182  (the  Kathisma):  6  tarpo?  Koi  jio-qOo^;  tu>v  iv  ttoVow 
o  \vTpo)Tr'i<i  T(  Koi  2<uTr;p  tuiv  iv  v6aoi<:;  also  p.  183  (the  Kontakiou)  :  'Xmrip  ^I'os  Oto'i-  iravTwii 
laTpvwv  TTudij  Tt  Twi'  i(/v)^<ui'-  Kal  (jw/LuiTd)!'  Ta  (n'l'Tpi/i/iara  .  .  .  See  also  Etichologion,  190  f, 
196,  in  the  prayer  of  the  priest.  Actually  the  whole  Akolouthia  is  interspersed  with  medical 
symbols. 

""See  also  the  inscription  of  Timgad:  Christe,  tu  solus  medicus  Sanctis  ct  penitentibus, 
ed.  P.  Monceaux,  in  Comptes  rcndus  de  T Academic  dcs  Inscriptions  et  Bellcs-Lettrcs  (1920), 
78  f,  and  its  Greek  parallel  from  Frikya,  in  Syria:  larpot  Koi  \vm<s  kokwv;  see  F.  J.  Dolger, 
IXfc)Y5:  Das  Fisclisymbol  in  friihchristlicher  Zeit,  I  (Rome,  1910),  253,  n.  25.  Both  inscrip- 


n    J    J    u 

u     J    J       I 


240 


ERNST  H.  KANTOROWICZ 


Western  Church  the  services  on  the  Feria  quinta  have  retained  some  of  that 
peculiarly  medical  essence.'"  Moreover,  Origen  actually  said  that  at  the 
Feet-washing  on  Holy  Thursday  Christ  acted  like  the  wise  physician  who 
first  treats  the  sick  needing  treatment  most  —  that  is,  Judas  —  and  who  last 
treats  the  patient  being  in  best  shape  and  therefore  needing  treatment  least: 
Peter.'*'*  And  in  an  anonymous  sermon  ascribed  to  Fulgentius,  Christ  asks 
Peter  why  he,  still  being  sick,  wards  off  the  hand  of  the  physician.""  It  makes 
no  sense  to  press  the  medical  metaphor  and  to  overestimate  its  relevance. 
When,  however,  the  statement  is  made  that  the  Byzantine  custom  of  repre- 
senting Peter  holding  his  head  was  "un-Roman"  because  this  gesture  was 
"too  poor  and  too  paltry  to  be  Roman,"  ^^^  one  may  wonder  whether  this 
un-Roman  paltriness  did  not  have  its  roots  in  a  stratum  which  Rome  has 
very  often  disregarded  or  missed. 

The  so-called  Byzantine  gesture  of  Peter  made  its  appearance  early  in 
Western  art,  about  the  late  tenth  century,  when  it  is  found  in  an  Antiphonary 
of  St.  Gall  (fig.  54).'"  It  is  shown,  around  a.d.  1050,  in  a  Cottonian  Psalter 
which  still  reflects  some  of  the  elegance,  liveliness,  and  directness  of  the 


tions  are  quoted  by  R.  Arbesmann,  "The  Concept  of  'Christus  Medicus'  in  St.  Augustine," 
Traditio,X  (1954),  1,  n.  1. 

'"See,  for  example,  the  Exorcismus  olei  in  the  Mozarabic  rite;  Liber  Ordinum,  ed. 
Ferotin  (Paris,  1904),  10:  .  .  .  nisi  te,  Christe,  .  .  .  peritissimum  7iiedicu7n  te  imploramus 
.  .  .  Similarly  in  the  Leofric  Missal,  ed.  F.  E.  Warren  (Oxford,  1883),  257.  See  also  Sacra- 
mentarium  Gelasianuin,  ed.  Wilson,  65  (Tu  eius  medere  vulneribtis) ;  65  and  67:  {et 
medicinam  tribue  vulneratis). 

'"Origen,  In  loannem,  XXXII,  4  ff  (on  John  13:6  ff),  ed.  Preuschen  (GCS.,  X  =  Origen, 
IV;  Berlin,  1903),  433  ff,  esp.  435,18  ff.  The  metaphor  of  Christ  the  Physician  (see  Matthew 
9:12;  Mark  2:17;  Luke  5:31,  etc.)  is  very  common  in  Origen;  see  the  passages  collected  in 
the  new  edition  of  Marc  le  Diacre,  Vie  de  Porphyre,  ivique  de  Gaza,  c.  29,  by  H.  Gregoire  and 
M.-A.  Kugener  (Paris,  1930),  26  and  109,  with  additional  passages  contributed  by  A.  Bauni- 
stark,  in:  Oriens  Christianus,  III.  Ser.,  9  (  =  vol.  XXXI;  1934),  125.  Also,  Jerome,  In  Marcum, 
1,  29,  ed.  G.  Morin,  Anecdota  Maredsolana,  111:2  (Maredsou,  1897),  337,14,  depends  on 
Origen:  Egregius  medicus  [/esus]  et  venis  est  archiater.  Medicus  Moyses,  medicus  Esaias, 
medicus  omnes  sancti.  Sed  iste  archiater  est.  See,  in  general,  A.  von  Harnack,  Die  Mission 
und  Ausbreitung  des  Christentums,  I  (4th  ed.,  Leipzig,  1924),  129  ff;  F.  J.  Dolger,  "Der 
Heiland,"  Antike  und  Christentum,  VI  (1950),  241  ff;  Leonardo  Olschki,  "The  Wise  Men 
of  the  East  in  Oriental  Tradition:  1.  Jesus  the  Physician,"  Semitic  and  Oriental  Studies  Pre- 
sented to  William  Popper,  ed.  Walther  J.  Fischel  (Berkeley  and  Los  Angeles,  1951),  375- 
381,  with  nos.  25  ff  (on  pages  391  f),  who  considers  a  possible  later  influence  of  .Manichean 
concepts  on  St.  Augustine;  however,  the  Christus  medicus  image  was  current  long  before 
Augustine;  see  also  Arbesmann  (above,  n.  146),  1-28,  esp.  27  f. 

"•  (Ps.-)  Fulgentius,  Sermo  XXV  ("De  lavandis  pedibus"),  PL.,  LXV,  892A:  Adhuc  quasi 
delicatus  aegrotus  [Petrus]  repellis  medici  manus?  Curam  bonam  vis  recusare? 

""Wilpert,  Die  romischen  Mosaiken  und  Malereien  der  kirchlichen  Bauten   (2nd  ed 
Freiburg,  1917),  p.  853:  "In  der  Tat  ist  er  [der  Gestus]  zu  kleinlich,  um  romisch  zu  sein' 
und  kommt  erst  spater  auf." 

'"St.  Gall,  Stiftsbibliothek,  MS.  390-^91  (Antiphonary);  Adolf  Merton,  Die  Buchmalerei 
m  St.  Gallen  vom  neunten  bis  zum  elften  Jahrhundert  (Stiittgart,  1912),  pi.  lxviii,  fig.  2. 


THE  BAPTISM  OF  THE  APOSTLES  241 

Utrecht  Psalter  (fig.  53).'"  And  it  was  received,  above  all,  by  the  artists  at 
the  abbey  of  Monte  Cassino  where  Greek  and  Latin  orbits  of  culture  inter- 
sected. We  find  that  type,  for  example,  in  Formia,  in  the  neighborhood  of 
Monte  Cassino  (fig.  51); '"  but  above  all  we  find  it  in  the  Casket  of  Farfa, 
which  is  of  peculiar  interest  here  because  the  Feet-washing  appears  in 
closest  connection  with  the  Baptism  of  Christ  in  Jordan  (fig.  57).'"'  Those 
two  scenes  appear  also  together  in  a  portable  altar  from  the  Rhine,  of  ca. 
1160,  where  they  are  connected  with  the  Crucifixion  and  the  Empty  Tomb 
(fig.  58 )."'■'  Do  we  have  to  assume  that  in  those  cases  the  baptismal  concept 
of  the  laving  still  was  cooperative,  or  that  Ambrose's  comparison  of  the 
reluctant  John  the  Baptist  with  the  reluctant  Peter  was  effective?  After  all, 
the  Ambrosian  writings,  his  De  mysteriis  and  De  Sacrainentis,  were  not 
forgotten. 

In  the  later  Middle  Ages,  the  "Byzantine"  gesture  dominated  in  the 
West,  whereas  the  "Roman"  gesture  became  comparatively  rare.  Again,  it 
would  go  much  too  far  to  claim  without  qualification  that  this  Byzantine  type 
was  that  of  "sanctification"  in  the  Ambrosian  sense,  or  that,  especially  in  the 
later  Middle  Ages,  the  artists  were  still  aware  of  the  fact  that  this  gesture 
testified  to  Peter's  "devotion  and  faith,"  according  to  Ambrose,^"*"  as  distin- 
guished from  humility  and  charity.  Referring,  however,  as  it  does,  to  the 
imphcit  promise  "If  I  wash  thee  not,  thou  wilt  have  no  part  widi  me,"  and 
to  Peter's  ensuing  demand  to  have  also  his  hands  and  his  head  washed,  the 
Byzantine  gesture  stresses  undoubtedly  the  more  affirmative  aspects  of 
Peter's  attitude,  whereas  the  Roman  gesture  brought  to  the  fore  the  aspects 
of  reluctance  and  even  resistance  on  the  part  of  the  disciple.  This  diflFerence 
has  been  indicated  by  the  artist  who,  in  the  twelfth  or  early  thirteenth 
century,  sculptured  the  reliefs  of  San  Pietro  in  Spoleto  (fig.  55)  where  both 
scenes  are  represented:  in  the  first,  Christ  is  shown,  carrying  basin  and 
towel  and  approaching  St.  Peter  who  objects  and  modestly  tries  to  keep  his 
Master  away;  in  the  second,  Christ  washes  the  feet  of  the  apostle  who  now 
demands  also  the  washing  of  his  head.'"  The  first  scene  may  be  called 

""British  Museum,  Cottonian  MS.  Tib.  C.  VI,  fol.  IT. 

'"  Sant'  Angelo  in  Formis  (near  Capua),  Fresco  in  the  nave,  South  Wall  (Photo  Anderson 
27185);  see  G.  de  Jerphanion,  "Le  cycle  iconographique  de  Sant'  Angelo  in  Formis,"  La  voi.v 
des  monuments  (Paris,  1930),  pi.  lvi,  p.  279;  see  also  Herbert  Bloch  (next  note),  200,  n.  114. 

■"  Herbert  Bloch,  "Monte  Cassino,  Byzantium,  and  the  West  in  the  Earlier  Middle  Ages," 
Dumbarton  Oaks  Papers,  3  (1946),  207  ff  and  fig.  253,  with  full  bibliography  in  n.  144. 

""Cf.  Fritz  Witte,  Tausend  Jahre  deutscher  Kunst  am  Rhein,  I  (Berlin,  1932),  56,  and 
II,  pl.  47. 

""Above,  n.  111. 

'"  Princeton  Art  Department  photograph.  The  Church  of  St.  Peter's  in  Spoleto  was  partly 
destroyed  in  1329,  but  the  sculptures  of  the  exterior  are  obviously  of  an  earlier  date.  See  also 
fig.  15,  the  Biblia  pauperum  (above,  n.  23),  where  Peter  makes  both  gestures  at  the  same  time. 


n    J    u    1 1 

u    J      I    u 


242  ERNST  H.  KANTOROWICZ 

"negative"  and  the  second  "positive";  and  together  or  in  juxtaposition  they 
render  an  illustration  of  Ambrose's  words:  "One  thing  is  humility,  another 
is  sanctification." 

However  that  may  be,  the  two  artistic  formulae  imply  an  antithesis 
comparable  to  the  one  of  "humility"  and  "sanctification,"  of  charitable  and 
baptismal  aspects  of  the  same  ritual,  though  it  would  be  hazardous  to  iden- 
tify, especially  in  the  later  period,  every  representation  of  Peter  "hand  to 
head"  with  the  baptismal  and  sacramental  interpretation  of  the  Feet-wash- 
ing in  an  early  age.  Iconographic  types  have  a  life  of  their  own.  They  survive 
although  (and  sometimes  because)  their  original  meaning  is  lost  and  for- 
gotten; and  in  that  respect  iconographic  formulae  do  not  differ  considerably 
from  Hturgical  formulae. 


V 

Of  the  liturgical  staging  of  the  Maundy  Thursday  washing  there  have 
been  handed  down  to  us  vivid  descriptions  from  both  the  mediaeval  Eastern 
Church,  where  that  ceremony  no  longer  is  generally  practiced, '"'*  and  the 
mediaeval  Western  Church,  where  the  Mandafum  actually  has  survived.'"'" 
The  details  of  the  ceremonial,  interesting  though  they  are,  seem  of  minor 
importance  here.  While  the  Gospel  of  John  was  read,  the  officiating  Church 
dignitary  —  pope  or  bishop  or  abbot  —  re-enacted  the  humble  services  reii- 
dered  by  Christ  to  his  disciples,  and  a  miniature  in  the  Bible  7norolisee 
(fig.  56)  may  remind  us  once  more  that  emperors  and  kings  also  washed  on 
that  day  the  feet  of  twelve  poor  men  who,  in  return  for  lending  themselves 
to  that  performance,  received  their  prcshyterium,  the  Maundy  Penny."'" 

'■'■"  Petiidts,  "Liivemeiit,"  Echos  d'Orient,  III,  321-326,  gives  a  detailed  description,  chiefly 
on  the  basis  of  tlie  Ttjpika,  and  believes  tliat  the  rite  was  introduced  to  Byzantium  from 
Jerusalem  in  the  tenth  century.  See  Jean-Baptiste  Thibaut,  Ordre  des  offices  de  la  Scmainc 
Sainte  a  Jerusalem  (Paris,  1926),  76  f,  for  a  description  according  to  the  Tijpikon  of  Jerusalem 
of  1122:  the  Patriarch  is  the  lavator,  the  role  of  Peter  is  played  by  a  metropolitan,  and  the 
other  apostles  are  staged  by  two  bishops,  three  priests,  tliree  deacons,  and  three  suljdeacons; 
one  sings  the  poh/chronion  to  the  Patriarcli.  The  rite  is  still  performed  in  Jerusalem,  where 
Professor  Carl  II.  Kraeling,  of  the  Oriental  Institute  of  the  University  of  Chicago,  attended  the 
performance  in  recent  years,  thereby  observing  also  the  ceremonious  removal  of  the  green 
wrapper  of  a  cake  of  -  very  fittingly  -  Prt/mo/ite  soap.  According  to  Petrides,  323,  the  cere- 
mony is  officiated  today  in  only  three  Greek  churches,  but  it  survived  in  Russia;  see,  e.g., 
Berkbeck  and  the  Russian  Church,  ed.  by  Athelstan  Riley  (London  and  New  York,  I9I7)! 
135  ff,  to  which  Dr.  Schafer  Williams,  in  Washington,  kindly  called  my  attention.  As  Pro- 
fessor Der  Nersessian  informs  me,  the  ceremonial  Feet-washing  continues  to  be  performed 
in  the  Armenian  Church. 

""  See,  in  general,  Eisenhofer,  Liturgik,  I,  522  f,  and,  for  many  interesting  details,  Stiefen- 
hofer,  "Liturgische  Fusswaschung"  (above,  n.  13). 

""Laborde.  Bible  moralis6e.  III,  pi.  485  (Brit.  Mvis.,  Harlev  MS.  1526-27,  fob  14'). 
For  the  royal  ritual  (practiced  in  Hapsburg  Austria  until  the  twentieth  century),  see,  in  gen- 


THE  BAPTISM  OF  THE  APOSTLES 


243 


We  are  interested  not  so  much  in  the  ritual  laving  itself,  but  rather  in 
the  antiphons  which  were  sung  while  and  after  the  officiating  dignitary 
performed  his  services.""  The  number  of  antiphons,  their  selection  and  their 
order,  varied  from  cathedral  to  cathedral  and  monastery  to  monastery.  Saint- 
Yrieix,  an  abbey  affiliated  to  St.  Martial  in  Limoges,  had  no  less  than  twenty- 
nine  antiphons  sung  on  that  occasion;  others  had  only  seven  or  nine.  Uni- 
formity of  texts  was  never  achieved  nor  aspired  to  during  the  Middle  Ages, 
though  of  course  certain  antiphons  based  on  John  13  or  referring  to  Mary 
Magdalen  when  anointing  the  feet  of  Christ,  will  be  found  almost  every- 
where. For  all  those  individual  predilections,  which  resist  any  detailed 
classification,  two  basic  sets  of  Maundy  antiphons  yet  stand  out  clearly:  one 
being,  or  gradually  becoming,  the  Roman  vulgate  vaUd  throughout  the 
Western  Church,  and  the  other,  following  a  tradition  apparently  restricted 
to  a  few  French  and  English  churches,  which  may  be  called  here  the  non- 
Roman  group. 

It  would  be  a  most  cumbersome  task  and  perhaps  not  even  worth  the 
effort  to  investigate  history  and  transmission  of  every  individual  Mandafum 
antiphon,  although  occasionally  the  origin  of  an  antiphon  may  be  rather 
telling.  It  will  suffice  here  to  indicate  the  hallmarks  distinguishing  the  Roman 
vulgate  form  from  the  non-Roman  sets  of  antiphons.  Two  tables  ( A  and  B ) 
may  illustrate  the  main  features.  In  Table  A  six  forms  are  found  which 
represent,  despite  their  lack  of  imiformity,  the  customary  Western  usage. 
The  Liber  responsalis  is  in  many  respects  not  at  all  characteristic  of  Roman 
or  even  ItaUan  practice;  but  the  Mandatum  antiphons  fall  in  with  what  later 
became  the  general  custom,  or  perhaps  was  already  customary  at  that 
time.""'-  The  Lucca  Missale  of  a  Benedictine  abbey  has  a  "Beneventan" 

eral,  E.  .Martene,  De  antiquis  ecclesiae  ritibus.  III  (Bassano,  1788),  100  (Lil).  IV,  c.  .XXII. 
8,  3),  whose  earliest  example  refers  to  King  Robert  of  France  (996-1031);  see,  for  Byzantium, 
Treitinger  (above,  n.  129),  126  f,  and,  for  the  West,  a  few  remarks  by  Percy  Ernst  Schramm, 
"Sacerdotium  und  Regnum  im  Austausch  ihrer  V^orrechte,"  Studi  Gregoriani,  II  (1947),  428  f; 
see,  for  the  English  Maundy  Pennies,  Helen  Farquhar,  "Royal  Charities,"  British  Numismatic 
Journal,  XVI  (1921-22),  195  ff.  See  also  H.  A.  Daniel,  Codex  liturgicus,  II,  424,  for  a  strange 
incident  in  connection  with  princely  Feet-washing  ceremonies:  Duke  Maurice  William  of 
Sachsen-Zcitz,  originally  a  Protestant,  embraced  tlie  Catholic  faith  and  now  ordered  (.\pril 
14,  1718)  twelve  old  men,  who  happened  to  be  Lutherans,  to  appear  for  the  Feet-washing  — 
a  repast  following  —  in  the  princely  chapel  at  Weyda;  the  result  was  that  the  twelve  poor 
were  punished  and  made  to  do  public  penitence  in  the  Lutheran  Church. 

""  This  subject  has  been  carefully  investigated  by  Bukofzer,  Studies  in  Mediaeval  and 
Renaissance  Music,  230  ff,  and  little  more  shall  be  done  here  than  to  straighten  out  a  few 
items.  Needless  to  say,  vvitli  regard  to  ail  musicological  questions,  I  depend  entirely  upon 
the  study  of  Bukofzer.  See  above,  n.  2. 

""PL.,  LXXVIII,  848  f.  Another  set  of  antiphons  is  found  at  Ma.ss  on  Holv  ThTirsda\' 
{ibid.,  766)  which  seems  to  me  mucli  more  closely  related  to  the  conventional  sets  than  the 
Mandatum  set  proper  of  the  Liber  responsalis: 


n    J   u 

u    J      I 


t^rowwn 


244  ERNST  H.  KANTOROWICZ 

peculiarity  (No.  10:  Cum  recuhuisset  Dominus)  which  is  interspersed  into 
a  form  otherwise  characteristic  of  the  Roman  sets.'"'  The  Besangon  set  is 
conventional  with  one  exception  (No.  5),  on  which  account  it  has  been 
selected  here.'"'  The  customs  of  the  papal  Curia  were  not  a  determinant 
factor  before  the  thirteenth  century.  Besides,  the  papal  Curia,  we  recall, 
introduced  the  ceremonious  Feet-washing  on  Holy  Thursday  apparently 
only  at  a  late  date,  and  in  the  Roman  Ordines  it  first  appears  in  the  twelfth 
century.'"'  Unfortunately,  the  antiphons  are  not  enumerated  in  those  later 
mediaeval  Roman  Ordines,^^^  just  as  they  are  lacking  in  the  Ordo  Lateranen- 
sis  '"^  and  in  the  Pontificale  Rormnae  Curiae  of  the  thirteenth  century.'^* 
For  the  later  Middle  Ages,  however,  the  Missale  Romanum  of  1474  may 
serve  as  a  pattern  here; '""  it  does  not  differ  substantially  from  the  current 
use  which  has  one  antiphon  (No.  7:  Maneant  in  vobis)  in  common  with  a 
probably  Italian  set  of  the  fifteenth  century 


170 


1.  Coenantibus  autetn,  accepit  Jesus  panem 

2.  Accepto  pane  Judas  tradidit  Domimim 

3.  St  male  locutus  sum,  perhibe  testimonium  (John  18:23) 

4.  Coena  facta  est,  dixit  Jesus  disciptdis 

5.  Mandatum  novum 

6.  Diligamus  nos  invicem,  quia  charitas  ex  Deo  est 

7.  Si  ego  Dominus 

8.  In  diebus  illis  mulier 

9.  Postquam  surrexit 

10.  Vbi  fratres  in  unum  glorificant  Dominum 

11.  Congregavit  nos  Christus 

The  first  three  versicles,  of  course,  refer  to  the  Last  Supper  and  to  the  treason  of  Judas  who, 
by  the  way,  has  received  the  bread  {accepto  pane).  On  the  other  hand,  the  Feet-washing 
takes  place  after  the  Last  Supper  and  after  Judas  has  left  (see  above,  nos.  81-85). 

'"For  the  manuscript,  see  Ebner,  Missale  Romanum,  65  f.  For  the  Mandatum  and  the 
Beneventan  features,  see  Le  Codex  10673  de  la  Bihliotheque  Vaticane  fonds  latin  (X7*  sidclc) : 
Graduel  Beneventain  ( Paleographie  Musicale,  XIV  [1931]),  284  fF,  pis.  xxxvii-xxxviii. 

"*E.  Martene,  De  antiquis  ecclesiae  ritibus  (Bassano,  1788),  III,  110. 

'"  See  above,  n.  108,  for  the  Ordo  Romamts  X.  The  Feet-washing,  however,  is  mentioned 
also  in  the  Ordines  of  Benedict  of  St.  Peter's  (chap.  4)  and  of  Cencius  Savelli  (c.  25);  PL., 
LXXVIII,  1040  f,  1074. 

'"Ordo  XIII,  c.  22,  Ordo  XIV,  c.  84  (cf.  c.  91),  Ordo  XV,  c.  69,  PL.,  LXXVIII,  1118D, 
1207C  (1210D),  1311C. 

""Ordo  Lateranensis,  ed.  Fischer,  has  both  a  Mandatum  pauperum  (c.  118,  p.  46)  and  a 
Mandatum  fratrum  (c.  133,  p.  53);  but  only  for  the  Mandatum  pauperum  is  mention  made 
of  antiphons,  beginning  Mandatum  novum  do  vobis. 

'"•Above,  n.  108;  Andrieu,  Pontifical  romain,  II,  464,  552;  also  the  Pontifical  of  Durandus 
mentions  only  the  Mandatitm  novum  antiphon;  see  Andrieu,  III,  581. 

'^Missale  Romanum  Mediolani,  1474,  ed.  R.  Lippe  (Henry  Bradshaw  Society,  XVII; 
London,  1899),  159  f,  where  the  caput  versicle  is  contained  in  the  antiphon  Quod  ego  facio 
(p.  160,22). 

'™  Bukofzer,  Studies,  234  f. 


n    J   u    D 

U     J       I     L 


H^-CDi, 


14.     Bible  of  Floreffe.     Brit.  Mus.,  Add.  MS.  17738,  fol.  4 


15.     Biblia  pauperuni.     Munich,  Cgni.  20,  fol.  10 


16.     New  York,  Pierpont  Morgan  Library,  MS.  645,  fol.  4' 


/  /   _/  u  u 

U     J       /       I 


^H    .a 


« 


CO      8 


& 


O 


CQ 


U     J       I     J 


u 


<N 


Z_j 


U 


u 


/  /     J    U     L 
U     J       I     U 


26.     M'ilten   Ciialice.     \'ienria,    Kunstiustorische   Sanun- 
iuiig 


2~.     Psalter  of  St.  Louis. 
-1!..  .\Tsenal,  MS.  lat  il86,  fol.  22 


ib.      ix'on  Oipn  uli.      i'ujis.  C,-lit;vUu:.  I.. 


29.     Ivcjn  dipt> 


ig.     Pans.  Must* 


I 


T^tQtPj 


I    I    — ■j>M»'.     L  III 


^ 


i 


^':i/ 


I  I 
I  'I 


H 


^5 


t 


-.^A 


^'    ~     ^    V 


tir^v.:.i 


'■M^ 


3().     Cologne.  St.  Caecilia,  choir,  fresc-o 


31.     Leningrad,  Public  Libr.,  MS.  gr.  21,  foL  6' 


32.     Berlin,  Staatsbibl,  Sachau  .VIS.  304,  fol.  89 


U     J       I 


o 


u 


U    J 


U     U 

I    u 


38.     Altar  frontal.     C-'openhageii,  Mus.  Nat. 


30.     Bernini,  Cafiiedra  Pftri,  .sitlc  panel.     Itnnic,  St.  Peter's 


.di 


*»»'■ 


-•#fe    ^ 


42.     Patrnos,  Man.  Giovanni,  MS.  70,  fol.  177' 


^Vf, 


i 


43.     Smai  MS  m   12]r)  fol  2(r 


a  r  K.  itnrr or i 

44.     Berlin.  Staat.sbibl..  p-.  qu.  66,  fol.  314 


•^•#«.»»i^J*«i-T^  »«|»«  »-i*  JV»  »1 


40.     Duccio,  rotable.     Siena,  Musfo  Oiwra  del  Diionio 


45.     Puns,  Bibl.  .\ut.,  Cciptf  13,  iul.  25y 


n    J    u    O 

u     J       I       I 


46.     Helmet  from  Megara,  cheek  piece 


47b.  Fol.43'' 


%?**» 


^r\ 


48.     Black-figured  jar  from  Corinth.     Paris,  Bibl.  Nationale 


1/        ^vl^    > 


iMf  ■  ^'  .^^* 


47c.  Fol.  lOy 
Vienna,  Nat.  Bibl.,  Cod.  93 


49.     Aryballos.     Louvtc 


50.     Tomb  relief  from  thr  Ncrr-iri-ilis  I.snk  Sa,  ri 

1        -  r' 


51.     bant  Angelo  in  Fonnis,  nave,  soutli  wall 


U    J    J    u 


u 


B 
O 

a 

o 
U 


pa 


o 
o 

'> 

U 

o 
u 

3 

.sa 


Ml 


2 
u 


'^?S^/s-Wj'?^>r^ 


^:^ 


^-^^ 


'^•■^^^I?^'^^ 


54.     St.  Gall,  Stiftsbibl.,  MS.  390-391 


56.     Brit.  Mus.,  llailfy  MS.  1520-27,  Icl.  J  r 


55.     Spoleto,  ban  I'ietro,  west  facade 


57.     Casket  of  haria.     lioiuc,  S.  Paolo  luori  Ic  inura 


U     J     J 


-  '  -i  V- 


■:''-^/^^:\:v^j^'^x^..'j^r 


■  '.  >v^ 


•'1  ^', 


Mi>.    -futn 


tium^}\eff>mi  <iit 


1  .-    '•'* 


58.     Portable  altar  from  Siegburg,  Rhine 


'  t- 


J    A 


.?  ' A  •^>   'A  •     'A 


-■\-\    " 


1-1 


-♦♦♦♦♦♦■•♦■'^-m-^^ 


f     •' 


'  '   ,         y  /    - 


59.     Gradual  from  Saint-Yrieix.     Paris,  Bibl.  Nat.,  lat.  903 


y 


f^^am  torn  CTpttm  ftcsoimnttftRBSg 


♦  c_ 


T*T- 


<afatfatanag 


'^  »i  7av^ 


/  -vj2^ 


lJ«?^    tutu  crc^trtmiimi«aefwfepu^ 


ItJnWttnoi^ 

awm  dta>ttc»0:'tioti  ciVfmiw 
tnmctt  dWb  to  m  a^jfe  tna  wtt  eo 
nufttitfertttiim.f  r.i 

^prfCorCicftv     :..>■ 

^  ritl'diarDjio  r 'rr^tnnititttfaiin 

qma  tfrcepit  ctiSatialnrno9.*'pm 

twwoft'crttmmtttfmcott^paluct? 
/^amittf{«titcmimp.^in:cBjn(yte 
tnuf  arnn  ♦Qjwfi  dtltttttlfi  ftftmf 


f  ttrrao  yemtm  &cim  fetnts 


— i^^ — ,       -1 _  -     k  *^     X — •-'  -« 

•Qfttjjlcg^  lit  tton  Taucto  tP  nao  ^aW>i 


veer,  hn^qu'dtnnonrj'af 


60.     Sarum  Missal.     Manchester,  John  Rylands  Libr.,  MS.  lat.  24,  fol.  90 


'  /     J    L      J 
L/    -_/     J    L 


smi. 


-iiti- 


THE  BAPTISM  OF  THE  APOSTLES 


245 


2. 
3. 
4. 
5. 
6. 


9. 

10. 
11. 

12. 

13. 


Liber  responsalis  s.  IX 

1.    Mandatum  novum 
Postquam  surrexit 
Cum  surrexisset 
In  diebus  illis 
Diligamus  nos 
Si  ego  Dominus 

7.  In  hoc  cognoscent 

8.  Locutus    est    omnipo- 
tens 

Discumbens    Dns    ac- 
cepit  panem 
Locutus  est  Dominus 
Ubi    est    charitas    et 
dilectio 

Domine  tu  mihi  lavas 
Domine,    non    tantwn 
pedes 

14.  Vos  vocatis  me  Magis- 
ter 

15.  Mulier  quae  erat 

16.  Maria  autem  unxit 

17.  Congregavit  nos  Chris- 
tus 

Roman  Missal  of  1474 

1.  Postquam  surrexit 

2.  Dominus  Jesus 

3.  Benedixisti  Domine 

4.  Exemplum  enim  dedi 

5.  Quam  dilecta 

6.  Deus  miseriatur 

7.  Congregavit  nos 

8.  Mulier  quae  erat 

9.  Domine,  tu  mihi 

10.  Quod  ego  facio 

11.  Si  ego  Dominus 

12.  In  hoc  cognoscent 

13.  Benedicta  sit  Trinitas 

14.  Ubi  caritas  et  amor 


TABLE  A 

Lucca  MS.  606  s.  X-XI 

Besangon  s.  XI 

1. 

Postquam  surrexit 

1. 

Mandatum  novum 

2. 

Tu  mihi  lavas 

2. 

Ante  diem  festum 

3. 

Mandatum  novum 

3. 

Postquam  surrexit 

4. 

Si  ego 

4. 

Domine,  tu  mihi 

5. 

In  hoc  cognoscent 

5. 

Dne,  non  tantum  pedes 

6. 

In  diebus  illis 

6. 

Si  ego  Dominus 

7. 

Sinite  mulierem 

7. 

Diligamus  nos 

8. 

Diligamus  nos 

8. 

In  diebus  illis 

9. 

Mandatum  novum 

9. 

Ubi  caritas 

Post  lavatum 

10. 

Christus  descendit 

10. 

Cum  recubuisset  Diis 

11. 

Ubi  caritas  et  amor 

Italian  s.  XV 

1.  Dominus  Jesus 

2.  Postquam  surrexit 

3.  Si  ego  Dominus 

4.  Vos  vocatis  me  Magis- 
ter 

5.  Mandatum  novum 

6.  In  hoc  cognoscent 

7.  In  diebus  illis 

8.  Maria  ergo  unxit 

9.  Domine,  tu  mihi 

10.  Caritas  est  summum 

11.  Ubi  est  caritas 
11a.  Christus  descendit 

12.  Diligamus  nos 

13.  Ubi  fratres  in  unum 

14.  Congregavit     nos     in 
unimi 

15.  Maneant  in  nobis 

16.  Benedicat  nos  Deus 


Roman  Current  Use 

1.  Mandatum  novum 

2.  Postquam  surrexit 

3.  Dominus  Jesus 

4.  Domine  tu  mihi 

5.  Si  ego  Dominus 

6.  In  hoc  cognoscent 

7.  Maneant  in  vobis 

8.  Benedicta  sit  s.  Trin. 

9.  Ubi  caritas  et  amor 


<I*M|| 


■P?" 


_'    L      "/ 

U     J     J     J 


246 


ERNST  H.  KANTOROWICZ 


Great  though  the  variety  of  these  antiphons  is,  the  sets  have  certain 
features  in  common.  There  are  the  "historical"  antiphons  referring,  as  is 
natural,  to  John  13  and  to  its  parallel,  Mary  Magdalen  anointing  the  feet 
of  Christ  (John  12:1-8).  Characteristically,  however,  the  full  emphasis  was 
laid  not  on  the  historical  events,  hut  on  the  more  general  idea  of  Caritas, 
which  in  turn  led  to  a  selection  of  antiphons  having  nothing  to  do  with  the 
laving  itself. 

The  last  three  antiphons  of  the  current  Roman  Missal  exhibit  this  feature 
very  clearly.  Maneant  in  vohis  fides,  spes,  caritas,  tria  haec,  which  is  found 
in  early  times  as  a  pedilavium  antiphon,  is  taken  from  I  Corinthians  13:13. 
It  would  he  tempting  to  assume  that  the  words  tria  haec  prompted  the  selec- 
tion of  the  ensuing  antiphon  Bencdicta  sit  sancta  Trinitas,  which  forms  also 
the  Introit  of  the  Feast  of  Holy  Trinity.'"  However,  the  Trinity  antiphon 
probably  came  into  the  Maundy  rites  for  other  and  better  reasons  and  from 
another  source.  Above  all,  it  should  not  be  separated  from  the  last  antiphon 
of  the  present  rite  to  which  it  originally  belonged:  Ubi  caritas  et  amor,  Deus 
ihi  est.  This  antiphon,  ancient  and  beautiful  as  it  is,  is  (so  to  speak)  the 
Song  of  Songs  of  the  idea  of  charity.'^^'  It  is  taken  from  a  chant  which  can 
be  traced  back  to  Carolingian  times,'^^'  when  it  still  contained  a  Multos 
annos  acclamation  for  the  emperor.  For,  Uhi  caritas  et  amor  belonged  to  the 
Caritas  chants  sung  in  the  refectory,  when  the  monks  united  for  a  caritas 
an  extra  allotment  of  wine  granted  to  them  on  certain  feast  days  and  anni- 
versaries -  the  so-called  caritas  in  refectorio.  Obviously,  caritas  had  in  this 
case  a  totally  different  meaning:  it  was  a  grant  to  the  monks  on  special  oc- 
casions and  it  had,  all  by  itself,  nothing  to  do  with  the  "New  Commandment" 
of  mutual  love  of  which  the  Fourth  Gospel  speaks.  However,  the  caritas  in 
refectorio  is  yet  linked  to  the  idea  of  Charity  of  John  13;  for  the  extra  wine 
allotment  was  granted  to  the  monks  especially  after  the  weekly  washing  of 
the  feet  of  the  poor,  and  after  the  Mandatum  proper  on  Holy  Thursday.^' 

lr.:^:e:L^^:'^t''  '•'  '''^'-''-'-^  ^°-  «>  '-  ^— -*  ^^  -^^^  ^^^  the  Trinity 

2&-36.  sptrttuels  et  textes  devots  du  moyen-dge  (Paris,  1932), 

"*  The  acclamatory  last  versicle  originally  ran: 

Et  pro  vita  dominorum        exoremus 

Multos  ut  cum  ipm  annos       gaudeamus, 

Propter  quorum  hie  amorcm        congregamur 

Cf.  BischofF,  170.  It  was  obviously  on  the  ocoa<!inn  «f  o  •  i     ^ 

y  on  tne  occasion  of  a  special  refectio  granted  to  the 


THE  BAPTISM  OF  THE  APOSTLES  247 

This  explains  why,  for  example,  in  the  Lucca  manuscript  the  antiphon  Ubi 
caritas  et  amor  follows  after  the  rubric  Post  lavattim  -  that  is,  as  a  transition 
to  or  in  anticipation  of  the  carita.s  in  refectorio  when  the  whole  chant  was 
sung.  It  explains  also  why  this  antiphon  has  invariably  concluded  the  Roman 
sets  ever  since  the  later  Middle  Ages,  and  sporadically  also  in  earUer  times, 
even  though  it  may  not  always  be  recognizable:  the  antiphon  Christus 
descendit,  for  example,  which  concludes  the  Besan^on  set,  is  simply  the 
continuation  of  Ubi  caritas  et  amor.  But  whatever  the  origin  of  the  whole 
chant  may  be,  the  antiphon  -  blending,  as  it  were,  the  caritas  offered  to  the 
poor  and  the  caritas  in  refectorio  offered  to  the  monks  -  stresses  power- 
fully the  concept  of  charity  itself  which,  as  St.  Ambrose  confirms,  was  in 
Rome  the  main  content  of  the  pedilavium. 

This  impression  is  corroborated  by  the  choice  of  historic  antiphons:  they, 
too,  emphasize  the  aspects  of  charity  and  humility.  To  be  sure,  the  antiphon 
Dornine,  tu  mihi  lavas  pedes?  is  taken  from  the  dialogue  between  Christ  and 
Peter,  and  the  Liber  responsalis  as  well  as  Besangon  still  insert  the  antiphon 
Dornine,  non  tantum  pedes.  On  the  whole,  however,  the  Roman  usage  se- 
lected the  versicles  which,  according  to  Ambrose,  testified  to  Peter's  humil- 
ity. And  is  it  not  like  unto  a  projection  of  that  ancient  fourth-century 
controversy  between  Milan  and  Rome  when  we  find  that  the  versicle  of 
Peter's  "devotion  and  faith,"  by  means  of  which  Ambrose  tried  to  defend  the 
baptismal  essence  of  the  laving,  is  omitted  entirely  in  the  Roman  Missals? 
For  in  the  antiphon  John  13:6-8  the  Roman  Missal,  including  the  current 
use,  very  strangely  skips  the  decisive  versicle:  Non  solum  pedes,  sed  etiam 
manus  et  caput. 

While  this  versicle  was,  we  might  say,  neglected  or  even  conspicuous 
for  its  absence  from  Roman  usage,  it  was  conspicuous  for  its  presence  in  the 
usage  of  some  French  and  English  churches  and  monasteries.  The  pecu- 
liarity of  the  non-Roman  sets  of  antiphons  can  be  easily  gathered  from  the 
forms  assembled  in  Table  B:  the  Gradual  of  Saint- Yrieix  of  the  eleventh 
century,"'  the  Gradual  from  Rouen  of  the  thirteenth  century,'"*  a  Paris 
Missal  of  the  same  date,'''  and  the  Sarum  Missal  of  the  thirteenth  century."* 

monks  for  their  prayers  on  royal  anniversaries  (not  only  anniversaries  of  the  death,  but  also 
of  coronations,  anointments,  birth-  and  wedding-days),  that  those  acclamations  were  voiced 
in  the  refectory.  I  shall  treat  the  very  complex  problem  separately. 

"'Le  Codex  903  de  la  Bibl.Nat.  de  Paris:  Graduel  de  Saint-Yrieix  ( Paleographie  musicale 
XIII;  [Tournay,  1925]),  fol.  134. 

""  Le  Graduel  dc  Teglise  cathcdrale  de  Rouen  au  XIIP  siecle,  ed.  by  V.  H.  Loriquet,  Dom 
Pothier  et  Abbe  Colette  (Rouen,  1907),  II,  fol.  89. 

•"Paris,  Bibl.  Nat.,  MS.  lat.  1112,  fol.  90';  Bukofzer,  231  and  234. 

'"J.  Wickham  Legg,  The  Sarum  Missal  (Oxford,  1916),  108;  see  Bukofzer,  232,  for  a 
great  number  of  Sarum  manuscripts  and  later  prints.  See  also  Walter  Howard  Frere,  The  Use 


n    J   L    u 

u     J     J       I 


248 


ERNST  H.  KANTOROWICZ 


TABLE  B 


Saint-Yrieix  s.  XI 

1.  Mandatum  novum 

2.  Postquam  surrexit 

3.  Si  ego  Domimis 

4.  Domine,  tu  milii  lavas 

5.  In  diebus  illis 

6.  Diliganius  nos 

7.  Ubi  fratres  in  unum 

8.  Maneant  in  nobis 

9.  Manete  autem 

10.  In  hoc  cognosccnt 

11.  Deus  caritas  est 

12.  Ubi  est  caritas 

13.  Tunc  percinxit  se 

14.  Mulier  quae  erat 

15.  Maria  ergo  unxit 

16.  Dixit  autem  Jesus 


17.  Congregavit  nos  Chris- 
tus 

18.  Congregavit     nos      in 
unum 

19.  Caritas  est  stunmnm 

20.  Surgit  Jesus 

21.  Vos  vocatis  me  magis- 
ter 

22.  Misit  denique 

23.  Postquam  ergo 

24.  Coena  facta 

25.  Ante  diem  festwu 

26.  Venit  ad  Petrum 

27.  Benedicat  Dominus 

28.  Tellus  ac  aethera 

29.  Domum  istam 


Rouen  s.  XIII 

Mandatum  novum 

Si  ego  Dominus 

Vos  vocatis  me  magis- 

ter 

In  hoc  cognoscent 

In  diebus  ilh's 

Maria  ergo  unxit 

Dih'gamus  nos 

Ubi  fratres  in  unum 

Ubi  est  caritas 

Domine,  tu  mihi  lavas 

11.  Ante  diem  festum 

12.  Venit  ad  Petrum 


1. 

2. 

3. 

4. 
5. 
6. 
7. 
8. 
9. 
10. 


Paris  s.  XIII 

1.    Mandatum  novum 
Diligamus  nos 
Postquam  surrexit 
In  diebus  ilh's 
Si  ego  Dominus 
In  hoc  cognoscent 

7.  Vos  vocatis  me  magister 

8.  Ante  diem  festum 

9.  Venit  ad  Petrum 


Sarum  s.  XIII 


1. 

2. 

3. 
4. 

5. 

6. 

^ 
t. 

8. 

9. 


Mandatum  novum 
Dihgamus  nos 
In  diebus  illis 
Maria  ergo  unxit 
Postquam  surrexit 
Vos  vocatis  me  magister 
Si  ego  Dominus 
Ante  diem  festum 
Venit  ad  Petrum 


The  outstanding  mark  of  distinction  of  these  sets  of  antiphons  is  of 
course,  that  they  end  invariably  in  the  versicles  Ante  diem  festum  and  Vniit 
ad  Petrtim.  This  is  also  true  with  regard  to  the  set  of  Saint-Yrieix-  for  Telhs 
ac  aethera  iuhilent  is  a  hymn,  and  not  an  antiphon  proper,  which  was  very 
popular  m  the  tAvelfth  century  at  the  eulogy  after  the  Mandatum^''  whereas 
Domum  istam  is  an  intention  for  the  house,  the  monastery,  which  is  an  addi- 

li::;::;^  iss:;s  t^^e^^^^^t^^ittr  r^?  ^°  r  "^  ^-'^ 

I^^  f^i^,  see  Prere,  Oraduale  Lis^ur^::  ^^  ^s.^^^.^^^-^^:: 
'"  See  Bischoff,  169,  n.  22;  Bukofzer,  237. 


THE  BAPTISM  OF  THE  APOSTLES  249 

tion  frequently  found  in  the  monastic  liturgies; '«»  finally,  Benedicat 
Dominus  is  a  quite  general  request  for  the  divine  blessings.'"  Moreover,  the 
second  antiphon  -  Venit  ad  Petrum  -  contains  the  versicle  Si  non  lavero 
te,  non  hahebis  partem  mecum,  and  it  ends  in  the  versicle  Domine,  non  tan- 
tum  pedes  meos  sed  et  nrnnus  et  caput,  that  is,  in  those  statements  which 
Ambrose  considered  decisive  for  the  sacramental  meaning  of  the  Feet-wash- 
ing and  which,  according  to  him,  Rome  regarded  not  too  highly.  Hence,  the 
whole  ceremony  of  the  Mandatum  ended  in  that  line  testifying  to  Peter's 
"devotion  and  faith"  and,  more  specifically,  in  the  word  caput,  a  versicle 
which  the  Roman  sets  treated  negligently  or  omitted  completely  in  favor 
of  die  hues  testifying  to  Peter's  humility  and  to  caritas  in  general.  It  should 
be  mentioned  also  that  in  the  non-Roman  sets  the  Caritas  idea  is  definitely 
of  secondary  importance:  in  the  sets  of  Paris  and  Sarum  the  Caritas  chant  is 
absent  and  the  idea  is  touched  upon  only  in  the  second  antiphon  -  Dili- 
gamus nos  invicem  quia  caritas  ex  Deo  est.^^^ 

The  most  obvious  feature  distinguishing  the  non-Roman  from  the  Roman 
sets,  however,  remains  the  couple  of  antiphons  concluding  the  French  and 
English  series:  Ante  diem  festum  and  Venit  ad  Petrum.  When,  how,  and 
where  these  two  antiphons  were  first  linked  together  to  form  the  end  of  the 
Mandatum  ceremony  remains  to  be  ascertained.  The  scheme,  however,  is 
found  mainly  in  France  -  in  Saint-Yrieix,  Paris,  and  Rouen  -  and  in  Eng- 
land in  the  rite  of  Sarum  (Salisbury)  on  which  English  churches  and  mon- 
asteries depended  in  ever  increasing  numbers.  The  customs  of  Sarum  "were 
as  the  sun  in  the  heavens  whose  rays  shed  light  upon  other  churches," 
claimed  Bishop  Aegidius  of  SaUsbury  (1256),  and  consequently  the  Sarum 
set  of  antiphons  will  be  found,  during  and  after  the  thirteenth  century,  in 
very  many  English  liturgical  manuscripts."*'  Liturgical  connections  between 
Rouen  and  Sarum  are  well  known,  and  hturgical  interrelations  between 
Sarum,  Normandy,  and  Sicily  are  likewise  on  record,  as  in  the  case  of  a 
peculiar  Exultet  finale."'  More  recently  certain  similarities  between  Sarum 
and  the  rite  of  Aquileia  have  been  indicated."'  All  these  observations,  how- 

""  See,  e.g.,  the  Laudes  of  St.  Gall  for  the  imprecation  htam  congregationem;  Kantorowicz, 
Laudes  regiae  (Berkeley  and  Los  Angeles,  1946),  124,  n.  37;  or  the  line  Istam  sedem  for 
the  episcopal  Laudes;  ibid.,  113  f. 

^  The  versicle  takes  the  place  of  the  Benedictio  super  Populum,  that  is,  at  the  very  end 
of  the  holy  action. 

""See  Wilmart,  "L'hymne  de  la  charite"  (above,  n.  173),  29,  who  noticed  the  absence  of 
the  Caritas  hymn  in  France. 

•"  Bukofzer,  232. 

""  Kantorowicz,  "A  Norman  Finale  of  the  Exultet  and  the  Rite  of  Sanim,"  Harvard  Theo- 
logical Review,  XXXIV  (1941),  129-143. 

'"Tommaso  Leccissotti,  "II  'Missale  monasticum  secundum  morem  et  ritum  Casinensis 


I 


/  /     _'    L     C 
U     J     J     J 


250 


ERNST  H.  KANTOROWICZ 


ever,  do  not  offer  a  clue  for  the  origin  of  the  couple  of  antiphons  concluding 
the  Mandatum,  and  no  more  can  be  said  than  that  apparently  the  non- 
Roman  series  originated  in  France. 

What  matters  here  is  not  only  the  similarity  of  textual  arrangements 
characterizing  the  French,  Norman,  and  English  Mandatum  antiphons,  but 
also  —  and  above  all  —  the  stress  by  which  that  concluding  couple  of  anti- 
phons is  distinguished,  and  which  is  completely  lacking  in  the  Roman 
usage.  "Stress,"  in  that  case,  is  not  used  in  a  figurative  sense  and  subjectively, 
but  in  a  literal  sense  and  objectively.  For  in  those  non-Roman  concluding 
antiphons  something  is  added  that  is  most  curious.  Melismata  —  that  is, 
richly  ornamented  cantillations  —  are  as  commonly  found  at  the  beginning 
of  a  musical  phrase  as  they  are  rarely  found  at  the  end  of  a  chant  or  on  the 
last  word.^'"  It  is  all  the  more  remarkable,  therefore,  that  in  the  non-Roman 
sets  of  antiphons  the  natural  stress,  which  concluding  versicles  bear  anyhow, 
is  multiplied  by  final  melismata.  That  is  to  say,  in  the  antiphon  Ante  diem 
festum  the  concluding  word  discipulonim  is  distinguished  by  a  long  me- 
lisma,  just  as  in  the  final  antiphon  of  the  whole  performance,  Venit  ad 
Petrum,  the  last  word,  caput,  carries  a  melisma  (figs.  59  and  60).  To  distin- 
guish a  word  by  a  melisma  would  normally  imply  that  the  word  was  deemed 
particularly  important.  The  musical  stress  laid  by  the  melisma  on  the  word 
caput  finds  an  explanation  in  the  iconography  of  the  Feet-washing,  and  it 
may  be  useful  to  look  once  more  at  the  pictorial  representations  of  that 
scene.  The  "Roman"  gesture  of  St.  Peter,  e.g.,  in  the  Gospel-book  of  Henry 
II  (fig.  36),  would  hardly  have  suggested  a  melisma  on  caput.  Contrari- 
wise, the  "Byzantine"  gesture  showing  Peter  pointing  at  his  head,  a  gesture 
which  began  to  spread  to  the  West  in  the  late  tenth  century  and  became 
dominant  in  the  later  Middle  Ages,  makes  it  very  obvious  how  it  happened 
that  the  word  caput  was  also  musically  set  off  by  that  special  emphasis  which 
a  melisma  conveys.  For  unknown  reasons  the  antiphon  Venit  ad  Petrum  was, 
in  the  non-Roman  sets  of  antiphons,  always  coupled  with  the  preceding 
Ante  diem  festum.  Apparently  the  two  antiphons  were  treated  alike  musi- 
cally, resulting  in  a  mefisma  on  the  last  word  of  the  penultimate  antiphon 
discipulorum.  The  musical  adornment  of  caput,  and  in  its  wake  discipu- 
lorum,  is  all  the  more  startling  since  none  of  the  other  Mandatum  antiphons 
has  a  melisma.  In  whatever  way  it  be  explained  that  only  the  concluding 
couple  of  non-Roman  antiphons  shows  this  musical  ornamentation,   the 

Congregationis  alias  Sancte  lustine'."  Miscellanea  Giovanni  Mercati,  V  (Studi  e  Testi    125- 
Vatican,  1946),  368,  372,  373,  n.  20.  '  ^^^' 

'"Bukofzer,  238,  whom  I  follow  throughout  in  the  present  section. 


THE  BAPTISM  OF  THE  APOSTLES 


251 


emphasis  laid  on  the  word  caput  should  not  be  severed  from  the  icono- 
graphic  evidence. 

It  was  the  caput  melisma  which  Professor  Bukofzer  chanced  upon  in  a 
Huntington  Library  manuscript,  and  which  gave  rise  to  his  question  about 
the  meaning  of  the  Feet-washing  on  Maundy  Thursday,  and  therewith  to 
the  present  investigation.  His  finding,  on  the  other  hand,  ended  the  long 
guessing  among  musicologists  trying  to  discover  whence  Dufay,  Obrecht, 
and  Okeghem  borrowed  the  cantus  firmus  for  their  Caput  Masses.  It  became 
strikingly  clear  that  the  non-Roman  antiphon  Venit  ad  Petrum  was  the 
source  of  Dufay 's  Missa  Caput,  whereas  the  two  other  Netherlandish  com- 
posers followed  Dufay.  That  Dufay  had  taken  the  caput  mefisma  not  from 
Paris  or  Rouen  (not  to  mention  Saint- Yrieix ) ,  but  from  Sarum,  was  more 
than  likely  anyhow.  The  English  origin  of  Dufay 's  cantus  firmus,  however, 
has  since  been  ascertained  by  new  findings,'"'  and  thereby  a  new  Unk  has 
been  established  between  the  Netherlandish  composers  of  the  fifteenth 
century  and  the  England  of  Dunstable. 

It  is  a  long  way  from  Origen  to  Dufay,  from  the  Baptism  of  the  Apostles 
to  the  Netherlandish  Missa  Caput.  It  would  be  ridiculous  to  maintain  that 
the  Netherlandish  composers,  when  selecting  the  caput  melisma  for  their 
cantus  firmus,  had  the  slightest  notion  of  how  it  happened  that  a  mefisma 
adorned  the  word  caput.  Nor  would  the  late  mediaeval  painters,  who  simply 
continued  an  ancient  and,  by  their  times,  traditional  iconographic  type,  have 
known  that  St.  Peter's  gesture  "hand  to  head"  originally  perhaps  reflected 
a  non-Roman  or  Oriental  interpretation  of  the  Maundy  Thursday  rites.  The 
dichotomy  between  non-Roman  and  Roman  practices,  so  powerfully  voiced 
in  the  fourth  century  by  both  St.  Ambrose  and  St.  Augustine,  and  of  some 
importance  in  their  day,  was  no  longer  rationalized.  Nevertheless,  those 
early-Christian  antinomies  have  left  their  marks,  even  though  it  is  only  by 
using  many  oddly  shaped  stepping-stones  quarried  from  Eastern  and  West- 
ern rites,  from  archaeology  and  iconography,  from  theology  and  law,  from 
liturgy  and  musicology,  that  we  can  trace  the  survival  of  exegetic  differences 
to  a  substratum  of  which  any  single  source  would  be  silent. 

The  Institute  for  Advanced  Study 
Princeton,  N.  J. 

"'  Cf.  Bukofzer,  "Caput  redivivum:  A  new  Source  for  Dufay 's  MLssa  Caput,"  Journal  of 
the  American  Musicological  Society,  IV  (1951),  97-110. 


n    J    L    L 

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I^Queen  and  Philip  Distrihiite 
Maundy  Money  at  St.  All)ans 

flu     the     Ax^oifftfpH     PrpSi  i»^.»»..i^j      *K_      y-v 1      1 i_.. 


By    the    AssoiratPd   Pre!% 

ST.  ALBANS,  April  18.— Queen 
Elizabeth  II  and  Prince  Philip  to- 
day handed  out  Maundy  money 
the  traditional  royal  Easter  offer- 
ing to  aged  poor  folk— at  the  nine 
centuries-old   abbey  here. 

It  was  the  fir.st  time  in  about 
300  years  that  the  ceremony  wa.s 
Ueld  ouLside  London. 

The  custom  dates  back  to  the 
Middle  Age.s  when  every  Maundy 
Thinsday  Eiigli.sh  .sovereigns  dis- 
tributed mor.ey,  food  and  clothing 
to  as  many  old  men  and  old 
wnmen  as  the  monarch  had  j-ears 
of   age. 

Yeomen  of  the  Royal  Guard,  in 
colorful  gold  and  scarlet  uniforms, 


e.scorted   the   Qu-^en    and   her   hus- 
band  into   the  abbey. 

Officials   in   the   procession   were' 
'draped    with    towels    to    symbolize  > 
the  times  when   a  sovereign  wash- 
gd  the  feet  of  llie  poor.  •^ 

The  Queen,  who  will  be  31  years 
old  on  Sunday,  handed  out  purses 
to  31  old  men  and  31  old  women 
from  the  St.  Alban.s  dioce."=e. 

E^ch  person  received  three 
purses  of  the  specially  minted 
Maundy  money.  In  the  first  lot 
was  £1  15s.  ($4,901  for  each 
woman  and  £2  5s.  i$6  30i  for  each 
man. 

The,;  came  a  pui-se  ronlaininc 
£1  (,S2.80)  in  lieu  of  clothing  and 
a  purse  containing  31  pence  t35 
cents  I. 


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Telephone  :  91998 


ST.    Patrick's 
22   ViLLiERs    Road 
rathgar 
Dublin 

16-11-1958. 


Sehr  verehrter  ^-err  Professor, 

V/as  ich  Ihnen  heute  schreibe,  wollte  ich 
Il-men  schon  lanze   raitteilen,  es  ist  bloss  aus 
eine.a  technischen  ^rund  Inmer  vrieder  aufi^eschoben 
worden, 

I'n  vercanger.en  Sonnner,  als  ich  in  xjriissel  an 
(ler  Libliotheque  Koyale  arbeitete,  besr.chte  ich 
auch  einmal  ganz  kurz  das  Kusee  du  Jinquantc^- 
aire.  Da  ist  unter  den  ausgestellten  Stiiclcen 
rr.ittelalterlicher  lunst  auch  eine  Serie-von 
Passions-Szenen  in  Email,  als  ScliinucI:  eines 
Tragaltares,  und  darmiter  auch  eine  Fusswaschimg. 
Da  nun  mein  Interesse  durch  Il-ire  Arbeit  aiicje- 
regt  \-7a.T,   hab  ich  mir  diese  eine  Darstell'uig  ge- 
nauer  angesehen  und  fand  etwas.  das  mich  ein 
wenig  ers taunt e.  Uie  ich  nanlich  die  Szene 
interpret iere,  nacht  Petriis  mit  der  einen  hand 
die  ^este  der  Abv;-ehr,  mit  der  anderen  zeigt  er 
auf  seinen  hopf  -  also  die  zv/ei  "Phasen"  der  i^and 
Imig,  \i±e   sie  etwa  das  Relief  aus  Spoleto  (5?) 
gesonclert  zeigt,  zusar'^inen.   Sie  t;ehen  auf  diesen 
Typ  nicht  ein  (er  hat  ja  auch  nit  Iliren  beson- 
deren  Theria  nicht  notwendig  zu  tim) ;  ^-rle  ich  mir 


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ruckgangig  machen.  "^     J-aosi   sicn  nicht 

Mlt  den  best  en  Wiinschen  bin  Ach 
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Dr.  STEPHAN  SEELIGER 


MUNCHEN    22 

WidenmayersiraBe  32    •    Telefon  26782 


4.6.57 

Herrn 

Prof. Dr. Ernst  H.Kantorowicz 

22  Alexander  street 

Princeton   K.J. 

Sehr  verehrter  Kerr  Professor  Kantorowicz, 

erlauben  Sie  mir  bitte,  daB  ich  mich  als  ein  Ihnen  Unbekannter  mit  fol^render 
Frage  an  Sie  wende:  ich  habe  vor  einem  Jahr  hier  in  Miinchen  rait  einer  Arbeit 
uber  die  Ikono/-raphie  des  Pf ingstvainders  promoviert  und  bin  nun  reim  weiteren 
Studium  und  bei  der  Lekture  Ihres  Aufsatzes  iiber  die  Taufe  der  Apostel  zu  der 
Uberle^n,'-  gekoramen,  in  wie  ;veit4m  MaBe  bei  ?f ingstdarstellungen  die  T^aufe  der 
Apostel  ebenfalls  verbildlicht  ist. 

Die  Interpretation  des  Pfinirst'^nders  als  Tauie  der  Apostel  basiert  ja  auf 
Ivlatth.3.11  (ebcnso  Lukas  3.l6):der  aber  nach  mir  kommt  ...wird  euch  kit  hi. 
Geist  und  mit  Feuer  taufen;  da  diese  Taufe  mit  Feuer  nur  Pfingsten  stattgefunden 
haben  kann.  AuBerdem  auf  Apg.1.5:ihr  aber  sollt  mit  heiligem  Geist  ^P-etauft  werden 
nicht  lange  nach  diesen  Tagen. 

Eine  Verbildlichun^x  dieses  Ged;:nkens  scheint  rair  am  ehesten  moglich  in  den 
Pfmgstbildern,  in  denen  Ghristus  selbst  den  Geist  sendet.  Ich  habe  hieruber  im 
"Munster"  1956,  R.5/6  einen  kleinen  Artikel  geschrieben,  von  dem  ich  Ihnen  aber 
leider  Kemen  Sonderdruck  schicken  kar.n,  da  darails  vergessen  wurde,  solche  anzu- 
fertigen.  Doch  habe  ich  auBer  meinen  nach  der  Lekture  Ihres  Aufsatzes  an-estell- 
ten  Uterlegimgen  keinerlei  Anhalt  fiir  meine  Interpretation. 

Ich  ware  Ihnen  deshalb  zu  besonderem  Dank  verbunden,  wenn  Sie  mir  geltgent- 
lich  schrieben,  was  Sie  zu  meinen  Uberlegungen  meinen.  Da  j   im  .euen  Testament 
em  Bericht  iiber  die  ,  aui e  der  Apostel  lehlt,  kormten  sich  wohl  zwei  MeinunP-en 
^ter  die  Taufe  der  Apostel  herausgebildet  haben:  die  von  Ihnen  dargelegte,  basierend 
auf  der  Vorstellung  der  Taufe  mit  Vvasser,  und  die  Auffassung  des  Pfinrstwunders 
als  Taufe  mit  Geist  und  Feuer.  In  der  bildenden  Kunst  wird  eine  Verbindung  zwi- 
schen  Taufe  und  Pfingsten,  soviel  ich  sehe,  nur  in  V6zelay  angedeutet,  weil  dort 
unter  dem  Pfmgsttympanon  am  trumeau  Johannes  d.T.stehti  von  Schriftquellen  ke>  ne 
ich  nur  einen  Sermon  des  Odilo  v.Cluny,  In  die  Pentecostes,  wo  bezeichnenderweise 
Joh.1.55:  ego  quidem  vos  baptizo  in  aqu;.;  qui  autem  post  me  venturus  est,  ipse  vos 
baptizabit  in  Spiritu  sancto"  durch  "et  igni"  erganzt  wird. 

Ich  hoffe,  daB  ich  Ihnen  mit  dieser  Anx>age  nicht  allzu  gro.e  Miihen  mache, 
ware  Ihnen  sehr  dankbar,  wenn  Sie  mir  gelfgentlich  schreiben  v.ilrden,  und  bin 
in  aufrichtiger  Ergebenheit 


Ihr 


X 


u    J    u      I 


Neuburg,ll.Februar  1957 


Sehr  verehrter  Herr  Professor, 

Vielen  Dank  fiir  Thre  freundlichen  Zeilen  vom  2o.Januar, 
die  ich  langst  erhalten  habe.Am  25.Januar  habe  ich  die  Papiere  an 
Herrn  Professor  PHnofsky  geschickt  und  auch  schon  eine  Ankunfts- 
bestatigung  erhalten. Ich  habe  s^e  englisch  geschrieben.so  gut  ich 
konnte.ich  denke,es  ist  im  allgemeinen  verstandlich.P. Jungmann  ant- 
wortete  sofort.dass  er  das  erbetene  Empfehlungsschreiben  abgesandt 
habe.P.Dold  hat  es  wohl  auch  getan.wenn  Ich  auch  noch  keine  Nachricht 
dartjber  erhielt.An  Ihre  Adresse  habe  ich  um  jene  Zeit  auch  noch  einige 
Separata, zum  Teil  alteren  Da turns, ge8chickt,weil  solches  auf  dem  Vor- 
druck  gevrtlnscht  war. Die  neueren  Stticke  habe  ich  erst  im  letzten 
Somirer  oder  Herbst  erhalten  und  ich  hatte  sie  Ihnen  nicht  ^leich 
geschickt, veil  ich  nicht  dachte,dass  Sie  ihnen  tiel  Tnteressantes 
abgewinnen  konnten. 

Mittlerweile  ist  liber  Rom  auch  Ihre  neue  und  sefcr  wertvolJe 
Gabe  Uber  die  Taufe  der  Apostel  eingetroffen  und  ich  danke  Ihnen 
sehr  herzlich  daftir.Sie  haben  wieder  an  einem  interessanten  Beispiel 
gezeigt.wie  notwendig  und  vertvoll  diese  Zusanirr:enschau  von  archaeology 
and  iconography, theology  and  law, liturgy  and  musicology  ist.um  das 
geschichtliche  Werden  dieser  Dinge  zu  verstehen.Dase  seit  der  Aus- 
arbeitung  Ihres  Werkes  einiges  Neue  tiber  berUhrte  Fragen  erschienen 
ist, haben  Sie  selbst  beobachtet.Vielleicht  darf  ich  trotzdem  auf 
folgendea  hinweisen:  Chr.Mohrmarn,iipiphania(Ni jmegen-Utrecht  1953; 
hollandisch)  =  Revue  des  sc.phil.et  theol. 37(1953)  644-67o;franzosisch) 
sehr  interessant,wie  all  es, was  sie  schreibt.  Thomas  Schafer,Die  Puss- 


U     J 


I    n 
I    u 


waechung  im  monastiachen  Brauchtum  und  in  der  lat.Liturgie  =  Texte 
u.Arbeiten(Beuron  1956)  I.Abt.Heft  47,eine  Arbeit, die  der  Sammlung 
P.Dolds  Ehre  macht. Darin  sind  auch  die  Texte  des  Ainbrosius  behandelt. 
Eine  kleine  Erganzung.die  er  Obersehen  hat:Paller  in  der  Zeitschr. 
f .kath.Theol.64(l94o)  88-91, Entwicklung  in  der  Anschauung  des  Arabr. 
De  sacram.und  de  myst.dee  Ambrosius  sind  endlich  im  Wiener  CorDUS 
erschienen,Bd  73.-  Das  als  ganz  bescheidener  Dank. 

Das  Haus  mlt  der  Kaieerin-Elisabetft-Tafel  kenne  ich.Vann  haben 
Sie  da  gewohnt?  Das  Stift  wtirden  Sie  hier  innen  nicht  wiedererkennen, 
Es  ist  sehr  schade,dass  seine  ehemaligen  SaminlLmgen  in  alle  Winde 
zerstreut  wurden.Neuerdings  hat  sich  ein  junger  Pater  Hon  uns  daran- 
gemacht.die  Geschicke  des  Stifts  unter  Schlosser  und  seinen  Nach- 
folgern  zu  studieren. 

Nochmals  herzlichen  Dank  irnd  freundliche  Grtlsse 

von  Ihrem  sehr  ergebenen 


<  ■  <,c^  Ci^£yuJicJe^  \      ^^^ 


PStDas  Missale   Francoriim  ist  urn  Weihn^.chten  als  Nr  2  unserer  Serie 
ersGhienen. 


r\    J 
u    J 


(^ 

T 


279  West  ^th  Street 
New  York  14 
January  1,1957 

My  dear  Kantorowicz, 

in  reading  your  admirable  werk  en  the  Baptism  of  the  ipostlea 
I  had  noted   a  few  small  details  with  question  marks,    details  wh<ch  were 
not  at  all  important, however, for   the  main  argument  or  conclusions.   T   had 
postponed  comment  on  these  until  T   could  verify  them. 

The  inscription  In  the  Ravenna  baptistery  which  you  c<  te  on 
t).2M,n.97  <Joe»  not  pertain  to  the  main  mosslc  of  the  Baptism  on  the  dome, 
as  your  author  Implies,  but  1 s  on  one  of  the  ebsldlole  arches  and  probebly 
accompanied  a  lost  mosalc(or  painting)  of  the  Waahlnc  of  Feet.  See  V«n  Berchem 
and  Clouzot,LeB  mosalques  chret1enne8,r>P'101,102.  The  "ubl*  form  la  common 
m  inscriptions  describing  an  image. 

Coptic  l'^  (p. 2^56)   Is  definitely  dated  in  1180  in  the  colophon. 
This  date  has  been  questioned,   but  I  have  verified  it  through  Dr.LabIb,    a 
young  Coptic  scholar ,  now  In  Hamburg,   with  whom  I   examined   the  manuscript 
In  Paris  in  1954.   x   find  your  conjecture  about  Byzantine  court  ceremonial 
as  the   source  of  the   sitting  Christ  In  this  scene  very  attractive,   even 
though  the  evidence  for   the  practice   comes  from  a  later   source,   m  the  Wsst 
the   kneeling  Christ  probably  reflects  the  kneeling  priest  or  abbot  In  the 
ceremony  of  Maundy  Thursday   since   the     Xjth  century. 

fia  I  hsve  been  interested   for   some  time  m  the   symmetry 
of  Peter  and  Pilate   at  the   sides  of  the  early  sarcophagi.   Your   comment  on 
the  relation  of  the  two  scenes  1  s   so  concise  that  T 'm  not  sure  how  far  you 
go  in  affirming  a   thoologlcal-poll tlaal  meaning.   Do  you  believe  that  Christ's 
humility  to  Peter  is   an  acknowledgment  of  papal   authority  as  Christ's  humility 
to  Fllate  acknowledges  the  authority  of  the  Roman  empire(-  this  was  my  own 
view,   or  conjecture  rather, si  nee  I  hsd  not  founded  1 1  on  contemporary  texts)? 
But  Is  thsre  not  also  s   symmetry  of  sctlon  in  the  washing  of  hands  and  waahlng 
of  feet  ?....  On  the  role  of  "charity*   In  the  Roman  r4te,   T    recall  the  well- 
known  letter  of  Ignatius  where  he   speaka  of  the  church  at  Rome  as  the 
''president  of  charity"* 

For  the  coupling  of  Peter  and  Fllste  there  must  bo  s  very 
old  tradition.   The  aaocryphal   Gospel  of  Peter  (2nd  c.  AD)   makes  Pilate  an 
important   and  central   figure  counterposed   to  the  Jews. 

In  wonder  if  the     great  Importance  of  Maundy  Thursday  at 
at.Yrleix  ml^t  not  have  to  do  with  the  fact  that  Saint  Martial  was  believed 
to  be  the   servant  at  the  ^aat  Supper  and   the  Washing  of  Feet. 

With  best  wishes  for  the  new  year. 

Sincerely  yours, 


1- 


'<■    c 


/- .. 


U     J 


I     D 


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1 3   -^tA/yve    1^  5-7 


I.    li cntM/fi IA.S      I e  s ot-A 


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Pc 


^'^    --    ^r^     ^e^      .^      /^^    /^^_._^      ef^ 


'     _/ 
/     -/ 


PAR   AVION 

AIR  LETT5R, 

ABROGRAMME 


.Cfr.^Mio:.    ^...:.....^.'^::^t.^^..^i'rf3. 

^.fT^/.'^.^.fezi....... 

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■  Second  fold  here  - 


Sender's  name  and  address  :....-:i^:t5Wrk?^.'3.....<^'..c?::UAAB«U;^ 


AN  AIR  LETTER  SHOULD  NOT  CONTAIN  ANY 

ENCLOSURE  ;  IF  IT  DOES  IT  WILL  BE  SURCHARGED 

OR  SENT  BY  ORDINARY  MAIL. 


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i 


Feudalism  in  History 

Edited  by  Rushton  Coulborn 


WITH    CONTRIBUTIONS    BY 


JOSEPH  R.  STRAYER 

EDWIN  O.  REISCHAUER 

DERK  BODDE 

BURR  C.  BRUNDAGE 


WILLIAM  F.  EDGERTON 
DANIEL  THORNER 
ERNST  H.  KANTOROWICZ 
MARC  SZEFTEL 


RUSHTON  COULBORN 


FOREWORD  BY  A.  L.  KROEBER 


ARCHON    BOOKS 

HAMDEN,  CONNECTICUT 
1965 


U    J    u 


VIII  •  "FEUDALISM" 
IN  THE  BYZANTINE  EMPIRE^ 

BY  ERNST  H.  KANTOROWICZ 

I.  Introduction 

THERE  is  general  reluctance  among  historians  to  transfer, 
freely  and  without  specification,  institutional  terminology 
from  one  cycle  of  culture  to  another  or  to  apply  modern 
notions  to  the  conditions  of  the  past.  The  historian  might 
object  to  the  application  of  the  Augustmian  notion  of  "City 
of  God,"  even  though  it  derives  from  Philo  of  Alexandria,  to  Eastern 
religious  thought  or  to  tlie  Byzantine  Church  in  general.  Also,  he 
would  probably  refrain  from  calling  the  medieval  guilds  "trade  unions" 
and  hesitate  to  talk  about  "socialism"  in  antiquity. 

Analogies  of  that  kind  are  almost  certain  to  do  injustice  to  both  the 
original  and  the  simile.  The  original  becomes  too  easily  a  mere  abstrac- 
tion, severed  from  its  genuine  surroundings  in  time  and  space,  and 
therefore  in  danger  of  forfeiting  its  own  color  values;  and  the  simile 
is  in  danger  of  being  forced  into  a  framework  of  conditions  and  of 
mind  unwarranted  by  its  proper  setting. 

To  avoid  confusion,  therefore,  the  historian  will  be  inclined  to  use 
contemporaneous  notions  which  really  belong  to  the  time  and  cultural 
orbit  he  intends  to  discuss.  And  he  will  gain  very  much  by  that  pro- 
cedure. For  example,  instead  of  talking  about  "Renaissances"  during 
the  Middle  Ages  he  may  prefer  to  speak  of  medieval  Renovatio  move- 
ments; and  by  using  that  term,  which  the  Carolingians  themselves 
used,  the  whole  historical  development  becomes  clear:  the  Carolingian 
Renovatio  suddenly  appears  in  the  perspective  of  the  Roman  imperial 
renovatio  coins  while,  on  the  other  hand,  the  features  distinguishing 
the  medieval  renovatio  from  the  Italian  Renaissance  stand  out  as  clearly 
as  those  which  both  movements  have  in  common. 

^This  essay,  written  down  hastily,  was  submitted  in  ilic  fall  of  1950  for  the 
purpose  of  serving  as  a  starting  point  for  general  discussion  at  the  conference  on 
teudahsm,  held  then  by  the  American  Council  of  Learned  Societies,  which  led 
to  the  writmg  of  the  present  volume.  It  was  not  the  author's  intention  to  have 
this  sketch  published,  for  it  docs  no  more  than  render  a  digest  of  what  schol.irs 
such  as  A.  A.  Vasihev,  Georg  Ostrogorsky,  and  others  have  said  about  a  highly 
disputed  subject.  The  author  docs  not  claim  any  opinions  of  his  own,  while  he 
admits  he  may  have  misunderstood  those  of  others.  It  is  at  the  editor's  request 
that  the  essay  is  published. 

151 


.  k 


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PART  TyyO:  SPECIAL  STUDIES 

All  this  holds  good  also  with  regard  to  feudalism.  When  the  his- 
torian talks  about  Western  feudalism,  he  thinks  of  a  form  of  military, 
social,  political,  and  administrative  organization  determined,  not  by 
the  ownership  of  land,  but  by  man's  temporary  relationship  to  land. 
He  knows  that  man's  relationship  to  land  defined  man's  social  status, 
and  that  through  the  medium  of  land  or  feudal  tenure  very  many 
human  relations — services  and  duties  as  well  as  privileges,  pensions, 
and  prerogatives — were  expressed  which  had  nothing  to  do  with  the 
soil  itself  and  even  less  with  the  performance  of  military  service  in 
return  for  holding  a  patch  of  land.  It  is  easily  forgotten  that  parliamen- 
tary representation  is  just  as  much  an  offshoot  from  feudal  concepts 
as  the  sovereignty  of  petty  German  princes,  or  that  at  least  fifty  per 
cent  of  modern  common  law  is  based  upon  feudal  thought.  Again, 
the  historian,  when  discussing  feudalism  may  visualize  a  decentralized, 
fragmented,  and  personal  government,  or  a  feudal  hierarchy  inter- 
preted, by  contemporaries,  in  terms  and  as  a  mirror  of  the  angelic  hier- 
archies, or  a  feudal  universalism  as  a  political  ideology.  Feudalism,  in 
the  West,  actually  formed  Western  Society,  formed  that  "feudal  soci- 
ety" into  which  the  church  too,  was  integrated. 

Western  feudalism  actually  reflects,  and  is  synonymous  with,  a  pe- 
culiar conception  of  the  world;  and  if  we  bear  the  complexity  of 
Western  feudal  society  in  mind,  we  may  say  a  priori  that  nothing  com.- 
parable  to  such  complexity  ever  existed  in  the  Byantine  Empire,  except 
when  and  where  the  Empire  became  Prankish. 


The  term  feudalism,  therefore,  in  the  sense  of  a  complex  organiza- 
tion of  feudal  society,  does  not  seem  applicable  to  Byzantine  conditions. 
If,  however,  we  forget  about  that  complex  feudal  society  and  the 
feudal  conception  of  the  world,  and  simply  ask  whether  some  isolated 
feudal  features  can  be  detected  in  the  Byzantine  orbit,  the  answer 
would  be  in  the  affirmative.  Military  tenure,  independent  magnates, 
immunities,  private  armies  and  taxation  as  well  as  other  feudal  features 
are  found  in  Byzantium,  too.  In  this  respect  we  may  recall  Anglo- 
Saxon  England  where  certain  feudal  features  and  principles  had  been 
developed  before  1066,  though  without  forming  a  feudal  system;  for 
not  before  the  time  of  the  Norman  Conquest  did  England  change  into 
a  feudally  organized  realm.  And,  in  a  similar  fashion,  it  was  not  before 
the  Prankish  conquest  of  1204  that  Byzantine  territories  were  really 
feudally  organized,  even  though  some  Byzantine  institutions  may  have 
favored  that  new  organization. 

152  / 


n    J    u    u 
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THE  BYZANTINE  EMPIRE 

The  Prankish  rule  in  the  East  was  merely  an  episode  which  will  not 
demand  consideration  here.  One  thing  is  clear:  feudal  features  and 
principles  existed  in  the  Byzantine  Empire,  but  they  were  never  tied 
together  to  form  an  articulated  whole  consistent  in  itself.  Nor  was 
political  or  legal  thought  ever  determined  by  a  feudal  conception  of 
the  world.  Feudalism  never  became  an  ideal;  the  "day-dream"  of 
feudal  structure  as  expressed  in  rhe  famous  tiulle  tcrre  sans  seigneur 
was  completely  absent  from  the  Byzantine  East.  On  the  contrary,  wliat 
feud?:  features  did  exist  were  always  somewhat  isolated  and  accidental, 
and  they  were  "deviations"  from  the  normal  pattern  of  state  organiza- 
tion, the  ideal  of  which  was  always  a  state  governed  centrally  by  the 
Chris'-hke  basileus  and  his  heliocentrically  working  officials. 

The  isolated  feudal  features  which  will  be  discussed  here  are  closely 
interlocked  with  Byzantine  history  in  general,  with  territorial  gains 
and  losses,  with  military  needs  and  the  solution  of  defense  problems, 
and  with  the  problems  of  the  rural  population  of  the  empire.  Our 
sources  are  scattered.  There  is,  needless  to  say,  no  codification  of  feudal 
law  and  customs  comparable  to  the  Western  coutttmiers  or  the  Prankish 
color,  a^  codes  of  Jerusalem  and  Morea.  We  have  to  rely  upon  ob- 
serva'-ons  made  here  and  there  and  analyzed  by  modern  scholars. 
Their  investigations  are  as  yet  anything  but  definite,  and  the  disagree- 
ments are  often  very  considerable.  Certain  facts,  however,  stand  out 
cleariy. 

Both  the  social  and  military  history  of  Byzantium  were  determined 
by  the  polarity  of  peasant  militia  and  latifundia-owning  nobility.  Both 
systerrs  derived  from  late  Roman  conditions.  During  the  middle- 
Byzartine  period,  from  the  seventh  to  the  eleventh  century,  the  system 
of  peasant  militia  prevailed  owing  to  the  theme  organization.  Prom 
the  eleventh  century  onward  the  landowning  nobility  became  again 
the  n.ost  important  factor  of  Byzantine  society.  In  the  thirteenth 
centurv,  it  is  true,  the  peasant  miUtia  came  to  the  fore  again  when  the 
Byzar  :ne  Empire  was  reduced  to  the  small  realm  of  Nicaea.  But  it 
was  eclipsed  once  more  by  the  great  landowning  lords  after  the  fall 
of  the  Latin  Empire,  in  1261,  And  those  lords  remained  the  most 
powerful  element  throughout  the  late-Byzantine  period. 

The  feudal  features  are  particularly  strong  whenever  the  great  no- 
bility rules.  But  certain  feudal  elements  arc  found  also  in  the  miHtia 
systen^ ;  nor  arc  they  absent  from  the  church. 

I  shall  start  with  a  discussion  of  the  system  of  peasant  soldiers.  I  shall 
then  *mx\  to  the  lords  of  the  latifundia.  And  I  shall  conclude  with  a 


n    J    u    n 
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PART  TWO:  SPECIAL  STUDIES 

few  remarks  on  the  church.  The  nature  of  the  problem  will  make  it 
necessary  to  discuss  feudal  features  largely  within  the  frame  of  mili- 
tary history. 

II.  The  Army  and  Forms  of 

Dependent  Tenure  > 

During  the  early-Byzantine  period,  which  extends  well  beyond 
Justinian  I  until  the  beginning  of  the  seventh  century,  the  army  was 
a  motley  congeries  of  many  elements.  The  nucleus  was  still  the  old 
mobile  army,  the  professional  soldiers  {stratiotai)  who  were  either 
volunteers  or  drafted  men.  These  units  were  reinforced  by  the  buccel- 
larii,  the  private  guards  of  the  great  landowners  {dyjiatoi),  which 
belonged  also  to  the  mobile  army.  The  frontiers  of  the  empire  were 
guarded  by  the  limitanei,  called  riparienses  before  a.d.  363,  peasants 
with  military  obligations  settled  on  the  frontier.  Finally  there  were  the 
symmachoi  or  joederati,  barbarian  client  tribes  which  had  received 
land  within  the  empire,  sometimes  straddling  the  frontier  line  and 
formed  semi-independent  vassal  states  under  the  Roman  protectorate. 

It  is  well  known  that  those  barbarian  tribal  auxiliaries,  which  had 
been  settled  as  tribes  and  not  as  individuals  on  the  frontiers,  were  of 
the  greatest  importance  during  the  early  Byzantine  period  and  the  age 
of  the  migrations.  The  empire,  by  utilizing  the  manpower  of  Goths, 
Huns,  Alans,  Lombards,  and  others,  secured  itself  against  the  attacks 
of  those  as  well  as  of  other  tribes;. but  it  required  all  the  skill  of  By- 
zantine diplomacy  to  play  those  tribes  off  successfully  against  each 
other  or,  when  they  grew  dangerous  as  allies,  to  march  them  off  to 
the  western  parts  of  the  empire. 

The  question  may  be  raised  whether  those  tribal  frontier  states, 
which  were  formed  on  the  Rhine  and  the  Danube  as  well  as  on  the 
Euphrates,  should  be  considered  "feudatories"  of  the  empire.  For  when, 
around  a.d.  iooo.  Otto  III  organized  Poland,  Bohemia,  and  Hungary 
in  a  somewhat  comparable  fashion  as  amici  imperii  Romanorum  those 
frontier  neighbors  appeared  often  as  feudally  dependent  kingdoms. 
However,  neither  in  early  Byzantine  times  nor  in  later  centuries  did 
Byzantium  avail  herself  of  a  feudal  ideology  to  designate  relations  with 
tributary  neighbors,  although  in  effect  the  tributary  relationship  may 
not  have  been  very  different  from  that  of  vassalage.  The  relations  of 
Byzantium  with  other  states  were  expressed  in  terms  of  a  complicated 
spiritual  kinship,  and  it  had  a  very  specific  meaning  if,  for  example, 
the  Prankish  kings  or  emperors  were  addressed  as  pneumatikos  adelphos 

154 


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I 


THE  BYZANTINE  EMPIRE 

(spiritual  brother),  whereas  the  Tsar  of  the  Bulgarians  was  styled 
pneumatikon  te\non  (spiritual  son).  Also  it  meant  one  thing  when 
the  Prince  {archon)  of  Russia  received,  like  the  princes  of  the  Turks 
or  Patzinaks,  imperial  letters  (grammata),  and  another  when  the 
princes  of  Croatia,  Serbia,  Naples,  Amalfi,  and  also  the  Doge  of 
Venice  received  an  order  {keleusis),  for  grammata  were  sent  by  the 
basileus,  and  a  {eleusis  by  the  dcspotes,  the  "lord."  It  is,  however, 
obvious  that  the  dependency  implied  in  these  modes  of  address  was 
not  conceived  in  feudal  terms.* 

Besides  the  frontier  tribes  and  states,  the  frontier  militia  is  of  great 
importance  to  our  subject. 

During  the  third  century,  allegedly  under  Severus  Alexander,  a 
bipartition  of  the  Roman  army  was  effected.  The  mobile  army,  which 
could  be  sent  to  any  of  the  four  corners  of  the  world,  was  relieved  by 
an  immobile  army  stationed  as  garrisons  along  the  limes,  the  limkanei 
milites.  These  frontier  guards  were  genuine  peasant-soldiers.  They  re- 
ceived from  the  government  farmsteads  which  were  inheritable  and 
were  owned,  or  held,  on  condition  of  performing  military  service.  Here, 
then,  we  find  a  frontier  militia  of  small  landowners,  a  clear  case  of 
the  combination  of  grants  of  land  with  military  service.  The  soldier- 
settlers  doing  this  service  were  more  often  than  not  barbarians,  indi- 
vidual barbarians  as  distinguished  from  the  barbarians  settled  as  whole 
tribes  along  die  frontiers,  which  havt  been  discussed  above. 

That  this  system  of  frontier  peasant-soldiers  survived  in  Byzantine 
times  ?s  a  fact  evidenced  even  in  the  law.  Justinian,  in  his  Code  (xi,  60, 
3)  repeats  a  novel  of  Thcodosius  II  of  the  first  half  of  the  fifth  century 
{Nov.  Thcodos.,  xxiv,  4)  in  which  the  emperor  proclaims  that  military 
service  as  limitaneus  is  the  necessary  condition  for  possessing  land  on 
the  frontiers  of  the  empire;  and  Theodosius  remarks  that  by  his  decree 
he  is  merely  continuing  old  practices  and  old  laws. 

The  peasant  militia  which  composed  the  limitanei  was  to  become  of 
the  greatest  importance  in  the  middle  period  of  Byzantine  history. 
During  the  fifth  and  sixth  centuries  the  professional  army,  weakened 
by  unreliable  barbarian  components,  was  gradually  decaying,  and  the 
wars  of  Justinian  whittled  down  its  strength.  At  any  rate,  the  mobile 
army  was  not  able  to  ward  off  the  Slavs  when  they  occupied  the  Balkan 
Peninsula,  nor  could  it  stem  effectively  the  Persian  attacks  or,  finally 
those  of  the  Arabs  who  occupied  Egypt  and  Syria  and,  in  the  latter  half 

'Gcorg  Ostrogorsky  in  Semin.  Kondakovtanum,  viii  (1936),  4iff.;  A.  A. 
Vasili?:'/  'n  Speculum,  vii  (1932),  35off. 

155 


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P.lirr   TWO:   SPECIAL  Sl'UDlliS 

of  the  seventh  century,  pushed  forward  to  the  very  capital  of  the  empire. 
The  frontiers  of  the  Byzantine  state  had  moved  from  the  Danube  and 
the  Euphrates  to  the  outskirts  of  Constantinople,  that  is,  to  Asia  Minor. 

In  that  emergency  a  complete  reorganization  of  the  army,  and 
indeed  the  state,  became  imperative.  If  in  former  days  the  frontiers 
had  been  guarded  by  the  limitanei,  a  hereditary  peasant  soldiery,  why 
not  apply  tliat  system  to  the  central  provinces  of  the  empire,  to  Asia 
Minor  which  now  had  become  the  frontier?  In  fact,  the  application 
of  the  limitanei  system  to  the  heart  of  the  empire  was  synonymous  with 
the  introduction  of  the  theme  organization. 

The  administrative  reorganization  of  the  surviving  parts  of  the 
empire,  which  was  started  by  the  Emperor  Heraclius  (610-641)  and 
carried  through  by  his  immediate  successors,  is  not  the  subject  of  our 
discussion  here.  It  amounted  to  a  militarization  at  large  in  that  the 
regimental  or  army  districts  (themata)  first  superseded,  and  later  re- 
placed, the  former  provincial  divisions  as  instituted  by  Diocletian. 
Moreover,  the  themata  no  longer  were  ruled  by  civilians,  as  had  been 
the  case  with  the  provinces,  but  by  military  governors,  called  strategoi, 
to  whom  the  full  military,  civil,  and  jurisdictional  power  was  delegated. 
Their  merum  et  mixtum  imperinm  resembled  that  of  the  two  exarchs, 
of  Ravenna  and  Carthage,  as  established  by  Justinian. 

The  greatest  changes  resulting  from  the  theme  organization,  how- 
ever, were  those  which  affected  the  social  stratification  of  the  empire. 
The  former  professional  army  composed  of  barbarian  mercenaries 
disappeared,  if  we  except  the  imperial  bodyguards  in  Constantinople, 
and  in  its  place  a  new  army  of  peasant-soldiers  was  created.  The  change 
started  with  the  quartering  of  certain  regiments  permanently  in  certain 
districts  of  Asia  Minor,  now  the  glacis  of  the  fortress  Byzantium,  instead 
of  moving  the  outfits  about,  from  one  frontier  to  another.  That  is,  the 
regiments  were  settled  down  like  the  former  limitanei  units,  and  the 
tendency  to  settle  would  probably  have  arisen  anyhow  among  die  sol- 
diers themselves.  This  settling  of  the  soldiers  was  now  carried  through 
systematically  by  the  government.  There  was  more  than  enough  land 
to  settle  an  army.  After  the  Persian  and  Arab  invasions  of  Asia  Minor, 
after  the  occupation  of  those  territories  by  the  invaders,  and  after  the 
reconqucst  of  the  devastated  provinces,  the  government  had  plenty  of 
unoccupied  soil  at  its  disposal.  This  land  was  parcelled  out  in  the  form 
of  farmsteads  {stratioti\a  ktematd)  to  individual  soldiers,  large  enough 
for  the  maintenance  of  a  family.  The  farmsteads  were  owned  he- 
reditarily on  the  condition  that  the  tenant  performed  military  service. 


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THE  BYZANTINE  EMPIRE 

The  peasant-soldier,  of  course,  could  own  more  land  than  he  needed 
for  his  maintenance  provided  that  he,  or  his  family,  were  able  to  culti- 
vate the  land.  The  minimum,  however,  which  he  had  to  have  was  an 
estate  of  the  value  of  four  pounds  gold.  This  minimum  could  not  be 
alienated,  sold,  or  given  away,  whereas  the  excess  land  owned  above 
the  four  pounds  margin  was  saleable.  Normally,  the  eldest  son  of  the 
peasant-soldier  would  inherit  the  estate  with  the  incumbent  military 
duties,  whereas  the  younger  sons  would  settle  as  free  peasants  and 
normal  taxpayers  without  military  duties  attached  to  the  soil, 

The  change  that  had  taken  place  was  considerable.  In  former  days 
the  professional  soldiers  were  called  stratiotai;  now,  however,  the  word 
stratiotes  designated  the  farmer  settled  within  the  theme  and  holding, 
or  rather  owning,  land  of  a  size  comparable  to  the  Western  knight's 
fee.  From  later  sources  we  may  gather  that  the  new  stratiotes  was 
obliged  to  appear,  when  called  to  active  duty,  fully  equipped  with  a 
horse,  tnat  he  had  to  pay  some  taxes  for  his  little  estate,  but  that  during 
active  service  he  received  a  certain,  though  small,  amount  of  pay. 
From  the  Western  knight's  fee  the  stratiotikpn  ktema  differed  in  that  it 
was  not  conferred  for  a  limited  time  only,  but  was  given  as  hereditary 
property  to  the  stratiotes.  Moreover,  the  stratiotai  did  not  form  an 
aristocracy-at  least,  not  in  the  classical  period-but  remained  small 
peasant  .aolders. 

The  effect  of  the  theme  organization  was  to  make  it  possible  to 
recruit  ^he  army  from  within  the  empire  instead  of  hiring  barbarians 
or  other  mercenaries.  As  a  result,  the  government's  expenses  for  the 
army  and  for  the  defense  of  the  empire  in  general  were  reduced  con- 
siderablv.  In  addition  to  being  more  economical,  the  theme  system 
createc  a  reliable  peasant  militia  which  was  willing  to  defend  its 
property,  which  drew  from  the  soil  both  its  livelihood  and  the  means 
for  waging  war,  and  which,  on  top  of  all  that,  even  paid  some  taxes 
to  the  state. 

Whereas  in  Western  feudal  institutions  military  duties  were  attached 
to  the  person,  they  were  attached  to  the  soil  in  the  Byzantine  theme 
system.  And  this  is  significant  because  the  theme  system  was  the  direct 
continuation,  or  the  revival,  of  the  Roman  system  of  limitanei  which,  in 
Byzantium,  had  moved  from  the  frontier  to  the  heart  of  the  empire 
when,  so  to  speak,  the  suburbicarian  districts  of  the  capital  became 
identical  with  the  "frontier." 

The  'tratiotai  themselves  were  not  all  of  Greek  stock;  many  of  them 
were  foreigners,  often  barbarians.  Armenian  settlers  abounded,  but 


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PART  TWO:  SPECIAL  STUDIES 

there  were  also  many  Slavs  among  the  peasant-soldiers.  This  Slavic 
colonization  has  led  Russian  scholars  in  particular  to  the  assumption 
that  Slavic  influence  was  largely  responsible  for  the  theme  system, 
above  all  on  the  ground  that  the  peasants  sometimes  were  organized 
into  taxation  communities  which  coincided  with  village  communities. 
Others,  however,  prefer  to  think  of  the  model  of  Persia  and  assume 
that  both  Persia  and  Byzantium  were  affected  by  the  practices  of 
Turanian  tribes — Huns,  Avars,  Protomagyars,  Turks,  and  others.  How- 
ever that  may  be,  the  theme  system  was,  in  the  lirst  place,  a  develop- 
ment of  the  Roman  Umitanei. 

The  theme  organization  remained  effective  for  three  centuries  and 
a  half,  and  it  was  not  by  chance  that  the  age  of  peasant  militia  coin- 
cided with  the  best  centuries  of  Byzantine  history.  The  theme  system 
not  only  activated  Byzantium's  military  power,  but  socially,  too,  had 
most  wholesome  effects,  for  it  goes  almost  without  saying  that  a  strong 
peasant  militia  and  a  healthy  peasantry  as  represented  by  the  younger 
sons  of  the  stratiotai  was  the  best  means  of  checking  the  power  and 
curbing  the  greed  of  the  great  landowners,  the  dynatoi. 

Ever  since  late  Roman  times,  the  government  had  tried  to  stop  the 
development  of  the  latifundia  and  to  check  the  increasing  power  of 
the  great  landlords  who,  as  a  result  of  Rome's  Hellenistic  heritage,  had 
transformed  the  economic  life  even  of  Italy,  a  typical  peasant  country. 
At  the  same  time,  however,  the  government  depended  on  the  great 
landowners  to  whom  the  free  peasants  had  been  turned  over  for  fiscal 
military  purposes,  the  collection  of  taxes  and  the  recruitment  of  sol- 
diers. The  peasants  thus  became  serfs,  coloni,  men  legally  bound  to 
the  soil — glebae  adscriptitii — and  practically  bound  to  the  ownership 
of  their  lords.  We  know  the  organization  of  the  latifundia  from  all 
parts  of  the  empire,  in  greatest  detail,  however,  from  Egypt  where  the 
Oxyrhynchus  papyri  have  yielded  the  papers  of  the  Apion  family. 
The  Apion  were  lords  of  large  parts  of  Middle  Egypt  in  the  time  of 
Justinian  and  they  were,  at  the  same  time,  holders  of  the  highest 
imperial  offices.  Their  huge  estates,  which  resembled  privately  owned 
principalities,  were  administered  on  the  model  of  the  imperial  adminis- 
tration. Like  other  landlords,  the  Apion  had  their  private  army  of  hired 
soldiers  {buccellarii),  including  men  of  Germanic  extraction,  which 
formed  a  military  reserve  badly  needed  by  the  government  for  the  rein- 
forcement of  the  professional  army. 

These  landowning  magnates,  called  dynatoi  in  Byzantium,  tended 
there,  as  everywhere  else,  to  expand  their  estates  by  absorbing  the  small 

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THE  BYZANTINE  EMPIRE 

farmers  and  bringmg  the  free  peasantry  into  quasi-feudal  dependency. 
The  Byzantine  emperors  tried  to  stop  that  development,  and,  although 
Justinian  I  as  well  as  Justinian  II  legislated  against  the  expansion  of 
the  latifundia  at  the  cost  of  the  peasants,  it  was  nevertheless  only  through 
the  theme  system  that  a  countermovement  became  effective.  Not  only 
did  the  government-protected  system  of  military  estates  begin  to  de- 
velop its  own  dynamics,  but  the  landlords  were  also  strictly  forbidden 
to  bring  the  stratiotai  and  the  military  estates  into  their  possession;  and 
wherever  the  great  lords  had  actually  bought,  or  otherwise  acquired, 
stratioti}{a  \tcmata  they  were  obliged  to  return  them  to  the  former 
owners,  often  without  compensation.  Moreover,  through  the  inroads  of 
Persians  and  Arabs  the  great  landowners  had  suffered  terrific  losses 
so  that  the  establishment  of  the  theme  peasantry  coincided  with  a  state 
of  weakness  of  the  dynatoi. 

Under  these  conditions,  which  lasted  until  the  middle  of  the  eleventh 
century,  the  empire  began  to  gather  strength.  The  new  system  of 
peasant  militia,  together  with  the  general  militarization  of  the  theme 
government  and  the  generally  healthy  condition  of  the  state,  enabled 
Byzantium  to  reconquer  great  parts  of  the  lost  provinces.  In  the  south 
and  east,  Syria  returned  to  the  fold,  the  Euphrates  was  reached  again, 
and  even  Aleppo  was  taken  for  a  while.  Most  spectacular  were  the 
final  victories  of  Basil  II  (976-1025)  over  the  Bulgars.  The  Balkan 
provinces  returned  to  the  empire  and  once  more  the  Danube  formed 
the  frontier  of  the  Byzantine  power.  But  the  recovery  was  not  decisive, 
for  a  vicious  circle  was  in  operation  and  it  led  on  to  a  nearer  approach 
to  feudalization  of  Byzantium  than  the  earlier  changes  had  done. 

III.  The  Later,  Quasi-Feudal  Regime 

The  greater  extension  of  the  empire  brought  about  changes  of  the 
armv  organization.  Frontier  soldiers  of  the  pattern  of  limitanei  within 
the  central  provinces  appeared  less  important,  a  consideration  which 
strongly  affected  the  theme  militia.  Instead,  a  professional  army  was 
needed  which  could  be  moved  about  quickly.  This  new  permanent 
army  developed  from  the  nucleus  of  the  imperial  guard  regiments 
stationed  in  and  around  Constantinople,  and  by  the  tenth  century  the 
garrison  of  the  capital  became  almost  coincident  with  the  "mobile 
army."  We  find  that  those  guard  regiments,  the  tagmata,  became  as 
important  as  the  themata,  the  agrarian  militia,  and  that  finally  the 
themes  were  completely  eclipsed  by  the  array  of  professional  mer- 

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H.1RT   TWO:   SPECIAL  STUDIES 

cenanes  composed  of  Normans,  Russo- Varangians,  Anglo-Saxons,  and 
others. 

The  formerly  quite  wholesome  militarization  of  the  government 
now  began  to  show  a  diflerent  aspect.  The  strategoi,  that  is,  provincial 
commanders  and  governors  of  the  themes,  showed  an  increasing  interest 
in  the  permanent  professional  army  which  could  be  utilized  for  the 
exercise  of  political  power  and  against  the  emperor  far  more  conven- 
iently than  the  militia  of  the  themes.  The  generals  of  the  victorious 
wars  had  been  drawn  from  the  great  landowning  families,  whose 
influence  began  to  increase  as  the  increased  security  of  the  empire  gave 
new  value  to  the  possession  of  land  as  a  source  of  wealth.  In  other 
words,  generals  and  great  estate-owners,  here  as  everywhere,  began 
to  line  up  and  soon  became  a  menace  to  the  central  government  and 
to  the  emperors  themselves.  The  emperors  of  the  tenth  century — 
Romanus  I,  Constantine  VII  Porphyrogennetos,  Basil  II — legislated 
against  the  increasing  power  of  the  landed  aristocracy  and  tried  to  keep 
the  theme  organization  intact.  At  the  same  time,  they  had  to  fight 
rebellious  generals  aspiring  to  the  crown.  Finally,  the  emperors  of  the 
Ducas  Dynasty  (1059-1081),  after  the  Macedonians,  changed  the  tactics. 
Supported  by  the  church,  they  began  to  build  up  a  civilian  aristocracy 
of  scholars  and  great  officials  within  the  capital  (Michael  Psellus  be- 
longed to  that  category)  and  to  play  off  that  new  aristocracy  against 
the  military  aristocracy  of  the  generals  who  were  supported  by  the 
great  landowners. 

In  short,  the  eleventh-century  rulers  tried  to  demilitarize  and  to 
civilianize  the  administration  and  to  reduce  the  power  of  the  military 
class.  This  policy  is  clearly  reflected  in  the  decay  of  the  theme  organiza- 
tion. The  strategos  as  governor  of  a  province  began  to  disappear  at  that 
time,  and  his  place  was  taken  by  the  praetor,  formerly  the  supreme 
justice  on  the  staff  of  the  strategos.  The  praetor,  of  course,  was  a  civilian, 
and  thus  the  former  primacy  of  the  military  command  in  the  themes 
was  replaced  by  the  primacy  of  a  civilian  administration  based  upon 
the  new  aristocracy  of  scholars  and  civilians  in  the  capital. 

But  the  preponderance  of  the  civilian  aristocracy  in  the  capital  did  not 
entail  a  strengthening  of  the  central  power  in  the  rural  districts.  Gen- 
erals and  great  landowners  outweighed  the  civilians,  and  with  the 
accession  of  Alexius  Comnenus  (1081-1118)  the  mihtary  party  con- 
quered the  state  anyhow.  But  even  before  the  time  of  Alexius  and  his 
military  supporters,  the  emperors  of  the  Ducas  Dynasty  had  been 
compelled  to  give  great  privileges  both  to  their  civilian  adherents  and 

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THE  BYZANTISE  EMPIRE 

to  their  military  or  landowning  adversaries.  And  it  was  under  those 
civilian-minded  rulers  that  the  pronoia  system  was  first  developed,  a 
system  which  approached  quasi-feudahzation  of  Byzantium. 

Theologically,  ;vo«o;j  means  "providence";  otherwise  it  means  "fore- 
sight" or  "care."  To  give  lands  to  a  person  cis  pronoian  means,  accord- 
ingly, to  give  lands  into  the  care  of  a  person.  In  practice,  it  meant  that 
estates  were  given  both  to  high  officers  of  the  state  or  army  and  to 
monasteries  and  private  persons  also.  They  were  given  in  permanent 
administration  as  a  reward  for  services.  The  grants  differed  from  simple 
donations  in  that  ihc  pronoia  land  was  absolutely  bound  to  the  recipient, 
the  prorioetes\  that  he  received  it  for  a  definite  period  only,  usually  for 
life;  that  he  could  not  sell  the  pronoia  estate;  and  that  it  was  not 
hereditary. 

It  is  significant  that  the  first  pronoetcs  that  we  know  of  was  a  mem- 
ber of  the  civilian  aristocracy  of  the  capital,  Constantine  Lichudes,  a 
great  scholar  and  friend  of  Michael  Psellus,  whom  Constantine  Mono- 
machus  i'1042-1055)  had  chosen  rcspo.nsible  minister  in  his  government. 
When  tr.e  power  of  the  civilian  aristocracy  was  reduced,  the  pronoetai 
came  to  belong  more  or  less  to  the  landed  or  fighting  aristocracv.  Al- 
ready Alexius  I  (1081-1118)  availed  himself  of  the  rapidly  developing 
pronoia  system  for  military  purposes.  The  old  stratiotika  ktcmata  of 
the  peasant  militia  under  the  theme  system  had  become  unimportant. 
The  .^o-mer  legislation  forbidding  sny  person  to  buy,  or  otherwise 
acquire,  the  military  farmsteads  w??  revoked  under  the  Ducas  em- 
perors. The  result  was  that  the  dynatoi  now  were  able  to  expand  and 
bring  the  former  strathtai  into  dependency.  In  any  case  iht  stratiotai 
themselves  had  often  changed  from  the  status  of  poor  peasant  soldiers 
to  that  of  petty  nobility  or  gentry.  Under  Heradius,  the  founder  of  the 
theme  system,  the  minimum  value  of  a  military  estate  had  been  four 
pounds  gold,  the  quantity  of  land  which  could  not  be  sold  by  the 
stratic  :  .  By  the  end  of  the  tenth  ccr.rjry,  the  minimum  value  of  those 
knights^  fees  was  raised  to  twelve  pounds  gold,  due  not  to  a  devaluation 
of  the  money  but  to  the  heavy  armor  which  the  stratiotes  now  was  ex- 
pected to  own.  But  an  estate  worth  twelve  pounds  gold  no  longer  was 
a  peasant  estate  fit  for  the  poor;  it  was  an  estate  fit  for  the  mailed  knight 
of  the  landowning  gentry.  And  this  new  class  of  gentry  was  likewise 
found  among  the  pronoetai,  the  owners  of  pronoia  estates. 

Moreover,  the  new  class  oi  pronoia  owners  replaced,  in  liability  to  mill- 
tary  strvicc,  the  former  class  of  peasant  soldiers  of  the  decaying  theme 
organ.-ation.  The  own?r  of  a  pronoia  estate  had  to  serve  as  a  heavily 

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PART  TWO:  SPECIAL  STVDIES 

mailed  knight  of  the  caliber  of  f^aiaphraf^tes,  and,  when  summoned, 
he  had  to  appear  with  a  certain  number  of  horsemen,  likewise  mailed, 
according  to  the  size  of  his  pronoia  estate.  It  is  true,  of  course,  that  other 
landowners,  too,  had  to  serve;  nor  were  the  landowning  monasteries 
and  churches  exempt.  But  their  contingents  were  lightly  armed  in- 
fantrymen and  not  heavy  cavalrymen.  It  is  probable  that  the  govern- 
ment, in  order  to  get  more  mailed  knights,  expanded  the  pronoia 
system  enormously  during  the  twelfth  century  with  the  result  that  a 
mihtary  aristocracy  rapidly  developed ;  they  stood  between  the  govern- 
ment and  large  sectors  of  the  rural  population,  peasants  and  small 
landowners  who  had  become  dependent  on  them. 

Certain  parallels  between  the  Byzantine  pronoia  lords  and  the  West- 
ern feudal  lords  cannot  be  denied,  and  those  parallels  become  all  the 
more  striking  when  we  consider  the  "immunities"  which  the  pronoia 
lords  enjoyed.  Immunity — m  Greek  exl^ousseia  (from  cxcusarc,  excuse) 
— had  existed  before  the  times  of  the  Comneni.  Churches  and  monas- 
teries had  not  infrequently  enjoyed,  for  certain  parts  of  their  property, 
the  revenues  of  taxation.  In  fact,  they  were  allowed  to  collect  for  them- 
selves the  ordmary  taxes  and  keep  them  as  so-called  solrmma,  a  practice 
which  tended  to  undercut  the  emperor's  prerogative  of  collecting  taxes. 
But  those  ecclesiastical  exemptions  were  not  the  rule,  though  they  were 
not  rare.  At  anv  rate,  they  do  not  compare  with  the  immunities  granted 
to  the  pronoia  lords. 

It  had,  of  course,  been  common  practice  in  late  Roman  and  early 
Byzantine  times  for  great  landowners  to  enjoy  immunities.  This  prac- 
tice had  not  disappeared,  but  had  become  relatively  unimportant, 
during  the  middle  period  of  Byzantine  history  in  which  the  theme 
organization,  then  the  favorite  child  of  the  government,  had  flourished ; 
in  the  interests  of  the  themes  the  emperors  of  the  tenth  century  had 
tried  to  restrict  the  dynaioi  in  every  way.  With  the  decay  of  the  themes 
and  the  peasant  militia  in  the  eleventh  century,  however,  cxl^usscicd, 
immunities,  began  to  mushroom  everywhere.  Immunity  privileges 
included  partial  or  total  exemption  from  taxes  of  the  pronoia  lord 
within  his  estate;  exemption  usually  from  pubUc  works  also;  and 
exclusion  of  the  imperial  officials  from  entry  upon  the  lands  of  the 
pronoia.  Since  the  formerly  free  peasants  within  the  pronoia  district 
had  become  paroikpi,  more  or  less  serfs,  of  the  pronoetes,  they  came 
under  his  jurisdiction  although  that  jurisdiction  was  restricted.  At  the 
same  time  the  bad  custom  of  farming  out  taxes  began  to  develop.  The 
central  government  thus  jeopardized  its  most  important  prerogatives 

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in  the  rural  parts  of  the  country,  including  the  right  of  direct  taxation, 
for  either  there  was  a  pronoetcs  who  was  tax-free  or  was  granted  the 
taxes,  or  else  a  tax-farmer,  replacing  the  former  imperial  collectors, 
imposed  and  collected  the  dues  to  his  own  advantage. 

Under  these  circumstances  the  pronoetai  became  great  magnates 
within  the  empire,  and  their  large  estates  appeared,  like  those  of  the 
Apion  family  of  sixth-century  Egypt,  as  little  empires  within  the  empire. 
The  magnates  had  their  own  soldiers;  they  held  land  in  return  for  mili- 
tary se-vice  (personal  as  well  as  witb  their  retainers),  and  the  number 
of  their  liverymen  was  fixed  according  to  the  size  and  value  of  their 
estates:  they  held  land  for  a  restricted  time  only  and  not  as  property; 
they  cri'oyed  immunities  and  exemptions;  they  had  some  iurisdiction 
within  their  estates ;  and  they  encroached  upon  and  absorbed  the  former 
stratiouha  ktemata  insofar  as  the  former  stratiotai  did  not  themselves 
become  pronoetai. 

It  goes  without  saying  that  the  c-own  became  more  and  more  de- 
pendent on  the  magnates,  all  the  more  so  as  financial  problems  of 
keepinr  3  professional  mobile  arrn^  became  almost  insurmountable. 
Pay  anc  provisions  fo'-  that  mobile  army  became  so  expensive  that  the 
maintenance  of  the  mercenaries  devoured  the  greater  part  of  the  budget, 
then  as  ever.  The  army  had  to  be  paid  mainly  from  the  urban  revenues 
and  from  the  rents  paid  by  the  rura  tax-farmers.  Throughout  the  late 
Byzantine  period  the  costs  of  the  mobile  army  remained  the  crucial 
financia'  burden,  since  the  upkeep  of  mercenaries  was  as  ruinously 
expensive  in  the  East  as  it  was  in  the  West.  Hence,  the  contingents  of 
the  pronoia  lords  were,  apparcntlv.  the  only  cheap  element  in  the  late 
Byzantine  army.  But  the  indirect  losses  involved  in  the  form  of  im- 
munities and  alienated  taxes  made  the  new  system  in  fact  far  less 
advantageous  for  the  government  than -the  old  theme  organization  of 
Byzantium's  golden  age.  Nor  wa:  tnc  military  ser\'ice  of  the  prcnoic 
lords  n  •reliable  resort,  for  a  tcndencv  arose  to  allow  it  to  be  replaced 
by  the  ppvment  of  a  sum  of  moncv.  This,  of  course,  corresponds  to  the 
Western  scutage.  The  favor  of  commuting  the  military  obligations  was 
granted  above  all  to  the  monastenc."-  owing  to  the  peculiar  position  of 
the  church ;  this  is  something  which  occurred  both  in  tlic  East  and  the 
West.  The  surviving  peasant  soldiery  were  usually  allowed  to  pay 
money  instead  of  serving,  and  in  late  Byzantine  times  scutage  must 
have  been  almost  the  general  custom  This  is  indicated  by  the  strong 
opposition  to  special  taxation  for  the  nu-ing  of  mercenaries  maintained 

J6i 


n    u    II    II 

U      I    u    u 


PART  TWO:  SPECIAL  STUDIES 

by  Gcmistos  Plcthon,  the  statesman  who  was  well  known  in  the  West 
for  his  discussions  of  Plato  at  the  Council  of  Florence. 

Thus  there  were  in  the  later  Byzantine  period,  beginning  with  the 
Comncni,  a  great  number  of  feudal  features,  isolated  and  not  integrated 
into  a  general  feudal  conception  of  the  state  or  the  world.  It  was  this 
situation  which  the  Franks  encountered  when  they  conquered  Con- 
stantinople and  the  greater  part  of  the  empire— the  empire  which  they 
divided  and  subdivided  according  to  a  regular  feudal  pattern  such  as 
hardly  existed  in  the  West.  The  conquerors  found  the  Byzantine 
pronoia  system  so  similar  to  their  own  feudal  organization,  and  the 
Greeks  found  the  new  feudal  system  so  much  like  their  own,  that  the 
words  pronoia  and  feudutn  became  interchangeable.  Pronoia  was  ac- 
tually used  as  a  translation  of  feudum,  and  vice  versa. 

It  remains  true  that  before  1204  the  feudal  features  never  amounted 
to  anything  comparable  with  the  complex  feudal  totality  of  the  West. 
Feudal  tendencies  there  were  in  Byzantium,  but  the  empire— except 
under  the  Franks— remained  a  centrally  governed  state  of  imperial 
officials.  Even  the  weakened  Byzantine  administration  was  vasdy  more 
a  centralized  bureaucracy,  and  far  less  a  feudal  state,  than  France 
around  1300  under  Philip  IV  or  England  under  Edward  I.  The  Byzan- 
tine Empire  remained  essentially  bureaucratic  in  its  last  two  centuries 
as  before.  Nor  should  we  overestimate  the  Frankish  influence  which 
was  lasting  only  in  Greece  (Morea)  and  Thessalonica 

Further,  the  oscillation  between  the  theme  system,  and  the  pronoia 
system  was  not  ended  by  those  events.  There  was  an  interlude  when  the 
little  Empire  of  Nicaea  under  the  Lascaridcs  returned,  during  the 
Frankish  occupation  of  the  Latin  Empire,  to  the  system  of  a  peasant 
militia.  After  the  reconquest  of  Constantinople  by  Michael  Palaeologue 
in  1261,  however,  the  pronoia  system  acquired  new  strength.  It  was 
then  that  the  pronoia  estates  became  hereditary  and  began  to  resemble 
feudal  principalities  of  Western  pattern. 

IV.  The  Church  and  Feudalistic  Tendencies 

Finally,  a  few  words  about  the  church  and  some  feudal  features 
within  the  ecclesiastical  orbit. 

Needless  to  say,  an  ecclesiastical  feudal  edifice,  independent  of  the 
state,  never  had  a  chance  to  develop  in  the  East.  It  is  quite  inconceiv- 
able that  the  Patriarch  of  Constantinople  should  ever  have  exercised 
the  rights  of  a  supreme  feudal  lord  over  secular  vassal  princes,  com- 
parable to  those  which  his  Roman  colleague  claimed  over  Dalmatia 

164 


II    U    II 

U      I    u 


THE  BYZANTINE  EMPIRE 

and  Sicily,  Aragon  and  England  as  well  as  over  other  kingdoms  and 
principalities  and  over  all  islands.  Nor  was  there  in  the  East  a  Patrimony 
of  St.  Andrew  comparable  to  the  Western  Patrimony  of  St  Peter  a 
state  teeming  with  counts  and  barons  who,  as  lords  of  the  Campagna 
were  direct  vassals  of  the  pope,  recognizing  him  as  their  sovereign  lord' 
Also  unknown  in  the  East  were  those  great  spiritual  princes  of  the 
West  who  were  not  only  bishops  of  the  church  but  also  great  feuda- 
tories and  officers  of  the  crown;  who,  being  vassals  themselves  and 
having  vassals,  were  integrated  into  the  general  feudal  nexus,  and 
were  equal  in  importance  and  in  some  regions  in  number  with  the 
secular  feudal  princes.  In  the  Holy  Roman  Empire  around  1500  we 
find  127  spiritual  pnnces  standing  beside  159  secular  princes.  Nothing 
a  '^'J''''^''''''^^  i^'  Byzantium.  Yet  the  Byzantine  Church  wat 
affected  by  those  feudal  tendencies  which  have  been  mentioned  above 
-immunities  and  the  duty  of  raising  foot  soldiers  from  its  estates 
Also,  monasteries  could  be  granted  lands  m  pronoian.  Above  all  there 
IS  one  .vnstitution  which  must  be  considered  because  its  Western  equiva- 
lent profoundly  influenced  the  whole  development  of  feudahsm:  this 
IS  the  chansttl^ion. 

^^'^T?^'°"  ''  '^'  ^"''^^  translation  of  the  Latin  beneficium  which 
m  the  West,  came  to  mean,  and  to  be  synonymous  with,  "fief"  The 
bener.cc  was  a  special  kind  of  lease  or  of  die  Roman  prccanum,  a  lease 
given  for  temporary  use  or  for  life  on  conditions  so  favorable  that  the 
precanum  appeared  to  the  recipient  as  a  beneficium. 
.k'^^v  ^y^'l''^'''^  ^^^'"''hion  was  not  an  institution  taken  over  from 
the  West,  but  It  derived  from  the  same  late  Roman  conditions  as  the 

1?A         .     ;\'''  '^  ^"^  '"^  ^"  '^'  ^^^^  '^'  ^y^^=^  -^^^ved,  above 
all  the  needs  of  the  church  whose  landed  property  was  inalienable  and 
had  to  be  leased  in  one  way  or  another  if  it  was  to  yield  a  rent.  But 
whereas  m  the  West  the  beneficium  was  fused  with  vassalage,  especially 
after  :.c  secularization  of  church  property  by  Charles  Martel,  the  East- 
crn  cnansu^,on  hzd,  from  the  very  beginning,  a  different  function.  It 
was  applied  mainly,  though  not  exclusively,  upon  monastic  property 
The  owner  of  a  monastery-he  might  be  the  emperor,  a  bishop,  or  any 
other  person-vvould  give  the  monastic  lands  in  tenure,  usually  to  a 
layman  who  had  to  administer  the  property,  take  care  of  the  buildings, 
and  provide  for  the  maintenance  of  the  monks.  Since  church  property 
was  never  tax-free  in  Byzantium,  the  tenant  {charistikarios)  had  to  pay 
the  puohc  taxes  from  the  revenues,  but  he  could  keep,  once  all  his 
expenses  were  covered,  the  excess  of  the  revenues. 

165 


n    u    n    D 

u      I    u    L 


PART  TWO:   SPECIAL  STUDIES 

That  this  administration  through  charisti\arioi  was  often  oppressive 
cannot  be  denied.  But  the  charistikjo?!  was  not  altogctlier  an  anti-monas- 
tic institution,  as  has  sometimes  been  assumed,  or  even  a  result  of  the 
iconoclastic  struggles  and  the  anti-monastic  feelings  of  the  iconoclasts. 
The  system  was  much  older  than  iconoclasm.  It  can  be  traced  back  to 
the  fifth  century  when  the  Fathers  of  the  Council  of  Chalcedon  sharply 
censured  the  practice;  the  censure  was  often  repeated  in  later  times. 
Some  churchmen  thought  less  unfavorably  of  the  c/iaristl/{ion,  however, 
and  in  earlier  times  it  had  usually  been  the  church  authorities  them- 
selves who  handled  appointments  of  charistil^arioi.  The  quasi-feudal 
appearance  of  the  charistikjo?!  belongs  to  the  early  period  of  the  Com- 
neni,  for  then  the  emperor — Alexius  I  began  it — assumed  the  right  to 
appoint  the  charistil^arioi,  and  he  began  to  invest  his  supporters  freely 
with  good  charistikja,  usually  for  life.  It  was,  of  course,  a  convenient 
method  of  rewarding  them. 

It  is  to  be  noted  that  the  pronoia  and  imperial  charistihjon  appeared 
simultaneously;  there  was  a  parallelism  between  the  two  institutions, 
and  Alexius  I  was  chief  promoter  of  both.  Nothing  prevented  the 
emperor  from  giving  the  same  man  a  pronoia  estate  and  a  charistikjon 
as  well.  In  tlie  West,  the  advowson,  which  in  a  number  of  respects  was 
reminiscent  of  the  chansU}{ion,  became  feudalized,  and  the  parallelism 
of  charisii/{ion  and  pronoia  was  reflected  in  the  parallelism  of  advowson 
and  fief;  but,  whereas  the  former  were  of  limited  term,  the  latter  were 
not. 

In  ecclesiastical  as  in  lay  institutions  in  the  East  feudalistic  develop- 
ments remained  sporadic  and  unsystematic;  they  were  never  integrated. 
The  involved  mechanism  of  Western  feudalism  with  its  hierarchies  of 
vassals,  its  divided  jurisdictions,  and  its  fragmentation  of  power  had 
no  more  chance  of  engulfing  the  Byzantine  Church  than  it  had  of 
superseding  the  bureaucracy  of  the  Byzantine  state. 


166 


II    U    II     J 
LI       I    U     J 


tiiDL,iuuri/irntii<i 


VIII  •  FEUDALISM 
IN  THE  BYZANTINE  EMPIRE 

BY  ERNST  H.   KANTOROWICZ 
(Compiled  by  William  Bowsl^y) 

Brehier,  L.  Les  institutions  de  I'empire  byzantin.  Paris,  1949.  (This  is  vol.  11 
of  Brehier's  Le  monde  byzantine,  3  vols.,  Paris,  1947-1950.') 

Charanis,  P.  "Economic  Factors  in  the  Decline  of  the  Byzantine  Empire," 
Journal  of  Economic  History,  vol.  13  (1953),  pp.  412-424. 

Charanis,  P.  "The  Monastic  Properties  of  the  State  in  the  Byzantine  Empire," 
Dumbarton  Oal^s  Papers,  no.  4  (1948),  pp.  51-118. 

Charanis,  P.  "On  the  Social  Structure  and  Economic  Organization  of  the 
Byzantine  Empire  in  the  Thirteenth  Century  and  Later,"  Byzantino- 
slavica,  vol.  12  (1951),  pp.  94-153- 

Charanis,  P.  "On  the  Social  Structure  of  the  Later  Roman  Empire,"  By- 
zantion,  vol.  17  (1944-45),  ??■  39-57- 

Ostrogorsky,  G.  "Agrarian  Conditions  in  the  Byzantine  Emoire  in  the 
Middle  Ages,"  Cambridge  Economic  History  of  Europe,  vol.  i  (1941), 
pp.  194-223. 

Ostrogorsky,  G.  "Le  grand  domaine  dans  I'empire  byzantine,"  SociStS  Jean 
Bodin.  Recucil  IV.  Le  Domaine  (1949),  pp.  35-50. 

Ostrogorsky,  G.  Pronoia,  A  Contribution  to  the  History  of  Feudalism  in 
Byzantium  and  in  the  South-Slavic  Lands.  Belgrade:  Serbian  Academy 
of  Science,  Special  Editions,  clxxvi,  Byzantine  Institute,  vol.  i,  1951 
(in  Serbian).  Sec  the  English  summary,  by  Ihor  Sevccnko>  "An  Impor- 
tant Contribution  to  the  Social  History  of  Late  Byzantium,"  in  The 
Annals  of  the  Ukrainian  Academy  of  Arts  and  Sciences  in  the  United 
States,  vol.  11  (1952),  pp.  448-459. 

Ostrogorsky,  G.  "Die  Wirtschaftlichen  und  sozialen  Entwicklungsgrund- 
lagen  dcs  byzantinischen  Relchcs,"  in  Vierteljahrschrift  fiir  Sozial-  und 
Wirtschaftsgeschichte,  vol.  22  (1929),  pp.  129-143. 

Vasiliev,  A.  A.  History  of  the  Byzantine  Empire,  2nd  cdn.,  Madison  (Wise), 
1952,  esp.  pp.  536-579. 

Vasiliev,  A.  A.  "On  the  Question  of  Byzantine  Feudalism,"  in  Byzantion, 
vol.8  (1933),  pp.  584-604. 


412 


^ 


11    U    I  I    u 
U       I    U       I 


UNIVERSITY  OF  CALIFORNIA 


DEPARTMENT  OF  HISTORY 
BERKELEY  4,  CALIFORNIA 


July  S,    19^1 


i^roi'essor  uushton  Ooaloorn 
2197  howell  ii'jill  iioad,    L.w. 
Atlanta,    Georgia 


Lear  Ivlr.    Cculborn: 


July  5.   T  must 
the  whole  issue 
but  in  this 
ray  paper  __ 
discussion 


I  thank  you  very  much  for  your  letter  of 
confess  that  I  feel  aost  embarrassed  about 
T  am,  on  the  v«?hole,  not  uncooperative; 
case  T  would  not  know  how  to 


cooperate.  I  wrote 


bona  fide  for  a  discussion,  and  for  nothing  but  a 
n.  Lad  T  known  that  the  publication  was  intended, 


sor  Kroeber 


every 
mentioned 
with  rrofes- 
too.  Or  were  you 
"^ith  Dr.  Cdcraard 
L5y  sin  is  that  T 
wish  to  c":.polo£;ize 


,  but  I  think  you  were  present, 

talking  with  so^e  o+her  person?  T  forget. 
I  talked  in  ..ashington  around  Larch  10th. 
did  not  write  to  you.  ?his  T  admit  and  I 
once  more  for  ray  omission. 

Your  sug;::estion  that  j  collaborate  with  somebody  is 
difficult  to  materialize,  '"he  only  one  that  occurs  to  ae  as 
a  Byzantinist  who  might  be  interested  in  i'eudalism,  is  Dr. 
Charanis,  at  P.utgers,   However,  I  hardly  know  him,  and  a 
collaboration  by  correspondence  takes  very  much  time 

not  satisfactory,   resides,  he  would  most 

the  problem  from  a  totally  difierent  point  of  viev;. 


and  is 
certainly  at-^ack 


I  fully  appreciate  all  that  you  say  about  "imaginative 
interpretation"  of  history,  and  within  ray  limitations  I  usually 
try  to  offer  something  of  that  kind,   i^owever,  there  remains 
the  difference  between  a  lecture  (or  discussion)  and  a  public- 
ation. Lly  paper  may  have  served  its  purpose  at  its  time,  but 
it  no  longer  v;ould  serve  its  purpose  j.f  it  vvere  published.  :?he 
material  has  been  carried  together  hastily  to  conform  wakti  ^^e 
deadline,  nor  has  the  material  been  interpre*:ed  imaginatively. 

r  publication,  and  in  that 
the  author. 


'ro 


not   fit  for 

should  be  v/ith 


ray  judgment  it  is 
respect  the  decision 

I  am  very  sorry  to  disappoint  you,  but  I  am  afraid  the 
volume  will  have  to  go  out  without  my  contribution. 

i/ith  kind  regards. 


Yours   sincerely,    , 


Ernst   H. 


Kc.ntorovvic 


7- 


/  /   u   n    c 

U       I     U     J 


y    12  iG      Hji^^       Frnci    ttan^ovoiATtcZ    Q^PicHov] 


i     I 


^  ^3/ 


^rfCiAjl  / 


y 


//    U    I  I    L 
U       I     U    U 


♦47.      "Zu   den  Rechtsgrundlagen   der  Kaisersage,"   Deutsches  Archiv,  XIII    09571 
115-150.  ^' 

raK^'s  CO'-'',  snnotflt.ei. 
U7A.   Reprinted  in  Stupor  Mundl  (Dqrmstadt,  1966),  i;82-52i;. 


A. 
B. 
C. 

D. 

E. 
F. 


H. 

T. 
J. 
K. 
L. 
M. 
N. 
0. 


P. 


Letter  from  ^^'riedrich  -iqethgen,  1?  Sept  ^6 

Copy  of  letter  HK  to  Baethpen,  30  Sept  56 

"Kinp^  created  by  God  directly"'  3-pape  handwritten 
early  draft  of  opening  of  article  (?) 

"Testamentum  Pradirici  Irnperatorii"  6-naKe  photocdpy 
(•n  negative)  of  Kscorial  MS. lat .d. III. 3,  fola.  100-102^ 

Idem,  tvpe'-rritten  transcription,  edited  (5  pages) 

"Crunter  Wolf,  Ein  unveroffentlichen  Testament  Kaiser 
PriedT^icha  II,  Zs.  f .  d.Gesch.  d.Oberrheins  IOI4.  (19^6), 
1-51.    6  page  review-criticism  of  this  article,  i-i  th 
footnotes  and  handvr.itten  annotations,  bv  EK;  never 
published. 

Letl-er  from  Hans  Martin  Schaller,  [(..6.19^6 

Idem,  7.8.19^7 

Letter  frc.m  Erich  Genzmer,  11  June  57  (3  pages) 

Letter  from  Leo  Eisenhofer,  31  Mav  57 

Letter  from  E.l. Wood^-'ard,  Ifl  Apr  57 

Letter  by  EK  to  R.M.Kloos,  Ik   Apr  56  (copy) 

Letter  from  Kloos,  3  May  56  (2  pages 

Idem,  19  July  56 

Letter  EK  to  Kloos,  12  Nov  55  iP-    small  pages  of  an 
oj-iginal,  signod,  probably  retyped  lor  ^h^t  '-as  sent, 
i^us  c??rbun  of  t'..-c  j\ill  pages  [2  ^nd  J  of  the  "inal 
letter.  ) 

Letter  from  Kloos,  23  Dec  55 

Letter  SK  to  Kloos  7  rtec   56  (unfinished,  pr-obably 
begun  again. ) 


t 


n    u   1 1 

U      I    u 


J.  F.  BDHMER,  REGESTA  IMPERII 

Hcraus<;cgeben  von  dcr 
DSTERREICHISCHEN    AKADEMIE    DER     WISSENSCHAFTEN 

Die  vonjotiann  Friedridi  Bohmer  (1795—1863)  begrundeten  Regesta 
Imperii  umfassen  die  Zcit  von  den  Karolingein  bis  zum  Ausgang  des 
Mittclalters  und  haben  sich  durch  immer  weitere  Heranziehung  audi 
dcr  au(?erdeutsdien  Quellen  zum  Hauptquellenwcrk  der  curopaisdien 
Gesdiiditc  entwidielt.  Vom  zweiteii  Teil:  (Sachsisdies  Haus)  liegen 
im  AnsdiluE  an  die  1893  crsdiienencn  Regesten  unter  Hcinridi  I. 
und  Otto  I.  nunmehr  foigende  Bande  in  Ncubearbeitung  vor: 

II.  SACHSISCHES  HAUS:  919-1024 

2.  Abteilung 

DIE  REGESTEN  DES  KAISERREICHES  UNTLR  OTTO  II. 
955  (973)  -  983 
Nadi  J.  F.  Bohmer  neubcarbeitet  von  Hanns  !.eo  Miiioletzky 
158  Scitcn.  Quart.  1950.  Brosdi.  DM  17,80 

3.  Abteilung 

DIE  REGESTEN  DES  KAISERREICHES  UNTER  OTTO  III. 
980  (983)  -  1002 
Nadi  J.  F.  Bohmer  neubcarbeitet  von  MathiiJc  Uhlirz 

/.  Lieferung  (bis  997) 
260  Seitcn.  Quart.  1956.  Brosch.  DM  40,— 

2.  Lieferung  (998-1002) 
178  Seitcn  Quart.  1957.  Brosdi.  ca.  DM  30.— 

HERMANN   BDHLAUS  NACHFOLGER 
GRAZ/KOLN 


@) 


'^^le^.'^AU 


£/^    yU^U^^^^AjUr^ 


Deutsches  Archiv 


fur 


Erforschung  des  Mittelalters 


ca 


namens  der   Monumenta  Germaniae  Histori 


herausgegeben  von 


FRIEDRICH  BAETHGEN  und  WALTHER  HOLTZMANN 


Sonderdruck 

13.  Jahrgang 

Heft  1 


1957 
BDHLAU  VERLAG   KDLN  GRAZ 


/  /     U     I  I     U 
U       I     U     U 


Inhalt 

Fricdrich    Baethgcn,    Monumenta   Gcrmaniic   Historica,   Bericht 

fur   das   Jahr    1954/55       1 

Auf  siitze 

Franz-Josef  Schmalc,  Die  Bologneser  Sdiule  der  Ars   dictandi       16 

Helmut  PlechI,  Studien  zur  Tegernsscr  Bricfsammlung  des  1 2.  Jahr- 

hundcrts.    IV,    1        35 

Ernst    Kantorowicz,    Zu   den   Rechtsgrundlagen    der   Kaisersage     115 

Rudolf  M.  Kloos,  Ein  Brief  des  Petrus  de  Prece  zum  Tode  Fried- 

richs    II 151 

Hermann  Heimpel,  Ober  den  „Pavo"  des  Alexander  von  Roes     .     171 

Miszellen 

Josef  Szovcrffy,  Der  Investiturstreit  und  die  Petrus-Hymnen  des 

Mittelalters  228 

Besp rechungen  und  Anzeigen 

1.  Allgemeincs         241 

2.  Hilfswisscnschaftcn   und  Quellenkunde 243 

3.  Politisdie  und  Kirdiengesdiidite  des  Mittelalters 271 

4.  Rechts-  und  Vcrfassungsgeschidite 294 

5.  Sozial-  und  Wirtsdiaflsgesdiidite 299 

6.  Landeskunde       303 

7.  Kultur-  und  Geistcsgesdiiehte        315 

AdolfHofmeistcrf 327 


n   u   n   o 

u      I    u      I 


'7f 


m 


115 


Zu  den  Reditsgrundlagen  der  Kaisersage 

Von 
Ernst  Kantorowicz 

1.  Ein  angeblidies  Testament  Kaiser  Friedrichs  II. 

Vor  mehr  als  einem  halben  Jahrhundert  hat  Scheffer-Boi- 
chorst  auf  ein  Testament  Friedridis  II.  aufmerksam  gemadit,  von 
dem  er  vermutete  da6  es  eine  „Stilubung"  sei.  Das  Stiick  war  ihm  nur 
fragmentarisdi  bekannt;  hatte  er  das  Ganze  gesehen,  so  hatte  er  wohi 
keinen  Augenblick  gezogert,  sidi  nodi  sehr  viel  bestimmter  auszuspre- 
dien*).  Vor  lingerer  Zeit  hat  sodann  der  Verfasser  dieser  Zeilen,  von 
dem  immer  wieder  verbliiffenden  Spiirsinn  des  unvergefilichen  Carl 
Erdmann  auf  eine  Handsdirift  des  Escorial  (d.  III.  3)  verwiesen,  sidi 
mit  diesem  Testament  besdiaftigt,  das  er  als  eine  „Stilubung  zweifellos 
italienisdier  Herkunft"  bezeichnete,  die  jedoch  „nicht  ganz  ohne  Inter- 
esse"  sei  und  auf  die  er  an  anderer  Stelle  zuriickzukommen  verspradi*). 
Dieses  Verspredien  ist,  wie  so  viele  Arbeitsversprechen,  bisher  nidit  ein- 
gelost  worden,  und  wenn  dies  heute  dennodi  gesdiieht,  so  gab  den  Anlafi 
dazu  die  Heidelberger  Dissertation  von  Dr.  Gunther  Wolf,  die  jiingst 
in  der  Form  eines  langeren  Zeitsdiriftenaufsatzcs  erschiencn  ist*). 

In  der  Stadtbibliothek  zu  Besanjon  stiefi  Dr.  Wolf  im  Verlaufe  an- 
derer Arbeiten  auf  die  Absdirift  des  bislang  nur  unvoUstandig  veroffent- 
lichten  Testaments,  dessen  Text  in  dem  genannten  Escorialensis,  eincr 
Papierhandschrift  der  ersten  Halfte  des  14.  Jahrhunderts,  iiberliefert  ist 


')  P.  Schef  f  er-Boichorst,  Zur  Gesdiidite  des  XII.  und  XIII. 
Jhdts.  (1897)  268  ff. 

«)  E.  K  a  n  t  o  r  o  w  i  c  z,  Petrus  de  Vinea  in  England,  MDIG.  51  (1937)  86  ff . 

')  Gunther  Wolf,  Ein  unveroffentlidites  Testament  Kaiser  Friedridis  II., 
Zs.  f.  d.  Gesdi.  d.  Oberrh.  104  (1956)  1—51.  Enthusiasmus  und  Arbeitseifer  ge- 
paart  mit  Finderfreude  sind  dieser  Arbeit  gewifi  nidit  abzuspredien,  und  man 
hatte  nur  gewiinsdit,  dafi  diese  Qualitaten  sidi  an  einem  tauglidieren  Objekt 
entfaltet  hatten  sowie  unter  sadiverstandiger  Leitung,  die  wiederum  der  Ent- 
widilung  kritisdier  Fahigkeiten  zugute  gekommen  ware. 


/    n 

I    u 


116 


Ernst  Kantorowicz, 


(E).  Abgesehen  von  der  Arenga  und  mandierlei  Zusatzen  stimmt  das 
Stiick  —  zumal  in  den  eigentlidien  Testamentsbestimmungen  —  weit- 
gehend  mit  dem  von  W  e  i  1  a  n  d  veroffcntliditen  Testament  iiberein 
(W),  dessen  Authentizitat  nidit  zu  bezweifeln  ist*).  Dr.  Wolf  bringt 
darum  audi  den  Text  von  E  dankenswerter  Weise  in  Parallelkolumne 
mit  den  einsdilagigen  Stellen  von  W  zum  AbdruA^).  Es  sdiliefit  sich 
eine  „Editheitskritik"  an,  in  der  die  Moglidikeit  einer  Falschung  oder 
einer  Stiliibung  in  durchaus  nidit  iiberzeugender  Weise  abgelehnt  wird. 
Datiert  wird  das  Stiick,  weil  es  angeblidi  eine  Versdilediterung  des 
kaiserlidien  Gesundiieitszustandes  erkennen  lasse,  auf  etwa  eine  Wodie 
nadi  W  (also  etwa  7. — 13.  Dezember  1250).  Die  Absonderlidikeit  eines 
Doppeltestaments  wird  damit  erklart,  dafi  W  „Staatstestament",  E 
jedoch  „Privattestament"  sei.  Einem  kurzen  Absdinitt  iiber  „Theologie 
und  Staatsauffassung"  folgt  eine  Besprediung  der  Legate  und  Titel 
sowie  ein  Vergleidi  mit  anderen  Herrschertestamenten  der  Zeit.  Da  fast 
alle  Schliisse  mit  der  Editheitsfrage  stehen  und  fallen,  geniigt  es  hier, 
sich  allein  mit  dieser  zu  befassen"). 


Zu  den  Rcchtsgrundlagen  der  Kaisersage 


« 

117 


*)  MG.  Const.  II,  Nr.  274,  S.  282— 289.  Zu  den  von  W  e  11  a  n  d  angefuhrten 
Griinden  fiir  die  Edithcit  des  Testaments,  die  aus  der  Obcrliefcrung  hervorgeht, 
sei  nodi  hinzugefugt,  da(5  Manfred  nidit  nur  sidi  mehrfadi  auf  das  Testament 
bezieht  und  dessen  Bestimmungen  korrekt  zitiert(BF.  4633,4635,  4637  u.  6. ),  son- 
dern  dafi  audi  das  Diktat  seiner  Erlasse  und  Briefe  sidi  oft  eng  an  den  Wort- 
laut  des  Testaments  ansdilieCt;  vgl.  z.  B.  den  Brief  an  die  Palcrmitaner  (BF. 
4633;  B.  Capasso,  Hist.  Diplom.  Regni  Siciliae  [Neapcl,  1874]  S.  5  f.), 
beginnend  Etsi  primi  parentis  .  .  .  incauta  transgressio,  mit  den  ersten  Worten 
des  Testaments;  oder,  in  dem  gleidien  Brief  (Z.  11),  divus  Cesar  genitor  noster 
rebus  hum  ants  assumptus  mit  Wei  land  S.  385,  Z.  13:  ;// 
rebus  h  n  m  a  n  i  s  ab  s  u  m  p  t  i  vivere  videamur.  Dergleidien  lieRo  sidi  nodi 
mehrfadi  nadiweisen.  Es  ist  immerhin  bezcichncnd,  dafi  sidi  ahnlidie  Nieder- 
sdilage  des  Testaments  E    ansdieinend  nidit  finden. 

')  Vgl.  Wolf,  S.  4  ff.,  der  es  leider  vcrabsaumt  hat,  das  keineswegs  kurze 
Stiick  nadi  Paragraphen  untcrzuteilen  oder  die  Zeilen  zu  numerieren.  Soweit 
moglich,  zitiere  idi  E  hier  nadi  den  Paragraphennummern  der  Parallelkolumne 
von  W.  Die  wenigen  Textverbesserungen  sind  nidit  wescntlich:  S.  5.  Z.  11  v.  u.: 
et  velut  start  vclut;  ebda.  Z.  10  v.  u.  ist  das  Fragezeidien  nadi  poeticum  sinn- 
entstcllend  und  zu  strcidien;  Z.  2  v.  u.:  karissimi  fiir  carissimi;  S.  6,  §  2: 
subbreviloquio  statt  des  sinnstbrenden  sub  breviloquio  fbreoiloquio  ist  doch 
wohl  Druckfehler] ;  S.  6,  §  6:  salvationis  nostre  statt  Salvatoris  nostri;  S.  8, 
Z.  1 :  adquires  statt  adimis.  Die  Zeichensetzung  ist  willkiirlidi  und  besser  in 
der  Hs.  als  im  Drudc. 

°)  Damit  werden  natiirlidi  audi  die  Betrachtungen  iiber  „Staatstestament" 
und  „Privattestament"  (Wolf,  S.  21  ff.)  hinfiillig,  die  an  sich  recht  frag- 
wiirdig  sind  (s.  unten  Anm.  28).  Als  Kriterien  fiir  dio  Editheit  werden  sowohl 
Abweichungen  von  als  audi  Obereinstimmungcn  mit  echtcn  Dokumenten  bei- 
gcbradit.  S.  15  wird  z.  B.  gesagt,  es  „sdiwadie  wieder  den  Verdadit  einer 
Falsdiung   ab",  daB   der   Notarstitel   eine   voUig   ungewohnliche,  ja   einmalige 


Testament  E  findet  sich  in  der  Handschrift  (f  100 — 102'')  zusammen 
mit  Stijcken  des  Berard  von  Neapel,  denen  wiederum  solchc  aus  dem 
Briefbuch  des  Thomas  von  Capua  eingesprengt  sind  —  genauer  aus  der 
Zehn-Buch-Redaktion  der  Thomas-Brief e,  die  wohl  um  1268  von  dem 
papstlichen  Notar  Jordan  von  Tcrracina  zusammengestellt  wurde.  Zu 
diesen  Einsprengseln  gehort  z.  B.  ein  Papstbrief  Prelatis  et  ttniversitati 
Hyspanie  [sic]  (115"^-^)  und  ein  soldier  an  Danemark  (115^—116^)^).  Es 
handelt  sich  also,  zumindest  in  den  hier  in  Betradit  kommenden  Teilen 
der  Handsdirift,  um  eine  vorwiegend  aus  kurialen  Briefbiidiern  schop- 
fende  Zusammenstellung  von  Stiicken  versdiiedenartiger  Herkunft,  in 
die  dann  audi  E  hineingeraten  ist,  das  ich  hier  behelfsmafiig  als  „lite- 
rarisch  zugestutzte  Oberarbeitung"  von  W  bezeichnen  mochte.  Mit  E 
haben  nun  die  beiden  Papstbriefe  gemein,  dafi  alle  drei  Dokumentc  sich 
in  den  Arengen  ein  wenig  an  das  bekannte  Statthalterdiplom  Fried- 
richs  II.  (V  i  n  e  a ,  Epistolae  V,  1)  anlehnen,  das  ja  zusammen  mit  dem 
Prooemium  des  Liher  augtistalis  Stiliibungen  nidit  selten  zum  Vorbiid 


Fassung  habe  (s.  unten  im  Text  zu  Anm.  26).  Umgekehrt  heifit  es  S.  12,  eine 
Falschung  sei  unwahrsdieinlich,  wcil  sidi  in  E  „alle  von  Vehse  bemerkten  Stil- 
mittel"  fanden,  ferner  der  „bei  Friedrich  II.  beliebte  Adamstopos"  und  sdiliefilidi 
„w6rtliches  Zitat  aus  dem  Corpus  luris  Civilis".  Die  Verwendung  des  allbckann- 
ten  Kanzleistils  und  der  rhetorisdien  Mittel  besagt  natiirlidi  genauso  wenig  wie 
Zitate  aus  dem  Corpus  luris  Civilis,  das  ja  kein  dem  kaiserlichen  Gebrauch  vor- 
behaltcnes  Gchcimwerk  war;  und  was  sdiiiefilidi  den  Adamstopos  anbetrifft, 
so  darf  man  daran  erinnern,  da(5  es  ja  das  Wcsen  einer  Falsdiung  ist,  sich 
einem  Original  nadi  Moglidikeit  anzupassen  (s.  unten  Anm.  35  zur  Verwen- 
dung des  Statthalterdiploms).  Was  weiterhin  zur  Entkraftung  der  Ansicht,  es 
handle  sidi  um  eine  Stiliibung,  angefiihrt  wird,  blcibt  nahezu  unverstandlich, 
so  etwa  die  Bemerkung  (S.  17,  Anm.  40):  „Wie  hatte  das  aragonesische  K6- 
nigshaus  Interesse  an  der  Absdirift  (um  1340!!)  gehabt  [Ausrufezeichen  sind 
Zitat],  ware  E  cine  Stiliibung  gewesen?"  Oder  ebda.  die  Bemerkung:  „Bcrt- 
hold  v.  Hohenburg,  Ridiard  v.  Caserta  und  Walter  v.  Ocra  etwa,  die  alle 
Friedrich  iiberlebten,  hatten  einer  Interpolation  ihrer  Namen  in  die  Zeugen- 
liste  eines  unechten  Testaments  sidier  nidit  tatenlos  zugesehen!"  Was  hatte 
das  aragonesische  Konigshaus  mit  einer  Briefsammlung  zu  tun?  Und  was  hatten 
die  grofien  Hcrren  des  Kaiserhofes  wohl  gegen  einen  Stilsdiiiler  oder  Stil- 
meister  unternehmen  sollen? 

')  Den  Spanienbrief  habe  ich  MDIG.  51  S.  87  f.  abgedruckt.  Erst  nachtraglidi 
madite  midi  frcundlidicrweise  Frau  Dr.  Emmy  Heller  darauf  aufmerksam, 
da(?  dieser  Brief  auf  die  Sammlung  des  Thomas  von  Capua  zuriickgche,  ebenso 
der  an  Danemark,  und  audi  (nadi  giitiger  Mitteiiung  von  Herrn  Dr.  R.  M. 
K  1  o  o  s  )  nodi  zwei  weitere,  die  bei  S.  F.  H  a  h  n  ,  Collectio  monumentorum, 
I  (1724)  S.  350  und  384  gedruckt  sind.  Fiir  den  Charakter  derartiger  Brief- 
sammlungen  hochst  lehrreich  ist  die  Abhandlung  von  H.  M.  S  c  h  a  1  1  e  r  ,  Zur 
Entstehung  der  sog.  Briefsammlung  des  Petrus  de  Vinea,  DA.  12  (1956) 
114  ff.,  bes.  142  ff. 


n    u 


118 


Ernst  Kantorowicz, 


gedient  hat^).  In  der  langatmigen,  von  einer  Unzahl  rhetorischcr  Fragen 
gesdiwcllten  Arenga  von  E  ist  denn  audi  ein  Kernsatz  des  Diploms 
(ex  necessitate  quadam  oportuit  naturam  subesse  iusticie  et  servire  iudicio 
libertatem)  sofort  zu  erkennen,  freilich  sdiulmafiig  „versdiont"  und  zu- 
gleidi  verballhornt:  et  sic  oportet  miserrime,  oportuit  et  oportehit  in 
posterum  legem  nature  subesse  peccato  et  iugo  servitutis  servire  libertatis 
iudicium^).  Von  der  Haufung  der  Tempora  (oportet,  oportuit,  oportebit 
in  posterum)  ganz  abzusehen  hat  der  Verfasser  —  vorgeblich  der  mlt 
dem  Tode  ringende,  dennodi  sein  allerletztes  Testament  diktierendc 
Kaiser'")  —  durch  Wortmacherei  nur  Unklarheiten  geschaffen:  statt  dafi 
als  Konsequenz  von  Adams  Fall  hinfort  „die  (mensdilidie)  Natur  der 
Gereditigkeit  unterstellt  und  die  Freiheit  dem  Riditersprudi  horig  wer- 
den  mufite,"  heifit  es  nun,  daf?  „die  lex  nature  der  Siinde  unterstellt  und 
der  Richtspruch  der  Freiheit  dem  Joch  der  Kneditsdiaft  horig  werden 
mufi,  mufite  und  miissen  wird".  Wahrend  in  W  Konig  Konrad  zum 
Erben  bestimmt  wird  in  imperio  et  in  omnibus  aliis  empticiis  et  quo- 
quomodo  acquisitis,  also  „im  Reidi  und  alien  kauflidi  oder  sonstwie 
erworbenen"  Pertinenzen,  wird  daraus  in  E  eine  langere  Aufzahlung, 
unterbrodien  durdi  die  typlsdie  Entsdiuldigung  fiir  Weitsdiweifigkeit 
ut  subbreviloquio  utamur,  die  dann  ihrerseits  zu  neuer  Weitsdiweifig- 
keit fiihrt:  in  omnibus  et  singulis  bonis  nostris,  que  nostro  subiacent 
dominio,  vel  subesse  debent,  sub  celo,  super  terram,  ab  oriente  usque 
in  occidens,  ab  aquilone  usque  in  meridiem^^)  —  rhetorisdie  Ampli- 
fikationen  also,  die  fiir  jeden,  der  mit  derartigen  Produkten  vertraut 
ist,  die  rhetorisdi-literarisdie  nStilubung"  kenntlidi  madien.  Das  gleidie 
gilt  fiir  das  danadi  Folgendc;  denn  wo  W  kurz  und  biindig  im 
iiblidien  Stil  sagt  in  subsidium  Terre  Sancte,  heifit  es  in  E  in  recupera- 
tione  terre  sancte  ultra  mare  sive  sanctissimi  sepulcri  salvationis  nostre^^). 


')  Z.  B.  Vinea,  Epp.,  Ill,  68  und  69.  Das  gleidie  gilt  natiirlidi  audi  von 
editen  Studten;  vgl.  etwa  Manfreds  Statthalterdiplom  (MG.  Const.  II,  Nr.  422 
S.  553)  oder  den  Brief  Heinrichs  III.  von  England  an  Teano  (MDIG.  51 
S.  71  ff.).  Die  necessitas  ersdieint  dabei  fast  als  ein  Sdilagwort  ghibelli- 
nisdier  Ansdiauungen  und  in  Manfreds  Aufruf  an  die  Romer  wird  sie  gar 
personifiziert:  Respondet  mundi  deposcens  Necessitas:  Nemo  nisi  maximi 
filius  cesaris  (MG.  Const.  II,  Nr.  424  S.  565  Z.  12).  Es  ist  bezeidinend,  dafi 
dieses  Kennwort  in  E  weggelassen  worden  ist;  s.  unten  Anm.  27  fiir  die  Tendenz 
des  Studies. 

»)  W  o  1  f  ,  S.  5,  Mitte. 

'«)  Ebda.  S.  20,  audi  17  f.  und  21  Anm.  1,  wobei  liberal!  die  Worte  sine 
scriptis  eine  verhangnisvoUe  RoUe  spielen;  s.  unten  Anm.  33. 

")  Ebda.  S.  6,  S  2. 

")  Ebda.  §  6. 


Zu  den  Reditsgrundlagen  der  Kaisersage 


119 


Wenn  in  W  bestimmt  wird,  dafi  nadi  kinderlosem  Tode  der  legitimen 
Sohne  der  legitimierte  Manfred  folgen  solle,  fugt  E  die  niditssagendc 
Klausel  hinzu:  Deinde  succedat,  cui  lex  permiserit^^). 

Von  soldien  rhctorisdien  Sdiulpfropfungen  wimmelt  das  Stiidt,  dodi 
sind  andere  Anderungen  aufsdilufireidier.  In  Frage  kommen  da  zu- 
nadist  ein  paar  geographisdie  Einzelheiten  im  Zusammenhang  mit  den 
Sdienkungen.  Es  ist  verstandlidi,  dafi  der  weniger  bekannte  ducatus 
Stirie  durdi  den  viel  gelaufigeren  ducatus  Suavie  ersetzt  wird'*).  Audi 
dafi  der  Stilist  fur  suditalisdie  Fledien  kein  sonderlidies  Interesse  zeigt, 
wird  man  ihm  nidit  verargen  durfen.  Bekanntlidi  erhielt  Manfred  neben 
dem  Monte  Santangelo  als  Hauptapanage  das  Furstentum  Tarent.  Die- 
ser  Principat,  obwohl  in  Normannenzeiten  des  ofteren  ahnlidien  Zwek- 
ken  dienend'5),  war  dodi  mehr  oder  weniger  in  Vergessenheit  geratcn 
und  daher  von  neuem  und  ad  hoc  zusammenzustellen.  Demgemafi  wer- 
den in  W  die  Grafsdiaften  aufgezahlt  (Monte  Scaglioso,  Tricarico  und 
Gravina);  ferner  wird  der  Manfred  zustehende  Kijstenstridi  definiert 
(a  maritima  terre  Bari  usque  Polianum);  Polignano,  siidlidi  von  Bari, 
mit  alien  Pertinenzen  wird  hinzugefiigt  und  die  allgemeine  Ausdehnung 
bestimmt  „von  Porta  Roseto  bis  zum  Quell  des  Bradano  (fluminis  Bran- 
dani)"^^).  Das  Gesamt  dieser  Landereien  formte  also  das  Fiirstentum 
Tarent.  Der  Verfasser  von  E  madite  sidi  die  Sadie  leiditer  und  weniger 
umstandlidi.  Er  setzte  Manfred  zum  Erben  ein  in  principatu  Tarentino 
und  in  comitatu  de  Bari^'')  —  letzteres  ein  zumindest  uniiblidier  Aus- 


'»)  Ebda.  S.  8  §2.  Diese  lex  versteht  Wolf,  11  f.,  29,  39  u.  6.  seltsamer 
Weise  als  die  lex  regia.  Das  ist  ein  Mifiverstehen  der  Funktion  der  lex  de 
imperio,  durdi  die  dem  Princeps  die  Vollgewalt  der  Legislation  (wenn  man 
will:  die  Souveranitat)  iibertragcn  wurde,  die  aber  nidit  die  Sukzession  regelt 
(so  S.  29:  „Nadi  der  die  Nadifolge  im  Kaisertum  erfolgt"),  wic  besagtem 
Manfred  (oder  dessen  Notar  Petrus  de  Prece)  audi  durdiaus  bekannt  war; 
vgl.  den  Romeraufruf,  MG.  Const.  II,  Nr.  424,  S.  564,  Z.  11  f.:  cum  ilia  /sc. 
lex  regia]  in  iure  condendo,  non  enim  circa  ekccionem  et  formam  imperii 
alloquatur.  Was  der  Stilkiinstler  sidi  bei  der  lex  gedadit  hat,  ist  nidit  klar;  er 
konnte  natiirlidi  an  den  Enkelsohn  Friedridi  gedadit  haben  oder  andore  im 
Testament  genannte  Nadikommen,  oder  an  das  Watilredit  der  Kurfiirsten, 
oder  an  die  versdiiedenartigen  Rcdite  des  Papstes  —  falls  er  sidi  iiberhaupt 
etwas  gedadit  hat  und  nidit  einfadi  Worte  gemadit  hat. 

")  Wolf,  S.  6  §4;  vgl.  S.  32  f,  wo  mit  Redit  Suavie  zugunsten  von 
Stirie  zuriidcgewiesen  wird. 

")  Roger  II.  gab  das  Fiirstentum  Tarent  seinem  zweiten  Sohne  Tankred 
(vgl.  Eridi  Caspar,  Roger  II.  [1904]  428);  als  letzter  hielt  es  wohl  Wil- 
helm  III.  von  Sizilien. 

•«)  MG.  Const.  II,  S.  385  f  §  3. 

")  Wolf  ,  S.  7  §3;  vgl.  S.  34. 


/  /   u 


I    L 


120 


Ernst  Kantorowicz, 


Zu  den  Reditsgrundlagen  der  Kaisersage 


121 


druck,  da  die  Kanzlei  stets  von  der  terra  Bari  spridit,  und  audi  sachlidi 
nidit  ohne  weiteres  zutreffend.  Andererseits  aber  zeigte  sidi  der  Testator 
in  E  grofiziigiger  als  sein  Vorganger  in  W;  denn  zu  der  Reihe  apulisdier 
Sdienkungen  fiigte  er  unerwartet,  und  gleichsam  ex  madiina,  nodi  den 
comitatus  Ildebrandischus  hinzu,  also  die  toskanisdie  Grafsdiaft  der 
Aldobrandesca.  Zunadist  ware  man  dem  Verfasser  zuzutrauen  bcreit, 
es  sei  der  wenig  bekannte  Brandanus-FluR  bei  ihm  zu  Ildebrandischus 
geworden.  Aber  so  einfadi  liegen  die  Dinge  dodi  nidit.  In  der  Ausstat- 
tung  Manfreds  mit  der  Aldobrandesca  konnte  sidi  namlidi,  wenn  man 
so  will,  ein  Korndien  Wahrheit  finden  lassen;  ja  bei  einigem  Gesdiidt 
hatte  sidi  sogar  auf  Grund  dieser  Verleihung  ein  gar  nidit  iibles  Edit- 
heitsplaidoyer  zugunsten  von  E  aufbauen  lassen,  wenn  die  Absonder- 
lidikeit  einer  toskanisdien  Dotation  fiir  Manfred,  und  zugleidi  die 
krasseste  aller  Abweidiungen  von  W,  dem  Herausgeber  von  E  blofi  auf- 
gefallen  ware'^). 

Zur  Klarung  der  Interpolation  wird  es  sidi  nidit  vermeiden  lassen, 
auf  einige  Einzelheiten  hinzuweisen,  die  der  Zeit  gleidi  nadi  dem  Todc 
des  Kaisers  angehoren.  Seit  dem  Umsdiwung  in  Florenz  im  Oktober 
1250  zuungunsten  der  Kaiserpartei  war  die  Reidisherrsdiaft  in  der  Tos- 
kana  am  Zerfall.  Um  zu  retten  was  nodi  zu  retten  war,  sudite  die  kai- 
serlidie  Verwaltung  mit  Hilfe  des  ghibellinisdien  Siena  wenigstens  die 
Maremma  und  Aldobrandesca  zu  sichern.  Ober  diese  Versudie  gibt  nun 
eine  seit  ihrer  Veroffentlidiung  durdi  Picker  durdiaus  nidit  unbeadi- 
tete  Urkunde  Auskunft.  Im  Rate  von  Siena  wurde  am  4.  Januar  1251 
ein  Schreiben  verlesen,  das  vom  31.  Dezember  1250  datiert  war  (also 
mehr  als  zwei  Wodien  nadi  dem  Tode  des  Kaisers)  und  in  dem  der 
Generalvikar  des  Sprengels  „Von  Amelia  bis  Corneto  und  in  der  Aldo- 
brandesca und  Maremma"  befiehlt,  der  Kommune  Siena  die  Grafsdiaft 
der  Aldobrandesca  zum  Sdiutz  gegen  Reidisfeinde  und  Rebellen  zu 
iibergeben  pro  parte  serenissimi  domini  nostri  et  illustris  viri  domini 


'*)  Wolf ,  S.  34,  bemerkt  lediglidi:  „Weiter  [d.  h.  zu  den  apulisdien  Landc- 
reien]  erhalt  Manfred  den  comitatus  Ildebrandis  [sic],  der  die  Ortc  .  .  .  um- 
faik."  Zehn  Fledicn  sind  aufgcziihlt  auf  Grund  von  BF.  441,  einer  Beleihungs- 
urkunde  Ottos  IV.  von  1210.  Wolf  hat  es  sidi  ansdieinend  gar  nidit  klar- 
gemadit,  dal.s  in  E  Manfred  zu  den  siiditalisdien  Liegensdiaftcn  nodi  eine  tos- 
kanisdie Grafsdiaft  zugesprodien  wird,  wie  er  freilidi  audi  dem  Leser  nicht 
klarzumadien  vcrsudit,  wo  eigentlidi  diese  zusatzlidie  Grafsdiaft  liegt,  die  dodi 
gar  nidit  zu  den  kalabrisdien  Besitzungen  pafit.  Infolgedessen  ist  er  mit  allzu 
grofier  Sorglosigkeit  iiber  die  Tatsadie  hinweggegangen,  dall  ihm  hicr  zur 
Gesdiidite  Toskanas  eine  einzigartigc  ..Quelle"  zur  Verfugung  stand,  mit  der 
er  sidi  zumindest  hatte  auseinandersetzen  diirfen. 


Manfredi,  filii  sui^%  War  also  Manfred  vielleidit  dodi  zum  Graf  en  der 
Aldobrandesca  gemacht  worden,  wie  es  E  vorsah?  Denn  warum  sonst 
<l'c  Nennung  seines  Namens  im  Zusammenhang  mit  der  Grafschaft?  Der 
Sachverhalt  ist  naturlich  langst  erkannt  worden20).  Aus  hochst  plausiblen 
Grunden  —  im  wesentlidien  wohl  um  Zeit  zu  gewinnen  —  hat  die 
4;^  kaiserlidie  Verwaltung  im  romisdien  Tuszien  zunachst  den  Versudi  ge- 

macht, die  Ereignisse  zu  Fiorentino  in  der  Capitanata  nidit  sofort  be- 
kanntzugeben  und  damit  das  Ableben  des  Kaisers  nodi  zu  versdileiern 
(wenn  man  will:  „geheimzuhalten")2i).  Bis  gegen  Ende  Januar  1251  gab 
also  die  Verwaltung  in  scheinbarer  Unbefangenheit  vor,  noch  im  Namen 
des  Kaisers  zu  handeln,  jedoch  unter  Hinzufiigung  des  Namens  Man- 
freds, der  ja  bis  zur  Ankunft  Konrads  IV.  als  balius  der  Kaiserherrschaft 
in  Italien  eingesetzt  war  —  ein  Umstand,  der  dem  Generalvikar  natur- 
lich nidit  unbekannt  sein  konnte'^S).  Dafi  diese  Nennung  Manfreds  als 
die  Folge  von  Bestimmungen  anzusehen  ist,  wie  sie  spatestens  im  Testa- 
ment W  festgelegt  wurden,  geht  aus  einem  Dokument  vom  27.  Januar 
1251  hervor,  in  dem  sidi  die  Gemeinde  Grosseto  denen  von  Siena  unter- 
wirft  „zu  Ehren"  des  Kaisers  und  Manfreds  und  gleichzeitig  verspricht, 
Siena  gegen  alle  zu  unterstiitzen  aufier  contra  imperatorem  et  dominum 
Manfredum  predictum  et  filios  et  heredes  ipsius  imperatoris-'^)  Die  Nen- 


'»)  Picker,  Forsdiungen  IV,  Nr.  416,  S.  427  f.,  dazu  II,  S.  518  f.,  §411; 
BFW.  13779.  Zum  Problem  selbst  hat  August  Karst,  Gesdiidite  Manfreds 
vom  Tode  Friedridis  II.  bis  zu  seiner  Kronung  (1897)  3  f .,  Anm.  4,  alles 
relevante  Material  zusammengestcllt.  Vgl.  audi  nadiste  Anmerkung. 

■-").  Vgl.  Fedor  Schneider,  Toscanisdie  Studien  V,  QFIAB.  13  (1910) 
1  ff.,  bes.  S.  2  Anm.  5. 

*')  Zur  Frage  der  „Geheimhaltung"  von  Friedridis  Tod  in  der  Toskana 
vgl.  die  Kontrovcrse  zwischen  Davidsohn  und  Schneider  in  QFIAB. 
13,  245 — 254  und  255 — 272,  bei  der  man  im  wesentlidien  Schneider,  der 
Fickers    Argumcnte  verteidigt,  wird  folgen  miissen. 

^')  Im  Gegensatz  zu  Schneider,  a.  a.  O.  261  Anm.  1,  sehe  ich  keinen 
Grund,  warum  dem  Generalvikar  die  Einsetzung  Manfreds  zum  balius  in 
Italia  nidit  auf  Grund  des  Testaments  bekannt  sein  konnte.  Manfred  selbst 
ziticrt  es  ja  wortlidi  am  15.  Dezember  in  seinem  Brief  an  Palermo  (s.  o. 
Anm.  4).  Im  iibrigen  mag  naturlich  fur  den  Eventualfall  des  Todes  des  Kaisers 
die  Vcrweserschaft  Manfreds  audi  langst  zuvor  und  au(5er-testamentarisch  ge- 
regelt  worden  sein.  Dal5  die  „Gchcimhaltung"  des  Todes  im  romisdien  Tuszien 
von  Galvano  Lancia,  und  nicht  von  Manfred,  ausgegangen  sei,  ist  eine  an- 
sprediende  Hypothese   von  Karst,  a.  a.  O. 

■-■')  Picker,  Forsdiungen,  IV,  Nr.  417  S.  428  f.;  BFW.  13786.  Dafi  die 
Exceptionsklausel  die  „S6hne  und  Erben"  auch  sonst  einsdiliefien  kann,  ist 
selbstverstandlich  wahr.  Der  Zcitpunkt  und  die  Umstande,  unter  denen  Gros- 
seto die  Verpflichtung  auf  sidi  nahm,  deuten  aber  dodi  darauf  hin,  dafi  es  sidi 
hier  nicht  um  potentielle,  sondcrn  um  aktuelle  Nadikommen  und  „Erben' 
handelt.  Schneider,  a.  a.  O.  S.  10  f.  hat  ganz  gewifi  redit,  wenn  er  sagt, 
dafi  sdion  am  27.  Januar  keiner  mehr  daran  glaubte,  daK  der  Kaiser  nodi  lebe. 


n    u 


122 


Ernst  Kantorowicz, 


nung  der  Sohne  und  „Erben"  deutet  in  diesem  Falle  dodi  wohl  eindeu- 
tig  auf  das  Testament  hin,  selbst  wenn  die  Fiktion  immer  nodi  auf- 
rechterhalten  wurde,  dafi  der  Kaiser  am  Leben  sei.   Dementsprechend 
erfolgte  also  die  Nennung  Manfreds  —  nicht,  weil  er  Graf  der  Aldo- 
brandesca,  sondern  weil  er  fur  Konrad  IV.  Reidisverweser  in  Italien  war. 
Es  ware  nun  durchaus  moglich,  dafi  der  Verfasser  von  E  die  Kompe- 
tenzen  Manfreds  nIcht  erfafit  und  darum  nicht  untersdiieden  hat   und 
dafi  er  ihm  aus  diesem  Grunde  die  Aldobrandesca  als  Erbe  zusprach.  Der 
wahre  Sadiverhalt  wird  aber  vermutlidi  sehr  viel  einfacher  und  viel 
weniger  „staatsrechtlich"  sein.  In  der  Aldobrandesca  und  Maremma  wa- 
ren  seit  Jahren  die  Verwandten  Manfreds,  die  Lancias,  als  kaiscrliche 
Beamte   tatig.    Spatestens   seit    1249   unterstand   der   Verwaltungsbezirk 
Manfreds  Onkel  Galvano  Lancia,  der  dort  als  Generalvikar  fungierte. 
Nachdem  dann  (wohl  im  Januar  1251)  Galvano  Lancia  Toskana  ver- 
lassen  hatte,  urn  sich  nach  Sizilien  zu  begeben,  blieb  als  Reichsvikar  der 
Maremma  und  Aldobrandesca  sein   Sohn   zuriick,  der  fiir  uns  erstmals 
am  8.  Januar  1251  nadiweisbar  ist  und  spaterhin  mehrfach  in  Erschei- 
nung  tritt.  Sein  Name  war  Manfred  Lancia2<).  Dafi  ein  des  Dictamens 
Beflissener  den  Reichsvikar  in  der  Aldobrandesca  mit  dem  Kaisersohn 
vertausdite,  ist  nicht  nur  verzeihlich,  sondern  auch  aufierst  naheliegend. 
Auf  diese  Weise  ist  wohl  die  toskanische  Grafschaft  in  das  Testament 
E  hineingeraten,   wobei  es  freilidi  weniger  verzeihlidi  gewesen  ware, 
hatte  wirklich  der  sterbende  Kaiser  seinen  Sohn  Manfred  mit  dessen 
Vetter  Manfred  III.  Lancia  verwechselt. 

Im  iibrigen  ist  der  Irrtum  des  Verfassers  von  E  recht  willkommen, 
weil  er  immerhin  einen  ungefahren  Anhalt  fiir  die  Datierung  des 
Stiidtes  gibt  —  vermudidi  1251.  Es  ist  wohl  audi  anzunchmen,  da(?  der 
Verfasser  irgendwo  im  mittleren  Italien  beheimatet  war,  was  moglidier- 
weise  eine  andere  Frage  klaren  konnte:  daB  namlich  der  in  W  genannte 
Notar  Nikolaus  von  Brindisi  in  E  ersetzt  wird  durch  den,  zumindcst  in 
der  Anconitaner  Mark  bekannten,  kaiserlidien  Riditer  Nikolaus  von 
Calvi25),obwohl  hier  der  Sadiverhalt  weniger  offenkundig  ist  als  im  Falle 
Manfreds  und  der  Aldobrandesca. 

Dafi  der  Verfasser  von  E  etwa  im  Interesse  Manfreds  gearbeitet  hatte, 
sdieint  nidit  wahrsdieinHdi.  Im  Gegcnteil,  Mehreres  weist  wohl  eher 
darauf  hin,  dafi  er  irgendwie  mit  kurialen  Kreisen  liiert  war,  was  der 


")  Cber  Manfred   III.   Lancia   vgl.  Schneider,  a.  a.  O    S    5ff     ISff- 
BFW.  13781.  ■  '  • 

")  Wolf,  15  Anm.  35a. 


Zu  den  Reditsgrundlagen  der  Kaisersage 


123 


Charakter  der  Escorial-Sammlung  ohnehin  nahelegen  wiirde.  So  erhalt 
z.  B.  der  Notar  Nikolaus  den  eigentiimlidien  und  sonst  nidit  belegbaren 
Titel  sacri  imperii  et  nunc  dicti  imperatoris  Frederici  notarius,  d.  h. 
der  „Reichsnotar"  wird  hier  zum  „Privatnotar"  des  quondam  imperator, 
dem  ja  vom  Papst  das  Reich  abgesprodien  ist-*).  Wenn  in  W  (§  6)  der 
Kaiser  100  000  Goldunzen  fiirs  Heilige  Land  aussetzt  pro  salute  anime 
nostre,  so  wird  in  E  diese  Wendung  unterdriickt.  Andererseits,  wenn  in 
W  der  Kaiser  bestimmt,  dafi  der  Kirdie  restituantur  omnia  iura  sua, 
salvis  in  omnibus  .  .  .  iure  et  honore  imperii,  so  wird  in  E  wiederum 
die  Salvierungsklausel  unterdriickt,  dafiir  aber  gesagt,  Friedridi  habe 
bestimmt  reddere  et  restituere  omnia  iura  omnesque  rationes  .  .  .  que 
et  quas  possidemus  in  i u  s  t  e  ,  eine  Verscharfung,  die  sdion  S  c  h  e  f  - 
fer-Boichorst  dazu  fiihrte,  das  Stiick  als  „StiliJbung"  zu  bezeidi- 
nen^T).  Und  wenn  schliefSlidi,  um  von  kleineren  Anderungen  zu  sdiwei- 
gen,  in  W  der  Kaiser  den  Sohnen  auferlegt,  die  testamentarisdien  Dispo- 
sitionen  zu  beobaditen  (§  19),  so  befiehlt  in  E  der  Kaiser  ex  autoritate 
nobis  a  iure  concessa  (ein  zumindest  iiberflussiger  Zusatz,  da  ja  jeder 
Testator  aus  der  Autoritat  des  Rechtes  heraus  seine  Dispositionen  trifft), 
dafi  das  Testament  sit  lex  a  nostra  magestate  autenticata;  und  wenn  in 
W  universis  fidelibus  bei  ihrem  Treueid  (sub  sacramento  fidelitatis) 
befohlen  wird,  dafi  sie  predicta  omnia  illibata  teneant  et  observent,  so 
wird  in  E  konsequenterweise  der  Satz  iiber  Untertanen  und  Treueid 
wiederum  ausgelassen,  dafiir  aber  das  auch  gegen  die  Sohne  gerichtete 
grobe  Geschijtz  einer  dem  „Tyrannen"  gemaBen  Ponformel  aufgefahren: 
ut  contradictores  huius  rei  ultimo  supplicio  tanquam  nobis  rebelles  et 
proditores  omnimodo  iudicentur^^).  Die  Tendenz  der  Oberarbeitung  be- 
darf  keiner  weiteren  Worte. 

Von  der  Arenga  zum  Reditsinhah  leitet  E  iiber,  indem  es  den  Kaiser 
die  tiefsinnige  Betrachtung  anstellen  lafit,  „der  Tod  sei  nidits  anderes  als 


")  Ebda.  S.  15  und  49. 

")  Ebda.  S.  6  §  17;  Scheffer-Boichorst,  S  270.  Zur  Tendenz  vgl. 
audi  obcn  Anm.  8  (Fortlassen  der  necessitas  und  Ersetzen  der  iustitia  durdi 
peccatum). 

")  Ebda.  S.  8  §19,  sdion  von  Pertz  als  unedit  angeschen  und  von 
Scheffer-Boichorst,  a.  a.  O.  S.  270  angczweifelt.  Fiir  die  Tendenz 
siehe  audi  obcn  Anm.  8,  letzte  Zeile.  W  o  I  f  ,  S.  21  f.,  sdiliefit  gerade  aus  der 
Fortlassung  der  fideles  etc.,  dafi  E  ein  Privattestament  sei.  Es  sei  hier  obiter 
bemerkt,  daft  die  Untersdicidung  zwisdien  Staats-  und  Privattestament  hodist 
ungliicklich  ist.  Ein  Staatstcstament  gibt  es  im  Grunde  gar  nidit  (respublicu  non 
habet  haeredem,  quia  semper  vivit  in  semetipsa,  sagt  B  a  1  d  u  s ,  Consilia,  III, 


1 


n   u     I    u 


124 


Ernst  Kantorowicz, 


das  Ende  des  Lebens,  das  man  im  Zeitlidien  zu  fuhren  glaube''29).  Nadi 
einer  kleinen  Vorlesung  oder  Belehrung  daruber,  dafi  „nadi  der  Norm 
des  [romisdien]  Civilrechts  Ihr,  geliebteste  Sohne,  in  dieser  Welt  unsere 
eigene  Person  darstellt"^''),  entschliefit  sidi  der  kaiserlidie  Patient,  um 
nicht  „mtestat"  zu  versdieiden,  nunmehr  nodi  ein  „nunkupatives  Testa- 
ment" zu  verfassen.  Hatte  der  Kaiser  dieses  Nunkupativ-Testament 
n  1  c  h  t  gemadit,  so  ware  er  freilidi  immer  nodi  nidit  intestat  verstor- 
ben,  da  er  ja  angeblidi  adit  Tage  zuvor  W  ausgefertigt  hatte").  Das 
Ungliidi  ware  audi  sonst  nidit  zu  grofi  gewesen,  da  das  Vorliandensein 
von  Sohnen  irgendweldie  Intestatserben  ohnedies  aussdilofi^^);  und  der 
bei  Privatleuten  gefahrlidiste  Intestatserbe,  der  Fiskus,  kam  in  diesem 
Fall  ja  nidit  in  Betradit.  Aus  dieser  Besorgnis  heraus  also  braudite  der 
Kaiser  sidi  kaum  veranlafit  gesehen  zu  haben,  nun  nodi  ein  nuncupati- 
vum  testamentum  quod  sine  scriptis  dicitur  zu  hinterlassen,  wie  es  das 
romisdie  Redit  z.  B.  im  Falle  angeborener  oder  erworbener  Blindheit 
wie  audi  im  Falle  von  Analphabetentum  des  Testators  und  sonstigem 
Unvermogen  vorsieht,  wobei  der  Testator,  falls  sieben  Zeugen  mit  dem 
Notar  als  aditem  anwesend  sind,  weder  eigenhandig  die  Namen  der 
Erben  eintragt,  wie  das  sonst  seine  Pflidit  war,  nodi  audi  den  eignen 
Namen  eigenhandig  untersdireibt^').  Dies  erklart  dann  wohl  audi  in  E 


159  n.  5  [Venedig,  1575],  fol.  45^,  wie  gewifi  sdion  vide  vor  ihm),  well  ja 
jcdes  Testament  privatrcditlidi  ist;  und  wenn  ein  Herrsdier  (wie  etwa  Karl  d. 
Gr.)  sein  Reich  unter  die  Sohne  aufteilt,  so  iiberrascht  uns  eben  die  Tatsadie, 
dafi  hier  das  Reidi  „privatreditlidi"  behandelt  wurde.  Dal5  im  ubrigen  dem 
Privatrcdit  entnommcne  Maximen  (wie  etwa  das  bckannte  Quod  omnes  tangit, 
ab  omnibus  comprobetur  [Cod.  5,  59,  5,  2];  hierzu  Gaines  Post,  Traditio  4 
[1946]  179  ff.)  formbildcnd  und  sdilielllidi  mafigebend  audi  fur  das  offentlidie 
Redit  werdcn  konnten,  ist  cine  im  Spatmittelalter  allenthalben  zu  beobaditende 
Ersdieinung.  Eincn  reditlidien  Untersdiied  zwisdien  W  und  E  vermag  idi  nidit 
zu  entdedten. 

*»)  Wolf,  S.  5  und  dazu  S.  23,  wo  das  Wort  [finis  vite . . ./  credite  trotz 
besserer  Einsidit     (S.  5,  Anm.  3  b)  als  Imperativ  aufgcfafit  wird. 

»°)  S.  unten  S.  133. 

")  Wolf,  S.  13  Anm.  27  und  S.  19  f. 

"-)  Cod.  6,  14,  2:  existente  filio  .  .  .  nemo  potest  intestato  heres  existere;  und 
dazu  Glossa  ordinaria,  v.  „existere":  ...per  suum  heredem  quivis 
alius  excluditur. 

")  Da  Cod.  Thcod.  4,  4,  2—5—7  nidit  (oder  nur  fragmcntarisdi  durdi  Justi- 
nians  Codex)  bckannt  warcn,  so  kommt  fur  das  Nunkupativtcstamcnt  im  we- 
sentlidicn  in  Bctracht  Cod.  6,  22,  8  {ut  carentes  oculis  seu  morbo  vel  ita  nati 
per  nuncupationem  suae  condant  moderamina  voluntatis,  praesentibus  septem 
testibus  . .  .  tabulario  etiam: ...  ut  sine    scriptis    testentur),  und  Cod.  6, 


\ 


Zu  den  Reditsgrundlagen  der  Kaisersage 


125 


die  Siebenzahl  (in  W  sind  es  9  bzw.  10  und  der  Notar)  der  testes  rogati 
—  letzteres  ein  tedinisdier  Begriff  (der  Gegensatz  sind  die  im  Straf- 
prozefi  befohlenen  oder  gezwungenen  Zeugen),  der  in  einer  Fassung 
von  W  audi  vorkommt,  in  E  aber  wieder  pleonastisdi  erweitcrt  wird 
(ad  hoc  vocatis  et  rogatis),  und  aus  dem  keine  weiteren  Sdilusse  gezogen 
werden  konnenS*).  Das  alles  ist  lediglidi  ein  gewisses  Sidi-Briisten  mit 
juristisdien  Kenntnissen  auf  Seiten  des  Stilisten,  bar  aller  historisdi- 
rcalen  Grundlagen. 

Nadi  dem  hier  Ausgefuhrten  ist  es  wohl  offenkundig,  dafi  E  ledig- 
lidi ein  —  vermutlidi  von  kurialer  Seite  —  literarisdi  zugestutztes 
Muster  eines  Kaisertestaments  darstellt,  das  der  Auswahl  von  Berard- 
und  Thomas-Briefen  vorangestellt  worden  ist.  Dabei  bleibt  es  in  diesem 
Zusammenhang  gleidigiiltig,  ob  man  ein  soldies  Stiidi  eine  Stiliibung 
oder  eine  Veruneditung  zu  nennen  vorzieht.  Sdiliisse  iiber  tatsadilidie 
Vorgange  in  den  letzten  Tagen  des  Kaisers  lassen  sidi  daraus  nidit  zie- 


23,  21,  1  und  4  (Quod  si  litteras  testator  ignorct  vel  subscrihere  nequeat, 
octavo  suhscriptore  pro  eo  adhihito  eadem  servari  decernimus  ...  Per  nun- 
cupationem quoque,  hoc  est  sine  s  c  r  i  pt  u  r  a  ,  testamenta 
non  alias  valere  sancimus,  ut  supra  dictum  est...).  Wolf  ist  (vgl.  S.  23, 
Anm.  11)  diesen  reditlidien  Fragcn  aus  dem  Wcge  gegangen,  „zuma!  iiber  den 
Einflufi  des  romisdien  Rcdits  auf  das  Mittelaltcr  im  Einzelnen  audi  untcr  den 
Fadileuten  nodi  mancherlei  Unkiarhcit  herrsdit".  Das  ist  moglidi;  was  uns 
jedodi  angeht,  ist  allein,  was  sidi  die  Juristen  des  13.  Jhdts.  fiir  Gedanken 
gemadit  haben  und  wie  sie  z.  B.  das  nunkupative  Testament  interprctierten. 
In  dieser  Beziehung  ist  denn  audi  die  Glossa  ordinaria  zu  Cod.  6,  22, 
8,  V.  „per  nuncupationem'  ganz  klar:  per  testamentum  nuncupativum  sine 
solennitate,  non  tamen  sine  scriptura,  ut  inst.  e.§.cecus  [=  Inst.  II,  12,  4]. 
Sed  quare  dicitur  hoc  nuncupativum,  cum  tamen  habeat  tantam  similitudinem 
cum  scripto?  Resp.  quia  testator  non  signat,  nee  suhscribit,  nee  nomen  heredis 
scribit,  quod  in  eo  /sc.  test,  scripto]  esset  necesse.  Ober  die  Bedeutung  und 
Entwidilungsgesdiidite  der  nuncupatio  in  der  klassisdien  und  nadiklassisdien 
Jurisprudenz,  auf  die  hier  nidit  niiher  eingegangen  werdcn  soil,  vgl.  B.  K  ij  b  - 
ler  V.  „Testament  (juristisdi)",  in  Pauly-Wissowa  RE.,  V  A  1  (1934)  Sp.  990, 
993,  996.  —  Aus  der  Wendung  sine  scriptis  dicitur  lassen  sich  Sdiliisse  auf 
sizilisdie  Konzepte,  Beurkundungsvorgange  u.  a.  nicht  ziehcn  (s.  oben  Anm.  10). 

»*)  Vgl.  etwa  Dig.  22,  5,  11;  Wolf,  S.  9  und  13.  Zu  den  Zeugennamen, 
soweit  sie  in  E  nicht  mit  denen  von  W  iibereinstimmen,  sei  bcmerkt,  dafi 
Rozardus  de  la  Cerr  .  .  .  natiirlich  zu  A  c  e  r  r  a  zu  ergiinzen  ist,  vielleidit 
Graf  Roger  von  Acerra,  der  in  einer  Papsturkunde  von  1255  als  verstorben 
erwahnt  wird  (BFW.  8978).  Interessant  ist  der  Zeuge  archiepiscopus  Neapoli- 
tanus  insofern,  als  der  Stuhl  1250  nur  einen  Elekten  hatte,  Berard  Caraccioli, 
der  erst  1252  konsekriert  wurde.  Auch  diese  Tatsadie  hat  Wolf  nicht  stutzig 
gemadit,  obwohl  er  sie  (S.  48;  vgl.  S.  13)  selbst  vermerkt.  Dies  ist  eines  der 
vielcn  Anzeidicn  dafiir,  dafi  der  Stilist  mit  den  Vcrhaltnissen  im  Siiden  nicht 
vertraut  war,  also  wohl  in  Mittelitalien  zu  suchen  ist. 


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Ernst  Kantorowicz, 


hen;  sic  beruhen  notwendig  auf  einer  falschen  Voraussetzung,  namlidi 
auf  der  der  Echtheit  des  Testaments.  Trotzdem  lohntc  es,  dieses  an- 
geblidie  Testament  zu  veroffentlidien;  dcnn  als  Vcruneditung  hat  es 
fiir  gewisse  Ansdiauungen  in  den  Jahren  nadi  dem  Tode  des  Kaisers 
natiirlidi  einen  Qucllenwert,  und  zwar  einen  gar  nidit  uninteressanten'5)_ 
Ein  Passus  des  Testaments  hilft  uns  zumindest,  gewisse  Grundlagen  der 
Kaisersage  scharfer  als  bisher  zu  erfassen,  vor  allem  den  fiir  die  Ent- 
stehung  der  Kaisersage  entsdieidenden  Sibyllensprudi  Vhit  et  non  vivit. 


'■''■)  Der  einzige  Anhaltspunkt  zur  Datierung  von  E  sdieint  mir,  wie  sdion 
bemerkt,  in  der  Erwahnung  der  Aldobrandesca  als  Dotation  Manfreds  zu  lie- 
gen,  was  bedeuten  wiirde,  da£  die  O'berarbeitung  ■wohl  ganz  bald  nadi  dem 
Tode  des  Kaisers,  also  im  Jahre  1251,  entstanden  ist.  Zur  Entstehung  selbst 
liifit  sidi  nidits  Genaueres  sagen.  Testament  V  ist  wohl  sdion  in  den  ersten 
Monaten  des  Jahres  1251  in  Mittel-  und  Oberitalien  bekannt  geworden,  wie 
vielleidit  audi  die  Oberlieferung  erkennen  lafit  (MG.  Const.  II,  S.  382  f.).  Der 
allem  Ansdiein  nadi  kurialen  Kreisen  nahestehende  Verfasser  von  E  hat  dies 
Testament  gekannt  und  sidi  offenbar  beeilt,  es  literarisdi  „interessant*  zu 
madicn,  indem  er  es  zureditstutzte.  Dafi  er  \P  kannte,  ergibt  sidi  unbezweifel- 
bar  aus  dem  ersten  Halbsatz  der  Arenga,  den  er  fast  wortlidi  iibernahm,  wobei 
er  jedodi  den  stilgerediten,  die  Anfangsworte  verfleditenden,  rhythmisdi  sdiwe- 
ren  Einsatz  von  V:  Primi  parentis  incauta  transgressio,  in  einen  Hexameter 
Terwandelte :  Adam  primus  parens  sic  posteris  legem  indixit.  Start  der  kurzen 
iminteressanten  Einleitung  von  W  hat  der  Verfasser  dann  eine  ,inter- 
essante"  Arenga  fabrizicrt:  in  rhetorisdie  Fragen  eingekleidcte  Banalitaten 
iiber  den  Tod;  eine  zum  Teil  baren  Unsinn  enthaltende  Verballhomung  des 
Statthalterdiploms,  dessen  Einfleditung  jedoch  den  Eindruck  erw-edken  sollte, 
„ed)t  friderizianisA"  zu  klinpcn,  wie  es  ia  audi  nidit  anders  sein  konnte,  da 
es  angeblidi  der  sterbende  Kaiser  selbst  war,  der  ^nunkupativ'  die  Vorte 
wahlte.  Zur  weiteren  Dramatisierung,  und  audi  um  die  eignen  juristisdien 
Kenntnisse  ins  Lidit  zu  setzcn,  fiigte  der  Verfasser  dann  das  Nunkupativ- 
Testament  ein.  ReportagemaCig  vminteressant  war  die  Mehrzahl  der  editen 
Bestimmungen  (§§  7 — 16  in  W),  wahrend  die  Apanagierung  der  Sohnc  »eit 
vielen  Jahren  ein  Gegenstand  allgemeinen  Interesses  war  (s.  unten  Anm.  60). 
Die  die  Sohne  betreffenden  Absdinitte  hat  er  denn  audi  im  allgemeinen  riditig 
reproduziert,  wenn  audi  teils  .-versdiont',  teils  verkiirzt  (wie  die  langweilige 
Aufzahlung  Ton  apulisdien  Giitern),  teils  mifiverstanden,  tells  aber  audi  er- 
weitert,  indem  er  die  im  Testament  Niditgenannten  so  bedadite,  wie  sidi  das 
aus  der  Situation  um  1251  zu  ergeben  sdiien.  Obwohj  nidit  ohne  kuriale  Ten- 
denz,  hat  der  Dberarbeiter  wohl  dodi  keinen  anderen  Zwei  verfolgt  als  den 
der  literarisdien  Reportage.  Politisdie  Absiditen  lagen  ihm  gewiC  ganz  fern. 


Zu  den  Reditsgrundlagen  der  Kaisersage 


127 


2.    Vivit  et  non  vivit 

Ein  der  Erythraisdien  Sibyllc  zugesdiriebenes  Vaticinium,  das  bald 
nadi  dem  Tode  Friedridis  II.  entstanden  sein  mag,  fand  verhaltnismafiig 
rasdi  betraditlidie  Verbreitung'*).  Soweit  bekannt  findet  sidi  in  die- 
ser  Wcissagung  die  friiheste  Spur  der  Sage  vom  fortlebenden  Kaiser,  die 
um  das  Motiv  von  des  Kaisers  Wiederkehr  wie  um  weitcre  Sagenstoffc 
vermehn  und  seit  1519  in  steigendem  Mai^e  auf  Barbarossa  iibertragen, 
sdilicfilidi  im  Zeitalter  der  Nadiromantik  cine  Art  politisdier  Verwirk- 
lidiung  fand,  von  der  das  Kyffhauserdenkmal  ein  spates,  wenn  audi 
vielleidit  nidit  gliidilidies,  Zcugnis  ablcgt.  In  der  sozusagen  „urspriing- 
lidicn'  Fassung  des  Sibyllinums  werdcn  nun  die  .Adlerhenncn"  auf- 
gezahlt,  die  dem  „Adler"  —  d.  h.  Friedridi  II.  —  „Adlerjunge"  be- 
sdiert  haben:  die  maurisdie  Konstanze  von  Aragon,  die  orientalisdie  Isa- 
bella von  Jerusalem,  die  britannisdie  Isabella  Plantagenet,  die  deutsdie 
Konkubine  Adclheid  (Mutter  Enzios)  und  die  gallisdie  (d.  i.  lombar- 
disdie)  Bianca  Lancia.  Dann  heifit  es  vom  Kaiser  selbst:  „Verborgencn 
Todes  wird  er  die  Augen  sdilieSen  und  fortlcbcn;  tonen  wird  es  unter 
den  Volkcm  ,Er  lebt  und  lebt  nidii',  denn  eines  von  den  Jungcn  und 
von  den  Jungcn  der  Jungen  wird  iiberleben'")." 

Eine  spatere  vcrkiirzte  Form  der  Erythraa  bezicht  sidi,  wie  mir 
sdicint,  in  diesem  Teil  eher  auf  das  Konigreidi  Trinacria,  d.  h.  die  Inscl 
Sizilien.  Vorangesdiidtt  wird  hier,  dafi  ein  „Junges  der  Jungen'  von  der 
„gallisdien  Henne",  also  von  Bianca  Lancia,  iiberlebe.  Dann  kommt  das 
Kcrnstiick:  „Scin  Tod  wird  verborgen  und  unbekanni  bleiben,  und 
tonen  wird  es  i  m    V  o  1  k  c  :  .Er  lebt  und  lebt  nichi"'^).  Ein  pullus 


")  Vgl.  fiir  das  Vaticinium  O.  Holder-Egger,  Italienisdie  Prophetien 
des  13.  Jhdts.,  NA.  15  (1890)  155  ff.,  und  fiir  die  Datierung  in  die  ersten 
Jahre  nadi  dem  Tode  des  Kaisers  S.  149  f.;  femer  P.  Kampers,  Die 
deutsdie  Kaiseridce  in  Prophetic  und  Sage  (18%)  84  ff.  und  passim,  und 
H  a  m  p  e    (s.  u.  Anm.  42),  S.  7. 

'")  Holder-Egger,  a.  a.  O.  S.  166  fiir  die  gaUinae  und  S.  168  fiir  den 
Sprudi:  Oculos  eius  morte  claudet  ahscondita  supervizetque;  sonahit  et  m 
populis:  ,Vivit,  non  vivit,'  uno  ex  pulLis  pullisque  pullorum  superstite. 

»»)  Holder-Egger,  NA.  30  (1905)  333  f.:  Et  dahitur  et  qutnta  /Gal- 
licanaj  gallina.  que  claudet  oculos  suos,  uno  tantum  ex  pullis  [pullisque  ist  m. 
A.  nadi  iiberfliissiger  und  eher  fehlleitender  Zusatz  Holder-Egger  $] 
pullorum  superstite;  cuius  mors  erit  ahscondita  et  incognita,  sonabitque  in 
populo:  .Vivit'  et  .Non  vivit'.  Idi  bin  mit  Rudolf  M.  Kloos,  Ein  Brief 
des  Petrus  de  Prece  zum  Tode  Friedridis  II.,  unten  S.  156,  Anm.  20,  gleidifalls 
der  Ansidit,  dafi  die  kiirzere  Fassung  viel  spater  als  1254  zu  datiercn  ist  und 
uomoglidi  in  die  Zeit  um  1270  und  eher  nodi  spater  gehort.  Zu  beaditen  lit, 
z.  B.,  dafi  das  in  popuUs  der  langeren  Fassung  verwandeh  ist  zu  in  populo, 
was  ansdieincnd  auf  Trinacria  zu  beziehen  ware.  Doch  licgt  es  mir  fern,  das 
Sibyllinum  neu  ausd«uten  zu  wollen. 


n   u 


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128 


Ernst  Kamorowicz, 


pullorum  wird  zwar  einleitend  nodi  genannt,  aber  dcr  Spruch  selbst, 
Vivit  et  non  vivit,  ist  kausal  nidit  mehr  so  deutlich  mit  dem  Vorhanden- 
sein  von  Sohnen  und  Enkcln  verkniipft  wie  in  der  friiheren  Fassung. 
Die  Weissagung  wurde  sparer  von  Fra  Salimbene  in  seiner  Chronik 
mehrfadi  zitien,  und  in  keinem  Falle  fehlt  der  entscheidende  Satz  Vivit 
et  non  vivit,  auf  den  audi  andere  Autoren  deutlidi  anspielten^*).  Es  fallt 
dennodi  auf,  daB  Salimbene  nur  ein  einziges  Mai  den  volien  Sprudi 
erwahnt  mit  Nennung  der  pulli,  und  audi  da  ist  das  Forrleben  des  Kai- 
sers bereits  abgelbst  von  den  Deszendenten,  die  an  den  anderen  Stellen 
sdion  gamidit  mehr  erwahnt  werden*"). 

Seltsamerweise  hat  man  es  bisher  verabsiiumt,  die  sdilagende  Parallele 
zu  diesem  Sprudi  heranzuziehen,  die  dodi  mandies  verdeutlidit.  In  dem 
Kapitel  zum  Lob  gutgeratener  und  gutgezogener  Kinder  heifit  es  bei 
Jesus  Siradi  (30,  4):  Mortuus  est  pater  .  .  .  et  quasi  non  est  mortuus, 
similem  enint  reliquit  post  se.  Das  Sibyllinum  Vivit  et  non  vivit  wendet 
also  nur  ins  Affirmative,  was  Jesus  Siradi  gleidisam  negativ  ausgedriidst 
hat:  mortuus  est  et  quasi  non  est  mortuus.  Genauer  gesagt:  der  Vcter 
stirbt  zwar,  ist  jedodi  nidit  tot,  weil  er  ja  „seinesgleidien  hinter  sidi 
gelassen  hat."  Das  Fortleben  des  Vaters  ist  verbiirgt  im  Sohne.  Das  ist 
nun  offenbar  genau  das  Gleidie,  was  der  Sibyllensprudi  —  zumindest 
in  der  urspriinglidien  langeren  Fassung  —  zum  Ausdrudi  bringen 
wollte:  Vivit,  non  vivit,  uno  ex  pullis  pullisque  pullorum  superstite 
Sdion  in  der  zweiten,  kiirzeren  Fassung  der  Er^'thraisdien  Sibylle  ist 
dcr  Kausalsatz,  oder  kausale  Ablativus  absolutus,  fortgelassen,  der  wie 
bei  Jesus  Siradi  das  Fortleben  des  Vaters  begriindet  durdi  das  Ober- 
leben  von  —  und  darum  in  —  Kindern.  Start  dessen  wird  vielleidit 
sdion  in  der  spateren  Sibylle  und  ganz  gewifi  bei  Salimbene  das  Fort- 
leben gleidisam  mystif iziert :  „Sein  Tod  wird  verborgen  und  unbekannt 
bleiben",  und  darum  wird  es  heifien  „Er  lebt  und  lebt  nidit".  Nidit  so 
sehr  wegen  des  Fortlebens  in  den  Kindern,  sondern  wegen  der  Ver- 
borgenheit  des  Todes  lebt  der  Vater,  der  Kaiser,  gehcimnis- 
voll  weiter.  Das  ist  natiirlidi  ein  vollkommen   anderer  und  neuer  Ge- 


•■»•)  Salimbene  di  Adam,  ed.  H  o  1  d  c  r  -  E  g  g  e  r  ,  MG.  SS,  32,  S.  174,  243, 
347.  537  stets  in  der  Form  in  populis,  nidit  in  populo.  Vgl.  fiir  einen  Anklang 
das  Sdireiben  des  Petrus  dc  Precc  bei  K  !  o  o  s  ,  unten  S.  152,  Anm.  5,  der  mit 
Redit  auf  die  Sadisisdie  Weitdironik  verweist  (MG.  Dt.  Chron.  2,  S.  258  c.  399). 

*")  Nur  S.  537  hat  Salimlieni;  die  voile  Fassung  mu  dem  Nadisatz  iiber  die 
pulli,  die  aber  keine  entsdieidende  RoUe  spielen.  S.  174,  243,  347  hat  der 
Sprudi  eini-  ganz  andere  Bedcutung,  da  von  den  Nadikommen  nidit  mehr  die 
Rede  ist. 


2u  den  Reditsgrundlagen  der  Kaijersage  i29 

danke,  der  vielieidit  durdi  die  hodist  zwdfelhafte,  in  jedem  Fall  nur 
regionale  und  ganz  kurzfnsnge,  sogenannte  ^Gehdmhaltung"  des  To- 
dcs  Fnedndis  II.  durdi  Manfred  irgendweldien  Nahrungsstoff  erhalten 
har^i).  Diese  mysnfizierte  Version  soli  uns  hicr  nidit  weiter  angehen, 
wohingegen  die  Vei.s.sagung  „Er  lebt  und  lebt  nidit"  im  Zusammenhang 
niu  der  Frage  dynastisdier  Sukzession  dodi  von  erheblidiem  Interesse  ist. 
Um  zunadist  bei  den  Sibyllen  zu  bleiben,  so  hat  Karl  H  a  m  p  e  eincn 
Brief  Oder  erne  Flugsdirift  der  Leute  von  Tivoli  veroffentlidit,  in  dem 
diese   den   Tod   des  Kaisers   beklagten   (ca.   Januar   1251)«).   Was   die 
Sibylle  -  dodi  wohl  die  Tiburtma  -  verheificn  habe,  naml.di,  dafi  „zu 
seiner  2eu  die  Sdiollen  fruditbar  sein  wurden",  das  habe  der  Kaiser 
erfullt,  dessen  messianisdies  Kaisertum  nunmehr  der  Sohn   Konrad  IV 
fortsetzen  wurde.  Dabei   bedienten  sidi   die  Tiburtiner  in  ihrer  Flug- 
sdirift des  Vergleidis  mit  der  Sonne:  „Gleidi  der  Sonne,  wenn  sic  von 
der  Himmelsadise  in  das  westlidie  Meer  smkt,  so  hinterlaUt  Friedridi 
im  Westen  eine  Sonne  als  Sohn,  deren  Morgenrote  im  Osten  sdion  zu 
leuditen  beginnt,  wahrend  nodi  die  Sterne  am  Himmelsgewolbe  fun- 
keln«).-    Auf   das   Mythologumenon    braudit   hier   nidit   nahcr  eingc- 
gangen  zu  werden,  da  es  bekanm  genug  ist:  der  lugubre  Tod  des  Helios 
an  jedem  Abend,  jedem  Wintersolsticium,  und  sein  Viederersdiemen  an 
jedem  Morgen,  jedem  Jahresbeginn  als  ein  vr';n,o;  draTf/J.w,'").  Worauf 
es  hier  ankommt,  ist  die  Identitat  zwisdien  Vater  und  Sohn  oder,  um  im 
Bilde  zu  bleiben,  zwisdien  der  sdieidenden  und  der  aufgehenden  Sonne, 
die  zwar  wediselt,  aber  dennodi  stets  die  gleidie  Sonne  bleibt.  Die  Iden- 
titat gewahrleistet  dabei  audi  die  Kontinuitat:  wie  der  Vater  so  wird 
der  Sohn  ein  Friedefurst  sein,  „dem  Manfred  mit  den  iibrigen  Briidcm, 


*')  Zu  der  Geheimhalrung  des  Todes  vgl.  ober  Anm.  21  die  Kontroverse 
zwisdien  D  a  v  ,  d  s  o  n  und  Fedor  Schneider  m  QFIAB.  13,  S.  245—272 
be,  der  kaum  viel  mehr  herauskommt  als  ein  quasi  sibyllinisdies ' , VerheimTidit 
und  dodi  nidi,  verheimlidit". 

*\^j"f  Tt'"'',^""'  ^'^^^  Verkniipfung  der  Weissagung  vom  Endkaiser 
mu  Fnedndi  II.  und  Konrad  IV.  (SB.  Heidelberg  1917,  Nr.  6). 

■'•■')^Ebda.  S.  18  audi  S.  11.  Hampe  iibersetzte  ioifm  gcminm  mit  „Sonnen- 
sohn  .  was  der  Bedeutung  n.dit  ganz  geredit  wird.  genau  wie  sol  puer  nidit 
„Sonnenknabe  ,st,  sondern  die  nodi  „knabenhafte  Sonne".  Da  Sonne  im 
Ueutsdien  we.blidi  ist,  konnte  man  geneigt  sein,  sol  gertitus  mit  .Toditer- 
bonne  zu  ubersetzen,  was  zwar  den  Sinn  trafe,  wegen  der  Beziehung  auf 
Konrad  IV.  ,edod,  n.dit  angangig  ist.  Idi  habe  deswegen  die  Vendung  mit 
„bonne   als    Sohn"   iibersetzt. 

KriinH^T'^^R  «"'f,"u'^  ^^'  Zauberpapyr.  vgl.  Franz  Boll,  Griediisdie 
Sua  al  K  K  "'^"'^"'-E  ^91°)'  S.  42.  35.  Der  Mythos  von  Helios,  der 
taghch  als  Knabe  semen  Lauf  begmnt,  war  naturl.di  ganz  genau  bekannt.  Der 
mit  Unredit   oder  Redit   dem  Alexander  Neiam   (gest.   1217)   zugesdiriebene 

V     UcutsdiM  Ardiiv  XI 11 


'  I    u 


130 


Ernst  Kantorowicz, 


vom  Vater  weise  und  bestimmt  bevollmaditigt,  die  Pfade  der  kaiser- 
lidien  Majestat  bercitet."  Kurz,  das  Bild  des  Jesus  Sirach,  wonadi  der 
Vater  zwar  gestorben,  jedodi  nicht  tot  sci,  weil  cr  similem  reliquit  post 
sc,  ist  hier  auf  die  Sonne  iibertragen,  die  zwar  allabendlidi  dem  Tode 
verfallt,  abcr  doch  nie  wirklich  tot  ist,  weil  sie  sidi  alimorgcndlidi  er- 
neuert  —  aliusque  et  idem  nasceris,  wie  Horaz  im  Sakulargedidit  (10  f.) 
den  Sonnengott  anredet. 

Wenig  spater  schrieb  der  Notar  und  spatere  Vicekanzler  der  jiingeren 
Staufer,  Petrus  de  Prece,  einem  Ungcnannten  einen  Brief,  in  dem  er  die 
Behauptung  zuriidcwies,  es  sei  mit  dem  Tode  Friedridis  II.  das  Kaiscr- 
tum  der  Staufer  erioschen:  wenn  wirklidi,  wie  gesagt  wiirde,  der  „Adler 
der  Friihe"  verstorben  sei,  so  lebe  er  doch  weiter  in  vielen  iiberlebenden 
Adlerjungen,  die  aus  ihm  hervorgegangen  seien'*^).  Die  Anlehnung  an 
die  Erythraisdie  Sibylle  ist  deutlidi  genug  und  vom  Herausgeber  des 
Briefes  audi  voll  gewiirdigt  wordcn*^).  Zu  unterstreidien  ware  nodi, 
daC  hier  —  anders  als  bei  Salimbene  —  nidit  das  leiseste  Sdiwanken 
vorhanden  ist,  wie  denn  die  Sibylle  zu  interprctieren  und  das  Fortlebcn 
des  Kaisers  zu  begriinden  sei:  vivit  in  pullis  superstitihus.  Es  lohnt,  sidi 
dieser  Tatsadie  zu  erinnern.  An  andercr  Stelle  spridit  Petrus  dc  Prece 
davon,  dafi  das  „himmlisdie  Haus  der  Augusti  ununtcrbrodicn  (perpetuo) 
in  seinen  Gestirnen  leudite*^)",  und  daP  iiberhaupt  dem  illustrissimum 


so^.  Mythographus  III,  c.  8,  4,  ed.  G.  H.  Bode,  Scriptores  rerum  mythica- 
rum  latini  tres  (Celle  1834)  201,  Z.  30  ff.,  sagt:  [Solem  =  ApollmemJ  imher- 
hem  pingunt,  quod  singulis  diebus  renascendo  quasi  iunior  videatur,  und  inier- 
pretiert  weiterhin  den  Beinamen  Phoebus  als  novus,  und  zwar  quod  revera  sol 
in  ortu  sun  quotidic  novus  appareat.  Ahnlidi  sdion  der  Mythographus  II 
(c.  19,  ed.  Bode,  S.  81,  Z.  8).  Auf  dem  Mythopraphus  III  fufite  dann  Petrus 
Berdiorius  (Pierre  Bersuire),  der  Freund  Petrarcas,  der  un\  1340  sdirieb  und 
spater  unter  dem  Namen  Thomas  Walleys  gedrudct  worden  ist  (Metamorphosis 
Ovidiana,  Paris  151.S — 16,  fol.  VP).  Dessen  Exegesc  wurdc  dann,  wie  jiingst 
Sabine  K  r  ii  g  e  r  ,  DA.  12  (1956)  210  f.  gezeigt  hat,  von  Dietridi  von  Nieheim 
fiir  seine  Sdiolien  zur  Alexandersage  benutzt.  Zur  Oberlieferung  vgl.  H. 
Liebeschiitz,  Fulgentius  Metaphoralis  (1926),  bes.  15  ff.,  41  ff.;  E. 
Panofsky,  Hercules  am  Sdieidewege  0930)  1 1  ff.  und  passim.  Zum  stcrben- 
den  Helios  vgl.  besonders  F.  J.  D  6  1  g  e  r  ,  So!  Salutis  -  (Mijnstcr  1925)  343  ff. 
und  passim. 

■'■'')  Vgl.  die  Edition  des  Briefes  von  R.  M.  Kloos,  der  mir  freundlidier- 
weise  einen  Sdireibmasdiinendurdisdilag  seines  Aufsatzes  uberliefi,  unten 
S.  151 — 170.  Don  S.  169  f.:  .  .  .  de  orientali  videlicet  aquila  quam  dtcitis  occi- 
disse,  que  si  pro  certo  decessit  ut  fertur,  vivit  tamen  in  pullis  multis  superstiti- 
hus ex  eodem. 

«)  Kloos,  a.  a.  O.  S.  170,  Anm.  7. 

*')  Vgl.  Eugen  M  ii  11  e  r  ,  Peter  von  Prezza,  ein  Publizist  des  Interregnums 
(Abh.  Heidelberg  1913)  S.  75,  und  den  Text  (ut  tanquam  coelestis  Augustorum 
stellata  syderihus  perpetuo  radiaret)  bei  D  e  1  Re,  Cronisti  e  scrittori  (1868) 
II,  679,  §  23. 


Zu  den  Reditsgrundlagen  der  Kaisersage 


131 


germen  ah  augustorum  sanguine  longo  legittime  derivatum*^)  eine  be- 
sondcre  Mission  innewohne,  w,e  dies  naturlidi  langst  bcobaditet  worden 
ist«).  Dabei  ist  aber  in  diesen  Stiiden  fast  durdigangig  das  dvnastische 
Element  dem  personlidien   Element,   dem   individuellen   Throninhaber, 
ubergeordnet,  am  starksten  vielleidit  in  Manfreds  Romermanifest,  das 
gleidifalls  Petrus  de  Prece  zum  Verfasser  hat^O).  Hampe  hat  .sehr  riditig 
bemerkt,  dafi  in  dem  Brief  der  Tiburtiner  personlidie  Eigensdiaften  des 
^Endkaiscrs"  von  Fricdrich  II.  auf  Konrad  IV  ubcrtragen  worden  sind, 
obwohl  dodi  der  Begriff  selbst  sidi  gegen  jedc  Pluralisierung  spcrrcn 
miifitesi).  In  dieser  Hinsidit  geht  Petrus  de  Prece  wohl  nodi  einen  Sdiritt 
welter,  wenn  er  Konradin  als  Erneuerer  emer  felix  etas  und  der  aurea 
saecula  verheifit62),  wie  frcilich  sdion  vor  ihm  Manfred  die  Viederkehr 
der  aurea  tempera  unter  Konrad  IV.  crwartct  hatte«s).  Es  ist  fast  wie 
m  spatromisdier  Zeit,  als  von  jedem  neuen  Kaiser  bei  seinem  Rcgierungs- 
antritt  gleidisam  automatisch  der  Beginn  eines  goldenen  Zeitalters  pro- 
klamien  wurde").  Was  dort  jedodi  am  Kaiseramt  hing,  wird  nadi  1250 
weitgehend  mit  der  Dynastie  verknupft,  die  ja  —  wie  das  personifizicrtc 
Amt  selbst  —  ihrc  eigene  Kontinuitat,  ja  Sempiiernitat  hattc. 

Dieser  Kontinuitat  hat  sdion  zu  Lebzeitcn  des  Kaisers  der  Abt  Niko- 
laus  von  Bari  Ausdrud  gegeben^S).  In  seinem  Enkomium  auf  Friedridi 
II.  verhieC  er  dem  Reidie  der  Kaisererben  Dauer  bis  zum  jiingsten 
Gcricht:  die  progenies  werde  herrschen  bis  zum  Ende  der  Welt,  weil  mit 
dem    Gesdiledit    „am    Tag    seiner    Bewahrung    das    Furstentum    ruhe" 


**)  Vgl.  Kloos,  Petrus  de  Prece  und  Konradin,  QFIAB.  34  (1954)  97,  J  9. 

*•)  Vgl.  Kantorowicz,  Erg.-Bd.,  S.  222  ff. 

")  MG.  Const.  II,  Nr.  424  S.  559  ff.  Es  sollte  betont  werden,  da£  Petrus 
de  Prece  als  der  Hauptherold  des  staufischen  Dynastiekultes  betraditet  wer- 
den muC,  vielleidit  neben  Heinrich  von  Isemia. 

")  Hampe,  a.  a.  O.,  S.  14. 

«)  Kloos,  QHAB.  34,  S.  98,  §  10. 

")  BF.  4633,  C  a  p  a  s  s  o  ,  Hist,  diplom.,  S.  6  (an  die  Palennitaner) :  ut . .  . 
aurea  iam  rediisse  tempora  gratulentur. 

")  A.  A  1  f  6  1  d  i  ,  Der  neue  Weltherrsdier  der  IV.  Ekloge  Vergils,  Hermes 
65  (1930)  369—384,  bes.  375;  audi  Rom.  Mitt.  50  (1935)  89  und  passim.  Der 
Topos  durchzieht  nodi  die  karolingisdie  Hofdichtung  (Sedulius  u.  a.). 

")  Kloos,  Nikolaus  von  Bari,  eine  neue  Quelle  zur  Entwidtlung  der 
Kaiseridee  unter  Friedridi  II.,  DA.  11  (1954)  166—190,  veroffentlidite  erstmals 
die  ganz  ungcwohnlidi  mteressanlen  Stijdte,  die,  obwohl  in  vielem  nur  Bc- 
kanntes  bestatigend,  dennodi  em  voUig  neue*  Lidit  auf  den  ,Kai»erkult'  unter 
Friedrich  II.  werfen. 


n    u 


I    U 

I    u 


132 


Ernst  Kantorowicz, 


(Ps.  109,3)  und  in  all  seinen  Vikaren  Christus  gegenwartig  sei^S).  Dafi 
fiir  Nikolaus  von  Bari  das  imperiale  semen  gleichsam  vom  Himmel 
kommt  (de  celo  venit)  und  darum  alien  anderen  Furstenhausern  ubcr- 
legen  ist,  gehort  in  einen  anderen  Zusammenhang  —  ein  Gedanke,  der 
in  Manfreds  Romermanifest  dann  breit  ausgesponnen  ist^^).  Die  Idee  der 
Fortdauer  hingegen  ist  nidit  weniger  eindeutig  dargelegt  in  Manfreds 
Brief  an  Konrad  IV.,  in  dem  sich  audi  das  Sonnenbild  der  Tiburtiner 
wiederfindet:  „Es  sank  die  Sonne  der  Welt,  die  unter  den  Volkern 
leuchtete;  es  sank  die  Sonne  der  Gcrechtigkeit;  es  sank  der  Urheber  des 
Friedcns";  den  Volkern  aber  erwadise  Hoffnung,  ja  vollige  GewiKheit 
und  sicheres  Vertrauen,  denn  „mag  audi  jene  Sonne  sidi  zum  Untergang 
bereitet  haben,  so  ist  dodi  durch  den  Ordo  einer  gewissen 
Kontinuitat  ihr  erneutes  Leuditen  in  Eudi  [sc.  Konrad  IV.]  ge- 
geben,  und  so  glaubt  man  nidit,  da6  der  Vater  abwesend  sei,  da  man 
hofft  er  lebe  im  SohneSS)."  Der  Manfredbrief  bringt  im  Grunde  nur  das. 


"")  Vgl.  das  Enkonium  auf  Friedridi  II.,  §11  (Kloos,  S.  172f.).  Aus- 
gehend  von  Genesis  49,  10  (Jakob  seine  Sohne  um  sidi  versammelnd)  bezieht 
Nikolaus  die  Segnung  des  Juda  auf  Friedridi  II:  „Es  wird  das  Szepter  nidit 
entwendet  werden  von  der  Hand  des  Herrn  Friedridi  nodi  der  Stab  des 
Herrsdiers  von  seinen  Lenden  . .  .  ,donec  veniat  qui  mittendus  est',  id  est 
Christus  ad  iudicium,  hoc  est  usque  ad  fincm  mundi,  que  progenies  imperabit, 
quia  ,seciim  est  principtum  in  die  virtutis  suae'  [Ps.  109,  3],  id  est  Christus 
in  omnibus  suis  vicariis".  Das  dynastisdie  Moment  ist  in  den  Lobspriidien  des 
Nikolaus  iiberaus  stark  vertreten,  und  obwohl  in  ihnen  die  biblisdien  Beziige  do- 
minieren,  so  gibt  es  dodi  zahlreidie  Verbindungslinien  zu  der  Feier  der  Cesarea 
stirps,  die  wir  von  Petrus  de  Prece  (etwa  in  Manfreds  Romermanifest)  her 
kennen.  Zur  Kontinuitat  audi  obcn  Anm.  47. 

")  Vgl.  Kloos,  S.  170  §  4  fiir  die  Preisung  der  nobilitas  generis,  die  sidi 
von  Kaisern  und  Konigen  herleitet:  qui  de  celo  venit  [Job.  3, 'i'l],  super  omnes 
est,  id  est,  qui  de  imperiali  seminc  descendit,  cunctis  nobilpr  est.  Derartiges  kennen 
wir  sonst  eigentlidi  nur  zum  Preis  der  franzosisdien  Dynastie  (und  audi  da  im 
Grunde  erst  seit  dem  Ende  des  13.  Jhdts.),  wobei  naturlidi  die  staufisdi-romi- 
sdien  divi  imperatores  durdi  die  sancti  reges  Frankreidis  ersetzt  werden;  vgl. 
etwa  (um  von  Dubois  und  allbekanntem  Material  zu  sdiweigen)  Dom  Jean 
Leclercq,  Un  sermon  prononce  pendant  la  guerre  de  Flandre  sous  Philippe 
le  Bel,  Rev.  du  moyen  age  latin  1  (1945)  165—172,  besonders  S.  169  Z.  21: 
/die  sancti  reges  Francie]  sanctitatem  generant,  cum  generent  sanctos  reges. 
Zu  vergleidien  ist  Vergil,  Aeneis  IX,  642:  dis  genite  et  geniture  deos;  audi 
Seneca,  Consol.  ad  Marcum,  XV,  1:  Caesares  qui  dis  geniti  deosque  genituri 
dicuntur,  und  eine  (naturlidi  damals  nidit  bekannte)  Insdirift:  diis  geniti  et 
deorum  creatores  (CIL.  Ill,  710:  Diocletian  und  Maximian).  In  der  Kriegs- 
predigt  ist  das  Ersetzen  der  dii  durdi  sancti  ganz  ofFenkundig. 

»")  BF.  4634,  Huillard-Br^holles,  Hist,  dipl.  VI,  811:  ...  ut  licet 
occasum  sol  ille  petierit,  per  cuiusdam  tamen  c  on  t  in  u  a  t  o  n  i  s  or  din  em 
relucescat  in  vobis . . .  et  sic  pater  abesse  nan  creditur,  dum  vivere  speratur  in 
filio. 


Zu  den  Rechtsgrundlagen  der  Kaisersage 


133 


was  sdion  das  editc  Kaisertestament  (W)  ausgesprodien  hatte:  der  Kaiser 
sagte  darin,  cr  disponiere  fiir  seine  Sohne,  „damit  wir,  wiewohl  mensdi- 
lidicn  Dingen  cntrafft,  dcnnoch  zu  lebcn  sdieincnSS)." 

Es  ist  also  nidit  ganz  von  ungefahr,  dafi  in  der  Erythraisdien  Sibylle  der 
Gedanke  des  kaiserlidien  Fortlebens  —  Vivit  et  non  vivit  —  ersdieint  und 
zunadist  audi  ganz  riditig  mit  den  Nadikommen,  den  pulli,  verknupft 
worden  ist;  das  heifit,  es  handelte  sidi  audi  in  dem  Sibyllinum  zunadist 
um  nidits  anderes  als  um  das  Fortleben  der  kaiserlidien  Dynastie,  um 
das  Fortleben  des  Kaisers  in  Sohn  und  Enkel,  und  nidit  etwa  um  das 
ratselhafte  Fortleben  der  individuellen  Person  selbst,  Friedridis  II.  Die 
vielfadie  Besdiaftigung  mit  den  Sohnen  in  Kundgebungen  und  Rela- 
tionen  jeglidier  Art  mag  dem  Sibyllenautor  Derartiges  nahegelegt  ha- 
ben«'');  und  in  diesen  allgemeinen  Rahmen  gehort  audi  das  in  der 
Escorial-Handsdirift  uberlieferte  Testament  E. 

Dieses  Testament  ist  fur  das  tiefere  Verstandnis  der  ganzen  Thcoric 
des  dynastisdien  Fortlebens  um  so  widitiger,  als  wir  in  ihm  eine  deut- 
lidie  Wendung  ins  Juristisdie  wahrnehmen.  Die  Arcnga,  die  sidi  zunadist 
rem  rhetorisdi  in  bibliscb-philosophisdien  und  poetischen  Betraditungen 
iiber  den  Tod  ergeht,  gleitet  dann  hinuber  in  juristisdies  Gedankengut, 
um  sdiliefilidi  zu  den  konkreten  Erbsdiaftsbestimmungen  zu  gelangen. 
Der  sterbende  Kaiser  habe  sidi  dabei  direkt  an  seine  Sohne  gewandt: 

Videntihus  itaque  nobis  in  mundo  per  sonaliter  plus  non  posse 
consistere  .  .  .per  suhstitutum  fulgere  procuramus  et  vivere  , 
cum  iuxta  legum  civilium  normam,  o  filii  karissimi,  nostram  personam 
proprtam  presentetis  in  mttndo.  Scriptum  est  enim:  .  Q  «  /  videt  me  , 
V  id  e  t  e  t  p  a  t  r  em  me  um"  (Job.  14,  9)8i). 

Es  lohnt,  dicscn  Paragraphen  genau  durdizuinterpretieren.  Der  Ici- 
tcnde  Gedanke  des  ersten  Halbsatzes  entspridit  etwa  dem  Statthaltcr- 
diplom,  zumal  in  der  Fassung  von  1240  fur  Pandulf  von  Fasanella: 
der  Kaiser,  so  heifit  es  da,  setzte  einen  Generalvikar  ein  quia  presen- 
tialiter  uhique  adesse  non  possumus,  ubi  longe  lateque  potentialiter  pre- 
minemus^^).    Der    gleidie    Gedanke    war    sdion    vorher    in    einem    der 


*•)  MG.  Const.  II,  S.  385  Z.  12f.:  sic  de  imperio  ...  [et  filiis  nostrisj 
duximus  disponendum,  ut  rebus  humanis  absumpti  vivere   videamur. 

••)  Vgl.  fiir  Friedridi  II.  und  seine  Sohne  im  Jahre  1247,  Kantorowicz, 
Erg.-Bd.,  S.  302  ff.,  die  Nadirichten  der  Piacentiner  Annalen  und  des  Mai- 
nardin  von  Imola;  vgl.  ebda.  S.  307  Anm.  26. 

•')  Wolf,  a.  a.  O.  S.  5  f . 

«)  MG.  Const.  II,  Nr.  223  S.  306  Z.  37  f. 


'  /    U      I    u 


134 


Ernst  Kantorowicz, 


Defensa-Gesctze  des  Liber  augustalis  erortert  worden*')  und  findct  sidi 
audi  in  einer  Stiliibung  der  Briefsammlung  des  Petrus  de  Vinea  wiedcr 
sowie  in  den  Statthalterdiplomen  Konrads  IV.64).  DIese  Statthalter  sind 
(z.  B.  im  Falle  Enzios)  persone  nostre  speculum^^),  sie  sind  tamquam 
nostre  ymaginarium  visionis^^)  oder  audi  quasi  partes  .  .  .  corporis 
[nostriP'').  Diese  Idee  der  kaiserlidien  Stellvertretung  ist  in  dem  Testa- 
ment gleidisam  von  den  Statthaltem  auf  die  Erben  iibertragen:  da  der 
Kaiser  personaliter  nidit  mehr  in  der  Welt  sein  kann,  so  wolle  er  durdi 
einen  Ersatzmann  leuditen  und  leben  —  per  substitutum  julgere  et 
vivere.  Die  Obertragung  dieser  Idee  sdiliefit  jedodi  eine  nidit  unwesent- 
lidie  Veranderung  ein:  die  Statthalterdiplome  und  verwandte  Zeugnisse 
implizieren  eine  kaiserlidie  U  b  i  q  u  i  t  a  t ,  eine  Allgegenwart  des  Kaisers 
im  Raume;  Testament  E  jedodi,  wie  iibrigens  audi  das  edite  Testament  W, 
impliziert  sozusagen  eine  kaiserlidie  Sempiternitat,  eine  immer- 
wahrende  Gegenwart  des  Kaisers  in  der  Zeit^^). 

Hierbei  ist  nun  der  Wortlaut  von  E  nidit  ohne  Bedeutung;  denn 
per  substitutum  oder  per  subrogatum  vivere  ist  juristisdier  terminus 
tedinicus.  Dig.  5, 1,  76  behandelt  die  Frage,  ob  ein  Geriditshof,  bei  dem 


•')  Lib.  aug.  I,  17;  vgl.  dazu  Kantorowicz,  Invocatio  nominis  impera- 
toris,  Bollettino  del  Centro  di  Stud!  Filologici  e  Linguistic!  Sicilian!,  3  (1955) 
35 — 50.  Hinzuzufijgen  ware  noch  Vinea,  Ep.  II,  8,  ein  Manifest  an  die  Romer, 
wo  es  hei£t:  licet  nostra  non  sit  ubique  corporalis  praesentia,  nostrae  tamen  ad 
longinquos  or  bis  terminos  laxantur  habenae. 

'*)  Vinea  III,  69.  Fur  Konrad  IV.,  vgl.  MG.  Const.  II,  Nr.  344  S.  452 
Z.  2  ff.:  Verum  cum  per  individuitatem  persone  simul  et  semel  ubique  perso- 
naliter nostra  serenitas  adesse  non  possit,  ut  noscant  subditi  longas  regibus 
esse  manus  [Ovid,  Ep.  XVI,  166]  . . .  Das  mehrfadie  Zitieren  der  Ovidstelle 
im  Umkreis  der  sizilisdien  Staufer  ist  auffallend;  cf.  Kloos,  DA.  11,  S.  175 
§  16,  fiir  Nikolaus  von  Bari;  ferner  Marinus  de  Caramanico,  v.  .Ubique 
potentialiter'  zu  Liber  Augustalis,  I,  17  ed.  Cervone  (Neapel,  17),  S.  41; 
s.  audi  Kantorowicz,  a.  a.  O.,  S.  40,  Anm.  21.  An  die  staufischen  Vor- 
lagen  (ohne  die  Ovidstelle)  lehnte  sidi  dann  auch  die  Kanzlei  Karls  von  Anjou 
an;  vgl.  etwa  R.  T  r  i  f  o  n  e,  La  legislazione  angioina  (Neapel  1921)  77,  Z.  18. 

«)  MG.  Const.  II,  Nr.  217  S.  302  Z.  5. 

••)  Ebda.  Nr.  422  S.  554  Z.  5.  Zugrunde  liegt  hier,  wie  in  zahlreichen  ahn- 
lidien  Fallen,  etwa  Cod.  7,  62,  16  (Cod.  Theod.  11,  30,  11):  Vikare  und 
Riditer  .qui  imaginem  principalis  disceptationis  accipiunt'.  Vgl.  etwa  Lucas 
de  Penna,  zu  Cod.  11,  40,  4,  n.  1  (In  Tres  Libros;  Lyon,  158?),  S.  446,  zum 
Worte  imagines:  Alias  ponitur  [imago]  pro  simulatione  vel  fictione  . .  . 
eo  quod  id  quod  agitur  veritatis  figuram  repraesentat.  Sic  delegatus  dicitur 
imago  delegantis.  supra  de  appel.  etiam  (=   Cod.  7,  62,   16). 

•')  Petrus  de  Vinea,  III,  69,  ed.  H  u  i  1  1  a  r  d  -  B  r  ^  h  o  1 1  e  s ,  Hist,  dipl., 
IV  S.  246.  Zugrunde  liegt  hier  Cod.  9,  8,  5  rubr.:  nam  et  ipsi  /sc.  senatores] 
pars  corporis  nostri  sunt. 

•')  Fiir  die  kaiserliche  Ubiquitat  vgl.  meinen  oben  (Anm.  63)  zitierten 
Aufsatz. 


durch  andere  ersetzt  seien  (et  alll 
fuerunt  els  subsUtutl  helsit  es  in  der 


Z,u  den  Keausgi  uiiuia^wi  >jci  »»..,.,w.-_j, 


135 


im  Laufe  des  Verfahrens  ein  oder  mehrere  Riditer  ausgesdiieden  und 
Glossa  ordinaria  des  Accursius  zu  diesem  Gesetz),  noch  den 
gleichen  Geriditshof  darstelle.  Die  Frage  wird  bejaht,  denn:  eine  Legion, 
von  deren  Mannschaft  viele  gefallen  und  durch  andere  ersetzt  seien, 
aieibe  stets  die  gleiche  Legion;  ein  Yolk  sei  heute  das  gleidie,  das  es  vor 
hundert  Jahren  war,  obwohl  keiner  der  damals  Lebenden  nodi  am  Le- 
ben sei;  ein  Schiff,  dessen  Planken  nach  und  nach  allesamt  ersetzt  seien, 
bleibe  dennoch  das  gleiche  Sdiiff ;  und  eine  Sdiafherde,  so  fiigt  die  Glosse 
hinzu,  bleibe  durch  Substitution  stets  die  gleiche  Herde.  In  diesem  Sinne 
bleibt  daher  der  Gerichtshof  immer  der  gleiche,  auch  tribus  vel  duobus 
iudicibus  mortuis  et  aliis  subrogatis^*).  Diese  Anschauung  gait  ganz  all- 
gemein  fiir  alle  Arten  von  Verbanden:  in  collegiis  .  .  .  semper  idem 
corpus  manet,  quamvis  successive  omnes  moriantur  et  alii  loco  ipsorum 
substituantur,  sagt  etwa  Bracton'").  In  all  diesen  Fallen  handelt  es  sich 
um  das  Fortleben  der  forma  oder  species,  wie  es  denn  auch  in  Dig.  5,  1, 
76  ausdriicklich  erwahnt  wird^i).  Dafi  nun  die  Substitution  oder  Subro- 
gation das  Mittel  zur  Sempiternisierung  ist,  haben  die  spateren  Juristen 
unzweideutig  ausgesprochen.  Dig  8,  2,  33,  z.  B.,  erortert  eine  perpetuelle 
Servitut  zur  Erhaltung  einer  „ewigen  Wand"  (paries  aeternus)  an  einem 
Gebaude.  Dazu  sagt  korrigierend  die  Glosse  zum  Worte  ,aeternus':  id 
est  sempiternus.  nam  aeternum  dicitur  quod  semper  fuit  et  est:  ut  Deus. 
sempiternus  dicitur,  quod  incepit  et  non  desinet;  ut  an  im  a  et  an  ge  - 
lu  !  et  haec  s  e  rv  it  u  s  ,  was  spaterhin  Bartolus  und  Baldus  lapidar  zu- 
sammenfafiten:  perpetuatio  fit  per  successionem  sive  subrogationem^^). 


••)  Glos.  ord.  zu  Dig.  5,  1,  76,  v.  „proponebatur'.  Ich  zitiere  die  Accur- 
sius-Glosse  nach  der  5-bandigen  Ausgabe  des  Corpus  iuris  civilis,,  Venedig 
1584. 

'")  Bracton,  De  legibus  et  consuetudinibus  Angliae,  fol.  374b,  ed.  Wood- 
bine, IV  S.  175,  ed.  Travers    Twiss    (Rolls  Series),  V  S.  448. 

")  Vgl.  den  Sdilufi-Satz:  quapropter  cuius  rei  species  eadcm  consisteret, 
rem  quoque  eandem  esse  existimari,  wobei  die  Glosse  v.  „rei  species'  erkla- 
rend  sagt:  id  est  forma,  und  der  kaum  spatere  Odofredus  bemcrkt  (zu  Dig. 
5,  1,  76  [Lyon  1550]  fol.  209"):  unde  ex  quo  remanet  idem  genus  vel  cadem 
species,  licet  non  sit  eadem  qualitas,  tamen  eandem  rem  iudicamus. 

'*)  Bartolus  zu  Dig.  8,  2,  33  (Ausgabe  Lyon  1555)  fol.  222;  Baldus  zur 
gleidien  Stelle  (Venedig  1586)  fol.  311.  Vgl.  iibrigens  auch  Bartolus  zu  Cod. 
11,  9,  2,  n.  1,  fol.  37^,  v.  .aeternus':  improprie  [princeps]  dicitur  aeternus: 
tamen  imperator  respectu  officii,  quod  non  debet  habere  finem,  potest  diet 
sempiternus.  Interessant  ist,  wegen  seiner  Stellungnahme  zur  aristotelisdien 
Lchre  von  der  Anfangs-  und  daher  auch  Endlosigkeit  der  Welt,  Angelus  de 
Ubaldis  zu  Dig.  8,  2,  33,  n.  2  und  4  (Venedig  1580)  fols.  185v-186.  Audi  er 
wendet  sidi  zunachst  gegen  den  Mifibrauch  des  Wortes  aeternus  und  sagt: 
Nota  sub  sole  nihil  possibile  est  aeternum,  fit  tantum  aeternitas  per  successio- 


I  I     U     J     I  I 
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136 


Emst  Kantorowicz, 


Zu  den  Reditsgrundlagen  der  Kaisersage 


137 


Soviel  vorerst  zum  Ausdruck  per  substitutum  vivere.  Die  Substitu- 
tionsidee  ist  jedodi  von  allem  Anfang  aufs  engste  verquidt  mit  dem 
Erbredit  —  und  daher  schliefilich  audi  mit  dem  dynastisdien  Thron- 
folgeredit.  I  n  s  t.  3,  1,  3  heifit  es:  Et  statim  morte  parentis  quasi  conti- 
nuatur  dominium.  Zu  den  Worten  „quasi  continuatur"  bemerkt  dabei 
die  Glosse:  .  .  .  pater  et  filius  unum  fictione  iuris  sunt''^).  Diese  juri- 
stisdie  Fiktion  einer  Identitiit  von  Vater  und  Sohn,  Erblasser  und  Erben, 
ist  naturlich  ein  ganz  allgcmein  verbreiteter  Gedanke,  zumal  Cod.  6,  26, 
11  (worauf  sidi  audi  die  Glosse  beruft)  dafiir  die  gesidierte  Grundlage 
bildet:  Natura  pater  et  filius  unum  fictione  iuris  sunt.  Andererseits  wird 
die  continuatio  dominii  durdi  Dig.  28,  2,  11  festgestellt,  indem  das  Ge- 
setz  sagt,  die  erbenden  Sohne,  selbst  wenn  nidn  ausdriidilidi  als  Erben 
eingesetzt,  „galten  sdion  zu  Lebzeiten  des  Vaters  in  gewissem  Sinnc  als 
die  Herrcn"  des  vaterlidien  Besitzes  (etiam  vivo  patre  quodammodo 
domini  existimantur).  Sdiliefilidi  wurde  von  den  Juristen  gern  die 
Glosse  „Quam  filii'  zu  Dig.  50,  16,  220  herangezogen,  wo  es  heifit,  dafi 
der  Vater  die  eigene  Natur  im  Sohne  zu  erhalten  tradite:  quaelibet  res 
conservationem  sui  desiderat,  ut  videat  pater  suam  naturam  in  filio 
conservari.  Die  gleidie  Lehre  einer  quasi-Identitat  von  Vater  und  Sohn 
vertrat  audi  die  Kanonistik.  Decretum  C.  I  q.  4  c  8  sagt  mit  Bezug  auf 
Erzeuger  und  Sohn:  unus  erat  cum  illo'*).  Aus  dem  Ausdrudc  rex  iiivenis 
in  C.  XXIV  q.  1  c.  42  leitete  man  die  Lehre  her  (entsprediend  Dig.  28, 
2,  11),  dafi  der  Sohn  sdion  zu  Lebzeiten  des  Vaters  Konig  sei"'),  wah- 
rend  die  Glosse  „primatus"  zu  C.  VII  q.  1  c.  8  herhalten  mufite,  um  auf 
Grund  von  Deut.  21,  17  iiber  die  Primogenitur  abzuhandeln'^^).  DaR 
dabei  die  Kanonistcn  weitgehend  wiederum  auf  das  romisdic  Redit 
Bezug  nahmen,  ist  selbstverstandlidi.  Zenzelinus  de  Cassanis,  z.  B.,  alle- 
giert  in  der  Glosse  „sublimitatem  eorum"  zur  BuUe  Execrabilis  ausdriid;- 
lidi  die  Glosse  „quasi  continuatur"  zu  Inst.  3,  1,  3,  wenn  er  sagt:  [pater 


nem  seu  subrogationem;  mit  der  Glosse  untersdieidet  er  dann  zwisdien  aeternus 
und  sempiternus,  gibt  zu,  da(?  die  Scele  und  die  Engel  kein  Ende  haben,  lehnt 
aber  den  Begriff  fiir  eine  Servitut  ab,  quia  impossibile  est  aliquid  esse  sub  sole 
sine  fine,  et  idea  mundus  habebit  finem  secundum  fidem,  licet  princeps  philo- 
sophorum  fuerit  in  opinione  contraria   motus  rationibus  naturalibus. 

'')  Die  Glosse  zitiert  dabei  Cod.  6,  26,  11. 

''*)  F  r  i  e  d  b  e  r  g,  I,  Sp.  419  f.;  die  Steile  ist  einem  Briefe  Augustins  ent- 
nommen.  Fiir  die  Glossa  ordinaria  benutze  idi  die  3-biindige  Ausgabe  des 
Corpus  Iuris  Canonici,  Turin  1588. 

")  Fried  berg,  I,  Sp.  983  f.  Auf  Dig.  28,  2,  11  beruft  sidi  dann  z.  B. 
Petrus  de  Andiarano,  Consilia,  LXXXII  n.  2  (Venedig  1574),  fol.  40:  [heredes] 
etiam  vivo  patre  quodammodo  domini  existimantur.  Vgl.  unten  Anm.  86. 

")  Cf.  F  r  i  c  d  b  e  r  g  ,  I,  Sp.  569  zum  Erstgcburtsrecht  Esaus. 


et  filius]  eadem  persona  fingatur  esse''').  All  diese  Stellen  warden  immer 
wieder  herangezogen,  und  es  versteht  sidi,  dafi  davon  audi  die  kaiserlidie 
Kanzlei  nidit  unberuhrt  blieb.  In  einem  Briefe  Friedridis  II.  von  1233 
z.  B.  findet  sidi  ein  Niedersdilag  dieser  Lehre,  wenn  darin  gesagt  wird, 
dal?  Vater  und  Sohn  durdi  die  Liebe,  sicut  innate  bencficio  gratie,  una 
persona  censetur''^). 

Wir  verstehen  jetzt  besser,  was  der  Stilist  des  Testamentes  E  im  Sinnc 
hatte,  wenn  er  den  sterbenden  Kaiser  die  Sohne  belehren  la(5t,  dafi  sie 
„gemaft  der  Norm  des  romisdien  Redits"  des  Kaisers  Person  darstclltcn: 
er  bezog  sidi  offenbar  auf  Cod.  6,  26,  11  oder  auf  die  Institutionenglosse 
„quasi"  oder  ahnlidie  Stellen.  Ebenso  ist  in  diesem  Sinne  Manfreds  Brief 
an  Konrad  IV.  zu  verstehen,  wenn  er  sagt  daf?  „durdi  den  Ordo  einer 
gewissen  Kontinuitat"  die  vaterlidie  Sonne  nunmehr  in  ihm,  Konrad, 
von  neuem  leudite,  so  dafi  man  glaube,  der  Vater  sei  nidit  abwesend, 
vielmehr  hoffe  man,  er  lebe  im  Sohne  weiter;  und  im  gleidien  Atem 
kommt  Manfred  dann  auf  das  Erbredit  zu  spredien^^^  Ferner,  wenn 
Konrad  IV.  in  einem  Brief  an  den  Justitiar  von  Abruzzo  (verfafit  von 
Petrus  de  Prece)  von  sidi  selbst  sagt,  dafi  nadi  dem  Willen  Gottes  iam 
genitor  noster  revixit  in  filio,  so  gehort  audi  das  vielleidit  nodi  zu  dem 
Topos  von  der  Einheit  von  Vater  und  Sohn*'')^  ^an  wird  sidi  namlidi  in 
diesem  Zusammenhang  audi  an  die,  im  wesentlidien  aristotelisdien,  Zeu- 
gungs-  und  Vererbungslehren  der  Antike  erinnern  miissen,  die  in  der 
Sdiolastik  wieder  zu  Ehren  kamen;  denn  audi  diese  Lehren  fiihrten  zur 
Annahme  einer  psydiisdi-physisdien  „Identitat"  von  Vater  und  Sohn, 
und  sie  blieben  daher  seitens  der  Juristen  keineswegs  unbeaditet^*). 


")  Extrav.  Joann.  XXII,  tit.  Ill,  F  r  i  e  d  be  r  g  ,  II,  Sp.  1207. 

'*)  Bohmer,  Acta  imperii  selecta,  Nr.  301,  S.  265. 

")  S.  oben  Anm.  58,  und  ansdiiieCend:  ncc  creditur  tarn  pretiosa  hereditas 
amisisse  patronum,  dum  eius  confidit  invenire  dominium  tarn  suave,  tarn  placi- 
dum  in  herede.  Die  quasi-Personifizierung  der  Erbsdiaft  war  iiblidi  auf  Grund 
der  vieizitierten  lex  mortuo  (Dig  46,  1,  22:  quia  hereditas  personae  vice 
fungitur).  Vgl.  dariiber  Gierke,  Genossensdiaftsredit  III,  S.  362  zur  here- 
ditas iacens,  audi  S.  203. 

»")  BF.  4619;  Winkelmann,  Acta  imperii  inedita,  I,  Nr.  488,  S.  408, 
Z.  29,  herangezogen  von  Kloos,  unten  S.  164  Anm.  60,  nadi  dem  der  Brief 
Diktat  des  Petrus  de  Prece  ist. 

*')  Vgl.  dariiber  die  umfassende  Arbeit  von  Erna  L  e  s  k  y  ,  Die  Zeugungs- 
und  Vererbungslehren  der  Antike  und  ihr  Nadiwirken  (Abh.  d.  Akad.  d.  Wiss. 
in  Mainz,  Gcistes-  und  Sozialwiss.  Kl.,  1950,  Nr.  19  [1951]);  und  fiir  die  Sdio- 
lastik A.  M  i  1 1  c  r  e  r  ,  Die  Zeugung  der  Organismen,  insbesondere  des  Men- 
sdien,  nadi  dem  Weltbild  des  hi.  Thomas  von  Aquin  und  dem  der  Gegenwart 
(Wien  1947);  s.  audi  in  Zs.  f.  kath.  Theol.  57  (1933)  491—556.  Vgl.  unten 
Anm.  84. 


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138 


Ernst  Kantorowicz, 


Es  bereitet  nunmehr  auch  keine  Sdiwierigkeiten,  das  Bibelzitat  Jo- 
hannes 14,  9,  das  der  Verfasser  des  Testaments  E  unmittelbar  folgen 
laf5t,  richtig  einzureihen  und  zu  bewertcn.  Nach  romischem  Redit,  so 
habe  der  Kaiser  angcblich  gesagt,  stellten  die  Sohne  des  Kaisers  Person 
in  der  Welt  dar:  „Es  steht  namlidi  gesdirieben:  ,Wer  midi  sieht,  sieht 
audi  meinen  Vater'."  Hier  ist  es  nun  zur  Abwedislung  die  theologisdi- 
dogmatische  Wesensgleidiheit  von  Gottvater  und  Gott  dem  Sohn,  durch 
weldie  die  Identitat  von  Vater  und  Sohn  fictione  iuris  erhartet  wird. 
Es  ware  jedodi  ein  totales  Verkennen  der  Methode  juristisdien  Argu- 
mentierens  im  Spatmittelalter,  wollte  man  annehmen,  der  Autor  von  E 
stiinde  mit  dieser  theologisdien  Oberhohung  einer  juristisdien  Fiktion 
allein.  An  Beispiclen  fur  dicse  Methode  besteht  wahrlidi  kein  Mangel^^), 
und  die  genaue  Parailele  fiir  den  voriiegenden  Fall  bietet  sidi  in  der 
Tat  bei  einem  franzosisdien  Juristen,  Jean  de  Terre  Rouge,  der  bald 

nadi    1400    einen    Traktai    iiber    das    Thronfolgeredit    in    Frankreidi 
sdirieb^3^_ 

Den  Anlafi  zu  dem  Traktat  gab  der  seit  1381  offenkundige  Wahn- 
sinn  Karls  VI.  von  Frankreidi  und  die  danadi  unter  dem  Drudi  bur- 
gundisdier  Anspriidie  resultierende  Frage,  ob  der  Dauphin  rege  vivente 
zur  Thronfolge  und  Regierungsiibernahme  bereditigt  sei.  Jean  de  Terre 
Rouge  untersudit  eingehend  die  Griinde,  die  fiir  die  Nadifolge  des 
Sohnes,  und  zumal  des  Erstgeborenen  spredien,  und  kommt  dabei  zu 
einer  ganzen  Anzahl  von  „Sdilussen",  deren  einige  hier  erwahnt  seien. 
Vater  und  Sohn,  obwohl  man  sie  untersdieide,  gelten  dennodi  in  Bezug 
auf  Art  und  Natur  als  ein  und  derselbe,  und  zwar  nidit  nur  im  Hinblidt 
auf  die  allgemeine  Gattungsnatur  des  Mensdien,  sondern  auf  die  parti- 
kulare  Natur  des  Vaters:  im  Samen  des  Mensdien  sei,  wie  Aristoteles 
und  Thomas  von  Aquino  dargelegt  hatten,  quaedam  vis  impressiva, 
activa,  derivata  ab  anima  generantis  et  a  suis  remotis  parentibus  wirk- 


"■)  Vgi.  Kantorowicz,  Mysteries  of  State:  An  Absolutist  Concept  and 
its  Late  Mediaeval  Origins,  Harvard  Theological  Review  48  (1955)  65—91, 
insbes.  S.  76  f  f . 

"')  lohanncs  de  Terra  Rubea,  De  iure  futuri  successoris  Icgitimi  in  regiis 
hercditatibus,  gedrudtt  als  Anhang  zu  Francisci  Hotomani  (Hotman),  Consilia 
(Arras  1586)  27—62.  Eine  gute  Analyse  des  Traktats  gibt  Andr^  Lemaire, 
Les  lois  fondamentales  de  la  monardiie  franfaise  d'apr^s  les  th^oriciens  de 
I'ancien  regime  (1907)  54  ff.;  vgl.  audi  John  Milton  Potter,  The  Develop- 
ment and  Significance  of  the  Salic  Law  of  the  French,  EHR.  52  (1937) 
235—253;  William  Farr  Church,  Constitutional  Thought  in  Sixteenth- 
Century  France  (Cambridge,  Mass.,  1941),  28  f.  In  Betradit  kommen  hier  im 
wesentlichen  die  Konklusionen  von  Tract.  I,  art.  2,  S.  35  ff. 


Zu  den  Rechtsgrundlagen  der  Kaisersage 


139 


sam,  et  sic  est  identitas  particularis  naturae  patris  et  filii^*).  Terre  Rouge 
beruhrt  dann  die  kanonistisdie  Lehre,  nach  der  in  Bezug  auf  das  Amt 
Amtsvorganger  und  Amtsnachfolger  als  e  i  n  e  Person  zu  gelten  haben^S), 
und  erhartet  dies  dadurdi,  dafi  nach  den  Anschauungen  des  Erbrechts  der 
Sohn  schon  zu  Lebzeiten  des  Vaters  domimis  cum  patre  rerum  patris  sei,  so 
dafi  das  von  Vater  und  Sohn  gleichsam  gemeinsdiaftlich  uberlagerte  do- 
minum  auf  den  Erben  ohne  Unterbrediung  iibergehe^s).  Da  nun  Vater 
und  Sohn  ihrer  Natur  nadi  gleidi  seien,  so  lassen  sich  auf  dieses  Ver- 
haltnis  auch  die  Worte  der  Sdirift  anwenden,  etwa  das  Wort  des  Paulus 
(Romer  8,  17):  Si  filius  ergo  heres;  oder  das  Wort  des  Johannes-Evan- 
geliums  (16,  15):  Omnia  quaecunque  habet  Pater,  mea  sunt;  oder  das 
Wort  des  Vaters  im  Gleidinis  vom  Verlorenen  Sohn  (Lukas  15,  31): 
Fili,  tu  semper  mecum  es,  et  omnia  mea  tua  sunt,  wozu  der  Autor  hin- 
zufiigt:  scilicet  per  identitatem  paternae  naturae^"^).  Es  sei  hier  nicht 
weiter  auf  diese  ins  Dynastische  getragenen  diristologisdien  und  bib- 
lisdien  Beweisc  eingegangen;  denn  das  Gesagte  geniigt  vollstandig,  um 
zu  erkennen,  in  welchen  gedanklichen  Rahmen  der  Passus  des  Testaments 
E  gehort:  die  Sohne  stellen  des  Kaisers  cigene  Person  in  der  Welt  dar, 
denn  es  steht  geschrieben  Qui  videt  me,  videt  et  Patrem  meum.  Der 
Sadiverhalt  ist  durdi  den  franzosischen  Juristen  der  spateren  Zeit  wohl 


**)  Tract.  I,  art.  2,  Concl.  1:  quod  pater  et  filius,  licet  distinguantur ,  siip- 
posito  tamen  unum  idem  sunt  specie  et  natura  ncdum  communi  (quia  uterque 
homo),  sed  etiam  in  natura  particulari  patris.  Prohatur  conclusio:  nam  secun- 
dum Philosophum  in  semine  hominis  est  quaedam  vis  impressiva  etc.,  ut  haec 
hahentur  et  notantur  per  sanctum  Thomam  in  1.  parte,  quaest.  ult.  art.  1 
[cf.  Summa  Theol.,  I,  q.  119,  art.  1,  resp.  2;  auch  I,  q.  118,  art.  1,  ad  3]. 
Die  einschlagigen  Aristotelesstellen,  obwohl  besonders  zahlreich  in  De  genera- 
tione  animalium,  sind  doch  weit  verstreut;  vgl.  Harold  Cherniss,  Aristo- 
tle's Criticism  of  Plato  and  the  Academy  (Baltimore  1944)  470  f. 

*')  Concl.  2:  quod  sub  ratione  illius  identitatis  consuetudo  trans fert  regnum 
et  regni  succcssioncm  in  primogenitum  .  .  .  sicut  quando  scrihitur  abbati  vel 
alicui  praelato  vel  officiario  seculari  vel  ecclesiastico,  intellegitur  scriptum 
esse  sub  ratione  praelaturae  et  officii,  ut  c.  q  u  oni  am  abbas,  de  of  fie. 
delegat.  [c.  14  X  1,  29;  Friedberg,  II,  162;  s.  unten  Anm.  90].  Filiatio 
enim  nihil  aliud  est,  quam  ilia  identitas  particularis  naturae  praesens  penetrans 
in  fHium,  ut  I.  liberorum,  de  verb,  signif.  cum  gloss.  [Dig.  50,  16,  220,  v. 
„Quam  filii' ;  vgl.  oben  S.  136]. 

"•)  Concl.  4:  quod  quia  filius  est  idem  cum  patre  vivente...,  ipse  est 
(secundum  philosophum)  aliquid  patris  .  . .  Concl.  5:  quod  filius  vivente  patre 
est  quodammodo  dominus  rerum  patris  cum  eo:  ita  quod  post  mortem  patris 
novam  hereditatem  acquirere  non  ccnsetur,  sed  magis  dominium  (quod  habebat) 
continuare  et  plenam  administrationem  consequi . . . 

"')     Concl.  3  enthalt  alle  diese  Bibelstellen. 


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Ernst  Kantorowicz, 


vollig  geklart,  und  das  einzig  Oberrasdiende  ist  die  Tatsache,  dafi  diese 
Ansdiauungen  schon  um  1250  voll  entwidcelt  waren. 

Ein  spacer  Autor  mag  uns  nodi  in  anderer  Bcziehung  zu  Hilfe  kom- 
men,  Johannes  Gerson,  der  in  seinem  reidihaltigen  Traktat  Vivat  Rex 
auf  die  Identitat  von  Vater  und  Sohn  zu  spredien  kommt  und  dabei 
gleichzeitig  andeutet,  dafi  audi  nodi  in  anderer  Beziehung  der  Vater  im 
Sohne  fortlebe.  Gerson  nennt  den  Dauphin  den  „ersten  und  wahren 
Erben  des  Konigs"  und  schliefit  dann  folgende  Betraditung  an: 

Est  enim  [Delph'mus]  tanquam  una  cum  rege  persona,  secundum  Sa- 
pient is  dictum  Ecclesiastici  XXX;  „Mortuus  est  pater  et  quasi  non  est 
mortuus,  reliquit  enim  similem  filium  post  se."  Pater  post  naturalem, 
aut  civilem,  mortem  in  filii  sui  adhuc  vivit  persona^^). 

Hier  wird  das  dem  Sibyllensprudi  „Er  lebt  und  lebt  nidit"  so  nahe 
verwandte  Wort  des  Jesus  Siradi  „Er  ist  tot  und  ist  gleldisam  nidit  tot" 
ausdriidtUdi  auf  die  Identitat  von  Vater  und  Sohn,  Konig  und  Thron- 
folger  angewandt.  Gerson  fijgt  jedodi  hinzu,  dafi  der  Vater  nadi  seinem 
„naturlidien  oder  zivilen  Tod"  in  der  Person  seines  Sohnes  nodi  fort- 
lebt.  Mit  anderen  Worten,  er  untersdieidet  de  facto  zwei  versdiiedene 
Tode  des  Vaters:  den  natiirlidien  Tod  des  Fleisdies  und  den  juristisdien 
Tod  als  Konig,  der  ja  audi  durdi  Abdankung  oder,  wie  im  Falle  Karls 
VI.,  durdi  Regierungsunfahigkeit  eintreten  konnte.  Gerson  projiziert 
also  die  ganze  Lehre  des  per  substitutum  vivere  gleidizeitig  auf  den 
physischen  Konig  und  auf  die  Konigs  w  ii  r  d  e  ,  die  Dignitas,  die  ja  per 
substitutum  ihre  eigene  Kontinuitat  und  Sempiternitat  hat  gleidisam 
„bis  ans  Ende  der  Tage".  Auf  diesen  zivilen  Tod  des  Konigs,  oder  viel- 
mehr  auf  sein  ziviles  Leben  und  Fortleben  kommt  Gerson  nodimals  zu- 
riidi.  Er  fiihrt  namlidi  aus: 

De  secunda  Regis  vita  verba  faciemus,  civili  videlicet  et  politica,  que 
status  regalis  dicitur  aut  dignitas.  Estque  eo  melior  sola  vita  corporali, 
quo  ipsa  est  diuturnior  per  legitimam  successionem  .  .  .^9). 

Das  zivile  oder  politisdie  Leben  ist  also  gleidibedeutend  mft  dem 
status  regalis,  der  personifizierten  Dignitas  oder  dem  Amt;  und  dieses 
zivile  oder  politisdie  „Leben"  der  Dignitas  steht  um  so  hoher  als  es 
durdi  legitime  Sukzession  langerwahrend  ist  als  das  blof?  leiblidie  Leben. 


")  Gerson,  Vivat  Rex,  I,  consid.  iv,  in:  Opera  omnia,  ed.  Ellies  du  Pin 
(Antwerpen  1706),  IV,  S.  591.  Die  Rede  wurde  1405  gehalten. 

«»)  Ibid.  II  prol.;  Opp.  IV,  S.  592.  Der  Gedanke,  dafi  der  Konig  „zwei 
Leben"  —  oder  nodi  mehr  —  habe,  ist  gleidi  in  der  einleitenden  Akklamation 
ausgesprodien :  Vivat  [rex]  corporaliter,  vivat  politice  et  civiliter,  vivat  spiri- 
tualiter  et  indesinenter  . .  . 


Zu  den  Reditsgrundlagen  der  Kaisersage 


141 


In  den  wenigen  hier  angefiihrten  Satzen  des  Johannes  Gerson  ist 
im  wesentlidien  der  gleidie  Problemkreis  umrissen,  der  den  bisherigen 
Ausfuhrungen  zugrunde  lag  und  der  audi  in  dem  angeblidien  Testament 
des  Kaisers  (E)  angedeutet  ist.  Denn  wenn  der  Kaiser  durdi  das  Testa- 
ment Anstalten  trifft,  „durdi  einen  substitutus  zu  leuchten  und  zu  leben", 
und  sidi  zu  diesem  Zwedi  an  die  Sohne  wendet,  die  juristisch  seine  eigene 
Person  darstellen,  so  ist  damit  doch  Ahnlidies  ausgesagt  wie  von  Gerson. 
Es  sind  die  gleidien  Voraussetzungen,  von  denen  beide  ausgehen,  was 
natiirlidi  audi  fiir  Terre  Rouge  nodi  zutrifft.  Wahrend  uns  nun  Gersons 
Zitat  aus  Jesus  Siradi  wieder  zu  dem  Sibyllensprudi  zuriickfiihren 
konnte,  drangt  seine  Theorie  von  einer  secunda  Regis  vita,  die  sich  in 
der  Dignitas  manifestiere,  in  eine  andere  Riditung,  der  hier  nodi  nadi- 
zugehen  ist. 

Die  Lehre  von  der  Identitat  von  Vater  und  Sohn,  oder  Konig  und 
Thronfolger,  ebenso  wie  die  Idee  des  Fortlebens  in  einem  substitutus, 
wurzelt  namlidi  zu  allem  anderen  audi  in  einem  Bereidi,  in  dem  Juris- 
prudenz  und  Mythologie  zusammenstofien,  wodurdi  wiederum  die  juri- 
stisdien Argumente  in  gewissem  Sinne  dem  Sibyllinum  naherriidcen.  Dies 
gesdiieht  ansdieinend  erstmals  in  der  Glosse  zum  Worte  „substitutum" , 
die  sidi  in  der  von  Bernhard  von  Parma  um  1241  (oder  1245)  verfafiten 
Glossa  ordinaria  zu  den  Dekretalen  Gregors  IX.  findet.  Bern- 
hard  glossierte  die  Dekretale  Quoniam  abbas  (c.  14  X  1,  29)  Papst 
Alexanders  III.,  in  der  der  Papst  das  Verfahren  des  Abtes  von  Leicester 
billigte,  nadi  dem  Tode  des  Abtes  von  Windiester  zusammen  mit  dessen 
neugewahltem  Amtsnachfolger  (abbatem  Vincestriae  de  novo  substi- 
tutum) als  index  delegatus  zu  fungieren.  Zur  Begriindung  fiihrte  der 
Papst  an,  dafi  die  urspriinglidie  Bestallung  nur  unter  Nennung  des  Orts- 
namens  (Abt  von  Winchester)  und  nicht  mit  Nennung  des  Personen- 
namens  erfolgt  sei  und  sidi  daher  ohne  weiteres  audi  auf  jeden  Nadi- 
folger  im   Amt  beziehe^").   Dieses   Verfahren   mag  alterer   Praxis   ent- 


•*■)  c  14  X  1,  29;  Friedberg,  II,  Sp.  162:  quia  sub  expressis  nominibus 
locorum  et  non  personarum  commissio  literarum  a  nobis  emunavit . . .  Auf  die 
Tatsadic,  dafi  die  Bestallung  ihrerseits  entweder  von  der  individuellen  papst- 
lidien  Person  oder  vom  Papste  kraft  seines  Amies  vorgenommen  wcrdcn 
konnte,  sei  hier  nidit  eingcgangen,  zumal  der  gewahlte  Papstnamen  (z.  B. 
Alexander  III.  im  Gegensatz  zu  Rolandus  BanJinelli)  seinerseits  als  unperson- 
lidie  Dienstbezeidinung  aufgefafit  werden  konnte.  Vgl.  etwa  zum  Liber  Sextus, 
Prooem.,  die  Glossa  ordinaria,  v.  „Bonifacius'',  iiber  die  papstlidie  Namensan- 
derung:  Respondelur  hoc  fieri,  ut  ostendatur  ad  permutationem  nominis,  fac- 
tum mutationcm  hominis:  cum  enim  prius  esset  purus  homo,  nunc  viccm  vert 
Dei  gerit  in  tcrris.  Vgl.  audi  Baldus  zum  Liber  Extra,  Prooem.,  rubr.,  n.  5  f  (In 
Decretalium  volumcn  commentaria  [Venedig  1580]   fol.  3):    Non    ergo    istud 


II     U     J     J 
U       I     L     -/ 


142 


Ernst  Kantorowicz, 


sprodien  haben;  aber  erst  Papst  Alexander  III.  hat  die  bestehendc  Praxis 
rationalisiert  und  damit  ein  juristisdies  Prinzip  formuliert,  dessen  Be- 
deutung  die  Rechtslehrer  der  nadifolgenden  Zeit  unsdiwer  begriffen. 
Technisdi  unterschied  man  fortan  klar  zwischen  Person  und  Amt,  zwi- 
sdien  einer  delegatio  facta  personae  und  einer  delegatio  facta  dignitati, 
die  erstere  zeitlich  besdirankt  durdi  (bestenfalls)  die  Lebensdauer  des 
Bestallten,  die  letztere  zeitlich  unbegrenzt,  well  am  Amt  haftendsi).  Urn 
1215  hat  dann  Damasus  in  einer  Glosse  zu  Quoniam  abbas  das  entschei- 
dende  Wort  gepragt:  Dignitas  nunqHam  perit,  individua  vero  quotidie 
pereunt92).  Als  hernadi  die  Dekretale  in  die  offizielle  Sammlung  Papst 
Gregors  IX.  einging  (1232),  erhielt  sie  die  den  Inhalt  wiedergebende 
Aufsdirift:  „Eine  Delegation,  die  einer  Wiirde  [d.  h.  einem  Wurden- 
trager]  ohne  Nennung  des  Eigennamens  gemacht  ist,  geht  auf  den 
Nachfolger  uber93).«  Etwa  zehn  Jahre  spater  gibt  dann  audi  die 
Glossa  ordinaria  des  Bernhard  von  Parma  den  Grund  fur  die 
nun  langst  iiblidie  Praxis  an:  Vorganger  und  Nachfolger  in  einer  Wurde 
seien  als  e  i  n  e  Person  zu  verstehen  (pro  una  persona  intelliguntur), 
denn  „die  Wiirde  stirbt  nicht",  Dignitas  non  moritur^*).  Die  Fiktion  der 
Identitat  von  Amtsvorganger  und  Amtsnadifolger  war  in  den  gleichen 


nomen,  Gr  e  gorius ,  est  nomen  primae  impositionis,  sed  secundae.  Propter 
dignitatem  apostolatus  fit  nova  creatura,  et  nomen  proprium  tacetur  tanquam 
minus  excellens,  et  nomen  secundae  inventionis,  id  est  pontificate,  debet  ex- 
primi.  Et  idea  si  scribetur  Papae  sub  nomine  propria  batismali,  posset  ratione 
dicere:  Jstae  literae  non  diriguntur  mihi',  vel  quia  videtur  in  contemptum. 
Baldus  kommt  dann  darauf  zu  spredicn,  dafi,  im  Gegensatz  zum  Papst,  der 
Kaiser  seinen  Namen  nidit  andere;  das  gclte  audi  fur  Justinian,  der  trotz 
seiner  dignitas  aha  dennoch  nomen  proprium  idem  perseverat,  licet  coruscatione 
dignitatis  polleat.  An  anderer  Stella  zogert  Baldus  (zu  Dig.,  Prooem.,  rubr., 
n.  30  [Venedig,  1586]  fol.  2v),  die  papstlidie  Namensanderung  als  effectu's 
rei  vel  alicuius  officii  designativum  aufzufassen.  Die  englisdien  Kronjuristen 
folgerten  sdion  aus  dem  Gebraudi  des  Pluralis  maiestatis,  dafi  eine  Handlung 
des  Konigs  amtlidi  und  nidit  privat  sei;  vgl.  etwa  Plowden,  Reports  (s.  u. 
Anm.  100),  S.  175  b,  wo  der  Vorsitzende  Riditer  Brook  zu  diesem  Zwedc 
Magna  Carta  von  1215   c.   17  anfuhrt:  sequantur  curiam  n  o  s  t  r  a  m. 

•')  De  ordine  iudiciario,  c.  42,  ed.  Agathon  Wunderlich, 
Anecdota  quae  processum  civilem  spectant  (Gottingen  1841),  84;  cf.  G  i  e  r  k  e 
Genossensdiaftsredit  III,  S.  271  Anm.  73.  Der  Traktat  war  frijher  dem  D  a  - 
m  a  s  u  s  zugesdirieben,  dodi  ansdieinend  zu  Unredit;  cf.  Stephan  K  u  1 1  n  e  r  , 
Repertorium  der  Kanonistik  (Studi  e  Testi  71,  1937)  428,  Anm.  3. 
.  •*)  Gierke,  III,  S.  271,  Anm.  73,  der  audi  zeigt,  dafi  sdion  Gotfried  von 
Trani  (sdirieb  ca.  1232,  starb  1245)  das  Prinzip  auf  das  Kaisertum  ubertrug. 
Die  Definition  des  Damasus  ging  dann  wordidi  ein  in  die  GIos.  ord.  zu  c  14 
X  1,  29,  V.  „substitutum°. 

")  Friedberg    II,  Sp.  162. 

")  Glos.  ord.  zu  c.  14  X  1,  29,  v.  .substitutum' . 


Zu  den  Reditsgrundlagen  der  Kaisersage  143 

Jahren  auch  von  Papst  Innocenz  IV.  in  seinem  Dekretalcnapparat  for- 
muliert worden95),  und  das  Sdilagwort  Dignitas  non  moritur  umsdirieb 
die  hinfort  herrschende  Lehre. 

Uns  gehen  hier  nicht  die  zahlreichen  Varianten  und  Anwendungen  des 
Themas  an:  dafi  die  Kirdie  immerwiihrend  ist,  quia  Christus  non  mori- 
tur^^);  dal?  die  regia  dignitas  nunquam  moritur,  audi  wenn  der  indivi- 
duelle  Konig  stirbt97);  dafi  der  Princeps  nur  Gott  verpflichtet  sei  et  digni- 
tati suae  quae  perpetua  est^s);  oder  dafi  die  regia  maiestas  mmquam  mo- 
ritur^9)  _  Variationen  des  gleidien  Themas,  die  schlieElich  in  England 
um  die  Mitte,  in  Frankreich  gegen  Ende  des  16.  Jahrhunderts  einmunden 
in  die  berijhmte  Formel,  die  den  westlidien  Monardiien  zum  Edcstein 
dynastischer  Dogmatik  wird:  Le  roi  ne  meurt  jamais^ooy  Es  ist  frcilich 
langst  nicht  genugend  bekannt,  dafi  diese  Formel  sidi  in  direkter  Filia- 
tion vom  12.  Jahrhundert,  genauer:  von  Papst  Alexanders  Dekretale 
Quoniam  abbas ,  herleitet.  Was  hier  jedodi  allein  unser  Interesse 
beansprucht,  ist  die  Glosse  „SHbstitutum''  Bernhards  von  Parma  zu  die- 
ser  Dekretale.   Dem  Einwand,  dafi  die  Bezeidinung  „Abt  dieses  oder 


•')  Gierke,  III,  S.  272,  Anm.  77,  fur  die  Personenidentitat  von  Amtsvor- 
ganger und  -nachfolger,  die  konsequentcrweise  ineinsgesetzt  wird  mit  der  von 
Erblasser  und  Erbe;  vgl.  etwa  Johannes  Andreae  in  seiner  Glos.  ord.  zum 
Liher  Sextus  (De  regulis  iuris.  c.  46;  Friedberg,  II,  S.  1123),  v.  Js  qui  in 
tus":  . . .  quia  haeres  censetur  eadem  persona  cum  defuncto,  successor  cum 
praedecessore. 

»«)  Johannes  Andreae,  Novella  in  Dccretales  Gregorii  IX.  (Venedig  1612), 
zu  c.  4  X  2,  12,  n.  5;  vgl.  Pierre  G  i  11  et  ,  La  personnalit^  juridique  en  droit 
ecclesiastique  (Mcdiein,  1927),  178.  Als  Dignitas  ist  naturlidi  audi  der  Heilige 
Stuhl  unsterblidi,  ebenso  das  Impcrium  etc.  Von  zahllosen  friiheren  Stellen  ab- 
geschen,  vgl.  etwa,  wegcn  der  sdiarf  bctonten  Dauer  durdi  Sukzession,  Alberi- 
cus  de  Rosatc,  zu  Dig.  5,  1,  76,  n.  1  (Venedig  1584)  fol.  304v:  Sedes  apostolica 
non  moritur,  sed  semper  durat  in  persona  successoris .  .  .  et  dignitas  imperialis 
semper  durat...  et  idem  in  qualibet  dignitatc,  quia  perpetuatur  in  persona 
successorum  ... 

»')  So  z.  B.  Mattheus  de  Afflicitis,  in  seiner  Glosse  zu  Liber  aug.  II,  35, 
n.  23  (In  utriusque  Siciliae  Neapolisque  sanctiones  et  constitutiones  fVenedie 
1562],   II,  fol.  77).  ^ 

p  Baldus,  zu  c.  33  X  2,  24,  n.  5  (In  Decretalium  volumen  commentaria 
[Venedig  1580]  fol.  261  v):  Unde  imperator  . . .  non  obligatur  homini,  sed  Deo 
et  dignitati  suae,  quae  perpetua  est. 

»»)  Baldus,  zu  c.  7  X  1,  2,  n.  78  (In  Decretalium  etc.,  fol.  18). 

'««)  Fur  England  vgl.  etwa  Edmund  Plowden,  Commentaries  or  Reports 
(London  1816)  S.  177  f.  fur  eincn  Fall  (Hill  v.  Grange)  vom  Jahre  1554—55, 
wo  die  Riditer  uber  Akte  argumentieren,  bei  denen  der  Konigstitel  zum  Na- 
"I"^  ?  P"]'^'  hinzugefiigt  war:  „And  King  is  the  name  of  continuance, 
vjhich  shall  always  endure  as  the  head  and  the  governor  of  the  people,  as  the 
Law  presumes...  and  in  this  the    King    never    dies.'  Im  Verlaufe  des 


n   u    J   u 

u       I    L       I 


144 


Ernst  Kantorowicz, 


jenes  Ortes"  in  Wirklidikeit  nur  „an  Stelle  des  Eigennamens"  stehe,  be- 
gcgnete  der  Glossator  damit,  dafi  er  sagte,  „Abt  von  Winchester"  sci 
nicht  proprmm  nomen,  sed  singulare  .  .  .  et  appellativiim  similiter,  sei 
also  „einzigartig",  oder  eine  Person  aussondernd,  und  zuglelch  appella- 
tiv.  Das  Scltsame  aber  ist,  dafi  Bernhard  hinter  singulare  einen  Vergleidi 
einsdiiebt,  ut  Phoenix;  das  heifit:  „Abt  von  Winchester"  sei  ein  Ein- 
zelnes,  ein  Einzelwesen  „wie  der  Vogel  Phonix"')". 

Vielleicht  mag  dieser  Vergleich  der  unsterblidien  Dignitas  und  ihrer 
vielfachen  Inkarnationen  mit  dem  Vogel  Phonix  uns  Heutigen  abstrus 
erscheinen,  audi  wenn  wir  uns  daran  erinnern,  dafi  dieser  Marchenvogel 
ein  in  jeder  Beziehung  aufiergewohnliches  Gesdiopf  war.  Denn  in  jedem 
gegcbenen  Augenblid;  gab  es  in  der  Welt  ja  nur  einen  einzigen  Phonix, 
der  nadi  einer  Lebensdauer  von  500  oder  mehr  Jahren  von  der  Sonne 
sein  Nest  in  Flammen  setzen  lieE,  selbst  die  Glut  mit  den  Schwingen  an- 
fachte,  und  schliefilidi  im  Feuer  den  Tod  fand,  wahrend  von  den  glu- 
henden  Aschen  —  aus  einer  Raupe  oder  Puppe  auskriediend  —  sich  der 
neue  Phonix  erhobio^).  Die  volkskundlichen  Zuge  des  Phonix-Mythos, 
widerspruchsvoll  in  zahllosen  Einzelheiten,  sind  hier  von  geringerer  Be- 
deutung.  In  heidnischer  wie  in  diristlicher  Kunst  und  Literatur  war  der 
Phonix  ein  Sinnbild  der  Unsterblidikeit,  der  Zeitenerneuerung  und  des 


«' 


Arguments  erklarte  dann  einer  der  Riditer,  indem  er  die  Essenz  von  Quoniam 
abbas  wiedergibt,  „that  the  Dignity  always  continues...  And 
then  when  ...  the  relation  is  to  him  as  King,  he  as  King  never  dies , 
although  his  natural  Body  dies;  but  the  King  in  which  name  it  has  relation 
to  him,  does  ever  continue  .  .  .  From  whence  we  may  see  that  where  a  thing 
is  referred  to  a  particular  king  by  the  name  of  King,  hi  that  case 
It  may  extend  to  his  heirs  and  successors..."  Fur  Frank- 
reich  vgl.  Jean  Bodin,  Les  six  livres  de  la  r^publique,  I,  c.  8  (Paris  1583  [Erst- 
ausgabe  1576])  S.  160:  „Car  il  est  certain  que  le  Roy  ne  meurt  jamais, 
comme  I'on  d  i  t  . .  ."  was  wohl  dodi  zeigt,  daC  dieses  Wort  sdion  vorher 
verbreitet  war,  also  wohl  in  England  und  Frankreidi  annahcrnd  gleidizcitig 
aufkam. 

"")  Die  Glosse  zu  c.  14  X  1,  29  ist  zu  lang,  urn  hier  ganz  zitiert  zu  werden; 
der  einsdilagige  Absatz  lautet:  Sed  videtur  quod  idem  sit,  etsi  non  exprimatur 
proprium  nomen;  quia  hoc  nomen  abbas  talis  loci,  loco  proprii  nominis  est .  . . 
Sed  non  est  proprium  nomen,  sed  singulare,  ut  phoenix,  et  appellativum  simi- 
liter . . . 

'»=)  Ober  den  Phonix  vgl.  Jean  Hubaux  und  Maxime  Leroy,  Le 
mythe  du  Ph<«nix  (Bibl.  de  la  fac.  de  philos.  et  Icttrcs  de  I'universit^  de  Liege 
1939);  ferner  E.  R  a  p  i  s  a  r  d  a  ,  L'Ave  Fenice  di  L.  Cecilio  Firmiano  Lattanzio 
(Raccolta  die  studi  di  lettcratura  cristiana  antica  4,  1946);  A.- J.  Festu- 
gicre,  in  Monuments  Plot,  38  (1941)  147  ff.;  audi  Carl-Martin  Eds  man, 
Igms  dtvinus  (Lund,  1949)  S.  178-203.  K.  Burdach,  Rienzo  und  die 
geistige  Wandlung  seiner  Zeit.  Vom  Mittelalter  zur  Reformation  2,  1  (1913— 
1928)  S.  83  ff.  und  passim  bringt  weniger  zur  „Ph6nixerwartung"  des  13.  Jhdts. 
als  man  erwarten  wiirde. 


Zu  den  Reditsgrundlagen  der  Kaisersage  145 

Aion.  Er  diente  daher  -  von  der  Jungfriiulichkeit  seiner  Zeugung  nodi 
ganz  abgesehen  -  audi  als  ein  Sinnbild  der  Auferstehung  Christi  und 
der  Christen  iiberhaupt,  aber  audi  als  Sinnbild  der  ewigen  Erneuerung 
und  Dauer  romisdier  Kaisermacht<«3).  Diese  Art  der  Symbolik  interes- 
sierte  jedodi  die  mittelalterlidien  Juristen  nur  peripher,  obwohl  Johannes 
Andreae  in  seiner  Glosse  zu  Quoniam  abbas  audi  die  folkloristisdien  Zuge 
des  Phonixmythos  behandelteio*).  Worauf  die  Juristen  mit  dem  Phonix- 
Gleidinis  hinauswollten,  zeigt  am  besten  eine  Glosse  des  Baldus  zu  der 
Dekretale  Alexanders  III.  Baldus  zog  namlich  aus  Bernhard  von  Parmas 
Vergleidi  der  Dignitas  mit  dem  Vogel  Phonix  einen  philosophisdi  ein- 
wandfrei  riditigen  SdiluE:  „Der  Phonix  ist  ein  hodist  einziger  und  ein- 
zigartiger  Vogel,  in  weldiem  die  ganze  Spezies  im  Individuum  erhalten 
wird'os)."  Fur  Baldus  also  war  der  Phonix  einer  der  seltenen  Falle,  in 
weldien  das  Einzelwesen  gleidizeitig  die  ganze  Gattung  darstellte,  so  daft 
hier  nun  wirklidi  einmal  Gattung  und  Individuum  zusammenfielen  und 
die   Gesamt-Potentialitaten    der    Phonixgattung    im    Phonixindividuum 
voile  Aktualitat  wurden.  Die  Gattung  war  naturlidi  unsterblidi  oder 
sempitern,  das  Individuum  hingegen  sterblidi.  Der  sagenhafte  Vogel  ver- 
fiigte  demnadi  uber  eine  seltsame  Zwienatur:  cr  war  sowohl  Phonix  wie 
die  gesamte  „Phonixhcit",  war  Individuum  und  Gattung,  war  zugleidi 
singular  und  kollektiv,  da  die  ganze  Spezies  „Phonix"  sidi  in  nie  mehr 
als  einem  einzigen  Exemplar  reproduzierte  —  Eigensdiaften  also,  die  der 
Vogel  Phonix  einerseits  mit  den  Engeln  gemein  hatte,  andererseits  aber 
mit  der  Dignitas  geistlicher  oder  weltlicher  Fursten,  der  ja  wiederum  ein 
character  angelicus  eigentiimlidi  war'08). 


•"")  Vgl.  das  Phonixgedidit  des  Laktanz  (unten  Anm.  109),  Vers  163  ff.; 
dazu  Hubaux -Leroy,  S.  6  f .,  115,  und  insbesondere  Festugiere, 
a.  a.  O.  S.  149  f.  Fur  den  Phonix  im  Kaiserkult  und  auf  Munzcn,  vgl.  etwa 
J.  Lass  us,  in  Monuments  Piot,  36  (1936)  81—122,  und  Henri  Stern,  Le 
Calendrier  de  354  (Paris  1953)  145  ff. 

'»^)  Johannes  Andreae,  zu  c.  14  X  1,  29,  n.  30  f.,  Novella  ^oben  Anm.  96) 
fols.  206v— 207. 

'•»)  Baldus,  zu  c.  14  X  1,  29,  n.  3  (In  Decretalium  etc.  fol.  107):  Est  autem 
avis  unica  singularissima,  in  qua  totum  genus  servatur  in  individuo.  Den  gcne- 
rischen  Charaktcr  der  Dignitas  unterstreicht  nodi  Sir  Edward  Coke,  Calvin's 
Case,  in:  Reports,  VII,  fol.  10  b:  ,,/f  is  true  that  the  King  in  genere  dieth  not, 
but,  no  question,  in  individuo  he  dieth.' 

'°°)  Auf  angelologisdie  Fragen  wie  die  der  Individuation  der  Engcl  sci 
hier  nidit  weiter  eingegangen;  vgl.  zur  Orientierung  Oberweg-Baum- 
gartner,  Grundrifi  der  Gesdi.  d.  Philos.  d.  patrist.  und  sdiolast.  Zeit '« 
(1915),  498  und  580,  und,  fiir  die  von  Thomas  von  Aquino  abweichendc  Auf- 
fassung  des  Duns  Scotus,  Etienne  Gilson,  Jean  Duns  Scot  (1952)  S.  399  ff. 
Engel,  Phonixe  und  Wurden  (oder  Korpersdiaften)  haben  jedenfalls  zahl- 
reiche  Zuge  gemein;  vgl.  oben  Anm.  72. 

10     Deutsche:  Archiv  XIII 


n    u 


146 


Ernst  Kantorowicz, 


Mit  dem  Vogel  Phonix  war  nun  juristisdi  die  Dignitas  insofern  ver- 
gleichbar,  als  audi  bei  der  Abts-,  Bischofs-,  Konigs-  oder  sonstigen  Wurdc 
in  jedem  Augenblick  nur  ein  Einziger  der  Reprascntant  der  korporativ 
erfaftten  nGattung"  —  d.  h.  der  langen  Reihc  von  Amtsvorgangern  und 
Amtsnadifolgern  —  war.  Die  Idee  des  Per  subs  tit  utum  vivere  war  bei 
dem  Phonix  ebcnso  voUkommen  ausgepragt  wie  die  der  „Identitat  im 
Wechsel  der  Glieder"  lo^).  unj  yfcnn  es  je  eine  gleidisam  notorische  Iden- 
titat  oder  Einheit  von  „Vater  und  Sohn"  gab,  so  gewifi  im  Falle  des  Ic- 
gendaren  Phonix.  Gerade  diese  Einheit  war  cs  namlich,  die  als  ein  be- 
sonderer  Charakterzug  des  Wundervogels  von  alien  antiken  Autoren 
ganz  sdiarf  hervorgehoben  wurde.  „Am  geburtstaglidien  Todestag  ver- 
scheidend  und  nadifolgend;  wiederum  ein  Phonix,  wo  sdion  keiner  mehr 
war;  wiederum  er  selbst,  der  soeben  nidit  war;  ein  anderer  und 
doch  derselbe,"  so  besdireibt  Tertullian  das  Fortleben  des  Pho- 
nixios),  Lactanz,  nidit  weniger  gedrangt  in  seinen  Bildern,  sagt:  „Sidi 
selbst  ist  er  selbst  der  SproB,  ist  sein  eigener  Vater  und  sein  eigener 
Erbe  ...  Er  ist  der  Gleiche  und  doch  nicht  der 
G  I  e  i  c  h  e  ,  der  er  selbst  ist  und  dodi  nidit  er  selbst"  (Ipsa  sibi  proles, 
suus  est  pater  et  suus  heres  .  .  .  Est  eadem  sed  non  eadem,  quae  est  ipsa 
nee  ipsa  est...)^^^).  Und  ahnlich  Claudian:  „Er  ist  der  Vater,  und  er 
ist  sein  Sprofi,  und  keiner  ist  der  Erschaffer  .  .  .  Der  der  Zeuger  ge- 
wesen,  schiefit  nun  hervor  als  die  gleiche  Geburt  und  er  folgt  als  ein 
neuer . . .  O  Gludilicher  du,  und  Erbe  deiner  selbst"  "<•). 

Es  lohnt  vielleicht  darauf  aufmerksam  zu  madien,  daft  der  Phonix 
nidit  nur  Vater  und  Kind  seiner  selbst,  sondern  immer  wieder  audi 
„Erbe  seiner  selbst"  genannt  wird,  so  z.  B.  audi  von  Ambrosius"i).  Dies 


'•')  Hierfiir  Gierke,  Genossenschaftsredit,  III,  S.  270  ff.,  277. 

"')  Tertullian,  De  resurrectione  mortuorum,  XIII,  2:  ...natali  fine  dece- 
dens  atque  succedens,  iterum  phoenix  uhi  nemo  iam,  iterum  ipse  qui  non  iam, 
alius  idem. 

•"»)  Laktanz,  Carmen  de  ave  Phoenice,  Vers  167  ff.,  ed.  Hubaux- 
L  e  r  o  y  ,  a.  a.  O.  S.  XV  mit  leiditer  Abweidiung  von  der  Ausgabe  Brandt's 
in  CSEL.  27,  S.  146. 

"°)  Claudian,  Phoenix,  Vers  24,  69 f.,  101,  ed.  H  u  b  a  u  x- L  e  r  o  y,  S.XXI  ff.: 
Sed  pater  est  prolesque  sui  nulloque  creante  .  .  . 
Qui  fucrat  genitor,  natus  nunc  prosilit  idem 
Succeditque  novus  . . . 

. . .  O  felix  heresque  tui. 
»")  Ambrosius,   Expositio   in   Ps.   CXVIII,   c.    13,   ed.   P  e  t  s  c  h  e  n  i  g  , 
CSEL.  62,  S.  428,  Z.  19:  .  .  .  et  sui  heres  corporis  et  cineris  sui  factns.  Bei  H  u  - 
baux-Leroy,  a.  a.  O.  S.  199  ff.  wird  das  heres-VrohXem  ganz  ungenugend 
behandelt. 


Zu  den  Reditsgrundlagen  der  Kaisersage 


147 


mag  dazu  beigetragen  haben,  dafi  bei  Bchandlung  der  Frage  der  Suk- 
zcssion  den  Juristen  das  Phonixgleidinis  uberhaupt  einfiel,  da  ja  die 
Identitat  von  Vater  und  Sohn,  Vorganger  und  Nadifolger  gewohnheits- 
mafiig  im  Zusammenhang  mit  dem  Erbredit  erortert  wurde.  Es  ist  im 
ubrigen  durdiaus  moglidi,  dal?  der  Vergleidi  der  Dignitas  mit  dem 
Vogel  Phonix  nidit  erst  von  Bernhard  von  Parma  eingefuhrt  wurde, 
sondern  auf  fruhere  Glossatoren  zurudtging.  Hier  geniigt  es  jedodi  fest- 
zustellen,  dag  jedenfalls  zu  Anfang  der  40er  Jahre  das  Phonixbild  zur 
Verdeutlidiung  der  vielzitierten  Dekretale  Quoniam  abbas  sdion 
im  Umlauf  war.  Audi  darauf  sei  nodi  verwiesen,  dafi  in  dem  von  Pe- 
trus  de  Vinea  verfafiten  Kampfmanifest  Levate  in  circuitu 
(1239,  April  20)  deutlidi  auf  die  Dekretale  Alexanders  III.  angespielt 
wurdeii2),  und  ebenso,  daf?  man  Friedridi  II.  selbst  sdion  zu  Lebzeiten 
gelegentlidi  als  „Phonix"  bezeidinete"*).  Das  alles  soil  nidit  iiberwertet 
werden;  audi  I'i&t  es  sidi  nirgends  erweisen,  dafi  die  Sibyllentexte  sidi 
an  die  Phonixerzahlungen  angelehnt  batten,  selbst  wenn  in  den  editcn 
Sibyllen  der  Phonix  einmal  erwahnt  wird"*).  Dennodi  stehen  sidi 
Phonixerwartungen  und  Sibyllenprophetie  nahe  genug,  und  ebensowenig 
darf  es  ubersehen  werden,  dafi  Aussagen  uber  den  Phonix  wie  z.  B. 
est  eadem  sed  non  eadem  oder  est  ipsa  nee  ipsa  est  inhaltlidi  wie  formal 
nadistverwandt  sind  dem  Sprudi  der  Erythraa  Vivit  et  non  vivit.  Zu- 
sammen  mit  Jesus  Siradis  Mortuus  est  et  quasi  non  mortuus  est  waren 
sie  auf  den  gleidien  Ideenkomplex  bezogen. 

Es  ist  nidit  sdiwierig,  das  Gesagte  nunmehr  zusammenzufassen  und 
die  einfadicn  Sdiliisse  zu  Ziehen.  Von  den  versdiiedensten  Gesiditspunk- 
ten  herkommend  und  unter  Zuhilfenahme  der  versdiiedensten  Bilder  und 
Gleidinisse  wurde  in  der  ersten  Halfte  des  13.  Jahrhunderts  die  Idee 


"-)  Auf  die  nidit  uncrheblidicn  kanonistisdien  Einsdilage  bei  Petrus  de 
Vinea  hat  kiirzlich  Brian  Tierney,  Foundations  of  the  Conciliar  Theory 
(1955)  S.  77  E.  aufmerksam  gemadit.  Auf  Quoniam  abbas  nimmt  Bezug 
MG.  Const.  II,  S.  297  Z.  23  ff.:  non  in  contemptu  papalis  officii  vel  aposto- 
lice  dignitatis ...  set  persone  prevaricationem  arguimus. 

"»)  Nikolaus  von  Bari  (ed.  Kloos,  DA.  11,  S.  170  §5)  vergleidi:  Friedridi 
wegen  seiner  Einzigkeit  mit  dem  Phonix,  wie  dies  spater  zum  allgemeinen 
Hofstil  der  Renaissance-Monardien  gehorte:  Magnus  est  dignitate  honoris... 
Ipse  est  sol  in  firmamento  mundi . . .  Unus  est  et  secundum  non  habet,  f  enix 
pulcherrima  pennis  aureis  decorata.  DaiS.  Friedridi  selbst  (De  arte  venandi 
cum  avibus,  II,  c.  2)  den  Phonix  erwahnt,  freilidi  nur  um  Plinius'  Theoric  von 
der  Zwiegesdiieditigkcit  des  Vogcis  .ibzulehnen,  ist  hier  natiiriidi  ohne  Bclang. 

•")  Vgl.  Sibyllinisdie  Weissagungen,  VIII,  139,  ed.  A.  Kurfess  (1951) 
S.  166. 


10» 


/  /    U     J    L 
U       I    L     U 


148 


Ernst  Kantorowicz, 


dcr  Dynastie  gleichsam  ausgearbeitet  oder  rationalisiert  und  audi  fur  das 
Kajsertum,  fur  die  staufische  caesarea  stirps,  in  AnspruA  genommen. 
Dabei  sp.elte  die  Lehre  von  der  Identitat  von  Vater  und  Sohn,  Erblasser 
und  Erben,  Monarcben  und  Thronfolger,  Amtsvorganger  und  AmtsnaA- 
folger  die  wohl  wichtigste  Rolie.  Diese  Lehre  wurde  vom  Kaiser  selbst 
wie  von  den  Kaisersohnen  in  mehr  oder  weniger  allgemeinen  Worten 
herangezogen.  Sie  lag  dem  Sonnengleichnis  zugrunde,  dem  Sdieiden  der 
alten  und  dem  Aufgehen  der  neuen  Sonne,  die  dodi  immer  die  gleidie 
bleibt  -  aliusque  et  idem.  Das  „Fortleben  im  Sohne"  war  in  dem  angeb- 
hdien  Testament  juristisdi  interpretiert  als  ein  per  substitutum  vivere.  Die 
Juristen  selbst  anerkannten  dasPrinzip  der  „Daucr  im  Wedisel",  desFort- 
lebens  eines  Geriditshofes,  einer  Legion,  eines  Volkes,  einer  Herde,  eines 
Sdiiffes  trotz  Substitution  allerKomponenten,  ja  machten  die  Substitution 
geradezu  zum  Lebcnsprinzip  einer  ewigen  Dauer:  perpetuatio  fit  per  suc- 
cessionem   et   subrogationem.    Das    romisdie   Erbredit   kanonisierte   die 
Identitat  von  Erblasser  und  Erben  als  eine  fictio  iuris,  und  die  Kano- 
nisten  vertraten  die  gleidie  Ansdiauung  auf  Grund  einiger  Satze  des 
Decretums.    Hinzu    kamen    die    Zeugungs-    und    Vererbungslehren    der 
Antike,  die  —  von  der  Sdiolastik  rezipiert  —  gleidifalls  das  Einssein 
von  Vater  und  Sohn  aus  quasi  naturwissensdiaftlidien  Grunden  ver- 
traten und  die  vielleidit  mitverantwortlidi  waren  fiir  die  am  Kaiserhofe 
jedenfalls  vertretene  Lehre  von  der  besonderen  Subtilitat  der  Konigs- 
seelen»5).  Herangezogen  wurden  audi  die  evangelisdien  Zeugnisse  fiir 
die  Wesensgleidiheit  von  Vater  und  Sohn.  Von  der  Kanonistik  zuerst 
erfafit,  von  den  Zivilisten  jedodi  alsbald  iibernommen,  verbreitete  sidi 
die  eine  Identitat  von  Amtsvorganger  und  Amtsnadifolger  vorausset- 
zende  Lehre  der  Dignitas  quae  non  moritur,  die  sdiliefilidi  hinfiihrte  zu 
dem  Motto:  Le  roi  ne  meurt  jamais.  Und  diese  Lehre  wurde  wiederum 


"')  Vgl.  den  Brief  an  Konig  Konrad  (vermutlich  eine  Stiliibung)  bei  H  u  i  1  - 
lard-Breholles,  Hist,  dip!.,  V.  S.  274  f.:  Immo  tanto  se  maiori  nota 
notahiles  faciunt  principes  inscii  quam  privati,  quanta  nobil'uas  sanguinis  per 
in  f  u  s  ionem  sub  til  i  s  et  nobilis  anime  facit  ipsos  esse  pre  ceteris 
susceptibiles  discipline.  Die  zugrunde  liegende  Lehre  lafit  sich  nidit  eindcutig 
feststellen,  dodi  kommt  sie  wohl  am  nadisten  der  Lehre  von  dcr  Ersdiaffung  der 
Konigsseelen  in  der  Kore  kosmou,  fragm.  XXIV,  ed.  A.  D.  Nock  und  A.- J. 
Festugiere,  Corpus  Hermeticum,  IV  (Paris  1954),  52  ff.  Von  dem 
Corpus  Hermeticum  war  damals  jedodi  wohl  nur  der  Asclepius  bekannt.  Man 
kann  natiirlidi  audi  an  die  Lehre  von  den  rationes  seminales  denken;  vgl. 
Lesky,  a.  a.  O.  (oben  Anm.  71)  S.  164  ff.,  audi  172  L;  Hans  Meyer,  Ge- 
sdiidite  der  Lehre  von  den  Keimkraften  von  der  Stoa  bis  zum  Ausgang  der 
Patristik  (1914),  bes.  184  ff.  fur  Ausustin  und  Macrobius  als  Vermittler  der 
Lehre. 


*  B 


I 

i 


Zu  den  Reditsgrundlagen  der  Kaisersage  149 

verquidt  mit  dem  Mythos  vom  Vogel  Phonix,  in  dem  Unsterblidikeits- 
glauben.  Fortleben  durdi  Substitution  und  Identitat  von  Erzeuger  und 
Erzeugtem  zusammenflossen.  ^ 

In  diesen  allgemeinen  Zusammenhang  reiht  sidi  nun  das  unter  dem 
Namen  der  Erythraisdien  Sibylle  nadi  1250  in  Umlauf  gesetzte  Vatici- 
nium  ohne  weiteres  ein.  Der  alte  Adler  Jebt  und  lebt  nidit,  da  eines 
der  Adierjungen  und  ein  Junges  der  Jungen  Uberlebt".  Es  bleibt  dabei 
unbenommen,  den  nadi  dem  P  h  y  s  i  o  1  o  g  u  s  sidi  stets  selbstverjungen- 
den  Adler  mit  dem  Phonix  in  Verbindung  zu  bringen,  dessen  Stelle  der 
Adler  audi  sonst  oft  genug  eingenommen  hat"6).  Diese  Spekulationen 
sdieinen  mir  ;edodi  ganz  iiberflussig  und  nebensadilidi  zu  sein.  da  das 
angebhdi  ratselhafte  Vivn  et  r^on  vivtt  sidi  vollig  zwanglos  aus  den 
Ansdiauungen,  audi  den  Reditsansdiauungen,  der  Zeit  erklaren  lafit. 

Viel  seltsamer  ist  dann  freilidi  die  Abwandlung  der  rationalen  juristi- 
sdien  Argumente  ins  Sagenhafte,  ist  der  ProzeE  der  Mystifikation.  Der 
Kernsprudi  Vivit  et  r,or,  vivit,  so  lange  er  mit  dem  Oberleben  der  Nadi- 
kommen,  und  das  heil?t  mit  den  dynastisdien  Hoffnungen,  verbunden 
blieb,  war  mdit  „mystisdier«   als  das  Stidiwort  D.gnUas  rrori  moruur 
regta  matestas  non  moritur,  oder  le  roi  ne  meurt  jamais.  Der  Sprudi  war' 
sozusagen,  auf  diese  Lehren  bin  angelegt  und  hatte  wie  in  den  west- 
hdien  Monardiien  in  sie  einmunden  konnen.  Dies  gesdiah  jedodi  nidit 
Statt  dessen  wurde  der  Satz  sdion  von  Salimbene  verbunden  mit  dem 
personhdien,   physisdien   Tode   des   Kaisers   unter   angeblidi    seltsamen 
Umstanden,  das  heifit  mit  der  durdiaus  legendaren  und  unhistorisdien 
mors  abscondita  des  Kaisers.  Vivit  et  non  vivtt  ersdiien  damit  als  das 
Resultat  des   „verborgenen  Todes"   und  wurde  nunmehr  auf  ein  rein 
personhdies  mystisdi-physisdies  Fortleben  des  kaiserlidien  Individuums 
bezogen,  und  nidit  mehr  auf  das  unpersonlidie  und  uberpersonlidie  Fort- 
leben der  Dynastie  oder  der  Dignitas.  Die  ursprUnglidien  Zusammen- 
harige  waren  somit  verwisdit,  und  die  Mystifikation  lag  den  Joadiiten 
und  hernadi  den  Transalpinen  offenbar  mehr  und  naher  am  Herzen,  als 
die  logisdien  SdilUsse  der  Civilisten  und  Kanonisten  -  Sdilusse, '  die 
mangels  einer  Dynastie  im  nadistaufisdien  Reidie  audi  keinen  rediten 
Nahrboden  fanden. 


)  H  u  b  a  u  X  -  L  e  r  o  y,  Le  mythe  du  Phonix  (s.  Index  s.  v.  „Aigle")  haben 
d.ese  Parallele  v.elle.dit  zu  weit  getrieben.  Immerhin  ist  die  Ahnlidikeit  von 
Adler  und  Phon.x  auf  Grund  des  Physiologus  gegeben,  wo  die  beiden  Vogel 
nadieinander  behandelt  werden  (cc.  8  und  9). 


n    u    J 


-JHJIt_)UI^.4!JJ-  - 


Li  . 


150  Enut  Kantorowicz,  2u  den  Reditsgrundlagen  der  Kaisenage 

So  geht  die  Kaisersagc  im  Grunde  zuruck  auf  das  Mifiverstehen  der 
rationalen,  juristischen  Argumente  fiir  eine  Kontinuitat  der  Dynastic 
und  eine  Sempiternitat  der  Dignitas,  was  natiirlidi  keineswegs  aus- 
sdilieCt,  da6  MifSverstandnisse  —  ahnlidi  wie  Falsdiungen  —  historische 
Fakten  erster  Ordnung  sein  konnen,  die  selbst  wiederum  Gesdiichte 
madien.  Es  ist  jedoch  kaum  ubcrtrieben  zu  sagen,  dafi  die  Sage  vom 
Fortleben  des  in  den  Berg  entriickten  und  im  Berge  sdilummernden  Kai- 
sers qni  non  moritur  das  irrational-verschwommene  oder  legendare  Ge- 
genstiick  bildet  zu  dem  juristisdi-rationalen  Dogma  der  westlidien  Mo- 
narchien:  Le  rot  ne  meurt  jamais. 


n    u    J    u 

U        I     L     U 


II 


Prof.  Dr.  Wilhclm  Ebel 
Liibecker  Ratsurteilc 

Band  I       1421—1500 

1006  Urtcile,  XV,  579  Sciten,  Grofioktav,  hiosch.,  DM  6S  — 

Band  II     1501—1525 

1.^78  Urteile,   640  Sciten,  C,roj!.okt.iv,  hrosch.,  DM  95,— 

Band  III 

iiber  lOOOUrteilc  aus  denjahrcn  von  1526— 1546  erschcint  EnJe  1957 

Dcr  Rat  von  Lubeck,  das  „H6distc  Recht"  fiir  die  mchr  als  hundcrt 
Stadtc  liibisdicn  Rechts  im  Mittclaltcr,  ist  eine  der  bcdeutcndsten 
reditsschopferischcn  Krafte  der  dcutsdien  Rechtsgeschichte  uberhaupt. 
Das  hoctientwickelte  Privat-,  Handeh-  und  Scerccht  dcs  welten  han- 
sichen  Bercichs,  die  Grundlage  des  noch  gcltenden  Handclsrechts,  ist 
grofitenteils  sein  in  Tausendcn  vonUrteilen  erarbcitetes  Werk.  Schon 
die  bisherigen  Veroffentlidiungen  des  Herau^gebers  haben  die  bislang 
verbrcitete  Mcinung,  von  dieser  ausgebreitctcn  Rechtsprediung  sei 
nur  wcnig  erhalten,  widerlcgt.  Nun  legt  der  Gottingcr  Rechtshisto- 
riker  die  Ernte  einer  vieljahrigen  Sammelarbeit  vor. 

„  . . .  Es  ist  keine  Obertrcibung  zu  sagcn,  da(?  die  Edition  mit  Span- 
nung  von  den  Gcrmanistisdicn  Rechtshistorikern  in  ganz  Europa  er- 
wartet  wordcn  ist . .  .  Das  Ersdieincn  des  Werkes  mufi  also  als  ein 
grofies  Ereignis  Innerhalb  der  Germanistik  bezeidinet  werden  .  .  . 
Weldicn  Wert  die  Edition  sdion  aus  clcmentaren  Quellengesidits- 
punktcn  hat,  braudit  nidit  naher  entwickelt  zu  werden.  W.  E.  hat 
wahrlidi  einen  Einsatz  gemadit,  der  kaum  hoch  gcnug  geriihmt  wer- 
den   kann.  Die  Ausgabe  ist  vorbildlich  in  formcller  Hinsidit." 

Erik  Anncrs,  Svensk  Ji:risttidning  1956 

Dr.  Hildbi'.rg  Brjiicr-Gramni 

Der  Landvogt  Peter  von  Hagenbach 

Die  burgundisdie  Herrsdiaft  am  Oberrhein   1469—1474 

ca.  300  Seiten,  kart.,  ca.  DM  24,—     1957 

Peter  von  Hagenbachs  Schidisalsweg  ist  nicht  alltaglldi:  ein  Rittcr 
elsassischer  Abkunft  im  franzosischen  Spradigcbiet  erzogen,  kommt 
er  1469  als  Staathaltcr  des  damaligcn  allgewaltigcn  Herzogs  von 
Burgund  an  den  Oberrhein.  lUnf  Jahre  spater  endet  seine  Tyrannci 
zu  Breisach,  und  nach  dcm  Sprudi  dcr  Fiirsten,  Stadte  und  Eidgc- 
nossen   wird  Hagenbadi  hingcrichtct. 

Bleibcndos  Intercsse  gewinnt  dieses  Gcsdichen  als  Vorspiel  fur  den 
Untergang  Karls  des  Kuhncn  sclbst,  mehr  noch  als  Auseinanderset- 
zung  von  „gutem  altcm  Redit"  und  modernem  unpersonalem  Staats- 
denken,  das  sidi  erst  nadi  sAweren  KSmpfcn  audi  auf  dcutsdiem  Bo- 
den  durdisetzen  konnte. 


MUSTERSCHMIDT-VERLAG     •     GOTTINGEN 


U    J    u 

I    L        i 


^7/p 


Sonderdruck 
aus 

Stupor  mundi 

Sciten  482-524 


ZU  DEN  RECHTSGRUNDLAGEN 
DER  KAISERSAGE 


von 


ERNST    KANTOROVCICZ 


1966 

WISSENSCHAFTLICHE    BUCHGESELLSCHAFT 

DARMSTADT 


U    J    n 

I    J    U 


Aus:  Dcutschcs  Atchiv  fiir  Erfoischimg  des  Mittelalicrs,  13,  1957,  S.  115-150 

ZU  DEN  RECHTSGRUNDLAGEN  DER  KAISERSAGE 

Von  Ernst  Kantorowicz 

1.  Ein  angebliches  Testament  Kaiser  Friedrichs  II. 

Vor  mehr  als  einem  halben  Jahrhundert  hat  SchcfFer-Boichorst 
auf  ein  Testament  Friedrichs  II.  aufmerks;im  gemacht,  von  dem 
er  vermutete,  daB  es  eine  „Stilubung"  sei.  Das  Stiick  war  ihm  nur 
fragmentarisch  bekannt;  hiitte  er  das  Ganze  gesehcn,  so  hatte  er 
wohl  keinen  Augenblick  gezogert,  sich  noch  sehr  viel  bestimmter 
auszusprecheni.  Vor  langerer  Zeit  hat  sodann  der  Verfasser  dieser 
Zeilen,  von  dem  immer  wieder  verbluffenden  Spursinn  des  unver- 
geBlichen  Carl  Erdmann  auf  eine  Handschrift  des  Escorial  (d.  III. 
3)  verwiesen,  sich  mit  diesem  Testament  beschiiftigt,  das  er  als 
eine  „Stilubung  zweifellos  italienischer  Herkunft"  bezeichnete, 
die  jedoch  „nicht  ganz  ohne  Interesse"  sei  und  auf  die  er  an 
anderer  Stelle  zuriickzukommen  versprach^.  Dieses  Versprechen 
ist,  wie  so  viele  Arbeitsversprechen,  bisher  nicht  eingelost  worden, 
und  wenn  dies  heute  dennoch  geschieht,  so  gab  den  AnlaB  dazu 
die  Heidelberger  Dissertation  von  Dr.  Gunther  Wolf,  die  jungst 
in  der  Form  eines  langeren  Zeitschriftenaufsatzes  erschicnen  ist». 

»  P.  Scheffer-Boichorst,  Zur  Geschichte  des  XII.  und  XIII  Ih  s 
(1897)268ff. 

*  E.  Kantorowicz.PetrusdeVineainEngland,  MOIG.  51  (1937)  86ff. 

»  Gunther  Wolf,  Ein  unveroffentlichtes  Testament  Kaiser  Friedrichs 
II.,  Zs.  f.  d.  Gesch.  d.  Oberrh.  104  (1956)  1-51.  Enthusiusmus  und 
Arbeitseifer,  gepaart  mit  Finderfreude,  sind  dieser  Arbeit  gewif3  nicht 
abzusprechen,  und  man  hatte  nur  gewunscht,  daB  diese  QuaJitaten  sich 
an  einem  tauglicheren  Objekt  entfaltct  hatten  sowie  unter  sachvcrstiin- 
diger  Leitung,  die  wiederum  der  Entwicklung  kritischer  Fahigkeiten 
zugute  gekommen  ware. 


[115/116]  Zu  den  Rcchtsgrundlagen  der  Kaiscrsage  483 

In  der  Stadtbibliothck  zu  Besan9on  stieB  Dr.  Wolf  im  Verlaufe 
anderer  Arbeiten  auf  die  Abschrift  des  bislang  nur  unvoUstiindig 
veroffentlichten  Testaments,  dessen  Text  in  dem  genannten  Esco- 
rialensis,  einer  Papierhandschrift  der  ersten  Halfte  des  14.  Jahr- 
hunderts,  iiberliefert  ist  |  (E).  Abgesehcn  von  der  Arenga  und 
mancherlei  Zusatzen  stimmt  das  Stuck  -  zumal  in  den  eigentlichen 
Testamentsbestimmungen  -  weitgehend  mit  dem  von  Weiland 
veroffentlichten  Testament  iiberein  (W),  dessen  Authentizitat 
nicht  zu  bezweifeln  ist*.  Dr.  Wolf  bringt  darum  auch  den  Text 
von  E  dankenswerterweise  in  Parallelkolumne  mit  den  einschla- 
gigen  Stellen  von  W  zum  Abdruck^.  Es  schlieBt  sich  eine  „Echt- 
heitskritik"  an,  in  der  die  Moglichkcit  einer  Fiilschung  oder  einer 
Stiliibung  in  durchaus  nicht  iiberzeugendcr  Weise  abgelehnt  wird. 
Datiert  wird  das  Stiick,  well  es  angeblich  eine  Verschlechterung 

*  MG.  Const.  II,  Nr.  274,  S.  282-289.  Zu  den  von  Weiland  angcfiihr- 
ten  Griinden  fiir  die  Echtheit  des  Testaments,  die  aus  der  Oberlicferung 
hervorgcht,  sei  noch  hinzugeftipt,  daB  Manfred  nicht  nur  sich  mehrfach 
auf  das  Testament  bezieht  und  dessen  Bestimmungen  korrekt  zitiert 
(BF.  4633,  4635,  4637  u.  6.),  sondern  daB  auch  das  Diktat  seiner  Erlasse 
und  Briefe  sich  oft  eng  an  den  ^'ortlaut  des  Testaments  anschlicBt;  vgl. 
z.  B.  den  Brief  an  die  Palermitaner  (BF.  4633;  B.  Capasso,  Hist.  Diplom. 
Regni  Siciliac  [Neapel,  1874]  S.  5f.),  beginnend  Etst  primi  parentis  .  .  . 
incauta  transgressio,  mit  den  ersten  Worten  des  Testaments ;  oder,  in  dem 
gleichcn  Brief  (Z.  11),  divas  Cesar genitor  nosier  rebus  ijumanis  assump- 
tus  mit  Weiland  S.  385,  Z.  13:  ut  rebus  humanis  absumpti  vivere  videa- 
mur.  Dergleichen  licBe  sich  noch  mehrfach  nachweisen.  Es  ist  immer- 
hin  bczeichnend,  daB  sich  ahnliche  Niederschlage  des  Testaments  E 
anschcinend  nicht  rinden. 

'  Vgl.  Wolf,  S.  4tf.,  der  es  leider  verabsaumt  hat,  das  keineswegs 
kurze  Stiick  nach  Paragraphen  unterzuteilen  oder  die  Zeilen  zu  nume- 
rieren.  Soweit  moglich,  zitiere  ich  E  hier  nach  den  Paragraphennum- 
mern  der  Parallelkolumne  von  W.  Die  wenigen  Textverbesserungen 
sind  nicht  wesentlich:  S.  5.  Z.  11  v.  u. :  et  velut  statt  velut;  ebda.  Z.  10 
V.  u.  ist  das  Fragezeichen  nach  poe/icum  sinnentstellend  und  zu  streichen; 
Z.  2  v.  u. :  karissimi  fiir  carissimi;  S.  6,  §  2:  subbreviioquio  statt  des  sinn- 
storcnden  sub  hreviloquio  [breoiloquio  ist  doch  wohl  Druckfehlcr] ;  S.  6, 
§  6:  salvationis  nostre  statt  Salvaioris  nostri;  S.  8,  Z.  1 :  adquires  statt  adiniis. 
Die  Zeichensetzung  ist  willkiirlich  und  besscr  in  der  Hs.  als  im  Druck. 


1 


n    u    J 

u      I    J 


484 


Ernst  Kantorowicz 


[116/117] 


des  kaiserUchen  Gesundheitszustandes  erkennen  lasse,  auf  etwa 
eine  Woche  nach  W  (also  etwa  7.-13.  Dezember  1250).  Die  Ab- 
sonderlichkeit  eines  Doppeltestamcnts  \vird  damit  erklart,  daB 
W  „Staatstestament",  E  jedoch  ,.Privartestament"  sei.  Einem 
kurzen  Abschnitt  iiber  „Theologie  und  Staatsauffassung"  folgt 
eine  Besprechung  der  Legate  und  Titel  sowie  ein  Vergleich  mit 
anderen  Herrschertestamenten  der  Zeit.  Da  fast  alle  Schlusse  mit 
der  Echtheitstrage  stehen  und  faUen.  genugt  es  hier,  sich  allein  mit 
dieser  zu  befassen*.  | 

Testament  E  findet  sich  in  der  Handschrift  (f  100-1 02 v)  zu- 
sammen  mit  Stiicken  des  Berard  von  Neapel,  denen  wiederum 

•  Damit  werden  natiirlich   auch   die  Betrachtungen  iiber      Staats- 
testament"  und  ..Privattestament"  (Wolf.  S.  21  ff.)  hmfallig,  dic'an  sich 
recht  fragwurdig  sind  (s.  unten  Anm.  28).  Als  Kriterien  fur  die  Echtheit 
werden  sowohi  Abweichungen  von  als  auch  Cberemstimmungen  mit 
echten  Dokumenten  beigebracht.  S.  15  wird  z.  B.  gesagt.  es  ..schwache 
wieder  den  Verdacht  einer  Falschung  ab",  daC  der  Notarstitel  eine 
voUig  ungcwohnliche,  ja  einmahge  Fassung  habe  (s.  unten  im  Text  zu 
Anm.  26).  Umgekehrt  heiCt  es  S.  12,  eine  Falschung  sei  unwahrschein- 
hch.  well  sich  m  E  ,.alle  von  Vehse  bemerkten  Stilmittcl"  fanden  ferner 
der  „bei  Fnednch  11.  beliebtc  Adamstopos"  und  schlieClich  ..wonliches 
Zuat  aus  dem  Corpus  luris  CivUis".  Die  Verwendung  des  allbekannten 
Kan2le.st.ls  und  der  rhetorischen  M.ttel  besagt  naturhch  genauso  wenig 
w.e  Zitate  aus  dem  Corpus  Juris  Civilis.  das  ja  ke.n  dem  ka.serhchen 
Gebrauch  vorbehaltenes  Geheimwerk  war;  und  was  schl.eChch  den 
Adamstopos  anbetr.fft.  so  darf  man  daran  erinnern.  daC  es  ja  das  Wesen 
e.ner  Falschung  1st.  sich  einem  Or.ginal  nach  Moglichkeit  anzupassen 
(s.  unten  Anm.  35  zur  X'erwendung  des  Staathalterdiploms).  VCas  wei- 
terhm  zur  Entkraftung  der  Ans.cht,  es  handle  sich  um  eine  Stilubung 
angefuhrt  w.rd   bleibt  nahezu  unverstandl.ch.  so  etwa  die  Bemerkung 
A     ^•^"'".■^^-•''^i'^  hatte  das  aragonesische  Konigshaus  Intercsse  an 
der  Abschnft  (um  1340!!)  gehabt  [Ausrufezeichen  s.nd  Zitat],  ware  E 
erne  Stdubung  gewesen?"  Oder  ebda.  d.e  Bemerkung:  ..Berthold  v. 
Hohenburg    Richard  v.  Caserta  und   VC'alter  v.   Ocra  etwa.  die  alle 
Fnearich  uberlebten.  batten  einer  Interpolation  .hrcr  Namen  in  die 
Zeugenhste  e.nes  unechten  Testaments  sicher  nicht  tatenlos  zugesehen!" 
Uas  hatte  das  aragonesische  Konigshaus  mit  einer  Briefsammlung  zu 

Tr!  ^"f  T.         ?  '^'^  «'°^""  ""^^"  '^^  Kaiserhofes  wohl  gegen 
e.nen  St.lschuler  oder  Stilmcister  unternehmen  soUen'^ 


1117/118]  ^u  den  Rechtsgrundlagen  der  Kaisersage  485 

solche  aus  dem  Briefbuch  des  Thomas  von  Capua  eingesprengt 
smd  -  genauer  aus  der  Zehn-Buch-Redaktion  der  Thomas-Briefe 
die  wohl  um  1268  von  dem  papstlichen  Notar  Jordan  von  Terra- 
cina  zusammengestellt  wurde.  Zu  diesen  Einsprengseln  gehort  z  B 
ein  Papstbrief  PrJ^//V  et  universitati  Hyspank  [sic]  (115r-v)  und  ein 
solcher  an  Danemark  (115v-116v)7.  Es  handelt  sich  also,  zumin- 
dest  in  den  hier  in  Betracht  kommenden  Teilen  der  Handschrift 
um  eine  vorwiegend  aus  kurialen  Briefbuchern  schopfende  Zu- 
sammenstellung  von  Stiicken  verschiedenartiger  Herkunft.  in  die 
dann  auch  E  hineingeraten  ist,  das  ich  hier  behelfsmaBig  als    lite- 
ransch  zugestutzte  Oberarbeitung"  von  W  bezeichnen  mochte. 
Mit  E  haben  nun  die  beiden  Papstbriefe  gemein,  daB  alle  drei 
Dokumente  sich  in  den  Arengen  ein  u-enig  an  das  bekannte  Statt- 
halterdiplom  Friedrichs  II.  (Vinea,  Epistolae  V,  1)  anlehnen,  das 
ja  zusammen  mit  dem  Prooemium  des  Liber  augustalis  Stilubungen 
mcht  selten  zum  Vorbild  [  gedient  hat«.  In  der  langatmigen,  von 
einer  Unzahl  rhetorischer  Fragen  geschwellten  Arenga  von  E  ist 
denn  auch  ein  Kernsatz  des  Diploms  (ex  necessitate  quadam  oportuit 
naturam  subesse  iusticie  et  servire  iudicio  libertatem)  sofort  zu  erkennen, 

^  Den  Spanienbrief  habe  ich  MOIG.  51  S.  87f  abgedruckt.  Erst 
nachtraglich  machte  mich  freundlicherweise  Frau  Dr.  Emmy  Heller 
darauf  aufmerksam,  daC  dieser  Brief  auf  die  Sammlung  des  Thomas 
von  Capua  zuriickgehe.  ebcnso  der  an  Danemark.  und  auch  (nach 
giitiger  Mittcilung  von  Herrn  Dr.  R.  .M.  Kloos)  noch  zwei  weitere,  die 
bei  S.  F.  Hahn,  Collectio  monumentorum,  I  (1724)  S.  350  und  384 
gedruckt  sind.  Fur  den  Charaktcr  derartiger  Briefsammlungen  hochst 
lehrreich  ist  die  Abhandlung  von  H.  M.  Schaller,  Zur  Entstehung  der 
sog.  Briefsammlung  des  Petrus  de  Vinea.  D.\.  12  (1956)  IHff..  bes. 
142ff. 

•  Z.  B.  Vinea,  Epp..  Ill,  68  und  69.  Das  gleiche  gilt  naturlich  auch 
von  echten  Stucken;  vgl.  etwa  Manfreds  Statthalterdiplom  (MG.  Const. 
II.  Nr.  422  S.  553)  oder  den  Brief  Heinrichs  III.  von  England  an  Teano 
(MOIG.  51,  S.  71  ff.).  Die  wrw/Vaj- erscheint  dabei  fast  als  ein  Schlagwort 
ghibellinischer  Anschauungen,  und  in  Manfreds  Aufruf  an  die  Romer 
w.rd  sie  gar  pcrsonifiziert :  Respondel  mimdi  dtposcvts  I\'ecessitas:  Nemo  nisi 
maximi  films  cesaris  (MG.  Const.  II,  Nr.  424  S.  565  Z.  12).  Es  ist  be- 
zeichnend,  daB  dieses  Kennwort  in  E  weggelassen  worden  ist;  s.  unten 
Anm.  27  fur  die  Tcndenz  des  Stiickes. 


HIHji 


/  /     U     J     J 

U       I     J    L 


486 


Ernst  Kantoro\ncz 


[118/119] 


frdlich  schulmaBig  „versch6nt"  und  zugleich  verballhornt:  et  sic 
oportet  miserrim,  oportuit  et  npnrtehit  in  poster um  legem  nature  suhessc 
peccato  et  itign  servitutis  servirt  lihertatis  iudicium^.  Von  der  Haufung 
der  Tempora  (oportet,  oportuit,  oportehit in posterum )  ganz  abgesehen 
hat  der  Verfasser  -  vorpeblich  der  mit  dem  Tode  ringende,  den- 
noch  sein  sillerietztes   Testament  diktierende  Kaiser  i"  -  durch 
Wortmacherei  nur  Unklarheiten  geschaffen :  start  daB  als  Konse- 
quenz  von  Adams  Fall  hinfort  „die   (menschlichc)  Natur  der 
Gerechtigkeit  unterstellt  und  die  Freiheit  dem  Richterspruch  horig 
werden  muBte",  heilk  es  nun,  daB  „dif  icx  nature  der  Sunde  unter- 
stellt and  der  Richtspruch  der  Freiheit  dem  Joch  der  Knecht- 
schaft  hcirip  werden  muB,  muBtc  und  miissen  -wird".  Wahrend 
in  W  Konig  Konrad  zum  Erben  bestmimt  wird  in  imperio  et  in 
omnibus  aliis  empticiis  et  quoqunmodv  acquisitis,  also  „im  Reich  und 
alien  kauflich  oder  sonsrvrie  ervrorbenen"  Pertinenzen,  -wird  dar- 
aus  in  E  eine  langere  Aufzahlung,  unterbrochen  durch  die  rj-pischc 
Entschuldigung  fiir  Weitschweifigkeit  ut  suhhreviloqmo  utamur,  die 
dann  ihrerseits  zu  neuer  Veitschweifigkeit  fiihrt:  in  omnibus  et 
singulis  bonis  nostris,  que  nostro  suhiacent  dnminio,  vel  suhesse  dehent,  sub 
cell,,  super  terram,  ah  oricnte  usque  it:  ucadens,  ab  aqtdlone  usque  in 
meridiem'^  -  rhetorische  Amplifikatdonen  also,  die  fiir  jeden,  der  mit 
derartigen  Produkten  vertraut  ist,  die  rhetorisch-literarische  „Stil- 
iibung"  kenndich  machen.  Das  gleichc  gilt  fiir  das  danach  Folgendt : 
denn  wo  W  kurz  und  biindig  im  iiblichen  Stil  sagt  in  substdium  Tern 
Sanctc,  heiBt  es  in  E  x»  recuperatione  terre  sancte  ultra  mare  sive  sanctis- 
simi  sepulcri  salvationis  nostre^.   \  Wenn  in  W  bestdmmt  wird,  daB 
nach  kmderlosem   Tode  der  legitimen   Sohnc  der  Icgitir^erte 
Manfred  folgen  soUe,  fiigt  E  die  nichtssagende  Klausel  hinzu: 
Deinde  succedat,  ad  lex permiserit^. 

"  ^X  olf,  S.  5.  ISdittc. 

'"  Ebda.  S.  20,  auch  17f.  und  21  Anm.  1,  wobei  uberall  die  \X'one 
stne  scriptis  eint  verhanprusvollt  Rolie  spiden;  s.  unten  \nm  33 

"  Ebda.  S.  6,  §  2. 

"  Ebda.  §  6. 

"  Ebda.  S.  8,  §2.  Diese  kx  vtxsteht  Wolf,  11  f.,  29,  39  u.  6.  Bcltsamer- 
weise  als  die  lex  regia.  Das  ist  ein  MiBverstehen  der  Funktion  der  lex  dr 
snipmi,,  durch  die  dem  Princeps  die  Vollgcwalt  der  LegisktiQn  {y. 


[119]  Zu  den  Rechtsgrundkpcn  der  K.aisersapf  487 

Von    solchen    rhetorischen    Schulpfropfungcn    u-immelt    das 
Stuck,  doch  sind  anderc  Andcrungen  aufschluBrcichcr.  In  Frage 
kommen  da  zunachst  ein  paar  geographische  Einzclheiten  im 
Zusammenhang  mit  den  Schenkungen.  Es  ist  verstindlich,  daB 
der  wenigcr  bekanntc  ducatus  Stirie  durch  den  vicl  geliuhgeren 
ducatus  Sumne  ersetzt  wird".  Auch  daB  der  StiHst  fur  siiditalischc 
Fleckcn  kern  sonderliches  Interesse  zeigt,  wird  man  ihm  nicht 
verargen  diirfen.  Bekanntlich  erhielt  Manfred  neben  dem  Monte 
Santangelo   als   Hauptapanagc   das   Fiirstentum   Tarent.   Dieser 
Prindpat,  obwohl  in  Normannenzeiten  des  ofteren  ahnlichen 
Zwecken  dicnend  ",  war  doch  mehr  oder  wcniger  in  Vergessenheit 
geraten  und  daher  von  neucm  und  ad  hoc  zusammenzustellen. 
DempemaB  -o-erden  in  W  die  Grafschaften  aufgczahlt  (Monte 
Scaglioso,  Tricarico  und  Gravina^;  femcr  -ttird  der  Manfred  zu- 
stehcnde  Kiistenstrich  denniert  (a  maritima  terre  Ban  usque  Polia- 
num);  Polignano,  siidlich  von  Ban,  mit  alien  Pertinenzen  wird 
hinznigcfiigt  und  die  allgemeine  Ausdehnung  bestimmt  „von  Porta 
Roscto  bis  zum  Quell  des  Bradano  (flumims  BrandaniJ"^*.  Das 
Gesamt  dieser  Landereien  formte  also  das  Fiirstentum  Tarent. 
Der  Verfasser  von  E  machtc  sich  die  Sachc  Icichter  und  wcniger 

man  will:  die  Souvcranitat)  iibertrapcn  wurde,  die  aber  nicht  die  Suk- 
zcssion  regclt  (so  S.  29 :  „Nach  der  die  Nachfolge  im  Kaisertum  erfolgt"), 
wie  besaptem  Manfred  (oder  desscn  Notar  Petrus  de  Prece)  auch  durch- 
aus  bekannt  war;  vgl.  den  Romeraufruf,  MG.  Const.  II,  Nr.  424,  S.  564, 
Z.  1 1  f. :  cum  ilia  [sc.  lex  regie]  in  iwt  eondendo,  mm  rnim  circa  eleccionem  tt 
formam  tmjterii  alloquatw.  ^^'as  der  Stilkunstler  sich  bei  der  lex  gcdacht 
iiat.  ist  nicht  klar;  er  konntc  natiiriich  an  den  Enkelsohn  Friedrich 
gcdacht  haben  oder  andcre  im  Testament  genannte  Nachkommen,  oder 
an  das  V;  ahlrecht  der  Kurfiirstcn,  oder  an  die  rerschiedenanigcn  Rcchte 
des  Papstcs  -  faUs  er  sich  ixberhaupt  etwas  gcdacht  hat  und  nicht  einfech 
^  orte  gcmacht  hat. 

"  Uolf,  S.  6  §  4;  vgl.  S.  32f.,  wo  mit  Rccht  Suatit  zugunstcn  von 
J  tine  zuriickgewiesen  wird. 

"  Roger  11.  gab  das  Furstentum  Tarent  scmcm  rweiten  Sohne  Tank- 
red  (vgi.  Erich  Caspar,  Roger  U.  [1904]  428);  als  letzter  hiclt  es  wohl 
Wilhelm  111.  von  bizihcn. 

"  JMG.  Const,  n,  S.  385f.  §  3. 


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umstandlich.  Er  setztc  Manfred  zum  Erben  ein  in  principatu  Taren- 
tino  und  in  comitatu  de  Bari^'^  -  letzteres  ein  zumindest  uniiblicher 
Ausjdruck,  da  die  Kanzlei  stets  von  der  terra  Bari  spricht,  und 
auch  sachlich  nicht  ohne  weiteres  zutreffend.  Andererseits  aber 
zeigte  sich  der  Testator  in  E  trroBziigiger  als  sein  Vorganger  in 
W;  denn  zu  der  Reihe  apulischer  Schenlcungen  fiigte  er  uner- 
wartet,  und  gleichsam  ex  machina,  noch  den  comitatus  Ildebrandi- 
schus  hinzu,  also  die  toslianische  Grafschaft  der  Aldobrandesca. 
Zunachst  ware  man  dem  Verfasser  zuzutrauen  bereit,  es  sei  der 
wenig  belcannte  Brandanus-FluR  bei  ihm  zu  Ildehrandischus  gcwor- 
den.  Aber  so  einfach  liegcn  die  Dinge  doch  nicht.  In  der  Ausstat- 
tung  Manfreds  mit  der  Aldobrandesca  konnte  sich  namlich,  wenn 
man  so  will,  ein  Kornchen  Wahrheit  finden  lassen;  ja  bei  einigem 
Geschick  hatte  sich  sogar  auf  Grund  dieser  Verleihung  ein  gar 
nicht  iibles  Echtheitsplaidover  zugunsten  von  E  aui^auen  lassen, 
wenn  die  Absonderlichkeit  einer  toskanischen  Dotation  fiir 
Manfred,  und  zugleich  die  krasseste  aller  Abweichungen  von  W, 
dem  Herausgeber  von  E  bloB  aufgefallen  ware". 

Zur  Klarung  der  Interpolation  wird  es  sich  nicht  vermeiden 
lassen,  auf  einige  Einzelheiten  hinzuweisen,  die  der  Zeit  gleich 
nach  dem  Tode  des  Kaisers  angehoren.  Seit  dem  Umschwung  in 
Florenz  im  Oktober  1250  zuungunsten  der  Kaiserpartei  war  die 
Reichsherrschaft  in  der  Toskana  am  Zerfall.  Um  zu  retten,  was 
noch  zu  retten  war,  suchte  die  kaiserliche  Verwaltung  mit  Hilfe 

'■  Wolf,  S.7§3;vgl.  S.  34. 

"  Wolf,  S.  34,  bemcrkt  lediglich:  „Weiter  (d.  h.  zu  den  apulischen 
Landereien]  erhiilt  Manfred  den  comitatus  Ildebrandis  [sic],  der  die 
Orte  .  .  .  umfaCt."  Zehn  Flecken  sind  aufgczahlt  auf  Grund  von  BF. 
441,  einer  Beleihungsurkunde  Ottos  IV.  von  1210.  >Xolf  hat  es  sich 
anscheinend  gar  nicht  klargemacht,  daC  in  E  Manfred  zu  den  sud- 
itahschen  Liegenschaften  noch  einc  toskanische  Grafschaft  zugesprochcn 
wird,  wie  er  freilich  auch  dem  Lescr  nicht  klarzumachen  versucht,  wo 
eigentlich  diesc  zusatzliche  Grafschaft  liegt,  die  doch  gar  nicht  zu  den 
kalabrischen  Besitzungen  paCt.  Infolgedessen  ist  cr  mit  allzu  groBer 
Sorglosigkeit  uber  die  Tatsache  hinweggegangen,  daC  ihm  hier  zur 
Geschichtc  Toskanas  einc  einzigartige  ..Quelle"  zur  \'erfugung  stand, 
nut  der  er  sich  zumindest  hattc  auscinandersetzcn  durfen. 


[120/121]  Zu  den  Rechtsgrundlagcn  dcf  Kaisersagc  489 

des  ghibellinischen  Siena  wenigstens  die  Maremma  und  Aldo- 
brandesca zu  sichern.  t)ber  diese  Versuche  gibt  nun  eine  seit  ihrer 
Veroffenthchung  dutch  Picker  durchaus  nicht  unbeachtete  Ur- 
kunde  Auskunft.  Im  Rate  von  Siena  wurde  am  4.  Januar  1251  ein 
Schreiben  verlesen,  das  vom  31.  Dezember  1250  datiert  war  (also 
mehr  als  zwei  Wochen  nach  dem  Tode  des  Kaisers)  und  in  dem 
der  Generalvikar  des  Sprengels  „Von  Amelia  bis  Corneto  und  in 
der  Aldobrandesca  und  Maremma"  befiehlt,  der  Kommune  Siena 
die  Grafschaft  der  Aldobrandesca  zum  Schutz  gegen  Reichsfeinde 
und  Rebellen  zu  ubergeben  pro  parte  serenissimi  domini  nostri  et 
illustris  viri  domini  \  Manfredi,  jilii  sui^*.  War  also  Manfred  rielleicht 
doch  zum  Grafen  der  Aldobrandesca  gemacht  worden,  wie  es  E 
vorsah?  Denn  warum  sonsr  die  \ennung  seines  Namens  im  Zu- 
sammenhang  mit  der  Grafschaft?  Der  Sachverhalt  ist  natiirlich 
langst  erkannt  worden**.  Aus  hochst  plausiblen  Griinden  -  im 
wesentlichen  wohl  um  Zeit  zu  gewinnen  -  hat  die  kaiserliche  Ver- 
waltung im  romischen  Tuszien  zunachst  den  Versuch  gemacht,  die 
Ereignisse  zu  Fiorentino  in  der  Capitanata  nicht  sofort  bekannt- 
zugeben  und  damit  das  Ableben  des  Kaisers  noch  zu  verschleiern 
(wenn  man  will :  „geheimzuhalten")2i.  Bis  gegen  Ende  Januar  1251 
gab  also  die  Verwaltung  in  scheinbarer  I'nbefangenheit  vor, 
noch  im  Namen  des  Kaisers  zu  handeln,  jedoch  unter  Hinzu- 
fiigung  des  Namens  Manfreds,  der  ja  bis  zur  Ankunft  Konrads  IV. 
als  balius  der  Kaiserherrschaft  in  Italien  eingesetzt  war  -  ein  Um- 
stand,  der  dem    Generalvikar    natiirlich    nicht    unbekarmt    sein 


"  Ficker,  Forschungen  IV,  Nr.  416,  S.  427 f.,  dazu  U,  S.  518f.,  §  411 ; 
BFW.  13779.  Zum  Problem  selbst  hat  August  Karst,  Geschichte  Man- 
freds vom  Tode  Fnedrichs  II.  bis  zu  seiner  K.ronung  (1897)  3f.,  Anm.  4, 
allcs  relevante  Material  zusammengestellt.  Vgl.  auch  nachste  An- 
merkunp. 

*^  \  gl.  Fcdor  Schneider,  Toscanischc  Studien  \',  QFIAB.  13  (1910) 
1  ff.,  bcs.  S.  2  Anm.  5. 

*'  Zur  Frage  der  „Gchcimhaltung"  von  Friedrichs  Tod  in  der  Tos- 
kana vgl.  die  Kontroverst  zwischcn  Davidsohn  und  Schneider  in 
QFIAB.  13,  245-254  und  255-272,  bei  der  man  im  wesenthchen 
Schneider,  der  Fickers  Argumcnte  vertcidigt,  wird  folgen  miiaaen. 


I 


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[121/122J 


[122/123]  Zu  den  Rcchtsgrundiagcn  der  Kaisersagc 


491 


konnte**.  Daf5  diese  Nennung  Manfreds  als  die  Folge  von  Bestim- 
mungen  anzusehen  ist,  wie  sie  spatestens  im  Testament  W  festge- 
legt  wurden,  geht  aus  einemDokument  vom27.  Januar  1251  hervor, 
in  dem  sich  die  Gemeinde  Grosscto  denen  von  Siena  unterwirft 
„zu  Ehren"  des  Kaisers  und  Manfreds  und  gleichzeitig  verspricht, 
Siena  gegen  alle  zu  unterstiitzen  auBer  contra  imperatorem  et  domi- 
num  Manfredum  predictum  et  filios  ct  beredes  ipsius  imperatoris^.  Die 
Nen  |nung  der  Sohne  und  „Erben"  deutet  in  diesem  Falle  doch 
wohl  eindeutig  auf  das  Testament  hin,  selbst  wenn  die  Fikdon 
immer  noch  autrechterhalten  wurde,  daB  der  Kaiser  am  Leben  sei. 
Dementsprechend  erfolgte  also  die  Nennung  Manfreds  -  nicht, 
weil  er  Graf  der  Aldobrandesca,  sondern  well  er  fiir  Konrad  IV. 
Reichsverweser  in  Italien  war. 

Es  ware  nun  durchaus  moglich,  daB  der  Verfasser  von  E  die 
Kompetenzen  Manfreds  nicht  erfaBt  und  darum  nicht  unter- 
schieden  hat  und  daB  er  ihm  aus  diesem  Grundc  die  Aldobrandesca 
als  Erbe  zusprach.  Der  wahre  Sachverhalt  wird  aber  vermutlich 
sehr  viel  einfacher  und  viel  weniger  „staatsrechtlich"  sein.  In  der 
Aldobrandesca  und  Maremma  waren  seit  Jahren  die  Verwandten 
Manfreds,  die  Lancias,  als  kaiserliche  Beamte  tadg.  Spatestens  seit 
1249  unterstand  der  Verwaltungsbezirk  Manfreds  Onkel  Galvano 

=2  Im  Gegensatz  2u  Schneider,  a.  a.  O.  S.  261  Anm.  1,  sehe  ich  keinen 
Grund,  warum  dem  Generalvikar  die  Einsetzung  Manfreds  zum  baliiis 
in  Italia  nicht  auf  Grund  des  Testaments  bckannt  sein  konntc.  Manfred 
selbst  zidert  es  ja  worthch  am  15.  Dczember  in  seinem  Brief  an  Palermo 
(s.  o.  Anm.  4).  Im  ubrigen  mag  naturlich  fiir  den  Eventualfall  des  Todes 
des  Kaisers  die  "\>r\veserschaft  Manfreds  auch  liingst  zuvor  und  auBer- 
testamentarisch  gercgelt  worden  sein.  DaB  die  „Geheimhaltung"  des 
Todes  im  romischen  Tuszien  von  Galvano  Lancia,  und  nicht  von  Man- 
fred, ausgegangen  sei,  ist  eine  ansprechende  Hypothese  von  Karst,  a.  a.  O. 

""  Picker,  Forschungen,  IV,  Nr.  417  S.  428 f.;  BFW.  13786.  DaC  die 
Exccptionsklausel  die  „S6hne  und  Erben"  auch  sonst  einschlieCen  kann, 
ist  selbstverstandlich  wahr.  Der  Zeitpunkt  und  die  Umstiinde,  unter 
denen  Grosseto  die  Verpflichtung  auf  sich  nahm,  deuten  aber  doch  darauf 
hin,  daC  es  sich  hier  nicht  um  potentielle,  sondern  um  aktuelle  Nach- 
kommen  und  „Erben"  handelt.  Schneider,  a.  a.  O.  S.  lOf.,  hat  ganz 
gewiB  recht,  wenn  er  sagt,  daC  schon  am  27.  Januar  keincr  mehr  daran 
glaubte,  daC  der  Kaiser  noch  lebe. 


Lancia,  der  dort  als  Generalvikar  fungierte.  Nachdem  dann  (wohl 
im  Januar  1251)  Galvano  Lancia  Toskana  verlassen  hatte,  um  sich 
nach  Sizilien  zu  begcben,  blieb  als  Reichsvikar  der  Maremma  und 
Aldobrandesca  sein  Sohn  zuriick,  der  fiir  uns  erstmals  am  8.  Januar 
1251  nachweisbar  ist  und  spaterhin  mehrfach  in  Erscheinung  tritt. 
Sein  Name  war  Manfred  Lancia 24.  DaB  ein  des  Dictamens  Beflis- 
sener  den  Reichsvikar  in  der  Aldobrandesca  mit  dem  Kaisersohn 
vcrtauschte,  ist  nicht  nur  verzeihlich,  sondern  auch  auBerst  nahe- 
hegend.  Auf  diese  Wcise  ist  wohl  die  toskanische  Grafschaft  in 
das  Testament  E  hineingeraten,  wobei  es  freilich  weniger  ver- 
zeihlich gewesen  ware,  hatte  wirklich  der  sterbende  Kaiser  seinen 
Sohn  Manfred  mit  dessen  Vetter  Manfred  III.  Lancia  verwechselt. 

Im  ubrigen  ist  der  Irrtum  des  Verfassers  von  E  recht  will- 
kommen,  weil  er  immerhin  einen  ungefahren  Anhalt  fiir  die 
Dauerung  des  Stuckes  gibt  -  vermutlich  1251.  Es  ist  wohl  auch 
anzunehmen,  daB  der  Verfasser  irgendwo  im  mittleren  Italien 
beheimatet  war,  was  moglicherweise  eine  andere  Frage  klaren 
konnte:  daB  namlich  der  in  W  genannte  Notar  Nikolaus  von 
Brindisi  in  E  ersetzt  wird  durch  den,  zumindest  in  der  Anconitaner 
Mark  bekannten,  kaiserlichen  Richter  Nikolaus  von  Calvi**,  ob- 
wohl  hier  der  Sachverhalt  weniger  ofFenkundig  ist  als  im  Falle 
Manfreds  und  der  ^Mdobrandesca. 

DaB  der  Verfasser  von  E  etwa  im  Interesse  Manfreds  gearbeitct 
hatte,  scheint  nicht  wahrscheinlich.  Im  Gegenteil,  Mehreres  weist 
wohl  eher  darauf  hin,  daB  er  irgendwie  mit  kurialen  Kreisen  liiert 
war,  was  der  |  Charakter  der  Escorial-Sammlung  ohnehin  nahe- 
legen  wiirde.  So  erhalt  z.  B.  der  Notar  Nikolaus  den  eigentiimlichen 
und  sonst  nicht  belegbaren  Titel  sacri  imperii  et  nunc  dicti  imperatoris 
Frederici  notarius,  d.  h.  der  „Reichsnotar"  wird  hier  zum  „Privat- 
notar"  des  quondam  imperaior,  dem  ja  vom  Papst  das  Reich  abge- 
sprochen  ist  2*.  Wenn  in  W  (§6)  der  Kaiser  100000  Goldunzcn 
furs  Heilige  Land  aussetzt  pro  salute  anime  nostre,  so  wird  in  E  diese 

«'  ttber  Manfred  III.  Lancia  vgl.  Schneider,  a.  a.  O.  S.  Sff.,  15ff.; 
BFW.  13781. 
^  Wolf,  S.  15  Anm.  35a. 
«•  Ebda.  S.  15  und  49. 


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1123J 


Wendung  unterdriickt.  Andererseits,  wenn  in  W  der  Kaiser  be- 
stimmt,  daB  der  Kirche  restituantur  omnia  iura  sua,  salvis  in  omni- 
bus .  .  .  iure  et  honore  imperii,  so  wird  in  E  wiederum  die  Salvierungs- 
klausel  unterdriickt,  dafiir  aber  gesagt,  Friedrich  babe  bestimmt 
reddere  et  restituere  omnia  iura  omnesque  rationes  .  .  .  que  et  quas  possi- 
demus  iniuste,  eine  Verscharfung,  die  schon  Scheffer-Boichorst 
dazu  fiihrte,  das  Stiick  als  „Stilubung"  zu  bezeichnen^'.  Und 
■wenn  schlieBlich,  um  von  kleineren  Anderungen  zu  schweigen, 
in  W  der  Kaiser  den  Sohnen  auferlegt,  die  testamentarischen 
Dispositionen  zu  beobachten  (§  19),  so  bcfiehlt  in  E  der  Kaiser  ex 
autoritate  nobis  a  iure  concessa  (ein  zumindest  iiberfliissiger  Zusatz, 
da  ja  jeder  Testator  aus  der  Autoritat  des  Rechtes  heraus  seine 
Dispositionen  trifft),  daB  das  Testament  sit  lex  a  nostra  magestate 
autenticata;  und  wenn  in  W  ;^//;Y'(?rj/j-y?^i?/;7'«jbeiihremTreueid  (sub 
Sacramento  fidelitatis)  befohlen  wird,  daB  sie  predicta  omnia  illibata 
teneant  et  observent,  so  wird  in  E  konsequenterweise  der  Satz  iiber 
Untertanen  und  Treueid  wiederum  ausgelassen,  dafiir  aber  das  auch 
gegen  die  Sohne  gerichtete  grobe  Geschiitz  einer  dem  „Tyrannen" 
gemaBen  Ponformel  aufgefahren:  ut  contradictores  huius  rei  ultimo 
supplicio  tanquam  nobis  rehelles  et  proditores  omnimodo  iudicentur^^.  Die 
Tendenz  der  Cberarbeitung  bedarf  keiner  weiteren  Worte. 

"  Ebda.  S.  6  §17;  Scheffer-Boichorst,  S.  270.  Zur  Tendenz  vgl. 
auch  oben  Anm.  8  (Fortlassen  der  necessitas  und  Ersetzen  der  iustitia 
durch  peccatuni). 

*'  Ebda.  S.  8  §  19,  schon  von  Pcrtz  als  unecht  angesehen  und  von 
Scheffer-Boichorst,  a.  a.  O.  S.  270,  angezweifeh.  Fur  die  Tendenz  siehe 
auch  oben  Anm.  8,  letzte  Zeile.  Wolf,  S.  21  f ,  schlieCt  gerade  aus  der 
Fortlassung  der  fideles  etc.,  daC  E  ein  Privattestament  sei.  Es  sei  hier 
obiter  bemerkt,  daC  die  Unterscheidung  zwischen  Staats-  und  Privat- 
testament hochst  unglucklich  ist.  Ein  Staatstestament  gibt  es  im  Grunde 
gar  nicht  {respublica  non  babet  haeredem,  quia  semper  vivit  in  semetipsa,  sagt 
Baldus,  Consilia,  III,  159  n.  5  [Venedig,  1575],  fol.  45\  wie  gewiB  schon 
vicle  vor  ihm),  weil  ja  jedes  Testament  privatrechtlich  ist;  und  wenn 
ein  Herrscher  (wie  etwa  Karl  d.  Gr.)  sein  Reich  untcr  die  Sohne  auftcilt, 
so  uberrascht  uns  eben  die  Tatsache,  daC  hier  das  Reich  „privatrechdich" 
behandclt  wurde.  DaB  im  ubrigen  dem  Privatrecht  entnommene  Maxi- 
men  (wie  etwa  das  bckannte  Quod  omnes  tangit,  ab  omnibus  comprobetur 


[123/124/125]    Zu  den  Rechtsgrundlagen  der  Kaiscrsage 


493 


Von  der  Arenga  zum  Rechtsinhalt  leitet  E  uber,  indera  es  den 
Kaiser  die  tiefsinnige  Betrachtung  anstellen  laBt,  „der  Tod  sei  nichts 
anderes  als  |  das  Ende  des  Lebens,  das  man  im  Zeitlichen  zu  fuhren 
glaube"".  Nach  einer  kleinen  Vorlesung  oder  Belehrung  dariiber, 
daB  „nach  der  Norm  des  [romischen]  Civilrechts  Ihr,  geliebteste 
Sohne,  in  dieser  Welt  unsere  eigene  Person  darstellt"**,  entschlieBt 
sich  der  kaiserliche  Patient,  um  nicht  „intestat"  zu  verscheidcn, 
nunmehr  noch  ein  „nunkupatives  Testament"  zu  verfassen.  Hatte 
der  Kaiser  dieses  Nunkupativ-Testament  nicht  gemacht,  so  ware 
cr  freilich  immer  noch  nicht  intestat  verstorben,  da  er  ja  angeblich 
acht  Tage  zuvor  W  ausgefertigt  hatte *i.  Das  Ungliick  ware  auch 
sonst  nicht  zu  groB  gewesen,  da  das  Vorhandensein  von  Sohnen 
irgendwelche  Intestatserben  ohnedies  ausschloB*^.  m^J  Jer  bei 
Privatleuten  gefahrlichste  Intestatserbe,  der  Fiskus,  kam  in  diesem 
Fall  ja  nicht  in  Betracht.  Aus  dieser  Besorgnis  heraus  also  brauchte 
der  Kaiser  sich  kaum  veranlaBt  gesehen  zu  haben,  nun  noch  ein 
nuncupativum  testamentum  quod  sine  scriptis  dicitur  zu  hinterlassen, 
wie  es  das  romische  Recht  z.  B.  im  Falle  angeborener  oder  erwor- 
bener  Blindheit  wie  auch  im  Falle  von  Analphabetentum  des 
Testators  und  sonstigem  Unvermogen  vorsieht,  wobei  der  Testa- 
tor, falls  sieben  Zeugen  mit  dem  Notar  als  achtem  anwesend  sind, 
weder  eigenhandig  die  Namen  der  Erben  eintragt,  wie  das  sonst 
seine  Pflicht  war,  noch  auch  den  eignen  Namen  eigenhandig  unter- 
schreibt^^.  Dies  erklart  dann  wohl  auch  in  E  |  die  Siebenzahl  (in 

[Cod.  5,  59,  5,  2];  hierzu  Gaines  Post,  Traditio  4  [1946]  179fr.)  form- 
bildend  und  schlieBhch  mafigebend  auch  fiir  das  offentliche  Recht  wer- 
den  konnten,  ist  eine  im  Spatmittelalter  allenthalbcn  zu  beobachtende 
Erscheinung.  Einen  rechtlichen  Unterschied  zwischen  W  und  E  vermag 
ich  nicht  zu  cntdecken. 

-"  Wolf,  S.  5  und  dazu  S.  23,  wo  das  Wort  [finis  vite  .  .  .]  creditt  trotz 
bcsserer  Einsicht  (S.  5,  Anm.  3  b)  als  Imperativ  aufgefaCt  wird. 

»»  S.  unten  S.  504.  "  Wolf,  S.  13  Anm.  27  und  S.  19  f. 

*^  Cod.  6,  14,  2 :  existente  filio  .  .  .  nemo  potest  intestato  heres  exislere;  und 
dazu  Glossa  ordinaria,  v.  „existere" :  .  .  .per  suum  heredem  quivis  alius 
excluditur. 

**  Da  Cod.  Thcod.  4,  4,  2-5-7  nicht  (oder  nur  fragmcntarisch  durch 
Justinians  Codex)  bekannt  waren,  so  kommt  fiir  das  Nunkupativ- 
testament  im  wesentlichen  in  Betracht  Cod.  6,  22,  8  (ut  carentes  oculis  sen 


\ 


% 


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[125] 


W  sind  es  9  hzw.  10  und  der  Notar)  der  /esUs  rogaii  -  letzteres  ein 
technischer  Begriff  (der  Gegensatz  sind  die  im  StrafprozeB  be- 
foiilenen  oder  gezwungenen  Zeugen),  der  in  einer  Fassung  von 
W  auch  vorkommt,  in  E  aber  wieder  pleonastiscli  erweitert  wird 
(ad  hoc  vocatis  et  rogatis),  und  aus  dem  keine  weiteren  Schliisse  ge- 
zogen  werden  konnen^*.  Das  allcs  i;-t  lediglicli  ein  gewisses  Sich- 
Brusten  mit  juristischen  Kenntnissen  auf  seiten  des  Sdlisten,  bar 
aller  historisch-realen  Grundlagen. 

morbo  vel  ita  nati  per  nuncupationein  suae  condant  moderamiiia  voluntatis, 
praesentibus  septem  teslibus  .  .  .  tahulario  etiam:  .  .  .  ut  sine  script  is  testeii- 
tiir),  und  Cod.  6,  23,  21,  1  und  4  (Q_uod  si  litteras  testator  ignoret  vel 
subscribere  nequeat,  octavo  subscript  ore  pro  eo  adbibitn  eadetri  servari  decernimus . . . 
Per  riuncupationem  quoque,  hoc  est  sine  scriptura,  testamenta  non 
alias  valere  saricimus,  ut  supra  dictum  est ...).  Wolf  ist  (vgl.  S.  23,  Anm.  11) 
diesen  rechtlichen  Fragen  aus  dem  Wege  gcgangen,  „zumal  iiber  den 
F.influB  dcs  romischen  Rcchts  auf  das  Mittclalter  im  einzelnen  auch 
untcr  den  Faclilcuten  noch  mancherlci  Unklarheit  herrscht".  Das  ist 
moglich;  was  uns  jedoch  angeht,  ist  allein,  was  sich  die  Juristen  dcs 
13.  Jh.s  fiir  Ccdanken  gemacht  haben  und  wie  sie  z.  B.  das  nunkupa- 
tive  Testament  interpretierten.  In  dicser  Bcziehung  ist  dcnn  auch  die 
Glossa  ordinaria  zu  Cod.  6,  22,  8,  v.  „pernuncupationem"  ganz  klar: 
per  iestamentum  nwuiipativiim  sine  solennitate,  non  tamen  sine  scriptura,  ut  inst. 
t.  §.  cecus  [=  Inst.  II,  12,  4].  Sed  qiiare  dicitur  hoc  nimcupativum,  cum  tamen 
habeat  tantam  similitndinem  cum  scriplo?  Resp.  quia  testator  non  signat,  nee 
subscribit,  nee  nomen  beredis  scribit,  quod  in  eo  /"sc.  test,  scripto]  esset  necesse. 
Ober  die  Bedeutung  und  Entwicklungsgeschichte  der  nuncupatio  in  der 
klassischen  und  nachklassischen  Jurisprudenz,  auf  die  hier  nicht  naher 
cingcgangen  werden  soli,  vgl.  B.  Kubler  v.  „Tcstament  (juristisch)", 
in  Pauly-Wissowa  RE.,  V  A  1  (1934)  Sp.  990,  993,  996.  -  Aus  der 
Wcndung  sine  scriplis  dicitur  lasscn  sich  Schlusse  auf  sizilische  Konzepte, 
Beurkundungsvorgiinge  u.  a.  nicht  Ziehen  (s.  oben  Anm.  10). 

»«  Vgl.  etwa  Dig.  22,  5, 11 ;  Wolf,  S.  9  und  13.  Zu  den  Zeugennamen. 
soweit  sie  in  E  nicht  mit  denen  von  W  iibereinstimmcn,  sei  bemcrkt, 
dafi  Ro^ardus  de  la  Cerr  .  .  .  naturlich  zu  Acerra  zu  erganzen  ist,  vielleicht 
Graf  Roger  von  Acerra,  der  in  einer  Papsturkunde  von  1255  als  ver- 
storben  erwahnt  wird  (BFW.  8978).  Intcrcssant  ist  der  Zeuge  arcbi- 
episcopus  Neapoli tonus msoicm,  als  der  Stuhl  1250  nureinen  Elckten  hatte, 
Bcrard  Caraccioli,  der  erst  1252  konsekriert  wurde.  Auch  diese  Tatsache 
hat  Wolf  nicht  siutzig  gemacht,  obwohl  cr  sie  (S.  48;  vgl.  S.  13)  selbst 


[125/126]  Zu  den  Rechtsgrundlagen  der  Kaisersage  495 

Nach  dem  hier  Ausgefiihrten  ist  es  wohl  offenkundig,  daB  E 
lediglich  ein  -  vermullich  von  kurialer  Seite  -  literarisch  zuge- 
stutztes  Muster  eines  Kaisertestaments  darstellt,  das  der  Auswahl 
von  Bcrard-  und  Thomas-Briefen  vorangestellt  worden  ist.  Uabei 
bleibt  es  in  diesem  Zusammenhang  gleichgiiltig,  ob  man  ein 
solches  Stuck  eine  Stiliibung  oder  eine  Verunechtung  zu  nennen 
vor2ieht.  Schliisse  uber  tatsiichliche  Vorgiinge  in  den  letzten  Tagen 
des  Kaisers  lassen  sich  daraus  nicht  zie  |  hen ;  sie  beruhen  notwendig 
auf  einer  falschen  Voraussetzung,  niimlich  auf  der  der  Echtheit  des 
Testaments.  Trotzdem  lohnte  es,  dieses  angebliche  Testament  zu 
veroffentlichen;  denn  als  Verunechtung  hat  es  fiir  gewisse  An- 
schauungen  in  den  Jahren  nach  dem  Tode  des  Kaisers  naturlich 
einen  Quellenwert,  und  zwar  einen  gar  nicht  uninteressanten^*. 

vermerkt.  Dies  ist  eines  der  vielen  Anzeichen  dafiir,  daB  der  Stilist  mit 
den  Verhiiltnissen  im  Suden  nicht  vertraut  war,  also  wohl  in  Mittcl- 
italien  zu  suchen  ist. 

*^  Der  einzige  Anhaltspunkt  zur  Datierung  von  E  scheint  mir,  wie 
schon  bemerkt,  in  der  Erwahnung  der  Aldobrandesca  als  Dotation 
Manfreds  zu  liegen,  was  bedeuten  wiirde,  daO  die  Obcrarbeitung  wohl 
ganz  bald  nach  dem  Tode  des  Kaisers,  also  im  Jahre  1251,  entstanden 
ist.  Zur  Entstehung  selbst  laBt  sich  nichts  Genaueres  sagen.  Testament 
W  ist  wohl  schon  in  den  ersten  Monaten  des  Jahres  1251  in  Mittel-  und 
Oberitalien  bekanntgeworden,  wie  vielleicht  auch  die  Oberlieferung 
erkennen  laBt  (MG.  Const.  II,  S.  382f.).  Der  allem  Anschein  nach  kuria- 
len  Krcisen  nahestehende  Vcrfasser  von  E  hat  dies  Testament  gekannt 
und  sich  offenbar  beeilt,  es  literarisch  „interessant"  zu  machen,  indem 
er  es  zurechtstutzte.  DaC  er  W  kannte,  ergibt  sich  unbezweifelbar  aus 
dem  ersten  Halbsatz  der  Arenga,  den  er  fast  wortlich  ubernahm,  wobei 
er  jedoch  den  stilgerechten,  die  Anfangsworte  verflechtenden,  rhyth- 
misch  schweren  Einsatz  von  W :  Primi  parentis  incduta  transgressio  in 
einen  Hexameter  verwandelte:  Adam  primus  parens  sic  posteris  legem 
indixit.  Statt  der  kurzen  uninteressanten  Einleitung  von  W  hat  der  Ver- 
fasser  dann  eine  ,,interessante"  Arenga  fabriziert:  in  rhetorischc  Fragen 
eingekleidete  Banalitaten  iiber  den  Tod;  eine  zum  Teil  baren  Unsinn 
cnthaltende  Verballhornung  des  Statthalterdiploms,  desscn  Eintlech- 
tung  jedoch  den  Eindruck  erwecken  sollte,  „echt  friderizianisch"  zu 
klingen,  wie  cs  ja  auch  nicht  anders  sein  konnte,  da  es  angeblich  der 
sterbende  Kaiser  selbst  war,  der  ,,nunkupativ"  die  Worte  wiihlte.  Zur 


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[126/127] 

Ein  Passus  des  Testaments  hilft  uns  zumindest,  gewisse  Grund- 
lagen  der  Kaisersage  scharfer  als  bisher  zu  erfassen,  vor  allem  den 
fiir  die  Entstehung  der  Kaisersage  entscheidenden  Sibyllenspruch 
Vivif  et  non  vivit.  | 

2.  Vivit  et  non  vivit 

Ein  der  Erythraischen  Sibylie  zugeschriebenes  Vaticinium,  das 
bald  nach  dem  Tode  Friedrichs  II.  entstanden  sein  mag,  fand  ver- 
haltnismiiBig  rasch  betrachtliche  Verbreitung^.  Soweit  bekannt 
findet  sich  in  dieser  Weissagung  die  friiheste  Spur  der  Sage  vom 
fortlebenden  Kaiser,  die  um  das  Motiv  von  des  Kaisers  Wieder- 
kehr  wie  um  weitere  Sagenstoffe  vermehrt  und  seit  1519  in  steigen- 
dem  MaBe  auf  Barbarossa  iibertragen,  schlieBlich  im  Zeitalter  der 
Nachromantik  eine  Art  politischer  Verwirklichung  fand,  von  der 
das  Kyffhauserdenkmal  ein  spates,  wenn  auch  vielleicht  nicht 
gliickliches,  Zeugnis  ablegt.  In  der  sozusagcn  „ursprunglichen" 
Fassung  des  Sibyllinums  wcrden  nun  die  „Adlerhennen"  aufge- 
zahlt,  die  dem  „Adler"  -  d.  h.  Friedrich  II.  -  „Adlerjunge"  beschert 
haben:  die  maurische  Konstanze  von  Aragon,  die  orientalische 

weiteren  Dramatisierung,  und  auch  um  die  eignen  juristischen  Kennt- 
nisse  ins  Licht  zu  setzen,  fugte  der  Verfasser  dann  das  Nunkupativ- 
Testament  ein.  ReportagemalJig  unintercssant  war  die  Mehrzahl  der 
echten  Bestimmungen  (§§  7-16  in  W),  wahrend  die  Apanagierung  der 
Sohne  seit  vielcn  Jaliren  ein  Gegenstand  allgemeinen  Interesses  war 
(s.  unten  Anm.  60).  Die  die  Sohne  betreffenden  Abschnitte  hat  er  denn 
auch  im  allgemeinen  richtig  reproduziert,  wenn  auch  teils  ..verschont", 
teUs  verkiirzt  (wie  die  langweilige  Aufzahlung  von  apulischen  Gutern),' 
teils  mifiverstanden,  teils  aber  auch  erweitcrt,  indem  er  die  im  Testament 
Nichtgenannten  so  bedachte,  wie  sich  das  aus  der  Situation  um  1251  zu 
ergeben  schien.  Obwohl  nicht  ohne  kuriale  Tendenz,  hat  der  Oberarbei- 
ter  wohl  doch  keinen  anderen  Zweck  verfolgt  als  den  der  literarischen 
Reportage.  Politische  Absichten  lagen  ihm  gewiC  ganz  fern. 

"«  Vgl.  fur  das  Vaticinium  O.  Holder-Egger,  Italienischc  Prophetien 
des  13.  Jh.s.  NA.  15  (1890)  155fr.,  und  fur  die  Datierung  in  die  crsten 
Jahre  nach  dem  Tode  des  Kaisers  S.  149  f;  ferner  F.  Kampers,  Die 
deutsche  Kaiseridee  in  Prophetic  und  Sage  (1896)  84 ff.  und  passim,  und 
Hampe  (s.  u.  Anm.  42),  S.  7. 


[127/128]  Zu  den  Rechtsgrundlagen  der  Kaisersage  497 

Isabella  von  Jerusalem,  die  britannische  Isabella  Plantagenet,  die 

deutsche  Konkubine  Adelheid  (Mutter  Enzios)  und  die  gallische 

(d.  i.  lombardische)  Bianca  Lancia.  Dann  heiBt  cs  vom  Kaiser  selbst : 

„Verborgenen  Todes  wird  er  die  Augen  schlieBen  undfortleben; 

tonen  wird  es  unter  den  Volkern  ,Er  lebt  und  lebt  nicht',  denn  eines 

von  den  J  ungen  und  von  den  Jungen  der  Jungen  wird  iiberleben"." 

Eine  spatere,  verkurzte  Form  der  Erythraa  bezieht  sich,  wie  mir 

scheint,  in  diesem  Teil  eher  auf  das  Konigreich  Trinacria,  d.  h, 

die  Insel  Sizilien.  Vorangeschickt  wird  hier,  daB  ein  „Junges  der 

Jungen"  von  der  „gallischen  Henne",  also  von  Bianca  Lancia, 

iiberlebe.  Dann  kommt  das  Kcrnstiick :  „Sein  Tod  wird  verbor- 

gen  und  unbekannt  bleiben,  und  tonen  wird  es  im  Volke:  ,Er  lebt 

und  lebt  nicht'" ^8.  -Ein pullus  \pullorum  wird  zwar  einleitend  noch 

gcnannt,  aber  der  Spruch  selbst,  Vivit  et  non  vivit,  ist  kausal  nicht 

mehr  so  deutlich  mil  dem  Vorhandensein  von  Sohnen  und  Enkeln 

verkniipft  wie  in  der  fruheren  Fassung.  Die  Weissagung  wurde 

spiiter  von  Fra  Salimbene  in  seiner  Chronik  mehrfach  zitiert,  und 

in  keinem  Falle  fehlt  der  entscheidende  Satz  Vivit  et  non  vivit,  auf 

den  auch  andere  Autoren  deutlich  anspielten»».  Es  fallt  dennoch 

"  Holder-Egger,  a.  a.  O.  S.  166  fur  die  gallinae  und  S.  168  fiir  den 
Spruch :  Oculos  eius  morte  claudet  ahscondila  supervivetque ;  sonabit  et  inpopulis: 
,,  Vivit,  non  vivit",  uno  ex  pnHis  pullisque  pullorum  siiperstite. 

"  Holder-Egger,  NA.  30  (1905)  333 f :  Et  dahitur  ei  quinta  [Gallicana] 
f.allina,  que  claudet  octdos  sues,  imo  tantiim  ex pullis\pullisque  ist  m.  A.  nach 
ijbcrflussiger  und  eher  fehlleitendcr  Zusatz  Holder-Eggcrs]  pullorum 
sHperstite;  cuius  mors  erit  ahscondila  et  incognita,  sonabitque  in  populo:  „  Vivit" 
et  „Non  vivit".  Ich  bin  mit  Rudolf  M.  Kloos,  Ein  Brief  des  Petrus  de 
Prece  zum  Tode  Friedrichs  II.,  unten  S.  531,  Anm.  20,  gleichfalls  der 
Ansicht,  daC  die  kurzere  Fassung  viel  spatcr  als  1254  zu  daticren  ist  und 
wonioglich  in  die  Zeit  um  1270  und  eher  noch  spater  gehort.  Zu  beach- 
ten  ist,  z.  B.,  daB  das  in  populis  der  langercn  Fassung  verwandelt  ist  zu 
///  populo,  was  anscheincnd  auf  Trinacria  zu  beziehen  ware.  Doch  liegt 
es  mir  fern,  das  Sibyllinum  neu  ausdeuten  zu  woUen. 

'•  Salimbene  de  Adam,  cd.  Holder-Egger,  MG.  SS.  32,  S.  174,  243, 
347,  537  stcts  in  der  Form  //;  populis,  nicht  in  populo.  Vgl.  fur  einen  An- 
klang  das  Schreibcii  des  Petrus  de  Prece  bei  Kloos,  unten  S.  527,  Anm.  5, 
der  mit  Recht  auf  die  Sachsische  Weltchronik  verweist  (MG.  Dt.  Chron. 
2,  S.  258  c.  399). 


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auf,  daB  Salimbene  nur  ein  einziges  Mai  den  vollcn  Spruch  er- 
wiihnt  mit  Nennung  der  ptilli,  und  auch  da  ist  das  Fortleben  des 
Kaisers  bereits  abgclost  von  den  Deszendentcn,  die  an  den  andcren 
Stellen  schon  gar  nicht  mehr  erwahnt  werden*". 

Seltsamerweise  hat  man  es  bisher  verabsaumt,  die  schlagende 
Parallele  zu  diesem  Spruch  hcranzuziehen,  die  doch  manches  ver- 
deutlicht.  In  dem  Kapitel  zum  Lob  gutgeratcner  und  gutcrzogener 
Kinder  heiBt  es  bei  Jesus  Sirach  (30,  4):  Mortuus  est  pater  .  .  .  et 
quasi  non  est  mortuus,  similem  enim  reliquit  post  se.  Das  Sibyllinum 
Vivit  it  non  vivit  wendet  also  nur  ins  Affirmative,  was  Jesus  Sirach 
gleichsam  negativ  ausgedrijckt  hat :  mortuus  est  et  quasi  non  est  mortuus. 
Genauer  gcsagt:  der  Vater  stirbt  zwar,  ist  jedoch  nicht  tot,  weil 
cr  ja  „seinesgleichen  hinter  sich  gclassen  hat".  Das  Fortleben  des 
Vaters  ist  verbiirgt  im  Sohne.  Das  ist  nun  offenbar  genau  das 
Gleiche,  was  der  Sibyllenspruch  -  zumindest  in  der  urspriing- 
lichen  liingeren  Fassung  -  zum  Ausdruck  bringen  wollte:  Vivit, 
non  vivit,  uno  ex  pullis  pullisque  pullorum  superstite.  Schon  in  der 
zweiten,  kiirzeren  Fassung  der  Erythraischen  Sibylle  ist  der  Kau- 
salsatz,  oder  kausale  Ablativus  absolutus,  fortgelassen,  der  wie 
bei  Jesus  Sirach  das  Fortleben  des  Vaters  begrundct  durch  das 
Dberleben  von  -  und  datum  in  -  Kindcrn.  Statt  dcssen  wird  viel- 
leicht  schon  in  der  spateren  Sibylle  und  ganz  gewiB  bei  Salimbene 
das  Fortleben  gleichsam  mystifizicrt:  „Sein  Tod  wird  verborgen 
und  unbekannt  bleiben",  und  darum  wird  es  hciBen  „Er  lebt  und 
lebt  nicht".  Nicht  so  sehr  wegcn  des  Fortlebens  in  den  Kindern, 
sondern  wegen  der  Verborgenheit  des  Todes  lebt  der  Vater,  der  Kaiser, 
geheimnisvoll  weiter.  Das  ist  natiirlich  ein  vollkommen  andercr 
und  neuerGe|danke,  der  vielleicht  durch  die  hochst  zweifelhaftc, 
in  jedem  Fall  nur  regionale  und  ganz  kurzfristige,  sogenannte 
„Geheimhaltung"  des  Todes  Friedriths  II.  durch  Manfred  irgend- 
welchen  Nahrungsstofl"  erhalten  hat«.  Dicse  mystifizierte  Version 

*"  Nur  S.  537  hat  Salimbene  die  voile  Fassung  mit  dem  Nachsatz 
ubcr  die  pulli,  die  abcr  kcine  entscheidende  RoUe  spielen.  S.  174,  243, 
347  hat  der  Spruch  cine  ganz  andere  Bedeutung,  da  von  den  Nachkom- 
men  nicht  mehr  die  Rede  ist. 

"  Zu  der  Gchcimhaltung  des  Todes  vgl.  oben  Anm.  21  die  Kontro- 
verse  zwischcn  Davidson  und  Fedor  Schneider  in  QFIAB.  13,  S.  245  bis 


[129) 


Zu  den  Rcchtsgrundlagcn  der  Kaisersage 


499 


soil  uns  hier  nicht  weiter  angehen,  wohingegen  die  Weissagung 
„Er  lebt  und  lebt  nicht"  im  Zusammenhang  mit  der  Frage  dyna- 
stischer  Sukzession  doch  von  erhebhchem  Intcresse  ist. 

Um  zuniichst  bei  den  Sibyllen  zu  bleiben,  so  hat  Karl  Hampe 
einen  Brief  oder  eine  Flugschrift  der  Leute  von  Tivoli  veroffent- 
licht,  in  dem  diese  den  Tod  des  Kaisers  beklagten  (ca.  Januar 
1251)*2.  Was  die  Sibylle  -  doch  wohl  die  Tiburtina  -  verheiBen 
habe,  namlich,  daB  „zu  seiner  Zeit  die  Schollen  fruchtbar  sein 
wurden",  das  habe  der  Kaiser  erfiillt,  dessen  messianisches  Kaiser- 
tum  nunmehr  der  Sohn,  Konrad  IV.,  fortsetzen  wiirde.  Dabei 
bcdienten  sich  die  Tiburtiner  in  ihrer  Flugschrift  des  Vergleichs 
mit  der  Sonne:  „Gleich  der  Sonne,  wenn  sie  von  der  Himmels- 
achse  in  das  westliche  Meer  sinkt,  so  hinterlaBt  Friedrich  im 
Westen  eine  Sonne  als  Sohn,  deren  Morgenrote  im  Osten  schon 
zu  leuchten  beginnt,  wahrend  noch  die  Sterne  am  Himmelsge- 
wolbe  funkeln"."  Auf  das  Mythologumenon  braucht  hier  nicht 
naher  eingegangen  zu  werden,  da  es  bekannt  genug  ist:  der  lugu- 
bre  Tod  des  Hehos  an  jedem  Abend,  jedem  Wintersolsticium,  und 
sein  Wiedererscheinen  an  jedem  Morgen,  jedem  Jahresbeginn  als 
ein  vyjTTio?  avareXXajv**.  Worauf  es  hier  ankommt,  ist  die  Identitat 

272,  bei  der  kaum  viel  mehr  herauskommt  als  ein  quasi  sibyllinisches 
„Verheimlicht  und  doch  nicht  vcrheimlicht". 

*^  K.  Hampe,  Eine  friihe  Verkniipfung  der  Weissagung  vom  End- 
kaiser  mit  Friedrich  11.  und  Konrad  IV.  (SB.  Heidelberg  1917,  Nr.  6). 

*'^  Ebda.  S.  18,  auch  S.  11.  Hampe  iibcrsetzte  solem  genitum  mit 
,,Sonnensohn",  was  der  Bedeutung  nicht  ganz  gerecht  wird,  genau  wie 
solpuer  nicht  „Sonncnknabc"  ist,  sondern  die  noch  ,,knabenhafte  Sonne". 
Da  Sonne  im  Deutschen  weiblich  ist,  konnte  man  geneigt  sein,  sol 
genitus  mit  „Tochter-Sonne"  zu  ubersetzen,  was  zwar  den  Sinn  trafe, 
wegen  der  Beziehung  auf  Konrad  IV.  jedoch  nicht  angangig  ist.  Ich 
habe  deswegen  die  Wendung  mit  ,, Sonne  als  Sohn"  iibersetzt. 

'*  Fur  diesen  Ausdruck  der  Zauberpapyri  vgl.  Franz  Boll,  Griechi- 
sche  Kalcnder  I  (SB.  Heidelberg  1910),  S.  42,  35.  Der  Mythos  von  Helios, 
der  taglich  als  Knabe  scincn  Lauf  beginnt,  war  natiirlich  ganz  genau 
bekannt.  Der  mit  Unrecht  oder  Recht  dem  Alexander  Neckam  (gcst. 
1217)  zugcschriebenc  sog.  Mythographus  III,  c.  8,  4,  ed.  G.  H.  Bode, 
Scriptores  rerum  mythicarum  latini  tres  (Cellc  1834)  201,  Z.  30fF., 
sagt :  [Solem  =  Apollinem]  imberbem  pingunt,  quod  singulis  diebus  renascendo 


I 


\ 


n    u    J    u 

U       I     J       I 


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[129/130] 


zwischen  Vater  und  Sohn  oder,  um  im  Bilde  zu  bleiben,  zwischen 
der  scheidenden  und  der  aufgehendcn  Sonne,  die  zwar  wechselt, 
abcr  dennoch  stets  die  gleiche  Sonne  bleibt.  Die  Identitat  gewahr- 
leistet  dabei  auch  die  Kondnuitat:  wie  der  Vater  so  wird  der  Sohn 
ein  Friedefiirst  sein,  „dem  Manfred  mit  den  iibrigen  Briidern,  I 
vom  Vater  weise  und  bestimmt  bevollmiichtigt,  die  Pfadc  der 
kaiserlichen  Majestat  bereitet."  Kurz,  das  Bild  des  Jesus  Siracii, 
wonach  der  Vater  zwar  gestorben,  jedoch  nicht  tot  sei,  weil  er 
similem  reliquit  post  se,  ist  hier  auf  die  Sonne  iibertragen,  die  zwar 
allabendlich  dem  Tode  vcrfSllt,  aber  doch  nie  wirklich  tot  ist,  weil 
sie  sich  allmorgendlich  erneuert  -  aliusque  et  idem  tiasceris,  wie 
Horaz  im  Sakulargedicht  (lOf.)  den  Sonnengott  anredet. 

Wenig  spater  schrieb  der  Notar  und  spaterc  Vizekanzler  der 
jvingeren  Staufer,  Petrus  de  Prece,  einem  Ungenannten  einen  Brief, 
in  dem  er  die  Behauptung  zuriickwies,  es  sei  mit  dem  Tode  Fried- 
richs  II.  das  Kaisertum  der  Staufer  erloschen:  wenn  wirklich,  wie 
gesagt  wiirde,  der  „Adler  der  Friihe"  verstorben  sei,  so  Icbc  er 
doch  weiter  in  vielen  iiberlebenden  Adlerjungen,  die  aus  ihm 
hervorgegangen  seien".  Die  Anlehnung  an  die  Erythraische 
Sibylle  ist  deutlich  genug  und  vom  Herausgeber  des  Briefes  auch 

quasi  imiior  videatur,  und  interpretiert  weiterhin  den  Beinamen  Phoebus 
als  novus,  und  zwar  quod  reiera  sol  in  ortu  sua  qtiotidie  novus  appareat.  Ahnl  ich 
schon  der  Mythographus  II  (c.  19,  ed.  Bode,  S.  81,  Z.  8).  Auf  dem 
Mythographus  III  fuBte  dann  Petrus  Bcrchorius  (Pierre  Bersuire),  der 
Freund  Petrarcas,  der  um  1340  schrieb  und  spater  untcr  dem  Namcn 
Thomas  Walleys  gedruckt  worden  ist  (Metamorphosis  Ovidiana,  Paris 
1515-16,  fol.  VI').  Desscn  Exegese  wurde  dann,  wie  jungst  Sabine 
Kruger,  DA.  12  (1956)  210f.  gezeigt  hat,  von  Dietrich  von  Nicheim 
fUr  seine  Scholien  zur  Alexandersage  benutzt.  Zur  Obcrlicferung  vgl. 
H.  1-iebeschutz,  Fulgentius  Metaphorahs  (1926),  bcs.  15ff.,  41  ff.; 
E.  Panofsky,  Hercules  am  Scheidewege  (1930)  11  ff.  und  passim.  Zum 
sterbcnden  Helios  vgl.  besonders  F.  J.  Dolger,  Sol  Salutis*  (Munster 
1925)  343  ff.  und  passim. 

*■'  Vgl.  die  Edition  des  Briefes  von  R.  M.  Kloos,  der  mir  freund- 
licherweise  einen  Schreibmaschinendurchschlag  seines  Aufsatzes  uber- 
lieC  DA  13  (1657),  S.  151-170;  in  unserm  Band  S.  525.  Dort  S.  169f.: 
...  de  orientali  videlicet  aquila  quant  dicitis  occidisse,  que  si  pro  cerio  decessil 
ut  fertur,  vivit  tamen  in  pullis  multis  superstitihus  ex  eodem. 


[130/131]  Zu  den  Rcchtsgrundlagen  der  Kaiscrsagc  501 

vol!  gewiirdigt  worden**.  Zu  unterstreichen  ware  noch,  dafj  hier 
-  anders  als  bei  Salimbene  -  nicht  das  leiseste  Schwanken  vorhan- 
den  ist,  wie  denn  die  Sibylle  zu  interpretieren  und  das  Forticben 
des  Kaisers  zu  begrunden  sei:  vivit  in  pullis  superstitihus.  Es  lohnt, 
sich  dieser  Tatsache  zu  erinnern.  An  anderer  Stelle  spricht  Petrus 
dc  Prece  davon,  da(5  das  „himmlische  Haus  der  Augusti  ununter- 
brochen  (perpetuo)  in  seinen  Gestirnen  leuchte*'",  und  daB  iiber- 
haupt  dem  illustrissimum  \  germen  ah  augustorum  sanguine  longo 
legittime  derivatum^^  eine  besondere  Mission  innewohne,  wie  dies 
natiirlich  langst  beobachtet  worden  ist**.  Dabei  ist  aber  in 
diesen  Stiicken  fast  durchgangig  das  dynastische  Element  dem 
personlichen  Element,  dem  individuellen  Throninhaber,  uberge- 
ordnet,  am  starksten  vielleicht  in  Manfreds  Romermanifest,  das 
gleichfalls  Petrus  de  Prece  zum  Verfasser  hut^.  Hampe  hat  sehr 
richtig  bemerkt,  daB  in  dem  Brief  der  Tiburtiner  personliche 
Eigenschaften  des  „Endkaisers"  von  Friedrich  II.  auf  Konrad  IV. 
iibertragen  worden  sind,  obwohl  doch  der  BegriiTselbst  sich  gegen 
jede  Pluralisierung  sperren  muBte".  In  dieser  Hinsicht  geht  Petrus 
de  Prece  wohl  noch  einen  Schritt  weiter,  wenn  er  Konradin  als 
Erneuerer  cmtvfelix-  etas  und  der  aurea  saecula  verheiBt**,  wie  frei- 
lich  schon  vor  ihm  Manfred  die  VC'iederkehr  der  aurea  tempora  unter 
Konrad  IV.  erwartet  hatte**.  Es  ist  fast  wie  in  spatromischer  Zeit, 


"  Kloos,  a.  a.  O.  S.  170,  Anm.  7. 

*'  Vgl.  Eugen  Miiller,  Peter  von  Prezza,  ein  Pubhzist  des  Interreg- 
nums (Abh.  Heidelberg  1913)  S.  75,  und  den  Text  (ut  tanquam  coelestis 
Augustorum  stellata  syderibus  perpetuo  radiaret)  bei  Del  Re,  Cronisti  e 
scrittori  (1868)  II,  679,  §  23. 

"  Vgl.  Kloos,  Petrus  de  Prece  und  Konradin,  QFIAB.  34  (1954)  97, 
§9. 

"  Vgl.  Kantorowicz,  Erg.-Bd.,  S.  222ff. 

*»  MG.  Const.  II,  Nr.  424  S.  559  ff.  Es  sollte  betont  werden,  daB  Petrus 
de  Prece  als  der  Hauptherold  des  staufischcn  Dynastiekultes  betrachtct 
werden  muB,  vielleicht  neben  Heinrich  von  Isernia. 

"  Hampe,  a.  a.  O.,  S.  14. 

«  Kloos,  QFIAB.  34,  S.  98,  §  10. 

'•"^  BF.  4633,  Capasso,  Hist,  diplom.,  S.  6  (an  die  Palcrmitaner) ;  ///... 
aurea  iam  rediisse  tempora  gratulentur. 


i 


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u      I      t    u 


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Ernst  Kantorowicz 


[131/132] 


als  von  jedem  neuen  Kaiser  bei  seinem  Regierungsantritt  gleich- 
sam  automatisch  der  Beginn  eines  goldcnen  Zcitalters  proklamiert 
wurde**.  Was  dort  jedoch  am  Kaiseramt  hing,  wird  nach  1250 
weitgehend  mit  der  Dynastie  verkniipft,  die  ja  -  wie  das  personi- 
fizierte  Amt  selbst  -  ihre  eigene  Kontinuitat,  ja  Sempiternitat 
hattc. 

Dieser  Kontinuitat  hat  schon  zu  Lebzciten  des  Kaisers  der  Abt 
Nikolaus  von  Bari  Ausdruck  gegebcn*^.  In  seinem  Enkomium 
auf  Friedrich  II.  verhieB  er  dcm  Reiche  der  Kaisererben  Dauer 
bis  zum  JiingstenGericht:  die  progenies  werdc  herrschcn  bis  zum 
Ende  der  Welt,  weil  mit  dem  Geschlecht  „am  Tag  seiner  Bewah- 
rung  das  Fiirstentum  ruhe"  |  (Ps.  109,3)  und  in  all  seinen  Vikarcn 
Christus  gegenwartig  sei^.  DaB  fiir  Nikolaus  von  Bari  das  impe- 
riak  semen  gleichsam  vom  Himmcl  kommt  (de  celo  venit)  und  darum 
alien   anderen   Fiirstenhausern   iiberlegen   ist,    gehort    in    einen 


^*  A.  Alfoldi,  Der  neue  Wcltherrscher  der  IV.  Ekloge  Vergils,  Her- 
mes 65  (1930)  369-384,  bcs.  375;  auch  Rom.  Mitt.  50  (1935)  89  und 
passim.  Der  Topos  durchzieht  noch  die  karolingische  Hofdichtung 
(Sedulius  u.  a.). 

"  Kloos,  Nikolaus  von  Bari,  eine  neue  Quelle  zur  Entwicklung  der 
Kaiseridee  unter  Friedrich  II.,  DA.  11  (1954)  166-190,  vcroffentlichte 
erstmals  die  ganz  ungewohnlich  interessanten  Stiicke,  die,  obwohl  in 
vielem  nur  Bekanntes  bcstiitigend,  dennoch  ein  vollig  neues  Licht  auf 
den  „Kaiserkult"  unter  Friedrich  II.  wcrfen. 

=*•  Vgl.  das  Enkomium  auf  Friedrich  II.,  §11  (Kloos,  S.  172f.).  Aus- 
gehend  von  Genesis  49,  10  (Jakob  seine  Sohne  um  sich  versammelnd) 
bezieht  Nikolaus  die  Segnung  des  Juda  auf  Friedrich  II:  „Es  wird  das 
Szcpter  nicht  entwendet  werdcn  von  der  Hand  des  Herrn  Friedrich  noch 
der  Stab  des  Herrschers  von  seinen  Lenden  .  .  .  ,dnnec  vtniat  qui  mitlendiis 
est',  id  est  Christus  ad  iudicitim,  hoc  est  usque  ad  finem  mundi,  que  progenies 
imperahit,  quia  ,secum  est  principium  in  die  virtutis  suae'  [Ps.  109,  3],  id  est 
Christus  in  omnibus  suis  ricariis."  Das  dynastische  Moment  ist  in  den  Lob- 
spruchen  des  Nikolaus  iiberaus  stark  vertreten,  und  obwohl  in  ihnen 
die  biblischen  Bezuge  dominiercn,  so  gibt  es  doch  zahlreiche  Vcrbin- 
dungslinien  zu  der  Feier  der  Caesarea  stirps,  die  wir  von  Petrus  de  Prece 
(etwa  in  Manfreds  Romcrmanifest)  her  kennen.  Zur  Kontinuitat  auch 
oben  Anm.  47. 


[132/133J  Zu  den  Rechtsgrundlagcn  der  Kaisersage  503 

anderen  Zusammenhang  -  ein  Gedanke,  der  in  Manfreds  Romcr- 
manifest dann  brcit  ausgesponnen  ist".  Die  Idee  der  Fortdauer 
hingegen  ist  nicht  wenigcr  eindcutig  dargelegt  in  Manfreds  Brief 
an  Konrad  IV.,  in  dem  sich  auch  das  Sonnenbiid  der  Tiburtiner 
wiederfindet:  „Es  sank  die  Sonne  der  Welt,  die  unter  den  Volkern 
leuchtetc;  es  sank  die  Sonne  der  Gerechtigkeit;  cs  sank  der  Urhe- 
lier  des  Friedens";  den  Volkern  abet  erwachse  Hoffnung,  ja  vollige 
GewiBheit  und  sicheres  Vertrauen,  denn  „mag  auch  jene  Sonne 
sich  zum  Untergang  bcrcitet  haben,  so  ist  doch  durch  den  Ordo  einer 
gewissen  Kontinuitat  ihr  erneutes  Lcuchtcn  in  Each  fsc.  Konrad  IV.] 
gegcben,  und  so  glaubt  man  nicht,  daB  der  Vater  abwesend  sci, 
da  man  hofft,  er  lebe  im  Sohne^."  Der  Manfredbrief  bringt  im 
Grunde  nur  das,  |  was  sclion  das  echte  Kaisertestament  (W)  aus- 
gesprochen  hatte:  der  Kaiser  sagte  darin,  er  disponiere  fiir  seine 
Sohne,  „damit  wir,  wiewohl  menschlichen  Dingen  entrafFt,  den- 
noch zu  leben  scheinen"". 

*'  Vgl.  Kloos,  S.  170  §  4  fur  die  Preisung  der  nobilitas generis,  die  sich 
von  Kaisern  und  Konigen  herlcitet:  qui  de  celo  venit  [Joh.  3,  31],  super 
omnes  est,  id  est,  qui  de  imperiali  semine  descendit,  cunctis  nohilor  est.  Derartiges 
kennen  wir  sonst  eigendich  nur  zum  Preis  der  franzosischen  Dvnastie 
(und  auch  da  im  Grunde  erst  seit  dem  Ende  des  13.  Jh.s),  wobei 
naturlich  die  staufisch-romischen  divi  imperatores  durch  die  sancti  reges 
Frankreichs  ersetzt  werden ;  vgl.  etwa  (um  von  Dubois  und  allbekann- 
tem  Material  zu  schweigen)  Dom  Jean  Leclercq,  Un  sermon  prononcc 
pendant  la  guerre  de  Flandre  sous  Philippe  Ic  Bel,  Rev.  du  moyen  age 
latin  1  (1945)  165-172,  besonders  S.  169  Z.  21 :  /"die  sancti  reges  Francie] 
sanctitatem  generant,  cum  generent  sanctos  reges.  Zu  vergleichen  ist  Vergil, 
Aeneis  IX,  Ml:  dis genite et gcniture deos;  auch  Seneca,  Consol.  ad  Marcum, 
XV,  1 :  Caesares  qui  dis  geniti  deosque  genituri  dicuntur,  und  eine  (naturlich 
damals  nicht  bekannte)  Inschrift:  diis  geniti  et  deorum  creatores  (CIL.  Ill, 
710:  Diocletian  und  Maximian).  In  der  Kriegspredigt  ist  das  Ersetzen 
der  dii  durch  sancti  ganz  offenkundig. 

^»  BF.  4634,  Huillard-Brdhollcs,  Hist.  dipl.  VI,  811:  ...  ut  licet 
occasum  sol  ille  petierit,  per  cuiiudam  tamen  continuationis  ordinem 
relucescat  in  vohis  .  .  .  et  sic  pater  abesse  non  creditur,  dum  vivere  speratur  in 
filio. 

"  MG.  Const.  II,  S.  385  Z.  12f.:  sic  de  imperio  .  .  .  [et  filiis  nostris] 
duximus  disponendum,  ut  rebus  humanis  absumpti  vivere  vide  am  ur. 


n    u   u 


504 


Ernst  Kantorowicz 


[133] 


Es  ist  also  nicht  ganz  von  ungefiihr,  daB  in  der  Erythraischcn 
Sibylle  der  Gedanke  des  kaiserlichen  Fortlcbens  -  Vivif  et  nan 
vivit  -  erscheint  und  zunachst  auch  ganz  richtig  mit  den  Nach- 
kommen,  den puUi,  verkniipft  worden  ist;  das  heiBt,  es  handclte 
sich  auch  in  dem  Sibyllinum  zuniichst  urn  nichts  anderes  als  um 
das  Fortleben  der  kaiserlichen  Dynastic,  um  das  Fortleben  des 
Kaisers  in  Sohn  und  Enkel,  und  nicht  etwa  um  das  ratselhafte 
Fortleben  der  individuellen  Person  selbst,  Friedrichs  II.  Die  viel- 
fache  Beschaftigung  mit  den  Sohnen  in  Kundgebungen  und  Rela- 
tionen  jeglicher  Art  mag  dem  Sibyllenautor  derartiges  nahegelegt 
haben*";  und  in  diesen  allgemeinen  Rahmen  gehort  auch  das  in 
der  Escorial-Handschrift  iiberlieferte  Testament  E. 

Dieses  Testament  ist  fiir  das  tiefere  Verstiindnis  der  ganzen 
Theorie  des  dynastischen  Fortlebens  um  so  wichtiger,  als  wir  in 
ihm  eine  deutliche  Wendung  ins  Juristische  wahrnehmen.  Die 
Arenga,  die  sich  zunachst  rein  rhetorisch  in  biblisch-philo- 
sophischen  und  poetischen  Betrachtungen  iiber  den  Tod  ergeht, 
gleitet  dann  hiniiber  in  juristisches  Gedankengut,  um  schlieBlich 
zu  den  konkreten  Erbschaftsbestimmungen  zu  gelangen.  Der 
sterbende  Kaiser  habe  sich  dabei  direkt  an  seine  Sohne  gewandt: 

Videntibus  itaque  nobis  in  mundo  personaliter  plus  non  posse  consi- 
stere  .  .  .  per  subs ti tutu m  fulgere  procuramus  et  vivere,  cum  iuxta 
legum  civilium  normam,  o  filii  karissimi,  nostram  personam  propriam 
presentetis  in  mundo.  Scriptum  est  enim:  „Qui  videt  me,  videt  et 
patrem  meum"  (Joh.  14,  9)". 

Es  lohnt,  diesen  Paragraphen  genau  durchzuinterpretieren.  Der 
leitende  Gedanke  des  ersten  Halbsatzes  entspricht  etwa  dem  Statt- 
halterdiplom,  zumal  in  der  Fassung  von  1240  fiir  Pandulf  von 
Fasanella:  der  Kaiser,  so  heiBt  es  da,  setzte  einen  Generalvikar  ein 
quia  presentialiter  ubique  adesse  non  possumus,  ubi  longe  lateque  poten- 
tialiter  preminemus^"^.  Der  gleiche  Gedanke  war  schon  vorher  in 

•»  Vgl.  furPriedrich  II.  und  seine  Sohne  im  Jahre  1247,  Kantorowicz, 
Erg.-Bd.,  S.  302ff.,  die  Nachrichten  der  Piacentincr  Annalen  und  des 
Mainardin  von  Imola;  vgl.  ebda.  S.  307  Anm.  26. 

"  Wolf,  a.  a.  O.  S.  5f. 

«  MG.  Const.  II,  Nr.  223  S.  306  Z.  37f. 


[133/134]  Zu  den  Rcchtsgrundlagen  der  Kaisersage 


503 


einem  der  |  Defensa-Gts&tze  des  Liber  atigus talis  erortert  worden  *3 
und  findet  sich  auch  in  einer  Stiliibung  der  Briefsammlung  des 
Petrus  de  Vinea  wiedcr  sowie  in  den  Statthalterdiplomcn  Kon- 
radsIV.**.  Diese  Statthalter  sind  (z.  B.  im  Falle  ^mios)  persone 
nostre  speculum^^,  sie  sind  tamquam  nostre ymaginarium  visionis^  oder 
auch  quasi  partes  .  .  .  corporis  fnostrij'^''.  Diese  Idee  der  kaiserlichen 
Stellvertretung  ist  in  dem  Testament  gleichsam  von  den  Statthaltern 
auf  die  Erben  iibertragen :  da  der  Kaiser  personaliter  nicht  mehr  in 
der  Welt  sein  kann,  so  wolle  er  durch  einen  Ersatzmann  leuchten 
und  leben  -  per  substitutum  fulgere  et  vivere.  Die  Obertragung  dieser 
Idee  schlieBt  jedoch  eine  nicht  unwesentliche  Veranderung  ein: 
die  Statthalterdiplome  und  verwandte  Zeugnisse  implizieren  eine 

"  Lib.  aug.  I,  17;  vgl.  dazu  Kantorowicz,  Invocatio  nominis  impcra- 
toris,  BoUettino  del  Centro  di  Studi  Filologici  e  Linguistic!  Sicilian],  3 
(1955)  35-50.  Hinzuzufugen  ware  noch  Vinea,  Ep.  II,  8,  ein  Manifest 
an  die  Romer,  wo  es  heiBt :  licet  nostra  non  sit  uhiqiie  corporalis  praesentia, 
nostrae  tamen  ad  longinquos  orbis  terminos  laxanlttr  bahenae. 

"  Vinea  III,  69.  Fur  Konrad  IV.,  vgl.  MG.  Const.  II,  Nr.  344 
S.  452  Z.  2fr. :  Verum  cum  per  individuitatem  persone  simul  et  semel  ubique 
personaliter  nostra  serenitas  adesse  non  possit,  ut  noscant  subditi  longas  regibiis 
esse  manus  [Ovid,  Ep.  XVI,  166]  .  .  .  Das  mehrfache  Zitieren  der  Ovid- 
stelle  im  Umkreis  der  sizilischen  Staufcr  ist  auffallend;  cf.  Kloos,  DA. 
11,  S.  175  §  16,  fiir  Nikolaus  von  Bari;  ferncr  Marinus  de  Caramanico, 
v.  „Ubique  potentialiter"  zu  Liber  Augustalis,  I,  17ed.Cervone  (Neapel, 
17),  S.  41;  s.  auch  Kantorowicz,  a.  a.  O.,  S.  40,  Anm.  21.  An  die  stau- 
fischen  Vorlagen  (ohnc  die  Ovidstelle)  lehnte  sich  dann  auch  die  Kanzlei 
Karls  von  Anjou  an;  vgl.  etwa  R.  Trifone,  La  legislazione  angioina 
(Neapel  1921)  77,  Z.  18. 

»»  MG.  Const.  II,  Nr.  217  S.  302  Z.  5. 

''  Ebda.  Nr.  422  S.  554  Z.  5.  Zugrunde  liegt  hier,  wie  in  zahlrcichen 
ahnlichen  Fallen,  etwa  Cod.  7,  62,  16  (Cod.  Theod.  11,  30,  11):  Vikare 
und  Richter  ,,qui  imaginem  principalis  disceptationis  accipiunt".  Vgl.  etwa 
Lucas  de  Penna,  zu  Cod.  11,  40,  4,  n.  1  (In  Tres  Libros;  Lyon,  1582), 
S.  446,  zum  Wortc  imagines:  Alias  ponitur  [imago]  pro  simulatione  vel 
fictione  ,  .  .  eo  quod  id  quod  agitur  veritatis  figuram  repraesentat.  Sic  delegatus 
dicitur  imago  delegantis.  supra  de  appel.  etiam  (=  Cod.  7,  62,  16). 

"  Petrus  de  Vinea.  Ill,  69,  ed.  Huillard-Breholles,  Hist,  dipl.,  IV 
S.  246.  Zugrunde  liegt  hier  Cod.  9,  8,  5  rubr. :  nam  et  ipsi  /"sc.  senatores] 
pars  corporis  nostri  sunt. 


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kaiserliche  Uhiqiiitat,  cine  Allgegenwart  des  Kaisers  im  Raume; 
Testament  E  jedoch,  wie  iibrigens  auch  das  echtc  Testament  W, 
impliziert  sozusagen  eine  kaiserliche  Sempiternitat,  eine  immer- 
wahrende  Gegcnwart  des  Kaisers  in  der  Zeit**. 

Hierbei  ist  nun  der  Wortlaut  von  E  nicht  ohne  Bedeutung;  denn 
per  suhstltutHm  oder  per  suhrogatiim  vivere  ist  juristischer  terminus 
technicus.  Dig.  5,  1,  76  behandelt  die  Frage,  ob  ein  Gerichtshof, 
bei  dem  |  im  Laufe  des  Verfahrens  ein  oder  mehrere  Richtcr  aus- 
geschiedcn  und  dutch  andere  ersetzt  seicn  (et  alii  fuerunt  eis  sub- 
stituti  heifit  es  in  der  G 1  o  s  s  a  o  r  d  i  n  a  r  i  a  des  Accursius  zu  diesem 
Gesetz),  noch  den  gleichen  Gerichtshof  darstelle.  Die  Frage  wird 
hejaht,  denn:  eine  Legion,  von  deren  Mannschaft  viele  gefallcn 
und  durch  andere  ersetzt  seien,  bleibe  stets  die  gleiche  Legion; 
ein  Volk  sei  heute  das  gleiche,  das  es  vor  hundert  Jahren  war, 
obwohl  keiner  der  damals  Lebenden  noch  am  Leben  sei;  ein 
Schiff,  dessen  Planken  nach  und  nach  allesamt  ersetzt  seien,  blcibc 
dennoch  das  gleiche  Schiff;  und  eine  Schafherde,  so  fiigt  die  Glosse 
hinzu,  bleibe  durch  Substitution  stets  die  gleiche  Herde.  In  diesem 
Sinne  bleibt  daher  der  Gerichtshof  immer  der  gleiche,  auch  tribus 
vel  duohus  iudicibus  mortuis  et  aliis  subrogatis'^^.  Diese  Anschauung 
gait  ganz  allgemein  fur  alle  Arten  von  Verbanden:  in  collegiis  .  .  . 
semper  idem  corpus  manet,  qiiamvis  successive  omnes  moriantur  el  alii 
loco  ipsorum  substituantur,  sagt  etwa  Bracton'".  In  all  diescn  Fallen 
handelt  es  sich  um  das  Fortleben  Att  forma  oder  species,  wie  cs  denn 
auch  in  Dig.  5,  1,  76  ausdriicklich  erwahnt  wird".  DaB  nun  die 

«»  FUr  die  kaiserliche  Ubiquitat  vgl.  meinen  oben  (Anm.  63)  zitiertcn 
Aufsatz. 

«»  Glos.  ord.  zu  Dig.  5,  1,  76,  v.  „proponebatur" .  Ich  zitierc  die  Accur- 
sius-Glosse  nach  der  5b.^ndigen  Ausgabe  des  Corpus  iuris  civilis,  Vencdig 
1584.  *' 

"•  Bracton,  De  Icgibus  et  consuetudinibus  Angliae,  fol.  374b,  ed. 
Woodbine,  IV  S.  175,  ed.  Travcrs  Twiss  (Rolls  Series),  V  S.  448.  ' 

"  Vgl.  den  SchluBsatz:  qtiapropter  cuius  rei  species  eadem  consisteret, 
rem  quoque  eandem  esse  esislimari,  wobci  die  Glosse  v.  „w  species''  er- 
klarend  sagt:  id  est  forma,  und  der  kaum  spatere  Odofredus  bemerkt 
(zu  Dig.  5,  1,  76  [Lyon  1550]  fol.  209'):  unde  ex  quo  remanet  idem  genus 
vel  eadem  species,  licet  non  sit  eadem  qualitas.  tamen  eandem  rem  iudkamus. 


[135/136]  Zu  den  Rechtsgrundlagcn  der  Kaiscrsagc  507 

Substitution  oder  Subrogation  das  Mittel  zur  Sempiternisierung 
ist,  haben  die  spatercn  Juristen  unzweideutig  ausgesprochen.  Dig. 
8,  2,  33,  z.  B.,  erortert  eine  perpetuelle  Servitut  zur  Erhaltung  einer 
„ewigen  Wand"  (paries  aeternus)  an  einem  Gebaude.  Dazu  sagt 
korrigierend  die  Glosse  zum  Worte  ,aetermis' :  id  est  sempiterrms. 
nam  aeternum  dicitur  quod  semper  fuit  et  est:  tit  Deus.  sempiterniis  dicitur, 
quod  incepit  et  non  desinet;  tit  anima  et  angelus  et  haec  servitus,  was 
spiitcrhin  Bartolus  und  Baldus  lapidar  zuszmmtnMken: perpetuatio 
fit  per  sticcessionem  sive  subrogationem'''^.  \ 

Soviel  vorerst  zum  Ausdruck  per  substitutum  vivere.  Die  Sub- 
stitutionsidee  ist  jedoch  von  allem  x\nfang  aufs  engste  verquickt 
mit  dem  Erbrecht  -  und  daher  schlicBlich  auch  mit  dem  dynasti- 
schen  Thronfolgerecht.  Inst.  3,  1,3  heiBt  es:  Et  statim  morte 
parentis  quasi  continuatur  dominium.  Zu  den  Worten  „quasi  conti- 
nuattir"  bemerkt  dabei  die  Glosse:  .  .  .  pater  et  filius  timm  fictione 
iuris  stint''^.  Diese  juristische  Fiktion  einer  Idcntitat  von  Vater  und 
Sohn,  Erblasser  und  Erben,  ist  naturlich  ein  ganz  allgemein  ver- 
breiteter  Gedanke,  zumal  Cod.  6,  26,  11  (worauf  sich  auch  die 
Glosse  beruft)  dafur  die  gcsicherte  Grundlage  bildet:  Natura  pater 
et  filius  unum  fictione  iuris  stmt.  Andcrerseits  wird  die  continuatio 
dominii  durch  Dig.  28,  2,  1 1  festgestellt,  indem  das  Gesetz  sagt, 

"  Bartolus  zu  Dig.  8,  2,  33  (Ausgabe  Lyon  1555)  fol.  222;  Baldus  zur 
gleichen  Stelle  (Venedig  1586)  fol.  311.  Vgl.  ubrigens  auch  Bartolus  zu 
Cod.  11,  9,  2,  n.  1,  fol.  37",  v.  „aetermis" :  improprie  [princeps]  dicitur 
aeternus:  tamen  imperator  respect u  officii,  quod  non  debet  Ihihere  finem,  potest 
did  sempitermis.  Interessant  ist,  wegen  seiner  Stellungnahme  zur  aristo- 
tclischen  Lehrc  von  der  Anfangs-  und  daher  auch  Endlosigkeit  der 
Welt,  Angelus  de  Ubaldis  zu  Dig.  8,  2,  33,  n.  2  und  4  (Venedig  1580) 
fols.  185'-186.  Auch  er  wendet  sich  zunachst  gegen  den  MiBbrauch  des 
Wortcs  aeternus  und  sagt :  Not  a  sub  sole  nihil  possibile  est  aeternum,  fit 
tantum  aeternitas  per  successionem  seu  subrogationem ;  mit  der  Glosse  unter- 
schcidet  er  dann  zwischen  aeternus  und  sempiternus,  gibt  zu,  daC  die 
Seele  und  die  Engel  kein  Endc  haben,  lehnt  aber  den  Bcgriff  fur  eine 
Servitut  ab,  quia  impossibile  est  aliquid  esse  sub  sole  sine  fine,  et  idea  mundiis 
habebit  finem  secundum  fidcm,  licet  princeps  philosopborum  fuerit  in  opinione 
contraria  motus  rationibus  naturalibus. 

"  Die  Glosse  zitiert  dabei  Cod.  6,  26,  11. 


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[136/137] 


die  erbenden  Sohne,  selbst  wcnn  nicht  ausdriicklich  als  Erbcn 
eingesetzt,  „galten  schon  zu  Lebzeitcn  des  Vaters  in  gewissem 
Sinne  als  die  Herrcn"  dcs  vaterlichen  Besitzes  (efiam  vivo  pa/re 
quodammodo  domini  txistimantur) .  SchlieBlich  wurdc  von  den  Juri- 
sten  gem  die  Glosse  „Qmmfilii"  zu  Dig.  50, 16,  220  herangezogen, 
wo  es  heiBt,  daB  der  Vater  die  eigene  Natur  im  Sohne  zu  erhaltcn 
trachte :  qtiaelibet  res  conservationem  sui  desiderat,  ut  videat  pater  suam 
naturam  in  filio  conservari.  Die  gleiche  Lehre  einer  quasi-Identitiit 
von  Vater  und  Sohn  vertrat  auch  die  Kanonistik.  Decretum 
C.  I  q.  4  c  8  sagt  mit  Bezug  auf  Erzeugcr  und  Sohn:  unus  erat  cum 
i/lo''*.  Aus  dem  Ausdruck  rex  iuvenis  in  C.  XXIV  q.  Ic.  42  leitete 
man  die  Lehre  her  (entsprechend  Dig.  28,  2,  1 1),  daB  der  Sohn 
schon  zu  Lebzeiten  des  Vaters  Konig  sei'*,  wahrend  die  Glosse 
„primatus"  zu  C.  VII  q.  1  c.  8  herhalten  muBte,  um  auf  Grund  von 
Deut.  21,  17  liber  die  Primogenitur  abzuhandeln'*.  DaB  dabei  die 
Kanonisten  weitgehend  wiederum  auf  das  romische  Recht  Bezug 
nahmen,  ist  selbstverstandlich.  Zenzelinus  de  Cassanis,  z.  B.,  alle- 
giert  in  der  Glosse  „siiblimitatem  eorum"  zur  Bulk  Execrahilis  aus- 
driicklich die  Glosse  „quasi  continuatur"  zu  Inst.  3,  1,  3,  wenn  cr 
sagt:  [pater  |  et filius]  eadem persona  fingatur  esse''"'.  All  diese  Stellen 
wurden  immer  wieder  herangezogen,  und  es  versteht  sich,  dali 
davon  auch  die  kaiserliche  Kanzlei  nicht  unberiihrt  blieb.  In 
einem  Briefe  Friedrichs  II.  von  1233  z.  B.  findet  sich  ein  Nieder- 
schlag  dieser  Lehre,  wenn  darin  gesagt  wird,  daB  Vater  und  Sohn 
durch  die  Liebe,  sicut  innate  beneficio  gratie,  una  persona  censetur''^. 

Wir  verstehen  jetzt  besser,  was  der  Stilist  des  Testamcntes  E  im 
Sinne  hatte,  wenn  er  den  sterbenden  Kaiser  die  Sohne  belehren 

'^  Friedberg,  I,  Sp.  419f.;  die  Stelle  ist  cinem  Briefe  Augustins  ent- 
nommen.  Fur  die  Glossa  ordinaria  benutze  ich  die  3bandigc  Ausgabc 
des  Corpus  luris  Canonici,  Turin  1588. 

'*  Friedberg,  I,  Sp.  983  f.  Auf  Dig.  28,  2,  11  beruft  sich  dann  z.  B. 
Petrus  de  Ancharano,  Consilia,  LXXXII  n.  2  (Vencdig  1574),  fol.  40: 
[beredes]  etiam  vivo  patre  quodammodo  domini  existimantur.  Vgl.  imtcn 
Anm.  86. 

'*  Cf.  Friedberg,  I,  Sp.  569  zum  Erstgcburtsrecht  Esaus. 

"'  Extrav.  Joann.  XXII,  tit.  Ill,  Friedberg,  II,  Sp.  1207. 

'»  Bohmcr,  Acta  imperii  selccta,  Nr.  301,  S.  265. 


[137/138]  Zu  den  Rechtsgrundlagen  der  Kaisersage  509 

laBt,  daB  sie  „gemaB  der  Norm  dcs  romischen  Rechts"  des  Kai- 
sers Person  darstellten:  er  bezog  sich  offenbar  auf  Cod.  6,  26,  11 
Oder  auf  die  Institutionenglosse  „quasi"  oder  ahnliche  Stellen. 
Ebenso  ist  in  diesem  Sinne  Manfreds  Brief  an  Konrad  IV.  zu 
verstehen,  wenn  er  sagt,  daB  „durch  den  Ordo  einer  gewissen 
Kontinuitat"  die  vaterliche  Sonne  nunmehr  in  ihm,  Konrad,  von 
ncuem  leuchte,  so  daB  man  glaube,  der  Vater  sei  nicht  abwesend, 
vielmehr  hoffe  man,  er  lebe  im  Sohne  weiter;  und  im  gleichen 
Atem  kommt  Manfred  dann  auf  das  Erbrecht  zu  sprechen".  Fer- 
ner,  wenn  Konrad  IV.  in  einem  Brief  an  den  Justitiar  von  Abruzzo 
(verfaBt  von  Petrus  de  Prece)  von  sich  selbst  sagt,  daB  nach  dem 
Willen  Gottcs  iam  genitor  noster  revixit  in  filio,  so  gehort  auch  das 
vielleicht  noch  zu  dem  Topos  von  der  Einheit  von  Vater  und 
Sohn**.  Man  wird  sich  namlich  in  diesem  Zusammenhang  auch 
an  die,  im  wesentlichen  aristotelischen,  Zeugungs-  und  Verer- 
bungslehren  der  Antike  erinnern  mussen,  die  in  der  Scholastik 
wieder  zu  Ehrcn  kamen;  denn  auch  diese  Lehren  fiihrten  zur 
Annahmc  einer  psychisch-physischen  „Idendtat"  von  Vater  und 
Sohn,  und  sie  blieben  daher  seitens  der  Juristen  keineswegs 
unbeachtet*'.  | 

Es  bereitet  nunmehr  auch  kcine  Schwierigkeiten,  das  Bibelzitat 
Johannes  14,  9,  das  der  Verfasser  des  Testaments  E  unmittelbar 

'•  S.  oben  Anm.  58,  und  anschliefiend :  «ff  credit ur  tarn  prttiosa  beredilas 
amisisse  patrommi,  dum  eius  confidit  invenire  dominium  tarn  suave,  tarn  placidum 
in  Ijerede.  Die  quasi-Personifizicrung  der  Erbschaft  war  iiblich  auf  Grund 
der  vielzitiertcn  lex  mortuo  (Dig.  46,  1,  22:  quia  liereditas  penonae  vice 
fungiti4r).  Vgl.  daruber  Gierke,  Genossenschaftsrecht  III,  S.  362  zur 
hereditas  iacens,  auch  S.  203. 

*"  BF.  4619;  Winkclmann,  Acta  imperii  inedita,  I,  Nr.  488,  S.  408, 
Z.  29,  herangezogen  von  KIoos,  DA  13  (1957),  S.  164  Anm.  60,  nach 
dem  der  Brief  Diktat  des  Petrus  de  Prece  ist. 

"  Vgl.  daruber  die  umfassende  Arbeit  von  Erna  Lesky,  Die  Zeu- 
gungs- und  Vererbungslehren  der  Antike  und  ihr  Nachwirken  (Abh. 
d.  Akad.  d.  Wiss.  in  Mainz,  Geistcs-  und  Sozialwiss.  KI.,  1950,  Nr.  19 
[1951]);  und  fur  die  Scholastik  A.  Mitterer,  Die  Zeugung  der  Organis- 
mcn,  insbesondere  des  Menschcn,  nach  dem  Weltbild  des  hi.  Thomas 
von  Aquin  und  dem  der  Gegcnwart  (Wien  1947);  s.  auch  in  Zs.  f.  kath. 
Theol.  57  (1933)  491-556.  Vgl.  unten  Anm.  84. 


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tolgen  liiBt,  richtig  einzureihen  und  zu  bewcrten.  Nach  romischem 
Recht,  so  habe  der  Kaiser  angeblich  gesagt,  stellten  die  Sohne  des 
Kaisers  Person  in  der  Welt  dar:  „Es  steht  namlich  geschrieben: 
,Wer  mich  sieht,  sieht  auch  meinen  Vater'."  Hicr  ist  es  nun  zur 
Abwechslung  die  theologisch-dogmatische  Wcsensglcichheit  von 
Gottvater  und  Gott  dem  Sohn,  durch  welche  die  Identitiit  von 
Vater  und  Sohn  fictione  iuris  crhartet  wird.  Es  ware  jedoch  cin 
totales  Verkenncn  der  Methode  juristischen  Argumentierens  im 
Spatmittelaiter,  wollte  man  annchmen,  der  Autor  von  E  stiinde 
mit  dieser  theologischen  Oberhohung  einer  juristischen  Fiktion 
allein.  An  Beispielen  fiir  diese  Methode  besteht  wahrlich  l<cin 
Mangel*^,  und  die  genaue  Parallele  fiir  den  vorliegenden  Fall  bie- 
tet  sich  in  der  Tat  bei  einem  franzosischen  Juristen,  Jean  dc  Terre 
Rouge,  der  bald  nach  1400  cinen  Traktat  iibcr  das  Throntolge- 
recht  in  Frankreich  schrieb*^. 

Den  Anlal5  zu  dem  Traktat  gab  der  seit  1381  offenkundige 
Wahnsinn  Karls  VI.  von  brankrcich  und  die  danach  unter  dem 
Druck  burgundischer  Anspriiche  resultierende  Frage,  ob  der 
Dauphin  rege  vivente  zur  Thronfolge  und  Regierungsiibernahmc 
berechtigt  sei.  Jean  de  Terre  Rcjuge  untersucht  eingehend  die 
Griinde,  die  fiir  die  Nachfolgc  des  Sohnes,  und  zumal  des  Erst- 
geborenen  sprechen,  und  kommt  dabei  zu  einer  ganzen  Anzahl 
von  „Schliissen",  deren  einige  hier  erwahnt  seicn.  Vater  und  Sohn, 
obwohl  man  sie  untcrscheide,  gelten  dennoch  in  bezug  auf  Art 

*-  Vgl.  Kantorowicz,  Mysteries  of  State:  An  Absolutist  Concept  and 
its  Late  Mediaeval  Origins,  Harvard  Theological  Review  48  (1955) 
65-91,  insbes.  S.  76ff. 

*^  Johannes  dc  Terra  Rubea,  Dc  iurc  futuri  successoris  legitimi  in 
regiis  hercditatibus,  gcdruckt  als  Anhang  zu  Francisci  Hotomani  (Hot- 
man),  Consilia  (Arras  1586)  27-62.  Einc  gute  Analyse  des  Traktats  gibt 
Andri  Lemaire,  Les  lois  fondanicntales  dc  la  monarchic  frangaise 
d'apres  les  thcoriciens  dc  i'ancien  regime  (1907)  54ff. ;  vgl.  auch  John 
Milton  Potter,  The  Development  and  Significance  of  the  Salic  Law  of 
the  French,  EHR.  52  (1937)  235-253;  William  Farr  Church,  Consti- 
tutional Thought  in  Sixteenth-Century  France  (Cambridge,  Mass.,  1941), 
28 f  In  Betracht  kommen  hier  im  wcsentlichen  die  Konklusioncn  von 
Tnut.  1,  art.  2,  S.  35ff. 


[138/139]  Zu  den  Rechtsgrundlagen  der  Kaisersage 


511 


und  Natur  als  ein  und  derselbe,  und  zwar  nicht  nur  im  Hinblick 
auf  die  allgemeine  Gattungsnatur  des  Menschen,  sondern  auf  die 
partikulare  Natur  des  Vaters:  im  Samen  des  Menschen  sei,  wie 
Aristoteles  und  Thomas  von  Aquino  dargelegt  hatten,  qiiaedam 
vis  impressiva,  activa,  derivata  ab  anima  generantis  et  a  siiis  nmotis 
parentibus ^\tk\szm,  et  sic  est  identitas  particularis  naturae  patris  et 
filii^*.  Terre  Rouge  beriihrt  dann  die  kanonistische  Lehre,  nach  der 
in  bezug  auf  das  Amt  Amtsvorganger  und  Amtsnachfolger  als 
cine  Person  zu  gelten  haben*^,  und  erhartet  dies  dadurch,  daB  nach 
den  Anschauungen  des  Erbrechts  der  Sohn  schon  zu  Lebzeiten 
des  Vaters  dominus  cum  patre  rerum  patris  sei,  so  daB  das  von  Vater 
und  Sohn  gleichsam  gemeinschaftlich  iiberlagerte  dominum  auf  den 
Erben  ohne  Unterbrechung  iibergche**.  Da  nun  Vater  und  Sohn 
ihrer  Natur  nach  gleich  seien,  so  lassen  sich  auf  dieses  Verhaltnis 
auch  die  Worte  der  Schrift  anwenden,  etwa  das  Wort  des  Paulus 


**  Tract.  I,  art.  2,  Concl.  1 :  quod  pater  et  filius,  licet  distinguantur,  suppo- 
s'lto  tameii  imiim idem  sunt  specie  et  natura  nedum  commmii  (quia  uterque  homo) , 
sed  etiam  in  natura  particulari  patris.  Probatur  conclusio:  nam  secundum  Pliilo- 
sophum  in  semine  Imminis  est  quaedam  vis  impressiva  etc.,  ut  bacc  hahentur  et 
notantur  per  sanctum  TIjomam  in  I .  parte,  quaest.  ult.  art.  1  [cf.  Summa 
Theol.,  1,  q.  119,  art.  1,  rcsp.  2;  auch  I,  q.  118,  art.  1,  ad  3].  Die  ein- 
schlagigen  AristotelesstcUen,  obwohl  besonders  zahlreich  in  De  genera- 
tiniie  animalium,  sind  doch  weit  verstrcut;  vgl.  Harold  Cherniss,  Ari- 
stotle's Criticism  of  Plato  and  the  Academy  (Baltimore  1944)  470f. 

*'  Concl.  2 :  quod  sub  ratione  illius  identitatis  consuetudo  transfer!  regnum 
et  regni  successionem  in  primogenitum  .  .  .  sicut  qiiando  scribitur  abhati  vel  alicui 
praelato  velofficiario  secular i  vel  ecclesiasticn,  intellegitur  script um  esse  sub  ratione 
praelaturae  et  officii,  ut  c.  quoniam  abbas,  de  offic.  delegat.  [c.  14  X  1,  29; 
I'riedberg,  II,  162;  s.  unten  Anm.  90].  [iliatio  enim  nihil  alii  id  est,  quam 
ilia  identitas  particularis  naturae  praesens  penetrans  in  filium,  ut  I.  liberorum, 
de  verb,  signij.  cum  gloss.  [Dig.  50,  16,  220,  v.  „Quam  filii'\-  vgl.  obcn 
S.  508]. 

*°  Concl.  4:  quod  quia  filius  est  idem  cum  patre  vivente  .  .  .,  ipse  est  (secun- 
dum philosophum)  aliquid  patris  .  .  .  Concl.  5:  quod  filius  vivente  patre  est 
qundammodo  dominus  rerum  patris  cum  eo:  ita  quod  post  mortem  patris  novam 
hereditatem  acquirere  non  censetur,  sed  magis  dominium  (quod  babebat)  cnn- 
tiuuare  et  ptenam  administrationem  consequi  .  .  . 


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(Romer  8,  17):  Si  films  ergo  heres;  oder  das  Wort  dcs  Johannes- 
Evangeliums  (16,  15):  Omnia  quaecwique  hahet  Pater,  mea  sunt;  oder 
das  Wort  des  Vaters  im  Gleichnis  vom  Verlorenen  Sohn  (Lukas 
15,  31):  Fili,  tu  semper  mecum  es,  et  omnia  mea  ttia  sunt,  wozu  der 
Autor  hinzufiigt:  scilicet  per  identitatem  paternae  naturae*"^.  Es  sei 
hier  nicht  weiter  auf  diese  ins  Dynastische  getragenen  christo- 
logischen  und  biblischcn  Bewcisc  eingcgangen;  denn  das  Gesagte 
gcniigt  vollstandig,  um  zu  erkennen,  in  welchen  gedanklichen 
Rahmen  der  Passus  des  Testaments  E  gehort:  die  Sohne  stellen 
des  Kaisers  eigene  Person  in  der  Welt  dar,  denn  es  steht  geschrie- 
ben^///  videt  me,  videt  et  Patrem  meum.  Der  Sachverhalt  ist  durch  den 
franzosischen  Juristen  der  spateren  Zeit  wohl  |  vollig  geklart,  und 
das  einzig  Oberraschende  ist  die  Tatsache,  daB  diese  Anschau- 
ungen  schon  um  1250  voll  entwickelt  warcn. 

Ein  spater  Autor  mag  uns  noch  in  anderer  Beziehung  zu  Hilfe 
kommen,  Johannes  Gerson,  der  in  seinem  reichhaltigen  Traktat 
Yivat  Rex  auf  die  Identitiit  von  Vater  und  Sohn  zu  sprechen 
kommt  und  dabei  gleichzeitig  andeutet,  daB  auch  noch  in  anderer 
Beziehung  der  Vater  im  Sohne  fortlebe.  Gerson  nennt  den  Dau- 
phin den  „ersten  und  wahren  Erben  des  Konigs"  und  schlieBt 
dann  folgende  Betrachtung  an : 

Est  enim  [Delplmus]  tanquam  una  cum  rege  persona,  secundum  Sa- 
pientis  dictum  Ecclesiastici  XXX;  „Mortuus  est  pater  et  quasi  non  est 
mortuus,  reliquit  enim  similem  filium  post  se."  Pater  post  naturalem, 
nut  civilem,  mortem  in  filii  sui  adhuc  vivit  persona^. 

Hier  wird  das  dem  Sibyllenspruch  „Er  lebt  und  lebt  nicht"  so 
nahe  verwandte  Wort  des  Jesus  Sirach  „Er  ist  tot  und  ist  gleich- 
sam  nicht  tot"  ausdriicklich  auf  die  Identitat  von  Vater  und  Sohn, 
Konig  und  Thronfolger  angewandt.  Gerson  fugt  jedoch  hinzu, 
daB  der  Vater  nach  seinem  „naturlichen  oder  zivilen  Tod"  in  der 
Person  seines  Sohnes  noch  fortlebt.  Mit  andercn  Worten,  er 
unterscheidet  de  facto  zwei  verschicdene  Tode  des  Vaters:  den 
natiirlichen  Tod  dcs  Fleisches  und  den  juristischen  Tod  als  Konig, 


•'  Concl.  3  enthalt  alle  diese  Bibclstellen. 

*'  Gerson,  Vivat  Rex,  I,  consid.  iv,  in:  Opera  omnia,  ed.  EUics  du 
Pin  (Antwerpen  1706),  IV,  S.  591.  Die  Rede  wurde  1405  gchalten. 


[140/141]  Zu  den  Rechtsgrundlagen  der  Kaisersage  513 

der  ja  auch  durch  Abdankung  oder,  wie  im  Falle  Karls  VI.,  durch 
Regierungsunfiihigkeit  eintreten  konnte.  Gerson  projiziert  also 
die  ganze  Lchre  deeper  substitutum  vivere  gleichzeitig  auf  den  physi- 
schen  Konig  und  auf  die  Konigs wiirde,  die  Dignitas,  die  ]2^ per 
substitutum  ihre  eigene  Kontinuitat  und  Sempiternitat  hat  gleich- 
sam  „bis  ans  Ende  der  Tage".  Auf  diesen  zivilen  Tod  des  Konigs, 
Oder  vielmehr  auf  sein  ziviles  Leben  und  Fortleben  kommt  Gerson 
nochmals  zuruck.  Er  fiihrt  namlich  aus : 

De  secunda  Regis  vita  verba  faciemiis,  civili  videlicet  et  politica,  que 
status  regalis  dicitur  aut  dignitas.  Estque  eo  melior  sola  vita  corporal],  quo 
ipsa  est  diuturnior  per  legitimam  successionem  ...«». 

Das  zivile  oder  politische  Leben  ist  also  gleichbedeutend  mit 
dem  status  regalis,  der  pcrsonifizierten  Dignitas  oder  dem  Amt; 
und  dieses  zivile  oder  politische  „Leben"  der  Dignitas  steht  uni 
so  hoher,  als  es  durch  legitime  Sukzession  langerwahrend  ist  als 
das  bloB  ieibliche  Leben.  | 

In  den  wenigen  hier  angefiihrten  Satzcn  des  Johannes  Gerson 
ist  im  wesentlichen  der  gleiche  Problemkreis  umrissen,  der  den 
bisherigen  Ausfiihrungen  zugrunde  lag  und  der  auch  in  dem  an- 
geblichen  Testament  des  Kaisers  (E)  angedeutet  ist.  Denn  wenn 
der  Kaiser  durch  das  Testament  Anstaltcn  trifft,  „durch  einen 
substitutus  zu  leuchten  und  zu  leben",  und  sich  zu  diesem  Zweck 
an  die  Sohne  wendet,  die  juristisch  seine  eigene  Person  darstellen, 
so  ist  damit  doch  Ahnliches  ausgesagt  wie  von  Gerson.  Es  sind 
die  gleichen  Voraussetzungen,  von  denen  beide  ausgehen,  was 
naturlich  auch  fiir  Terre  Rouge  noch  zutrifft.  Wahrend  uns  nun 
Gersons  Zitat  aus  Jesus  Sirach  wieder  zu  dem  Sibyllenspruch 
zuriickfuhren  konnte,  drangt  seine  Theorie  von  einer  secunda 
Regis  vita,  die  sich  in  der  Dignitas  manifestiere,  in  eine  andere 
Richtung,  der  hier  noch  nachzugehen  ist. 

Die  Lehre  von  der  Identitat  von  Vater  und  Sohn,  oder  Konig 
und  Thronfolger,  ebenso  wie  die  Idee  des  Fortlebens  in  einem 

*»  Ibid.  II  prol. ;  Opp.  I\',  S.  592.  Der  Gedanke,  daB  der  Konig  „zwei 
Leben"  -  oder  noch  mehr  -  habe,  ist  gleich  in  der  einleitenden  Akkla- 
mation  ausgesprochen :  V^ivat  [rex]  corporaliter,  vivat  polilice  et  civiliter, 
vivat  spiritiialiter  et  indtsinenler  .  .  . 


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substitutus,  wurzell  niimlich  zu  allem  anderen  auch  in  einem  Bereich, 
in  dem  Jurisprudenz  und  Mythologie  zusammenstofien,  wodurch 
w'iederum  die  juristischen  Argumente  in  gewisscm  Sinnc  dem 
Sibyillinum  naherriicken.  Dies  geschieht  anscheinend  erstmals  in 
der  Glosse  zum  Worte  „substitutum" ,  die  sich  in  der  von  Bernhard 
von  Parma  um  1241  (oder  1245)  verfaBten  Glossa  ordinaria 
zu  den  Dekretalen  Gregors  IX.  findet.  Bernhard  glossierte  die 
Dekretale  i5//o«ww  abbas  (c.  14  X  1,  29)  Papst  Alexanders  III.,  in 
der  der  Papst  das  Verfahren  des  Abtes  von  Leicester  billigte,  nach 
dem  Tode  des  Abtes  von  Winchester  zusammen  mit  dessen  neu- 
gewahltem  Amtsnachfolger  (abbatem  Vincestriae  de  novo  substi- 
tutum)  als  iudex  delegatus  zu  fungieren.  Zur  Begrundung  fiihrte 
der  Papst  an,  daB  die  urspriingliche  Bestallung  nur  unter  Nennung 
des  Ortsnamens  (Abt  von  Winchester)  und  nicht  mit  Nennung 
des  Personcnnamens  erfolgt  sei  und  sich  daher  ohne  weiteres  auch 
auf  jeden  Nachfolger  im  Amt  beziehe*".  Dieses  Verfahren  mag 

""  c  14  X  1,  29;  Friedbcrg,  II,  Sp.  162:  quia  sub  exprtssis  mminihits 
locorum  et  tion  personarum  commissio  literarum  a  nobis  emanavit  .  .  .  Auf  die 
Tatsache,  daB  die  Bestallung  ihrerseits  entweder  von  der  individuellcn 
piipstlichen  Person  oder  vom  Papste  kraft  seines  Amtes  vorgenommen 
werden  konnte,  sei  hier  nicht  eingegangen,  zumal  der  gewiihlte  Papst- 
namen  (z.  B.  Alexander  III.  im  Gcgcnsatz  zu  Rolandus  Bandinelli) 
scinerseits  als  unpersonlichc  Dienstbezeichnung  aufgcfaBt  werden 
konnte.  Vgl.  etwa  zum  Liber  Sextus,  Prooem.,  die  Glossa  ordinaria, 
V.  „Bonifacius'\  ubcr  die  papstliche  Namensiinderung:  Respondetur  hoc 
fieri,  ut  osttndatur  ad  ptrmutationem  nowiriis,  factani  mutationem  bominis: 
cum  enim  priiis  esse!  purus  homo,  nunc  vicem  veri  Dei  gerit  in  terris.  Vgl.  auch 
Baldus  zum  Liber  Extra,  Prooem.,  rubr.,  n.  5f  (In  Decretalium  volumcn 
commentaria  [Venedig  1580]  fol.  3):  Non  ergo  is/ud  nomen,  Gregorius, 
est  nomen  primae  impositionis,  sed  sec/indae.  Propter  dignitatem  apostolatus  fit 
noia  creatura,  et  nomen  proprium  tacetur  tanquam  minus  escellens,  et  nomen 
secundae  invent ionis,  id  est  pontificate,  debet  exprimi.  Et  idea  si  scribe tur  Papae 
sub  nomine  propria  batismali,  posset  ratione  dicere:  „Istae  literae  non  dirigiintiir 
mibi",  vel  quia  videtur  in  contemptum.  Baldus  kommt  dann  darauf  zu 
sprechen,  daB,  im  Gegensatz  zum  Papst,  der  Kaiser  seinen  Namen  nicht 
andcre;  das  gelte  auch  fur  Justinian,  der  trotz  seiner  dignitas  alta  dcn- 
noch  nomen  proprium  idem  perseverat,  licet  coruscatione  dignitatis  polleat.  An 
anderer  Stellc  zogert  Baldus  (zu  Dig.,  Prooem.,  rubr.,  n.  30  [Venedig, 


[141/142]  Zu  den  Rechtsgrundlagen  der  Kaisersage  515 

alterer  Praxis  ent|sprochen  haben;  aber  erst  Papst  Alexander  IIL 
hat  die  bestehende  Praxis  rationalisiert  und  damit  ein  juristisches 
Prmzip  formuliert,  dessen  Bedeutung  die  Rechtslehrer  der  nach- 
folgenden  Zeit  unschwer  begriffen.  Technisch  unterschied  man 
fortan  klar  zwischen  Person  und  Amt,  zwischcn  einer  dekgatio 
facta  persanae  und  einer  dekgatio  facta  dignitati,  die  erstere  zeitlich 
beschrankt  durch  (bestenfalls)  die  Lebensdaucr  des  Bestallten, 
die  letztere  zeitlich  unbegrenzt,  weil  am  Amt  haftend*'.  Um  1215 
hat  dann  Damasus  in  einer  Glosse  zu  Quoniam  abbas  das  entschei- 
dende  Wort  gepriigt:  Dignitas  nmquam  peril,  indJvidua  vero  quotidk 
pereunt^^.  Als  hernach  die  Dekretale  in  die  offizielle  Sammlung 
Papst  Gregors  IX.  einging  (1232),  erhielt  sie  die  den  Inhalt  wieder- 
gebende  Aufschrift:  „Eine  Delegation,  die  einer  Wurde  [d.  h. 
einem  Wiirdentrager]  ohne  Nennung  des  Eigennamens  gemacht 
ist,  geht  auf  den  Nachfolger  uber»3."  Etwa  zehn  Jahre  sparer  gibt 
dann  auch  die  Glossa  ordinaria  des  Bernhard  von  Parma  den 
Grund  fur  die  nun  langst  iibliche  Praxis  an:  Vorganger  und  Nach- 
folger in  einer  Wiirde  seien  als  eine  Person  zu  verstehen  (pro  una 
persona  intelliguntur),  denn  „die  Wurde  stirbt  nicht",  Dignitas  non 
moritur^.   Die   Fiktion  der  Idendtat  von  Amtsvorganger  und 

1586]  fol.  2'),  die  papstliche  Namensanderung  als  ejfectus  rei  vel  alicuius 
officii  designativum  aufzufassen.  Die  englischen  Kronjuristen  folgerten 
schon  aus  dem  Gebrauch  des  Pluralis  maiestatis,  daB  eine  Handlung  des 
Konigs  amtlich  und  nicht  privat  sei;  vgl.  etwa  Piowdcn,  Reports  (s.  u. 
Anm.  100),  S.  175  b,  wo  der  Vorsitzende  Richter  Brook  zu  diesem 
Zweck  Magna  Cbarta  von  1215  c.  17  anfuhrt :  sequantur  curiam  nostram. 

«'  De  ordine  iudiciario.c.  42,  ed.  Agathon  Wunderlich,  Anecdota 
quae  processum  civilem  spectant  (Gottingen  1841),  84;  cf.  Gierke, 
Genossenschaftsrecht  III,  S.  271  Anm.  73.  Der  Traktat  war  fruher  dem 
Damasus  zugeschrieben,  doch  anscheinend  zu  Unrecht;  cf.  Stephan 
Kuttner,  Repertorium  der  Kanonistik  (Studi  e  Testi  71,  1937)  428, 
Anm.  3. 

"  Gierke,  III,  S.  271,  Anm.  73,  der  auch  zcigt,  daB  schon  Gotfricd 
von  Trani  (schrieb  ca.  1232,  starb  1245)  das  Prinzip  auf  das  Kaisertum 
ubertrug.  Die  Definition  des  Damasus  ging  dann  worthch  ein  in  die 
Glos.  ord.  zu  c.  14  X  1,  29,  v.  „substitutum" . 

•'  Fricdberg  II,  Sp.  162. 

"  Glos.  ord.  zu  c.  14  X  1,  29,  v.  „substitutum" . 


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Amtsnachfolger  war  in  den  gleichen  |  Jahren  auch  von  Papst 
Innocenz  IV.  in  seinem  Dckretalenapparat  tormulicrt  worden", 
und  das  Schlagwort  Dignitas  non  moritur  umschrieb  die  hinfort 
herrschende  Lehre. 

Lns  gehen  hier  nicht  die  zahlreichen  Varianten  und  Anwen- 
dungen  des  Themas  an:  daB  die  Kirche  immerwahrend  ist,  quia 
Christus  non  moritur*^;  daB  die  regia  di^itas  nunquam  moritur,  auch 
wenn  der  individuelle  Konig  stirbt";  daB  der  Princeps  nur  Gott 
vcrpflichtet  sei  tt  dignitati  suae  quae  perpetua  ist**;  oder  daB  die 
regia  maiestas  nunquam  moritur**  -  Variationen  des  gleichen  Themas, 
die  schlieBlich  in  England  um  die  Mitte,  in  Frankreich  gegen 
Ende  des  16.  Jahrhunderts  einmiinden  in  die  beriihrme  Formel, 
die  den  westlichen  Monarchien  zum  Eckstein  dynastischer  Dog- 
matik  wird:  Le  roi  ne  meurt  jamais'^'^.  Es  ist  freilich  langst  nicht 

*'■'  Gierke,  III,  S.  272,  Anm.  77,  fiir  die  Personcnidentitat  von  Amts- 
vorganger  und  -nachfolger,  die  konsequenterwcise  ineinsgesetzt  wird 
mit  der  von  Erblasser  und  Erbc;  vgl.  ctwa  Johannes  Andreae  in  seiner 
Glos.  ord.  zum  Lihtr  Sextus  (  De  regulis  iuris,  c.  46 ;  Friedberg,  II,  S.  1 123), 
V.  „//  qm  in  ius":  .  .  .  quia  haeris  censitur  eadem  persona  cum  defwulo, 
successor  cum  praedtcessore. 

**  Johannes  Andreae,  Novella  in  Decretales  Grtgorii  IX.  (Vcnedig 
1612),  2u  c.  4  X  2,  12,  n.  5;  vgl.  Pierre  Gillet,  La  personnaliti  juridique 
en  droit  eccl6siastiquc  (Mccheln,  1927),  178.  .\ls  Dignitas  ist  natiirlich 
auch  der  Heilige  Stuhl  unsterblich,  ebenso  das  Imperium  etc.  Von  zahl- 
losen  friiheren  Stcllen  abgesehen,  vgl.  etwa,  wegen  der  scharf  betonten 
Dauer  durch  Sukzcssion,  Albericus  de  Rosate,  zu  Dig.  5,  1,  76,  n.  1 
(N'cnedig  1584)  fol.  304'':  Sedes  apostolica  non  moritur,  sed  semper  dural 
in  persona  tuccessoris  .  .  .  et  dignitas  imperialis  semper  durat  .  .  .  et  idem  in 
qualihet  dignitate,  quia  perpetuatur  in  persona  successorum  .  .  . 

"'  So  z.  B.  Mattheus  de  Afflicitis,  in  seiner  Glossc  zu  Liber  aug.  11, 
35,  n.  23  (In  utriusque  Siciliae  Ncapolisque  sanctiones  et  constitutiones 
[Vencdig  1562],  II,  fol.  77j. 

*•  Baldus,  zu  c.  33  X  2,  24,  n.  5  (In  Dccretalium  volumcn  commen- 
taria  [Vcnedig  1580]  fol.  261'^):  Vnde  imperator  .  .  .  non  obligatur  bomini. 
sed  Deo  et  dignitati  suae,  quae  p>erpetua  est. 

»•  Baldus,  zu  c.  7  X  1,  2,  n.  78  (In  Dccretalium  etc.,  fol.  18). 
^•^  Fiir  England   vgl.   etwa  Edmund   Plowdcn,   Commenuries    or 
Reports  (London  1816)  S.  177f.  fur  einen  Fall  (Hill  v.  Grange)  vom 


[143/144J  Zu  den  Rechtsgrundlagen  der  Kaisersage  517 

geniigend  bekannt,  daB  diese  Formel  sich  in  direkter  Filiation  vom 
12.  Jahrhundert,  genauer:  von  Papst  Alexanders  Dekretale  Ouo- 
ntam  abbas,  herleitet.  Was  hier  jedoch  allein  unser  InteTesse 
beansprucht,  ist  die  Glosse  „suhstitutum"  Bernhards  von  Parma 
zu  dieser  Dekretale.  Dem  Einwand,  daB  die  Bezeichnung  \bt 
dieses  Oder  \  jenes  Ortes"  in  Wirklichkeit  nur  ,.an  Stelle  des  Eigen- 
namens"  stehe,  begegnete  der  Glossator  damit,  daB  er  sagte,  „Abt 
von  Wmchester"  sei  nicht  proprium  nomen,  sed  singulare  '."  et 
appelkttvum  similiter,  sei  also  „einzigartig",  oder  eine  Person  aus- 
sondcrnd,  und  zugleich  appellativ.  Das  Seltsame  aber  ist,  daB 
Bernhard  hintcr  singulare  einen  Vcrgleich  einschiebt,  ut  Phoenix; 
das  heiBt:  „Abt  von  Winchester"  sei  ein  Einzelnes,  ein  Einzel- 
wesen  „wie  der  Vogel  Phonix^oi". 

\'ielleicht  mag  dieser  Vergleich  der  unsterblichen  Dignitas  und 
ihrer  vielfachen  Inkarnationen  mit  dem  Vogel  Phonix  uns  Heud- 
gen  abstrus  erscheinen,  auch  wenn  wir  uns  daran  erinnern,  daB 
dieser  Marchenvogel  ein  in  jeder  Beziehung  auBergewohnliches 

Jahrc  1554-55,  wo  die  Richter  uber  Akte  argumentieren,  bei  denen  der 
Konigstitel  zum  Namen  des  Konigs  hinzugefugt  war:  „  And  King  is  the 
name  of  continuance,  which  shall  always  endure  as  the  head  and  the  governor  of  the 
people,  as  the  l^w  presumes  .  .  .  and  in  this  the  King  never  dies."  Im  Ver- 
laufe  des  Arguments  erklartc  dann  ciner  der  Richter,  indcm  cr  die 
Essenz  von  Quoni am  abbas  wicdergibt,  „that  the  Dignity  always  con- 
tinues .  .  .  And  then  when  ...the  relation  is  to  him  as  King,  he  as  King 
never  dies,  although  bis  natural  Body  dies;  but  the  King  in  which  name  it  has 
relation  to  him,  does  ever  continue  .  .  .  From  whence  we  may  see  that  where  a 
tbingis  referred  to  a  particular  kingby  the  name  of  King,  in  that  case  it  may 
extend  to  bis  heirs  and  successors  .  .  ."  Fiir  Frankreich  vgl.  Jean 
Bodin,  Lcs  six  livrcs  de  la  ripublique,  I,  c.  8  (Paris  1583  [Erstausgabe 
1576])  S.  160:  „Car  il  est  certain  que  le  Roy  ne  meurt  jamais,  comme  r on 
dit  .  .  ."  was  wohl  doch  zeigt,  daC  dieses  Wort  schon  vorhcr  verbreitct 
war,  also  wohl  in  England  und  Frankreich  annahcrnd  glcichzeitig  auf- 
kam. 

'"  Die  Glossc  zu  c.  14  X  1,  29  ist  zu  lang,  um  hier  ganz  ziticrt  zu 
werden ;  der  cinschlagige  Absatz  lautet :  Sed  videtur  quod  idem  sit,  etsi  non 
exprimatur  proprium  nomen;  quia  hoc  nomen  abbas  talis  loci,  loco  proprii 
Hominis  est .  .  .  Sed  non  est  proprium  nomen,  sed  singulare,  ut  phoenix,  et 
appellativum  similiter  .  .  . 


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Geschopf  war.  Denn  in  jedem  gegebenen  Augenbiick  gab  es  in 
der  "^elt  ja  nur  einen  einzigen  Phcinix,  der  nach  einer  Lebensdaue: 
von  500  oder  mehr  jahren  von  der  Sonne  sein  Nest  in  Flammen 
setzenlielJ,  selbst  die  Glut  mit  den  Schwingen  anfachte,  und  schiicB- 
iich  im  Feuer  den  Tod  fand,  wahrend  von  den  gliihenden  Aschen 
-  auF  einer  Raupe  oder  Puppe  auskriechend  -  sich  der  ncue  Phonii; 
erhob^"*.  Die  volkskundlichen  Ziigc  des  Phonix-Mrthos,  wider- 
BpruchsvoU  in  zahllosen  Einzelheiten,  sind  hier  von  geringerer 
Bedeutung.  In  heidnischer  vie  in  christlicher  Kunst  und  Literatur 
war  der  Phonis  ein  Sinnbild  der  Lnsterblichkeit,  der  Zeifjri- 
erneuerung  und  des  |  Aion.  Er  dientc  daher  -  von  der  jungfriiij- 
lichkeit  seiner  Zeugung  noch  ganz  abgeseben  -  auch  als  ein  Sinn- 
bild der  Auferstehung  Christi  und  der  Christen  iiberhaupt,  abtr 
auch  als  Sinnbild  der  evigen  Erneuerung  und  Dauer  romische: 
Kaisermacht  "^.  Diese  Art  der  Symbolik  interessierte  jedoch  die 
mitteiaiterlichen  Juristen  nur  poripher,  obwohl  Johannes  .\ndreat 
in  seiner  Glosse  zu  Qunniam  ahbas  auch  die  folklorisrischer;  Zujrt 
des  Phbnixmnhos  behandelte^"^.  'Worauf  die  Juristen  mit  aer:. 
Phonix-Gleichnis  "hinauswollten,  zeigt  am  besten  eine  Glosse  dei- 
BalduF  ?M  der  Dekretale  .Alexanders  III.  Baldus  zog  namlicb  aus 
Bemhard  von  Parmas  Vergleicb  der  Digniias  mit  dem  Vogel  Pho- 
nix  einen  philosophisch  einwandfrei  richtigen  SchluB : ,  J>er  Phonix 

"°  Ofacr  den  Phbnix  vpl.  Jean  Hubaux  und  Maxime  LcroT,  Le  mT,tht 
du  Phenix  (Bibl.  de  la  fac.  de  philos.  et  iettres  dc  runivcrsitt  dc  Liepc 
1939) :  fcmer  E.  Rapisarda,  L'Ave  Fcnicc  di  L.  Cecilio  Firmiano  Lattan- 
zio  (Raccolta  die  studi  di  letteratura  cristiana  antica  4, 1946) ;  A.-l.  Fesm- 
giert,  ir  Monuments  Piot,  3B  (1941j  147ff. ;  aucli  Carl-Martin  Edsman. 
Igms  divimis  fL,und,  1949)  S.  178-203.  K.  Burdach,  Rjcnzo  und  dit 
peisnpe  V(  andlunp  seiner  Zeit.  Voni  Mittelalter  zur  Refcwmatioc  2,  1 
'1913-1928)  S.  83ff.  und  passiin  brinpt  weniger  zur  ..Phonixerwartunp'" 
des  13.  Jh.s,  als  man  erwarten  wurde. 

I"  Vgl.  das  Phbnixgedicht  des  Laktanz  (unten  Anni.  109),  Vers  163fi. : 
dazu  Hubaux-Lercn ,  S.  6f.,  115,  und  insbesc.ndere  Festupiere,  a.a.  O. 
S.  149f.  Fiir  den  Phonix  im  Kaiserkult  und  auf  den  Mimzen  vpl.  erwa 
J.  Lassus  in  Monuments  Piot,  36  (1936)  81-122,  und  Henri  Stem,  Lc 
Calendner  dt  354  ("Paris  1953)  145 ff. 

""  Johannes  Andreat,  zu  c.  14  X  1,  29,  n.  30f.,  Novella  (obcn  Anni. 
96)  fols.  2O6''-207. 


1145/146]  Zu  den  Rechtsgrundkgen  der  Kaiscrsapc  519 

1st   ein   hc.chst   dnziger   und   e;  ,r   Vo^rcl,   in   welchem 

die  ganzc  Spezies  im  Individuur  .  :,n  uird^"*."  Fiir  Baldm 
also  war  der  Phonix  cincr  der  seltenen  Fille,  in  wdchcn  das  Einzel- 
wescn  gleichzeinp  die  ganze  Gattung  darsteUtc,  so  daB  hier  nun 
wirkhch  einmal  Gatrung  und  Indi.-iduum  zusammenfielen  und 
die  Gcsamt-Potentialitaten  der  Phomxtrarrune  im  Ph6nmndi^^- 
duum  voile  Akrualitat  ^-urden.  Die  Gatrung  war  natiirHch  un- 
stcrblich  Oder  sempitem,  das  Individuum  ^  -  sterblich.  Der 

sagenhafte  Xo^d.  veri=ugte  dcmnach  iiber  t  ..^le  Z^icnatur  • 

er  war  sowohl  Phonix  wie  die  gcsamte  „Phonixhcit",  war  Indi- 
viduum  und  Gattung,  war  zugleich  singulir  und  kollektiv,  da  die 
ganzc  Speaes  „Ph6nix'-  sich  in  nie  mehr  als  eincm  einzigen  Exem- 
plar reprodurierte  -  Eigenschaften  also,  ie  der  Vogel  Phonix 
emerscits  mit  den  Engeln  gemein  hatte,  andererseits  abcr  mit  der 
Di^itas  geistlicher  oder  welthcher  Fiirsten,  der  ja  wiederum  ein 
character  angelicMs  eigentiimhch  warit*.  j 

Mit  dem  Vogel  Phonix  war  nun  juristisch  die  Dienitas  insofcrn 
vergleichbar,  als  auch  bd  der  Abts-,  Bischofs-,  Konigs-  oder 
sonsGgen  ^STiirde  in  jedem  Augenbiick  nur  dn  Einziger  der 
Reprasentant  der  korporadv  crfaBten  ..Gattung"  -  d.  h.  der  langen 
Rdhe  von  Am:  -em  und  -\mtsnachfolgern  -  war.  Die 

Idee  des  Per  su::  .  .:  r:i,ere  war  bei  dem  Phbnix  ebenso  voL- 
koinmen  ausgepragt  wie  die  der  „Idcnritat  im  Wechsd  der  Glie- 
dcr"i«^;  und  wenn  es  jc  dne  gldchsam  notorische  Identitat  oder 

^'"'  Baldus,  zu  c.  14  X  1,  29,  Q.  3  (In  Decretaliuin  etc.  foL  107):  En 
autem  avis  mica  singkJansszma,  in  qtta  tvtttm  genus  serfalw  m  iruLiiduo.  Den 
gencrischen  Charakter  der  Digmtas  unterstrcicht  noc  •  •  -,  ard  Coke, 
Calvin's  Case,  in :  Reports,  VII,  fol.  \^h:  Jt  is  tru,  .  ■  .vg  in genert 

difth  not,  but,  m  qmstwn,  m  indtniub  bt  dietb." 

^"*  Auf  angclolopischc  Ftagen  wic  die  der  .'  -  ~ 

sei  hier  mcfat  weiter  eingegaogen;  vgl.  zur  ■    ^    . 

Baumgartner,  GrundriB  der  Gesch.  d.  Philos.  cL  patnst.  und  scholast. 
Zeni«  (1915),  498  und  580,  und,  fur  die  von  Thomas  von  A- 
wcichcnde  Auffassunp  des  Duns  Scotus,  Etiennc  GJson,   i. 
Scot  (19^  xc  und  V;  urden  (odtr  Kbrpcrscbaften) 

habtM  )Cj— „„„:...;..  ..._^,  gcmcin;  vgL  oben  Anm.  12. 

*""  Hicrfiir  Gierke,  Gcnossenschaftsrccht,  III,  S.  2T0ff.,  277, 


n    u   u    u 


!-\V 


[146/147] 


ri47] 


Zii  den  Rechtsprundlapcn  der  kaiscrsapc 


521 


<  >MM»-v  ■•■  ii'iv    t'Mii      j^iii',  -i^'  iv'wil-  ini  I'all  des  lepcn- 

»(,-».»••'  f 'HHi:   (licM   iiiiiiicii  war  c;   iiiimlicii,  die  als  cin 

^•vnwWlww'  rjhHtttktrtr.iii',  tlcj.  VC'iitidt;rvi)|{cls  vun  alien  antiken 
Ax(VtM»-»i  j»«iif  m^liHi*!  lntrvi.ir|rt;ii(iiH;Ti  viitdt  „hTt)  irt:huTTStaj_'Iicher 
■,tt,n I. -<.,.•  1  ..■..!,.•,. 1. 11(1  imtl  uuciii'.jii',tnid;  wiedcTum  ein  ]'h()nix, 
vv  •  w«r,  wicdcTiini  CT  selbst,  der  soeber  nicht 

VTW  .  flw  ttnut^Tif  mill  imii  ikru/hf",  sn  licschrcibt  7cmil]mn  da'^  Fon- 
WilK't.i  civ?.  V^l^nu^  "*.  Luauii!-.,  iitclr  wciukct  trearanp  in  scinen 
WiWr»-n.  NHj:i  ,.Su;li  ncIIjsi  ist  er  scli>ii  der  Sprolj,  ir  seir  cigener 
N'«w>»  vm<l  !tciti  ciKCuer  litlic  .  .  .  Br  isl  der  GUtcty.  mid  dech  nubt  dtr 
Ivt  fi  Ncliwi  isl  uud  diicb  nich*  rr  itimt'  Ivtc  mi  proks, 
.„,.  ..  ;.iiiBt  cf  Jims  inres  .  .  .  hsi  eaatir  sec  Mr.  taMwi,  qiiat  es:  ipse  nee 
rpit  est  .  .  Ji*.  Und  ahiiUcb  Ciaudian.  ,^  ist  der  Vanrr,  imd  cr 
tsi  sciti  Sprtil!.  und  keiner  ist  der  Lnciafttr  Iter  dct  Zeuecr 
pfwchcii.  schiclli  nui)  hcrvtrr  ai-^  dit  gtstche  G-nuf  imti  er  rolgt 
lib  fin  ncuer  .  .  .  O  Gliicklichcr  du   uiui  Erv-  Mvw  stbrf^ .'' 

Efi  lohnt  viclleicht  daiauf  autmeticsair  zu  ttm mn:.  ttiD  der 
Phcmix  nicht  nut  Vater  und  Kmc  scmr-      '  irir  nnmrr 

vieder  auch  „ErlK  seiner  selost'  frrnann-  aucr  van 

.\mbrosius  ^'^ .  Dies  majr  dazu  ijeizetEisccr.  ouacn..  liiL  be:  Be- 
handlunp  der  Fratrt  der  Su  cer.    iimner   cj^  :•- 

cleichnis  iiberhaup'  eintie*.  Ot  ..  l..    vL-irnrrsarvai:  Vicrr  . —     ...u., 

"*  Tcrtullian,  Dt  resurrsctiont  rncrnnmnr-  SHI   2  awi/.'  )4«.- 

dectdetis  at  qui  succidm:.  it  mm-  paeans  m  *tm  am:  ttrrm-  r:s  mt:  mm-,  tami. 
alius  idem. 

'•"  Laktanz.  Carmer.  dr  arc  Piuxncce .  'Vqs'  K^S. ,  a.  inrrMn>  -.Ljetn-. . 
a.  a.  O.  S.  X^'  mtt  Iciehtcr  Aowstaump  tct  laer  ^.Mwyiirt  fincctts  m 
CSEI..  27,  S.  14t) 

»"•  Claudtai:  Phdsncw  ^ >r^  7"-;  t9>.'  lUl  a:  fiimrm-^jgmr. 
S.  !X:\'lfi 

■^MAm-  Si    trii  v»—   rr^sic 
^„      .  ■/.-r-   miA.  »»    yrsnu   Mar- 

SmtnHtfrnt  MMb 


'"     •\m»H(VllU>     !    il'iVi'.t: 

till).' 


\^c)rean.£rcr  und  Nachfoleer  ijewohnhejrsmafiig  im  Zusammcn- 
hanp  nut  dem  Erbrechi  erortm  wurde.  Es  ist  im  iibrj;-  ^laus 

mopiich,  dafi  der  ^'erpleich  der  Dignitas  mit  dem  ^     .  .  nia. 

nicht  erst  von  Bernhard  von  Parma  eingefuhn  v-urde,  sondern 
aut  truhcre  Glc.ssatoren  zuriickping.  Hier  peniict  es  jedoch  fest- 
7.usteUen,  dafi  ledenfalls  ?.u  Anfang  der  40er  Jahre  das  Phonixbild 
zur  Verdeutlichung  der  vicizirierten  Dekretalc  Qiir,mam  ehhes 
schon  im  llmlaut  war.  Auch  darauf  sei  noch  verviesen,  daB  in 
dem  von  Petrus   de  ^ 'inea  verfaBten  Kampfmanifes!  Letmte  in 
ctrcmtu  (1239,  April  20)  deutlich  auf  die  Dekretale  Alexanders  III. 
angespielt  wurde"2,  und  ebenso,  dafS  man  Fnednch  H.  selbst 
schon  zu  Lebzeiten  pelegentlich  als  „Phomx-  bezeichnete"*.  Das 
alles  soil  mcht  iiberw'ertet  verden;  auch  laBt  es  sich  nirpends 
crweisen,  daii  die  Sibvllentextf  sich  an  die  Phomxerzahlungen 
angelehnt  batten,  selbst  ^x'enn  in  den  echten  Sibvllen  der  Phonix 
emma.  ervahnt  vird^^''.  Dennoch  stehen  sich  Phomxerwartungen 
und  SibvUenprophetie  nahe  penug,  und  ebensowemg  darf"  es  iiber- 
sehcn  werden,  dafl  Aussagen  uber  den  Phonix,  vie  z.  B.  e^  eaden: 
sea  mi:  eadem  oder  esi  ipsa  mc  ipsa  esi,  inhalrlich  vie  formal  nachst- 
verwandt  sind  dem  Sprucb  der  Er^Tihraa  ]'mr  ei  mn  viva.  Zusam- 
men  mit  lesus  Siracbs  Mnrtuus  esi  et  quasi  tint:  mortuus  est  waren  sic 
auf  den  pieichen  Ideenkomplex  bezopen. 

^^  Auf  die  nicht  uncrheblichcn  kanonisnschen  Einschlape  bci  Petrus 
de  ^'lnea  hat  kurzlich  Brian  Tiemcy,  Foundations  of  the  Concfliar 
Theor\  ri955)  S.  77ff.  aufmerksatn  pcmacht.  Auf  '  •  ■>  chhas 
ninimt  Bczup  MG.  Const.  U,  S.  297  Z.  23ff. :  nor:  ii  papalis 

officii  vel  apustalict  dignitatis  .  .  .  sel  perstme  prtvaruatwnem  argmmus. 

"»  Nikoiaus  von  Bar)  (cd.  Kloos,  DA.  11,  S.  170  §5)  vergleicnt 
Friedrich  weeen  semer  Emzipketr  nut  dem  Phonix,  wit  dies  spatcr  zum 
a%enicincr  Hofstil  der  Rctiaissancc-Monarchen  pehorte:  Magnus  est 
dtgniiait  oonoris  .  .  .  Ipse  est  sui  in  pmiamentv  mmidt  .  .  .  Vnus  est  ei  sscmdum 
noK  baiftt,  feiiix  pulcberrima  a  penms  aweis  decorata.  DaB  Fricdncb 
selbst  ( Dt  arte  venandi  cum  auiim,  11,  c.  2)  dc-  -rwahnt,  frcilicb 

nur  urn   Plinius"   Theont    von   der  Zwicpcs.  ..__;.  ...i.eit  dcs  Vopdf. 
abzukhncn,  ist  hicr  naturhch  ohne  Belanp. 

"*  Vgl.  SibvUinischc  VC  eissapunpcn,  Vlll,  139,  cd.  A.  K-urfcss  (1951) 
6.166. 


n    u   c    . 

u      i    J    u 


520 


Ernst  Rantorowicz 


ri46/147J 


[1471 


Einheit  von  „Vater  unci  Sohn"  gab,  so  gcwil^  im  Fall  des  legen- 
darcn  Phbnix.  Gcradc  diese  Einheit  war  es  niimlich,  die  als  ein 
besonderer  Charakterzug  des  Wundervogels  von  alien  antiken 
Autorcn  gzm  scharf  hervorgehoben  wurdc.  „Am  geburtstaglichen 
Todestag  verscheidend  und  nacht'olgend ;  wiederum  ein  Phonix. 
wo  schon  keiner  mehr  war;  wiederum  er  selbst,  der  soeben  nichi 
war;  ein  anderer  uni' doch  derselhe^\  sn  beschreibt  Tertuliian  das  Fort- 
leben  des  Phonix  i*"*.  Lactanz,  nichr  weniger  gedrangt  in  scinen 
Bildcrn,  sagt:  „Sich  selbst  ist  er  selbst  der  SproB,  ist  sein  eigener 
Vater  und  sein  eigener  Erbe  .  .  .  Er  ist  der  Gleiche  und  doch  nichi  der 
Gieiche,  der  er  selbst  ist  und  doch  nicht  er  selbst"  (Ipsa  sibi  proles, 
suus  est  pater  et  suus  heres  .  .  .  Est  eadem  sed  noii  eadem,  quae  est  ipsa  nee 
ipsa  est  .  .  .)  i"*.  Und  ahnlich  Claudian :  „Er  ist  der  Vater,  und  er 
ist  sein  SproB,  und  keiner  ist  der  Erschaffer  .  .  .  Der  der  Zeuger 
gewesen,  schieBr  nun  hervor  als  die  gleiche  Geburt  und  er  tolgt 
als  ein  ncucr  .  .  .  O  Gliicklicher  du,  und  Erhe  deiner  selhsf^^"." 

Es  lohnt  vielleicht  darauf  aufmerksam  zu  machen,  dal]  der 
Phonix  nicht  nur  \^ater  und  Kind  seiner  selbst,  sondern  immer 
wieder  auch  „Erbc  seiner  selbst"  genannt  wird,  so  z.  B.  auch  von 
Ambrosius"'.  Dies  |  mag  dazu  beigctragen  haben,  daB  bei  Be- 
handlung  der  Frage  der  Sukzession  den  Juristen  das  Phbnix- 
gleichnis  uberhaupt  eintiel,  da  ja  die  Identitat  von  Vater  und  Sohn, 

'•*  Tertuliian,  Dc  resurrectiont  mortuorum,  XIII,  2 :  .  .  .  na/aii  ftnr 
decedens  atque  succedens,  iterttm  phoenix  ubi  nemo  iam,  iterum  ipse  qui  noii  iam, 
alius  idem. 

">»  Lakun2,  Carmen  de  avc  Phocnice,  Vers  167 ff.,  ed.  Hubaux-Lero^ , 
a.  a.  O.  S.  X\'  mit  leichtcr  Abwcichung  von  der  Ausgabt  Brandts  in 
CSEL.  27,  S.  146. 

"»  Claudian,  Phoenix,  \  ers  24.  69f.,  101,  cd.  Hubaux-Lcrov, 
S.  XXIff.: 

Sed  pater  est  prolesque  sui  nulloqm  creante  .  .  . 
Qui  fuerat  genitor,  natus  nunc  prosiln  idem 
Succedttque  novus  .  .  . 

.  .  .  O  felix  beresque  tut. 
'"  Ambrosius,  Exposido  in  Ps.  CX\ail,  c.  13,  cd.  Pctschenig,  in 
CSEL.  62,  S.  428,  Z.  19:  .  .  .  et  sui  iteres  corporis  et  ctneris  sui  /actus.  Bei 
Hubaux-Leroy,  a.  a.  O.  S.  IWff  vvird  das  ,6fr«-Problcni  ganz  ungenii- 
Kcnd  behandclt. 


Zu  den  Rechtsprundlagcn  der  Kaiscrsapc 


.S21 


\  organger  und  Nachfolger  gewohnheitstnafiig  im  Zusammen- 
hang  mit  dcm  Erbrechi  erbrtert  wurde.  Es  ist  im  iibrigen  durchaus 
mogUch,  daB  der  Vergleich  der  Dtgnitas  mit  dem  Vogel  Phonix 
nicht  erst  von  Bernhard  von  Parma  eingefiihrt  wurde,  sondern 
aut  truhcre  Glossatoren  zuriickging.  Hier  geniigt  es  jedoch  fest- 
zustellen,  daB  jedenfalls  zu  Antang  der  40er  Jahre  das  Phonixbild 
zur  Verdeutlichung  der  vielzitierten  Dekretalc  Quoniam  ahbas 
schon  im  Umlaut  war.  Auch  darauf  sei  noch  verwiesen,  daB  in 
dem  von  Petrus  de  Vinea  vertaBten  Kampfmanifest  Levate  in 
ctrcmtu  (1239,  April  20)  deutlich  auf  die  Dekretale  Alexanders  III 
angespielt  wurde"",  und  ebenso,  daB  man  Friedrich  II.  selbst 
schon  zu  Lebzeiten  gelegenilich  als  „Phonix"  bezeichnete  "8.  Das 
alles  sol]  nicht  uberwcrtet  werden;  auch  liiBt  es  sich  nirgends 
erweisen,  daB  die  Sibyllentexte  sich  an  die  Phonixerzahlungen 
angelehnt  hatten,  selbst  wenn  in  den  echten  Sibvllen  der  Phonix 
einmal  erwahnt  wirdi^-*.  Dennoch  stehen  sich  Phomxer^^'artungen 
und  SibyUenprophetie  nahe  genug,  und  ebensowenig  darf  es  iiber- 
sehen  werden,  daB  Aussagen  iiber  den  Phonix,  wie  z.  B.  est  eadem 
sed  non  eadem  oder  est  ipsa  nee  ipsa  est,  inhaltlich  wie  formal  nachst- 
verwandt  sind  dem  Spruch  der  Ervthraa  I  VwV  et  non  vivit.  Zusam- 
men  mit  Jesus  Sirachs  Mortuus  est  et  quasi  non  mortuus  est  waren  sie 
auf  den  gleichen  Ideenkomplex  bezogen. 

>'=  Auf  die  nicht  uncrheblichcn  kanonistischen  Einschlape  bei  Petrus 
de  \'inea  hat  kiirzlich  Brian  Ticmev,  Foundations  of  the  Conciliar 
Theory  ri955)  S.  77ff.  aufmerksam  pcmacht.  Auf  Quoniam  ahbas 
nimmt  Bczug  MG.  Const.  II,  S.  297  Z.23ff.:  not,  w  contemptu  papalis 
officii  vel  apostoltce  dignitatis  .  .  .  set  persont  prevaricatwnem  argmmus. 

"'  Nikolaus  von  Bari  (cd.  Kloos,  DA.  11,  S.  170  §  5)  verglcichi 
Friedrich  wegcn  seiner  Emzipkeit  mit  dcm  Phbnix,  wie  dies  sparer  zum 
allpcmcinen  Hofstil  der  Rcnaissance-Monarchen  gehbrtc:  Magnus  est 
dtgmtat,  honoris  .  .  .  Ipse  est  sol  in  firmamento  mimdi .  .  .  Unus  est  et  secundum 
non  habet,  fenix  pulcberrimo  a  pennis  aureis  decorata.  DaB  Friedrich 
selbst  (De  arte  venandi  cum  atdhiis,  II,  c.  2)  den  Phbnix  erwahnt,  freilich 
nur  um  Plinius'  Theorit  von  der  Zwiegeschlcchtigkcit  des  \ogels 
abzulehnen,  ist  hier  natiirlich  ohnc  Bclang. 

"*  Vgl.  Sibvllinisclif  VC  eissagungcn,  VUI,  139,  ed.  A.  K-urfess  (1951) 
S.  166. 


n   u   C 

u      I    J 


522 


Rrnst  kantorowicz 


1147/148) 


Es  ist  nicht  schwierig,  das  Gesagte  nunmehr  zusammenzufasscn 
und  die  einfachen  Schliissc  zu  ziehen.  Von  den  verschiedensten 
Gesichtspunkten  herkommend  und  unter  Zuhilfenahmc  der  ver- 
schiedensten Bilder  und  Gleichnissc  wurde  in  der  erstcn  Halfte  des 
13.  Jahrhunderts  die  Idee  |  der  Dynastie  gleichsam  ausgearbeitet 
oder  rationalisiert  und  auch  fiir  das  Kaisertum,  fiir  die  staufischc 
caesarea  stirps,  in  Anspruch  genommen.  Dabei  spieitc  die  Lehre  von 
der  Identitat  von  Vater  und  Sohn,  Erblasser  und  Erben,  Monar- 
chen  und  Thronfolger,  Amtsvorganger  und  Amtsnachfolger  die 
wohl  wichrigste  RoUe.  Diese  Lehre  wurde  vom  Kaiser  selbst  wie 
von  den  Kaisersohnen  in  mehr  oder  weniger  allgemeinen  Worten 
herangezogen.  Sie  lag  dem  Sonnengleichnis  zugrunde,  dem  Schei- 
den  der  alten  und  dem  Aufgehen  der  neuen  Sonne,  die  doch  immer 
die  gleiche  bleibt  -  aliusque  et  idem.  Das  „Fortleben  im  Sohne"  war 
in  dem  angeblichen  Testament  juristisch  interpretiert  als  ein  per 
substituttim  vivere.  Die  Juristen  selbst  anerkannten  das  Prinzip  der 
„Dauer  im  Wechsel",  des  Fortlebens  eines  Gerichtshofes,  einer 
Legion,  eines  Volkes,  einer  Herde,  eines  Schiffes  trotz  Substitution 
aller  Komponenten,  ja  machten  die  Substitution  geradezu  zum 
Lebensprinzip  einer  ewigen  Dauer :  perpetuatio  fit  per  successionem  et 
suhrogationem.  Das  romische  Erbrecht  kanonisierte  die  Identitat  von 
Erblasser  und  Erben  als  eine  fictio  iuris,  und  die  Kanonisten  ver- 
traten  die  gleiche  Anschauung  auf  Grund  einiger  Satze  des 
Decretums.  Hinzu  kamen  die  Zeugungs-  und  Vererbungslehren 
der  Antike,  die  -  von  der  Scholastik  rezipiert  -  gleichfalls  das  Eins- 
sein  von  Vater  und  Sohn  aus  quasi  naturwissenschaftlichen  Grun- 
den  vertraten  und  die  vielleicht  mitverantwortlich  waren  fiir  die 
am  Kaiserhofe  jedenfalls  vertretene  Lehre  von  der  besonderen 
Subtilitat  der  Kbnigsseelen  "*.  Herangezogen  wurden  auch  die 

''''  Vpl.  den  Brief  an  Konig  Konrad  (vermutlich  eine  Stilubung)  bei 
Huillard-Breholles,  Hist,  dipl.,  Y.^.llAi.:  Immo  tanto  se  maiori  nota 
notabile!  facimt  prim i pes  inscii  quart  privati,  quamto  nobilitas  sanguinis  per 
infusionem  sub t His  et  nobilis  anime  facit  ipsos  esse  pre  ceteris  siiscepti- 
biles  discipline.  Die  zugrunde  liegende  Lehre  laCt  sich  nicht  cindeutig 
feststellen,  doch  kommt  sie  wohl  am  nachsten  der  Lehre  von  der  Er- 
schaffung  der  Kbnigsseeien  in  der  Kore  kosmou,  fragm.  XXIV,  etl. 
A.  D.  Nock  und  A. -J.  Festugiere,  Corpus  Hermeticum,  IV  (Paris  1954), 


[148/149J  Zu  den  Rechtsgrundlagen  der  Kaisersapc  523 

cvangelischen  Zeugnisse  fiir  die  Wescnsgleichheit  von  Vater  und 
Sohn.  Von  der  Kanonistik  zuerst  erfaBt,  von  den  Zivilisten  jedoch 
alsbald  ubernommen,  verbreitete  sich  die  eine  Identitat  von  Amts- 
vorganger und  Amtsnachfolger  voraussetzende  Lehre  der  Dimitas 
quae  non  moritur,  die  schlieBlich  hinfiihrtc  zu  dem  Motto:  Le  roi 
ne  meurt jamais.  Und  diese  Lehre  wurde  wiederum  |  verquickt  mit 
dem  M^irhos  vom  Vogel  Phonix,  in  dem  Unsterblichkeitsglauben 
Fortleben  durch  Substitution  und  Identitat  von  Erzeuger  und 
Erzeugtem  zusammenflossen. 

In  diesen  allgemeinen  Zusammenhang  reiht  sich  nun  das  unter 
dem  Namen  der  Ervthraischen  Sibylle  nach  1250  in  Umlauf 
gesetzte  Vaticinium  ohne  weiteres  ein.  Der  alte  Adler  „lebt  und 
lebt  nicht,  da  eines  der  Adlerjungen  und  ein  Junges  der  Jungen 
uberlebt".  Es  bleibt  dabei  unbenommen,  den  nach  dem  Physiolosus 
sich  stets  selbstverjiingenden  Adler  mit  dem  Phonix  in  Verbin- 
dung  zu  bringen,  dessen  Stelle  der  Adler  auch  sonst  oft  genug  ein- 
genommen  hat"«.  Diese  Spekulationen  scheinen  mir  jedoch  ganz 
uberfliissig  und  nebensachUch  zu  sein,  da  das  angebUch  ratselhafte 
Vtvit  et  non  vivit  sich  volhg  zwanglos  aus  den  Anschauungen,  auch 
den  Rechtsanschauungen,  der  Zeit  erklaren  laBt. 

Vie!  seltsamer  ist  dann  freilich  die  Abwandlung  der  rationalen 
juristischen  Argumente  ins  Sagenhafte,  ist  der  ProzeB  der  Mysti- 
fikation.  Der  Kernspruch  I  'ivit  et  non  vivit,  solange  er  mit  dem 
Uberleben  der  Nachkommen,  und  das  heiBt  mit  den  dynastischen 
Hofltnungen,  verbunden  blieb,  war  nicht  „mystischer"  als  das 
Stichwort  Dignitas  non  moritur,  regia  maiestas  non  moritur  oder  le  roi 
ne  meurt  jamais.  Der  Spruch  war,  sozusagen,  auf  diese  Lehren  hin 

52  ff.  Von  dem  Corpus  Hermeticum  war  damals  jedoch  wohl  nur  der 
Asclepius  bekannt.  iMan  kann  naturlich  auch  an  die  Lehre  von  den 
rationes  semmales  denken;  vgl.  Lcsky,  a.  a.  O.  (oben  Anm.  71)  S.  164ff., 
auch  172f.;  Hans  Meyer,  Geschichte  der  Lehre  von  den  Keimkraften 
von  der  Stoa  bis  zum  Ausgang  der  Patristik  (1914),  bes.  184ff.  fiir 
Augustin  und  Macrobius  als  Vermittler  der  Lehre. 

'"■'  Hubaux-Leroy,  Lc  mythe  du  Phonix  (s.  Index  s.  v.  „Aigle"),  haben 
diese  Paralleie  vielleicht  zu  weit  getricbcn.  Immerhin  ist  die  Ahnlichkeit 
von  Adler  und  Phonix  auf  Grund  des  Physiologus  gegeben,  wo  die 
beiden  \'6gel  nacheinander  behandclt  werden  (cc.  8  und  9;. 


Man 


524  Kantorowicz :  Rcchtsgrundlagcn  der  Kaiscrsagc        1149/150] 

angelegt  und  hatte  wie  in  den  westlichen  Monarchien  in  sie  ein- 
munden  konnen.  Dies  geschah  jedoch  nicht.  Statt  dessen  wurde 
der  Satz  schon  von  Salimbene  verbunden  mit  dem  personlichen, 
physischen  Tode  des  Kaisers  unter  angeblich  seltsamen  Umstan- 
den,  das  heiBt  mit  der  durchaus  legendaren  und  unhistorischen 
mors  ahscondita  des  Kaisers.  Vivit  et  non  vivit  erschien  damit  als  das 
Resultat  des  „verborgcnen  Todes"  und  wurde  nunmehr  auf  ein 
rein  personliches  mystisch-physisches  Fortleben  des  kaiserlichen 
Individuums  bezogen,  und  nicht  mehr  auf  das  unpersonliche  und 
iiberpersonliche  Fortleben  der  Dynastie  oder  der  Dtgnitas.  Die 
urspriinglichen  Zusammenhange  waren  somit  verwischt,  und  die 
Mystifikation  lag  den  Joachiten  und  hernach  den  Transalpinen 
offenbar  mehr  und  naher  am  Herzen  als  die  logischen  Schliisse 
der  Civilisten  und  Kanonisten  -  Schliisse,  die  mangels  einer 
Dynastie  im  nachstaufischen  Reiche  auch  keinen  rechten  Nahr- 
boden  fanden.  | 

So  geht  die  Kaisersage  im  Grunde  zuriick  auf  das  MiBverstehen 
der  rationalen,  juristischen  Argumente  fiir  eine  Kontinuitat  der 
Dynastie  und  eine  Sempiternitat  der  Dignitas,  was  natiirlich  keines- 
wegs  ausschlieBt,  daB  MiBverstandnisse  -  ahnlich  wie  Falschun- 
gen  -  historische  Fakten  erster  Ordnung  sein  konnen,  die  selbst 
wiederum  Geschichte  machen.  Es  ist  jedoch  kaum  iibertrieben  zu 
sagen,  daB  die  Sage  vom  Fortleben  des  in  den  Berg  entruckten 
und  im  Berge  schlummernden  Kaisers  qui  non  moritur  das  irrational- 
verschwommene  oder  legendare  Gegenstuck  bildet  zu  dem  ju- 
ristisch-rationalen  Dogma  der  westlichen  Monarchien:  Le  rot  ne 
meurt  Jamais. 


I  I     U    L      J 

U       I     J     J 


Monumenta  Germaniae  Historica 

DER  PRASIDENT 


Miindien  2,  den       •< 

Arcisscr.llse     10 

Tel.:  5  82  51,  Apparat  373 


^r  1956 


Herrn  Professor 
Dr .  ii .  Kant  o rov/i  c z 
22,    Alexander  street 
i-rii-oeton  /    :.ev;   Jersey 


PC/ 


fjr 


Mein  lieber  Kantorowicz , 

aiii  13. September  sinu  x.  .j±~^   Abgeg^i.^^n    i.  i.nt  Luftpu-o  t;ii.s 
Eahnenkorrektur  Ihres  Aufsatzes  fur  das  DA,  2.  ;•  it  der  i  ormalen 
tost  ein  zweites  Sxemplar  una  das  Manuskript .  Icn  bit te  Sie 
nun,  uns  sobald  die  die  Korrektur  haben  erledigen  konnen,  das 
von  Ihnen  korrigierte  i]xernplar  mit  Luftpost  und  eingeschrieben 
zuruckzusenden.  Ferner  bitte  ich  um  eine  r:itteilung,  ob  die  da- 

r„it  einversta-naen  ^ -urden,  da.:s  -/ir  die  zweite  Korrektur 

hier  erledigen  -  v/enn  das  Loglich  sein  sollte,  wiirde  ich  das 
im  Inx-aresse  der  Bescnleunigung  des  DrucKs  sehr  begriissen. 

Sodann  mochte  ich  zu  deni  Aufsatz  noch  ein  paar  Bemerkungen 
machen:  AriLierkung  5  habe  ich  unter  den  von  lunen  gegebenen 
Textverbesserungen  Hencius  statt  liancius  gestrichen,  da  in  der 
Handscnrift,  v/ie  die  aus  dam  Faksimile  von  'Yolf  ersehen  kon- 
nen, tatsachlich  Hancius  stent.  Ferner  inachte  ^T.Fuhrniann  zu 
Armierkung  35  darauf  aufK.erksam,  da.is  das  Incipit  des  Pestainents 
zu  betonen  ist:  Adan.  priiaus  parens.  Jann  aber  ergibt  sich, 
dass  die  iiroffnung  des  I'e- Darnents  Adam  -  indixit  einen  rhytiuni- 
sciien  Hexameter  darstell..  ...,..__c..  ...^chte  ebenfalls  Jr.Puhnnann 
darauf  aufmerksam,  dass  auf  deite  2  libertatis  iudicium  doch 
wohl  zu  uberseiizen  ist  ndt:  das  brteil  der  ireiheit,  d.h.  aie 
freie  Entscheidung  oder  Freiheit  der  M-tscheidung.  Die  eckige 
Klamer:  [eveniiuell  auch:  'das  ^Jesetz  dem  peccatum  nature  J  ware 
vielleicht  besser  zu  otreichen,  da  lex  naturae  -  Laturgesex?! 
doch  wonl  sicher  zusarrmengehbrt  und  gemeint  ist,  dass  das  .  ^- 
turgeseDz  der  dunde  insofern  uncerworfen  ist,  als  durch  diese 
eben  der  Tod  zum  ui.cxusweicnlicrien  dchicksal  geworden  ist.  Viel- 


/  /    U    L     U 

U       I     J       I 


leiciit  uberlegen  3ie   dieae  ^inwendunsen  noch  eimal  und 
machen  davon  nach  Belieben  G-ebrauch. 

^'L^r  iieuxe  nur  diese   gesciiaf-c lichen  Dinge ,    denen  ich  wie 
stets   die  herzliciisten  Grriisse   belfui?e. 


Ihr 


1. 


(k4^ 


r 


/  /    U    L     C 

U       I     J     J 


30.  S«pt.   19'^  6 


Kein  llebftr  Paethpen, 

"Geschfiftskorrespondens"   ist  etwas  ganz  Neties  in  unserer  alien 
BeziahunK,   ab«r  as  iiacht  mir  Spass. 

Dla  Fahnen  per  luftpost  fand  Ich  b*»l  n«ln«r  Ruckkehr  vom  Lake 
Tahoa   (ir    der  Sierra  Tv'evada)   :ier  vor  und  machte  mich,   von  den  Ferien 
gaki*aftigt,   rlaich  an  die  Arbeit,    ^ch  war  pcrade  in  Pagrlff,    "^ie  an  riie 
K.G.   zurUckzusen'-'^n,   als   ihr  Brief  ankam  und  mir  die  RUcksendxinp  des  sehr 
arwunschtan  KanuskrLpts  vcrhiaas     ich  halte  nicht  al]e  Anrierunp*»n  in  meire 
Kopia  Ubartrapen).     Gestam  erhielt  ich  das  Faket  und  schob  die  Korrekturen 
der  ?wei  Leiber  baiseita  -  imH  hier  ist  rias  Resultat.      ^^eir,    Ich  ^^rauche 
keine  zweite  Korrf'ktur  und  freue  -nich  rur,   wenn  '^>ie  das  erledipen  la^-sen 
kotonan.     Es  sind  in  Fan7.an  nicht  sphr  viela  rorrekturen  idcg^  n*  tip  rew^sen 
und  dia  paar  i^dditarrenta,  die  ich  Mr  nicht  verkr^ifen  kcnnta,   sind  -neistens 
ans  Knde  der  Abschnitte  oder  Ani^erkunpen  pesetzt.   Teh  plaubr,   dass  alles 
klar  ist.     "err  Kloos  vrird  al.lerdinps  die  perauen  Seiten7-ablen  etc.    seir  es 
Aufsatzes  einfullen  m.iS-an  und  ni-^'ft  sich  vielleicht  auch  der  wenipan  Vor- 
xind  RUcJ^verwelse  bei  .^eiten^ahlen  an. 

Herm  Fuhrmann  bin  ich  fiir  seine  Hinweise  sehr  dankbar.   Der  Hexa- 
meter Adam  prinus  parens  ist  eine  Schlamperei  tnainerseits,   da  ich  ihn  schon 
bairn  Abschr-iben  vor  -nehr  als  ?C  Jahren  bencrkte.      Tudjcium  habc   Ich  nevitral 
mit  Richtspruch    ibersetzt,  was  T'lr  beide  Fl'llTe  passt.    "Irteil"  V- re  ja  eher 
sententia,und  im  Sinne  "freier  Entscheidunr"   WSre  es  eber  arbitrium  als 
ludiciurTr"-  aber  Richtppruch  passt  sowohl  im  ^jirne  von  -erichtsbof  als  auch 
im  mehr  verirnerlichten  Sinne.      Ein  paar  Aachen  habe  ich  dabei  aucb  roch 
scharfer  fassen  kornen  unH  dabel  Henm  Wolf  etwas  schon' n  kirnen.    tub  ver- 
stehe  nicht  pane,   dass  Timst  in  Heidelberg  sich  dieser  Arbeit  doch  offenbar 
garni cVt  anpenornmen  hat. 

Noch  eines:     kbnnte  ich  wohl  (auf  meine  Kosten)  1^0  Separata  haben? 
Ich  haba  die  Lrfahrxing  gemacht,  dass  ich  inmer  zu  wenig  Sonderdrucke  habe 
und  ich  habe  es  mir  darum  zur  fiewohrheit  gemacht,  nir  lieber  zu  viele  als 
zu  wenige  zu  bestellen. 

Ich  hoffe  Sie  hatten  einen  gut^n  3o"iTner.   Ilae  ■  etter  mus«  in  Europe 
Uberall  scheusslich  pewesen  sein,  und  auch  hier  in  ( sten  war  es  au5"?erordent- 
lich  kuhl.   In  den  '^rpen  aTierdinps  war  es  st^ndip  ach^n  und  heiss  und 
trocken  und  nlchts  bekonmt  nlr  besser  als  nehrere  rtochen  hindurch  den  panzen 
Tap  in  Padehosen  zu  verbrinpen. 

Ich  schreibe  Thnen  bald  -^ehr,   irs^^esohdere  auch  liber  den  Plan,   Sie 
einmal  ein  Semester  hierzuhaben.  Doch  darlber  s|*iter. 

Alles  Herzliche  wie  stets  und  Dank  fir 
Ihre  Aufsatz-Petreuunp.      -\/^. 


6/^ 


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Escorial  lVis,lat.d.III,3. 


f.lOO. 


+  f.lOO 


Testamentum  Friderici  Imperatoris.®^ 

FridericuSjDei  gratia  Romanorum  imperator  semper  au- 
gustus,  Jherusalem  et  Sicilie  rex,  Corrado  illustrissimo 
Jherusalem  et  Sicilie  regi;  Fr^derico  Haustrie  et  Suavie 
regi;  Henrrico,qui  aliter  Zarlotus  dicitur,regni  Arlensis 
illustri  et  spectabili  regi;  discrete  et  provide  Kanfredo, 
principi  Tarentinoj  Eenrrico,qui  theutonice  HenQius  voca- 
tur,  Turrium  et  Gallure  regi  probissimo;  Frederico,  discre 
to  et  honorabilj  comiti  Celani  et  Albe,  et  Corradino,  co- 
mitis  Rizardi  filio,  comiti  Theaano,  freternitatem,  iinani- 
mitatem,  pacem  et  concordiam, 

Adam,  primus  parens,  sic  posteris  legem  indiiit,  quod 
omnes  morimur.  Impremeditata  enim  sue  transgressionis 
licentia  ipsius  mortis  -ttitiimaiB-  terminum  inf iiit  imposte- 
rum,  nee  aliud  libertatis  vel  gratie,  ymo  pocius  servitu- 
tis  ingr^ate  nobis  impetravit  privilegium,  nisi  acerbita- 
tis  mortis,  quasi  quoddam  infinitum  desiderium  et  irre- 
cusabile  omnibus  creaturis  indicium.   Nee  quippe  merer e- 
mur,  si  eiusdem  Ade  cessavisset  improvise  peccati  trans- 
gressio  et  sic  superviverent  antecessores  nostri,  qui 

mortis  insatiabili  puteo  <&» oc gtndunt ur .  Et  sic  oportet 

nature 
mis€3*rime,  opportuit  et  opportebit  impost erum  legem/s^'b- 

esse  peccato  et  iufr^o   servitutis  servire  libertatis  iudi- 

cium.   Quis  namque  ""  mortis  evadet  ^  laqueis?  Que  creatirra 

visibilis  deduci  ad  nichilum^  retrahi  poterit,  cum  filius 

Dei  iuxta  dictum  Deriptorua- in  nubibus  ctli  supervenerit? 

Que  prorsuE  element^a  continebunt  materiajbum  sue  materie, 


'  I     U    L     U 
U       I    U     U 


Liv. 


+  f.lOl 


quin  fatiscant,  cvtm  Dei  apparebit  iudicium?  Noime  scrip- 
turn  est:»celum  et  terrajtf  transibunt  et  omnia  que  ir  eis 
sunt»?  Et  iterumr'omnia  trarxsibunt,  verba  mea  non  transi- 
ent'? Et  rursus:  •omnes  morimur  et  velut  aqua  labimur*? 
Nonne  u'u<t  hoc  testatur  poeticum:  debemus  morti  nos  nos- 
traque  sive  receptus?  Nil  igitur  mors  nisi  finis  vite  in 
ipsis  temporabilibus  credite   iudicatur. 

Vidcntibus  itaque  nobis  in  mundo  personaliter  plus 
non  posse  consist ere,  cum  hoc  credamus  procedere  a  supe- 
riori  potentia,  per  substitutum  fulg«re  procuramus  et  vi- 
vere.  0um  iuxta  legum  civilium  normam,  filii  iJ^atissimi, 
nostram  personam  ipekro  presentetis  in  mundo , fa crip turn  est 
enim:  qui  videt  me,  videt  et  patrem  meum|j^^i  personam  igi 


tur  nostram  vestris  i^^is-  impeS^t^tis,  non  immerito  digni- 
tatum,  facultatum  et  possessionum  nostrarum  nobis  curamus 
vos  successores  describere.  Cim  scriptura ,iure  civile  neo- 
non  in  libro  Genesis  adinventa  fore  ad  eternam  rei  memo- 
riam  concedatur.  Ne  igitur  nos,  Fredericus,  qui  plus  vive- 
re  nequimus  in  mundo,  intestati  videamur  decedere^  Idcirco 
nuncupattoim//  testamentuit,quod  sine__.scri2tis  dicitur, 
facere  procuravimus.  In  quo  quidem  testamento  nobis  here- 
dem  instituimus  illustrissimum  ac  excellentissimum  regem 
Corradum,  f ilium  nostriam,  in  corona  et  romano  imperio  et 
in  omnibus  dignitatibus,  facultatibus  *  ,  thesauris  et  pos 
sessionibus  nostris.  Et  ut  subbreviloquio  utamur:  in  omni- 
bus et  singulis  bonis  nostris,  que  nostro  subiacent  demi- 
se 
nio  vel  subesse  debent  sub  celo, supra  terram,  ab  oriente 

usque  in  occidens,  ab  aquilone  usque  in  meridiem,  precipi- 
entes  eidem  Corrado  illuatrissimo  regi,  ut  .C,  millia  unci- 
arum  auri  expendere  debeat  in  recuperationejlJ  terre  sancte 


/  /     U    L     U 

U       I    U       I 


II 


■   /Of" 


ultra  mare  sive  sanctissimi  sepulcri  salvationis  nostre, 
non  pretermittentes,  q.uin  eidem  regi  excellentissimo  in- 
iungamus,  ut  deteat  reddere  et  restituere  omnia  iiira  om- 
nesque  rationes  sanctissime  Romane  ecclesie,  matri  nostre 
que  et  ciuas  pof>sidemus  iniuste,  si  eidem  regi  christianifl- 
simo  ipsa  raisericors  et  pia  mater  ecclesia  iure  de'oita 
facere  non  cessavit,   Illustrem  regem  FredericiuQ,  nepotem 
nostrum,  nobis  heredem  instituimus  in  ducatu  Austrie  et 
Suairie  et  pro  expensis  ei  dari  precipimus  .xii.  millia 
unciarum  auri  et  hiis  iubemus  et  voIiltius  ipsum  esse  con- 
tentum,  alioquin  a  nostra  hereditate  privetur,  volentes  et 
precipientes,  ut  de  omnibus  supradictis  debeat  respondere 
iamdicto  Corrado  illustrissimo  et  excellentissimo  Jheru- 
salem  et  Sicilie  Regi,    Henrricum  sive  Zarlotum  filium 
nostrum  nobis  heredem  instituimus  in  regno  Sicilie  si.   vel 
Arlensi  reservata  licentia  ipsi  regi  Corrado,  quod  istorum 
duoriom  eidem  Henrrico  dare  et  concedere  voluerit,  et  pro 
expensis  ei  dart-  precipimus  ,c.  raillia  unciarum  auri  et 
hiis  iubemus  eum  esse  contentum,  hoc  addito  quod  de  omni- 
bus respondere  teneatur  Corrado  predicto  preeminent issimo 
regi.  Manfredum  dilectum  filium  nostrum  nobis  heredem 
instituimus  in  principatu  Tarentino,  in  terra  Sancti  Ange- 
li,  in  comitatu  de  Leti  (loeeo),  in  comitatu  Ildebrandts- 
cho,  in  ,lx.  raillia  unciarum  auri  et  in  omnibus  massariis 
regni  nostri,  et  hiis  eum  iubemus  esse  contentum.  Ipsum 
etiam  ballium  relinquimus  ipsi  regi  Corrado,  donee  ipse  • 
rex  Corradus  venerit  in  regnura  Apulie  vel  Sicilie,  iuben- 
tes  quod  ipse  M.  de  omnibus  teneatur  respondere  iamdicto 
potentissimo  regi  Corrado.   Fredericum  filium  nostrum 


/  /     U 


I     I  I 

I    u 


+  f .102 


nobis  heredem  instituimus  in  comitatu  Celani  et  Albe  et  i^ 
baronatu  Antiocie  et  eidem  pro  expensis  dari  precipimus 
,xx,  millia  unciarum  auri  et  eiim  hiis  voluraus  esse  conten- 
tura,  hoc  addito,  quod  de  omnibus  teneatur  respondere  Corra 
do  regi  iamdicto.   Dilectum  nepotera  nostrum  Corradinura, 
f ilium  comitis  Rizardi,  filii  nostri,  nobis  heredem  insti- 
tuimus in  comitatu  Theatino  et  eidera  dari  precipimus,  cum 
attigerit  vel  superaverit  pubertatem,  .xx, millia  unciar'jm 
auri  pro  expensis  et  hiis  volumus  euro  esse  contentum  et 
de  omnibus  teneatur  respondere  Corrado  iamdicto  illustris- 
simo  regi.   In  Henrrico  sive  Hencio  filio  nostro  volunus 
sequi  "*■  proverbium  antiquorum:  Nee  bonis  adquires  diviti- 
as  nee  malis  possessiones  relinques.  Set  si  predictum 
Henricum  de  captivitate  aliquando  evadere  contigerit,  ip^- 
3um  in  provisione  largissime  nanus  ipsius  regis  Corradi 
relinquimus.  Dimittentes  in  eadem  provisione  ipsius  ex- 
cellent issimi  regis  Corradi  omnes  filias  nostras,  quibus 
in  dotibus,  donis  et  zonis,  prout  de  eius  fuerit  providen- 
tia,  velit  aliquando  providere,   Cui  magnificent issimo 
regi  Corradd  in  omnibus  in  sua  persona  descriptis  sub- 
stituimus  ipsum  Henrrioun  qui  aliter  Zar lotus  dicitur,  si 
predictus  rex  Corradus,  quod  absit,  sine  filiis  liberis 
masculis  legit imis  et  extant ibus  moreretur.  Cui  regi 
Henrrico,  qui  Zar lotus  vocatur,  in  omnibus  iamdictis 
substituimus  ipsum  Manfredum,  si  predictus  rex  Zarlotus 
absque  filiis  masculis  liberis  legitimis  et  extantibuy 
moreretur.   Deinde  succedat,  cui  lex  perraiserit, 

Et  banc  voluraus,  approbamus  atque  decreviraus  esse 
nostram  ultimam  voluntatem  et  nostrum  ultimum  testamen- 


/  /     U 


^,m 


"*     > 


M    ♦ 


+  102^ 


tiim,  lubentes  et  decernentes  ex  auctoritate  nobis  a  iure 
concessa,  quod  istud  testamentum  inter  filios  et  heredes 
nostros  sit  lex  a  nostra  majestate  autenticata  et  quod 
vim  et  robur  omni  tempore  testamenti  obtineat,  mandantes 
etiam  ut  oontradictores  huius  rei  ultimo  supplicio  tam- 
quam  nobis  rebelles  '^   et  proditores  omnimodo  iudicentur. 

Quare  nos  Fredericus  Romanorum  imperator  semper  augu- 
stus,  Jherusalem  et  Sicilie  rex,  ad  maiorem  firmitatem  et 
cautelam  hoc  signum  sancte        crucis  nostris  propriis 
manibus  imposuimus,  qui  amodo  vivere  non  valemus. 

Actum  in  cast^iio  Floriantino  coram  archiepiscopo 
Palermitano,  archiepiscopo  Neapolitano,  comite  Rizardo  de 
Caserta,  comite  Rozardo  della  (Jerra,  narchione  de  |ilmburgo 
Gualterio  comite  de  Ocra  et  Petro  de  Calabria  testibus 
fidelibus  ad  hoc  vocatis  et  rogatis. 

Et  ego  Nichola  de  Calvis  sacri  imperii  et  nunc  dicti 
iraperatoris  Frederici  notarius  hiis  omnibus  interfui  et 
rogatus  scribere  scripsi  et  publicavi. 


/  /     U 


I     J 
I    L 


<l 


V 


1. 


r,unt«r  Wolf,  llln  unver8ffentllchte»  Testament  KaUer  Prledrichs  fl., 
Za.f .d.Geecli.d.Oberrheius  104  (1956)  1-51. 


Pinderfreude,  iinthusiasmus  und  Arbeitseifer  sind  in  dieser  litudie 

(elner  Meidelberger  Diss.)  an  einen  kaua  tauglichen  (Jbjekt  angesetzt 

worden,  leider  auch  mit  kaua  tauglichen  krltischen  Mitteln.  Vf.  stiess 

in  der  Stadtbibliothek  zu  Besancon  auf  die  Abschrift  eines  keineswegs 

unbekannten,  wiewohl  bisher  nicht  vollstHndig  veraffentlichten  "'iesta- 

neuts"  Pr.s.II.,  dessen  f«xt  in  einer  Fapierhs.s.XIV  dee  liscurial 

(d.lll.3)  Uberliefert  ist  <B).  Abgesehen  von  der  Arenga  und  "verschBn- 

ernden"  liinaselheiten  stimat  das  StUck,  zunal  in  Besug  auf  die  Legate, 

mit  dem  von  heiland  >». Const. IX, Kr. 274,5,384  verbftentlichten  Testatient 

(W)  in  wesentlichen  I'unJ:ten  lft>erein.  Vf ,  spricht  b  nls  "Staatstestament" 

•n  (S.aiff),  H  jedoch  als  ein  "Privattestawcnt",  das  etwa  eine  Woche  nach 

W  verfasst  worden  wei  (S.13,Anr..27>.  Da  ailc  vo«  Vf.  gesogenen  dchlUsse 

und  weine  fast  durctiwegs  un^lUcklichen  Beobachtungen  davon  ausgehen,  dass 

«r  fl  fUr  echt  erklHrt,  genlJgt  es  hier  allein  die  i^chtheitsfrage  ru 

1 
behsndelii. 


X.   Des  Vf.B  Kriterien  sind  ebenso  eigentUalich  wie  umfasscnd  insofern, 
als  er  so«rohl  Ubereinstinmung  mit  wie  Abvieichung  von  echten  StUcken 
als  Zeichcn  der  lichtheit  ansieht.  S.12  heisst  es  x.P.,  eine  PiUschung 
sel  sei  unwalirsclieinlich,  «reil  sich  in  deei  Testanont  '^nlle  von  Vehse 
bemerkten  Stilmittel"  fXnden,  ferner  der  "bei  Pr.ll.  beliebte  Adans- 
topos"  und  "wOrtliches  Zitat  aus  den  Corpus  Juris  Civilis,**  wobei  Vf. 
offenbar  nicht  darar.  gedacht  hat,  dasc  es  das  Wesen  der  PVlschung  ist, 
sich  deo:  Original  anxupassen.  iTngeKchrt  aber  findet  Vf.  S.15,  es 
"schwKche  wieder  den  Verdacht  einer  Pttlschung  ab,"  veil  der  Nctars- 
titel  eine  vSliig  einiaalige  PasRung  habe.  Was  schliesslich  zur 
BntkriCftung  der  Ansieht,  es  handelc  sich  un  eine  StilUbung,  vom  Vf, 
vorgebracht  wird,  bleibt  nahezu  unverstSndlich,  so  z.B.  S.17,  mit  Aran. 
40:  **Berthold  v.Hohenburg,  Richard  v.  Caserta  u.  Walter  v.Ocra  etws... 
hXtten  einer  Interpolation  ihrer  N'anen  in  die  Zeugenliste  eines 
unechten  Testaments  sicherlich  nicht  tatenlos  sugesehen.** 


/  /     U 


I      J 

I      J 


3 


f 


2. 


■<^ 


T«^«ment  E,  von  Schef f er-Boichto^rt  (dea  die  Areng*  nocli  unbekannt 
war;  cf.   ZuKl^esch.d.XTT.   u.  Xliy,  Jhdts.   [1897],   268ff.)  wie  auch  vom 

R«f.   IXiigst  als  StilUbung  eflcannt   (Ml6*G,  31,S.86ff ,  vor  Vf.   lelder  nicht 

/ 

herangerogen),  findet  slch  in  d«r  H»  (100-102^)  tuasumoen  rait  StUclcen  aus 
der  Sanunlung  des  Barard  v.  Netpal,  denen  wiederum  (nach  gUtiger  Mitteilung 
von  Prau  Dr.  Bamy  tfeller)  aolche  au^  4em  Grief  buch  des  ThoMia  v.  Capua 
eingcsprrngt  sind,  so  r.B.  eln  Hapatbrief  T»celati»...Hyapanic  [sic]  (115'-v) 
und  VMohl  auch  eln  aolcher  an  nKnemark  (115^-116^*^  Ps  handclt  sich  also, 
aumindest  in  dieaen  Teilen,  un  eine  vorwiegend  aua  pXpstlichen  Brief- 
bUchern  schBpfende  Zuaamnenstellung  von  StUcken  verachiedenartiger  Her- 
kunft.  in  die  dann  auch  E  (eine  lUflc  ^•tieXf;»i«KM4«^lAltf  "literariach 
augeatutzte  Uberarbaitung"  iuL bici^^pho««Mlt  Version  von  h)  hineingeraten 
ist,  Mlt  E  haben  die  beiden  Papstbriefe  genein,  daas  alle  drel  Stlfcka 
in  den  Arengen  sich  ein  wanig  an  daa  bakannte  Statthaltardiplo^a  (Vinea, 
Ep.,V,l)  snlehnen,  das  Ja  zusamen  ait  dea  Prooemium  der  Konstitutionen 
StilUbungen  nicht  selten  aun  Vorbild  gedlent  hat  (vgl.etiw  Vlnea,  Epp. , 
ItI,6S,C)9).   In  der  langatnigen,  von  einer  l!beraalsl  rhetorischer  Fragen 
geschwellten  Arenga  von  E  iat  dan' auch  ein  Kernaate  des  Diplor^  (ex 
necessitate  quadan  oportuit  naturaa  aubassc  iusticia  at  ••rvira  iudicio 
libcrtatea)  su  finden,  freilich  achulaltasig  ''verachUnt'*  und  verballhornt : 
at  sic  oportat  miaerriae,  oportuit  et  oportebit  in  poaterian  legea  nature 
aubease  peccato  et  iugo  servitutia  aervire  libertatia  iudiciun  (S.S). 
Von  der  fiXufung  der  Teapora  (oportet,  oportuit,  oportebit  in  poaterua) 
gana  absuaehen  hat  der  Schreibcr  (vorgeblich  der  zwar  mit  dem  Tode  ringende, 
dennoch  sein  allerletates  Teataiaent  1>tvia  Kona0pt**  (a^"^  acriptif  H 
diktiarende  Kaiaar  (S.20]  siemlichen  llnainn  pro<luxiert,  wenn  ar  aagt,  data 
ala  Konaequanz  von  Adama  Hall  hinfort  "die  l«c  nature  der  SUnde"  oder 
"daa  ueaetx  den  paccatun  nature  unteratellt  aei  und  daa  Garicht  der  Preiheit 


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U        I 


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3. 


,,  ■Vt\i<'' 


ft«  u 


eU>\ 


dttn  Joche  der  Knechtachaft  diene."  WKlurend  in  w,  wie  achon  Scheffar- 
Boichhorat  bemerkta,  KUnia   Konrad  aum  llrben  dealKniart  wird  '*Tn  Reich 
und  alien  kKuflich  odee  aonatwie  eri«orbenen"  Pertinenaen,  wird  daraua  in 
E  eine  IKngere  AufaKhlung  achlieaaend  mit  der  typischen  HntachulrtiRung 
fUr  Weitachweifigkelt  ut  aubbreviloquio  utawur  (nicht  aub  breviloquio  in 
Text  dea  Vf.a,  S.6,(2),  die  nur  zu  neuer  Weitachweifigkeit  fUhrt:   in 
o^mitHig  at  aingulia  bonia  noatria,  que  noatro  aubiacent  dorainio  vel  aubeaae 
debent  aub  celo,  auper  terram,  ab  <>f iggtejiegue  in  occidena»_a^  aguilone 
uaque  in  meridiem.  Wo  W  kurz  und  bUndig  in  Ublichen  Stil  aagt  in  aubsidiua 
Terre  ^ancte  (S.6,$6),  heiaat  ea  in  B  in  recuperatione  terre  aancte  ultra 
nare  aive  aanctiaaiai  aepulcri  Salvatoria  noatri.  Wenn  in  H  beatirarat  wird 
(S.8,(2),  daaa  nach  kinderloaera  Tod  der  legitiraen  SOhne  der  legitimierte 
Manfred  folgen  aolle,  fUgt  n   hinzu:  Deinde  auccedat,  cui  lex  peraiaerit. 
waa  Vf .  aeltaataer  ifeisc  ala  lex  rcgia  verateht,  ao  das  die  lex  de  inperio 
ao«it  gana  unerwartet  su  einen  Erb  geaeta  wUrde  (S.llf,29  u.tf.). 

Von  aolctien  meiat  rein  rhetorischen  Schulpfropfungen  winmelt  daa 
Stuck,  doch  Bind  andere  Anderungen  vielleicht  aufachluasreicher.  Wenn  daa 
in  mittleren  und  ntfrdlichen  Italien  kaum  bekannte  Brandanua-PlUaachen  (der 
aUdapuliache  Dradano  an  der  Crenae  der  Baailicata)  nunnehr  in  n  sum  toaka- 
niachen  comitatus  Ildebrandischua  wird,  Uber  den  der  Kaiaer  Manfred  geaetat 


i  .  u  ?i  a.  . 


haben  aoll«  und  wenn  das  in  Nor den  unbekannte  Plorentinun  in  Capitanata  »« 
dcm  durch  Abt  Joachin  wohlbekannten  Piore  wird  (in  caatro  Plorianenai). 
ao  weiaa  man,  wo  ungefUhr  der  StilachUler  bebeiaatet  war,  der  audem  den 
Notar  Nicolaua  v.  Brindiai  eraetzt  durch  den  in  der  Mark  Ancona  besaer 
bekannten  kalaer lichen  Richter  Nicolaua  v.  Calvi  (S.9  und  15).  Niuit  man 
weiter  an,  daaa  der  StilkUnatler  irgenwie  nit  kurialen  Kreiaen  liiert  war, 
waa  der  Charakter  der  Hscoriai-Sannlung  ohnediea  nahelegt,  ao  findet  wohl 
nocb  einigea  Andere  eine  Ltfaung.  Beaagter  Notar  Nicolaua  erhXlt  nKnlich 


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I     J 


A. 


tUJL 


U^ 


(vgl.S.9}  d«n  eigentUmlichen  Titol  »acri  iiqperti  et  nunc  dlcti  JaptfrRtorta 
Frederici  notafiua,  d.h.  Niculaus  wird  sua  Privatnotar  dea  quondam  iwpera" 
tor,  detn  Ja  daa  Reich  abgeaprochen  ist.  i^enn  in  W  der  Kaiser  bestinict, 
da«8  der  i<irche  reatituantur  oi'xnia  iura  sua,  salvia  in  omnibus. »» Jure  et 
honore  inperii,  so  wird  daraus  in  E  ein  reddere  et  restituere  otania  iura 
omneaque  rationea.  ■  .que  et  guaa  poaaiderous  iniuate  (t».6,§17)  -  elne  dem 
kurialen  dtiliaten  angemeasen  eracheincnde  VerschiCrf ung ,  die  Vf.  zunitchat 
durch  daa  (Mer  garnicht  anwendbare)  Stilioittel  der  traductio  (cf. 
<^intilian,  Inat.or.,9.3,71)  zu  er  klVren  audit,  dann  aber  (S.16)  roeint: 
"Ob  nicht  gar  in  dem  'iniuate*  Ironie  mitachwingt. .  .[liimveia  auf  daa  sog. 
;>atiri8che  Xeatanent],  wer  verraag  ea  xu  aagenl'*   Und  wenn  achlieaalich 
in  N  der  kaiaer  den  Stfhnen  auferlegt,  die  teatamentariachen  Diapositiunen 
zu  beubacnten,  weil  eie  andernfalla  vcua  iirbe  auageachloaaen  wUrden  (S.8, 
§19),  ao  befiehlt  in  h   der  Kaiaer  ex  autoritate  nobia  a  lure  conceeaa, 
daaa  daa  Xeataiaent  ait  lex  a  nostra  mageatate  autenticata,  und  fMhrt  zum 
Schluaa  noch  daa  grobe  Geachlitz  einer  den  "Tyrannen"  gernXsaen  ^'bnfornel 
auf :   ut  contradictorea  huiua  rei  ultimo  supi  locio  tanquaa  nobis  rebelles 
•t  proditores  oaniwodo  iudicentur. 

Von  der  Arenga  zun  Keciitsinhalt  leitet  E  Uber  durch  die  tiefsinnige 
Betrachtung  (S.S),  daaa  "der  Tod  nichta  anderea  aei  ala  daa  Bnde  dea  Lebena, 
das  man  im  Zeitlichen  zu  fUhren  glaubt"  -  Worte,  hinter  denen  nach  Anaicht 
dca  Vf.s  "der  trbatende  Vatcr"  zu  atelien  acheint;  doch  fUgt  Vf.  hinzu: 
"Mtfscn  dieae  Werte  auch  eines  gewiaaen  topischen  Charaktera  nicht  entbehren, 
abe  ein  *Topoa*  findet  eben  auch  nur  dann  Anwendung,  wenn  man  glaubt  ihn 
anwenden  zu  aollen  oder  zu  mllaaen"  (S.23>.  Nach  einer  kleinen  Vorleaung 
darllber,  daaa  "nach  der  Norm  dca  [rbniachen]  Civilrechta  ihr,  geliebteate 


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5. 


SWhne,  in  (!l«Mr  Welt  uiisere  eigene  Person  darstellt'*  (vgl.  zn  personalittt 

etc.  wlederuiu  Uae  Stattlmlterdlplou  ,  ent»cxaie»8t  alch  der  kaisecliche 

Patient,  um  nicht  "inteatat"  zu  verscheiden,  nunnehr  noch  "eln  nunkupativet 

Teataraent"  zu   verfaaaen,  MMtte  der  Kaiaer  dieses  Niinkupativ-Testament 

nicht  gemcht,  so  witre  or  freilich  inner  noch  nicht  intestat  verstorben, 

da  er  Ja  -  wie  vf.  s.l9f  meint  -  in  W  schoi  ein  gUltlges  Teetafsent  aus- 

{:ef«rtigt  hatte.  Daa  'JnflUck  wXre  auch  sonst  nicht  «u  gross  gewesen,  da 

das  Vorhandenseln  von  *^«hnen  Intestatserbcn  ohnedies  ausschloss  (C,6,14,2: 

exlstttnte  filio...neno  potest  intestate  htres  existere)  und  der  aonst 

geflthrlichste  Intestatserbc,  der  riskus.  In  dieses  Palle  Ja  nicht  in 

Retracht  kaiB.  Aus  dieser  aesorgnis  heraus  also  brauchte  der  Kaiser  sich 

kauB  yerdnlasst  gesehen  haben,  nun  noch  ein  nuncupativun  testanentum  quod 

sine  script is  dicitur  au  hinte-lasaen,  Mie  es  das  rtfjiische  rtecht  in  Falle 

angeborener  oder  erworbener  lUindheit  (C.6.22,8)  Mie  auch  Im  Halle  von 

Analphabetentun  dea  Testators  CO. 6, 23, 21,1)  voraieht,  wobei  der  Testator 

weder  ei^jenhKndig  die  Nanen  der  Jrben  eintrKgt  ttjcii  auch  den  eignen  Namen 

eigenhHndlg  unterschrsibt,  falls  7  Zeugen  .ait  dejt  Notar  als  aciiten  anvwsend 
2 

sind.   Dies  erklXrt  dann  M»ohl  auch  die  Siebensahl  der  testes  rogati  - 


2. 


Vf.  ist  ( vgl. S* 23, Ana.  11)  all  diesen  rechtliciien  rragcri  aus  den  tv«g« 
gegangen,  "auBial  Uber  den  .'iinfluss  des  riJalschen  Rechts  auf  das 
Mlttclalter  in  Hinzelnen  auch  unter  den  i=achleuten  noch  mancherlei 
L'nklarheit  herrscht."  Das  ist  nwSglich;  ms  uns  Jedoch  angeht,  ist 
was  sich  die  Juristcn  des  la.Jhc'.ts.  fUr  t^cdanken  nemaciit  haben  und 
wie  sie  a.D.  das  Nunkupativ-Testaraert  interpretierten.   In  dieser 
Deziehung  ist  denn  auch  die  Glossa  ordinaria  zu  C.6,22,8,  v.  per 
nuccupationeM  ganz  klarj  "per  tcstaiientim  nuncupativun  sine  solennitate, 
non  tanen  sine  scriptura.  ut  inst.  e.§cecus  (Inst. 2. 12, 4).  Sed  quare 
dicitur  hoc  nuncupativua,  cum  tuinen  habeat  tantam  siMilitudinen  cub 
scripto?  Resp.  quia  testator  non  signat,  nee  subscribit,  ncc  noMn 
heredis  scribit,  quod  in  eo  asset  nccesse..."  Der  Glossa  ordinaria 
schliesst  sich  dann  Oynus  ausdrUcklich  an  und  in  wcsentlichen  auch 
dessen  SchUler  iiartolus,  so  dasa  deren  Interpretation  als  allgemein 
anerkannt  gelt en  kann. 


/  /     /_/ 


•• 


^■,c{c, 


\rt 


iM'^'ht^-tu    "OluAittf- 


letzteres  eln  technischer  flegriff  (0.22,S,11;  Oeg«n«at«  su  befohlenen  oder 
gerwungenen  Zeugen),  der  In  einer  Passung  von  W  auch  vorkonBt,  in  U  aber 
(S.9)  wiederuM  plcoiiMtUch  erweitert  wird  (>d  hoc  voc*tl«  ct  rog>tia)  und 
aus  detn  kelne  waiteren  SchlUaae  geaogan  weden  kSnnen  (S.13;  der  Zeugennane 
Kuaardua  da  la  Car...  iat  natUrlicti  au  Acerra  «u  ergHnaen,  vJallelcht  Craf 
Roger  v.Acerra,  der  in  einer  Papaturkunde  vorkonwt  (BPW  8978],  wihrend  der 
^euce  ArchiepJBcopua  Neapolitanua  in  £  insofern  intereasant  ist,  ala  der 
Stuhl  1250  nur  ein«n  hlekten  batte;  cf.  S.46  und  48).  Daa  allea  iat  ledig- 
lich  ain  actaeclit  gcrug  geratenea  Sich-brUaten  mit  etwaa  juristiechem 
Wiasen  auf  Seiten  dea  Sti listen,  bar  aller  realen  (.rundlagen.  Ha  lohnt 
daher  auch  nicht,  auf  Vf.  a  Oetrachtungen  ltt)er  Konaepte  und  e)eurkundunga- 
vorgtfnge  in  der  eleilischen  f.«n«lci  einzugehen,  von  der.  daa  nunkupative 
Teatanent  R   anf:eblich  einc  Musr.ahe.e  bilde  (S.17):  "ner  Auadruck  'aine  scrip- 
tia  dicitur*  macht  n.E.  aot»ohl  eine  htillttiung  sis  auch  cine  FKlachung 
unwahracheinlich,  da  er  sich  nur  auf  einen  Vorgang  bei  dieaer  Urkunde 
besiehen  kann."  Vgl,  hierau  ^-.6,n3,21,4:  Per  nuncupationeg.  quo<^ue.  ^^oc 
est  Bine  script ura.  testantenta!  t.6,22,8  riibr.:  ut  str,»  ecrlptic  testcntur. 

Nach  dieaen  AuatUhrungen  iat  ea  *#ohl  offenkundig,  daaa  K  lediislich 
eln  -  vernutlich  kurial  -  augeatntstea  Muater  einea  Vaiaertestanenta 
daratcllt,  das  dann  der  Auswahl  von  Verard-  und  ThownS-Briefen  eingefUgt 
worden  ist.  Dabei  bleib  ea  In  dieaen  Zuaamoenhang  gleichgUltig,  ob  man 
ein  solchea  StUck  licber  eine  Verunechtung  oder  eine  StllUbung  zu  ncnnen 


'.>ua«Lu   wUnscht.  Die  SchlUsse  dea  vf.s  beruhen  auf  einer  falschen  Vorauasetzung, 

TiMnlich  auf  der  l^hthelt  des  Teotaraenta.  Ha  erllbrigt  sich  daher,  auf  dieae 
einaugchen.  Trotzdem  lohntc  es,  daa  StUck  zu  ver3ffentlichen;  denn  als 
StllUbung  Oder  Ve: unechtung  hat  E  natUrlich  clnen  Quellenwert,  und  rwar 
einen  garni cht  unintereasanten. 


Brnat  Kantorot^cc 


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Dr.  H.M.  Schaller,  Roma 
Istituto  Storico  Germanico 
Corso  Vittorio  Eraanuele,  209 


Pom,  4.6.1956 


I 


Sehr  verehrter  Herr  Professor, 

fur  Ihren  liebenswdrdigen  Brief  vom  8.5.  danke  ich  Ihnen 
herzlich.  Ich  bin  sehr  glucklich,  daS  Sie  meinen  Aufsatz  so 
freundlich  beurteilt  hnben,  denn  gerade  an  Ihrem  IJrteil  sis 
dem  des  besten  Kenners  der  staufischen  Zeit  ist  mir  naturlich 
ganz  besonders  gelegen.  Kit  Ihrer  Bemerkung,  daG  Petrus  de 
Vines  und  seine  Sakralisierung  des  Staates  eher  dem  Strom- 
kreis  der  Juristen  angehort  als  umgekehrt,  haben  Gie  selbst- 
verst-indlich  vollig  recht .  Ich  habe  mich  da  unklar  ausge- 
driickt.  Sagen  wollte  ich,  dafi  die  Pd"^^-Briefe  in  der  spateren 
Zeit  wie  ein  Leitmotiv  anscheinend  gerade  dort  oft  auftau- 
chen,  v;o  geistige  Stromungen,  die  auf  die  Sakralisierimg 
abzielen,  wirken,  wobei  die  PdV-Texte  wohl  nur  gerne  heran- 
gezogenes  'laterial  gev/esen  sind,  aber  nicht  /vusgangspurikt . 
Mit  meinem  /.ufsatz  ist  naturlich  noch  nicht  das  letzte  Wort 
liber  die  PdV-Sammlung  gesprochen.  Ich  halte  es  fur  raoglich, 
daS  die  ^.Iteste  Samralung,  von  deren  Aussehen  wir  nichts  wis- 
sen,  an  der  p'lpstlichen  Kurie  hergestellt  worden  ist  and  in 
Paris  als  Kern  gedient  hat,  den  man  rait  in  Frankreich  befind- 
lichera  Material  sehr  stark  erweitert  hat.  /.ber  solange  dafir 


keine  besseren  Indizien  vorlieeen. 


mu 


ich  bei  melner  'lypo- 


these  bleiben,  zumal,  auch  wenn  die  alteste  Sammlung  nicht  in 
T'aris  entstanden  v/nre,  sich  nichts  daran  andern  wlirde,  da3 
die  heute  noch  vor'iandene  PdV-tJberlieferiJing  auf  jeden  Fall, 
wie  ich  es  darzustellen  versucht  habe,  unmittelbar  oder  mit- 
telbar  entweder  auf  die  Pariser  Universitat  oder  die  papst- 
liche  Kurie  zurUckgeht. 

'>^'as  die  Arengae  betrifft,  so  mochte  ich  sie  gerne  gele- 
gentlich  zusarame.i  mit  Herrii  Xloos  edieren,  sobald  wir  wissen, 
wer  nun  tatsUchlich  der  Verfasser  oder  Sammler  dieser  Texte 
gewesen  ist,  oder  wenigstens,  wo  und  v/ann  sie  entstanden 
sind.  Dabei  mochte  ich  Ihnen  noch  ganz  besonders  danken  flir 
Ihren  Hiniveis  auf  die  ;.rengae-'berlieferung  in  Sevilla,  Co- 
lombina  Cod.  82-1-23,  die  mir  unbekannt  war.  Falls  Sie  selbst 
Oder  vielleicht  Herr  Prof.  Kristeller  eine  Notiz  darliber  ha- 
ben sollten,  auf  welchen  Folien  die  Arengae  stehen,  ware  ich 
Ihnen  fiir  eine  kurze  Zitteilimg  sehr  dankbar.  Tm  ubrigen  ver- 
steht  es  sich  von  selbst,  dal3  Herr  Kloos  und  ich  uns  kein 
Monopol  far  diese  Arengae  anmaSen;  wenn  Sie  selbst,  Herr  Pro- 
fessor, Oder  irgendjemand  anderes  sich  niit  diesen  Texten 
welter  beschaftigen  wollen,  wurden  v/ir  das  nur  begriSen. 
7/ir  sind  dem  Plan  einer  jMition  der  Sache  eigentlich  nur 
deshalb  n-ihergetreten,  well  wir  nun  einmal  am  PdV-Material 
arbeiten  und  die  Arengae  dabei  ganz  gut  einbeziehen  konnen, 

Mit  freundlichen  GruQen 

Ihr  Ihnen  sehr  ergebener 


n    u      I    u 


^i'^'>\U: 


^ 


Rom,  7.8.1957 


Sehr  verehrter  flerr  Professor, 

haben  Sie  herzlichen  Dank  fur  die  Zusendung  Ihrer  beiden 
Aulsatze.  Ich  hatte  sie  zwar  schon  Vurz  vorher  in  rlen  entsr)re- 
chenden  Zeitschriftenb'-.nden  gelesen,  freue  raich  aber  sehr,  ^  sie 
nun  auch  zu  besitzen.  Ihre  Ausf lihriinsen  uber  das  von  G.  7olf 

M?oii  ;^"i^'^''^^®.-S^J^r''^  ^""^  ^^^  :;scorial-ns.  haben  mich  vbllir 
aberzeugt,  und  ich  habe  raeine  ursprungliche  Vermutung,  daB  es 
sich  urn  eme  frahere  assung  des  echten  Testaments  handeln  konne, 
m  aer  Anzeige  Ihres  ..ufsatzes  im  nachsten  T^and  der  ^FIAB.  ent- 


rriir  vor  a  Hem  der  :;otar 


sprechend  berichtigt.  Ratselhaft  bleibt 

lacolaus  de  Galvis.  r]±n   in  etwa  vergleichbarer  Titel  findet  sich 
im  Jan.  1247_bei  udolf  von  Poggibonsi,  der,  von  -Tpius  ciffentli- 
cner  ,.otar,  m  aen  ^lenst  ..onig  Jnzios  getreten  war:  imperiali 
auctoritate  et  dicti  domini  regis  scriba  et  notarius  (^^F'7  13597) 
Der   iJicolaus  de  Galvis  selbst  braucht  m.  ;.  nicht  unbedingt  mit 
dem  kais.  hichter  .^icolaus  de  Calvo  identisch  zu  sein,  wenn  ich 
,^!^^!?.sei^?5  2eit  Herrn  Dr.  V.'olf  selbst  erst  brieflich  auf  diese 
Loglicn.:eit  hmgev/iesen  habe.  ITicht  fur  ausgeschlossen  halte  ich, 
aali   der  otilist  sich  selbst  in  der  Ilotarsnennung  verewif^en  v/oll- 
te,__und  man  sollte  daher  ruhig  noch  andere  Personlichkeiten  in 
^rwagung  Ziehen  (vielleicht  auch  den  Biografen  Innocenz  •  IV.  •'?'?) 
lait  groGem  mteresse  habe  ich  ferner  Ihre  ..usfiihrun-en  iiber  Vivit 
et  non  vivit  gelesen,  die  endlich  diesen  schivierigen  Komplex  ge- 
kl,-.rt  haben.  .Is  wir  Stipendiaten  uns  ira  rcim.  Institut  aber  Ihrer 
Kufsatz  unterhielten,  meinte  ilbrigens  ^^err  Dr.  ITitschke,  man 
hatte  m  diesem  Zusammenhang  auch  die  Bemerkungen  in  der  Ghrorik 
r.es  sog.  .^icolaus  Jarasllla  (iJuratori  SS .  8,  497f.)  ranfredus 
quasi  raanens  Prederico,  in  quo  quidem  vivit  pater  iam  raortuus *  *  * 
usw.  erwuhnen  konnen.  Aber  Ihnen  kam  es  ja  wohl  mehr  auf  die 
grundsjtzliche  Aufhellung  der  Bedeutung  des  ^'ivit  et  non  vivit  sfl 
ais  auf  die  Darbietung  samtlicher  Peugnisse  an 

Sehr  erfreut  hat  -ich  auch  Ihr  Auf  sat  z  in  'Speculum  32,  der 
zur  rrage  der  ..achwirDung  des  Petrus  de  Vinea  v/i^  auch  zur  Jr- 
lauterung  der  Pariser  Brief samml;ing  lat .  8567  ^vertvolle  Beitr^ge 
liefert.  Sie  wissen  vielleicht,  de.G,   ich  auf  Grund  dieser  Samm- 
lung  gerne  emmal  eine  Biografie  des  IJicolaus  de  Rocca  schreiben 
mochte,  vielleicht  r-.sammen  mit  einer  edition  seiner  Prmvatbrie- 
xe.  Dabei  wurae  es  mir  eine  groSe  'TUfe  sein,  wenn  Sie  Ihren 
i-lan  einer  ^erausgabe  der  Brief e  des  Stephanus  de  S.Georgio,  von 
dem _ mir  .^err  Kloos  schrieb,  verwirklichen  warden.  Dafi  ich  im 
ubrigenfur  die  i:.  de  Rocca-Briefe  kein  I.Ionopol  beanspruche,  ver- 
steht  sich  von  selbst.  Venn  Sie  aus  lat.  8567  auch  irgendwelche 
i.icolaus-otucke  veroffentlichen  wollen,  habe  ich  gar  nichts  da- 
gegen;  im  Gegenteil.  Ich  selbst  habe  Librlgens  den  Brief  ">.d  in- 
star  facta  celestis  -  describendo"  (lat. 8567  f.103r)  in  die  Keu- 
lassung  memer  Dissertation  aufgenommen  und  hoffe,  dai?  der  nun 
scp.on  bald  em  Jahr  dauernde  Druck  (in  Archiv  fur  Diplomatik  3) 
bald  beendet  sein  wird. 

ri«n  To?  ^i^P%^i'''J^'^^  ^?''%^?^'  ^^^^^  vielleicht  noch  berichten, 
da^  ich  ab  1.  )ktober  endg  ,ltig  von  Rom  nach  .Ranchen  iibersiedelA 
und  m  den  unmittelb&ren  Dienst  der  ;,.Ionumenta  tret  en  werde. 

Ich  bleibe  mit  nochmaligem  Danl:  und  den  besten  GriiBen 

Ihr  Ihnen  sehr  ergebener 


/foUUf^       U/fai/fl'l^      ^Ujg^Xtlj. 


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JH   Professor  Dr.  Erich  Genzmer 


(24a)  Hamburg  13,  den  11.  Juni  1957 
Mittelweg  17  I 


Luftpost 

Herm  Professor  Dr.  Ernst  Kantorowicz 

The  Institute  for  Advanced  Study 
School  of  Historical  Studies 


Princeton 


N.J. 


U3A 


Sehr  verehrter  Herr  Kantorowicz! 


Herzlichsten  Dank  fUr  Ihren  Aufsatz  uber  die  Rechtsgrund- 
lage  der  Kaisersage.  Ich  habe  ihn  geradezu  mit  Spannung  gele- 
sen.  Dass  der  schlafende  Barbarossa  im  Kyffhauser  ein  deut- 
sches  Missverstandnis  staufischer  dynastischer  Propaganda  ist, 
hatte  ich  mir  nicht  traumen  lassen.  Ihre  Arbeit  zeigt,  wie  weit> 
man,  von  einer  scheinbar  speziellen,  trockenen  Echtheitsf rage 
ausgehend,  mit  einer  Methode  gelangen  kann,  welche  alien  in  Be- 
tracht  kommenden  G-edankenstrbmungen  nachspurt. 

Ich  hoffe,  zu  Ihren  Argumenten  noch  ein  wenig  beitragen 
zu  kbnnen.  Aber  zunachst  gestatten  sie  mir  eine  etwas  schul- 
meisterliche  Bemerkung.  Wir  haben  alle  auf  dem  Gymnasium  ge- 
lemt,  videri  mit  "scheinen"  zu  ubersetzen.  Aber  dieae  Uber- 
setzung  ist  falsch,  nicht  nur  in  juristischen  Texten,  sondem 
auch  in  philosophischen  und  sonstigen.  Gotheins  sonst  gute 
tJbersetzung  der  Consolatio  philosophiae  des  Boethius  zeigt  das 
bei  Jedem  Male,  wo  er  videri  mit  "scheinen"  tibersetzt.  Schei- 
nen  bedeutet,  dass  etwas  nur  scheinbar  oder  bestenfalls,  dass 
es  wahrscheinlich  so  ist.  Videri  bedeutet,  dass  etwas  so 
sehen  werden  muss,  ...  dass  etwas  als  ...  anzusehen  ist. 
den  Rechtsquellen  igt  ©s  geradezu  ein  Juristisches  s^i^ 
kann  es  dort  meistens  mit  "fiir  die  juristische  Betrachtung" 


ange- 

in 

man 

iibo* 


setzen  oder  auch  mit:  "gel ten  als".  Consentire  videtur  =  gilt 
als  zustimmend.  Auf  S.  133  oben  Ihres  Aufsatzes  wUrde  ich  e twa 
ubersetzen:  "  ....  als  lebend  angesehen  werden." 

Nun  zur  Sache,  und  zwar  zu  S.  137  ff.  Nach  romischem 
Recht  ist  der  Erbe  Repraesentant,  zu  deutsch  Wiedervergegenwar- 
tiger  des  Erblassers.  Daraus  hat  ja  Ferdinand  Lassalle  die  be- 
rtthmte  juristische  tJnsterblichkeit  kraft  des  rbmischen  Erb- 
rechts  entwickelt.  Wenn  Sie  das  ausgezeichnete  Buch  von  Frie- 
drich  von  Woess,  Das  romische  Erbrecht  und  die  Erbanwarter, 
Berlin:  Pranz  Vahlen  1910,  zur  Hand  haben,  finden  Sie  auf  S.8 
ff .  einen  tJberblick  iiber  den  zweiten  Band  von  Lassalles  "Sy- 
stem der  erworbenen  Rechte".  Auch  die  Pomulierung  von  Ludwig 
MitteiB  uber  die  Ererbung  der  Personlichteit  wird  dort  (S.12y 
erwahnt,  ebenso  die  Sitte,  den  Ring  ale  Annex  der  Personlich- 
^eit  dem  Srben  zu  ubergeben  ^S.  H3).  Sedes  materiae  im  Cor- 
pus  luris  ist  die  Justinianische  Novelle  48,  am  Ende  ihrer  prae 
fatio.  In  der  mittelalterlichen  Einteilung  des  Authenticum 
steht  sie  in  der  collatio  V  Titel  2.  Dort  heisst  es:"Cum  uti- 
que  nostris  videtur  legibus  unam  quodammodo  esse  personam  he- 
redis  et  eius  qui  in  eum  transmittit  hereditatem".  tiazu  bit- 
te  ich  die  Glossa  ordinaria  des  Accursius  heranzuziehen,  und 
zwar  die  Glossen  Unam  quodammodo  und  Sibimet,  wo  es  am  Ende 


heisst 


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-2- 


heiastr^cum  sit  (der  Erbe)  cua  eo  (dem  Erblasser)  eadem  persona". 

Es  gibt  eine  Reihe  von  Paralilstellen,  die  nicht  so 
deutlich  sprechen,  z.B.  D.  41,  3,  22  (Heres  et  hereditas  ...  unius 
personae  ...  vice  funguntur).  Dazu  aber  die  accursische  Glosse 
Unius: "scilicet  deftmcti,  ut"  ...  etc.  (folgen  Parallelstellen) . 

Zu  3.  140:  Wenn  Johannes  Gerson  von  der  mors  natural  is 
aut  civilis  des  Vaters  spricht,  der  aber  in  der  Person  seines 
Sohnes  fortlebt,  so  gebraucht  er  gleichfalls  einen  Ausdruck  des 
romischen  Rechta.  Die  bei  den  romischen  Juristen  allgemein  ubli- 
che  Gegenub erst el lung  von  naturaliter  und  civiliter  (Belege  in 
Heumann-Seckels  Handlexikon  zu  den  Quellen  des  rbmischen  Rechts) 
findet  nur  einen  speziellen  Anwendungsfall  in  den  Ausdriicken 
mors  naturalia  und  mors  civilis.  Sin  spater  Sprossling  der  mors 
civilis  ist  der  "bUrgerliche  Tod"  als  Strafe,  wie  er  in  Artikel 
10  der  Preussischen  Verf assungsurkunde  von  1850,  in  Artikel  13 
der  Belgischen  Verfassung  verboten  wurde,  wahrend  die  mort  ci- 
vile der  zu  lebenslanglicher  Zwangsarbeit  oder  Deportation  Verur- 
teilten  in  Prankreich  erst  1854  abgeschafft  wurde.  In  Deutschland 
hatte  man  die  Reichsacht  mit  dem  btirgerlichen  Tod  verglichen 


(Belege  in  Weiske,  Rechtslexikon 
Staaten,  Leipzig  1857  Band  11  s. 


fiir  Juristen  aller  teutschen 

432  ff.). 

Der  biirgerliche  Tod  hat,  soviel  ich  sehe,  zwei  Grundla- 
gen  im  romischen  Recht.  Einmal  erscheint  er  als  Nebenfolge  der 
Deportation  auf  eine  Insel.  j^^  ^^^^   Institutionen  1,  12,  1  heisst 
es  von  demDeportierten:"  perinde  ac  si  mortuo  eo".  Dazu  die 
accursische  G-losse  Mortuo:  "nota  deportatum  mc^uum,  a£iltcet  ci- 
viliter. sic**  ...  (folgen  Parallelstellen).  Diese  BdffalTfintjg^  kommt 
ftir  Gerson  schwerlich  in  Betracht,  wohl  aber  ?ur  die  spatere 
Entwicklung  der  mort  civile  bezw.  des  biirgerlichen  Todes  ale 
einer  Strafe  Oder  Nebenfolge  einer  Strafe. 

Die  andere  romanistische  Quelle  li«|ft»  wie  ich  vermute, 
in  den  Rechtssatzen  iiber  die  Kriegsgef angenechaft.  Der  kriegs- 
gefangene  Rbmer  ist  Sklave  der  Peindc.  Kehrt  er  aber  zurlick 
(postliminiiam) ,  so  erhalt  er  seine  Rechtstellung  wieder.  Stirbt 
er  in  der  Gefangenschaf t,  so  wird  er  kraft  der  Piktion  einer 
Lex  Cornelia  als  im  Moment  der  Gef angennsQime ,  d.h.  im  letzten 
Augenblick  seiner  Preiheit,  gestorben  behandelt  und  kann  also 
nach  romischem  Recht  beerbt  werden.  In  C.  8,  50  (51)  lex  1  §  1 
am  Ende  heisst  e8:"cum  eo  tempore  quo  captus  est  diem  suum  pa- 
ter obisse  existimetur".  Die  accursische  Glosse  zu  dieser  Stel- 
le  gibt  fiir  unsere  Prage  allerdings  nichts  aus.  Aber  nehaen  wir 
D.  49,  15,  11  pr. ,  wo  es  am  Schlusse  heisst: "sive  quoniam  non 
reverse  eo  (=  patre)  exinde  sui  iuris  videtur  fuisse,  ex  quo  pa- 
ter hostium  potitus  est."  In  dieseq  Palle  lebt  also  der  Vater 
(naturaliter^ als  Sklave  der  Peinde,  ist  aber,  civiliter  verstor- 
oen,  so  dass  der  Sohn  frei  von  der  vaterlichen  Gewalt  geworden 
ist.  Hierzu  die  accursische  Glosse  Exinde,  welche  die  verschie- 
denen  in  der  Lex  behandelten  Palle  auseinanderlegt  und'^n  deren 
Mit^e  es  heisst:  "quia  cum  pater  gjpritur  naturaliter  ...". 

Eine  SpEBialarbeit  iiber  die  romanistlschen  Ursprunge  der 
mors  civilis  ist  mir  nicht  bekannt.  Ich  selber  kann  nicht  unter- 
suchen,  wo  etwa  bei  Accursius  sonst  noch  vom  mori  civiliter  oder 
naturaliter  die  Rede  ist  und  welche  Entwickliingen  bei  den  Spa- 
teren,  vielleicht  bei  Petrus  de  Bellapartica,  Cinus,  Bartolus, 
Baldus  usw.usw.  a ich  daran  geknupft  haben.  Ob  sie  auf  den  Trak- 
tat  des  Johannes  de  Terra  Rubea  eingewirkt  hat,  kann  ich  aus  Ih- 
rem  Bericht  uber  den  Traktat  (S.  138  bis  140  Ihree  Aufsatzes) 
nicht  ersehen.  Aber  bei  Gerson  ist  es  doch  wohl  deutlich.  Pur 


-3- 


/  /    U    U     J 


-3- 


ihn  ist  die  mors  civilis  der  Juristische  Tod,  welcher  auch  die 
mors  politica  notwendig  einschliesst.  Daraus  ergibt  sich  fUr 
Geraon,  daes  auch  das  juristische  Portleben,  die  vita  civilia, 
die  vita  politica,  den  kbniglichen  Stand,  umfasst.  Gerson 
schreibt  ganz  korrekt:  "De  secunda  Regis  vita  ...,  civili  vide- 
licet et  politica  ...".  sie  sprechen  vom  civilen  oder  politi- 
Bche»  Leben  (S.  140  luiten) .  Aber,  wenn  ich  nicht  Irre,  handelt 
es  sich  fUr  Gerson  nicht  um  ein  "Oder"^  sondem  um  ein  "Und". 
Er  will  das  politische  Leben  in  das  "civile",  d.h.  juristische 
einschliessen,  so  wie  ±x\   der  Terminologie  des  modernen  Verfas- 
sungsrechts  die  ataatsburgerlichen  Recnte  mit  den  biirgerlichen 

Rechten  als  ihrer  Voraussetzung  zusammenhangen. 

Wenn  ich  im  Vorstehenden  die  Glosse  des  Accursius,  die 
sukzessive  zwischen  etwa  1220  und  1250/1260  entstanden  ist,  zi- 
tiert  habe,  so  geschah  es,  weil  sie  gedruckt  und  bequem  erreich- 
bar  ist.  Im  grossen  ganzen  hat  aber  Accursius  anscheinend  gegen- 
uber  semen  unmittelbaren  Vorgangem,  wie  Azo,  Hugolinus  nichts 
weaentlich  Neues  gebrachto 

Bitte  nehmen  Sie  dies  alles  als  ein  Zeichen  fUr  das  le- 
bendige  Interesse,  welches  Ihr  Aufsatz  in  mir  erweckt  hat. 

Dabei  haben  wir  in  Hamburg  aber  Ihre  friihere  Prage  (Ur- 
teil  im  Namen  des  Kbnigs  statt  im  Namen  Gottes)  nicht  vergessen. 
Einer  unserer  wissenschaf tlichen  Mitarbeiter  beschaftigt  sich 
mit  diesen  Dingen,  und  ich  hoffe,  dass  seine  Ergebnisse  Ihnen 
bald  vorgelegt  werden  konnen. 

Mit  nochmaligem  aufrichtigen  Dank  und  herzlichen  Griis- 
sen  bin  ich,  sehr  verehrter  Herr  Kantorowicz, 


Ihr  Ihnen  stets  sehr  ergebener 


n   u   u    J 

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Stift  Neuburg.am  31. Mai  1957 


Sehr  verehrter  Herr  Professor! 


Vielen  Dank  fur  das  vor  wenigen  Pagen  angekommene  Ser^aratum 
Three  interessanten  und  ftir  die  Kaiser^eechichte  sehr  wertvollen 
Beitrage  im  Neuen^ ,d.h. jetzt  Deutschen  Archiv.Eine  kleine  kritische 
Bem^^rkung.Kann  "Son-enknabe"  nicht  doch  auch  im  Deutschen  "die  Some 
ale  Knabe"  bedeuten?  Ich  meine  wenigstens.-S.124  Anra. 29:Leider  habe 
ich  dpn  Text  nicht  zur  Hand.Aus  dem.was  Sie  geben(finis  vite. . .credi- 
te  =  vitae  creditae)  mcchte  ich  annehnen.dass  ee  heissen  soil:"  des 
anvertrautenCnamlich  vom  Schbcfer  den  Henschen)  Lebens'.'-Genilgt  zur 
Erklarung  des  Ursprungs  der  Kaisersage  wirklich  ein^Missverstehen" 
(S.15o)?  Liegt  der  Grund  der  Mystifikation  nicht  doch  tiefer?  Gibt 
es  nicht  auch  schon  in  der  Antike  etwas  Ahnliches?  Ich  meine, raich  zu 
erinnern.weiss  aber  nicht  mehr.HoAch  es  gesehen  habe. Ich  kann  mich 
aber  a^^ch  tauschen.Prof .Alfoldi  mtJsste  es  wissen.Ist  der  nicht  dort? 

Bei  Fulbri.  ht  bin  ich  leider  zu  spat  gekoiru-nen.Die  Auswahl 
hat  schon  stattgefunden  und  die  Stiuendien  ftir  1957/58  sind  alle    ^ 
vergeben.FtJr  1958/59  konnte  ich  vorgemerkt  werden.Ich  hatte  eher 
wissen  sollen.dass  die  Anmeldungen  moglichst  bald  geschehen  mlissen, 
dann  hatte  es  der  Zeit  nach  bis  zur  Auswahlsitzung  noch  gereicht. 
Ich  hatte.bevor  ich  Schritte  unternahm,erst  Ihren  und  P.Anselms 
Bescheid  abvarten  wol]en.Dadurch  entstand  die  Verzogerung.Ob  ich 
freilich  zu  den  Auserwah  ten  gehbrt  hatte  ,ist  auch  ungewiss.Ich 
habe  bei  der  Fulbright  Commission, Deutsches  Programm,Bad  Godesberg, 
auch  angefragt,ob  nicht  ein  Stipendium  des  nachsten  Jahres  ftir  mich 
schon  dieses  Jahr  abgezweigt  werden  konnte, aber  das  geschieht  of fen- 
bar  auch  nicht. 

Ee  ist  mir  sehr  leid,dass  das  schief  geg^jngen  ist.Ich  hatte 
das  mir  ja  von  Ihrem  Institut  im  Falle  des  Versagens  Pulbrights  in 
Aussicht  gestellte  Keisestipendium  lieber  nicht  beansDrucht.  Jetzt 
b  leibt  mir  aber  nichts  anderes  tibrig. 

P.Anselm  verde  ich  i^-d^tt  naeiT^Tea-Ta^^en  auch  berichten. 

Wit  den  herzlichsten  Grussen  und  WUnr chen 


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THE    INSTITUTE    FOR    ADVANCED    STUDY 


PRINCETON,    NEW    JERSEY 


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SCHOOL  OF  HISTORICAL  STUDIES 


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Ui.  April  19^6 


Lieber  Herr  Kloos, 

Ich  schrieb  eben  an  Herrn  Dr.  Fxihnnann  we^en  der  "olf'schen 
Dissertation  urr*  deren  Besorechunp,   sardte  auch  plpichzeitiiJ:  -nein  MS 
an  das  DA  mit  Ihrem  Nanen  als  Interadresse. 

Diese  Pespre-^hunpr  hrt  sich  zu  einem  l/inppren  />\ifsatz  au?rew«chsen, 
ir  dessen  Tell  I  Ich  der  StilUburt^scharakter  (Verunecht\inr,   bbcrarbeiturp, 
Literari  alerunp  oder  wie  Imrier  Sie  e?  rennen  mtipen)  de?'  Testarionts  nach- 
pewlesen  zu  hahcr  pjaube.      Ir.  Teil  II  >-esprenhe  id    danr  suf  ^rpiter 
Grundlape  die  Phrase  des  sop.   Testaments  per  svibstit-utuTi  vivpre  xind  ver- 
binde  dieses  Dictum  mlt  dem  Sibyllinun  Vivit  et  ron  vivTTi 

Wbplicherweise  uberschreidpt  sir;h  das  zum  Teil  "-it  Threr  Aran,?)! 
Ihres  '^eitraps  z\ir  Baethpen-Festschrift,  da  "^ie  .la  diese  Ann.   noch  i-. 
Slnne  der  "Identit:=t"   von  Valer  und  ='chn  ausbauer  well  ten.     rias  schadet 
aber  pamlchts  -  an  werdpsten  der  Ssche  selVst.    Aus-erdeT  koTTnen  3ie 
.1a  als  T  rster  heraus,   und  wenn  zwei  /ufs-^tze  intepriert  sind,   so  zel^^t 
es  n\ir,   dass  von  vcrschlederen  Anl^ufen  ber  yhnliche  -esultate  er7,ielt 
werdcn.     Das  sollte  Sle  sc  werip  wie  nich  i'^  cerirr'^iten  strren.      T'-er 
Titel  meines  Aufsatzes  ("Zu  den  Recbtsrrundlapen  Her  Kalsersape")   zeipt 
.1a,   daPS  ich  aiif  anderes  hir.auswill,  wobei  Ihr  f-vPrece-^rief  z\r"  Tode 
Kriedrichs  II.  mir  wiederuw  ein  willkcTmener  Anstoss  und  "riickensteir 
war. 

Ich  babe  .ledoch  noch  einipe  Pitten.   Zurf-chst  W^re  ich  Ihnen 
sehr  dar.kbar,  wenn  Sie  die  Seiten-  und  Anmerkunpszahlen  Ihres   '"rpce- 
aufcatzes,   dpr  doch  wohl  DA   1?/?  hfrauskc^t,   eins^tzen  wirden.   Ich 
zitierte  nach   rhrerri  Schreibmasrhinendurchschlap,   der  Sie  .1a  sicher 
noch  zur  Hand  haben.     Zweitens  mbchte  ich  Sie  bitten,   nein  MS  Ibren 
Editionsmpthoder       ^    -leicihen.   Per  iinplo-A-nprikani-ohe  '>til  ist  andprs, 
weil  es  kelne  S   ■       _    ,   ribt,    sondeiTi  blop-  kurslv.   ^'cn  Irterschied  zu 
•nachen,  was  unterstrichen  tird  was  unterschla'npelt  werden  nuss,  babe 
ich  nicht  inmer  pewusst  und  meine  Assistentin  hat  slcber  noch  einlres 
verwechselt.   A^ch  das  Aufreben  nr'.l'->cher  ^and-  urd  T>uch-''ahlen  fiel 
mir  schwer.     Vlelleicht  passen  Sie  auch  darauf  auf  -  a.  cb  wenn  Sie 
sprachlich  aiif  Anplicis^en  stos'-er:   ich  bin  -neiner  bisweilen  nicht 
panz  sicher. 


/  /   u   u 

U      I    u 


-    ?    - 


Bd.V  A:l   ) 


Die  V.olf 'sche  Arheit  Ist  Ubripens  Vei  rt-'b^ren  Zusehen  nrch 
schlechter  als  ich  .edacht  hatte.     Die  Interpolation  der  Aldobrandesca 
als  .otation  fur  M.nfred  1st  ihm  Uberhaupt  nicht  aufref alien  -  er  da'hte 
offer-ar,   die  Grafschaft  iMpr-   auch  in  Apulien.      Ich  babe  -.elne  Krttik 
mit  panz  wenUen  Ausrahmen,  In  die  Funsroten  verdi^-^npt  tmd  avicb  sonst' 
versucht,   die  Kritik  herabzusti-rrnen.      Soil  ten  Sle   1e<1och  finden.   ich 
f5ei  7,u  scharf  rewpsen  oder  -lich  UberflUf^-ifer  KritteTei  bir-rere'en 
3o  sapen  Sie  mir  das  Vitte  ranz  offen.      Ich  bin  villens,   alle  "Anprlffe" 
?yx  elln,irieren,   die  3ie  als  unbeerUn^^et,   2U  heftip  odrr  ir  '^er  Sache 
selbst  ^weifelhaft  empfinden  sollten.     Mir  llept  1a  in  rmnde  nur 
dnrar,   dies  Dokument  nirht  als  "echt"   diirchpf^hen  7,u  la^^sen.    Tbr     ink 
mit  dem  8ozu55apen  von  Frau  Heller  peschwurpenen  Zaunofabl  dea  Thomas 
vor  Capua  (was  wie  eine  Alfred  i-.ebpr'sche  Pr-ipunp  klinpt)  war  -nir 
parz  wertvoU;  T.anpela  eines  Hahn,   -Qll.-nonum..   kor.rte  ich  aber  bls- 
•er  die  >-eiden  ISriefe  richt  elnsehen  -  doch  bin  ich  rt-^cbst^  Voche  in 
harvard  und  kbrnte  ^as  nachholen. 

I^er  schlies-^lich  noch  zwei  Nachtr'arsel: 
1)  AnTrul06  Oilson:   (Paris  19<2)  war  auspela-  en. 

vlelleicht  einer  Anderunp,   ur.d   zwar  In  folpender  Welge: 
1^2!!^!*   ^^^'^  ^^^  "edeutunp  und  Lntwicklunpsgeschichte  der  nuncuoatio 
in  kUaslscher  und  nachklasslscher  Jurisprudenz  sei  hler  nicht  einpe- 
panpen,   da  zur  Erkl-!runp,  des  Testaments  E  di.-  Jurisprudenz  des  13.Jhdts. 
nasspebend  war;  vf^l.   .ledoch  P.KUbler,  v.   "Tbetanent   Murintisch),"   in: 
RE.,  VA,1,  Sp.9?C,993,996  zur  Crlentierunp.     Aus  der  Aendunp  sine 

^^^i'^HLli^ii^  ^^^'^^'^  5i°^  SchlUs-e  auf  sizilische  Konzepte,   reurkun- 
durpsvorRiinKe  u.'rf,   nicht  zlehen   (s.oben  Anm.lC). 


Dr.  Schallers  PdV-Aufsatz  babe  ich  mit  prf^sstem  Interesse  und 
^It  Tewundcrunp  Pelesen.   Rr  ist  clnfach  ai:spe7eicbnet  und  unf^ew  hnlich 
auf schlus  reich.    fch  schrclbe  ihm  noch  direkt.   Pob  ^'enson  ist  cgrz  ver- 
gnupt  hier,   da  er  eine  Stelle  als  Instructor  an  r^ar-iard  ^oDlepe  (6  i 
Columbia  'university)  beko'nmen  hat.     An  Fi'-iulein  Dr.Autbenriet  scbrei^e 
ich  dieser  Tape. 

Kit  bestem  Dank  im  Voraus,   puten  AUnschen  und  Grllssen 

Ihr 


/  '    u    u    u 
U      I    u    u 


Dr.  S.    M.  Kloos 
Munchen  2 
Arcisatr.  10/218. 


Miinchen,  >.  IVlai  ^^■?^. 


Sehr  verehrter  Herr  Profesdor  Kantorowicz! 

Heben  oie  besten  Denk  fur  Ihren  freundlichen  Briet  vom  14. 
April;  euch  Thr  Aufsatz  ist  inzwischen  wohlbehelten  aler   ein- 
getrot'len. 

Seit  unserem  letzten  Briet'wechsel  haben  oich  zwei  Dinge  ge- 
andert,  die  das  Verhaltnis  Ihres  Auf^atzes  zu  aera  meinit^en 
ein  weni>:5  verandern;  erstens  wird  mein  Aufsatz  nicht  oChoa 
jetzt,  aondern  aucti  erst  in  13,1  eraclieinen,  also  im  gleichen 
Heft  wie  der  Ihrige,  und  zwar  wohi  unmittelbar  voraudgehend, 
da  Ihr  Thema  chronologisch  weiter  ausgreift.  Dies  ist  je  euch 
gut  so,  da  )ie  raehrfach  euf  den  von  mil?  veroffentiichten  Text 
Bezug  nehmen,  wahrend  ich  mehr  en  passant  auf  Ihre  Beurteiiung 
des  Wolfschen  Testaments  hinweise. 

?in  zweites  eber  ist  wichtif^-er,  namlich  dali  sich  ein  Aufsatz 
sehr  wesentlich  erweitert  het,  weo  auch  aer  Hauptgrund  fiir 
die  verzoe'erte  Publikation  ist.  Die  Wrweiterung  besteht  vor 
allem  in  der  Kinzufiigung  eines  zweiten  Teils,  den  man  etv*a 
'Kaisermythus  und  Poiitik'  iiberschreiben  konnte.  as  v^ar  vor 
allem  ein  Gedenke ,  der  mir  wahrend  der  Aroeit  aufstieii  and 
mir  so  wichtig  erschien,  d&ii  ich  inn  zar  Diskussion  stellen 
zu  miissen  glaubte:  namlich  aa^i  Friedrich  selbst  bereits  ganz 
bewulit  die  Wrblichkeit  der  Kaiserwiirde  angestrebt  haue.   Ich 
stiitze  mich  dabei  vor  pllem  auf  das  echte  Testament,  in  cem 
Friedrich  iiber  das  Reich  verfugt  als  ob  es  vieder  Papst  noch 
I'\ir3ten  gebe,  und  ziehe  zur  Illustration  heren  die  entspre- 
chenden  Bestrebungen  vor  und  n^ch  Friedrich,  seine  eij^enen 
Aulierungen,  '-iuoniam  abbas'  und  die  rt^asi-Icentitatstheorie 
und  mit  dieser  schlieSlich  die  mystischen  Vorstellungen:  Sonne^ 
Phonix,  aquila  orientalis. 

3ie  werden  nun  verstehen,  da^i  ich  zunachst  etwas  beunruhigt 
war,  els  ich  in  Ihrem  Brief  den  Titei  Ihres  Aufsatzes  .^as ! 
Nun,  nechdem  ich  diesen  selbst  gelesen  habe,  hat  sich  doch 
die  Beunrui^igung  gelegt  und  ich  bin  vielmehr  LiDerzeugt,  da^i 
beide  Aufsatze  ohne  nnderungen  sehr  gut  nebeneinander  stehen 
konnen.  Benutzen  wir  zwar  vielfach  ahnliche  /^rgumente,  so  ist 


n    u   u    u 

U       I    U       I 


doch  der  viesichtswinkei  jeweils  ein  gpnz  enderer  entaprecherid 
dem  verschiedenen  Ausgsngspunkt  and  Ziel  der  Untersuchungen. 
Ich  ubersende  Ihnen  gleichzeitig  mit  gewohnlic'ier  Post  den 
Durchschiag  meiaej  Aufi38tze3,  wea  ich  ja  allerdingo  jchon 
friiher  hatte  tun  konnen;  aber  ich  konnte  je  ebensowenig  ver- 
muten,  wie  oich  Ihre  Besorechung  des  Wolfschen  Testaments 
euswschson  wiirde,  wie  ^;ie  ahnen  konnten,  waa  aus  meiner  elten 
Anmerkung  24  w/eraen  wiirde!  Soilten  3ie  also  doch  glauben,  nech 
Kenntnis  meines  ganzen  Aufsatzes  etwas  andera  zu  sollen,  so 
ist  dafiir  natiirlich  noch  reichlich,  Zeit  (vielleicht  Ihre  Anm. 
45'^),  aber  wie  gesrgt,  ich  gleube,  daii  raan  alies  so  lassen 
kann. 

Die  technischen  /mderungen  hsbe  ich  durchgeluhrt ,  es  war  nicht 
allzu  viel. 

Die  merkwlirdige  Paralieiitat  der  beiden  Arbeiten  hat  natiiriich 
uriinde,  die  teilweise  wenigstens  derin  liegen,  daJ  Manchea, 
wad  ^'ie  jetzt  zaaanraenfasoen,  in  anderen  Zusammenhangen  be- 
reits  in  Ihren  I'ruheren  Arbeiten  fiir  den,  der  Augen  hat  zu 
sehen,  verstreat  lag  -  und  wie  stark  ich  dieae  benutzt  hebe, 
zeigen  hoffentlich  deutlich  genug  meine  Zitete.  Dies  will 
nichts  anaere.i  besagen,  al3  daJ  ich  mich  in  gewiosem  oinne 
als  Ihr  ochiiier  i'iihle ,  der  sich  allerdings  -  and  deswegen 
scheue  ich  mich  ein  wenig  dies  aaszasprechen  -  seiner  Unzu- 
langlichkeit  durchaus  bewuiit  ist.  Die  Kraft  aer  Darstellung, 
die  ich  vor  allem  in  Ihrem  'FriedricWII. '  so  sehr  bewunaere, 
fehlt  rnir  voilig  and  ob  ich  jeinals  Ihre  umfasoenae  Stoffbe- 
herrschang  erreichen  werce,  erscheint  mir  sehr  i'raglich.  Je- 
denfells  aber  wird  es  Ihnen  demnach  verstandlich  sein,  deU 
each  der  oChiiler  einm&l  in  das  Horn  des  Meisters  stdJt! 
Es  wird  raich  neturiich  ganz  beoonderj  iuteresjieren,  wes  oie 
zu  meinen  oben  angedeuteten  Jedanken  iiber  das  liestreben  Fried- 
richs,  das  Kaisertam  erbiich  zu  laachen,  dagen  werden. 
Was  Ihre  Arbeit  anbetriflt,  so  hebe  ich  daren  natiiriich  wtder 
in  Form  noch  Inhelt  etwes  aaszusetzen,  vieinehr  hatte  ich  mir 
ja  auch  seinerzeit  schon  segen  konnen,  dfiii  die  emotionel  be- 
dingten  V-orte  einea  personlichen  ijriefes  nicht  mit  einer  fur 
die  Offentlichkeit  bestirnmten  Kritik  zu  verwechseln  sind. 
t^brigens  haben  Sie  Ihren  Angriff  ja  auch  deutlich  genug  an 
die  richtige  Adresse  gerichtet,  die  fiir  eine  solche  Arbeit 
verantwortlich  ist! 


/  /    U    U    I  I 

U      I      I    u 


Nach3ten3  werae  ich  rnich  wohl  mit  flerrn  ocheller  gemeirioem 
mit  den  'Arenge  Petri  de  Vineis'  bedchaftii^en  musjen,  woreus 
^^8h^acheinlich  ein  Petrud  de  Viverio  wird.  /ber  de^  lot  mehr 
Herrn  Scheilero  Sache,  wahrend  jich  mein  /agenmerk  hfuptaach- 
lich  auf  die  mitiiberlieferten  Boioj^nerfer  AreritSen  and  den  /d- 
vokstentrjiktet  richten  wird.  Gestern  schickte  mir  Herr  Nitscii- 
ke  einen  oonderdruck  seines  Aufsstzes  uber  die  '?eden  des  Bar- 
tnoiomaus  von  Capua  (.^FI/B.).  der  leider  Ihren  Accursiuoauf- 
aatz  nicht  kannte,  sodaB  der  Arbeit  eigentiich  die  Jrundiege 
fehlt. 

Herrn  Schallers  PdV-Aufsatz  zeichnet  wie  aile  .jeine  /rbeiten 
groBe  Klerheit  und  NFiichternheit  aus ,  sodaB  man  unbedingt  v^/eiB 
woran  man  ist.  Vas  mich  personlich  besonders  freut  ist  die 
Tatssche,  daB  er  meinem  Standpunkt  in  aer  PaV-Kra 'e  so  ge- 
recnt  wie  moglich  wurce,  soda.j  ich  seine  Ausfiihrungen  sis 
Genzes  ohne  weiteres  unterschreiben  k&nn.  t^brigens  schreibt 
er  mir  ^er^de,  daB  .jetzt  Professor  Pivec  seinen  Aufsatz  'Die 
Brief ssmmiung  des  Petr^s  de  Vinea'  herausgebpacht  babe  (Inns- 
brucker  Eeitrage  zur  Kulturwissenschaf t  5,  1955,  Heft  2:  Al- 
tertumswissenschaft  -  "umanismus,  S.  73  -  84);  er  versuche 
darin  nachzuweisen,  deB  fast  aile  Brief e  von  Buch  I  (Scherd) 
Fiktionen  seien!  !  Kommentar  iiberfliissig. 

Fur  Herrn  Benson  freut  es  mich  sehr,  ded   er  eine  offenbar 
befriedigende  Steile  gefunden  hat;  uns  aile  aoer  betriibt  es, 
daB  die  Hoffnung  ihn  bsld  wieder  bei  uns  zu  sehen,  nun  end- 
giiltig  dehin  ist;  wir  mochten  ihn  sehr  gem. 
Damit  verbleibe  ist  ich  mit  den  besten  Wiinschen  far  Ihr 
Wohler^^ehen  und  Ihre  Arbeiten  und  mit  herzlichem  GruB 

Ihr  stets  sehr  ergebener 


IfL^KAj^iuiu.^ 


n    u   u 


? 


Munchen,  19.  Juli  1956. 


Sehr  verehrter  nerr  Professor  Aaiitorowicz! 

Haben  oie  zunachst  besxen  jjank  fur  Ihre  beiden  Brieie  vom  26. 
Mai-und  18.  Juni,  auf  dereii  ^ecxritwortur.g  3ie  ja  nun  reichlich  iaa 
lange  warten  niuBten.  Es  frout  mich  sehr,  dais  3ie  nieinen  Aulsatz 
anerkei.nen,  zumal  die  Hesonanz  unsersr  .-^rbeiten  ja  hier  recht 
gering  ist. 

Die  letzte  Anrr.erKui^g  meines  Aufsatzes  zu  Julius  Caescir,  qui  pro- 
Ji32_J^i^^^^^^ii^-SiM^J^^£££3^  iiabe  icn  inzwischen  noch 

erweiT^ert.  Der  Inhtilt  dieses -qui-Satzes  ist  ja  niches  anderes, 
als  v;as  Fanfred  1265  in  seinem  Rome  manifest  anfuhrt  urn  gegebe- 
nenf^lls  seine  r^aiseransprUche  auch  gegen  den  Villen  des  yenats 
durchzusetzen,  worauf  Jie  Ssite  559  Ihres  Friedrichbucnes  hin- 
gewiesen  haoen.  So   laeine  ich,  daI3  man  sich  schon  urn  1250  (Jedan- 
ken  machte,  die  in  diese  -:iGhtung  fuhrten.  Ne.ir  konnte  ich  nicht 
in  die  .inmerkung  preesen,  aber  es  h:.n.^t  noch  ein  ganzer  Ratten- 
sctiwanz  von  Fragen  daran,  vor  allem  der  Virtus-JedankeH,  der 
Zusai;;merihang  mit  der  alteren  staufischen  .iuf .assung  von  der 
translatio  imperii  (Karl  d.G-r.  und  Otto  I.  habei.  sich  propria 
virtute  das  imperium  erworben^  i.ullius  beneficio),  das  ulles  un- 
ter  dem  iiesichtspunkt  der  papstlichen  Fichtanerkennung, , .  Ich 
mochte  gern  die  KuISe  haben,  dies  eingehender  zu  verfolgen. 
Aoer:  zunachst  mulr  ich  jetzt  einen  Liters burbericnt  uber  Frie- 
drich  II.  1950-56  fur  Prof.  Kutcners  Traditio  machen;  zwischen- 
durcn  Koimt  mein  Urlciub,  ab  morgen  vier  .ocnen,  den  ich  in 
rrier  und  der  iiifel  verbringen  werde ,  wo  ich  zu  x4ause  bin. 
Im  Herbst  muB  ich  dann  ernsthaft  wieder  ein  Stuck  Petr^is  de 
Vinea  kollationieren  und  im- Winter  wird  rnein  nnteil  an  dem  Auf- 
satz  uoer  die  Arenge  Petri  de  Viverio  akut  werden.  Inzwischen 
werde  ica  gedrangt,  die  Funcaner  Inschriften  abzuschliefien,  r-ie 
ich  ja  noch  iiebenner  mache ,  damit  sie  zum  dtadt jubilaum  1958 
erscheinen  kbnnen.  Also  Arbeit  genug! 

Am  1 .  Jdnuar  soil  nun  der  Hrchivdienst  beginnen.  Kir  graust  vor 
dem  iiedanken  an  das  Archiv,  aoer  ich  sehe  Keine  andere  Zukunfts- 
moglichKeit  fur  mich.  Dann  wird  meine  Zeit  fur  wissenschaftliche 
Arbeit  naturlich  noch  kncipper. 


n   u   u    J 

U       I       I     L 


tjbrigens   ist  rair  da  noca  euwas   ^iufgefallen,   was   3ie   u.j-.    inter- 
essieren  kormte,   wolur  iclri  aber  keine   Terwei.dung  naoe.  Jecrietun 
re^2i^  ^^}^J^_Joo^^'^^J_^  est,    o^pera  auj^ni  Dei_revelare   et_conf inert 
honorifi^un^^         das   ist  Opusculun.  de    S.    Severe   episcopo,   Kap.2, 
in  B.    Dapasso,   Nonumenta  ad  I\eapolitani   ducatus  historiam  per- 
tinentia   1(1881)    3.    270.   Dazu   benierkt   er  Anm.    3:    Hoc   initium. . . 
ex   libro    Tobias   desumptuiii  pluribus  et   praesertini  nostris,    qui 
sunecorum  vitas   scripserurit ,    conmiune   fuit...   j^hnlich  beginnt 
auch  rieinrici   II.    vitae   additarneritum,   iXG.iiS.    4,    3.    816,    die   Er- 
zaiilung  vori  der  iiingelsmesse   auf  dem  Monte  'Jargano.   Hangt  das  KXEii 
nicht  mit    'Arcana   imperii*    zusairrmer;?   In    den  Atti   del   convegno 
di    studi   Federiciani   zitiert  K^rongiii  3.    32,   Anm. 2    '  le   belle   pa- 
gine   d4  .P.    Ue   Francisci,    Arcana  Imperii,    vol.    1,111,2,   Kilano 
1938,    p.    46,76sg.'    l^s  muB   sich  um   dj,e   zweite   Aui'lage  von  P. 
De   Prancisci's   Storia   del   diriuto   romano  handeln,    :  ie   ich  a&er 
hier  nirgends   beKOiiimen  kann. 

Beiliegend  kar.n  ich.  Ihnen  bereit:s   einen  Fahnenabzug  meiner  Selbsl 
'bezicntigung  uber  den  Petrus  dQ  Prece   -  Aufsatz    schicken,    v7ie   3i€ 
seiien,    habe    ich  hier  eine   Parallele   zu   dem  von  Ihnen  im  I'ikolaus 
von    Sari    benerkten   gefunden,    die  auch   sehr  interessant   ist.    Das 
ist    ja  uberhaupt   eine  merk^vUrdige   Erscaeinung,    da.ii   ofienbar  ge- 
raae   bei   den   sizilischen  juris  ten  Verse   antiker  Ji enter  ein 
solch   juristisch.es,  3-ewicnt   bekommen.    Sin  welter  Fall  ware   im 
Manfredmanifest,    nbsatz    20,    gerade   die    Jtelle  liber  Julius  Cae- 
sar,   v/o   LUiian   ziciert   wird:    traximus   imperium  quamvis  nolenxe 
senatu!    Das  v;are   aucn  mal  eine  UncersuCxUng  wert. 
Darnit   griiiie   icn  Sie   fur  heute  herzlich  und   wiinsche   Ihnen  einen 
recht  angenenmen  und   erholsaiLen  Url-iUb 


Ihr 


Meine  ridresse   bis   19.    August: 
Trier,    Danystr.    3. 


/W^  Ut.  t^u^ 


n   u   u    J 

U       I       I     J 


THE    INSTITUTE    FOR    ADVANCED    STUDY 

PRINCETON,     NEW     JERSEY 

I'i.    Nov.   19<1 


»o 


Licbsr  Herr  Dr.   Kloos, 

Herzlichst^n  Dank  fUr  Ihren  fr^\indlich..n  Prief 
und  sof^ben  iat  auch  das  darln  anPekUndipte  KS  ancr,.koTni 
'nen.      Ich  bin  mitt<.n  in  anderen  Ding^n,   konntr  ^s  mir 
sb^r  nicht  vrrsagen,   doch  sopl-ich  einen  Blick  in  das 
Heft  zu  werfen.   Ich  stellte   sofort  fest,   dass  es   sich 
um  die  mir  bekannte  StilUbung  h.ndelt,    die  ich  "Petrus 
oe  Vine,  xn  England,"  '/ICG,   LI,p.86,   erWdhnte  und  von 
,.  ich   eine   Ihotographie  hier  hab^  mit  meiner  Trans- 
.kription  von  ca.l939.      Irsofern  also  nichts  neues. 
Was  mich  an  d.m  Testament  s.Z.   interessierte,  war 
lediglich  die  Phrase   (bei  Ihnen  7.»ile  30ff): 

Et  sic  oportet  miserrime,   opportuit  -^t  "oooort^bit 
impost^rm   Ir-gem  nature   subesse   et  iupo   -servituti^ 

s^Tvire  libertatig  iudlnium. ~ 

Die  unterstrichenen  Stellen   -ti  men  naturlich  mit 
drmbekarnten  Statthalterdiplom  PdV.,V,l,    Uberein,   d  h 
-3  1st  aie  m  StilUbunPen  Ubliche  Verba llhornunp  orVr   * 
.dapti^rung  de.  Diploms  oder  des  Ub.aug.-rooems   (cf. 

Z'a.^u'V.I    ^^"^  ""  '^^^   ^"^^°^  ^''lli^   rinwandfrei 
puf  die  "Lnechtbeit"   des  Testaments  hinweist.    D.ss 

J'^^:      .'   suave   iupum  imperii    in  seiner  letzten  Stunde 
=  ls   ^1"  1^!;   -^^^^^^^tis  anre^nrochen  hrttte,    ist  doch 
»in  Zu^tand  d.r  Ver-,    Zer-  und  Beknirschunp     kurz:    .ine 
ti|t«noia,    die  wir  dem  guten  Fr.II.  doch  lieber  ersp,ren 
wollen  und  die  Uberdies  ein  Weiterbe.fhen  d,.  Ir^^^^rim^ 
uss  doch  ein  "Joch  der  Freiheit"   i  ,+     •iK.r.-pv     .    ^  ^^^* 
h"  +  f*  *n=.-       ^4.     u-      '^t'^-^"'*^^     ^ST^>    aberflu5!?ig  femacht 
h..tte.TDass  weiterhm  ein  Kaiser  "Intestat"    sterben 
.ollte  und  ein  Testament  macht,   um  das  Reich  mit  Pertin- 
-nzen  dem  Heimfall  an  den  Fiskus  zu  entziehen,    ist  Joch 
-xne  so  ulkige  Idee,   dass  wir  .ie  nur  dem  mit  ein  pa^r 
juristischen  Floskeln  glanzend.n  SUlisten  zuschreib;n 
dar.en:   ich  bxn  nicht  sicher,   glaube  aber  nicht,   dass 
ein  Kaiser  mtestat  sterben  kann  -  auss^r  in  -eW  "f 
di"  gf't""  P^^'^^"l^che«  p.trimonium.   das   j.   aber  mit 
dem  Fiskus   schon  in  der  Antike  o^t  zurammenfieL   Sif 


/  /    u    u    u 


r^izende  Anr^d*  "Filii  beati..eimi"  vol]  en  wir  doch  libber 
»uch  de-i  Stilisten  zuput*.  halten.    (Ich  sahe  ^hen.   dass 
3ie     karissimi"   l-s«n:   ich  bin  nicht  Panz  Ub*r7,«tifrt.   »ber 
in  diesem  Falle  rntfiele  meine  ^-merkung).      Weiter:    das 
^itat  Joh,l[-,9,   rnit  dem  ganzm  voraufpehe.nden  imd   folP^nder 
Sstz  xst  von  Dr...olf  nicht  verstanden.    Es  hand^'lt  sich' 
um  die  jurtstische  Identitat  von  Vater  und  Sohn- 
Inst^III,l,3:   "«t  5tatim  norte  parentis  cuasi  continustur 
do:Tanium"   und  dazu  Glos.a  ord.  .v.cmasi  :  "s.d  pat.r  et 
lilius  unuxn  fiction"  iuris   sunt." 

C.6,26,11:    "Natura  pater  et  filius  eadem  esse  person* 
pene  intelUguntur." 

c.8,C.I,q.l4,    ed.Friedberg,I,Ll9  "unus   err.t  cum  il]o." 
Extravnp.    Johann  X:gl.    TU    ( -Execrsbilis),    die  rao-e 

atuHs'-^e^"^''"'  '''"''^'  "^P"^'''  '^  ^^^^^'^    "'^""^  persons  finr 
FUr  di«  Ribelstelle   (oder  panz  Mhnliche:    Joh.ir,,!-^;   Rrm. 
8,1. i  Gal.h,7j   Luk.l<,31;   Ps.lC9   [llC]  ,1)  in  die-em  Zu- 
sammenhang,    sihe  z.P.   Jean  de  Terre  Roupe,   Tract  I  art  2 
conclusio  1-],,   p.3^ff  (ich  benut.e  di,  Auir.be     ;^i:  ' 

angemnpt  1st  an  Tr^^s^^,   (ttDfa^«^  ,  Coa^.cU^  (^.  ^r^s, 

T^^</r^^rn'^?Torr  "^  ^°^'  ^°^^  bek.nnti  cf .Pohmer,^cta, 

I,26^,No.301  (1233):  "...una  persona  censetur".  DaJi 

diese  Idee  jedoch  so  P«d.ntisch-tolpatschig  in  Fr. 's 
Testament  ausgepaukt  sein  sollte,  deutet  ^^ederum  auf 
eine  .jtilUnunp  hin. 

^*^\^^''''^^'';^^^^;:^^r^^:   Es  steht  zusammen  mit  einer  Grupp* 
die  !^r^\  '-''^  -  mnemark,  fol.ll^v.ll6,  an«  Spanien), 
die  alle  nnklanpe  an  ?dV.,V,l,  haben,  wobei  Ernmv  Heller 
den  Spanxenbrief  bei  Thomas  v.Gapua  nachweisen  vd.ll.Aber 
daruber  spater,  wenn  Ich  die  Kommentare  Wolf's  ^ele-'en 
habe.  Der  Stilist  1st  ein  Mann,  der  mit  etwas  Rechtswis- 

•nh+  T  /''°\''?  "i^l  ^d  darum  diese  Abschnitte  in  das 
echte  Testament  hineingezaubert  hat.  Dsss  die  Erbenreihe 
von  Interesse  sein  kann,  habe  ich  MICG  gesagt.  Ob  ich 
michallerdings  noch  einmal  in  die  minutiae  dieser  Fr.ge 
hineinknxeen  werde,  weiss  ich  nicht:  Stilubung  bleibt  das 
btuck  jedoch,  .'.elbst  wenn  es  im  Faktischen  auf  eine  bes-   ' 
sere  Lber lief i^runp  zurUckgehen  kTnnte  als  die  KO-Con-^t. 
abpedruckte.  bbrigens:  opertet.^poriuit.  oportebjt  ist 
doch  ganz  alberne  Aufweitung  des  Jitatthslterdiploms,  d,s 

w-ird;  ^MV^'v  n*^/r  Totenbett  kaum  travestiert  haben 
wurde.  FdV,V,l,  ist  eben,  neben  dem  Prooemium,  eine  der 


/  /    U    U     L 
U       I       I     J 


-     2      - 
THE    INSTITUTE    FOR    ADVANCED    STUDY 

PRINCETON,     NEW     JERSEY 


bekannt<»sten  Kanzlei-Ausseningen,  mit  der  immer 
wiedpr  gft-pielt  wurde  -  aber  aus.'^<-rhalb  der  Kanzlei 
von  Stilschulern  und  Parodisten. 

Es  hat  mich  a\isserord«ntlich  gefrput,   Sle  in 
Rom  getroffen  und  doch  verba Itnismas^ig  viel  von 
Ihnen  ges^hen  zu  haben.   Ihre  Arbeiten  inti^ressieren 
mich  naturpeinas?   sehr.      r^rUssen  Sie  Pob  Prrtson  von 
mir,   der  -  mich  kennend  -  mein  Nichtschrriben  rnt- 
schuldiren  wird;   ich  wollt*  Ihm.  gl.»ich  nach  ^.einer 
Ruckkehr  eine  Zeile  schr^iben,  urn  ihm  zu  sacen,   va? 
?ehr  ich  mich  freute  ihn  so  srbeitsfriach  vried<Tzu- 
sehen.     Auch  an  Fraulein  Authenri»th  m^^inp  b«»st«n 
Orusse  und  Dank  far  ihr«n  Brief,   den  ich  bald  beant- 
worten  werde.   Dumb. Oaks  7-8  warden  b<»''tellt. 

y±t  besten  GrUssen  und  guten  i^Unschen,   und  mit 
nochmal.ippm  Dank  fur  das  K3, 


Ihj^ 


rtird  die  Baethpen-Festschrift  eigentlich  p'edruckt? 
Und  wenn,   wo? 


//    U    U     L 
I       I       I    U 


'     2     ' 


P»r  substitutum  viv-re  fuhrt  zum  Jurist! schen,  von  d«m  Dr.Wolf 
l«ider  g«r«u  so  w«niR  w«iss  wit  von  Stil,  Kritik  und  «nd«r«n  Dinpen, 
Zun'dchst  h«t  tr  vine«r«.   was  Sie  richtip  in  vivort  verbes-ert«n. 
Ppr  substitutum  vivert  b«zi«ht  sich  zuifichst  «uf  d«s  Fortl«b«n,   »\if 
dit  SemplUrnitat  der  uniyersitates   (z.B.   D.'-1,3,3C  rubr. ):    ein  Volk, 
eina  Lepion,   tine  Herd*  bl-ibt  iTrmer  diestlbe  Einh«it,    selbst  w«nn  all« 
Menschtn,   Soldaten,   Schafe  durch  anH-re  substituiert  sind;   das  Ol^idia 
bai   ein«m  Schiff,  das-^an  Plank  en  alle  nach  unci  nach  ©rsetzt  word  en 
sind;   das  Gleicha  bei  einem  O»richtshof,   d   ss»n  Richtar  substituiert 
worden  sindj   cf.    etwa  zu  D.'^,l,76,  Glos.ord..  v.proponebatur;   "der 
G«rlchtshof  d«r  Glaiche  tribus  vel  duobus  iudicibus  mortuis  •!  aliis 
r^ubropatis."   Subropatus  \and  sub  a  ti  tutus  sind  etwa  pleichbedeutend; 
Z.5.   Bracton,   De  lepibus.   fol.BT'ib,   ed.;voodbine,IV,17^,   Rolls  S»r., 
V,UUf  (basi«r«nd  auf  D.ul,3,3G,  Glos.ord.,v. sinpulaa  r«s)t   "In  coll.piis 
...semp#r  id«m  corpus  mantt,   quamvis   successive  omnes  moriantur  at 
alii  loco  ipsorum  substituantur..."     Es  gibt  noch  schlap«r««»«  Stelltn, 
di«  ich  aber  nicht  rasch  ganug  fin^en  kann.      Auf  jeden  Fall:   par  subst. 
^vere  ist  tei-minus  tachnicus  und  haisst:  durch  einan  quasi  "3t«tt- 
halter"   waitarlebftn,  der  in  niasam  Falla  Sohn  und  Erba  ist. 

Ifvaitar,   das  Zitat  Joh. ,lli;9«  mit  dam  ganzan  voraufgahandan  und 
folpcnden  Absatz,   von  Kerrri  Dr.*.   nicht  erkannt. 

Per  substitutxim  vivera  impllziert  eine  quasi   Idantitat  das  ver- 
storbanan  Schafas  mit  dam  :'>rsatz-3chaf  usw.      Die  Anschauunp  hSngt  zu- 
saniman  mit  dan  Erbrecht,   dar  juristi schen  Idantitst  von  arblassandam 
Vater  und  erbendem  (oder  errotandam)  Sohn. 

Inst. Ill,  1,3:   "Et  statim  morta  parantis  cuasi  contin\iatur  dominium", 
mit  Glossa  v.   quasi:  "sad  pater  at  fillus  unum  fictiona  iuris   sunt." 
Cod.6,26,11:   "Natura  patar  at  filius  aadam  as  a  persona  pane  intal- 
lipuntur." 

Dacratum.   c.8,C.I,q.U,  Friadberg,I,ljl9:   "unus  arat  cum  illo." 
£xtrav.Joh.22,    III   (F.xrcrabilis),  Glossa  v.    sub  limit  a  tem  aorum: 
'"Tpater  et  filLas]    eadwrn  persona  fingatur  assa."   In';    so  waiter, 
an  vmzahligen  3 tall an. 
Jetzt  die  Bibelstella;   cf.Jaan  da  Terra  Rouga,   Tract. I,   art. 2,   con- 
clusionea  1-L  und  passim,   pp.  ^f^ff  Cich  banutza  die  Auspaba,  dia  an- 
gahJingt  ist  an  Frangois  Hotman,   Consilia   (Arras,   1186),   wo  im  pl^ichan 
Sinna  zura  Baweis  fur  Identity t  von  Vatar  und  Sohn  zitiert  warden: 
Joh.l6:l^,   KQm.c:l^.  Gal.h-7,   Luc.r:31,   ?s.lG9:l,  usw. 
Dxe  Rachtsidaa   als  solcKa  war  am  Hofa  Fr. 's  II.   natUrlich  bakannt; 
Z.3.  Bbhmar,  Acta.   I,26^,?Jo.301  (a.l233):   "...una  persona  cansatur." 
Garada  wail  as  aina  vbllig  galaufiga  rachtsidaa  ist,   ist  as  h^chst 
unvahrschainlich,   dass  sie  in  padantisch-tolpatschiger  'A«isa  untar 
Anlehnung  an  das  Statthaltardiplom  vorr.  starbandan  Friedrich  ausga- 
paukt  sain  sollta,   eingaleitat  dxirch  dia  unglaublich  blBde  Formal*  dar 
das  SchulTrassig-Didaktischa  der  SUlschula  zu  deutlich  aufgepi^pt  istt 
"Gum  iuxta  l.pum  civilium  normam,  filii  karis-imi  [ich  lese  dbrlgens: 
baaUPsimi,   was  noch  schc  r -r  wi^re],   nostram  personam  prasantatis  in 
mundo"  iMfMfyyimtKKltTIj;:,   was  glaichfalls  in  ^inem  d»r  Diplom?>  wieder*hrt. 
Das  Folgenda  ist  ainfach  eine  aufgeschc5nte  vdedarpaba  von  Cod.  6, 36,8: 

"sive   scripta   siv<»   fine  ?criptura."  

Tastamentum  per  nuncupationem  (odar  nuncupativum) ;  Cod. 6,22,8,   d^-ssan 

arstar  Satz  Ihnan  auch  verTat  warum  der  5tilschuler"5re  Z^uganraiha 

so  hUbsch  arwaitart  hat:  praasantibus  saptam  tastibus.    >wvv+  .'Icc   C-i  Co^iio 


n    u   u 


-    3     - 


Die  Idee,   d.ss  der  K.is.r  wl«  dU  Wltwt  Sand*  (V.olf.p.lh  urd  Anhan^ 
:*us  Cod.P«re?e)  "intest.t"   sterben  konnt.,  w:ir«  b.ln  Vorh.ndens.in 
von  SBhn*n  nicht  so  .rnchr.ckend   (Cod.6,lh,2),  w.il  in  dla-.m  F«ll« 
"•xistente  fillo...n«no  poU-^t  int-stato  heres  •xistere,"  auch  nicht 
der  Fiskus,   d«r  L^liche  Intestata-Erb«.     Dass  abar  Fr.II.    sich  papan 
den  Heimfall  das  Raiches  mit  Pertinenzen  antt  dan  ^isktis  schUtzan 
muss  durch  eln  "nuncupatives  Testament",   i-t  aina  hUbscha  Id«a.   In 
di^sam  Lichta  lesen  Sie  doch  den  Satz  (S.h,Z.Uff)  Na  igitur  nos... 
intestati  videamur  dacadara.  idcirco  nuncupativum  testamantum,   quod 
sxn^  scriptis  dicitur.   facere  procuravimus.. ."   wiedertm  aina  normala 
^chul«rkianjng,  die  vbllig  ausserhalb  der  kaiserlichan  Praxis  staht: 
hMtte  ar  ivirklich  ain  Tastanent  per  nuncupationem  -nachan  wollan,    so 
hMtte  ar  don  Bagriff  nicht  zu  erkliron  brauchan. 

^as  Kerr  v.olf  Uber  "privatrechtliche  TesUmenta"   vorbrinpt,   ist  von 
primitlvster  Kenntnis  plUcklicher  Kaise  unberUhrt.  Wo  kann  ain  HeT- 
f^cher  das  l^.Jhdts.    ^tfXUH     "privatrechtlich"  Uber  Reicha  verfUpan? 
Ind  nun  gar  Fr.II.,   der  r;.mi«-ch-rechtlich5te   (verzeihen  Sia  dan  Super- 
l^tiv)  der  furopMischen  ^onarchen?     Das  alias  ist  von  dam  was  man  im 
Volgare  illustrt  "^uatsch"  nannt,   nicht  wait  entfamt.  Das  pilt  auch 
vcn  der  int-rpretation  des  V.'ortes  leT  (p.<,Z.!i6)  als  lex  ragia :   es 
handalt  3ich  airJTach  urn  die  lagaleltronfol^a  und  hat  mit  dar  lax 
^•^*   >!'  solcher  nicht  das  mindesta  zu  tun  -  doch  ist  dia  lax  re^ia 
offenbar  Hie  einziga  l^L*   ^i*  ^err  'n.   dam  Nanen  nach  kannt.  ' 

Es  lohnt  nicht,  ins  Firzelne  zu  gahen,  \.o  dar  echta  Kam  der  <^iaban 
erbenden  Kai?ersohnt  und  -ankel  zu  suchan  ist,  varrSt  vialleicht 
Ann.Placant.    ad   a.l'^h?,  TO.SS.yVIII,l!96,   rebst  Collenuccio-Mainardin 
von  Imola   (cf.meinan  Erg.Ed,3C2ff ).      Aber  das  ist  eina  andara  Fraga. 
Insgesamt,   ich  schSma  mich  meinar  Alma  Mater  Haidalberg,   dia 
ein  seiches  unerhbrtas  Machwark  als  Dis^artation  anFanornmen  hat.   Ratan 
Sie  Kerm  w.  dringend  ab,   diasas  Zeugs  zu  druckan;   druckt  ar  as  abar, 
so  mtJchte  ich  es  im  BA  hasprachan,   und   zu  diasem  Z'-ack  haben  Sia  bitta 
diesen  Brief  auf .  Das  MS  gaht  sofort  an  Sie  zurUck. 

Es  hat  mich  ausserordentlich  rafraut,   Sia  in  Rom  kannen  palamt 
und  doch  verteltnismasslg  haufig  gesahen   zu  haben.   Ihra  Arbaitan  in- 
teressieren  mich  naturgerrtSss  sehr.   wir  dia  Baathgen-Fastschrift 
elgentlich  gedruckt?  Und  wann,  wo?  GrUssan  Sia  bitta  Bob  Benson  sehr 
von  mir,   ^cr  -  mich  kennand  -  meln  Nichtschreiben  entschuldigen  wird; 
ich  wollta  ihm  gleich  nach  meinar  Ruckkahr  "ine  Zeila  schreiban,   urn 
ihm  zu  sagen,   vde  sehr  ich  mich  freuta,   ihn  so  arbaitsfrisch  wiedar- 
zufindan.   Auch  Frl.Dr. Authanrieth  meine  bastan  GrUsse  und  Dank  fUr 
ihren  Brief,   den  ich  bald  baantwortan  wa'-de.  D.O.Papars  7-8  warden 
bastallt. 

Mit  bestan  GrUssen  und  guten  'AUnschen,  und  mit  nachmaligam 
Dank  f Ur  das  MS, 

stets  Ihr 


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THE    INSTITETTE    FOR    ADVANCED    STUDY 

PRINCETON,     NEW     JERSEY 

7.   Dca.   19 -It. 


Lirber  Herr  Kloos, 

Dank  fUi-  Ihrer  ^ricf .    Inh  hstte  k-f.inf  Lhvung 
(oder  habe  f-s  vftrpessen),   dass  Sie  die  Arbeit  vor 
iwolf  besprech«sr  wollten  oder  sollten.   Eitte  tw.  Sie 
cs  -  Sie  konnfin  dabei  das  vor  rcir  Gesap-te  wiwder- 
holen,    soweit  es  Ihneri  riLitzlich  scheirit.     Dass  der 
Spanier,-Brief  im  Thomas  v.  Capua   rteht,    sagte  itiir  p.ir)- 
mal  Ecimj-  Heller.  Wie  die  Zusaramenh&rife  der  Testamerts- 
Uberli^rer-unp-  aussahen,   wus-te  ich  nicht,   konnte  ich 
vrohl  auch  kauni  vd-ssen,   de  ich  kein  Initierverzeichnis 
der  TvC-Saramlung  kannte.      ifcarirr.  aber  sollte  dann  .lordan 
y.Terracina  nicht  das  BtilUbunps-Tertamert  vcrwendet 
(xch  sare  nicht:   -  -^   -t)  haben?  Es   Ift  f.ine  fur  SHI 
seiche  SairaTLLunr'er   ,      : :    auf  pesch.  ntf  Forrr:;    solche 
Sachen  finder  sich  doch  auch  im  fti¥  (111,68,69  etc.) 
c-nen  durchaus  ein  sog.   "echter  Ecrn"    zuprtm-le  lie^en 
map.      Dank  fir-   X  3,25,3,    das  das  apud   ecrleEJair.  T  rt. 

Da  Sie  sich  for  die  Identitl^t  von  Vcter  und  5ohn 
'■n,  hier  noch   cin  paar  Stellen,   damit  man 

-      . beisanrmen  hst : 

Archidiakon  (r:-uido  v.   Baysio),    zu  VI,1,B,2    ( 'De   sup- 
plenda  neglig.   prael.,   lex  Grandi),n.?   (Tenedig,!"??), 
fol.Ulj  V.  f ilio ;   "filius  une  persons   est  cinr.  nstre 
sue.    3''.qufrt.:,    J'   hi'    ?uctoritstibuE. " 


Vor  alien,  aber  Johannes  "--erson,  Tii 


J^-gy-.   I,consid«IT, 


in  upera.    ed.Ellics  du  ?in,   1706,Antwerpen,  IV,''5'lf : 

"£.st  enim  [DclphJ.nu5J    tanquair.  una   cwi  Rege  persona, 
"undum  Sapientis     dictum  Eccli.  IIX  [jlj] :    'Kortuus 
-  -   pater  ci   quasi  non  est  mortuus,   -  " '    uit  enim 
siinilem  filiw.  post   se.  '  Pgter  post  i.lm,    sui   civil 

em  mortem,   in  filii  svii  adhuc  vivit  persona." 
Damit  r-st  sich  av  '  panze  Tlcschiohte  des  "ViTit 

et  non  vivit"   r>->"  i_.     _    » 


n    L    II    J 

U     J     U    L 


M    '72  (^       (|//M         f]/\A^\     iic^\/^.\^a^iMir7     Co(pprHnin 


S9J/ 


^ciCPm    to    I  ^i^(^^    ^    C:cUrnf     ^'  f^^  ^    7/,,, 


J/ 


^ 


u>  ^pGoAux^vw,  XXX  M  (1857;^  261  'iV5.  Coy)'a^MB\  mmiarviTO^ 


L 


{ 


n    L    i  i    J 
U    J    U    J 


^48. 


Tst^'ltTJ''  '''''  ^"'  ^^^  ^^^-^  ^'  P--  de  Vinca," 


(1957),  231-249. 


Speculum,  XXXII 


Offprint,    no   annotati 


ons. 


A. 
B. 
C. 
D. 


G. 

H. 
I. 
J. 

A. 

L. 


Letter  from  Jamuel  ^horne ,  P.?   3ept  56 
Ideia,  31  July  56 

Lett«.  f.o™  H.,,.Hich,.d3on,  ,n  Aug  56  (3  p,«a3.  Mue, 
Idem,  3  July  57 

Letter  from  R.M.Kloos,  30  Aug  56 
Letter  from  H.  G.^^ichardson,  P  ?eb  55 
^dem,  10  Feb   $$ 

Letter  from  G.O.Sayles,  ?_   Aug  56 

Letter  W.   to  H. G. .i ch.rdson  (copy),  9  Julv  56 

Letter  EK  to  G.O.Savles  (copy),  22   July  56 

Lstter  from  G.  0.  styles,  li,  Nov  57. 

Letter  from  T. P. T.riucknett ,  19  Dec  59 


n   L    1 1    u 

u    J    u      I 


.'r 


AN  OFFPRINT  FROM 


SPECULUM 

A  JOURNAL  OF  MEDIAEVAL  STUDIES 

Vol,  XXXII  April.1957  No.  2 


THE  PROLOGUE  TO  FLETA  AND  THE  SCHOOL  OF 
PETRUS  DE  VINEA 


ERNST  H.  KANTOROWICZ 


THE  MEDUEVAL  ACADEMY  OF  AMERICA 

CAMBRn)GE.  MASSACHUSETTS 


/  /    i~    n    c 

/_/       _'      U       -/ 


SPECULUM 

A  JOURNAL  OF  MEDIAEVAL  STUDIES 


Vol.  XXXII 


APRIL  1957 


No.  2 


THE  PROLOGUE  TO  FLETA   AND  THE  SCHOOL 
OF  PETRUS  DE  VINEA 

Hy  ERNST  H.  KANTOROWTCZ 

Not  the  least  among  the  many  obvious  advantages  of  a  new  edition  of  an  old 
text  is  that  the  unaccustomed  setting,  print,  and  size  may  render  even  a  familiar 
text  imfamiliar  and  cause  the  reader's  eye  to  rest  on  passages  which  formerly  he 
may  have  failed  to  notice.  In  John  Selden's  seventeenth-century  editions  of  that 
summary  of  English  or  (better)  Bractonian  law  which  passes  under  the  puzzling 
name  of  Fleta  the  Prologue  is  somewhat  lost.  Printed  in  italics  on  a  single  sheet 
following  the  title  page,  it  is  separated  from  the  text  proper  by  many  pages  of 
Tituli  capitulorum,  and  from  some  copies  in  our  public  libraries  the  lonely  Pro- 
logue sheet  may  have  even  vanished  entirely.'  In  the  handsome  new  edition  of 
Fleta  prepared  for  the  Selden  Society  by  the  distinguished  Dioscuri  of  English 
mediaeval  studies,  Mr  Richardson  and  Professor  Sayles,  the  author's  I'rologue 
cannot  easily  be  missed.'  In  the  margin  of  the  English  translation  which  runs 
parallel  with  the  Latin  text,  the  editors  have  indicated  the  sources  from  which 
Fleta  drew,  and,  if  we  disregard  an  isolated  Biblical  reference  to  Ezekiel,  it 
turns  out  that  all  the  marginal  quotations  refer  to  the  Prologue  of  Glanville's 
De  legihus  Aiigliae}  The  oi)ening  words  of  Glanville  and  therefore  of  Fleta,  it  is 
true,  are  ultimately  a  paraphrase  of  the  Prologue  to  Justinian's  Institutes  adapted 
to  the  roj'al  dignity  (replacing  Imperatoriam  maiestatem  by  the  more  modest 
liegiam  poiestatem) ;  but  since  Fleta  copied  verbatim  the  text  of  Glanville,  and 
not  that  of  the  Roman  textbook,  the  editors  of  Fleta  were  probably  correct  in 
leaving  the  indirect  borrowing  from  the  Institutes  unmentioned. 

'  Fleta,  seu  Commentarius  lurit  Anglicani  (London,  1647;  2nd  ed.,  1685);  cf.  loannis  Seldeni,  Ad 
Fletam  Disseriatio,  ed.  David  Ogg,  Cambridge  Studies  in  English  Legal  History  (Cambridge,  1925). 

'  Fleta,  edited  with  a  translation  by  H.  G.  Richardson  and  G.  O.  Sayles,  Selden  Society,  lxxii 
(London,  1955),  Vol.  ii.  Vol.  i,  containing  the  introduction,  has  not  yet  been  published.  To  assess  the 
date  of  Fleta  is  difficult.  Mr  Richardson  kindly  informed  me  that  the  book  must  have  been  in  the 
making  before  the  expulsion  of  the  Jews  (July-October  1290);  that,  however,  the  submission  of 
Scotland,  referred  to  in  11,  c.  13,  suggests  a  date  not  earlier  than  1292  or  even  1296;  consequently, 
Fleta  in  its  present  form  would  get  a  date  1296-1300,  but  an  origin  many  years  previously.  There  is, 
of  course,  no  way  to  tell  at  what  stage  of  the  work  the  Prologue  was  written. 

»  Glanvill,  De  Legibus  et  Consuetudinibw  Regni  Angliae,  ed.  George  E.  Woodbine,  Yale  Historical 
Publjcatioiu:  ManuscripU  and  Edited  Texts,  xm  (New  Haven,  1932). 

231 


n    L    n    L 
u    J    u    u 


.i^lkm 


232 


The  Prolofiiic  fn  Fleta 


Glanville  addressed  his  Prologue  to  Henry  II  and  praised  this  king  in  high- 
flown  words.  Fleta,  writing  in  or  shortly  after  I'-ZOO,  used  his  model's  dithyrambs 
to  exalt  King  Edward  I.  And  the  same  precious  words  were  used  a  third  time, 
when  the  author  of  the  liegiam  Maiestatem,  the  Scottish  version  of  (Jlanville, 
addressed  his  sovereign  lord,  the  king  of  Scots/  There  seems  to  have  been  in 
thirteenth-century  Phigland  a  serious  shortage  of  panegyric  vocables.  John 
Selden,  no  doubt,  felt  fully  justified  in  drawing  the  treacherously  obvious  con- 
clusion; "therefore  little  can  be  deduced  from  such  eulogies."*  The  present  paper 
intends  to  demonstrate,  on  the  contrary,  that  very  much  can  be  deduced  from 
such  eulogies. 

For  no  obvious  reason,  the  editors  of  the  new  Fleta  indicate  only  where  the 
borrowings  from  Glanville  begin,  but  not  where  they  end.  In  fact,  the  writer  of 
Fleta  has  inserted  into  the  Prologue  of  Glanville  a  long  passage,  followed  by  a 
minor  one.  His  style  undergoes  a  sudden  change:  the  sentences  roll  forth  in  per- 
fect rhythms,  and  at  the  end  of  a  clause  the  cursus  vclox  is  hardly  ever  omitted. 
Moreover,  Glanville's  eulogies  of  Henry  II  are  not  only  augmented  by  new  sets  of 
images,  but  soar  to  a  most  surprising  and,  if  one  may  say  so,  most  un-English 
pitch."  Edward  I,  quite  unexpectedly,  appears  like  another  paradisian  Adam,  a 
cosmic  ruler,  "whom  the  great  Artificer's  hand  formed  into  man."'  He  appears 
as  the  messianic  prince,  announced  by  Isaiah,  in  whose  days  "spears  are  turned 
mto  reapmg-hooks  and  swords  beaten  into  ploughshares,"  who  bin<ls  the  con- 
trastmg  elements,  "so  that  crooked  is  turned  into  straight,  and  rough  are  turned 
mto  smooth  paths,  levelling  the  depths  with  the  heights  and  the  heights  with 
the  depths  by  a  marvellous  art."«  Ad  memoriam  futurorum  the  famous  deeds  of 
Edward  should  not  only  be  written  down  "with  the  pen  in  codes,"  but  be  "graven 
on  the  rocks  with  the  chisel."»  Rarely  has  a  mediaeval  English  king  been  glorified 

^  See  Thomas  Ttio.nson.  Regiam  Majestatem  and  GlanviU,  in :  The  Art.  of, he  Parliaments  of  Scotland 
(London.  1844).  r.  185  ff  cf.  H.  G.  Richardson.  "Roman  Law  in  the  Regiam  Majestatem,"  The  Jurid- 
ical  Review,  lxvii  (1P55),  155-187.  who  suggests  a  date  "in  the  1240's  " 

•  Selden  ^d  Ftetam,  X. ,.  ed.  Ogg,  p.  183.  Selden's  phrasing  is  not  quite  as  epigran.n.atic  as  that  of 
Oggs  Enghsh  tn,nslat.on;  cf.  p.  182:  "Adeoque  laudes  iUae  .  .  .  non  ita  in  argun.entun,  heic  tra- 
hendae.  What  Selden  means  to  say  .s  that  those  eulogies  are  of  little  value  for  an  individual  charac- 
ter.zat.on  of  Edward  I.  since  onginally  they  wen.  supposed  to  characterize  Henry  II.  Kven  that  is 

FdwaH  r°T  T'"n  T'  ""?'""  :'ll'"  ^'"^"''''  '"  ^'^'^  ^^'^  -'-'»>•  written  in  praise  of 
hdward  I  —  though  not  liy  the  author  of  Fleta.  Sec  l.elow  p  240 

«  The  insertions  (edRichardson-Sayles.  p.  1.  line  13.  to  p.  2.  line  U.  and  p.  2.  lines  26-31)  have 

PalllTJ"';  f  V  TlTJ-  ^-^'"•"-Y-ng.  "Who  wrote  'Fleta'.'."  in  his  CoUected 
Paper,  on  Mediaeval  Subjects  (Oxford.  1946).  p.  69,  says  that  the  Prologue  "except  for  three  sen- 

™Hv  n  7'  v''"T\  ""'""^  *'"'"^^  °"'y  ""  «"''•  P"«S^«P'-  (P-  3.  lines  10-21).  Ap- 
cZ,  a,  n  r  r  V  ""'  W  '"*^"'^^°"'y  '"  ''-  fi-'  -ti-.  for  a  scholar  so  familiar  wi  h  the 
c«r«^  as  DenhobT,-Young,s  (see  op.  at.,  pp.  26  ff..  on  "The  Cursus  in  England")  could  not  have 

S'Sfn,  of  R  .  •  Tr  7  '"  'l!f  '""'"'^  "'^'"""  •^''°"'  Woodbine's  opinion,  expressed  in  his 
!5feT  184  vP  7  ".    f  "  Consuetudinihu..  Angliae  (Xew  Haven.  1915).  ,.  17.  and  of  Glan- 

vine,  p.  184.  V.  Prologus,  see  below.  Appendix. 

'  Richardson-Sayles,  p.  2.  lines  4  f. 

sint  planas."  See  below,  no.  37,  lines  6  f..  and  Isai.  xl.  4.  .         P  ra  in  vias  iconversa) 

•  Ibid.,  p.  1.  lines  15  ff.  Cf.  Job,  xix.  24. 


The  Prologue  to  Fleta 


233 


in  similar  terms.  If  the  feelings  towards  his  king  ran  so  extravagantly  high  on  the 
part  of  a  man  whom  Edward  I,  as  we  are  led  to  assume,  put  into  jail,  the  expres- 
sion of  those  feelings  might  serve  as  a  document  humain  characterizing  the  gener- 
ous and  noble  mind  of  both  Fleta  and  the  "English  Justinian."  Unfortunately, 
however,  those  intercalated  pas.sages  are  no  more  Fleta's  own  invention  than  is 
the  main  body  of  his  Prologue,  which  was  fathered  by  Glanville.  They,  too,  are 
borrowed,  and  the  story  of  those  borrowings  is  .so  interesting  that  it  seems  worth 
the  while  to  make  the  details  of  the  case  more  generally  known. 

One  text  which  served  Fleta  for  the  embellishment  of  his  Prologue  was  the 
great  Eulogy  for  the  Emperor  Frederick  II  which,  in  the  manuscripts,  is  usually 
ascribed  to  the  imperial  protlionotary  and  logothetes,  Petrus  de  Vinea  {Epis- 
iolae.  III,  44),  and  recently  has  been  ascribed,  with  some  good  reasons  and  some 
bad,  to  Nicolaus  de  Rocca,  Vinea's  most  gifted  pupil.'"  What  Fleta  took  from 
the  Eulogy  becomes  evident  by  reproducing  Fleta's  insertions  in  parallel  with 
the  relevant  passages  of  \inea,  iii,  44,  and  underscoring  the  concordances, 
whereas  passages  italicized  or  set  in  boldface  type  may  be  disregarded  for  the 
present  moment." 

'"  The  Eulogy,  as  this  piece  may  be  called  here  for  reasons  of  convenience,  has  been  edited  several 
times;  see  Petrus  de  Vineis.  Epistolarium,  in,  44,  ed.  Simon  Schard  (Basel,  1566).  467  ff.,  and,  for  a 
slightly  better  edition.  .\.  IIuilhinl-Brcholles.  Vie  et  correspondance  de  Pierre  de  la  Vigne  (Paris,  1865), 
425  f.,  No.  107.  Neither  of  these  editions  is  satisfactory.  More  recently  Karl  Pivec,  "Der  Diktator 
Nicolaus  von  Rocca:  Zur  Geschichte  der  Sprachschule  von  Capua,"  Innsbrucker  BeitrUge  zur  Kul- 
turwissenschaft,  i  (1953).  135-152.  has  made  a  new  edition  of  the  Eulogy,  based  upon  Dietrich  of 
N'ieheim's  Viridarium  imperatorum  et  regum  Romanorum  (written  in  1411).  an  author  who  in  his  turn 
reproduced  it  from  a  so-called  Vinea  collection;  see  also  the  new  edition  of  the  Viridarium  by  .\. 
Lhotsky  and  K.  Pivec,  in  Man.  Germ.  Hist.,  Staat.ixchriften  des  spatercn  Mittelalters,  v:l  (Stuttgart 
1956).  70  f.  .Vlthough  Pivec  (on  the  basis  of  the  Viridarium,  but  without  considering  the  full  text 
transmission  [below,  n.  16|)  was  able  to  correct  a  few  errors  of  Schard  and  Huillard-Brcholles.  his 
own  rather  high-handed  emendations  have  brought  new  mistakes  into  the  text;  and  while  his  attribu- 
tion of  that  piece  to  Nicolaus  de  Rocca  is  appealing  and  prol)ably  correct,  his  comparisons  of  style 
are  not  at  all  convincing.  See,  for  the  involved  problem,  the  review  by  Rudolf  M.  Kloos,  in  Deutschei 
Archiv,  XI  (1955),  567  f.  I  am  greatly  indebted  to  Dr  Kloos  for  a  nunil)er  of  suggestions  he  made  in 
connection  with  the  present  paper. 

"  The  text  of  Fleta  is  that  provided  by  Richardson-Sayles  with  one  or  two  obvious  emendations 
(e.g.,  above,  n.  8).  The  text  of  the  Eulogy  follows,  on  the  whole,  that  of  Huillard-Breholles,  but  con- 
siders al.so  that  of  Pivec  where  readings  are  improved;  the  task  of  a  new  edition  of  that  piece  of  rhetoric 
remains  with  the  Monumenta  Germaniae  Ilistorica.  Fleta's  quotations  from  the  Eulogy  are  scattered 
all  over  the  inserted  part  of  his  Prologue;  therefore  the  line  numberings  of  Fleta's  insertion  are  added 
to  the  Eulogy  in  parentheses.  In  order  to  avoid  repetition.  I  have  integrated  the  parallels  from  two 
letters  of  Stephen  of  San  Giorgio.  Hence,  simple  underscoring  means  (in  all  four  pieces)  parallels  with 
the  Eulogy  of  Vinea  (or  Rocca);  italics  means  parallels  with  Stephen  of  San  Giorgio 's  Laudes  for 
Edward  I  (see  below,  p.  240);  finally,  boldface  implies  parallels  with  Stephen's  letter  to  the  king  of 
Castile  (see  below,  n.  37).  In  the  apparatus  of  all  the  texts  the  following  sigia  are  used: 
[    1     Bold  brackets  =  Glanville. 
RS  =  Richardson-Sayles  (edition  of  Fleta). 
St  =  Stephen  of  San  Giorgio:  Laudes  for  Edward  I. 
StC  =  Stephen  of  San  Giorgio:  Letter  to  Castile. 
Vin  =  Pu/ojv  edited  by  Huillard-Breholles. 
P  ^  Eidogy  edited  by  Pivec. 


U     J    U 


234 


The  Prologue  to  Fleta 


The  Prologue  to  Fleta 


235 


FLETA,  Prol. 

[Quam  eleganter  aut  quam  strenue,  quam  cal- 
lide  hostiumque  obviando  maliciis  excellentissi- 
mus  rex  noster  Edwardus  hostilitatis  tempore 
armatam  excercuerit  niiliciam  neinini  venit  in 

*  dubium,  cum  iam  in  omnem  terram  exierit  laus 
eius  et  in  onincs  fines  magnalia  eius]  et  intonuerunt 
longe  laieque  mirifice  verba  sua  in  terminos  orbia 
lerre.  Quis  ergo  posset  amplo  famine  prepotens 
eius  ample  precoma  laudis  exprimere  cuius  ah 

10  tempore  nature  cunabilis  gesta  conspicua  memori- 
alibus  sunt  commendenda  perpetuis  et  cuius  etate 
crescente  cum  tempore  facta  magnifica  calamo  sunt 
exaranda  codicibus,  sed  celte  pocius  sculpenda 
scilicibus  ad  memoriam  futurorumf  Quis  unquam 

U  posset  explicare  sermonibus  graciarum  uberes  dotes 
eius  qui  statura  decorus  placet  aspectibus,  speciosus 
forma  pre  filiis  hominum  desideralur  a  gentibus, 
qui  trahit  effluencia  largitatis  ut  adamas,  qui  sic 
apparet  in  oculis  omnium  graciosus  ut  favorem 

*0  quasi  possideat  omnis  carnis?  Porro  lingue  de- 
jiciunt,  ora  subcumbunt,  labia  tremefiunt,  et 
facundia  subticet  Tulliana.  Hie  est  enim  de  quo 
scriptum  est  'Aquila  grandis  magnarum  alarum, 
longo  membrorum  ductu,  plena  plumis  et  varietate,' 


80 


S3 


45 


«0 


VINEA.  m.  44 


Grandis  namque  progressus  materie  .  .  .  et  ex 
tele  diffuse  contextu,  que  de  preconio  (9)  summi 
Cesaris  hostes  cedentis  orditur,  ne  quid  ex  con- 
tingentibus  obmittatur,  manus  scribentis  tre- 
mescit  (21)  et  stuf)et.  Quis  enim  posset  amplo 
famine  prepotens  (8)  taiiti  principis  insignia  pro- 
mere  in  cuius  pectus  confluunt  quicquid  virtutes 
habent  .  .  .  ?  Non  Plato,  non  TuUius  (ii)  .  . 


Hunc  siquidem  terra,  pontus  adorant  et  ethera 
satis  applaudunt,  utpote  qui  mundo  verus  im- 
perator  a  divino  provisus  culmine  pacis  amicus, 
charitatis  patronus,  iuris  conditor,  iusticie  con- 
servator, potentie  filius,  mundum  perpetua  ra- 
cione  gubernat  (40). 


2S     ethic  est  cuius  emissadepharetranunquamrediit      ^'^   "'   de   quo    Ezechielis    verba    proclamant 

'Aquila  grandis  magnarum  alarum,  longo  ductu 
membrorum,  plena  plumis  et  varietate  multiplici.' 
Hie  est  (25)  de  quo  loquitur  leremias  .  ,  . 


sagitta  retrorsum,  cuius  gladius  eductus  ut  pro- 
deret  non  est  reversus  inanis,  dum  sic  incessanter 
dimicaret  in  hostes  ut  magnificus  semper  in  bellicis 
actibus  triumphator.  Surgite  igitur,  0  animosi  et 
iuvenes  bellicosi,  exjAicate  vexilla,  clangite  tubis, 
et  festum  agile  tanto  regi,  qui  viriliter  sumens  ab 
adolescentia  sua  scutum  et  ad  viriles  annos  usque 
perpeniens  indefecte  pugnarit  et  strenue  pro  iure 
suo.  iSt  quis  ergo  Martis  aditare  prelia  concupiscit, 
fcstinus  regem  hunc  adeat,  qui  docet  manus  inperi- 
ias  ad  prelium  et  humeros  pulcre  parat  ad  sarcinas 
ponderum  bellicorum.  Hie  revera  etiam  est  quem 
summi  manus  Artificis  forraavit  in  hominem, 
qui,  sub  libra  mansuetudinis  et  levamento 
clemencie  cuncta  deliberans,  utpote  pacis  ami- 
cus, caritatis  patronus,  iuris  conditor,  potencie 
filius,  populum  sibi  subditum  perpetua  racione 


Talem  namque  totus  orbis  vocabat  in  dominum, 
talein  requirebat  iusticie  defensorcm,  qui  in 
potentia  strenuus,  in  strenuttate  preclarus,  in 
clariiate  benignus,  ...  in  providentia  foret  hu- 
nianus.  In  eo  denique  insita  forma  boni,  tanquam 
livore  carens,  climata  ligat  (43)  et  elementa 
coniungit,  ut  conveniant  flammis  frigora,  iungan- 
tur  arida  liquidis,  planis  associentur  aspera,  et 


gubernat,   pacis   ligans   federibus   universa,   ut      directis  invia  maritentur  (44).  Sub  eius  namque 
prava,  indirecta  et  aspera  in  vias  sint  planas,      temporibus  (50)  destruuntur  fomenta  malicie, 

virtus  (52)  securitatis  inscritur:  itaque  gladii 
conflantur  in  vomeres  (55),  pacis  federe  (43) 
suffocante  timorem  . 


yma  summis  summaque  ymis  arte  quadam 
mirabili  coequando.  Et  cum  magnum  ita  iudicet 
sicut  parvum,  non  est  apud  eum  accepcio 
muneris  vel  persone. 

[Quam  iuste  —  racione  promptissimus].  Sub 
eius  namque  temporibus,  que  sibi  Dominus  in 


O  miranda  divina  de- 
mentia .  .  .  ,  perituro  mundo  de  tam  mundo 
principe  .  .  .  providisti,  qui  ex  omni  parte  btaius, 
strenuus   in    toto  .  .  . ,   quem    supremi   manus 


tempore  feliciter  longiora  prolonget,  fomenta 
malicie  destruuntur,  virtutum  germina  hinc  inde 
pululant,  in  spicis  grana  fructificant,  et  pacis 
orrea  lucupletantur,  ita  quod  lancee  vertuntur 
8*  in  falces,  gladii  conflantur  in  vomeres  et  quicquid 
quisquam  effrenis  audet  et  inmoderate  presumit 
ambicio  sue  potentis  auctoritatis  censura  casti- 
gat. 

[Leges  autem  Anglicanas.  .  .  .  ] 

5.  in-eius]  cf.  Ps.  18,  5;  cf.  Eugen  MUller,  Peter 
von  Prezza  (Heidelberg,  1913),  140,  No.  19.  7. 
verba  sua]  nomen  suum  St.  8.  posset)  possit  St, 
P.  10.  tempore]  ipsis  St.  12.  calamo-codicibus, 
ad-futurorum]  cf.  StC.  and  also  Job  19,  24.  14. 
unquam  posset]  inquam  possit  St.  18.  qui]  et  St. 
23.  Aquiia-varietate]  cf.  Ezech.  17,  3.  24.  varie- 
tate] decora  add.  St,  multiplici  add.  Vin.  26. 
proderet]  perderet  St.  27.  incessanter]  strenue 
add.  St.  29.  actibus]  extiterit  add.  St.  29.  o  ani- 
mosi] o  quirites  et  milites  St.  31.  et  festum]  et 
diem  festum  St.  33  indefecte]  indefesse  St.  33. 
iure  suo]  populo  christiano  St.  34.  aditare] 
adiscere  St.  44.  prava-planas]  prava  in  directa 
et  vias  aspera  con  vertuntur  in  planas  StC; 
cf.  Is.  40,  4.  44.  et  cum-persone]  StC,  cf.  2 
Chron.  19,  7.  50.  que-prolonget]  cf.  Vin.  53.  51. 
fomenta]  fermenta  emend.  RS.  55.  gladii-vo- 
meres]  cf.  Is.  2,  4. 


opificis  formavit  in  hominem  (38),  ut  tot  rerum 
habenas  flecteret  et  cuncta  sub  iuris  ordine 
limitaret.  O  utinam  divina  provisio  .  .  .  annos 
augusti  regnantis  augeres  I  .  .  . 


8.  posset]  possit  St,  P;  prepotens]  St,  P,  pre- 
potentis  Vin.  15.  terra-ethera]  cf.  infra,  n.  36; 
Ovidii  iletam.  \,  15,  laudat  P.  16.  mundo]  mun- 
dus  emend.  P.  19.  iusticie  con.servator]  om.  RS, 
St,  P.  20.  mundum-gubernat]  cf.  Boethius, 
Consol.,  Ill,  metr.  9;  racione]  relatione  Vin.  27. 
multiplici]  decora  St,  om.  P.  36.  vocabat]  vo- 
cavit  emend.  P;  cf.  Kloos,  Deutsches  Archiv,  XI, 
567.  39.  insita-liquidisj  cf.  Boethius  I.e.,  Klous, 
I.e.,  186f.  46.  federe]  guerrarum  add.  P.  51. 
hominem]  homine  isto  P;  rerum-flecteret]  Ovidii 
Metam.,  II,  169,  laudat  P,  sed  pauca  habet  ad 
rem;  cf.  Boethius,  Consol.,  Ill,  metr.  2.  53. 
annos]  animos  emend.  P;  annos-augeres]  tales 
acclamationes  saepissime  inveniuntur;  cf.  Fleta, 
50  (que-prolonget);  StC,  27  (Augeat-vite  vestre). 


The  parallels  are  so  striking  that  no  comment  is  needed.  It  is  true,  Fleta's  pre- 
dilection for  picking  isolated  half-sentences  from  the  Eulogy  and  strewing  them 
like  orange-blossoms  on  the  reader's  path  is  slightly  baffling.  This  oddity,  how- 
ever, may  find  an  explanation  later. 

More  perplexing  is  the  fact  that  Fleta  knew  the  Eulogy  at  all.  Admittedly, 
letters  of  Petrus  de  Vinea  or  his  school  were  known  in  England  long  before  and 
were  used,  for  example,  by  the  clerks  of  Henry  III  at  the  time  when  that  king 
embarked  on  his  hapless  Sicilian  adventure.''  In  that  case,  however,  the  originals 
were  official  writings  issued  by  the  imperial  chancery;  and,  although  we  are  not 
at  all  sure  how  some  of  them  happened  to  be  known  in  England,  those  official 
letters  could  have  been  collected  as  models  of  style  by  the  recipients."  The 
Eulogy,  however,  was  a  piece  of  a  very  different  character.  It  was  a  panegyric 
oration  with  which  Frederick  II  actually  may  have  been  greeted  on  some  occa- 
sion, just  as  it  was  customary  on  festal  days  to  honor  the  Byzantine  emperors  by 
a  panegyric  address."  More  likely,  however,  the  Eulogy  was  not  recited,  but 

"  See  E.  Kantorowici,  "Petrus  de  Vinea  in  England,"  ilitteilungen  dei  Osterreichitchen  IrutituU 
fur  Geschichtsforichung,  Ll  (1937),  43-88. 

"  "Transmission  through  the  recipient"  explains,  for  example,  the  fact  that  some  twenty  imperial 
writings  (including  a  letter  of  Walter  of  Ocra  to  Henry  III)  found  their  way  into  the  chronicles  of 
Roger  of  Wendover  and  Matthew  Paris;  cf.  Otto  Vehse,  Die  amtliche  Propaganda  in  der  Staatskunst 
Friedrichs  II.  (Munich,  1929).  pp.  216-236;  see  p.  218,  n.  Ill,  the  list  of  letters  used  by  Matthew 
Paris;  cf.  Kantorowicz,  op.  cit.,  pp.  75  f. 

"  Solemn  addresses  were  due  to  the  Byzantine  emperors  especially  on  the  day  of  Epiphany  (6 
January),  but  also  on  other  occasions  —  a  performance,  descending  from  Antiquity,  which  survived 


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236 


The  Prologue  to  Fleta 


was  merely  a  written  encomium.  The  recently  discovered  encomia  of  Abbot 
Nicholas  of  Bari,  which  in  style  and  content  are  closely  related  to  the  Eulogy, 
make  it  clear  that  this  literary  genre  was  cultivated  in  the  surroundings  of 
Frederick  II.'*  Panegyrics  of  that  kind,  however,  whether  actually  recited  or 
only  written,  could  not  nonnally  be  popularized  by  the  recipient,  who  was  the 
prince.  They  were,  as  in  Antiquity,  collected  and  released  by  the  author  himself, 
and  therefore  consigned  to  rhetorical  or  epistolary  collections,  to  "letter  books" 
in  the  broadest  sense  of  the  word.  Hence,  all  the  private  productions  (private  as 
opposed  to  pieces  issued  officially  by  the  chancery)  of  Vinea  and  Rocca  and  others 
have  reached  us  in  such  collections,  no  matter  whether  these  letter  books  were 
destined  to  sail  under  the  name  of  \inea  or  another  famous  dictator,  or  were 
nameless  and  represented  indiscriminately  letters  by  many  authors.'*  The  possi- 
bility that  the  Eulogy  for  Frederick  II  could  have  been  transmitted  separately, 
and  not  within  the  framework  of  some  Epistolarium,  therefore  should  probably 
be  ruled  out.'^ 

To  cut  a  long  argument  short,  we  have  to  assume  that  the  author  of  Fleta  had 
at  his  disposal  some  \'inea  collection  from  which  he  culled  his  rhetorical  flowers. 
This  would  not  be  impossible  at  all.  The  Vinea  collections,  as  we  know  them, 
were  composed  in  the  late  thirteenth  century  —  perhajjs  in  Paris,  perhaps  at  the 
Curia,  perhaps  independently  at  both  places  —  and  Fleta  wrote  around  1290  or 
at  any  rate  before  1300.'«  All  that  sounds  rea.sonable  enough.  Why  should  Fleta 
not  have  owned  a  copy  of  the  famous  Epistolarium'^  It  would  be  one  more  warn- 
ing to  the  historian  not  to  neglect  the  Sicilian  material  when  working  on  English 
problems  of  legal  and  intellectual  history  in  the  thirteenth  century.'"  In  fact, 

until  the  end  of  the  Byza.itine  empire.  Unfortunately,  only  a  few  of  the  mediaeval  speeches  are 
accessible  in  modern  editions;  see,  i>owever.  W.  Kegel,  Font,;s  rerum  B^zantmarum  (St  Petersburg, 
1917).  or  Max  Bachmann,  Die  Rede  des  Johannes  Syropulos  an  dm  Kaiser  Isaak  II.  Angelas  (Diss. 
Munich,  1935).  A  Corpus  Panegyricorum  Ryzantinorum  is  a  long-felt  and  urgent  de.sideratum  of  every 
student  engaged  in  Byzantine  studies,  since  those  encomia  are  among  our  most  valuable  .sources  for 
the  history  of  political  ideas  and  intellectual  history  in  general.  It  would  not  be  too  difficult  to  show 
that  the  Byzantme  pliraseology  affected  also  the  panegyrics  of  orators  in  the  surroundings  of  Frederick 
11.  as.  for  example,  the  eulogies  of  .M.bot  .Vicholas  of  Bari  (see  next  note). 

>'  R.  M.  Kloos.  "Nikolaus  von  Bari,  eine  neue  Quelle  zur  Entwicklung  der  Kaiseridee  unter  Fried- 

;',c         '*^'  ^''*''''  '^  ('»^*-5-')>  166-190.  There  are  three  panegyrics:  one  on  the  Constilu- 

tions  of  Melfi  (Liher  augustalL,),  and  one  each  for  Frederick  II  and  Petrus  de  Vmea.  For  Petrus  de 

Vmea.  of  course,  there  exists  yet  another  encon.ium.  written  by  Nicolaus  de  Rocca;  see  Vinea.  Ep., 

HI.  45,  ed.  Schard,  470;  ed.  Huillard-Brcholles,  op.  cit.,  p.  289,  No.  i. 

"See  the  highly  suggestive  paper  by  Hans  Martin  Schaller,  "Zur  Entstehung  der  soge.iannten 
Briefsammlung  des  Petrus  de  Vinea,"  Deutsches  Archiv,  xn  (1956).  114-159.  .\ccording  to  Schaller. 
the  Eulogy  (Vinea.  ni,  44)  is  found  in  both  the  large  and  small  six-book  collections  (pp.  HI.  129).  in 
the  large  five-book  collection  (p.  132).  though  not  in  the  shorter  one  (p.  134).  and  in  some  of  the 
collections  not  organized  in  books  (p.  141).  Whether  the  author  of  the  Eulogy  was  Petrus  de  Vinea  or 
.Nicolaus  de  Rocca  makes  no  difference  here  nor.  probably,  with  regard  to  the  transmission  of  the 
text. 

"  This  is  true  also  with  regard  fo  the  copy  transmitted  through  Dietrich  of  Xieheim  (above,  n.  10). 
since  Dietrich  avowedly  reproduced  his  text  from  a  Vinea  collection. 

"  See  Schaller.  op.  cit.,  pp.  126  ff.  132  ff. 

>»  In  addition  to  the  study  mentioned  above  (n.  12).  see  also  a  remark  about  Bracton  and  the 
bicilian  law  books  m  Harvard  Theological  Review,  Xlvui  (1953),  70,  n.  16. 


«  i 


>    ".' 


The  Prologue  to  Fleta 


237 


however,  Fleta  was  in  a  far  more  curious  position.  He  may  have  derived  his 
knowledge  of  epistolary  models  both  from  the  recipient  and  from  the  author 
himself. 

In  the  Necrology  of  Montecassino  an  entry  is  found  on  23  October:  "Obbiit 
Alagister  Stephanus  de  sancto  Georgio  .scriptor  domini  pape  et  consiliarius  et 
secretarius  regum  anglie  et  sicilie.''^"  The  entry  is  correct.  Master  Stephen  of 
San  Giorgio,  a  fairly  well  known  man,  served  many  lords,  and  with  many  at 
the  same  time.^'  Between  1281  and  1285,  we  meet  him  as  chamberlain  and  chap- 
lain in  the  entourage  of  Cardinal  Hugo  of  San  Lorenzo  in  Lucina,  an  Englishman 
who,  when  still  Master  Hugo  Atratus  of  Evesham,  had  served  as  a  royal  clerk 
under  Edward  I."  Edward  I  in  1283  appointed  Stephen  his  proctor  at  the  papal 
court  in  Rome.  At  the  Roman  Curia  Stephen  had  the  office  of  a  papal  scriptor. 
Finally,  in  those  perilous  years  when  the  conflict  between  Naples  and  Aragon, 
as  a  result  of  the  Aragonese  conquest  of  Sicily,  became  the  major  problem  of 
European  politics  and  diplomacy,  Stephen  took  up  service  also  with  King  Charles 
II  of  Naples,  his  native  lord.^' 

That  Stephen  of  San  Giorgio  was  a  South  Italian  cannot  be  doubted.  His 
brother  Peter  of  San  Giorgio,  who  received  from  Edward  I  the  title  of  a  "king's 
chaplain,"  was  a  monk  in  Montecassino.  Thomas  of  San  Giorgio,  magister 
racionalis  of  King  Charles  II  of  Naples,  may  have  belonged  to  the  same  family, 
although  the  name  "de  Sancto  Georgio"  was  not  too  rare  in  Italy.^"  Decisive 

"  Mauro  Inguanez,  /  Necrdogi  Cassinesi  (Rome,  1941).  i.  23  October  ("II  necrologio  del  codice 
Cassinese  47"),  quoted  by  R.  Weiss  (see  next  note),  p.  164.  n.  43. 

•'  See  T.  F.  Tout,  Chapters  in  the  Administrative  History  of  Mediaeval  England  (Manchester.  1920), 
II,  24,  n.  1,  who  has  summetl  up  a  few  dates  from  the  Patent  Rolls;  the  fullest  biographical  account  has 
been  given  by  Robert  Weiss,  "Cinque  lettere  inedite  del  Card.  Benedetto  Gaetani  (Bonifacio  VIII)." 
Rivista  di  Storia  delta  Chiesa  in  Italia,  in  (1949).  162  fT;  see  also  G.  L.  Haskins  and  K.  II.  Kantoro- 
wicz.  ".\  Diplomatic  Mission  of  Francis  Accursius  and  his  Oration  before  Pope  Nicholas  III,"  Englith 
Historical  Rerieir,  lviii  (1943),  424.  n.  4.  and  the  study  by  Taylor  quoted  lielow  (n.  31).  Service  with 
more  than  one  lord  at  the  same  time  was  nothing  extraordinary;  Galfridus  .\nglicus.  e.g.,  was 
simultaneously  clerk  to  the  kings  of  Castile  and  England  (cf.  Denholm-Young,  "The  Cursus  in  Eng- 
land." in  Collected  Papers,  pp.  33  f.).  and  there  are  many  other  examples  available. 

"  The  Collegium  capiiellanorum  domini  Ilugonis  Cardinalis  addresses  Stephen  repcate<lly  as 
concappellanus;  .see  Paris.  B.  N.  MS.  lat.  8567,  f.  18,  where  (f.  20")  the  chaplains  write  to  another 
chaplain  "per  Stephanum  de  Sancto  Georgio,  Camerariuin  ipsius  Cardinalis."  For  Hugo  .\tratus  of 
Evesham,  cf.  Calendar  of  Close  Rolls,  IS7S-79,  p.  158.  He  became  a  cardinal  in  1281  and  died  in  1285. 
Stephen  was  absent  from  England  in  the  early  1280's  (see  below).  May  we  assume  that  he  accom- 
panied the  new  cardinal  to  the  Curia  as  a  chaplain  and  chamberlain  of  the  cardinal's  household? 

"  For  Stephen's  appointment  as  Edward's  proctor,  see  Patent  Rolls,  1S81-1S9S,  p.  86,  He  l>ecame 
scriptor  domini  pape  (according  to  Weiss.  "Cinque  lettere."  p.  163,  n.  37)  between  1285  and  1287  at 
the  latest;  in  1288  (20  August),  he  is  certainly  mentioned  in  this  capacity  in  papal  letters;  cf.  Erne.st 
Langlois.  Les  Registres  de  Nicolas  IV  (Paris.  1905),  t,  34,  Nos.  211  ,212.  He  could  not  have  taken  up 
service  with  Charles  II  prior  to  the  latter's  liberation  from  .\ragonese  captivity  by  the  treat}-  of 
Campfranch,  in  October  1288  (see  below,  nn.  52  ff.);  in  1289,  he  drafted  Charles  IPs  proclamations 
announcing  the  king's  coronation  at  the  hands  of  the  pope  (Rieti,  26  May;  below,  n.  55).  Benedetto 
Gaetani.  in  letters  to  Edward  I  in  June  1290,  repeatedly  styled  Stephen  "vestro  et  excellentis  Principis 
domini  Cfaroli]  Sicilie  Regis  illustris  clerico"  (Weiss,  op.  cit.,  pp.  159  f,  Nos.  n  and  in). 

"  For  Peter  of  San  Giorgio,  see  Patent  RMs,  lS7e-lS81,  p.  143  (27  May,  1276);  on  that  occa.'iion 
Stephen  is  referred  to  aa  "King's  clerk."  Cf.  H.  Finke,  Acta  Aragonensia  (Berlin  and  Leipzig,  1908- 


//    L     /  I     U 
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238 


The  Prologue  to  Fleta 


however,  is  the  fact  that  the  correspondence  of  Stephen  has  been  handed  down 
to  us  in  a  Paris  manuscript  (Bibl.  Nat.  MS.  lat.  8567)  which  contains  almost  ex- 
clusively material  connected  with  South  Italians.  In  addition  to  Stephen's  letters 
we  find  in  it  the  correspondences  of  Nicolaus  de  Ilocca  and  Lconardus  de  Bene- 
vento  as  well  as  the  letter  book  of  Bcrard  of  Naples.'*^  Berard  of  Naples,  inci- 
dentally, had  an  English  prebend  and  was  granted  the  title  of  "king's  clerk"  by 
Edward  I,  although  this  busy  papal  notary  was  permanently  occupied  at  the 
papal  court.^'  That,  to  be  sure,  was  nothing  abnormal  in  the  thirteenth  century, 
when  the  English  Church  became  a  hunting  ground  of  Italian  eccelesiastics  and 
other  beneficiaries  who  never  so  much  as  saw  their  prebends. 

The  same,  however,  was  not  true  with  Stephen  of  San  Giorgio,  who  likewise 
was  a  royal  clerk  under  Edward  I.  In  the  Patent  Rolls  his  name  first  appears  in 
1274,  when  he  was  granted  a  benefice  at  the  church  of  Bureford,  in  the  diocese 
of  Hereford,"  to  which  were  added  subsequently  other  benefices  in  the  dioceses 
of  Lincoln  and  London.^*  That  Stephen  was  not  only  a  titular  clericus  regis,  but 
was  active  in  the  king's  service,  is  evidenced  by  a  number  of  letters  of  Edward  I 
which,  according  to  the  entries,  were  written  "per  magistrum  Stephanum  de 
sancto  Georgio.""  About  the  length  of  time  he  spent  without  interruption  in 
England  nothing  certain  can  be  .said  until  Stephen's  correspondence  has  been 
thoroughly  studied,  sifted,  and  dated.  His  name,  however,  is  twice  mentioned 

22),  II,  642,  for  Thomas  of  San  Giorgio.  See  also  E.  G.  Leonard,  Histoire  de  Jeanne  I"  (Monaco  and 
Paris,  1932),  ii,  398,  for  one  Matteo  di  San  Giorgio  "du  diocese  du  Mont-Cassin,  notaire  apostoliqu 
et  notaire  de  la  Chambre"  (for  both  references  my  thanks  go  to  Professor  Theodor  E.  Mommsen)- 
It  would  be  difficult  to  tell  from  which  place  Stephen  originated;  the  relations  to  Montecassino  would 
perhaps  suggest  San  Giorgio  a  Liri  (southeast  of  Pontecorvo),  near  the  frontier  of  the  Kingdom  of 
Naples  and  the  States  of  the  Church;  another  San  Giorgio  was  near  Benevento,  and  a  third  one  in 
Calabria;  see  E.  Sthamer,  Die  Bauten  der  Huhenstaufen  in  Unterilalien,  Ergiinzungsband  i:  Die  Ver- 
waltung  der  KasteUe  (Leipzig,  1914),  Index,  s.t.  Giorgio.  At  any  rate,  the  South  Italian  family  of  that 
name  has  nothing  to  do  with  the  English  St  George  family,  a  relationship  which  Tout,  Chapters,  n. 
24,  n.  1,  took  into  consideration. 

»  A  detailed  analysis  of  B.N.  lat.  8567  is  not  intended  here.  See,  for  the  MS,  the  brief  description 
by  Huillard-Br^holles,  Pierre  de  la  Vigne,  pp.  256  f;  also  a  few  remarks  by  L.  Delisle.  in  Notices  et 
Extraits,  xxvii:  2  (1879),  100;  and  especially  F.  Kaltenbrunner,  "Romische  Studien  III."  Mitteilungen 
des  Instituts  fur  O.iierreichische  Geschichtsforschung,  vii  (1886),  114  ff.  I  have  referred  to  the  MS 
repeatedly;  see,  e.g.,  Laudes  Regiae  (Berkeley  and  Los  Angeles,  1946),  p.  30,  n.  55,  and  indirectly  also 
in  Eng.  Hist.  Rev.,  Lvin  (1943),  424,  n.  4;  I  still  intend  to  edit  the  numerous  letters  of  this  important 
MS  so  far  as  they  refer  to  England. 

"  See  Patent  RoUs,  1272-81,  pp.  143,  336.  His  name  appears  quite  often  in  Ancient  Correspondence 
(e.g.,  Vol.,  XIII,  No.  182a;  vol.  xix.  No.  19);  also,  in  B.N.  lat.  8567,  fol.  13.  there  is  a  letter  "T. 
Thesaurarius  Anglie  Magistro  B[erardo]  de  Neapoli  per  Stephanum  fde  Sancto  Georgio]."  The  name 
of  the  treasurer  of  the  Wardrobe  was  Thomas  Beke  (Tout.  Chapters,  ii.  160,  also  p.  14).  who  held  that 
office  from  1274  to  1280.  This  is  not,  however,  the  place  to  sum  up  Berard's  relations  with  England. 

"  Patent  RoUs,  1272-81,  p.  76. 

"  Ibid.,  pp.  209.  242. 

"  See.  e.g..  B.N.  lat.  8567.  fols.  19-19'.  and  three  more  letters  on  fol.  22;  these  letters  are  addressed 
to  curials  or  to  the  pope;  there  is  good  reason  to  believe  that  Edward's  letter  of  1275.  to  Pope  Gregory 
X.  in  Parliamentary  Writs,  i.  381  f.,  was  written  also  by  Stephen;  cf.  E.  H.  Kantor'owicz,  "Inaliena- 
bility," Speculum,  xxix  (1954),  600,  n.  59,  See  also  above,  n.  26,  for  the  treasurer's  letter  written  by 
Stephen. 


The  Prologue  to  Fleta 


239 


in  the  "Household  Ordinance  of  1279"  where  he  figures  as  a  clerk  of  the  Ward- 
robe.'" The  correctness  of  this  information  is  confirmed  not  only  by  the  fact  that 
Stephen  wrote  letters  for  the  treasurer  of  the  Wardrobe,  Thomas  Beke,  but  also 
by  a  letter  in  the  Paris  manuscript  which  he  provided  with  the  telling  salutation: 
"Sociis  suis  clericis  Guardarobe  Regie,  Stephanas  salutem."''  Entrusted  with 
various  missions,  Stephen  was  obliged  to  travel,  off  and  on,  between  Rome  and 
the  English  court.  In  1282  he  was  certainly  at  the  papal  Curia.  For  in  that  event- 
ful year,  when  Peter  of  Aragon  conquered  Sicily  and  Edward  I  went  to  war  to 
quell  the  rebellion  in  Wales,  he  wrote  from  Italy  to  the  English  chancellor, 
Robert  Burnell,  to  inquire  about  the  king  and  queen  and  "tocius  regni  status," 
and  also  about  the  royal  expedition  against  the  Welsh  "rebels  and  traitors,"" 
On  11  December  of  that  year.  Prince  Llywelyn  met  his  death.  On  22  January 
1283,  only  six  weeks  after  that  event,  Stephen  wrote,  probably  from  Orvieto,  an 
exuberant  letter  to  his  associates  of  the  Wardrobe  to  felicitate  them  and  their 
king  on  that  magnificent  victory."  In  the  following  year  (1284)  we  find  Stephen 
himself  in  Wales,  staying  with  Edward  I  at  Aberconewey." 

Stephen  of  San  Giorgio  must  have  felt  great  admiration  for  Edward  I.  For 
he  composed,  either  in  connection  with  the  Welsh  war  or  on  some  other  occasion, 
a  panegyric  about  Edward,  Laudes  de  domino  Odduardo  Rege  Anglie,  in  which  he 
exalted  especially  the  military  prowess  of  that  king,  praising  him  as  a  teacher  of 
warfare  to  the  chivalrous  youth  and  a  master  in  the  trade  of  Mars.  Since  this 
eulogy,  as  yet  unpubli.shed,  will  lead  us  straightway  back  to  Fleta 's  Prologue,  it 
may  be  printed  here  in  full  length.'' 

■"'  Tout,  Chapters,  ii,  160  Ind  163  ("sire  Esteuene  de  sein  Jorge"). 

"  See,  for  this  letter  (B.N.  lat.  8567,  fol.  3"),  Kantorowicz.  "A  Norman  Finale  of  the  Exultet  and  the 
Rite  of  Sarum."  Harvard  Theological  Review,  xxxiv  (1941).  134;  also  Laudes  Regiae,  p.  30.  The  letter, 
most  gratifyingl^-,  has  been  edited  and  translated  by  A.  J.  Taylor.  "The  Death  of  Llywelyn  ap  Gruf- 
fydd,"  The  Bulletin  of  the  Board  of  Celtic  Studies,  xv  (1953),  20  ff.  There  is  another  letter  of  Stephen 
in  B.N.  lat.  8567.  fol.  1',  which  is  addressed  "Sociis  et  amicis  clericis  Illustris  Regis  anglie."  See  above, 
n.  26.  for  Thomas  Beke's  letter  "per  Stephanum." 

"  Taylor,  op.  cit.,  p.  207.  n.  3;  Stephen  inquired  about  the  "processus  regalis  expedicionis  contra 
rebelles  et  proditores  Wallenses."  On  27  September  1282  Stephen  sent  a  report  about  Peter  of  .\ra- 
gon's  conquest  of  Sicily;  see  Lists  and  Indexes,  xlix:  Diplomatic  Documents.  No.  1587  (the  document 
is  unfortunately  in  very  bad  shape). 

"  Above,  n.  31. 

'*  Taylor,  op.  cit.,  207,  n.  3.  quoting  Exchequer  Accounts,  351/12,  m.5,  mentions  £.54  paid  to 
Stephen  for  his  expenses  when  bringing,  in  October  1284,  letters  from  the  Curia  to  King  Edward  at 
Aberconewey.  See  also  Rymer,  Foedera,  i:2,  648,  Edward's  letters  to  various  cardinals  and  curials 
(4  and  5  October  1284,  from  Moiitalto  in  Wales)  in  which  he  refers  to  the  news  and  rumors  "quos 
idem  clericus  no.stcr  [Stephanus  de  .sancto  Georgio]  ex  parte  vestra  nobis  viva  voce  retuHt." 

■'""  B.N.  Lat.  8567.  fol.  14"  {italics  refer  to  P'leta's  Prologue,  underscoring  to  Vinea.  Ill,  44).  The  date, 
of  course,  is  quite  uncertain;  but  since  Edward's  military  virtues  are  so  strongly  emphasized,  we  may 
want  to  think  of  the  Welsh  campaign.  His  other  campaigns  would  be  too  late,  since  Stephen  died  in 
1290. 


n    L 

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I    n 

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The  Prologue  to  Fleta 


The  Prologue  to  Fleta 


241 


10 


1« 


«0 


t5 


Laudes  facte  de  domino  Odduardo  liege  Anglic,  per  Stephanum  de  Sancto  Georgia 

(Paris,  B.  N.  MS.  lat.  8567,  fols.  14^-150. 

(circa  1283-1284) 

Inter  magnificos  et  praeclaros  alumpnos,  quos  pregnantis  nature  peperit  uterus  et  mamma 
lactavit,  in  unum  profecto  scilicet  excellentissimum  principem  rlominum  Odduardum 
Anglie  Regem  Illustrem  graciarum  suarum  dona  et  divinarum  suarum  dotes  natura  mater 
specialiori  quadani  opulentia  dinoscitur  adunasse,  ut  sicut  suorum  splendorum  natalium 
altique  sanguinis  generositate  prepollet,  sic  ex  omni  parte  beatus  et  hinc  inde  dotatus  in 
felicitate  muneribus  sceptro  ac  dyademate  non  indignus,  pienus  fastigiis  potentiaque  suf- 
fultus,  strenuitate  preclarus,  claritate  sublimis,  sublimitate  flexibilis  vivat  et  regnet  Rex 
ipse  cum  Regibus  gloriosus.  Cuius  nempe  fama  concelcbris  tantam  iam  redolet  suavitatem 
odoris,  ut  in  omnem  terrain  exiverit  sonus  eius  et  intonuer'it  longe  laieque  mirifice  nomen 
suum  in  terminos  orbis  terre.  Quia  ergo  po/atit  am plo  famine  prepotens  eius  ample  precoma 
laudis  exprimere  cuius  ab  ipsis  nature  cunabulis  gesta  conspicua  memorial ibus  sunt  (f.  15'') 
comendanda  perpetuis  et  cuius  etate  crescente  cum  tempore  facta  magnifica  calamo  sunt  ex- 
aranda  codicibus,  sed  celte  potius  sculpenda  scilicibus  ad  memoriam  futurorum?  Quis, 
inquam,  possit  explicare  sermonibus  graciarum  uberes  dotes  eius,  qui  statura  decorus  placet 
aspectibus  speciosus  forma  pre  fillis  kominum  desideratur  a  geniibus,  qui  trahit  effluentia 
largitatis  ut  adamas,  et  sic  apparet  in  oculis  omnium  graciosus  ut  favorem  quasi  posideat 
omnis  carnis?  Porro  lingue  dejiciunt,  ora  succumbunt,  labia  tremefiunt  et  facundia  subticet 
TulhaTia.  Hie  est  enim  de  quo  scriptum  est:  'Aquila  grandis  magnarum  alarum,  longo 
membrorum  ductii,  plena  plumis  et  variefate  decora.'  Et  hie  est  cuius  emissa  de  pharetra  nun- 
quam  rediit  sagitta  retrorsum,  cuiusque  gladius  eductus  ut  pcrderet  non  est  reversus  inanis, 
dum  sic  incessanter  strenue  dimicaret  in  hostes  ut  magnijicus  semper  in  bellicis  actibus 
extiterit  triumphator.  Surgite  igitur,  o  quirites  et  milites  et  iuvenes  bellicosi,  explicate  vexilla, 
clangife  tubis  et  diem  fesfum  agite  tanto  Regi,  qui  viriliter  sumcns  ab  adolescentia  sua  scutum 
et  ad  viriles  annos  usque  perveniens,  indefesse  pugnavit  et  strenue  pro  populo  christiano.  Si 
quis  ergo  Martis  adiscere  prelia  concupiscit,  festinus  hunc  Regem  adeat,  qui  docei  manus 
imperitas  ad  prelium  et  humeros  pulchre  parat  ad  sarcinas  ponderum  bellicorum. 

In  marg.]  optima  est.  1.  preclaros-utcrus]  cf.  Viiiea,  Ep.,  Ill,  45,  cd.  ScharH,  470:  'satis  preclaro» 
alumiios  longe  lateque  per  orbem  nature  pregnantis  peperit  uterus.'  5.  ex-beatus]  cf.  Vin,  49.  6. 
potentia-oiaritatel  cf.  Vin,  37.  9.  exiverit]  ef.  Ps.  18,  .5;  StC.  9.  12.  calamo-futurorum)  StC,  M.  14. 
decorus-a.spectibus]  cf.  Gen.,  49,  22;  Nicolaus  de  Bari,  ed.  KIoos  {.supra,  n.  15),  174,  nos.  81-82.  15. 
.speciosus-honiinum]  ef.  Ps.  44,  3;  Nieolnu.s  He  Bari,  175,  n.  87a.  18.  Aquila  etc.]  cf.  Esek.,  17,  3; 
Vinca,  Ep.,  Ill,  45,  ed.  Schard,  472.  21.  dimicaret]  dimicarit  MS.  22.  et  milites]  superscr.  MS.  25 
docet-preliuni]  cf.  Ps.  143,  1;  Nicolaus  de  Bari,  174,  n.  77. 

Even  without  the  help  of  italics  to  mark  the  agreements  it  would  have  been  ob- 
vious that  Fleta,  in  the  intercalated  section  of  his  Prologue,  rej)ro<luced  verbatim 
the  Laudes  de  domino  Odduardo  of  Stephen  of  San  Giorgio.  Fleta  actually  pro- 
ceeded quite  skilfully.  lie  copied  Glanville's  Prologue  until  he  arrived  at  the 
quotation  of  P.salm  xviii,  5:  "in  omnem  terram  exierit  laus  eius"  (line  5).  This 
versicle,  however,  is  quoted  also  in  Stephen's  Laudes  (St.  9),  a  pleasant  coinci- 
dence which  saved  Fleta  even  the  small  trouble  of  inventing  a  suitable  transi- 
tion :  the  Psalter  enabled  him  to  change  horses  in  midstream  without  danger  or 
effort  and  thence  to  ride  at  a  lively  gait  with  Stephen  until,  on  line  37,  he  aban- 
doned that  charger  or  the  charger  him.  The  textual  changes  Fleta  saw  fit  to 
make  were  insignificant.  Line  7  (St.  9),  he  changed  "nomen  suum"  into  "verba 
sua";  line  29  (St.  22),  he  eliminated  the  Roman  Quirites  and  added  to  the  more 
native  yeomen  a  second  epithet,  "animosi";  and  line  33  (St.  24),  he  replaced 
"pro  populo  christiano"  by  "pro  jure  suo."  .\11  other  changes  seem  to  be  casual 
omissions  or  careless  mistakes. 


10 


u 


We  have  to  return  once  more  to  the  Eulogy  for  Frederick  If.  Being  a  South 
Italian  trained  to  express  himself  in  the  style  of  the  tuba  Capuana  (Petrus  de 
Vmea)  Stephen  of  San  Giorgio  must  have  known  almost  by  heart  the  Eulogy, 
which  served  as  a  paragon  of  panegyrical  plenty.  It  was  at  the  tip  of  his  pen 
whenever  he  wished  to  praise  a  king  or  even  the  Rex  regum,  Christ."  Hence,  a 
few  ([notations  from  the  Eulogy  for  Frederick  slipped  into  his  Laudes  for  Edward 
(lines  5,  6  f.,  10  f.,  18  f.).  In  other  words,  some  of  the  sprinkled  quotations  from 
the  Eulogy  which  Fleta  invested  in  his  Prologue,  were  not  taken  directly  from 
the  original,  hut  came  to  him  through  the  agency  of  Stephen's  Laudes.  Fleta, 
nevertheless,  had  more  than  a  slight  knowledge  of  the  original;  for  where  Ste- 
phen's oe^tvre  steps  out,  the  Frederician  Eulogy  steps  in.  After  a  longer  quotation 
borrowed  again  from  Glanville,  Fleta  unmistakably  surrendered  to  the  guidance 
of  the  Sicilian  original  (lines  37  ff.,  49  ff.).  That  is  to  .say,  Fleta  had  at  his  dis- 
posal two  encomia:  the  Eulogy  and  the  Laudes. 

These  two  sources,  however,  fail  to  fill  another  gap.  Lines  46  ff.,  Fleta  has  a 
quotation  only  partly  covercfl  by  II  Chronicles,  xix.  7:  "non  est  enim  apud 
Dominiim  Deiim  .  .  .  personarum  acceptio  nee  cupido  munerum."  Fleta  says: 
"Et  cum  magnum  ita  iudicet  sicut  parvuni,  non  est  apud  eum  accepcio  muneris 
vel  persone."  This  "filler,"  however,  was  borrowed  by  Fleta  from  another  en- 
comium of  Stei)hen  of  San  Giorgio,  from  the  praise  for  the  king  of  Castile,  prob- 
ably Sancho  IV.  Thi.s  letter,  hitherto  unpublished,  is  edited  in  the  footnote 
below."  It  interestingly  illustrates  Stephen's  method  of  transferring  laudatory 

»•  See  below,  n.  37,  the  encomium  to  the  king  of  Castile.  In  a  Christmas  sermon  (B.N.  lat  8567, 
fol.  17"),  Stephen  praises  the  Saviour  "qucni  terra,  pontus,  ethera  colunt,  adorant,  predicant,"  which 
should  be  compared  with  Eulogy,  lines  15  f.  Whatever  the  ultimate  source  of  those  words  may  be, 
Stephen  borrowed  them  from  the  Eulogy.  .\lso  the  answers  of  the  coU.egium  cappelianorum  to  this 
sermon  (fol.  18)  is  full  of  echoes  of  the  Eulogy,  which  in  itself  is  a  resonance  of  Boethiu.s,  Consolatio, 
III,  metr.  2  and  9;  cf.  KIoo.s,  in  Dtntsches  Archir,  xi  (1954-55),  186  f.,  568. 

"  Paris,  Bibl.  Nat.  MS  lat.  8567,  fol.  15': 

(Lodi,  Whit-Thursday  [ca  1288]) 

Illustri  Regi  Castelle,  Stephanus  devotum  terre  osculum  ante  pedes. 

Inter  alios  Reges  et  principes  orbis  terre,  quos  unitas  fidei  orthodosse  connectit,  quosque  reddit 
Celebris  fame  relatio  gloriosos.  Faina  ve.stra.  Rex  Indite,  dulci  personans  in  auribus  hominum  melodia 
magnificentiam  vestrani  pullulat  prerogantius  excellere,  ut  de  aliis  quibus  latera  ve.stra  sunt  predita 
taceatur,  virtutis  quadruplicis  maie-state.  V'olat  siquidera  ipsam  nee  subticet  quod  Prudentia,  qua 
presencia  pulchre  quis  ordinal,  futura  previdet  et  prcterita  recordatur;  Fortitude,  qua  prava  in  directa 
et  Tjas  aspera  convertuntur  in  plaaas;  lustitia,  qua  re<iditur  unicuique  ius  suum;  ac  Largitas,  qua 
muiiifica  dextcra  beneficia  conferuiitur,  in  vestri  cordis  annario  vel  archive  sua  tabernacula  posuerunt. 
Satis  e.st  enim  mundo  notoriuni,  imnio  iam  in  omnem  terram  sonus  exivit,  quod  cuncta,  que  vos,  prin- 
ceps  egregie,  qui  prudentia  nostis  per  distinctionem  temporum  concordare  scripturas,  magnifice  per- 
egistis  hurusque,  decreta  nunc  agitis  et  agenda  decernitis,  .sale  prudentie  sunt  condita  et  condita 
sapientia,  ac  pre  sue  dignitatis  titulo  calamo  sunt  scrihenda  codicibus  ad  memoriam  futurorvm.  Id  autem 
universalis  tenet  opinio  quod  velut  athleta  fortissimus  contra  perfidiam  agarenice  feritatis  pro  fide 
catholica  ditnicantes  et  f>cT  fortitudinis  robur  excitantes  poteiicie  vestre  vires  sarraccnorum  duritiam 
domuistis,  et  gladius  vester  qui  vinci  nusquam  potuit,  regna  regnis  adiciens  potenter  suMitas  sibi 
faciat  barbaras  nationes.  Nee  latet,  inquam,  angulos  mundi  huius,  magnifice  domine,  imnio  est  iam  in 
auribus  hominum  divulgatum,  quod  equa  lance  iustitie  subditoruni  vestrorum  merita  trutiiians 
regia  manus  vestra  et  reddens  unicuique  iura  sua,  regit  in  iustitia  populo.s,  gubernat  in  pace  subiectos. 
Et  dum  auctoritas  vestra  sacra  ita  magnum  iudicat  sicut  parvum,  non  est  apud  eum  accepcio 


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words  from  one  king  to  another.  The  underscored  words  (line  6;  cf.  Is.  40,  4) 
reveal,  at  the  same  time,  that  Fleta's  lines  43  f.  were  not  borrowed  from  the 
Eulogy  directly  (line  43)  but  from  Stephen's  paraphrase.  To  be  sure,  Fleta  may 
have  used  other  letters  of  the  South  Italian  dictator  as  well.  It  seems,  however, 
that  he  had  before  his  eyes  the  letter  to  Castile  —  which  is  all  the  more  note- 
worthy as  this  letter  follows,  in  the  Paris  IMS.  8567,  immediately  after  the 
Laudes  to  Edward.  Did  there  exist,  as  early  as  1290,  a  "letter  book"  of  Stephen 
of  San  Giorgio,  arranged  by  the  author  himself.''  And  could  Fleta  have  owned 
such  a  book,  or  seen  and  used  it.''  There  are  no  answers  to  those  questions.  Be 
that  as  it  may,  we  know  now  that  Fleta's  Prologue  is  a  queer  cento  made  up  of 
Glanville's  Prologue  in  praise  of  Henry  II,  of  the  Vinea-Rocca  Eulogy  for  Freder- 
ick II,  of  Stephen's  Laudes  for  Edward  I,  and  of  the  .same  author's  encomium  for 
the  king  of  Castile.  Fleta  seems  to  have  been  a  collector  of  panegyrics. 

Naturally  the  question  poses  itself  how  it  happened  that  Fleta  had  access  to 
the  didamina  of  Stephen  of  San  Giorgio.  We  recall  that  the  South  Italian  master 
was  a  clerk  of  the  Wardrobe  and  that  one  of  his  effusions  —  the  congratulations 
on  the  defeat  and  death  of  Llywelyn  —  was  addressed  to  his  associates  in  the 
Wardrobe.  This  letter,  no  doubt,  was  deposited  in  the  archive  of  the  Wardrobe, 
the  records  of  which,  unfortunately,  have  not  survived."  In  the  same  archive 
the  Laudes  de  domino  Odduardo  would  have  been  kept.  These  Laudes  were  not 
addressed  to  the  king  himself,  but  were  an  encomium  about  the  king.  Certainly 
Stephen  would  have  submitted  a  copy  of  that  piece  of  rhetorical  art  to  King 
Edward  as  well.  But  if  this  laudation  was  shown  or  given  to  any  group  of  cour- 
tiers, as  its  purpose  demanded,  the  author's  colleagues  in  the  Wardrobe  would 
have  been  the  first  to  receive  it. 

muneris  vel  persone.  Illud  etiam  non  ignoratur,  munifice  dotnine,  per  cardines  orbis  terre  quod  largi- 
flua  manus  vestra  sic  se  petentibus  aperit  affluenter,  ut  quioquid  a  vobis  iuste  petitur  vel  honeste 
vel  etiam  flagitatur,  ex  dono  sine  quolibet  iinproperio  largiatur  olaudi  nescia  et  inscia  non  donnre. 
(15^)  Quid  plura.  Nullus  unquani  a  latere  vestro  vacuus,  nuilus  iuops,  nullus  gratia  vestra  non 
preditus  dicitur  recessisse.  Feliciter  igitur  ego  reputans  ex  preniissis  eos  qui  vestris  gratis  merentur 
astare  coiispectibus  et  ex  liiis  maiestatis  vestre  personam  amabilem,  bracliiis  fidei,  devotionis  et 
amoris  amplexans,  in  ea  parvitate  qua  dego,  totum  me  servittis  vestris  offero,  totum  me  vestre  po- 
tentie  pedibus  recommendo.  Augeat  vobis  dominus  dies  letos  et  protrahat  feliciter  teruiinura  vite 
vestre.  .\Dien. 

Datum  Laudi  die  quinto  a  patre  filioque  procedens  suos  replevit  apostolos  charismatibus  spiritus 
alinus. 

2.  in  marg.)  optima.  8.  in  archivo]  superscr.  MS.  0.  exivit)  vide  St,  9.  H.  in  marg.)  nota.  16. 
sulxlitas-nationes]  cf.  Missale  Romanum,  Orationes  solemnea  in  Patrione  Domini.  18.  in  marg.]  nota. 
22.  flagitatur)  flagitator  MS.   27.  .\ugeat-vestrej  vide  Vin,  51. 

Without  a  full  investigation  of  Stephen's  itinerary,  it  is  not  at  present  possible  to  date  this  laudatory 
letter  beyond  "Lodi,  Whit-Thursday."  In  1288,  however,  Stephen  of  San  Giorgio  was  active  in 
arranging  the  settlement  between  Aragon  and  Charles  II  of  Naples;  Castile  was  lined  up  with  France 
against  Aragon.  It  may  have  been  at  that  time,  or  a  year  later,  that  he  addre.ssed  the  king  of  Castile 
who,  in  that  case,  would  have  been  Sancho  IV.  Had  this  laudatory  letter  been  addressed  to  .Mfonso  X, 
it  would  perhaps  have  been  possible  to  say  more  than  the  generalities  in  which  Stephen  indulged. 

"  Tout,  Chapters,  i,  84;  see  also  Kantorowicz,  "Petrus  de  Vinea  in  England"  (above,  n.  12),  p.  67, 
n.  89. 


, 


* 

■ 


The  Prologue  to  Fleta 


243 


The  problem  can  now  be  reduced  to  the  simple  question  whether  Fleta  him- 
self perhaps  belonged  to  the  Wardrobe.  For  if  that  were  true,  he  would  have  had 
access  to  Stephen's  pronunciamentos  through  the  Wardrobe  archive  and  could 
have  known  that  encomiimi,  .so  to  speak,  as  a  recipient  or  on  the  recipients'  end 
of  the  line.  On  the  other  hand,  however,  should  Fleta  have  belonged  to  the  Ward- 
robe, there  would  have  existed  also  a  possibility  that  he  knew  the  author  and 
drew  his  knowledge  from  the  author  directly. 

Who  was,  or  who  wrote,  Fleta?  It  has  always  been  suspected  that  the  mys- 
terious anonymous  who  claimed  to  have  compo-sed  his  tractate  in  Fleta,  in 
the  prison  in  Fleet  Street,  was  a  man  closely  attached  to  the  king's  household. 
It  would  have  been  a  convenient  hvijothesis  to  assume  that  Fleta  was  identical 
with  John  of  Fleet,  a  Wardrobe  clerk  under  Edward  I,  and  that  he  wrote  his 
book  in  some  manor  called  Fleet;  but  for  various  reasons  this  hypothesis  does 
not  work."  Not  so  long  ago,  however,  N.  Denholm-Young  tried  to  crack  the 
riddle  of  Fleta's  identity,  and  it  seems  that  in  connection  with  the  South  Italian 
Master  Stephen  the  arguments  of  Denholm-Young  can  be  broadened  and 
strengthened. 

Very  cautiously,  though  with  very  good,  indeed  excellent,  reasons,  Denholm- 
Young  identified  Fleta  with  one  Matthew  de  Scaccario  or  Matthew  Cheker."" 
Of  Fleta's  lack  of  originality  the  Prologue  is  a  glaring  example.  A  similar  lack  of 
originality  eventually  could  become  the  device  for  singling  out  Matthew  Cheker 
as  the  hypothetical  composer  of  the  anonymously  transmitted  tractate.  Anonym- 
ity, of  course,  was  considered  good  style  among  the  jurists  around  1300.  Rof- 
fred  of  Benevento,  whose  works  were  known  in  England,^'  suppressed  his  name 
("I  have  not  mentioned  the  name  of  the  composer");  but  then  he  referred  to 
Karolus  (de  Tocco)  of  Benevento  as  his  teacher  and  added  that  he,  the  pupil,  was 
a  native  of  the  same  town;  and  thereby  he  surrendered  his  secret.  Andreas  of 

"  Cf.  Francis  M.  Nichols,  in  his  edition  of  Britton  (Oxford,  1865),  Introd.,  pp.  xxv  ff.;  Tout, 
Chapters,  ii,  34  fT.;  Denholm-Young,  "Who  wrote  'Fleta'?"  in:  Collected  Papers,  p.  78;  cf.  pp.  69  f., 
where  he  mentions  Fleet  "as  the  name  of  manors  elsewhere  in  England."  For  John  of  Fleet,  see  Tout, 
Chapters,  vi.  Index,  s.v.  "Fleet."  There  are  several  men  of  that  name,  but  none  seems  to  have  held 
office  earlier  than  the  1290's. 

"  Denholm-Young,  op.  cit.,  pp.  68-79,  as  well  as  his  paper  "Matthew  Cheker,"  ibid.,  pp.  80-83 
(both  papers  were  first  published  in  Eng.  Hist.  Rev.,  1943  and  1944).  H.  G.  Richardson,  in  his  review 
of  Denholra-Young's  book  in  Law  Quarterly  Review,  LXin  (1947),  376  ff.  (to  which  Mr  Richanlson 
himself  kindly  called  my  attention),  expressed  his  willingness  to  admit  that  some  Matthew  closely 
connected  with  the  king's  household  may  have  been  the  author  of  Fleta,  but  he  objects  to  the  identifi- 
cation, current  since  Selden,  of  in  Fleta  with  "in  Fleet  Prison."  He  suggests  instead  that  the  book  was 
given  its  name  on  the  basis  of  a  jeu  de  mots,  "because  in  it  the  reader  will  'fleetly'  find  his  law.  Fleta 
then  signifies  a  handy  compendium.  ..."  Richardson,  however,  does  not  offer  any  evidence  to  sup- 
port this  interpretation,  which,  though  interesting,  does  not  appear  self-evident  to  me.  Sir  Maurice 
Powicke,  The  Thirteenth  Century,  lil6-lS07  (Oxford,  1953),  356,  n.  2,  mentions  the  "attractive  identi- 
fication" of  Denholm-Young. 

*'  R.  J.  Whitwell,  "The  Libraries  of  a  Civilian  and  Canonist  and  of  a  Common  Lawyer,  .\n.  1294," 
Law  Quarterly  Review,  xxi  (1905),  394,  shows  that  Master  Peter  de  Peckham  had  in  his  library  a  copy 
of  Ranfredus  Beneventanus,  that  is,  Roffred  Epiphanii  of  Benevento,  who  was  appointed  a  law  pro- 
fessor at  the  University  of  Naples  by  Frederick  II  and  died  in  1243. 


/  /    L 

U     J 


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244 


The  Prologue  to  Fleta 


Isernia  declared  quite  in  general  that  "like  honest  men  who  do  not  care  for 
pomposity"  some  authors  did  not  head  their  works  epigrammatically  by  the 
mention  of  their  name.'-  Why  the  author  of  Fleta  played  that  game  of  anonymity 
we  do  not  know;  but  he  revealed  his  name  when  he  coj)ied  IJracton  just  as,  in  his 
Prologue,  he  copied  Glanville  or  Stephen  of  San  Giorgio.  Bracton  explained  that 
a  writ  was  invalidated  if  the  name  of  the  recipient  was  mi.sspelt  and  illustrated 
this  item  by  misspelling  his  own  name:  Henry  of  Brocheton  or  even  Brachton,  in- 
stead of  Bracton,  would  make  a  writ  invalid.  Fleta,  unoriginal  as  he  was,  trans- 
ferred that  explanation  to  his  own  name  and  pointed  out  that  a  writ  was  not 
valid  if  it  said  "Matthew,  the  son  of  William,"  instead  of  "Matthew,  the  .son  of 
Peter."  The  name  of  IMatthew,  being  not  too  freciuent  in  England,  eventually 
led  Denhohn-Young  to  identify  "Fleta"  with  Afatthew  de  Scaccario,  otherwise 
Matthew  Cheker.''' 

Matthew's  biographical  notes  have  been  collected  by  Denholm- Young,  and 
they  may  be  summed  up  quickly  so  far  as  they  are  relevant  to  the  present  prob- 
lem. From  1277  to  1283  Matthew  Cheker  belonged  to  the  king's  household, 
first  as  a  yeoman  (valeitus  regis),  later  as  a  squire.  He  was  employed  in  the  Ward- 
robe and  his  name  appears  several  times  in  connection  with  the  Wardrobe 
treasurer  and  payments  made  to  the  soldiers.  In  the  years  of  the  Welsh  rebellion 
and  thereafter  we  find  him  repeatedly  in  Wales  or  occupied  with  Welsh  affairs.  In 
1287  he  served  his  king  in  some  legal  matters.  Later,  in  connection  with  the 
judicial  inquiry  of  1289  and  the  fall  of  Adam  of  Stratton,  whose  attorney  he  be- 
came, Matthew  was  accused,  rightly  or  wrongly,  of  having  tampered  with  docu- 
ments, one  of  the  chief  crimes  of  Adam  of  Stratton  himself.  The  result  was  that 
Matthew,  in  1290,  was  sent  for  two  years  and  two  days  to  the  Fleet  prison.'" 

If  we  think  of  mediaeval  prisons  as  places  of  utter  brutality  and  of  conditions 
which  only  our  enlightened  humanitarianism  has  gradually  overcome  and 
changed  for  the  better,  we  shall  have  to  revise  our  oi>inion  considerably  with  re- 
gard to  the  Fleet.  Gentleman  prisoners  who  were  willing  to  pay  and  live  on  their 
own,  had  their  chambers  furnished  with  their  tapestries  and  books,  and  were  al- 
lowed to  live  in  reasonable  comfort.  Matthew  Cheker,  it  seems,  passed  his  tenn 
of  arrest  in  particular  ease.  He  could  come  and  go  more  or  less  as  he  pleased,  go 
to  Christmas  parties  and  the  like,  attend  service  in  the  church  of  the  Cannelites 
or  a  court  session  in  Westminster,  until  this  gay  atmosphere  of  a  Fledermaus 
prison  came  to  an  abrupt  end.  In  January  1292  he  had  to  stand  another  trial  on 
account  of  his  extravaganzas,  and  was  convicted;  the  time  he  had  spent  in  Fleet 

"  Cf.  Giovanni  Ferretti,  "Roffredo  Epifanio  da  Benevento,"  Studi  Medinali,  m  (1908),  239, 
n.  8:  "Ut  audivi  a  domino  meo  Ka.  Beneventano,  cuius  ego  discipulus  sum,  qui  hoc  opus  condidi  et 
nomen  non  apposui  conditoris  et  eiusdem  sum  patrie  habitator."  Ferretti  (p.  238,  n.  2)  quotes  also 
.\ndreas  of  Isernia,  In  U«us  Feudorum  Commentaria,  praeludia,  n.  17  (Naples,  1571),  fol.  2'*: 
"...  compilator  et  compositor  huius  operis,  qui  in  palam  conscripta  deduxit:  sed  forte  noluit  no- 
men  suumepigrammate  superscribi,  sicut  faciuiit  viri  honesti,  non  curantesdeponipis.  .  .  .  "Andreas, 
however,  had  mentioned  his  name  in  the  preceding  prooemium. 

**  Denholm- Young,  op.  cit.,  pp.  72  ff. 

"  Ibid.,  pp.  80  f.,  for  the  early  period  and  Matthew's  connection  with  the  Wardrobe. 


The  Prologue  to  Fleta 


245 


did  not  count,  and  he  was  sent  for  two  years  and  two  days  to  the  Tower,  where  his 
comforts  were  considerably  reduced.** 

Matthew's  guilt  or  innocence  are  of  no  interest  here.  What  matters  is  that  in 
Fleet  prison  Matthew  indeed  could  have  written  his  tractate,  if  he  so  desired.  In 
this  respect,  our  most  important  piece  of  evidence  is  a  list,  apparently  drafted 
when  he  left  Fleet  prison,  of  his  belongings  and  chattels  ("Bona  et  catalla 
Mathei  de  E.scheker").«  In  this  inventory  we  find  among  many  other  items  an 
mterestnig  catalogue  of  books  which  he  had  in  Fleet.  In  addition  to  belietristic 
books  of  Poytrie  and  Romauns,  a  Summa  on  alchemy,  anc]  a  primer,  we  find 
therein  a  Decretum  Gratiani,  a  Digestum  novum,  the  Summae  of  Ilengham,  the 
peciae  of  Britton's  legal  tractate  in  twenty-six  quires,  and  other  law  books, 
statute  books,  and  records." 

Perhaps  we  would  have  expected  to  find  Glanville  among  Matthew's  books, 
and  we  may  be  disappointed  that  the  inventory  does  not  mention  in  so  many 
words  Epistolarium  Petri  de  Vinea  or  a  letter  book  of  Matthew's  friend,  Stephen 
of  San  Giorgio.  For  it  will  not  be  too  hazardous  to  assume  that  "Fleta,"  Matthew 
Cheker,  was  personally  acquainted  with  the  South  Italian  Master  Stephen. 
From  1277  to  1279/1280  both  men  were  members  of  the  king's  household  and 
held  appointments  in  the  Wardrobe.  They  may  have  met  also  in  Wales,  in  the 
years  after  the  defeat  of  Llywelyn,  when  Stephen  again  was  in  the  entourage  of 
Edward  I.  Matthew  may  have  asked  Stephen  for  a  copy  of  the  Laudes  de  Od- 
duardo  Rege,  may  have  asked  him  for  other  laudations  praising  other  princes, 
and  may  have  received  from  Stephen  the  Eulogy  for  Frederick  II  and  the  letter 
to  the  king  of  Castile.  We  cannot  possibly  tell  how  and  when  and  where  tho.se 
two  men  met,  or  what  they  were  talking  about;  but  the  Prologue  to  Fleta  indi- 
cates that  Matthew  Cheker  made  use  of  the  writings  of  his  Wardrobe  associate, 
Stephen  of  San  Giorgio,  and  there  is  no  reason  to  assume  that  he  did  not  get 
those  panegyrics  from  the  "horse's  mouth." 

One  more  little  item  should  be  considered  which  may  be  meaningful  or  may 
just  belong  to  the  "Department  of  Curious  Coincidence."  Among  the  chattels  of 
]\fatthew  Cheker  we  find:  "Item  unum  Kalendarium.  Forma  concordie  et  pacis 

«  The  whole  story  is  told  by  two  legal  documents:  Select  Cases  in  the  Court  of  King's  Bench  under 
Edward  I,  ed.  G.  O.  Sayles,  Vol.  ii,  Seiden  Society,  lvii  (London,  1938).  Introd.,  p.  ctiv:  and  Select 
Cases  in  the  Exchequer  of  Pleas,  edd.  Hilary  Jenkinson  and  Beryl  E.  R.  Fonnoy,  Selden  Society, 
XLviii  (London,  1932),  pp.  141  ff.;  see  Denhohn-Young,  op.  cit.,  pp.  74  f. 

«  Cf.  Whitwell  (above,  n.  41),  pp.  399  f.,  and  his  interpretation  of  the  document,  pp.  394  ff.  Here 
we  find  also  the  "pictured  tapestry"  (laminan  depictum)  mentioned. 

"  Ibid.,  p.  400:  "Item,  x.xvj.  pecie  de  Summa  Britton."  Denholm-Young,  p.  75,  inadvertently 
mentions  Bracton  instead  of  Britton.  Pecie  (petie)  are  the  numbered  quires  of  an  official  copy  of  a 
standard  manuscript  made  by  professional  scribes  under  the  supervision  of  a  university  (Paris, 
Bolog:ia,  Oxford,  and  very  few  others):  cf.  Denholm-Young's  review  {op.  cit.,  pp.  177  ff.)  of  the  au- 
thoriUtive  work  on  this  subject  by  Jean  Destrez,  La  Pecia  dans  les  mss.  unirersitaires  du  XIIP  et 
du  XIV  siicle  (Paris,  1935);  see  also  K.  Christ,  "Petia:  Ein  Kapitel  mittelalteriicher  Buchgcschichte." 
Zentralblatt  fur  Bibliotheksuvsen,  lv  (1938).  1-44;  and,  for  the  importance  of  the  petiae  of  the  Uni- 
versity of  Paris  for  the  redaction  of  the  Petrus  de  Vinea  letter  books,  see  H.  M.  Schaller  (above,  n. 
16),  pp.  123  ff. 


n    L 
u    J 


246 


The  Prologne  to  Fleta 


The  Prologue  to  Fleta 


247 


!| 


inter  Rcgem  Karlium  ct  Alfusum  Regem  Dragonie,  et  alia  diversa  Minuta  eius- 
dem  Mathei."**  Kalendarium  may  be  anything  in  the  form  of  a  list:  a  list  of 
records,  for  example,  or  of  entries  of  any  kind;  Bracton's  list  of  chapter  headings, 
his  "table  of  contents,"  was  called  Kalendarium.*^  More  important,  however,  is 
the  fact  that  the  person  who  drafted  the  list  of  Matthew's  books  "singled  out  for 
special  notice"*"  the  form  of  a  peace  treaty  between  King  Charles  II  of  Naples 
and  King  Alfonso  III  of  Aragon.  How  did  this  instrument  get  into  Matthew's 
scholarly  luggage? 

We  know,  of  course,  how  actively  King  Edward  participated  in  the  numerous 
efforts  to  settle  the  differences  between  Aragon  and  Naples  arising  from  the 
Sicilian  Vesj)ers  (1282),  from  the  capture  of  Naples'  heir  to  the  throne  (Prince 
Charles  of  Salerno)  by  a  Siculo-Aragonese  admiral  (1284),  and  from  the  death  of 
Charles  of  Anjou  (1285).  Under  the  sponsorship  and  arbitratorship  of  Edward  I 
a  number  of  treaties  were  concluded  between  the  rival  powers,  only  to  be  broken, 
to  result  in  a  new  impasse,  or  to  be  foiled,  like  the  treaty  of  Tarascon  (1291),  by 
the  sudden  death  of  the  Aragonese  signer."  One  treaty,  however,  that  drafted 
and  signed  at  Campfranch  (Campofranco)  in  October  1288,  had  at  least  one  posi- 
tive result:  the  liberation  of  the  Prince  of  Salerno.  It  was  a  complicated  treaty, 
and  its  nmnerous  clauses  and  provisos  called  for  a  great  number  of  instruments. 
One  of  those  instruments,  the  one  concerning  the  terms  of  liberation  of  the 
Prince  of  Salerno,  bears  the  signature  of  a  witness  we  are  interested  in,  "Master 
Stephen  of  San  Giorgio,  Clerk  of  the  Lord  King  of  England.""  In  the  same  ca- 
pacity Stephen  put  his  signature  also  under  the  oath  of  King  Alfonso  III  of 
Aragon."  In  other  words,  Stephen  belonged  to  the  strong  English  delegation 
which  Edward  I  had  despatched  to  Campfranch,  headed  by  the  chancellor, 
Bishop  Robert  of  Bath  and  Wells,  and  including  such  indispensables  as  John  de 
Lacy  and  Peter  of  Chavent,  then  still  steward  of  the  king's  household,  and 
others." 

*«  VVhitwell,  op.  cit.,  p.  400. 

"  It  is,  of  course,  impossible  to  tell,  or  even  to  guess,  what  kind  of  a  kalendarium  Matthew  had 
among  his  belongings;  it  was,  however,  some  isolated  list,  since  it  is  not  mentioned  among  his  books 
but  among  all  sorts  of  odds  and  ends.  Perhaps  it  was  the  "Calendar"  of  the  numerous  instruments  of 
the  .\njou-.\ragon  treaty  itself. 

'"  Denholm -Young,  op.  cit.,  p.  75. 

"  See,  on  those  protracted  negotiations,  Ludwig  KlUpfel,  Die  dussere  Politik  Alfonso.'!  III.  von  Ara- 
gonlen  {1285-1291),  Abhandlungen  zur  Miltlcren  und  Neueren  Geschichte,  xxxv  (Berlin  and  I.«ipzig, 
1911-1912).  FUia,  m,  c.  6  (cf.  Selden,  Ad  Fletam,  x,  4,  ed.  Ogg,  p.  188),  mentions  a  "decree  [concern- 
ing the  inalienability  of  the  res  Coronae]  made  by  all  Christian  kings  at  Montpellier  in  the  fourth  year 
of  King  Edward,  son  of  King  Henry."  This  puzzling  "decree"  (though  certainly  wrongly  dated  and 
probably  misunderstood)  should  perhaps  be  viewed  against  the  background  of  those  negotiations  be- 
tween Anjou  and  .\ragon,  at  which  several  kings  were  present  while  others  were  represented  by  their 
envoys.  It  is  futile,  however,  to  make  any  guesses  without  a  very  detailed  investigation  of  the  whole 
issue. 

"  Rymer,  Foedera,  i:2,  p.  691. 

"  Ibid.,  p.  693. 

'^  Ibid.,  p.  694.  Peter  de  Chavent  swears  for  his  king,  Edward  I,  concerning  the  hostages  to  be 
handed  over  to  the  king  of  Aragon;  see,  for  Chavent's  stewardship,  Tout,  Chapters,  vi,  41,  also  ii, 
26,  and,  for  his  connections  with  "Fleta,"  li,  34  f.  Denholm-Young,  p.  78,  thinks  it  "possible  that 
Matthew,  at  some  time  before  1287,  was  a  member  of  Peter  de  Chavent'i  household." 


/ 


During  the  following  years  Stephen  of  San  Giorgio  was  occupied  almost  per- 
petually with  Angevin-Aragonese  affairs.  In  May  1289,  at  Rieti,  the  liberated 
Prince  of  Salerno  was  finally  crowned  King  Charles  II  of  Naples  by  the  Orsini 
Pope  Nicholas  IV;  and  it  was  Stephen  who  drafted  the  solemn  proclamations  by 
which  the  king  announced  his  coronation  to  his  subjects  and  to  foreign  courts." 
When,  in  1290,  the  theater  of  negotiations  shifted  to  Provence,  Stephen  moved 
too.  He  was  working  together  with  the  two  cardinals  charged  with  achieving  a 
peace,  one  of  them  being  Benedetto  Gaetani,  cardinal-deacon  of  San  Nicola  in 
Carcere  Tulliano,  later  Pope  Boniface  VIII.  In  June  of  that  year  the  cardinals 
decided  to  send  Master  Stephen  of  San  Giorgio  to  King  Edward  to  report  about 
the  miseries  of  the  reformatio  pacis.^^  In  Paris,  on  his  way  to  England,  he  met 
Charles  II,  who  likewise  wrote  to  Edward  to  tell  him  that  Master  Stephen  would 
convey  to  him  all  the  information  obtainable  about  the  treaties.*'  Thus  Stephen 
traveled  once  more  to  England  —  in  his  pouch  the  acts  of  the  affair  "Naples 
versus  Aragon."  It  was  his  last  voyage  to  the  British  Isles;  on  23  October  1290, 
Stephen  of  San  Giorgio  died. 

Was  Matthew  Chekcr  involved  in  those  diplomatic  negotiations  between 
Naples  and  Aragon.'  Certainly  not.  How,  then,  did  he  happen  to  have  that 
"forma  concordie  et  pacis"  in  his  scholarly  apparatus,  and  how  did  he  get  it? 
Through  Stephen  of  San  Giorgio?  We  do  not  know.  Nor  do  we  know  what  may 
have  been  bundled  together  with  that  treaty.  The  inventory  of  Matthew's 
chattels  only  says  laconically:  "forma  concordie  et  pacis  .  .  .  et  alia  diversa 
Minuta." 

The  Institute  for  Advanced  Study 
Princeton,  New  Jersey 

APPENDIX 

About  the  Prologue  to  Fleta,  Professor  Woodbine  (above,  n.  6)  has  made  certain 
statements  which  might  be  relevant  to  the  present  investigation,  but  need  quali- 
fication, since  they  are  liable  to  be  misunderstood.  In  his  edition  of  Bracton's 
De  legibus  (i,  p.  17,  n.  1),  Woodbine  remarked  that  there  is  "a  simple  explanation 
of  the  fact  that  the  prologue  to  Glanvill  precedes  the  text  of  Fleta,"  because  the 
Glanville  prologue  is  found  "in  some  of  the  Bracton  MSS."  This  opinion  was  re- 
peated once  more  when  Woodbine  (in  his  edition  of  Glanville  [1932],  p.  184) 
commented  on  Glanville's  prologue:  "Fleta  has  an  extended  form  of  the  same 
prologue,  a  fact  which  is  rather  good  evidence  that  the  writer  of  Fleta  was  using  a 
manuscript  of  Bracton's  treatise  which  also  contained  it  [italics  mine].  Two 
MSS.  of  Bracton  which  have  it  are  still  extant  —  Middle  Temple  MS.  6  Seat 
A.E.15  and  Trinity  College,  Cambridge,  MS.  0.3.52.  The  most  cursory  reading 
of  the  opening  lines  of  Bracton  will  reveal  that  he  had  read,  and  was  more  or  less 
using,  the  prologue  of  Glanvill." 

"  See  B.X.  lat.  8567,  fols.  ZO'-Sl :  "Rex  fidelibus  suis  super  coronatione  sua,  per  Stephanum." 
"  Cf.  Robert  Weiss,  "Cinque  lettere"  (above,  n.  20),  159  f.,  Nos.  ii  and  in.  See  also  T.  S.  R.  Boase 
Boniface  VIII  (London,  1933),  pp.  18  ff. 
"  Rymer,  Foedera.  i:2,  738  (28  July  1290). 


U    J 


I    u 


IdMk 


248 


The  Prologue  to  Fleta 


The  Prologue  to  Fleta 


249 


These  remarks  contain  two  assertions  and  one  hypothesis.  To  begin  with  the 
last  assertion,  it  is  not  at  all  clear  what  Woodbine  means  when  he  refers  to  "the 
opening  lines  of  Bracton."  Does  he  refer  to  the  genuine  Bracton  (I  mean  the 
one  he  edited  1915-1942)  or  to  the  Bracton  of  the  two  MSS  which  he  quoted  in 
the  preceding  sentence?  He  could  not  have  meant  the  genuine  Bracton  of  his  edi- 
tion because  the  most  cursory  reading  of  the  opening  lines  of  Bracton 's  "Intro- 
duction" reveals  instantly  that  they  have  no  similarity  whatever  with  Glanville's 
prologue,  if  we  except  the  paraphrase  of  Justinian's  proem  to  the  Institutes  — 
and  there  Bracton  was  guided  by  Azo  and  the  text  of  the  Institutes,  and  not  by 
Glanville.  If,  however,  ^Voodbine  referred  only  to  the  two  I\ISS,  this  would  im- 
ply that  their  prologues  represented  the  genuine  Bracton;  in  that  case,  however, 
he  certainly  should  have  printed  the  texts  of  those  prologues  in  his  edition  or  at 
least  in  his  apparatus.  But  the  Bracton  text  Woodbine  edited  and  the  peculiar 
prologues  of  the  two  MSS  are  mutually  exclusive,  and  an  inspection  of  the  two 
MSS  will  show  that  it  would  be  more  than  hazardous  to  draw  from  those  prefaces 
any  conclusion  about  what  the  authentic  Bracton  "had  read,  and  was  more  or  less 
using." 

Moreover,  Professor  Woodbine  seems  to  maintain  (in  the  first  sentence  quoted 
above)  that  Fleta 's  "extended  form  of  the  same  [Glanville]  prologue"  was  bor- 
rowed from  one  of  the  Bracton  MSS  "which  also  contained  it."  This,  however, 
cannot  possilily  be  the  meaning  of  his  assertion,  because  the  extended  form  of  the 
prologue  is  not  found  in  the  two  Bracton  MSS  quoted  by  him;  it  is  found  ex- 
clusively in  the  prologue  to  Fleta,  as  the  borrowings  from  South  Italian  stylists 
would  have  suggested  anyhow. 

Finally,  there  remains  the  hypothesis.  Professor  Woodbine  assumes  that  the 
writer  of  Fleta  "was  using  a  manuscript  of  Bracton's  treatise  which  also  contained 
it  [the  Glanville  prologue]"  and  that  "two  MSS.  of  Bracton  which  have  it  are 
still  extant."  Unfortunately,  the  two  MSS  (I  am  greatly  obliged  to  the  kindness 
of  A.  Ilaleran,  Esq.,  Librarian  of  Trinity  College,  Cambridge,  and  II.  A.  C. 
Sturgess,  Esq.,  Librarian  and  Keeper  of  the  Records  of  the  Honourable  Society 
of  the  Middle  Temple,  for  providing  me  with  photostats  of  the  prologues)  bear 
out  neither  the  assertions  nor  the  hypothesis  of  Professor  Woodbine. 

Trinity  College,  Cambridge,  MS  0.3.52,  fol.  1-  contains  a  prologue  which  is 
nothing  but  an  abstract  of  Institutes,  i,  1-2,  and  of  Bracton's  De  legibus,  i,  1-3 
(fols.l-2a).  It  begins  with  the  words  of  the  proem  of  the  Institutes  adjusted  to 
regal  rank,  but  has  nothing  at  all  to  do  with  Glanville,  as  a  comparison  of  the 
Incipits  may  show: 


Trinity  Cambridge  MS 

Regahm  potextatem  non  solum  amis,  set 
Ugihus  oportet  es.se  armatam,  ut  utrumque 
tempus  bellormn  et  pads  recte  giibernetur 
non  solum  liostilibus  preliis,  sed  per  pruden- 
tiam  Juris  et  legum  calumpni  autem  [sic] 
iniquitatem  expellat. 


Glanville 

Reg'mm  potestatem  non  solum  armis  contra 
rebcllcs  [et  gentes]  sihi  regnoque  insiir- 
gentes  oportet  esse  decoratam,  sed  et  legibus 
ad  subditos  et  populos  pacificos  regendos 
decet  esse  ornatam,  ut  utraque  tempora., 
pacis  scilicet  et  belli,  gloriosus  rex  noster 
ita  feliciter  transeat  .... 


In  other  words,  any  similarity  between  the  Trinity  Cambridge  MS  and  Glanville 
evaporates  after  the  fifth  word  (armis),  and  the  few  other  parallels  are  easily  ex- 
plamed  by  the  common  source,  the  proem  of  the  Institutes.  Hence,  a  more  thor- 
ough reading  of  the  Trinity  Cambridge  MS  of  Bracton  reveals  that  the  writer  of 
the  Pseudo-Bractonian  prologue  did  not  use  Glanville  for  a  motlel  and  that  conse- 
quently this  preface  could  not  have  been  used  by  the  writer  of  Fleta. 

The  situation  is  different  with  regard  to  the  Middle  Temple  MS.6  Seat  A.E.15, 
for  which  Woodbine  uses  the  siglum  LT.  This  prologue,  it  is  true,  repeats  ver- 
batim (apart  from  a  small  number  of  readings)  the  prologue  of  Glanville  and, 
more  specifically,  the  beta  tradition  of  the  Glanville  text  (cf.  Woodbine's  edition! 
p.l7).  It  does  not,  however,  contain  the  South  Italian  additions  of  the  prologue 
to  Fleta.  We  may  wonder  whether  really  "the  presence  of  this  [Glanville]  pro- 
logue in  some  of  the  Bracton  MSS.  —  it  is  found  in  others  besides  LT  —  offers  a 
simple  explanation  of  the  fact  that  the  prologue  to  Glanvill  precedes  the  text  of 
Fleta,"  as  Woodbine  suggests  (De  legibus,  i,  p.  17,  n.l).To  begin  with,  there  are 
no  other  Bracton  MSS  besides  LT  which  have  the  Glanville  prologue;  there  are 
not  even  two,  since  the  Trinity  Cambridge  MS  has  to  be  eliminated  completely. 
Hence,  LT  is  unique;  it  is  (to  our  knowledge)  a  hapax  gegrammenon,  written  in 
the  late  thirteenth  or  early  fourteenth  century.  Nothing,  of  course,  is  impossible. 
The  author  of  Fleta  may  have  chanced  upon  the  Middle  Temple  MS,  provided 
that  it  was  written  before  he  wrote.  If  he  saw  it,  he  did  not  use  it.  For  Fleta  fol- 
lows throughout  the  alpha  tradition  of  Glanville,  whereas  LT  represents  the  beta 
tradition.  Moreover,  on  one  occasion  the  writer  of  LT  skipped  three  words 
("tempore  pacis  ipse  [pacis  auctor  et]  amator"),  whereas  both  Glanville  (p.  23, 
the  line  before  the  last)  and  Fleta  (p.  2,  line  13)  have  the  three  words  bracketed 
in  the  parenthesis.  That  is  to  say,  Fleta  did  not  copy  LT,  and  of  another  Bracton 
MS  prefaced  by  the  Glanville  prologue  we  have  no  knowledge.  We  therefore 
have  to  abandon  the  hypothesis  that  Fleta  borrowed  his  prologue  from  a  Brac- 
ton MS. 

What  the  Middle  Temple  MS  actually  proves  is  a  certain  popularity  of  the 
panegjTical  Glanville  prologue  even  at  a  time  when  Glanville's  work  was  out  of 
date.  The  prologue  of  Glanville  was  used  in  the  1240's  to  preface  the  Scottish 
Regiam  Majestatem;  it  was  used  in  the  1290's  to  preface  Fleta,  and  probably 
around  1300  to  preface,  in  one  case,  also  Bracton's  De  legibus.  It  would  be  legiti- 
mate to  ask  whether  perhaps  the  Glanville  prologue  survived  independently  as  a 
piece  of  panegyric  rhetoric.  Of  this  we  have  no  evidence;  but  Fleta 's  cento  might 
suggest  an  answer  in  the  affirmative. 


'  /    L        I     L 
U     J       I     J 


itato  ^t\)oo\  of  J^arbarb  ©nibergttp 
CambribBc  38,  iWagK. 


22  Scot.  56 


Dear  >'r.  Kantorowicz: 

It  was  very  oleasant  to  heve  your  letter   I 
h«ve  knovm^ou  long  by  reputation,  of  course,  thouph 
unfortun=^tely  v.-e  never  have  met.  Year?;  npo    I  vas  ■- 
student  of  -the  other  Kantorowicz'-  Herrrann-  in 
Ireiburg-  but  that  (l  judge  you  will  not  object  to 
this)  is  another  kettle  of  fish  entirelvl  f do  hooe 
you  will  drop  in  on  me  v.hen  you  are  next  in 
Can-bridge  and  I  shall  do  the  same  mutatis  mutandis. 
Thank  you  very  much  for  vour  kind  invitation. 

1.+  *  ^  '^°^^   r""   f'^^'^'^^y   have  h-'d  a  (characteristic) 
letter  from.  Ger.ld  Eichardson.  In  connexion  with  the 
edition  of  Br»cton-olus-translation  that  the  Yale 
University  Press  and  the  Helden  Society  are  considering 
as  a  ;5oint  enterprise,  I  have  had  a  number  such  from 
nis  '^en.  I  am,    as  you  must  be,  anxious  to  know  what 
suo.ort  he  h«s  for  his  interpretation  of  the  title 
liltj^  but  he  never  has  oroduced  any,  nor  does  George 
.^ayles,  wnom  I  saw  last  summ.er  in  Aberdeen,  do  more: 
I  suooose  we  must  await  the  Introduction.  thouM.'  that 
seems  vpry  far  off.  - 

iii   ca  ^r   iT""  '"^■^^i-^i^t  on  the  oass.ge  in  Fleta 

m;.e;;«f'  ^   /"n°^*^  difficulty  that  ouzzled-STTden 
T^y.l    .1.         '■"^-    °^?*  lP^-26).  on  the  alienation  of 
roynl  oosseLsions,  which  the  king  m.ust  recall 

^IZfn"^    Provisionem  regv,m  Chri  stianorum  apud  l!ontem 
^esooionifim,  anno  regni  re.P:is  Idwardi  filii  reels 
woul  'i  ''""^'?  habitam.'  Tsu.oose  if  .^ou  had  v^u 
would  have  out  it  in  your  .'^oeculum  article,  thou.h 

a?JMr^^   °v^^^^?,^^  ^°    ^-""^  knowledge  of  Italian 
n^l^k^       ""   J'ontpellier  .eems  a  mistake  and  the  year 

back  nf  Lr°"';  ^'  °""  °^  "^°"'  =°"<^h  Itnlian  clerks 
back  of  this  reference?  I  would  a.oreci^te  any 
thou-hts  you  r-av  have  on  this. 

I  hope,  now  that  we  h^ve  be^-un  to  exch«n?e 
letters,  our  corresoondence  will  continue. 


Sincerely  yours, 


n    L 
u    J 


I    u 


^ 


[I 


HatD  g>c!)ooI  of  J&arbarb  Wnibersfftp 
Cambrfbge  38,  iHaKflt. 


:1  July  56 


Tear  ^rofessor  Kantorowicr: 

I.'iller  of  the  Iv'.ediaeval  Acaderr.v  oernutted 
me    to  t- ke  ind  read  --our  delightfully  interestinj 
pa:)er  on  the  Fleta  prologue,  which,  once  I  h-^d  taken 
it  in  hand,  I  found  irr.nossible  to  out  down.  I'y   copy 
of  Ienholn:-Young '  s  little  11001-:  is  at  ho:„e  and" my 
English  Historical  Review  still  unpacked  after  its 
trip  from  "ew  Haven,  but  you  seer.:  certainly  to  have 
made  it  more  likely  that  "atthew  Cheker  was  the 
lon^-lost  author  v;e  have  all  been  seeking.  Enrlish 
legal  historians  will  be  most  interested  and 
Eichardson,  who  thinks  D-Y's  suggestion  v.-orthless, 
chagrined.  I  note  you  will  send  a  copy  to  George 
Cayles  for  use  in  the  introduction,  but  I  ,-^ud -e 
that  work,  to  aT?ear  in  the  4th  and  last  volurc  of 
Fleta,  is  at  least  F-10  years  off  I 

F.icl'iardJon,  •=■3  you  "cnov;,  and  perhaps 
3ayles,  who  refused  to  conjnit  himself  when  I  sax? 
hir  last  su- ncr  in  Aberdeen,  thinks  the  book  is 
called  Fleet  because  by  its  means  the  reader  can 
fleetl"  find  hi-  way  through  Inglish  law;  that  it 
does  not  take  its  nrme  from.  Flret  "'rison  and  that 
it  is  nuitc  imoossible  that  the  book  v;as  v>'ritten 
there.  It  is  his  account  that  amears  in  the  Gelden 
"ociety's  -trrnhlei    (Aug.  1955}  Publications,  List 
of  J'embers,  etc.  at  oo.  23-4. 


Viit".  kindest  regards, 


Sincerelv  vourn, 


rJ^wAa^r-u* 


S.  L.  ihorne 


/  /    L 
U     J 


-tf-L-' 


^•^  t-<  (V 


t 


xy^^ 


The  Grange, 

GOUDKUaST , 

Keot. 

28  August,  1956. 

Dear  Dr.  Kantorowic* , 

You  will  already  have  hesird  from  Saj^les  on 
the  subject  of  the  article  you  have  submitted  to  the 
editor  of  Spec\ilum,  Sayles  has  passed  your  carbon  copy 
on  to  ne,  and  I  liave  read  the  article  with  the  greatest 
admiration  and  profit.  I^'either  Sayles  nor  I  would  ever 
have  tracked  dc\m  the  sources  of  those  passages  in  the 
prologue  of  Fleta  which  are  marked  by  so  abrupt  a 
change  of  style.  The  puzzle  was  why  there  were  no 
traces  of  the  same  style  elsewhere.  You  have  solved 
the  problem  admirably  and  put  us  very  much  in  your  debt. 

But  may  I  express  dissent  from  yo\ir  acceptance 
of  Denholm-Young*s  suggested  identification  of  the 
author  of  Fleta  with  Matthew  of  the  Exchequer?  You 
will  not  have  seen  my  review  of  Denholm-Young* s 
Collected  Papers  in  the  Law  Quarterly  Review,  where  I 
pointed  out  some  reasons  wh^''  the  identification  is  not 
acceptable.  The  mistake  arises  out  of  Selden's  quite 
unfounded  identification  of  the  Fleet  of  the  treatise 
with  Fleet  Prison,  There  is,  in  fact,  nothing  to 
suggest  such  an  identification.  The  only  reason  why 
Fleet  is  mentioned  is  to  give  the  author  an  opportunity 
for  a  jeu  de  mots.  The  name  of  the  place  where  the 
treatise  was  written  is  apposite  because  the  treatise 
is  a  *  fleet'  way  of  ascertaining  what  the  law  now  is: 
that  is,  Bractonian  law  as  modified  by  Sdwardian 
legislation. 

As  Guterbock  pointed  out  long  ago,  the 
reference  to  the  Scottish  chancellor  as  subordinate  to 


/the 


\ 


Dr.  E.H.  Kantorowicz,  ^  , 

The  Institute  for  Advanced  Study, 

Princeton, 

lie*  Jersey,  U.S.A. 


n    L 

u    J 


I     U 

I    u 


the  English  chancellor  (see  our  edition,  p. 125)  must 
refer  to  Edward's  ^Jurisdiction  over  Scotland,  He, 
therefore,  suggested  that  the  treatise  could  not  "be 
earlier  than  1292  (transl.  Brinton  Coxe,  p. 71).  But 
the  probahilities  point  to  late  1296,  when  Walter  of 
Amersham  was  appointed  chancellor  of  Scotland 
(October  of  that  year),   I  need  not  go  into  the  details, 
but  I  do  not  think  that  at  any  previous  period  the 
chancellor  of  Scotland  could  be  said  to  be  subordinate 
to  the  chancellor  of  England,  On  the  other  hand,  the 
Eissuraption  made  in  several  places  in  the  treatise  is 
that  the  Jews  are  resident  in  England  and  have  a 
special  status.   The  book  was  therefore  in  the  making 
before  the  Expulsion  (decreed  in  July  and  completed  in 
October  1290),  The  most  feasible  hypothesis  I  can  form 
is  that  Fleta  had  its  origin  in  a  manuscript  of  Bracton 
into  which  had  been  incorporated  the  amendments  of  the 
law  introduced  by  Edward  I's  legislation.  There  was 
other  matter,  notably  the  treatise  on  estate  management, 
which  fills  Book  II,  chapters  71-S8,  This  bulky 
manuscript  was  reduced  to  manageable  dimensions  by 
rigorous  cuttinj^down  and  scmxe  re-arrangement  of  the 
matter.  LsLfge  portions,  however,  still  remain  directly 
copied  from  Bracton,  with  little  reduction  or  alteration. 
But  the  abbreviated  work  was  never  conqpleted  and  never 
revised. 

That  the  author  was  connected  with  the  house- 
hold is  evident  from  his  use  of  the  rolls  of  the  court 
of  the  Yerge,     The  latest  is  that  of  18  Edward  I 
(p. 113).  This  roll  was  used  for  Fleta  either  when  the 
author  was  ernployed  in  that  court  or  alternatively 
after  the  roll  (and  earlier  rolls)  had  ceased  to  be 
required  for  the  current  business  of  the  court.  Either 
alternative  excludes  the  (quite  baseless)  assun^ition 
that  the  treatise  was  written  by  one  of  those  convicted 
at  the  'Trial  of  the  Judges'.  But  the  wide 
jurisdiction  attributed  (quite  correctly)  to  the  court 
of  the  Verge  is  incompatible  with  the  restrictions 
imposed  upon  it  by  the  Articuli  super  Cartas  of  March 
1300  (Statutes  of  the  Realm.  1.156-141),  No  reference 

/to 


U     Ji 


I    U 


I 

4 


to  thiB  enactment  appears  in  Pleta  and  the  inference 
is  either  that  the  author  died  earlier  or  that  he  had 
laid  his  work  aside.  Por  Fleta  in  its  present 
(unrevised)  form,  therefore,  we  get  a  date  1296-1300, 
out  an  origin  many  years  previously. 

There  are  many  problems  connected  with  Pleta* 

lor  example,  the  relation  of  'Walter  of  Henley'  anS * 

Seneschau^ie  to  Book  II,  chapters  71-88.  The  current 
notioy^that  Pleta  is  the  -borrower  seems  untenable. 
f^J  these  and  other  matters  will  be  discussed  by  Sayles 
and  ijyself  in  the  introductory  volume  (still  some  years 
aneadj,  when  we  hope  to  disperse  a  number  of  mis- 
conceptions. You  will  have  cleared  up  one  problem. 
very  much  better  than  we  could  hope  to  do.  ■^'°''^®'^' 

-v,^  K  K   -J  ®"°^°se  a  paper  on  the  Regiam  Ma.lestatem. 
Which  has  been  waiting  for  you  for  some  time. — The — 
present  opportunity  is  a  suitable  one  for  sending  it. 

With  kind  regards. 

Yours  sincerely. 


/  /    C     J    n 
U    _'    '-     U 


(5?3) 


D 


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iJr.    K.    M.    Kloog 
Mlincnen  1;^ 
Tiirkenatr.    29/III 


Miinchen,    30.    8.    56. 


Sehr  verehrter  Herr  Profesjor  Kantorowicz! 


u/ 


Haben  Sie  besten  Dank  fur  Ihren  Brief  vo:n  22.  7.  nebst 
Anlegen.  Ihren  i\ufsatz  habe  ich  mit  Genuxi  ejeiesen.  t.s  iat 
immer  w/ieder  erstaunlich,  einen  wie  groiSen  EinflaJ  der 
'Petrus  de  Vinea'  auf  alien  Gebieten  ausgeiib*  hat! 
Zu  den  rnoglichen  ^ueilen  des  'Fleta*  eine  Frage:   Seite  28 
erwahnen  Sie  als  Moglichkeit  ein  Briefbuch  des  Stephan  de 
S.  Jeorgio;  vvarum  insistipren  oie  nicht  starker  darauf? 
Meiner  /nsicht  nach  heben  wir  in  der  Periser  Hs.  8567,  die 
ja  au3  verschiedenen  nicht  zusammengehorigen  Lagen  besteht, 
Fragmente  des  L^riefbuches  des  Stephan.  Die  Vermutung,  daJ 
'Fleta'  aus  dem  Brief i.uch  geschopft  hat  -  and  sich  vieltRXK 
leicht  in  den  in  seinem  Biicherinventar  erwahnten  diverj^ 
minuta  i^.bschriften  dsrauskemacht  hat  -  scheint  mir  doch 
am  nachsten  zu  liegen. 

Im  Kinzelnen  hatte  ich  noch  Folgendes  zu  bemerken: 
Seite  6  Zeile  5,  in  Fletas  Prolog  in  omnera  terrain  exierit 
laus  eius,  konnen  Sie  aach  auf  Petrus  de  Prece,  Miiller  Nr. 
19  3.  1A-0,  Anfang  des  Briefes  hinweisen. 
\    S.  17*  Stephens  Lobrece  auf  Kg.  Edward.  Vv'ollten  Sie  die 
Perallelen  dieses  St^^ckes  mit  PdV.  111,45  nicht  anmerken? 
Vor  alle'n  der  Anfang  ist  ja  wortlich  ubernoinmen. 
Uberrascht  war  ich,  in  dem  seiben  Stiick  Anklange  en  mei- 
nen  Nikolaas  de  Beri  zu  finden.   3.  17,  Z.  18  qui  stature 
decorus  placet  aspectibus  speciosus  formajpre  filiis  homi- 
num^  vgl.  K^ikoleus  v.  Bari  3.  174,  Absetz  14,  Zeile  7  v.u. 
und  5  V.U.;  ferner  ira  seiben  Absatz  S.  I75  oben  Zeile  1-2. 
Dann  els  drittes^ in  Ihrem  Aufdatz  3.  18  Z.  32-54  Ps.  143  1 


'  /    L      -'     _/ 
U     J    L     J 


\y 


wozu  v.^i.  Nikolsus  V.  Eari  im  selben  /bsatz,  'S.  174,  zu 
Anm.  77.  ^uch  aie  beiden  ersteren  3tellen  sina  Ja  Eibel- 
zitete,  Pber  de.i  sie  file  arei  bei  Nikolfiuo  von  iisri  und 
bei  Stephan  vorkoraraen,  bei  Nikolaus  d.-^zu  noch  in  einem 
einzigen  Absatz,  ist  gewiJ  nicht  zufallig.  Y)^^   Stephan 
Nikolaus  benutzt  habe,  scheint  mir  kauni  wahrscheinlich, 
es  mu.i  eine  Kemeinsame  .quelle  fur  beide  geben  auiier  der 
Bibel.  Aber  welche??  Die  letztere  Bibelstelie  findet  sich 
iibrigens  auch  auf  einer  Fehne  unbekannter  Provenienz  (Ite- 
lien-Spanien,  11.-12.  Jh.?),  s.  Schramm,  rierrschaftszei- 
chen  2,  S.  666f.  und  Abb. 

Nun  wieder  zu  S.  8,  Zeiie  52-54,  hier  konnte  doch  auch 
auf  PdV.  111,44  hingev,iesen  weraen,  annos  Au^usti  regnan^ 
tis^augeres^,  zumal  Herr  Pivec  gerade  diese  Stelie  so  grau- 
sam  entsteilt  hat! 

Zum  Apparat  auf  3.  8  und  Anmerkungen  S.  37,  Anm.11:  soil 
die  3igle  PV  oder  VP  hei^en"^ 

S.  45,  Zeile  14,  in  der  Lobrede  f^uf  den  Kg.  v.  Kastilien, 
die  Stelie  qui^^^udentia  nostisjper  dlstinctionem  tempo- 
£ura_^concord^re_scri^ji^^  die  Stelie  kommt  mir  irgendwie 
bekennt  vor.  Ich  habe  lange  deriiber  nachgedacht,  woher  mir 
die  Stelie  ira  Gedachtnis  ist,  konnte  es  aber  nicht  mehr 
ausmachen.  Ich  glaube  kaum,  da.i  sie  mir  aus  der  seinerzei- 
tigen  sehr  fliichtigen  Lekture  der  Kandschrift  so  gut  im 
Gediichtnis  geblietien  ist.  Vielleicht  f^illt  Ihnen  etwas  ein? 
S.  46,  Datierung  des  Schreibens:  In  meiner  Beschreibung 
der  Handschrift  habe  ich  zu  dem  Stuck  notiert  'Gegeben  zu 
Lodi  an  Pfingsten'.  Da  3ie  nichts  devon  erwahnen,  bin  ich 
allerdings  auch  leicht  geneigt  zu  glauben,  da^i  ich  da  etwas 
mi.5verstanden  oder  verwechselt  habe,  well  die  Beschreibung 
damals  in  Paris  sehr  schnell  ging.  Aber  vielleicht  pnifen 


/  /     L      -/     U 
U     J    L        I 


-  Blatt  2  - 

3ie  zur  .licherheit  doch  nochmal  den  Briefschluii  nach. 
Warura  drucken  Sie  iibrigens  den  Brief  nicht  genz  ab?  Si- 
cher  ist  er  fur  Ihren  gei^enwartigen  Zweck  uninterea^ant, 
aber  nachdem  3ie  schon  ein  so  ^^roiSes  Stiick  des  Briefes 
ebdrucken,  scheint  mir  doch  die  Frage,  ob  der  /.bdruck  des 
Restes  Ihren  Aufsatz  nicht  vielleicht  zu  sehr  belastet, 
weniger  Gewicht  zu  besitzen,  als  die  Frage,  ob  Sie  fair 
gegeniiber  einem  kiinf tigen  Editor  der  Ste  jhan-Briefe  han- 
deln,  wenn  Sie  den  interessanten  Anfang  drucken  und  den 
Rest  verachtlich  wegwerfen.  /ber  das  ist  neturlich  Thre 
Sache,  und  ich  wei.i  ja  auch  nicht  mehr,  wie  lang  noch  der 
Rest  des  Briefes  ist  und  was  darin  steht. 
Des  waren  also  meine  Beraerkungen. 

Ihren  Vosschlag,  die  Briefe  aes  Stephen  de  S.  Georgio  zu 
edieren,  greife  ich  sehr  gerne  auf.  Allerdings  wird  das 
nicht  so  schnell  gehen;  Sie  schrieben  des,  bevor  Sie  mei- 
nen  letzten  Brief  gelesen  hatten,  in  dem  ich  Ihnen  meine 
Zukunftseussichten  und  -absichten  derlegte.  Es  erscheint 
mir  doch  engebracht,  auf  Jeden  Fall  die  Archivausbildung 
mitzuraachen;  6enn   wenn  ich  in  den  jetzt  beginnenden  Kurs 
nicht  eintrete,  so  kann  es  vier  Jahre  dauern,  bis  ein  neu- 
er  beginnt,  und  ich  werde  schlieilich  immer  alter! 
/'ber  ich  werde  ja  neben  der  ^^rchivausDildung  wissenscheft- 
lich  weiterarbeiten  konnen;  es  ist  soweit  ebgesprochen, 
defi  ich  den  Arbeitsauf trag  des  Petrus  de  Vinea  helbtagig 
beibehalten  kenn.  Das  muB  ich,  abgesehen  vom  wissenschaft- 
lichen  Interesse,  schon  aus  finanziellen  uranden  durch- 
setzen,  well  ich  im  i^rchiv  in  den  ersten  Jehren  nur  200 
Mark  bekomme.  So  also  stehen  die  Dinge. 

Der  Stephen  de  S.  Georgio  und  die  anaern  ' Anglo-Italiener' 
wiirden  mich  eus  dem  selben  Srunde  interessieren,  der  mein 


'  /    L      -'     C 
U     J    L     -/ 


Interes3e  fur  den  Petrus  de  Prece  bestiramt:  die  Verpflen- 
zung  italieniocher  Stilistik,  Pit&etsgedsnken  und  Kultur 
nach  dem  ilorden,  im  einen  Falle  P.nglend,  im  andern  uayern 
und  boh'nen.  ^■'!ich  mit  diesen  Briefen  naher  zu  beschafti- 
gen,  dpran  hebe  ich  freilich  nie  gedacht,  well  ich  einfach 
von  englischer  Gejchicnte  gar  zu  v/enig  verstehe.  Mit  Th- 
nen  zussnimen,  dsd  konnte  allerdings  sehr  anregend  und  in- 
teresciant  und  zweifellos  sehr  ertragreich  sein!  L\x   Ihnen 
zu  koaimen  und  nit  Ihnen  zusammen  zu  arbeiten,  reizt  mich 
gar  zu  sehr,  aber  wenn  ich  ,jetzt  dso  Archiv  aulgebe,  was 
wird  dann  nach  einem  Jehr? 

Ich  stelle  mil?  vor,  daii  es  so  gehen  koitnnte:  Im  Laufe  des 
nachsten  Jahreo  konnte  ich  beginnen,  die  Texte  herzustel- 
len  und  die  ('berlieferung  klarzulegen,  &iso  die  Vorarbei- 
ten  zu  leisten.  i^is  dahin  wird  x  sich  zeigen,  ob  und  wenn 
ich  vom  /rchivdienst  beurlaubt  werden  kann,  wad  nach  /*b- 
schluli  der  /usbildung,  die  ellerdingo  drei  Jahre  dauert, 
auf  jeden  Fall  leichter  ist.  Solite  denn  eine  Beuriaubung 
zu  viel  ^chwierigkeit  rnachen  oder  in  zu  weite  Feme  riicken, 
so  konnen  wir  unsere  ^usamnienarbeit  immer  noch  brieflich 
durchzufiihren  versuchen. 

Was  meinen  3ie  zu  raeinem  Vorschlag,  und  iiberhaupt  zu  mei- 
nen  lierul'sfc  absichten?  Und  vergessen  Sie  bitte  nicht,  noch 
einmal  auf  meinen  Brief,  bzw.  die  ' Qrglossen'-Ldsung  zu- 
riickzukommen! 

Zur  Zeit  sitze  ich  an  dem  Literaturbericht  fiir  die  Tradi- 
tio;  es  ist  viei  Stoff,  aber  sicher  ist  mir  noch  Menches 
entgangen.  'lobald  er  fertig  ist,  schicke  ich  Ihnen  einen 
Durchschleg  mit  der  herzlichen  iiitte  um  '/dditamente' ! 
Drmit  wiinsche  ich  Ihnen  noch  nette  Ferientege  und  griiiie 


Sie  herzlich 


Ihr 


(Ic^h^^iu  iU 


*-•-* 


'  '     L      -'    L 
U     J     L     /_/ 


The  Grange, 

GOUDHURST , 
Kent. 
8ncl    February,    1955, 


Dear  Mr.  Kantorowicz, 

It  is  a  pleasure  to  hear  from  you  again.  There 
is  no  mystery  about  the  Year  Books  of  iildward  IV,v/hich  have 
been  in  print  for  nearly  four  centuries,  though  there  is  no 
modern  edition.   I  have  looked  up  21  Edward  IV  in  Pynson's 
edition  of  1566,  but  I  cannot  find  Coke's  citation  at 
fo.  39b.   I  will  turn  up  Calvin's  Case  and  see  if  the 
reference  helps  to  trace  the  citation.  You  should,  how- 
ever, have  no   difficulty  in  getting  sight  of  the  Year  Books 
of  uldward  IV  (at  least  in  the  Vulgate  edition,  but  with  the 
same  foliation),  if  not  at  Princeton,  at  Harvard  or  Yale. 
There  are,  by  the  way,  no  Year  Books  at  the  P.H.O.,  though 
the  corresponding  records  on  the  plea  rolls  are  there. 
Identification  is  a  difficult  process,  however,  and  there 
is  no  reason  why  words  used  in^ discussion  in  court  should 
find  a  place  in  the  record.  £^oyt  sent  me  his  paper  in 
draft  and  I  made  one  or  two  suggestions,   I  do  not  think 
that  his  exhaustive  investigation  upsets  my  conclusions  but 
rather  confirms  them.   I  doubt  whether  there  is  now  any- 
thing of  substance  left  to  discover  about  the  oath  of  1308. 
I  still  hope  that  documents  will  turn  up  that  will  throw 
fresh  lin:ht  on  the  twelfth  and  thirteenth  centuries.   I  have 
myself  missed  little  things,  in  print  a  long  time,  that 
help  to  establish  how  flexible  the  oath  was  and  that  it  was 
uttered  in  the  vernacular. 

I  am  afraid  the  enclosed  offprint  is  not  very 
intelligible  without  the  article  on  which  it  is  a 
commentary.   My  reply  should  not  have  been  necessary:   one 
can  only  wonder  why  editors  accept  some  of  the  stuff  they 
print.  However,  I  hope  to  send  you  shortly  a  more 
important  paper  on  the  influence  of  Roman  law  in  Scotland. 


/I 


Professor  Ernst  Kantorowicz, 

The  Institute  for  Advanced  Study, 
Princeton, 

NEW  JERSEY. 


U     J    L 


I  shall  "be  interested  in  anything  that  you  have 
written  and  look  forward  to  reading  in  due  course  the  off- 
prints you  are  sending. 

Yours  sincerely, 


n    L    J    u 

U     J    L     U 


G 


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/  /     L      -'     M 
U     -'     -I     «_/ 


My   dear  Kantorowicz, 


Department  of  History, 
King' s  College, 
Old  Aberdeen. 

2nd  August,  1Q%. 


Your  paper  arrived  yesterday  morning  and  I  read  it  at  once  with  great  avidity  and 
pleasure.   We  had  noticed  that  the  author  had  ceased  to  reproduce  Glanville  and  had 
apparently  gone  off  on  his  ov/n.   But  with  a  cento  like  his  it  v;as  not  likely  that  he  would 
burst  into  originality.   If  ever  he  had  done  so,  how  pleasant  it  would  have  been  to  be 
able  to  point  out  that  one  who  was  quite  intelligently  interested  in  law  and  gave  us  our 
first  definition  of  parliament,  should  have  praised  Edward  I,  not  for  his  statutes  or  his 
parliaments,  but  for  his  exploits  as  a  man  of  war.   But  all  such  attractive  argument  is 
killed  at  once  by  your  discovery  of  his  reliance  on  Stephen  de  San  Giorgio' s  encomia, 
based  in  part  on  Peter  de  Vinea.  You  must  not  blame  us  too  severely  for  having  missed 
this  equation:  it  is  hard  to  pick  up  all  the  trails  and, since  Fleta  depends  so  much  on 
Bracton,  we  are  all  the  time  involved  in  the  probleiis  arising  from  the  texts,  civilian 
and  canonistic, that  underlie  the  early  pages  of  Bract onjs^  treatise .  The  arguments  you 
have  put  forward  in  substantiation  of  Denholra-Young' s  attribution  of  Fleta  to  Matthew  of 
the  Exchequer  are  fascinating  and  Richardson  and  I  will  have  to  consider  them  carefully. 
On  the  face  of  things  we  have  been  most  reluctant  to  found  our  approach  to  the  authorship 
of  Fleta  upon  the  statement  by  Selden  that  it  had  been  composed  in  the  Fleet  prison. 
It  was  a  pure  guess  on  his  part  and  there  is  no  other  evidence  for  it  and,  as  you  know, 
he  was  only  responsible  for  the  preface,  for  the  text  itself  was  the  work  of  someone 
devilling  for  the  printer.   Would  it  not  be  possible,  as  the  Prologue  itself  suggests, 
that  the  writer  was  doing  his  work  at  Fleet  and  that  in  the  manner  of  the  time, as  a  pun, 
he  would  call  it  Fleta  because  it  was  intended  to  be  a  fleet,  a  rapid, method  of  finding 
out  the  current  law.   Something  after  the  fashion,  shall  we  sa,7,  of  an  American  businessman 
who  produces  a  "Quickref"  series  of  handbooks.  However,  all  these  problems  are  being  lef^ 
until  the  introductory  volume  is  published.  'When  that  will  be,  if  ever,  I  do  not  know 
because  I  can  never  hope  to  get  a  full  six  months'  work  without  the  need  for  interruption 
to  lecture  and  adm.inister. 


Perhaps  I  should  add  a  note  about  the  way  in  which  Fleta  is  to  be  published. 
Richardson  and  I  began  to  work  upon  the  single  MS.  in  19''1  in  the  middle  of  the  war, 
simply  because  it  was  work  that  could  be  done  in  bits  and  nieces  in  that  strenuous  time 
without  demanding  access  to  other  MSS.  for  purposes  of  collation.   The  first  two  Books 
of  Fleta,  now  published,  were  in  page  proof  by  October  19'''^  and  I  fear  they  were  left  to 
languish  in  that  state  because  the  war  came  to  an  end  and  we  were  able  to  get  back  to  our 
early  loves.  However,  we  purpose  publishing  Books  3  and  k   of  Fleta  in  another  volume  and 


n    c    J 

u    J    J 


Books  5  and  6  in  a  third  volume  and  then 
the  introduction  and  the  annotations  and 
the  indexes  and  the  whole  paraphernalia 
in  an  introductory  volume  by  itself.  But  I 
am  not  too  optimistic  about  reaching  this 
introductory  volume  for  many  years, if  at 
all,  though  I' think  it  might  prove' of 
interest  in  its  description  of  the 
influence  of  romanistic  and  canonistic  law 
and  theory  upon  developir.ents  in  England. 

I  recall  with  great  pleasure  the  three 
days  I  spent  at  Princeton  and  the  opportu- 
:nity  it  gave  me  to  meet  your  ovm  good  self, 

This  comes  to  you  with  my  thanks  and 
my  warmest  regards, 

Yours  very  sincerely,       f 


^(T^c^. 


P.S.  You  migh1 

been  v/ritten  ^^f^^ 

to   Scotland.    And _ writing 

Aberdeen,    I  must   suggest 


tmrirti  1296. 


Fiesta  must  have 
See  his  referenc 
as  I  am  frcci 
that  on  page  2 


g 


"Scotch"  should  read  "Scottish"  or  "Scots 
there  is  a  tendency  here  to  regard  "Scotc 
as  a  word  to  be  confined  to  whisky  and 
sweets.  The  writer  of  the  MS.  of  Fleta 
habitually  uses  'ezccerceo'  for  'exerceo'. 
(your  p.  D,  1.5)  -  a  fairly  common  usage, 
such  as  'excercitus'  for  'exercitus'.  And 
on  your  p.  ^-.do  we  really  know,  as  I  have 
said,  that  Edward  I  had  out  the  author  of 
Fleta  in  jail? 


II. 

hV 


PA  11    AVION 

AIR  LETTER 

AEROGRAMME 


PrD.f.es.s.or....Kan.to.r.Qwic.7., 

Ins.titut.e.,fbr...Ad.".anc.ed....Study.-, 

p..rinc©t.on^ 

Me.w....J.er.s.ey.., 

R,3..A. 


•  Second  fold  here  ■ 


Sender's  name  and  addrew  : PTOf  e.S.S.Qr. ...Say.le.S 

Department of  History • 

King's  Gollege, 

Old    Aberdeen,    Scotland. 

AN   AIR   LETTER  SHOULD  NOT  CONTAIN   ANY 

ENCLOSURE  ;   IE   IT   DOES  IT  WILL   BE   SURCHARGED 

OR   SENT  BY   ORDINARY  MAIL. 


y^^ 


■  ai»q  ms  osao  o  i  \\ 


,V 


U     J     J    L 


J. 


THE     INSTITUTE    FOR     ADVANCED     STUDY 

PRINCETON,     NEW     JERSEY 

July  9,  19^6 


SCHOOL  OF   HISTORICAL  STUDIES 


Dear  Mr.  Kichardson, 

I  was  delighted  to  I'eceive  from  your  friend  Sayles 
the  first  voltjne  of  the  new  baby  v^.lch  your  haopy  connubiwi  has 
produced:  the  text  of  I'leta.  It  is  very  har.dso^iely  printed  and 
the  full  value  of  this  •liition  will  become  -nanifest  once  the  Index 
and  your  IntroducUon  will  be  at  the  disposal  of  the  student. 

While  leafinc  through  the  new  volvme  and  trying  to  mar  its 
clean  margins  with  pencil  marks  I  came  to  read,  apoarentlv  for  the 
firrt  time,  the  Prologue.  I  asome  that  in  the  copy  I  used  in  Berlin 
when  I  first  read  -lota,  the  ?rolo?xie  pa(?e  of  the  17th-century  edition 
(an  isolated  leaf  following  after  the  title  page)  must  have  been  mis- 
sing, and  that  whenever  I  used  Fleta  in  later  years,  I  never  bothered 
to  look  at  that  Prologue.  At  nny  rate,  had  I  read  it  before,  I  would 
have  noticed  nuch  earlier  that  Fleta  -  in  the  secUons  he  inserts  into 
c.lanville's  Prologue  -  used  Petrus  de  Vinea'p  eulofy  for  Frederick  II 
^iLpistolae,  III,Uii,  ed.  Siiaon  Schard  (F.asel  l'^66),  h67rf,  also  HuiHard- 
Breholles,  Vie  et  corresponadnce  de  Pierre  de  la  Vl^ne  (186<),  K2t^f. 
The  larper  part  of  the  inncrtion,  hcvrvor,  is   -r.'lc  up  >^-''  a  piece  called 
Laudes  facte  de  domino  Odduardo  i^ege  Anglie,  per  Stephanum  de  Sancto 
Georgio,  tliat  is,  by  Stephen  of  S.Oiorglo,  who  was  a  WardroV^e  cleric 
and  in  whom  I  have  been  intere?^ted  for  rn-<ny  v.»ars  (cf .  KHR,  LV  19li3 
h2l4f,  note).  This  a?ain  sheds  sane  new  lipht  on  the  aathorship  of  ' 
Fleta.  I  have  written  a  little  paper  on  the  subject  and  am  going  to 
'nail  tx5  you  next  weok  a  carbon  copy  ''another  cony  p-olnc  to  Sayles) 
of  ttiat  paper,  which  I  may  pive  to  Speculum,  because  it  might  be 
useful  to  you  and  Sayles  in  preparing  yovr  notes  and  ynvir  introduction. 

In  return,  may  I  nsk  you  once  i-.ore  for  a  favor,  '.oodbine,  whose 
edition  of  Bracton  grows  worse  the  more  often  one  uses  it  and  who  is 
cuite  unreliable,  quotes  Bmcton,  vol. I, p.  17,  TAbrary  of  the  Kiddle 
Temple.  yS  6  Seat  A.F.lS'.  and  maintains  that  Fleta  used  the  rsianville 
Prologue  in  :  racton's  version.  In  his  Glanville,  p.l81t  (v.  Prologus). 
he  nakes  a  slr.ilar  r^tatement  and  adds  yet  another  ^racton  KS:  Trinity 
Ganbridge.  MS  0.3.^2.  I  do  not  believe  ^^oodbine,  but  I  think  I  have 
to  investigate  the  Bracton  matter.  While  it  will  be  simple  enough 
to  ret  a  photo  from  Trinity  Ca-^brl-'nc,  T  am  not  nt  all   ^anillar  with 
the  Middle  Tanple  Library.  Moreover,  in  all  probability  you  will  have 


/  /    L      _/     -/ 
U     J     J     J 


-     2     - 


a  photo  of  this  peculiar  Prolorue  to  'Yacton  if  it  really  is  identical 
./^th  the  Fleta  i^rologue.     .ay  I  therefore  borrow  from  you  the  photo  of 
the  I'iddle  Tej^le  InS  containing  Fracton's  Prologue?  Or,  if  you  do  not 
have  that  ohoto,  ^ay  I  ask  you  to  provide  a  choto  cf  that  '  rolcFUe  for 
me?     The  Prologue,  orOy  -  hecause  I  an  not  interested  in  that  KS  for 
any  other  reason.     I  would  he  very  (rratefxjl  to  yc\x  if  you  wovild  be  kind 
er:ouE^n  to  help  -ne.     ^'oreover,  I  asst»ne  that  yo-j  i-'CTild  Icr.ow  the  oeople 
at  the  Inner  Temple  Library  and  that  I  could   secure  the  photo  more 
speedily  thro\iph  you  than  when  writtnp  as  an  igrtotus  to  the  librarian 
vhoi'i  i   do  not  know.     Thank  you  very  much  in  advance. 

I  hope  vovir  Enrlish  suircner  will  be  better  than  our  American 
suT.mer  is,   and  you  are  havinp:  a  oleasant  vacation. 

Yours  very  sincerely 


Fmst  H.  KantorowlcB 


'  /    L      J     U 

U     J     J       I 


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-  TiUrial  I  hyd  »t  WT  disposal 
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^]*^ /^ol-I  vitti  yovr  intro^ructory 

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TTI/VwCjOXo-Vv/    » 


■  Second  fold  here  - 


Sender's  name  and  address : 


9.0. s 


.*^^^..., 


AN  AIR  LETTER  SHOULD  NOT  CONTAIN  ANY 
ENCLOSURE  ;  IF  IT  DOES  IT  WILL  BE  SURCHARGEI 
OR  SENT  BY  ORDINARY  MAIL. 


•>  Ms^  inj  u^o  o^ 


/  /     L      -/     U 
U     J     J     U 


17  Crescent  Koad 
".III'HL^DOIJ 

19  Der"=nb--r  IS'-o^- 


Dear  Professor  Kantorowloz 


It   was    a    ^reat    delight    to   receive    your   most    kjnd   letter 
ct'    l'^   ^'cve^1be^   and   the    accorrioanyl  n^   offprints,    and   I    take 
this    earl^    opportunity   ai'ter    tie    end   oi'    term    on    fednesday 
last    tc    send  770U  ny   grateful    tlan'o.       It   '/as   natural    t)  at 
1    should    turn    to    tie   Fleta   first,    for    the   oelden    Society's 
edition    continues    tc    cause    m.e    ^,nre   an^clety.    The   um.-ritten 
volur^e    I    oTVT-ht    to    consider   r-ost    carefully    the    "^atters    In 
vrur    article    on    Fleta.    as   ^'ell   as    the    quest' on   v,'^ic}    >ie   las 
raiser*    ahcut    Fleta    bock    II    of  which    a   version    in   French 
circulateri   t  nder    the   nane    cf    lalter    of   Henley/    ( Hlch-'^rdson 
regards    Fleta    as    t> e    autlor,    not   rerely   the    borrower    of 
this   'T'ateri  al  j — all    these   r-'atters   we    ou.:^ht    to    f^nd   In    th*^ 
^  ntroi^uctory   volume    of   Fleta:    but    shall   v/e? 


V 


/ 


There   were    many    thr'ngs    that   d^l'ghted  me    in    the    itud^r 
of   ^^ysterles    of   otate .    especiaLiy    on    tJie    Ghri  stus-F' sous 

a  strlkin;:  example  of  ti^e  vat^arles  fl)f  v/hat 
tho  '  )ontif icallsr;  '  oj'  our  James  J  (\/ho  was 
theologian  in  any  ca^e,  and  'a/ouI'^  rel:'shed 
vour   Deutsches   Arr'hiv    o?ioers.      The   wide   use 


phrase  vrhlch  is 
you  have  called 
brou:r}  t  ud  as  a 
the    \\  eolo  *■<'    of 


of  the  Dhrase  was  quite  new  to  me. 

T    have    put    together    sc^e    offorlnts   ••;}:.*  ch    J    am   seniln-^ 
to   you   \)y    surface   mall    \r\   the   hope    that    on^^    or    two  ml -rht 
interest   ^'cu;    the    one    that    I  would  most  have    Hired  to   include 
(the    "Lancastrian    Con  'tl tutlon ' jalas .    I    cannot   for    J    only 
lad    four    conies   to   tiegin  with,    being   then    very    lunlor.    It 
would   give   me    very   great   pleasure    to   see    "The    King's  Two 
Bodies"    if   you  have   a   copy   to   spare,    and    to   think   that  my 
earlv   effort   hai    caught   your   eye. 

vlith   the    best    compllm.ents    of    the    season, 
lours    slncerelv. 


^.  ^Tn  \jiUc^\^j^ 


\{ 


-P' 


r^' 


.r 


/  /    L      D     U 
U     J     J       I 


PAR  AVION 

AIR  LETTER 

AEROGUAMME 


P..U.sre..s3or    trnat    h.antorcv/1 

cz  . 

— ~lQ.a.t..ltu  t  e..  j;  or„jx.ly  a  nc  e  d 

.^.tivdv.. 

Princeton , 

_ ii®.>r..  J^^sey..... 

U.j..o^^^. 


■  Secoad  fold  bere  - 


Sender's  name  and  address: 


AN  AIR  LETTER  SHOULD  NOT  CONTAIN  ANY 

ENCLOSURE  ;  IF  IT  DOES  IT  WILL  BE  SURCHARGED 

OR  SENT  BY  ORDINARY  MAIL. 


—  usq  ins  asdo  ox 


/  /   c    u    n 

u    J      I    u 


A^^7I6 


% 


fi'iAC,}   U3u-kTifCTAflr7  Cfihrl'irAA 


c 


^Jj 


5 


U     J       I 


^49. 


"On  Transformations  of  Apolline  Ethics  "  in  CHARTTF^.  o  ^- 

EK'3  cony,  annotated. 


H. 


"Arma  et  litter^e"  (half  pa^e ) 

"3  Graces  on  Coins''  (slip) 

"For  a  catalogue..."  (half  page) 

"Karl  Borinski"  (half  page) 

"Arma  et  leges"  (half  page) 

"Jean  Seznec,  La  survivance. . . "  (half  page) 

"Mars  et  Ars"  (half  pa^.e ) 

"Sx   utroque    Caesar"    (half   page) 

"Apollon  mit   Bogen   u.    Grazien"    (half  page) 

Letter   from  Konrad   Lhanenburg,    ?h  Dec   56 

Letter   from  Panofsky,    17  Oct    55 


'  /    L     U     J 
U     J       I    L 


® 


\ 


Aus  „CHARITES" 
Studien  zur  Altertumswissensdiaft 

Herausgegeben  von  Konrad  Sdiauenburg.  Athenaum-Verlag  Bonn. 

Dieser  Sonderdrudc  enthalt  aus  tethnisdien  Griinden  audi  Bilder,  die  nidit  zu  dem 

vorliegenden  Beitrag  gehoren. 

ON    TRANSFORMATIONS    OF    APOLLINE    ETHICS 

Plate  XXXIV  — XXXVI 


In  a  recent  paper  —  profound,  solid,  and  unusually  stimulating  —  Professor 
Rudolf  Pfeiffer  has  discussed  „The  Image  of  the  Delian  Apollo  and  Apolline  Ethics"'). 
The  distinguished  editor  of  the  Oxford  Callimachus  has  placed  in  the  center  of  his 
learned  article  a  poem  of  Callimachus'  Aitia  which  unfortunately  has  been  preserved 
only  fragmentarily  in  the  scraps  of  Oxyrhynchus  papyri^).  The  poem  presents  itself  as  a 
dialogue  between  an  unknown  person  visiting  the  sacred  island  of  Delos  and  the  archaic 
cult-statue  of  the  Delian  Apollo^).  The  visitor  (perhaps  a  pilgrim  or  a  merchant  or  an 
, antiquarian'",  or  —  why  not?  —  an  ambassador)  puts  a  number  of  questions  squarely 
to  Apollo;  and  the  god  answers  patiently.  The  first  questions  serve  the  purpose  of 
identification.  Apollo  assures  the  questioner  that  he  is  „the  Delian"  and  corroborates 
his  answer  by  a  formula  which  only  a  god  can  use  —  „Yea,  by  myself"').  He  further 
vouches  for  the  material,  or  at  least  the  surface  appearance,  of  his  cult-statue  —  „Yea, 
golden"  —  and,  when  asked  „Art  thou  actually  unclad?"  he  truthfully  answers: 
„  .  .  .  [only]  a  belt  covers  me  in  the  middle  [i.  e.  around  the  waist]."  Then  the  inter- 
rogator comes  forth  with  a  more  essential  question:  „Why  dost  thou  hold.  O  Cynthius, 
the  bow  in  thy  left  hand,  but  in  thy  right  hand  the  comely  Graces?"  The  answer  — 

fragmentarily  transmitted,  though  not  beyond  repair  —  is; in  order  to  punish 

fools  for  their  insolence  [I  have  the  bow;  but]  to  the  good  people  I  stretch  out  [my 
hand  with  the  Graces.  I  carry  the  bow  in  the  left  hand,  because  I  am]  slower  to  chastise 
mortals  [;  but  carry  in  the  right  hand  the  Graces,  as  I  am]  always  disposed  to  distribute 
pleasant  things."  The  god  then  added,  in  a  not  quite  obvious  connection,  a  word  on 
(jiETavoia,  man's  change  of  mind  or  repentance,  saying:  „  ...  in  order  that  it  may  be 
possible  to  repent  of  something."  Finally,  Apollo  dismisses  the  visitor  with  the  words 
ayaOov  ^(xaikti,  ..blessing  to  the  king."  Who  that  king  was  we  do  not  know.  Were  the 
questions  to  the  Delian  posed  in  the  name,  or  on  the  part,  of  a  king?  Are  the  words 
about  repentance  in  any  way  connected  with  the  king?  We  just  do  not  know. 

Taking  the  poem  of  Callimachus  as  his  starting  point,  Pfeiffer  was  led  to  the  dis- 
cussion of  two  main  topics,  one  archaeological,  and  the  other  „ethical."  On  the  basis 


')  Journal  of  the  Warburg  and  Courtauld  Institute;  XV,  1952,  20—^2. 
»)  Callimachus,  Aetia,  fr.  114,  127  f.  Pfeiffer. 
*)  I  follow  Pfeiffer's  translation,  „Delian  Apollo",  26  f. 

*)  Pfeiffer  very  interestingly  indicates  the  parallel  in  Hebr.,  6,  13:  (Jehovah)  &.J.aatv  xxCIxutoj. 
22,  16. 

18  Charites 


Cf.    Ge 


265 


U     J       I     J 


of  the  descriptive  sections  of  the  poem,  and  supported  by  a  couple  of  Athenian  coins, 
an  intaglio  (pi.  XXXIV,  1),  a  vase  painting,  and  a  few  ciuotatu.ns  from  tex  s,  Pleitier 
succeeded  in  reconstructing  convincingly  the  cult-image  of  the  Delian  Apollo:  naked 
except  for  the  belt;  in  his  right  hand,  the  Graces  (on  later  reproductions  usually  earned 
on  a  stand);  and  in  his  left,  the  weapon'').  Moreover,  Pfeiffer  succeeded  m  shedding 
Ught  on  the  ethics  whidi  the  god  could  claim  to  display  visibly:  willing  to  reward 
rather  than  to  punish,  the  Delian  held  out  the  Graces,  keeping  the  terrible  bow  in 
reserve,  perhaps  for  those  not  willing  to  repent  and  come  to  a  change  of  mind— indeed 
an  important  message  whidi  shows  among  other  things  that  certain  fundamentals  of 
human  nature  sudi  as  repentance  were  not  a  monopoly  of  Christian  ethics").  Procee- 
ding from  the  safe  basis  of  his  text  and  of  the  new  insights  whidi  it  offered,  Pfeiffer 
was  able  to  outline  in  rapid  strokes  the  continuity  of  the  Delian  artistic  formula  in 
mediaeval  and  Renaissance  art.  He  showed  that— probably  under  the  influence  of 
Macrobius^)  —  an  Apollo  carrying  in  one  hand  the  three  Graces  and,  in  the  other,  his 
bow  reappears  in  a  tenth-century  manuscript  as  well  as  in  a  relief  of  Agostino  di 
Duccio  in  the  Malatesta  Temple  at  Rimini  (pi.  XXXV,  2)').  Moreover,  Pfeiffer  could 
trace  the  survival  of  Apolline  ethics— ..although  with  a  big  question-mark"— to  Jona- 
than Swift,  who,  in  one  of  his  diapters  on  the  Lilliputians,  mentioned  „The  image  of 
Justice  .  .  .  with  a  bag  of  gold  open  in  her  right  hand,  and  a  sword  sheathed  in  her  left 
to  show  she  was  more  disposed  to  reward  than  to  punish."  Indeed,  that  disposition  of 
Justice  reflects  the  disposition  of  the  Delian  Apollo.  Cautiously  Pfeiffer  advanced  the 
suggestion  that  Swift  perhaps  "came  across  the  passage  in  Macrobius  about  Apollo  and 
adapted  it  to  the  image  of  Justice"  ").  While  there  is  no  reason  for  rejecting  the  hypo- 
thesis that  Swift  read  and  made  use  of  Macrobius,  the  chief  problem  should  be  sought 
in  a  totally  different  sphere;  how  could  it  occur  that  Swift  adapted  „Apolline"  ethics 
to  .Justice"  ?  Or,  how  could  it  happen  that  Apollo  was,  as  it  were,  transformed  into 
Justice? 

About  this  transformation  of  Apolline  ethics  a  few  remarks'")  will  be  ventured 
here  only  to  remind  Ernst  Langlotz,  the  loyal  friend  and  companion  of  many  years  in 
Heidelberg  and  Frankfurt,  of  what  he,  who  likes  to  roam  through  mediaeval  art,  would 
know  anyhow:  that  even  in  his  own  field  the  student  of  Classics  may  profit  from  the 
knowledge  of  mediaeval  drformations  and  /rflfisformations  of  antique  subjects,  and 
that,  vice  versa,  the  mediaevalist  would  lose  one  half  of  his  raison  d'etre  without  the 
permanent  stimulus  coming  to  him  from  his  friends  in  Classics. 


•)  Pfeiffer,  „Delian  Apollo",  pis.  4,  a — b,  d — e,  and  7  a. 

•)  Ibid.,  30  ff. 

')  Macrobius,  Sat.,  I,  17.  12—13;  see  below,  n.  24. 

•)  Pfeiffer.  pis.  7  b,  5  c. 

•)  Ibid..  29. 

")  The  history  of  these  transformations,  no  doubt,  could  have  been  broadened  and  deepened  considerably. 
The  space  allotted  to  contributors,  however,  permitted  no  more  than  a  sweeping  outline  of  the  problem. 
Moreover,  this  essay,  unfortunately,  had  to  be  written  very  hastily.  This  may  excuse  also  the  use  of 
the  English  language  for  which  clerical  help  was  available.  My  thanks  go,  as  so  often,  to  Professor  and 
Mrs.  Erwin  Panofsky.  to  whom  I  owe  practically  all  the  references  to  the  Emblem  lUxiks.  and  photographs 
of  them,  not  to  mention  numerous  suggestions,  and  to  Professor  Harold  Cherniss,  who  patiently  read  the 
manuscript. 

266 


)^ 


It  was  not  the  intention  of  Pfeiffer  to  investigate  the  full  history  of  Apolline  ethics. 
He,  therefore,  had  no  reason  to  consider  a  passage  in  the  15th  Oration  of  Themistius. 
The  passage,  however,  may  serve  here  likewise  (just  as  the  poem  of  Callimadius  served 
Pfeiffer)  as  the  starting  point  for  a  rapid  discussion  of  two  subjects,  one  archaeological 
and  the  other  ethical. 

In  the  15th  Oration,  Themistius  addresses  himself  to  the  Emperor  Theodosius"). 
The  date  is  381,  three  years  after  the  terrific  Roman  defeat  at  Adrianople.  Themistius 
knew  how  to  appreciate  the  value  of  military  prowess  and  its  importance  for  an 
emperor.  He  knew  also,  however  —  for  this  was  taught  in  every  school  of  rhetoric 
—  that  prowess  alone  did  not  make  a  true  emperor,  and  thus  Themistius  came  to  deal 
with  a  topic  frequently  discussed  in  the  schools:  What  is  the  most  royal  of  all  virtues? 
The  virtue  he  is  aiming  at,  of  course,  is  Justice,  though  he  admits  that  military  valour 
and  skill  are  at  times  equally  important;  but  the  one  does  not  exclude  the  other.  In  a  la- 
ter section  of  his  address,  Themistius  refers  to  Homer  who  had  praised  Agamemnon  for 
being  xaT'a(x<p(o  euSoxijioi;.  ..glorious  with  regard  to  both":  ^xaikz''jc,  r'ayaOot;, 
xpaxepo?  T'a'.X(i.v]-r7i(;,"  a  good  king  and  a  staunch  warrior."  '^).  Homer,  claims  Themi- 
stius, could  not  easily  have  talked  about  „both"  cjualities,  even  if  he  linked  them 
together,  were  there  not  a  difference  between  the  art  of  kingship  and  the  art  of  war- 
fare. A  similar  a|JL96T£pov,  however,  and  a  similar  jugate  oneness  of  contrasts  was, 
after  all,  the  distinguishing  mark  of  Apollo. 

As  long  as  it  is  not  the  time  to  summon  the  phalanx  and  the  hordes  of  soldiers  and 
hasten  to  help  against  the  wicked  Scythians;  and  while  Terror  and  Fear  are  at 
rest  for  the  moment,  and  it  is  not  yet  fitting  to  sing  in  honor  of  Ares,  let  the  Muses 
bring  forth  their  chorus  for  the  emperor,  taking  with  them  for  their  dance  their 
leader  Apollo.  That  god  in  fact  is  both  archer  and  leader  of  the  Muses,  and  he 
has  a  double  equipment  for  both  peace  and  war;  and  both  are  necessary  for  an 
emperor.  The  emperor  needs  the  missiles  for  his  enemies,  and  for  his  subjects  he 
needs  the  lyre,  with  which  he  puts  them  in  order  and  renders  them  harmonious 
and  makes  them  ready  for  the  struggle  .  .  ."). 

Thus,  Apollo  becomes  the  emperor's  model.  The  passage,  however,  is  interesting  for 
several  reasons,  even  though  it  seems  to  contain  nothing  but  commonplaces.  Apollo  as 
archer  and  musagetes  is  as  old  as  the  couple  of  attributes,  bow  and  lyre.  Themistius 
does  not  maintain  that  the  god  carries  his  SitiX?)  cxeut)  at  the  same  time  as  does  the 
Delian  Apollo,  that  is,  the  bow  in  one  hand,  and  the  lyre  in  the  other.  Nor  is  that  distri- 
bution of  symbols  claimed,  for  example,  by  Themistius'  contemporary  Servius  when  he 
explains  that  the  offended  Apollo  sends  the  pestilence,  quod  etiam  Homerus  ostendit, 
cum  eum  armatum  inducit  sagittis  .  .  .;  contra,  si  citharam  teneat,  mitis  est  .  .  .'*). 
What  Servius  suggests  is  almost  the  contrary:  if  the  god  is  offended,  he  uses  his  arrows. 


n^ 


■')  Themistius,  Or.  XV.  184  ff.,  227  ff.  Dindorf. 

")  Ibid.,  187  c,  229  Dindorf. -^     ■"/,->'/    , 

"i    ...   xal  Y*P  txEivo;  6  Oe6;  To5o!j!6po;  T»  Snot  xal  (loutrriYiTT,?,  xal  SiTtXfi    aCiTW  ^  oxtuT^,  itp6;  tlpifjVTjv  t«  x«l 

TToXiiiouc,   xil  ctii^ATEpa   flaaiXsi    tTTiTT,8Eioc;.    Seitoii  rip   &aoi>.tu?  T<bv    &«X<iv    liiv  7Tp6«     toCk;    TtoXe^itouc,  Tij; 

xtOiipi'  Si  np6;  toOc    UTrT;x6f)'JC,  t,  ipioaii  a'Jro'J:  xki  a'jn-5uvo.jc  i-tzyint-i.1  xjl   TTXp-xnxt  .'xoei  ir'lio'X  7:p6!; 

Tov  dcYcivat  ...     Or.  XV,  185  c,  228  Dindorf.  The  English  translation  is  that  of  Professor  Glanville  Downey, 

who  is  preparing  lor  Dumbarton  Uaks  the  nui/  eaiiion  (wilh  translation)  ot  Thtmistms,    1   am  Mry    muih 

obliged  to  Professor  Downey  for  allowing  me  to  see  his  manuscript  and  reproduce  his  English  version. 
»)  Servius    ad  Verg.   Aen.,  3.    138.  I.  368  Thilo       Jean  Seznec,     The  Survial  nf  Ihe  Paean  Go-is,    Engl    trsl. 

by  Barbara  F.  Sessions  (New  York,  1953),  178,  is  liable  to  be  misunderstood  if  be  quotes  Servius  as  the 

source  of  the  Hbellut  (tee  below,  n.  16). 


18* 


^     IWc    fifftCC    V^   1^/U^jU.|3(     ^Uvv«.    0-f-Ru  ^    Ctc 


867 


C     7 


/  /    L     U    U 

U     J       I       I 


and  if  he  is  mild  and  gentle,  he  lays  his  weapon  aside  and  plays  on  the  lute.  It  is  true, 
Themistius  is  perhaps  less  explicit  than  Servius;  after  all,  he  wants  to  demonstrate  the 
oneness  ot  the  arts  of  kingship  and  warriorship,  and  when  he  talks  about  the  "double 
equipment"  needed  by  the  god  and  by  the  emperor,  he  at  least  comes  close  to  sugge- 
sting that  the  god  carried  both  arrows  and  lyre  simultaneously.  Nevertheless,  he  does 
not  say  so,  and  we  may  wonder  whether  any  ancient  author  maintained  that  Apollo 
carried  the  "double  equipment"  at  the  same  time.  At  any  rate,  in  classical  art  —  cer- 
tainly in  monumental  art  —  there  does  not  seem  to  exist  a  single  representation 
showing  the  god  with  both  the  bow  and  the  lyre,  though  there  are  innumerable  repre- 
sentations extant  showing  Apollo  either  as  toxopJioros  or  as  kitharistes.  This  is  not 
surprising:  the  bow  would  have  hampered  the  lute-playing  god,  and  the  lute  his 
shooting  of  arrows. 

It  is,  then,  all  the  more  surprising  that  in  the  late  Middle  Ages  we  find  Apollo 
suddenly  represented  with  the  weapon  in  his  right  hand  and  the  lyre  in  his  left"). 
These  representations  (pi.  XXXIV,  3,  XXXV,  1.  2)  are  all  late,  usually  fifteenth  century; 
and  they  could  not  very  well  have  been  earlier  because  the  precise  text  describing 
Apollo  unambiguously  in  that  attitude  —  In  dextra  vero  manu  habehat  sagittas,  arcum 
et  pharetram.  In  sinistra  autem  cytharam  tenebat  —  was  written  only  around  1400"). 
The  mediaeval  mythographers  and  authorities  —  Fulgentius,  Isidore,  Hrabanus,  Remi- 
gius  of  Auxerre,  and  the  so-called  Mythographus  I  and  //  —  do  not  seem  to  have  that 
phrasing'').  Also,  the  highly  influential  Mythographus  III,  often  identified  with  Alexan- 
der Ncckham  (d.  1217),  follows  almost  verbatim  his  predecessors  when  he  enumerates 
the  insignia  Apollinis  testifying  to  the  god's  presence  in  heaven,  on  earth,  and  in  hell: 
the  lyre,  to  demonstrate  the  image  of  celestial  harmony;  the  gryphon,  or  the  quadriga, 
to  show  him  as  a  terrestrial  deity;  and  the  arrows,  to  indicate  the  infernal  and  damaging 
god'*).  Upon  Mythographus  III  a  great  number  of  sdiolars  relied,  including  Petrardi. 
In  the  Third  Book  of  his  Africa,  Petrardi  gives  a  thorough  description  — '  indeed  an 
Ecphrasis  —  of  the  images  of  ancient  gods'").  Devoting  to  Apollo  a  passage  of  18  hexa- 
meters, he  mentions  that  the  lyre,  as  seen  in  the  god's  image,  seemed  to  bring  music 
to  our  ears,  while  quiver  and  bow,  and  his  arrows  winged  against  monsters,  reminded 
him  of  the  Python  slain  in  the  cave  of  Cirrha.  Petrardi  does  not  say  explicitly  that  the 

of  the  highly  complicated  S^ythographical  problems  oj  the  lat^  MilSdle  Agl''*""  "^^  disentanglement 

'■)  For   Remigius    of   Auxerre's   glosses   on    Martianus    Capelhi     see   Liebeschiit?     IS     n     <)«     „„^    aa  c         u 

G^T  Ll^^'^iT'  ''^  ••^"''"  i'f"'  '""','"  '■■»  '""  h-d     FoV, he  mythogr%5ers.'''seTlhe  edition"! 
O.   H.   Bode,  ScTiptores  terum  mythicarum  latini  tres  (Celle    1834)  '       ^    V   •^■>.  st-t   me  eaiiion  ot 

")  Petrardi,  Africa,  III,  165-168,  cd.  N    Fcsta  (Florence,  1926),  58: 

Necnon  et  citharac  species  angusta  canore 

Icta  videbatur  sonitum  perducere  ad  aures; 

Et  pharetra  atquc  arcus  volucresque  in   terga  sagittae 

Cirreoquc  ingens  Phiton  rcsupinus  in  antro. 
Cf.     Liebesdiutz,    41  f.,    and,    especially,    Panofsky,    Hercules,    11  ff.,    who,    felicitously      calls    Petrirrh", 
very^grateTul'to  f^^^Lf ^^^^U^ct"^''  f"   ""Kr^    '"   "*<=   -»t»mary  •n,edia"lar'lescr?pUon'^^'"r1'm 
mea'ni?,g'of    .monsters"  as  ^nALftvTm'  "    "'  '"''  ''""'"°"  '"  ""^  '''^'  "^*'  «-ga  here  has   the 

268 


god  was  bearing  both  insignia  at  the  same  time,  but  he  might  have  suggested  it;  for 
his  friend  Bersuire,  who  confesses  that  he  owed  his  knowledge  to  Petrardi,  describes, 
in  his  mythographic  prologue  to  a  Book  of  the  Ovide  moralise,  the  god  as  carrying  „in 
one  hand"  arrows,  bow  and  quiver,  and  „in  the  other",  the  lyre'"').  It  is  relevant  only 
peripherally  that  in  his  moral  evaluation  Bersuire  comes  to  the  result  that  every  just 
man,  especially  a  prelate,  may  be  recognized  in  Apollo,  because  the  just  would  imitate 
the  Sol  lustitiae,  using  the  lyre  for  the  praise  of  Cod.whereas  Justice  has  to  be  armed  with 
bow  and  arrows;  and  it  was  in  Bersuire's  system  only  a  logical  and  consistent  thought, 
when  he  drew  the  conclusion  quod  Apollo  .  .  .  est  sol  iustitie  diristus  qui  semper  fuit 
iuvenis,  who  used  the  lyre  to  console  others,  and  used  the  arrow  of  the  Cross  to  pro- 
strate Lucifer-').  Luther,  later  on,  argued  vehemently  against  the  corrupt  monks  „who 
turned  Apollo  into  Christ"  ^'').  Bersuire,  at  any  rate,  said  in  so  many  words  that  the 
god  carried  both  instruments  in  his  hands;  but  it  was  only  the  author  of  the  illustrated 
Libellus  de  imaginibus  of  ca.  1400,  who  finally  placed  the  bow  in  Apollo's  right  hand 
and  the  lyre  in  his  left.  Accordingly,  the  Muses  received  their  place  to  his  left,  whereas 
the  Python  cringes  to  his  right  (pi.  XXXIV,  3)-'). 

What  happened  was  probably  a  fusion  of  the  customary  enumeration  of  insignia 
as  offered  by  the  mediaeval  mythographers  and  of  the  passage  in  Macrobius:  Apollinis 
simulacra  manu  dextera  Gratias  gestant,  arcum  cum  sagittis  sinistra'-*).  That  is,  while 
the  idea  of  placing  in  Apollo's  hands  two  different  attributes  was  borrowed  from 
Macrobius,  the  conventional  attributes  of  bow  and  lyre  were  retained-"^).  That  such  a 
fusion  was  possible  is  strikingly  demonstrated  by  the  relief  in  the  Malatesta  Temple 
(pi.  XXXV,  2),  where  Apollo  holds  the  bow  in  his  left  hand,  but  carries  in  his  right 
hand  the  lute  from  the  ned<  of  whidi  the  three  Graces  emerge  together  with  the 
laurel"").  Less  convincing,  perhaps,  is  the  Apollo  from  the  Paris  Ediecs  amoureux  of 
the  fifteenth  century,  where  the  god  with  bow  and  lyre  is  seen  enthroned  while  at  his 
right  side  three  bellied  Graces  are  dancing  around  a  laurel  tree  (pi.  XXXV,  l)"'). 
However  that  may  be,  at  the  bottom  of  the  late-niediacval  representations  of  Apollo 
there  is  still  effective,  for  all  the  distortions  and  errors,  the  formula  characteristic  of  the 
Delian  God  and  the  Apollinc  ethics  —  whereby  it  appears  as  a  matter  of  minor  import- 
ance that  the  plate  or  stand  carrying  the  three  Graces  has  been  replaced  by  the  lyre 
of  the  Musagetes. 


••)  See,  for  Pelrus  Berchorius  (Pierre  Bersuire),  Licbeschiitz,  41  f,  n.  60;  his  Commentary  on  Ovid   was  later 

Erinted  under  the  name  ol  Tlidiiuis  Wallis^  I  could  avail  myself  ol  a  copy  in  the  Princeton  University 
ibrarv:  Thomas  Walleys.  Metamorphosh  Ovidiana  (Franvois  Regnault,  Paris,  1515/16);  see  fol.  VI': 
„Istc  (Apolloj  igitur  pingcbatur  in  torma  iuvenis:  nunc  in  puerili  facie,  nunc  in  senili:  nunc  in  capite 
diversimode  apparens.  Iste  super  caput  portabat  tripodium  .tLiituni.  In  una  vero  manu  portabat  sagittas, 
arcum  ct  pharetram.     In  altera  autem  cytharam   .  .  ." 

")  Ibid.,  fol.  VI*B:  „Per  istum  Apollincm  possumus  intelligere  quemlibet  virum  iustum  et  maxime  prelatum 
quia  re\era  imago  Solis  dicitur  in  (juantum  solem  iuslicie  pro  viribus  imitalur  .  .  .  Citharam  divine 
laudis  habere  debet.  Arcu.  pharetra  it  samii;i  iusticie  debet  esse  armatus."  Ibid.,  fol.  VIPD:  „Vel  die 
quod  apollo  qui  est  sol  iustitie  chrislus  qui  semper  fuit  iuvenis  .  .  .  Citharam  habuit  alios  consolando: 
arcum  et  sagittas  alios  arguendo:  phitonem  i.  e.   Luciferum,  sagitta  crucis  prostravit  .   .   ." 

")  Luther   Enarralio  in  Gcne.iim.   30,  9;  Werke,  XLIII   (Weimar,   1912)   668,  quoted  after  Sezncc.  96,   n.   56. 

")  See,  for  the  drawing,  Liebesdiutz,  Fulgentius,  pi.  XVII   (Vat.Reg.Lat.   1290,  fol.  l');  Scznec,  177,  fig.  68. 

")  Sat.,  I,  17,  13,  with  the  moralising  addition  „quod  ad  noxam  sit  pigrior  et  salutem  manus  promptior 
largiatur." 

")  The  attributes,  however,  have  changed  hands,  since  the  bow  is  in  all  the  late  mediaeval  miniatures  in 
the  right  hand.  Bersuire.  in  fact,  mentions  bow  and  arrows  first  (above,  n.  20),  which  may  have 
prompted  ttie  author  of  the  Libellus,  by  mentioning  the  right  hand  first,  to  equip  this  hand  with  the 
bow,  and  the  left  with  the  lyre. 

'•)  Sezncc,  133,  fig.  47. 

")  Panofsky,  Hercules,  pi.  VIII,  fig.  15  (Paris,  BN.  MS  fr.  143). 

269 


U     J       I     J 


The  Graces,  of  course,  are  not  present  in  Thcmistius'  oration  either,  for  the  rhetor 
mtrodiices  Apollo  as  the  lyre-bearing  god  of  the  Muses  and  also  as  the  bow-bearer.  In 
this  double  function  the  god  then  became  the  emperor's  model  (pi.  XXXIV,  3)  After  all 
the  emperor  too  needs  the  double  equipment  for  times  of  war  and  of  peace  —  "the 
missiles  for  his  enemies,  and  for  his  subjects  the  lyre,  with  which  he  puts  them  in  order 
and  renders  them  harmonious."  To  assimilate  the  emperor  to  Apollo  as  v£o?"IlX'.oc  or 
Sol  mvwtus  was,  of  course,  the  most  common  topic  of  imperial  cults,  arts,  and  rhetoric 
though  It  may  have  been  less  common  to  equip  him  dialectically  with  the  heteroge- 
neous instruments.  The  Dclian  model,  however,  exercised  its  influence  also  on  the 
imperial  self-representation.  Caligula,  as  Philo  reports,  transformed  himself  on  some 
occasion  into  Apollo,  ..the  Graces  in  his  right  hand,  since  it  is  fitting  to  hold  out  good 
th  ngs  willingly  .  .  .  ,  but  keeping  the  bow  and  arrows  in  the  left  hand,  since  it  is  fitting 
to  hold  back  retribution"  =«).  Hence,  owing  to  the  Delian  ethics,  an  emperor  equipped 
with  both  the  distributive  and  retributive  insignia  of  Apollo  was  not  something  quite 
unheard  of  —  even  though,  as  in  the  case  of  Themistius,  the  lyre  replaced  the  Graces. 

At  this  juncture,  however,  another  consideration  becomes  momentous.  The  influ- 
ence, direct  or  indirect,  of  Themistius  upon  the  jurists  of  the  age  of  Justinian  is  a  fairlv 
well  established  fact.  For  one  thing,  Themistius,  Oratio  XIX,  is  clearly  echoed  by  Justi- 
nian s^oveUa,lQ5  2,  4,  the  famous  passage  about  the  emperor  as  the  v^Lto?  4>yoc 
sent  down  by  God  rom  heaven  to  earth-),  and  Themistius'  influence  in  general  on 
Byzantine  political  theory  has  been  noticed  by  a  great  number  of  scholars'^")  Themi- 
stius Oratio  XV,  we  recall,  was  devoted  to  the  most  royal  of  virtues:  Justice.  It  is  not 
surprising,  then,  that  the  author  of  the  Prologue  to  Justinian's  Institutes  had  in  his 

L  JnT'        r       '^?l"'''*u  f  philosophic  Oration  on  Justice-),  when  he  composed 
the  famous  sentences  of  his  philosophic  Prologue,  saying: 

lM^7.'J:h.^^n'\7T  "''^'  ^'  "u',°"^y  '^"^"^^^^^  ^'*^  ^^'"^'  but  also  armed 
with  laws  that  It  be  able  to  govern  rightly  in  either  time,  in  war  and  in  peace,  and 

hv  hp'  r'""f  f""''  ""'^  "Tr"  ^'  ''''''''  "°*  ""'y  ^"  h°^ti'«  l^^«'es,  but  also 
by  the  paths  of  law  may  expel  the  iniquities  of  slanderers,  and  become  the  most 
religious  observer  of  law  as  well  as  the  one  triumphant  over  conquered  foes'T 

Sn,?*°f  u""""  Themistius'  oration  are  few,  but  they  are  quite  significant^^).  No  less 
significant,  however,  are  the  transformations.  The  reference  to  "both  times"  -  wa 
and  peace  -  remained  unchanged;  so  did,  substantiallv,  that  to  "arm"    The  lie 
however,  by  which  the  state  is  rendered  harmonious  and  thereby  attuned  to  the  un!' 
^^"^'  ^'^  b^^"  '•^P'-^d  by  the  "laws"  with  which  the  majesty  is  armed  That   all  by 

")  Sec  Piftrn  dp  Fraiuisci.   Ar(rinci  Imperii  (Milan,    11)48)   III-  2    "ns-   nk„   Art,,,  >;.„•  .        ..»t/ 

Zur  GesAich.e  einer  politischen  Theorie",  Anzeige,  d.r  wVnJ;- AWetfe;  LXXXni'"946  28o' '^*"''°'' 
•■i  Th^„r''.""'"'"f'''  '"   ^''"■'''  ^""""'T"-   Festsdirift   Karl  Reinhardt,  Munster-ColoRnc     1952     186    no.     Ifi  f 

n.  34).  There  are  a  few  parallels,  however,  (see  n.^'ssV whUruirs'u^^e^tX'l^^u?°^r o^f  ^^l^;:^ 
")  Inst.,   prooem.:    ..Impcratoriam    maiestatem    non    solum   armis   decoratam     seH    et>»,„    I„„K 

armatam.    ut    utrumque    tempus    et   bellorum  et   pacis    reX  potTEuCnari   ,.   nrT„.    ^     n'    "P""*"'  ■^"'' 

existat    non    solum    in    hostilibus    proeliis,    sed    etiam    per    fesit  mos    trami  e,    c'Ll  ?,^?/    ""manus   v  ctor 

expellens.  et  fiat  tam  iuris  religiosissimus  quam  victis  Utibuf  trTumphator  "  ^^'"'""''"""'"  '".quitates 
")  Impcratoriam   maiestatem  .    .   .  StiTai  yip  &0LmXt(ji  twv   SeXuv.  .  . 

°po'''f'  ■   ■   ■  Tf,:  xiOipa;    .  . 

ut  utrumque  tempus  et  bellorum  StrrXr,  ottlrw  t  ox£uil,  jTp6<:  eip^vriv 

et  pacis  ...  Te  xil  Tto?v4nou4 . .  . 

270 


itself,  is  not  wanting  in  sound  logic,  for  the  laws  were  often  praised  —  especially  by 
Thernistius'  "Neo-Pythagorean"  sources  —  as  the  means  of  harmonizing  the  state, 
attuning  the  subjects  to  the  king,  and  producing  the  rj[j.6voia,  the  concord  of  the 
citizens,  without  which  every  state  is  doomed'*).  That  this  most  noble  function  of  the 
law  was  always  present  to  Justinian's  mind  cannot  be  denied.  In  the  Prologue  of  the 
Institutes,  however,  the  law  has  chiefly  the  retributive  function  to  punish,  ''to  expel 
the  iniquities  of  slanderers"  —  even  though  the  emperor's  ideal  of  selfrepresentation 
was  still  to  become  through  his  legislation  iuris  religiosissimus.  At  any  rate,  bow  and 
lyre  of  Apollo  corresponded  with  "arms  and  laws"  of  the  emperor. 

Justinian's  Institutes  were  meant  to  be  a  textbook  for  those  to  whom  the  unwieldy 
volumes  of  the  Pandects  and  the  Code  were  not  readily  accessible.  As  a  textbook, 
however,  the  Institutes  were  studied  over  the  centuries  by  myriads  of  students  and 
glossed  by  scores  of  jurists.  When,  at  the  turn  from  the  eleventh  to  the  twelfth  century, 
there  emerged  a  scientific  jurisprudence  bent  upon  Roman  Law,  the  Prologue  of  the 
Institutes  naturally  was  interpreted  over  and  over  again.  It  would  not  be  rewarding 
here  to  inspect  the  individual  glosses  written  on  that  passage.  About  1230,  however, 
Accursius  composed  the  Clos.sa  ordinaria,  the  standard  gloss  of  the  Roman  Corpus  iuris 
civilis,  by  which  the  work  of  the  preceding  generations  of  glossators  was  summed  up. 
Not  infrequently  the  glossators  discussed  their  texts  in  the  form  of  question  and  answer, 
and  the  Accursian  Gloss  on  the  Prologue  of  the  Institutes  may  have  been  accomodated 
to  a  tradition  of  a  respectable  age,  when  its  author  commented  on  the  various  Casus 
of  the  Prologue  in  the  form  of  a  dialogue  between  a  young  man  and  the  Emperor 
Justinian'').  This  is  the  gist  of  the  dialogue  on  the  first  passage: 

A  young  man,  pressing  in  upon  the  Emperor  Justinian  with  questions,  said: 
..Lord  Emperor,  I  wonder  very  mud\,  and  all  others  wonder  too:  Thou  art  a 
soldier  and  every  emperor  is  a  soldier,  for  according;  to  the  Dicest  (29.  1,  1, 
rubr.).  the  emperor  calls  the  other  soldiers  , fellow-soldiers'  (commilitones).  Since 
thou  art  a  soldier,  thou  must  attend  to  arms,  and  not  to  laws.  And  yet  thou  actest 
to  the  contrary,  for  thine  attention  is  directed  only  to  laws.  Thou  hast  given 
orders  to  compile  the  Code  .  .  .  and  the  Digest  ...  and  to  compose  ...  the 
Institutes  .  .  .  Wilt  thou  tell  me  therefore  why  thou  dost  all  that,  and  why  thou 
attendest  to  laws  only,  and  not  to  arms,  since  thou  art  a  soldier  .  .  ."  Thereupon 
the  emperor,  indicating  that  there  are  two  times,  that  is,  a  time  of  war  and  a 
time  of  peace,  answered  graciously  and  said:  ,.My  Son,  this  is  how  I  answer 
your  question.  It  befits  every  emperor  to  be  ready  for  those  two  times,  that  is. 
for  arms  and  for  laws.  And  the  reason  is  this:  because  if  the  emperor  is  prepared 
for  those  two  times,  he  can  govern  rightly  in  either,  that  of  war  and  that  of 
peace.  Namely,  the  time  of  war  he  will  govern  by  means  of  arms  and  the  use  of 
arms;  and  therewith  he  will  become  a  conqueror  and  victor  triumphant.  The 
time  of  peace,  however,  he  will  govern  by  means  of  law  and  the  use  of  law. 
And  thus  he  will  punish  the  evil  doings  of  the  culprits;  and  by  that  he  will 


")  See.    for    the    Nco-Pyfhagoreans.    Louis    Dclatte,    Les    Traitis   de    la   RoyauU   d'Ecphatxte,    Diotogine    et 
Sthdnldas,  Li^ge  and  Paris,  1942,  226  f.,  270  f.,  not  to  mention  a  number  of  other  recent  studies. 

")  See.  e.  g.,  La  glossa  di  Casamari  alle  Utituzioni  di  Giuslinlarto,  ed.  Alberto  Alberti  (Milan,  1937),  p.  3, 
and'  Introd.,  p.xif.,  for  the  date,  presumably  11th  century. 

27] 


/  /    L     U     L 
U     J       I     U 


become  a  man  most  religious  (religiosissimus)  and  most  holy  (sanctissimus)  when 
he  punishes  the  evil  doings;  because  it  is  a  very  religious  work  and  very  holy  to 
punish  evil  doings  or  evil  doers."  '"). 

The  journey  is  long  from  the  ethics  of  the  pagan  god  to  the  ethics  of  the  Christian 
emperor.  While  there  was  little  difference  between  Apollo  holding  out  the  Graces  and 
Apollo  reproducing  with  his  lyre  the  harmony  of  the  universe,  and  while  the  difference 
is  still  tolerable  between  the  god  with  the  lyre  and  the  Prince  who  by  means  of  the 
law  attunes  the  state  to  the  harmony  of  the  cosmos,  the  gap  between  the  ideal  of 
Themistius  and  that  of  the  Gloss  is  almost  beyond  measurement.  Justice,  the  source  of 
concord  and  harmony  amongst  the  citizens,  and  in  Roman  legal  philosophy  a  distri- 
butive power  (suum  cuique  tribuere),  has  been  debased  to  the  rank  of  a  purely  retri- 
butive fury.  No  longer  is  there  the  dialectical  tension  between  lyre  and  bow,  law  and 
sword.  What  remains  is  the  grimace  of  something  that  once  was  noble;  and  what 
looms  is  another  variety  of  the  doctrine  of  the  Two  Swords  —  one  sword  for  the 
Prince's  enemies  without,  and  the  other  for  his  enemies  within  —  so  to  say;  a  dioice 
between  war  and  inquisition. 


The  Renaissance  had  a  different  understanding  of  the  historical  as  well  as  the 
human  and  ethical  backgrounds  of  Justinian's  Prologue.  Alciati's  historical  sdiool  of 
jurisprudence  had  its  drawbacks,  to  be  sure,  because  it  stopped  the  almost  naive  and 
unprejudiced  application  of  Roman  Law  to  existing  conditions  and  thereby  dried  out 
a  still  tridding  antique  current  of  life.  It  was  Alciati's  great  adiievement,  however,  to 
have  recognized  that  Roman  Law  had  to  be  understood  not  from  mediaeval  conditions 
but  from  its  own  Roman  surroundings  and  from  classical  sources  at  large.  The  jurists 
influenced  by  the  new  historical  jurisprudence  were  not  content  with  hunting  up  the 
juridical  parallels,  but  tried  to  understand  the  Justinian  Law  by  exploring  the  intellec- 
tual world  from  which  it  originated.  They  noticed,  for  example,  that  the  phrase  utrum- 
que  tempus,  bellorum  et  pads,  may  have  been  stimulated  by  Aristotle's  Politics,  where 
it  is  said  that  the  pio?  mXinxoc,  is  divided  into  the  activities  of  war  and  of'  peace; 
they  paralleled  that  statement  with  the  dialectical  definition  according  to  which  aU 
life  is  divided  into  two  parts,  absence  of  leisure  and  leisure,  war  and  peace");  nor  did 
they  miss  the  fact  that  a  majesty  armis  decorata,  legibus  armata  reflected  the  supreme 
model  of  all  dialectically  conceived  rulership:  Plato  demanding  in  the  Republic,  through 
the  mouth  of  Socrates,  that  kings  philosophize  and  philosophers  rule  so  that  there  may 
concur  in  one  man  both  civil  power  and  philosophy'*). 


•')  The  passage  is  too  long  lo  be  reproduced  here.    It  is  found  in  every  glossed  edition  of  the  Institute)- 
used  the  ed.tion  of  the  Corpus  lurt,  civlli,.  Venice.  1584,  vol.  IV,  col.  2.    Actually,  the  whole  Pologue 
(the  Casus;  is  glossed  in  the  form  of  a  dialogue.  * 

")  See,  e  g.,  Franciscus  Hofomanus  (Hotman),  In  qualuor  Ubros  Instltutionum  (Venice,  1569)  3  f.  He  quotes 
Aristotle,  Poht  I,  1254  b,  31  f  and  Vll,  1333  a.  30  if.  For  jurisprudence  conquered  bv  humanism,  sc' 
Uomcnico  Maffoi,   C/i  inizi  dell  umaneximo  fiiuridico  (Milan,  1956). 

")  Hotman  justifies  his  allegation  of  the  Platonic  ideal,  by  saying:  „Iustinianus  enim  principatum  cum 
amore  sapientiae,  quae  in  decenti  legum  descriptione  vel  maxime  cernitui,  coniungit  .  .  .  Perspicuum 
est,  leges,  quae  ad  publicas  actiones  pertinent,  veram  et  summam  philosophiam  continere."  Jurisprudence 
of  course,  was  considered  throughout  the  Middle  Ages  as  a  section  of  moral  philosophv.  The  Renaissance 
produced  al.se  tractates  on  the  subject  „Arms  and  Laws";  see.  e.  g.  Flavio  Biondn's  tractate  Bor.uv  sive 
Ue  militia  et  iurisprudentia,  ed.  B.  Nogara,  Scritti  ineditl  e  rati  di  Biondo  Flavio  (Rome,  1927),  130  ff. 

272 


From  this  vantage-ground  the  Prologue  of  the  Institutes  appeared  in  a  new  per- 
spective, and  the  Renaissance  emblem  books  —  inseparable  from  the  name  of  Alciati 
anyhow  —  gave  the  visual  recording  of  a  dianging  mood.  It  is  true,  Justinian's  formula 
itself  was  used  as  an  emblem:  LEGIBUS  ET  ARMIS  shows  a  Prince  standing  on  a 
cross-bearing  globe  with  a  sword  in  his  right  hand  and  in  his  left  a  lawbook  covered 
with  Hebrew  script  (pi.  XXXVI,  2)^*^  Justinian's  formula,  almost  verbatim,  lay  also 
behind  the  imprcsa  allegedly  used  by  the  Emperor  Frederick  III:  an  iron-clad  arm 
holtlinu  a  sword  over  an  open  book  with  the  motto  IIIC  REGIT,  ILLE  TUETUR 
(pi.  XXXVI,  I)'").  That  the  open  book  likewise  was  meant  to  be  the  lawbook  is  not  only 
self-evident,  but  is  also  confirmed  by  a  later  repetition  in  an  English  emblem  work: 
a  sword  protecting  the  slabs  of  the  Ten  Commandments  (pi.  XXXVI,  3),  while  the  motto 
LEX  REGIT  ET  ARMA  TUENTUR  is  rendered  by  the  doggerel: 

The  Law  is  given  to  direct; 
The  Sword,  to  punish  and  protect.*^) 
The  respectful  veneration  for  Justinian  in  the  Middle  Ages,  however,  gave  way  to 
the  enthusiastic  cult  and  worship  of  Julius  Caesar  in  the  Renaissance  —  and  therewith 
the  open  book  assumed  a  totally  different  meaning.  In  the  emblem  works  of  Claude 
Paradin  and  Gabriel  Svmeoni,  of  the  mid-sixteenth  century,  an  impresa  is  found  having 
the  lapidary  motto  EX  UTROQUE  CAESAR  (pi.  XXXIV,  2).  An  emperor  in  the  attire  of 
a  Roman  general  stands  on  a  globe  lading  the  cross;  in  his  right  hand  he  holds  the 
naked  sword;  in  his  left  hand  he  brandishes  a  book,  upon  which  his  eyes  are  fixed. 
Arma  ct  Leges  we  should  be  inclined  to  interpret.  We  should  be  very  wrong. 

„By  this  apophthegm  EX  UTROQUE  CAESAR  it  is  signified  that  by  these  two, 
that  is.  Arms  and  Letters,  Julius  Caesar  .  .  .  was  made  the  lord  of  the  whole 
world."*') 
We  still  hear  the  faint  edio  of  the  Institutes,  still  see  a  figure  whidi  might  illustrate 
Justinian's  Prologue.  But  what  the  inscription  blazons  out  is  the  gospel  of  the  Renais- 
sance, the  dialectical  oneness  of  Sword  and  Letters,  of  Sword  and  Arts,  as  the  doggerel 
interpretation  of  EX  UTROQUE  CAESAR  has  it: 

A  Princes  most  ennobling  Parts, 

Are  Skill  in  Armes,  and  Love  to  Arts.") 

Gone  is  the  spectre  of  the  Gloss  visualizing  the  Prince  equipped  with  two  swords,  that 
of  war  and  that  of  justice.  Instead  —  slowly  developing  since  the  thirteenth  century 
and  ruling  without  challenge  since  the  fifteenth  —  the  Renaissance  ideal  of  the  Prince 
governing  by  sword  and  letters,  or  art,  becomes  the  lodestar  of  humanistic  dreams  and 
princely  ambitions,  the  Renaissance  variety  of  Plato's  philosopher-king.  In  fact,  Raf- 


Symhol  (BoUingen  Series.   LII),  New  York,  1955,   40  f. 

")  Wither,  Collection  of  Emblems,  Book  I,  3,  p.  3. 

«)  Claudii  Paradini  ...  et  D.  Gabrielis  Symeonis  Symbola  Heroica  (Antwerp,  1583),  P-  284-  The  f'"' 
edition  of  Claude  Paradin's  work  is  Lvon,  1551,  and  of  Gabriello  Symeoni  s.  Lyon,  1559^  The  works 
were  fused  in  the  edition  quoted  above;  but  the  design  seems  to  be  the  invention  of  Svmeoni;  see 
Svmeoni,  Le  Imprese  Heroidxe  et  Morali  (1574),  p.  183  where  he  narrates  'li?.^""!'"  ?(,/'? VaTsTr 
invented  by  him.  The  explanation  matches  verbatim  that  of  Paradin:  „.  .  .  EX  UTROQUL  CAbSAH. 
volendo  siKnificare,  che  per  mezzo  dclle  letlcre  e  doll'  armi  acquisto  Giulio  Cesare  1  Imperio  e  1  Dominio 
di  tutta  la  terra." 

")  Wither,  ColJection  of  Emblems,  Book  I,  32,  p.  32. 


lK.^f• 


C 


273 


^-^>.  <' 


n    L    u 

u    J      I 


Et'u?ROOUE''?rFTAS^  '^"  l""'^^'"  "  *'  ^t"'^""  ^^*'°"'^'  ^^"^^  ^^ows  that 
J       UlROgUE  CAESAR  was  the  essence,  was  the  personification  of  Virtus")   The 

sword.  tX  UTROQUE  CAESAR,  therefore,  imphes  that  a  dialectical  tension  has  been 
llTeThics"  Renaissance  ideal  becomes  at  least  con^parable  again  wfth  Apol 

Delia"  iooTlo  ITf  "7  *°  T^^nize  how  it  could  have  happened  that  an  archaic 

seen:  one  hand  holds  a  money  bag,  the  other  a  sword.  The  inkpensable  C™  end" 
Nee  Prece  nee  Precio  tribuatur  siimma  potestas. 
lustitiae  sanctus  nam  violator  honos. 

the  pTfn'ce"'and'it1..Tnn£'''T^^'''''.  uT"^  ""'^'^  *^'"Ss  the  unswerving  attitude  of 

'^iHoJ      .1       .     r  ^  apparently  Jonathan  Swift  described.  It  may  have  been  a 
pohtical  emblem     of  that  pattern,  however,  that  Swift  had  in  mind    or  made  ud 

TheShed  T:^lV^T:\!:'ri "'  ^^  °^  '^'t  °p^"  ^"  ^-  ^^^^  "^-^  ITltZ 

sneatned  in  her  left.    To  the  rather  shallow  and  unrefined  dialectic  of  this  rewirdin^ 
lacroDius  to  show  that  she  is  more  disposed  to  reward  than  to  punish  "  But   after 


T^ie  Institute  for  Advanced  Study 
Princeton,  New  Jersey 


Ernst  H.  Kantorowicz 


Knl'aM  .'if  Pf' """g-  'he  brilliant  interpretation  by  Panofskv 
.h  ^rJ,*;,*]  'he  younger  Scipio  Africanus  (76  ff.)  as  w^ll  as 
the   Chant.lly     Graces"   (142  if.)    is   now  strongly     uppom-d   by 

iTnked'LTfdr^aLs.'  "^   '''""'''''"'   Phi'oso^h'er-w^?rior"a7d 

"'  !eTc"'l''3''M*nn"'i''T"'  ""'."'^  (S«"'bourg  and  Cologne, 
by  the  jurists      sie    t    »N°"  P"'"°v  «d  P^ecibus  ordinclur\n 
oy  xne  jurists,     bee,  e.   g.,  Cynus  of  Pisto  a,  on  C    9    28    n     2 
nee  preco  nee  precibus  hoc  sibi  facere  licef!  also  Cynus    on 
nee  gratia  nee  pretio  impartiretur  honores  "  *^       ' 

A 
274 


"ercule,  37  ff.  His  identification  of  the 
,h  '"'"d<:Pendence  of  the  „Drcam"  with 
the  Apollme  ethics.  The  younger  Scipio 
we  now  know  why  book  and  sword   are 

is!o!'"  ^Thit'-  ^-^  '^'Y'''-  ^<"  ""^  -"""^ 

/i?  .  /"'"  maxim,  however,  was  twisted 
(Frankfurt,  1578)  fol  558":  .,et  isto  casu 
D.  1,  14,  n.   11,  fol.  13V6:  „quod  princeps 


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Inhaltsverzeidinis  von 

CHARITES 

Studien  zur  Altertumswissensdiaft 

Herausgegeben  von  Konrad  Sdiauenburg.  Athenaum-Verlag  Bonn. 


Kurt  Blttel.  Eino  priihLstnrischp  Vase  aus  Mvsien 

Armin  von  Gnrkan,  Zum  .\schenaltar  von  Samos 

Herbert  A   Cahn,  Die  archaisdien  Silberstatere  von  Lindos ■    ■ 

Willy  Schumhadwr.  Satrapenhiklnisse.  Zun.  neuen  Munzportrat  des  TLSsaphemes. 

Christian  Karusos,  Ein  lakonl'idier  Apolion 

Erika  Sivwn.  Beobaditunijen  7um  ApoUon  Philesios  das  Kanadios 

Ham  Miihius.  Zur  Problfimatik  des  Bostnner  Throns 

Walter-Hrrwia  ^diudiliardt,  Zur  Athena-Gigantengruppe  aus  Launon 
Pierre  Amandr,,.   A   prop.*   de   Polyclete:   Statues   d-Qljinpioniques   et   carruTe 
sculpteurs. 


de 


Semni  Paru.pyrid.  Karusu.  Ein  phidi-isches^  Motiv.^^^^^.  ^^  ^^^^  ^^^^ 


Carlo  Anti.  Frammento  di  stele  attica  nel  Museo 
di  Padova 

GerJiard  Kleiner,  Helios  and  Sol                                               _ 
Ko/WW«m,.c.  AttisdieTontafeldesS.  JahrUunaensxChr 

Ermi  Kir^ten.  Kothori  in  Sparta  und  Karthauci 

German  Hafner.  Die  Hydria  des  Telestas. 

Andreas  Rumpi.  Krater  Lakonikos.  

John  Davidson  Beazleij,  Marpessa.  

Gisela  M.  A.  Riditer,  A  Lekythos  by  the  Bnpos  Painter.    . 

Ulridi  Hausmann,  Akropollssdierben  und  Eurvn.edonkampte 

Frank  Brommer.  Attisdie  Kinnnf. 

A.  D.  Trendall,  Three  ^•ases  in  Sydne>. 

Knnrad  Sdiaurnhurr.  Dionvsiaka 

Bendiard  Sdiweitzer,  Stiemiensdien.  . 

Rcm/wrc/ Herfoig,  Etruskisdie  Rekrutenr'    ...    _    .  ,  '    ; 

Karl  Sd,efold.  Von>  Ursprunp  und  Sinn  ..ronusdier    Rehefkunst. 

Arnold  von  Salis.  Lutrophorie? 

Hon*  Herter,  Soma  l)ei  Homer.        

Jean  Berard.  Les  loniens  a  Siris 

Hans  Sdiaeier.  Das  Eidolon  des  Leonidas 

Anthom,  E.  Raubitsdick.  Das  Datislied.    .    ■    • 

Waltlwr  Kranz,  Aus  der  Gesdud.tt  einer  Diditiorm.     .    •    • 

FrSnd,  Wi/;.dn,  Deid,mann,  Unte^ud.unuen  .u  Dad.  und  DecKe  cu-r  hasu... 

Ernst  H.  Kantorowicz.  On  transformations  oi  ApoUme  ethics 


9—11 
12—17 

18—26 
27—32 
33—37 
38-^t6 
47—58 
59—62 

63—87 
88—94 

95—100 

101—104 

10.5—109 

110—118 

119—126 

127-135 

136—139 

140—143 

144—151 

152—164 

105—169 

170-174 

175—181 

.  182—186 

.  187-196 

.  197—205 

.  206—217 

218—222 

nr)<j 233 

.  234—242 
,  243—248 
,  249—264 
.  265—274 


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ARCHAOLOGISCHES  INSTITUT 
J  DER  UNIVERSITAT  BONN 


BONN  24.12.      195    6 

Am  Hofgarten  21 


Sehr  geehrter  Herr  -Professor, 


ichbin  gerade  dabei,  die  l^iachweise  fiir  die  Tafelhiri'^'eise 
der  Festschrift  zusamrtienzuochreiben.  Es  soil  dabbi  jeweils 
angegeben  warden, wo  sich  das  abgebildete  otiick  befindet 
und  je  n-ach  den  umstanden  noch  eine  kurze  Beschreibung,'"'ie 
etwa  "Stater  aus  ^^yzikoSj-L-ondonjBritischeo  Museum. Bei  Sta- 
tuen  Oder  V^-^sen  werden  auch  die  Inv.'-'r.  genannt,  Leider 
bereiten  mir  Ihre  Abbildungen  Schwierigkeiten,allerdin^ 
nicht  alle.  Unkl:a.r  ist  mir  vor  allem,was  zu  Taf.  32  zu 
schreiben  ware.  Konnten  Sie  so  freundlich  sein  und  mir 
kurz  mitteilen,wie  Sie  diese  llinweise  gern  gejtalten  moch_ 
ten?  Ich  weiB  nichl,ob  Sie  noch  die  Tafeln  haben  una  lege 
daher  T  f.  5o  und  32  bei. Die  endgiiltige  Bezifferung  muBte 
ubrigens  geandert  werden, da  Herr  J-rof.  Langlotz  noch  einen 
Beitrag  aufnehm  n  wollte.  Das  i  t  ja  aber  im  iioment  nicht 
wichtigjich  lasse  zur  Vermeidung  von  Irrtumern  die  alten 
;^Zahlen  stehen. 

Piir  das  i^eue  Jahr  mochte  ich  Ihner  meine  besten  Wunsche, 
auch  im  Karaen  meiner  ;,iuti-er  und  GroBmutter,ubersenden 


-^hr 


sehb  ergejsener 


/^^^vwX^ 


/  /    C     L     U 

U     J    U       I 


THE     INSTITUTE    FOR     ADVANCED    STUDY 

PRINCETON,     NEW     JERSEY 


October  I7,   1955 


f 

SCHOOL  OF  HISTORIUL  STUDIES 

Professor  Ernst  Kantorowicz 
The  Institute  for  Advanced  Study- 
Dear  Eka: 

Many  thanks  for  permitting  us   to  read  your  article  on  Apolline  ethics, 
which — senza  complimenti — fills  both  of   us  with  admiration  and,    to  be  frank, 
some  envy.     You  were  certainly  much  too  generous  in  acknowledging  vfhat  little 
help  we  could  give  you,  and  it  is  a  sheer  joy  to  see  how  tlriose  little  items 
from  the  embleraatists  assume  new  brilliance  and  color  in  the  beam  of  your  power- 
ful flashlight. 

Two  very  small  and  quibbling  remarks:    the  Munich  Remigius  manuscript  Clm. 
IU27I,   cited  by  you  on  p.  3,   line  2,   is  generally  supposed  to  be  eleventh  rather 
than  tenth  century;   and  the  gentleman  wrongly  credited  with  Berchorius'   Meta- 
morphosis Ovidiana  referred  to  in  Note  20,   though  variously  spelled  as  Walleys, 
Walleis  and  Valeys,  has,    so  far   as  I  know,   always  an  s  at  the  end. 

In  order  to  confuse  the  issue  a  little,   I   should  like  to  quote  an  explana- 
tion of  tJrie  fact  that  the  image  of  Apollo  carried  the  Graces  in  its  right  hand, 
upon  which  I  chanced  in  GJjraldus,  Syntagma  13   (Opera  omnia,  Leiden,   1596,    I, 
col.  UI8):  "Hinc  apud  antiques  Apollo  fingebatur  manu  dextera  Gratias  gestare, 
quod  eae  anni   partes  e  sole  proveniant.     Macrobius  putat,   ideo  Apollinem  dextera 
Gratias  gestasse,   sinistra  arcura  et  sagittas,   quod  ad  noxam  sit  pigrior  Deus,   et 
promptior  ad  salutem."     Unfortunately,  G^raldus  does  not  give  any  source  for  this 
very  Philistine  explanation  (which  is,  needless   to  say,   based  on  the  not  uncom- 
mon identification  of  the  Graces  with  the  Horae),   and  I  do  not  think  you  ought 
to  bother.     I  only  wanted  to  show  off  a  little. 


With  all  good  wishes  and  congratulations, 


Yours  as  ever, 
Erwin  Panofsky 


EP:wfk 


^) 


P.S,  See  you  on  Friday.  I  took  out  the  photostats  which  you  marked  as  our 
property  and  hope  that  this  is  what  you  intended  me  to  do. 


'^  7  "'^^ 


n    L    L    c 
u    J    u    J 


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i      I 


^^^l-^K       4/(4 


[-vl\S  K.fc.uv;(JKO//|'Cl  CdJlac^iiM 


S  C 


y{Dnl')r^f^}    't^^Klj\ 


50.      The  llng^s  Two  Bodies:  A  Study  zn  Me£an>al PoUtical  Theology:  Princeton:  Pnnceton 
-    Lnivcrsin-  Press,  1957.  568  pp.  i-rmccion 

EK's    copy,    annotfitei,    kert    separately. 
A.      Revievs   o.-"  KTB    (envelope   full) 
'^.       ''Ars    Iraitfitrix  naturae''    (slip) 

C.  "TB   305ff    (slip) 

D.  "Ins  +  ruinentura  vivum"    (slip) 

S.       -llinp   nox  -arin,'  old  etc."    (half  pap-e) 

F.  "C-nus,    on  C.    ii,6^,l^,n.  2"    (1^x6   ca-d) 

G.  •'C.VTTI,37(3tt),l^v    ^^^^   ^^^^j 

H.  Review  of   B. de    Jo.venal's    Scve^eirnt^    (newspaper   clipping) 

I.  "1x20  Eds.    I    dies    at   Norfolk"    (spiral   notebook  pa.-e) 

J.  "Albericus    de    ^osate"'      (half   sheet,    -ellow) 

K.  Letter   from  Albert   Salomon,    6  Aug   62 

L.  Letter  fron  Ad  Hoebel,    6  Jan  U9 


U     J     U 


334 


Buchbesprediungen 


die  mannigfalticstcn  Variationen  auf wcisen,  wiihrend  die  Urkunden  Ludwigs  d.  Kin- 
des,  der  nur  detn  Namen  nadi  die  Herrsdiaft  ausubte,  sowohl  einfacher  wie  cinheit- 
lidicr  ausgcfulirt  sind. 

Wic  sdion  die  Formeln  und  Dictamina  der  Urkunden,  fiir  deren  Beurteilung  die 
aufterordcntlidi  intensive  Kanzleiabhandlung  Sdiiefifers  unentbehrlidi  ist,  wesen:- 
lidie  historisdie  Aufsdiliissc  geben,  so  natiiriidi  audi  ihr  politisdier  und  redididier 
Gehalt.  Die  wediselvolle,  in  Isoiierung  und  Sturz  endende  Gesdiidite  Zwentibolds, 
die  unsdteinbare  Stellung  Ludwigs  d.  Kindes,  das  wadisende  Obergewidit  der  Gro- 
fien  und  der  mehr  durdi  sic  als  durdi  die  sdiwadic  Kbnigsgcwalt  gewahrte  Zusam- 
menhalt  des  Reidies  spiegeln  sidi  mil  besonderer  Deutlidikeit  in  den  Inrerventionen 
ab:  bei  Zwentiboid  meist  ein  Intervenient,  hodistens  zwei,  oft  aucb  keiner;  ihr 
Wedisel  entspndit  den  audi  in  den  erziihlenden  Quellen  verzeidineten  politisdien 
Wmkelziigen  des  Kbnigs;  bei  Ludwig  d.  Kind  dagegen  meist  bedeutend  mehr  als 
zwei  Iniervenienten,  oft  zehn  und  mehr;  DLK  20  fiihrt  sogar  26  Intcrvenientea 
auf,  was  zuvor  nodi  nie  dagcwesen  war.  Die  grofie  Zahl  der  Ratgeber,  die  sich  um 
der  jungen  Konig  sdiarter  und  die  aus  alien  Teilen  des  Reidies  kamcn,  das  starkere 
Hervortreten  des  bairisdien  Markgrafen  Liutpold,  der  frankisdien  Briider  Konrad 
und  Gebhard,  des  Erzbisdiofs  Hatto  von  Mainz  und  Salomes  von  Konstanz  und 
anderes  mehr,  was  sidi  an  den  Urkunden  ablesen  lafit:  alles  das  weist  auf  die  ent- 
sdieidungssdiweren  Vorgiinge  an  der  Sdiwelle  des  sidi  bildenden  Deutsdien  Reidies 
hin,  die  die  gegenwiirtige  Forsdiung  stark  besdiaftigen.  Die  Edition  und  die  Kanzlei- 
abhandlung Sdiieflers  werden  ihr  nidit  nur  eine  sidierc  urkundlidie  Grundlage,  son- 
dem  audi  widitige  neue  Impulse  geben. 

Freiburg  i.  Br.  Josef  Fleckenstein 

KANTOPOWICZ  E.  H.,  The  King's  Two  Bodies.  A  History  in  Mediaeval  Political 
Theology.  Princeton  N.  J.,  University  Press,  1957.  XVI,  568  S.,  24  Tafeln. 
Eine  ungliidiliche  Verkettung  von  aufieren  Hindemissen  hat  die  Wiirdigung  die- 
ses uberaus  inieressanten  Budies  in  unserer  Zeitschrift  iiber  Gebiihr  verzogert.  Die 
verspatett  Anzeige  kann  dafiir  freilidi  schon  die  breite  wissensdiaftlidie  Resonanz 
in  dif  Betraditung  einbeziehen,  denn  an  Beriditerstattung  in  den  Fadizeitsdiriften 
hat  es  nidit  gefehlt.  Priizis  in  der  Inhaltsangabe,  eniiiusiasiisch  im  Tenor  ist  die  Be- 
sprediung  von  Rudolf  M.  Kloos  in  der  Hist.  Zeit^rift  188  (1959)  358  ff.;  in  ganz 
ahnlidier  Art,  aber  dodi  mit  Vorbehalten  zur  „papstlidien  Ideologie",  hat  Walter 
UUmann  das  Budi  in  den  Mitteil.  des  Instituts  fiir  osterreich.  Gesdiiditsforsdiung  66 
(1958)  364  ff  gewiirdigt.  Am  anderen  Endt  der  Wertungsskala  steht  die  Rezension 
von  Ernst  Rcibstein  in  der  Zeitsdir.  fiir  Hechtsgeschichte,  German.  Abt.  76  (1959) 
378  ff .,  der  -  bei  aller  selbstverstiindlidien  Anerkennung  des  intellektuellen  Ni- 
veaus  -  die  sehr  pnnzipiellen  Bedenken  des  niiditern-systematisdien  Juristen  gegen 
Kantorowiczs  Fragestellung  und  Kombinationen  zur  Sprache  bringt,  dabei  freilidi 
auf  die  eigentlidi  historisdien  Absdinitte  nur  summarisdi  eingeht.  Aus  der  knappen 
Charakteristik  und  der  hiiflidien  Reserve  von  Edouard  Perroy  in  der  Revue  hisrto- 
rique  230  (1958)  158  ff.  spricht  erst  redit  die  innere  Fremdheu  emer  ganzlidi  ande- 
rejr^historisdien  Sdiule",  und  von  Pramissen  dieser  Art  kann  in  der  Tat  bei  der 
Auseinandersetzung  mit  einem  soldien  Budie  einfadi  nidit  abstrahien  werden.  Ein- 
dringendes  Verstandnis  und  kritisdic  Vorbehalte  finden  sidi  sorgfiiltig  abgewogen 
in   den  Besprediungen   von   Marcel  Pacaut   (Moyen  Age  64    [1958]   622  ff.)   und 


(v 


Historisches  Jahrbuch, 
B»nd S. 


U     J    U    U 


Mittelalter 


335 


H.  S.  Offler  (English  Hist.  Review  75  [I960]  295  ff.).  Mit  besonderem  Nadidrudc 
aber  vefweisen  wir  auf  den  ausfiihrlidien  Bericht  von  Friedridi  Kempf  in  der  5^. 
Quartalsdirift  54  (1959;  ersdiienen  1961)  203-33,  der  als  kommcntierender  Leit- 
raden  dienen  kann  und,  ebenfalls  ohnc  mit  der  Anerkennunp  zu  sparen,  an  ent- 
scheidenden  Stellen  audi  die  theologisdic  Kritik  zu  Wortc  kommcn  lafit.  Die  ge- 
lehrtc  Fadiweit,  an  die  allgemein  das  sdiwierigc  Werk  sidi  wendet,  hat  also  inzwi- 
sdien  langst  davon  Kenntnis  genommen,  so  daC  es  sidi  fiir  den  „zu  spat  gekomme- 
nen"  Rezensenten  eriibrigt,  mit  einer  breiten  Analyse  in  die  Stapfcn  seiner  Vorgan- 
ger  zu  treten;  einc  andeutende  Skizzc  mag  in  diesem  Fallc  geniigen. 

Den  ideengesdiiditlidien  Spiirsinn  des  Autors  reizte  die  bei  den  englisdien  juristen 
der  Tudor-  und  Stuartzeit  gelaufigc  Theorie,  dafi  dem  Kbnig  ein  zweiter,  iiberzeit- 
licher,  ja  iibernaturlicher  „Korper"  eigne,  ein  hody  politic  ncben  dem  body  natural. 
Es  geht  dem  Verfasser  darum,  diesc  Vorstellung,  bei  der  er  ganz  konkretc  theologi- 
schc  Lehren,  namlidi  das  christologisdic  Naturendogma,  mitsdiwingen  sieht,  in  ihrer 
ganzen  historisdien  Tietendimension  siditbar  zu  madien.  Dazu  holt  er  weit  aus.  Er 
findet  diesc  .diristusbezogene"  Interpretation  des  Konigs  als  gemina  persona  deut- 
lidi  formuliert  in  der  Spatphase  des  Investiturstreites  beim  sog.  Anonymus  von 
York,  nadidem  schon  die  ottonisdie  Zeit,  weniger  zur  Reflexion  geneigt,  sic  bildlidi 
symbolisiert  hatte.  Nicht  zum  wenigsten  die  vom  Investiturstreit  ausgeloste  Dia- 
stase der  Gewalten  wies  den  Weg  zu  emer  anderen  Vorstellung,  die  K.  als  Laiv- 
centered  Kmgshtp  kennzeidinet:  aus  einer  Fiille  von  Texten  -  von  Johann  von  Sa- 
lisbury iiber  Friedridi  II.  bis  zu  Aegidius  Romanus  -  erweist  er  in  vielfaltiger  Sdiat- 
tierung  die  Lehre  von  der  Oberhohung  des  Konigs  (der  durdiaus  zugleidi  ein  sterb- 
lidier  Mensch  bleibt)  zur  lex  animata  und  personifizierten  Gereditigkeit.  1st  hierbci 
in  handgreiflidter  Weise  die  Gedankenwelt  des  Romisdien  Redites  wirksam,  so  sind 
nadi  des  Autors  Deuiung  Tlieologie,  Kanonistik  und  Sdiolastik  die  Bereidie,  aus 
denen  sidi  der  -  immer  nodi  und  immer  wieder  vom  Konig  und  im  Kbnig  reprii- 
sentierte  -  Staat  als  siikularisiertes  corpus  mysttcum  begrifFlidie  Substanz,  als  patna 
moralisdien  Ansprudi  geholt  hat,  aber  neben  dem  kanonistisdien  Prinzip  von  der 
steten  Fortdauer  der  Kirdie  und  historisdien  Voraussetzungen  wie  dem  Glauben  an 
den  Besiand  des  Impenum  Romanum  und  des  populus  Romanus  bedurfte  es  der 
Belebung  des  Zeitbegriffes  durdi  die  Philosophic,  um  die  rein  organologisdie,  d.  h. 
sowohl  auf  einc  Vielzahl  von  Personen  bezogene  wie  audi  durdi  ,Haupt  und  Glie- 
der"  bestimmtc  Konzeption  von  einem  Staatskorper  audi  in  die  zeitlidic  Dimension 
hinein  zu  erweitem,  so  dafi  die  Lehre  von  der  umversitas  quae  non  morttur  mbglidi 
wurde.  Die  Gewinnung  dieses  zeitlidien  Prinzips  bedeutet  iiberhaupt  im  Zusammcn- 
hang  des  Themas,  das  K.  sidi  gestellt  hat,  den  entsdieidenden  Durdibrudi,  madite 
sie  dodi  den  Weg  frei,  der  in  die  Vorstellung  von  einer  aussdilieGlidi  durdi  die  zeit- 
lidie  Abfolgc  bestimmten,  in  concreto  aber  nur  durdi  den  jeweiligen  Konig  repra- 
sentierten  Einmann-Korpersdiaft  (einer  sole  corporation)  miinden  konnte.  Im  kon- 
tinuierlidien  Herrsdiaftsredit  der  Dynastie,  in  der  Fiktion  von  der  Krone  als  iiber- 
individueller  Verkorperung  aller  Herrsdiaftsredite  fand  diesc  Vorstellung  ihre  Aus- 
drudisspradie,  bis  sie  sidi,  unter  abermaligem  Riidigriff  auf  kanonisdies  und  romi- 
sdies  Amtsredit,  rundetc  in  der  Lehre  von  der  nidit  untergehenden,  sondern  stets 
weiterlebenden  dignitas,  als  deren  tnstrumentum  der  Kbnig  verstanden  wurde. 

Der  Reiditum  des  Budies  an  Stoff  und  an  Belegen  aus  kanonistisdien,  philoso- 


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Budibespredjungen 


7. 


phisdi-theologisdien,  staatstheoretisdien  Autoren,  die  virtuose  Vertrautheit  des  Ver- 
fassers  mit  der  vielfiiltigen  und  detaillierten  Literatur,  die  feinsinnigen  Analysen, 
die  sdiarfsinnigen  Kombinationen  -  das  alles  ist  atemberaubend.  Darstellung  und 
Argumentation  bewegen  sidi  durchweg  auf  sehr  versdilungenen  Wegen,  und  es  fehlt 
nicht  an  weitausholenden  Digressioncn,  die  fur  die  verschiedensten  Themenkreise 
wertvolle  Hinweise  und  Durdiblidie  ergeben,  so  etwa  fur  die  weitreidienden  Konse- 
quenzen,  die  sidi  aus  der  kirdilidien  „Abwertung"  der  Konigsweihe  ergaben 
(S.  318ff.).  oder  fur  das  Weltbild  Dantes  und  seine  Lehre  vom  irdisdien  Paradies, 
denen  ein  besonderer  Exkurs  gewidmet  ist  (S.  451  ff.)-  Es  bedarf  keines  Wortes,  dai5 
eine  Rczcnsion  gar  nidit  den  Versuch  machen  kann,  von  diesem  iiberquellenden 
Reiditum  eine  audi  nur  halbwcgs  adaquate  Vorstellung  zu  vermitteln,  aber  mit 
jeder  Analyse  des  Inhaltes  -  selbst  wenn  sie  die  Eindringlichkeit  des  instruktiven 
Aufsatzes  von  Kempf  erreidit  -  ist  zugleich  die  Gefahr  verbunden,  dafi  sie  mit  der 
Nachzeidinung  des  Gedankenganges  den  Ansdiein  einer  inneren  Geschlossenheit 
aufkommcn  laCt,  die  dem  Buche  dodi  keineswegs  eignet.  Die  Kritik  hat  nidit  ver- 
sdiweigen  konnen,  dafi  der  Zusammenhang  der  grofien  Kapitel  in  sidi  und  mitein- 
ander  oft  redit  lose  ist:  Ausgangsfrage  und  Sdilufiziel  sdiwinden  nidit  selten  weit 
aus  dem  Blickfeld;  die  der  Darstellung  nadi  dem  Willen  des  Verfassers  immanente 
Teleologie  ersdieint  langst  nidit  uberall  einleuditend,  so  wie  umgekehrt  das  Thema' 
audi  keineswegs  in  ersdiopfender  Kontinuitat,  sondcrn  ubcr  ganze  Stredten  hin 
eklektisdi-punktuell  abgehandelt  wird,  denn  diese  „Studien  zur  Ausformung  trans- 
personaler  Staatsvorstellungen'  (als  die  man  das  Budi  wohl  am  besten  diarakterisie- 
ren  konnte)  liefien  sidi  gewifi  nodi  durdi  mandierlei  an  Material  und  Beobaditungen 
bereidiern. 

Die  Reaktion  des  kritisdien  Lesers  wird  daher,  natiirlidi  nidit  ohne  eine  gewisse 
subjektive  Note  (um  nidit  zu  sagen;  je  nadi  dem  personlidien  Temperament),  nidit 
selten  sdiwankcnd  blciben:  gibt  er  sidi  gem  der  bewundernden  Freude  an  der  ge- 
sdiliflFenen  Diktion,  an  der  Sadikenntnis  und  dem  Sdiarfsinn  des  geistvollen  Autors 
hin,  so  besdileidit  ihn  dodi  audi  mehr  als  einmal  eine  bohrende  Skepsis  gegenuber 
den  kuhncn  Kombinationen,  ein  leises  Mifitrauen,  ob  das  Prinzip  genetisdier  Zu- 
sammensdiau  nidit  dodi  uberspannt  werde,  ja  eine  Ermiidung  durdi  gar  zu  breite 
und  subtile  Interpretationen,  aber  wie  oft  fiihlt  er  sidi  dann  wieder  gefangen  durdi 
iiberrasdiend  sdilussigeDeutungen!  Es  ware  bei  dieser  Fulle  von  Stoff  und  Auslegung 
gewifi  verwunderlidi,  wenn  Spezialdisziplinen  hier  keine  Ansatzpunkte  zur  Einzel- 
kritik  fanden;  so  miissen  wir  neben  den  Vorbehalten,  die  bei  Reibstein,  Pacaut  und 
Kempf  anklingen,  bercits  auf  die  Einwande  hinweisen,  die  Wilhelm  Messerer  in 
den  Gottinger  Nadiriditen  1959  S.  27  ff .  gegen  die  Interpretation  der  Darstellung 
Ottos  II.  im  Aadiener  (Reidienauer)  Evangeliar  von  975  (S.  61  ff.)  angemeldet  hat, 
und  auf  weitere  Einzelkorrekturen  muC  man  beim  Fortgang  der  Forsdiung  wohi 
gefafit  sein.  Aber  darauf  kommt  es  furs  erste  weniger  an.  Wenn  sdiliefilidi  dodi  ein 
verborgenes  Unbehagen  bleibt,  das  sidi  durdi  alle  Bewunderung  nidit  ganz  zura 
Sdiweigen  bringen  laCt,  so  wurzelt  es  letztlidi  in  der  grundsatzlidien  Frage,  wie  der 
Historiker  eine  soldie  -  besonders  in  deutsdier  Forsdiung  und  Gesdiiditssdireibung 
beheimatete  -  sidi  autonom  durdi  die  Jahrhunderte  bewegende,  beinahe  im  luft- 
leeren  Raum  sdiwebende  ,Geistesgesdiidite«  werten  soil,  die  nidit  konsequent  auf 
enge  Fuhlung  mit  den  Realitaten  des  gesdiiditlidien  Lebens  bedadit  bleibt.  Zu  ihrer 


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I 


Legitimation  mufi  dodi  wohl  das  stete  Bewufitsein  gehoren,  dafi  die  Theorien-  und 
Ideengeschidite  nur  ein  abstrahierender  Teilaspekt  unseres  Gesdiiditsbildes  sein 
kann.  Entgegen  der  Einschiitzung  durdi  R.  M.  Kloos  vermogen  wir  das  Budi  von  K. 
nidit  primar  als  wirkliche  Verfassungsgeschidite  anzucrkennen,  es  ist  Theorien- 
gesdiidite  in  einseitiger  Auspragung,  als  soldie  aber  sdiledithin  brillant  und  uberaus 
fruditbar.  Insofern  konnen  wir  Norman  F.  Cantor  durdiaus  zustimmen,  der  das 
Werk  mit  Fritz  Kerns  „Gottesgnadentum«  auf  eine  Stufe  stellt  (American  Hist.' 
Review  64  [1959]  82).  Unabhangig  von  alien  Einzelthemen  und  audi  ohne  in  eine 
Diskussion  iiber  den  ini  Untertitel  formulierten  Terminus  „politisdie  Theologie" 
einzutreten,  sehen  wir  das  zentrale  Anliegen  und  Verdienst  des  ungewohnlidien  Bu- 
dies  darin,  daC  es  die  unverwisdibare  Pragung  der  abendliindisdien  Staats-  und 
Gesellsdiaftstheorien  durdi  halb  oder  ganz  sakularisierte  kirdilidi-theologisAe  Begriffe 
und  Vorstellungen  Icbendig  veransdiaulidit,  als  Gesamtphanomen  sowohl  wie  in 
einer  Fulle  von  Einzelziigen,  aus  denen  sidi  die  weitere  Forsdiung  -  audi  verfas- 
sungsgesdiiditlidier  Riditung  -  wesentlidie  Belehrung  und  entsdieidende  AnstoBe 
holen  wird. 

^°^"  Theodor  Schieffer 

Herbert  Grundmann  hat  uber  die  beruhmte  Portraitbuste  Kaiser  Fried- 
ridis  I.  (Der  Cappenberger  Barbarossakopf  und  die  Anfange  des  Stiftes  Cappen- 
berg.  Koln,  Bohlau,  1959.  113  S.,  6  Abb.)  eine  eingehende  Studie  gesdirieben.  Dafi 
sie  zu  reidien  und  fundierten  Ergebnissen  kommt,  verdankt  sie  nidit  neu  entdediten 
Quellen,  sondern  der  Kombination  gesdiiditlidier  und  kunstgesdiiditlidier  Befunde 
und  der  sorgfaltigen  Frageweise,  die  nidits  beiseitesdiiebt,  auf  enilegene  Zeugnisse 
ausgreift,  an  jeder  Stelle  die  Literatur  kontroUiert  und  alle  Aussagen  behutsam  in 
ihre  historisdien  Zusammenhange  riidtt  -  methodisdi  und  sadilidi  das  aufierste  Ge- 
genbild  zu  Friedridi  Heers  assoziativen  Spekulationen  uber  denselben  Gegenstand 
(Die  Tragodie  des  Heiligen  Reidies,  1952,  96  f.). 

Grundmann  erklart  zuerst,  was  sidi  aus  dcm  Zustand  des  Denkmals  sdiliefien 
lafit  und  was  die  Insdiriften  sagen  wollen,  dann  erhellt  er  aus  zeitgenossisdien  Zeug- 
nissen  den  gesdiiditlidien  Hintergrund:  wie  das  Johanneskreuz  erst  in  staufisdien, 
dann  m  cappenbergisdien  Besitz  kam,  wie  die  Grafen  Gottfried  und  Otto  sidi  be- 
kehrten  und  in  ihrer  Burg  nadi  den  Gewohnheiten  des  Pramonstratenserordens  leb- 
ten,  wie  Barbarossa  seinen  Taufpaten  Otto  mit  einer  Biiste  und  einer  Silbersdiale 
besdienkte  und  wie  Otto  in  die  Sdiale  die  Taufszene  gravieren  licfi  und  die  Buste 
zum  Aufbewahrungsort  fur  das  Johanneskreuz  bestimmte.  Er  formulicrt  sein  Er- 
gebnis,  nadidem  er  die  Ansiditen  der  Forsdiung  (Philippi  1886,  Kemmeridi  1910, 
O.  V.  Falke  und  E.  Meyer  1935,  Th.  Rensing  1954,  E.  G.  Grimme)  diskutiert  hat,  in 
der  Form  einer  Frage:  „Was  bleibt  .  . .  andres  ubrig  als  anzunehmen,  dal5  Kaiser 
Friedridi  I.  tatsadilidi  sein  Kopfbildnis  auf  einer  Silbersdiale,  beides  unbesdiriftet, 
seinem  Paten  Otto  sdienkte,  ohne  irgendeinen  Verwenduneszwedc.  nur  als  sein 
Bild?"  (S.  43). 

Das  Problem  der  Portraitahnlidikeit  kann  nur  durdi  einen  Vergleidi  mit  Rahe- 
wins  Persbnlidikeitsbesdireibung  angesdinitten  werden.  Kraflvolle  literarisdie  wie 
plastisdie  Formtraditionen  stellcn  sidi  einem  sdiliissigen  Ergebnis  in  den  Weg.  Aber 
es  gelingt  Grundmann,  indem  er  minutios  aufzeigt,  was  Rahewin  zur  Formulierung 
seines  Bildes  aus  Apollinaris  Sidonius,  Einhard  und  Jordanes  iibernommen,  was  er 

22    HIat.  Jahrbach  80/1 


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rOmische 

QUARTAL 
SCHRIFT 

fiir  diristlidie  Altertumskunde  und  Kirdiengesdiidite 


HERAUSGEGEBEN  VON 

Pralat  Prof.  Dr.  August  Schuchert       Prof.  Dr.  Engelbert  Kirsdibaum  SJ. 

Rektor  des  Deutschen  Priesterkollegs        Im  Auftrage  des  Romischen  Instituts 
am  Campo  Santo  in  Rom  der  Gorres-Gesellsdiaft 

IN  VERBINDUNG  MIT 

Hermann  Hoberg,  Hans  Ulrich  Instinsky,  Johannes  Kollwitz,  Theodor  Schieffer, 

Ludwig  Voelkl,  Ernst  Walter  Zeeden 

BAND  54     HEFT  3/4 


1959 


^ 


HERDER 
ROM    FREIBURG    WIEN 

Postverlagsoit  Freiburg  im  Breisgau 


I    L 


Untersuehiin^ren  Uber  das  Einwirken  der  Theologie 

auf  die  Staatsleliie  des  Mittelalteis 

Beiidit  iiber  ein  neues  Bucli 

VonFRIKDHIClI  KEMPFS.  J. 


Uie  englisdien  Juristcn  cler  Tudorzeit  haben  das  Problem:  Amt 

und   Person  des  Konigs,  auf  seltsame  Weise  zu  losen  versudit. 

Sie  untetsfbieden  zwiscben  einem  natiiilifben  und  einem  politi- 

scben  Korper  des  Konips.  d.  h..  sie  stellten,  obne  auf  die  Einheit 

des  personalen  Seins  zu  verzicbten.  der  natiirlicb-nienschlicben, 

dem   Tod.   der   Krankbeit.   dem   Irrfum    und   den   Leidenscbaften 

ausgesetzten  Existenz  des  Herrscbers  die  Eiktion  eines  anderen 

korpeilifben   Seins   gegeniiber,  ausgestattet  mit   I'nsterblicbkeit. 

mil  legaler  Allgegenwart  und  mit  einem  sobben  Vollbesitz  der 

Regierungsgewalt.  dafi  I  nmiindigkeit  oder  Vergreisung  oder  die 

Moglidikeit,   unrecbt  zu  tun,  aufier  Betracht  standen.  Das  Ku- 

riose  lag  in  der  pbysioiogistben   Betracbtungsweise.   womit  die 

personlicben    und    die    unpersonlicben    Begriffe    der    Herrsdiaft 

versiibnt    werden    sollten.    Eorsdit    man    nadi    ihren    Wurzeln, 

so  bietet   sifb   vor  allem   die  mittelalterlidie  Corpus-  und    Kor- 

porationslebre    an.    Unter    diesem    Gesitbtspunkt    ist    die    Zwei- 

Korper-Lebre    tatsacblicb    von   F.  W.  \biitland    erortert    worden 

(..Tbe  Oown  as  Corporation",   in:   Selected  Essays,  Cambridge 

1956).  aber  man  darf  fragen.  ob  spezifiscb  juridisdie  und  konsti- 

tutionelle  Gedankengange  zur  voUen  Erklarung  ausreiciien.  Wie 

scbon  Maitland  bemerkt  bat.  erinnert  die  Eiktion  der  zwei  in  der 

Person   des    Konigs   geeinten    Korper   irgendwie   an    die   tbeoln- 

gisdie  Lebre   von   der   liypostatiscben   Union   der   zwei   Naturen 

Christi.    Eine    Beziebung    zur   Tbeologie   ware   nidit   unmoglidi. 

Lebten  docb  die  englisdien  Kronjuristen  von  dem  Gedankengut 

des  Spatmittelalters.  und   sidier  ist  die  Staatslebre  des   Mittel- 

alters  mebr  oder  minder  durdi  die  Tbeologie  befruditet  worden. 


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FRIEDRICH  KEMPF  S.  J. 


Auf  dieser  neuen  Fragestellung  berulil  dus  jiingst  ersdiie- 
nene  bedeutende  Werk  von  Ernst  ¥..  Kantorowicz,  The 
King's  Two  Bodies.  A  Study  in  Mediaeval  Political 
Theology  (Princeton  University  Press  IQ^Tpp.  XVI->6S).  Der 
Titel  will  riditig  verstanden  sein.  l\!s  geht  dein  Verfasser  nidii  so 
sehr  um  die  Zwei-Kiirper-Lehre  der  iudorzeit  als  iim  ihren  gei- 
stigen  Untergrund  und  um  ihre  Urspriinge  im  Mittelalter.  Daher 
setzt  sidi  das  Budi  aus  einer  Fiille  von  tiefschiirfenden  und  in 
plastischer  Spradie  vorgelegten  Kinzelstudien  zusamnien.  die  die 
theologisdi-politisdien.  das  Kdnigtum  hetrefTendcn  Ideen  des 
Mittelaltcrs  insoweit  behandeln.  als  sie  dem  Verfasser  fiir  die 
Zwei-Korper-Lehre  widitig  ersdieinen.  Sie  sind  zwanglos  unter 
groReren  Gesiditspunkten  zusammengefaRt:  Vom  diristozentri- 
sdien  Konigtum  der  ottonisdi-friihsalisdien  Zeit  geht  die  Unter- 
sudiung  zuni  reditlich  zentrierten  (12. —  H.  Jahrhundert)  und  dem 
damit  zusainmenliiingenden  politisdi  zentrierten  Konigtum  des 
spjiteren  Mittelalters.  wendet  sidi  dann  dem  Kontinuitiits-  und 
Perpetuitiitsdiarakter  des  neu  erstandenen  souveriinen  Staates 
sowie  dem  mit  Unsterblidikeit  bekleideten  Konigtum  zu  und 
schliefit  mit  Dantes  Idee  eines  mensddidi  zentrierten  Konigtunis. 

I.  Fiir  das  christozentrisdie  Konigtum  greift  der  Verfasser 
nur  zwei  Zeugen  heraus:  den  Normannisdien  Anonymus  der 
Wende  vom  11.  zum  12.  Jahrhundert  und  eine  ottonisdie  Minia- 
lur.  Im  Normannisdien  Anonymus  fesselt  ihn  vor  allem  die  im 
Traktat  D e  c o  n  s e c  r  a  t  i  o  n  e  p  o  n  t  i  f  i  c  u  m  e  t  r  e  g  u  m  f o i- 
mulierte  Idee  einer  gem  in  a  persona  regis,  bestehenil  aus 
einer  persona  ex  n  a  t  u  r  a  ,  d.  h.  dem  i  n  d  i  v  i  d  u  u  s  homo, 
und  einer  persona  ex  gratia,  die  den  Konig  per  eminen- 
tiam  d  e  i  f  i  ca  t  i  on  i  s  et  vim  sacra  men  ti  iiber  alle  Men- 
sdien  hinaushebt.  ihn  vergiittlidit  und  den  Gottmensdien  CMiristns 
zu  repriisentieren  befiihigt.  In  der  Ausdeutung  des  Anonymus 
geht  der  Verfasser  vielleidit  zu  weit,  wenn  er  im  Kcinig  als  dem 
Abbild  Christi  audi  eine  Entspredmng  mit  Ghristi  zwei  Naturen 
annimmt.  Die  diristologischen  Gedankengiinge  —  hier  wird  der 
Verfasser  wohl  zustimmen  —  beziehen  sidi  blofi  auf  den  Kcinig 
als  Amtstriiger  und  auf  den  Vergleidi  mit  den  gleichfalls  per- 
sonae  geminatae  genannten  bisduiflidien  Amtstragern.  also 
auf  die  persona  ex  gratia,  die  hier  auf  Erden  die  gottlidie 
Gewalt  wahrnimmt,  wiihrend  die  persona  ex  natura  fiir  den 


Einwirken  der  Theologie  auf  die  Slaatslehre  des  Mittelalters  205 

diristologisd.en  Zusammenhang  unwesentlidi  sein  diirfte  Ferner 
drangt  s.d.  die  Frage  auf,  ob  der  Anonymus  wirklid,  die  konig- 
lidie  Gewalt  mit  der  Gewalt  Christi  so  in  eins  gesetzt  hat.  dafi 
der  Untersdued  zwisdien  (;ott  und  Mensdi  verwisdit  worden 
ware,  wie  der  Verfasser  meint.  In  jedem  Fall  bietet  jedodi  die 
Zwei-Personen-Lehre  eine  interessante  Parallele  zu  der  Zwei- 
Korper-Lehre  der  Tudorjuristen.  Trotz  versdiiedener  Prii-ung  ist 
hier  wie  dort  der  Begriff  eines  gedoppelten  Konigs  enthalten.  Dafi 
er  vom  Anonymus  aus  der  Theologie  genommen  ist  -  der  Ver- 
fasser nimmt  als  Quelle  spanisdie  Konzilien  an  — ,  steht  auRer 
Zweifel. 

Eipe  Zweiteilung  modite  der  Verfasser  audi  im  Titelbild  des 
Aadiener  Evangeliars.  einer  Reidienauer  Arbeit,  entdecken.  Von 
der  Mandorla  umgeben.  ragt  dort  Ottos  111.  durch  die  Terra  ge- 
stutzter  Thron  in  die  himmlisdie  Sphare  hinein.  In  Brust-  und 
Ilaupteshohe  umringen  den  Kaiser  die  vier  ein  Band  haltenden 
Evangelisten:  eine  nimbusumstrahlte  Gotteshand  setzt  ihm  die 
Krone  auf.  Das  Band  sieht  der  Verfasser  als  ein  Tudi  an:  es  soil 
den  Himmel  bedeuten.  der  die  irdisdie  von  der  himmlisdien 
Sphare  trennt.  Da  si(h  Ottos  Ilaupt  und  Sdinltern  —  sie  sind  bei 
der  Kaiserweihe  gesalbt  worden  —  oberhalb.  der  iibrige  Teil  des 
Korpers  unterhalb  des  Bandes  bePinden,  gehiirt  der  Kaiser  bei- 
den  Sphiiren  an.  wiihrend  die  anderen  abgebihleten  Personen: 
zwei  Ilerziige  oder  Kleinkonige  und  weiter  unten  vier  Fiirsten. 
der  irdis(hen  Spliiire  zugewiesen  sind.  Mit  llilfe  von  anderen 
Quellon.  vor  allem  dem  Au^ustinustext  In  Ps.  91,  11  (PL  37.  1178), 
modite  der  Verfasser  zwei  Naturen  des  Kaisers,  eine  mensdilidie 
und  eine  auf  Gnade  und  Weihe  griindende  gottlidie  Natur,  an- 
nehmen.  Gegeniiber  dieser  zuniichst  bestedienden  Deutini'r  hat 
W.  Messerer  boaditlidie  Bedenken  angemeldet  (Xadir.  d.  Ak.  d. 
Wiss.  in  Gottingen  Phil. -Hist.  Kl.  1919  Nr.  2).  Ohne  zu  leugnen. 
dafi  die  Mandorla  hier  diristologisdien  Bezug  hat  und  Otto  als 
vicarius  Christi  herausstellen  will,  weist  Messerer  auf  an- 
dere  Beispiele  ottonischer  Buchmalerei  hin.  die  die  Mandorla  fiir 
die  (iottesmutter.  fiir  die  Evamrclisten.  ja  sogar  fiir  zwei  (nidit 
heilige)  Musiker  verwenden.  Wesentlidier  ist  jedodi  das  Band: 
Messerer  hiilt  es  fiir  eine  Sdiriftrolle.  die  die  Evangelisten  an  das 
Herz  des  Kaisers  halten.  um  der  auf  der  linken  Budiseite  befind- 
lidien  Dedikationssdirift  zu  entspredien:   Hoc,  auguste,  li- 


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FRIEDRICH  KEMPF  S.  J. 


bro/tibi  cor  induut  Deus,  Otto.  1st  diese  Deutung  lidi- 
tig,  so  wiirde  es  sidi  nicht  um  zwei  Naturen  des  Kaisers,  ja  nicht 
eiiiinal  um  zwei  Spharen  handeln.  denen  der  Kaiser  angehorte, 
sondern  um  eine  rein  menschlicbe  Sphiire.  worin  freilicb  der 
Kaiser  kraft  seines  hohen  Amtes  die  iibrigen  Sterblidien  iiber- 
ragte. 

Ein  interessanter  Exkurs  iiber  den  Nimbus,  soweit  er  auf 
Regenten-Abbildungen  ersdieint.  sddiefit  das  Kapitel  ab.  Nadi 
dem  Verfasser  bedeutet  er  die  Ewigkeit,  und  zwar  nidit  im  Sinne 
der  aeternitas  Dei,  sondern  des  den  Engeln  und  Logoi  eige- 
nen  aevum,  so  daR  es  wiederum  zu  einer  Doppelung  kommt: 
dem  Sein  des  Mensdien  in  der  Zeit  ist  eine  Seinssphare  im  Aevum 
hinzugegeben. 

II.  Die  grundlegende  Wandlung  der  Welt,  hervorgernfen 
durdi  die  gregorianisdie  Reform,  liefi  im  12. — I"?.  Jahrliundert 
langsam  ein  anderes,  reditlidi  ausgeriditetes  Konigtum  ersteheii. 
Es  konnte  an  die  im  antiken  ITerrsdierkult  und  in  der  Bibel  griin- 
dende  Idee  vom  Ilerrsdier  als  vicarius  Dei  ankniipfen.  Dieser 
bis  in  die  Karolingerzeit  gebraudite  Titel  wendete  sidi  im  9.  Jahr- 
hundert  infolge  der  Klerikalisierung  des  koniglidien  Amtes  und 
unter  dem  Einflufi  der  Kronungsordines  ins  Christologisdie:  der 
vicarius  Dei  wurde  zum  vicarius  Christi  der  ottoni- 
sdien  und  friihsalisdien  Zeit.  bis  dann  mit  der  Reform  die  Wiirde 
des  vicarius  Christi  von  der  kirddidien  Hierardiie  und  end- 
lidi  vom  Papsttum  allein  beansprudit  wurde.  Die  Cegenhewc- 
gung  blieb  nidit  aus:  auf  Grand  des  romisdien  Reditcs  und  an- 
tiker  Autoren  stellten  die  Ziviljuristen  den  Kaiser  als  Deus  in 
terris  —  vicarius  Dei  dem  Papste :  Christ  us  in  terris  — 
vicarius  Christi,  gegeniiber.  So  trat  an  die  Stelle  des  diristo- 
kratisdi  ver.standenen  Konigtums  die  Idee  einer  mehr  theokra- 
tisdi  verstandenen  Herrsdiaft;  das  friihere  liturgisdie  Konisrtum 
wurde  zum  Konigtum  durdi  gottlidies  Redit,  mehr  dem  Vater 
im  Ilimmel  nadigebildet  als  dem  Sohn  auf  dem  Altar.  Das  hatte 
zur  Eolge.  daR  die  Moglidikeiten.  die  die  Christologie  dem  Aus- 
bau  einer  gemina  persona  regis  boten.  nidit  weiter  ausge- 
wertet  wurden.  Da  sidi  aber  die  Entwifklun?  lana:sam  voll/.oir. 
gab  es  eine  Periode  des  ttbergansrs.  in  der  man  noch  eine  konig- 
lidie  auf  Christus  gegriindete  und  dodi  s(hon  irgendwie  siiku- 
larisierte  Mittlersdiaft  und  damit  eine  doppelte  Natur  des  Kcinigs 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalters  207 

festhielt,  aber  die  Idee  des  koniglidien  Priestertums  in  das  Redit 
kleidete  und  so  ein  neues  Verlialtnis  zu  Gereditigkeit  und  Ge- 
setz  gewann. 

AlseineninteressantenVertreterdiesesUbergangssiehtder  Ver- 
fasser Johann  von  Salisbury  an.  Eiir  Johann  ist  der  Kdnig  nidit  blofi 

imago  Christi.  sondern  audi  imago  aeq  u  i  t  a  t  i  s  (die  alten 
Ideen  gew.nnen  durd.   eine  leise  Verschiebung  zum  red.tlidien 
Aspekt  hin  einen  neuen  Inhalt) ;  er  ist  einerseits  legibus  so- 
lutus,  anderseits  leg  is    servus,  der  durdi  Verhiingung  der 
lodcsstrafe  nidit  sdiuldig  wird,  da  er  pe  r  s  ona  m  publ  i  cam 
gent.  Der  Gegensat/.  persona  publica  -voluntas  pri- 
vata.  der  keineswegs  die  Untersdieidung  persona  publica 
—  personaprivata  meint,  gibt  dem  Herrsdieramt  eine  dua- 
listisdie  Note:  die  persona  publica  des  Fiirsten  ist  legibus 
soluta    (imago  aequitatis)    und   zugleidi   legibus  alli- 
g  a  t  a  (s  e  r  v  a  a  e  cj  u  i  t  a  t  i  s).  Der  Fiirst  bedeutet  also  f ii r  Johann 
von  Salisbury  mehr  als  einen  gewohnlichen  Mensdien.  Die  Ge- 
reditigkeit herrsdit  in  ihni  und  durdi  ihn:  er  ist  ihr  Instrument 
und  zugleidi  ihre  Seele.  die  1  e  x  a  n  i  m  a  t  a.  Die  g  e  m  i  n  a  per- 
sona   regis  wird  durdi  das  Redit  widergespiegelt;  der  t^ber- 
gang  von  der  liturgischen  zur  juridisdien  Sphiire  zeidinet  sidi  ab. 
Viel  klarer  erscheint  die  neue  persona  mixta  des  Herr- 
sdiers  im  Liber  Augustalis  Friedridis  II..  vor  allem  in  Tit.  I.  "^l, 
wo    sowohl    das   kaiserliche   Gesetzgebungsredit    als   Quelle   der 
Justitia  wie  die  kaiserlidie  Pflidit.  das  Gesetz  zu  sdiiitzen.  her- 
vorgehoben  werden.  Dort  findet  sidi  audi  der  kiihne  .\ussprudi 
vom  Kaiser  als  pater    et  filius  justitiae.  et  maior  et 
minor   seipso.    Er   entspradi    dem    geistigen    Klima    politisdi- 
religioser  t!berheblidikeit.  das  die  Bologneser  Legisten  im  Wett- 
eifer  mit  theologisdion  Gedankengiingen  entwi(^velt  und  der  Ilof 
Friedridis  II.  iibernommen  hatte.  wo  man  die  Riditer  und  Juristen 
gleichsam    zu    Priestern    der   Gereditigkeit    erhob.    wo   man    die 
Reditspflege   religio    iuris  nannte.  von  der  ecclesia   im- 
perial's sprach   und  dem  Kaiser  den  Christus  zukommenden 
1  itel  Sol   Justitiae  gab.  Eine  soldie  Herrsdiertlieologie  hin'r 
nidit  mehr  vom  diristozentrischen  Konigtum.  sondern  vom  romi- 
sdien Redit  ab.  Die  Doppelfunktion  des  Kaisers  als  eines  Herrn 
und  Dieners  der  Gereditigkeit.  gesteigert  zu  der  Formulierung 
pater  et    filius  justitiae.   leitete  sidi.   wie  der  Verfasser 


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zeigt,  von  zwei  romiscJien  Reditsquellen  her,  von  der  lex  regia 
und  der  lex  d  i  g  n  a. 

Alldem  lag  eine  eigene  Justitia-Idee  zugrunde.  Sie  King  mit 
der  neuen    Reditsentwicklung   zusannnen,    die    zu   einer   wissen- 
sdiaftlidien   Jurisprudenz  mit  dem  eigenen   I'ornialobjekt  einer 
gleichsani  zur  Cotdieit  erhobenen  J  ii  s  t  i  t  i  a  mediatrix,  Mitt- 
lerin   zwisdien   gottlidiem    iind    irdisdiem    Redit,    fiiiirte    und   so 
eine  religio  iuris  ausbildete.  Um  dies  zu  zeigen,  gelit  der  Ver- 
fasser  der  Vorstellung  vom  Cesetzgeber  und  Riditer  als  Priester 
der  Gereditigkeit  nadi    (tlie  dem  justinianisdien  Redit  enlnom- 
mene  Idee  ist  sdion  im  Prolog  der  Assisen  Rogers  II.  zu  greifen); 
er  spridit  vom  Professionsstolz  der  Juristen  (sie  braudien  keine 
Theologie  mehr.  da  alles  im  Corpus  Juris  zu  finden  ist,  sie  nen- 
nen  sidi  nidit  nur  Priester.  sondern  audi  Crafen  und  Ritter.  stel- 
len  also  neben  die  militia  c  o  e  1  e  s  t  i  s  des  Klerus  und  die  m  i  - 
1  i  t  i  a  a  r  m  a  t  a  der  Ritter  eine  militia  1  i  1 1  e  r  a  r  i  a) ;  er  zeigt, 
wie  die  Stellung  des  Herrsdiers  an  der  Spitze  der  priesterlidien 
Geridits-  und  Reditshierardiie  gefestigt  und  erhoht  v^ird  durdi 
die  Ubernahme  des  justinianisdien  BegrifTs  vom  Kaiser  als  lex 
animata  und  die  aus  der  Nikomadiisdien  Ftliik  des  Aristoteles 
stammende  Vorstellung  vom  vollkommenen  Riditer  als  i  us  turn 
a  n  i  m  a  t  u  m  ,  die  dann  auf  den  Konig.  den  c  u  s  t  o  s  i  u  s  t  i .  ange- 
wandt  wird  und  ihn  zur  iustitia  animata.  viva  Giusti- 
zia  erliebt:   er   spridit   von   der    Mittlerstellung   des   Herrsdiers 
zwisdien  positivem  Rcdit.  an  das  der  Fiirst  nidit  gebunden   ist. 
und  dem  audi  ihn  bindenden  Naturretht  und  belegt  mit  alledem, 
wie  sehr  Friedridis  II.  Formulierung  pater  et   filius  justi- 
tiae  im  politisdien  Denken  der  Zeit  verankert  war.  Der  Uber- 
gang  vom  rex  gerens  typum  Christi   zuni   rex  gerens 
typum    lustitiae.    zum    Priestertum    nadi    der   Ordnun-z   Ul- 
pians  wird  damit  ofTenbar.  Zwar  bleiben  nodi  die  alten  diristolo- 
gisdien  Vorstellungen  erhalten.  aber  Friedridis  Formel  pater 
et   filius  jnstitiae  meint   etwas  anderes.   niimlidi    die   Per- 
sonifizierung  einer   gottlidi-mensdilidien    Idee,   die   nidit   in   der 
Polaritat   Natur— Gnade   steht.   sondern    in    der    von    Naturredit 
und  positivem  Redit.  Natur  und  Mensdi.  Ratio  und  Societas.  also 
in  der  Dualitat  von  Universalideen. 

Die  Frage.  ob  der  BegrifF  des  iiber  und  zugleidi  unter  dem 
Gesetz  stehenden  Konigs  damals  ernst  genommen  wurde    fiihrt 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalters  209 

den  Verfasser  dazu,  die  Gedankenwelt  Braetons,  eines  Zeitge- 
nossen  I^  riedr.dis  II.,  zu  untersudien.  Obwohl  diesem  nuditernen 
Fnglander  die  hohen  Ideen  Friedridis  fernliegen,  kennt  er  doch 
das  1  roblem:  Konig  und  Gesetz.  In  Fngland  herrsdite  damals  die 
lendenz  vor,  den  Konig  sogar  unter  das  positive  Gesetz  zu  stel- 
len,  Bracton  dagegen  untersdieidet  zwisdien  g  u  b  e  r  n  a  e  u  1  u  m  . 
wo  der  Kiinig  absolut  ist.  und  der  iurisdictio,  uber  die  der  Kiinig 
keine  Gewalt  hat.  Indem  er  aber  die  iurisdictio  unlosbar 
mit  der  Krone  und  Konigswiirde  verbindet.  weist  er  nadi  Ansicht 
des  Verfassers  dem  Konig  eine  Stellung  iiber  dem  Gesetz  zu.  die 
freilidi  einen  legalen.  vom  Gesetz  garantierten  Zustand  bedeutet. 
Das  Prinzip  1  e  x  f  a  c  i  t  regem  hat  also  audi  eine  andere  Seite. 
Zu  der  Streitfrage.  ob  Bracton  den  Satz  omnia  iura  in  scri- 
nio  regis  inclusa  bejaht.  bemerkt  der  Verfasser,  dafi  zum 
mindesten  das  von  Bracton  vorgesehene  consilium  nicht  ein- 
fadihin  das  koniglidie  Redit  mindere,  da  es  der  koniglidien  Au- 
torisation  bediirfe.  damit  das  Gesetz  reditskriiftig  werde.  Die  bei- 
den  Prinzipien  vom  konigmadienden  Gesetz  und  vom  gesetz- 
machenden  Kiinig  bedingen  sidi  gegenseitig;  insofern  ist  der 
Konig  Sohn  und  zugleidi  Vater  des  Gesetzes.  Bracton  besdirankt 
und  erhoht  die  koniglidie  Gewalt:  der  Konig  ist  vicar  i  us 
Dei.  insoweit  er  gemiifi  dem  Gesetz  handelt.  Wie  Christus  sidi 
dem  Kaisergesetz  unterworfen  hat.  so  kann  audi  ein  Konig  nur 
als  s  e  r  V  u  s  1  e  g  i  s  d  o  m  i  n  u  s  1  e  g  i  s  sein.  In  der  .\usiilning  der 
Justiz  vicarius  Dei,  untersdieidet  er  sidi  als  Kliiger  nidit  vom 
letzten  Untertan.  Das  Vikariat  bezieht  Bracton  wohl  auf  Gott- 
Vater:  denn  das  Vikariat  Christi  spridit  er  den  vice  regis 
handelnden  Riditern  zu. 

AuHerdem  besitzt  fiir  Bracton  der  Konig  im  Fiskus  eine  Fin- 
riditung,  die  ihn  iiber  das  Personli(he  und  iiber  die  Zeit  hinaus 
in  die  Perpetuitiit  der  unpersonlidien  offentlidi-reditlidien  Sphiire 
hebt.  Denn  das  fiir  die  Krongiiter  formulierte  Prinzip  nullum 
<  e  ni  p  u  s  (p  r  a  e  s  c  r  i  p  t  i  o  n  i  s)  c  u  r  r  i  t  contra  regem  wird 
audi  von  Bracton  verteidigt.  wiihrend  er  fiir  andere.  mit  dem 
Konigsamt  nidit  direkt  verbundene  Besitzungen  des  Herrsdiers 
eine  Praescriptio  zuliilit.  Fs  liegt  damit  eine  Sdieidung  vor  zwi- 
sdien dem  KiJnig  als  Feudalherrn  (personlidie  Giiter).  der  wie 
jeder  andere  Besitzer  der  Zeit  und  der  Praescriptio  unterworfen 
ist.  und  dem  Kiinig  als  Inhaber  der  Krongiiter  (Fiskus).  die  nidit 

14 


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FRIEDRICH  KEMPF  S.  J. 


veriiufierlidi,  nidit  ersitzbar  sind  und  den  Konig  in  die  Perpetui- 
tat  heben.   Von   spateren   Legisten  wird   dem   1  iskus   sogar   die 
ubiquitas  zugeschrieben,  also  in  einer   Weise  behandelt,  die 
anaioge  Vergleidie  mit  gottlidien  Eigenschaften  erlauben.  Dazu 
kam   die   sdion   im  justinianisdien   Redit   gesidierte    lOOjiihrige 
Praescriptio-Vorsdirift  fur  Besitz  der  romisdien  Kirdie  und  die 
ebenda  zu  findende  dffentlidi-reditlidie  Behandlung  sowohl  der 
res  sacrae  wie  der   res  communes   vel   publicae.   Die 
mit  dem  12.  Jahrhundert  einsetzende  Ausbildung  des  Fiskus  hatte 
zur  Folge,  dafi  man  die  Unveraulierlidikeit  der  Kirdiengiiter  und 
die  sie  betreffenden   Praescriptio-Bestimmungen  von  staatlidier 
Seite  fur  die  Fiskalguter  beansprudite.  Das  fuhrte  zu  einer  Par- 
allele  zwisdien  Christus  (Kirdiengiiter)  und  Fiskus;  sie  iiuHerte 
sidi   z.  B.    in    dem   Reditssatz:    quod    non    capit   Christus, 
cap  it  fiscus.  Bracton  steht  mitten  in  dieser  Entwicklimg:  er 
untersdieidet  die  r  e  s  s  a  c  r  a  e  (b  o  n  a  D  e  i)  von  den  r  e  s  q  u  a  s  i 
sacrae    (bona   fisci);   beide   sind    bona   nullius,   niimlidi 
nidit   Eigentum   eines    individuellen    Mensdien.    sondern    Cottes 
(der  Kirdie)  oder  des  Fiskus.  Denkt  man  diese  Lehre  weiter.  so 
fuhrt  sie  zur  Annahme  einer  juridisdien  fiktiven  Person,  die  den 
Wediselfiillen  der   Zeit   entzogen   ist.   Jedenfalls   zeigt   Bractons 
Lehre  das  klare  Bestreben.  die  offentlidi-reditlidie  Sphiire  des 
Staates  neben  jene  der  Kirdie  zu  stellen.  Diesen  allgemeinen  Zug 
der  Zeit  verfolgt  der  Verfasser  im  folgenden  Kapitel   iiber  das 
politisdi  zentrierte  Konigtum  und  den  damit   zusammenhangen- 
den  Begriff  des  Corpus  mysticum. 

III.  Der  Austausdi  zwisdien  Regnum  und  Sacerdotium  geht 
nadi  dem  Investiturstreit  weiter,  nur  verlegt  sidi  jetzt  der 
Sdiwerpunkt  von  den  individuellen  Wiirden  auf  kompakte  Kom- 
munitaten.  die  fur  die  Struktur  und  das  Verstandnis  der  beiden 
Gemeinschaften  der  Kirdie  und  des  Staates  legale  und  konstitu- 
tionelle  Probleme  aufwerfen.  Die  Kirdie  ging  voran;  sie  strebte 
danadi,  eine  edite  absolute  und  rationale  Monardiie  auf  mysti- 
sdier  Basis  zu  entwidveln.  Der  rivalisierende  Staat  setzte  das  Be- 
muhen  entgegen.  eine  quasi-Kirdie  oder  eine  mystisdie  Korpo- 
ration  auf  rationaler  Basis  zu  werden. 

Zunadist  behandelt  der  Verfasser  den  Begriff  der  Kirdie  als 
corpus  Christi  mysticum.  Erst  im  9.  Jahrhundert  aufge- 
kommen,  wird  er  vorerst  fur  die  Eudiaristie  gebraudit.  wiihrend 


Einwirkcn  dor  Theologie  auf  die  Staalslehrc  des  Mittelalters  211 

man  die  Kirdie  im  AnsdiluH  an  Paulus  co  r  p  us  C  h  r  i  s  t  i  nann- 
te    Im   12.  Jahrhundert  kehrte  sidi  das  Verhaltnis  urn:  corpus 
Christi  Oder  corpus  verum.  naturale  bedeutet  jetzt  die 
hudiaristie,  c  o  r  p  u  s  C  h  r  i  s  t  i  m  y  s  t  i  c  u  m  dagegen  die  Kirdie. 
AuHer    der    Lehre    von    der    eudiaristisdien    Realprasenz.    einer 
F  rudit  des  Streites  mit  Berengar  von  Tours,  hat  hier  vielleidit 
die  Absidit  mitgespielt.  durdi  das  Beiwort  ..mvstisdi"  die  litur- 
gisdi-sakramentale  Sphiire  der  Kirdie  gegenuber  der  sidi  miiditig 
entfaltenden  Reditsgestalt  der  siditbaren  Kirdie  in  Frinnerung 
zu  bringen.  anderseits  sollte  unter  Umstanden  auf  diese  Weise 
die   Kirdie  den   weltlidi-politisdien.  urn  ihre  Sakralisierun-  be- 
miihten  Cebilden  —  man  denke  nur  an  Barbarossas  Sakralisie- 
rung  des   Imperiums  —     als  ein  unabhangiger  heiliger  Redits- 
korper  konfrontiert  werden.  Um  die  Wende  zum  13.  Jahrhundert 
gewinnt  der  neue  Begriff  langsam  an  Festigkeit.  dodi  wird  im- 
mer  nodi  das  c  o  r  p  u  s  C  h  r  i  s  t  i   m  y  s  t  i  c  u  m  der  Kirche  in  sei- 
ner   organisdien    Verbindiing    mit    dem    corpus    personale 
Christi  der  Eudiaristie  gesehen.  Dafi  diese  Verbinduni  nidit 
bestehenblieb,   hatte  seine  besondere   Ursadie.   Bekanntlidi   be- 
miihte  sidi  die  damalige  Zeit  eifrig  um  den  Ausbau  einer  Theorie 
der  korporativen  und  organisdien  Struktur  menschlidier  Gemein- 
sdiaftsformen.    wobei    sie    gerne    auf   das    anthropomorphe.    der 
Antike  und  Paulus  gelaufige  Bild  des  aus  Haupt  und  Gliedern 
bestehenden    Korpers    zuriic-kgriff.    Auf    die    Kirdie    angewandt. 
lod^erte  diese  rein  soziologisdie  Betraditung  zusehends  die  Ver- 
bindiing mit  der  sakramental-eudiaristisdien  Sphiire.  Thomas  von 
Aquin  geht  s(hon  so  well,  dafi  er  ofters  nidit  mehr  vom  corpus 
Christi    mysticum.    sondern    vom    corpus    ecclesiae 
mysticum    spridit     und   so   die    Kirdie   als   einen   mystisdien 
Korper  eigenen  Redits.  eine  mystisdie  Korporation  faRt.  Von  da 
war  es  nur  nodi  ein  kleiner  Sdiritt.  das   corpus   iuridicum 
ecclesiae  mit  dem  corpus  mysticum  ecclesiae  zusam- 
menfallen  zu  lassen  und  dadurdi  nadi  des  Verfassers  Ansidit  den 
Begriff    des    corpus    mysticum    zu   sakularisieren.    Obwohl 
Thomas  die  Verbindung  mit  der  sakramentalen  Sphiire  nidit  auf- 
gab.   hat  er  dodi   an   einer  Stelle  erkliirt:   Dicendum    quod 
caput  et  membra  sunt  quasi   una  persona  mystic  a. 
Unter  persona  m  y  s  t  i  c  a  versteht  der  Verfasser  nidits  anderes 
als  die  juristisdie   Abstraktion  der  persona  ficta  oder   re- 


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praesentata,  womit  die  zeilgencissisdien  Juristen  die  mensdi- 
I'uhen  Gemeinsdiaftsformeii.  audi  und  gerade  die  Kiidie,  erfas- 
sen  woUten.  und  meint  daher,  Ihoinas  liabe  durdi  Ubernalinie 
dieses  juiistisdien  BegrifTes  den  verliangnisvollen  ProzeH  vor- 
aiigetrieben,  der  im  Sinne  Solims  die  Kirdie  aus  dem  Kiirper 
Christi  in  eine  Kiirpersdiaft  Christi  verwandelt  liabe. 

Das  Verhangnis  dieser  I3egeneration  sieht  der  Verfasser  ans 
helle  Lidit  treten  in  den  publizistisdien  Streitsdiriften  des  aus- 
gehenden  13.  und  beginnenden  14.  Jahrhunderts.  Die  Kirdie  er- 
sdieint  da  als  ein  irdisdies.  mit  jeder  anderen  irdisdien  Gemein- 
sdiaftsform  vergleidibares  Politicum:  als  regnum  ecclesia- 
sticum,  principatus  apostolicus.  wo  der  Papst  die 
plenitude  potestatis  besitzt  quasi  rex  in  regno  suo. 
wo  er  die  Stelle  des  primus  movens  et  regens  totani 
politiam  christi  a  nam  einnimmt.  er.  das  Haupt  nidit  nur 
des  corpus  ecclesiae.  sondern  audi  des  corpus  Christi 
mysticum;  denn:  summus  pontifex  dici  potest  ec- 
clesia  (Aegidius  Roinanus) :  ja  sogar:  corpus  Christi 
mysticum  ibi  est.  ubi  est  caput,  scl.  papa  (Alvarus 
Pelagius).  das  nadi  dem  Verfasser  bedeutet:  nicht  mehr  wo  der 
konsekrierte  Leib  des  Herrn.  sondern  wo  der  Papst  ist.  ist  die 
Kirdie.  Ockham  nennt  sogar  die  Kirdie  einmal  einfadihin  cor- 
pus Dei.  eine  Auffassung.  die  Paulus  de  Castro  (t  1-439)  zu  der 
Formulierung  fiihren  konnte:  (ecclesia)  universitas  re- 
praesentans  personam  quae  nunquam  potest  dici 
vixisse.  quia  non  est  corporalis  nee  mortalis,  ut 
est  Deus.  So  stehen  sidi  streng  getrennt  gegenuber  einerseits 
das  c  o  r  p  u  s  m  y  s  t  i  c  u  m  e c cl e  s  i  a  e  .  das  mehr  und  mehr  sei- 
nes mystisdien  Charakters  entkleidet  und  zu  einem  politisdien 
Korper  dieser  Welt  wird.  anderseits  der  individuelle  Kiirper 
Christi.  den  hier  auf  Erden  die  Eudiaristie  in  sidi  birgt  und  fur 
den  sifh  ein  eigener  eudiaristisdier  Kult  entwirkelt. 

Viellei(ht  hatte  der  Verfasser  gut  getan.  sidi  lediglidi  an  die 
Lehre  zu  halten.  die  in  erster  Linie  die  Kanonisten  fiir  die 
Reditsstruktur  der  siditbaren  Kirdie  herausgearbeitet  haben: 
denn  hier  lag  der  Beriihrungspunkt  mit  den  rivalisierenden 
Kronjuristen.  Im  BegrifF  des  corpus  Christi  mvsticum 
interessierte  die  Kanonisten  vor  allem  das  anthropomorphe  Bild 
des  Korpers.  Kam  es  ihnen  dodi  darauf  an.  die  siditbare  Kirdie 


Einwirken  der  Tlieoiogie  auf  die  Staatslehre  des  Mittelalters  213 

als  eine  korpergleidie,  aus  Haupt  und  Gliedern  bestehende  Ge- 
meinsdiaft  zu  erfassen.  Unter  dem  Haupt  verstanden  sie  in  erster 
Linie  den  Papst,  well  fur  die  Reditsgemeinsdiaft  der  siditbaren 
Kir(he  die  Relation  zwisdien  Christus  und  den  Gliiubigen  eine 
verborgene  Wirklidikeit  bedeutet.  Das  Beiwort  mysticum  be- 
hielt  zwar  audi  bei  ihnen  den  iiblidien  sakramental-gnadenhaften 
Sinn,  aber  ihrer  spezifisdi  juridisdien  Denkweise  entsprach  dodi 
mehr  der  gleidifalls  iiblidie  Nebensinn.  daii  niimlich  der  Korper 
der  Kirdie  nidit  eine  physisdi-wirklidie.  sondern  eine  moralisdi- 
geistige  Kinheit  sei.  So  gelangten  sie  zum  Begriff  der  Kirche  als 
einer  persona  moralis.  und  dies  war  eine  wertvolle  Er- 
kenntnis:  denn  die  sozialen  Gebilde  besitzen  auf  Grund  des  per- 
sonalen  Charakters  ihres  Ursprungs  tatsiidilidi  ein  moralisdies 
personales  Sein.  Nur  hiitten  sie  die  korporative  Personenhaftig- 
keit  der  Kirdie  nidit  als  Reditsfiktion  (persona  ficta).  son- 
dern als  ontologische.  im  intentionalen  Sein  wurzelnde  Wirklich- 
keit  ansehen  soUen.  So  verhiingnisvoll  sidi  dies  ausgewirkt  ha- 
ben mag.  so  ging  es  dodi  blofi  um  einen  Mangel  an  metaphysi- 
sdiem.  nidit  an  religiosem  Denken.  Eine  Siikularisationsersdiei- 
nung  liige  nur  dann  vor.  wenn  die  Kanonisten  ihren  Teilaspekt. 
niimlidi  die  Betraditung  der  siditbaren  Kirdie  als  Reditsgemein- 
sdiaft. verabsolutiert  hatten.  wenn  sie  das  iibernatiirlidie  Wesen 
und  Ziel  der  Kirdie.  ihre  Verbundenheit  mit  Christus  und  die 
gnadenhafte  Gemeinsdiaft  der  Glieder  untereinander  hatten 
leugnen  woUen.  w^as  ihnen  sidier  nidit  in  den  Sinn  kam.  Nidit 
hier  lag  das  Verhangnis  ihrer  gedanklidien  .\rbeit.  sondern  da- 
rin.  daR  uni  1230  die  hierokratisdie  Lehrmeinung  bei  ihnen  die 
Oberhand  gewann.  auf  die  romisdie  Kurie  einwirkte  und  dafi 
die  nun  unvermeidlichen  Kampfe  mit  dem  zur  Souveranitat  stre- 
benden  Staat  den  juristisdi-soziologisdien  Aspekt  der  Kirdie 
einseitig  in  den  Vordergrund  riickten. 

Neben  der  kanonistisdien  will  die  theologisdie  Spekulation 
beaditet  sein.  Ihrer  grofien  Leistung  auf  ekklesiologisdiem  Ge- 
biet  diirfte  der  Verfasser  nidit  ganz  geredit  werden.  Wenn  es 
audi  wahr  ist.  dafi  die  sdiolastisdie  Theologie  mit  ihrer  meta- 
physisdi-statisdien  Betraditungsweise  die  dynamisdi  bestimmte 
augustinisdie  Lehre  vom  eudiaristisdien  Herrenleib  als  der  ver- 
borgenen  Wirklidikeit  des  ekklesiologisdien  Leibes  nidit  mehr 
redit  zu  fassen  wufite.  sondern  die  Eudiaristie  durdi  die  Kate- 


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FRIEDRICH  KEMPF  S.  J. 


gorien  von  Ursadie  unci  Folge  mit  der  Kirdie  verband  und  nadi 
ihrer  Hodibliite  nidit  mehr  die  geistige  Kraft  besafi,  die  kirdien- 
bildende  Kraft  der  Eudiaristie  geniigend  zu  berUds.sitbtigen,  so 
daH  Kirdie  und  Kudiaristie  seit  dem  14.  Jahrhundert  auseinander- 
Iraten,  so  sollten  vvir  dariiber  nidit  die  tiefen  Erkenntnisse  ver- 
gessen,  die  sie  fiir  das  Verhiiltnis  von  Christus  und  Kirdie  sowie 
fiir  die  gnadenhafte  Verbundenheit  der  Christen  untereinander 
gewonnen  hat.  Das  gilt  vor  allem  fiir  Thomas  von  Aquin,  und  es 
liegt  wohl  eine  Fehldeutung  vor.  wenn  der  Verfasser  in  der  an- 
gezogenen  Stelle,  die  Christus  und  die  Cliiubigen  zu  einer  Art 
mystisdier  Person  zusammenfaRt.  an  eine  Cbernahme  der  kano- 
nistisdien  persona-ficta-Lehre  denkl.  Vielmehr  diirfte  hier  1  homas 
die  augustinisdie  Doktrin  anzielen.  die  Christus  und  die  Christen 
als  eine  Person  begreift.  um  Christus  als  das  bh  der  Kirdie  und 
den  Trager  der  sakramentalen  und  lehrenden  Tiitigkeit  der  Kir- 
die herauszustellen.  (Vgl.  M.  Sdiniaus,  Katholisdie  Dogmatik  IV'~* 
293;  296;  298 — 306.)  Und  wenn  Thomas  vom  corpus  eccle- 
siae  mysticum  spridit.  so  dodi  nur.  weil  fiir  ihn  die  sidilbare, 
hierardiisdi  aufgebaute  und  die  gnadenhaft-sakramentale.  diri- 
stusverbundene  Kirdie  eine  untrennbare  Einheit  bilden.  Fiir 
Sohm  ist  freilidi  eine  soldie  Einheit  ein  Crenel,  aber  sein  Apriori: 
das  Redit  und  somit  die  Rechtskirdie  widerspriichen  dem  Wesen 
der  Kirdie.  und  seine  darauf  fufiende  These  vom  groRen.  im  12. 
bis  13.  Jahrhundert  vollzogenen  Slindenfall  der  katholis(hen  Kir- 
die werden  selbst  von  zahlreidien  niditkatholisdien  Forsdiern  ab- 
gelehnt. 

Es  war  der  kanonistisdie  Begriff  von  der  siditbaren  Kirdie 
als  eines  politisdien  Korpers.  an  den  der  konkurrierende  Staat 
ankniipfte:  er  entwickelte.  wie  der  Verfasser  weiterliin  ausfiihrt. 
die  Idee  eines  corpus  reipublicae  mysticum.  Der  Aus- 
drudv  findet  sidi  sdion  bei  Vincenz  von  Beauvais  um  die  Mitte 
des  13.  Jahrhunderts.  Oft  heiRt  es  im  Spatmittelalter  einfadi  cor- 
pus mysticum.  worunter  zuniidist  die  Totalitiit  der  diristli- 
dien  Gesellsdiaft  in  ihrer  organischen  Zusammensetzung  zu  ver- 
stehen  ist.  Unter  Einwirkung  der  juridisdien  Lehre  von  der  Kor- 
poration  als  einer  fiktiven  Person  bedeutet  jedodi  corpus  my- 
stic u  m  soviel  wie  corpus  fictum.  imaginatum.  re- 
praesentatum.  Die  Juristen  wandten  das  Wort  c  o  r  p  u  s  m  y  - 
sticum  auf  jede  Art  von  universitas  an:  auf  Dorf.  Stadt, 


Einwirkcn  tier  Theologie  auf  die  Staalslehre  des  Mittelalters 


215 


Provinz,  Konigreidi,  Welt.  Eine  weitere  Moglidikeit  bot  der  ari- 
stotelisdie  Begriff  des  corpus  morale  et  politicum.   der 
dem   corpus  mysticum  et  spirituale  der   Kirdie  gegen- 
iibergestellt  werden  koiiiite.  lieide  BejAiilTe  liellen  sidi  versolinen; 
so  ist  z.  B.  fiir  Ciottf ried  von  I'ontaines  das  corpus  mysticum 
nitht  mehr  eine  iibernatiirlidie,  sondern  gemiifi  der  Sozialnatur 
des   Mensdien   eine   natUrlidie   Gegebenheit.   Auf   diesem   Wege 
w urden  corpus  mysticum  und  corpus  morale  et  poli- 
ticum auswediselbare  Begriffe.  Infolgedessen  gewann  um   1300 
die  im  Altertum  nidit  unbekannte.  aber  im  friiheren  Mittelalter 
nur  fiir  Bisdiof  und  Kirdie  verwendete  Metapher  von  der  geist- 
lidien  Ehe  des  Herrsdiers  mit  seinem  Reidi  wieder  Bedeutung. 
Es  ist  ein  matrimonium  morale  et  politicum;  ...  sicut 
ecclesia   est    in   praelato  et   praelatus   in   ecclesia, 
it  a  princeps  in  republica  et  respublica  in  principe, 
sdireibt  Lucas  de  Penna.  um  die  Unveraufierlidikeit  der  Fiskal- 
giiter  (d  o  s)  zu  beweisen:  denn  wie  die  Kirdie,  ist  die  respublica 
ein  corpus,  und  wie  in  der  Ehe  der  Mann  das  Haupt  des  Wei- 
bes.  das  Weib  der  Korper  des  Mannes  ist,  so  der  Herrsdier  das 
Haupt  der  respublica  und  die  respublica  sein  Korper.  Im 
Frankreidi  des  Spiitmittelalters  spielten  beide  Vergleidie.  der  des 
corpus   mysticum   und    der   des   matrimonium   politi- 
cum. eine  nidit  geringe  Rolle.  In  England  wurde  hauptsiidilich 
der  Begriff  des  corpus  mysticum  gebraucht:  er  bedeutete 
den  durdi  Konig.  Rat  und  Parlament  zusammengesetzten  staat- 
lidien  Korper.  1401  verglidi  sogar  ein  Spredier  das  corpus  po- 
liticum: Konig  —  geistlidie  und  weltlidie  Lords  —  Commons, 
mit  der  Trinitiit  und  das  Parlamentsverfahren  mit  der  hi.  Messe! 
Als  Ileinridi  Vlll.  die  englisdie  Kirdie  nationalisierte.  hielt  ihm 
Kardinal  Pole  vor.  er  behandle  die  Kirdie  als  corpus  politi- 
cum, und  sie  sei  dodi  das  corpus  Christ  i. 

In  einem  Unterabsdinitt  besdiiiftigt  sidi  der  Verfasser  mit 
einem  anderen  Zentralbegriff  und  ubersdireibt  ihn:  p  r  o  pa  t  r  i  a 
mori.  Das  Regnum  als  patria  war  im  Friihmittelalter  nodi 
nidit  Gegenstand  politisdi-religiiJser  Hingabe:  pa  t  r  ia  bedeutete 
damals  die  engere  Heimat  oder  das  Paradies.  Erst  im  13.  Jahr- 
hundert gewann  langsam  das  ganze  Konigreidi  den  Sinn  von 
Vaterland.  und  zwar  mit  einer  religiosen.  vor  allem  inFrankreifh 
anzutreffenden  Fiirbung.  Der  Gedanke  des  Lebensopfers  ergriff 


T 


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216 


FRIEDRICH  KEMPF  S.  J. 


die  Massen  mit  den  Kreuzziigen,  wo  freilidi  die  Hoffnung  mit- 
sdiwang,  daii  der  im  Kampf  fallende  Kreuzfahrer  als  Martyrer 
sofort  ins  Paradies  gelange.  Verbunden  war  damit  das  Motiv  der 
caritas,  das  moripro  fratribus.  Erst  im  13.  Jahrhundert 
fand  die  Fugend  der  Caritas  den  Weg  ins  Politisdie,  so  etwa  bei 
Tolomeo  di  Lucca :  amor  patriae  in  radice  caritatis 
fundatur.  Seit  Thomas  von  Aquin  wurde  das  Patria-Problem 
oft  behandelt.  Natiirlidi  enthielt  audi  das  romisdie  Redit  viele 
patriotisdie.  von  den  Juristen  glossierte  Stellen.  Widitig  ist  dort 
vor  allem  die  Romidee.  die  von  den  Legisten  bald  auf  die  indivi- 
duellen  Monarchien  iibertragen  wurde.  llumanistisdie  Elemente. 
wie  heros.  amor  patriae,  flossen  erst  ein.  nadidem  die  Pa- 
tria-Idee  Gestalt  gewonnen  hatte.  Das  mori  pro  patria  hatte 
einen  lialb  religiosen  Sinn,  einmal  weil  die  kirddidie  Miirtyrer- 
idee  einwirkte  und  dann  weil  iiberhaupt  kirdilidie  Formen  dem 
weltlidien  politisdien  Korper  angeglidien  wurden.  Besonders  ist 
hier  Frankreidi  zu  nennen;  es  hat  die  Krafte  des  religiosen  Ge- 
f  iihls  systematisdi  f iir  das  corpus  r  e  i  p  u  b  1  i  c  a  e  m  y  s  t  i  c  u  m 
ausgebeutet. 

Zum  SchluR  des  Kapitels  stellt  der  Verfasser  die  Frage.  ob 
und  inwieweit  der  Begriff  des  duplex  corpus  Christi  auf 
dieZwei-Korper-Lehre  derTudorzeit  eingewirkt  habe.  und  meint, 
trotz  zahlreichen  Analogien  sdieine  der  organisdie  Begriff  der 
Gemeinsdiaft  von  selbst  zur  Theorie  der  Two  Bodies  gefiihrt  zu 
haben.  Er  halt  es  daher  fiir  ergiebiger.  nadi  der  d  i  s  s  i  m  i  1  i  - 
tudo  analogiae  zu  fragen.  Die  Zeitlosigkeit  des  corpus 
mysticum  Christi  war  durdi  die  dem  gottmensdilidien 
Haupt  zukommende  Ewigkeit  gegeben.  wogegen  der  Konig  ein 
sterblidier  Mensdi  war.  Die  ihm  in  der  Tudorzeit  zugesdiriebe- 
nen  Eigensdiaften  der  Unsterblidikeit.  Unsiditbarkeit.  Allgegen- 
wart  usw.  muRten  daher  dem  Konig  aus  einer  anderen  Quelle 
zufliefien.  Diese  Quelle  sieht  der  Verfasser  in  der  u  n  i  v  e  r  s  i  t  a  s 
quae  nunquam  moritur. 

IV.  Deswegen  widmet  er  das  folgende  Kapitel  dem  Problem 
der  Kontinuitiit  und  der  Korporationen.  Das  Problem  der  Kon- 
tinuitat  ist  durdi  das  Aufleben  der  aristotelischen  Philosophie 
neu  in  FIuR  geraten.  Obwohl  die  philosophisdie  Diskussion  iiber 
Zeit  und  Ewigkeit  mit  der  konstitutionellen  und  politisdien  Kon- 
tinuitatsfrage  an  sidi  nidits  zu  tun  hat.  hilft  sie  dodi  dem  Histo- 


Einwirkeii  der  Theologie  auf  die  Staatslehre  des  Mittelalters  217 

riker  die  geistige  Krise  erkennen,  in  der  die  Menschen  von  da- 
mals  ein  ganz  neues.  mehr  der  Erde  verhaftetes,  bis  in  unsere 
Tage  reidiendes  Verhaltnis  zur  Zeit  gewonnen  haben.  Hatte  die 
augustinisdie  Philosophie  die  Zeit  wegen  ihres  vergiinglidien 
Charakters  gegenuber  der  Ewigkeit  abgewertet,  so  hielt  sich 
jetzt  die  aristotelisdi-sdiohistisdie  Spekuhition  an  das  der  Zeit 
wesenhafte  Element  der  Dauer.  die  in  der  fliefienden  Bewegung 
durdihiilt  und  daher  als  ewige  Fortdauer  gedadit  werden  kann, 
natiirlidi  nidit  fiir  das  individuelle.  dem  Tod  verfallene  Lebe- 
wesen.  sondern  fiir  die  Gattung.  der  das  Individuum  angehort 
und  der  also  die  Moglidikeit  offensteht.  sidi  in  der  Folge  der 
Generationen  —  zum  mindesten  der  Mensdien  —  standig  zu  ver- 
vollkommnen.  Mit  dieser  neuen  Haltung  zur  Zeit  diirfte  es  zu- 
sammenhangen.  daf?  fortan  der  abendlandisdie  Mensdi  in  stei- 
gendem  MaRe  begehrte.  in  der  \adiwelt  durdi  Ruhm  und  ewiges 
Gediifhtnis  fortzuleben:  die  mittelalterlidien  Juristen  bringen 
hierfiir  hodist  interessante  Aussagen.  Aber  die  sdiolastisdie  Phi- 
losophie bot  nodi  eine  andere  llandhabe.  um  die  Ewigkeit  in  die 
gesfhaffene  Welt  hineinzuziehen:  Zwisdien  die  Gott  allein  zu- 
kommende aeternitas  und  das  dem  Mensdien  gemaRe  tem- 
pus  stellten  sie  niimlidi  die  Existenzweise  der  Engel.  den  Zeit- 
raum  des  aevum.  wo  das  Sein  nidit  im  Nadieinander.  sondern 
einmal  und  fiir  inimer  besessen  wird  und  dodi  als  gesdiaffenes 
Sein  einen  Anfang  hat  und  an  sidi  audi  ein  Ende  haben  kann. 
Die  Engellehre  war  den  Juristen  um  so  willkonimener.  als  die 
Sdiolastik  fiir  rein  geistige  Wesen  die  Vervielfaltigung  aussdiloR 
und  daher  jeden  Engel  als  eine  in  sidi  stehende  Spezies  betradi- 
ieie.  So  fanden  die  Juristen  in  den  ?]ngeln  alles.  was  sie  fiir  ihre 
personae  fictae.  fiir  die  kollektiven  Abstrakta  ihrer  uni- 
versitates  brauthten:  sie  waren  wie  die  Engel  unsiditbar.  un- 
yeriinderlith  und  im  Sinne  des  Aevum  zeitlos  ewig.  ja  sogar 
unter  bestimmter  Hinsidit  iiberall  gegenwartig;  sie  waren  cor- 
pora intellect  u  alia,  mystica.  den  Engeln  vergleidibar. 
Aus  der  spekulativen  Sphare  begibt  sidi  dann  der  Verfasser 
in  den  Bereidi  der  Realitiiten.  Er  weist  darauf  hin.  wie  der  Staat 
das  ihm  von  der  Kirdie  zugestandene  Retht.  in  casu  necessi- 
tatis Steuern  zu  erheben.  durdi  das  Motiv  der  perpetua  ne- 
cessitas  mit  endloser  Dauer  ausstattete:  wie  sdion  im  15.  Jahr- 
hundert das  Institut  der  Gesandten  die  Tendenz  zeigt.  zu  einer 


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218 


FRIEDRICH  KEMPF  S.  J. 


standigen  Einrichtung  zu  werden;  und  wie  man  in  den  aufkom- 
menden,  nadi  Jahren  gefUhrten  staatlidien  Verwaltung.sregistern 
wiederum  das  Streben  nadi  Permanenz  erblicken  darf.  Wichtiger 
ist  ihm  jedo(^l  die  Lehre  vom  unsterblichen  Imperium,  die  dem 
Unsterblidikeitsglauben  der  Kirdie  entgegengestellt  und  mit  Ge- 
dankengiingen  teils  theologisdien  (4  Weltreidie  usw.).  teils  ro- 
misdi-reditli(1ien  Urspiungs  (von  der  lex  regia  zuin  Prinzip: 
populus  Roman  us  non  moritur)  gestiitzt  wind,  um  schlieH- 
lich  auf  jedes  Volk  und  auf  jeden  Staat  Anwendung  zu  linden, 
sei  es  durdi  Ubertragung  der  Imperiumsidee,  sei  es  mit  Hilfe 
aristotelisdier  Prinzipien.  Nodi  umfassender  wirkte  sic^l  der 
Grundsatz  aus:  universitas  non  moritur.  Lnsterblidi  ist 
die  universitas,  weil  sie  nidit  eine  pluralitas  in  unum 
corpus  collecta,  sondern  eine  pluralitas  in  succes- 
sione  bedeutet  und  in  ihrem  abstrakten  Sein  der  Zeit  entriickt 
ist.  Damit  stellte  sidi  jedodi  die  Frage.  wer  das  TIaupt  der  uni- 
versitas sein  konne.  An  sidi  bot  die  universitas  den  Aspekt 
sowohl  der  gleidizeitig  lebenden  als  auch  der  aufeinander  folgen- 
den  Glieder.  Von  den  beiden  Moglidikeiten  wurde  der  Gesidits- 
punkt  der  sukzessiven  Folge  ergriffen  und  eine  korporative  Per- 
son konstruiert.  die  alle  gewesenen.  gegenwartigen  und  kiinfti- 
gen  Glieder  in  sidi  und  durdi  sidi  repriisentierte.  Man  baute  also 
eine  Korporation  auf.  deren  Glieder  in  der  Lange  der  sidi  hin- 
ziehenden  Zeit  aufgestellt  waren.  so  daR  der  Schnittpunkt  eines 
gegebenen  Jetzt  anstelle  der  vielen  Glieder  eine  einzige.  sidi 
standig  fortsetzende  Person  aufwies.  Diese  kuriose  Vorstellung 
diirfte  nadi  Ansidit  des  Verfassers  das  sdiwierige  Problem  von 
der  Perpetuitat  des  dem  politisdien  Korper  vorstehenden  Haup- 
tes  begreifen  helfen. 

V.  Damit  geht  die  Darstellung  zu  dem  widitigsten  Kapitel 
iiber:  Rex  nunquam  moritur.  Das  Prinzip  wurde  aufge- 
stellt. weil  die  unsterblidie  Korporation  fiir  ihre  Handlungs- 
fiihigkeit  eines  Hauptes  bedurfte.  das  den  Tod  des  individuellen 
Amtstriigers  iiberdauerte.  Um  neben  den  sterblidien  den  unsterb- 
lidien  Konig  stellen  zu  konnen.  bediente  man  sidi  dreier  Fak- 
toren:  1.  der  dynastisdien  Kontinuitat:  2.  des  korporativen  Cha- 
rakters  der  Krone;  "5.  der  unsterblidien  kbniglidien  Wiirde. 

Die  dynastisdie  Kontinuitat  beruhte  auf  dem  Geburtsredit. 
Die  Bedeutung  der  Konigsweihe  war  langst  zuriidcgetreten.  Ihre 


f 


Einwirkeu  der  Theologie  auf  die  Staatslehre  des  Mittelalters  219 

Entwertung  King  einerseits  mit  der  im  12.  Jahrhundert  ausge- 
faheten  bakramentstheologie  zusammen,  die  die  Kiinigssalbung 
nur  nodi  als  Sakramentale  gelten  lieli.  anderseits  mit  juristisdien 
Krvvagungen.  iNidit  allein  die  Legisten.  audi  eine  beachtlidie 
Gruppe  von  Kanonisten  waren  uberzeugt,  daR  der  Kaiser  oder 
Konig  sdion  vor  der  Salbung  die  Regierungsredite  besitze  und 
ausuben  durfe.  Nodi  widitiger  als  die  juristisd.en  Theorien  durfte 
die  Praxis  gewesen  sein.  die  Frankreidi  1270.  England  1272  ein- 
fiihrten.  indem  der  Thronfolger  den  Beginn  seiner  Regierung 
vom  Todestag  des  Vaters  und  nidit  mehr  vom  Tag  der  eigenen 
Krbnung  an  datierte.  Jetzt  gab  es  kein  Interregnum  mehr.  weder 
zwisdien  dem  Tod  des  alten  und  der  Wahl  des  neuen  Konigs  nodi 
zwisdien  Amtsantritt  und  Weihetag.  Das  faktisdi  anerkannte 
Sukzessionsredit  des  Erstgeborenen  sidierte  die  von  Kirdie  und 
Volkswahl  unabhangige  dynastisdie  Legitimitiit.  Der  Grundsatz 
des  romisdien  Frbredits.  wonadi  Erblasser  und  Erbe  gleidisam 
eine  Person  bildeten.  wurde  auf  diese  Weise  vom  privaten  ins 
offentlidie  Redit  ubertragen.  AuRerdem  behielt  der  sdion  im 
Investiturstreit  ausgesprochene  Gedanke,  die  Erbfolge  des  Ko- 
nigtums  sei  nur  von  Gott  ableitbar.  seine  Geltung  bei:  qui  de 
celo  venit.  super  omnes  est.  i.e.  qui  de  imperiali 
semine  descendit.  cunctis  nobilior  est  (Nikolaus  von 
Bari).  Die  hier  anklingende  Idee  von  der  Besonderheit  des  kai- 
serlidien  Blutes  wurde  am  Hof  Friedridis  II.  stark  betont.  aber 
audi  auf  die  anderen  Ilerrsdierfamilien  bezogen.  Obwohl  es  sidi 
sfhwer  ausmadien  laRt.  inwieweit  die  Zeugungslehre  des  Aristo- 
teles  und  anderer  antiker  Philosophen  eingeflossen  ist.  haben 
mystizistisdie  und  halbwissensdiaftlidie  Gedankengiinge  sidier 
nidit  ganz  gefehlt:  franzosisdie  Autoren  der  Wende  des  13.  zum 
14.  Jahrhundert  zeigen  es.  Die  Erbfolge  madite  den  papstlidien 
Ansprudi  auf  das  Vikariat  wahrend  der  Reidisvakanzen  illu- 
sorisdi:  do(h  diirfte  der  Verfasser  diesen  Ansprudi  etwas  iiber- 
spitzt  darstellen. 

Den  zweiten  Zugang  zur  Unsterblidikeit  des  Konigs  ersdilofi 
die  Fiktion  der  Krone.  Wenn  Baldus  eine  siditbare  und  unsidit- 
bare.  von  Gott  aufgesetzte  Kaiserkrone  untersdiied.  so  wurde 
dies  audi  auf  die  Krone  eines  Erbkbnigtums  angewandt.  Konnte 
dodi  hier  die  juristisdie  Spekulation  einerseits  die  Dynastie  als 
eine  corporatio  per  successionem  auffassen,  anderseits 


n    L    u 
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220 


FRIEDRICH  KEMPF  S.  J. 


mit  Hilfe  der  romisdi-reditlidien  Personifikation  der  Erbschaft 
(hereditas  personae  vice  fungitur)  die  immaterielle 
unsiditbare  Krone  personifizieren.  Nadi  einer  Untersudiung  des 
Spradigebraudis.  niimlit^i  ob  und  invvieweit  in  den  Quellen  die 
unsiditbare  Krone  gemeint  ist,  kommt  der  Verfasser  zu  dem 
Ergebnis:  Im  Gegensatz  zu  der  reinen  ..Physis"  des  Konigs  und 
seines  Landes  bezeidinete  das  Wort  Krone,  wenn  es  hinzugesetzt 
wurde.  die  politisdie  ..Metaphysis'"  als  die  Teilhabe  sowohl  des 
Konigs  wie  des  Regnums  oder  des  beide  enthaltenden  politisdien 
Korpers  an  den  Souveranitatsrediten.  Der  entsdieidende  Faktor, 
der  die  Krone  iiber  den  individuellen  Kiinig  und  das  geographisdi 
ausgebreiteie  Regnum  hob.  war  die  ihr  innewohnende  Perpetuitat. 

Das  Wort  Krone,  in  Frankreidi  um  1150  aufgekomnien  und 
mit  stark  patriotisdiem  Akzent  versehen,  in  England  sdion  1  HO 
und  1133  auf  Verwaltung  und  Redit  bezogen.  hatte  zugleidi  einen 
fiskalisdien  Sinn.  Er  ist  vor  allem  seit  Heinridi  IT.  von  England 
anzutreffen.  Die  sdion  oben  erwahnte  Sdieidung  zwisdien  terra 
regis  und  terra  regni  bradite  es  trotz  alien  Bemiihungen, 
etwa  Glanvills  oder  Bractons.  nidit  zur  vollen  Klarheit.  Um  1200 
wurde  in  England  gefordert.  die  UnverauRerlidikeit  der  Kron- 
giiter  zum  Gesetz  zu  madien.  Jedenfalls  ging  sie  als  4.  Klausel 
in  den  Kronungseid  ein:  ob  sdion  im  Jahre  1216.  bleibt  umstrit- 
ten.  dodi  hiilt  es  der  Verfasser  auf  Crund  der  kirdilidien  Ent- 
widilung  des  Bisdiofseides.  die  er  vom  Investiturstreit  an  ver- 
folgt.  ftir  wahrsdieinlidi.  daR  damals  Heinridi  111.  diirdi  den 
Kardinallegaten  Guala  veranlaRt  wurde.  die  Unveriiufierlidikeit 
zu  besdiworen.  daR  aber  der  Zusatz  nodi  nidit  offiziell  in  das 
Eidesformular  iiberging.  Klar  zutage  tritt  der  EinfluR  des  kano- 
nisdien  Redites  auf  den  die  Klausel  enthaltenden  Kronungseid 
Eduards  I.  und  Eduards  IT.  Die  Juristen  des  U.  Jahrhunderts 
haben  seine  Form  allgemein  iibernommen  und  die  Parallele  zum 
Bisdiofseid  beaditet. 

Aber  auch  die  anderen  Glieder  des  englisdien  Reidies  — 
zuerst  die  Bisdiofe.  dann  die  Feudalherren  —  verpfliditeten 
sidi  eidlich.  nidits  gegen  die  Krone  zu  unternehmen.  Mit  anderen 
Worten:  die  ganze  universitas  des  englisdien  Reidies  war 
fiir  die  Redite  der  Krone  verantwortlidi.  Eduard  I.  konnte  daher 
1275  Gregor  X.  den  Lehnszins  verweigern.  indem  er  einmal  auf 
seinen  Kronungseid.  die  Rediie  der  Krone  nidit  zu  sdimalern, 


-i-r 


Linwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalt 


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221 


zum  andernmal  auf  seine  Abhiingigkeit  vom  Rat  der  Pralaten 
und  Magnateu  in  Sadien  der  Krone  hinwies.  Hier  ist  ein  neuer 
Sinn  erkennbar,  der  in  den  folgenden  Jahrhunderten  noch  sidit- 
barer  wird:  die  Krone  ist  nidit  nur  Kigentumerin  des  unver- 
iiiillerlidien  fiskalisdien  Besitzes,  sie  verteidigt  audi  die  unver- 
iiulierlidien  Redite,  die  alle  im  Reidi  angehen.  Als  der  Inbegriff 
aller  souveriiiien  Rechle  des  ganzen  politisdien  Korpers  steht  sie 
iiber  siimtlidieu  Gliedern.  den  Konig  eingesdilossen,  obwohl  sie 
von  den  Gliedern  nitht  zu  trennen  ist.  Keine  Theorie,  die  die 
Krone  aus  diesem  organisdien  Zusammenhang  zu  losen  und  als 
isolierte  GroRe  hinzustellen  sudite.  diirfte  in  England  Aussidit 
auf  Erfolg  gehabt  haben.  So  ist  der  1308  unternomniene  VorstoR. 
den  Kcinig  von  der  Krone  zu  trennen.  gleidi  zuriickgewiesen  wor- 
den.  Man  lieR  nur  eine  d  i  s  t  i  n  e  t  i  o .  keine  separatio  zu.  und 
jene  geniigte  voUauf.  um  gegen  einen  Kbnig  wegen  Verrats  an 
der  Krone  vorzugehen.  Sie  ermoglidite  es  ferner,  die  Sadien.  die 
zur  Krone  gehorten.  von  den  Giitern  zu  sdieiden.  die  der  Kbnig 
wie  jede  andere  Person  besaR.  und  im  Falle  eines  Thronstreites 
durdi  die  Untersdieidung  zwisdien  einem  rex  de  in  re  und  ei- 
nem  usurpierenden  rex  de  facto  die  Krone  vor  den  Wedisel- 
fallen  des  Kampfes  und  vor  der  Teilung  unter  die  beiden  Priiten- 
denten  zu  bewahren.  Das  Verhiiltnis  des  Konigs  zur  Krone  wurde 
bisweilen  mit  dem  des  Vormundes  zu  seinem  Mundel  verglidien. 
Der  Vergleidi  stammte  aus  dem  romisdien  Redit.  wurde  von  den 
niittelalterlidien  Kanonisten  auf  das  Verhaltnis  des  Bisdiofs  zu 
seiner  Kirdie  angewandt  und  sdilieRlidi  mit  dem  komplexen 
Frinzip  der  I'nveriiuRerlidikeit  von  Kronrediten  und  Krongiitern 
auf  die  Krone  iibertragen.  Als  ewiges  Miindel  gefaRt.  erhielt  die 
Krone  den  Charakter  einer  Korporation.  deren  vormundlidie 
Betreuung  nidit  dem  Konig  allein  zustand.  sondern  dem  aus 
Kbnig  und  Magnaten  zusammengesetzten  Kbnigskbrper. 

Die  beiden  bishcr  besprodienen  Faktoren:  die  dynastisdie 
Idee,  bestehend  in  der  Kontinuitiit  des  natiirlidien.  von  Indivi- 
duum  zu  Individuum  sidi  fortsetzenden  Kbnigskbrpers,  und  die 
mit  der  Krone  gegebene  ewige  Dauer  der  Souveriinitiitsredite 
des  ganzen  politisdien  Korpers  mit  dem  Kbnig  als  ITaupt. 
sdieinen  ziisanimenzufallen  in  dem  dritten  Prinzip:  dignitas 
n  o  n  m  o  r  i  t  u  r.  D  i  g  n  i  t  a  s  und  corona  wollen  iintersdiieden 
sein.  Die  Krone  bezieht  sidi  hauptsadilidi  auf  die  Souveriinitiit 


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222 


FRIEDRICH  KEMPF  S.  J. 


des  ganzen  Reidiskorpers:  ihre  Integritat  geht  alle  an.  Dagegen 
meint  dignitas  die  Einzigartigkeit  des  Konigsamtes,  die  vom 
Volk  gegebene  Souveranitiit.  die  der  Konig  zwar  individuell 
besitzt,  aber  nidit  in  privater.  sondern  offentlidi-reditlicJier  Ei- 
genschaft,  genau  so  wie  das  Konigsamt  offentlidien  Redites  ist. 
Audi  of  f  ici  urn  und  dignitas  sind  nidit  identisdi.  Of  f  ici  um 
habet  dignitatem  annexam,  sagt  Bartolus;  dodi  folgten 
die  Juristen  mehr  der  kanonistischen  Betraditungsweise  und  ga- 
ben  der  dignitas  den  Vorzug  vor  dem  o  f  f  i  c  i  u  m  ,  so  dafi  aus 
ihrer  Spekulation  die  dignitas  als  korporative  Entitat  hervor- 
ging. 

Das  kanonisohe  Redit  hatte  seit  Alexander  Til.  begonnen. 
zwisdien  Delegationen  f  a  c  t  a  e  p  e  r  s  o  n  a  e  und  f  a  c  t  a  e  d  i  - 
gn  i  t  a  t  i  zu  untersdieiden:  die  letzteren  gingen  auf  den  Nadifol- 
ger  iiber :  quia  dignitas  nunquani  perit.  individua 
vero  quotidie  pereunt.  Und  Bonifaz  VIII.  erkliirte  Gna- 
denerweise,  die  von  seiten  des  Hl.Stuhles  und  nidit  von  seiten  des 
regierenden  Papstes  gewahrt  worden  seien.  bis  auf  ausdriickli- 
dien  Widerruf  eines  Nadifolgers  fur  stiindig  geltend:  nam 
s  e  d  e  s  ipsa  n  o  n  m  o  r  i  t  u  r.  Fiir  die  Juristen  ergab  sidi  so  eine 
widitige  Parallele  zwisdien  den  Prinzipien  dignitas  non 
moritur  und  universitas  non  moritur.  Wie  oben  aus- 
gefiihrt,  konstruierte  man  die  universitas  als  eine  c  o  r  p  o  - 
ratio  per  successionem.  eine  aussddieRlidi  von  der  Zeit 
bestimmte  Korporation.  Um  dies  fiir  die  kirddidie  dignitas 
herauszustellen.  gebraudite  Bernhard  von  Parma  das  Bild  vom 
Phonix.  Dieses  heidnisdi-diristlidie  Symbol  der  Unsterblidikeit. 
der  perpetuitas  und  des  aevum  sowie  der  Auferstehung 
des  Herrn.  war  den  nadifolgenden  Juristen  willkommen.  weil  im 
Phonix  —  sui  heres  corporis  et  cineris  factus  (Am- 
brosius).  sibi  proles,  suus  est  pater  et  suus  he- 
res  (Lactantius)  —  die  unsterblidie  Spezies  und  das  sterblidie 
Individuum  zusammenfielen:  avis,  in  qua  totum  genus 
servatur  in  individuo  (Baldus).  Die  Juristen  zielten  hier 
auf  die  sd)on  besprodiene  romisdie  Reditslehre.  daR  Vater  und 
Sohn  in  der  juristi.sdien  Fiktion  eine  Per.son  bilden.  Das  von 
Baldus  in  anderem  Zusammenhang  zitierte  Spridiwort  mor- 
tuus  aperit  oculos  vi  vent  is  greift  spater  Andre  Tira- 
queau  auf.  um  den  Satz  des  franzosisdien  Erbredits:  le  mort 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalte 


rs 


225 


saisit  le  vif  zu  erhiirten;  und  Ludwig  XIII.  wird  einmal  als 
Throuerbe  le  petit  Phenix  genannt. 

Der  Begriff  einer  d  i  g  n  i  t  a  s ,  in  der  Spezies  und  Individuum 
zusammenfallen,  liefi  zwei  versdiiedene  Aspekte  der  Dignitat 
ans  Lidit  treten  und  konnte  zu  einer  doppelten  Personalitat  fiih- 
ren.  Nidit  aus  sidi.  sondern  kraft  der  dignitas  quae  nun- 
quam  moritur  erhielten  Papst  und  Bisdiof  den  korporativen 
Repriisentanzdiarakter.  Um  die  Unsterblidikeit  des  HI.  Stuhles 
als  einer  dignitas  quae  nunquam  moritur  besser  her- 
auszuarbeiten.  griffen  die  Kanonisten  bisweilen  iiber  die  juristi- 
sdie  Fiktion  hinaus  zu  theologisdien  Argumenten:  Christus  bete 
fiir  den  Bestand  des  Heiligen  Stuhles,  oder:  Christus  non 
moritur.  Fiir  das  Imperium  versudite  man  dasselbe  mit  Hilfe 
der  Lehre  von  den  vier  Weltreidien.  aber  nur  nebenbei:  das 
llauptargument  blieb:  dignitas  non  moritur.  Der  Verfasser 
sieht  hier  eine  Siikularisation  des  Imperiums  am  Werke:  Die 
Perpetuitiit  wird  nidit  mehr  von  Gott  abgeleitet,  audi  ni(ht  mehr 
von  der  unsterblidien  Justitia  und  vom  Redit.  sondern  von  der 
fiktiven  dignitas.  gesdiad'en  durdi  das  Denken  des  Mensdien 
und  auf  den  Fiirsten  iibertragen  durdi  die  universitas  quae 
nunquam  moritur.  P  iir  den  Fortgang  der  juristisdien  Spe- 
kulation. die  natiirlidi  audi  fiir  die  Konige  verwendet  wurde, 
ist  Baldus  widitig.  Er  bestimmt  die  Verantwortlidikeit  des  Konigs 
nidit  bloR  durdi  die  unsterblidie  dignitas.  sondern  audi  durdi 
die  glei(hfalls  unsterbliche  universitas.  ersetzt  also  die  nodi 
von  seinem  Zeitgenossen  Johann  von  Paris  angenommene  .Xb- 
hansrigkeit  des  Konigs  von  Gott  und  Volk  durdi  diese  beiden 
legalistisdien  Begriffe :  dignitas  steht  fiir  Gott.  universitas 
fiir  das  Volk.  Baldus  untersdieidet  ferner  im  Konig  zwisdien 
einer  persona  personalis  quae  est  anima  in  substan- 
tia h  o  m  i  n  i  s  ,  und  einer  persona  idealis  quae  est  di- 
gnitas. gelangt  also  durdi  die  Personifizierung  der  dignitas 
zu  zwei  Personen.  Deswegen  kann  er  an  einer  anderen  Stelle 
erkliiren.  ein  Konig.  der  im  Namen  der  dignitas  und  respu- 
blica  einen  Vertrag  absdiliefie.  lebe  in  diesem  Bezug  audi  nadi 
seinem  Tode  weiter :  nam  loco  dixarum  person  a  rum  rex 
fungi  tur.  Fiir  England  waren  freilich  die  Lehren  der  italieni- 
sdien  Kanonisten  nidit  mafigebend.  da  sie  zuniidist  einen  korpo- 
rativen Charakter  der  dignitas  nidit  anstrebten.  Zwar  traten 


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224 


FRIEDRICH  KEMPF  S.  J. 


fiir  die  kirdilichen  Dignitiiten  in  England  ziemlidi  friih  korpo- 
rative  Vorstellungen  auf.  fiir  die  weltlidie  Sphiire  jedoch  vollzog 
sidi  dies  erst  im  15.  Jahrhundert.  vor  allem  unter  Eduard  IV.  bei 
Celegenheit  des  Streites  urn  das  Ilerzogtum  Lancaster,  der  sidi 
lange  fortsetzte  and  fiir  die  1561  ausgesprochene  Theorie  der 
Two  Bodies  eine  widitige  Rolle  spielte.  Dabei  stellte  sich  heraus, 
dafi  von  den  englisdien  Juristen  der  kanonistisdie  Begriff  der 
dignitas  durch  den  des  politisdien  Korpers  ersetzt  wurde. 

In  die  Gedankenwelt  der  dignitas  quae  non  moritur 
bettet  nun  der  Verfasser  die  mit  dem  Tod  des  alien  und  dem  An- 
tritt  des  neuen  Konigs  verbundenen  Gebriiudie  und  Zeidien  ein. 
Er  bespridit:  den  bei  der  Leidienfeier  des  franzosischen  Konigs 
ublidien  Ruf:  Le  roi  est  m  o  r  t.  Vive  le  roi!:  Kbnigsmedail- 
len  aus  England  und  Frankreich  mit  dem  Phonix-Symbol  oder 
Darstellungen  der  unsterblidien  Konigsjustiz:  die  in  England 
und  vor  allem  in  Frankreidi  gebrauditen.  mit  dem  Konigsornat 
bekleideten  Bildpuppen.  die  auf  einem  triumphierenden  Flofi 
den  Trauerzug  mil  der  Leidie  begleiteten:  die  auf  den  (irab- 
denkmiilern  ersdieinende  Doppelung  des  hinfiilligen  und  des  mit 
unsterblidier  Dignitiit  ausgestattelen  Korpers.  Den  hier  ausge- 
sdiiitteten  Reichtum  kann  unser  Beridit  nidit  auffangen.  dodi  sei 
die  Vorsidit  geriihmt.  die  den  Verfasser  bei  der  Deutung  leitet. 
So  betont  er  z.  B..  dafi  das  Begriibniszeremoniell  und  die  Grab- 
denkmiiler  zwar  vom  mensddidien  Untergrund  auch  auf  die 
Zwei-Korper-Lehre  der  Tudorzeit  neues  Eidit  werfen.  an  sidi 
aber  dem  spatirotisdien  Lebensgefiihl  entwadisen  sind  und  zum 
Teil  mit  der  unersiittlidien  Gier  des  Renaissancegeistes.  das  In- 
dividuum  zu  verewigen.  zusammenhangen.  Insofern  aber  als  die 
juristisdie  Spekulation.  die  zur  Zwei-Korper-Lehre  fiihrte.  dem- 
selben  geisfigen  Klima  entstammt.  tragen  die  Ausdrutksformen 
in  Kunst  und  Zeremoniell  zu  ihrem  Verstiindnis  bei:  Leben  wird 
transparent  auf  dem  Hintergrund  des  Todes  und  umgekehrt: 
eine  fiktive  Unsterblidikeit  wird  transparent  in  einem  sterbli- 
dien  Mensdien  und  umgekehrt:  und  es  tritt  eine  Unsterblidikeit 
zutage.  die  einer  irdisdien  politischen  Institution  eignet,  also 


sa- 


kularisiert  ist. 

Eine  groHe  spekulative  Sdiwierigkeit  wartet  freilidi  nodi 
auf  die  Losung.  Sie  besteht  in  der  eigenartigen  Lehre  der  Tudor- 
Juristen.  dafi  der  Konig  die  zwei  Korper  in  einer  Person  be- 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalters  225 

sitze  (der  Verfasser  setzt  dies  in  Parallele  zu  der  Formulierung 
desKanonistenBalduslU.JahrhundertI:  quod  una  persona 
sustinet  vieem  duarum,  unam  vere,  alteram  ficte. 
et  quandoque  utramque  personam  vere  propter 
c  o  n  c  u  r  s  u  m  o  f  f  i  c  i  o  r  u  m)  und  dafi  beide  Korper  in  einer  un- 
trennbaren  Einheit  stunden:  corpus  corporatum  (d.  h.  der 
aus  Untertanen  und  Konig  zusammengesetzte  politisdie  Korper) 
in  corpore  naturali  et  corpus  naturale  in  corpore 
corporate  (Francis  Bacon).  Das  Prinzip  vom  Fursten  in  der 
respublica  und  von  der  respublica  im  Fursten  ist  sdion 
urn  noo  ausgesprodien  worden  und  stammt  aus  einer  uralten, 
von  Cyprian  bis  zu  den  mittelalterlidien  Kanonisten  reidienden. 
die  Bisdiofe  betreffenden  Tradition,  aber  die  Tudor-Juristen  be- 
haupteten  ja  dariiber  hinaus  das  Ineinander  der  beiden  Korper 
des  Konigs  in  einer  Person,  vermafien  sich  also  nadi  Ansidit 
des  Verfassers,  Untersdieidungen  anzuwenden,  die  im  Credo  zu 
finden  und  gewohnlich  den  diristologischen  Definitionen  vorbe- 
halten  waren.  Um  diesen  Tbergriff  verstiindlidi  zu  madien.  ver- 
weist  der  Verfasser  auf  Baldus.  der  zur  Untersdieidung  zwisdien 
dignitas- maiestas  und  persona  in  maiestate  bemerkt 
hat :  Ibi  attendimus  dignitatem  tamquam  principa- 
lem  et  personam  tamquam  instrumentalem;  unde 
fundamentum  actus  est  ipsa  dignitas  quae  est  per- 
pe  t  ua. 

Die  hier  anklingende  aristotelische  Instrumentalitas-Speku- 
lation  hat  bekanntlidi  Thomas  von  Aquin  als  einziger  Theologe 
seiner  Zeit  auf  die  Christologie  angewandt.  Er  betraditete  die 
Mensdiheit  Christi  als  Heilsorgan  der  Gottheit:  hum  an  it  as 
instrumentum  divinitatis,  und  untersdiied  daher  die 
Gottheit  als  causa  principalis  von  der  Menschheit  Christi 
als  der  causa  instrumentalis,  die  jedoch  wegen  der  hypo- 
statisdien  Union  der  beiden  Naturen  in  Christus  ein  instru- 
mentum coniunctum,  animatum  ist  und  sidi  von  den 
Sakramenten.  den  instrumenta  separata,  inanimata. 
wesentlidi  untersdieidet.  Ahnlidi  hat  Thomas  nadi  Ansidit  des 
Verfassers  im  Bischof  oder  Priester  ein  instrumentum  con- 
iunctum des  mystisthen  Leibes  Christi  gesehen;  der  Bischof 
habe  daher  in  seiner  Vikariatsstellung  als  instrumentum 
animatum  der  Gottheit  erscheinen  konnen.  wahrend  das  von 

15 


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ihm  g-espendete  Sakrameni  blofi  ein  instrumentum  sepa- 
ratum bedeutet  habe.  Diese  ihomistisdie  Lehre  sieht  der  Ver- 
fasser  von  Baldus  iibernommen.  nur  habe  Baldus  die  d  i  v  i  n  i  t  a  s 
durch  die  gleidifalls  unsterblidie  d  i  p  n  i  t  a  s  und  den  Bisdiof.  das 
instrumentum  diyinitatis,  durdi  den  Konig.  das  in- 
strumentum animatum  der  fiktiven.  d  i  g  n  i  t  a  s  genannten 
Person,  ersetzt.  Das  neue  Prinzip  laute  also:  humanitas  in- 
strumentum dignitatis:  es  erhebe  den  inkarnierten  Kcinig 
zum  Instrument  der  dignitas  oder  des  Konigs  und  stelle  eine 
sakularisierte  hypostatische  Union  Ton  zwei  Personen :  der  d  i  - 
gnitas  und  des  rex.  heraus.  Aus  diesem  geistigen.  sdion  im 
14.  Jabrhundert  bereiteten  Untergrund  ging  nadj  dem  Yerfasser 
die  Zwei-Korper-Lehre  der  Tudorzeit  hervor.  Der  Untersdiied  zu 
den  italienisdien  Vorgangern  bestand  nur  darin.  daR  die  engli- 
sdien  Juristen  die  Beziehung  zw-isdien  dem  individuellen  Konig 
und  der  unsterblidien  dignitas  durdi  die  Metapher  der  zvei 
Korper  ausdriickten.  Ihre  Lebre  w-ar  im  Grunde  eine  konigbcie 
Christologie. 

Zu  Eingang  des  Budies  nennt  sie  der  Verfasser  eine  Kr>-pto- 
Theologie:  er  moAte  keine  direkte  Abhangigkeit  von  der  Chri- 
stologie. sondern  eine  bewufit-unbewufite  Tbernahme  von  Be- 
griffen  annehmen.  die.  zu  einer  Theorie  ausgeformt.  ahnlidie 
Fragen  aufw^erfen  mufiten  Mne  die  diristologiscben  Kampfe  der 
alten  Kircie  (S.  17— 20).  Diese  Vorsidit  ist  in  der  Tat  angebradit. 
tTberw-iegen  doA  die  Unahnlidikeiten  in  solAem  Mafie  die  Ahn- 
lidikeiten.  dafi  man  kaum  an  eine  Analogie  zur  diristologisdien 
Spekulation  denken  darf.  Die  hypostatiscie  Union  bedeutet  die 
Vereinigung  der  gottlidien  mit  einer  mensdilichen  Natur  in  der 
Person  des  Logos;  die  Tudor- Juristen  nahmen  dagegen  zw^ei 
Korper  und  Baldus  zwei  Personen  an.  Zwar  sudit  der  Verfasser 
die  Analogie  zu  retten.  indem  er  auf  die  beiden  Korper  Christi: 
den  individuellen  im  Fleisdie  und  den  mystisA-kollektiven  Kor- 
per mit  Christus  als  dem  Haupt.  hinweist  und  meint.  beide  stell- 
ten  eine  einzige  Person  vor  (S.  441).  aber  es  ist  nicht  einzusehen. 
was  die  Einheit  zwisdben  dem  Haupt  und  den  Gliedern  der  Kir- 
che  in  Form  einer  q  u  a  s  i -p  e  r  s  o  n  a  mystica  mit  der  hvpo- 
statisdien  Union  der  beiden  Naturen  in  Christus  zu  tun  haben 
soil.  Thomas  hat  siA  daher  wohl  gehiitet.  aus  der  Vereinigung  der 
Glieder  der  Kirdie  mit  dem  Haupt  zu  folgern.  der  Bischof  werde 


Einwirken  der  Theolopie  auf  die  Siaatslehre  des  Mittclallers 


017 


M-ahrend  der  Sakramentenspendung  zu  einem  instrumentum 
coniunctum  divinitatis.  er  hat  vielmehr  -  dies  sei  ge- 
genuber  dem  Verfasser  betont  -  nidn  blol?  die  Sakramente.  son- 
dern audi  die  Priester  im  Gegensatz  zur  mensdilidien  Natur  Chri- 
sti als  i  n  s  t  r  u  m  e  n  t  a  s  e  p  a  r  a  t  a  betraditet  (vgl.  Th.  Tsdiipke 
OP„  Die  Mensdiheit  als  Heilsorgan  der  Gottheit.  Freiburg  1940 
S.  155f.).  Wenn  iiberhaupt.  dann  diirfte  es  sidi  bei  den  Juristen 
um  eine   \erwendung  urspriinglidi   theologisdier   Begriffe  han- 
deln.  die  in  der  juristisdien  Spekulation  einen  anderen  Sinn  er- 
hielten.  Besonders  gut  zeigt  dies  wohl  der  Begriff  der  causa 
instrumentalis     und     principalis.     Eine     edite     causa 
principalis  kam  fiir  die  Juristen  sdion  deswegen  nidit  in  Be- 
tradit.  weil  keine  physisdie  Wirkursadie  vorlag:  war  dodi  fur  sie 
die  dignitas  eine  reine  Fiktion  und  keine  Realitat  wie  die  von 
den   Theologen  als  causa  principalis  eingesetzte  Gottheit. 
Desgleidien  beruhte  die  Verbindung  der  causa  principalis 
(deitasi    mit    der    causa    instrumentalis    (humanitas 
Christi)  fiir  die  Theologen  auf  einer  Realitat.  namlidi  auf  der 
beide  Naturen  einenden  gottlidien  Hypostase   wogegen  die  Per- 
son des  Konigs  nur  als  H-\-postase  einer  individuellen  sterblidien 
Mensdiennatur  Realitat  besafi.  also  im  Grunde  iiber  den  Bereidi 
des  von  den  Tudor-Juristen  angenommenen  natiirlichen  Konigs- 
korpers  nidit  hinausreidite.  Gewifi  bleiben  gewisse  formal-logi- 
sdie  Entsprediungen:  ob  sie  ausreidien.  um  von  einer  koniglidien 
Christologie  spredien  zu  diirfen.  diirfte  eine  ofFene.  dem  subjek- 
tiven  Ermessen  anheimzustellende  Frage  sein. 

VI.  Ist  der  Verfasser  bisher  der  politisrhen  Theologie  des 
Mittelalters  gefolgt.  wendet  er  sidi  jetzt  der  politischen  Anthro- 
pologie.  dem  mensdilidi  zentrierten  Konigtum  zu.  Das  Verdienst, 
diese  Wende  vollzogen  zu  haben.  modite  er  vor  allem  Dante  zu- 
erkennen.  Von  Dante  handelt  daher  das  ganze  letzte  Kapitel. 
Nadi  Ansidit  des  Verfassers  lassen  sidi  die  moralisdi-politisdien 
Ansdiauungen  des  Diditers  in  dem  Axiom  zusammenfassen: 
homo  instrumentum  humanitatis.  Dafi  Dante  zwischen 
Person  und  Amt  untersdieidet.  hat  er  mit  vielen  Zeitgenossen  ge- 
meinsam.  ein  neuer  Ton  klingt  jedodi  auf.  wenn  er  in  dem  Amts- 
trager  nidit  einfadihin  den  individuellen  Beamten.  sondern  den 
Mensdien  sowohl  als  Individuum  wie  als  Vertreter  der  Gattung 
sieht.   In  seiner  Monardhia  treibt  er  den  politisdien  Dualismus 


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FRIEDRICH  KEMPF  S.  J. 


zwisdien  Kaisertum  und  Papsttum  so  weit  voran.  dafi  das  Im- 
perium  einen  innerweltlidien.  nidit  allein  vom  Papst.  sondern 
audi  von  der  Kirdie  und  virtuell  von  der  diristlidien  Religion 
unabhiinpipen  Bereidi  bildet.  zum  Symbol  das  irdisdie  Paradies 
und  zum  Ziel  die  irdisdie  Gliidvseiigkeit  hat  und  daher  gegren- 
iiber  der  Kirdie.  die  das  ew  igre  Leben  belreut  und  zum  himm- 
lisdien  Paradies  leitet,  eine  eigene  Funktion  ausiibt.  obwohl  das 
irdisdie  Paradies  nur  ein  Propyliium  zum  himmlisdien  ist.  Die 
beiden  Grofien  Papsttum  und  Kaisertum  sind  mefJbar  einerseits 
an  ihrem  direkten  Ursprung:  aus  Gott.  anderseits  am  Mensdi- 
sein:  den  Mafistab  fiir  das  Amt  liefert  die  deitas.  fiir  die  Amts- 
triiper  die  humanitas  oder  der  o  p  t  i  m  u  s  homo.  Im  Bereidi 
des  reinen  Mensdiseins  reprasentiert  den  optimus  homo 
der  Kaiser-Philosoph.  im  Bereidi  des  Christseins  der  Papst.  Die 
Mensdiheit  ist  also  in  zwei  Sozialkorper  gepliedert :  in  das  cor- 
pusmoraleetpoliticum  der  universitas  mit  dem  mensdi- 
iidien  Redit  als  Fundament  und  in  das  corpus  mysticum 
ecclesiae  mit  Christus  als  Fundament.  Beide  Korper  stehen 
nebeneinander  und  nidit  wie  bei  Thomas  von  Aquin  iibereinan- 
der.  Obwohl  Dante  die  Bepriffe  mensdilidi  und  diristlidi  keines- 
weps  antithetisdi  auffassen  wollte.  mufite  dodi  seine  Lehre  die 
Einheit  von  Zeitlidiem  und  Geistlidiem  stark  ersdiiittern. 

Die  humana  universitas  umfafit  Christen  und  Nidit- 
Christen.  Nur  einmal  hat  sie  bisher  das  Ziel  der  vollkommenen 
Monardiie  erreidit.  namlidi  unter  Aug-ustus.  und  dieselbe  Zeit 
hat  in  Yergjil  den  vollkommenen  Fiihrer  zur  mensdilidien  Gliidc- 
selipkeit  hervorpebradit.  Die  These  extra  ecclesiam  non 
est  imperium  ist  also  abpelehnt.  Humanitas  bedeutet  qua- 
litativ  das  edite  mensdilidie  V erhalten.  quantitativ  die  humana 
universitas.  humana  civilitas.  d.  h.  die  universale,  durdi 
natiirlidie.  intellektuelle  und  erzieherisdie  Ziele  sowie  durdi 
weltbiirgerlidie  Haltunp  verbundene  Gemeinsdiaft  des  corpus 
mysticum  A  d  a  e.  Es  ist  die  Aufpabe  des  Kaisers,  die  Mensdi- 
heit zum  irdisdien  Paradies  zuriickzufiihren.  Dieses  Ziel  erreidit 
der  Mensdi  durdi  tugendhafte  Belatigrunp.  Dante  iibernimmt  die 
Tugendlehre  des  hi.  Thomas,  peht  aber  iiber  sie  hinaus.  indem 
er  die  vier  Kardinaltupenden  dem  vet  us  Adam  des  irdisdien 
Paradieses  und  die  drei  theolopisdien  Tugenden  dem  nevus 
Adam  des  himmlisdien  Paradieses  zwar  nidit  ausdriicklidi.  aber 


Einwirken  der  Theologie  auf  die  Staatslehrc  des  Mittelalters  229 

implicite  durdi  das  Sdiema  der  zv^^ei  Paradiese  zuweist:  der 
Mensdi  kann  das  irdisdie  Paradies  mit  eigenen  Kraften.  namlidi 
durch  die  Kardinaltugenden.  erreidien.  Wenn  er  audi  als  Christ 
der  Kirdie  und  der  theologisdien  Tugenden  bedarf.  als  Mensdi 
bedarf  er  nidit  der  Kirdie:  audi  ohne  sie  gelangt  er  zur  philoso- 
phisdien  Glijckseligkeit.  zum  Frieden.  zur  Gereditigkeit  und 
Freiheit.  Die  Madit  des  neuen  freien  Tntellektes  hat  Dante  da- 
durdi  begrundet.  dafi  er  den  Intellekt  von  der  friiher  geltenden 
Einheit  mit  der  Seele  loste.  Wiihrend  er  das  Heil  der  individuel- 
len  Seele  vom  Glauben  an  Christus  abhangen  lafit.  ordnet  er  die 
rein  intellektuelle  Vollendung  und  philosophisdie  Selbsterlcisung 
dem  irdisdien  Paradiese  zu.  Freilidi  denkt  er  dabei  an  die  intel- 
lektuelle Gliickseligkeit  der  universitas  humana.  und  nidit 
wie  die  Averroisten  seiner  Zeit  des  Individuums.  nimmt  also 
einen  Universalintellekt  an.  Im  Gegensatz  zu  Averrocs  stellt  er 
sidi  aber  den  I  niversalintellekt  nidit  als  einen  getrennten.  durdi 
den  einzelnen  Philosophen  zu  aktualisierenden  Weltgeist  vor. 
sondern  als  eine  alien  Mensdien  gegebene  und  daher  von  alien 
zu  aktualisierende  Potenzialitat.  Hier  hangt  er  vielleidit  mehr 
von  den  juristisdien  Korporationstheorien  seiner  Zeit  ab  als  von 
Averroes.  auf  den  an  sidi  die  Idee  des  Universalintellektes  zu- 
riickgeht.  Wenn  etwa  Baldus  zur  universitas  bemerkt:  Est 
quaedam  persona  universalis,  quae  unius  per- 
sonae  intellectum  habet.  tamen  ex  multis  corpo- 
ribus  constat,  ut  populus  ...  Et  haec  persona  simi- 
liter loco  unius  habetur  et  individuum  corpus  re- 
put  at  ur.  diirfte  sich  dies  mit  Dantes  Ansdiauung  ziemlidi  ge- 
nau  dedcen.  Der  konzeptualistisdie  KoUektivismus  der  italieni- 
sdien  Juristen  wird  ofters  unriditig  als  Averroismus  gebrand- 
markt.  Was  Dante  betrifft.  so  findet  sidi  zwar  bei  seinem  Lehrer 
Fra  Remigio  eine  Tberbetonung  des  Kollektiven.  aber  Dante  ist 
von  ihm  nur  insofern  beeinflufit.  als  er  dem  Weltmonardien  eine 
Vollkommenheit  zusdireibt.  die  mehr  dem  politisdien  Korper  der 
universitas  denn  dem  individuellen  des  Monardien  entspridit. 
Das  Eigene  von  Dante  besteht  also  darin.  daR  er  die  Idee 
einer  Wiederherstellung  von  Adams  urstandlidier  Natur  re-huma- 
nisiert  und  das  Mensdilidie  von  dem  diristlidien  Gedanken- 
komplex  befreit.  Folgen  doch  aus  seiner  dualistischen  Philosophie 
und  der  Lehre  vom  vollkommenen  irdischen  und  vollkommenen 


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FRIEDRICH  KEMPF  S.  J. 


himmlisdien  Paradies  eineSakularisierung  der  gelaufigen  Adams- 
theologie  und  die  Annahme  einer  rein  mensdilidien  Erneuerung. 
die  mit  der  diristlidien  Knieuerung  nidit  mehr  identisdi  ist,  ob- 
wohl  die  beiden  Renovationen  nidit  in  Widersprudi  zueinander 
gesetzt  sind. 

Diese  hauptsaddidi  auf  das  5.  Budi  der  Monardxia  gestiitzte 
Deutung  versudit  dann  der  Verfasser  audi  in  der  Divina  C  omme- 
dia  aufzuweisen.  Inferno  und  Purgatorio  sollen  zeigen.  wie  der 
Reprii.sentant  der  Mensdiheit.  Dante,  durdi  Philosophie  und  welt- 
lidie  Weisheit  aus  dem  siindigen  Zustand  zur  natura  sincera 
e  buona  des  ersten  Adam  zuriidcgefuhrt  wird.  Da  nur  die  Kir- 
die  vermittels  der  Taufe  dem  Mensdien  die  kunftige  Lnsterblidi- 
keit  eroflnen  kann.  hat  Dante  audi  die  Folgen  der  Taufe  irgend- 
wie  in  sein  irdisdies  Paradies  hineingenommen.  aber  die  irdisdie 
Vollkommenheit  wird  nidit  durdi  iibernatiirlidie  und  sakramen- 
tale  Akte  verwirklidit.  sondern  durdi  mensdilidie  Vernunft  und 
intellektuelle  Tugenden.  So  kommt  es  zu  einer  Reinigung  des 
Mensdien  von  der  Erbsiinde  in  einer  niditsakramentalen.  wenn 
audi  den  kirdilidien  Gnadenmitteln  nadigeahmten  Weise.  Es 
liegt  in  der  Gewalt  des  Mensdien,  zum  Garten  Eden  zuriickzu- 
kehren;  das  zeigt  der  Aufstieg  im  Purgatorio.  an  dessen  Ende 
der  neue  moralisdi-ethisdi  wiedergeborene.  adamgleidie  Mensdi 
steht:  frei.  aufredit  und  ganz.  Am  FuRe  des  Berges  steht  Cato 
als  Verkorperer  der  vier  Kardinaltugenden.  und  Dantes  Beglei- 
ter.  der  Heide  Vergil,  ist  das  Zeidien  dafiir.  dafi  die  natura 
buona  e  sincera  allein  durdi  mensdilidie  Weisheit  und  intel- 
lektuelle Tugend  erworben  wird.  Wenn  Vergil  dem  Gelauterten 
am  Sdilufi  Krone  und  Mitra  zuerkennt,  so  meint  er  zwar  das 
Priesterkonigtum  des  Christen,  aber  dieser  Akt  vollzieht  sidi 
nidit  auf  dem  Boden  der  gratia,  sondern  der  natura  :  er  ist 
para-sakramentale  para-kirdilidie  Taufe  mit  Cato  als  Paten  und 
Vergil  als  Taufenden.  die  Dante  dem  corpus  mysticum 
Adae.  d. h.  der  humanitas  und  nidit  dem  corpus  mvsti- 
cum  der  Kirdie  eingliedert.  Freilidi  fehlt  im  irdisdien  Paradies 
nidit  das  gottlidie  Urbild  mensdilidier  Vollkommenheit:  Chri- 
stus:  er  ist  jedodi  als  romischer  Untertan  Glied  des  corpus 
Adae. 

Adam  nahm  im  irdisdien  Paradies  vor  dem  Siindenfall  die 
Stellung  eines  souveranen  Herrsdiers  der  ganzen  Mensdiheit  ein; 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalters  231 

er  stellt  ein  mensdilidies  Individuum  vor  und  zugleidi  das  ganze 
Mensd.engesdiledit:  die  Gatiung;  ist  daher  engelgleidi,  die  ein- 
zige  edite  Korporation  auf  der  Welt.  Weil  Dante  im  irdisdien 
Paradiese  durdi  die  Bekleidung  mit  dem  Adam  sub  til  is 
gleidisam  mit  dem  korporativ-politisdien  Mensdiheitskorper  be- 
kleidet  wird.  erhiilt  er  Mitra  und  Krone,  d.h.  die  objektivierte 
dignitas  des  Mensdien.  die  nie  stirbt:  wird  zum  optimus 
homo,  zum  Inhaber  der  obersten  Jurisdiktion,  der  als  Instrument 
dieser  dignitas  handelt :  homo  instrumentum  humani- 
t  a  t  i  s.  Obwohl  diese  juristisdien  Theorien  wohl  nidit  durdi  Dan- 
tes Sinn  gingen.  war  er  sidi  dodi  der  zwei  Korper  des  Mensdien 
bewufit.  denn  Vergil  sagt:  Te  sopra  te  corono  e  mitrio, 
d.h.  iiber  didi  .selbst,  iiber  den  Adam  mortalis.  setze  idi  den 
Adam  subtilis.  Die  Lehre  der  Tudorzeit  wird  nadi  Ansidit 
des  Verfassers  so  vielleidit  verstandlidier. 

Das  Weltbild  Dantes  wird  wohl  immer  umstritten  bleiben. 
Weil  sidi  der  Dichter  trotz  starker  Abhangigkeit  von  der  philo- 
sophisdi-theologisdien  Synthese  des  Aquinaten  audi  anderen  gei- 
stigen  Stromungen  seiner  Zeit  geoffnet  hat.  ist  er  da  und  dort 
wohl  zu  einer  starkeren  Sdieidung  von  Natur  und  t'bernatur, 
Diesseits  und  Jenseits.  Kaisertum  und  Papsttum  gelangt  als  der 
Doctor  Angelicus:  in  der  Bestimmung  des  Grades  dieser  Sdiei- 
dung gehen  jedodi  die  Ansichten  auseinander.  Der  Verfasser  ge- 
hort  zu  jenen  Interpreten.  die  Dantes  eigentliche  Leistung  in  der 
Anbahnung  eines  rein  irdisdien  Humanismus  sehen.  und  arbeitet 
daher  dieses  Element  energisdi  heraus.  Dagegen  ware  nidits 
einzuwenden.  Menu  er  die  diristlidie  Komponente.  die  wesentlidi 
zu  Dante  gehort.  nidit  allzusehr  in  den  Hintergrund  dranste 
und  auRerdem  den  natiirlidien  Bereidi  des  Dantesdien  Weltbildes 
nidit  einseitig  intellektualistisdi  deutete. 

Gewifi  hat  der  Diditer  dem  Mensdien  die  Fahigkeit  zuge- 
sprodien.  kraft  der  rediten  intellektuellen  Einsidit  und  des  von 
ihr  gelenkten  Willens  die  vier  Kardinaltugenden  zu  erringen 
und  auszuiiben.  aber  er  vertraut  nidit  der  mensdilidien  Kraft 
allein.  er  weiR  um  die  Notwendigkeit  sowohl  der  zuvorkommen- 
den.  den  durdi  die  Erbsiinde  verdunkelten  Intellekt  erleuditen- 
den  wie  der  wirkenden  und  vollendenden  Gnade.  deren  Hilfe  der 
durdi  die  Siinde  geschwachte  Wille  nicht  entraten  kann.  Ohne 
diese  standig  nadi  oben  ziehende  Gnade  ist  die  Divina  Commedia 


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232 


FRIEDRICH  KEMPF  S.  J. 


nidit  zu  begreifen;  selbst  der  Begleiter  Vergil  ist  im  Grunde  ein 
von  oben   Beauftragter  und  insofern  ein  Gesclienk  der  Gnade. 
Der  pelagianische  Gedanke,  daH  der  Mensch  lediglidi  aus  eigener 
Kraft  zum  Garten  Eiden  zuriic'kfinde.  liegt  Dante  wohl  feme.  Und 
der  Lauterungsprozefi  im   Purgatorio  vollzieht  sidi   nidit  allein 
auf  dem  Wege  philosophisdi-intellektueller  Erkenntnis:  minde- 
stens  ebenso  withtig  ist  die  sUhnende  Tat.  Erst  Mit-leiden,  stei- 
gert  sie  sidi  im  Eeuerbad  zum  physisdien  Sdimerz  und  gipfelt  im 
Seelensdimerz    herzzerreifiender    Reue    und    Selbstanklage.    Die 
kirdilidien  Sakramente  fehlen  zwar,  aber  daraus  lassen  sidi  kei- 
ne  SdilUsse  im  Sinne  des  Verfassers  ziehen:  sie  fehlen.  weil  es 
nadi  diristlidier  Lehre  in  der  HoUe.  im  Fegfeuer  und  im  Ilimmel 
keine   Sakramente   melir   gibt.    Und   dodi    ist   die   Kirdie   —   die 
Ilolle  natiirli(b  ausgenommen  —   iiherall  da:  sie  umspannt  alle 
Frliisten  in  der  Commnnio  sanctorum.  Ihre  helfende  Hand 
reidit  sie  dem  sidi  lauternden  Diditer  in  Beatrice.  Daher  fehlt 
sie  audi  nidit  im  irdisdien  Paradies.  Denn  das  Imperium  nllein 
reuht  nidit  aus.  um  die  Einheit  zwisthen  Gott  und  Mensdi.  die 
in   der  Erbsiinde  verlorenging,   wiederherzuslellen.   Dies   diirfte 
besonders  deutlidi   der   in  der   Mitte  des   Edengartens   stehende 
Baum   zeigen.   der   Baum   der   Erkenntnis,   der  zugleidi   das   Im- 
perium bedeutet.  Er  ist  diirr  und  griint  erst  auf.  nadidem  der 
Cliristus  versinnbildende  (Jreif  die  Kreuzesdeidisel  des  Kirdien- 
wagens  an  den  Stamm  gebunden  hat.  Soil  dies  nidit  bedeuten. 
dafi  das  Imperium  erst  durdi  Christus  und   in   Verbindung  niit 
seiner  Kirdie  zu  seiner  lebenspendenden  Wirkung  kommt?  Ge- 
wif?  hat  Dante  dem  Imperium  eine  eigenstiindige  irdisdie  .\uf- 
gabe  zugeteilt.  vielleidit  ist  er  darin  sogar  weiter  gegangen.  als  es 
das  diristlidi-katholisdie  Verstiindnis  erlaubt.  vor  allem   in  der 
polemisdi  belasteten  ,.Monardiia'",  aber  er  hat  kaum  leugnen  wol- 
len.  da(?  der  Kaiser  zur  vollen  Wahrung  seiner  Aufgabe  des  Lidi- 
tes  der  Gnade  bedarf  und  daR  ihm  dieses  Lidit  hier  auf  Erden 
durdi  die  Kirdie  vermittelt  wird.  Und  wenn  er  audi  die  gliiubi'ze 
und  ungliiubige  Mensdiheit  im  Imperium  zusanimenfiihren  will, 
so  steht  ihm  das  Imperium  dodi  sidier  im  Gesamtplan  der  gott- 
lidien  Heilsokonomie.  die  die  Mensdiheit  ihrem  letzten  Ziel  zu- 
fiihren  soil.  Was  er  im  Grunde  unter  h  u  m  a  n  i  t  a  s  versteht.  offen- 
bart  der  Ausklang  der  Divina  Coinmedia  (lit  124— U1).  Wie  er 
dort  im  zweiten  gcittlidien  Kreis  das  Mensdienbild  sdiaut,  wird 


1 


Einwirken  der  Theologie  auf  die  Staatslehre  des  Mittelalters  233 

ihm  das  Verstandnis  des  Mysteriums  der  Mensdiwerdung  des  Lo- 
gos  und   damit   des   eigentlidien   Sinnes   von   hum  an  it  as   ge- 
sdienkt    und  zwar  nidit  durdi  eigene  Geisteskraft,  sondern  in 
Form  absoluter  Gnade:  „Da  war  mein  Geist  von  einem  Blitz  ge- 
troften,  in  dem  ihm  seiner  Sehnsudit  Stillung  kam."  An  dieser 
die   ganze   Diditung   zusammenfassenden   Aussage   durfte   jeder 
Versudi  fraglidi  werden,  der  Dantes  Grundhaltung,  soweit  sie 
die  human  it  as  betrifft,  auf  eine  rein  irdisdie  Humanitat,  auf 
eine  nidit  mehr  diristlidie  Erneuerung  ausgeriditet  sehen  modite. 
Einerlei,  ob  man  die  Dante-Interpretation  des  Verfassers  an- 
nehmen  oder  ablehnen  will,  sie  stellt  einen  Zug  heraus.  der  den 
methodisdien    Untersudiungsgang    des   ganzen    Budies   entsdiei- 
dend  bestimmt.  Aus  der  Fiille  der  Ersdieinungen  und  Ideen  muR- 
te  der  Verfasser  das  auswiihlen,  was  zu  seinem  Thema  etwas  bei- 
zutragen    verspradi.    Diese    notwendige    Isolierung    bestimmter 
Aspekte  wird  ihm  vielleidit  da  und  dort  vonSpezialisten.  vor  allem 
der  Verfassungs-  und  Reditsgesdiidite.  Kritik  eintragen.  Sie  kann 
dem  Werk  als  soldiem  wenig  anhaben.  Denn  aufs  Ganze  gesehen, 
liegt  hier  eine  bewundernswerte  groHe  Leistung  vor,  die  audi  da 
nodi  befruditend  wirkt.  wo  immer  Widersprudi  sidi  regen  sollte. 


f 


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SANCTA  SANCTORUM 


VonOTTONUSSBAUM 


LJas  Missale  Romanum  liifit  den  Priester,  wenn  er  bei  der  Feier  der 
heiligen  Messe  nach  dem  Stufengebet  zuni  Altar  emporsteigt,  die 
Oration  spredien:  Aufer  a  nobis,  quaesumus,  Domine,  iniquitates 
nostras:  ut  ad  sancta  sanctorum  puris  mereamur  mentibus  introire. 
Die  vorliegende  Studie  modite  ein  Dreifaches  untcrsuchen:  I.  Was 
ist  unter  sancta  sanctorum  zu  verstehen?  —  II.  Was  besagt  die- 
ser  Ausdruck  in  der  genanntcn  Oration?  —  III.  Wie  kara  dieses  Gebet 
an  seinen  heutigen  liturgisdien  Ort? 


Im  Hebriiischen  kann  der  Superlativ  durdi  Nebeneinanderstel- 
lung  des  gleidien  Substantivs  im  Singular  und  Plural  ausgedriickt 
werden,  z.  B.  nnijfn  vc"  (Cant  1,  1)  und  a'c'ii^n  r:hp  (Ex  26,  55).  Audi  der 
griediischen  Sprache  ist  dieser  Superlativ  nicht  fremd:  y.x/.x  xaxdiv 
(Soph.,  Oed.  C  1258),  appr,T'  app/iTOJv  (Soph..  Ocd.  R  465),  iT/y-x  irjyy-ui-/ 
(Ael.  Aristid.  46,  260  D).  In  die  liturgisdie  Spradie  der  Kirdie  haben 
ahnliche  Formeln  Eingang  gefunden:  rex  regum,  per  saecula  saecu- 
lorum,  virgo  virginum,  solemnitas  solemnitatum  *.  Mit  qodes  haqodasim 
bezeidinet  die  HI.  Sdirift  also  etwas,  das  durdi  besondere  Heiligkeit 
ausgezeidinet  ist,  das  alles  andere  an  Heiligkeit  iiberragt:  das  Aller- 
heiiigste. 

Welche  Sache  erhiilt  nun  in  der  Heiligen  Sdirift  diesen  Titel?  Wie- 
derholt  wird  mit  qodes  haqodasim  der  hintere  Raum  des  Tempels  be- 
zeidinet, in  dem  die  Bundeslade  stand  und  den  der  Hohepriester  nur 
einmal  im  Jahre  betreten  diirfte:  es  ist  das  Haus  des  Allerheiligsten 
(2  Chr  5,  8;  5,  10).  In  den  Bauanweisungen  fiir  den  Tempel  wird  diesem 
Raum  immer  wieder  dieser  Name  bcigelegt  (Ex  26,  55  f.;  1  Kg  6,  16; 
7,  50;  8,  6;  2  Chr  4,  22;  5,  7,  aufierdem  Ez  41,4).  In  weiter  gefafitem  Sinne 
dient  qados  haqodasim  zur  Benennung  eines  heiligen  Ortes  in  1  Chr  6, 
54;  25,  15  und  bei  Ez  45,  12;  44,  15;  45,  5;  48,  12  sovvie  Dan  9,  24.  Aber 
audi  kultisdie  Cerate  gelten  als  hodiheilig:  der  Altar  und  sein  Ceriit 
(Ex  29,  57;  40,  10).  der  Raudieraltar  (Ex  50,  10).  die  Schaubrote  (Lev  24, 
9),  oder  auch  die  Cesamtheit  aller  Cegenstande  des  Ileiligtums  (Ex  50, 

*  Notker  Balbulus  beginnt  die  Sequenz  vom  Oktavtag  von  Ostern  mit 
den  Worten:  Haec  est  sancta  solemnitas  solemnitatum  insignita  triumpho 
Christi  (F.  W  u  1  f ,  Die  Ostersequenzen  des  Notker  Balbulus:  Paschatis  sol- 
lemnia   [1959]    139  f.). 


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\KiMKlN  1 


Ernest  H.  Kantorowicz,    The  Kinii's  Tico 
Bodit'i:   A   Study  in   Medieval  Political 
Theology.      Pp.    xiv.    567.      Princeton: 
Princeton  University  Press,  1957.   $10.00. 
In.spired  by  a  conversation  with  the  late 
Max   Radin    and   provoked   by    Maitland's 
caustic  study  of  the  fiction  of  the  kinc  as 
corporation    sole.    Profe.ssor    Kantorowicz 
was  led  to  a  painstaking  and  richly  reward- 
ing research  into  the  originative  elements 
of  the  theory  of  the   King's  Two   Bodies 
which  underlay  the  convenient  lecal  device 
which  seventeenth  century   English  jurists 
contrived  for  the  interests  of  the  Crown. 

The  first  clear  elaboration  of  the  King's 
Two  Bodies  appeared  in  Edmund  Plow- 
den's  Reports: 

"For  the  King  ha.-;  in  him  two  Bodies. 
viz..  a  Body  natural,  and  a  Body  politic. 
His  Body  natural  is  .  .  .  subject  to  all 
Infirmities  that  come  by  N'ature  or  .Acci- 
dent. .  .  .  But  his  Body  politic  is  a  Body 
that  cannot  be  seen  or  handled,  consisting 
of  Policy  and  Government  .  .  .  and  this 
Body  is  utterly  void  of  .  .  .  natural  defects 
and  Imbecilities,  which  the  Body  natural 
is  subject  to.  and  for  this  Cau.se.  what  the 
King  does  in  his  Body  politic,  cannot  be 
invalidated  or  frustrated  by  any  Disability 
in  his  natural  Body." 

The  historical  antecedents  of  this  juridical 
distinction  of  the  two  bodies  reach  back 
into  the  political  theologism  of  the  early 
medieval  theories  of  kingship.  From  Chris- 
tology  come  the  duality  of  natures  and 
one  divine  person;  from  ecclesiology.  the 
doctrine  of  the  corpus  mysticum;  from 
sacramental  theology,  the  objective  validity 
of  sacerdotal  ordination  and  episcopal  con- 
secration, derived  from  the  medieval  prac- 
tice   of    annointing    kings    and    emperors. 


First  the  political  theorists  and  then  the 
jurists  appropriated  the  elements  which, 
mutatis  mutandis,  provided  the  basis  for 
the  perpetuity  and  transcendini?  ditrnity  of 
royal  office  and  institution  however  mortal 
and  defectible  its  human  agency.  Well 
micht  Maitland  remark  that  the  Endish 
jurists  were  compounding  "a  creed  of 
royalty  which  shall  take  no  shame  if  set 
beside  the  .\fhanasian  symbol."  In  the 
twelfth  century  both  canon  law  and  civil 
law  made  possible  a  shift  of  emphasis  from 
christolopical  excmplarism  to  a  new  and 
more  secular  duality  of  kin"  and  law  and, 
with  the  emerging  distinction  between  pri- 
vate and  public  law.  the  contrast  between 
the  private  and  public  personality  of  the 
royal  ruler.  The  dualities  of  Bracton's 
kins,  above  and  below  the  law.  the  con- 
stitutional development  of  the  thirteenth 
and  fourteenth  centuries,  and  the  gradual 
evolution  of  the  En'dish  parliamentary  in- 
stitution conspired  to  the  construction  of 
a  corporative  theory  of  the  state  whereby 
the  king  became  incorporated  with  his  sub- 
jects and  they  with  him.  The  sempiternity 
of  the  King's  body  politic  in  Enchnd  was 
untouched  by  the  decapitation  of  the  natu- 
ral body  of  Charles  I  vhereas  in  France 
the  dissolution   was  complete. 

The  titles  of  the  five  middle  chapters 
outline  this  development:  "Christ-Centered 
Kingship."  "Law-Centered  Kineship."  "Pol- 
ity-Centered Kingship:  Corpus  Mysticum," 
"On  Continuity  and  Corporations,"  "The 
King  \ever  Dies,"  Even  the  poets  gave 
expression  to  this  humanly  created  dualism. 
Shake.speare's  Richard  II  reproaches  him- 
self for  turning  traitor  to  his  own  immortal 
body  politic,  and  we  are  treated,  in  Dante, 
to  a  fascinatin?  study  of  his  expansive 
concei)tion  of  IJumanitas  in  his  man-cen- 
tered kingship  as  the  perpetual  actualiza- 
tion of  all  human — and  royal — potencies. 

Words  cannot  do  justice  to  the  vast  cru- 
precision.    and    masterful 


jition.    schola rh 

control  ot  the  author  in  the  use  of  original 


sources — much  of  it  not  so  easiT>~accessible 
fcTmedicvalists — and  of  secondary  litera- 
ture. This  carefully  and  richly  dociiniented 
graced  by  an  excellent  Bibliog- 
plates  which  "are 
the    arguments 


b}- 

and    ttiirty-two 
pointedly    illustrative    of 


within    the 


volume.      There 


is    jusy 

//r 


one 


7 


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204 


The  Annals  of  The 


desideratum,  reluctantly  made.  One  had 
almost  wished  that  the  author's  concentra- 
tion on  symbolism  had  allowed  for  a  more 
evident  appreciation  of  the  jiractical  utility 
of  the  fictions  which  the  Enjrlish  jurists 
contrived  for  the  daily  and  urgent  business 
of  securing  private  and  public  rights,  privi- 
leges, and  prerogatives  in  public  law. 

Joseph  F,  Cost.wzo,  S.J, 

Professor  of  Political  Philosophy  and 
Historical  Jurisprudence 

Fordham  Universitv 


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EP5" 

ARCH  v:o  t 

Dispense 


l||       Lei   ii'-i 

Notiiie 


iii-i    >    8 


437 


pp.  :)I-.)8.  -  Invcntano  «>iiiniari<)  delle  carte  appartenute  ai  ronventi  sop- 
prcssi  (lella  diocesi  li&solana,  coiiservate  ncU'Archivio  di  Slato  di  Fircnze 
(Cx>r|«)razioni  religiose  soppresse  dal  Govcnio  Krancese,  soppresse  dal  Go- 
verno  Italiano,  Diplomati(o),  preceduto  da  una  l,reve  inlrodu/ione  the  i.e 
traccia  la  storia  arthivistica. 

iMiquel  Hattlori,  I'uil  segles  de  cultura  cataUma  a  Euroba. 
AsunfTs  dispersos,  con  prciazioni,  di  Jordi  R  u  b  i  6  ,  Barcellona.  Editorial 
Se lecta,  19o8.  -  Idcalmente  collegati  tra  loro  come  ricerche  sui  monienti 
della  stona  letlerana  c  poliiita  catalana,  si  pubblicano  quattordici  saggi  del 
Battlon,  Che  illuslrano  la  (lim.sionc  di  quclla  civilta  ncl  Meditcrraneo  c  nel- 
1  Kiiropa,  dairxi  al  XI\  .sccolo.  Gli  argonienti  sono  i  seguenti:  L'antito- 
misme  pmtoresc  d'Aniau  de  Vilanova,  La  fortuna  de  Ramon  Hull  a  Italia 
La  Hengua  catalana  a  la  Govt  d'Alexandre  VI,  Humanisme  i  erasmisme  a 
liarcetona,  Els  mallorquins  a  Trento.  Catalunya  entra  en  la  Guerra  dels 
Trenta  Ariys.  C.ranan  en  t'amhient  politico-cultural  de  la  Corona  d'Arago 
Lujs  lidnl,  catald  extravagant,  a  America  i  a  Anglaterra,  El  cardena'l 
Uespuig,  Lis  exiltats  valencians  (i  gesuiti  oriundi  dell'antico  regno  di  Va- 
le-ncia,  espulsi  da  Carlo  III  nel  1767),  I.'escola  cerverina  i  la  seva  pojeccid 
europea,  Balmes  i  I'Europa  del  sen  temps,  Costa  i  I.lobrera  a  Roma.  Ruben 
Darto  a   Catalunya  i  Mallorca. 

Fa  us  to  Nicolini,  Scorrihande  presepiali,  Napoli,  Azienda  di 
Soggiorno  e  Tunsmo,  1957.  in  8",  pp.  68.  -  Con  ricchezza  di  <locumcntazione 
e  con  stile  efgantis.simo,  I'A.  studia  la  tradizione  napoletana  del  I'resepio 
inquadrandola   nclla   storia  sociale,  artistica  e  folrlori.stica  cittadina:    la  ri- 

"ZTJ^  f""v  '-"r"".-""  ''^^""'  '*'''  P'"  ''"  P^^^^^P'  ^'■"^'"'  attualmente  con. 
^rvati  in  Napoli  tp.sodi  gustosi  tratti  dalla  storia  cittadina  niostrano 
limportanza  del  Presepio  nella  religiosity  napoletana,  non  disgiunta  da 
manifestazK.ni  popolaresche  e  da  epi.sodi  di  costume  che  I'A.  ricorda  sulla 
base  di  document!  tratti  dagli  archivi  di  enti  leligiosi  e<i  economici  parte- 
nopei  di  cui  e  profondo  cono.scitore. 

Leo  Santifaller,  liemerkungemur  Vrkunde  Kaiser  Fridrichs  I 
fur  das  Domhapitel  von  Cittd  di  Casletlo,  von  116}  nov  6  (St  39SS  a) 
con  una  tavola  in  Archivalia  et  Hislorica,  in  onore  di  A.  Largiad^r,  Zurich 
Verlag  Bcrichthaus,  mn.  -  Magistralc  commento  archivistico,  paleografico 
e  diplomatico  del  diploma  fredericiano  che  conferma  possedimeiui  e  diritti 
al  Capitolo  di  CitlA  di  Castello. 

Enrst     H      Kantorowicz.     The    King's   two   bodies.   Princeton 
Umversuy  Press   1957  in  8",  pp.  568,  con  $2  illustrazioni.  -  La  finzione  legale 

d.  studio  da  parte  dei  giunst.  del  pcriodo  Tudor,  che  lo  sottoposero  ad  una 
analis,  de.tagliata^  Uno  dei  punti  principali  di  questo  lavoro  ^  lesame  del 
1  opera  <i  F.  W.  Maitland,  The  Crown  a.s  Corporation,  che  raostrava  i  pa- 
radossi  di  questa  finzione.  L'A.  continua  Tcsame  del  problema  posto  alia 
teoretica  politica  medioevale,  e  dimostra  come  le  moderne  monarchie  occi- 
dentah  sviluppatx>no  una  .  teologia  politica  .,  fondata  sul  principio  della 
continuua  dello  .Stato  (.11  Re  non  muore  mai  ..  .i  due  corpi  del  iRe  .) 
Questa  icona  permise  ai  legisti  di  confondere  il  concetto  per.sonale  con 
quelle  impersonale  del  governo. 


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REVIEWS 


281 


which  offer,  nuhlcss  strength  aXffidccTL^htS  ^  .MT^l 
are  mseparable  from  parliamintary  ^.Zl^^S- 'l^l'l^r''"'""- 

finds  vindictive  humor  in  the  summarv  nf  tJ..  r  P'^*^^'^."^  reviewer 
"There  is  no  God  and  KarrM^T  his  Prophet  "Tp'  ""''^-  "^ 
appeals  to  Muslims  it  is  not  becaus^  there  s^a  doctrinal  a^LTr 
tween  Islam  and  Communism,  but  rather  because  We  tern  secula^^^^^ 
has  undermined  the  traditional  Islamic  way  of  life  and  on  the  nnlh^^ 
plane  the  Western  powers  have  alienated\he  peopli  of  the  M^^^^^^ 
East  thus  creating  a  political  and  ideological  v^acuuS  wh  ch  wilf  be 

fU  l^^A^"^^  ^^'  ^^^""^  '"  *^^  ^'^^1^  East  as  well  as  in  the  eyes  of 
he  Middle  Easterners.  It  is  from  this  point  that  one  should  examine 
the  appeal  of  the  Soviet  Union  to  the  Arabs.  Hence  DrNabih  Paris 
concludes  a  siniilar  essay  with  the  cogent  statement  that  "The  /riev 
ances  most  of  the  Muslim  world  have  against  the  West  the  conchtbm 
under  which  Mus  ims  live,  and  the  legitimate  urge  felt  by  them  "o 
break  the  spel  of  Western  hegemonyf  tempt  the  faithful  to  make 
eague  even  with  the  devil,  especially  when\he  devil  has  donnTd  a 
turban  h^  partly  concealed  his  hammer  and  sickle  under  Trnewly 
acquired  burnous,  so  as  to  make  it  look  more  like  a  crescent-and 
finally  has  started  to  quote  the  "Qur'an"  (p.  359) .  crescent     and 

_^_,.^,^___        — Fauzi  M.  Najjar 
POLITICAL   THEOLOGY  AND  LEGAL  FICTION* 

th.T?  '^.^^^'^  tliat  Professor  Kantorowicz  has  at  once  isolated  one  of 
the  most  remarkable  theories  of  the  English  Renaissance  and  at  the 
same  time  has  given  us  a  very  rich  sense  of  the  long  tradition  and  com 
plex  history  of  the  idea  of  the  King's  Two  Bodie!  which  takS  us  T" 
Maitland's  phrase,  "deep  into  the  legal  and  political  thought  of 'the 
Midd  e  Ages  '-to  declare  this  is  to  give  some  appreciation  of  Kantor- 
oWs  imaginative  leap  beyond  Maitland's  cry^to-ironic  commenta,;. 
♦Ernest  H.  Kantorowicz:    The  King's  Two  Bodies-  A   V/«^v  ,V,   J^  j-         , 


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on  "The  Crown  as  Corporation"  and  at  the  same  time  to  pay  tribute 
to  the  truly  extraordinary  scholarship  which  grounds  this  essay  so  that 
It  is  inmaediately  one  of  the  landmarks  of  the  history  of  politics  and 
speculative  theology  (or,  as  the  subtitle  suggests,  of  that  land-between 
of  political  theology). 

The  title  of  this  review  is  intended  to  serve  as  a  shorthand  for  the 
book  under  review  and  for  some  aspects  of  my  comments  on  it.  The 
book  itself  is  concerned  with  one  leading  theory,  the  fiction  (as  the 
author  writes  in  his  preface)  "of  the  King's  Two  Bodies,  its  trans- 
formations, implications,  and  radiations."  The  two  bodies  —  the  body 
politic  and  the  body  natural  —  was  of  course  a  legal  fiction,  developed 
by  the  English  jurists  of  the  Tudor  period.  The  great  historian  Mait- 
land  found  in  Edmund  Plowden's  Reports,  which  though  begun  earlier 
were  collected  and  written  under  Queen  Elizabeth,  "the  first  clear 
elaboration  of  that  mystical  talk  with  which  the  English  crown  jurists 
enveloped  and  trimmed  their  definitions  of  kingship  and  royal  capaci- 
ties." The  cause  celebre  concerned  the  Duchy  of  Lancaster,  which  the 
Lancastrian  Kings  had  owned  as  private  and  not  Crown  property;  it 
was  tried  in  the  fourth  year  of  Elizabeth's  reign.  Plowden  reports 
that  the  crown  lawyers  all  agreed  "that  by  the  Common  Law  no  Act 
which  the  King  does  as  King,  shall  be  defeated  by  his  Nonage.  For 
the  King  has  in  him  two  Bodies,  viz.,  a  Body  natural,  and  a  Body 
politic.  His  Body  natural  (if  it  be  considered  in  itself)  is  a  Body  mor- 
tal, subject  to  all  Infirmities.  .  .  .  But  his  Body  politic  is  a  Body  that 
cannot  be  seen  or  handled,  consisting  of  Policy  and  Government,  and 
constituted  for  the  Direction  of  the  People,  and  the  Management  of 
the  pubUc  weal,  and  this  Body  is  utterly  void  of  Infancy,  and  old  Age, 
and  other  natural  Defects  and  Imbecilities,  which  the  Body  natural 
is  subject  to,  and  for  this  Cause,  what  the  King  does  in  his  Body 
politic,  cannot  be  invalidated  or  frustrated  by  any  Disability  in  his 
natural  Body." 

There  is  nothing  like  the  English  concept  of  the  King's  Two  Bodies 
on  the  Continent,  Kantorowicz  writes,  and  the  idiom  of  this  concept 
cannot  easily  be  dismissed  from  English  political  thought :  it  explains 
the  action  of  Parliament  with  Charles  I  in  1642,  and  Kantorowicz 
uses  the  poet's  vision  of  the  twin  nature  of  a  king  to  illuminate 
Shakespeare's  Richard  II  (and  the  success  of  this  enterprise  leads  one 
to  hope  that  the  author  will  bring  his  unrivalled  background  to  further 
readings  of  Renaissance  political  literature) .  One  can  only  suggest  the 
further  course  of  this  study  of  the  King's  Two  Bodies  by  indicating 
the  path  by  which  Kantorowicz  traces  the  historical  problems  back  to 
the  Middle  Ages  and,  by  placing  the  concept  in  its  full  context,  dem- 
onstrates the  genesis  of  the  concepts;  the  chapter-headings  point  the 
way:  Christ-Centered  Kingship,  Law-Centered  Kingship,  Polity- 
Centered  Kingship:  Corpus  Mysticum,  On  Continuity  and  Corpora- 
tions, The  King  Never  Dies,  and  Man-Centered  Kingship:  Dante. 
In  the  Epilogue  in  summarizing,  it  is  recognized  that  "isolated  features 
are  recognizable  in  classical  political  philosophy  and  political  theology 


i 


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REVIEWS 


283 


which  would  suggest  that  the  substance  of  the  idea  of  the  King's  Two 
Bodies  had  been  anticipated  in  pagan  Antiquity.  Moreover,  it  sounds 
plausibk  enough  that  one  or  another  of  diose  antique  theorems  be- 
came effective  in  the  High  Renaissance  when,  in  addition  to  the  liter- 
ary sources,  the  archaeological  and  numismastic  material  also  became 
available  again.  There  is  no  doubt  that  the  classical  model  occasionally 
served  to  rationalize  certain  phenomena  (as,  for  example  the  display 
ot  effigies  at  royal  funerals)  which  had  originated  and  developed  from 
totally  different  conditions  and  strata.  .  .  .  [But]  there  is  nevertheless 
one  detail  which  would  exclude  a  pagan  origin  of  the  Tudor  formula 
from  the  outset;  that  is,  the  concept  of  the  king  having  two  Bodies 
Notwithstanding,  therefore,  some  similarities  with  disconnected  pagan 
concepts,  the  King's  Two  Bodies  is  an  offshoot  of  Christian  theological 
thought  and  consequently  stands  as  a  landmark  of  Christian  political 
theology.  The  book  is  richly  illustrated  and  magnificently  docu- 
mented; there  is  a  "selected  bibliography"  of  thirteen  pages  and  (be- 
sides numerous  cross-references)  a  36-page  index,  which  is  a  model  of 
fullness  and  accuracy.  No  scholar  could  ask  for  a  more  readable  text 
or  a  more  clearly  marked  chart  through  "rarely  explored  thickets,"  or 
a  better  Vergil  to  guide  him  in  his  own  scholarly  pilgrimage. 

The  scholarship  is  meticulous  —  the  range  of  erudition  (the  classics 
are  summoned,  history,  mediaeval  law,  Dante,  ecclesiastical  studies, 
theology  and  philosophy,  numismatics  and  iconography),  the  control 
of  secondary  scholarship,  and  painstaking  accuracy  in  the  most  minute 
detail:  all  this  is  indeed  mcticulouis  and  gives  fresh  testimony  to  that 
passionate  scholarship  which  has  given  his  students  so  lofty  a  standard 
against  which  to  measure  their  own  work.  And  all  is  subsumed  into 
an  imaginative  journey  that  is  of  a  very  high  order  of  the  mind.  In  a 
patient  check  of  references  I  have  found  few  errata  in  this  model  of 
scholarship  (for  example,  on  pp.  363  and  523,  read  Original  for  Old) 
and  only  one  or  two  very  minor  lapses  of  control  —  for  example,  at 
p.  138  n.  159,  in  discussing  the  term  iuris  religio,  the  author  writes 
'  since  religio  was  defined  according  to  Cicero,"  and  cites  H.  Kan- 
torowicz,  Studies  in  the  Glossators  of  the  Roman  Law;  but  it  is  a 
Master  G.  that  H.  Kantorowicz  is  here  quoting  and  not  Cicero 
(though  an  intermediate  florilcgium  that  seems  to  be  Master  G's 
source  at  this  point  is  following  Cicero).  Or,  on  p.  469,  in  indicating 
the  materials  and  scholarship  on  allegories  of  the  virtues  and  vices, 
S.  C.  Chew's  Alexander  Lectures  in  the  University  of  Toronto,  The 
Virtues  Reconciled  (Toronto,  1947)  might  well  be  added,  particularly 
because  of  Chew's  focus  on  the  Tudor  period  and  because  it  is  like 
much  of  Kantorowicz's  fruitful  bringing  together  of  iconography  and 
literary  studies.  But  this  is  little  chaff  to  add  to  the  magnificently 
harvested  research  of  Kantorowicz,  and  one  can  best  express,  simply, 
awe  at  the  emdition,  pleasure  in  the  lucid  reasoning  and  splendid 
ordonnance  of  the  writing,  and  above  all  gratitude  for  the  book  as 
a  whole. 

There  are  three  reflections  I  should  like  to  offer  after  reading  the 


284 


THE  REVIEW  OF  POLITICS 


Second,  the  author  declares  that  the  study  "will  have  erved  pui' 
pose  of  calling  attention  to  certain  problems  if  the  reader  detects  manv 
more  examples  or  places  relevant  to  the  King's  Two  Bodies  and  manv 
more  mterrelations  with  other  problems  than  the  author  nt^aTed' ' 
The  problems  of  dualities  present  in  ecclesiastical  officS^is  one  reci 
nued  by  the  author,  and  that  must  soon  be  explored  The  Tntef 
oiwh"  "^r'^'^^^^l  lawyer,  with  the  tradition  o  he  Red  Mas  ' 
one  which  the  present  writer  has  begun  to  explore.  One  may  supS>^ 
that  a  number  of  studies  in  vernacular  literatures  will  be  geSeffi 
number  of  studies  m  vernacular  literatures  will  be  SSed  and 
sumulaed  by  this  book  -  especially  in  Middle  Englifh  where  the 
political  literature  again  and  again  offei^  rich  rewards  to  thL  student 
of  politics  (and,  one  may  suppose,  of  political  theology.) 

.fJr^^'    u'  ''""^y  ^^'  '""'^^  relevance  as  an  attempt  to  under- 
tand     by  what  means  and  methods,  certain  axioms  of  a  pohtica 

leth 'Sit^^^'bri^l'J  rT'r  "^  T  ^^™^^"  valid^ndl'thrS 
uein  century,  began  to  be  developed  during  the  later  Middle  Aee^  " 

Certainly  there  is  great  relevance,  and  even  urgency  in  viewin/the 
ZS"T  °'  n"""  ^^nP^^"  °^  '^'  sovereign  site  and  its%er! 
E  ofl^r"""/  ^'^''^'  ^^'"^'  ^"^  °^hers)  exclusively  from  The 
point  of  view  of  presenting  political  creeds  such  as  they  were  ^nder 
tood  in  their  initial  stage  and  at  a  time  when  they  served  la  vehic t 
for  putung  the  early  modem  commonwealths  on^their  own  feet " 

-  -   .  — R-  J.  SCHOECK. 

DE  TOCQUEVILLE* 

viilP^'T-f  ^r^  ^^'''°''''  ^•^^^•■tation  deals  with  the  period  in  Tocque- 
vlles  life  that,  except  for  his  youth,  has  been  least  explored  by 
h^ans  and  commentators.     The  usual  emphasis  on  Tocqueville's 

ohc  University  of  America  Press.   Pp.  201.   $3.00.)        ^  "^^'"'"S'""-    '^e  Gath- 


n    L    u    L 

u    J      I    u 


Sonderdruck  aus 


ALFRED  GOTZE 
Fruhneuliochdeutsches  Lesebuch 

4.,  von  Hans  Volz  durchgesehene  Aufl.  1958.  VI  und  172  Seiten, 
kart.  8.80  DM 

„Die   sorgfaltig    getroffene   Ausw.l.I    de,   friihneahochdeutschen    Lesebuch,   i,t   in    ieder 
R.ch,u„g  v.eUeU,g  und  mannigfalti,-:  zoitlieh  von  1444- 1616,  raumUch.  weil  vie  e  Wh 

vnl  Z  .  '"""'"""'•  'l'"^"'^  Lesebuch  kaan  nicht  nachdraddich  genug  fur  die  Zwecke 

.on  Sen.,narubungen  empfohlen  werden."  ^upHorL  J  I.  lujh^e 

FERDINAND  HOLTHAUSEN 

Vergleichendes  und  Etymologischcs  Worterbuch 

des  Altwestnordischen 

1948,  338  Seiten,  brosch.  38,~  DM,  Ln.  41,~  DM 

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FRITZ  RORIG 

Die  europaiscbe  Stadt  und  die  Kultur  des  Burgertums 

im  Mittelalter 

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(Kleine  Vandenhoeck-Reihe,  Band  12/13)  engl.  brosch.  3,60  DM 

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eu.opii.scbe  S.^dtewesen  des  »,i„e,a.te.,  de.uns  in  deutscber  Sp.arhrzur  Ve^Stg  steM'" 

V,eneljahre,$chriflf.  So.ial-  and  (Firhcha/Lguchichle 

HEINRICH  SCHMIDT 
Die  deutschen  Stadtechroniken 

als   Spiegel   des    burgerlichen    Selbstverstandnisses   im    Spatmittelalter 

(Schrifteureihe  f"    Historischen    Kommission    bei    der    Bayerischen 

Aicademie  der  Wissenschaften,  Schrift  3) 

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.es  B.ge„  von  sicb  seibs..  Diese  .npu^^  enTJri::!^^;.^.^?^^:^ 
Gesch.cbt.auff«,sung  des  Spiitmitlelalters. 

VANDENHOECK  &  RUPRECHT  IN  GOTTINGEN  UND  ZtRICH 


i 


©eleprte  5(njeigen 

uttfet  Stuffiest  bet  ^tabemk  bet  SBiffettfc^aften 


212.  JAHRGANG 


Nr.  1/2 


1958 


INHALT 

Ingemar  During  /  Aristotle  in  the  Ancient  Biographical  Tradition. 

Von  Olof  Gigon 1 

Louis  Renou  /  Terminologie  grammaticale  du  Sanskrit.  Von  Paul 

Thieme 19 

Jan  de  Vries  /  Altnordisches  etymologisches  Worterbuch.  Liefe- 

rung  1 — 3.  Von  Wolfgang  Krause 49 

Emet   Hermann   Kantorowicz  /  The   King's   Two   Bodies.    Von 

Wiebke  Fesefeldt 57 

Karl  Gottfried  Hugelmann  /  Stamme,  Nation  und  Nationalstaat 
im  deutschen  Mittelalter  (Nationalstaat  und  Nationalitatenrecht 
im  deutschen  Mittelalter  Bd.  I).  Von  Reinhard  Wittram     ....       67 
F.  Saxl  /  Lectures,  ed.  G.  Bing.  Von  Percy  Ernst  Schramm   ...       72 
Hermann  Rinn  (Herausgeber) /Augusta  955 — 1955.  Forschungen  zur 
Kultur-  und  Wirtschaftsgeschichte  Augsburgs.  Von  Ulrich  Cramer       77 
Wolfgang  Kayser  /  Das  Groteske,  seine  Gestaltung  in  Malerei  und 

Dichtung.  Von  Leo  Spitzer 95 

Richard  Hamann  /  Die  Abteikirche  von  St.  GiUes  und  ihre  kiinst- 
lerische  Nachfolge.  Von  Harald  Keller 110 


^anbenl)oed  &  Dluptec()t  in  ©dtfingett 


'  /    L     U 
U     J       I 


Gednickt  mit  Untorstfltning  dM  BundeBlnnenminlsteriums 

VerantwortUch  fUr  die  Redaktlon:  Dr.  O.  Patzig.  Gottingen,  CalsowstraCe  23a 

Gesamtherstellung:  Hubert*  Co.,  OOttlngen 


Ernst  Hermann  Kantorowicz,  The  Kings  Two  Bo.lios.  A  Study  in  Me- 
diaeval Political  Theology.  Princeton  University  Press,  Princeton,  ^ew 
Jersey  1957.  XVI  iind  568  S.,  32  Abh. 

In  einer  launigen  Einleitung  schildert  der  Verfasser  den  Stein  des 
AnstoBes  zu  seinem  Werk,  oder  doch  einen  der  vielen:  seine  Verwinide- 
rung  liber  die  in  den  USA  anzutreffende  firmenrechtliche  Umschreibung 
kirchenrechtlicher  Verbande.    So  heiBt  z.B.  eine  Monchskongregation 

Inc  ",  anf  deutsch  also  etwa  „AG"  oder  auch  „GmbH'-.  Der  Erzbischof 
von  San  Franzisco  kann  als  eine  Gesellschaft  figuneren,  und  zwar  als 

corporation  sole  •,  d.h.  als  eine  Gesellschaft,  die  gleichzeitig  nur  aus 
einem  Mitglied  besteht.  Der  Verfasser  weist  auf  eine  nahehegende  Pa- 
rallele  auf  die  englische  Konzeption  der  Krone  als  einer  Korporation 
bin  und  stellt  die  Frage  nach  dem  korporativen  Charakter  ursprunghch 
mittelalterlicher  Herrschaftsbegriffe.  Ausgehend  von  der  Konzeption 
der  King's  Two  Bodies  will  er  einen  Beitrag  zur  mittelalterlichen  poli- 
tischen  Theologie  geben.  Die  Grundthemen  des  Werks  sind  im  Begriff  der 
King's  Two  Bodies  beschlossen:  einmal  die  obengenannte  Frage  nach 
der  Korporation  und  zum  andern  die  Frage  nach  dualistischen  Span- 
nungen  innerhalb  der  Einheit  des  Konigsbegriffes. 

Die  Konzeption  von  den  zwei  Korpern  des  Konigs,  dem  naturhchen 
und  dem  politischen,  hat  der  Verfasser  nur  als   „unifying  principle 
(S  IX)  gewahlt;  von  ihm  aus  untersucht  er  aus  einer  ungemem  reichen 
Kenntnis  des  Mittelalters  alle  ahnlichen  und  verwandten  Vorstellungen, 


n    L    u    o 

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58 


Wiebke  Fesefeldt 


die  sich  in  Theologie.  Rechtsgeschichte.  Philosophie,  Literatur-  und 
Kunstgescliichte  finden:  zentriert  sind  indessen  alle  diese  Beispiele  und 
Variationen  auf  den  Staat  hin.  dessen  Anfange  im  Mittelalter  das  un- 
ausgesproehene,  sozusagen  heimliche  Thema  des  Werks  sind. 

Ein  Cberblick  iiber  den  Inhalt  mag  den  Charakter  des  Werks  ver- 
anschaulichen.  Der  Verfasser  erliiutert  zunaohst  an  Hand  einer  Rechts- 
quelle  der  elisabethanischen  Zeit  die  spezifisch  englische  Fiktion.  daB 
der  Konig  zwei  Korper  habe.  einen  natiirlichen  (body  natural)  und  einen 
politischen  (body  politic),  der  auch  der  mystische  genannt  werdenkonne 
Das  erste  Kapitel  (The  Problem :  Plowdens  Reports)  legt  den  C^gen- 
stand.  der  im  folgenden  von  alien  Seiten  angegangen  werden  soil,  dar 
Ehe  der  Verfasser  jedoch  die  freigelegten  Strange  aufgreift,  geht  er  auf 
em  scheinbar  nicht  allzu  naheliegendes  Beispiel  fur  Differenzienmgeu 
nmerhalb  des  Konigsbildes  ein:  er  zeigt  an  Shakespeare's  Richard  II 
daB  im  Herrscher  psychologisch  dreierlei  liegen  kann :  Konig,  Gott  unci 
Narr.  Damit  ist  gewissermaBen  der  Stil  der  nun  folgenden  strengsach- 
hchen  Kapitel  angegeben:  Xiichtern.  aber  in  hellsichtiger  Einfiihlungs- 
gabe  analysiert  der  Verfasser  in  drei  groBen  Sektionen  die  Elemente.  die 
m  der  Theorie  der  King's  Two  Bodies  zusammengeschmolzen  sind. 

Der  erste  Block  (Kapitel  III :  Christ-centered  Kingship)  und  Kapitel 
I\  :  Law-centered  Kingship)  untersucht  die  Frage  der  dem  Konigtiun 
immanenten  Dualismen.  Eine  Grundspannung  ist  die  der  christologischen 
Duahtat  von  menschlicher  und  gottlicher  Natur,  eine  andere  diejenige 
die  mit  dem  Richterauftrag  des  Konigs  gegeben  ist.  Kapitel  I\'  hat 
wenig  mit  Xaturen-  oder  Korporationslehren  zu  tun,  aber  es  faBt  das 
staatsrechtlich  so  wichtige  13.  Jahrhundert  unt«r  dem  Gesichtspunkt 
der  Spannung  zwischen  dem  rechtsgebundenen  und  dem  rechtsgelosten 
Konigtum  wie  in  einem  Brennpunkt  zusammen. 

Der  zweite  groBe  Block  (Kapitel  V:  Polity-centered  Kingship,  Corpus 
Mysticum)  untersucht  die  Korporationslehre  der  Kirche  und  ihre  Sa- 
kularisierung. 

Der  dritte  groBe  Block  (Kapitel  VI:  On  Continuity  and  Corporations) 
arbeitet  mit  systematischen  Analysen  mittelalterlicher  ,.Zeif -Begriffe 
die  Entstehung  juristischer  Abstraktionen  und  Fiktionen  heraus  durch 
die  das  friih-  und  hochmittelalterliche  Denken  in  S^-mbolen  und  AUe- 
gorien  rationalisiert  wurde. 

Diese  drei  Untersuchungen  sind  der  Kern  des  Werkes:  ihm  schlieBeu 
sich  die  materialen  Auffiillungen  an,  die  aus  den  im  13.  und  1 4.  Jahr- 
hundert erarbeiteten  formalen  Denkkategorien  nun  —  neben  vielen 
anderen  Rechtskonzeptionen  —  auch  die  der  King's  Two  Bodies  ent- 
Btehen  lieBen.  Inhaltlich  sind  diese  Untersuchungen  zur  ..dignitas",  co- 
rona-, dynastischen  Kontinuitat  usw.  auch  insofern  wichtig,  als  sie'un- 
bekanntes  Material  bringen  und  bisher  iibersehene  Linien  freilegen. 

Man  mag  sich  fragen,  ob  eine  so  umfangreiche  Begriffsarbeit  notwendig 
war,  urn  erne  zwar  komplizierte.  aber  doch  verhaltnismaBig  abgelegene 


Kantorou'icz,   The  King's  Two  Bodies 


69 


Rechtsfiktion  wie  die  der  King's  Two  Bodies  aufzuhellen.  Die  Antwort 
hat  der  ^'erfasser  selbst  gegeben,  indem  er  seinem  Werk  den  Untertitel 
"A  Study  in  Mediaeval  Political  Theology"  gab  und  dazu  erkliirte,  es  sei 
"a  contribution  to  .  .  .  the  problem  of  what  has  been  called  'The  Myth  of 
the  State""  (S.  IX).  Wenn  er  sich  dennoch  dagegen  verwahrt,  mehr  als 
nur  ein  Teilproblem  untersucht  zu  haben,  so  ist  das  dieselbe  Disziplin, 
die  den  Verfasser  in  diesem  Werk  davor  bewahrt  hat,  sich  von  seiner  Be- 
schiiftigung  mit  mittelalterlicher  Theorie  zu  Theorien  liber  das  Mittel- 
alter  verleiten  zu  lassen.  Das  Werk  ist  eine  Analyse  mittelalterlicher  Be- 
griffe :  nicht  mehr,  aber  auch  nicht  weniger.  Mit  ausfiihrlichem  Apparat, 
umfangreichem  und  .sehr  zuverlassigem  Index  und  reichem  Bildmaterial 
ist  es  zudem  cum  grano  salis  eine  Topik  mittelalterlicher  Staatsrechts- 
lehre.  Die  Rezension  wird  im  folgenden  versuchen,  die  wichtigsten  Linien 
hcrauszuheben. 

Politische  Mystizismen,  erstarrte  und  biiroki-atische  Abstraktionen, 
finden  seiten  Gnade  vor  den  Augen  der  Juristen.  Das  moderne  Recht 
sucht  sie  abzuschaffen  und  in  die  Rumpelkammer  zu  verweisen,  aus  der 
der  Historiker  sie  hervorholen  mag,  um  ihren  alten  Glanz  neu  zu  ent- 
decken.  Der  Verfasser  bekennt  sich  als  Schuldner  und  Schiller  eines  der- 
jenigen  CJelehrten,  die  mit  ihrer  Kritik  gerade  die  Absurditat  der  Zwei- 
Korper-Lehre  des  Konigs  angriffen  und  gleichzeitig  erkannten,  wie  ehr- 
wlirdig  und  inhaltsreich  ihre  Ursprlinge  waren:  Frederick  William  Mait- 
land,  einer  der  bedeutendsten  englischen  Rechtshistoriker  des  vorigen 
Jahrhunderts.  hat  von  dem  ,,metaphysischen,  man  konnte  auch  sagen 
metaphysiologischen  Unsinn  '  dieser  Konzeption  gesprochen  und  doch 
betont,  daB  gerade  Fiktionen  dieser  Art  modernes  und  altes  Recht  an 
ihren  Bruchstellen  in  Einklang  bringen. 

Die  erste  Ausarbeitung  des  Doppelcharakters  der  englischen  Konige 
findet  sich  in  den  ., Reports" '  von  Edmund  Plowden,  einem  Juristen  aus 
der  Zeit  der  Konigin  Elisabeth,  die  in  kurzer  Zusammenfassung  Plai- 
doyers  und  Urteile  des  vorelisabethanischen  Rechts  enthalten.  An  einer 
cause  celebre  stellt  der \'erfasser  das  Problem  dar:  Das  Herzogtum  Lan- 
caster hatte  den  Konigen  aus  dem  Hause  Lancaster  als  Privateigentura 
und  nicht  als  Kronbesitz  gehort  und  war  seitdem  Gegenstand  wieder- 
holter  Prozesse  gewesen.  Einer  von  diesen  ging  darum,  daB  Eduard  VI. 
einzelne  Liindereien  des  Herzogtums  vergeben  hatte,  als  er  noch  minder- 
jiihrig  war.  Der  Streit  um  diese  Vergebungen  fiihrte  im  Laufe  des  Pro- 
zesses  zu  folgender  Erkliirung  der  Kronjuristen  in  Serjeant's  Inn^): 

dafl  nac-h  dem  Common  Law  kcin  Akt,  <len  der  Konig  als  Konig  vollzicht, 

wegen  seiner  Minderjiihrigkeit  anfe<htbar  ist.  Denn  der  Konig  hat  zwei  Korper  in 
sieh.  ntimlieh  einen  naturlichen  iind  oinen  politisfhen.  Sein  natiirlieher  Korper  ist 
ein  sterblicher  Korper,  alien  Schwachen,  die  von  Natur  oder  durch  Zufall  kommen, 
der  Torheit  der  Kindheit  und  des  Greisenalters  wie  auch  ahnlichen  Schaden  unter- 


.  «)  E.  Plowden.  CommenUries  or  Reports,  212a,  London  1816,  hier  zitiert  und 
iibersetzt  nach  Kantorowicz,  S.  7. 


/  /    L     U     U 

U     J       I       I 


6(1 


Wiebkc  Fe.Hiir.ldt 


K artier <ru-ic:~.   The  Kin-g'/:  Tv<o  Bodi^e^ 


61 


wcrfeii  die  der.  rmturlichen  Korj.erii  aiidom  M««<.iu,r.  zum,c,K«ii  kc,ni,«ri  M,ej- 
«.m  pc.Iiti«<:l.«j  Kc,ri.«r  ,m  em  Kc.rj.or.  der  nK.hl  Bichtbar  cder  beriJirbar  ist  ■  «• 
h«fl,,«hT  au.  muatliohoT-  Ch-diiurip  uiid  Reperur^r  (polity  a^d  pc.v«iTmi.m, )  und' i«, 
«rri<,hi,ei  zuT-  L«,tunp  d.*  \-c,lke.  ui.d  zm-  Yerv,-alT,imp  de.  6ffflnllic.h«ii  Wohk    und 

tT'ri  TVr  "".  '^  ^:;"  "'"'  ^'»^-^-  (i^-neiiah.,,.  uiid  a^idereri  naturli.hen 
hohad«ri  und  Noh^a<=hen.  deiieii  der  nuturhahe  K6rjH,r  uni.erwcrferi  ,si .  ur.d  deshalh 
kaiui  dw..  wfl*  der  Komp  m  Bemem  pc.litiBc:her,  Korpei  rut,  n.(:hi  entkrkft.el  odei 
K^'ior  •■'""  '"    '  ""'''  ■^""^■^'^"^^«^'^'t  (disabilitj  ,  in  «einem  iiaTCirl.<hen 

Der  politischeK6ri)er  let  alsc  der  bei  weitem  umfasaendere  und  hoher- 
Ktehende.  auch  -woimerj  ilxm  peLeimriiBToUe  KrafW  irme  die  die  Un- 
Tollkommenlieiten  der  menecliliohen  Natur  rermindem  oder  socar  auf- 
heoen*):  * 

..Sern  poHtiBoher  Kc.rper.  dei   mn   B^inem  nat.ia-l,<,-hen  Korpar  verburiden  ig, 
mnimi  die  Sobvu(=be  Hemes  naT.iirlx.bei,  E6rjK,ns  hin^-ep  uiid  Zieht  deii  naturbeber." 
Xorper.  der  der  periixpere  im,.  ui.d  alle  seme  Wirkunperu  zu  Bi(=b  hmulw  der  er  der 
p-c.Xisre  isi,.  cjma  mapp  dipmm)  traiul  ad  se  minup  dipnum." 

Der  VerfaBsei  ireist  zu  Recht  daraiif  Inn.  daB  liinter  der  Bcheinbai-  un- 
logiHclien  Lcgik.  die  diese  Rec-htsfiktion  in  der  Praxis  herrorbrac^ht* 
ein  anderee.  mcht-juristiBc-bef  Denken  Btebt :  Die  Terminoloeie  der 
oimsthcben  Zwei-Natui^en-Lehre.  Die  krv-pto-theologiBc-be  Diktion  der 
Tudor-JunBten.  die  herzuleiten  isi  au^  dem  tbeoiogiBcben  Su>.Btrat 
mittelalterbcben  Rec^htBdenkens.  schuf  nicbt  nur  erne  Tbeolc.gie  Bondern 
daruber  iiinau.  erne  regeli-ecbl*  CLiiBtolc.pie  de.  KonigBln^griffeB  In  dem 
„Eine  PerBon.  z^ei  Korper'  kiinpt  da.  atbanasianiBcbe  .,Non  duo  tamen 
Bed  unus  .  .  .  I  nuB  autem  non  oonrerBione  dirinitatie  in  camem  Bed 
aBBumj)ti(.rie  bumanitatif  in  Deum  .  .  /   nacb. 

Die  veii^rfubi-enden  Parallelen  des  VerfasBei'.  zMiBcben  komgiicner 
und  cbnstbcber  Cbristologie  Bcbeinen  mu  zu  ibecretiBcb.  DaB  etta  die 
luienontai  deB  natiu-bcben  KorperB  nicbt  ..ananiBcb-  sei.  Bondem  mit 
dem  ..miner  j-atre  secundum  bumanitatem".  deB  c.nbodoxen  Glaubene- 
l^kenntniBBeB  iiberemBtimme    (S.  17).   iBt    z^ar  eine  fcrmale  Pai-aUeie 
aber  docb  ^obJ  nicbt  auB  Griinden  dogmatiBcber  KonBequenz.  Bcndem 
wegen  deB  emfaoben  VerbaltniBBeB  von  ..natiii-beb-  und  ,.ubematurbcb  ' 
DieBer  HiiiTieiB  mag  In^reitB  bier  alB  BeiBj.ieJ  fur-  manche  cww  riebtige' 
aber   doob   vob]    BjueleriBcb   zu    veit    getnebene    KatioaaJiBerung   dee 
WerkB  Bi^ben,  wenn  aucb  der  LeBer  nicbt  obne  Genuii  die  moJcben 
KonBequenzen  deB  ..^-eBtonanlBmuB  ■  (S.  18)  in  der  koniglidiM  Cbnsto- 
iogie  EnglandB  zui  KeimtniB  nimml.  Ein  tbeoiogiBcb  beBdb!««ner  \'er- 
lasBungBbiBtoriker  konnte  m  den  Spuren  von  Kantorowicz.^nn  aucb 
boffentbcb  nut  deBBen  L-onie.  die  engbBcbe  G^cbicbte  aufpatnpaBBia- 
niBtiBcbe,    BabelbaniBcbe.    donatiBtiBcbe.    monopbvsitiBcbe    und    L«k» 
Haresien     zuruckfiibj^n     (S.  18).     Denn    mit    Hilfe    dieser    Spidwim 


raDonalisiert  der  Verfasaer  die  verschiedenen  Scbla<>htrufe  der  englischen 
Verfassung8gescbicht.e  —  zweifeDos  eine  geistvolle  Hilfswisaensoliaft . 

Aue  der  christologiscben  Spekulation  und  ihrer  sakularisierten  ju- 
ristischen  Xachfolge  fiibrt  die  Unters\3chung  des  zweiten  Kapitels 
(Sbakespeare's  King  Ricbard  II.)  scbeinbar  heraus.  Sein  Gegenstand  ist 
nicbt  die  doppelte  juriBtische  Kapazit.at  des  Konigs.  sondem  "the 
bumanly  tragic  aspect  of  royal  gemination"  (S.  '24).  Der  Konig  ist 
z-vrilbngsgeboren.  "subject  to  tbe  breath  of  ever%-  fool"  und  zugleich  "a 
kind  of  God".  Der  Konig  faBt  in  seinen  Worten  "thus  play  I  in  one 
Person  many  people"  (V.  V.  31)  die  drei  Phanomene  Konig.  Xarr  und 
(rott  zusammen.  die  in  ibm  angelegt  sind.  Den  l"'bergang  vom  koniglichen. 
gottgleicben  Status  zur  menBcblichen.  ja  irren  Gegenposition  vergleicbt 
der  Verfasser  mit  dem  vom  ontiscben  Realismus  zum  bloBen  logischen 
Nominabsmus.  Das  VnmraaU  ..Konig"  entleert  sich  seines  Inhalts  zu 
einem  bloiien  \om.en.  Ahnbch  Mrie  bei  dem  christologiscben  Vergleich 
gebt  diese  scbolastiscbe  Unterscheidung  auf  eui  wahres  Substrat  des 
Problems  zuriick  und  macht  die  Polantat  zwischen  den  im  Konig  an- 
gelegten  Potenzen  Behr  anschaubch. 

Nacb  diesem  Vorspiel  setzt  der  Verfasser  mit  der  Untersuchimg  friih- 
und  bocbmittelalter  Duabsmen  ein.  Im  III.  und  IV.  Kapitel  arbeitet  er 
an  mebreren  Tbemen.  die  Duabtat  von  Cbristus  und  Konig  und 
die  andere  Duabt.at  von  Cbristus  und  dem  Konig  ah-  Vicarius  Cbristi 
berauB. 

Bei  dem  sog.  Anon^-mus  von  York,  jetzt  ..Normannischer  Anonymus"". 
fiwhi  der  Verfasser  den  spateren  BegrifF  der  ..persona  mixta"  vorweg- 
genomnBeBi.  Er  -Breist  aebr  zu  Recht  in  diesem  Zusammenhang  auf  das 
Anbegen  bin.  das  dem  mittelalterbcben  Denken  iiberbaupt  eigen  war: 
"tbe  yoking  of  two  seemingly  heterogeneous  spheres  bad  a  peculiar 
attrartion  for  an  age  fi&ger  to  rec-oncile  the  duabty  of  this  world  and  the 
other,  of  things  temp)oral  and  eternal,  secular  and  spiritual  .  .  ."  (S.  43). 
Nicbt  eine  pobtiscbe.  Bondem  eine  gottbche  zweite  Natur  schreibt  der 
Anonymus  dem  Konig  zu  und  parallebeiert  ihn  mit  Cbristus.  Dieser  ist 
CbriBtuB  und  Konig  von  Natur.  der  Konig  ist  Konig  und  Cbristus  aus 
Gnade.  Die  tbeologisc-be  Antitbese  von  Natur  und  Gnade  und  neben  ihr 
die  potentieDe  Einbeit  von  l»eidem.  die  im  ..officium""  des  Konigs  aktua- 
lisiert  wird.  macht  die  Zwilbngsnatur  des  Konigs  aus.  der  als  ..Christo- 
mimetes"  meriBcblicb  und  gottlich  zugleich  ist.  Eine  der  vielen  Para- 
doxien  des  Anon^-mus.  die  der  Verfasser  bringt.  sei  herausgegrifFen  und 
bier  zur  Erklarung  wiedergegeben ;  Da  der  Anonymus  dem  Herrscher 
ebenso  eine  menBcbbcbe  und  euae  gottbche  Natur  zuschreibt  wie  Cbristus, 
kann  der  eeltsame  Chiasmus  eintreten.  daB  z.B.  Tiberius,  qua  Caesar, 
also  qua  f.'  erte  gottbche  Natur.  dem  armen  Menschen  Jesus  von 

Nazareth  ,  ,  -er  turmhoch  und  mit  einem  Heiligenscbein  umgeben 
thront.  wabrend  ebendereelbe  TiberiuB  wiederum  als  individueller,  boser 
Menscb  weit  unt<*r  dem  gottbcben  Cbristus  stebt.  Das  konigliche  Cbristus- 


n    L    I'll 
u    u    u    u 


(Jl' 


IVtfiMla   Fettefeldi 


Kantiirnunrt.   Th<  King'c  Tvio  Bodies 


63 


Tikariai  trupi  h»nni  uormamuKdieii  AnonvmuH  die  Dualitut  Christi  in 
den  KonigHbeprifl  Innem.  Dei  TeriasHer  l,rauotu  nur  aul  zahlreiolu- 
Jieispiele  fur  aiiuliciieb,  weiii.  aucl.  wenipei  bewuBtet^  Deukeii  limzu- 
weiHen.  .Seiii  put  arLeitet  er  (S.  5»)  lierauK.  daU  diese  OlirifltuH-DuaJitat 
dw  enie  ontiHcl.-],lul„K()],hiHch»:,  Htark  liturpiHdi  ae^m,fr^:e  uud  nicht  erne 
l()giKcl.-junRtiHclu>  war.  nu-zii  uiRtitutioueller  uud  luuktionellei  Schmduuc 
der  zwei  Kbrjier  de.  Kouxp.  pefulin  liat.  w«-  e.  Bj.atei  bei  der  Zwei- 
Korper-Lehn.  der  Tudorzeit  der  Fall  war.  Mil  dem  CliriHtuB-Torbild  war 
du-  .S])anuuup  zwiHclieu  Cloti  uud  MeuKoli  mi  Kbuip,  aber  audi  die 
esseutielle  Eiulieit  beider  vorpepelieu. 

Kacii  dem  tlieoi(,piKob-j)hiloH»pbiHeheu  lieweinpaup  pibt  der  TerfasHer 
euieii  ikouoprajihiHcbeii  Exkurs  zv  dem  Tlienia  ,.unu  ].orHouu  duae 
uaturae-  au  Hand  der  Muiiatur  Ivaiser  OttoH  II.  im  AacbeueT  Evaupelien- 
bucb.  Er  arbeitel  lierauK,  dalJ  die  Mimatui  ikouoprapiuKcli  daHHeliH-  dar- 
Rtelb..  wah  dej  AnonymuH  ui  Worteu  Hcliildert :  die  pottiibuJicbe  uiid 
meusciibolie  J^^atui  det,  Kbiup^  u,  euiem.  Die  auf  der  Miniarur  Bieiitbai-e 
iJaudercjle  uber  der  Brum  det;  KbnipH  trenne  BvmbobHch  HimmeJ  uud  Erde- 

J)ie  liatiouabsieruup  der  bc.elimittelalteriicb  verBtandenen  ZwiJliugH- 
uatui   det.  Ivbuip^  laiil   sicb   au  zwej  uelKJueuuiuder  bentelieudeu   K<,u- 
ze],tioueu  ablesen.  Mil  iiirer  UnterHuciiuup  kc^mmi  der  YerfaBHer  zu  dem 
InmbBUiuB,  der  im  Kbiup  auf  Gruud  HeiiieB  amHtuBvikanate  bestebl 
i"'.T*;,^""f^'*""'  ^l«^^'"*»ip*'  cier  Kbiup  ,.imap(.  Der.  bzv .  ,.imapc. 
UiriRtJ     )  i8t   bepl  mi  Deukeu  de..  oiitoiopiHcbeu  Esemj.larismuK  bepriui- 
det;  die  audere,  die  den  Kbnip  mehr  aif.  ,.vicariuB  Dei.  l)zv     Obristi' 
siebl.  im  nicderuei  m«„feni,  alF  sie  den  juriBtiHul,  laBbaren  BteUvertreter- 
bezup  zwiHolien   dem   Kbnip  uud   G.rti    berv„riiebi    uud   damn    m   die 
htaatBreclitBlebre  deK  B}>ateren   iMittelalterf-  iuueudeitei.    Der  VerlaHHer 
Ht^lll  dieBen  LnterHcliied  zu  Kecbl  sebi  lierauB:  da.  wiciitigBte  BeiBi.iel 
an  dem  er  ibn  exemplifiziert    ist  da.  KaiHer  Friednebn  II.  DesHen  Biiku- 
larisiene  hpimuabtiii  erkliirt  er  an  den  dem  ..Libei  AupuBtaliB"  *)  ent- 
u.mimeuen  Formeln  ,.re.x  pater  et  fiiiu.  justitiae"  ,  ,.rex  maic.r  et  miuor 
He  ipH..     (h.  J.Tfi.).   Die  .luBtitiu  ttu'oul   al.  Mittleriu.  ak  quasipbttliobe 
Maclit :  au.  ibr  leitet  Friedricb  II.  Heu.e  Tbe„t,.pie  der  Herrndiafl  ab   Eb 
iBt  iuer  mclit  der  Ort.  die  zalilloHen  TrHprimpe  uud  Variationen  dieter 
BpezibKcb  HtaatHtbeul„p.Hcliei.  Duul.tat  zu  erbrtern :  dem  Kemier  mittel- 
alt^^rbclier  lveobt.BH,.ekulatU)uen  map  dei  Hu.wei.  auf  die  iue,  iK^baudeiten 
,,lex  regia     uud  ,.iex  dipua"    peni.pen,  d.e  die  Antmomie  zwiHoben  ..rex 
tepibuB  BolutuB-   uiid  ,.rex  legibu.  alligatuB"   eutlialten^). 

'}   tTl>ercie„  tT),«.gunpderChr.8tu8ebe..ijil,ll,cbkeif  .r,  d.e  G..tt.««;be..bildl.«l.k«.t 
du.  belmnntbci,  Uegenstaiul  re.oher  Lueratur  mt.  «.  Kant..r.-v  u-..  N   H8fi 

")  Mit  Honieni  reichei,  AnnierluuigBiippurui   mi   (l,e«er  'J„il  (i^^  V\  ,.rk.  du-  w<.hl 
..eu«,t,.  U.U1  verJuI.lid.«t.  Beliuncllun,  .la.e.  Tben.a..  Zu,  Boim.uih  .»     .^    J^ 


AufBohluBreioh  isi  em  AbBohnilt  iiber  das  quasi-priest^rliche  Selbsl- 
verfltandiii.  der  Bc)k)pTif!sei  .luristen  vmd  die  daraus  ahpeleit<^t*!n  peaell- 
Bcbaftbobeii  Ansj)rijebe..  Er  fiilll  -^'orlaufip  eine  Liicke  m  der  Literatur, 
die  in  einer  ausfiiyirlicberen  Arbeit  peschlosaen  zu  werden  Terdient<^.  Es 
iflt  dem  Terfassei  pelunpen.  am  Beisyuel  Friedriohen.  heranszustelkn, 
••to  -wbat  extent  tbe  duabty  of  LawB,  natural  and  human,  was  int<^r- 
locked  -with  tlie  idea  oi  an  intermediate  in  matters  of  Law  and  with  the 
duaUtiec  inherent  in  Justice  heraelf  a.*^  M'eW  as  in  the  pnncte"  (S.  1S6).  I>er 
TerfaBBer  folpt  nicht  nur  einem  friiheren  G^egenstand  seiner  Stiidien. 
sondeni  ei-  betont  einen  wjchtipen  Saohverhalt.,  wenn  ei  zum  AbschhiB 
nooh  einmal  herauBbebt,  "w-ie  zentral  die  Person  Friedrichsll.  fiir  den 
Tberpanp  vom  alten.  eachatcjlopisoben  Idea]  des  ..rex  Justus"  zum  saku- 
lanBiert,en  Kbiup  ais  ..lex  ammata-  -war;  die  Sjiarmung  zwischen  Gott- 
lichem  und  MeuBcbliciiem  im  Kbnip  ist.  wenn  auch  mehr  psychologisch 
ale  funktionell,  bei  keinem  anderen  Herrscher  des  Mitt^^lalters  so  greifbar 

wie  bei  ihm.. 

Wemi  Fnedrich  II.  es  sich  leiBten  konnte.  sich  selbst  eine  Mittelstellung 
ontiHcb-tbeokratiflcher  Art  zwischen  dem  gbttlichen  und  dem  irdischen 
Kecht  zuzuBclireiben.  bo  muL'.te  die  MittelsteDung  des  Kbnips  unt.er 
anderen  politischen  YerhaltniBaen  rorsichtiger  und  funktioneller  um- 
Bcbrielien  werden.  Der  A'erfaBBer  hat  an  dem  enpbschen  Juristen  Henry 
de  Bracton  (peBt,orl«in  um  lii68)  berauBpearl:»eit*^t.  in  welcber  Weiae  die- 
aellie  Bpannunp  iimerhalb  des  KbnigBamtes.  die  Fnednc^b  II.  aktiv  zur 
KonH(»iidieruup  semes  Staates  auBniitzte.  m  England  konstitutionalisiert 
wurde.  um  den  tlierganp  Tom  liturgiBcb  rerstandenen  zum  juristisch 
lixierten  Kbnipt.um  zu  ermbpbcben.  Ee  iHt  bier  mcht  der  Ort.  um  Kan- 
torowicz  InterjH-etation  von  Bracton 's  nel  umetntt^ner  Wiederpat* 
des  ..quod  principi  piaouit,  iepis  habet  nporem  ...  zu  brinpen  (S. 
1471)"):  es  mut  penupeu  auzudeuten.  daii  dat^  ..rex  jiatCT  et  fUiue  legis" 
l>ei  Bracton  sebj  })raktiBcb  ,.rex  mfra  et  Buj)ra  legem'  beiiit.  Das  ..pla- 
cuif  wird  bei  iiim  pedeutet  als:  ..quod  magnatum  suorum  oonsilio.  rege 
auotoritatem  j)raeBtant^  et  babita  Buj»er  hoc  deliberatione  et  tractatu 
recte  fuent  debnitum.' 

Die  ZuBtande.  die  in  England  um  die  Mitte  dee  13.  JabrbundertB 
bemtcbten.  belien  keine  audere  Mbgbcbkeit  als  die  der  LegabBierung  der 
baronaien  AnB})rucbe  ubrig.  wenn  die  Krone,  vertretan  durcb  die  boben 
KronlKjamten.  bicI)  mcht  des  MitB})racberecdits  ul:.erbaupt  begeben  woUte. 
Die  PerHon  des  Konige  trat  konsequeuterw  eise  binter  dem  Symbol  de« 


•1   S«hr   l,«eruUoi.«vori    im .   dal!   der  V*!rfa8«er   Um   aliw  Wurdipuup   der  \  er 
dioiiBt,.  vol.  PVit/  )S<  l.u  U  um  du-  Brmaoii-FcrBchuiip  docb  auf  die  fclch»t.uau^it«n 

wiiiiw  ulizu  tii^oreiiHuiioii  liittirpretat ic.ii  auin.erksuui  maciit  und  gle.      "■'< 

di.  vi«Uo.<;hi  «twut-  weuipw  g«i«iirt,»:.  ub«r  dccij  ««iir  ^M-l  ttdnouaL^rf 
dw  G«geiiBtBnd«*  dureb  Obarlt*  Howard  Me  liwaii 
Zu  Bru<!t()ti.  8t««ittilohrt  \pl.  die  iiocli  unpedruckte  _         ■ 
(Gdttuigoii  IHO") 


auf 

■-). 
lis 


n    L 
u    u    u 


«4 


Wiebke  Feaefeldt 


Kantorowirz.   The  King'n  Two  TiodieM 


65 


nut  der  KechtBwahrung  betrautei.  Rechtsverbandes.  luntei  der    corona 

deM3..1ahrhundert.  von  Edward  1.  pesclnckt  penutzt.  dan  Komfrt,um 
wieder  erstarken  lassen.  In  die«em  Zusamn.enlmng  .st  w.chtip  die  B^ 
c.bachtimg  de.  lerfassers,  dalJ  Bracton  die  Kompe  ..quas,  vice  Dei'"  und 
die  1  ichter  quas.  vice  Jbbu  ChriHti'  amtieren  lufit :  em  Bezug  der  an 
den  JuBtitia-Kult  Fnednch.Il.  ernmert.  m  England  aher  .JdZZ 
gehen heiten  emeH  schwachen  Konigtumn  bei  starke,  Steliung  den  Beamten- 
tumti  hervorgmg  (iS.  ir)!»ff.).  ^  cam  ten 

Stand  bislier  meln  die  Dualit.it  des  Konigsamtes  im  Vordergrund  m 
geht  der  lerfasser  im  fiinften  Kapitel  (I'olitycentered  Kmgshn.)  an  die 
Frage  nach  dem  zweitei,  Gnindprnizip  der  King's  two  Bo4b,  nach  der 
Kor,.oration.  Lr  begmnt  (S.  l«4ff.)  bei  der  Konzeption  de.  „corpu. 
Ecclesiae  mysticum-  und  deutet,  an.  daU  gegen  Ende  des  V,.  Z.r- 
hunderts  auch  den  staatlichen  Gebilden  des  Mitteialter.  dieser  Begriff 
riSTr'"""";  ""•  ^^^-Wiaugig  von.  Staat  xst  al,er  zmiadist 
die  Dua htat.  die  un>  12(.(.  im  ,.cor,.u.'  -Begriff  der  Kirche  auftritt  und 
der  zufoJ^e  da.  .xorpu.  Christi  verum'    (der  Hostie)  vom  ,.cor,>us  Cbri  ti 

t^sch"'  J'lTT  "^'^T^P^'"'  ^i^^'  daB  diesbeziigliclie  Bez.eiunigen 
zjchen  kirchlichem  und  j.olitiscliem  Bereicb  durcliau.  be«tanden  und 

K  rohT  V  r'  ^'^''  ^"'^'^'"  ^"^"«Pre^l^en  seien.  Die  Auffassung  der 
ivirche  ais  de.  k,,ri,orativen  junstischen  Kbn.er8  Christi  neben  dem 
.con,us  verum  ■,  die  die  altere  cimstologisclie  Dualitat  zum  TeiJ  m  sioh 

n  Zen.  s'f  7  ""'T'  ^"^^^*^^^^^-  ^"^'^  "^^^^  Meinung  des  Verfassers 
einen)  SukulansationsprozeU  zum  ahnlicb  verBtandenen  ..conm.  rei 
publicae  mysticum'-  (S.  2..7ff.),  n>  dem  freilicb  noci,  mehr  Sondemrome 
unci  I.mdeutungen  euie  neue.  eigene  Form  fanden.  Organologische 
StaatBlehre.  ronusche.  Recht.  Christolog.e.  Anstot^hsmus,  A^verroxsmu 

Sn  dt  W    ^"^"^J;""''^"^'"  ^^«"^«"    "-'    -'^«-    «^-nge 

derl,rem..r  r  "1^'^"^^"  Arbeit  heran.  um  die  ..Individuation'' 
de,  kuciihehen  Zwe.-KorpeT-Lehre  zur  Tudor-Maxime  der  ,.Kmg.-  Two 
Bodie.     zu  erk  aren.  Zahlreicbe  Exkur^e  iiber  verwandte  Begrfffe  uld 

CWrrt!!!^sfT-,  f  ^^f  ^r  •^''"  ^"'  ^^-  ^^P^^^^  (^^"  ('ontmuitv  and 
arbeitet    dei    ^erfasser  diejenigen  Ziige  lieraus.   die  zu   der  Grundkon- 
um^r  ^^':,^\-:^'^^--Le'"-e  lunzutret^n  und  in  sie  eingelien  n  ulit" 
tehei   zi    ;    "  ^^r^'!'''"  Keclitsfiktion  der  ..King's  Two  Bodies"   en^ 
8tel  en  zu    asnei.  Zu  i  inen  gebort  zunachst  die  Herau«arbeitung  neuer 

»lie  "'^^'^'r^""'^"""^"^^  ^*^'-  ^'^'•f--'   unterHudit  z  B: 

Begriffe  wie  ,.aevum  •  und  ..aetermtas-    und  wei«t  daiuui  lun.  daU  es  der 


Entstehung  eines  gewandelten  Zeitgefiihies  bedurfte,  um  etwa  die  friih- 
mittelalterlichen  ad-hoe-Besteueningen  zu  grundsatzlicher,  jahrlicher 
Besteuerung  umzuwandeln  (S.  284ff.).  Voraussetzung  dafiir  war  ein 
KontinuitJitHbegriff.  der  die  Antithesen  augustmisoher  Abwertung  und 
averroistiBcher  f'^berbewert.ung  der  irdiachen  Dinge  zu  einer  Syn- 
these  bewuBten  zeitlichen  Denkens  zuaammenfiihrte  und  der  erst 
die  Grundiage  fiir  eine  zugleioh  individuelle  wie  iiberindividuelle 
Betrachtung  der  Konigsabfolge  schuf.  In  engem  Zusammenhang 
mit  diesem  juristiBch  verwendbaren  Kontinuitatsbegriff  steht  natur- 
cemilB  die  Herausbildung  juristiacher  Fiktionen,  von  denen  hier  vor 
aliem  die  der  ..universitas"  wichtig  ist.  Der  Verfasaer  weist  auf  die  Pa- 
rallelen  zwischen  dem  BcholaBtischen  Individuationsprinzip  der  ..haec- 
ceitaB"  und  der  fiktiven  korporierten  ..universitas"  (..Bononitas". 
..Bolognitat')  bin.  die  die  jeweilige  Aktualisierung  der  ,, universitas'" 
ausniache. 

Von  den  vielen  juriBtiBchen  Konsequenzen,  die  diese  Fixierung  der 
Begriffe  hatte.  interessierl  bier  vor  allem  eine  FestBtellung  des  Verfassers 
(S.  SIO):  "Gorjiorate  bodies  .  .  .  were  a  plurality  of  persons  collected  in 
one  body  not  at  the  present  moment  (only)  but  ...  in  succession  .  .  .". 
Mit  diesei  Abstraktion  war  der  letzte  Schritt  derFiktion  getan ;  die  Reduk- 
tion  der  Pluralitiit  im  Raum  zur  blolien  Pluralitat  in  der  Zeit :  man  konnte 
sich  einen  Korj»er  vorstellen.  der  nicht  auK  A-ielen  simultanen.  sondem 
auB  vielen  Bukzessiven  Gliedern  besteht.  der  im  jeweiligen  Augenblick 
nur  eine  ..corjioration  sole"  ist.  Formal  bedeutet  dieser  Schritt  den  von 
der  organiscb-niorj)hologiBcben  zur  juristiaoh-fiktiven  Konzeption  des 
Korpers:  'a  mystical  person  by  perpetual  devolution  whose  mortal  and 
temjtorar^-  incumbent  was  of  relatively  minor  imjiortancie  as  compared 
to  tlie  immortal  body  cor})orate  by  succession  which  he  represented'  (S. 

313). 

Bei  den  zentralen  Themen  des  Werkp  —  christologiacher  Dualismus, 
kirchliche  Zwei-Koqier-Lehre  und  juristiBch-fiktive  Reduktion  der  orga- 
nologischen  ( 'or})us-Lehre  —  ist  mit  Absicht  lange  verweilt  worden,  ohne 
daB  doch  die  Fiille  der  Beispiele  auch  nur  aimahemd  hatte  genannt 
werden  konnen  Mit  den  folgenden  rechthchen  Konzeptionen  kann 
kiirzei  veriahren  werden. 

Da  ist  zunachst  das  praktische  Problem  der  Kontinuitat  des  Hauptes 
allein  statt  der  Kontinuitat  des  gaiizen  Korj>ers.  die  Frage  dee  'The 
King  never  dies"  (Kapitel  Vll).  Der  Verfasser  legt  die  einzelnen  Elemente 
diewei  Vorstellung  dar:  die  Kontinuitat  der  Dynastie.  der  fiktive  BegriflF 
..Krone",  die  Kontinuitiit  eines  der  ..corona"  uahe  verwandten  Abstrak- 
tuniK.  der  ..dignitas"  .  Eine  gut  gewiihlte,  auch  von  Mittelalter  bereits 
gesehene  Parallele  zum  Konig,  der  immer  m  einer  Person  Species  und 
Individuum  ist,  bringt  der  Verfasser  mit  euier  Untersuchung  iiber  den 
Wundervogel  Pboenix.  fiir  den  dies  auch  gilt  (8.  395)  und  weist  darauf 
lun.  daB  z.B.  in  Frankreich  der  Thronfolger  gelegenthch  ,,le  petit  Pheuix" 

74«li      liott.  G«l.  Aiu    l»ub.  Nr.  l/l!  ^ 


n    L 

u    u    u    c 


6G 


Wiebke  Fese/eMt 


genannt  wurde.  An  der  Maxime  „dignita8  non  nioritur"  zeigt  er  dan,, 
wiede,-  d,e  Ausgangs-Spannung  von   Wurde  und   ieweilicrpnT Wr  ^ 
tr.ge,.  (S.  401ff.).  Interessant  J  (S.  410f.)  d,e  C^LZt^  ^7'Z 
mort  -  v,ve  le  roi!"  und  waiter  die  Geschichte  der  koniglichen  Toten 
biJder.  die  den  Knit  umfaBt,  der  mit  den  AbbiJdnngen  auf  dem  W 
des  verse  uedenenKonigs  getrieben  wu,-de  und  an  defen  Ende  d"  wahf 
haft  duahstische  Sitte  steht,  nicht  nur  den  prunkvoJlen  Amtssta^us  a  : 
Konjg    Bischof  usw.,  sondern  auch  den  menschlich  armseC'  kLI 
des  loten  ,n  emem  DoppelgrabmaJ  abzubilden.   Die  h,er  fm  eheTn 
spurbaren  Langen  de.  Werks  8,nd  nut  dem  Reiz  des  StoC  gere^htfeAtt 

SeT  r.^dirT''-""^^  ""'  ^^"^'^  ''^  e,gentUchen  "^tLl°d      ; 

bei  Konstantms  Auffass  ng'der  111  ^^  7oCs     t  ^'"T"^ 
WeA'to*'',;^" '"■  TT^""  '"'™"'"'^  «««en8ta„d  von  Kantorowioz' 


Fesefeldt  /  Kantorovncz,   The  King's  Two  Bodies 


67 


Liebe  wie  geistige  Distanz,  doch  spiirt  der  Leser  auch  die  Leidenschaft, 
die  mit  dem  BegrifFe  ,,poUti8che  Theologie"  das  Feuer  zweier  dyna- 
mischer  Denkformen  in  eine  Einheit  zwingt..  DaB  eine  solche  Dynamik 
den  scheinbar  theoretischen  BegriflFen  seiner  Darstellung  innewohnt, 
weiB  der  Verfasser:  "Admittedly,  the  author  was  not  unaware  of  later 
aberrations;  in  fact,  he  became  the  more  conscious  of  certain  ideological 
gossamers  the  more  he  expanded  and  deepened  his  knowledge  of  the 
early  development  .  .  ."  Doch  schrankt  er  selbst  ein:  "It  would  go  much 
too  far,  however,  to  assume  that  the  author  felt  tempted  to  investigate 
the  emergence  of  some  of  the  idols  of  modern  political  religions  merely 
on  account  of  the  horrifying  experience  of  our  own  time  in  which  whole 
nations  .  .  .,  fell  prey  to  the  weirdest  dogmas  .  .  ."  (S.  IX).  Faszination 
durch  das  Material  gibt  er  als  Anreiz  fiir  das  Werk  an,  und  es  ist  ihm 
gelungen,  diese  Faszination  dem  Leser  mitzuteilen.  Stand  dem  Verfassdr 
fiir  sein  erstes  groCes  Werk  die  Personlichkeit  Kaiser  Friedrichs  II.  zu 
Gebote,  so  sind  es  hier  reine  Formeln,  Fiktionen,  DifFerenzierungen,  an 
die  er  seine  reiche  Erfahrung  und  seine  Fahigkeit  zur  Abstraktion  wendet. 
Man  ist  versucht,  in  Abwandlung  eines  Worts  von  E.  R.  Curtius  vom 
,,warmen  Licht  intellektueller  Begrifflichkeit"  zu  sprechen,  in  das 
Kantorowicz  seine  Formeln  stellt,  darin  dem  von  ihm  so  gut  gekannten 
Mittelalter  sehr  nahe  kommend.  Wer  das  friihe  Werk  iiber  Friedrich  II. 
kennt,  wird,  wie  immer  er  dazu  steht,  sicherhch  dessen  voile  und  ge- 
schliffene  Diktion  im  Ohr  behalten  haben.  Er  findet  sie  hier  im  Englischen 
wieder,  noch  geliiutert  und  vergeistigt  zur  begriffhchen  Prazision  und 
Sachlichkeit,  die  eine  strenge  Schulung  an  mittelalterlichen  Quellen 
verleiht.  Der  stiirkste  Eindruck  jedoch,  der  dem  Leser  bleibt,  ist  Be- 
wunderung  fur  die  geistige  Bewaltigung  der  ungeheuren  Mat«rialmengen, 
fur  die  jederzeit  klare  und  uberzeugende  Argumentation  und  Gliederung 
und  fiir  die  Cberlegenheit,  mit  welcher  der  Verfasser  der  Beziehung  jedes 
einzelnen  Beispiels  zum  Ausgangspunkt  ge,'echt  wird.  Es  ware  sehr  zu 
wiinschen,  daB  das  Werk  bald  in  deutscher  Cbersetzung  einem  grolieren 
wissenschafthchen  Leserkreis  zugiingUch  gemacht  wiirde. 

Gottingen  Wiebke  Fesefeldt 


U     U    U     Zl 


REINHARD  WITTRAM 

Das  Nationale  als  europSisches  Problem 

Beitrage    zur    Geschichte    des    Nationalitatsprinzips   vomehmlich    des 

19.  Jahrhunderts 
254  Seiten,  kart.  10,80  DM,  Ln.  12,80  DM 

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buch  droht.  Wittram  stoBt  krafti^  ab  vom  allzuoft  befahrenen  bUtoriscben  Ufer  We»t- 
ruropas  .  .  .  Er  ist  ein  bebutsamer  Historiker.  In  Borgfaltig!;ten  PinBehtrichen  setzt  cr  eeine 
Nuanren,  so  wie  man  es  beute  nur  nocb  ganz  Belten  trilTt.'*  Die  Taf,  Zurich 

Das  Interesse  an  der  Geschichte 

12  Vorlcsun<;en  iiber  Fragen  zeitgenossischen  Geschichtsverstandnisses 
Kleine  Vandenhoeck-Reihe,  Nr.  59/61.  Sonderband,  engl.  brosch.  4,80  DM 

In  weitgespanntem  Rabmen  erortert  derVerfasser  bier  Fragen  zur  Gescbicbte,  die  uns  heute 
aile  mehr  oder  weniger  bescbaftigen.  Ein  Bucb,  zu  dem  es  gegenwartig  in  Deutscbland  keine 

ParaUele  gibt. 

Baltische  Kirchengeschichte 

Beitrage  zur  Geschichte  der  Missionierung  und  der  Reformation,  der 

evangeUsch-lutherischen   Landeskirchen  und    des  Volkskirchentums  in 

den  baltischen  Landen 

Herausgegeben  von  Reinhard  Wittram 
347  Seiten,  Ln.  19,80  DM 

Drei  Generationen 

Deutschland  -  Livland  -  RuCland  1830—1914 
360  Seiten,  mit  24  Bildtafeln,  Hln.  12,80  DM 

„An  Hand  der  benutzten  Fomilienbriefe  wird  die  noziale  Struktur  und  Cesinnung  der 
deutscbbaltischen  Bildungsschicbt  treffender  beleucbtet  als  in  mancber  theoretiscben 
Untersucbung."  Hisloritche  Ztittchrifl 

In  den  Nachrichten  der  Akademie  der  Wissenschaften  in  Gottingen, 
Phil.-hist.  Klasse,  sind  erschienen : 

Heft  1/51  Eine   Gottinger   Lobrede 

auf  Peter  den    GroBen   aus   dem   Jahre   1750 
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und  der  Ausbruch  des  Nordischen  Krieges 

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VANDENHOECK  &  RUPRECHT  IN  GOTTINGEN  UND  Zt  RICH 


n    L    i  I    U 

U    U     U       I 


KANTOROWICZ  E.H.:   THE  KING'S  TWO  BODIES 


107 


bus  scaturit  gaudium.  Monumenta  vero  nonnuUa  huius  paudii  A.  describit,  et  praeci- 

pue:    Canticum   fratris  soils,  psalmum   qui    legitur  ad   matutinum  In   festo'  paschatls 

quern    S.   Franciscus   composult   pro   suo   officio   passlonls,   ac   tandem   cap  23    Reeu-' 
lae  pnmae,  quod   inscribltur  «  Oratlo,   laus,  Kratiarum  actio  ». 

Tamen  in  optimo  hoc  opuscolo,  cui  introductionem  G.  Hfico,  O.F.M., 
praemisit  et  in  quo  res  bene  prolatae  abundant,  non  raro  notatur  stu- 
dium  quoddam  susceptae  thesis  ultra  debitum,  uti  videtur,  probandae, 
et  quidem  ordine  non  usque  evidenti.  Ita,  v.g.,  poterat  A.  abstinere  a 
sumendis  suis  argumentis  ex  singulis  fere  locis  considerationum  de 
stigmatibus  (57-61),  quas  in  editionibus  Floreti  italici  ordinario  legimus. 
-  S.  Franciscus  sacra  stigmata  accepit  non  die  (76),  sed  circa  diem  exal- 
tationis  S.  Crucis.  -  Minime  vero  licet  scribere  Speculum  perfectionis 
esse  «  un  ecrit  franciscain  des  premieres  annees  »  (95),  cum  constet 
inter  omnes  illud  perfectum  fuisse  vel  exeunte  saec.  XIII  vel  ineunte 
XIV  (cf.  G.  Abate,  O.F.M.Conv.,  La  nascita  del  «  Cantico  di  frate  Sole  > 
nel  palazzo  vescovile  di  Assist,  in  MiscFranc.  56[1956]345s). 

P.  Marianus  ab  Alatri 

KANTOROWICZ  Ernst  H.,  The  King's  Two  Bodies.  A  Study  in  Medi- 
aeval Political  Theology.  Princeton,  New  Jersey,  Princeton  University 
Press,  1957.     24,5  cm.,  XVI-568  pp.,  32  tab. 

Hoc  splendido  volumine  optimi  nominis  A.  historiam  tarn  theologiae 
politicae  quam  iuris  canonici,  artis,  immo  et  dogmatum  egregie  ditavit. 
Pervestigationum  abundantia  —  sane  laborum  plurium  annorum  fruc- 
tus  —  impedit  quominus  earum  argumentum  singillatim  ac  complete 
describamus.  Satis  sit  quod  operis  propositum  et  lineamenta  paucis 
perstringamus. 

Postquam  A.  in  prooemio  ortum  praesentis  libri  (p.VII-XIII),  et 
in  introductione  inquisitiones  auctorum  anteriorum  innuit  (3-6),  primo 
capite  ipsum  problema  examini  subiciendum  in  claram  profert  lucem 
(7-23).  Etenim  in  relationibus  E.  Plowden  (f  1584/5),  tempore  reginae 
Elisabeth  exaratis,  primum  theoria  de  regis  duplici  corpore  concinnis 
distinctisque  verbis  apparet.  Sic  fere  ille  ait:  Rex  siquidem  duplici 
corpore  instructus  est,  naturali  necnon  politico.  Primum  in  se  considera- 
tum  utique  mortis  infirmitatumque  obnoxium  est;  secundum  vero,  quod 
nee  adspici  nee  contrectari  valet  et  moderationi  populi  ac  administratio- 
ni  salutis  publicae  destinatur,  morbis  ceterisque  naturalibus  defectibus 
caret  (7).  -  Quae  mira  verborum  complexio  seu  veritatis  fictio  tunc  mi- 
nime penitus  nova  erat,  quinimmo  a  sententiis  iuridico-politicis  media 
aetate  excultis  repetitur.  Quarum  originem  occultam  ac  e  diversissimis 
fontibus  promanantem  A.  acerrima  virium  contentione  detegere  et  dis- 
serere  satagit. 

Altero  capite  idea  regis  duplici  ortu  progeniti  tragoedia  Richard  II 
a  W.  Shakespeare  (f  1616)  composita  illustratur  (24-41).  -  Tertia  adum- 
bratione  A.  in  remotiora  redit  tempora  (42-86).  Haec  pars  verbis  quae 
sequuntur  inscribitur:  Christ-centered  Kingship.  Etenim  in  tractatu 
Normannico,  Eboracensi  (York)  dicto  et  a  clerico  ignoto  ad  annum  1100 
conscripto,  adseritur  regem,  etsi  secus  humanae  naturae  sit,  munere 
et  gratia  unctionis  christum  Domini  seu  christomimeten  fieri  ac  per- 
inde  vicem  Dei  et  Christi  tenere.  A.  baud  immerito  statuit  dogma  de 
duplici  natura  Christi  in  unica  Persona  coniuncta  influxum  in  prae- 
fatam  cogitationem  exercuisse.  Idem  pro  pictura  minore  evangeliarii 
Aquisgranensis   (Aachen),  anno  circiter  973  confecta,  ac  Imperatorem 

COLLi^CTAIncA     hiA.^CiiCA.^A 
29    (1959) 


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RECENSIONES 


Othonem  II  a  Christo  ad  caelum  usque  erectum  repraesentante,  valet. 
In  quibus  ac  similibus  documentis  vis  cultus  liturgici  in  mentem  homi- 
num  ilia  aetate  viventium  persentitur. 

In  alio  capite,  Law-centered  Kingship  praenotato,  A.  transitum  len- 
tum  ab  expressione  liturgica  in  spiritum,  qui  praecipuo  in  iure  legi- 
busque  versabatur,  enarrat  (87-192).  Hac  periodo  durante,  quam  A. 
praevalenter  theocentricam  vocat,  Joannes  Saresberiensis  (Salisbury) 
(t  1180)  regem  simul  «  legis  nexibus  absolutum,  legis  tamen  servum  » 
definit  (95).  Fridericus  II  dein  in  Libro  augustali,  an.  1231  proclamat 
in  una  eademque  persona  Caesaris  duplex  concurrere  elementum,  ita 
quidem,  ut  simul  «  iustitiae  patrem  et  filium,  dominum  et  ministrum  > 
efformet  (98s).  In  confundendis  momentis  religiosis  et  politicis  illo  tem- 
pore eo  usque  progressi  sunt,  ut  adseverarent  legis  peritos  iustitiae  sa- 
cratissimum  ministerium  exercere,  immo  et  regem  velut  legem  animatam 
iustitiae  Pontificem  maximum  exsistere... 

Sequente  adumbratione,  quae  Polity-centered  Kingship  nomine  in- 
signitur,  momentum  unionis  socialis  in  civitatibus  inculcatur  (193-272). 
Postquam  A.,  inquisitionibus  H.  De  Lubac,  S.J.,  fultus,  evolutionem 
doctrinae  de  Corpora  mystico  Christi  delineavit,  monstrat  quomodo  varii 
scriptores  inde  a  ViNCENTio  A  Beauvais,  O.P.  (f  1264),  de  regno  tam- 
quam  de  «  corpore  rei  publicae  mystico  »  loquantur.  Conceptus  ecclesio- 
logiae  ergo  per  modum  analogiae  civitatibus  attribuuntur.  Imagine  ve- 
nerabili,  iunctionis  videlicet  Ecclesiae  sponsae  ad  Christum  Sponsum, 
abutuntur,  ut  habitudinem  principis  ad  regnum  velut  matrimonium  mo- 
rale et  politicum  celebrant.  Ob  huiusmodi  mutatam  rei  publicae  visionem 
et  exinde  ad  ipsam  effervescentem  affactionam  immodaratus  ille  propriae 
nationis  amor  posteriore  aetate  excrevit. 

Sextum  caput  ideas  circa  perennitatem  et  indolem  socialem  repni  propaga- 
tas  explicat  (273-313).  Adagium  «  Ecclesia  numquam  moritur »  sic  mutatur:  «  Po- 
pulus,  imperium,  res  puhlica  semper  est  »,  ac:  «  Universitas  non  moritur*.  -  At, 
sicut  sequens  pars:  The  King  never  dies  inscripta  erudit  (314-450),  immortalitas 
ob  domus  regiae  continuationem  et  ope  distinctionis  inter  coronam  visibilem  et 
invisibilem,  ipsi  dipnitati  ac  personae  regis,  scil.  qua  capiti  corporis  politici,  adscri- 
bitur. 

Adumbratione  oetava  A.  ad  Dantis  Alighieri  theorias  politicas  advertit,  quas 
his  verbis  circumscribit:  Man-centered  Kingship  (451-495).  Quod  ciusdem  mens 
prae  primis  in  humanitate  defixa  quodque  ipsi  idea  duplicis  corporis  familiaris 
erat,  A.  e  verbis  Virgilii  ad  poetam  direetis  concludit:  «  Te  sopra  te  corono  e  mi- 
trio  ».  Quo  ritu  incoronationis  homo  mortalis  Adae  homine  subtili  Adae  superin- 
duitur;   poeta  fit  membrum  corporis  mystici,  quod  est  ipsa  humanitas. 

In  ultimo  capite  ad  instar  epilopi  (496-506)  demonstratur,  quod  cogitatio  du- 
plicis corporis  qua  talis  christianismo  debetur,  etiamsi  aetate,  quam  antiquam  ap- 
pellant, quaedam  fere  ubique  vestipia  eiusdem  deteguntur.  -  In  appendice  32  tabulis 
nitidis  plures  imagines,  quae  voluminis  argumentum  opportune  illustrant,  exprimun- 
tur.  Postea  elenchus  amplus  bibliographiae  selectae  offertur  (517-530).  Index  simul 
nominum  et  materiarum,  magna  diligentia  elaboratus,  adiungitur  (531-567).  Verum- 
tamen,  sicut  ipse  A.  praevie  monet,  completus  dici  nequit.  Dum  v.g.  scriptorum 
antiquorum,  quos  ad  instar  fontium  adhibuit,  fere  omnes  locos  adducit,  commenta- 
tores   recentiores  praetermittit. 

Quod  respectum  franciscanum  attinet,  permulta  non  praebentur.  Nomina 
necnon  opiniones  sequentium  ex  O.Min.  occurrunt:  Gilberti  di;  Tournai.  Ciilelmi 
DE  OCKHAM.  J.D.  SCOTI,  Alvari  Pelagh,  necnon  factionis  Spiritualium.  Pro  primo 
memorari  potui  Francisco  Eli'as  de  Tejada,  Las  doctrinas  politicas  en  la  baja  Edad 
Media  inglesa,  Madrid  1946  (cf.  liibliog.Frnnc.  VIII,  n.624'').  Ibidem  insuper  quae- 
dam innuuntur  de  Joanne  Guallensi  (de  Wales,  De  Galles,  de  Waleys),  O.Min. 
(t  1285).  Ipse  scripsit  siquidcm  Communiloquium.  Summa  Collationum  ad  omne  genus 
hominum,  ed.  v.g.  Parisiis  1516.  Cuius  argumentum  delibatur  a  A.G.  Little.  Stu- 
dies in  English  Franciscan  History,  London   1917,  176-181. 


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LYNCH  K.F. :   THE  SACRAMENT  OF  CONFIRMATION 


109 


Opus  et  mole  et  momento  pariter  Rrave  propter  argumenti  abundantiam,  iudi- 
ciorum  aequitatom,  eruditionis  amplitudincm  vix  indiget,  ut  viris  peritis  adhuc  com- 
mendetur.  Verba  fortiora  non  sunt,  si  adfirmamus,  A.  hoe  studio  aditum  ad  cam- 
pum  vastissimum  aperuisse;  ideoque  investigatores  futuri  bene  facient,  si  eius  vias 
sequentur.  -  Tali  volumine  coram  actus,  si  quis  minutorum  censoris  partem  as.su- 
meret,  risum  moveret.  Istud  tamen,  quod  quaestionom  principalem  spectat,  adnota- 
re  liccat:  Si  A.  et  cum  ipso  H.A.  Rommen  in  dicti  libri  recensione  (Theol.Stud. 
19[1958]  435-437)  merito  exigunt,  ut  ambitus  religiosus  a  conceptibus  politicis  et 
campus  politicus  ab  ideis  religiosis  purgentur,  distinctio  adhibenda  est.  Limites 
utriusque  regionis  utique  ne  misccantur,  attamen  diiudicatio  theologica  societatis 
civilis  actionisque  politicae  excludi  non  potest.  Immo  bene  accidit,  ut  theologi  recen- 
tiores  ad  praefatum  latus  maiori  semper  cura  attendant;  speciminis  causa  videan- 
tur:  G.  Thils,  Tkeologie  dcs  realites  terrestrex  I-II,  Bruges  1946,  1949  et  V.  ScHURR, 
Theoloyie  der  Umivelt,  in  Thcoloyie  in  Geschichte  u.  Geyenwart,  Miinchen  1957, 
145-180   (of.  CollSranc.  28[1958]   336s).  P.  Octavianus  a  Rieden 

Lynch  Kilian  F.,  O.F.M.,  The  Sacrament  of  Confirmation  in  the 
Early-middle  Scholastic  Period.  Volume  I:  Texts.  (Franciscan  Institute 
Publications.  Theology  Series,  5).  St.  Bonaventure,  N.Y.,  The  Franciscan 
Institute  -  Louvain,  Belgium,  E.  Nauwelaerts  -  Paderborn,  Germany, 
F.  Schoningh.  1957.     23  cm.,  LXXV-256  pp. 

Cum  A.  proxime  editurus  sit  librum,  quo  sacramentum  confirma- 
tionis  iuxta  priores  summae  Scholasticae  doctores  mode  historico-doc- 
trinali  illustrabit,  optime  fecit  ut  ei  praemitteret  alterum,  quo  docu- 
menta  quamplurima  inedita  ad  componendam  illius  aetatis  doctrinam  ne- 
cessaria  continerentur.  Opus  ergo  quod  in  praesentis  annuntiamus,  non 
est  nisi  magna  textuum  collectio  ad  sacramentum  confirmationis  respi- 
cientium,  qui  ita  sunt  dispositi  ut  primum  exscribantur  loci,  quibus  de 
Sacramento  confirmationis  expresse  agitur  (p.1-174),  deinde  quibus  per 
transennam  eius  doctrina  tangitur  (175-198),  postremum  vero  textus 
nonnulli  coniunguntur  de  charactere  sacramental!  in  confirmatione  dato 
(199-221).  Addenda  quaedam  haud  parvi  momenti  in  tribus  appendicibus 
ponuntur  (223-251).  His  autem  omnibus  peritus  A.  praelocutus  est  ser- 
monem,  quo  singulos  textus  commentatur  quoad  authentiam,  traditionem 
manuscriptam,  tempus  compositionis,  ab  invicem  dependentiam  aliasque 
criticas  rationes  (XI-LXXV). 

Non  omnes  textus  ab  A.  editos  eiusdem  valoris  atque  momenti  esse  patet. 
Optatissimae  certe  veniunt  Guilelmi  de  Melitona,  O.Min.,  Qunestiovrs  de  covfinna- 
tione  (101-135;  nota  etiam  animadversiones  historicas  de  vita  Guilelmi  p.XLIII-I>), 
cxcerpta  e  Summa  de  sacramrntiK  Alberti  Magni  (223-229),  ex  autographa  BoNA- 
VENTURae  compilatione  xuper  IV  Sent.  (cod.  Assisi,  Bibl.Com.  186;  149-157.  249-251). 
Gualteri  Brugensis,  O.Min.  Comm.  in  IV  Sent.  (162-174),  Philippo  Cancellario 
adscripta  Quaestione  de  charactere  (cod.  Douai,  Bihl.Munic.  J,SJ,fII;  207-210),  Altis- 
SIODORENSIS  Summa  aurea  (6-13).  Distinctiones  e  Glossa  HalensIS  desumptae  quo- 
dammodo  abundant,  cum  textum  criticum  iam  iam  prae  manibus  habeamus  (cf. 
Coll.Franc.  27[1957]  430s).  Nihilominus  exscriptum  locum  redactionis  cod.Pnris. 
Nat.lat.  16i06  (3-6)  non  negligant  lectores,  saltern  ex  eo  quod  HUGO  DE  Saint-Cher. 
O.P.,  banc  ipsam  redactionem  Glossae  generatim  adhibere  videtur.  Observandum  est 
Quaestionem  de  charactere.  quam  A.  nomine  Alexandri  Halensis  inscriptam  edidit 
(201-207),  tarn  diversa  doctrina  ab  aliis  scriptis  Halensis  discrepare,  ut  minime 
authentica  haberi  possit.  Forsitan  attribuenda  est  Stephano  de  Poliniaco  (cf. 
J.  CiALOT,  S.J.,  I.a  nature  du  cnractere  sacramentet,  Gembloux  1957,  121-128).  Collectio 
insupcr  continet  textus  HUGONis  DE  Saint-Cher  (13-20),  Guerrici  de  Saint-Quen- 
TiN,  O.P.  (21-26),  Heriberti  de  Auxerre  (52-63),  Richardi  Fishacre,  O.P.  (63-73), 
Rolandi  de  Cremona,  O.P.  (80-96),  Joannis  Pagus  (96s),  Joannis  de  Moussy  (98-100) 
et  plurimos  anonymos,  qui  momentum  habent  ad  continuationem  doctrinalem  et 
auctorum  dependentiam  illustrandam,  inter  quos  praesertim  notatur  cod.Paris.Nat. 
Uit.  1061,0.  Fons  enim  esse  videtur  non  .solum  Summae  Fratris  Alexandri  (Guilelmi 
DE   Melitona)   et   Comm.  in  Sent.   Odonis   Rigaud,   O.Min.,   sed   etiam   Comm.  in   IV 


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SPEgiLUM  33  ( 


Revie 


evzews 


\i   I 


the  plan  to  build  the  Sandjak  railway.  The  Au.Uo-IIungarian  statesmen  retained 
that  plan  as  well  as  that  of  further  territorial  expansion  in  the  Balkans 

The  articles  in  this  issue  of  the  Isloriski  Sasopis  deal  primarily  with  specific 
questions  m  national  historiography.  They  cover  a  wide  range  of  subjects  and  no 
reviewer  can  adequately  assess  the  quality  of  each  of  them.  The  reader  however 
will  be  impressed  with  the  superior  scholarship  that  most  of  the  articles  reflect* 
Yugoslav  historical  research  seems  vigorous  and  does  not  appear  stifled  by  doc- 
tnnalism  and  dogmatism  to  the  extent  that  hi^toriographic  work  is  handicapped 
in  the  boviet  Union  and  the  countries  of  its  orbit.  .-.:.  -•  -   ->-   .,   ,-~ 

Wayne  S.  Vucinich 

SUnford  University 

rvi.  S-  568;  84  plates.  $10.  Princeton,  New  Jersey:  Princeton  University  Press,  1957 
Kantorowicz  has  written  agreat  book.  Its  greatness/apparent  on'well-nich 
every  Paf,  results  from  the  author's  erudition  and  his  artistry.  Starting  from 
Maitland  s  little  classic.  "The  Crown  as  a  Corporation."  he  e.xplains  hL  the 
Elizabethan  concept  of  the  King's  Two  Bodies,  the  politic  and  the  natural,  came 
mto  being.  Like  Maitland  in  Donu.,day  Booh  ond  Beyond,  Xantorowicz  ha.. 
..voikrd  back  iroiu  th..  known  to  tJi..  unknowi..  and  he  has  found  paraliels.  rr- 
semblances,  and  connections  between  the  varying  concepts  of  English  kingship 
and  Roman,  ecclesiastical,  and  even  Arabian  theories  of  governance.  What  lay. 
beyond  this  curious  legal  fiction  wa.s  the  Polit-.^!  Theology  that  c-ntroUrd  .nr' 
reflected  so  many  forms  of  mediaeval  thought 

"Political  mysticism,"  including  "the  mystic  fiction  of  the  King's  Two  Bodies  " 
Kantorowicz  presents  in  "its  native  surrounding,.,  it,c  time  and  space."  Tl-  time 
IS  deep,  from  Greeks  and  Romans  to  Tudors  and  Stuarts;  and  the  space  is  broad 
rom  perverse,  if  not  perfidious,  Albion  acros.  Europe  to  Hungary  and  Bvzan- 
tium.  The  conclusion  is  that  over  a  thousand  years  of  thinking  by  classical  and  ' 
mediaeval  jurists,  theologues,  poets,  and  philo.sophers,  and  the  theorie.s  they 
produced,  made  po.ssible  the  doctrine  of  Elizabethan  judges  and  pleaders  Kan- 
toro™  s  o^vn  erudition  extends  from  Shakespeare  through  Dante  to  Lactantius 
and  Ovid;  from  Plowden  and  Coke,  through  Bracton  (.50  pages)  and  the  Norman 
Anonymous  of  circa  1100.  to  Justinian  and  Augustus.  But  he  does  not  flaunt  his 
learning,  and  much  of  it.  perhaps  too  much,  is  modestly  concealed  in  the  foot- 
notes a  veritable  compendium  of  mediaeval  secular  and  ecclesiastical  thought 
As  Maitland  had  warned,  the  history  of  "twin-born  majesty"  took  Kantorowicz 
deep  mto  the  legal  and  political  thoughts  of  the  Middle  Ages;"  but  he  has  also 
used  his  cosmopolitan  knowledge  of  art.  philosophy,  religion,  numismatics,  and 
even  finance  to  amplify  the  "complex  hi.story"  of  this  legal  fiction 

The  completeness  of  this  book  is  matched  by  its  artistry,  and  its  structure  re- 
sembles a  Gobelin  tapestry.  Woven  with  strands  of  pagan  and  Christian  theolo-y 
of  theories  of  king.ship  based  on  Roman,  Canon,  Continental,  and  English  law"  it 
also  contains  threads  of  Greek,  Muslim,  and  Judaic  religio-political  ideas.  Though 
the  texture  is  rich  with  quotations,  the  pattern  is  highly  dramatic.  The  story  in 


U     U     U     U 


Reviews  nm 

ciRhl  chapters  and  an  EniioL'ue  has  nint        "tu  i  i      ..    ,  , 

concept  of  the  Kind's  Two  tL>  ~  problem"  of  ho^y  and  why  the 

plots.  Counterplot  too  ti?  '''"'/"'°  "'"''  minds  -  and  several  sub- 

like Guido  Ver  W^^^^^^        "''Tn'  "   "•^"  "'°  ^^^"^^^  ^-^-^-^^-t  theories. 

.ive  pace  to  t^  r  t  ^'^  WHttn  b  U  I  """T"'*  "^'^  ^-"^  ^^^^•'"^^■°"  ^^^ 
Latinityofstvle  the  orosek  1     1        .  ^'^"'^  '"^""'''  ^^'^'^  ^"  appropriate 

suinznation  Ike  or  dar  tv  n  c  "^  ^  7^^'"^'"'  "'"■^'^*"^-  "^■^-^^'-  -^ 
course  to  analogues  nirtTwthst?'"  >  T'^'^^I  ''  '""''''  "'^  ^^*^^-"t  re- 
often  lacking  inTstoHe  of'deas  7 "1'  ""''''^^'^^^'^  ^^^^^  ^  vividness  so 
liven  the  ^fnt,        ',^^  ""!  .'^^^«-  Controversies  over  doctrinal  differences  en- 

.     ll^inlet\rred'iro  d7r'r;efi^        T^  '""'  '''  '"^'  ^^"^  ^"^^  -^^-^^' 

re^l-  :rtu?^HtlTs'"ft'°r"'  ^--^^--ation  of  ideas.  Kantorowicz 
idea  upon  anoSer  ^.stead  h  '"'  ^  '"°^T  .  '^  ^^^"'^  ''"  "'"«-"-"  "^  «- 
(iconographicluustra  on  ;  !  ^^^  -.-"  «^'-'^orate  design,  one  rich  in  color 
lansntutTt  oLof  Ih'  Hnd  c^   quotations)    and   composed   of   resemblances. 

cenera,izationri::::r;i:"ier  ::;r,  r::d  f^-t'^'^-  -^  ^'-o-- 

ideas,  the  intellectual  ^HnJl  I   V  °™  ^'"^™  '"^«  '^  "^o^^ic  of 

11.al  l^^litica    TheoTo.;^r^^^^  "'"'  .T'"'''^  ""^  ^'^"^^^  ^"^  ^-^^ 

again  when  a  cauL  and  X.     ^^  ^'j^teenth-century  jurists  drew.  Time  and 

Kantorowfc  Vrnt^Ttt:^^^^^^^^^^  ^'"7  T"^'^  '^  ^^^™'"^'^  ^^P^-^' 

semblance.  One  ^^e^TX'T"^    '"  u'""  ''"''^'"^  ^^'"^  ^^^^^  ^  '"- 
validity  of  ht  JS^e-    "tI        T    ^-       "^  ""''  '"^'"^  ''"^^^"^^  '"  *^^ 

tLiosj '.  rafher  tian  bv  -o7"f  ''^^^  ^^"^^^^^  ^«  ^^^iaeval  Political 
toro.ie?Las  prTvlJel al^ ^  l;-— <^--e,uence  formula.  Kan- 

essttr:rtrbrk  fs  ^flzf,:^'rru ''!;' '-  '^^^'^^  ^^^-'^  '"^--^  ^- 

ship  according  to  rL.r  "'"^  ^"'^  ^'^""^^  "^"-^  ^''^  t^^^ories  of  king- 

tion.  Twt  |.;L?o  ;::^^^^^^^  -d  their  iconographical  expol 

forth  bv  classica  Tnd  n         .  '  ^""^  ^^"''™  Philosophers,  doctrines  set 

ticians.  Tt  sort  of  CWo^^^^^^^^^^  '"'t' "'  ''"^  *^P"^^^'^°  ^^  P^^^^ising  poli- 
tinuity.  illumtaTes  th.Tr^^  ^"^  ^^^"'^'•'  ^''^^  '*-  '^^  oYcon- 

terious  word   Z)£i^   Kalt  «  ^'T'  '"^  ^^'^^"^  ^'^''^'^-^  •  ^°  '^-'  -y- 

Here  he  shows  ^wTh;Wn;^""%^'^'''  'T'"'^^  °'  ^^P^^'^'^  ^^^  ««-• 
birth)  enriched  th7s  conLnt  and\  ""  "^"^^  (simultaneous  death  and  re- 
reference  to  tie  tomb.  nfT'         ^  .'  f"^'  '^  ■'  ^  °^«™«'-^l  concreteness  by 

peror,    created  to  guide  Man  to  the  "terrestrial  paradise."  provided  a 


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philosophical  explanation"  for  certain  features  of  the  secularize.!  kingship 
tven  a  complete  history  of  thought  may  still  leave  topics  for  further  study,  and 
one  of  these  Kantorowicz  points  out  in  his  Epilogue.  This  is  whether  "the  con- 
cept of  the  Kings  Two  Bodies  [is]  of  pagan  or  Christian  origin."  His  own  per- 
suasive answer,  roodeslly  described  as  "my  brief  n  'r^  "  v-hich  may  "b^  i,  stinv- 
lant  to  others  to  pursue  the  problem  more  successfully,"  is  that  one  detail,  "the 
concept  of  the  King  having  two  Bodies,"  is  not  found  in  pagan  writings  but  "is 
an  offshoot  of  Christian  theological  thought."  Perhaps  another  profitable  investi- 
gation might  be  made  of  the  English  term,  Reahn  or  Kingdom.  True,  Kantoro- 
wicz treats  of  England's  Carpus  Reijmblicae  Myslicum  and  its.  relation  to  the 
King  but  he  uses  the  refined  values  of  the  philosophers  and  the  picturesque  fig- 
ures found  in  paHiamentary  sermons  and  speeches.  Wliat  remains  to  be  told  is 
how  the  legal-rainded  or  hardheaded  pragmatic  politicians  and  Caesarean  prel- 
ates defined  the  "Reahn"  and  what  nationalistic  connotations  they  were  adding 
to  the  vvord.  The  marriage  metaphor  -  the  Prince  wedded  to  his  mystic  cora- 
monweaUh  ■-  was  "all  but  non-exister.',"  in  En-].  ..!  f,,   923).  Peri-,ap.  Wv,  v/a'- 
bccausc  the  Kingdom,  a  thing  separate  from  the  Kingship,  had  too  earthy  p 
nature.  To  declare,  as  a  judge  did  in  1365,  that  "pariiament  represents  the  body 
of  the  whole  reahn,"  begs  the  question  of  just  what  men  believed  the  Realm  it- 
self to  be,  for  an  agent  is  not  identical  with  a  principal.  An  analysis  of  the  moan- 
mg  of  the  'estates  of  the  realm,"  especially  mit  0/ pariiament,  will  establish,  I  am 
conMcnl,  the  distinctions  that  Lancastrians,  Yorkl.ts,  and  Tudors  drew  between 
pariiament,  the  estates  of  the  reahn,  and  the  Reahn  itself. 

The   "composite   body"   of  pariiamentary  estates   and  King,   Kantorowicr 
agrees,  was  sometimes  comprehended  in  the  Crown.  However,  by  the  time  of 
Calvin's  Case  in  1608,  at  least  one  jurist  argued  that  the  Crown  had  also  ab- 
sorbed the  Realm,  too.  and  even  the  law.  In  a.ldition,  Kantorowicz's  scintillating 
story  of  the  Dignity  explains  that  it.  too,  was  fused  and  confused  with  the  Crown 
and  "was  at  the  bottom  of  the  legal  fiction  of  the  'King  as  Corporation.'  "  Just 
as  the  rhoenix-hkc  Dignity  exists  in  both  future  and  past,  so,  too,  does  the 
Crown  hve  in  the  twentieth  and  in  the  sixteenth  centuries;  but  unlike  the  Phoe- 
nix, the  Crown  never  died  and  so  needed  no  rebirth.  Timeless  but  ever-changing 
It  continues  on  to  absorb  the  attributes  of  kingship  and  finally  sovereigntv  itself' 
VVhen  this  concept's  constitutional  role  after  1608  has  been  studied  'its  all- 
absorbing  nature  will,  I  believe,  become  more  apparent,  even  in  Tudor  times 
Remarks  about  the  Crown  in  Tudor  and  Stuart  statutes  and  in  polemics  like 
Bishop  Ponet's  diatribe  in  1556  against  Queen  Mary,  point  towards  this  con- 
clusion   The  vicissitudes  of  the  Tudor  dynasty,  notably  those  resulting  from 
Henry  VIH  s  heterogeneous  progeny,  and  the  crass  facts  of  even  Elizabethan 
political  life  required  the  transmutation  of  the  Crown  into  a  concept  with  a 
plenitude  of  potential  authority.  Had  Kantorowicz  given  fuller  consideration  to 
political  events,  although  they  are  by  no  means  excluded,  he  might  have  found 
a  more  mimediate  connection  between  the  practice  of  government  and  the  theorv 
of  the  King's  Two  Bodies.  The  chance  succession  "into"  the  English  Crown  o'f 
two  Kings  with  Female  Bodies  Natural.  Mary  and  Elizabeth,  was.  perhaps,  one 


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of  the  reasons  why  jurists,  politicians,  and  prelates  resorted  to  that  vast  fund  of 
mediaeval  Political  Theology  that  Kantorowicz  has  so  admirably  recounted.  He 
has  assembled,  refined,  and  interpreted  that  same  knowledge  for  present-day 
mediaevalists,  and  few  will  care  to  write  on  any  aspect  of  tlie  Middle  Ages  with- 
out having  first  read  this  major  classic. 

William  Huse  Dunham,  Jr 
Yale  University 

Charles  II.  Livingston,  Sl.-ein-Whulmg  ReeLi:  Studies  in  Word  History  and  Etynwlogy.  (University 
of  Micliifjan,  Language  and  Literature,  xxix.)  Ann  Arbor,  Michigan:  University  of  Michigan  Press, 
1957.  Paper.  Pp.  viii,  HQ;  9  plates,  8  figures.  $0. 

This  study  is  an  excellent  example  of  Worier  und  Sacheti  methodology  where 
1  the  names  for  a  concrete  object,  in  a  given  area,  are  compiled  and  are  confronted 
with  all  that  is  known  of  tli«  object  itself.  In  this  instance  Profe.s.sor  Livingston 
is  concerned  with  the  skein-winding  reel,  its  names,  and  terminology  derived 
therefrom  in  France,  England,  and  America.  After  a  spinner  wound  the  thread 
tight  on  the  bobbin  or  spindle  it  was  advisable  to  draw  it  off  into  skeins  or  loops 
which  could  be  dyed  or  treated  in  other  ways.  The  simjjlest  method  for  doing  this 
was  to  reel  the  thread  lengthwise  on  short  crosspieces  fastened  at  the  two  ends  of 
a  stick,  but  uiventive  genius  soon  devised  "a  pair  of  blades  or  yarn  windles" 
I  which  could  be  turned  with  a  handle  and  which  operated  more  efficiently.  This 
new  mechanical  tool  aroused  such  curiosity  that  people  compared  it  with  other 
hand-turned  machines  including  engines  of  torture,  and  the  names  for  these 
manual  devices  sprt  id  figuratively  into  many  other  semantic  areas. 

In  1873  Adolf  Mussafia  was  the  first  to  indicate  how  fruitful  this  terminology 
has  been  in  Italy.  In  a  privately  printed  study  (1905)  Schuchardt  extended  the 
investigation  much  further,  and  Gunnar  Tilander  and  Antoine  Thomas  have 
showTi  how  important  this  matter  is  for  northern  France. 

In  his  second  chapter  (pp.  7  H)  Professor  Livingston  reproduces  plates  and 
sketches  of  the  known  types  of  skein  winders.  He  continues  (pp.  15  32)  with  a 
demonstration  that  the  words  travail  and  trabalh  are  derived  from  Hrapacidum 
and  travouU  and  trabovlh  (o)  from  Hrapuculum.  The  starred  forms  are  descended 
from  V.  Latin  *trape  from  Latin  trabs  'beam'  or  'timber  framework.'  An  interest- 
ing semantic  variant  of  travail  'skein-winder'  is  travail  'machine  de  marechal' 
(p.  30),  defined  in  Cotgrave  as  "the  frame  whereinto  Farriers  put  unrulie  horses 
when  they  shooe,  or  dresse  them."  The  reviewer  washes  to  add  an  example' of  this 
last  from  tlie  epic  Elle  de  Saint-Gilles.  The  Saracen  Jubien  has  a  horse  of  which  he 
is  mHnensely  proud.  He  keeps  it  confined  for  safety  in  just  such  a  machine,  which 
has  huge  stakes,  three  chains,  four  leg  bands  (padded  on  the  inside),  a  trelle,  and 
gratings.  The  whole  is  reenforced  with  steel  bars.  In  pp.  33-51  Professor  Living- 
ston discusses  other  varian  Ls :  traovl  from  *traduculu,  and  traail  from  *traliaculum. 
Surely  traail,  or  trayle,  is  the  trelle  in  the  passage  found  in  Elie  de  Saint-GiUes.  It 
is  a  sort  of  winch.  Ajiglo-Norman  trahun  (p.  52)  and  Walloon  stolon  (p.  53)  are 
additional  forms  used  for  the  skein-winder. 

In  the  .second  part  of  this  study  (pp.  57-106)  the  author  treats  at  length  the 
semantic  developments  associated  with  'winch'  and  wnth  machines  of  torture. 


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chancelleries  roumaines;  3°  c'est  un  temps  caract^ristique  de  la  prose  narrative  rou- 
maine.  Rappelons  une  id6e  f6conde  de  M.  P.  ^bischer  qui,  ^tudiant  les  chartes  latinea 
du  moyen  age  italien,  en  retire  des  faits  inorphologiques  con8id6r(5s  comme  le  reflet  de 
la  langue  vulgaire".  Transposons.  Le  d6veloppement  de  I'imparfait  slave  k  une  dpoque 
ou  son  recul  est  g6n6ral,  sauf  dans  le  pays  dont  la  langue  le  cultive,  serait-il  un  pur 
hasard  ?  En  d'autres  mots,  dans  quelle  mesure  avons-nous  affaire  a  un  noyau  de  pens6e 
roumaine  sous  veste  slave  ?  Et  voil^  ouverte  une  nouvelle  perspective  de  recherche  • 
r<5tude  patiente  de  la  langue  des  chancelleries  slaves  des  pays  roumains  en  tant  qu'6ma- 
nation  d'une  r6alit6  linguistique  populaire. 

G.  Mihftiht,  Adjective  de  origine  slavi  in  limba  ronim&  [Adjectifs  d'origine  slave  dans 
la  langue  roumaine],  p.  61-76.  A  retenir,  pour  une  dventuelle  recherche  sur  le  plan  indo- 
europ6en,  la  suggestion  (p.  68,  n.  50)  au  sujet  de  vessel  'joyeux'.  L'auteur  renvoie  au  lett 
vesels,  h.  I'lllyr,  Veselia  =  Felicilas  (Vasmer,  op.  cil.,  I,  191;  H.  Krahe,  IF  LVII  113  et 
Sprache  der  Illyrier,  I,  61)  et  n'exclut  pas  la  possibilit6  d'une  6tymologie' autochtone" 
qui  evlt  ravi  B.  P.  Hasdeu.  Le  mot  serait  en  bonne  compagnie  dans  la  famille  s6mantique 
de  bucurie. 

M.  Sala,  Un  fenomen  fonetic  rom'inesc  produs  fiuh  influenia  graiurilor  .nrbo-cwate  [Un 
ph6nonl^ne  phon6tique  roumain  produit  sous  I'influence' des  parlers  serbo-croates] 
p.  249-250.  Ph6nomfene  dialectal  insignifiant  :  &  >  ^  k  Secaijeni,  Timi^oara  (ALU  [11] 

Les  trois  volumes  contiennent  —  en  dehors  d'un  grand  nombre  d'articles  litt^raires 
et  historiques  que  je  passe  sous  silence  —  des  chroniques,  comptes  rendus,  notes  qui 
orientent  bien  sur  V6ta.t  des  6tudes  slaves  en  Roumanie.  Une  remarque  finale  s'impose 
Afin  que  cette  publication  justifie  pleinement  son  titre,  il  faudrait  que  le  nombre  des 
6tudes  traitant  de  I'influence  roumaine  sur  les  peuples  slaves  soit  plus  abondant,  car  — 
on  ne  se  lassera  pas  de  le  r6p6ter  —  les  courants  culturels  ne  furent  pas  4  sens  unique" 
Les  quelques  6tudes  (plus  exactement  trois)  qui  ^clairent  ce  c6t6  de  la  question  font 
figure  de  concessions,  noy6es  comme  elles  le  sont  dans  la  masse  des  autres  (48  articles 
sans  compter  les  recensions  et  les  notes).  Sinon,  une  conclusion  facheuse  s'imposera 
d'elle-meme.  [E.  Lozovan,  Universite  de  Copenhague] 

Kantorowicz,  Ernst  H.   The  King's  Two  Bodies.  A   Study  in  Medieval 
Political  Theology.  Princeton:  Princeton  University  Press,  1957   Pp  xvi 
568;   24   plates 

This  is  in  many  respects  a  remarkable  book:  particularly  remarkable  for  its 
eminent  author's  vast  learning  and  ability  to  collect  and  organize  around  a 
central  theme  material  from  theology,  philosophy,  law,  literature,  and  iconog- 
raphy (to  mention  only  his  major  sources)  from  early  Christian  times  down  to 
the  17th  century.  Drawing  upon  many  specialised  studies  pertinent  to  his 
subject,  as  well  as  upon  original  texts,  Profe,s.sor  Kantorowicz  has  created  a 
fascinating  synthesis  that  cannot  fail  to  excite  our  admiration  and  throw  new 
light  on  a  myth  which  is  still  valid  in  our  own  times.  Though,  with  Dante, 

TrTTT^',;Sol^*;H'J  ^**  p/uneis  analogiques  en  -oba  dans  les  chartes  latinea  d'ltalie,  ALMA , 
Vlll  (l!Mo),  o-7o. 

's  Le  mot  ne  figure  pas  dans  la  liste  de  termes  autochtones  dress^e  par  M.  L  I  Russu 
Ltmba  traco-dacilor  (Bucure^ti,  1959),  p.  130. 

'»  Cf .  la  th^se  de  M.  E.  Turdeanu  :  «I.es  Roumains  ont  favoris^  le  ddveloppement  des 
lettres  s  aves  dans  leurs  propres  pnncipautds  m^me  h  I'^poque  oi"!  eux-memes  ne  s'en 
servaient  plus»  {Les  Pnncipautcs  roumaines  et  tes  Slaves  du  Sud  :  rapports  Utteraires  el 
rehgieui  (Munchen  :  Sudost  Institut,  1959),  p.  13). 

Reprinted  from  Romance  Philolooy,  Vol.  XV,  No.  2.  November  1961 

University  of  California  Press  ■  Berkeley  4 

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the  author  might  well  have  cautioned  his  readers  in  "piccioletta  barca" 
(like  your  reviewer)  to  beware  of  attempting  the  "pelago"  he  sails,  he  could 
hardly  claim  that  "L'acqua  ch'io  prendo  gia  mai  non  si  corse".  It  is  apparent 
from  his  introductory  discussion  of  Alaitland's  contributions  on  the  Tudor 
period  and  from  the  abundant  richness  of  his  erudite  footnotes  that  many 
other  scholars  have  sailed  in  some  of  these  waters:  but  none,  if  we  are  not 
mistaken,  have  gone  so  far  or  with  such  extensive  equipment.  The  journey, 
however,  is  a  difficult  one  and  by  no  means  in  a  .straight  line,  not  simply  in 
the  sense  that  it  begins  with  Plowden  in  lOth-century  England  and  ends  with 
Dante  in  14th-century  Italy,  but  because  Kantorowicz  constantly  changes 
course  or  seems  to  double  back  as  he  pursues  over  Europe  in  different  ages, 
through  Church,  State,  and  the  Law,  the  mainsprings  and  evolution  of  the 
idea  of  the  King's  Two  Bodies.  In  this  broad  and  yet  detailed  excursus  it  is 
extremely  difficult  to  recognise  the  sort  of  continuity  that  enables  the  reader 
in  the  end  to  be  sure  exactly  where  he  has  been:  so  that  he  may  have  the 
impression  of  having  taken  an  extraordinarily  instructive  cruise,  rather  than 
of  having  progressed  on  a  determined  and  determinable  course  from  point  to 
point. 

Let  us  test  this  impression  by  a  rapid  survey  of  the  book.  The  "problem"  with  regard 
to  English  juridical  thought  is  set  out  in  Chap,  i,  i.e.,  the  fiction,  first  clearly  apparent 
in  Plowden's  reports,  of  the  distinction  between,  and  unity  of,  the  King's  Body  natural 
and  his  Body  politic,  between  his  mortal  being  and  his  immortal  office  as  Head  of  the 
cori)oration  which  he  and  hi.s  subjects  together  compose.  We  need  not  be  concerned  with 
the  legal  niceties  this  fiction  provoked  (e.g.,  the  extreme  case  of  Charles  I),  but  we  can- 
not overlook  the  penetrating  study  in  Chap,  ii  of  Shakespeare's  Richard  II  as  a  "tragedy 
which  centred,  not  only  on  the  concept  of  a  Christ-like  martyr  king,  but  also  on  that 
most  unpleasant  idea  of  a  violent  separation  of  the  King's  Two  Bodies".  With  these 
premises,  Kantorowicz  takes  us  back  to  trace  the  idea  of  "Christ-centred  kingship", 
starting  from  the  so-called  Norman  Anonymous  of  c.  1100  a.d.,  in  whose  treatise  De 
consecralione  pontificum  et  regum  there  appears  the  transfer  to  kings  of  theological  con- 
cepts applied  to  the  dual  nature  of  Christ,  with  a  resultant  liturgical  philosophy  of 
kingship.  Kantorowicz  finds  this  concept  of  kingship  characteristic  of  the  "uncompro- 
misingly christocentric  period  of  Western  civilisation"  of  c.  900-1100,  exem])lified 
iconographioally  by  representations  of  the  Emperor  "in  majesty"  or  endowed  with  the 
halo.  "The  King  a  yemina  persona,  human  by  nature  and  divine  by  grace,  this  was  the 
high-media;val  eciuivalent  of  the  later  vision  of  the  King's  Two  Bodies,  and  also  its  fore- 
shadowing". 

The  next  phase  is  the  development  of  "Law-centred  kingship",  i.e.,  of  a  politico- 
juridical  concept.  The  shift  is  barely  accounted  for,  and  glimpsed  rather  than  explained 
in  symptoms  like  John  of  Salisbury's  doctrine  of  rex  imago  aequitatis  and  the  rising  idea 
of  the  Pope  as  vicarius  Christi.  The  change,  however,  is  unmistakably  apparent  in  Fred- 
erick II's  Liber  auguslalis,  with  its  significant  formula  of  the  Emperor  as  paler  et  filius 
iusliliae,  which  derived  from  Roman  law  and,  whilst  not  removing  the  divine  nature  of 
the  King,  placed  the  emphasis  on  the  "rational"  a.s  against  the  mysterious  concept  of 
his  person  predominant  in  earlier  times.  Almost  contemporary  with  Frederick's  idea  of 
himself  as /ex  a«twa/o,  Bracton  in  England  was  dealing  with  a  similar  problem  of  whether 
the  King  was  above  or  under  the  Law;  and  Kantorowicz  deals  at  length  with  these  two 


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figures,  discussing  and  illustrating  their  different  resolutions  of  the  apparently  contra- 
dictory nature  of  the  sovereign  at  once  outside  and  yet  limited  by  the  Law.  This  leads 
to  a  consHlerat.on  of  a  particular  point  of  law:  the  inalienability  of  Crown  lands,  and  the 
dual  nature  of  the  King  in  his  private  capacity  and  as  the  perennialyZ.se,  against  which 
nullum  tempus  curril.  In  other  words,  by  this  stage,  "the  media3val  dichotomy  of  sacer- 
dohuni  and  regnum  was  superseded  by  the  new  dichotomy  of  the  King  and  the  Law" 

The  further  development  to  "Polity-centred  Kingship"  took  place  under  the  influence 
of  the  corporational  view  of  the  Church  as  a  corpus  mysticum.  In  the  12th  century  this 
term  came  to  signify  no  longer  the  'consecrated  host',  but  the  'organised  body  of  Chris- 
tian society',  and  led  to  a  view  of  Christ's  two  bodies  somewhat  different  from  that  of 
his  dual  nature,  human  and  divine:  namely,  a  distinction  between  his  individual  body 
and  a  collective  body,  the  Church,  of  which  he  is  the  Head.  Together  with  the  idea  of  the 
Pope  vicarius  ChnMi,  this  led  to  the  emergence  of  the  concept  of  the  ecclesia.stic  corpus 
mysticum,  whose  Head  is  the  Pope,  -  in  other  words,  to  a  concept  more  political  than 
sacramental  or  liturgical,  and  one  more  readily  transferable  to  the  secular  field  Here  it 
began  to  appear  clearly  in  mid-13th  century,  and  with  growing  momentum  made  its  way 
int^o  law  and  social  philosophy,  with  a  multiplication  of  distinctions  between  the  indi- 
vidual and  those  universi tales  to  which  he  belonged,  and  into  the  particular  field  of  the 
aw  concerning  the  King  and  the  corpus  reipublicae  mysticum.  The  similarity  and  over- 
lapping at  this  time  between  ecclesiastic  and  secular  ideas  is  very  striking,  including 
e.g.,  the  marriage  metaphor  used  to  express  in  both  spheres  the  relation  between  the 
Head  and  the  corpus.  With  this  transference,  the  essential  continuity  of  kingship  and  of 
the  state  as  a  corporation  parallelling  that  of  the  Pope  and  the  Church  was  firmly  estab- 
lished, bringing  with  it  much  new  consideration  of  the  individual's  obligations  to  the 
corpus  of  which  he  is  part. 

Such  continuity,  however,  probably  could  not  have  been  so  readily  envisaged  or 
codified  without  fundamental  revision  of  the  question  of  the  "eternity'of  the  world" 
In  the  13th  century,  under  the  influence  of  Aristotle  and  Averrhoes,  the  old  Augustinian 
dualism  of  Time  and  Eternity,  of  opposition  between  a  brief  finite  world  and  God's 
infinity,  gave  place  to  a  new  quasi-infinite  continuity  of  the  world.  In  this  new  climate 
of  thought,  the  traditional  sempiternity  of  the  Church  and  of  Rome  passed  to  peoples 
and  states;  for,  though  individuals  pass  away,  "populus  non  moritur".  There  thus  grew 
up  the  fiction  of  the  immortality  of  "personified  collectives  and  corporate  bodies  that 
preserved  their  identity  despite  changes".  This  solved  the  problem  of  the  continuity  of 
the  body  politic,  but  not  entirely  that  of  its  Head,  which  had  yet  to  be  absolved  of 
"defects"  peculiar  to  it.self :  interregna  and  consecration. 

This  problem  was  closely  bound  up  with  the  views  of  the  decretalists  and  the  dualists 
on  the  relationship  between  God,  Pope,  and  Emperor.  If  the  latter  derived  his  authority 
directly  from  God,  he  entered  into  his  rights  upon  election  and  not  on  consecration :  and 
this  was  the  opinion  that  prevailed  officially  in  imperial  legislation  from  1338.  Dynastic 
continuity,  immune  to  interregna  and  independent  of  consecration,  rescued  the^King's 
body  natural  from  mortal  accident,  while  the  growing  fiction  of  the  Crown  as  imperish- 
able established  a  continuity  of  his  body  politic  (that  which  united  him  with  the  corpus 
rapubhcae  mysticum).  With  the  "Crown  a.s  fiction"  went  also  obligations  as  well  as 
rights,  in  particular  the  oath  of  inalienability  of  the  fisc,  parallel  to  that  taken  by 
ecclesiastics  in  the  13th  century  (and  non-alienation  becomes  a  well-worn  argument  in 
late  medieval  literature  regarding,  e.g.,  the  Donation  of  Constantine).  Furthermore  the 
King  came  to  be  regarded  as  the  guardian  of  the  Crown,  conceived  of  as  sempiternal'ly  a 
minor  and,  consequently,  unaffected  by  Time.  Finally,  the  Crown  was  reinforced  by  the 
idea  of  an  immortal  Dignilas,  adapted  from  canonistic  doctrine  concerning  ecclesiastical 
offices;  and  from  this  descended  ultimately  the  well-known  formulation  of  the  theory 
that  the  King  never  dies:  "The  king  is  dead!  Long  five  the  king!"  Kantorowicz  goes  on 


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R  o  M  A  N  c  K    Philology,  Vol.  XV,  No.  2,  November  1961 


to  trace  a  ceremonial  representation  of  the  King's  Two  Bodies  in  the  use  of  effigies 
in  funeral  rites  and  processions  in  France  and  England,  and  associates  this  with  the  twin 
sepulchral  ornaments  (the  robed  figure  and  the  naked,  emaciated  corpse)  found  espe- 
cially in  15th-century  England. 

With  a  brief  Conclusion  that  stresses  the  particularly  English  juridical  development 
of  the  idea  of  the  King's  Two  Bodies,  the  main  part  of  the  book  comes  to  a  close.  The 
last  chapter  on  "Man-centred  kingship:  Dante"  is  rather  in  the  nature  of  an  appendix, 
though  an  important  appendix,  as  we  shall  presently  see. 

For  tho  part  .so  far  considered,  your  reviewer  hopes  that  he  has  done  not  too 
much  injustice  to  some  450  pages  of  Kantorovvicz's  text  by  attempting  to 
outhne  its  theme.  The  strength  of  the  book  rests  in  the  abundance  of  diverse 
material  and  its  wide  range  both  in  time  and  space.  Its  weakness  appears  to 
lie  in  the  nature  of  the  subject  and  in  the  methods  of  inquiry  it  imposes. 
Kantorowicz  is  throughout  at  grips  with  a  complexity  of  similar  and  over- 
lapping concepts  deriving  from  theology,  philosophy,  and  canon  and  civil  law, 
and  manifesting  themselves  in  subtly  differing  forms  at  different  times  and 
places  in  P'.urope.  It  is  in  consequence  a  subject  very  difficult  to  get  onto  the 
ground  and  to  describe  historically:  the  hnks  of  a  chain  of  ideas  appear  to  be 
there,  but  somehow  the  chain  as  a  connected  secjuence  fails  to  materialise. 
The  book  proceeds  rather  by  juxtaposition  and  .suggestion  than  by  demonstra- 
tion and  deduction:  the  parts  are  there,  but  the  relationship  between  them  is 
imprecise  and  chronologically  as  well  as  geographically  not  a  little  confusing. 
This  accounts  for  the  almost  complete  absence  iti  our  summary  of  reference 
to  cause  and  effect,  to  a  tangible  pattern  of  growth.  The  result  has  the  fascina- 
tion of  a  kaleidoscope,  but  perhaps  also  its  limitation  of  possibly  shifting  to  a 
different  pattern  with  a  metaphorical  shaking.  It  is  only  fair,  however,  to  say 
that  the  author  is  aware  of  such  difficulties  in  his  theme;  and  it  must  be 
emphatically  stated  that  he  has  provided  Maitland's  iiuiuiry  into  the  English 
monarchy  with  a  most  impressive  and,  in  general,  convincing  background  in 
mediaeval  thought.  Maitland,  however,  had  also  mentioned  poi^sible  sources  of 
"twin-born  majesty"  in  Anticiuity.  This  problem  is  briefly  affronted  l)y 
Kantorowicz  in  his  Epilogue  —  perhaps  too  briefly,  unless  one  regards  the 
descent  of  the  Tudor  formula  as  the  exclusive  concern  of  the  book  (at  least 
half,  at  a  rough  guess,  deals  with  the  European  idea  in  general) ;  for  Kantoro- 
wicz refers  to  various  precedents  in  pagan  Anti(iuity  for  the  gemination  of 
the  ruler  later  developed  in  Christian  thought.  But  it  would  be  churlish  to 
expect  fuller  treatment  of  such  antecedents  in  a  book  centred  on  the  mediaeval 
period. 

The  chapter  on  Dante  is  naturally  concerned  with  De  Monarchia,  and  fo- 
cusses  attention  primarily  on  the  concept  of  humana  civilitas,  a  mystical 
corporation  of  all  men,  whether  pagan  or  Christian,  headed  by  the  Emperor 
who  derives  his  authority  direct  from  God  and  not  through  the  intermediary 
of  the  Pope.  With  Gilson,  Kantorowicz  insists  on  Dante's  "separatism",  his 
bold  severance  of  Man's  two  ends,  moral  and  spiritual,  represented  by  the 


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183 


Z^lT  u  T^^'^'^^T'  ""^  ^°^'™^  ^^  '^'  ^g«"^y  «f  quite  distinct 
fn^rf  ^^'  ^'■'".^^'■^^^^•^  the  near-Averrhoistic  idea  of  the  collective  human 
intellect  that  may  be  actuated  only  by  the  united  effort  of  all  men  living  in 

vZT".  7.""  '"^"  ^^^'  ''''''''  ''  ^''  ^^^^"^-t  •«  t«  -^how  how  Dante 
n  rnf't  w      '  ^"^  ii»Portance  of  a  purely  human  and  intellectual 

organisation  exLstmg,  as  it  were,  outside  and  alongside  the  Church,  and  with  a 
separate  justification  and  goal  of  its  own.  Kantorowicz  takes  issue  with  Gilson 
on  one  point  of  interpretation,  which  appears  to  us  to  have  been  slightly 
stretched  by  both  scholars  to  accord  with  their  particular  theses.  This  con- 

Tril^r-'lf '  "T  ""T"'  ""'"''  *'^  ^^^"'"^"t  that,  as -according  to 
Aristotle -all  members  of  a  genus  are  reducible  to  one,  and  therefore  all 

?oneTh^^,  '"  'T',""^  f  '^'  '''P^  ''  "°t  reducible  to  other  than  the 
Fope,  then  all  men,  including  the  Emperor,  are  reducible  to  the  Pope  "tam- 
quam  ad  mensuram  et  regulam".  Dante's  counter  to  this  is  to  distinguish  the 
offices  of  Pope  and  Emperor  from  their  human  incumbents,  and  to  state : 

Prout  sunt  homines,  habent  reduci  ad  optimum  hominem  qui  e.st  mensura  omnium 
ahorum  et  ydea.  ut  dicam,  quisqui.  ille  sit,  ad  existentem  maxime  unumTngener  uo 
ut  haberi  potest  ex  ultimis  ad  Nicomacum.  genera  suo. 

From  this  pas.sage  Gilson,  with  the  distinctions  of  authority  of  Convirno  in 
mind  and  identifying  the  optimus  homo  with  the  Aristotelian  sage,  con- 
structed three  orders  of  equal  rank  and  summarised  them  in  this  way: 

Deus 


Optimus  homo  Imperator  Papa 

Kantorowicz  corrects  this  diagram,  quite  rightly,  with  one  of  his 


own: 


Imperator 


y^  Deus  ^^^ 


Optimus  homo 


Papa 


He  also  tends  to  draw  the  idea  of  the  Aristotelian  sage  towards  the  Emperor 
and  to  identify  Imperator  —  optimus  homo,  concluding: 

t^herriw'nh'l  ""^T"  "^  '^"^"^y  Pf '"'"'"^  ^''^  ''''^"^  ♦"  ''~'-  ♦he  figure,  not  of 

he  Greek  ph  losopher-sage,  but  of  the  Roman  Emperor-philo.sopher,  ju.st  as  it  pos  ulated 

the  figure  of  the  Roman  pontiff  with  regard  to  C/im<iam7as.  postulated 

However  true  this  may  be  on  the  general  basis  of  De  Monarchia,  it  cannot 


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J 8 J,  Romance    P  h  i  l  o  l  o  g  v,  Vol.  XV.  No.  2,  Xovmber  1961 

surely  l.e  supported  from  the  argument  in  in.l2.  The  Pope  is  as  much  optimum 
harm  as  the  Emperor  in  that  context,  and  the  emphasis  there  lies,  not  on  the 
quality  or  identity  {quisqui^  ilk  sit)  of  the  optimus  honu,,  but  on  a  philosophi- 
cally argued  distinction;  and,  once  argued,  the  optimum  homo  plavs  no  further 
part  at  all  in  Dante's  demonstration. 

The  most  original  point  of  this  chapter  appears  to  us  to  he  in  the  author's 
mt^rpretation  of  Vergil's  famous  hne  in  Purg.  xxvii.142: 

per  ch'io  te  sovra  te  corono  e  mitrio. 

Kantorowicz  instances  the  use  of  'crowii'  and  "mitre'  in  baptismal  ceremonies 
and  sees  Dant^-'s  journey  up  to  the  Earthly  Paradi.se  as  a  proce.ss  of  identifi- 
cation ^^ith  the  original  image  of  Man,  ^^■\xh  Adam  subtili^,  culminating  in 
the  \ergilian  "coronation".  He  concludes: 

Dante  achieved  his  '•baplisin-  into  humamia,  in  a  para-sacramental  and  para-«ccle*ias- 
tical  fashion,  vnxh  C.Hto  acting  as  sponsor,  and  v^-ith  the  prophet  Vergil  as  his  Baptist 
a  Baptist,  though,  who  this  time  unlocked  to  man  not  the  heavens,  but  the  paradise  of 
Man 

—  an  int^-Uectual  bapti.'^m,  therefore,  admitting  him  to  the  corpus  mysticum 
Ada^  quod  est  humarnta^.  This  explanation  satisfactorily  rids  the  important 
episode  of  the  Papal  and  Imperial  overtones  commonly  a.scribed  to  it  and 
deserves  most  serious  consideration  by  Dante  scholars. 

Other  aspects  of  this  chapter  also  recommend  it  to  all  those  interested  in 
Dante;  and  they  vrill  readily  forgive  the  author  the  erroneous  statement  that 
Boniface  VIII  is  shown  in  the  chasm  of  the  Simonists,  and  may  overtook  the 
footnote  (14,  p.  45.5)  as.serting  that  Dante  accepted  Frederick  IPs  definition 
of  nobilityin  Mon.m.Z.\b  (what  of  "antica  ricchezza"?).  [C.  Gr.\y.so.\,  Oxford] 

GR.4YSOX,  Cecil,  ed.  Vincenzo  Calmeta,  Prose  e  ktt^e  edite  e  inedite  (con  due 
appendici  di  altri  iwditi).  Collezione  di  opere  inedite  o  rare  pubblicata 
per  cura  della  C'ommissione  per  i  testi  di  lingua,  \'ol.  CXXI.  Bologna: 
Casa  Carducci,  1959.  Pp.  Ixxiii,  144 

Nel  ristretto  manipolo  di  italianisti  inglesi  Cecil  Grayson  occupa  ormai  un 
posto  distmto.  Ai  suoi  lavori  sui  te.sti  antichi  e  .su  L.  B.  Alberti  si  aggiunge  ora 
una  traduzione  della  \-it.a  del  Savonarola  di  R.  Ridolfi  e  infine  questo  volume 
che  ci  permette  di  ricostruire  una  figura  di  scrittore  conosciuta  finora  quasi 
soltanto  di  .seconda  mano,  attraverso  te,«tiraonianze  di  contemporanei.  In 
parte  quest  a  raccolta  di  scritti  e  anche  una  testimonianza  della  eccezionale 
vitalita  e  spirito  di  cooperazione  di  Cario  Dionisotti,  un  vero  "maestro" 
pervenuto  dalla  scuola  del  Giornak  Storico  all'Universit^  di  Londra,  e  capace 
di  mettere  a  profitto  la  sua  esperienza  italiana  fra  i  tesori  del  British'.Maseum. 
Ai  suoi  intere.s.<i  si  avvicinano  quelli  del  Grayson,  e  a  lui  si  deve  in  particolare, 
per  il  presente  volume,  la  scoperta  dell 'import  ante  lettera  a  Isabella  di  Man- 

lUprinted  from  Romajsce  Philologt,  Vol.  XV.  No   2.  .November  1861 

I'mverBty  of  Cidifomia  Prw*  •  Berkeley  4 

fnnted  tn  ISA 


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BOOK  REVIEW 


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of  pen.  There  are  occasional  correspondences  berween  the  contents  of 
this  book  and  that  of  the  third  Gospel.  The  devotion  of  the  author  to 
a  tradition  is  unquestioned,  but  his  refleaion  on  Roman  Catholic  scholar- 
ship IS  a  disservice.  Frhderick  W.  Danker 

THE  LETTER  TO  THE  ROMANS.  By  William  Barclay,  ed  Phila- 
delphia: The  Westminster  Press,  1958.  xxxi  and  244  pages  Cloth 
$2.50. 

The  readability  as  well  as  scholarship  evidenced  in  William  Barclay's 
contributions  to  the  Daily  Study  Bible  Series  have  been  dominant  factors 
in  the  success  of  this  publishing  venture.  This  translation  and  brief 
exposition  of  Romans  displays  a  ripe  perception  of  some  of  its  leading 
theme.s  as  well  as  abilit}'  to  express  in  simple  terms  the  profound  trutfis 
of  the  epistle.  In  certain  areas,  however,  Barclay  would  appear  somewhat 
vulnerable.  The  equation  of  the  oracles  of  God  with  the  Ten  Com- 
mandments ( p.  48 )  is  philologically  questionable.  A  concordance  study 
would  not  seem  to  bear  out  the  statement  that  Paul  is  apologetic  for  the 
use  of  the  slave-metaphor  in  6:19,  because  he  did  not  like  to  compare 
the  Christian  life  with  any  kind  of  slavery.  In  the  same  context  Barclay 
appears  to  deduce  too  much  out  of  6:17  regarding  the  extent  of  prebap- 
tismal  instruaion  He  finds  also  in  Paul's  discussion  on  election  a  some- 
what despotic  piCTure  of  God.  FREDERICK  W.  DANKER 

ZUM  STREET  UM  DIE  UEBERWISDUNG  DES  GESETZES.  By  Rudolf 
Hermann.  Weimar:  Hermann  Boehiaus  Nacfafolger,  1958.  52  pages. 
Paper.  DM  3.50. 

The  author  endeavors  to  point  up  Luther's  chief  concern  in  the 
Antinomian  Controversy  with  his  friend  Agricola.  In  this  he  succeeds 
quite  well.  He  shows  that  Luther  realizes  the  need  of  the  Law  in  order 
to  establish  the  need  of  Christ.  Christ  Himself  expounds  the  Law  in 
preparing  the  way  for  the  Gospel.  At  the  same  time  Luther  emphasizes 
the  sharp  distinction  between  the  Law  and  the  Gospel.  The  author  does 
not,  however,  fully  agree  with  Luther's  concept  of  Chri.st's  relation  to 
the  Law.  A  number  of  questions  are  in  order.  Does  the  author  regard 
the  justification  of  the  sinner  as  a  forensic  act?  Does  he  identify  the 
believer's  righteousness  with  the  uni(,  mysttca?  Is  the  sinner's  righteous- 
ness to  be  combined  with  the  righteousness  of  Christ  in  the  final  ludg- 
ment?  If  this  is  not  what  the  author  would  say,  one  might  desire  greater 
c^ittity  in  his  final  evaluation  L  W.  SPITZ 

THE  KING'S  TWO  BODIES:  A  Study  tn  Medieval  Political  Theology. 
By   Ernst  H.   Kantorowicz     Princeton,  N.   J.;    Princeton   University 
Press,  1957.  xvi  and  568  pages    Qoth.    $10.00. 
The   fiction   of  the  Kings  two   bodies,   "its  transformations,   implica- 
tions, and  radiations,'    is  the  problem  of  Kantorowicz  s  studv.    Medieval 
political  history,  medieval  ideas,  medieval  law,  and  medieval  theology  are 


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drawn  on  for  their  thorough  elucidation  of  an  arresting  development. 
"The  King  never  dies,"  the  jurists  said,  because  he  possesses  a  body  politic 
and  a  natural  body.  The  notion  of  Crown  is  interwoven  in  the  strands 
of  political  thought,  as  is  the  concept  rex  instrumentum  dignitatis.  Dante, 
who  wrote  a  treatise  De  motiarchui,  is  subjected  to  an  analysis  as  a  political 
philosopher.  These  indications  of  the  scope  of  the  work,  amply  docu- 
mented, will  also  point  up  its  significance.  The  32  illustrations,  medal- 
lions, and  seals  are,  to  a  large  extent,  splendid  reproductions  and  help  to 
visualize  the  discussion.  Kantorowicz's  study  amply  demonstrates  that 
"7he  Kind's  Two  Bodies  is  an  of?shoot  of  Christian  theological  thought 
and  consequently  stands  as  a  landmark  of  Christian  political  theology" 
(p.  506).  Carl  S.Meyer 

GESCHICHTE  DER  ALTCHRISTUCHEN  LITERATUR  BIS  EUSEBIUS. 
By  Adolf  Harnack.  Second  revised  edition  by  Kun  Aland.  Leipzig; 
J.  C.  Hinrichs  Verlag  fuer  Deutscher  Buchexpon  und  -import 
G.  m.  b.  H.,  1958.  Two  volumes  in  four.  Cloth.  Price  not  given. 

Adolf  Harnack  needs  no  introduaion  to  present-day  theologians. 
Most  people  still  remember  him  as  the  popularizer  of  Ritschlian  theology, 
especially  in  his  famous  lectures  Das  Wesen  des  Christentums.  However, 
it  was  primarily  as  a  student  of  patristics  and  of  the  early  church  that 
Harnack  made  a  lasting  contribution  to  knowledge.  Aaive  in  founding 
the  Berlin  Corpus  (still  in  progress)  and  cofounder  of  the  magnificent 
series  Texte  und  Vntersuchungen  zur  Geschichte  der  altchristltchen 
Lfteratur,  he  had  a  deep  respea  for  source  documents  that  left  its  impress 
on  all  his  work. 

It  is  this  that  makes  the  reprint  of  his  Geschichte  a  valuable  contribu- 
tion to  current  literature  and  not  just  antiquarian  dust  raising.  Volume  I  is 
a  collection  of  all  the  information  that  a  reader  or  editor  of  an  early 
author  needs  to  begin  his  work;  coUeaions  of  ancient  testimonia,  listing 
of  quotations  in  subsequent  authors,  descriptions  of  existing  manuscripts 
and  suggested  stemmata,  long  lists  of  tnctptt's  and  explicit's,  and  much 
valuable  bibliographical  material.  \('hile  certain  facets  of  this  work  are 
dated  (one  will  turn  to  Bauer's  and  Vattarso's  listings  of  the  tnitia  and 
Dekkers  CLavts  patrum  Latinorum  fSacris  Erudiri  III,  1951]  for  the 
manuscript  traditions  of  extant  Latin  fathers ) ,  there  is  no  subsequent 
work  that  will  replace  it  as  a  whole. 

Volume  II  anempts  to  put  the  literature  into  chronological  order  ("the 
proposed  third  volume  was  never  published ;  Once  again  it  is  the  respea 
for  sources  that  gives  the  work  its  value.  All  the  building  blocks  are 
there  for  anyone  to  construa  his  own  chronology  (the  early  bishops'  lists, 
ancient  notices,  etc. ) ,  even  if  the  current  day  is  of  a  markedly  different 
theological  climate  than  early  twentieth-century  Germany.  Harnack  him- 
self was  able  to  change  his  own  mind  on  the  basis  of  a  restudy  of  these 
data,  e.  g.,  on  the  date  of  Luke-Aas. 


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V 


Ernst  H,  Kantorowicz  ll,,-  king's  tw„  Iwdips.  A  studii 
tiral  llirologi/.  Priiiceldn,  1957.  8".  568  j). 

Itans  toutos  lus  monarchies  de  I'ere  moderne.  les  juristcs  o.ii  l'U-  obJitjes 
de  distin-uer  les  actes  acconiplis  par  le  roi  comme  personne  privee  et  ceux 
emanant  de  son  autoritr  pul)liqu<'.  Les  juristes  anpJais  du  am^-x  viie  siecle 
unt  donne  de  cette  distiii.^tiou  dassique  une  curieuse  formulation  Le  roi 
disaient-ils,  a  deux  corps  :  un  corps  naturel  et  un  corps  j.olitique  Le  pre- 
mier est  ephemere,  faillible  el  mortel.  Le  second  est  stable,  infaillible 
eternel.  C  est  1'  «  estal  et  la  dignite  royale  »  {roffal  estate  „mt  digni,,^)  la 
..  poiice  el  le  gouvernement  du  royaume  la  «  corj.oration  constituee  par 
1  union  du  prince  et  de  ses  sujets...  ...  .es  diverses  definitions  sont  propo- 

De  la  derniere,  on  deduil  de  <-urieuses  consequences  : 

-  Le  roi,  parafOiewnt  Tunion  des  sujets  dans  le  corps  politique  et  a 
Jul  seul  '<  en  .son  c^s  politique  »  une  corporation,  une  rcalite  collective 
dont  ll  est  le  support  momentane.  mais  dont  Tame  transmigre  apres  sa 
mort  dans  le  con^  de  son  succcsseur.  Le  r-.j  ne  meurt  pas.  dit-on  il  se 
uemet  {deimse]  all  profit  de  son  successeur. 

-  Les  deux  corps  du  roi  .sont  a  ce  point  solidaires  que  certaines  quali- 
tes  de  1  un  .suppleent  aux  carances  de  I'autre.  Ainsi  les  juristes  anglais 


^ 


cn:^ 


n    L     J    1 1 

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(iiMl'TKS    HKMM  S 


5'J.i 


estiinenl  valables  les  ucles  de  disixisitiiMi  d'un  roi  mineur  sur  son  domaiiie 
prive,  parce  que  le  corps  politique  du  roi  ne  connait  pas  la  minorite. 

—  Avec  un  luimour  asse/.  inanabre,  le  parlcmenl  anglais  de  l»ii2  s"i"sl 
paye  le  luxe  de  condauiner  a  niorl  le  corps  naturel  du  roi,  au  noin  ct 
coinme  representant  de  son  corps  politique  ! 

Telle  est  la  curieuse  theoric  des  juristcs  des  rois  Tudor.  Dans  son 
Richard  111,  Shakespeare  en  a  donne  uiaintes  formulations  poetiques. 
M.  Kanlorowicz  a  etc  d'emblee  frapjie  jiar  Tanaloirie  de  cette  decomposi- 
tion de  la  ]iersonnalite  du  roi  avec  la  Iheologie  des  deux  natures  du 
Christ,  et  il  a  cherche  des  precedents  a  cette  audacieuse  transposition. 

Au  xi|i-  siecle,  un  anonynie  normand  distingue  la  personne  naturelle  du 
roi  de  la  personnalite  du  Christ  que  la  grace  de  .son  sacre  lui  permet  d'in- 
carner  :  In  una  quippe  erat  naturaliicr  individuus  homo,  in  altera  per  gra- 
tiam  Christus,  id  est  Deus  homo  ...  In  officio,  figura  et  imago  Christi  et 
i)ete.s/...  Cette  distinction  de  la  personnalite  divine  et  do  la  personnalite 
humaine  du  roi  est  illustree  par  I'iconograpliie  des  empereurs  du  haut 
moyen  age.  11  est  evident  que  cette  speculation,  pour  curieuse  qu'elle 
soit,  n'a  rien  a  voir  avec  les  theories  des  juristes  anglais  du  xvn<?  siecle. 

Frederic  II  nous  en  rapproche-t-il  en  projiosant,  dans  les  constitutions 
de  Melfi  une  nouvelle  decomposition  de  la  jiersonnalite  royale  ?  Createur 
du  droit,  le  prince  trouve  dans  le  Droit  la  justification  et  la  raison  d'etre 
de  son  pouvoir.  Le  prince  est  done  a  la  fois  «  pere  et  his  de  la  justice  ».  En 
comrnentant  ce  texle,  un  juriste  evoque  I'analogie  de  ■<  Dieu,  pere  el  Ills 
a  la  fois  ».  Mais  I'audience  ohtenue  par  de  seniblables  reveries  ne  semble 
pas  avoir  ete  tres  grande.  En  revanche,  M.  Kantnr  iwicz  a  tout  a  fait  rai- 
son de  remarquer  que  I'idee  d'un  Etat  existant  uniquement  pour  lui  nienie 
et  n'ayant  d'autres  hns  que  sa  propre  conservation  est  etrangere  au 
moyen  age.  Hecemment  Alan  Gewirth  faisait  de  Marsile  de  Padoue  I'ini- 
tiateur  de  cette  idee  moderne.  Peut-etre  lui  faisait-il  beaucoup  d'honneur. 
En  lous  cas  pour  tous  les  autres  publici-tes  du  moyen  age,  juristes  ou 
Iheologiens.  le  prince  trouve  la  justification  de  .son  pouvoir  dans  le  fait 
(ju'il  le  met  au  service  de  la  justice.  Justinien  et  Aristote  s'accordent  a 
designer  le  prince  comme  la  lex  animata  {gerit  typum  justitiae]  et  leurs 
commentateurs  brodent  sur  ce  theme.  C'est  de  cette  notion,  sans  aucune 
dichutomie  de  la  personne  du  prince,  que  se  degage  peu  a  pen  I'idee  d'une 
distinction  de  I'oflice  du  prince  et  de  sa  per.simne.  de  la  couronne  et  du  roi. 
Les  textes  de  Bracton  que  cite  \I.  Kantorowicz  .sont  particulierement  sug- 
gestifs  :  ea  quae  sunt  justitiae  et  pad  annexae  ad  nullum  pertinent  nisi 
tantumad  coronam  el  dignitatem  regiam...  Le  meme  Bracton  oppose  le  droit 
feudal  du  roi  a  son  droit  fiscal  :  Est  eliam  res  quasi  sacra  res  fiscalis.  quae 
dari  potest  nee  vendi...  a  rege  regnante...  et  quae  faciunt  ipsam  coronam 
et  conimunem  respieiunl  utilitntem.  sicut  est  paj-  el  justitia... 

M.  Kantorowicz  cherche  ensuite  si  la  Iheorie  qu'il  etudie  ne  se  rattache 
pas  directement  a  la  fiction  du  rorpus  mysticum.  11  resume  les  donnees 
des  etudes  du  P.  de  Lubac,  de  Holbock  et  Tierney  sur  la  formation  pro- 
gressive du  concept  cristallise  par  les  canonisleset  theologiensdu  xiii*- siecle 
sur  les  deux  corps  du  Christ,  corps  naturel  ou  (;orps  mystique  quod  est 
ecrlesia.  II  montre  ensuite  avec  finesse  que  cette  idee  a  etc  divt>rsenient 
utilisee  par  les  juristes  :  les  uns,  comme  Lucas  de  Penna.  poussant  au.ssi 
loin  que  po.ssible  I'analogie  entre  le  corps  mystique  du  prince  (la  comniu- 
nautf  dont  il  est  la  tete)  et  I'eglise  corps  mystique  du  Christ,  appliquant 


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(.OMI'li:s    iiKNDl  S 


menif  au  prince  la  iinHaphore  du  iiiariage  mystique  entre  I'^veque  et  son 
6glisf.  iiivoquant  ciinn  (xiiir  I'appliquer  au  prince  le  canon  celebre  de 
st  Cyprien  Scire  debeti  (C.  Nil  qu.  1  c.  7)  :  ubi  episcopus,  ibi  ccclesia.  ; 
d'aulres  I'ulilisanl  uniquenient  ])our  donner  un  sens  a  la  notion  de  per- 
sonnalit6  morale  do  Vuniversitas  qui  cozninence  a  se  degager.  II  reste 
encore  beaucoup  a  dire  sur  la  porlee  exacte  que  juristes  et  theologiens 
donncnt  a  ce  corjjs  politique,  soil  pour  y  chercher  un  coiitrepoids  du 
pouvoir  royal,  soit  le  plus  souvciit  pour  donner  un  caractere  inviolable  a 
raction  royale  qui  est  I'expression  de  la  vie  collective.  M.  Kantorowicz 
a  citt-  Pierre  d'Ailly  et  Gersun.  11  aurait  Irouve  dans  Torquemada  uno  dis- 
cussion approfondie  de  leurs  theses  et  aurait  pu  saisir  une  nouvelle  inter- 
r6action  des  conceptions  politiques  et  ecclesiologiques. 

Etudiant  ensuite  la  notion  de  la  continuitu  et  de  la  permanence  du 
«  corps  politique  »,  M.  Kantorow  ic/.  glose  avec  bonheur  sur  un  texte  de 
Baldus  niontrant  ()ue  certaiiies  c(ir])orations  peuvent  naitre  d'une  suc- 
cession de  j)ers(innes,  comme  d'autres  naissent  de  leur  concours  quia  pro 
pluribus  habetur,  qui  in  pluriurn  jus  nurcedit,  vel  plures  representut...  11  y 
a  la  une  replique  curieuse  a  la  tlieorie  de  la  personnalite  fictivedu  groupe. 
Le  ])euple  est  a  traiter  «  comme  un  individu  »,  mais  a  I'inverse  le  prince 
on  le  titulaire  d'un  odice  jiermaiieiit  est  a  considerer  "  comme  une  collec- 
tivite  )'.  II  ]iarticipf  de  la  perennile  de  celle-ci.  Nous  ne  suivrons  jxiurtant 
pas  M.  Kantomuiiv.  lorsqu'il  soiipeonne  la  une  subtile  influence  de  la 
th6se  averroisle  dt;  relernite  du  innnde.  11  n'y  a  pas  besoin  d'aller  cher- 
cher si  loin  pour  expliquer  un  concept  aussi  naturel. 

Mais  c'est  en  definitive  a  la  distinction  du  roi  et  de  la  couronne,  de 
r^veque  et  de  son  «  siege  »,  du  prelat  et  de  la  dignitas  qu'il  attache  le  plus 
d'importance.  Hex  instruniriiliun  dignitatis,  dignitas  non  nioritur...,  sur 
I'origine  et  le  developpemenf  de  ces  adages  forges  [)arallelemi'nt  par 
canonistes  et  juristes,  M.  Kant  rowicz  ecrit  cent  cinquante  pages  nourries 
de  textes  qui  ne  sont  peut-etre  pas  definitives  (1)  niais  sont  en  tons  cas 
eminemment  eclairantes  et  suggestives.  11  a  bien  analyse  les  elements 
disjoints  de  la  notion  d'tine  couronne  distincte  de  la  personne  du  roi  : 
fisc,  inalienabilite,  bien  public,  assimilation  de  la  couronne  a  un  mineur 
dont  le  roi  est  le  tuteur.  etc...  II  a  montre  que  la  couronne  est  plutot  icor- 
porisee "  que  personnalist-e.  Kile  incoi'pfire  tons  les  droits  souverains  et. 
de  ce  fail,  est  superieure  a  tons  les  nicmbres  du  royaume  y  lomfiris  le 
roi,  bien  qu'elle  soil  inseparable  de  lui. 

Cette  analyse,  plus  sociologique  ou  juridique  que  tlieologique  nous  rup- 
proche  beaucoup  [ilus  des  theories  des  juristes  anglais  que  les  analogies 
christologiques  el  trinitaires  que  leurs  exposes  semblaient  a  jjremiere  vue 
directement  evoquer. 

M.  Kantorowicz  le  reconnait.  mais  il  abandoiine  avec  regret  Tidee  d'une 
transi)osition  des  n'flexions  theologiques  dans  la  philosophic  politique  el 
le  droit  public.  C'est  probablement  ce  qui  nous  vaul  un  chapitre  sur  la 
th(''ologie  do  rhonime  selon  Dante,  qui  nous  parait  ;i  la  fois  discutable  el 
assez  etranger  au  sujet. 

La  presence  un  peu  insolite  de  ce  chapitre  nous  permet  de  inieux  saisir 
le  faible  et  le  tort  du  livre  tout  entier, 

(1)  Nous  ferioiis  iiotamment  des  re.serves  sur  les  pp.  :il7-;j;i').  I.es  ttieoiies  sur 
la  valeur  du  saere  ue  nous  paraissent  pas  avoir  do  lien  ilirect  nvee  la  (|uestion 
qui  nous  uceupe. 


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I  MMPTKS    liKMil  S 


595 


Le  faible.  ( "est  son  aspect  disjoint.  II  regroupe  des  etudes  anterioures 
(resuniees  ou  eompletees  suivant  le  cas),  toutes  interessantes  et  sugges- 
tives.  Les  unes  mettent  en  valeur  les  divers  aspects  que  prend  au  nioyen 
age  riutiraction  qu'exercent  I'une  sur  I'autre  les  reflexions  theologiques 
et  les  theories  juridico-poliliques.  D'autres  suiv  nt  la  naissancc  d'une 
conception  collective  et  socialo  du  pouvoii'.  I'^nlre  ces  deux  preoccupa- 
tions essentielles  et  non  concordantes.  le  probieine  qui  donne  au  livre  son 
titre  :  •>  origine  de  la  theorie  anglaise  des  deux  corps  du  roi  »  s'insere  un 
peu  artiliciellernent.  In  epilogue,  dans  lequel  on  recherche  si  la  forniule  a 
des  precedents  dans  Tantiqiiite  paienne,  est  moins  un  epilogue  qu'une 
annexe. 

Mais,  ces  reserves  faites,  disons  que  le  fori  du  livre  est  de  jiresenter  a 
I'historien  des  idees  une  sotnine  de  reflexions  suggesHves  sur  les  progres 
de  la  pensee  politique.  Les  points  de  vue  divers  adoptes  sui  cessivenienl 
par  I'auteur  mettent  en  relief  des  aspects  inhabituels  de  maintes  forniules 
classiques.  Le  lecteur  en  sort  enrichi  autant  qu'intrigue  par  les  nombreux 
chemins  ouverts  qui  I'invitent  a  pen^trer  plus  avant  dans  le  fourre.  Ajou- 
tons  que  la  bibliographic  est  riche  et  precise,  et  que  les  .viurces  reper- 
toriees  dans  le  doniaine  toiiITu  de  la  litterature  canonique  et  juridique 
.sent  extremement  abondanles.  I,es  theoriciens  du  droit  publii  ou  les 
historiens  de  la  philosophic  politi(jue  disrulcront  souveni  avec  I'auteur 
en  le  lisant,  mais  ils  aimeroni  tons  avoir  son  livre  a  portee  de  la  main. 

<  ''eorges  de  I ,  *  i;  a  r  i)  r  . 


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Kanlorowicz,  The  King's  two   bodies.   Princeton,  NJ. 
\llniversity  Press,  1957.  In-8°,  xvi  et  568  p.,  21  pi.  h.-t. 

Voici  un  livre  (ie  lout  premier  plan.  Apres  son  Kaiser  Friedrich  II 
et  ses  Laiides  regiae,  I'auteur  consacre  a  I'essence  de  la  royaute  medic- 
vale  un  ouvrage  de  porfec  gencrale,  dont  la  nouveautc  et  la  richesse 
d'investigation  eclatent  des  la  table  des  matieres.  Royaute  centree  sur 
le  Christ  ;  royaute  centree  sur  la  Loi  ;  royaute  centree  sur  la  Cite  ; 
probleraes  de  continuite  et  de  corporations  ;  le  roi    nc    meurt    jamais  ; 


lUi,'*^  C Hi,i^^ix   cc  ^  nC:c^  -fA*^  iU*f^^t^ 


yC^V 


fii>'^,   in-  i  f  e 


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U     U    L        I 


\ 


RKVUE    DES    LIVRES 


Mb 


royaute  cenlrie  sur  I'Homme.  Kssayons  <lc  ri-duiri-  ces  litres  en  une  seuie 
fornuile.  Nous  dirons  :  dii  nouvcl  Adam  au  premier  Adam  ;  dc  la  theolo- 
gie  politique  dii  xi"  siede  a  Dante,  par  la  philosophie  et  le  droit.  Ce 
magnifique  siijet  est  deroule  a  travers  iin  tcxtc  dense  et  image,  passant 
de  la  description  on  de  la  suggestion  a  I'analyse  dialectique  rigoureuse 
des  concepts,  et  (pii  s'appuie  sur  un  ajjparat  critique  d'une  riciiesse 
exceptionnelle.  Cluuiue  fois  qu'il  est  possible,  le  lecteur  dispose  d'une 
illustration  concrctisant  ce  (pi'il  vicnt  d'apprendre.  A  la  fin  du  volume 
un  index  methodique  de  plus  de  trente  pages  est  a  lui  seul  un  precieux 
instrument  dc  travail. 

«  Ktude  de  theologie  politique  medievalc  »,  nous  dit  le  sous-tilrc. 
Hntendons  :  rccherches  sur  I'utilisation  d'idees  religieuses  par  le  pou- 
voir  seculier  qui  cherche  a  se  definir  ;  secularisation  de  ces  idees  par 
I'Etat  qui  dans  sa  reconstruction  se  modele  sur  rKglise  et  sc  donne  en 
outre  une  solide  armature  juridique  et  piiilosopliique  sous  Tinfluence  de 
la  double  renaissance  des  xii'  et  xiii"  siccles.  Etude  generale  par  conse- 
«|uent  et  couvrant  I'Occident  medieval,  dans  laquelle  cependant  la  i)lace 
essentielle  est  occupee  par  I'Angleterre  oil,  precisement,  le  concept  des 
deux  corps  du  roi  fut  degage  le  plus  tot  et  pousse  le  plus  loin.  Mais  la 
France  n'est  pas  loin  et  on  la  decouvre  souvent  avec  une  evolution  sem- 
blable  qui  aboutit  cependant  a  des  resultats  difTcrents.  L'Empire  de 
Frederic  II  est  present  lui  aussi,  a  la  charniere  de  cette  elude.  Quelques 
notations  sur  la  Hongrie  et  sur  Byzance.  A  I'arriere-plan,  revolution  de 
I'Eglise  et  de  la  Papaute.  Ces  collectivites  et  ces  Elats  ne  sont  cependant 
pas  traites  comme  des  abstractions  pures  ;  une  part  importante  est  faite 
aux  hommes  dont  la  pensee  a  animc  ces  sociefes,  theologiens,  pliiloso- 
phes,  juristes,  poetes,  souverains  :  entre  tous,  Bracton  ct  Balde,  Thomas 
d'Aquin  et  I'Ecole,  Henri  II  et  le  dernier  des  empereurs  Staufen,  Dante 
et  Shakespeare.  II  y  a  la,  en  un  mol,  une  exploration  systematique  du 
monde  de  la  pensee  medievale  a  son  apogee,  oil  tout,  certes,  n'est  pas 
absolumcnt  nouveau,  mais  qui  jamais  encore  sur  le  plan  politique  n'avait 
donne  lieu  a  une  synthese  aussi  brillante,  a  une  construction  aussi 
grandiose. 

Les  deux  corps  du  roi  :  c'est  en  Angleterre  sous  les  Tudors  que  ce 
concept  a  ete  defini  avec  le  plus  de  precision  par  la  distinction  que 
Ton  etablil  entre  le  corps  naturel  du  roi  (ju'll  possede  en  propre  comme 
n'importe  quel  homme,  et  <pii  est  sujet  a  la  soufTrance  et  a  la  mort,  et 
son  corps  politi(pie,  veritable  corjjoralion  dont  les  sujels  sont  les  mem- 
bres  et  lui,  Ic  roi,  la  tete  ;  a  la  difference  du  premier,  il  ne  meurt  point  : 
apres  la  mort  ou  I'eloignement  du  roi,  il  est  aussitot  transfere  a  la  per- 
sonne  de  son  'successeur.  C'est  a  I'exegese  de  ces  definitions,  recueillies 
par  M.  KantorAwicz,  apres  Maitland.  dans  les  Reports  de  Plowden, 
consignes  pentUnt  le  rcgne  d'Elisabeth,  qu'est  consacre  tout  le  premier 
chapitre  du  livrc,  tandis  que  le  second  suit  les  variations  du  theme  a 
travers  le  Richard  II  de  Shakespeare,  «  la  tragcdie  des  deux  corps  du 
roi  »  (p.  26). 

Apres  cette  introduction,  nous  voici  entraines  a  la  recherche  de  la 
genese  de  cette  image.  L'esquisse  la  plus  ancienne  qu'on  en  per^oive  se 
trouvc  dans  les  traites  de  I'Anonyme  normand  (ou  Anonyme  d'York, 
vers  1100).  Le  roi  y  apparait  conmie  une  persona  (/emina,  une  personne 
rledoublee  :  I'une  est  naturelle,  la  sienne  propre  ;  I'autre  nail  du  sacre 
dont  la  grace  lui  conferc  un  corps  habitc  par  I'Esprit  de  Dicu.  L'onction 


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376         REVUE  d'histoire  et  de  philosophie  religieuses 

sacramentelle  est  ainsi  iin  instriinient  dc  deification  ;  par  elle  ie  roi 
•icvicnt  la  figure  et  I'image  dii  Clirist  (royaute  christocentrique).  La 
Qiierelle  dcs  Investitures,  revolution  de  la  tlieologie  sacramentaire,  la 
lente  devaluation  du  sacre  royal  (qui  sera  exdu  de  la  liste  canonique 
des  sacreinents)  expli(|uent  que  la  royaute  abandonna  peu  a  peu  le  thfeme 
de  riinitation  du  Christ,  pour  devenir  siniplenient  theocratique,  tandis 
que  raflerniissement  des  monarchies  et  la  renaissance  du  Droit  flrent 
l)revaloir  la  pensee  juridique  sur  la  liturgie.  Voici  d'abord  Frederic  II 
realisant  un  nouveau  type  de  persona  mixta,  «  pere  ct  flls  de  la  Justice  »  ; 
il  la  cree,  mais  11  est  soumis  a  la  loi  uaturelle  et  a  la  raison  ;  lex  animata 
in  lerris,  il  est  aussi  pontife  supreme  de  la  Justice  dans  son  royaurae 
sicilien  dont  il  fait  une  veritable  eglise  au  service  de  cette  nouvelle  deite. 
Vers  le  nieme  moment,  Bracton  est  plus  concret  que  les  juristes  de  la 
cour  de  Palerme  ;  il  nous  nionlre  le  roi  au-dessus  et  en-dessous  de  la 
Loi.  Autour  de  lui,  on  prend  en  outre  de  plus  en  plus  conscience  en 
Angleterre  de  la  difTerence  qui  existe  entre  Ic  roi,  haul  seigneur  feodal, 
et  le  Roi,  administrateur  de  la  sphere  du  domaine  public.  Otte  distinc- 
tion iiboutit,  sous  la  plume  de  Hraclon,  a  un  nouveau  dcdoublement  du 
roi  :  un  roi  qui  est  dans  le  temps,  soumis  a  la  loi  de  prescription,  et  un 
roi  qui  gere  les  bona  publica,  assimiles  au  res  sacrae  dc  I'Eglise  (d'oii 
leur  designation  de  res  quasi  sacrae),  detaches  dc  sa  personne,  inaliena- 
bles  et  englobes  dans  le  terme  generique  de  fisc  ;  flsc  immortel.  dont  le 
roi  est  le  vicaire,  comme  il  le  fut,  autrefois,  du  Christ. 

Ces  premieres  images  introduisent  le  lecteur  dans  le  fond  du  sujet. 
Mais  la  methode  de  I'auteur  change.  II  ne  sera  desormais  plus  question 
d'un  traite  ou  de  telle  ou  telle  personnalite,  mais  d'une  serie  de  concepts, 
echelonnes  du  xiii"  au  w"  siecles,  d'oii  se  degagera  progressivement 
Timage  finale  des  deux  corps  du  roi. 

Le  moment  essenticl  de  cette  elaboration  fut  celui  du  tran.sfert  a 
I'Ktat  de  la  notion  de  corpus  mijsticum  par  laquelle  se  deflnissait  I'EIglisc. 
Au  corpus  Cliristi  mysticum  fait  face  desormais  le  corpus  reipublicae 
mysticnm  (evoque  i)our  la  premiere  fois  par  Vincent  de  Beauvais  dans 
ces  termes)  :  I'idee  recouvre  ainsi  celle  de  corps  moral  et  jjolitique, 
delini  par  raristotelisnie,  done  un  organisme  de  droit  naturel,  la  cite. 
Hn  France  on  pense  que  le  roi  est  I'epoux  de  cc  corps,  coninie  le  Christ 
est  celui  de  I'Eglise.  En  Angleterre  la  notion  est  beaucoup  plus  complexe. 
puisqu'elle  trouve  son  point  de  fixation  sur  le  Parlemcnt,  representanf 
les  Etats  du  royaume  (jui,  selon  le  chancelier  John  Mussel  (1483),  for- 
ment  corps  avec  le  roi  qui  en  est,  lui,  la  tete.  A  cette  donnee  un  peu 
abstraite  de  corps  du  rovaume  la  notion  de  patrie  donna  tres  tot  un 
contenu  aflcctif.  Des  multiples  composantes  dc  cette  idee,  M.  Kantorowicz 
apporte  une  analyse  magistrate  (p.  232-U()7),  pour  .se  demander  en.suite. 
en  revcnant  au  vif  du  sujet,  dans  quellcs  conditions  le  transfer!  dc  I'idee 
de  corpus  mi/slicum  a  I'Elat  a  pu  fairc  naiire  celle  du  dedoublenicnt  du 
corps  du  roi.  En  effet,  le  Christ,  chef  du  corps  mystique  de  I'Eglise,  est 
eternel  et  son  eternitc  garantit  celle  de  son  corps.  Le  roi  par  contre.  chef 
du  corps  politique,  est  mortel  :  pour  rcpresenter  un  etre  invisible  et 
immortel,  il  lui  fallait  acquerir  une  manicre  d'immortalife. 

Le  probleme  fut  resolu  par  I'intervention  dc  deux  nouvelles  idecs. 
D'une  part  celle  iVAevum  ou  de  perennite,  categoric  se  situant  entre  le 
temps  et  reternitc,  mise  au  point  par  la  philosophie  scolastique  qui  par 
Aristote  avait  redecouvert  la  doctrine  de  la  continuite  increee  et  infinie 


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REVUE    UES    LIVRES 


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du  monde  :  la  notion  iWiemim  rcndil  toutc  son  importance  au  principe 
de  la  continuity  de  I'Etat  et  de  scs  institutions.  Parallclenient  Ics  juristes 
ddflnirent  les  corporations  comnie  une  pluralite  de  pcrsonnes  unies  en 
un  soul  corps,  non  seulenient  dans  le  present,  mais  dans  la  succession 
des  generations  a  travers  le  temps  :  elles  sont  done  perpetuellcs  (Uni- 
Dersitiis  non  inoritiir)  et  leur  perpetuite  garantit  celle  <le  leur  chef. 

On  arrive  ainsi  a  I'ailage  celebre  «  le  roi  ne  meurt  jamais  »  aucjuel 
est  consacre  I'avant-dernier  ciiapitre,  le  plus  long  de  tons  (p.  317-450). 
M.  Kantorowicz  etudie  tour  a  tour  les  did'erents  elements  de  cette  per- 
pefuitd".  Et  d'abord  la  continuile  dynastique  assurant  la  duree  du  corps 
naturel  du  roi.  En  second  lieu  la  signification  (|ue  prend  la  Couronne. 
Elle  n'est  plus  seulement  le  si(jniim  gloriae  dont  parlent  les  rituels  du 
sacre.  mais  elle  devient  le  symbole  des  droits  et  domaines  inalienables 
<iu  royaume  dont  le  roi  est  le  detenteur  teni])orairc.  En  Angleterre  sur- 
tout  la  notion  <le  couronne  ne  cesse  de  s'enrichir  depuis  le  xiii'  si^cle  : 
bien  que  diflicile  a  deflnir.  elle  apparait  comnie  une  realite  vivante,  une 
personnification  distincte  du  roi  mais  superieure  a  lui  ;  les  juristes  des 
Tudors  rassimilcront  au  corps  politi(|uc  du  royaume.  Ces  deux  principes: 
succession  des  individus  assurant  la  permanence  du  corps  naturel  du 
roi,  perpetuite  du  corps  collectif  symbolise  par  la  Couronne  se  fondi- 
rent  enfin  dans  une  troisicme  notion  sans  laquelle  toutc  cette  speculation 
sur  les  deux  corps  eut  ete  incomprehensible,  ("'est  la  notion  de  (lii/nitas, 
elaboree  d'abord  elle  aussi  par  les  clercs,  puis  transferee  a  la  sphere 
politique,  oil  elle  finit  par  designer  la  fonction  royale,  la  souverainete 
exercee  par  le  roi  au  nom  du  peuple  et  qui  adhere  au  roi  seul.  Comme 
la  corporation,  la  (liqniUis  ne  nieurt  pas  ;  elle  represente  en  outre  un 
type  tout  particulier  de  corporation,  la  corporation  singuliere  (corpora- 
tion alone),  caracterisee  par  un  individu  qui  est  a  la  fois  genre  et  esp^ce 
et  qui  troiive  son  symbole  dans  le  mythe  du  phenix.  Tel  I'oiseau  myste- 
rieux,  le  detenteur  de  la  regia  dignitas  unit  en  lui  le  genre  (c'est-a-dire 
le  corps  politique)  et  I'individu  (le  corps  naturel).  Le  roi  a  done  bien 
deux  corps,  mais  ils  sont  fondus  en  une  personne  :  influence  de  la  theo- 
logie  christologi([ue,  influence  aussi  de  la  doctrine  de  I'episcopal  monar- 
(■hi(iue  fonde  sur  le  principe  de  la  fusion  de  I'eveque  en  son  eglise.  Le 
roi   n'cst-il  pas  au  xvr  siecle  evecpie  supreme  de  son  royaume  ? 

Tout  semble  dit  a  present.  Et  pourtant  subsiste  une  derniere 
question.  Quelle  est  la  mission  la  plus  generale  du  souverain  dont 
I'essence  vient  d'etre  deflnie  '?  M.  Kantorowicz  dcmande  la  reponse  a 
Dante  et  scrutc  le  He  Monarchin  ([ui  assigne  a  la  communaute  humaine 
une  fin  morale  et  eliuque  dislincte  de  ses  tins  religieuses.  La  mission  de 
I'empereur  sera  de  conduire  I'hunianite  (Hiinuinitus,  concept  parallele 
a  celui  iVEcclesia,  mysticnm  corpus  Adae)  au  stade  de  perfection  qui 
etait  celui  du  premier  homnie  avanf  la  chute  originelle,  en  d'autres  ter- 
mcs  de  faire  renaitrc  rhomnie  a  son  etat  d'innocence  premiere,  privi- 
lege de  VAdam  siihlilis  (pii  dans  le  i)aradis  tirrestre,  vestibule  de  I'aiitre. 
etait  inmiorlel,  a  peine  difl'erent  des  anges,  couronne  de  gloire  et 
d'honneur.  Le  chant  XXXVII  du  Piirgaloire  montre  les  dilTerents  degres 
de  I'initiation  a  ce  paradis  ferrestrc  et  s'aciieve  par  le  couronnement  du 
poele  :  recevant  les  insignes  imperiaux  du  diademe  el  de  la  mitre,  ii 
voit  son  corps  mortel  recevant  les  attributs  de  I'imniortalite,  comme  si 
VAdam  morlalis  qu'il  est  recouvrait  les  privileges  de  VAdam  subtilis. 

Nous  avons  essayc  de  donner  de  ce  livre  magistral  une  analyse  aussi 


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37«  REVUE  d'histoire  ET  DE  philosophie  religieuses 

precise  que  possible,  en  nous  ellor^-ant  en  parficuiier  de  suivre  les 
enciiainements  de  la  pcnsee  de  son  auteur.  Mais  a  vouloir  degager  sur- 
tout  les  grandes  lignes  on  a  du  passer  sous  silence  des  pages  d'un  interet 
tout  aussi  considerable,  decrivant  les  signes  exlerieurs  d'une  doctrine 
en  elaboration  :  evangeliaires  d'Aix  ct  de  Mont-Cassin,  cri  bien  connu  : 
«  Le  Roi  est  niort,  vive  le  Roi  »  ;  rites  etonnants  des  obseques  des  rois 
de  France  au  xvi"  siecle  ;  art  funeraire  de  la  fin  du  Moyen  Age  ct  de  la 
Renaissance  qui  represente  deux  gisants  superposes,  I'un  cadaverique, 
I'autre  pare  des  insignes  de  foncfion.  Par  la,  I'ouvrage  de  M.  Kanlorowicz.' 
qui  se  meut  dans  les  plus  liaules  spheres  de  la  pensee  medievale.  est 
aussi  tres  concrel.  Sans  doule  I'eut-il  etc  plus  encore  s'il  avail  voulu 
rechercher  dans  quelle  inesure  les  idecs  dont  il  a  fait  etat  ont  eu  de  la 
resonance  dans  les  dilFerents  milieux  des  pays  qu'il  etudiait.  Point  n'est 
question,  en  signalant  celte  lacune,  d'cn  fain-  le  nioindre  grief  a  I'auteur. 
Son  propos  n'etait  pas  d'aborder  le  monde  des  repercussions  d'une 
notion  coniplexe,  niais  bien  de  decrire  la  genese  d'une  idee  qui  nialgre 
que](|ues  signes  avant-coureurs  pendant  I'Antiquite  (examines  en  conclu- 
sion) appartient  en  propre  au  Moyen  Age.  II  y  est  parvenu  avec  une 
admirable  maitrise.  Son  livre  s'inscrit  parmi  les  anivres  les  plus  atla- 
ohantes  de  la  Geistesgeschirhte. 

n.  Folz. 


/be 


ll.-A.  01)erinan,  Archbishop  Thomas  liradwardiin',  a  Lourletnih 
Ccnliiri]  Aiujnslinian.  Utrecht,  Kciniiik  &  Zoott/f958    In-^" 
216  p.  ^-^ 

Voici  un  nouveau  livre  sur  Rradwardine,  juste  apres  celui  de  G.  Lefl' 
(Brndwardine  and  the  PeUuihms  ;  le  coni])fe  rendu  en  a  ete  fait  dans 
cette  revue  :  1957-1,  p.  306-367).  Mais  I'un  nc  double  pas  Tautre  ;  outre 
les  diHerences  d'intcrpretation,  la  facop  de  prendre  la  doctrine  n'est 
pas  la  meme  ici  que  cliez  G.L.  Celui-ci  cxposait  les  points  fondamentaux 
de  la  theologie  de  B.  :  Dieu,  la  creation,  I'liomine,  la  grace,  la  liberte...  ; 
dans  I'etude  de  H.-A.  O.,  tout  s'oriente  vers  la  tlicorie  de  la  justitication', 
presentee  comme  «  le  pivot  de  tout  le  De  caimt  Dei  ».  et  a  laquelle  est 
suhordonne  tout  le  reste  de  la  doctrine  (p.  179)  ;  c'est  a  preparer  le 
chapitre  qui  en  traile  (ch.  VII  :  liistiflnitio  sola  gratia)  cpie  sont  consa- 
cres  les  precedents  (III  :  le  Dieu  souverain  ;  IV  :  Vouloir  libre  et 
neccssitc  ;  V  :  Predestination  et  prescience  ;  VI  :  Peclie  et  grace  ;  les 
ch.  I,  II  et  Vlll  sont  liistoricjues).  On  y  lit  que,  en  opposition  avec  les 
opinions  «  pelagiennes  »,  B.  s'attaque  a  tout  ce  qui  lui  parait  impli- 
quer  une  priorite  de  Taction  humaine  sur  Taction  divine  (meritiim  de 
congnio),  g«e  certaine  valeur  de  la  nature  (vertus  philosopliiques).  Le 
merite  {meritiim  de  condiqno)  n'est  pas  la  cause,  niais  le  signe  {causa 
rognoscendi)  de  la  grace  (p.  156)  ;  flnalement  :  sequiintur  enim  opera 
jiistificatiim.  non  praecedinil  in.stificaninm,  sed  sola  fide  sine  operibiis 
prttecedentibiis  fit  homo  Justus  (p.  158)  ;  quant  au  sacrenient  de  Peni- 
^nce,  aucune  de  ses  phases  —  contrition  du  coeur,  confession  de  la 
bouche,  absolution,  satisfaction,  —  ne  suppose  une  causalite  humaine  : 
«  La  grace  infuse  eteinf  Ic  peche  sans  mediation  »   (p.  167)  ;  de  sortc 


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/  ' 


PofitiS  ThJo       r'"'  ^^'^  ^'"'^''  ■^"''  J^"'''"'  A  Studv  in   Mediaeval 
24  Tf       ^^'ff^y'^''""^  1957,  Princeton  University  Press/ XVI  u.  56    S 

TheorieTon  den"f "   K-'"'"^"   '"  '"■'-''"hanischen  Zeit  entwickelten  die 
Tod    und   alien   rehK"!?""  '^^  ."f"'^^'  ^'"'^^  naturliAen,  der  Krankheit. 

senil   isr    ^..  „'        i  l        ^    .        *    sdiwach,    niemals    minderjiihriu   oder 

Ir  si  kX"  "''"'  "fi^"^  ^'*^""^^"  P°''''^'^-  Denkens  und  etr- 
licher  Spekulat.on  zu  e.ncr  solchen  Theorie  hinfuhren  konnten  Der  soeenlnn-, 
Yorker  Anonymus  (un.  MOO)  zeigt  uns  an,  deutlichsten  das  Bild  derChTtu;- 

die  Doppelnatur  Christ  tf^n  M      '^  ^T  ^"^'^''^"nR  d"  Konigs  an 

cntstandTnen    Aaeh  n       Evan  eliar"r  T  '"  "".'''  ^"^  ''^  ^-^i*-" 

druck  gefundcn    D  e  Chri'us  b'o  T    "^^T"S'="'^'^"    kunstlerisdien    Aus- 

wurde  L  Laufe  des  12  h  s  Jon  ^''"t  '""'■*^'-i^  Auffassung  des  K6nigtun,s 
Recht-bezogenen  KoniLms  .1  f"  ^'^^°'^"''^*-'"-tisd,en  Auffassung  eines 
Auffassung^a^t  r^sX  Rechr  ^'."f,  ,d."  "-P'^-'l-  dieser  neuen 
voile  Gewalt  uber  rug Td  die  lex  H'^''"'?  t  ^'''  ?''''  '"^  ''^^  """*- 
leitete   Friedrid,  Si""  n  '      T     iT"'  '^','  '''"  '"  ''"^  ^""^  ^^"d.  Hieraus 

lusticia  aber  it  die  Miti?  '^''  i""*'  ''%^''''''  ''  ^''"^  '-"^'-  «b.  Die 
NoA  enger  wu  de  5er  He      ;i  '""*';    ^°""*'^"    ""'^    mensAliehem    Recht. 

gottlicher  Gnade  das  irannun  f  M  /  ';^','"'  ^°"  "^'^"^*li*er  Natur  und 
war   das   des    ReAt  be^oTen  "    K  Chr.stus-bezogenen    Konigtums,    so 

mcnschliAen.    ReA      Der    daue-d  ""^""^  .f"  u'^°\'"'"   ^°"    ^°""*^-    ""^ 

England  pragte  lohn  Fortetc,,.  ^^  K  u  ''^  ^^^^  ""'^"'  '"  P"^'''^^-  F"^ 
poHucum'^.'l  der  kS  eh.  twohT  b"''  Definition  </o.,„.„„,  .,,,/,  ,, 
wie  der  Konig  des  13  Ihs  Ube/unT  "^er  w,e  unter  dem  Staatskorper,  so 
die  Ausbildung  der  Theorie  von  des  K  "  "  T"'  ^"'•'"'^^"  '^^"^-  P^ 
cin  Faktor  hinzutreten    ohne  den  /     ^^°."'R'  f-*^"   Korpern   mufite  aber  nodi 


X*- 


> 

O 


w 

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I 


/ojiciicn    Koiiigtunis   dcr   oitonisdicii    uiul    truhsalisdicn    Zcit,    Der   Konig    , 
vor   allcm    Christominictcs,    Rcprasc-ntant    Christi    auf    lirdcn,    desscn    Sein    t-r 
per  gratiam  ubernimmt.  Der  Kiinin  stcllt  also  cine  gemma  persona  dar    irdisdi 
durdi  scMic  Natur,  gottlidi  durdi  die  Gnade.  Diesc  Anslcidiung  dcs  Konigs  an 
die  Doppelnatur  Chnsti  hat  in  einer  Miniatur  des  um  973  auf  der  Reidienau 
cntstandenen   Aadiener  Evangeliars   cinen   uberzeugendcn   kunstlerisdien    Aus- 
drudc  gefunden.  Die  Christus-bezogene  liturgisdie  Auffassung  des   Konigiums 
wurde  im  Laufc  des  12.  Jh.s  von  der  thcokratisdi-juristisdicn  Auffassung  eincs 
Redit-bczogcncn    Konigtums    abgclost.    Eine    der    Hauptquellen    diescr    neuen 
Auffassung  war  das  romisdic  Rccht,  speziell  die  lex  regia,  die  dem  Herrsdier 
voile  Gewalt  iibertrug,  und  die  lex  digna,  die  ihn  an  das  Gcsctz  band.  Hieraus 
Icitete   Friedridi   II.   seine  Doppelstellung   als   pater  ct  filius   iusticiae  ab.   Die 
lusticia   aber   ist   die   Mittlcrin    zwisdien    gottlii+iem    und    mensdilidicm    Rcdit. 
Nodi  cnger  wurde  der  Herrsdier  mit  der  lusticia  verbunden,  indeni  man  ihn 
als   luiticia  animata  begriff.   War   die   Polaritat   von   niensdilidier   Natur   und 
gottlidicr    Gnade    das    Spannungsfcld    des    Christus-bezogenen    Konigtums,    .so 
war   das   des    Rcdit-bezogenen    Konigtums    die   Polaritat    von    gottlidicm    und 
mensdilidiem   Redit.   Der  dauernd   sidi   vollziehende   Austausdi   zwisdien   dor 
kirdilidien   und  der  weltlidien   Sphare  bradite  im   14./15.  Jh.  die  Angleidiung 
des  Staates  an  die  Kirdie  auih  in  korporativcr  Hinsidit,  indem  er  analog  zii 
dieser  als  ein   corpus  mysticum   aufgcfa(?t   wurde.   Damit   trat  audi   ein   ncucs 
Hcrrsdierbild  in  Ersdieinung,  das  Staat-bezogcne  Konigtum.  Der  ursprunglich 
liturgisdie  Begriff  des  corpus  ccclcsiae  mysticum  wurde  auf  den  Staat  uber- 
tragcn,  der  Konig  wurde  das  Haupt  des  mystisdien  corpus  rei  puhlicac.   Fur 
England   pragte  John   Fortescue  die  beruhmte  Definition   dominium   regale  et 
politicum,  d.  h.  der  Konig  steht  sowohl  ubcr  wie  unter  dem  Staatskorper,  so 
wie  der  Konig  des   13.  Jh.s  iiber  und  untcr  dem  Gesetz  gestanden  hatte.   FiJr 
<lie  Ausbildung  der  Theorie   von   dcs   Konigs  zwei   Korpern   mufitc  aber  nodi 
ein  Faktor  hinzutrcten,  ohne  den  der  Konig  den  character  angelicus  nidit  er- 
langen  konnte:  die  Kontinuitat.  Diese  fand  sidi  in  der  universitas,  quae  non 
moritur,   in   der   Perpctuitat   des   Volkes   und   des   Vateriandes;   an    ihr   muRtc 
nidit  der  einzclne  Herrsdier  teilhaben,  wohl  aber  die  Dynastie,  die  Krone,  die 
kiiniglidie  Wurde.  Die  Juristen   batten  den  Begriff  der  universitas  entwickelt, 
deren   Hauptkcnnzeichen   die   Unsterblichkeit,   die   Dauer   in   der   Zeit   und   die 
Identitat   im  Wcdiscl   warcn.   Erst   die  Anwendung  dieses   KwVer.?/7as-Begriffcs 
madite  den  nur  organisdi  aufgefafiten  Staatskorper  sempitcrn.  Durdi  die  Fik- 
tion  einer  gewisscrmalJen  nicht  horizontal,  sondern  vertikal   gedachtcn  Korpo- 
ration,  die  nur  in  Hinblick   auf  die  Zeit,  per  succcssionem,  kollektiv  war,   in 
cincm  gcgebencn  Zeitpunki  aber  nur  au!>  einem  Glied   bestand,  war  auch  das 
schwierige  Problem   eines   dem   unstcrblidien   Staatskorper   ad.iquaten    unsterb- 
lidien  Hauptcs  zu  losen.  Die  Vorstellung  des  unstcrblidien  Konigs  cntwirkcltc 
sidi  an  drci  Faktoren,  der  Kontinuitat  der  Dynastie,  dem  korporativen  Cha- 
rakter   der   Krone   und    der   Unsterblichkeit   der   Wiirde.   Die   Kontinuitat   der 
Dynastic  wurde  durdi  die  Ansdiauung  befordert,  die  dem  Konig  als  electus 
bereits  voile  Gewalt  zuspradi.  Hand  in  Hand  damit  ging  die  Heiligung  der 
Dynastie,  der   Konig  erhielt   seine   gottliche   Sendung   und   Weihe   allein   sdion 
dutch  das  koniglidie  Blut,  so  vor  allem   bckanntlich   von   Friedrich   II.   ausge- 
sprochen.  Damit  war  die  dynastisdie  Kontinuitat,  wenigstens  theoretisdi,  her- 
gestellt;  die  Dynastie  war  einer  universitas  per  succcssionem  vcrgleichbar.  Die 
Krone  gewann  im  13.  Jh.  korporative  Aspekte,  in  ihr  wurden  alle  souveranen 
Rcdite  begriffen,  die  von  alien  Staatstragern,  dem  Konig  als  Haupt  und  den 
Magnaten   als  Gliedern,  zu  sdiiitzen  waren.   Im  ganzen  habcn  wir  eine  Fiille 
teils   sidi   iibersdineidcnder,   teils   sidi   widersprediender   Aufierungen   iiber   den 

staatsreditlichen  Charakter  der  Krone;  sovicl  ist  jedenfalls  klar,  daf?  man  die 
Krone  als  Verkorperung  der  Souveranitatsredite  des  Staatskorpers  vom  Konig 
unterschied  und  dafi  sic  oft  als  Korporation  aufgefafit  wurde.  Die  Kontinuitat 
des  natiirlichen  Korpers  des  Konigs  in  der  Dynastie  und  die  Kontinuitat  der 
souveranen  Redite  des  Staates  in  der  Krone  fielen  mit  dem  dritten  Begriff 
zusammen,  dem  der  dignitas.  Die  in  praxi  natiirlidi  schon  langcr  gciibte  Unter- 
scheidung  von  Amt  und  Person  wurde  durdi  die  Dekretale  Quoniam  abbas 
Alexanders  III.  rcditlidi  fixiert  und  von  den  Dekretalisten  weiter  ausgebaut. 
Schon  Damasus  erklarte  um  1215,  dafi  die  dignitas  numquam  peril;  analog 
zum  romisdien  Erbredit  stelite  man  die  Quasi-Identitat  von  Amtsvorganger 
und  Amtsnachfolger  fest.  Hieraus  entwickelte  man  die  bereits  erwahnte  Kor- 
poration per  successinnem,  die  jewcils  nur  in  einem  Amtstrager  aktualisiert  ist. 
Dieser  fiir  die  Korporationslehren  ungehcuer  wichtige  Satz  von  der  dignitas 
quae  non  moritur  wirkte  sidi  staatsreditlidi  vor  allem  in  Frankreich  und  Eng- 
land aus.  Von  ihm  stammt  die  beruhmte  Maxime  Le  roi  nc  meurt  jamais,  von 
ihm  stammen  letztlich  auch  bestimmte  Brauche  im  Beisetzungszeremoniell  der 
franzosischen  Konige,  die  das  Weiterleben  der  dignitas  sinnfallig  darstellten. 
So  schwierig  die  exakte  juristische  Unterscheidung  von  Amt  und  Person  gewe- 
sen  war,  kaum  minder  sdiwierig  war  es  zu  erklaren,  in  weldier  Art  die  zwei 
Korper  in  der  einen  Person  des  Konigs  zusammenfallen.  Bacon  pragte  dafiir 
die  Definition  corpus  corporatum  in  corpore  naturali,  et  corpus  naturale  in 
corpore  corporato.  Baldus  madite  eine  AnIeihe  bei  thomistisdier  Terminologie, 
indem  er  die  dignitas  als  principalis,  den  Konig  als  instrumcntalis  bezeichnete, 
womit  der  Konig  als  instrumcntum  dignitatis  definiert  ist,  so  wie  Thomas 
Christus  als  instrumcntum  deitatis  interpretiert  hatte.  Die  verfassungsrechtlidie 
Stellung  des  englischen  Konigs  war  im  Gegensatz  zu  kontinentalen  Verhalt- 
nissen  durch  das  kraftig  ausgebildete  Parlament  bestimmt,  das  stets  ein  sehr 
konkretes,  nidit  leidit  abstrahierbares  corpus  politicum  darstellte.  Andererseits 
unterschied  man  offcnbar  nicht  klar  genug  zwisdien  Krone  und  dignitas,  was 
cine  gewisse  Vermengung  der  organisdien  und  der  sukzessionellen  Korpora- 
tionslehre  zur  Folge  hatte.  ..Des  Konigs  zwei  Korper"  ist  zwar  eine  speziflsch 
englisdie  Pragung;  Vorgesdiichte,  Parallelen  und  Hintergriinde  diescr  Theorie 
aber  fiihren  uns  tief  in  das  juristische  und  politische  Denken  des  Mittelalters. 
Die  Fiille  des  Stoffes,  der  Gedanken  und  Anregungen,  die  der  Vf.  in  seinen 
Untersudiungen  ausbreitet,  konnte  hier  nur  angedeutet  werden.  Das  Buch  wird 
kiinftig  zu  den  grundlegenden  Werken  der  Verfassungsgesdiichte  gehoren. 

R.  M.  K. 


x^ 


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/  /    L     jf    /  ( 
U     U     J    U 


Freitag,  27.  Februar  1959     Blatt  8 


9}ciic;]iird)crocilunf\ 


Fprnau<:rjnhe  Nr.  57 


GESCHICHTE  UND  SOZIOLOGIE 


Zu   einem 
soziologischen   Lesebuch 

Der  Stuttgarter  Verlatj  K.  F.  Koehler  brin^ 
seit  einigcr  Zeit  in  loser  Folge  sorgfaltig  betrente 
geistesgesehichtliehe  Werke  zu  wohlfcilcn  Preisen 
heraiis,  die  sieh  allmahlich  zu  einer  kleinon  Biblio- 
thpk  der  politisehon  Allgemeinbildung  im  weitcsten 
Sina  zusammenftigen.  Neben  vorziiglieh  kommen- 
ticrten  Textbiinden  zur  politii5chen  Ideengeschichte 
enthalt  sie  eine  eigentliche  «Staats-  und  Biirger- 
kunde»,  aber  aufh  sonst  sclnver  zngangliche  philo- 
sophische  und  historisehe  Zcugnisse  vvie  die  kost- 
lif'hen  Memoiron  des  Hitters  von  Lang  oder  Georg 
Simmels  Essaj'sammhing  «Briicke  und  Tor»  nnd 
Jacob  Burokhardts  «nistorisphc  Fragmente»,  die 
als  charakteristisehe  Spiegclungen  der  jiingeren 
Geistesgcsehichte  zur  Vcrticfung  und  Aktnalisie- 
rung  unseres  durch  krisenhafte  Entwicklungen  ge- 
scharltea  ZeitbewuBtseins  beitragen  kiinnea. 

Vor  kurzem  ist  die  Rcihe  nun  durch  einen  Band 
crgiinzt  wordcn,  der  der  Geschichte  jener  Wissen- 
schaft  gewidmet  ist,  die  ein  Ergebnis  eben  dieses 
differenzierten  modernen  Selbstverstiindnisses  ver- 
korpert  und  das  gesteigert*  epochale  Problem- 
hewulJtscin  unserer  Zeit  zuglcich  zu  ihrem  zentra- 
len  Forschungsgcgrnstand  gcmacht  hat:  der  Sozio- 
logie.  Havs  Kaumann  ist  es  gelungen,  eine  Ariswahl 
vou  repriisentativen  Texten  zusammenzustellen,  die 
nicht  allein  die  anfiinglich  recht  miihsanie  Konsti- 
tuierung  der  Wissenschaft  vom  sozialen  Vcrhalten 
naehzeichnet,  sondern  gleiehzeitig  auch  ihre  innere 
Problematik  aufscheinen  und  auBerdem  die  rasch 
fortschreitcnde  Verfcinerung  der  Fragestellungen 
sichfliar  werden  liiBt.  Der  Band  hcbt  an  mit  einer 
wenig  bokannten  Vorarbeit  ^[ontesquieus  zu  seinem 
«De  I'csprit  des  lois».  wodurch  Naumann  gemaB 
srinem  saehkundigen  Vonvort  andeuten  will,  «daB 
die  Anfange  der  Soziologie  als  Wissenschaft  mog- 
lichenveise  in  der  Mitte  des  18.  Jahrhunderts  zu 
suchen  seien  und  daB  sich  die  Auffassung  vertre- 
ten  lieBe,  von  diesem  Zeitpunkt  an  batten  sich 
Planner  gefnnden,  die  die  Dimension  des  Sozialen 
nicht  nur  gesehon,  sondern  zu  erschlieBen  versucht, 
das  heiBt  iiber  die  methodisch-technischen  Mittel 
erfolgreich  nachgedacht  haben». 

Die  Hiiufung  der  Kon.junktive  in  diesem  Satz 
ist  charakteristisch.  Der  Uebergang  von  der  bloBen 
soziologischen  Perspektivc  zum  konkreten  Ansatz 
eigenstiindiger  systematischer  Wissenschai'tlichkcit 
liiBt  sich  tatsjichlich  nicht  leicht  exakt  daticren. 
Das  hangt  damit  zusammen.  daB  die  «Dimension 
des  Sozialen*  in  jeder  staatsphilosophischen  und 
anthropologisehen  Problemstellung  notwendig  mit- 
enthalten  scin  muB  und  auch  von  jeher  in  die  den- 
kerischen  Bemiihuiigen  dieser  Richtung  miteinbczo- 


trotene  Marx-Vorlaufer  Louis-Auguste  Blanqui 
oder  der  bewegliche  Sorel,  forderten  zwar  manche 
fundamentale  Einsicht  in  das  Wesen  sozialen  Ver- 
haltens  zutage,  waren  aber  als  politische  Haudegen 
und  professionelle  Volksredner  auch  nicht  gerade 
dazu  angetan,  dem  Ansehen  der  jnngen  Wissen- 
schi.-.i-  aut'zuhelfen.  So  vermochte  die  reine  Sozio- 
logie ersl  gegcn  Ende  des  letzten  Jahrhunderts  das 
Odium  der  allzn  engcn  Verschwisterung  mit  der 
kampferischen  Tagespublizistik  abzuschiitteln  und 
akademisch  hofiahig  zu  werden.  Auch  nachher 
noeh  kamen  indessen  wesentliche  Impulse  von  aus- 
gesprochenen  AuBenseitern  her.  Der  beriihmteste 
unter  ihnen  heiBt  W.  I.  Lenin,  der  mit  seiner 
Theorie  der  revolutioniiren  ^Lnderheitspartei  nicht 
nur  eine  alte  Gesellschatt  aus  den  Angeln  zu  heben, 
sondern  eine  neue  aus  dem  Boden  zu  stampfen  ver- 
mochte. Es  mag  auf  den  ersten  Blick  bcf'remden, 
daC   Naumann   auch   ihn  zu   Wort  kommen  liiBt. 


Wenn  Lenin  auch  kein  eigentlicher  Fachsoziologe 
war,  so  gehort  aber  sein  theoretisches  Schaff en  doch 
ohne  jedcn  Zweifel  in  diesen  Zusammenhang.  Mehr 
noch,  er  selbst  und  sein  Erfolg  stellen  Phiinomene 
(lar,  die  wohl  nur  mit  soziologischen  Kategorien 
pinigermaBen  hinliinglich  zu  erkliiren  sind  und 
dcren  Dcutung  mitten  ins  Zcntrum  nicht  nur  der 
sozialen,  sondern  der  soziologischen  Problematik 
fiihrt. 

Dem  Leser  diese  Problematik  naher  zu  bringen 
war  eines  der  Anliegen  des  Herausgebers.  Man 
darf  ihm  attestieren,  daB  er  die  Aufgabe  mit  gro- 
Bem  Geschick  bewaltigt  hat.  Wo  es  irgend  anging, 
suchte  er  das  Typische  eines  Autors  oder  einer 
Forschungsrichtung  durch  wenig  bekannte  und  in 
sich  gcschlossene  Texte  zur  Darstellung  zu  bringen. 
So  ist  der  Band  zu  einer  wahren  kleinen  Fund- 
grube  geworden.  ^-^^^^^  ^^.^^ 


Polilik   und   Theologie   im   Mittelalter 

Zu  einem  Buck  von  Ernst  Kantorowicz 


Hg.  Mehr  als  drelBig  Jahrc  sind  vergangen, 
seit  der  Tcxtband  des  Werks  iiber  Friedrich  IL, 
den  Staufenkaiser,  crschien,  durch  das  sich  Ernst 
Kantorowicz  nicht  nur,  wie  man  so  sagt,  einen 
Namen  gemacht,  sondem  fast  allzu  entschieden 
eingereiht  hat  in  einen  iiochgesinnten  Kreis  von 
Betraditrrn  deutscher  Vergangenheit.  Wer  iiber 
die  feierliche  Jugend,  die  da  gepflegt  ward,  nicht 
mehr  Bcscheid  weiB,  den  iibcrrascht  die  Berech- 
nung,  daB  das  Buch  von  einem  DreiBig.jiihrigen 
kon/.ipicrt  war;  beim  Lescn  iiiittc  er  sich  den  Ver- 
fasser  ehcr  als  erlauchte  Lehrergestalt  gedacht. 

Von  einem  durchaus  veriinderten  Stil  ist  die 
kiirzlich  erschienene  Studie  bestinimt:  «Thp  King's 
Two  Bodies  —  A  Stiidij  in  Mediaeval  Political 
Theolog!i».*  Kantorowicz,  seit  vielen  Jahren  an 
Universitiiten  der  Vereinigten  Staaten  tatig, 
schreibt  heute  englisch  —  ein  leicht  zu  lesendes, 
umgangsprachlich  -  anspruchslo.ses  Englisch,  ge- 
eignet,  Sachen  zu  neimen,  zu  unterscheiden,  Zu- 
samniengchiiriges  zu  hitndeln;  von  mystischen  Din- 
gen  ist  die  Rede,  in  giiiizlich  unmystischem  Ton. 
Von  Theorien  der  englischen  Renaissance  geht 
Kantorowicz  aus,  um  ein  zentrales  Problem  des 
Mittelalters  zu  fassen:  die  Vorstellung  vom  doppel- 
ten  Wesen  des  Kiinigs  —  des  Konigs,  der  als 
Mensch  jung  und  alt,  gesund  und  krank,  Tiiuschun- 
gen  untenvorien  und  sterblich  ist,  aber  als  KUnig 
alterslos,  imnier  im  Recht,  von  irdischem  Zerfail 
nicht  angefochten. 

Es  ist  ein  juristisches,  ein  politischcs,  ein  theo- 
logischcs  Problem.   In  Prozessen  gegen  die   Krone 


I  Mittelalter  erschien.  Der  sprechendste  Text,  den 
Kantorowicz  heranzieht,  der  Traktat  des  Anonj'- 
mus  von  York  (um  1100),  stellt  in  einer  Inter- 
pretation der  beriihmten  Matthiius-Stelle  22,  21 
lehrreich  die  Beziehung  her:  «Christus  sagte:  ,,So 
gebet  dem  Kaiser,  was  des  Kaisers  ist",  und  nicht : 
,,So  gebet  dem  Tiberius,  was  des  Tiberius  ist."  Die 
Person  ist  unwert.  aber  die  Herrschergewalt  ist 
gerecht.  Und  gerecht  war,  daB  sich  die  menschliche 
Schwiiche  der  giittlichen  Gewalt  untenvarf.  Denn 
Christus  war  damals,  als  Mensch,  .schwach;  aber 
giittlich  war  die  Gewalt  des  Kaisers.» 

Da-s  ist  kiihn  und  uberaus  konsequent  gedacht, 
es  wertet  die  Parallele  zwischen  den  zwei  Naturen 
Christi  und  den  heiden  Personen  des  Monarchen 
■/w  dessen  Gunsten  aus,  verschriinkt  die  cine 
Doppclerscheinung  in  die  andere.  Wenn  spiiter,  in 
einer  Schrift  des  Eneas  Silvius  Piccolomini,  die 
Lehre  vom  mystischen  Leib  der  Kirchc  mit  Chri- 
stus als  Haupt  ausdriicklich  ihr  Gegenstiick  er- 
liiilt  in  jener  vom  mystischen  Leib  des  Staates  mit 
dem  Herrscher  als  Ilaupt,  so  liegt  darin  nicht  nur 
lnunanistische  V'erweltlichung  des  Kirchenhildes, 
sondern  auch  der  sakrale  Zng,  den  sich  das  Kiinig- 
tum  bis  wcit  in  die  Neuzeit  hinein  erhalten  .soUtc 
—  nur  daB  er  sich  nun  weniger  in  unbezweifel- 
barer  Gerechtigkcit  der  herrscherlichen  Autoritiit 
auspriigte  als  in  der  GewiBheit  ihrer  Dauer,  der 
Unsterhlichkeit  des  Konigs,  die  am  Ende  mehr 
versinnbildlicht  als  lebendig  empfunden  wurde  in 
der  Kontinuitiit  der  Dynastie. 

Das  mehr  als   fiinlhundert    Seiten   umfassende. 


durchhrochen  sieht:  sterblich,  fehlbar,  empfiingt 
der  Xachknmme  Adams  die  Insignien  geistlicher 
und  weltlicher  llcrrschaft,  wird  sein  eigener  Prie- 
ster  und  Kiinig.  «Dein  geist  ist  fest  und  heil  und 
frei  von  trone.  /  Nun  ware  fehl  zu  folgon  andrem 
sinne!  /  Hier  krcin  ich  dich  mit  mitra  und  mit 
krone!*  —  so  hieB  es  in  der  Uebersetzung  Stefan 
Georges. 

Karl  XII.    von    Schweden 

Zum  Werk  von  Otto  Haintz 

C.  H.  Konig  Karl  ist  der  Held  des  modernen 
Schweden,  wie  Napoleon  ein  Held  des  mcfdernen 
Frankreich  ist.  Voltaire  hat  eine  beriihmte  «Ge- 
schichte»  iiber  ihn  geschrieben,  und  Friedrich  der 
GroBe  hat  seine  Schlachtcn  bis  auf  Polt^wa  bewun- 
dert.  Historisch  gesehen,  war  Karl  die  zentrale  Figur 
des  Nordischen  Krieges,  mit  dem  der  spanische 
Erbfolgekricg  in  innerem  Zusammenhang  stand; 
in  diesen  Kriegen  entstand  das  moderne  Europa. 
Karl  errang  mit  seinen  Schweden  einen  welt- 
historisch  iiherra-schendcn  Sieg  bei  Narwa  iiber  die 
Russen,  und  dann  hat  er  jahrelang  Europa  in 
Atem  gehalten  durch  ebenso  abenteuerliche  wio 
geniale  Feldziige  in  Osteuropa.  Im  Juni  1709  ende- 
ten  sie  iiberraschend  durch  eine  Kiederlage.  die 
dem  Schweden  bei  Poltawa  von  dem  Zaren  Peter 
beigebracht  wurde. 

Otto  Haintz  ist  Schiller  Delbriicks,  der  die  klas- 
sischen  Schlachten  der  Weltgcschichte  rckon- 
struiert  hat.  Sein  Buch  iiber  Karl  ist  mit  dem 
ersten  Teil  19.36  schon  einmal  erschienen.  Da  in- 
zwischen  die  Schlacht  bei  Poltawa,  mit  der  jener 
Band  schloB,  anders  beurteilt  wird,  hat  er  ihn  um- 
geschrieben  und  durch  wesentliches  Material  aus 
den  Quellen  bercichert.*  Es  handelt  sich  um  ein 
StandardAverk  modcrner  Forschung,  und  Haintz 
ist  dafiir  in  Schweden  seit  langem  bekannt  und 
geehrt  worden.  Seine  Darstellung  ist  souveran,  sie 
hreitet  viel  Detail  aus,  behiilt  aber  die  Faden  in 
der  Hand.  Es  ist  ein  aus  den  .sclnvedischen,  deut- 
schen  und  teilweise  russischen  Quellen  gearheitetes 
Werk  und  hat  keineswegs  pragmatische  Zwecke, 
sondern  dicnt  der  Wissenschaft  von  jenem  Kiinig, 
der  eigentlich  der  letzte  Held  im  mythischen  Sinne 
war. 

Das  Ungliick  Karls  wird  hier  nicht,  nach  he- 
qnemem  Schema,  in  dem  Gemeinplatz  gesehen, 
Karl  habe  sich  iihernommen,  indeim  er  mit  den 
Krjjften  eines  mittleren  Stajites  erne  Weltmaoht 
angriff.  (Schweden  war  damals  GroBmacht  und 
RuBland  eine  unbekannte  GriiBe.)  Karls  Heer  war 
das  beste  der  Welt;  er  war  gewohnt,  gegen  zwei- 
tind  dreifache  Uebermacht  zu  siegen,  und  als  Feld- 
herr  war  er  ein  Genie.  Haintz  folgt  der  These  des 


n    L    J 
u    u    J 


.1  incin  saflikundigpn  Vonvort  amlputcn  will,  «daQ 
die  Anfange  dcr  Sozinlogip  als  Wissenschaft  mnp- 
lichonvcise  in  der  MittP  dos  18.  Jahrhundcrts  zu 
siichpn  seien  und  daS  sich  die  Aid  fassunfr  vertro- 
ton  HpOp,  von  diesptn  Zpitpniikt  an  Irnttpn  sich 
Planner  gpfundpn,  die  die  Dimension  dps  Sozialen 
nieht  nur  gpselien,  sondern  zu  prschlieBen  vcrssucht, 
das  heiBt  iiiier  die  niPthodiseh-teohnisehpn  Mittpl 
erfolgreich  nachgedacht  haben*. 

Die  Hiiufimgr  der  Konjiinktivp  in  dipsem  Satz 
ist  charakteristiseh.  Dpr  Uebpigrang  von  der  hloBen 
soziolop:ist'hon  Perspektivo  ziun   konkreten  Ansatz 
eifrenstiindiger  systematischer  Wissenschat'tlichkeit 
liiBt   sieh   tatsachiich   nicht   leicht  exakt   datieren. 
Das  hansrt  damit  ziisnmnipn,  daB  die  «Diniension 
des   Sozialen*   in   jpdpr  staatsphilosophisclien   und 
anfhropolopiselipn  Problpnistellunsr  notwpndig;  mit- 
pnthaitpn  spin  miifl  und  aiich  von  jolipr  in  die  dcn- 
kerischen  Bemiiiinngen  diespr  Richtiinsf  mitpinbczo- 
ppn  wovden  ist    Din  Sosriolopip  pntwickeltp  si'h  al<o 
aus  einem  Teilasppkt  anderer  Wissensc-haften,  und 
zwar    nnter   Voraussetzuiigpu,    die    ihrer   mpthodi- 
sehpn  Iviiuterung  im  akadpinischen  Sinn  keineswegs 
zntrjiglieh  waren.  Sie  suchte  sich  im  Gelolge  iind 
unter  dem  p]indruck  der  starken  sozialen  Spannun- 
gen  im  ausgeliendpn  18.  und  heginnendcn  19.  Jahr- 
hundert  zu  etnl)lipren.  Politisehc  Rovolutionen  und 
wirtscliaftlielie  Umwalznngpn  hattPn  dip  alten  Ord- 
nnngpn  zum  Einsturz  gol)raclit  odcr  doch  fragwiir- 
dig  werden   lassen.    In   dieser   Situation   des   Um- 
bruchs  und  Aufbruchs  begannpu  die  vprschicdenpn 
gesellschaftlichen   Gruppen    sieh    in    gesteigertem 
MaB   ihrer  .selbst   bewuSt   zu   wprden.   Erst  durch 
diespn   PiozpB   der  Dynamisiening  hobcn  sieh   die 
sozialen    Strukturen   so   dentlii-h    ab,    daB   sie   zur 
systematisehen  Analyse  und  Klassifikation  heraus- 
fi  -  Jerten.  Die  Gespllsc-haftswi.ssensehaft  wuchs  also 
au-   der  politisch-sozialen  Unruhe  und  dem  akuten 
K         bewuBtsein  der  Zeit  heraus  und  wurde  daher 
vielenorts  zum  vorneherein  nicht  nur  als  theore- 
tisclie    Gesellsohaftsdiagnostik,    sondern    als    prak- 
tisclic  Gesellsehaftsplnnuiig  konzipiert. 

Die  Vermengnng  dieser  beiden  Ebenen,  die  eine 
methodologische  Kristallisation  auBerordentlich  er- 
schwprte  und  verzogerte,  laBt  sich  im  vorliegenden 
r  id  an  einer  ganzen  Reihe  von  Autoren  aufzei- 
gpn.  Soziologpn  der  ersten  Periode  wie  Saint- 
Simon  oder  Comte  benutzten  objektiv  gesicherte 
Erkenntnisse  der  gesellsehnltlichen  Struktur  als 
Bausteme  programmatiseher  Gesellschaftstheorien 
mit  deutlieh  utopischem  Einschlag.  Rcvolutioniire 
Publizisten  anderseits,  wie  der  in  der  Auswahl  ver- 


Von  ('ini'iii  (liircliaiis  veriiiiiliTien  Stil  ist  die 
kiirzlich  ersehieneno  Studic  bestinimt:  «The  Kino'n 
Tmn  Undies  —  A  Study  in  Mediaeval  Political 
Theolno!/^.'  Kantorowiez,  seit  vielen  Jahren  an 
Univcrsifiiten  der  Vereiniglen  Staaten  tatig, 
schreiht  heute  englisch  —  ein  Icioht  zu  lesendes, 
umgangspraclilich  -  aii.-iiruflisloses  Englisch,  gc- 
eignet,  Saciien  zu  nennen,  zu  unter«<'liciden,  Zu- 
sammengchiiriges  zu  biindplii;  von  niystischen  Din- 
gen  ist  die  Hede,  in  giinzlich  iinniystisdiem  Ton. 
Von  Theorien  der  englischen  Renaissance  geht 
Kantorowiez  aus,  um  ein  zentraie;5  Problem  des 
Mittelalters  zu  fassen:  die  Vorstellung  vom  doppel- 
ten  Wesen  des  Kiinigs  —  des  Kiinigs,  der  ah 
Mensfh  jung  und  alt,  gesund  und  krank,  Tiiuschun- 
gen  unferwort'en  und  sterblich  ist,  aber  ah  Ko>ii0 
alferslos,  inirner  im  Recht,  von  irdisdieni  Zerfall 
nicht  anget'ochten. 

Es  ist  ein  juristisches,  ein  politischcs,  ein  theo- 
logisches  Problem.  In  Proze.ssen  gegen  die  Krone 
tiiucht  es  auf:  lai  eine  ScLenkung  des  vci 
storbenen  Kiinigs  giiltig,  obwohl  er  sie  maclite, 
ehe  er  miindig  war,  und  obwohl  sie  Land  betraf, 
das  er  nicht  als  Ki'mig,  sondern  als  Privatmann 
erworiien  hatte?  Allerdings;  dcnn  das  Konigtum 
kennt  keine  Uniniindigkeit,  des  Kiinigs  natiiilichc 
Person  besteht  neben  seiner  politischen  Person 
nicht  unabhiingig  fort;  Kilnig  geworden,  handelt 
der  Mensch  als  Kiinig;  «die  Krone*  handelt,  oder, 
weitcrentwickelt,  jenes,  worin  natiirliehe  und  poli- 
tische  Person  iibereinkommen,  die  Diguitas,  die 
unvcrgiingliche  Herrscherwiirde. 

Die  Eiktion  der  «Krone»,  der  Begritf  der  iiher- 
persiinliclirn  Herrscherwiirde,  Vorstellungen  von 
Staat  und  Vaterland  als  gehpiligtpn  Wpsenheiten: 
.sie  zielen  alle  auf  die  giittliche  Herkunft  der 
Autoritat.  Das  bcdeutet  nicht,  daB  dem  Monarchen 
Allgewalt  zugeschrieben  wird.  Der  llerrscher  kann 
als  das  lebendige  Rrcht  verstanden  sein,  das  den 
doppeltpu  menschlich-giittlichcn  Aspekt  mit  alien 
Ideen  teilt,  und  wird  daher  auf  wechselnde,  aber 
jpwpils  sehr  genaue  Weise  iiber  und  unter  das  Ge- 
setz  gcstellt.  Oder  er  kann  in  ein  Shnlich  mysti- 
sches  Verhaltnis  zum  Staat  gebracht  sein  wie  der 
Priester  zur  Kirche;  das  erhebt  nicht  so  sehr  ihn 
als  die  politische  Genieinschaft  in  einen  heiligen 
Stand.  Die  Rechtfertigung  des  Parlanients  wur- 
zelt  hier. 

«Menschlich  von  Xatur  und  giittlich  durch  die 
Gnade»:  das  ist  vom  Herrscher  gesagt;  es  spiegelt 
aber    das    Doppelbild,  in    welchem    Christus    dem 


*  Princeton  University  Press,  Princeten 


I)a.s  1st  kiihn  und  iiberau.s  konsef|(i.  m  ^...i.niii, 
es  wertet  die  Parailele  zwischen  den  zwei  N'aturen 
f'hri.sti  und  den  beiden  Persnnen  des  Monarchen 
zu  dessen  Ounsten  aus,  verschriinkt  die  eine 
Doppelerscheinung  in  die  andere.  Wenn  spiiter,  in 
einer  Schrift  des  Eneas  Siivius  Piecolomini,  die 
Lehre  vom  myslischen  Leib  der  Kirche  mit  Chri- 
stus als  llanpt  ausdriicklich  ihr  Gegen.stiick  er- 
hiilt  in  jener  vom  mystischen  I>eib  des  Staates  mit 
dem  Herrscher  als  Ilaupt,  so  liegt  darin  nicht  nur 
humanisti.sehe  Verweltlichung  des  Kirchenbildes, 
sondern  auch  der  sakralc  Zug,  den  sich  da.s  Konig- 
tum bis  weit  in  die  Xeuzeit  hinein  erhalten  sollte 
—  nur  daB  er  sich  nun  weniger  in  unbezweifel- 
barer  Gerechtigkeit  der  herrscherlichen  Autoritat 
auspriigfp  als  in  der  GewiBlieit  ihrer  Dauer,  der 
Unsterblichkeit  des  Kiinigs,  die  am  Ende  mehr 
vcrsinnbildlicht  als  lebendig  empfunden  wurde  in 
der  Kontinuitiit  der  Dynastie. 

Das  mehr  als  fiinfhundort  Seiten  umfassende, 
.1.1  Mnterinl  und  Gcdanken  iiherroiche  Werk  ist 
mit  diesen  Andputmigen  niclit  angpmessen  ins 
Licht  geriickt.  Noch  weniger  die  Frage,  die  Kan- 
torowiez von  vielen  Orten  angeht  und  dem  Lcser 
in  einigen  Hinweisen  hochst  eindringlich  werden 
liiBt;  die  Frage  niimlich,  die  Richard  II.  in  Shake- 
speares  Drama  stellt: 

.  . .  liiihnt  nicht  Flcisch  und  Blut 
Mit  p:hrbezeugung ;  werft  die  Achtung  ab, 
Gobrauchp,  Sitt'  und  auRcrlirhcn  Dienst. 
thr   irrtet   cuch   die  ganzo  Zcit    in   mir: 
Wie  ihr,  Icb'  ich  vnn  Brot,  ich  fiililc  Mangel, 
Ich  fchmeckp  Kummer  und  bcdarf  der  Frcunde. 
So  untorunrfen  nun 
Wie  kfinnt  ihr  .=agpn,  da(3  ich  Kcinig  bin? 

Die  Frage  ist  entschieden,  sowie  sie  gestellt 
werden  kann.  Wo  in  der  gnadenhaften  Einheit  des 
Kfinigtums  ein  RiB  sidi  aultut,  wo  der  Zweifcl 
eindringen  kann  zwisclirn  Mensch  und  Sendung, 
da  ist  es  auch  erlaubt,  sich  abzuwenden:  der  Herr- 
scher, der  die  Schwiiche  seiner  Person  entdeckt, 
biiBt  .sein  Recht  auf  die  Gefolgschaft  ein.  Das  ist 
im  Rahmen  des  Mittelalters  ein  pathologischer 
Fall;  doch  es  ist  zugleich  ein  historiseher  Vor- 
gang.  In  der  «Zauberflote»  kann  es  heiBen:  «Er 
i.st  ein  Prinz.  Er  ist  mehr  als  das:  er  ist  ein 
Mensch. »  DaB  ein  Schriftsteller  unserer  Tage  er- 
klfirt  hat,  es  sei  hohe  Zeit,  den  Satz  einmal  wie- 
der  umzukehren,  kann  da  nichts  ungeschehen 
machen.  Heute  ist  es  schon  eine  groBe  l.,ei.stung, 
analysierend  den  Vorstellungskreis  zu  durchschrei- 
ten,  den  Kantorowiez  mit  Dantes  Vision  eines 
doppclten  Men.schentums  zugleich  geschlos.sen  und 


KCMlirieben  iind  durch  wesenthches  Malcnal  au.^ 
den  Qiiellen  bereichert.*  Es  handelt  sich  um  ein 
Standardwerk  moderner  Forschung,  und  Ilaintz 
ist  dafiir  in  Schweden  seit  langem  bekannt  und 
gpphrt  worden.  Seine  Darstellung  ist  souveran,  sie 
breitet  viel  Detail  aus,  behalt  aber  die  Faden  in 
der  Hand.  Es  ist  ein  aus  den  schwedischen,  deut- 
schen  und  teilwei.se  ru.ssi.schpn  Quellen  gearbeitetes 
Werk  und  hat  keineswegs  pragmatische  Zwee.ke, 
.sondern  dient  der  Wi.ssenschaft  von  jenem  Kijnig, 
der  cigentlich  der  letzte  Held  im  mythLschen  Sinne 
war. 

Das  IJngluck  Karls  wird  hier  nicht,  nach   be- 
quemem    Schema,   in    dem    Gemeinplatz    ge.sehen, 
Karl  habe  sich    iibernommen,    indem    er    mit    den 
Kriitten    eines   mittleren    Staates   eine   Weltmacht 
angritr.    (Schweden  war    damals    GroBmacht    und 
RiiBland  eine  unhekannte  GroBe.)  Karls  Heer  war 
das  beste  der  Welt;  er  war  gewohnt,  gegen  zwei- 
und  dreifache  Uehermacht  zu  siegen,  und  als  Feld- 
herr  war  er  ein  Genie.  Haintz  folgt  der  The.se  des 
schwedischen  (iencrals  Petri,  der  gpzeigt  hat.  daB 
das  scliwedische  Generalstabswerk  nicht  das  Reci't 
habe.  Poltawa  eine  Fehlleistung  zu  nennen.  Karl 
wolltc  nicht  die  kleine    Feste    Poltawa    mit    4000 
Mann  nehmen,  sondern  belagerte  Poltawa,  um    lie 
gesamte  nissische  Macht  auf  sich  zu  ziehen  und  ihr 
eine  Ent.scheidiingsschlacht  zu  liefem.  Das  gelang 
viillig,  bis  in  die  Details  der  taktisehen  Einsiitze. 
Er  verlor  die  Schlacht  aus  Griinden,  die  nicht  in 
und   an    ihm   lagen:    er  selbst   wurde   kurz  vorher 
schwer  verwundet,  die  Riissen  hatten  in  der  letzten 
Xacht  zufallig  Schanzen  gebaut,  die  er  nicht  ken- 
nen  konnte,  und  auBer  ihm  selbst  kannte  nur  tin 
General  den  Plan  der  Schlacht.  Trotzdem  war  die 
Katastrophe  kein   «Ziifall».   Sie  war  letztlieh   be- 
griindot    in   einem    Mangel   an   diplomatisch-politi- 
schcr  Vorbereitung,  dem  Fehlen  von  starken  Bun- 
desgenossen. 

Die  beiden  andern  Biinde  des  Haintzschen 
Werkes  sind  nicht  minder  fesselnd,  aber  sie  han- 
deln  nicht  mehr  in  welthistorischem  Aspekt:  Karl 
war  eine  fast  abenteuerliche  Randfigur  geworden, 
und  die  Schweden  mcigen  mit  sich  selber  aus- 
machen,  ob,  wie  und  warum  Karl  und  sein  Volk 
njcht  mehr  zueinander  fanden.  Das  Problem,  das 
Karl  bei  Poltawa  zu  erledigen  gedachte,  hieB  ja 
nicht  Ausliischung  RiiBlands.  sondern  dort  ein  der 
.schwedischen  Welt  genehmes  Regime  zu  errichten 
und  dadurch  in  Polen  und  Sachsen  Riihe  zu  haben. 

•Otto    Haintz:    Kiinig   Karl    XII.   von    Schwede 
^^-  1—3,  Verlag  Walter  de  Gruyter,  Bprlin  1958 


n. 


«Histoire  de  la   Suisse» 

haj.  Xachdem  sie  wiihrend  langerer  Zeit  ver- 
griffen  war,  i.st  die  einbiindige,  gerafTte  Darstel- 
lung der  Schweizer  Gcschichte  von  Willinm  Martin 
in  vierter  Auflage  neu  edicrt  worden.*  Die.se  sehr 
erfreuliche  Xpiiaiisgabo  wurde  durch  die  Unter- 
stiifzung  der  Stiftung  «Pro  Helvetia*  mijglich. 
William  Martin  (1888—1934),  AuslandkoiTespon- 
dent  und  spater  auBenpolitischer  Redaktor  des 
«.Iournal  de  Geneve*  bis  zu  .seiner  Benifung  auf 
den  Lehrstuhl  fiir  Geschichtc  an  der  ETH  im 
Jahre  193.3,  beabsichtigte,  mit  seiner  «Histoire  de 
la  Suisse*  cine  Darstellung  zu  geben,  die  wissen- 
schaftliche  Fundiertheit  mit  leiehter  Lesbarkeit 
verbindet.  Es  ging  ihm  dabei  nicht  nur  um  die 
Auswahl  der  eharnkteristischen  Momente  in  der 
Ge.schichte  unscres  Landes,  sondern  auch  um  die 
Fixierung  der  groBen  Zu.sammenhiinge  und  deren 
Verst.indnis.  «Les  faits  n'iinportent  a  I'histoire 
que  s'ils  sont  une  cau.se  on  une  con.sequence*, 
schrieb  er  im  Vonvort.  «L'histoire  est  une  chaine. 
Les  faits  isoles  ne  comptent  pas.»  So  verfaBte  er, 
inspiriert  durch  Gonzagtie  de  Reynolds  histori- 
sches  Werk.  .seine  bis  heute  wertvoll  gebliehene 
Schweizer  Geschichte,  die  er  im  Untertitel  als 
«Essai     sur    la    Formation     d'une    Confederation 

*  William  Martin:  Histoire  dp  la  Suisse.  Essai  sur 
la  Formation  d'uno  Confederation  d'Etats.  Quatrieme 
(Edition  conforme  k  la  prtVodentP,  suivir  d'uii  appcn- 
dice  inedit  La  Suisse  dc  1928  a  1958  par  Pieire 
Beguin.  Librairie  Payot,  Lausanne. 


d'Etats*    in    ihrem    Hauptwesenszug    charakteri- 
sierte. 

Fiir  die  nun  vorliegende   Neuedition   verfaBte 
Pierre     Beguin,     Chefredaktor    der     «Gazefte    do 
Lausanne*  und  Verfasser  des  Bitches  «Le  Balcon 
sur  I'Europe;  Petite  llistoire  de  la  Suisse  pendant 
la  Guerre  1939 — 1945*,  einen  Aniiang:  «l^  Suisse 
de  1928  a  19.58»,  des.«en  Inhalt  hier  angedeutet  sei. 
Beguin    wei.st    auf    die    gewaltige    Zunahme    der 
schweizerischen   Beviilkerung  wiihrend   der  letzten 
30  Jahre  um  fa.st  eine  Million  hin.  Trotz  der  Wirt- 
schaftskrise  der  beginnenden  dreiBiger  Jahre.  die 
bis    1939    nachwirkte,    setzte,    insbesondere    nach 
194.5,  ein  starker  wirt.schaftlicher  Aufschwning  ein. 
Die  politischen   Auswirkungen   der  Krise  sind   in 
einer   Jlodifizierung   dcr   Auffassung   des   Staates 
zu  sehen.  der  in  das  gefahrdete  Wirtschaftsleben 
eingritf;   Beguin   bezeichnet   diese   Zeit   als   Ueber- 
gang    vom    «liberalisme    mancliesterien*    zu    einem 
«liberalisnie   nettement    influence    par    les   concep- 
tions communautaires*.   Ungeachtet  der  okonomi- 
schen  Veriinderungen  und  der  daraus  sich  ergeben- 
den  Evolution  der  Ideen  blieb  die  Stabilitiit  in  der 
Politik  gewnhrt;  in  groBen  Ziigen  geht  der  Alitor 
den   Griinden   fiir  die   Festigkeit   der   bestehenden 
politischen   Ordnung  nach,  welehe  auch  durch  die 
extremistischen  Bewegungen  des  Facisnius  und  des 
Kommunismus    nicht    erschiittert    werden    konnte. 
Diese   politische    Stabilitiit    ist   um   so    bemerkens- 
werter.  als  das  Land  in  den  letzten  dreiBig  Jahren 
betriichtlidie    demographische,    soziale    und    indu- 
strielle  Verandenmgen  erfahren  hat 


Der  trotz  sprachlichen  und  konfessionellen  Ver- 
.schiedenheiten  vorherrschende  Wille  zur  nationalen 
Einheit    bildet    eine    der    wertvollsten    Konstanten 
un.serer    Geschichte;   er   steht   auch    am    Ursprung 
unserer  Neutralitiit:  «La  neutralite  reste  le  eiment 
de  la  dnrce  et  de  la  permanence  de  I'Etat  federal.* 
Bei  all  den  genannten  Verschiebungen  in  unserer 
Bevolkeriingsstruktiir  blieb  das  Schweizervolk  sei- 
nen    Institutionen    treu;    Beguin   spricht   geradezu 
von  einer  Angst,  die  bestehenden   Zustande  anzu- 
ta.stcn.   und   nennt   als   Bei.spiele   dafiir   die   Jura- 
f  rage,  die  Jesuitenf  rage  und  die  Frage  des  Frauen- 
stimmrechts.    Die  schweizeri.sche  Politik   ist   prag- 
mati-sch   bestimmt  und  zeichnet  sieh  durch   Ueher- 
legung  und  MaB  aus.  Setzte  sich  der  Bundesstaat 
von   1848  die   Festigung  der   Demokratie   und  der 
Freiheit  als  erstes  Ziel.  so  hat  sich  dieses  im  Laufe 
der  Jahrzehnte  zusehends  auf  die  .soziale  Sichening 
hin  versehoben:  «Les  problemes  de  liberte  une  fois 
resolus,   ...  les   problemes   de  securite   sociale   ont 
etc  eon.stamment   au  premier  plan   de  Tactualite.* 
Die.se  Tendenz   verstiirkte  sich.   wie  der  Verfas.ser 
durch  Beisi)iele  belegt.  in  den  letzten  dreiBig  Jah- 
ren betr.ichtlich.    In   priignanter  Darstellung   faBt 
Beguin  die  Ereignis,se  wiihrend  des  Zweiten  Welt- 
krieges   zusammen    und    eharakterisiert    die    MaB- 
nahmen.    die    zur   Bewaltigung   dieser   sehwierigen 
Periode   getroffen    wurden.    In   einem    letzten    Ah- 
schnitt   seiner   vorziiglichen    Uebersicht.   durch    die 
Martins  «Histoire  de  la  Suisse*  a  jour  gebracht 
wird.    verfolgt    Pierre  Beguin    die    Evolution    der 
.schweizerischen  Xeutralitiit,  ihre  Erprobung  wiih 


rend  des  Zweiten  Weltkrieges  und  ihre  Xeuinter-    samgefordert 


pretation  in  Jlax  Petitpierres  Foi-mel  «Xeutralite 
et  Solidarite*. 

Kleine   Chronik 

Die  Kirihe  .Si.  Jo.»i  in  Klatten.  i,r.  Seit  langem 
ist    der   Zustand   der   reichgegliederten    kirchlichen 
Baugnippe   von    St.  Jost    zu    Blatten    bei    Malters 
be.sorgni.serregend.  Die  nur  wenige  Kilometer  von 
Luzern    entfernte,    einst    vielbesiuhte    Walllahrts- 
kirche  an  der  nach  dem  Entlebiuh  und  nach  Beni 
liihipudpn    StraBe,   die   sich    wiihrend   langer   Zeit 
der  besonderen  Snnpathie  des  Luzerner  Patriziates 
erfrpiife,  ist  vom  Zerfall  bedrolit.  und  ihre  kiinst- 
len.sche    Aus.schiniickiing   liiBt    den    ur.spriinglichen 
Glanz  kaum  mehr  erkennen.   Die   Vrremigung   fur 
die  St.  Joat-Knche  Blatten  hat  den  Boden  fiir  eine 
wirk.snme  Rettungsaktinn  vorbereitet.  fiir  die  sich 
jetzt   ein   aus  vielen   angesehenen   Persiinlichkeiten 
gebildetes    Ehren-    und    Patronat.skomifee   einsetzt. 
Anton  Achemiann   (Luzern).  des.sen  Initiative  .seit 
Jahren  werbekriiftig  spiirbar  wurde,  prasidiert  den 
AusschuB     und     die     Baukoinmission.     in     welcher 
Kunsthi.storiker  und  kantonale  Beamte  mitarbeiten. 
Trotz    den    in    Aus.sicht    stehenden    Beiiragen    der 
Gemeinde    Malters,   des   Kantons   Luzern   und   der 
Eidgenos.senschaft    wird    intensive    Finanzbeihilfe 
von  privater  Seife  niitig  sein.  wenn  da.s  umfa.ssende 
Renovationswerk  gelingen  soil.  Zum  Gliick  ist  die 
im    17.  und    18.  Jahrhundert    zu    ihrer    schmuck- 
reichen  Gestaltung  gelangte  Kirchenanlage.  die  in 
den  «Kunstdenkmalern  des  Kantons  Luzern*  ein- 
gehend  gewiirdigt  wird,  vor  entstellenden  Verande- 
rungen  verschont  geblieben.  Ihre  wiirdigp  Instand- 
stellung  wird  nunmehr  als  dringliche  Aufgabe  der 
'uzernischen  Denkmalpflegfe  empfunden  und  wirk- 


'  /    L     J     D 
U     U     J    L 


THE     TIMES     LITERARY     SUPPLEMENT     FRIDAY     NOVEMBER      13 


1959 


SEPARATING  THE  MAN  AND  THE  OFFICE 

Ernst  H.   Kantorowicz  :    The  King's   Two  Bodies.      A  Study  in  Medieval  Political    Theology. 
Princeton  University  Press.     London  :  Oxford  University  Press.     £4. 


665 


568pp. 


This  large  volume  of  568  pages  has 
its  origin  in  a  conversation  between 
the  author  and  the  late  Professor 
Max  Radin,  a  conversation  which 
turned  to  Maitland's  famous  studies 
of  the  Crown  as  a  " Corporation 
sole,"  "  to  the  curious  legal  fiction 
of  the  King's  Two  Bodies  as  deve- 
loped in  HIi/.abethan  England,  to 
Shakespeare's  Richard  II.  and  to 
certain  medieval  antecedents  of  the 


The  conversation 
and    the   essay    to 


'  abstract  king ' 
led    to   an    essay, 
the  present  book 

The  necessity  of  distinguishing 
between  a  ruler  as  a  human  person 
and  the  office  which  he  holds  is  one 
which  very  varied  circumstances  have 
forced  upon  men  of  all  ages.  Some- 
times it  is  bound  up  with  the  desire 
that  the  ruler  and  his  family  should 
hold  property  which  is  separable 
from  the  property  attached  to  the 
crown,  sometimes  it  arises  from  the 
need  to  punish  or  prevent  the  mis- 
deeds of  an  individual  without  bring- 
ing down  the  superstructure  of 
society.  The  distinction  is  not  a 
difficult  one  to  make  and  is  found 
at  an  early  date  in  medieval  society. 

It  would  hardly  be  correct  to  say 
that  Dr.  KantoVowicz  traces  the 
development  of  the  idea,  though  his 
book  does  in  the  main  proceed 
chronologically.  Rather  he  has  given 
us  a  series  of  studies  of  variations 
upon  the  central  theme.  We  see  it 
developed  in  terms  of  theology,  law. 
metaphysics,  political  theory.  To 
read  this  book  is  to  have  fascinating 
experiences  in  unusual  realms  of 
thought.  Most  readers  will  emerge 
enriched  in  knowledge,  but  they  may 
well  wonder  whether  their  journey 
has  led  them  to  any  gt>al.  The  con- 
clusion of  the  book  appears  to  be, 
if  the  Epilogue  is  any  guide,  that 
the  concept  of  the  King's  Two 
Bodies  is  "an  ofTshoot  of  Christian 
theological  thought,  and  consequently 
stands  as  a  landmark  of  C  hrisliah 
political  theology,"  but  it  may  be 
questioned  whether  all  the  labour  of 
the  500-odd  pages  was  necessary 
to  reach  this  conclusion,  and 
whether  much  that   is  contained  in 


them  is  very  directly  related  to  it. 
One  cannot  avoid  the  feeling  that  this 
book  was  probably  much  more  read- 
able and  intelligible  when  it  was 
an  essay  than  it  is  in  its  somewhat 
inflated  form.  Christology,  the  prob- 
lem of  time,  ecclesiology,  theories 
of  taxation,  patriotism,  the  develop- 
ment of  coronation  riles  and  their 
significance,  the  funeral  customs  of 
the  later  Middle  Ages  all  pass  before 
us  in  an  impressive  but  somewhat 
bewildering  procession.  One  puts 
the  book  down  with  something  of 
the  feeling  one  has  after  reading  Pro- 
fessor Toynbee:  admiration  at  the 
author's  encyclopedic  knowledge 
and  a  vague  sense  of  disquiet  about 
a  good  many  of  the  details. 

An  example  of  the  kind  of  dis- 
cussion that  raises  doubts  is  to  be 
found  in  the  section  called  Di^^nitas 
lion  inoritur.  Here  much  is  made  of 
the  late  medieval  custom  at  the 
funerals  not  only  of  kings  but  also 
of  prelates  and  great  secular  lords 
of  carrying  on  the  coffin  an  effigy 
which  represented  the  deceased  in  his 
state  of  earthly  majesty.  This  custom 
is  held  to  be  connected  with,  and  pos 
sibly  the  origin  of,  those  tombs  which 
have  a  double  representation  of  the 
deceased,  one  in  life  and  the  other 
in  the  dissolution  of  death.  On  all 
this  the  author  comments: 
The  decrepit  and  decaying  body 
natural  in  the  tomb,  now  separated  from 
the  awe-inspiring  body  politic  above  it, 
appears  like  an  illustration  of  the  doc- 
trine expounded  over  and  over  again 
by  mediaeval  jurists:  Teneiii  dignitatem 
est  corruptilvlis,  DIGNITAS  tainen 
semper  est,  iion  moritur. 

Professor  Kantorowicz  seems  to 
establish  that  the  use  of  a  funerary 
effigy  was  adopted  in  France  under 
English  influence  at  the  time  of  the 
deaths  of  Henry  V  and  C  harles  VI. 
He  also  traces  in  considerable  detail 
the  gruesome  and  typically  French 
developments  of  the  practice  in  the 
succeeding  200  years,  and  this 
development  certainly  seems  to 
support  the  thesis  quoted  above.  But 
is  it  right  to  assume  that  the  sym- 
bolism   of   a  developed   practice   in 


France  was  also  the  symbolism  of  a 
more  moderate  funerary  usage  in 
England  ?  A  detail  gives  point  to  the 
doubt.  Much  is  made  of  the  monu- 
ment of  Archbishop  Chichele  in 
Canterbury  Cathedral,  and  the  author 
writes; 

Hence,  the  sepulchral  monument  of 
Archbishop  Chichele.  showing  the  effigy 
on  the  lop  of  the  tomb  and  the  corpse 
within  the  tomb,  was  the  naturalistic 
reproduction  of  reality,  rendering  simply 
what  was  seen  at  the  funerary  proces- 
sion: ihe  effigy  in  regalia  on  top  of 
the  coffin  which  contained  the  almost 
naked  corpse. 

But  have  we  any  reason  to  think  that 
the  corpse  was  "  almost  naked  "  ? 
It  is  true  that  the  custom  of  burying 
the  body  in  full  pontificals  seems 
to  have  ceased  for  a  period,  but  if 
the  burial  of  William  Lyndwood,  a 
contemporary  of  Chichele's.  is  any 
guide,  the  corpse  was  certainly  not 
naked.  It  was  in  fact  very  well 
swathed  and  embalmed,  and  survived 
incorrupt  until  it  was  discovered  in 
St.  Stephen's  Chapel  after  the  fire 
which  destroyed  the  Houses  of  Parlia- 
ment in  the  nineteenth  century.  More- 
over, there  was  placed  in  the  coffin  a 
pastoral  staff,  the  most  essential 
symbol  of  episcopal  dignity.  Inci- 
dentally. Lyndwood  is  incorrectly 
described  elsewhere  in  the  book  as 
Bishop  of  Hereford.  He  was,  at  the 
end  of  his  life.  Bishop  of  St.  David's. 
It  seems  much  more  probable  that  the 
symbolism  of  these  monuments  was 
simply  sic   transit  fjloria  niundi. 

This  small  illustration  shows  tht 
great  problem  which  faces  all  who 
try  to  elucidate  symbolism,  whether 
in  art,  literature  or  ceremonial.  How 
can  we  be  sure  that  the  subtleties 
which  we  discern  were  intended  by 
those  who  constructed  and  used  it  ? 
Professor  Kantorowicz's  book  is 
typical  of  a  certain  kind  of  modern 
historical  work,  usually  proceeding 
from  Germanic  sources.  Undoubtedly 
we  have  much  to  learn  from  it,  and  it 
makes  fascinating  if  somewhat  diffi- 
cult reading,  but  most  historians  are 
likely  to  approach  it  with  a  good  deal 
of  caution. 


U     U     J     Zl 


r 


HOOK   HKVIKW.S 


II3i) 


<paUons  IS  the  little  spaee  devoted  to  this  the.ne,  in  .■o.npanson  w.th  the  eon- 
t.m.al  attack  on  state  action:  also  th,-  iutle  histnri.al  reference  to  medieval 
Eui;ope  ni  comparison  with  reference  to  classi.-al  an.i,,uitv  nnd  the  then-recent 
centimes  „.  the  West-  the  "mercantilistic"  epoch.  It  i^iiuteworthv,  too,  that 
the  whole  discussion  of  relision  is  incorporated  in  thaK.f  education/ln  politi.s 
Smith  IS  .hown  to  favor  "republicanism,"  i.e.,  constitutional  government  on' 
tlie  pattern  of  Britain  at  the  time- or  even  moK'  that  of  "Holland  "  as  havimr 
more  freedom  of  trade.  There  should  he  a  hei^ditary  e.xecutive  and'limitcd  J- 
I  rage. 

In  a  book  with  this  title,  by  a  polit/f^al  scientist  and  pre.sumabiv  intend.-d 
primarily  f.,r  that  profession,  the  eci>domist  does  not  expect  a  clo,.e  analvsis  of 
Smith  s  economic  .system  or  critio^  of  his  pol.,-y  of  market  freedom.  Smith  did 
not  use  the  term  ^laiss^r-fmre/^nd  h.  recognized  many  gnn.nds  and  occa- 
MoiLs  for  governmental  a.-th.u/i  the  economic  fic.kl.  He  made  .scathing  remarks 
about  commercial  .societ.y/^howing  that  he  had  no  idealistic  illusions  about 
1      An  econonust^  review/marp^  remark  that  it  is  over-generalization 

to  saN    that  smith  hdj-  that  "the  distribution  of  value  in  a  .  .  .  commercial 
society  IS  determinedly  the  bargaininir  power  of  the  parti.-s  .  .  .  "  ,p   7oi    The 
following  statemen/ inferring  the  view\hat  ••.ages,  profit  and  rent  aiv' 
conventional  .  .  ^  can  be  defended,  but  V'.v  "theories"  can  al,s„  be  don,- 
n.ented  in  .Snu>K.  Not.  howevr,  the  principln,  now  re.-ognized  as  .self-evident 
that  market  competition  divides  a  joint  produc^Niimong  compicMuentarv  agents 
producmg^on  the  ba.sis  of  the  contributions  of  sninJl  increments  of  ea(-h  to  the 
total  result.  It  took  the  "best  minds"  in  political  ecoLny  itself  a  good  centurv 
to  begj;.  to  grasp  this  prin.-iple-  and  a  furth.-r  generatii^v-.r  two  to  incorporat'e 
111  my>  an  intelligible  economic  sy.stem.  Smith  an.l  1  i.  ••cl.^,.al"  followers  had 
nu^ explanation   of  distribution   as  the  j,ri.i>  g  of  productiV-<'rvices    .s„,.h 
ardmcss  ,n  seemg  the  obvious  is  rather  the  mo.st  important  l.-sso^Ho  be  learn.-d 
Irom  tfie  .study  ol  the  hist.nv  of  economic  thought. 

„,,     ,.    .  Tii.wK  11    Kxh.iii 

Th:  King,  Two  Bodies:  A  Study  in  Mcliaral  r„litir,d  Th  nh,;,,    Hy  Fkvst  H 

Kantohowicz.  (Princeton:  Princeton  Inivcisitv  l>ress    l!»:,7    1>„    xvi    -..It' 
SI 0.00.)  «     1  p.  x\i,  .}t)/. 

Profe.s.sor  K  .ntorowi,.z  has  writt.-n  a  great  book,  perhap.^  the  mo.^t  important 
w...k  n.  the  history  of  medieval  political  thought,  su.elv  the  m  ,st  specta.Milar 
of  the  past  several  generations.  Here,  in  superbly  designed  chapters  ba.sed  upon' 
the  best  .srhoarship  m  every  field  even  remotely  con.erned  with  the  Middle 
Ages.  IS  the  development  of  the  theory  and  symbolism  of  the  .-arlv  national 
states  from  the  eleventh  to  the  .sixteenth  centuries.  Some-,  prejudi.-e.l  against 
he  heoretica  approa.-h,  may  .-onsider  his  treatment  f.o  c.,nceptualize,l  I 
h.nk  not,  for  he  i.s  constantly  in  touch  with  the  events  of  his  period  and  aware 
too  ot  all  methodological  proprieties. 

The  (-arly  .hapters  establish  the  pr..blenisand  the  plan  of  the  study.  Kantoro- 


n    L     3    u 

U     U     J       I 


1140 


THE  AMERICAN   POLrTlCAL  SCIENCE  REVIEW 


wicz  Starts  with  tlic  Tudor  mystic  fin  ion  of  the  "Kind's  Two  Bodies,"  dis- 
cusses this  difficult  distinction  between  the  royal  l)ody-natural  and  IxKly- 
poHtic  and  the  latter's  special  eternal  status,  and  sets  out  to  discover  its  me- 
dieval antecedents.  Then,  illustrating  a  principal  theme,  the  transfer  of  theo- 
logical and  ecclesiastical  qualities  and  symlxils  to  the  secular  power,  he  sketches 
the  movement  of  the  t.erm  '•corpus  mydicum"  from  Christian  Society  to  the 
Church  to  the  State.  Brilliant  in  this  opening  section,  and  indicative  too  of 
his  range,  is  the  interpretation  of  Shakespeare's  RtrhanI  11  against  the  concept 
of  a  "royal  Christ olog>-." 

The  argument  of  the  book  i<  developed  in  several  long  and  complicated 
chapters,  in  which  we  first  return  to  the  eleventh  century.  At  that  time  Kantor- 
owicz  finds  the  king's  duphcation  of  persons  not  founded  on  Law  or  in  a  consti- 
tution, but  rather  on  Oace,  in  Theology.  By  the  thirteenth  century,  however, 
a  "theocratic-juristical"  idea  of  government  has  replaced  the  earher  "Christo- 
logical-liturgical"  one,  laigely  as  the  result  of  the  revived  legal  studies.  The 
legists  cited  the  Bible  through  the  Corpus  liiris.  called  themselves  "priests  of 
the  law  of  justice,"  and  in  very  many  ways  contributed  to  the  "new  holiness 
tiu,  oLstate."  Finally  iiT  this  chapter,  "Law-Centered  Kingship,"  Kantorowicz  dis- 

cusses the  concept  of  the  fisc  both  in  the  continental  jurists  of  the  Roman  and 
Canon  laws  and  in  Bracton,  showing  the  relationship  (.f  the  fisc  to  the  eternity 
of  the  stat,e  and  to  the  prcx-ess  of  its  hallowing. 

He  next  ela1:)orates  on  the  corporational  aspects  of  the  medie\  al  state,  giving 
a  more  detailed  analysis  of  ''carpus  miisHcum"  to  show  how  the  term  came 
ultimately  to  designate  the  Church  as  a  "body  pohtic"  and  how  this  theological 
concept  was  arrogated  by  secular  powers.  Then,  after  a  discussion  of  the  rela- 
tionship of  State  to  Law,  Kantorowicz  turns  to  the  glorification  of  the  new 
states  in  terms  of  such  notions  as  -Patria"  and  "Die  for  the  I'atherland."  He 
l>egins  the  next  chapter,  "On  Continuity  and  Corporations,"  with  a  very 
stimulating  account  of  the  philosophical  concept  of  time,  "ocruTn."  revived  m 
the  thirteenth  century,  and  draws  its  implications  for  the  political  abstractions 
then  l)eing  made  immortal  l)y  the  jurists.  This  done,  he  discusses  the  three 
factors  that  combined  to  create  the  fiction  "The  King  never  dies":  the  ever- 
lastingness  of  the  dynasty,  the  corporate  quality  of  the  cn.wn,  and  the  immor- 
tality of  the  royal  "dignitas."  The  treatment  of  digniias  is  very  fine  and  ex- 
emplifies his  success  in  finally  clarifying  terms  long  used  with  imprecision. 

Dignitas  creates  a  new  series  of  problems  and  relationships:  the  symbolic 
phoenix  and  the  state,  the  "equiparation"  of  God  and  dignitas,  the  significance 
of  the  royal  effigy  for  the  eternal  monarchy,  and  others.  In  his  concluding 
chapters,  Kantorowicz  brings  it  all  together  with  particular  reference  to  Eng- 
land, whose  special  development  he  ascril)es  to  the  existence  and  function  of 
Pariiament;  he  presents  a  masterly  interpretation  of  Dante's  social  and  politi- 
cal ideas:  and  he  tentatively  rejects  the  possibihty  that  the  "King's  Two 
Bodies"  had  its  origin  in  ancient  as  opposed  t)  medieval  thought. 

Peter  N.  Kiesenberg. 

Swarthmori  (.'uLUgc. 


U     U     J     J 


Tlir     TIMFS     IITFRARY      SUPPIIMIlsr      FRIDAY      NOVIMBIR      \^      1959 


665 


SEPARATING  THE  MAN  AND  THE  OEEICE 


Frnst  H.   Kantorowicz  :    The  K 
Princeton  University  Press.     L 

This  large  volume  of  5t>S  pages  has 
its  origin  in  a  conversation  between 
the  author  and  the  laic  Professor 
Max  Radin,  a  conversation  which 
turned  to  Maitland's  famous  studies 
of  the  Crown  as  a  "  Corporation 
sole,"  "  to  the  curious  legal  fiction 
of  the  King's  Two  Bodies  as  deve- 
loped in  Elizabethan  England,  to 
Shakespeare's  Richard  II.  and  to 
certain  medieval  antecedents  of  the 
'  abstract  king  ' "'.  The  conversation 
led  to  an  essay,  and  the  cs.say  to 
the  present   book. 

The  necessity  of  distinguishing 
between  a  ruler  as  a  human  person 
and  the  office  which  he  holds  is  one 
which  very  varied  circumstances  have 
forced  upon  men  of  all  ages.  Some- 
times it  is  bound  up  with  the  desire 
that  the  ruler  and  his  familv  should 
hold  property  which  is  separable 
from  the  property  attached  lo  the 
crown,  sometimes  it  arises  from  the 
need  to  punish  or  prevent  the  mis- 
deeds of  an  individual  without  bring- 
ing down  the  superstructure  of 
society.  The  distinction  is  not  a 
difficult  one  to  make  and  is  found 
at  an  early  date  in  medieval  society. 

It  would  hardly  be  correct  to  say 
that  Dr.  Kantorowicz  traces  the 
development  of  the  idea,  though  his 
book  does  in  the  main  proceed 
chronologically.  Rather  he  has  given 
us  a  series  of  studies  of  variations 
upon  the  central  theme.  We  see  it 
developed  in  terms  of  theology,  law. 
metaphysics,  political  theory.  To 
read  this  book  is  to  have  fascinating 
experiences  in  unusual  realms  of 
thought.  Most  readers  will  emerge 
enriched  in  knowledge,  but  they  may 
well  wonder  whether  their  journey 
has  led  them  to  anv  goal.  The  con- 
clusion of  the  book  appears  to  be, 
if  the  Epilogue  is  any  guide,  that 
the  concept  of  the  Kings  Two 
Bodies  is  "an  offshoot  of  Christian 
theological  thought,  and  consequently 
stands  as  a  landmark  of  Christian 
political  theology."  but  it  may  be 
questioned  whether  all  the  labour  of 
the  500-odd  pages  was  necessary 
to  reach  this  conclusion,  and 
whether  much  that  is  contained  in 


ing  s    Two   Bodies.       A  Study  In  Medieval    Political    Theology, 
ondon  :  Oxford  University  Pre.ss.     £4. 


568pp. 


them  is  very  directly  related  to  it 
One  cannot  avoid  the  feeling  that  this 
bot>k  was  probably  much  more  read- 
able and  intelligible  when  it  was 
an  essay  than  it  is  in  its  somewhat 
inflated  form.  Christology,  the  prob- 
lem of  time,  ecclesiology,  theories 
of  taxation,  patriotism,  the  develop- 
ment of  coronation  rites  and  their 
significance,  the  funeral  customs  of 
the  later  .Middle  .\ges  all  pass  before 
us  in  an  impressive  but  somewhat 
bewildering  procession.  One  puts 
the  book  down  with  something  of 
the  feeling  one  has  after  reading  Pro- 
fessor Toynbee:  admiration  at  the 
author's  encyclopedic  knowledge 
and  a  vague  sense  of  disquiet  about 
a  good  many  of  the  details. 

.■\n  example  of  the  kind  of  dis- 
cussion that  raises  doubts  is  to  be 
found  in  the  section  called  Di,i;nitas 
non  moritur.  Here  much  is  made  of 
the  late  medieval  custom  at  the 
funerals  not  only  of  kings  but  also 
of  prelates  and  great  secular  lords 
of  carrying  on  the  coffin  an  effigy 
which  represented  the  deceased  in  his 
state  of  earthly  majesty.  This  custom 
is  held  to  be  connected  with,  and  pos 
sibly  the  origin  of,  those  tombs  which 
have  a  double  representation  of  the 
deceased,  one  in  life  and  the  other 
in  the  dissolution  of  death.  On  all 
this  the  author  comments: 
The  decrepit  and  decaying  body 
natural  in  the  to.Tib,  now  separated  from 
the  awe-inspiring  body  politic  above  it, 
appears  like  an  illustration  of  the  doc- 
trine expounded  over  and  over  again 
by  mediaeval  jurists:  Tenens  dignitatem 
est  corruptihilis,  DIGSITAS  tamen 
\einper  en.  non  moritur. 

Professor  Kantorowicz  seems  to 
establish  that  the  use  of  a  funerary 
effigy  was  adopted  in  France  under 
English  influence  at  the  time  of  the 
deaths  of  Henry  V  and  Charles  VI. 
He  also  traces  in  considerable  detail 
the  gruesome  and  typically  French 
developments  of  the  practice  in  the 
succeeding  200  years,  and  this 
development  certainly  seems  to 
support  the  thesis  quoted  above.  But 
is  it  right  to  assume  that  the  sym- 
bolism   of   a   developed   practice    in 


France  was  also  the  symbolism  of  a 
more  moderate  fune-ary  usage  in 
Ijighind  .'  A  detail  gives  point  to  the 
doubt.  Much  is  mad*  of  the  monu- 
ment of  Archbishop  C  hichcle  in 
C  anterbiiry  (  athedral,  and  the  author 
writes: 

Hence,    the    sepulchral    monument    of 

_  Archbishop  Chichele.  shawmg  the  efligy 

'  on  the  [op  of  the  tomb  aiul  the  corr>sc 

'within    the   tomb,   w.is   ihe   n.iiur.ilistic 

lepmdiiclion  of  reality,  rciuiering  (.imply 

what- was  seen  at  the  funerary  proces- 

ision:    the   effigy   in   rctalia  on   top  of 

■'he  toflin   which  contained   the  almost 

Make- 1  corpse. 

But  have  we  any  reason  to  think  that 
the  corpse  was  "  almost  naked  "  '.' 
It  is  true  that  the  custom  of  burying 
the  body  in  full  pontificals  seems 
to  have  ceased  for  a  period,  but  if 
the  burial  of  William  Lyndwood,  a 
contemporary  of  Chichele's.  is  any 
guide,  the  corpse  was  certainly  not 
naked.  It  was  in  fact  very  well 
swathed  and  embalmed,  and  survived 
incorrupt  until  it  was  discovered  in 
St.  Stephen's  Chapel  after  the  fire 
which  destroyed  the  Houses  of  Parlia- 
ment in  the  nineteenth  century.  More- 
over, there  was  placed  in  the  coffin  a 
pastoral  staff,  the  most  essential 
symbol  of  episcopal  dignity.  Inci- 
dentally. Lyndwood  is  incorrectly 
described  elsewhere  in  the  book  as 
Bishop  of  Hereford.  He  was,  at  the 
end  of  his  life.  Bishop  of  St.  David's. 
It  seems  much  more  probable  that  the 
symbolism  of  these  monuments  was 
simply  sic   transit  gloria  mundi. 

This  small  illustration  shows  thf 
great  problem  which  faces  all  who 
try  to  elucidate  symbolism,  whether 
in  art,  literature  or  ceremonial.  How 
can  we  be  sure  that  the  subtleties 
which  we  discern  were  intended  by 
those  who  constructed  and  used  it  ? 
Professor  Kantorowicz's  book  is 
typical  of  a  certain  kind  of  modern 
historical  work,  usually  proceeding 
from  Germanic  sources.  Undoubtedly 
we  have  much  to  learn  from  it,  and  it 
makes  fascinating  if  somewhat  diffi- 
cult reading,  but  most  historians  are 
likely  to  approach  it  with  a  good  deal 
of  caution. 


Lord 

^eaverbrook' 

new  book 


s 


,r/!«P 


lt$  title: 

FRIENDS 


/  /    L     _/    L 
U    U     J    U 


December  18,  1959 


The  Editor, 

The  Times  Literary  Supplement. 

London,  England. 

Dear  Sir: 

I  think  that  the  review  (13  Nov.)  of  Ernst  Kantorowice,  The  King's 
Two  Bodies,  demands  some  qualification.  (Unfortunately  circumstances  prevented 
my  seeing  it  until  now;  hence  the  delay.)  In  the  first  place,  the  reviewer 
remarks  that  Kantorowicz's  distinction  between  the  public  boc^  or  office  of  the 
king  and  his  private  person  'is  not  a  difficult  one  to  make  and  is  found  at  an 
early  date  in  medieval  society.'  In  a  sense  this  is  true.  And  yet  it  is 
always  difficilt  to  understand  a  clear  separation  of  office  and  private  per- 
sonality, just  as  public  and  private  law  in  the  State  are  never  adequately 
defined.  Today,  for  example,  a  President  of  the  United  States  is  capable  of 
assuming  that  his  right  of  office  includes  the  right  of  his  family  to  free 
transportation  at  the  public  expense  for  the  private  pleasures  of  relaxation. 
There  is  nothing  wrong  in  this,  perhaps,  because  the  public  interest  may  depend 
on  the  private  health  and  happiness  of  the  President's  wife  and  children,  as 
well  as  the  personal  health  of  the  chief  executive  himself.  To  what  degree 
however,  should  public  and  private  be  separated  in  the  magistracy?  I  have  no 
answer.  The  point  is  that  the  author  of  the  review  in  question  probably  has 
no  clear  answer  either.  And  if  he  should  study  the  numerous  discussions  of 
public  and  private  law,  and  of  the  office  of  the  prince  in  relation  to  public 
law  and  the  State,  in  the  legists  of  the  twelfth  and  thirteenth  centuiy,  he 
would  find  that  there  are  very  serious  difficulties.  Kantorowice  tn  4is     "" 
ijr?)ortant  book  has  contributed  far  more  than  an  elaboration  on  the  simple  and  the 
obvious.  He  has,  with  rich  learning  and  creative  imagination,  show^what  is 
generally  not  recognised,  that  men  in  the  Middle  Ages  were  capable  Jf  thinking 
in  sophisticated  terms  about  problems  of  public  law  and  the  State.  This  is  above 
all  important  because  modem  historians  and  political  'scientists'  still  normally 
assume  that  medieval  men  were  too  childlike  to  understand  these  matters. 

One  more  remark.  The  reviewer  speaks  of  'a  certain  kind  of  historical 
work  usually  proceeding  from  Germanic  sources.*  Surely  he  cannot  mean  that 
the  book  is  based  on  sources  left  by  the  Germanic  peoples,  whether  Anglo-Saxon 
or  Teutonic.  Presumably  he  is  reflecting  an  old  tradition  in  English-speaking 
countries  that  political^theology,  or  any  profoundly  inystlcal  stuff  about 
kingship,  must  originate  in  ponderous  German  thinking.  If  so,  I  wonder  why  the 
terminology,  the  Ideas  and  the  ideals  of  monarchy,  along  with  symbols  and  rites, 
descended  chiefly  from  the  '^^cient#Mediterranean  world  in  Greco-Roman-Chrlstian 
sources,  enjoyed  a  medieval  revival,  and  came  down  to  the  mode»  age  tn  Byzantine, 
Burgundian,  French,  and  even  English  as  well  as  Oermar  ritual  and  ideas  about 
the  crown.  Given  the  development  of  the  crown  in  England,  it  is  hard  to  under- 
stand how  the  English  reverence  for  it  is  less  theological,  less  nystlcal,  than 
in  'Germanic  sources.'  Political  theology  is  always  irysterlous  and  at  the  same 
time  practical— even  in  the  king- less  United  States. 


i 


e  s 


(Gaines  Post) 


n    L     D 

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Decwaber  9,   1959 


The  Editor, 

The  Tines  Literary  Supjilement 
Printing  House  Jounre 
London,  E.G.  4 

Dear  oir. 

Your  British  academic  readers,  I  understand,  ]-;ave  wayc  of  £indinr  out 
occasin^.pUy  the  proj«r  mune  of  one  of  your  reviewers,  but  ke  Ai.ierican*:  can  at 
-r.  '  untu    the  person/tlity  of  riny  of  them  by  dm.:in^-  inferences  fron;  gd  hoc 

'le  my  drop.  This  c-n  l^e  :^unxaiv^;,   however,  nd  I  =,ould  like  to  ;l,,y 
thXr   game  with  the  review  of  Kantorowic:.,  The  Kin.r«s  Two  Bodies,  l.v.t  ^-vf;--,i  .^r  l;.t.h. 

1)  "Oae  puts  the  Look  -    foc-liiic  .  after 

reading  Prof.  .sorToynbee."  01  .  ,  .^  „.  ....,;_.   ,  ;;ot  read  -,..  x..ntoro^icr 
and  Toynbee,  else  he  could  not  make  such  an  inept  coraiiiriuon;  or,  he  is  so  little 
in  schools  of  hi.;tor>'  that  he  does  not  recofiiiae  the  difference  l)Otween 
ophy  of  hii.tory  ana  tie  '  ^    tory  of  ideas. 

^     2)  "The  guresome  snd  typically-  French  develojoents  of  the  pr-'.ctice  [of  t  :e 
.„.-^^-.  _.j^„  c^^j^^Q  ^j,g^  ^,   .   -  .        "gruesome"  about  the  Prenc> 
-,  it  must  be  thut  :...  .„,-^; ...  .,  thi 


othervrise  myateriouo  phrase,  "typically  French."  oo,  we 
that  ci-JesoDeneas  is  t  picnlly  French. 


""ctive  to  r 
^t  the  re.. 


.Cf 


3)  "Professor  Kantorowicz's  book  i^  typical  of  a  certain  kind  of  -aodem 
historical  work,  usually  proceeding  from  Germanic  sourcea."  Not  havin^  been  sup oiled 

is  Bad      °''        ^^'  "^  ""  '^  ^'-   "^-  '"'^°^'  ^  ^^^^   *^^*  ^®  *^'^-  i* 

.    ,      ,^\  "^f*  ^^^"^    •— ■  "  ^'      ■  "e    iiocem  [in  syniboli::ni]  v;ere 

intended  by  those  who  .  _,  ^.      ...,^  reviewer  i^resumes  t-   ^     ^  •       -  . 

holism  is  intentlomil.     Here  I  sroat  chide  him,   for  ur^eni  ibly  an  artist  if 

^rly  in  unthinkii^    tairaaa.he  does  by  his  preconceived  assertions.'   Indeed    haa 
.-■  reviewer  reveiled  :;L„.ell— witJiout  intent,   I  .m  auxt?— as  •.  Prancophobic  ' 
Oeraanophobic  dilettante  of  Mstory?  »i-upnoo.ic. 

Yours  truly. 


Ralph  E.  Gieaey 


/  /    L      -'    U 

U     U     J    U 


1 


ZEITSCHRIFT 
DER  SAVIGNY-STIFTUNG 

FOR 

RECHTSGESCHICHTE 


H ER A U SG EG E BEN    VON 

M.  KASER,  W.  KUNKEL,  K.  S.  BADER,  H.  THIEME 

H.  E.  PEINE,  J.  MECKEL,   H.  NOTTARP 


SECHSUNDSIEBZIGSTER    BAND 

LXXXIX.  BAND   DER    ZEITSCHRIFT    FOR    RKCHTSGESCHICHTl: 


GERMANISTISCHE     ABTEILUNG 


WEIMAR    1959 
VERLAG     HERMANN     BOHLAUS     NACHFOLGER 


Somlcrdruck  /  In(  Binhhandd  ciiizeln  iilclit  kduflicli 


n    L     D    u 

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Literatur. 


377 


Cproccres,  optimates,  mcliorcs  natu)  und  betoiit,  daB  dicsc  die  Hocre  gebildet 
batten,  mit  denen  die  merowingischcn  Konij^e  ihrc  Eroberunfrskriege  gcfiihrt 
hiitten.  Es  ist  jedoch  ganz  und  gar  nicht  crsichtlich,  inwiefern  dieses  For- 
schungsergebnis  bestimmt  sein  soil  durch  die  angebliche  besonderc  Vertraut- 
heit  Eichhorns  mit  dem  Staatsrecht  des  1806  untergegangenen  Heiligen 
Romischen  Reichs  Deutscher  Nation.  Die  Verfassung  der  germanischen  Zeit 
wird  von  Eichhorn  ganz  und  gar  nach  den  Berichten  des  Tacitus  dargestellt. 
]m  iibrigen  hat  sich  Eichhorn  durchaus  auf  den  Boden  der  Lehre  Mosers 
von  den  „gemeinen  Landeigentumern  als  dem  wahren  Bestandteil  der 
Nation"  gestcllt  und  die  weitgehende  Selbstverwaltung  der  Gemeinfreien 
noch  fur  die  Zeit  Karls  des  GroBen  bejaht  (vgl.  dazu  K.  Jclusic,  Die 
historische  Methode  K.  F.  Eichhorns,  1936,  S.  87f.,  113,  130ff.).  So  diirfte 
die  „neue  Lehre"  in  einem  viel  schroffercn  Gegensatz  zu  Eichhorn  stehen 
als  die  klassische  deutsche  Rechtsgeschichte  des  19.  Jh.s. 

So  groB  auch  der  Gegensatz  der  „neuen"  zur  herrschcnden,  klassischen 
Lehre  erscheinen  mag,  gegen  die  sie  sich  richtet,  scheidet  sie  von  dieser  in  der 
von  Theodor  Mayer  und  von  Dannenbauer  behandelten  verfassungs- 
geschichtlichen  Grundfrage  doch  nur  eine  diinne,  leicht  zu  durchstoBende 
Wand.  Es  brauchte  nur  erkannt  zu  werden,  daB  die  Leudcs,  auch  wenn 
sie  als  Gefolgsleut*  des  Konigs  eine  besondere  Stellung  haben  und  diese  als 
„Konigsfreie"  zum  Teil  bis  ins  spatere  Mittelalter  bewahrt  haben,  als  f  reie 
Leute  in  den  Dienst  des  Konigs  getreten  sind.  Die  Ansicht  der  neuen  I^hre, 
daB  sich  die  koniglichen  Heermannen  aus  Unfreien  rekrutierten,  ist  so  un- 
wahrscheinlich,  daB  sie  eines  strikten  Beweises  bediirfte,  urn  festzustehen. 
Ein  solcher  Beweis  scheint  mir  nicht  crbracht  worden  zu  sein.  Ebensowenig 
scheint  mir  dargetan  zu  sein,  daB  die  Stammesgenossen,  fiir  welche  die  Volks- 
rechte  gelten  und  die  freien  Leute,  mit  denen  sich  die  Capitularien  befassen, 
entweder  dem  Adcl  angehorten  oder  die  volksrechtlich  unfreien  Leudes 
gewesen  waren.  Geringe  Uberzeugungskraft  hat  die  Erklarung  Theodor 
Mayers,  daB  die  militarische  Disziplinargewalt,  welche  in  der  bekannten 
Erzahlung  (Gregor  Tur.  Hist.  Franc.  11  27)  uber  die  Beuteteilung  im  Heere 
Chlodwigs  in  Erschoinung  tritt,  nur  gegeniiber  einem  Krieger  unfreier  Her- 
kunft  habe  bestehen  konnen.  Noch  viel  geringere  Cberzeugungskraft  hat 
die  Ansicht  Dannenbauers,  daB  das  Edictum  Chilperici  (568—584),  das 
im  Cap.  3  als  Neuorung  gegeniiber  der  Lex  Salica  die  Erbberechtigung  der 
Tochter  (wenn  Sohne  fehlen)  und  der  Schwestern  (wenn  Bruder  fehlen)  an 
Grund  und  Boden  (auBer  der  t«rra  salica)  einfiihrte  und  unter  dieser  Vor- 
aussetzung  den  Ileimfall  an  die  Siedlungsgemeinschaft  (Gemeinschaft  der 
vicini)  ausschloB,  fiir  die  unfreien  Konigsleute  erlassen  worden  sei  (S.  69). 
DaB  ausgerechnet  das  vom  Kiinig  seinen  Kriegsleuten  und  Militarkolonisten 
ijberlassene,  mit  der  militiirischen  Dienstpflicht  belastete  Land  zuerst  der 
weiblichen  Erbfolge  sollte  zugiinglich  gemacht  worden  sein,  widerspricht 
den  sichersten  Erkenntnissen  der  Rechtsgeschichte  auf  dem  Gebiete  der 
Grundeigentums-  und  Erbrechtsordnung. 

Wiirden  die  Vertreter  der  ,, neuen  Lehre"  zur  Erkenntnis  gelangen,  daB 


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378 


Literatur. 


Literatur. 


379 


yy 


V 


die  Leudes  oder  Konigsfreien,  die  fiir  sie  die  „Geraeinfreien"  gewesen  sind, 
wirklich  Gemeinfreie  gewesen  sind,  fiele  die  Scheidewand  gegenuber  der 
klassischen  Lehre  weg.  Die  Leudes  oder  Konigsfreien  wiiren  dann  ein  Teil, 
wohl  ein  sehr  wesentlicher  Teil  der  Gemeinfreien.  Sie  wiirden,  auf  Konigs- 
land  angesiedelt,  ihre  Freiheit,  wenn  auch  in  einer  bestimmten  Beschrankung, 
bewahrt  haben  und  im  spateren  Mittelalter  das  Hauptkontingent  der  freien 
Bauern  ausgemacht  haben.  Wenn  die  „neue  Lehre"  zu  dieser  Wendung 
gefiihrt  wiirde,  worauf  zu  hoffen  guterGrund  besteht,  wiirde  sie  sich  zwar 
nicht  an  einem  neuen  Bau  versuchen,  dafur  aber  wertvolle  Beitriige  leisten 
zum  Ausbau,  vielleicht  sogar  zuni  teilweisen  Umbau  des  Gebaudes,  welches 
im  19.  Jh.  aufgefiihrt  worden  ist. 

Bern.  Peter    Liver. 


Ernst  H.  Kantorowicz,  The  King's  Two  Bodies.  A  Study  in 
Mediaeval  Political  Theology.  Princeton,  New  Jersey,  Princeton 
University  Press  1957.  8».  XVI,  568  S. 

Die  gut  dokumentierte  brillante  Darstellung  verdient  das  Interesse  und 
den  Dank  des  Rechtshistorikers,  auch  wenn  sich  ihm  bei  der  Lektiire  iramer 
starker  die  Frage  aufdrangt,  ob  das  Thema,  das  der  Titel  nennt  und  das  der 
Autor  in  der  Einleitung  niiher  umschreibt,  richtig  gestellt  und  ergiebig 
genug  ist,  um  eine  so  umfangreiche  Behandlung  zu  rechtfertigen.  In  Wirk- 
lichkeit  ist  beides  nicht  der  Fall;  aber  Kantorowicz  bietet  sein  ganzes  Wissen 
und  seine  ganze  Phantasie  und  Kombinationsgabe  auf,  urn  gegen  diese  Wirk- 
lichkeit  anzukampfen,  wobei  er  zunachst  gegen  die  Autoritat  eines  F.  W. 
Maitland  ankiimpft,  der  das  Thema  schon  um  die  Jahrhundertwende  mit 
iiberlegener  Ironie  erortert  hat.  Maitland  sah  in  der  Theorie  von  den  beiden 
Leibern  des  Konigs  ,,eine  dogmatische  Formulierung,  die  sich  neben  deni 
athanasianischen  Symbolum  sehen  lassen  kann"  und  die  zu  ihrer  Zeit  den 
Zweck  erfiillte,  ,,modernes  und  altes  Recht  miteinander  in  Einklang  zu  brin- 
gen",  d.  h.  neben  der  alten  personalen  der  neueren,  mehr  unpersonlichen 
Auffassung  der  Staatsgewalt  Geltung  zu  verschaffen.  Aus  den  theologischen 
Ankliingen,  die  Maitland  halb  scherzhaft  festgestellt  hat,  will  Kantorowicz 
nunniehr  eine  ganz  neue  Perspektive  der  mittelalterlichen  Ideengeschichte 
entnchmen,  ja  die  Elemente  eines  bis  dahin  unbekannt  gebliebenen  Wissens- 
gebietes  ableiten.  Diese  Perspektive,  dieses  Wissensgebiet  nennt  er  —  mit 
einem  Ausdruck,  dem  man  keinen  Erfolg  wiinschen  miichte,  weil  er  nicht 
sachgcrecht  ist  —  politische  Theologie.  Es  stellt  sich  bald  heraus,  daU  der 
Titel  des  Buches,  um  den  Inhalt  genau  wiederzugeben,  ctwa  lauten  miiUte: 
PoUtical  Theology.  A  Study  about  the  Fiction  of  the  King's  Two  Bodies 
and  other  Mediaeval  Theorems.  Abor  auch  dann  muC  man  den  Autor  bcim 
Wort  nehmen,  wenn  er  sagt,  als  AuUenseiter  der  Rechtsgeschiehte,  der  die 
Probleme  mehr  aufzeigen  als  liisen  konne,  habe  er  nur  die  Absicht,  den  all- 
gemeinen  historischen  Hintergrund  zu  ,,The  King's  Two  Bodies"  zu  ent- 


{    I    \ 


werfen  und  diesen  Begriff,  wenn  miiglich,  in  den  ihm  zukommenden  Rahmen 
des  mittelalterlichen  politischen  Denkens  einzufiigen  (p.  IX— X,  5—6). 
Ist  die  ,, politische  Theologie",  wie  Kantorowicz  sie  versteht  und  als  ideen- 
geschichtliche  Kategorie  einfiihren  mcichte,  dieser  adaquate  Rahmen?  Wir 
wollen  uns  dabei  nicht  auf  den  Ausdruck  versteifen,  der,  wie  schon  gesagt, 
nicht  sachgerecht  ist  —  Kantorowicz  selbst  gibt  zu,  daC  er  nicht  unbeein- 
fluBt  war  von  der  Erscheinung  moderner  ,,politischer  Religionen"  und 
von  der  ,, horrifying  experience  of  our  own  time  in  which  whole  nations, 
the  largest  and  the  smallest,  fell  prey  to  the  weirdest  dogmas  and  in  which 
political  theologisms  became  genuine  obsessions  defying  in  many  cases 
the  rudiments  of  human  and  political  reason"  (p.  VIII),  und  gerade  aus  solchen 
Reminiszenzen  ergibt  sich  nach  unserer  Meinung,  wie  miUverstandlich  und 
irrefiihrend  es  ist,  nun  auch  dem  abendlandischen  Mittelalter  eine  „politische 
Theologie"  zuzuschreiben,  wo  allenfalls  eine  ,,theologisierende  Politik"  nach- 
zuweisen  ist.  Wie  dem  auch  sei,  Kantorowicz  ist  iiberzeugt,  daC  „alle  christo- 
logischen  Probleme  der  alten  Kirche  im  England  des  sechzehnten  Jahrhun- 
derts  noch  einmal  belebt  und  aktualisiert  worden  sind,  indem  die  Juristen 
den  Versuch  unternahmen,  die  Lehre  von  den  zwei  Leibern  des  Konigs 
wirksam  und  genau  zu  definieren"  (p.  17).  Sedes  materiae  ist  ein  Rechtsfall, 
der  in  den  ersten  Regierungsjahren  der  Konigin  Elisabeth  akut  wurde  und 
iiber  den  Edmund  Plowden  in  seinen  Commentaries  or  Reports  und, 
gestiitzt  auf  ihn,  Ed  ward  Coke  (Rep.  VII, 10)  berichtet.  In  diesem  Rechts- 
fall, der  als  Calvin's  Case  bekannt  geworden  ist,  hatten  die  in  Serjeant's  Inn 
versammelten  Kronjuristen  dariiber  zu  befinden,  ob  Regierungsakte  aus 
der  Zeit  der  Minderjiihrigkeit  von  Elisabeths  Vorganger,  Edwards  VI.  — 
dieser  wurde  zwar  nur  sechzehn  Jahre  alt,  war  aber  schon  in  seinem  fiinf- 
zehnten  Lebensjahr  fiir  volljiihrig  erklart  worden  — ,  rechtswirksam  seien, 
eine  Frage,  die  sich  dadurch  komplizierte,  daC  sie  das  Herzogtum  Lancaster 
betraf,  welches  die  Konige  aus  diesem  Hause  als  eine  Art  FideikommiC 
konstituiert  hatten.  Die  Kronjuristen  entschieden 

„that  by  the  Common  Law  no  Act  which  the  King  does  as  King,  shall 
be  defeated  by  his  Nonage.  For  the  King  has  in  him  two  Bodies,  viz.  a  Body 
natural,  and  a  Body  politic.  His  Body  natural  (if  it  be  considered  in  himself) 
is  a  Body  mortal,  subject  to  all  Infirmities  that  come  by  Nature  and  .\cci- 
dent,  to  the  Imbecility  of  Infancy  or  old  Age,  and  to  the  like  Defects  that 
happen  to  the  natural  Bodies  of  other  People.  But  his  Body  politic  is  a 
Body  that  cannot  be  seen  or  handled,  consisting  of  Policy  and  (jovernment, 
and  constituted  for  the  Direction  of  the  People,  and  the  Management  of 
the  public  weal,  and  this  Body  is  utterly  void  of  Infancy,  and  old  Age, 
and  other  natural  Defects  and  Imbecilities,  which  the  Body  natural  is 
subject  to,  and  for  this  Cause,  what  the  King  does  in  his  Body  politic,  cannot 
be  invalidated  or  frustrated  by  any  Disability  in  his  natural  Bodv  ... 
So  that  the  Body  natural,  by  this  conjunction  of  the  Body  politic  to  it, 
(which  Body  politic  contains  the  Office,  Government  and  Majestv  royal) 
is  magnified,  and  by  the  said  Consolidation  hath  in  it  the  Body  politic". 

Es  ist  doch  wohl  nur  eine  geistreiche  Spielerei,  die  mit  der  Wirklichkeit 
des  juristischen  und  politischen  Denkens  des  damaligen   England  nichts 


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Literatur. 


Llteratur. 


381 


2u  tun  hat,  wcnn  Kantorowicz  der  vorst«henden  Definition  cine  „Ortho- 
doxie"  im  Sinne  der  Lehrcntscheidungen  der  alten  Kirche  beschcinigt.  Er 
denkt  ernsthaft  und  immer  wieder  an  die  Lehrc  von  den  zwei  Naturen  in 
Christus,  wie  sie  431  in  Ephesus  gegenuber  den  Nestorianern  und  451  in 
Chalcedon  gegenuber  den  Monophysiten  definiert  worden  ist  (Denzinger 
Nr.  Ilia  und  Nr.  148),  unterlaBt  es  aber  merkwurdigerweise,  die  Doku- 
mente,  die  fiir  seine  These  grundlegend  sind,  im   Wortlaut  anzufijhrcn; 
orwiihnt  wird  lediglich  das  Chalcedonense  mit  seiner  Formel  „unvermischt, 
unverandert,  ungeteilt,  ungetrennt".  Dafiir  aber  schwelgt  er  in  theologie- 
geschichtlichen  Begriffen,  urn  die  Hiiresien  zu  kennzeichnen,    die    durch 
das   Dogma   der    Tudor-Kronjuristen   nicht   weniger   wirksam   abgewehrt 
worden  seien  als  durch  dasjenige  der  Vater  von  Ephesus  und  Chalcedon: 
Arianismus,  Nestorianismus,  Patripassianismus  bzw.  Sabellianismus,  Dona- 
tismus,    Monophysitismus,    Monotheletismus.    Er   hatte    die    Forschungen 
Adolf  Harnacks  erwahnen  und  zur  Erliiuterung  heranziehen  raiissen, 
auf  dessen  Spuren  er  sich  offenbar  bewegt,  und  auch  auf  neuere  Werke, 
etwa  auf  das  in  der  Perspektive  der  „konsequenten  Eschatologie"  geschrie- 
bene  Buch  von  Martin  Werner  (Die  Entstehung  des  christlichen  Dogmas, 
Bern  1941)  hinweisen  sollen,  wenn  er  von  seinen  theologisch  und  speziell 
dogmcngeschichtlich   nicht  geschulten   Lesern  ein  verstehendes   Mitgehen 
rrwartete.  Aber  das  sind  formale  Mangel,  die  nur  deshalb  angemerkt  zu 
werden  verdienen,  weil  sie  auf  ihre  Art  bekunden,  wie  wenig  die  materialen 
Argumente,  die  fiir  das  Bestehen  einer  mittelalterlichen  und  in  die  Neuzeit 
hereinragenden    „politischen    Theologie"   angefuhrt   werden,   einer   Nach- 
priifung  standhalten;  es  ist  eine  groBe  Schwache  des  Buches,  daC  es  in  dieser 
Hinsicht  nur  postuliert  und  suggeriert,  wie  wenn  das,  was  hier  unbewiesen 
vorausgesetzt  wird,  zu  den  Selbstverstandlichkeiten  der  geistesgeschicht- 
liehen  Allgemeinbiidung  gehorte.   Kantorowicz  selbst  macht  gelegentlich 
Vorbehalte,  die  unsere  Kritik  nur  bestatigen:  „Bei  alledem  soil  nicht  voraus- 
;:psetzt   werden,   dali   die   Juristen   bewuBt  Anleihen   aus  den  Akten  der 
altchristlichen  Konzilien  machten,  wohl  aber,  dali  die  Fiktion  von  den 
zwei  Leibern  des  Konigs  Interpretationen  und  Definitionen  hervorrief,  die 
zwangsliiufig  denjenigen  der  Lehre  von  den  zwei  Naturen  des  Gottmenschen 
ahnelten.  Jeder,  der  mit  der  christologischen  Auseinandersetzung  der  ersten 
christlichen  Jahrhunderte  vertraut  ist,  wird  betroffen  sein  von  der  Gleich- 
artigkeit  des  Redens  und  Denkens  einerseits  in  den  Inns  of  Court  und  anderer- 
seits  auf  den  altchristlichen  Konzilien,  auch  von  der  Gewissenhaftigkeit, 
mit  der  die  englischen  Juristen,  mehr  unbewuBt  als  bewuBt,  die  gangigen 
theologischen  Definitionen  auf  die  Dcfinierung  des  Wesens  des  Konigtums 
anwandt«n"  (p.  18f.).   Dazu   kommt  ein   weiteres:   Dem   christologischen 
Zweinaturenschema  wird  in  Kantorowicz'  Darstellung,  wie  wenn  auch  das 
selbstverstandlich  ware,  weithin  die  ekklesiologische  Idee  des  corpus  mysticurn 
substituiert;  die  Konfusion,  die  an  Stelle  einer  ideengeschichtlichen  Begriffs- 
klarung  einsetzt  und  immer  mehr  um  sich  greift,  wird  zum  methodischen 
Prinzip  erhoben,  indem  Kantorowicz  die  Formel  The  King's  Two  Bodies 


iM 


in  beiden  Nuancen  schillern  laBt:  The  King's  Body  politic  ist  Einzelperson 
in  der  christologischen  und  ist  Personengesamtheit  in  der  ekklesiologischen 
Perspektive!  (vgl.  p.  20  und  p.  218,  wo  besonders  deutlich  wird,  daB  die 
ekklesiologischen  Vorstellungen,  mit  denen  Kantorowicz  die  englische  Formel 
glaubtinterpretieren  zu  konnen,  Sondergut  der  kontinentalen  Juristen  sind). 
Man  kann  dazu  nur  sagen:  Selbst  wenn  es  Texte  geben  sollte,  die  eine  solche 
Auslegung  zulassen,  so  ware  die  Auslegung  nicht  weniger  schief,  kunstlich, 
an  den  Haaren  herbeigezogen,  und  es  muBte  eine  Auslegung  geben,  die 
natiirlicher  ist  und  niiher  liegt. 

Das  Buch,  das  Kantorowicz  dem   Rechtshistoriker  vorlegt,  ist  „provo- 
cative"  in  dem  guten,  positiven  Sinn,  den  das  Wort  im  Englischen  hat; 
es  erinnert  ihn  zeitgemaB  daran,  daB  auch  Wahrheiten,  die  aus  guten  Griinden 
fiir  unumstoBlich  gehalten  werden,  je  und  je  der  Verteidigung  bedurfen, 
wenn  sie  ihren  Rang  behaupten  sollen.  Der  Jurist,  der  sich  mit  dem  Geist 
und  den  Entwicklungsphasen  des  Common  Law  beschaftigt,  wird  aufgerufen, 
seine   Erkenntnisse  fiir  eine  richtige,  d.  h.   zwanglose  und   ungekiinstelte 
Interpretation  des  Begriffs  The  King's  Body  politic  zu  aktivieren;  die  in 
den  zeitgenossischen  Quellen  gebrauchte  Erlauterung  der  „two  Bodies"  als 
„two  distinct  Capacities"  (vgl.  Kantorowicz  p.  12i.)  laasen  keinen  Zweifel 
daruber,  daB  Maitland  auf  dem  richtigen   Wege  war,  wenn  er  unter  The 
King's  Body  politic  ganz  nuchtern  eine  Metapher  fur  das  unpersonliche, 
institutionelle  Wesen  der  im  jeweiligen   Konig  verkorperten  Staatsgewalt 
verstanden  hat.  Man  konnte  hinzufiigen,  daB  diese  Eigenschaft  der  Staats- 
gewalt in  den  Monarchien  des  IG.  Jh.s  uberaus  problematisch  war,  obwohl 
sie  unter  dem  Gesichtspunkt  der  praktischen  Fragen,  die  heute  zum  Begriff 
der  Staatensukzession  gehoren,  eine  groBe  Bedeutung  hatte:  noch  Bodin 
wollte  alle,  namentlich  auoh  die  volkerrechtlichen  Vertrage,  die  ein  Herrscher 
abschloB,  auf  dessen  Lebens-  bzw.  Regicrungszeit  beschrankt  wissen.wahrend 
andere  Theoretiker,  namentlich  Grotius,  muhsam  die  Idee  der  Kontinuitat 
der  Staatsgewalt  aus  aristotelischen,  riimischen  und  naturrechtlichen  Ele- 
menten  konstruierten  (vgl.  Grotius  J.  B.  P.  II,  14,  §  1,  n.  2:  distinguenduni 
censemus  inter  actus  Regis  qui  regii  sunt,  et  actus  eiusdem  privates)  und 
die  Praxis  durch  Einschaltung  des  priisumtiven  Thronfolgers,  der  „  Krone'- 
Oder  der  Landstande  sich  im  gleichen  Sinn  ihre  besonderen  Kautelen  schuf. 
Die  Unterscheidung  zwischen  privatem  und  offentlichem  Recht,  die  sich 
hier  Bahn  brach,  hat  das  Common  Law  auf  seine  Weise  in  der  besagten 
Theorie  vollzogen:  es  erkannte  wenigstens  fur  den   Konig  den  doppelten 
Status  an,  den  es  im  romischen  Recht  fiir  den  Menschen  uberhaupt  dekre- 
tiert  sah:  „Ulpian  based  the  distinction  (between  private  and  pubHc  law) 
upon  the  double  status  of  the  human  being  as  an  individual  and  as  a  member 
of  organized  society  which  is  endowed  with   sovereign  power,  upon  the 
antithesis  of  individual  and  common  interest",  sagt  ein  amerikanischer  Rechts- 
historiker vom  Standpunkt  des  Common  Law  sehr  treffeud  (Paul  M.Craig. 
Structural  differences  between  Common  and  Civil  Law,  Seminar  VII,  194!), 
p.  63).  Und  so  verstanden  hat  die  romische  Systematik  ihre  Entsprechung 


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Literatur. 


bercits  in  dpm  moralischcn  Diialismiis,  (icn  Aristotclps  zwisdion  Monsch 
uiul  Hiirger  feststfllt:  ein  Staat  kann  nicht  aus  lautor  guten  Menschen  bc- 
stehen,  aber  alle  mussen  die  Tugend  des  guten  Biirgers  haben  (Pol.  111,3, 
1277a).   DaB  dor  Status  des  Menschen  den  Vorrang  vor  dem  des  Burgers 
hat,  ist  dann  zum  Fanal  des  neuzeitlichen,  nicht  mehr  an  Aristoteles,  sondern 
an  deT  Stoa  orientierten  politischen  Denkens  geworden  und  hat  schon  in 
der  Kolonialzeit  Amerikas  dort  seinen  beredten  Ausdruck  gefunden:  „Even 
when  the  subordinate  right  of  legislature  is  forfeited,  and  so  declared,  this 
cannot  affect  the  natural  persons  either  of  those  who  are  invested  with  it, 
or  the  inhabitants,  so  far  as  to  deprive  them  of  the  rights  of  subjects  and 
men."  (James  Otis,  The  Rights  of  the  British  Colonies,  1764).  Wenn  wir 
aber  beim  Konig  von  England  und  in  der  Tudor-Epoche  bleiben,  so  finden 
wir,  daU  gelegentlich  sogar  mehrere  Bodies  politic  des  Konigs  anerkannt 
wurden,  z.  B.  wenn  in  einer  Parlamentsakte  festgestellt  wurde,  daU  der 
Kcinig,  wenn  er  zugleich  Konig  von  Frankreich  ist,  doch  nur  in  seiner  Eigen- 
schaft  als  Konig  von  England  iiber  letzteres  herrscht,  ein  Fall,  in  welchem, 
wiederum  in  der  anschaulichen,  alien  Abstraktionen  miCtrauenden  Spracho 
des  Common  Law,  ein  offentlichrcchtlicher  Gedanke,  diesmal  die  Eigen- 
staatlichkeit  Englands  im  Verhaltnis  zu  anderen  Besitzungen  der  Krone, 
ausgedriickt  wurde.  Das  alles  hat  mit  Theologie  direkt  oder  indirekt  sehr 
wenig  zu  tun. 

Anders  verhiilt  es  sich  mit  jenem  body  politic,  den  Kantorowicz,  wie  schon 
gesagt,  irrtijmlich  mit  der  Lehre  vom  doppelten  Status  des  Konigs  in  Ver- 
bindung  bringt.  Es  ist  der  dem  Common  Law  geliiufige  Ausdruck  fiir  Gemein- 
wesen  im  Sinne  von  Korperschaft  und  hat  eine  weltgeschichtliche  Bedeutung 
erlangt  durch  den  Mayflower  Contract  von  1620:  „We   ...  doe  by  these 
presents  solemnly  and  mutually  in  the  presence  of  God,  and  one  of  another, 
covenant   and  combine  our  selves  togeather  into  a    civill  body  politick, 
for  our  better  ordering  and  preservation  and  furtherance  of  the  ends  afo- 
resaid   ...".   Da  Kantorowicz  keine  eigentlich  rechtshistorischen   Unter- 
suchungen  anstellt  —  was  nicht  ausschlieUt,  daB  er  solchen  die  Wege  weisen 
will  —  darf   man  bei  ihm  keine  kritische  Analyse   und  Ableitung   des  be- 
riihmten  Begriffs  erwarten ;  es  werden  nur  Probleme  aufgezeigt  und  auch  dort, 
wo  sie  als  solche  nicht  erkannt  werden,  in  anregender  Weise  zur  Diskussion 
gestellt  (namentlich  pp.  193-232).  Wir  wollen  nur  das  Wichtigste  erwiihnen: 
Kantorowicz  sieht  den  body  politic  auf  dem  Hintergrund  der  mittelalter- 
lichcn  Idee  des  corpus  mysticum,  dessen  siikularisierte  Form  das  corpus 
politicum  des  Aristotelismus  sei,  das  die  Juristen  mit  der  universitas  gleich- 
setzten.  „The  notion  of  corpus  mysHcum,  designating  originally  the  sacra- 
ment of  the  Altar  served  after  the  twelfth  century  to  describe  the  body 
politic,  or  corpus  iuridicum  of  the  Church   . . .   Whereas  the  corpus  verum, 
through  the  agency  of  the  dogma  of  transubstantiation  and  the  institution 
of  the  feast  of  Corpus  Christi  developed  a  life  and  an  mysticism  of  its  own, 
the  corpus  myslicum  proper  came  to  be  less  and  less  mystical  as  time  passed 
on,  and  came  to  mean  simply  the  Church  as  a  body  politic  or,  by  trans- 


i 


Literatur. 


383 


ference,  any  body  politic  of  the  secular  world"  (p.  206).   Der  Ausdruck 
corpus    mysticum    diente  den  Juristen  nicht  selten  zur  Bezeichnung  ihrer 
fiktiven  Personen;  er  war  anwendbar  auf  die  unirersilas  jeder  GroBe  und 
Rangstufe  innerhalb   der   Hierarchic   korporativer   Gemeinschaften,  deren 
die  mittelalterliche  Welt  in  einer  Mischung  augustinischer  und  aristotelischer 
Begriffe  fiinf  unterschied:   Haus,  Nachbarschaft,  Stadt,   Reich  und  Erd- 
kreis  (p.  209).    Kantorowicz  stiitzt  sich  dabei  auf  die  grundlegenden  Unter- 
suchungen   von    Gierke  (Deutsches    Genossenschaftsrecht   Bd.  3),   Fritz 
Kern  (Humana  Civilitas,  1913)  und  Henri  de  Lubac  (Corpus  mysticum 
"1949),  aber  seine  Darstellung  ist  gleichwohl  nicht  ganz  beruhigend,  denn 
es  fehlt  ihm  sichtlich  die  notwendige  Vertrautheit  mit  dem  Aristotelismus 
und  vor  allem  auch  mit  dem  kanonischen  Recht,  die  seine  Neigung,  iiberall 
mystische  Beziehungen  und  theologische  Hintergrunde   zu  suchen,  ziigeln 
konnte.   Kaum  hat    er  den  body  politic  vom    sakramentalen   Begriff  des 
corpus  mysticum  gelost,  so  stellt  er  wieder  eine  starke  Tendenz  des  politi- 
schen Denkens  der   Hochgotik  „toward  mysticizing  the  body  politic  of 
the  realm"  fest  (p.  227).  Ein  Lichtblick  in  dieser  Wirrnis  soil  nicht  uner- 
wahnt  bleiben:  in  einem  besonderen  Fall  erkennt  auch  Kantorowicz  an: 
,,The  body  politic,  mystic,  or  public  of  England  was  defined  not  by  the 
King  or  head  alone,  but  by  the  King  together  with  council  and  parliament". 
Dadurch  kommt  zwar,  well  die  alte  Verwechslung  fortwirkt,  ein  neuer,  miB- 
verstandlicher  Begriff  „composite  body"  ins  Spiel,  aber  die  SchluBfolgerung 
ist  darum  ideengeschichtlich  und  politisch  nicht  weniger  bemerkenswert :  „Die 
,zusammengesetzte'   Souveranitat  scheint  untrennbar  verbunden   zu   sein 
mit  jener  .organischen  Einheit'  des  Staates,  deren  Erhaltung  es  verhindert 
hat,  daB  England  den  auf  dem  Kontinent  sich  entwickelnden  .abstrakten 
Staatsbegriffen*  verfallen  ist"  (p.  225).  Und  in  anderem  Zusammenhang: 
,,Das  erstaunlich  lange  Weiterlcben  der  mittelalterlichen  organischen  Re- 
gierungsauffassung  in  England  beruhte  auf  dem  Bestehen  der  Vertretungs- 
ktirperschaft  des  Parlaments,  in  welcher  das  corpus  morale  et  politicum 
des  Reiches  wirklich  lebte  und  sichtbar  wurde"  (p.  382).  Deutet  man  die 
Vorstellungen,  auf  die  hier  verwiesen  wird,  richtig,  d.  h.  hiilt  man  —  ent- 
gegen  Kantorowicz  —  fest,  daB  es  sich  hier  nicht  um  The  King's  Body 
politic,  sondern  um  the  body  politic  of  England,  also  nicht  um  den  Konig 
in  seiner  institutionellen  Eigenschaft,  sondern  um  das  rechtliche  Abbild 
des  Reiches  handelt,  zu  dem  eben  auch  der  Konig  gehort,  so  wird  an  diesem 
Beispiel  besonders  deutlich,  inwiefern  Englands  politisches  Denken  seit  dem 
13.  und  14.  Jh.  einen  Vorsprung  gegenuber  dem  Kontinent  hatte,  den  dieser 
erst  im    Reform ationszeitalter   durch   die   konstruktive   Anstrengung   der 
naturrechtlichen  Staatslehre  einzuholen  suchte,  und  weiter,  inwiefern  diese 
naturrechtliche  Staatslehre  im  England  des  17.  Jh.s  ein  so  gunstiges  Klima 
finden  konnte,  daB  sie  in  zwei  Revolutionen  den  Kampf  gegen  den  Absolutis- 
mus  siegreich  bestanden  hat  und  seitdem  —  trotz  aller  Vorbehalte,  die  die 
juristische  Ideengeschichte  erheben  muB  —  als  ein  typisch  englisches  Ge- 
wachs  erscheint. 


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Literatur. 


Wir  miisscn  uns  darauf  beschriinkcn,  cinifre  andore  Abschnitte  des  Buches, 
(ieren  Zusammenhang  mit  dem  Hauptthcma  meist  noch  loser  und  proble- 
matischer  ist,  als  wertvolle  Monograpliion  einem  aufmerksamen,  kritischen 
Studium  zu  rnipfehleti:  Shakespearcs  Kunig  Richard  II.;  \'on  der  Liturgie 
zur  Kcehtswissenschaft;  Kaiser  Friedricli  II.;  Bracton;  Pro  Patria  mori 
(eine  Idcengeschlchte  des  Vaterlandsbegriffs) ;  Das  Problem  der  Kontinui- 
tiit  (unter  zaiilreichen  Aspekten  behandelt);  Die  Krone  als  Fiktion; 
Dantes  Sozialphilosophie.  Besonders  iiii  Zusainmenhalt  mit  den  in  dieser  '^ 

Zeitschrift  (Bd.  75  G.  A.  1958  407ff.,  411ff.)  besprochenen  beiden  Publi- 
kationen  (F.  W.  Maitland,  Selected  Historical  Essays,  und:  Das  Kci- 
nigtum.  Seine  geistigen  und  rechtiichen  Grundlagen)  wird  das  hier  aus- 
gebreitete  guellenmaterial  nutzliclie  Dienste  leisten.  Alls  Themen,  die 
Kantorowicz  in  seinem  Buche  behandelt,  sind  gut  gewiihlt  und  anregend 
dargestellt,  „but"  —  wir  gebrauchen  die  Worte,  die  er  einem  Fachgenossen 
entgegenhalt  —  ,, without  exhausting  in  any  respect  a  most  promising  sub- 
ject, which  still  demands  a  thorough  and  systematic  investigation''. 
Freiburg  i.  Br.  Ernst  Reibstein. 

Aldo  Checchini,  Scritti  giuridici  e  storico-giuridici.  Pubblicati 

a  cura  dolla  Facolta  di  Giurisprudenza  deH'Universita  di  Padova. 

Vol.  I:  Problemi  di  metodologia  e  di  teoria  generale  del  diritto  — 

Storia  delle  fonti  —  Storia  del  diritto  pubblico.  Vol.  II:  Storia 

del  processo  —  Storia  del  diritto  privato.  Vol.  Ill:  Diritto 

ecclesiastico.  Padova,  Cedam  —  Casa  Editrice  Dott.  Antonio 

Milani,  1958.  Gr.  8«.  IV  +  379,  II  +  361,  233  pp. 

Der  schtinen  Sitte,  verdiente  Gelehrte,  die  an  einem  Wendepunkt  ihrer 

akademischen  Laufbahn  angelangt  sind,  durch  Veranstaltung  einer  Samm- 

lung  ihrer  kleineren  Schriften  zu  ehren,  verdankt  die  italienische  rechts- 

historische    Wissenschaft   schon   die   erlcichterte   Zugiinglichmachung   der 

Scritti  vari  di  Storia  del  Diritto  Italiano  aus  der  Feder  von  Pier  S  il  verio 

Leicht'),  mit  deren  V'eroffentlichung  1943  zur  Feier  der  vierzigsten  Wieder- 

kehr  des  Tages  begonnen  worden  ist,  an  dem  der  kurzlich  heimgegangene 

Meister")  seine  erste  Vorlesung  gehalten  hatte.  Er  hatte  sich  an  der  Uni- 

1)  P.  S.  Leicht,   Scritti  vari  di  Storia  del  Diritto  italiano,  vol.  I    II 
1,  II,  2.  Milano,  Giuffre,  1943,  1948,  1949.  '  j 

«)  Vgl.  iiber  Pier  Silverio  Leicht  (f  3.  Februar  1956)  auBer  den  Nach-  ^ 

rufen  von  Hermann  Lange,  ZRG  LXXIII,  Germ.  Abt.  1966,  S.  558—561  \ 

von  G.  G.  Mor,  Kivista  di  Storia  del  Diritto  italiano  XXIX,  1956,  p.  5—24  £ 

und  von   H.  F.   Schmid,  Almanach  der  Osterreichischen  Akademie    der  \ 

Wissenschaften,  106.  Jg.,  Wien  1957,  S.  376—388,  jetzt  namentlich  die  von 
der  Accademia  di  Scienze,  Lettere  ed  Arti  di  Udine,  der  Deputazione  Friulana 
di  Storia  Patria  und  der  Societa  Filologica  Friulana  veroffentlichte  Com- 
memorazione  di  Pier  Silverio  Leicht,  Udine,  Arti  Grafiche  Friulane,  1958, 
mit  der  Wiirdigung  von  Leichts  wissenschaftlichem  Lebenswerk  durch 
Guide  Astuti  (p.  15—35)  und  der  von  C.  G.  Mor  zusammengestellten 
Bibliographie  seiner  Schriften  (p.  37—57). 


,1 


^    . 


n   L    u   u 

u    u      I      I 


H^^-Wwiti,^    .2^<.cVouJJ-V 


w^iu  ^^^^ 


358 


Buchbesprechungen 


Ausgabe  des  1  eppichs  in  deutscher  Sprache  —  Roeingh  ist  nicht  einmal 
der  Lrwahnung  wert!  -  vorliegt,  die  jedcm  —  zumal  be.  dem  erstaun- 
hch  geriiigen  Preis  warmstens  empfohlen  werden  kann. 

"''"""^*"'"  mchard  Drogereit 

The  King's  Two  Bodies.  A  Study  in  Mediaeval  Political  Theology    By 
ERNST  H.  KANTOROWICZ.  Princeton.  University  Press  19.7 
X\T,  568  S.  24  Taf.  10  %.  ^  ^^^• 

Die  Fiktion  von  den  zwei  Korpern  des  Konigs  ist  nach  Formulie- 
rung  und  Inhalt  eine  spezifisch  englische  Pragung  der  elisabethanischen 
Zeit;  sie  besagt.  daO  der  Konig  einen  naturlichen  Korper  besitzt   der 
alien  Gebrechen  des  naturlichen  Lebens  unterworfen  ist    und  einen 
ubernaturlichen,   der   weder   krank   noch   schwach.    niemals   minder- 
jahrig  Oder  senil  ist,  der  niemals  stirbt  und  der  den  Engeln  und  himmli- 
schen   Geistern   vergleichbar  ist.    Der   Vf.    zeichnet  den  allgemeinen 
historischen    Hintergrund    dieser   merkwurdigen    Fiktion    und    zeigt 
welche     rechtsphilosophischen      Gedankengange     und     verfassungs- 
rechthchen  Spekulationen  zu  ihr  hinfiihren  konnten.  Dabeikann  er  die 
Untersuchung  nicht  auf  die  FormuUerung  von  den  zwei  Korpern  be- 
schranken,  die.  wie  sich  zeigt.  erst  zu  einem  ganz  bestimmten  Zeit- 
punkt  mogl.ch  wird,  sondern  muB  alle  Erscheinungen  untersuchen   in 
denen  eine  Doppelstellung  des  Konigs  zum  Ausdruck  kommt. 

Wohl  nicht  von  ungefahr  ist  der  Yorker  Anonymus  (urn  iioo)  der 
erste  Autor.  der  uns  ausfuhrliche  Darlegungen  uber  die  gemma  persona 
des  Konigs  bietet.  Erst  der  Investiturstreit  hatte  ja  eine  klare  Unter- 
scheidung  der  spiritualia  und  temporalia  des  Bischofs  gebracht  und 
dessen  doppelten  Status  anerkannt.  Ahnlich  erkannte  man  auch  dem 
Konig  stets  einen  Status  non  ommno  laicus  zu.  Der  Yorker  Anonymus 
nun  zeichnet  uns  am  deutlichsten  das  Bild  des  Christus-bezogenen 
Konigtums  der  ottonischen  und  fruhsalischen  Zeit;  der  Konig  wird 
als  gemina  persona  der  Doppelnatur  Christi  angeglichen.   indem  er 
mcht   nur   Reprasentant   Christi  auf   Erden.   sondern   vollkommener 
Chnstomimetes  wird.  Dies  ist  also  nicht  die  Unterscheidung  von  An.t 
und  Person ;  vielmehr  ist  die  gemina  persona  ontologisch  und  liturgisch 
da  Christi  gottliche  Xatur  kein  Amt,  sondern  sein  Wesen  ist.  Der  Konig 
ist  irdisch  natura,  gottlich  per  gratiam'). 

Eine  kiinstlerische  Epitome  des  Christus-bezogenen  Konigs  bietet 
die  Darstellung  Ottos  II.  im  Evangeliar  zu  Aachen,  Hier  ist  der  Herr- 
scher  ganz  analog  den  Christusdarstellungen  als  erectus  in  caelum 
dargestellt,  seme  FuBe  ruhen  auf  der  Erde,  sein  Haupt  aber  ragt  in  den 
')  Vgl.  auch  E.  11.  Kantorowicz,  Dnis  per  naturam.  dens  per  gratiam  \  Note 
on  Mediaeval  Political  Theology.  The  Harvard  Theological  Review  45  (19.,) 


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Mittelaltey 


359 


Himmel,  indem  seine  Mandorla  die  des  Himmels  iiberschneidet;  der 
irdischeu  iind  der  himmlischen  Sphiire  zugleich  teilhaftiR,  nimmt  er 
vollkommen  die  Stelle  Christi  ein. 

Im  Laufe  des  12.  Jahrhunderts  wiirde  die  Chnstus-bezogene 
liturgische  Auffassung  des  Konigtums  von  der  theokratisch-juristi- 
schen  Auffassung  eines  Recht-bezogenen  Konigtums  abgelost;  der 
Konig  wird  nach  Johann  von  Salisbury  imago  aequitatis.  Dtis  nimische 
Kecht  ubertnig  dcni  Herrscher  in  der  lex  regia  die  voile  Ciewalt,  band 
ihn  aber  in  der  lex  digna  an  das  Gesetz.  Hieraus  leitete  Friedrich  II., 
dessen  kaiserliche  Herrschaftstheologie  von  kirchlichem  Denken 
durchsetzt,  von  kanonistischer  Diktion  bestimmt  und  mit  einer  quasi- 
christologischen  Sprache  vermischt  war,  seine  Doppelstellung  als 
pater  el  filius  iiisticiae  ab.  Bedeutung  und  Tragweite  dieses  Anspruches 
erhellen  aus  einer  Untersuchung  des  Begriffes  der  iuslicia  im  juristi- 
schen  Denken  des  Hochmittelalters.  Ihm  war  die  oft  personifizierte 
iuslicia  die  Mittlerin  zwischen  gottlichem  und  menschlichem  Recht. 
Die  Iuslicia  und  der  cultus  iusliciae  wurden  in  eine  religiose  Sphare 
erhoben,  in  der  sich  die  Juristen  als  Priester  fiihlten;  es  wurde  iiblich, 
vom  sacerdos  temporalis,  qui  est  index,  und  vom  sacerdos  spiritualis,  qui 
est  presbyter,  zu  sprechen.  In  diesem  Zusammenhang  errangen  ja  die 
Juristen  im  13.  Jahrhundert  tatsachlich  einen  hoheren  sozialen  Rang 
und  wurden  den  Rittern  gleichgestellt.  Als  oberstem  Richter  kam  diese 
Entwicklung  naturlich  dem  Herrscher  zugute.  Hinzu  kamen  aber  noch 
andere  Einflusse,  so  die  Bezeichnung  des  Herrschers  als  lex  animata, 
die  Justinian  in  Nov.  105,2,4  eingefiihrt  hatte,  und  das  aristotelische 
dixawv  gfi<f>vxov.  So  naherte  man  sich  von  verschiedenen  Seiten  her 
der  Auffassung  des  Herrschers  als  Mittler  zwischen  gottlichem  oder 
Naturrecht  und  positivem  menschlichem  Recht.  Diese  seine  Stellung 
erhielt  in  der  halbreligiosen  Sphare  der  Juristen  einen  besonderen 
Nimbus,  der  die  Vergleichung  des  irdischen  mit  dem  himmlischen 
Richter  mit  sich  brachte.  Das  Spannungsfeld  des  Recht-bezogenen 
Konigtums  war  jetzt  nicht  mehr  die  Polaritat  von  menschlicher  Natur 
und  gottlicher  (inade,  sondern  tlie  von  gottlichem  und  menschlichem 
Recht. 

Das  vorstehend  besprochene  Kapitel  iiber  ,,  Law-centered 
Kingship"  zeigt  in  besonderem  MaBe  die  behutsame  Methode  des 
Autors,  der  immer  wieder  vor  vorschnellen  Schliissen  warnt  und  das 
scheinbar  auf  der  Hand  Liegende  von  immer  neuen  Seiten  her  be- 
leuchtet.  Abgesehen  von  dem  Reiz  der  neuen  Durchblicke,  die  dabei 
eroffnet  werden,  ist  dies  doch  die  einzige  Methode,  der  Vielschichtig- 
keit  und  Komplexitat  geistesgeschichtlicher  Vorgange  beizukommen. 

Im  14,  und  15.  Jahrhundert  trittein  neues  Herrscherbild  in  Erschei- 
niing,  das  Staat-bezogene  Konigtum.  Sir  John  Fortescue  pragte  fiir 


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Buchbesprechungen 


das  stark  konstitutionell  bestimmte  englischc  Konigtum  die  Definition 
dominium  regale  et  politicum.  Was  er  damit  meint,  zeigt  seine  Quelle, 
des  Tolomaeus   von   Lucca   Fortsetzung  von  Thomas'   von   Aquino 
De  regimine  principum:  der  Konig  steht  sowohl  uber  wie  unter  detn 
Staatskorper,  so  wie  der  Konig  des  13.  Jahrhunderts  uber  und  unter 
dem   Gesetz  gestanden  hatte.   Die  Entwicklung  war  hier  von  dem 
spirituellen  Prototyp  korporativer  Konzepte,  dem  corpus  mysticum 
der  Kirche  ausgegangen.  Im  gleichen  MaBe,  wie  dieses  seines  liturgi- 
schen  Charakters  entkleidet  und  dem  juristischen  Begriff  der  persona 
ficta   angenahert    wurde,    hatten    die    Juristen    die   Moglichkeit,  ihre 
corpora  ficta    als  corpora  mystica  zu   definieren,   ebenso  das  corpus 
politicum  et  morale  im  aristotelischen  Sinn.  So  wurde  der  Konig  das 
Haupt  des  mystischen  corpus  reipiiblicae.  Mit  dieser  neuen  Auffassung 
vom  Staat  kam  ein  neuer  Begriff  ins  Leben :  der  Staat  als  patria.  als 
Objekt   politischer   Devotion   und   halbreligioser   Emotion.   Was   der 
Autor  zu  diesem  Thema  zu  sagen  hat,  mag  hier  ubergangen  werden, 
sei  aber  jedem      -  nicht  nur  dem  Historiker  —  zu  nachdenklicher 
Lektiire  empfohlen').  Die  P'rage,  ob  die  bisher  behandelten  Aspekte 
der  Doppelstellung  des  Konigs,  auch  die  in  mancherlei  Parallelen  auf 
den  Konig  ubertragene  Vorstellung  vom  duplex  corpus  Christi.  per  se 
zu  der  Theoric  von  des  Konigs  zwei  Korpern  fiihren  konnten,  muB,  so 
sehr  eine  positive  Antv/ort   nahezuliegen   scheint,  verneint  werden. 
Noch  immer  stchen  wir  bei  einer  organologischen  Staatsauffassung,  der 
ein  wesentliches  Moment  fehlt,  namlich  die  Zeit.  Es  ist  das  besondere 
Verdienst  des  Autors,  auf  die  uns  so  selbstverstandlich  erscheinende 
Bedeutung  des  Eaktors  Zeit  noch  einmal  eindringlich  hingewiesen  zu 
haben.  Gegenuber  der  abwertenden  augustinischen  Auffassung  brachte 
das  13.  Jahrhundert  aus  verschiedenen  Ursachen  eine  neue,  positivere 
Bewertung  der  Zeit.  Speziell  interessiert  hier  die  schon  in  der  Scho- 
lastik  durchgefuhrte  und  von  Thomas  von  Aquino  ausgebaute  Defini- 
tion des  aevum,  das  den  Geistern  und  Engeln  zugeteilt  wurde,  deren 
jeder  zugleich  Individuum  und  Spezies  darstellte.  Die  Juristen  ander- 
seits  hatten  den  Begriff  der  universitas  entwickelt,  der  ihnen  ermog- 
lichte,  die  Ansammlung  einer  Mehrzahl  von  Personen  in  einem  Korper 
wie   eine    Person    zu    behandeln,    deren    Hauptkennzeichen   die   Un- 
sterblichkeit,  die  Dauer  in  der  Zeit,  die  Identitat  im  Wechsel  waren. 
Erst    die  Anwendung    dieses    MwtVersi/as-Begriffes,    dessen    Ahnlich- 
keit  mit   dem    Status  der  Engel  noch  weitere  Folgen  haben  sollte, 
auf   den    Staat    bedeutete  den   entscheidenden   Schritt  von   der  or- 
ganologischen zur  korporativen  Staatsauffassung,  machte  den  Staat 
sempitern. 

')  Vgl.   auch   E.  H.  Kantorowicz,    Pro  patria  mori  in   Mediaeval   Political 
Thought.  American  Historical  Review  56  (1951)  472^492. 


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361 


Ebenso  schwierig  war  nun  das  Problem  eines  dcm  unsterblichen 
btaatskorper  adaquaten  unsterblichen  Hauptes.  Theoretisch  bedurfte 
as  nur  eines,  wenn  auch  gewagten,  logischen  Schlusses  vom  Wesen  der 
umversitas  her:  wenn  fur  diese  die  Unsterblichkeit,  die  Dauer  in  der 
Zeit,  die  Identitat  im  Wcchsel  e.ssenticller  waren,  als  die  in  einem  ge- 
gebenen  Zeitpunkt  konstituierenden  Glieder,  so  lag  die  Fiktion  einer 
gewissermaBen  nicht  horizontal,  sondern  vertikal  gedachten  Korpo- 
ration  nahe,  die  nur  im  Hinblick  auf  die  Zeit,  per  successionem  koUektiv 
war,  jeweils  aber  nur  aus  einem  died  bestand;  das  logische  Ziel  war 
die  sole  corporation,  die  Ein-Mann-Korperschaft.  In  praxi  freilich  ent- 
wickelte  sich  die  Vorstellung  des  unsterblichen  Konigs  an  drei  Sub- 
straten:  der  Kontinuitat  der  Dynastie,  dem  korporativen  Charakter 
der  Krone  und  der  Unsterblichkeit  der  dignitas. 

Die  Kontinuitat  der  Dynastie  wurde  theoretisch  stark  befordert 
durch  die  seit  dem  Ende  des  12.  Jahrhunderts  sowohl  von  kirchlicher 
w.e  von  staatsrechtlicher  Seite  her  betriebene  Abwertung  der  Konigs- 
kronung.  Dafur  gewann  die  Anschauung  Raum,  die  dem  Konig  als 
electus  bereits  voile  Gewalt  zusprach.  Han<l  in  Hand  dam.t  ging  die 
Heihgung  der  Dynastie,  der  Konig  erhielt  seine  gottliche  Sendung  und 
Weihe  allein  schon  durch  das  konigliche  Blut,  wie  es  vor  allem  bekannt- 
hch  von  Friednch  II.  ausgesprochen  wurde.  Konkret  setzten  sich  diese 
Anschauungen  fast  gleichzeitig  in  Frankreich  und  England  durch  als 
Phihpp  III.  1270  und  Heinrich  III.  1272  sofort  nach  dem  Tod  ihrer 
Vater  die  voile  Regierungsgewalt  ubernahmen.  Damit  war  die  dyna- 
stische  Kontmuitat,  wenigstens  der  Idee  nach,  hergestellt,  die  Dynastie 
war  emer  universitas  per  successionem  vergleichbar. 

Nicht  so  eindeutig  verliefen  die  Bemiihungen,  den  Charakter  der 
Krone  zu  definieren.  Die  Krone,  in  abstraktem  Sinn  gebraucht  gewann 
jedenfalls  im    13.  Jahrhundert  korporative   Aspekte.   \^'ahrscheinllch 
schon  1 216  wurde  dem  englischen  Kronungseid  nach  kirchlichem  Vor- 
b.Id  eine  Klausel  hinzugefiigt,  die  die  Erhaltung  der  unverauBerlichen 
Rechte  der  Krone  forderte').  In  der  zweiten  Halfte  des  Jahrhunderts 
ist  ihr  korporativer  Charakter  in  England  noch  deutlicher:  in  ihr  war- 
den alle  souveranen  Rechte  begriffen,  die  von  alien  Staatstragern  dem 
Konig  als  Haupt  und  den  Magnaten  als  Gliedern.  zu  schiitzen  waren 
Der  Begriff  der  Krone  steht  also  dem  Begriff  des  mvstischen  Staats- 
korpers  sehr  nahe.  Vom  romischen  Erbrecht  her  gelangte  man  schlieB- 
hch  zu  dem  Grundsatz,  die  Krone  als  Minderjahrige  zu  behandeln   da 
sie  ebensowenig  wie  diese  ihre  Angclegenheiten  selbst  regeln  konnte 
bie  erlangte  damit,  wie  ubrigens  alle  universitates .  die  Privilegien  einer 
»)Vgl.    auch    E.  H.  Kantorowicz,    Inahenability.    A    Note    on    Canonical 
Practice   and   the   English   Coronation   Oath   .n    the   Thirteenth   Century 
Speculum  29  (1954)  4«8— 502.  ^' 


Historisdic  Zeiudirift  188    Uand 


^4 


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Buchbesprechungen 


Minderjahngen:  keine  Praskription  konnte  gegen  sie  geltend  gemacht 
wenien,  keine  Eigentumsentfremdung  war  zulassig  usw.  Im  ganzen 
haben  wir  eine  Fulle  toils  sich  iibcrschneideiider,  teils  sich  widerspre- 
chender  AuBerungen  uber  den  staatsrechtlichen  Charakter  der  Krone 
Soviel  wird  jedenfalls  deutlich,  daC  man  die  Krone  als  Verkcirperung 
der  Souveriinitatsrechte  vom  Konig  unterschied,  aber  nicht  abtrennto. 
und  dat)  die  Krone  zwar  saltan  personifiziert,  oft  aber  als  Korporation 
aufgefaOt  wurde. 

Die  wichtigste  staatsrechtliche  Maxime  schlieBlich  war  die  von 
der  dignitas.  quae  non  moritur.  Die  in  praxi  naturlich  schon  liinger 
geubte  Unterscheidung  von  Amt  und  Person  wurde  durch  die  Dekretale 
Quoniam  abbas  Alexanders  III.  (c.  14  X  1,29)  rechtlich  fixiert  und  von 
den  Dekretalisten  waiter  ausgebaut.  Schon  Damasus  stellte  in  seiner 
Glosse  (urn   12 15)  fast,  daB  die  dignitas  numquam  peril;  analog  zum 
romischen  Erbrecht  stellte  man  eine  Quasi-Identitat  von  Amtsvor- 
ganger  und  Amtsnachfolger  her.  Von  hier  war  es  nur  ein  klainer  Schritt 
zu  der  erwiihnten  universitas  per  successionem.  die  jaweils  nur  in  eniem 
Amtstrager  aktualisiert  ist.  Barnhard  von  Parma  zog  dafiir  als  Ver- 
gleich  den  Phonix  heran,  der  der  Lagende  nach  nur  in  jaweils  einem 
Exemplar  lebt  und  daher  im  Einzelwesen  zugleich  die  gesamte  Spezies 
reprasentiert,  sterblich  als  Einzelwasen,  unsterblich  als  Spezias,  jeder 
emzelne  identisch  mit  alien  vor  und  nach  ihm  und  Erbe  seiner  selbst'). 
Diaser  fur  die  Korporationslehren  so  wichtige  Satz  von  der  dignitas. 
quae,  non  moritur,  wirkta  sich  staatsrechtlich  vor  allem  in  Frankreich 
und  England  aus.  Von  ihm  stammt  die  beriihmte  Maxime  Le  rot  ne 
meurt  jamais,  von  ihr  stamman  letztlich  auch  bestimmta  Brauche  im 
Baisetzungszeramoniell  der  franzosischen  und  englischen  Konige,  die 
das  Weiterleben  der  dignitas  sinnfallig  darstellten.  Auf  diese  hochst 
mtaressanten  Kapitel  kann  hier  nur  hingawiesan  warden. 

SchlieBlich  blieb  noch  zu  erklaren,  auf  welche  Art  und  Weise  im 
Konig  dar  reale  menschliche  Korper  und  der  fiktive  unsterbliche  Korper 
der  dignitas  zusammenwohnen.  Baldus  machta  eine  Anleihe  bei  thomi- 
stischar  Terminologie,  indem  er  die  dignitas  als  principalis,  den  Konig 
als  instrumentalis  bezaichnete,  womit  der  Konig  als  instrumentum 
dignitatis  definiert  ist.  so  wie  Thomas  Christus  als  instrumentum 
deitatis  interpretiert  hatte.  Die  klassische  Definition  fand  Bacon: 
corpus  corporatum  in  corpore  naturali.  et  corpus  naturale  m  corpore 
corporato.  Schon  Matthaus  de  Afffictis,  Eucas  de  Penna  und  Andreas 
von  Isernia  hatten  gesagt:  dar  Fiirst  1st  im  Staat  und  der  Staat  ist  im 
Fursten,  womit  sie  eine  Maxime  des  Decretum  Gratiani  umpragten 
^)  Vgl.  auch  E.  H.  Kantorowicz,  Zu  den  Rechtsgrundlagen  der  Kaisersage. 
DA. 13  (1957)  115—150,  und  R.M.KIoos,  Ein  Brief  des  Petrus  de Prece  zum 
Tode  Friedrichs  II.,  ebd.  151 — 170. 


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363 


(c.  7,  C.  VII,  q.  i) :  der  Bischof  ist  in  der  Kirche  und  die  Kirche  ist  im 
Bischof,  deren  Vorgeschichte  schlieUlich  zu  Joh.  14,  10  fiihrt:  ich  bin 
im  Vater  und  der  Vater  ist  in  mir.  Die  Interrelation  von  Kirchlichem 
und  Wehlichem  in  der  politischen  Theologie  wird  auch  in  dieser 
christologischen  Unterstromung  —  iiber  deren  Charaktcr  man  sich 
durchaus  klar  war  • —  wieder  sichtbar. 

Bei  alledem  diirfen  freilich  die  realen  politischen  Gegebenheiten 
nicht  auCer  acht  gelassen  werden.  ,,Des  Konigs  zwei  Korper"  war  eine 
spezifisch  englische  Maxinie.  Das  kraftig  ausgebildete  Parlament  stellte 
stets  ein  konkretes  corpus  politicum  dar,  das  nicht  so  leicht  abstrahiert 
werden  konnte.  Anderseits  unterschied  man  offenbar  nicht  geniigend 
zwischen  Krone  und  dignitas,  was  eine  gewisse  Vermengung  organischcr 
undsukzessionellerKorporationsvorstellungenzurFolgehatte.InFrank- 
reich  war  man  beiderabsolutistischen  Regierungsform  ehergeneigt,  die 
Unterschiedc  zwischen  Person  und  Oberpersonlichem  zu  verwischen;  in 
Ungarn  war  das  Gcwicht  der  gefiihlsmaBigen  Werte,  die  sich  mit  der 
heiligen  Stephanskrone  verbanden,  zu  groB,  als  daB  dem  Konig  selbst 
ein  eigener  zweiter  Korper  hatte  zuwachsen  konnen,  und  in  Deutschland, 
das  seit  der  Mitte  des  13.  Jahrhunderts  iiberhaupt  eigene  Wege  ging, 
verschluckte  der  Begriff  des  absoluten  Staates  die  Sphare  der  dignitas. 

Deis  letzte  Kapitel,  Mensch-bezogenes  Konigtum,  ist  ein  meister- 
licher  Danteexkurs.  Im  dritten  Buch  der  Monarchie  fiihrt  Dante  be- 
kanntlich  seine  These  aus,  daB  das  Kaisertum  unmittelbar  von  Gott 
sei  —  soweit  in  Einklang  mit  der  dualistischen  Gruppe  der  Kanonisten. 
Er  geht  aber  weit  iiber  deren  Auffassungen  hinaus,  indem  er  dem  Men- 
schen  auf  Erden  ein  eigenes  Ziel  setzt,  namlich  das  irdische  Paradies. 
Die  Menschen  zu  diesem  Ziel  hinzufiihren  ist  die  Aufgabe  des  Kaiser- 
tums.  In  einer  kiihnen  und  anregenden  Interpretation  zeigt  der  Autor, 
wie  Dante  in  der  gottlichen  Komodie  durch  Holle  und  Fegfeuer  den 
Weg  zu  diesem  Ziel  gefiihrt  und  schlieBlich  von  Vergil  mit  der  Krone 
der  Neugetauften  gekront  wird.  Dantes  Konzept  entsprechend  muB  ja 
der  Mensch  auf  nichtkirchlichem  Weg  den  Effekt  der  Taufe  erreichen. 
Und  nun  wird  er  gekront  iiber  sich  selbst:  Te  sopra  te  corono  e  mitrio. 
Die  dualistische  Spannung,  die  in  all  jenen  Auffassimgen  liegt,  die  zu 
der  These  von  des  Konigs  zwei  Korpern  fiihrten,  sieht  Dante  im  Men- 
schen und  im  Menschlichen  selbst,  wenn  er  die  Herrschaft  des  Mensch- 
lichen  tiber  den  Menschen  fordert.  Die  Stelhmg  des  Herrschers  aber 
wird  im  Vergleich  mit  dem  Papst  deutlich:  auf  gleicher  Ebene  stehend 
sind  beide  hinsichtlich  ihrer  Amter  auf  Gott  bezogen,  hinsichtlich  ihres 
Menschseins  auf  den  besten  Menschen'). 

*)  Vgl.  auch  E.  H.  Kantorowicz,  Dante's  ,,Two  Suns".  Semitic  and  Oriental 
Studies,  University  of  California  Publications  in  Semitic  Philology  11  (1951) 
217 — 231. 

24* 


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Buchbesprechungen 


Xur  die  Lcitlimen  dieses  bewundernswcrten  Buches  konnten  hier 
verfolgt  werden,  vieUeicht  in  strafferer  Form,  als  es  den  Intentionen 
des  Autors  entspncht.  Dies  aber  erschien  notwendig,  urn  dem  Leser 
einen  Begriflf  von  den  Zusammenhangen  im  Feld  der  politischen 
Theologie  zu  geben.  das  hierzulande  etwas  vemachlassigt  erscheint. 
Die  Lektiire  selbst  bereitet,  das  muB  gegeniiber  dem  trockenen  Referat 
betont  werden,  einen  ausgesprochenen  intellektuellen  GenuC;  glan- 
zende  Essays  bei  souveraner  Beherrschung  des  Stofles,  kiihne  Inter- 
pretationen  bei  strenger  geistiger  Disziplin,  dialektisches  Frage-  und 
Antwortspiel,  wenn  es  gilt,  eine  bestimmte  AuBerung  oder  Erschemung 
einzukreisen,  schlieBlich  eine  FiiUe  von  fruchtbaren  Gedanken  und 
Anregungen.  Das  Buch  w-ird  kiinftig  zu  den  grundlegenden  Werken 
der  Verfassungsgeschichte  gehoren  und  wir  mochten  nur  wiinschen, 
daB  der  Autor  die  Zeit  finden  moge,  die  vielen  in  den  Anmerkungen 
gegebenen  Arbeitsversprechen  einzulosen. 

Das  mittelaJterliche  Dorf  als  Friedens-  und  Rechtsbereich.  Von  KARL 
SIEGFRIED  BADER.  (Studien  zur  Rechtsgeschichte  des  mittel- 
alterlichen   Dorfes.   I.  Teil  )  Weimar,   Hermann  Bohlaus  Nachf 
1957.  2S4  S.  S  Bildtafeln.  24,—  DM. 

Auf  rund  ein  Vierteljahrhundert  zuriickreichende  Arbeiten  zur 
Agrargeschichte  und  landlichen  Rechts-  und  Verfassungsgeschichte 
aufbauend,  legt  der  Vf.  den  ersten  Band  seiner  Studien  zur  dorfischen 
Rechtsgeschichte  vor,  nachdem  er  bereits  im  Jahre  1937  eine  kleine 
Studie  liber  „Entstehung  und  Bedeutung  der  oberdeutschen  Dorf- 
gememde"  (Zts.  f.  WUrttembg.  Landesgesch.  I,  1937)  geschrieben  hat. 
Dieser  erste  Band  soil  das  „dingUch-raumliche  Substrat"  (das  Dorf!) 
fiir  die  Rechtsverbande  ( Dorf genossensch aft  und  Dorfgemeinde!)  be- 
handeln ;  diese  sollen  dem  zweiten  Teil  vorbehalten  bleiben. 

Schon  in  der  „Einleitung"  wird  eindeutig  der  Standort  des  Vf.s 
bestimmt :  aus  kleinen  Verbanden  und  Siedlungsgruppen  von  Familien 
und  Nachbam  entwickelt  sich  ein  groBerer  genossenschafthcher 
^erband;  die  „Markgenossenschaff  als  freibauerUchen  GroBverband 
der  akesten  Zeit  gibt  es  nicht,  Pnvateigentum  bestand  von  vomherem. 
erst  spater  wurde  aus  der  Gemeinnutzung  bestimmter  Griinde 
Gemeineigentum.  Grundherrschaft  und  G«nossenschaft  stehen  von 
Anfang  an  nebeneinander ;  doch  tritt  die  Grundherrschaft  m  der  Frage 
der  Ausbildung  dorfhcher  Rechtsformen  weit  zuriick.  Aber  in  der 
Auseinandersetzung  mit  ihr  wu-d  aus  der  Dorfgenossenschaft  die 
Dorfgemeinde.  Das  Dorf  im  engeren  Sinn,  das  durch  Siedlungs- 
konzentration  aus  Hofen  und  Hofgruppen  entsteht,  laBt  sich  als 
eigenstandiger   Rechts-  und   Friedensbezirk  erweisen,   mit  einer  be- 


n    L    L 

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^ 


4 


REVIEWS 


Ernst  H.  Kantorowicz,  The  King's  Two  Bodies.  A  Study  m  Mediaeval  Political  Theo- 
logy. Prmreton  University  Press.  1957.   Pp.  xvi  +  568,  32  figs.  $10.00. 

In  any  political  system  it  is  intolerable  that  there  be  an  instant  without  rule. 
Although  an  individual  king  may  die.  kmgship  never  dies  in  the  transition  from 
one  monarch  lo  another.  Furthermore,  withm  an\'  one  realm,  the  apphcation 
of  law  demands  that  kingship  be  treated  as  omnipresent  and  infallible.  In  the 
legal  fiction  which  supports  rule,  the  king  is  never  under  age.  is  never  incompe- 
tent, never  dies,  is  ubiquitous,  and  is  incapable  of  error.  Yet  the  visible  king 
may  be  seen  by  his  subjects  as  ridiculousl>  frail  and  foohsh.  European  legalists 
thus  found  it  necessary  to  lay  down  the  dictum  that  a  king  had  two  bodies, 
the  natural  body,  which  was  subject  to  the  same  weaknesses,  and  death  as  the 
bodies  of  ordinary  subjects,  and  the  political  body,  which  was  in\isible,  im- 
palpable, mature,  healthy,  immortal,  and  infallible.  The  rule  of  law  was  felt 
10  be  insecure  without  this  contradiction  of  beings,  however  incongruous  it 
might  seem  on  the  surface. 

The  dogma  of  the  kmg's  two  beings  has  been  studied  by  such  British  legalists 
as  Plowden  (16tb  century).  Blackstone  (18th).  and  F.  W.  Maitland  (20th).  The 
particular  merit  of  the  present  volume  lies  m  its  search  for  the  European  origins 
of  this  legal  fiction  of  the  Middle  Ages.  The  author.  Polish  by  birth,  German 
m  university  trauung,  and  a  Professor  of  Mediaeval  History  in  the  United 
States,  shows  most  impressive  mdustn,  and  erudition.  If  the  reader's  appetite 
becomes  jaded  before  the  feast  of  learmng  is  completed,  the  fauh  must  he  with 
the  reader.  Or  are  the  dishes  just  a  little  too  elaboraiel\  prepared,  and  does  the 
chef  hover  just  a  little  loo  attentively  over  the  table  to  make  sure  that  we 
appreciate  the  piquancy  of  his  sauces?  After  the  first  two  hundred  pages  have 
estabhshed  the  theme,  the  remainder  may  serve  as  an  excellent  reference  book, 
rather  than  a  fluent  development  of  the  argument. 

As  early  as  A.D.  1 100  Europe  was  constructing  this  dogma  for  pohtical  hfe. 
both  from  Christian  theology  and  from  the  remnants  of  Roman  pohtical 
theory.  The  king  was  a  twmned  person,  "bv  nature,  an  mdividuaJ  man",  and 
"b\  grace,  a  Chnstus.  thai  is.  a  god-man".  The  argument  that  the  kmg  had 
divme  nature  within  hun  led  inevitably  to  conflia,  for  it  made  him  a  more 


i 


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395 


perfected  impersonator  of  Christ  than  was  bishop  or  pope.  When  the  pope 
declared  himself  to  be  "vicar  of  Christ",  the  emperor  was  defined  as  '"vicar  of 
God."  B\  the  thirteenth  century  the  state  shifted  its  search  for  sanction  from 
the  Christocentric  pattern  and  began  to  draw  upon  Roman  law,  in  which 
justice  was  divme  and  the  perfect  judge  was  '"animate  justice."  Thus  the  king 
was  both  the  incarnation  of  deified  justice  and  the  priest  of  justice. 

In  another  centur\  it  was  the  church  which  was  borrowing  from  the  state, 
placing  the  personal  body  of  Christ  beside  the  mystical  body  of  the  church,  as 
married  but  one  flesh.  Yet  the  state  continued  to  seize  concepts  from  the 
church,  as  when  the  French  king  married  his  realm,  or  when  English  political 
philosophy  recognized  a  Trinity  of  King,  the  Lords  spiritual  and  temporal,  and 
the  Commons.  Under  this  competitive  theology  of  church  and  state,  it  was  an 
easy  step  for  Henry  VIII  to  make  himself  head  of  the  church  as  well  as  head 
of  the  state. 

This  will  suffice  for  the  historical  background  to  the  definitions  by  English 
legalists.  There  are  also  illuminating  comments  on  the  development  of  patriot- 
ism under  this  new  civil  theology,  a  discussion  of  the  problem  of  continuous 
time  when  the  king  died  yet  did  not  die,  and  a  treatment  of  the  relationship  of 
the  king  and  the  crown. 

The  reviewer  would  like  to  concentrate  on  a  suggestion  tossed  off  in  the 
Epilogue.  After  submitting  that  '"the  dichotomous  concept  of  kingship  might 
have  had  roots  in  classical  Antiquit\ ",  the  author  rules  out  "such  extreme  cases 
as  might  be  detected  in  the  monarchies  of  the  ancient  Near  East",  and  devotes 
a  footnote  to  the  Egyptian  ka  (p.  497).  He  is  right  in  making  a  disjunction 
between  the  mediaeval  European  and  the  ancient  Near  Eastern  scenes.  Broad 
similarities  ma\  appear  when  one  analyses  the  most  persuasive  philosophies  of 
a  state,  since  religious  devotion  is  inevitably  invoked  on  behalf  of  a  nation. 
But  the  dichotom\  of  the  natural  and  the  political  body,  of  the  mortal  and  the 
immortal,  of  the  mundane  and  the  mystical  is  a  European  problem,  from  the 
times  of  the  Greeks,  or  more  particularly  from  the  Romans.  The  ancient 
Orientals  felt  no  such  compulsion  to  formulate  the  relationship  between  two 
bodies,  because  for  them  there  was  but  one  body.  The  activities  of  the  gods 
gave  them  their  myths  on  the  origins  and  maintenance  of  rule.  If  a  king  who 
was  also  a  god  died  and  yet  rule  went  on,  this  followed  the  pattern  laid  down 
by  the  gods,  who  had  procreated  both  old  and  new  kings  for  continuous  rule. 
In  Egypt,  myth  stated  that  the  god  Osiris  had  been  killed  and  yet  remained  a 
ruler  in  another  realm,  while  his  faithful  son.  the  god  Horus.  maintained  rule 
in  this  world.  Succession  of  one  ruler  by  another  was  not  unbroken  continuity, 
but  was  a  renewal  of  good,  the  immediate  new  creation  of  order,  that  order 
which  had  been  at  the  first  Creation.^  Man  faithfully  served  the  gods,  including 
the  god-king,  and  did  not  have  to  reconcile  that  which  was  already  umtary 
from  Creation,  the  kmgship. 
'    H.  Frankfort.  Kingship  and  the  Gods  (University  of  Chicago  Press,  1948),  101  ff. 


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REVIEWS 


When  scenes  of  the  birth  of  an  Egyptian  pharaoh  show  him  born  as  twins, 
himself  and  his  ka,  the  superficial  analogy  to  the  two  bodies  of  the  European 
king  is  very  striking.  But  the  ka  was  not  his  political  or  immortal  or  mystical 
body,  as  over  against  his  natural  body.  The  ka  of  each  individual  king  was 
born  with  him,  and  when  he  died  he  went  to  join  his  ka  in  the  realm  of  the  dead. 
Thus  the  ka  was  no  perpetual  and  continuous  Presence,  which  was  the  same 
being  for  Ramses  1,  II,  and  III.  Rather  it  was  an  indix-idual's  vital  force,  a 
guiding  and  protecting  genius.  The  hieroglyph  for  the  ka  illustrates  this  agency 
with  two  arms  stretched  out  to  direct  or  to  shelter.  This  other  body  of  the 
ancient  Egyptian  was  not  restricted  to  political  or  religious  concerns  (except 
insofar  as  all  phases  of  Egyptian  life  were  religious),  but  had  its  beneficent 
interest  in  all  aspects  of  an  individual's  life." 

Nor  was  the  ka  restricted  to  kings.  Common  mortals  had  their  ka's,  which 
guided  their  religious,  political,  social,  and  economic  behavior.  The  author 
has  been  misled  by  his  reading  into  seeing  a  significant  difference  between  the 
costumes  of  two  tomb  statues,  as  showing  the  official  and  the  natural.  The 
number  two  is  here  an  architectural  accident :  the  structure  of  a  tomb  provides 
balance  if  statues  are  placed  on  each  side  of  an  architectural  setting,  and  a 
change  of  wardrobe  is  only  a  mark  of  dignity.  Further,  the  word  ka  was  also 
used  in  the  plural,  in  most  of  the  same  senses  as  in  the  singular :  those  various 
forces  which  might  guide,  promote,  and  protect  an  individual.  The  king,  like 
other  gods,  had  a  plurality  of  ka"s,  sometimes  as  many  as  fourteen. 

Perhaps,  then,  the  analogy  from  the  ancient  Orient  is  still  valuable,  in 
contrast  rather  than  congruity,  as  a  warning  rather  than  an  illuminant.  Before 
the  Greeks  performed  the  Promethean  miracle  of  rescuing  man  from  the 
immediate  and  insistent  grip  of  the  gods,  problems  of  the  dichotomy  of  the 
human  and  the  divine,  or  of  the  temporal  and  the  eternal,  were  not  of  trouble- 
some dimensions.  It  remained  for  nascent  European  nationalism  to  work  out 
a  political  theology  which  would  satisfy  the  needs  of  the  rule  of  law.  replacing 
the  rule  of  the  gods. 

JOHN  A.  WILSON 
Oriental  Institute 
University  of  Chicago 
Luxor,  Egypt 


I  I    L     C     U 
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REVIEWS 


he  saw  in  Carolingian  wriiings,;«tfe'expression.s  of  a  church  protected  by  the 
secular  power'  he  would  h^v€  felt  that  the  English  Church  differed  from  the 
Carolingian,  for  he  was^jifJt  ignorant  of  the  reign  of  Edgar. 

University  of  Lp!<DON,  '  "^  R.  R.  Darlington 

BiRKBECK  Coj/CEGE 


The  King's  Two  Bodies:  a  Study  in  Mediaeval  Political  Theology .  By  Ernst  H. 
Kantorowicz.  Pp.  xvi  +  568  +32  Illustrations.  Princeton:  University  Press; 
London:  Oxford  University  Press,  1957.  80s. 

It  IS  commonplace,  and  like  most  commonplaces  not  strictly  true,  that  the 
distinction  between  the  king's  private  person  and  public  office  was  slow  in 
developing.  It  can  no  longer  be  maintained,  as  Hume  maintained,  that  the 
distinction  was  first  invented  in  the  Civil  War  and  expressed  in  the  Parliamen- 
tary Declaration  of  1642  which  declared  that  'the  King  is  the  Fountain  of 
Justice.  .  .  .  But  the  Acts  of  Justice  are  not  exercised  in  his  own  person  .  .  .  but 
by  his  Courts  and  his  Ministers  who  must  do  their  duty  therein  though  the 
King  in  his  own  Person  should  forbid  them'.  Yet  it  must  be  conceded  that  this 
declaration  puts  the  matter  in  very  modern  language;  and  if  we  would  trace 
the  origins  of  the  doctrine  we  must  expect  to  find  it  sometimes  clothed  in  the 
strangest  garments.  One  of  the  strangest  is  the  Tudor  legal  fiction  that  the  king 
has  two  bodies,  a  body  natural  which  suffers  the  ordinary  accidents  of  human 
nature,  and  a  body  politic  which  is  undying  and  in  a  certain  sense  divine.  It 
seems  that  this  fiction  was  especially  valuable  in  solving  some  of  the  legal 
puzzles  connected  with  the  integration  of  the  Duchy  of  Lancaster  with  the 
Crown,  but  it  gave  rise  to  all  sorts  of  fantastic  imaginings  which  were  congenial 
to  Tudor  notions  of  kingship. 

This  is  the  starting  point  of  Professor  Kantorowicz's  book.  It  all  began,  he 
tells  us,  in  a  stimulating  conversation  with  the  late  Professor  of  Law  at  Berkeley, 
Max  Radin;  it  grew  into  an  essay,  and  finally,  after  being  frustrated  in  this 
form,  it  developed  into  the  long,  very  learned  and  rather  difficult  volume  which 
has  now  appeared.  The  thread  which  holds  it  all  together  is  the  consideration 
of  the  various  forms  in  which  the  notion  of  the  ruler's  dual  nature  has  presented 
Itself  across  the  centuries  from  the  decline  of  the  Roman  Empire  to  the  seven- 
teenth century.  The  author  calls  it  a  single  strand  in  the  complicated  problem 
of  the  'M>-th  of  the  State' :  certainly  the  coat  must  indeed  be  many-coloured  if 
it  is  made  up  of  strands  as  variegated  as  this  one  turns  out  to  be. 

In  many  ways  it  is  a  pity  that  the  author  found  his  starting  point  where  he 
did,  for  though  the  Tudor  discussions  on  the  king's  two  bodies  no  doubt  gave 
sufficient  matter  for  a  stimulating  conversation  and  for  the  paper  which  grew 
out  of  it,  they  have  very  litUe  to  do  with  the  main  development  of  this  book. 
The  Tudor  lawyers  were  merely  expressing  in  rather  fantastic  language  a 
distinction  of  a  practical  kind  which  could  equally  well  have  been  expressed 
without  all  this  flowery  symbolism.  After  all,  king  Aethelwulf  in  847  had 
grasped  the  point  they  were  struggling  to  express  when  he  (as  'body  politic') 
booked  land  to  himself  (as  'body  natural',  to  use  Professor  Kantorowicz's 
terminology)  'that  I  may  enjoy  it  and  leave  it  after  my  death  to  whomsoever  I 
please'.  This  early  example  of  the  distinction  between  the  king's  private  and 
public  capacities  is  not  quoted  in  this  book,  but  some  others  are.  Feudal 
tenures  did  more  than  anything  to  blur  the  distinction;  but  even  feudalism 

105 


0 


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1 


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JOURNAL    OF    ECCLESIASTICAL    HISTORY 

could  not  obliterate  it,  so  it  is  an  exaggeration  to  say  of 'the  idiom  of  the  King's 
Two  Bodies',  as  Professor  Kantorowicz  does,  that 

'Without  those  clarifying,  if  sometimes  confusing  [more  confusing  than 
clarifying,  we  may  think],  distinctions  between  the  king's  sempiternity  and 
the  king's  temporariness,  between  the  immaterial  and  immortal  body  politic 
and  his  material  and  mortal  body  natural,  it  would  have  been  next  to 
impossible  for  Parliament  to  resort  to  a  similar  fiction  and  summon,  in  the 
name  and  by  the  authority  of  Charles  I,  King  body  politic,  the  armies  which 
were  to  fight  the  same  Charles  I,  king  body  natural'  (12-13). 

The  main  fault  with  such  a  statement  is  that  it  puts  the  symbol  before  the 
reality,  and  seems  to  assume  that  without  the  symbol  men  will  be  incapable  of 
grasping  the  reality  they  wish  to  express.  But  men  are  never  so  absorbed  in  the 
shadow-world  of  symbols  that  they  cannot  express  without  them  whatever  is 
necessary  to  their  practical  ambitions.  Where  need  arises  they  will  throw  away 
the  shadows  without  compunction — Professor  Kantorowicz's  book  is  full  of  the 
tokens  of  this  ability,  and  indeed  the  declaration  of  1642,  which  has  already 
been  quoted,  is  an  illustration  of  the  same  fact,  for  it  says  nothing  at  all  about 
the  myth  of  the  King's  Two  Bodies,  but  only  about  the  distinction  between  the 
king's  person  and  the  royal  authority — thus  making  the  point  without  the  aid 
of  any  mythology. 

The  real  interest  of  Professor  Kantorowicz's  book  lies  not  in  the  background 
of  the  curious  myth  with  which  he  begins,  but  in  amassing  an  unusual  collection 
of  illustrations  of  political  attitudes  from  various  periods  of  the  Middle  Ages. 
These  attitudes  reflect  the  pre-occupations  of  the  three  main  periods  of  the 
Middle  Ages,  which  in  the  context  of  this  book  may  be  briefly  characterised  as 
the  liturgical  (eighth  to  eleventh  centuries),  the  legal  (twelfth  and  thirteenth 
centuries)  and  the  political  or  corporative  (thirteenth  to  sixteenth  centuries) . 

To  the  first  of  these  periods  three  studies  are  devoted.  The  first  of  these  is 
on  the  Anonymous  of  York  (or  of  Normandy,  as  G.  H.  Williams  has  plausibly 
argued)  of  c.  1 100,  whose  works  Heinrich  Boehmer  was  chiefly  responsible  for 
bringing  to  the  notice  of  scholars.  The  second  study,  and  perhaps  the  most 
remarkable  in  the  whole  book,  is  on  the  representation  of  Otto  II  in  majesty  in 
a  Gospel  book  of  c.  975  now  at  Aachen.  On  this  subject  we  are  given  an  inter- 
pretation which  is  entirely  admirable  both  for  its  learning  and  penetration.  The 
essentially  Byzantine  conception  of  the  dual  nature  of  the  emperor,  belonging 
at  once  to  the  supernatural  and  natural  orders,  is  superbly  represented  by  the 
artist,  and  fully  justifies  the  learning  which  is  here  lavished  on  its  elucidation. 
By  contrast,  the  study  which  follows  on  'the  halo  of  perpetuity'  is  something  of 
an  anti-climax. 

The  next  section  is  concerned  with  the  period  of  what  Professor  Kantoro- 
wicz calls  'law-centred  kingship'.  The  duality  in  the  king's  position  has  now 
shifted  from  the  natural/super-natural  antithesis  to  the  consideration  of  the 
king  as  at  once  the  fount  of  law  and  the  servant  of  law.  This  antimony  was 
expressed  in  the  Middle  Ages  in  some  notable  phrases:  Frederick  II  called  the 
emperor  'pater  et  filius  institiae'  and  Bracton  has  some  grand  phrases  to  express 
the  contrast  between  the  king  as  the  source  of  law  on  the  one  hand  and  the 
creature  of  law  on  the  other.  On  these  Professor  Kantorowicz  has  some  very 
good  things  to  say,  even  if  at  times  he  seems  to  read  into  them  more  than  they 
will  support.  Naturally  anything  that  concerns  Frederick  II  has  a  special  uiterest 

106 


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REVIEWS 

or  him  and  he  makes  a  great  deal  of  the  phrase  'pater  et  filius  justitiae'  from 
Frederick's  Liber  augus talis.  This  is  a  good  phrase,  but  it  scarcely  deserves  all 
:he  praise  it  here  receives.  It  is  not  more  than  the  happy  expression  of  a 
commonplace  idea,  and  even  when  the  background  has  been  filled  in  we  are 
scarcely  persuaded  that 

'Frederick  II's  definition  of  the  emperor's  place  in  the  system  of  mediaeval 
Law  as  "father  and  son  of  Justice"  appears  as  a  highly  finished  and  mature 
formula;  and  if  one  keeps  it  in  mind,  as  one  should,  it  may  turn  out  to  be 
extremely  useful  and  helpful  for  the  understanding  of  some  further  "contra- 
dictions of  our  own  making"  in  the  political  doctrines  of  other  lawyers  of  that 
period,  and  above  all  of  Bracton'. 

The  final  sections  of  the  book  arc  by  far  the  most  difficult  and  perhaps  in 
the  long  run  the  most  suggestive.  I  say  'in  the  long  run'  because  the  immediate 
impression  is  one  of  considerable  confusion.  The  general  theme  is  here  the 
study  of  the  emergent  state  as  a  corporate  being,  and  this  theme  ties  together  a 
number  of  studies  on  the  conception  of  patria,  the  immortality  of  the  royal 
dignity,  the  philosophy  of  Dante's  Monorchia,  and  other  subjects  which  take 
one  very  far  from  the  original  theme.  Yet  it  is  impossible  to  read  these  pages 
without  admiration  for  the  immense  learning  displayed  in  them,  the  wealth  of 
quotations  from  little  known — I  could  better  sa\',  for  myself,  entirely  unknown 
— sources,  and  the  constant  zeal  for  penetrating  beneath  the  surface  of  the 
conventional  statements  of  medieval  political  thought.  Professor  Kantorowicz 
approaches  the  political  problems  of  the  later  Middle  Ages  in  a  way  entirely 
different  from  the  ordinary  writer  on  political  theory.  He  does  not  start  from 
the  problems  which  modern  thinkers  find  most  intelligible  and  illustrate  them 
from  the  better-known  writers  such  as  Marsilius  and  Ockham.  He  starts  from 
phrases  and  images  which  have  caught  his  imagination  and  he  pursues  them 
into  every  comer  and  period  of  the  Middle  Ages  to  force  them  to  give  up  their 
secrets.  If  the  reader  is  often  left  mystified  and  breathless,  he  must  suspect  that 
it  is  largely  his  own  fault,  and  that  his  stamina  is  not  equal  to  the  strain  put 
upon  it.  Yet,  with  the  best  will  in  the  world,  he  cannot  believe  that  the  fault  is 
entirely  his.  A  single  illustration  will  have  to  suffice  to  justify  this  qualification. 

Nearly  twenty  years  ago  Professor  Kantorowicz  gave  a  delightful  talk  on 
the  theme  of  patriotism  in  the  Middle  Ages,  which  he  later  published.  He 
ranged  from  the  patriotic  eloquence  of  cardinal  Mercier  in  1914  to  the  classical 
conception  of  death  'pro  patria',  to  the  medieval  meanings  of  patria  as  the 
heavenly  kingdom,  the  native  town  or  village,  the  fatherland,  the  realm,  the 
state;  and  this  led  him  to  consider  the  Church  as  the  corpus  Christi  and  (by  a  later 
refinement)  as  the  corpus  mysticum  Christi,  and  the  state  (by  similar  development 
of  thought)  as  itself  a  corpus  mysticum  representing  in  medieval  terms  the  corpus 
morale  et  politicum  of  Aristotle.  The  paper  was  a  great  tour  deforce.  It  brought 
together  much  information  from  many  quarters  into  an  exciting  whole.  The 
greater  part  of  its  substance  is  reproduced  in  this  book.  From  being  a  stimulating 
talk  it  has  become  part  of  an  argument,  with  new  illustrations  and  a  new  point 
of  view.  But  where  (the  reader  cannot  help  asking)  does  it  get  to  ?  It  remains 
valuable  for  its  quotations  and  its  suggestive  illustrations;  but  it  seems  somehow 
less  lively,  less  relevant  than  before,  and  the  attempt  to  bring  it  into  relation 
with  the  king's  two  bodies  is,  for  me  at  least,  singularly  bewildering. 

To  travel  through  the  Middle  Ages  with  Professor  Kantorowicz  in  search 

107 


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JOURNAL    OF    ECCLESIASTICAL    HISTORY 

of  the  king's  two  bodies  is  like  walking  in  a  strange  country  by  night  alon 
unknown  ways:  the  illumination  is  fitful,  though  sometimes  spectacular,  th 
shape  of  the  country  is  only  dimly  discernible,  but  the  experience  is  one  whici 
remains  more  vividly  impressed  on  the  memory  than  many  a  daylight  journc- 
on  the  beaten  track. 

Balliol  College,  r.  w.  Southern 

Oxford 

Calvin:  Commentaries.  Newly  translated  and  edited!  by  Joseph  Haroutunian  ii 
collaboration  with  Louise  Pettibone  Smith.   (The  Library  of  Christiai 
Classics,  xxiii).  Pp.  414.  London:  S.C.M,  Press,  1958.  35s. 
John  Calvin:  On  the  Christian  Faith:  selections  from  the  Institutes,  Commentaries,  am 
Tracts.  Edited,  with  an  Litroduction,  by  John  T.  McNeill.  (The  Librar\ 
of  Liberal  Arts,  93).  Pp.  xxxiv  +219.  New  York:  Liberal  Arts  Press,  1958 
95  cents. 
De  meme  qu'ils  avaient  reserve  un  volume  de  la  Library  of  Christian  Classics 
aux  oposcules  de  Calvin,  les  editeurs  de  cette  interessante  collection  de  textes 
traduits  en  anglais  en  ont  consacre  un  aux  Commentaires  du  reformateur.  Le 
professeur  J.  Haroutunian  qui  a  ete  charge  de  ce  travail  se  trouvait  en  presence 
d'une  tache  extremement  difficile.  Les  commentaires  et  les  sermons  de  Calvin 
occupent,  a  eux  seuls,  trente-trois  volumes  du  Corpus  Reformatorum,  et  il  ne 
pouvait,  dans  ces  conditions,  etre  question  que  d'un  choix  tres  restreint.  Afin 
de  donner  un  apergu  aussi  complet  que  possible  de  I'cEuvre  exegetique  de 
Calvin,  M.  Haroutunian  a  opte  pour  une  formule  consistant  a  ne  retenir  des 
divers  commentaires  que  de»  extraits  tres  brefs  et  ne  depassant  guere  trois  ou 
quatre  pages  dans  quelques  cas  privilegi^s.  Le  plus  souvent,  il  ne  s'agit  que  de 
courts  fragments.  L'editeur  a  regroupe  ses  extraits  suivant  un  ordre  syst6- 
matique  qui  s'inspire  du  plan  de  {'Institution  chretienne.  La  clarte  de  I'ensemble 
y  trouve  son  compte.  Mais  on  pent  se  demander,  si  le  lecteur  retrouve,  dans  cet 
agencement,  I'unite  interne  qui  caracterise  les  ecrits  exegetiques  du  reforma- 
teur. Pour  sauvegarder  I'originalite  de  ces  derniers,  il  aurait  6te  preferable, 
croyons-nous,  de  choisir  des  extraits  plus  longs  et  moins  nombreux  et  de  les 
disposer  suivant  I'ordre  chronologique  de  leur  parution.  La  traduction,  faite 
sur  le  texte  latin  original,  est  redigee  en  un  anglais  certainement  plus  agreable 
et  plus  elegant  que  n'etait  celui  de  la  'Calvin  Translation  Society'.  Est-elle 
toujours  aussi  precise?  II  est  permis  d'en  douter.  Les  sondages  auxquels  nous 
avons  procede  nous  ont  fait  rencontrer  trop  d'a  pen  pres  et  meme  de  simples 
paraphrases,  pour  ne  pas  laisser  quelque  inquietude  a  ce  sujet.  Sans  doute,  le 
sens  general  de  la  phrase  est-il  respecte,  mais  combien  de  nuances  dont  on  ne 
retrouve  plus  fa  trace !  II  arrive  meme  que  des  phrases  entieres  aient  ete  omises, 
sans  que  le  lecteur  en  soit  averti.  On  aurait  pu  eviter  ces  inconvenients,  sans 
tomber  necessairement  dans  un  langage  archaique  ou  pedant.   Une  intro- 
duction generale  nous  presente  Calvin  comme  exegete.  II  y  a  la  de  bonnes 
pages  sur  la  methode  de  Calvin  et  sur  certains  aspects  de  sa  doctrine  (inspira- 
tion des  ecrits  bibliques,  p.ex).  L'auteur  insiste  longuement  sur  la  place  que 
prend,  dans  la  theologie  calvinienne,  la  notion  des  souffranccs  des  elus  et  de 
leurs  luttes  contre  le  mal.  Sans  vouloir  diminuer  le  role  qu'elles  jouent  effectiNe- 
ment  dans  la  pensee  du  reformateur,  il  faudrait  eviter  d'en  exagerer  I'importance 
et  de  dpnner  a  la  pensee  calvinienne  un  schematisme  auquel  elle  nous  sembie 
fort  etMngere.  Mais  cc  ne  sont  la  que  reserves  secondaires.  L'ouvrage  dc  M. 

108 


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.,,    Oxford  University  Press 

It) 

Amen  House,  V/arwick  Square,    London,    EC4 


Tlw  fol/owiiiii  (ipimircil  in  77//-;   M  A  \  CHESTER    (,[  A  R  1)1  AS 

of. Tuesday  .19th  .Au-.ua.t...l.9.5.a,» 


Books  of  I  be  Diiy 


THE  LION  AND  THE   UNICORN 


The  King's  Two  Bodies:  a  Study  in 
Medieval  Political  Theology.  By  Ernst 
II.  Kamorowicz.  Princeton  University 
Press.  Oxford  Univtr.sitv  Press.  Pd. 
xvi  Ii(i8.  80.,. 
Political  Tliought  in  Medieval  Times. 
By  John  B.  Morrall.  Hutchinson.  Pu 
156.     18.S. 

When  Sir  Francis  Baeon,  criticising 
the  manifesto  of  the  Ordainers  in 
1308,  declared  that  the  King's  person 
and  the  Crown  were  "  inseparable 
though  distinct,"  he  laid  down,  to  all 
intents  and  purposes,  the  basic  theme 
of  "  The  King's  Two  Bodies."  Reflect- 
ing upon  the  way  in  which  personal 
and  institutional  elements  have  been 
combined  in  the  Crown — the  subject  of 
a  famous  essay  by  Maitland^Professor 
Kantorowicz  has  gone  back  to  theolo- 
gians like  the  royalist  Anonymous  of 
York  and  to  the  early  civilians  and 
canonists  (it  is  interesting  to  find  how 
often  Baldus  appears)  to  see  how  the 
dualism  arose.  And  what  a  bock  he 
has  written  !  A  multitude  of  seeming 
by-paths,  theological  and  legal,  all 
leading  somehow  to  the  central  track 
of  a  regality  that  speaks  and  acts  in 
the  name  oif  the  community,  a  corpus 
not  subject  to  the  vicissitudes  of  time, 
yet  even  to-day  personal  enough  to 
give  public  authority  a  measure  of 
dignity    and    comeliness. 

"The  idea  of  the  king's  two  natures, 
personal  and  fictional,  may  well  have 
had  a  theological  origin  ;  he  was  a 
gemina  persona  because  he  was  imago 
Christi,  "even  with  regard  to  the  two 
natures."  But  this  in  time  was  super- 
.seded  by  the  legal  concept  enunciated 
by    Frederick    II.    who    "  sought    the 


By   j;.  i\  Jacob 

sempiternal  essence  of  his  rulership 
somewhere  in  an  undying  idea  of 
Justice."  The  monarch  had  "  changc<l. 
so  to  speak,  from  a»vicarius  Christi 
to  a  vicarius  lustitiae."  Justice  now 
became  the  eternal,  undying  essence 
of  the  ruler.  Bracton  has  it  difTerently. 
If  the  king  is  vicar  of  God,  he  is  also 
vicarius  Fisci  ;  if  he  was  a  temporal 
king,  he  was,  in  jregard  to  res  sacrae 
or  public,  unaffected  by  time,  ami  in 
his  perpetual  aspect  "  he  outlasted  and 
defeated  all  other  beings."  And  in  the 
thirteenth  century  people  were  just 
beginning  to  recognise  this.  Nothing 
in  the  book  is  better  said  than  the 
verdict  upon  the  age  of  Bracton  :  "  It 
was  then  that  the  "  community  of  the 
realm '  became  conscious  of  the 
difference  between  the  king  as  a 
personal  liege  lord  and  the  king  as  the 
supra-individual  administrator  of  a 
public  .sphere  which  included  the  fisc 
that  '  never  died  '  and  was  perpetual 
because  no  time  ran  against  it."  It 
was  characteristic  of  English  thought 
to  conceive  of  the  royal  office  largely 
in  financial  and  administrative  terms. 
Hardly  in  tt^rms  of  philosophy  or  the 
humanities:  and  Professor  Kantorowicz 
can  turn  b.y  way  of  contrast  to  consider 
the  poet  who  entertained  a  different 
doctrme  of  kingship,  attributing  to  the 
human  community  a  moral  and  ethical 
goal  independent  of  the  Church  but 
co-ordinated  with  it.  The  impcrium 
of  Dante  pursued  for  the  university  of 
men  the  intellectual  ideal  of  humana 
civilitas.  a  goal  of  terrestrial  happiness, 
realisable  in  the  here  and  now.  to  the 


hc<rror  of  the  papal  ists.  Dante's 
dualism  of  Empire  and  Papacy  was 
indeed  no  Gelasian  dualism.  All  this 
is  considered  under  the  heading  of 
■•  man-centred  royalty  "  ;  and  if  the 
relevance  of  some  of  it  is  not 
inimed.ately  apparent,  one  can  only  be 
grateful  for  the  rtminder  that  in  1311- 
1312  Dante,  so  far  from  being  out  of 
date,  anticipated,  in  his  argument  that 
political  beatitude  was  rwssible  in  this 
l;fe,  the  alarming  secularism  of 
Marsilius  of  Padua. 

Quite  different  is  Dr  Morrall's  book  : 
one  that  fortifies  its  briefer  pages  by 
steady  exposition  covering  leading 
topics — the  problem  of  authority 
raised  in  the  twelfth  century,  the  effect 
produced  by  the  ideas  and  methods  of 
Roman  Law  when  introduced  fully  into 
moiiieval  Europe,  the  beginnings  of 
autonomous  .secular  sovereignty. 
These  are  skilfully  treated  as  and 
when  they  appear  in  the  medieval 
time-sequence.  All  this  goes  very 
satisfactorily  till  Dr  Morrall  reaches 
"the  two  hundred  years  between 
Marsilius  and  Martin  Luther,"  an 
epoch  of  which  he  writes  :  "  There  is 
no  lac^  of  evidence,  but  the  problem 
is  how  to  interpret  it."  But  this  is  what 
historians,  with  all  thei^  limitations, 
exist  to  do.  Dr  Morrall  calls  the  period 
"  The  Age  of  Ambiguity,"  and  the  age 
that  saw  the  great  extension  of  the  lay 
spirit,  the  Conciliar  challenge  to  the 
Curia,  the  reply  of  the  Church  to 
Lol  lardy,  the  development  of  the 
Devotio  modern  a  receives  only  a 
few  pages  (albeit  of  excellent  judg- 
ment) from  a  scholar  who  has  spent 
much  of  his  time  in  understanding  the 
political  writings  of  Gerson. 


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E.   H.   Kantorowici,   The   King's  two  bodies. 


293 


nana  des  Papstes  uber  die  Konige  und  Kaiser  im  Falle  des  Mangels 
der  Gerechtigkeit,  7)  auf  der  absoluten  Inkompetenz  jeder  temporel- 
len  Gewalt,  einsdiliefilich  der  des  Kaisers,  in  kirchlichen  Anqeleaen- 
heiten.  ^ 


Freiburg  i.  B. 


N.  Hilling 


42.  Ernst  H.  Kantorowicz,  The  King's  two  bodies.  A  Study  in  Me- 
diaeval Political  Theologic.  (XIII  u.  508)  Princeton,  Princeton 
University  Press  1957.  Dol.  10, . 

Die  Idee  von  den  zwei  Personen  eines  Wurdentragers  hat  ihren 
sichtbaren  Ausdrudc  in  den  Kanzleigebrauchen  der  Romischen  Kurie 
gefunden,  indem  der  Papst  das  Placet  unter  den  Supplikem  mit  seinem 
Taufnamen  unterzeichnet,  wahrend  die  dariiber  ausgelertigte  Urkun- 
de  auf  den  Papstnamen  lautet.  Die  oben  genannte  Studie  von  Ernst 
H.  Kantorowicz  beschaftigt  sich  mit  den  zwei  Personen  des  Konigs 
Diese  Frage  wurde  in  England  wahrend  des  Elisabethanischen  Zeit- 
alters  vielfach  erortert  und  spielt  in  dem  Shakespearschen  Drama 
Richard  II.  eine  groI3e  Rolle.  Unser  Verfasser  hat  nun  die  Entste- 
hungsgeschichte  dieser  Theorie  naher  verfolgt  und  dadurch  einen 
wichtigen  Beitrag  zur  Geschichte  der  Politischen  Theologie  des  Mit- 
telalters  geliefert,  der  in  weiteren  Kreisen  Beachtung  verdient  Eine 
ausfuhrhche  Darstellung  von  der  doppelten  Person  des  Konigs  findet 
sich  bereits  bei  dem  Normannischen  Anonymus,  der  zwischen  Natur 
und  Gnade  untersdieidet  und  auf  Grund  der  ersten  den  Koniq  als 
Menschen  und  auf  Grund  der  anderen  als  Christus,  d.  i.  Gott-Mensch 
bezeichnet.  Diese  Hypothese  war  jedoch  keine  Erfindung  des  Anony- 
mus, sondern  entsprach  der  allgemeinen  theologischen  Auffassunq 
die  von  der  Christologie,  nach  der  in  einer  Person  zwei  Naturen  ver- 
einigt  sind,  hergeleitet  ist.  Hierdurch  wurde  der  Konig  aus  der  Reihe 
der   gewohnlichen    Menschen    herausgehoben    und    in   eine   hohere 

?  f/r'""^*-  ^''^  ^^*^  ^^^  ^°"'g^'  ^o  s*^«ibt  der  Anonymus,  ist 
die  Madit  Gottes;  Gottes  nicht  zwar  von  Natur,  sondern  durch  Gna- 
de. Deshalb  ist  der  Konig  Gott  und  Christus,  aber  durch  Gnade  und 
was  er  tut,  tut  er  nicht  als  Mensch  schlechthin,  sondern  als  durch 
Gnade  gewordener  Gott  und  Christus.  Von  den  Zivilisten  hat  be- 
sonders  Baldus  die  Wiirde  des  Fursten  betont,  indem  er  schreibt- 
Pnnceps  enim  legitime  electus  est  in  terris  Deus,  et  maxime  papa.' 
VgL  Franz  Gillmann,  Dominus  Deus  noster  papa?  in:  Archiv  fiir 
kathohsches  Kirchenrecht  95,  269  Anm.  7.  Wahrend  das  erste 
Hauptstudc  des  Buches  das  Konigtum  unter  dem  Gesichtspunkte  der 
Christologie  betrachtete,  stellt  das  zweite  das  Gesetz  in  den  Mittel- 
punkt.  Im  Anschlusse  an  den  Liber  Augustalis  Friedrichs  II.  und  die 
Sdirift  von  Henry  of  Bracton,  De  legibus  et  sonsuetudinibus 
Anghae  werden  die  Stichworter  Rex  est  pater  et  filius  iustitiae  und 
Kex  infra  et  supra  legem  naher  erortert  und  durch  das  Sdirifttum 
eingehend  erlautert.  Das  folgende  Hauptstudc  geht  von  den  Korpo- 
ratronsbegnffen  des  Corpus  Ecclesiae  mysticum  und  des  Corpus 
Reipubhcae  mysticum  aus  und  verbreitet  sich  im  Anschlusse  an  das 
Corpus  Ecclesiae  mysticum  uber  das  Thema  Pro  patria  mori  und  den 


\\ 


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Rezensionen  und  Referate 


religiosen  und  legalen  Begriff  des  Vaterlandes,  iiber  die  patriotische 
Propaganda  und  das  Verhaltnis  von  Konig  und  Vaterland.  In  dem 
tolgenden  Kapitel  ist  von  der  Kontlnuitat  der  Korporationen  die 
Rede  und  von  der  Fiktion,  daB  das  Imperium  immer  besteht  und  die 
Universitas  nicht  stirbt.  Der  folgende  Abschnitt  hat  die  Uberschrift 
der  Konig  stirbt  niemals  und  erortert  die  Kontinuitat  der  Dynastie, 
das  Symbol  der  Krone  und  den  Satz,  daB  die  Wiirde  nicht  stirbt.  Das 
letzte  Hauptstiidc  ist  den  Schriften  von  Dante  gewidmet,  der  die 
niJchterne  und  realistische  Auffassung  von  dem  Menschentum  des 
Konigs  (optimus  homo)  vertritt. 

Allen  diesen  Fragen  ist  Ernst  H.  Kantorowicz  mit  groBter  Grund- 
lichkeit  nachgegangen,  so  daB  seine  Publikalion  ein  Muster  histori- 
scher,  politischer  und  literaturgesdiichtlicher  Forschung  darstellt.  Aut 
nahere  Einzelheiten  kann  bei  dem  Reiditum  des  Stoffes  und  der  Viel- 
gestaltigkeit  der  behandelten  Probleme  an  dieser  Stelle  nicht  nahei 
eingegangen  werden.  Fur  das  Verhaltnis  von  Kirche  und  Staat  nach 
mittelalterlichei  Auffassung  sind  die  Abschnitte  uber  die  beiden 
mystischen  Korper  der  Kirche  und  des  Staates  von  besonderer  Widi- 
tigkeit.  Zu  erwahnen  ist  noch,  daB  dem  darstellenden  Teile  ein  An- 
hang  mit  zahlreichen  Abbildungen  hinzugefugt  ist,  die  den  Text  illu- 
strieren.  Er  umfaBt  nicht  weniger  als  24  Seiten.  Das  Verzeidinis  der 
Bibliographie  besteht  aus  4  Seiten.  Das  sachlidie  und  personliche  In- 
haltsverzeichnis  ist  mit  groBter  Akribie  angefertigt  und  erleiditert 
den  Gebrauch  des  wertvollen  Buches,  dem  moglichst  viele  Benutzer 
zu  wunsdien  sind.  Es  ware  zu  begriiBen,  wenn  auch  die  kirchlidien 
Wiirdentrager,  insbesondere  der  Papst  und  die  Priester,  die  in  der 
obigen  Schrift  nur  nebenbei  beriicksichtigt  werden,  inbezug  auf  ihre 
doppelte  Personlichkeit  naher  untersucht  wurden. 

Freiburg  i.  B.  n.  Hilling 

43.  Francisco  de  Vitoria,  Die  Grundsdtze  des  Staats-  und  Volker- 
rechts.  Eine  Auswah].  Herausgegeben  von  Antonio  Truyol  Sena. 
2.  Auflage  (105)  Zurich,  Thomas-Verlag  o.  J.  (1957)  M.  7,40. 

Aus  AnlaB  des  vierhundertsten  Anniversars  des  Todestages  von 
Francisco  de  Vitoria,  der  1546  alsi  Inhaber  des  Primarlehrstuhles  in 
der  Theologischen  Fakultat  zu  Salamanca  starb,  wurde  das  Anden- 
ken  an  diesen  Klassiker  der  Rechtsphilosophie  von  neuem  wadige- 
rufen  und  durch  besondere  Gedachtnisteiern  in  Salamanca,  Buenos 
Aires  und  Oxford  ausgezeichnet.  Als  Begrunder  der  internationalen 
Rechtswissenschaft  durch  seine  relectiones  de  Indis  hat  der  spanische 
Dominikaner  die  meiste  Beaditung  und  Anerkennung  gefunden.  Ds- 
neben  sind  aber  auch  diei  relectiones  de  potestate  civili  fiir  das  in- 
nerstaatliche  Gebiet  von  groBer  Bedeutung.  Fiir  das  Kirdienrecht  hat 
er  die  beiden  relectiones  de  potestate  Ecclesiae  und  die  relectio  de 
potestate  Papae  et  concilii  beigesteuert,  die  gleichfalls  von  dem 
Scharfsinn  und  der  zeitnahen  Auffassung  des  Autors  Zeugnis  able- 
gen.  In  der  Einleitung  hat  der  Herausgeber,  Professor  der  Rechts- 
philosophie an  der  Universitat  Murcia,  darauf  hingewiesen,  daB  die 
Schriften  de  Vitorias  fiir  die  Gegenwart  einen  hohen  aktuellen  Wert 


n    L    L 

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694  ROBERT  TREDWELL  AND  STAFF 

THE  REVIPW  OF.  MrrAPffY5»^* 

observe  man  s  universal  ac  tivity  of  borrowinj^  concepts  from  one  dis- 
cipline to  deal  with  chanf^ing  situations  in  another.  —  W.  F.  T. 


Kantorwicz,  E.  II.  The  King's  Two  Bodies:  A  Study  in  Medieval  Political 
Theology.  Princeton:  Princeton  University  Press,  1957.  xvi,  568  pp. 
$10.00 — As  fascinating  as  its  title,  this  "study  in  medieval  political 
theology"  explores  the  origins  and  significance  of  the  concept   (found 

fully  developed  in  Plowden's  Reports)  thaJ^ltf  King  "has  in  him  two 

Bodies,  viz.,  a  body  natural,  and  a  Body  pcWScR^BWiay  QkuMET>iM*W^'SIC!) 


it  be  considered  in  itself)  is  a  Body  mortal,  subject  to  all  Infirmities 
that  come  by  Nature  or  Accident...  But  his  Body  politic  is  a  Body  that 
cannot  be  seen  or  handled,  consisting  of  Policy  and  Government..."  In 
Professor  Kantorwicz 's  sure  hands  the  fiction  of  the  king's  two  bodies 
becomes  a  focal  point  for  a  wide-ranging  study  of  medieval  theology 
and  political  thought,  and  the  center  of  a  microcosm  in  which  we  can 


U^««.^.^^>' 


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should  be"  (p.  625).  One  may  ask,  how  does  one  "without  faith"  "profess 
the  same  faith  of  the  Church"? 

There  is  a  necessary  bond  between  accuracy  and  even  excellence  of 
language  and  the  science  of  theology.  As  that  science  begins  again  to  show 
signs  of  vigorous  growth  in  the  English  language,  we  must  not  be  unmind- 
ful of  the  example  set  by  Cardinal  Newman,  who  used  language  as  an  instru- 
ment of  precision  and  beauty  in  the  service  of  Christ. 


University  of  Notre  Dame 


John  Quinlan 


The  King's  Two  Bodies:  A  Study  in  Medieval  Political  Theology, 
By  Ernst  H.  Kantorowicz.  Princeton,  N.  J.:  Princeton  University  Press 
1957.  Pp.  xiv  +  568.  $10.00. 

Some   thirty-five  years   ago   Carl   Schmitt   published   under   the   title, 
Polilische  Theologie,  a  series  of  essays  contending  that  most  concepts  in 
modern  political  theory  were  secularized  theological  concepts.  In  1935  Erik 
Peterson  in  an  essay,  "Monotheismus  als  politisches  Problem,"  wrote  that 
by  the  Trinitarian  dogmas  not  only  monotheism  as  a  political  problem  was 
abolished  and  the  Christian  faith  freed  from  enchainment  with  the  Im- 
perium  Romanum  but  also  any  form  of  political  theology,  i.e.,  "to  use  the 
Christian  Kerygma  for  the  justification  of  a  political  situation"  (p.  99).  And 
Friedrich  Heer  in  his  controversial  but  thought-provoking  Aufstieg  Europas 
(1949),  though  he  speaks  of  "political  religiosity,"  comes  to  the  same  con- 
clusion: "There  are  no  more  Sacra  Imperia"  (p.  660).  Nevertheless,  the 
historian  is  still  justified  in  using  the  term,  as  long  as  he  means  by  it  the 
fact  that,  especially  in  the  era  of  faith  and  deep  into  the  era  of  the  Reforma- 
tion—with the  exception  of  the  more  pagan  wing  of  the  Renaissance— we 
often  find  a  "confusion"  (in  an  ambiguous  sense)  of  political  theory  and 
theologoumena,  a  mutual  borrowing  of  theories  and  concepts,  of  symbols 
and  images,  more  by  political  theorists  than  by  theologians,  to  develop 
their  theses,  to  understand  perhaps  better  the  "mystery  of  the  state's 
soul";  and  we  find  that  especially  in  the  political  and  juridical  Tendenz- 
Literatur  of  these  eras.  In  a  formidable  volume  replete  with  profound  scholar- 
ship and  admirable  control  of  the  original  sources  and  the  widespread  sec- 
ondary literature  (with  thirty-two  plates  of  excellent  illustrations)  Prof. 
Kantorowicz,  known  especially  for  his  masterful  though  somewhat  contro- 
versial biography  of  Emperor  Frederick  II,  gives  us  an  extremely  valuable 
and  carefully  documented  study  of  such  borrowings  from  theology  and 
appropriations  by  political  theorists  and  jurists  during  the  Middle  Ages  up 
to  the  first  decades  of  the  seventeenth  century. 


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436 


THEOLOGICAL  STUDIP:S 


The  study  starts  with  a  law  case  in  Plowden's  Reports  where  for  reasons 
of  a  juridical  distinction  the  doctrine  of  the  king's  two  bodies  is  elaborated: 
"The  King  has  in  him  two  bodies,  the  body  natural  and  the  body  politic." 
The  latter  as  "corporation  sole"  cannot  be  seen  or  handled;  thus  in  "twin- 
born  majesty"  (Maitland)  the  personal  and  the  impersonal  concepts  of  gov- 
ernment were  united:  "The  King  as  body  natural  and  mortal  is  subject  to 
all  infirmities  that  happen  to  the  natural  Bodies  of  other  People."  But  his 
body  politic  is  "a  Body  that  cannot  be  seen  or  handled,  consisting  of  Policy 
and  Government  and  constituted  for  the  Direction  of  the  People  and  the 
Management  of  the  public  weal;  and  this  Body  is  utterly  void  of  Infancy 
and  old  Age  and  other  natural  Defects  and  Imbecilities"  (p.  7).  This  idea 
has  naturally  a  long  and  involved  tradition  and  many  ramifications  in 
juridical  and  political  theory  of  the  Middle  Ages  which  this  learned  volume 
elaborates.  Though  the  theory  is  markedly  of  English  common  law  origin, 
its  problem,  ultimately  the  juridical  or  moral  personality  of  the  state  and 
other  constituted  social  bodies  and  their  perpetuality,  the  distinction  be- 
tween person  and  office,  and  their  symbolic  representation  in  theory  and  the 
arts,  is  universal.  The  Roman  jurists  and  the  medieval  canonists  as  well  as 
the  theologians  in  ecclesiology  knew  and  worked  on  it;  e.g.,  the  doctrine  of 
the  Church  as  corpus  mysticum  could  be,  and  was,  appropriated  by  the 
jurists  for  a  theory  of  the  corpus  politicum  mysticum;  the  twin  bodies  of  the 
king  could  be  interpreted  mutalis  mutandis  in  terms  of  Christology;  the 
theology  of  the  sacrament  of  ordination  and  the  consecration  of  bishops, 
considering  the  sacramental  character  of  the  anointing  and  consecrating  the 
emperor  or  king,  the  objective  validity  of  the  sacrament  despite  all  sins 
and  infirmities  of  the  minister  as  an  individual,  the  distinction  in  canon  law 
between  the  immortal  dignitas  and  the  mortal  dignitary,  all  these  could  be 
transferred  to  political  problems.  From  the  theological  dictum,  Sedes  {quia 
Christus)  non  moritur,  follows  Imperium  semper  est  or  Dignitas  non  moritur, 
symbolized  in  the  King's  twin  bodies,  the  one  mortal  and  the  other  immortal.' 
In  five  richly  documented  chapters,  "Christ-centered  Kingship,"  "Law- 
centered  Kingship,"  "Polity-centered  Kingship:  Corpus  mysticum;'  "On 
Continuity   and   Corporations:  The  King  Never  Dies,"   "Man-centered 
Kingship:  Dante,"  the  author  follows  the  very  complex  history  of  these 
secularizations  and  appropriations  of  originally  theological  concepts  by 
the  jurists  of  the  kings  of  the  rising  sovereign  states.  The  Norman  Anony- 
mous serves  as  a  pattern  for  the  first  kind  of  kingship;  here  the  king  is  an 
individual  man  by  nature,  by  grace  he  is  "Christus:  hujus  Christi,  id  est  Dei 
et  hominis,  imago  et  figura"  just  like  the  episcopus;  he  is  a  "gemina  persona" 
(pp.  49  fT.);  the  borrowings  of  symbols,  images,  and  concepts  stem  in  these 
early  times  from  the  liturgical  sacramental  sphere  (cf.  some  interesting 


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437 


further  evidence  in  Heer's  book,  ch.  I,  pp.  103  ff.).  The  next  period  may  be 
called  "theo-centric  juridical."  John  of  Salisbury  calls  the  King  "Imago  et 
servus  aequitatis,  persona  publica  legibus  solutus  et  alligatus";  this  became 
in  Frederick  II's  Liber  Augustalis  "Pater  et  filius  justitiae,"  "Mediator,"  of 
course  with  a  polemic  pointed  sense  against  the  plenihido  polestalis  of  the 
Papa-Caesar.   Now   the  jurists— "merito  sacerdotes  vocantur"— say  that 
the  Emperor  owes  his  dignitas  not  to  Christ  but  to  "the  Law,"  i.e.,  the 
Roman  Law,  the  ratio  scripla  in  which  "all  is  contained."  A  new  pattern  of 
persona  mixta  emerged  from  Law  itself  with  justitia  as  the  model  deity  and 
the  prince  as  both  her  incarnation  and  her  pontijex  maximus  (p.  143).  Then 
in  this  age  of  jurisprudence  the  sovereign  state  with  its  independent,  proper 
lelos  and  origin,  becomes  independent  of  the  Church,  hallowed  by  "the" 
Law  and  its  sempitcrnity;  what  it  still  needed  was  the  concept  of  corpora- 
tion. This  it  received  through  the  term  corpus  mysticum  borrowed  from 
ecclesiology  but  placed  on  a  rational  basis.  (Kantorowicz  follows  here  Henri 
de  Lubac,  Cinpus  mysticum,  2nd  ed.,  Paris,  1949.)  After  the  corpus  mysticum 
concept  had  been  extended  from  the  sacramental  to  the  "juridical  corpora- 
tional"  field,  it  could  now  be  appropriated  for  the  state  per  atmlogiam. 
Fortescue  talks  without  hesitation  of  the  "mystical  body  of  the  Realm." 
Henry  VIH  would  by  confusion  fuse  the  two  corpora  mystica.  In  a  similar 
way  the  ecclesiological  principle  Ecclesia  nunquam  moritur  becomes  Im- 
perium,  Respublica,  finally  Universitas  non  moritur;  from  this  follows  in  an 
involved  and  complex  history  the  adage  "The  king  never  dies,"  i.e.,  the 
king  as  head  of  the  mystical  body  of  the  realm,  the  king  as  head  of  the 
corporation  distinguished  from  the  king  as  a  natural  body. 

In  two  chapters  the  author  shows  that  Dante  as  well  as  Shakespeare  was 
familiar  with  the  theory  of  the  King's  two  bodies.  The  latter,  e.g.,  lets 
Richard  II  in  that  outspoken  political  play  say  that  he  has  become  "a 
traitor  to  his  own  immortal  body  politic"  (p.  38);  and  Dante  enlarges  this 
image  so  loaded  with  meanings  in  letting  himself  be  "crowned  and  mitred" 
by  Vergil;  now  every  man  has  dignitas  quae  non  moritur;  humanitas  as 
Adae  mobilis  corpus  mysticum  and  the  redeemed  individual  man  is  restored 
to  original  innocence,  as  a  body  natural;  man  as  actual  idea  and  individual 
man  as  potentiality  is  the  philosophical  prototype  of  the  king's  two  bodies. 
After  reading  this  profound  book  with  its  wealth  of  ideas  and  interpreta- 
tions of  historical  facts,  one  might  be  inclined  more  than  before  towards 
Erik  Peterson's  thesis  and  towards  a  development  that  led  to  the  depolitiza- 
tion  of  Church  and  theology  and  to  the  detheologization  of  state  and  poli- 
tics; their  fusion  leads  too  often  to  confusion. 


Georgetown  University 


Heinbich  a.  Rommen 


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30 

E.  H.  Kantorowicz,  The  King's  Two  Bodies.  A  Study  in  Mediaeval 
Political  Theology,  Princeton  1957,  Princeton  University  Press,  XVI  u.  568  S., 
24   Tf.  —  Die  englischen  Juristcn  der  elisabethanischen  Zeit  entwickelten  die 
Theorie  von  den  zwei  Korpcrn  des  Konigs,  eines  naturlidien,  der  Krankheit, 
Tod   und   alien   Gebrcchen   des   natiirlidien   Lebens   unterworfen   ist,   und   eines 
ubernaturlichen,    der    weder    krank    nodi    sdiwac+i,    niemals    minderjahrig   oder 
senil  ist,  der  niemals  stirbt  und  der  den   Engeln   vergleidibar  ist.  Die   vorlie- 
gende  Studic  zcichnct  den   allgemeincn   historischen   Hintergrund   dieser  merk- 
wurdigen,  stcts  in  einer  lialbreligioscn  Sprache  vorgetragenen  verfassungsredit- 
lichen   Theorie   und   zeigt,   welche   Riditungen   politischen   Dcnkens   und    redit- 
lidier  Spekulation  zu  einer  solchcn  Theorie  hinfuhren  konnten.  Der  sogcnannte 
Yorker  Anonymus  (um  1100)  zeigt  uns  am  deutiichsten  das  Bild  des  Christus- 
bezogcnen   Konigtums   der  ottonisdien   und   friihsalischen    Zeit.   Der   Konig   ist 
vor    allem    Christomimetes,    Reprascntant    Christ!    auf    Erdcn,    dessen    Sein    er 
per  gratiam  iibernimmt.  Der  Konig  stellt  also  eine  gcmina  persona  dar,  irdisdi 
durdi  seine  Natur,  gottlidi  durch  die  Gnade.  Diese  Angleidiung  des  Kcinigs  an 
die  Doppelnatur  Christ!  hat  in  einer  Miniatur  des  um  973  auf  der  Reichenau 
entstandcnen    Aachencr   Evangeliars    eincii    iiberzeugenden    kiinstlerischcn    Aus- 
drud   gefunden.   Die  Christus-bezogene  liturgisdie   Auffassung  des   Konigtums 
wurde  im  Laufe  des  12.  Jh.s  von  der  theokratisdi-juristischen  Auffassung  eines 
Recht-bezogenen    Kiinigtunis    abgelost.    Line    der    Hauptquellen    dieser    neuen 
Auffassung  war  das  romische  Redit,  speziell  die  lex  regia,  die  dem  Herrsdier 
voile  Gewalt  iibcrtrug,  und  die  lex  digna,  die  ihn  an  das  Gesetz  band.  Hieraus 
leitete   Friedrich   II.   seine   Doppelstcllung   als  pater  et  filius  iustkiae  ab.   Die 
lusticia   aber   ist   die   Mittlerin    zwischen    gottlichem    und    menschlichcm    Redit. 
Nodi  engcr  wurde  der  Herrscher  mit  der  lusticia  verbunden,  indem  man  ihn 
als   lusticia  ammata  begriff.   War   die   PoJaritat   von   menschlicher   Natur   und 
gottlidicr    Gnade    das    Spannungsfeld    des    Christus-bezogenen    Konigtums,    so 
war   das   des    Recht-bezogenen    Konigtums    die    Polaritat    von    gottlidiem    und 
menschlichem    Redit.    Der   dauernd    sich    vollziehende    Austausdi    zwischen    der 
kirchlit+ien  und  der  wcltlidien  Sphare  brachte  im   14./15.  Jh.  die  Angleichung 
des  Staates  an  die  Kirche  audi  in  korporativer  Hinsicht,   indem  er  analog  zu 
dieser  als  ein   corpus  mysticum   aufgefalk   wurde.   Damit   trat   audi  ein   neues 
Herrschcrbild  in   Ersdieinung,  das  Staat-bezogene  Konigtum.  Der  urspriinglich 
liturgisdie  Begriff  des  corpus  ecclcsiae  mysticum   wurde  auf  den   Staat   iiber- 
tragen,  der  Konig  wurde  das  Haupt  des  mystisdien  corpus  rei  publicae.  Fur 
England   pragte   John   Fortescue   die  beriihmte   Definition   dominium   regale  ct 
politicum,  d.  h.  der  Konig  steht  sowohl  iiber  wie  unter  dcni  Staatskorper,  so 
wie  der  Konig  des   13.  Jh.s  liber  und   unter  dem  Gesetz  gestanden  hatte.   Fijr 
die  Ausbildung  der  Theorie   von   des  Konigs  zwei   Korpern   mufite   aber   nodi 
ein   Faktor  hinzutreten,  ohne  den  der  Konig  den  character  angeltcus  nidit  er- 
langen  konnte:  die  Kontinuitat.  Diese  fand  sidi  in  der  universitas,  quae  non 
moritur,   in   der   Perpetuitat   des   Volkes    und   des   Vaterlandes;    an    ihr   mufite 
nidit  der  einzelne  Herrscher  teilhaben,  wohl  aber  die  Dynastie,  die  Krone,  die 
koniglic+ie  Wiirdc.  Die  Juristen  hatten  den   Begriff  der  universitas  cntwickelt, 
dercn   Hauptkennzeidicn   die   Unsterblichkeit,   die   Daucr   in   der   Zeit   und   die 
Identitat  im  Wechsel   waren.   Erst  die   Anwendung  dieses  ««iffrs/fas-Begriffes 
madite  den  nur  organisch  aufgefafken  Staatskorper  sempitern.  Durdi  die  Fik- 
tion  einer  gewissermafien  nidit  horizontal,  sondern  vertikal  gcdaditcn  Korpo- 
ratiori,  die  nur  in   Hinbiick  auf  die  Zeit,  per  succcssionem,  koUektiv  war,  in 
einem  gegebenen   Zeitpunkt  aber  nur  aus  einem  Glied   bcstand,  war  audi  das 
sdiwierige   Problem   eines   dem   unsterbiichcn   Staatskorper   adaquaten   unsterb- 
lidien  Hauptes  zu  losen.  Die  Vorstellung  des  unsterblidien  Konigs  entwickelte 

sidi  an  drei  Faktoren,  der  Kontinuitat  der  Dynastie,-  dem  korporativen  Cha- 


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u.igcii,  ilcr  KoiiiH  wiircic-  cl.is  I  l.uipt  ilcs  mystisdicii  corpus  rci  piibticac.  Fu 
liigland  pragii-  John  lortcscuc  die  beriilinitc  Definition  dominium  regale  ct 
politiciim,  d.  Ii.  dtr  KiJnig  stcht  sowohl  iibcr  wie  untcr  dc-m  Staatskorpcr,  so 
wic  dcr  Kiinig  des  13.  Jli.s  iibcr  und  untcr  dt-m  Gcsctz  gestandcn  hatte.  Fur 
die  Ausbildiing  der  Thcorie  von  des  KoniRS  zwci  Korpern  mufite  aber  noch 
ein  Faktor  hinzutreten,  olinc  den  der  KiiniR  den  character  arigeltcus  nicht  cr- 
langen  konnte:  die  Kontinuitat.  Dicse  fand  sich  in  der  universitas,  f/uac  non 
moritur,  in  der  Perpetuitat  des  Volkcs  und  des  Vaterlandes;  an  ihr  mulke 
nicht  der  einzeine  Herrscher  teilhaben,  wohl  aber  die  Dynastic,  die  Krone,  die 
koniglic-he  Wiirde.  Die  Juristen  batten  den  lkY,riff  der  universitas  entwiielt, 
dercn  Hauptkennzeidien  die  UiisterbHthkeit,  die  Dauer  in  der  Zeit  und  die 
Identitiit  ini  Wedisel  warcn.  Erst  die  Anwendung  dieses  Mniversitas-Vic%r'\{{cs 
machte  den  nur  organisdi  aufgefaBten  Staatskorpcr  sempitern.  Durdi  die  Fik- 
tion  einer  gtwisserniafk-n  nidit  horizontal,  sondern  vcrtlkal  gcdaditcn  Korpo- 
ration,  die  nur  in  Hinblick  auf  die  Zeit,  per  successioiicm,  kollektiv  war,  in 
einem  gegebeneii  Zeitpunkt  aber  nur  aus  einem  Glicd  bcstand,  war  audi  das 
schwierij^e  Problem  eines  dem  unsterblichcn  Staatskorpcr  adaquaten  unsterb- 
lidien  Hauptes  zu  losen.  Die  Vorstellung  des  unstcrblidien  Konigs  entwickeltc 

sich  an  drei   Faktoren,  der  Kontinuitat  der  Dynastie,  dein  korporativen  Cha- 
rakici     clci     Krone    und    Jer    IJr.stcrllidikc't    der    Wiirdi-,    Die    KontinuitHt    Her 
Dynastic   wurde  durch   die   Anst+iauung   befiirdcrt,   die   dem   Konig   als  eicctus 
bercits  voile  Ccvvalt  zusprach.  Hand   in   Hand   damit  ging  die  Hciligung  der 
Dynastic,  der   Konig  crhiclt   seine   gottliche   Sendung   und   Weihe   allcin   sdion 
durch  das  konigllc^ie  Blut,  so  vor  allem  bckanntlidi  von  Friedridi  II.  ausge- 
sprochen.  Damit  war  die  dynastischc  Kontinuitiit,  wenigstens  theorctisch,  her- 
gestellt;  die  Dynastic  war  einer  universitas  per  successionem  vergicichbar.  Die 
Krone  gewann  im  13.  jh.  korporativc  Aspekte,  in  ihr  wurden  alle  souvcriinen 
Rcchte  begriffen,  die  von  alien  Staatstragern,  dem  Konig  als  Haupt  und  den 
Magnaten   als  Gliedern,  zu  sc+iiitzen   waren.   Im   ganzen   habcn   wir  cine   Fiille 
toils   sidi   iibcrschncidender,   tcils   sich   widcrsprechender   Aulk-rungcn    iibcr   den 
staatsrechtlichen  Charakter  der  Krone;  sovicl  ist  jedenfalls  klar,  dal?  man  die 
Krone  als  Verkorpcrung  der  Souvcranitatsrechte  des  Staatskorpers  vom  Kcinig 
unterschied  und  dafi  sic  oft  als  Korporation  aufgefaRt  wurde.  Die  Kontinuitat 
des  naturlichcn   Kiirpers  des  Konigs  in  der  Dynastie  und  die  Kontinuitat  der 
souver'incn   Rechte   des   Staatcs   in   der   Krone   fielcn   mit   dem   dritten   Begriff 
zusanimen,  dem  der  dignitas.  Die  in  praxi  naturlich  schon  linger  geiibtc  Unter- 
schcidung   von   Amt   und   Person    wurde   durch   die   Dekrctale   Quoniam  abbas 
Alexanders   III.   rechtlich   fixiert  und   von  den  Dckretalisten   weiter  ausgcbaut. 
Schon   Damasus   erklarte   uni    1215,   dal5   die   dignitas  nur>iquam   perit;   analog 
zum   romischen    Frbrecht   stellte   man   die   Quasi-Idcntitlit    von    Amtsvorganger 
und  Amtsnachfolger  fest.  Hieraus  cntwickelte  man  die  bercits  erwahntc  Kor- 
poration per  successionem,  die  jeweils  nur  in  einem  Annstrager  aktualisicrt  ist. 
Dieser   fiir  die   Korporationslchrcn   ungcheuer   wichtige   Satz   von   der  dignitas 
quae  non  moritur  wirkte  sich  staatsrechtlich  vor  allem  in  Frankreich  und  Eng- 
land aus.  Von  ihm  stammt  die  beriihmte  Maxime  Le  rot  ne  meurt  jamais,  von 
ihm  stamnicn  letztlich   audi  bestimmtc   Brauche  im   Beisetzungszeremoniell  der 
franzosischen   Konige,   die  das   Weiterlcbcn   der  dignitas  sinnfallig   darstellten. 
So  schwierig  die  exakte  juristisdic  Untersdieidung  von  Amt  und  Person  gewe- 
sen  war,  kaum  minder  sdiwicrig  war  es  zu  erklaren,  in  welcher  Art  die  zwei 
Korper  in  der  einen  Person  des  Konigs  zusammenfallen.  Bacon  pragte  dafiir 
die  Definition   corpus  corporatum  in   corpore  naturali,  et  corpus  naturale  in 
corpore  corporaio.  Baldus  machte  eine  Anieihe  bei  thomistischcr  Tcrminologie, 
indem  cr  die  dignitas  als  principalis,  den  Kcinig  als  instrumentalis  bczeidinetc, 
womit   der   Kiinig    als   instrumcntum   dignitatis   definiert    ist,    so    wie    Thomas 
Christus  als  instrumentum  deitatis  interpreticrt  hattc.  Die  verfassungsreditliche 
Stellung  des  englischen   Konigs   war   im-  Gegensatz   zu   kontinentalen   Verhiilt- 
nissen   durch   das   kraftig  ausgcbildete   Parlamcnt   bestimmt,   das   stets  ein  sehr 
konkretes,  nicht  Icicht  abstrahierbarcs  corpus  politicum  darstcllte.  Andererseits 
unterschied  man  offenbar  nicht  klar  genug  zwischen   Krone  und  dignitas,  was 
eine   gewisse   Vermcngung   der   organischen   und    der   sukzcssionellen    Korpora- 
tionslchre  zur  Folgc  hatte.  „Des  Konigs  zwei  Korper"  ist  zwar  eine  spezifisch 
englische  Pragung;  Vorgesdiidite,  Parallelen  und  Hintcrgriinde  dieser  Theorie 
aber  fiihren  uns  tief  in  das  juristisdic  und  poiitisdic  Dcnken  des  Mittelalters. 
Die  Fiille  des  Stoffes,  der  Gedanken   und  Anregungen,  die  der  Vf.  in  seinen 
Untersuchungen  ausbrcitet,  konnte  hicr  nur  angedeutct  werden.  Das  Budi  wird 
kiinftig  zu  den  grundlegendcn  Wcrken  der  Verfassungsgesdiichte  gehoren. 

R.  M.  K. 

E.  H.  Kantorowicz,  On  Transformations  of  Apollinc  Ethics,  Chari- 
tes.  Studien  zur  Altertumswisscnsdiaft.  Fcstst4irift  Ernst  Langlotz,  Bonn  1957, 
Athenaum-Verlag,  S.  265—274,  Tafcl  34—36.  —  Antike  Darstellungen  zeigen 


n    L    L 

u   u  u 


Freitag,  27.  Februar  1959     Blatt  8 


31cjic3iirrf)crocilmin 


Fernauxgnbe  Nr.  57 


GESCHICHTE  UND  SOZIOLOGIE 


Zu   einem 
soziologischen   Lesebuch 

Der  Stuttgarter  Verlag  K.  F.  Koehler  hrinpt 
seit  einigor  Zeit  in  losei*  Folge  sorgfiiltipr  betrpute 
geistesgesehichtliehe  Werke  zu  wohlfeilen  Prcison 
heraus,  dio  sich  allmahlieh  zu  einer  klcinen  Biblio- 
thek  der  politiselipn  Allgpiiioinbildung  im  weitcsten 
Sinn  znsammcnfiigcn.  Nehen  vorziigiieh  kommon- 
ticrtpn  Textbiinden  zur  politischen  Ideengesehichte 
pntlijilt  sie  eine  eigpntliolie  «Staats-  iind  Biirgp.r- 
kundp»,  aber  auoh  sonst  schwer  zngangliche  philo- 
sophische  und  historische  Zeugnisse  wie  die  kiist- 
liohen  Memoiren  des  Ritters  von  Lang  odcr  Georg 
Simmels  Essaysammlung  «Briieke  und  Tor»  und 
Jacob  Bnrckhardts  «Historis;ehe  Fragniente*,  die 
als  charakteristische  Spipgelungcn  der  jiingeren 
Geistesgeschichte  zur  Vertipfung  und  Aktnalisie- 
ning  unscrps  durch  krispnhafte  Entwicklungen  ge- 
sehiirften  ZcitbewuBtseins  beitragen  kcinnen. 

Vor  kurzera  ist  die  Reihe  nun  durch  einen  Band 
ergiinzt  worden,  der  dpr  Geschichte  jener  Wissen- 
sehait  gewidmet  ist,  die  ein  Ergebnis  eben  dieses 
differenzierten  moderncn  Selbstverstandnissps  ver- 
ktirpert  und  das  gesteigerte  epochale  Problem- 
bewuBtsein  unserer  Zeit  zugleicli  zu  ihrem  zentra- 
Icn  Forsehungsgegenstand  gemacht  hat:  der  Sozio- 
logie.  Hans  Naumann  ist  cs  gelungen,  eine  Auswahl 
von  repriisentativpn  Texten  znsammenzustellen,  die 
nicht  allein  die  anfiinglieh  recht  miihsarne  Konsti- 
tuiprung  der  Wisspnsohaft  vom  sozialpn  Vprhalten 
naehzeielinpt,  sondprn  gleichzoitig  aueh  ihre  inncro 
Problematik  aufseheinen  und  auBerdem  die  raseh 
fortsehreitende  Verfeinerung  der  Fragestellungen 
sichtbar  werden  laBt.  Der  Band  hebt  an  mit  einer 
wenig  bekannten  Vorarbeit  Montesquieus  zu  seinem 
«Dc  I'esprit  dps  lois»,  wodureh  Naumann  gpmiiB 
seinpm  saehkundigpn  Vorwort  andeuten  will,  «daB 
die  Anlangc  der  Soziologie  als  Wissensehaft  miig- 
lichenveise  in  der  Mitte  des  18.  Jahrhunderts  zu 
suchen  seien  und  daB  sich  die  Auffassung  vertre- 
tpn  lieBe,  von  diesem  Zeitpunkt  an  hatten  sich 
Miinner  gpfunden,  die  die  Dimension  des  Sozialen 
nicht  nur  gpsehpn,  sondprn  zu  erschlieBen  versucht, 
das  heiBt  iibcr  die  methodisch-tpchnischen  Mittel 
erfolgreich  nachgedaeht  haben». 

Die  Hiinfung  der  Konjunktive  in  diesem  Satz 
ist  charaktcristisch.  Der  Uebergang  von  der  bloBen 
soziologischen  Perspektive  zum  konkreten  Ansatz 
eigenstandiger  systematischer  Wissenschaftlichkeit 
iJiBt  sich  tatsachlich  nicht  leicht  exakt  datiercn. 
Das  hiingt  damit  zusammen,  daB  die  «DimPnsion 
des  Sozialen»  in  jedcr  staatsphilosophischen  und 
anthropologischcn  Problpmstpjlung  notwendig  mit- 
enthalten  sein  muB  und  auch  von  jeher  in  die  den- 
kenschrn  Bpniiihungen  dicser  Richtung  miteinbezo- 


trctene  Marx-Vorlaufer  Louis-August«  Blanqui 
odcr  dpr  bewegliche  Sorel,  iordcrten  zwar  manche 
fundamentale  Einsicht  in  das  Wosen  sozialen  Ver- 
haltens  zutage,  waren  aber  als  politisehe  Ilaudegcn 
und  professionelle  Volksrcdner  aueh  nicht  gerade 
dazu  angetan,  dem  Ansphen  der  jungen  Wisscn- 
schu^L  aufzuhelfen.  So  vcrmochte  die  reine  Sozio- 
logie erst  gegen  Endc  des  Iptztpn  Jahrhundprts  das 
Odium  der  allzu  engen  VerschwistPruiig  mit  dpr 
kampferischen  Tagpspublizistik  abzusehiitteln  und 
akadpmisch  hoffiihig  zu  werden.  Auch  naehher 
noch  kamon  indessen  wesentliche  Impulse  von  aus- 
gesprochenen  AuBcnseitern  her.  Der  beriihrntcste 
unter  ihnen  heiBt  W.  I.  Lenin,  der  mit  spinpr 
Theorie  der  revolutionarpn  Mindprlipitspartei  nicht 
nur  eine  alte  Gescllschatt  aus  den  Aiigein  zu  heben, 
sondprn  pine  neue  aus  dem  Boden  zu  stampt'en  ver- 
mochte.  Es  mag  auf  den  ersten  Blick  befremden, 
dn."    Naumann   auch   ihn  zu   ^Yort  kominen  laBt. 


Venn  Lenin  auch  kein  eigentlieher  Fachsoziologe 
\v;ir,  so  gchiirt  aber  spin  theoretisches  Schaffen  doch 
ohne  jpdcn  Zweifpl  in  dipspn  Zusamnipnhang.  Mphr 
noch,  er  selbst  und  sein  Erfolg  stellen  Phijnomene 
dar,  dio  wohl  nur  mit  soziologischen  Kategorien 
cmigprmaBpn  hinlanglich  zu  erklaren  sind  und 
dprcn  Deutung  mittpn  ins  Zpntrum  nicht  nur  dpr 
sozialen,  sondprn  der  soziologischen  Problematik 
fiihrt. 

Dem  Lpser  diese  Problematik  naher  zu  bringen 
var  pines  der  Anliegen  des  Herausgpbers.  Man 
darf  ihm  attestieren.  daB  er  die  Aufgabe  mit  gro- 
Bpm  Gcschick  bpwiiltigt  hat.  Wo  es  irgend  anging, 
suclite  er  das  Tynischc  eines  Autors  oder  einer 
Forsohungsrichtung  durch  wenig  bckannte  und  in 
sich  gpschlossene  Texte  zur  Darstellung  zu  bringen. 
So  ist  der  Band  zu  einer  wahren  kleinen  Fund- 
grube  geworden.  Richard  Reich 


Politik   und   Theoloi^ie  im   Mittelalter 

Zu  einem  Buck  von  Ernst  Kantorowicz 


Hg.  ^lehr  als  dreiBig  Jahre  sind  vergangpn, 
seit  der  Tcxtband  dps  Werks  ubpr  Fripdrich  IL, 
dpn  Staufpnkaispr,  erschipn,  durch  da.s  sich  Ernst 
Kantorowicz  nicht  nur,  wie  man  so  sagt,  einpn 
Nanipu  gemacht,  sondcrn  fast  allzu  entschieden 
eingoreiht  hat  in  pinen  hochgpsinnten  Kreis  von 
Bptrachtcrn  deutscher  Vergangenheit.  Wer  uber 
die  feiprliche  Jugend,  die  da  gepflpgt  ward,  nicht 
mphr  Bpschpid  wpiB,  den  iiberrascht  die  Berech- 
nung,  daB  das  Bnch  von  einem  DreiBigjiihrigen 
konzipiprt  war;  bpim  Lpspn  hiitte  er  sich  den  Xer- 
fasser  eher  als  prlanchte  Lchrcrgpstalt  gedacht. 

Von  einem  durchaus  veriindertpn  Stil  ist  die 
kiirzlich  erschienene  Studie  hestimmt:  «r/ifi  King's 
Tuo  Bodies  —  A  Study  in  Mediaeval  Political 
Theolog)/».*  Kantorowicz,  seit  vielen  Jahren  an 
Universitiiten  der  Vereinigten  StaatPn  tiitig, 
schrcibt  heiitc  englisch  —  ein  Ipicht  zu  lesendes, 
umgangsprachlich  -  anspruchsloses  Englisch,  ge- 
eigiiet,  Saciipu  zu  ncnncn,  zu  imterscheiden,  Zu- 
samnipngphiirigps  zu  biindpltr,  von  mystischen  Din- 
gen  ist  die  Rede,  in  giinzlich  unmystisehem  Ton. 
Von  Theorien  der  englischen  Renaissance  geht 
Kantorowicz  aus,  tim  ein  zentrales  Problem  des 
Mittelaltprs  zu  fasspn:  die  Vorstpllung  vom  dopppj- 
ten  Wpsen  des  Kiinigs  —  des  Kiinigs,  dpr  als 
Mensch  jung  und  alt,  gpsund  und  krank,  Tixuschun- 
gpn  untprwortpn  und  stprblich  ist,  abpr  als  Koiiig 
altprslos,  immer  im  Rccht,  von  irdischem  Zerfall 
nicht  angefochten. 

Es  ist  ein  juristisches,  pin  politisches,  ein  theo- 
logisches  Problem.   Tn  Prozessen  gegpn  die  Krone 


"Mittelalter  erschien.  Der  sprechendste  Text,  den 
Kantorowicz  heranzieht,  der  Traktat  des  Anony- 
nuis  von  York  (um  1100).  stellt  in  einer  Inter- 
pretation der  bcriihmten  Matthiius-Stelle  22,  21 
ichrreich  die  Beziehung  her:  «Christus  sagte:  ,.So 
gchct  dem  Kaiser,  was  des  Kaisers  ist",  und  nicht: 
..So  gebet  dem  Tiberius,  was  des  Tiberius  ist."  Die 
Person  ist  unwert,  aber  die  Herrschergewalt  ist 
gprecht.  Und  gerecht  war,  daB  sich  die  menschliche 
Schwiiche  der  gottlichen  Gewalt  unterwarf.  Dpnn 
Christus  war  damals,  als  Mensch,  schwach;  aber 
gottlich  war  die  Gewalt  des  Kaisers. >* 

Das  ist  kiihn  und  iiberaus  konsequent  gpdacht, 
es  wertet  die  Parallcle  zwischen  den  zwei  Naturen 
Christi  und  den  bciden  Personen  des  Monarchen 
zu  dessen  Gunsten  aus,  verschriinkt  die  eine 
Doppplersclieinung  in  die  andere.  Wrnn  spiiter,  in 
einer  Schrift  des  Enpas  Silvius  Piccolomini,  die 
Lehre  vom  mystischen  Lcib  der  Kirche  mit  Chri- 
stus als  Haupt  ausdriicklich  ihr  Gcgenstiick  er- 
halt  in  jener  vom  mystischen  Leib  des  Staates  mit 
dem  Hprrschcr  als  Haupt,  so  licgt  darin  nicht  nur 
humanistisehc  Verweltlichung  des  Kirchenbildes, 
sondcrn  audi  der  sakralc  Zug.  den  sick  das  Kcinig- 
tum  bis  weit  in  die  Neuzpit  hinein  erhalten  sollte 
—  nur  daB  er  sich  nun  wpnigpr  in  unhezweifpi- 
barpr  Gprechtigkeit  der  hcrrscherlichen  Autoritiit 
auspriigte  als  in  der  GewiBheit  ihrer  Dauor,  der 
Unsterblichkcit  des  Konigs.  die  am  Ende  mehr 
versinnbildlicht  als  lebendig  empfunden  wurde  in 
der  Kontinuitfit  der  Dynastie. 

Das  mehr  als  fiinfhundert   Seiten  umfassende, 


durchbrochen  sieht:  sterblich,  fehlhar,  empfiingt 
der  Xachkomme  Adams  die  Insignion  geistlicher 
und  wcltlicher  Hprrschalt,  wird  sein  eigener  Prie- 
.ster  und  Konig.  «Dein  geist  ist  fest  und  heil  und 
frei  von  Irone.  /  Nun  wiire  fehl  zu  folgpn  andrem 
sinne!  /  Hier  kron  ieh  dich  mit  mitra  und  mit 
krone !»  —  so  hieB  es  in  der  Uebersetzung  Stefan 
Georges. 

Karl  XII.   von    Schweden 

Zum  Werk  von  Otto  Haintz 

C.  H.  Kfinig  Karl  ist  der  Held  des  modemen 
Schweden,  wie  Napoleon  ein  Held  des  moderncn 
Frankreich  ist.  Voltaire  hat  eine  beriihmte  «Ge- 
schichtp»  iiber  ihn  geschriphpu,  und  Friedrich  der 
GroBe  hat  .spine  Schlachten  bis  anf  Poltawa  bewun- 
dert.  Historisch  gesehen,  war  Karl  die  zentrale  Figur 
des  Nordischen  Krieges,  mit  dem  der  spanische 
Erbfolgekrieg  in  inncrem  Zusammenhang  stand; 
in  diesen  Kriegen  cntstand  das  moderne  Europa. 
Karl  errang  mit  seinen  Schweden  einen  welt- 
historisch  iiberraschenden  Sieg  bei  Narwa  iiber  die 
Rnsscn,  und  dann  hat  er  jahrelang  Europa  m 
Atem  gehalten  durch  ebenso  abenteuerliche  wie 
geniale  Feldziige  in  Osteuropa.  Im  Juni  1709  ende- 
ten  sie  iiberraschend  durch  eine  Niederlage,  die 
dem  Schweden  bei  Poltawa  von  dem  Zaren  Peter 
beigebracht  wurde. 

Otto  Haints  ist  Schiiler  Dclbriick.s,  der  die  klas- 
sischen  Schlachten  der  Weltgeschichte  rekon- 
struiert  hat.  Sein  Buch  Uber  Karl  ist  mit  dem 
ersten  Teil  1936  schon  einmal  ersehienen.  Da  in- 
zwischcn  die  Schlacht  bei  Poltawa,  mit  der  jener 
Band  schloB,  anders  beurteilt  wird,  hat  er  ihn  um- 
geschrieben  und  durch  wescntliches  Material  aus 
den  Qucllen  bereichert.*  Es  handclt  sich  ura  ein 
Standardwerk  moderner  Forschung,  und  Haintz 
ist  dafiir  in  Schweden  seit  langem  bekannt  und 
geehrt  worden.  Seine  Daretellung  ist  souveran,  sie 
breitet  vipl  Detail  aus,  behiilt  aber  die  Faden  in 
dpr  Hand.  Es  ist  ein  aus  den  schwedischen,  deut- 
schen  und  tcilweise  russi.schen  Quellen  gearbeitetes 
Work  und  hat  keineswegs  pragmatischc  Zwecke, 
sondern  dicnt  der  Wissensehaft  von  jenera  Konig, 
der  eigpntlich  der  lefzte  Held  im  mythischen  Sinne 
wa  r. 

Das  Ungliick  Karls  wird  hier  nicht,  nach  be- 
quemem  Schema,  in  dem  Gemeinplatz  gesehen, 
Karl  habe  sich  iibernommen,  indem  er  mit  den 
Kraften  eines  mittleren  Staates  eine  Weltmaclit 
angritf.  (Schweden  war  damals  GroBniacht  und 
RuBland  eine  unbekanntc  GroBe.)  Karls  Heer  war 
das  heste  dpr  Welt;  er  war  gewohnt,  gpgpn  zwpi- 
und  drpifache  Uebermacht  zu  siegcn,  und  als  Feld- 


/  /     L     L     U 
U     U    U    U 


■  '"I'iM    1,.-    n.i>,  ,    U...1U1C11    Auiijiwiiin    f;cm;ili 

s(>]iioni  sachkuinliprn  Vonvort  andputen  will,  «flaQ 
die  Anfangc  dcr  Soziologie  als  Wissenschaft  miig- 
lichorwoise  in  dor  I^Iittp  dps  18.  jHlirhundprts  zu 
suchon  spipn  und  dali  sich  die  Aul  t'assung:  vertre- 
tpn  lipfip,  von  dipspm  Zpitpunkt  an  hiittpn  sich 
Miinnor  gofnndcn,  die  die  Dimension  des  Soziaion 
nicht  mil-  ppsphcn,  somlern  zn  erschlipfipn  versiicht, 
das  hoifit  iiber  die  mpthodisfh-tefhnischen  Mittel 
eri'olKreieh  nachgedacht  haben». 

Die  Hanfung:  der  Konjiinktive  in  diospm  Satz 
ist  charaktoristiseh.  Der  Uebergang  von  der  blofipn 
soziolo-jisclipn  Persppktive  ziim  konkretcn  Ansatz 
eigfenstiindiprcr  s.ystematisehor  Wissenschaltlichkeit 
laBt  sicli  tatsachlich  nicht  leirht  exakt  datiercn. 
Das  hangt  dainit  znsanimrn,  dafl  die  «Dimcnsion 
des  Soziale.n»  in  jedcr  stantsphilosophisphon  und 
anthropoloffisclion  Pi-ohlemsfpllung-  notwcndip  mit- 
enthalten  sein  miilJ  iind  auch  von  jchcr  in  die  dcn- 
kerischen  Bemiihnngon  dicser  Riohtnng  mit-oinbczo- 
ijen  wordcn  i.>t.  Die  So/.iolojdo  eutv\i('kelte  sich  al*o 
aus  einein  Teilaspekt  andcior  Wissenschaften,  und 
zwar  \mter  Voraussetznngon,  die  ihrer  mpthodi- 
sehen  Liinternnc  im  akademisehpn  Sinn  keineswegs 
zutriiglieh  warcn.  Sio  suchte  sich  im  Gel'olgc  und 
unter  dem  Eindruck  der  starkon  sozialen  Spannun- 
gen  im  auspehenden  18.  und  begiiinendpn  19.  Jahr- 
hundert  zu  etablicren.  Politisclip  Rpvohitionpii  und 
wirtschaftlichp  Umwiilznngpn  hatten  die  alten  Ord- 
nungpn  znm  Einsturz  gehraoht  odpr  doch  Iragwiir- 
dig  werdcn  lasspn.  In  dipspr  Situation  des  Uni- 
bruchs  und  Aufbruchs  bpgannen  die  verschiedpnpn 
gespjlschaftliehpn  Gruppen  sich  in  gesteigprtPm 
MaB  ihipr  splbst  bpwuBt  zu  wprdpn.  Erst  durch 
diesen  ProzeB  der  Dynamisicrung  hoben  sich  die 
sozialen  Strukturpn  so  dputlich  ah,  daB  sie  zur 
sy.stematisehen  Analysp  und  Klassifikation  hpraus- 
fc.derten.  Die  Gp.spllsohaftswisspnsehaft  wuehs  also 
au;  dpr  politisch-sozialen  Unruhe  und  dem  akutcn 
K  bewuBtspin  dpr  Zpit  heraus  und  wurdp  dahpr 
vielenorts  znm  vorneherein  nicht  nur  als  theore- 
tische  Gcsellsehaftsdiagnostik,  sondern  als  prak- 
tisehe  Gpsellschaftsplanuiig  konzipiert. 

Dip  Vprmpngung  diespr  hpidcn  Ebpnen,  die  cine 
methodologische  Kiistallisation  auBerordentlich  er- 
schwprte  und  vprzilgertp,  laBt  sich  im  vorlicgenden 
F  id  an  einer  ganzen  Rpihe  von  Autorcn  aufzei- 
gen.  Sozinlogen  der  prsten  Ppriodc  wie  Saint- 
Simon  oder  Conite  benutzten  objpktiv  gpsichprte 
Erkenntnisse  der  gesellschal'tlichpn  Struktur  als 
Baustcine  progrnmmatischer  Gpspllsrhattsthporien 
mit  deuflirh  utopischem  Einschlag.  Rpvolutioniiro 
PuhlizistPn  anderseits,  wip  der  in  der  Auswahl  ver- 


V'on  ciiu'in  duniiaii-.  vpriinilcrlcn  Stil  ist  dip 
kiirzlich  ersohienpne  Stuili(!  bpstinnnt:  <i:Tlie  King's 
Two  Bodies  —  ..4  Stiidij  in  Mediaeval  PnlilicaL 
Tlieolopii».*  lyantorowicz,  seit  vielen  Jahren  an 
Universitiiten  der  Vereinigten  Htanten  tatig, 
sdireibt  bputp  piiglisch  —  ein  Ipicht  zu  Ipsendes, 
uingangsprachlifh  -  ansi)i'ucbslosps  Engliseh,  ge- 
pignet,  Saclien  zu  ncnupn.  z\i  untersclipiden,  Zu- 
samnipngpliiirigps  zu  biindphi;  von  mystischeu  Din- 
gen  ist  dip  Kpde,  in  giin/lich  unmy.>tischrni  Ton. 
Von  Thporipn  der  Pnglisclipn  Rpnaissance  gpht 
Kantorowicz  aus,  urn  pin  zentrales  Problem  dps 
Mittplalters  zu  fa.ssen:  die  Vorstellung  vom  dopppl- 
tpn  We.spn  dps  Kfinigs  —  drs  Kiinigs,  dpr  als 
Mensch  jung  und  alt,  gpsund  und  krank,  Tiiuschun- 
gpn  untprworl'pn  und  stprblich  ist,  abpr  als  Koiiig 
altprslos,  immpr  im  Rpcht,  von  irdischem  Zerfall 
nicht  anget'ochlcn. 

Es  ist  ein  juristisclips,  ein  poiitischps,  cin  theo- 
logischps  Prol)lem.  In  Prozessen  gpgen  die  Krone 
taucht  es  aui':  1st  eine  bchenkung  des  ver-' 
storbencn  Konigs  giiltig,  obwohl  pr  sie  machte, 
phe  pr  miindig  war,  und  obwohl  sie  Land  bptraf, 
das  er  nicht  als  Kiinig,  sondern  als  Privatmann 
pnvorbpn  hattp?  Allrrdings;  dcnn  das  Kiinigtum 
kcnnt  kcinp  Unmiindigkcit,  dps  Konigs  natiirliche 
Person  bpstcht  npbpn  sninpr  politisclicn  Person 
nicht  unahhiingig  fort;  Konig  gcwordcn,  handclt 
dpr  Mensch  als  Krlnig;  «die  Kronp»  handelt,  odpr, 
weitprentvviekplt,  jpnps,  worin  natiirlichp  und  poli- 
tische  Pprson  iihprpinkommpn,  die  Dignitas,  die 
unvergiingliche  Ilerrschcrwiirdp. 

Dip  Fiktion  der  «Kroiie»,  dpr  Begritf  der  iibpr- 
pcrsonliclien  llerrschrrwiirdp,  Vorstplhmgpn  von 
Staat  und  Vaterland  als  geheiligten  Wpspnhpiten: 
sie  ziplpn  alle  auf  die  giittliche  Ilerkunl't  der 
Autoritiit.  Das  bcdentet  nicht,  daB  dem  Jlonarchcn 
Allgpwnlt  zugpschricbpn  wird.  Dpr  llprrschcr  kann 
als  das  Ipbpiidigp  Rpcht  verstanden  spin,  das  den 
dopppltpn  mpnschlich-gottlichen  As])pkt  mit  alien 
Idcen  tpilt,  und  wird  dnhcr  auf  wpchsplnde,  aber 
jpwpils  srhr  gpnanc  Weisp  iibcr  uiid  untpr  das  Gc- 
sptz  gpstcllt.  Oder  pr  kann  in  pin  'ihnlich  mysti- 
.sches  Verhiiltnis  zum  Staat  gebracht  sein  wie  der 
Pripstpr  zur  Kirchc;  das  erhebt  nicht  .so  sehr  ihn 
als  die  politische  Gemeinschaft  in  cinpn  hpiligen 
Stand.  Die  Rechtfertigung  dps  Parlanipnts  wur- 
zelt  hipr. 

«Mrnschlich  von  Natur  und  giittlich  durch  die 
Gnadp»:  das  ist  vom  Ilerrscher  gpsagt ;  ps  spipgelt 
abpr    das    Doppplbild,  in    wplchpm    Christus    dem 


Princeton  University  Press,  Princeton 


Dhs  i-t  kiihn  und  iiberaus  kon.ser|ucat  gcdacht, 
cs  wertet  die  Parallele  zwLschen  den  zwei  Naturen 
Christi  und  den  beiden  Personen  des  Monarchen 
zu  des.sen  Gunsten  aus,  verschriinkt  die  einc 
Doppelerscheinung  in  die  aiidpre.  Wcnn  spiiter,  in 
einer  Schrift  des  Enpas  Silvius  Piccolomini,  die 
Lehre  vom  mystis<-hpn  l>pib  der  Kirclip  mit  Chri- 
stus als  llaupt  ausdriicklich  ihr  Ctcgenstiick  er- 
hJilt  in  jenpr  vom  mystischen  Leib  des  Staates  mit 
dem  ilerrscher  als  Haupt,  so  liegt  darin  nicht  nur 
humanistische  Verweltlichimg  des  Kirchenbildes, 
sondern  auch  der  sakralc  Zug,  den  sich  das  Kiinig- 
tum bis  weit  in  die  Neuzeit  hinein  erhaltcn  sollte 
—  nur  daB  er  sich  nun  weniger  in  unbezweifel- 
barer  Gerechtigkeit  der  hen-scherlichen  Autoritiit 
auspriigte  als  in  der  GewiBhpit  ihrer  Daupr,  der 
Ensterblichkeit  des  Konigs,  die  am  Ende  mehr 
versinnbildlicht  als  lehendig  pmpfunden  wurde  in 
der  Kontinuitiit  der  Dynastie. 

Das  mehr  als  fiinfhundert  Seiten  umfassende, 
an  Jlntenal  und  Gedanken  iiberreiche  Werk  ist 
mit  diesen  Andeutungpn  nicht  angcmessen  ins 
Licht  geriickt.  Noch  weniger  die  Frage,  die  Kan- 
torowicz von  vielen  Orten  angeht  und  dem  Lpspr 
in  pinigcn  Ilinweispn  hrichst  pindringlich  wprden 
liiBt;  die  Frage  niimlieh,  die  Richard  II.  in  Shake- 
speares  Drama  stellt: 

. . .  hcihnt  nicht  Flcisch  nnd  Blut 
Mit  Ehrbezpiigiing ;  wcrft  dip  Achtung  ab, 
Gcbrauchc,  Sitt'  und  iiuBcrlirhcn   Dicnst. 
Ihr   irrtct   cuch   die   ganze   Zcit    in    mir: 
Wie  ihr,  Icb'  ifh  von  Brot,  \oh  fiihlp  Mangel, 
Ich  .«chnicckc  Kunimcr  und  hcdarf  der  Frrunde. 
So  untPrworfcn  nun 
Wie  kbnut  ihr  sagen,  daB  ieh  Kcinig  bin? 

Die  Frage  ist  entschieden,  sowie  sie  gestellt 
werden  kann.  Wo  in  der  gnadenhaften  Einhpit  dps 
Konigtums  ein  RiB  sich  aulfut,  wo  der  Zweifel 
eindringen  kann  zwischcn  Mpnsch  imd  Spndung, 
da  ist  PS  auch  priaubt,  sich  abzuwcndpn:  dpr  llprr- 
schcr, der  die  Schwiichp  spinpr  Pprson  entdeckt, 
biiBt  sein  Recht  auf  dip  Gpfolgschaft  ein.  Das  ist 
im  Rahmen  des  Mittelalters  ein  pathologischer 
Fall;  doch  es  ist  zugleich  ein  historischer  Vor- 
gang.  In  der  «Zauberflote»  kann  es  heiBen:  «Er 
ist  ein  Prinz.  Er  ist  mehr  als  das:  er  ist  ein 
Mensch.*  DaB  ein  Schriftstpller  unserpr  Tage  er- 
kliirt  hat,  es  sei  hohe  L?it,  den  Satz  einmal  wie- 
der  umzukehren,  kann  da  nichts  ungp>chehen 
machen.  Ilcute  ist  es  schon  pine  groBe  Leistung, 
analysiprpnd  den  V'orstellungskreis  zu  durchschrci- 
ten,  den  Kantorowicz  mit  Dantes  Vision  eines 
doppcltcn  Menschenturas  zugleich  geschlossen  und 


gesclirieben  und  durch  wesenthches  Material  aus 
dpn  QupHpu  bpreichert.*  Es  handclt  sich  um  ein 
Standardwerk  moderner  Forsehiing,  und  Ilaintz 
ist  dafiir  in  Schweden  seit  langem  bekannt  und 
geehrt  worden.  Seine  Dai-stellung  ist  souveran,  sie 
breitet  viel  Detail  aus,  behiilt  aber  die  Faden  in 
der  Hand.  P^s  ist  ein  aus  den  schwedisehen,  deut- 
.schen  und  teilweise  ru.s.sisehen  Qiiellen  gearbeitetes 
Werk  und  hat  keineswegs  pragmati.^clie  Zwecke, 
sondern  dient  der  Wissenschaft  von  jenem  KiJnig, 
dpr  cigentlich  der  letzte  Held  im  mythischen  Sinne 
wa  r. 

Das  Ungluck  Karls  wird  hier  nicht,  nach   be- 
quemem    Schema,   in    dem    Gemeinplatz    geseheu, 
Karl  habe  sich    iibernommen,    indeim    er    mit    dpn 
Kraftpn   eines   mittlercn    Staatps   pine   Weltmacht 
angriff.   (Schweden  war    damals    GroBmacht    und 
RuBland  eine  unbekannte  GroBe.)  Karls  Heer  war 
das  lipste  der  Welt;  er  war  gewohnt,  gegen  zwpi- 
und  dreifachn  llebermacht  zn  siegcn,  und  als  Feld- 
herr  war  er  ein  Genie.  TTaintr  folgt  der  These  des 
.schwedisehen  Generals  Petri,  der  gpzeigt  hat,  daB 
das  .schwedische  Genpralstabswprk  nicht  das  Rpci>t 
habe,   Poltawa  pine   Fehllpisfiing  zu  nennpn.   K'trl 
wollte  nicht  die  kleine    Feste    Poltawa    mit    4000 
Mann  nchmen,  sondern  belagerte  Poltawa,  um    lie 
gesamto  russischc  Macht  auf  sich  zu  ziehen  und  ihr 
eine  Entscheidungsschlacht  zu  liefprn.  Das  gelang 
voilig,  bis  in  die  Details  der  (akti.schcn  Einsiitze! 
Er  verier  die  Schlacht  aus  Griinden,  die  nicht   in 
und  an   ihm   lagpn:    pr  splbst   wirde   kurz  vorher 
schwer  vcrwiindpf,  die  Russpn  hattpn  in  der  letzten 
Xacht  zulallig  Schanzen  gebaut,  die  er  nicht  ken- 
nen  konnte,  und  auBer  ihm  selbst  kannte  nur  ein 
General  den  Plan  der  Schlacht.  Trotzdem  war  die 
Katastrophe   kein   «Zufall».   Sie   war  letztlich   be- 
griindpt   in  pinpm   .Mangpl   an   diplomatisch-polifi- 
schpr  Vorbprpitiing,  dem  Fphlpn  von  starken  Bim- 
dpsgpiiossen. 

Die  beiden  andern  Biinde  des  Haintzschen 
Werkes  sind  nicht  minder  fesselnd,  aber  sie  han- 
deln  nicht  mehr  in  welthistorischcm  Asppkt:  Karl 
war  pine  fast  abentpuprliche  Randfignr  gewordon, 
und  die  Schweden  miigen  mit  sich  sclber  aiis- 
machen,  ob,  wie  und  waruin  Karl  und  sein  Volk 
nicht  mphr  zueinander  fanden.  Das  Problem,  das 
Karl  hoi  Poltawa  zu  erledigen  gedachte,  hieB  ja 
nicht  Ausloschung  RuBlands,  sondern  dort  ein  der 
.schwedisehen  Welt  gpuphmes  Rpgime  zu  errirhtcn 
und  dadurch  in  Polen  und  Sachspn  Ruhe  zu  ha  hen. 


•Otto   Haintz:    Konig   Karl    .\II.    von   S.'hwpden, 
Bd.  1—3,  Verlag  VV'alter  de  Gruytcr,  Berbn  1958. 


«Histoire   «le   la   Suisse» 

hnj.  Xachdem  sie  wiihi-end  langerer  Zeit  ver- 
gritTpn  war,  ist  die  einbiindige,  gerafftc  Dar.stel- 
lung  der  Schweizer  Gpsdiichtc  von  William  Martin 
in  vierter  Auflagc  neu  ediert  wordpn.*  Dipse  sehr 
erfreuliclip  Xcuatisgabe  wurde  durch  die  Unter- 
stiit/ung  der  Sliftung  «Pro  IIplvptia»  moglieh. 
AVilliam  Martin  (1888—1934),  Auslandkorrespon- 
dent  und  spiiter  auBenpolitischer  Redaktor  des 
«Journal  de  Genpve»  bis  zu  seiner  Renifung  auf 
den  Lphrstuhl  fiir  Gpschichtp  an  dpr  ETII  im 
Jahrp  ]9.'?3,  bpabsichtigtp,  mit  spiner  «Histoire  de 
la  Sui.»e»  eine  Darstpllung  zu  gpbpn,  die  wis.sen- 
schaltliche  Fundiertheit  mit  leichter  Lesbarkeit 
verbindet.  Es  ging  ihm  dabei  nicht  nur  um  die 
Auswahl  der  charakteristischen  Momente  in  der 
Geschichte  unseres  Landes,  .sondern  auch  um  die 
Fi.xierung  der  groBcn  Zusammpnhiinge  und  derpn 
Verstiindnis.  «Les  faits  n'importent  a  I'histoire 
que  s'ils  sont  une  cau.se  on  tine  conspquence», 
schrieh  pr  im  VorAvort.  «L'his(oire  pst  unp  chainp. 
Lps  faits  i.soles  ne  eomptent  pas.»  So  verfaBte  er, 
inspiriert  durch  Gonzague  de  Re.ynolds  histori- 
sches  Werk,  seine  bis  heute  wertvoll  gebliebenp 
Schwpizer  Geschichte,  die  er  im  Untertitel  als 
«Essai    sur    la    P^ormation    d'une    Confederation 

*  William  Martin:  Histoire  de  la  Suisse.  Essai  sur 
la  Formation  d"unp  Confederation  d"Ktat?.  Quatricme 
Mition  ponformp  a  la  prcci^dcntp,  .■•uivie  d'un  apprn- 
dice  inedit  La  Suis.'e  de  1928  a  1958  par  Pierre 
Beguin.  Librairie  Payot,  Lausanne. 


d'Etats»    in    ihrpm    Hauptwcsenszug    charakteri- 
sierte. 

Fiir   die  nun  vorliegende   Xeuedition  verfaBte 
Pierre    Beguin,    Ghefredaktor    der    «Gazette    de 
Lausanne»  und  Verfasser  des  Buches  «Ije  Balcon 
sur  I'Europe;  Petite  llistoire  de  la  Suis.se  pendant 
la  Guerrp  1939 — 1945»,  pinpn  Anhang:  «La  Sui.s.se 
de  1928  a  19.'58»,  (lessen  Inhalt  hier  angedputpt  spi. 
Beguin    wpist    auf    die    gewaltige    Zunahme    der 
sehweizeri.sehen    Bevillkerung  wiihrend   der  letzten 
.30  Jahre  um  fast  eine  trillion  bin.  Trotz  dpr  Wirt- 
scliaftskrise  der  bpginnpndpn  dreiBiger  Jahre,  die 
bis    19.39    nachwiikte,    .setztp,    insbpsondprp    nach 
1945,  pin  starkpr  wirtschaftlichcr  Aufschwung  pin. 
Die   politisdipn   Auswirkungen   der  Kri.se  sind   in 
einer   Modifizierung   der   Auffas.snng   des   Staates 
zu  sehen,  der  in  das  gefahrdete  Wirtschaftsleben 
eingriff;    Beguin  hezeichnet   diese  Zeit  als  Ueber- 
gang    vom    «libpralisme    manchpstpripn»    zu    einem 
«lib(>ralisme   nettement    influence    par   les   poncep- 
tions   pommunautaires*.    Ungpachtpt   der   okonomi- 
.schen  Verjindeningen  und  der  daraus  sich  ergeben- 
den  Evolution  der  Ideen  blieb  die  Stabilitat  in  der 
Politik  gewahrt;  in  groBen  Ziigen  geht  der  Autor 
den   Griinden   fiir  die   Festigkeit   der   bestchenden 
politisehpn   Ordnung  nach,  wplchp  auch  durch  die 
e.xtremistisehen  Bewegungen  des  Facismus  und  des 
Knmmunismus    nicht    erschiittert    wprden    konnte. 
Diese   politische    Stabilitiit   ist   um   so    bcmprkens- 
wertcr,  als  das  Land  in  den  letztpn  dreiBig  Jahren 
bctriichtliche    demogrnphische,    soziale    und    indu- 
strielle  Veranderungea  erfahren  hat 


Der  trotz  sprachlichen  und  konfessionellen  Ver- 
.schiedenheiten  vorherrschende  Wille  zur  nationalen 
Einheit    bildet    einc    der    wertvollsten    Konstanten 
unserer   Ge.schichte;   er   steht   auch    am    Ursprung 
un.-<erer  Xeutralitiit:  «La  neutralite  re.ste  le  ciment 
de  la  dureo  et  de  la  permanence  de  I'Etat  federal. » 
Bei  all  den  genannten  Verschicbtingen  in  unserer 
Bevolkcrungsstiiikfur  blieb  das  Sehwpizprvolk  spi- 
npn    Institutionpn   trpu;    Bpguin   spricht  gpradpzu 
von  einer   Angst,  die  bestehpndpn   Zustande  anzu- 
tasten,   nnd   nennt   als    Beispiele   dafiir  die  Jura- 
fragp,  die  Jesuitenfrage  und  die  Frage  des  Frauen- 
stimmrephts.    Die   schweizerische  Politik    i.st   prag- 
niatisch  bestimmt  und  zeichnet  sich  durch  Ueber- 
legung  und  ^laB  aus.  Setzte  sich  der  Bundpsstaat 
von   1848   dip   Fpstigung  dpr   Dpniokratie   und   der 
Freiheit  als  erstes  Ziel.  so  hat  sich  diesps  im  Laufp 
der  Jahrzphntp  zusplipnds  auf  dip  sozialp  Sichpning 
hin  vpr.schoben:  «Lps  prohlemes  de  liberte  une  fois 
resolus,   . . .  les   problemps   de   sppuritp   sociale   ont 
ete  constamment  au  premier  plan   de   ractualitc.* 
Diese  Tendenz   verstiirkte  sich,  wie  der  Verfasser 
durch  Beispiplp  bplpgt,  in  den  letzten  dreiBig  Jah- 
ren  betriichtlich.    In   prjignantcr  Darstellung   faBt 
Beguin  die  Ereignisse  wiihrend  des  Zweiten  Welt- 
kripgps    zu.sammen    und   charakteri.siert   die   MaB- 
nahnien,    die   zur    Bewiiltigung   dieser   schwierigen 
Periode   getroffen    wurden.    In    einem    letzten    .\h- 
schnitt   seiner   vorziiglichen    Uebersicht,   durch    die 
Martins   «IIistoire  de  la   Suisse*   a  jour  gebracht 
wird.    verfolgt    Pierre  Beguin    die    Evolution    der 
schweizerischen  Xeutralitiit,  ihrc   Erprobung  wiih- 
rend des  Zweiten  Weltkri<^es  und  ihre  Neuinter- 


pretation  m  IMax  Petifpierres  Formel  «X'eutralite 
et  Solidarite'i'. 


Kleine   Chronik 

Die  kirrhc  .Si.  Joct  zu  Blallen.  »r.  Seit   langem 
ist    der  Zustand   der  reichgegliederten   kirchlichen 
Baiigruppe    von    St.  Jo.>t    zu    Blatlen    bei    .Makers 
be.soigni.serregend.  Die  nur  wenige  Kilometer  von 
Luzern    entfernte.    ein.st    vielbesuchte    Wallfahrt.s- 
kirche  an  der  nach  dem  Entlpbiich  und  nach  Bern 
liihrpndpn    SfraBc.   dip   siph    wiihrpnd    langpr   Zpit 
der  bpsondprpn  .Sympathie  des  I.,uzerner  Pafriziates 
erfreute,  ist  vom  Zerfall  bcdroht,  und  ihre  kiinst- 
lerischc    Ausschmiickung   liiBt    den   ur.*pninglichen 
Glanz  kaiim   mehr  erkennpn.   Die   Vrrciniginip  fur 
die  St.Jofit-K)rclie  Bhiltcn  hat  dpn  Boden  fiir  eine 
wirksamc  Rcttii))g>^aktinn  vorbereifet,  fiir  die  sich 
.ielzt  ein  aus  vielpn   angpsphpnen   Pprsonlichkciten 
gebildetes    Ehren-    und    Pat ronatskonntee   einsetzt. 
.\nton  .Acliermann   (Liizprn),  dps.sen   Initmtivp  .seit 
Jahrpu  wprbpkraftir  spiirbar  wurde,  prasidiert  den 
AiisschuB    und    die     Baukomini.ssion.    in    welcher 
Kunsthistoriker  nnd  kantnnale  Beamte  mitarbeiten. 
Trotz    dpn    in    Aussicht    stchpndpn    Bpitriigpn    dpr 
Gempinde    Malter.s,   des   Kantons   Luzern   und   der 
Eidgenos.spnsphaft    wird    intpnsivp    I'inanzbpihilfe 
von  privater  Spite  niitig  sein,  wenn  das  umfas.srnde 
Renovationswerk  gelingpn  soil.  Zum  Gliick  ist  die 
im    17.  und    18.  JahrhundPrt    zu    ihrer    schmuck- 
rpichpii^  Gpstaltiing  gplangtp  Kirchenanlage,  die  in 
den   «Knnstdenkm;ilern  des  Kantons  Luzern»  ein- 
gebend  gewiirdigt  wird,  vor  entstellenden  Veriinde- 
rungen  verschont  gcblieben.  Ihre  wiirdige  Instand- 
stellung  wird  nunmehr  als  dringliche  Aufgabe  der 
luzernischen  Denkmalpflege  cmpfnnden  nnd  wirk- 
sam  gelordert. 


U    U    U       I 


X, 


Ursprui^-  und  Wesen  des  Staate^ 


Die  hohe  Forsdiung  —  ist  sie  nodi  dkr 
breiteren  Sdiicht  der  Gebildeten  so  zi- 
ganglidi,  ist  sie  fiir  sie  nodi  so  offen. 
dafi  diese  Sdiidit  der  Gebildeten  bereit 
ware,  sie  mit  teilnehmender  Freude  am 
Forsdiungsvorgang  selbst  und  sodann  an 
seinen  Ertragen  auf-  und  anzunehmen?  — 
Anstofi  zu  dieser  Frage  gibt  das  grofi- 
artige  Werk  von  Ernst  H.  Kantorowicz: 
.The  King's  Two  Bodies.  A  study  in 
mediaeval  political  theologv."  (Princeton 
University  Press  1957.  567  S.  32  Abb. 
auf  Tafeln.  $  10,—).  Es  wird  —  hier 
dijrfte  diese  Vorhersage  ohne  Risiko 
moglidi  sein  —  durdi  weitere  Jahrzehnte 
die  Forsdiung  befruditen,  ahnlidi  der 
bahnbrediendcn  Monographic  des  Autors 
iiber  Kaiser  Friedridi  II.  (1928-30).  — 
Aber  werden  die  Gebildeten,  die  nidit 
gerade  zur  Zunft  der  Historiker  gehoren, 
erwas  .davon  haben'l?  Dab«  madit  es 
die  Bedeutung  dieses  Werkes  aus,  dafi 
es  —  ganz  abgesehen  von  dem  astheti- 
sdien  GenuB,  den  sein  Aufbau  und  seine 
Methode  bieten  —  mit  seiner  Frage- 
stellung  ins  Zentrum  politisdier  Sorgen 
und  Note  unserer  Tage  trifft:  Sdieinbar 
geht's  nur  um  die  politisdie  Geistesge- 
sdijdite  des  mittelalterlidien  Jahrtausends 
zwisdien  der  Spatantike  und  der  Zeii 
Shakespeares,  des  naheren  um  die  lang- 
same  Evolution  der  Lehre  von  den  ,Zwei 
Korpern  des  Konigs",  d.  h.  um  die  immer 
klarere  Untersdieidung  zwisdien  des  Ko- 
nigs leiblidi-personaler  Existenz  und 
seinem  ,mystisdien  Leibe".  Es  geht  um 
das  Erfassen  und  untersdieidendc  Her- 
ausentwidteln  von  Begriffen  wie  .Die 
Krone"  und  deren  ,nidit  sterbende 
Wiirde";  es  geht  um  das  Konigtum  als 
Amt,  dem  als  soldiem  Dauer  iiber  die 
fliiditige  Zeit  eines  Lebens  hinaus  gege- 
ben  ist.  Summa:  Es  geht  um  nidit  weni- 
ger  als  um  die  aus  diristlidiem  Denken 
erwadisene  Ausbildung  des  Begriffes  der 
Staatlidikeit,    einer     iiberindividuell    in- 


n    L      I    n 
U    u      I    u 


stitucioneller      HerrsdiafMordnunp      und 
Hirer    trapcnden    Dauerhaftigkeii 

Was  erwa  audi  an  deni  geistesgesdiidii- 
lidieti  Problem  der  Lmstehunp  des  ..Per- 
son'-Bepriffes  in  den  Jahrhunderten  des 
holien  Mitteialtcrs  sidi  erweisen  lafci, 
v-ird  hier  erneut  bestanpt:  Die  bis  heute 
durdihakenden,  unsere  Staats-  und  Ge- 
selisdiaftsstruktur  durdiw.irkenden  Grund- 
einsiditen  sej  es  von  deni  Person-  (und 
damn  freiheits-)  Charakter  des  Men- 
sdien,  sej  es  von  der  ..Korperhafnpkeit" 
des  Staates,  entstammen  keiner  perinpe- 
ren  Wurzel  ais  den  dinstiidien  Grund- 
dopmen  samt  den  diest  auslependen  Spe- 
kulationen  uber  Christus  selbst:  Got:  und 
Mensdien  und  dit  Kirdit  ais  Semen 
..mvstisdien  Leib".  Ter  iiber  diest  Zu- 
sanimeniianpe  Klarheit  gewmnen  will, 
vird  hinkiinftig  das  Werk  von  Kantoro- 
wicz  so  bald  nidii  aus  der  Hand  lepen 
diirfen  —  Wir  greifen  hier  nur  eines 
der  Beispieic  fiir  diesen  fundamemalen 
Zusammenhanp  faeraus : 

..Patna"    ais    Vaterland    ini    mebr    &b 
iieimatiidien,  im  herrsdiaftliti-poiinsdien 
Sinnt   bepepnet  uns  erst  wieder  im  Hocb- 
mirteialter    —    sozial-    und    verfassunps- 
pesdiidirlidi  seitdem  die  personajen  Herr- 
saiatts.urukturen   zu   sdi-wmden   bepinnen, 
um  institutionelien  den  Wep  freizupeben 
Aber    lunter    diesem    poiitisdien    Bepnff 
der  Patna  sted.i   die  „pama"   des  Ciin- 
sten,    das    ..himmlisdit    Vateriand".    Aus 
der    diesem    zupeordiieten    cantas    (^Tod 
fiir    dit    Briider",    in     der    Kreuzesnadi- 
foipe)    erv-adist     lent     —     bald    humani- 
stisdi    „siikuiarisien:{'     —    ^publica    can- 
tas", die  sidi  auf  einc  „naturaiis  patna" 
(Baidus)   nditet.  Paraliel   iiierzu  wandeli 
sidi    das    Konzep:    von    ^Rom"    ais    der 
umfassender   „Patna"   (sovohl  der  Ciin- 
sten    wif    der    Erneuerer    des    romisdien 
Keid».-Redits-Denkens      zum     Gedanken 
der    nationaien    Komps-Patna :     das    ir- 
disdi-poiitisdit      , Vaterland"      wird      zu 
emeni    ..corpus    niysticum",    auf    das    sidi 
edites    Marri-rertum    beziefaen    kann.    An 
Stellt    Cliristi     ersdieint     der    Fiirst    ais 
Haupi    seines,    eines    weltlid)-politisdien 
„n7vstisdicn   Leibes",   des   vaterlandisdien 
Staates     —    Kantorowicz    vervi'eis!    selbs: 
auf   die    ietzter   Ausvirkunpen   dieses   pe- 
sdiiditlidien  VC'eges:  auf  die  zwej  Grund- 
ansdiauunpen,    die    sidi    in    der    FonneJ 
„Pur  Kiinip  und  Vateriand"  uberdediLten : 
die   feudal-personale   Treat    zun.    Monar- 
dien  und  die  nationalt  Treue  zum  Staate 
Nodi    3918    fuhken    sid)    die    Offiziere 
des   preujBisdi-deutsdien   Heeres   erst   mit 


dein  Augenbiids  fiir  den  aussdiiiefiiidiea 
Dienst  am  Vateriand  freicestelh,  da 
Wilhclm  n.  nadi  Holland  pepanpen  war. 
—  Und  wie  war  es  dann  am  20.  Juli 
]{*4'>''  —  (Vielieidit  audi  eroffnet  sidi 
iiier—    dies   sej   nur   ais   Fragf   angedeu- 


btrtot'  Brtth: 


WISSiltfSOHAFT 


Phllonophit  nnd  N»tnrwiMm»ehef 
ir  de:  !Viiwieninini 

fconstonnr  SuniciouisM- 
Theatet   Recif  und  Sdiantpieie; 


ro 


Dit  Werkc   Die  filtimieu 


U  b 


KANTOROWICZ  E.H.:   THE  KING'S  TWO  BODIES 


107 


hUK  scaturit   );audium.  WrinumMitii  viiro  luinnulla  huiuf:  (ruudii  A.  dcHcrihit.  rt  praoci- 

pu:':    CuntiKUni   fratris   solis,  psiilmum   qui    lepitur  atl   mututinum   in   festo  panchatis, 

queni    K.   FKANClsniiB   coniposuil    pre.   sun   officio    pussioiiisi,   ai    tuntium    cap  "K   Eopu- 
lai    primal;,  quod    luscrihitur  t  Clrutio,   laus,   prutiurun;   aRtin  s. 

Tanien  in  optimo  hoi  ojjuhcoIo.  cui  introductionem  G.  H6G0,  O.F.M., 
jjraemisit  et  in  quo  rep  bene  prolatae  abundant,  non  raro  notatur  stu- 
diuni  quoddan:  susceptae  tiiesit-  ultra  debitum,  uti  videtur.  probandae., 
ei  quideni  ordint  non  usque  evidenti.  Ita.  \.g.,  poteral  A.  abstinerc  a 
KuniendiK  Huiy  arfrumentiK  ex  singulis  fere  locis  considerationum  de 
stipmatihuK  f57-61j,  quaF  in  editionibus  Floreti  italici  ordinario  leg'imus. 
-  S.  FliLANGiHOUS  sacra  atiprniata  accepit  non  die  (76>,  sed  circa  diem  exai- 
tationiK  S.  Crucis.  -  Minime  vero  licet  scritere  Speculum  perjt'.ctiomB 
esse  «  un  ecrit  franciscain  des  premieres  annees  »  (95),  cum  constet 
inter  omnes  illud  perfectum  fuisse  vel  exeunte  saec.  XIII  vel  ineunte 
XIV  ^cf.  G.  Abate.  O.F.M.Conv..  La  uaacita  del  «  Cantico  di  frate  SoU  » 
nel  palazzo  veacmilli   di  As.s-m,  in  MiHcFranr.  56[195G1345£). 

P.  MaRIANI'S  ab  Alatei 

Kantorowicz  Ernst  H..  Thi  King'n  Two  Bodies.  A  Study  iv  Medi- 
aeval Political  Theology.  Princeton,  New  Jersey,  Princeton  University 
PresK.  1957.     24,5  cm..  XVl-568  pp..  32  tab. 

Hoc  splendido  volumine  optimi  nominis  A.  historiam  tarn  theolopiae 
politicae  quam  iuris  canonici.  artis.  immo  et  dcjgmatum  eg-reg-ie  ditavit. 
PervestipatumuHi  ubundantia  —  sane  lahorumj  piurium  annorum  fruc- 
tus  —  impedit  quominuK  earum  argumentum  singiliatim  ac  complete 
describamuB.  Satis  sit  quod  operis  propositum  et  lineamenta  paucis 
perstrinpamuK. 

Postquam  A.  in  prooemio  ortum  praesentis  libri  (p.VII-XIII).  et 
in  introductione  inquisitiones  auctorum  anteriorum  innuit  (S-6),  primo 
cai)ite  ipsuni  problema  examini  subiciendum  in  claram  profert  lucem 
('7-2i!).  Etenim  iii  relation] t)ut-  E.  Plowdek  (tl584'5j.  tempore  reginae 
Elisabeth  exaratis.  primum  theoria  de  regis  duplici  corpore  concinnie 
distiuctisque  verbit^  apparet.  Sic  fere  ille  ait :  Rex  siquidem  duplici 
corpore  inatructus  est.  natural]  necnon  politico.  Primum  in  se  considera- 
tum  utique  mortis  infirmitatumque  obnoxium  est:  secundum  vero.  quod 
nee  adspici  nee  contrectari  valet  et  moderation]  jiopuli  ac  administratio- 
n]  salutis  publicae  destinatur.  morbis  ceterisque  naturalibus  defectibus 
caret  (7).  -  Quae  mira  verborum  complexio  seu  veritatis  fictio  tune  mi- 
nime penitus  nova  erat.  quinimmo  a  sententiis  iuridico-poiiticis  media 
aetate  excultis  repetitur.  Quarum  oripinem  occultam  ac  e  diversissimiB 
fontit)Uf-  promanantem  A.  acerrima  virium  contentione  detegere  et  dis- 
serere  satagit. 

Altero  capite  idea  regis  duplici  ortu  progeniti  tragoedia  Richard  II 
a  W.  Shakespeare  (+  1616 1  composita  illustratur  (24-41  j.  -  Tertia  adum- 
bratione  A.  n  remotiora  redit  tempora  (42-86j.  Haec  pars  verbis  quae 
sequuntur  inscribitur:  Christ-centered  Kingshvp.  Etenim  in  tractatu 
Normannico.  Eboracensi  (York)  dicto  et  a  clerico  ignoio  ad  annum  1100 
cDnscnjiiii.  adseritur  regem,  etsi  secus  humanae  naturae  sit.  munere 
et  gratia  unctionis  christum  Domini  seu  christovumeten  fieri  ac  per- 
inde  vu;eni  Dei  et  Christ]  tenere.  A.  haud  immerito  statuit  dogma  de 
duplicj  natura  Christi  in  unica  Persona  coniuncta  influxum  in  prae- 
fatani  cogitationem  exercuisse.  Idem  pro  picture  minore  evangeliarii 
Aquisgranensit    (Aachen),  anno  circiter  978  confecta,  ac  Imperatorem 


COILIC^ANE^ 
29 


rc^ 


l!,Ai>A 


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u   u 


I    L 


108 


RECENSIONES 


Othonem  II  a  Chriatn  ad  caelum  usque  erectum  repraeaentante,  valet. 
Ill  quibus  ac  similibus  docunientis  vis  cultuF  liturgici  in  mentem  homi- 
num  ilia  aetate  viventium  persentitur. 

In  alio  capite.  Law-centered  Kingship  praenotatn.  A.  transitum  len- 
tum  ah  expressione  liturgica  in  spiritum,  qui  prae.cipud  in  iure  legi- 
busque  versabatur,  enarrat  (87-192).  Hac  periodo  durante,  quam  A. 
praevalenter  theucentricam  vocat.  Joannes  Saresberiensis  (Salisbury) 
(+1180)  repem  aimul  «  lepis  nexibut;  absolutum,  iepis  tamen  servum  » 
definit  (95).  Fridericus  II  dein  in  Libra  auguntaU.  an.  1231  proclamat 
in  una  eadenique  i)ersona  Caesaris  duplex  concurrere  elementum,  ita 
quidem.  ul  simul  «  iustitiae  patrem  et  filium,  dominum  et  ministrum  » 
eflformet  r98K).  In  confundendis  momentis  relipriosiK  et  politicis  illo  tem- 
port  eii  usque  profrressi  sunt,  ut  adseverarent  legis  peritoF  iustitiae  sa- 
cratiasimuni  ministerium  exercere,  immo  el  regem  velut  legem  animatam 
iustitiae  Pontificeni  maximum  exsistere... 

Sequente  adumt)ratione,  quae  Polity-centered  Kingiihip  nomine  in- 
sipnitur,  momentum  unionis  socialis  in  civitatibus  inculcatur  (193-272). 
Poatquam  A.,  inquisitionibus  H.  De  Lubac.  S.J..  fultus.  evolutionem 
doctrinae  de  Corpore  myatico  Christi  delineavit,  monstrat  quomodo  varii 
acriptores  inde  a  ViNCENTio  a  Beauvais,  O.P.  (t  1264),  de  regno  tam- 
quani  de  «  corjjore  rei  publicae  mystico  »  loquantur.  Conceptus  ecclesio- 
lopiae  ergo  per  moduni  anaiogiae  civitatibuH  attribuuntur.  Imagine  ve- 
nerabili.  iunctionis  videlicet  Ecclesiae  sponsae  ad  Christum  Sponsum, 
abutuntur.  ut  habitudinem  principis  ad  regnum  velut  matrimonium  mo- 
rale et  politicum  celebrent.  Ob  huiusmodi  mutatani  rei  publicae  visionem 
et  exinde  ad  ipsam  effervescentem  affectionem  immoderatuB  ille  propriae 
nationit;  amor  poster  lore  aetate  excrevit. 

yextuni  caput  idea.s  circa  perennitateni  et  indolem  socialeni  refrni  prupaKu- 
tas  explicat  (273-,^13).  Adafrium  «  Ecciesia  numquani  moritur  >,  sic  mutatur;  «  Po- 
pulus.  imperium,  re.';  puhlica  semper  est*,  ac:  «  Tlniversita.e  non  moritur  ».  -  At. 
sicut  sequen.s  pars:  The  Kinti  neve7-  dicn  inscripta  erudit  f314-450),  imniortulitas 
oil  domu.s  regiat'  continuatioiieni  et  ope  distinctioni.';  inter  coronam  visihileni  et 
invisibilem.  ipsi  dipnitati  ar  personac  repis.  scil.  qua  capiti  con>oris  politici.  adscri- 
bitur. 

Adumbrations  octava  A.  ad  Dantis  Alighieri  theoriap  politicas  advertil  quas 
hi.s  verbis  circumscribit :  Mav-centered  KinpHhip  (451-495).  Quod  eiusdeni  menB 
prae  primis  in  humanitatc  defixa  quudquc  ipsi  idea  duplicis  corporis  familiuriB 
erat,  A.  e  verbi.*;  Virgilii  ad  piietam  directi.v  concludit:  «  Te  sopra  tv  corono  c  mi- 
trio  ».  Quo  ritu  incoroiiationi.s  homo  mortali.'.  Adas  hominc  subtili  Adas  superiii- 
duitur;   poeta  fit   membruni  corporij-   mystici,  quod  est   ipsu   hunianitab. 

In  ultimo  capitf  ad  instar  epilofti  (4»f>-50fp)  denionstratur,  quod  copitatio  du- 
plicis  corpori.'i  qua  taIi.'^  christianismo  dei)etUT.  etiamsi  aetatt.  quani  antiquani  ap- 
pellant, quaedani  fere  ubiquc  vestipia  eiusdeni  detepuntur.  -  In  appendict-  32  tabulis 
nitidis  plure.<i  imapineis.  quae  volumini.'-  arpumentum  opportune  illustrant.  exprimun- 
tur.  Postea  elenchuK  amplus  bibliopraphiac  selectac  offertur  (517-o30i  Index  simul 
nominum  et  raateriarum.  mapna  dilipentia  elaboratus.  adiunpitur  (B31-B67).  Veruni- 
tanieii.  sicut  ipse  A.  praevie  nioiiet.  compietus  dici  nequit.  Duni  v.r.  scriptorum 
antiquorum,  quos  ad  instar  fontium  adhibuit.  fere  omnes  locos  adducit.  commentu- 
tore.'^   recentiores  praetermittit. 

Quod  respectuni  franciscanuni  attinet.  permultu  nor  praelientur.  Nomina 
necnon  opiniones  sequentium  ex  O.Min.  occurrunt:  Gilberti  m:  Tournai  (Ii'ILELMI 
Dt  OcKHAM.  J.D.  ScoTi.  Alvari  PELAun.  necnon  factionis  Spiriiualium.  Pro  primo 
meniorari  potui  Francisco  Elias  dk  Tejada.  Lots  ductrintus  poUticati  ev  Ui  haja  Edad 
Medui  miilena.  Madrid  l!l4f)  (cf.  liihliou-Franc.  VIII.  n.624''j.  Ibidem  insuper  quae- 
dani innuuntur  de  Joanne  Guallensi  (de  Wales.  De  Galles.  de  Waleys),  O.Min. 
(t  1285).  Ipse  scripsit  siquidem  Communiluquium.  Summa  Collalwnuni  ud  onmi  genus 
hominum.  ed.  v.g.  Parisiis  161(3.  Cuius  arpumentum  delibatur  a  A.G.  Little.  iStu- 
dies  iv  English  Franeigcav   History.   London    1917.   176-181. 


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I     J 


LYNOH   K.F. :   THE  SACRAMENT  OF  CONFIRMATION 


109 


Opus  et  mole  et  mompntd  paritpr  (jravc  propter  arprumcnti  uliundantiam,  iudi- 
ciorum  aequitateni,  eruditionis  amplitudinem  vix  inditrpt,  ut  viris  ppritis  adhuc  eoni- 
mendptur.  Vprha  fortiora  nori  sunt,  si  adfirmamus,  A.  hoc  studio  aditum  ad  cam- 
puni  vastissimum  aperuissp;  idpoqup  investigatoreK  futuri  henp  facipnt,  si  eius  vias 
sequentur.  -  Tali  voluminp  coram  actus,  si  quis  minutoruni  cpnsoris  partem  assu- 
meret,  risuni  movpret.  Istud  tampn,  quod  quapstionem  principaU-ni  spectat,  adnota- 
rc  liceat:  Si  A.  et  cum  ipso  H.A.  Rommen  in  dicti  liliri  recensionp  (Thrnl.Stud. 
1911958]  435-437)  merito  exig-unt,  ut  ambitus  relipiosus  a  concpptiiius  politicis  et 
campus  politicus  ati  ideis  relipiosis  purppntur,  distincticj  adhilienda  est.  Limites 
utriusqup  regionis  utiqup  no  misceantur,  attamen  diiudicatio  thpolopica  .societatis 
civilis  actionisque  politicap  excludi  noii  potest.  Immo  iienp  accidit.  ut  theologi  recpn- 
tiores  ad  praefatum  latus  maiori  spmper  cura  attpndant;  sppcimini.s  causa  videan- 
tur:  G.  Thils,  Theolopir  den  realites  tcrrrstren  I-II,  Bruges  1946.  1949  pt  V.  SCHURB. 
Theoloyn  der  Vmwell,  in  Theologu  in  Gi-Krhwhl,  u.  Gegenwnrt.  Munchen  1957 
145-180   (cf.  CoUJ^anc.  28[1968]   336s).  p.  Octavunus  a   Rieden 

Lynch  Kilian  F.,  O.F.M..  The  Sacrament  of  Confirmation  in  the 
Early-middle  Sckolastir  Period.  Volume  I:  Texts.  (Franciscan  Institute 
Publications.  Theologj-  Series.  5).  St.  Bonaventure,  N.Y.,  The  Franciscan 
Institute  -  Louvain,  Belgium.  E.  Nauwelaerts  -  Paderborn,  Germany, 
F.  Schoningh,  1957.     23  cm.,  LXXV-256  pp. 

Cum  A.  proxime  editurus  sit  librum.  quo  sacramentum  confirma- 
tionis  iuxta  priore.s  summae  Scholasticae  doctores  modo  historico-doc- 
trinali  illustrabit,  optime  fecit  ut  ei  praemitteret  alterum,  quo  docu- 
menta  quamplurima  inedita  ad  componendam  illius  aetati.';  doctrinam  ne- 
cessaria  continerentur.  Opus  ergo  quod  in  praesentis  annuntiamus,  non 
est  nisi  magna  textuum  collectio  ad  sacramentum  confirmationis  respi- 
cientium.  qui  ita  sunt  dispositi  ut  primum  exscribantur  loci,  quibus  de 
Sacramento  confirmationis  expresse  agitur  (p.1-174).  deindc  quibus  per 
transennam  eius  doctrina  tangitur  (175-198).  postremum  vero  textus 
nonnulli  coniunguntur  de  charactere  sacramentali  in  confirmatione  dato 
(199-221).  Addenda  quaedam  baud  parvi  momenti  in  tribus  appendicibus 
ponuntur  (22S-251).  His  autem  omnibus  peritus  A.  praelocutus  est  ser- 
monem.  quo  singulos  textus  commentatur  quoad  authentiam.  traditionem 
manuscriptam.  tempus  compositionis,  ab  invicem  dependentiam  aliasque 
criticas  rationes  (XI-LXXV). 

Non  omnes  textus  ab  A.  editos  eiusdem  valoris  atquc  moment!  esse  patet. 
Optatissimae  certe  veniunt  Guilelmi  de  Melitona.  O.Min.,  Quaestiovey  dr  confimw- 
tinni  (101-135;  nota  etiam  animadversiones  historicas  de  vita  Guilelmi  pJCLIII-L), 
excerpta  e  Sumnui  dr  sacramrntm  Alberti  Magni  (223-229),  ex  autoprapha  BoNA- 
■VENTURAE  compilationp  super  /V  Sent.  {cud.  Assisi,  Bihl.Com.  ISO;  149-157.  249-251). 
GuALTERi  Brugensis.  O.Min.  Comm.  in  IV  Sent.  (162-174).  Philippo  Cancellario 
adscripta  Quaeatiniu  dr  charactere  (rod.  Douai,  Bibl.Munic.  UShIU;  207-210).  Altis- 
siODORENSls  Summa  aurea  (6-13).  Distinctiones  e  Glossa  Halensis  desumptap  quo- 
dammodo  abundant,  cum  textum  criticum  iani  iam  prae  manibus  habeamus  (cf. 
Colt.Franc.  27(1957]  430s).  Nihilominus  exscriptum  locum  redactionis  c<id.Paris. 
Nat.lat.  16i06  (3-6)  non  neglijrant  lectores,  saltem  ex  eo  quod  Hugo  de  Saint-Cher. 
O.P.,  hanc  ipsam  redactioneni  Gloasae  (tenpratim  adhibere  videtur.  Observandum  est 
Quaestionem  de  charactere.  quam  A.  nomine  Alexandri  Halensis  inscriptam  edidit 
(201-207).  tarn  diversa  doctrina  ab  aliis  scriptis  Halensis  discrepare.  ut  minime 
authentica  haberi  possit.  Forsitan  attribuenda  est  Stephano  de  Polinmco  (cf. 
J.  Galot.  SJ.,  La  nature  du  cnructere  sacramentet.  Gembloux  1957.  121-128).  Collectio 
insuper   continet    textus    HtJGONis   de    Saint-Gher    (13-20).    GUERRici   de    Saint-Quen- 

TIN.    O.P.     (21-20).    HERIBERTI    de    AUXERRE     (52-63).    RICHARDI     FlSHACRE.    O.P.     (63-73). 

RoLANDi  de  Cremona.  O.P.  (80-96).  Joannis  Pagus  (96s),  Joannis  de  Modssy  (98-100) 
et  plurinios  anonymos.  qui  momentum  habent  ad  continuationem  doctrinalem  et 
auctorum  dependentiam  illustrandam,  inter  quos  praesertini  notatur  cudJ'uris.Sat . 
lat.  1061,0.  Fons  enim  esse  videtur  non  solum  Summae  Fratrm  Alexandn  (GUILELMI 
DE    Melitona)   et    Comm.    in    Sent.    Odonis    Ricaud,    O.Min.,   sed   etiam   Comm.   in    IV 


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u 


^ 


Ernst  H.  Kantorowicz  The  kind's  ln'o  hodics.  .1  sludii   in    Mediaeval  fjidi- 
tical  tliri)l„f;ii.  I'riii((>t(in,  1957.  K".  508  ]<. 

Dans  toulcs  les  monarchies  de  I'ere  modenie.  les  juristes  (ml  etc  obliges 
dc  distiii^'uof  les  acles  accoiiiplis  pai'  le  roi  coninie  personne  privee  el  ceux 
cnianaiit  dc  son  autoritc  publiquc.  Les  juristes  anglais  du  xvi'^-xvii''  siecle 
ont  donnc  dc  cette  distinction  classique  une  curieuse  formulation.  Le  roi, 
disaienl-ils.  a  deux  corps  :  \in  corps  naturel  el  un  corps  politique.  Le  pre- 
mier est  e})hcmerc.  faillible  et  morlel.  Le  second  est  stable,  infaillihie, 
eternel.  C'est  1'  «  estat  el  la  dignile  royale  >  iroi/ul  pMatc  and  digniti/],  la 
<i  police  el  le  gouvernement  du  royanme  la  »  corporation  <onstilnee  par 
lunion  du  prin(;e  el  de  ses  sujels...  )>.  ces  diverses  definitions  sont  jiropfi- 
sees. 

De  la  derniere.  on  deduit  de  curieuses  consequences  : 

—  Le  roi.  parachevant  runion  des  siijels  dans  le  corps  jKililique,  el  a 
lui  seul  "  en  son  corjis  jiolitique  »  une  corporation,  une  realite  collective, 
dont  i!  est  le  sufijiort  momentane.  mais  dont  I'ame  transmigre  apres  sa 
mort  dans  le  corps  de  son  successeur.  Le  roi  ne  menrt  pas.  dit-on  il  se 
demet  (demisp)  au  profit  de  son  successeur. 

—  Les  deux  cor])S  du  roi  sont  a  ce  point  solidaires  que  certaines  qiiali- 
les  de  I'un  snpf)leent  aux  carances  de  I'autre.  Ainsi  les  juristes  anglais 


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estiment  valables  les  actes  de  disposili.Mi  (I'lin  roi  niineur  sur  son  domaine 
priv(3,  parce  que  le  corps  politique  du  roi  ne  coniuiit  pas  la  niinorite. 

— -  Avec  iin  humour  assez  macabre,  le  parlemenl  anglais  de  1642  s>st 
paye  le  luxe  do  condamner  a  mort,  le  corps  naturel  du  roi.  an  nom  et 
comme  representant  de  son  corps  politique  ! 

Telle  est  la  curieuse   thoorie  des  juristes  des  rois  Tudor.   Bans  sou 
Richard  111.  Shakespeare  en  a  donne  maintes  formulations  poetiques. 
M.  Kantorowicz  a  etc  d'enibleo  I'rappe  par  I'analogie  de  cette  decomposi- 
tion de  la   ])ersonnalitt'  du  roi  avec  la   theologie  des  deux  natures  du 
Christ,  el  il  a  cherche  des  precedents  a  cette  audacieuse  transjtosition. 
Au  xif  siecle.  un  aiionyme  normaiid  distingue  la  personne  naturelle  du 
roi  de  la  per.sonnalite  du  Christ  que  la  grace  de  son  sacre  lui  permet   d'in- 
carner  :  In  una  quippe  erat  naturalUer  iitdwiduus  homo,  in  altera  per  gra- 
tiarii   ChrLslus,   id  est  Deus  homo  ...  In  officio,  figiira  et  imago  Christi  et 
7)rte.s7...  Cette  distinction  de  la  jiersonnalite  divine  et  de  la  personnalite 
humaine  du  roi  est  illuslree  par  riconogra[)liie  des  empereurs  du  haul 
moyen  age.   II  est  evident  que  cette  speculation,  pour  curieuse  qu'elle 
soit,  n'a  rien  a  voir  avec  les  theories  des  juristes  anglais  du  xvii^  siecle. 
•  Frederic  II  nous  en  rapproche-t-il  en  proposant,  dans  les  constitutions 
de  Melfi  une  nouvelle  decomposition  de  la  personnalite  royale  '!  Createur 
du  droit,  le  prince  Irouve  dans  le  Droit  la  justification  et  la  raison  d'etre 
de  son  pouvoir.  Le  prince  est  done  a  la  fois  »  pere  et  fds  de  la  justice  «.  En 
conimenlant  ce  texte.  un  juriste  evoque  Tanalogie  de  .'  Dieu,  pere  et  fils 
a  la  fois  ».  Mais  Taudienc-e  iditenue  par  de  semlilables  reveries  ne  semble 
pas  avoir  ete  tres  grande.  En  revanche,  M.  Kantor.iwicz  a  tout  a  fait  rai- 
son de  remarquer  que  Tidee  d'un  Etat  exislant  uniquement  pour  lui  memo 
et  n'ayant   d'autres  fins   que  sa  propre  conservation   est  etrangere  au 
moyen  age.  Hecemment  .\lan  Gewirth  faisait  de  Marsile  de  Padoue  I'ini- 
tiateur  de  cette  idee  moderne.  Peut-elre  lui  faisait-il  beaucoup  d'honneur. 
En  tous  cas  pour  tous  les  aulres  publici-tes  du   moyen  age,  juristes  ou 
ttieologiens,  le  prince  trouve  la  justification  de  son  |)ouvoir  dans  le  fait 
qu'il  le  met  au  service  de  la  justice.  Justinien  et  Aristote  s'accordent  a 
designer  le  prince  comme  la  le.r.  animnta  (geril   typum  juntitiae)   et  leurs 
commentaleurs  brodent  .sur  ce  theme.  C'est  de  cetle  notion,  sans  aucune 
dichotomie  de  la  personne  du  prince,  que  se  degage  peu  a  peul'ideed'une 
distincti(m  de  Toffice  du  prince  et  de  sa  personne,  de  la  couronne  et  du  roi. 
Les  textes  de  Bracton  que  cite  M.  Kantorowicz  sont  particulierement  sug- 
gestifs  :   ea  quae  sunt  justiliae  et  pad  nnnexae  ad  nullum   pertinent  nisi 
tantumad  coronam  et  dignitatem  regiam...  Le  meme  Bracton  oppose  le  droit 
feodal  du  roi  a  son  droit  fiscal  :  Est  etiam  res  quasi  sacra  res  fiscalis,  quae 
dari  potest  nee  vendi...   a  rege  regnante...  et  quae  faciunt  ipsam  coronam 
et  eommunem  respiciunt  utilitatem.  sicut  est  pa.r  et  justitia... 

M.  Kantorowicz  cherche  ensuite  si  la  theorie  qu'il  etudie  ne  se  rattache 
pas  directement  a  la  fiction  du  corpus  mysticum.  11  resume  les  donnees 
des  etudes  du  P.  de  Lubac,  de  Holbock  et  Tierney  sur  la  formatitui  pro- 
gressive du  concept  cristaUise  par  les  canonisteset  theologiensdu  x  in'- siecle 

sur  les  deux  corps  du  Christ,  corps  naturel  ou  <;orps  mystique  quod  est 
ecclesia.  11  montre  ensuite  avec  finesse  que  cette  idee  a  ete  diversement 
utili-see  par  les  juristes  :  les  uns,  comme  Lucas  de  Penna.  pous.sant  aussi 
loin  que  i)ossible  I'analogie  entre  le  corps  mystique  du  prince  (la  comniu- 
naute  dont  il  est  la  tetel  et  I'eglise  corps  mystique  du  Christ,  ajipliquant 


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ineint;  au  juiik  e  la  i.uHaphore  dti  inariape  mysUque  entre  l'6vt'qiie  el  son 
eghse,  invoquant  enfin  pour  I'aj.pliquer  au  prince  le  canon  ct-lebre  de 
St  Cypnen  Scire  debes  (C.  \U  qu.  1  c.  7)  :  ubi  cpiscopus,  ibi  ecdesia.  ■ 
d  autros  1  utilisant  uniqueniont  pour  donner  un  sens  a  la  notion  de  per- 
sonnaiite  morale  do  Vur,iversita>i  qui  commence  a  se  dogager  II  reste 
encore  beaucoup  a  dire  sur  la  portee  exacte  que  juristes  et  theologiens 
donnent  a  ce  corps  politique,  soit  pour  y  chercher  un  contrepoids  du 
pouvoir  royal,  soit  le  plus  souvenl  pour  donner  un  caractere  inviolable  a 
1  action  royale  qui  est  I'expression  do  la  vie  collective.  M.  Kantorowicz 
a  cite  Pierre  d'Ailly  et  Gerson.  11  aurail  Irouve  dans  Turqueinada  une  dis- 
cussion approfondi..  de  leurs  theses  et  aurait  j.u  saisir  une  nouvelle  inter- 
reaction  des  conceptions  politiqiies  et  ecclesiologiques. 

Etudiant  ensuite  la  notion  de  la  continuite  et  de  la  permanence  du 
«  corps  politique  ...  M.  Kantorowicz  glose  avec  bonlieur  sur  un  texte  de 
Baldus  montrant  (pie  certaines  cor].orations  peuvent  naitre  d'une  sue 
cession  de  personnes,  comme  d'autres  naissent  de  leur  concurs  quia  pro 
plunbus  habetur,  qui  in  plurium  jus  surcedil.  vel  plures  representat  II  v 
a  la  une  replique  .urieuse  a  la  theorie  de  la  personnalite  fictivedugroupe 
Le  peuple  est  a  traiter  «  comme  un  individu  »,  mais  a  I'inverse  le  prince 
ou  le  litulaire  d'lin  ollice  permanent  est  a  consideror  .  comme  une  collec- 
tivite  , .  11  participe  de  la  perennite  de  celle-ci.  Nous  ne  suivrons  p.nirtant 
pas  M.  Kantorowicz,  lorsqu'il  soup(,'oiine  la  une  snbtile  influenre  de  la 
th^se  averroiste  de  I'eternite  du  monde.  II  n'y  a  pas  besoin  (Faller  cher- 
cher si  loin  pour  expliquer  un  (imcept  aussi  naturel. 

Mais  c'est  en  driinitive  a  la  distinction  du  roi  el  de  la  coiironne  de 
I'eveque  et  de  son  .  siege  ..,  du  j.relat  et  de  la  dignitas  qu'il  attache  le  plus 
d'lmportance.  Rex  instrumenlun,  dignitatis,  dignitas  n„n  woritur  sur 
Torigine  et  le  developpemenl  de  ces  adages  forges  paralli'lemcMt'  par 
canonistcs  et  juristes,  M.  Kant  rowicz  ecril  cent  .inquante  pages  nourries 
de  textes  qui  ne  sont  peut-etre  pas  definitives  (1)  mais  s..nt  en  tons  ca*; 
emmeinment  eclairantes  et  suggestives.  11  a  bien  analvse  les  el.'inent'i 
disjoints  de  la  notion  d'une  couronne  distincte  de  la  p'ersonne  du  roi' 
fisc,  malienabilitc.  bien  public,  assimilation  de  la  couronne  a  un  mineur 
dont  le  roi  est  le  tuteur.  etc...  II  a  montre  que  la  couronne  est  plulot  .cor- 
porisee«  que  personnalisee.  Elle  incorpore  tous  les  droits  .souverains  et 
de  ce  fait,  est  superieure  a  tuis  les  membres  du  n.vaume  v  comnris  I." 
roi,  bien  qu'elle  soil  inseparable  de  lui. 

Cette  analyse,  |diis  sociologique  (,u  juridique  que  theologique  nous  rap- 
proche  beaucoup  plus  des  theories  des  juristes  anglais  que  les  analogies 
chrisl(dogiques  et  trinitaires  que  leurs  exposes  semblaient  a  premit-re  vur 
directement  evoquer. 

M.  Kantorowicz  le  reconnait.  mais  il  abandonne  avec  regret  Tidce  d'un.- 
transposition  des  reflexions  theologiques  dans  la  philosophic  politique  et 
le  droit  public.  C'est  probablement  ce  qui  nous  vaut  un  chapilre  sur  la 
thi^ologie  de  I'homme  se'on  Dante,  qui  nous  paratt  a  la  fois  discutable  et 
assez  t^tranger  au  sujet. 

La  presence  un  peu  insolite  de  ce  chapitre  nous  perniet  de  mieux  saisir 
le  faible  et  le  fort  du  livre  tout  entier. 

(I)  Nous  fiTi.Mis  notanmient  des  reserves  sur  Irs  pp.  Ml-yx,,  i,es  theories  sur 
la  yaleur  du  sa.rc  xw  nous  paraissent  pas  avoir  de  lien  direel  avec  la  (luestlon 
((ui  nous  oecupe.  <i"«s'><iii 


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595 
tives.  Les  unes  me?  elt  en  valeur     s  df  ^/s''';  "r'""'''''^^  ''  ^"^»- 

annexe  ^^^ns  1  ant.Mu.te  ,.-.,.„„,..  ,..st   mo.ns  un  vpiloKue  qu'une 

r.eorges  <le  I,u;ari)e. 


U     U       I    U 


THE  KING'S  TWO  BODIES:  A  STUDY  IN  MEDIAEVAL  POLITICAL 
THEOLOGY.  By  Ernst  H.  Kantorowicz.  (Princeton,  N.  J.:  Princeton  Uni- 
versity Press.  1957.  Pp.  xvi,  568.  $10.00.) 

The  idea  of  the  king's  two  bodies,  the  body  natural  and  the  body  politic, 
founded  on  the  distinction  between  the  mortal  and  personal  king  and  the  per- 
petual and  corporate  crown,  has  long  been  of  special  interest  to  students  of  Eng- 
lish constitutional  history,  in  which  this  idea  came  to  play  an  increasingly 
important  part  from  the  thirteenth  to  the  middle  of  the  seventeenth  century. 
Professor  Kantorowicz  has  concluded  that  the  idea  of  the  king's  two  bodies  as 
presented  by  the  Tudor  and  Stuart  lawyers  was  based  on  the  fusion  and  con- 
fusion of  various  strands  of  medieval  thought.  In  this  book  he  attempts  to  unravel 
the  various  strands  for  us,  while  modestly  admitting  that  the  present  studies 
"do  not  pretend  to  fill  the  gap"  in  our  knowledge  of  the  precise  development  of 
the  idea  in  its  special  English  context,  "especially  with  regard  to  the  crucial 


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82  Reviews  of  Books 

liftecntli  century."  The  result  will  prove  somewhat  disappointing  to  the  English 
constitutional  historian  because,  in  the  first  place,  the  relevance  of  substantial 
portions  of  the  book,  such  as  the  discussions  of  the  theories  of  Frederick  II  and 
Dante,  to  the  growth  of  the  idea  in  England  until  it  comes  to  full  expression  in 
Plowden's  Reports,  is  at  best  rather  far-fetched.  On  the  other  hand,  I  strongly 
suspect  that  there  is  relevant  material  in  the  English  plea  rolls  and  year-books  of 
the  thirteenth  and  fourteenth  centuries  which  the  author  has  overlooked.  Kantor- 
owicz's  method  of  inquiry  into  the  origins  of  an  idea  important  in  English 
constitutional  development  seems  a  little  dubious.  What  is  needed  is  more  inten- 
sive study  of  the  arguments  presented  during  the  various  struggles  between  the 
king  on  the  one  hand  and  the  barons  and  parliament  on  the  other  over  the  con- 
trol of  the  royal  government  and  administration,  and  far  less  of  such  material  as 
Shakespeare's  Richard  II,  to  which  a  whole  chapter  is  superfluously  devoted. 
Granted  that  the  idea  of  the  king's  two  bodies  has  roots  ultimately  in  ecclesiastical 
and  even  in  theological  principles,  it  was  closely  related  in  England  to  practical 
legal  and  political  considerations,  arising  out  of  the  realities  of  power  conflicts  and 
administrative  direction. 

If  Kantorowicz's  book  is  thus  a  disappointment  from  this  rather  specialized 
point  of  view,  it  is  anything  but  that  on  more  general  grounds.  The  author  has 
made  the  most  important  contribution  to  the  history  of  medieval  kingship  since 
Fritz  Kern's  Gottesgnadentum  und  Widerstandsrecht,  published  almost  half  a 
century  ago.  Indeed,  this  book  is  the  long-awaited  complement  to  Kern's  work; 
it  takes  up  the  history  of  medieval  kingship  at  the  beginning  of  the  twcliLh  cen- 
tury, where  Kern's  study  ended,  and  carries  it  through  to  the  sixteenth.  At  last 
we  have  a  comprehensive  history  of  the  theory  of  medieval  kingship  in  the  very 
complex  and  swifdy  changing  period  of  the  high  and  late  Middle  Ages.  Of  course, 
Kantorowicz's  work  is  not  entirely  original;  one  of  its  virtues  is  the  author's 
exhaustive  knowledge  of  the  recent  literature  of  the  subject.  But  he  has  carefully 
studied  the  imf>ortant  sources  for  himself,  making  use  of  iconographic  as  well  as 
textual  evidence,  and  has  elucidated  them  with  characteristic  brilliance,  erudition, 
and  ingenuity.  He  has  attempted  to  bring  together  many  different  strains  of 
medieval  thought,  secular  as  well  as  religious,  legal  as  well  as  theological,  and  to 
work  out  their  relationship.  In  this  enormously  difficult  task  he  has  succeeded.  No 
historian  of  the  Middle  Ages,  or  of  political  thought  in  general,  can  afford  not 
to  give  this  book  the  most  careful  study. 

The  author  shows  how  and  why  the  early  medieval  duality  of  king  by  nature 
and  king  by  grace  was  replaced  during  the  twelfth  and  thirteenth  centuries  by 
the  duality  of  the  king  below  and  above  the  law  and  a  little  later  by  the  king  as 
part  of  and  also  separate  from  the  body  politic  of  the  realm.  The  origins  and 
implications  of  the  theory  of  the  crown  as  a  corporation,  of  the  inalienability  of 
the  crown  and  the  royal  fisc,  of  the  emotional  concept  of  patria,  and  of  the  theory 
of  the  dignitas  of  the  crown  are  all  carefully  investigated.  All  the  leading  political 


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83 


theorists  of  the  high  and  late  Middle  Ages,  as  well  as  many  minor  writers,  and 
including  a  host  of  canon  and  civil  lawyers  known  only  to  specialists  in  the  field, 
are  subjected  to  the  author's  rigorous  inquiry.  Long  notes  on  special  problems  and 
an  unusually  full  index  make  this  book  a  veritable  encyclopedia  on  medieval 
kingship. 


Princeton  University 


Norman  F.  Cantor 


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REVIEWS 


453 


TZ/f  King's   Two  Bodies:  A   Study  in  Mediaeval  Political 

Theology.    By  Ernst  H.  Kantorowicz.    Princeton,  Princeton 

University  Press,   1957.-xvi,  568  pp.     $10.00. 

The  theme  of  this  richly  erudite  book  is  a  search  for  the  an- 
tecedents of  the  English  doctrine  of  "  the  king's  two  bodies  ", 
which  had  its  classic  formulation  in  decisions  of  Elizabethan  and 
Jacobean  courts  and  a  classic  commentary  in  Maitland's  essay, 
"  The  Crown  as  Corporation".  In  the  person  of  the  king,  ac- 
cording to  this  doctrine,  two  bodies  were  indivisibly  conjoined: 
his  "  body  natural  ",  subject  to  all  human  frailties;  and  his  im- 
mortal and  defeasible  "  body  politic  ",  containing  "  the  office, 
government,  and  majesty  royal  ",  a  "  mystic  body  "  in  which 
he  and  his  subjects  were  "  incorporated  together  as  head  and 
members  ".  The  "  more  ample  and  large  "  body  politic  purged 
royal  actions  of  defects  introduced  by  the  natural  body.  "  The 
king  never  dies  ",  for  the  body  politic  gave  royal  actions  perma- 
nent validity  and,  at  the  death  of  the  king's  natural  body,  joined 
that  of  his  successor.  The  king  enjoyed  the  peculiar  legal  status 
of  corporation  sole. 

Professor  Kantorowicz  shows  that  each  element  in  these  Eng- 
lish formulas  derived  from  concepts  cooperatively  worked  out 
by  continental  civilists  and  canonists  from  a  variety  of  materials. 
For  example,  "  The  king  never  dies  "  was  an  epigrammatic  sum- 
mation of  a  long  process  of  thought,  in  which  the  notion  of 
dynastic  succession  (supported  by  Aristotelian  biology)  was  fused 
with  the  principle  of  the  immortality  of  corporations  (which 
owed  something  to  the  perpetuity  of  the  populus  Romanus  and 
something  to  the  Aristotelian  view  of  time  as  sempiternal)  to 
develop  the  implications  of  a  papal  decretal  abstracting  an  ab- 
bot's "  dignity  which  does  not  die  "  from  an  abbot  who  died— all 
this  issuing  (with  some  help  from  the  phoenix-myth)  in  a  legal 
construct  of  deathless  "  dignities  "  as  "  corporations  by  succes- 
sion ".  And  so  with  other  elements.  What  was  uniquely  Eng- 
lish was  the  final  formulation  in  terms  of  "  two  bodies  "—rather 
than  the  legists'  "  two  persons  "  or  the  German  personified  state— 
and  the  incorporation  of  the  king  himself  as  corporation  sole. 
The  former  seems  the  result  of  an  English  survival,  due  perhaps 
to  the  persistence  of  Parliament  in  the  body  politic,  of  organo- 
logical  language  displaced  elsewhere  by  other  terms;  the  latter, 
of  an  English  blurring  of  the  Crown  incorporating  the  realm 
with  the  king's  corporate  "  dignity  ". 

A  significant  part  of  the  study  is  its  tracing  of  the  sources  of 
the  technical  language  used  to  assert  and  make  effective  the 
impersonality  or  continuity  of  institutions.     The  threads  some- 


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POLITICAL  SCIENCE  QUARTERLY  [Vol..  LXXIII 


times  lead  back  to  Roman  law,  mythology,  Aristotle— often  to 
theology,  whose  definitions  of  the  undefinable  were  available  at 
the  dawn  of  medieval  legal  consciousness.  Thus  the  doctrine 
of  the  "  two  natures  "  of  Christ,  Mediator  between  God  and  man, 
was  early  transmuted  to  define  the  position  of  emperor  or  king, 
"  man  by  nature,  Christ  by  grace  ",  and,  as  "  vicar  of  Christ  ", 
both  priest  and  king;  again  transmuted  by  thirteenth-century 
civilists  to  describe  the  emperor  as  "  priest  of  the  law  ",  the  "  ani- 
mate law  "  who  "  mediated  "  between  natural  and  positive  law; 
again  transmuted  in  the  dualities  of  Bracton's  king,  above  and 
below  the  law.  The  theological  imagery  did  not  merely  halo 
kingship;  by  providing  ways  of  stating  its  supra-personal  aspects, 
it  served— paradoxically— to  further  a  secular  construction  of  au- 
thority. Similarly,  the  phrase  "  mystic  body ",  originally  ap- 
plied to  the  eucharistic  symbols,  became  applicable  to  the  church 
after  the  twelfth-century  insistence  on  transubstantiation  and,  as 
"  polity-centered  "  thought  succeeded  theocentric,  quickly  served 
church,  empire  and  other  groups  as  the  imagery  through  which 
their  corporational  character  was  legally  developed.  To  any- 
one interested  in  the  way  in  which  borrowings  from  other  realms 
of  discourse  become  instruments  (or  determinants?)  of  political 
analysis-one  thinks  of  "  contract  ",  "  general  will  ",  "  organic  ", 
"  pressure-group  ",  "  model  "-Professor  Kantorowicz'  study  of 
medieval  political  semantics  may  be  more  suggestive  than  he, 
perhaps,  would  wish. 

The  book  is  written  with  lucidity  and  urbanity  and  packed 
with  valuable  bibliographies.  It  is,  admittedly,  incomplete  on 
the  successive  English  reflections  of  continental  concepts,  which 
await  further  research.  But  my  only  serious  question  is  about 
the  interpretation  of  Bracton's  thought  as  focused  in  the  dialec- 
tic notion  of  a  king  who  derived  a  general  legislative  authority 
from  the  lex  regia  as  "  the  law  that  makes  the  king  "  and  whose 
Christlike  self-submission  to  "  the  Law  "  was  reciprocal  with  a 
Christlike  authority  over  it.  Professor  Kantorowicz  does  not 
examine  the  specific  roles  of  Bracton's  king  in  relation  to  differ- 
ent kinds  of  law;  his  exegesis  seems  to  involve  undue  emphasis 
on  the  qtiod  principi  placuit  sentence  as  the  key  to  Bractonian 
kingship  and  a  questionable  claim  that  phrases  in  the  surround- 
ing discussion  of  the  king  as  judge  refer  to  legislation.  However, 
the  interpretation  of  Bracton  is  not  an  essential  point. 

The  extraordinary  richness  of  the  book  may  submerge  the 
author's  warning  that  it  does  not  explore  all  the  medieval  origins 
of  "  the  Myth  of  the  State  "  but  "  a  single  strand  of  a  very  com- 
plicated structure."     Other  formulas  in  which  men  said  other 


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REVIEWS 


455 


things  about  authority  are,  properly,  omitted  or  treated  only 
peripherally.  Moreover,  following  the  intricate  history  of  meta- 
phors and  maxims,  one  may  lose  sight  of  a  fact  of  which  Profes- 
sor Kantorowicz  is  well  aware:  that  what  was  going  on  was,  at 
bottom,  no  mere  interplay  of  words  but  the  intensely  practical 
effort  of  lawyers  to  construct  a  viable  legal  system  for  concrete 
legal  problems.  Practical  issues  and  consequences  are  only 
lightly  suggested  here;  but  an  examination  of  all  the  multiple 
dimensions  of  the  ideas  that  produced  "  the  king's  two  bodies  " 
would  require,  perhaps,  a  two-bodied  Professor  Kantorowicz  and, 
certainly,  a  multi-bodied  reader. 

EwART  Lewis 
Oberi.in  College 

King  and  Commons,  1660-1  S'i 2.  By  Bettv' Kemp.  London, 
Macmillan  &  Co  Ltd,  New  York,  St  Martin's  Press,  1957.-vii, 
168  pp.     54.50. 

This  is  a  study,  by  a  Fellow  of  St.  Hugh's  College,  Oxford,  of 
the  constitutional  balance  between  King,  Lords  and  Commons 
which  was  the  essence  of  British  government  in  the  eighteenth 
century.  The  usual  treatment  of  this  period  stresses  the  conflict 
which  arose  between  King  and  Parliament.  It  is  the  aim  of  the 
author  to  show  that,  in  spite  of  these,  there  existed  a  basic  bal- 
ance respected  by  both  and  that  this  was  so  conventional  by  the 
time  Montesquieu  visited  England  in  1729  that  the  Esprit  des 
his  added  nothing  to  it.  However,  Montesquieu's  idea  that  the 
English  Constitution  supported  his  belief  that  civil  liberty  was 
best  preserved  in  a  state  where  there  is  a  balance  between  legis- 
lative, executive  and  judicial  power  was  a  misinterpretation  of 
the  real  balance  of  the  Constitution.  .Although  there  is  a  short 
chapter  discussing  the  development  of  this  balance,  and  a  final 
chapter  dealing  with  the  rise  of  the  cabinet,  the  main  purpose  of 
the  book  is  to  show  how  the  balance  between  King  and  Com- 
mons worked  in  the  eighteenth  century.  This  was  made  possible 
by  the  English  racial  habit  of  allowing  laws  to  be  interpreted  by 
conventional  practice  and  conventional  practice  to  pass  into 
law. 

There  are  two  such  incidences  which  occupy  the  main  at- 
tention of  the  author:  the  Septennial  Act  of  1716  and  the  use 
of  royal  placemen.  The  first  established  a  stable  government 
by  giving  Commons  a  regular  and  reasonably  long  life  of  its  own; 
thus  reducing  its  dependency  on  the  King,  for  by  interpretation 
it  came  to  mean  that  seven  years  should  be  the  normal  life  of 
Commons.     The   use  of  placemen   provided   the   King  with   a 


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THOUGHT 


POLITICAL  PHILOSOPHY 


^ 


m 


The  King's  Two  Bodies.  A  Study  in  Mediaeval  Political  Theology.  By 
Ernest  H.  Kantorowi(/.  Princeton:  Princeton  University  Pres.s,  1957. 
Pp.  xvi,  568.  $10.00. 

This  is  a  book  of  major  importance  for  medievalists.  It  presents  a  fasci- 
nating array  of  theological,  iconographical  and,  above  all,  juristic  materials 
concerning  medieval  ideas  of  kingship  and  combines  them  into  a  new  and 
most  interesting  synthesis.  The  starting  point  is  a  constitutional  fiction  much 
used  by  Tudor  lawyers  and  perhaps  best  summed  up  in  the  words  of  Justice 
Southcote,  "The  King  has  two  Capacities,  for  he  has  two  Bodies,  the  one 
xvhereof  is  a  Body  natural  .  .  .  and  in  this  he  is  subject  to  Passions  and  Death 
as  other  Men  are;  the  other  is  a  Body  politic,  and  the  Members  thereof  arc 
his  Subjects  .  .  .  and  he  is  incorporated  with  them  .  .  .  and  this  Body  is  not 
subject  to  Passions  as  the  other  is,  nor  to  Death,  for  as  to  this  Body  the  King 
never  dies.  .  .  ."  The  distinction  does  not  quite  correspond  to  the  common 
medieval  distinction  between  person  and  office  for,  even  in  his  body  natural, 
the  king  was  held  to  be  "not  void  of  prerogative."  It  was  in  fact  a  peculiarly 
English  formulation  and  was  to  have  significant  repercussions  in  seventeenth- 
century  English  constitutional  history.  Professor  Kantorowicz  has  set  him- 
self to  explore  all  the  dualities,  the  antinomies  and  tensions  in  earlier  medieval 
ideas  of  kingship  thai  contributed  to  its  emergence. 

The  idea  of  a  king  compounded  of  "two  bodies  in  one  person""  inevitably 
calls  to  mind  the  Christological  definitions  of  the  theologians.  Maitland 
long  ago  pointed  out  that  the  English  jurists  were  indeed  creating  "a  creed 
of  royalty  which  shall  take  no  shame  if  set  beside  the  Athanasian  symbol," 
and  in  the  present  book  his  hint  is  taken  up  with  great  zest  and  ingenuitv. 
There  was  no  real  temptation,  we  are  told,  toward  a  juristic  "Arianism"  or 
"Sabellianism,"  but  the  Tudor  lawyers  did  understandably  incline  to  "Mono- 
thelitism""  and  the  judges  were  at  times  even  "Monophysite"  in  their  deci- 
sions (though  there  was  some  danger  of  a  royal  "Nestorianism"  too).  All 
this  seems  at  first  a  mere  jeii  d'esprit,  but  it  does  serve  to  bridge  the  gap 
between  the  world  of  the  Tudor  lawyers  and  that  of  the  early  medieval 
"political  theologians"  who  quite  consciously  and  deliberately  used  concepts 
of  Christological  theology  to  define  the  nature  of  kingship. 

The  historical  exposition  opens  with  a  consideration  of  the  .N'orman 
Anonymous  (c.  1100)  as  a  leading  exponent  of  the  conception  of  "Christ- 
centered  kingship."  In  his  day  the  main  dichotomy  was  between  the  king 
as  a  natural  person  and  the  king  as  an  "image  of  Christ,"  a  status  conferred 
by  divine  grace  in  his  sacramental  anointing.  With  the  renaissance  of  legal 
studies  in  the  twelfth  century  we  move  into  a  period  of  "law-centered  king- 
ship." The  underlying  tensions  then  expressed  themselves  in  definitions  of 
the  king's  relation  to  the  law.    He  was  held  to  be  "above  and  below  the  law," 


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307 


Ik.  Ill  "  falli.r  and  son  of  juslic,.,"  his  authority  at  oia:c  a  product  of  law  and 
Its  Sonne;  and  these  i.roblems  arose  in  Roman  and  canon  law  as  well  as  in 
iIr  familiar  texts  of  Hracton.  Finally,  in  the  late  thirteenth  and  fourteenth 
tri  ituries,  the  emphasis  changed  again.  Constitutional  theorists  became  more 
an.  1  more  preoccupied  with  the  political  structure  of  the  community  as  a  whole 
and  with  ihe  participation  of  its  members  in  the  exercise  of  royal  power. 
The  author  calls  this  phase  "polity-centered  kingship,"  and,  in  discussing 
it,  he  emphasizes  the  formative  influence  of  the  theological  doctrine  of  the 
M)'stical  Body  on  the  development  of  a  corporative  theory  of  the  state.  As 
forj  the  uniqueness  of  the  English  formula,  this  arose  from  the  interplay  of 
a  common  fund  of  medieval  ideas  with  certain  institutional  peculiarities  of 
the  English  state.  When  the  idea  of  polity-centered  kingship,  of  a  "Mystical 
Body  of  the  state,"  had  permeated  the  jargon  of  the  lawyers  everywhere,  the 
strength  of  parliamentary  institutions  in  England  made  it  seem  there  r^uch 
more  a  concrete  description  of  an  existing  state  of  afl'airs,  and  much  less  a 
mystical  abstraction,  than  in  other  countries. 

Although  the  author  considers  the  nature  of  the  EngUsh  parliament  im- 
portant to  his  theme,  he  has  not  allowed  himself  to  be  drawn  into  the  morass 
of  speculation  concerning  its  origins  and  early  functions.  Such  a  topic  could 
hardly  have  been  considered  in  this  already  densely  packed  volume,  but  it  is 
an  important  and  relevant  one.  A  synthesis  of  materials  on  the  scale  achieved 
here,  having  the  parliament  rather  than  the  king  as  its  focal  point,  might 
provide  a  useful  corrective  both  to  the  almost  mathematical  formalism  of 
some  English  constitutional  historians  and  to  the  eccentricities  of  some  Con- 
tinental corporatists. 

The   argument   throughout   the   book   is   too  close-lexlured   and   too   richly 
allusive  to  be  adequately  summarized.    The  conceptual  framework  is  itself 
an  important  contribution  to  our  understanding  of  medieval  political  thought, 
for  the  categories  "Christ-centered,"  "law-centered,"  "polity-centered"  could 
be  applied  fruitfully  in  other  fields  besides  those  explored  here.  A  reconsid- 
eration of  the  medieval  doctrines  of  papal  headship  in  the  Church  in  terms 
of  them  would  be  most  rewarding.  Within  this  framework  the  author's  imagi- 
nation plays  vividly  around  a  host  of  interrelated  topics.    We  are  given,  in 
passing,  an  analysis  of  the  political  theology  implicit  in  Shakespeare's  Rich- 
ard II  and  in  the  iconography  of  the  Gospel  Book  of  Aachen  (c.  973),  ob- 
servations on   English  coronation  oaths  and  French  funeral  customs,  some 
reflections  on  Averroistic  theories  of  time— this  problem  of  time,  of  the  per- 
sistence of  institutions  amid  the  transience  of  human  lives,  seems  to  be  the 
one  that  has  fascinated  the  author  most  of  all;  and,  finally,  there  is  a  discus- 
sion of  the  conception  of  Ilumanitas  in  Dante's  political  thought  thrown  in 
for  good  measure.   The  whole  argument  of  the  book  serves  to  drive  home  two 
lessons  which  have  been  suggested  recently  by  a  number  of  specialist  studies, 
but  which  have  not  hitherto  been  adequately  assimilated  in  any  major  syn- 
thesis.   One  is  that  the  doctrines  of  Roman  and  canon  law  contributed  at 


n    L     O    L 

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308 


THOUGh 


It-ast  as  much  lo  llic  ideas  of  medieval  coiistitutioiialisiii  as  tu  those  of  HeiiAis- 


sance  absolutism.    The  other  is  that  the  constitutional  doctrines  of  the  h 
Middle   Ages   can   hardly   be   investigated   realistically   unless   the  interp 
between  theories  of  ecclesiastical  polity  and  theories  of  civil  polity  is  c  on- 
stantly  taken  into  account. 

Altogether  this  is  a  brilliant  and  stimulating  work.    We  may  add  that 
book  is  excellently  produced  and  that  the  thirty  plates  which  are  included 
are  not  mere  decorations  but  form  an  intrinsic  part  of  the  argument. 

Catholic  University  of  America.  Brian  Tierne 


igh 
lay 


Burke  and  the  Nature  of  Politics.  The  Age  of  the  American  Revolution. 
By  Carl  B.  Cone.  Lexington,  Ky.:  The  University  of  Kentucky  Press,  isfs? 
Pp.415.  $9.00. 

As  the  first  of  a  two-volume  biography  of  Edmund  Burke,  all  things  con- 
sidered this  is  the  best  descriptive  account  of  the  life  and  times  of  the  great- 
est Whig  statesman.    In  factual  information  and  method,  Professor  Cone's 
thorough  and  objective  study  supersedes  by  far  the  inadequate  biography  by 
James  Prior,  which  was  standard  for  the  nineteenth  century,  and  the  descrip- 
tive biographies  of  Bertram  Newman  (1927),  Robert  H.  Murray  (1931),  and 
Sir  Philip  Magnus  (1939).  Professor  Cone  is  fully  aware  of  the  analytical 
studies   of   Burke's   career   and   political   philosophy   by  John   Morley,   John 
MacCunn,  Alfred  Cobban,  and  a  host  of  other  writers.  But  as  his  biography 
is  far  more  an  account  of  historical  events  than  an  analysis  of  Burke's  political 
thought,  he  has  subordinated  philosophical  insight  to  historical  knowledge. 
To  this  end  he  has  made  excellent  use  of  all  the  scholarship  on  Burke  since 
the  appearance  of  Samuels'  The  Early  Life,  Correspondence  and  Writings  of 
Burke  (1923),  and  particularly  of  the  specialized  studies  by  Ross  J.  S.  Hoff- 
man, Dixon  Wecter,  Donald  Bryant,  Thomas  Copeland  and  H.V.S.  Somerset. 
He  has  drawn  much  new  material  directly  from  the  unpublished  manuscripts 
relating  to  Burke  in  the  Watson-Wcntworth-Fitzwilliam  archives  in  Yorkshire 
and  Northamptonshire,  which  have  been  available  to  scholars  since  1949.    In 
addition,  he  has  thoroughly  mastered  the  essential  historical  facts  of  eighteenth 
century  life  and  politics— the  problems  of  Ireland,  America,  India,  the  French 
Revolution,  and  domestic  and  constitutional  conflicts— so  that  he  has  placed 
Burke's  life  and  political  career  in  its  significant  background.  What  diligence, 
learning  and  scholarly  accuracy  can  do  to  present  the  cardinal  facts  of  Burke's 
political  life.  Professor  Cone  has  done  better  than  any  other  scholar. 

Probably  the  chief  value  of  Burke  and  the  Nature  of  Politics  lies  in  the 
meticulously  detailed  account  of  the  essentials  events  in  Burke's  private  and 
public  life.  The  external  succession  of  events  is  presented  empirically,  and 
the  chief  principle  of  arrangement  is  chronological.  Almost  never  is  there  an 
attempt  to  get  [)sychological  or  philosophical  insight  into  Burke's  cliaracter 
or  beliefs,  by  dramatizing  empirical  data  or  by  handling  his  thought  themati- 
cally.   Yet  Professor  Cone's  superb  skill  in  the  controlled  use  of  detailed  facts 


n    L    u 
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^(LL^toatuJic 


? 


/  ^if^ 


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THE  REVIEW  OF  POLITICS 


M.  A.  FITZSIMONS  .  .  .  . 

FRANK  O'MALLEV  and  JOHN  J.  KENNEDY 
THOMAS  T.  McAVOy 


Editor 
Associate  Editors 
Managing  Editor 


Rev 


ICWS 


V 


Stephen  DKertesz.  B.  Szczesniak.  Milorad  M.  Drachkovitch.  Fauzi  M. 
Najjar  R  ^.  Schoeck,  J.  A.  Lukacs.  Leon  Bernard.  James  E.  O'Neill 
John  A  A.  ter  Haar.  Werner  T.  Angress.  James  P.  Scanlan.  John  Fizer." 
Marshall  Smeiser. 


Reprinted   from 

■THE     REVIEW     OF     POLITICS' 

Vol.  22.  No.  2,  pp.  269-304.  April,  I960 

University  of  Notre  Dame  Press 
Notre  Dame,   Indiana 


U    U    U    U 


Revi 


ews 


} 


INTERNATIONAL  ORGANIZATIONS* 

One  of  the  most  disturbing  phenomena  of  our  age  is  the  discrenan- 
cy  between  unity  and  interdependence  of  the  world  on  the  material 
level  and  its  division  on  the  political.    This  ominous  situation  was   to 
a  large  extent,  caused  by  the  gap  which  exists  between  the  respective 
developments  of  the  physical  and  social  sciences.  Homo  politicus  today 
acts  under  rapidly  changing  world  conditions  according  to  the  con- 
cepts and  rules  of  past  centuries.    The  contradiction  between  the  al- 
leged sovereignty  of  states  and  the  shrinking  world  made  imperative 
the  creation  of  international  agencies  and  the  consequent  transfer  of 
some  governmental  functions  to  these  agencies.    International  organi- 
zations of  a  technical  nature  were  established  in  the  nineteenth  cen- 
tury because  the  national  regulation  of  such  functions  as  river  and 
railroad  transportation,  the  movement  of  mail,  and  telegraphic  trans- 
missions was  no  longer  satisfactory.    The  First  World  War   however 
made  it  clear  that  the  transfer  of  technical  functions  from  the  national' 
to  the  international  sphere  is  only  a  convenience  for  the  national  states 
.urul  T^  facilitate  the  solution  of  conflicts.    Since  the  system  es- 
tablished by  the  Hague  Peace  Conferences  for  the  pacific  settJement 
of  international  disputes  also  failed,  and  the  traditional  means  of  di- 
plomacy  proved  ineffective,  during  both  world  wars  it  was  recognized 

r>     *  '■    ■^".n^/i^'l"*  ^'  '"  ^'^"'""^  f^"'"-   (New  York:   Manhattan  PublishlnR 
Company,  1958.    Pp.  xi.  372.    $3.00.) 

2.  Jorge  Castaneda:  Mexico  and  the  United  Nations.  (New  York-  Man- 
hattan Publishing  Company,   1958.    Pp.  xi,  244.    $3.00  ) 

3.  Uruguay  and  the  United  Nations.  (New  York:  Manhattan  Publishing 
Company,  1958.    Pp.  xi.  129,  $3.00.) 

/M*'    .^°';'"^"  Harper  and  David  Sissons:   Australia  and  the  United  Nations 
(INew   York:    Manhattan   Publishing   Company,    1959.     Pp    xiii    423      $3  00) 

5.  hP'^n  and  the  United  Nations.  (New  York:  Manhattan  Publishing 
Company,  1958.    Pp.  xv,  246.    $3.00.) 

6.  William  A^Scott  and  Stephen  B.  Whithey:  The  United  States  and  the 
Umted  Nations:  The  Public  View.  1945-1955.  (New  York:  Manhattan  Pub- 
lishing Company,  1958.    Pp.  xiii,  314.    $3.00.) 

w    ^:    Robert  M.MacIvcr:  The  Nations  and  the  United  Nations.    (New  York: 
Manhattan  Pubhshmg  Company,  1959.    Pp.  xi,  186     $3  00  ) 
/M  °"    ,^a""«  Bo"'-q"in:    L'Etat  Souverain  et  L' Organisation  Internationale, 
a     V  Manhattan    Publishing   Company,    1959.     Pp.   viii     247      $3  00) 

Pi,  ,  Yves  Collart:  Z).Wm«m^n<;  A  Study  Guide  and  Bibliography  on  the 
Efforts  of  the  United  Nations,  published  under  the  auspices  of  the  World  Fed- 
eration of  United  Nations  Associations.  (The  Hague:  Martinus  NijhofT,  1958. 
*  p.    X,    I  [[).     $.oU) . 

Coun°;i/f"F^"'"  ^xu*''«'  ^°'\^^'  P^b'i'hed  under  the  auspices  of  the 
Council  of  Europe.    (The  Hague:   Martinus  NijhofT,  1958.  Pp.  xxi    708    $9  94  ) 

1        .it     fi^"'"*  ^J  ^.'^''''  ^'onomique  Aux  Pays  Sous-Diveloppis.   (Brus- 

t^,  m9."p^;^529":"$9.3rr'  '-  ^^'"'''"'  mtemationales  and  Martinu. 

269 


/  /    L     U     O 

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THE  REVIEW  OF  POLITICS 


that  the  establishment  of  a  universal  international  organization  was 
required  for  the  peaceful  solution  of  conflicts.  Although  the  crea^S 
of  the  League  of  Nations  and  of  the  UN  were  aiming  at  far-reaching 
objectives,  the  national  states  have  remained  the  cornerstones  of  our 
international  system.  Because  of  the  basic  contradiction  between  the 
desire  for  a  world  organization  capable  of  settling  disputes,  of  guar- 
anteemg  security,  a^d  of  implementing  peaceful  change  oA  the  one 
hand,  and  the  harsh  realities  of  the  existing  state  system  on  the  other, 
he  League  of  Nations  failed  and  the  UN  experienced  many  frustra- 
tions in  the  political  sphere.  ' 

Although  the  development  of  international  organizations  and  their 
role  m  international  aff-airs  fall  short  of  fulfilling  the  requirements  of 
rZ.T'ur"'^u''^  f^"  achievements  of  these  organizations  are  truly 
remarkable.  Therefore  a  survey  of  national  reactions  to  their  activi- 
ties was  both  justified  and  needed.  The  Carnegie  Endowment  for 
International  Peace  responded  to  this  need  in  1952  by  initiating  a 
series  of  Nationa  Studies  on  International  Organizations  particularly 
on  the  United  Nations.  Within  the  framework  of  this  project  some 
two  dozen  studies  have  been  published,  several  of  which  have  been 
reviewed  in  the  Review  of  Politics,  XX  (1958),  249-258.  Most  of 
these  studies  describe  the  UN  from  the  point  of  view  of  particular 
countries  and  include  a  general  appraisal  of  some  aspects  of  UN  ac- 
tivities such  as  the  nature,  processes,  and  principles  of  the  world  or- 
ganization, questions  of  jurisdiction,  collective  security,  self-defense 
and  regional  organizations.  ' 

Besides  having  the  general  sponsorship  of  the  Carnegie  Endow- 
ment, these  studies  have  been  prepared  under  the  auspices  of  national 
scholarly  bodies,  such  as  the  Japanese  Association  for  International 
Law,  ElColegio  de  Mexico,  the  Uruguayan  Institute  of  International 
l-aw,  L  Institut  Royal  des  Relations  Internationales  in  Belgium  the 
Australian  Institute  of  International  Affairs,  and  the  Survey  Rest^ch 
Center  of  the  University  of  Michigan.  The  participation  in  research 
of  the  sponsoring  institutions  varies  greatly  in  degree.  Some  volumes 
are  written  by  individual  authors,  others  are  the  result  of  collective 
research,  and  some  studies  reflect  mainly  the  oflicial  position  of  a  eov- 
emment.  ° 

1.  A  galaxy  of  outstanding  scholars,  diplomats,  and  statesmen  co 
operated  in  the  writing  of  the  Belgian  volume,  which  probably  repr^ 
sents  the  best  pattern  for  this  kind  of  study.  An  introduction  surveys 
Belgium  s  position  in  international  relations  before  1945  Part  I  dis 
cusses  the  opinion  of  Belgian  scholars  and  the  Belgian  Goxemment 
concerning  the  Dumbarton  Oaks  proposal  and  the  Belgian  attitude  at 
the  San  Francisco  conference.  Belgium  then  advocated  greater  power 
for  the  General  Assembly  and  took  a  stand  for  compulsory-  jurisdiction 
ot  the  International  Court  of  Justice  over  leeal  disputes.'  Part  II  de- 
scribes the  evolution  of  views  in  the  Belgian  Parliament  toward  the 
UN,  the  mechanism  established  in  the  foreign  ministry  to  deal  with 
international  organizations,  the  composition  of  delegations  to  the  UN 


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281 


tS^Co:!^^  ''-  '"-^  ""^^™  -^   ^-nnined  force  re- 
Bernard  Lewis  of  the  University  of  London,  in  a  provocative  article 

He  conTr^Jhat^f  c'"'""  -T"-/^'^  qualities^con^^ LTo  ^ 
ne  concludes  that  a  community  brought  up  on  uninterrupted  autor 

which"!  '  ""'1;r°"  °^  "^"^'^"^'^  "^•'"  "°^  be  shocked  bv  a  re^S^^ 
which  offers  ruthless  strength  and  efficiency  in  the  ser%ice  of  a  ca7s^ 
an>.vay  m  appearanc^in  place  of  the  ineptitude,  corruption    at^ 
cynicism  which  m  their  mind,  one  mav  even  sav  in  their  experience 
are  mseparable  from  parliamentan-  government"    (p    3 j 9 f ''P"'^""' 

is  "  a"he7w'l"?''"''  °^  historical  facts.  Lewis  charges  that  Islam 
IS  rather  less  anti-Commumst  than  Christianity.  Greek  Orthodoxy 
in  Russia  proved  to  be  less  of  a  bulwark  against  Commun^Sn  than 
Islam  or  any  other  religion  for  that  matter^  The  present  reviewer 
finds  vmdictive  humor  m  the  summary  of  the  Communist  cre^d  as 
There  xs  no  God  and  Karl  Marx  is  his  Prophet."  If  Comm^nis^ 
appeals  to  Mushms  it  is  not  because  there  is  a  doctrinal  aS  bS 
nveen  Islam  and  Communism,  but  rather  because  Western  secularism 
has  undermined  the  traditional  Islamic  way  of  life  and.  on  the  politick 
plane  the  \Nestern  powers  have  alienated  the  peoples  of  the  M  ddfe 
fl^d  h  r  "^  ^  P"^"u"'  ^"^  ideological  vacuum  which  will  be 
of  the  Arabs     ^^^         '°         immediate  political  and  emotional  needs 

,K  Tf  ■!,],^  ""'J  ^^'  ^^'''''^  '"  '^^  ^^'dd'^  East  as  well  as  in  the  eyes  of 
the  Middle  Easterners.  It  is  from  this  point  that  one  should  e.xaSine 
the  appeal  of  the  Soviet  Union  to  the  Arabs.  Hence  Dr.  Xabih  Paris 
concludes  a  similar  essay  with  the  cogent  statement  that  "The  -riev- 
ances  most  of  the  Muslim  world  have  against  the  West,  the  conditions 
under  which  Mushms  live,,  and  the  legitimate  urge  felt  by  them  to 
break  the  spell  of  \N  estem  hegemony,  tempt  the  faithful  to  make 
eague  even  with  the  devil,  especially  when  the  devil  has  donned  a 
turban,  has  partly  concealed  his  hammer  and  sickle  under  his  newly 
acquired  burnous,  so  as  to  make  it  look  more  like  a  crescent-and 
hnally  has  started  to  quote  the  "Quran"  (p.  359) . 

.  _  .  — Fauzi  M.  Najjar 

POLITICAL   THEOLOGY  AND   LEGAL   FICTION* 

To  declare  that  Professor  Kantorowicz  has  at  once  isolated  one  of 
the  most  remarkable  theories  of  the  English  Renaissance  and  at  the 
same  time  has  given  us  a  ven-  rich  sense  of  the  long  tradition  and  com- 
plex history  of  the  idea  of  the  Kings  Two  Bodies  which  takes  us    in 

xJ^jJf"*'  &^^'  /^P  "^^  ^^^  ^^^'  ^"d  PoJ'tical  thought  of  the 
Middle  Ages  —  to  c^eclare  this  is  to  give  some  appreciation  of  Kantor- 
owicz^s  imaginative  leap  beyond  Maitland's  cr>pto-ironic  commentary 

PnJ,if?Tl  ";•  ^*"J°"?^'^^^  ^„^'  ^'"S'^  Two  Bodies:  A  Study  in  Mediaeval 
JlOOO  °°^^-    (P""^«<'"-   P"nceton  University  Press,  1957.    Pp.  xvi,  568. 


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on  The  CroM-n  as  Corporation"  and  at  the  same  time  to  pay  tribute 
to  the  truly  extraordman-  scholarship  which  grounds  this  essay  so  that 
n  IS  mmiedmel>  one  of  the  landmarks  of  the  history  of  politics  and 
specu  ative  theolog>-  (or,  as  the  subtitle  suggests,  of  that  land-between 
oi  political  theology). 

The  title  of  this  rev-ievx'  k  intended  to  ser\e  as  a  shorthand  for  the 
book  under  review  and  for  some  aspects  of  mv  comments  on  it.  The 
book  Itself  is  concerned  with  one  leading  theor%-.  the  fiction  (as  the 
author  wntes  in  his  preface!  '"of  the  King's  Two  Bodies,  its  trans- 
lormauons.  imphcations,  and  radiations."  The  t^^'o  bodies  —  the  body 
politic  and  the  body  natural  —  was  of  course  a  legal  fiction,  developed 
by  the  English  jurists  of  the  Tudor  period.  The  'great  historian  Mait- 
land  found  m  Edmund  Plowden's  Reports,  which  though  begun  earlier 
were  collecaed  and  vritten  under  Queen  Elizabeth. '"the  first  clear 
elaboration  of  that  mystical  talk  with  which  the  English  crown  jurists 
enveloped  and  tnmmed  their  definitions  of  kingship'and  royal  capaci- 
ties. The  cause  celebrc  concerned  the  Duchy  of  Lancaster  which  the 
Lancastnan  Kings  had  owned  as  private  and  not  Crown  property-  it 
was  tried  m  the  fourth  year  of  Elizabetili-s  reign.  Plowden  reports 
that  the  crovv-n  lawyers  all  agreed  -t^iai  by  the  Common  Law  no  Act 
vvhich  the  Kmg  does  as  King,  shall  be  defeated  by  his  Nonage  For 
the  King  has  m  him  two  Bodies,  viz.,  a  Body  natural,  and  a  Body 
poliuc.  His  Body  natural  (if  it  be  considered  in  itself  is  a  Bodv  mor- 
tal, subject  to  all  Infirmities.  ...  But  his  Bodv  politic  is  a  Body  that 
cannot  be  seen  or  handled,  consisting  of  Policy  and  Go\emment  and 
constituted  for  the  Direction  of  the  People,  and  the  Jvlanagement  of 
the  public  weal,  and  this  Body  is  utteriy  void  of  Infancy  and  old  Age 
and  other  natural  Defects  and  Imbecilities,  which  the  Body  natural 
IS  subject  to,  and  for  this  Cause,  what  the  King  does  in  his  Body 
pohuc,  cannot  be  invalidated  or  frustrated  by  any  Disability  in  his 
natural  Body." 

There  is  nothing  like  the  English  concept  of  the  King's  Two  Bodies 
on  the  Continent.  Kantorowicz  writes,  and  the  idiom  of  this  concrot 
cannot  easily  be  dismissed  from  English  political  thought:  it  explains 
the  action  of  Parliament  with  Charles  I  in  1642,  and  Kantorowicz 
uses  the  poet's  vision  of  the  twin  nature  of  a  king  to  illuminate 
Shakespeare's  Richard  II  (and  the  success  of  this  enterprise  lead'^  one 
to  hope  that  the  author  will  bring  his  unrivalled  background  to  further 
readmgs  of  Renaissance  political  literature  j .  One  can  only  suggest  the 
further  course  of  this  study  of  the  King's  Two  Bodies  h\  indicating 
the  path  by  which  Kantorowicz  traces  the  historical  problems  back  to 
the  Middle  Ages  and,  by  placing  the  concept  in  its  full  context  dem- 
onstrates the  genesis  of  the  concepts;  the  chapter-headings  point  the 
way:  Christ-Centered  Kingship,  Law-Centered  Kingship  Polity- 
Centered  Kmgship:  Corpus  Mvsticum.  On  Continuity  and  Corpora- 
tions, The  King  Never  Dies,  and  Man-Centered  Kingship:  Dante 
In  the  Epilogue  in  summarizing,  it  is  recognized  that  "isolated  features 
are  recognizable  in  classical  political  philosophy  and  political  theology 


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283 


which  would  suggest  that  the  substance  of  the  idea  of  the  King's  Two 
Hod.es  had  been  anticipated  in  pagan  Antiquity.  Moreover,  it  sounds 
plausibk.  enough  that  one  or  anotlier  of  those  antique  theorem.s  be- 
came effective  m  the  High  Renaissance  wiien.  in  addition  to  the  hter- 
arv  sources,  die  archaeological  and  numismastic  materia!  also  became 
available  again.  There  is  no  doubt  tfiat  the  classical  model  occasionally 
served  to  rationatzr  certain  phenomena  (as.  for  example  the  display 
^^^'TJ'  ''''■'''^  funerals-  which  had  originated  and  dex^eioped  from 

totalh-  different  conditions  and  strata [But]  there  is  nevertheless 

onr  detail  which  would  exclude  a  pagan  origin  of  the  Tudor  formula 
from  tlie  outset;  that  is,  the  concept  of  the  king  ha^'ing  two  Bodies. 
Notwithstanding,  tlierefore,  some  similarities  with  disconnected  pagan 
concepts,  the  KtnrS  Two  Bodies  is  an  offshoot  of  ChrLstian  theological 
bought  and  consequenth-  stands  as  a  landmark  of  Christian  political 
theologx'.  The  book  is  richh  illustrated  and  magnificently  docu- 
mented: there  is  a  "selected  bibliography'-  of  thirteen  pages  and  (be- 
sides numeroas  cross-references  a  .S6-page  index,  which  is  a  model  of 
fullness  and  accuracy.  No  scholar  could  ask  for  a  more  readable  text 
or  a  more  clearK-  marked  chart  through  "rarely  explored  thickets,"  or 
a  better  Vergil  to  guide  him  in  his  own  schoiarh-  pilgrimage. 

The  scholarship  is  meticulous  —  the  range  of  erudition  'the  classics 
are  summoned    hlstor^•,  mediaeval   lavv.  Dante,  ecclesiastical  studies 
theolog>  and  phiiosophx-,  numismatics  and  iconography),  the  control 
ol  secondary  scholarship,  and  painstaking  accuracy  in  the  most  minute 
detail:  all  this  is  indeed  mcticulosus  and  gives  fresh  testimony  to  that 
passionate  scholarship  which  has  given  his  students  so  loft^■  a  standard 
against  which  to  measure  tlieir  own  work.     And  all  is  subsumed  into 
an  imaginative  joume>-  that  is  of  a  very  high  order  of  the  mind    In  a 
patient  check  of  references  I  have  found  feu  errata  in  this  model  of 
scholarship  (for  example,  on  pp.  363  and  523.  read  Oriamal  for  Old) 
and  only  one  or  two  ven  minor  lapses  of  control  —  for  example    at 
p.   UB  n    159,  in  discussing  the  term  iuris  reliaio,  the  author  writes 
since  reh!;io  was  defined  according  to  Cicero,"  and  cites  H    Kan- 
torowicz    Studies  in   the  Glossators  of  the  Roma?!  Lair;  but  it  is  a 
Master   G.    that   H.    Kantorowicz   is   here   quoting   and    not    Cicero 
(though    an    intermediate   florilegium    that   seems   to    be    Master    G"s 
source  at  this  pomt  ls  following  Cicero) .    Or,  on  p.  469,  in  indicating 
the  materials  and  scholarship  on  allegories  of  the  virtues  and  vices 
S).  U.  Chews  Alexander  Lectures  in  the  University  of  Toronto    The 
l^^'"'' ^foncilcd  (Toronto,  1947)  might  well  be  added,  particularly 
t>ecause  of  Chews  focus  on  the  Tudor  period  and  because  it  is  like 
mucli  of  Kantorowicz  s  fruitful  bringing  together  of  iconography  and 
literary  studies.     But  this  is  little  chaff  to  add  to  the  magnificently 
harvested  research  of  Kantorowicz,  and  one  can  best  express    simply 
awe  at  the  erudition,  pleasure  in  the  lucid  reasoning   and  splendid 
ordonnance  of  the  writing,  and  above  all  gratitude  for  the  book  as 
a  whole. 

There  are  three  reflections  I  should  like  to  offer  after  reading  the 


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book   (and  studying  it  and  learning  from  it),  reflections  which  may 
suggest  not  only  the  uses  of  the  book  hut  some  further  measure  of  its 
achievement.     First,  tlie  political  theology  of  the  later  Middle  Ages 
and  Renaissance  is  indeed  a  very  complicated  texture,  and  we  have 
here  a  model  of  loving  care  in  isolating  a  single  strand  of  that  com- 
plexity and  of  precision  in  studying  the  one  leading  idea  of  the  King's 
1  wo  Bodies.     The  author  apologizes  for  intruding  into  the  enclosure 
ot  the  sister-disciplme  of  mediaeval  Law  —  tliough  not  a  professional 
jurist,  he  is  no  sciolist  and  has  moved  witli  great  competence  —  yet 
perhaps  the  lesson  is  double:  that  such  studies  as  this  are  possible  only 
when  one  has  prepared  himself  to  risk  tlie  hazards  of  such  an  enter- 
prise, but  they  are  necessary  because  there  were  iew  compartmentalized 
specialties  to  minds  like  Dante,  and  professional  Tudor  lawyers  like 
Plowden  were  deeply  read  in  philosophy,  theology-  and  classical  litera- 
ture (as  I  have  tried  to  emphasize  in  a  number  of  scattered  articles) 
hecond,  the  author  declares  that  die  study  '-will  have  served  its  pur- 
pose of  calling  attention  to  certain  problems  if  the  reader  detects  many 
more  examples  or  places  relevant  to  the  King's  Two  Bodies  and  many 
more  interrelations  with  other  problems  than  the  author  intimated." 
1  fie  problems  of  dualities  present  in  ecclesiastical  offices  is  one  recog- 
nized by  the  author,  and  that  must  soon  be  explored.     The  inter- 
relation of  mediaeval  lawyers  with  the  tradition  of  the  Red  Mass  is 
one  which  the  present  writer  has  begun  to  explore.    One  mav  suppose 
that  a  number  of  studies  in  vernacular  literatures  will  be  generated  and 
number  of  studies  in   vernacular  literatures   will   be  generated   and 
sumulated   by   this   book  —  especially   in    Middle   English,   where   the 
political  literature  again  and  again  offers  rich  rewards  to  the  student 
ol  politics  (and,  one  may  suppose,  of  political  theology). 

Finally,  this  study  has  much  relevance  as  an  attempt  to  under- 
stand by  what  means  and  methods,  certain  axioms  of  a  political 
theology  which  mutatis  mutandis  was  to  remain  valid  until  the  twen- 
tieth century,  began  to  be  developed  during  the  later  Middle  Ages  " 
Certainly  there  is  great  relevance,  and  even  urgency,  in  viewing  the 
investigation  of  "certain  cyphers  of  the  sovereign  state  and  its  per- 
petuity ( Crown,  Dignity.  Patria,  and  others  j  exclusively  from  the 
point  of  view  of  presenting  political  creeds  such  as  they  were  under- 
stood in  their  initial  stage  and  at  a  time  when  they  served  as  a  vehicle 
for  putting  the  early  modem  commonwealths  on  their  own  feet." 

^  R.  J.  SCHOECK. 

DE  TOCQUEVILLE* 

Sister  Mary  Lawlor's  dissertation  deals  with  the  period  in  Tocque- 
ville's  life  that,  except  for  his  youth,  has  been  least  explored  by 
historians  and  commentators.     The  usual  emphasis  on  Tocqueville's 

•  Sister  Mary  Lawlor,  S.N.D. :  Alexis  de  Tocqueville  m  the  Chamber  of 
Deputies:  His  Views  on  Foreign  and  Colonial  Policy.  (Washington:  The  Cath- 
olic University  of  America  Press.    Pp.  201.   $3.00.) 


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RECENSIONER 


fiir  att  han  borjade  nied  Trojas  tall,  soni  han  ilaterade  till  1184/3  ^-  Kr.  (Nunicra  anses 
detta  ofta  fiir  en  historisk  hiindelse  och  dateras  pa  arkeolosiska  grander  till  onikr. 
1245  f.  Kr.)  Den  jildre  mytiska  tiden  kastade  han  bort.  Mellanrumniet  niellan  Trojas 
fall  och  olynipiadriikningens  biirjan  utfyllde  Eratosthenes  nied  lijiilp  av  listan  pa  de 
spartanska  kungarna,  son)  ansags  tillforlitlig.  iM-an  olyni|)ia(lrakningens  borjan  iir 
bans  kronologi  fortriifflig.  Diirefter  tillades  den  ronierska  historiens  kronologi.  iiven 
den  mytiska  i  anslutning  till  den  grekiska.  Mycket  sanire  stod  det  till  nied  den 
orientaliska  kronologien. 

Den  forsta  saninianstiiUningen  av  den  judiska  och  den  grekiska  kronologien  koin 
under  den  hellenistiska  tiden  pa  grund  av  nagra  judiska  forfattares  onskan  att  visa, 
att  den  judiska  visheten,  soni  representerades  av  Moses,  var  mycket  iildre  an  den 
grekiska.  For  de  kristna  var  Gamla  Testanientet  en  belig  skrift  och  de  overtogo 
diirfiir  denna  synpunkt.  Den  beronide  kyrkofadern  Clemens  Alexandrinus  samlade 
osovrat  material.  Den  jamforande  kronologien  bragtes  i  system  av  den  skarpsinnige 
S,  Julius  Africanus.  \'iktigt  iir,  att  han  satte  Kristi  ffklelse  som  epok,  (Till  utgangs- 
punkt  fiir  var  tiderjlkning  gjordes  detta  ar  forst  av  Dionysius  Exiguus  i  fiirra 
hiilften  av  500-talet.  en  tid  som  faller  utanfor  fiirf:s  framstallning. ) 

Den  som  slutligen  utformade  verket  var  kyrkofadern  Eusebios,  som  fiirf.  iignar 
slutkapitlet.  Bortsett  fran  talrika  citat  iir  bans  grekiska  verk  forlorat.  Det  omfattade 
tva  delar:  en  materialsamling  med  komnientar  och  en  del  synkronistiska  tabeller  till 
ar  326  e.  Kr.  En  armenisk  oversiittning  finnes  och  en  bearbetning  pa  latin  av  kvrko- 
fadern  Hippolytos.  som  blott  omfattar  den  andra  delen.  Eusebios  bygger  pa  iildre 
arbeten.  Den  synkronistiska  tabellen  bar  i  viinstra  kanten  Abrahams  ar  och  olyni- 
piaderna.  till  boger  listorna  iJver  den  assyriska.  hebreiska,  grekiska,  ronierska,  egyp- 
tiska  bistorien,  Diirtill  fogas  notiser  av  skiftande  art. 

Professor  Lintons  bok  iir  inte  liittliist  men  nyttig,  1  bland  kastar  han  Ijus  over  de 
ideer,  som  ledde  antikens  historiker.  Martin  Pn    Xils^on 


Ernst  H.  Kantorowicz,  The  king's  tivo  bodies.  A  study  in  mediaeval 
political  theology.  Princeton.  X.  J.:  Princeton  University  Press  1957.  xvi + 
568  s.,  3 J  fig.  Pris  10  doll.  inb. 

Ernst  H.  Kantorowicz'  stora  undersokning  av  niedeltida  spekulation  kring  kungens 
gestalt  och  kungamaktens  natur  iir  ett  imponerande  och  verkligt  betydande  arbete. 

Forf.  utgar  fran  den  juridiska  fiktionen  om  »kungens  tva  kroppar*.  bans  »natur- 
liga»  kropp  och  bans  >politiska».  som  utnyttjades  av  Tudortitlens  kronjurister  och 
som  iiven  —  med  en  ny  tendens  —  kommer  till  uttryck  i  det  engelska  parlamentets 
deklaration  i  maj  1642,  dar  kungens  auktoritet  forklaras  utovas  i  och  genom  parla- 
mentet.  oberoende  av  kungen  »i  bans  egen  person*.  Fran  denna  utgangspunkt  uiuler- 
siiker  Kantorowicz  fi)rutsiittningarna  for  uppfattningen  av  kungens  dubbla  karaktiir 
av  diidlig  individuell  niiinniska  och  inkarnation  av  nagot  evigt  och  iiverindividuellt. 
en  uppfattning  som  visar  sig  sta  i  forbindelse  med  ett  stort  komplex  av  teologiska. 
juridiska  och  filosofiska  fiirestiillniiigar. 

Det  kan  tyckas  vara  en  uppgift  av  ganska  speciellt  slag  som  forf.  bar  stiillt  sig. 
men  sa  som  bans  undersokning  iir  genomfbrd,  cippnar  den  vidstrackta  perspektiv  at 
olika  hall  i  medeltidens  ideviirld.  Kantorowicz'  bok  iir  pa  ett  hiigt  plan  bildande  och 


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intellektuellt  stiniulerande,  sanitidigt  soiii  den  utniiirks  av  fasthct  i  greppet  om  nuite- 
nalet  och  stnngens  i  analyscn.  Den  studie  som  forf.  agnar  niotivet  »kungens  tva 
kroppar»  ,  Shakespeares  Richard  II  och  de  viktiga  svnpunkter  han  ger  pa  kejsariden 
och  forestallnmge.i  oni  det  jordiska  paradiset  hos  Dante,  liksom  den  uppmiirksanihet 
han  skanker  ikonogiafiskt  material,  bidrar  till  att  vitlga  hokens  intresse  utiiver  de 
pohtisk-idehistoriska  fackgriinserna. 

1  Shakespeares  Richard  II  finns  en  tendens  till  syniholisk  identifikation  av  kungen 
och  Kristus,  sarskdt  niiirkbar  i  avsiittningsscenen  i  Westminster  Hall  (IV,  i).  Den 
iil)ptattnmg  av  harskaren  som  en  avbild  av  Kristus  som  avspeglas  har.  h5r  enligt 
Kantorowicz  speciellt  hemma  i  900-  och  looo-talens  politiska  forestallningsviirld  Ftt 
mtressant  vittnesbord  oni  <lenna  uppfattning  finner  iori.  i  en  miniatyr  i  en  evangelie- 
l.ok  fran  Aachen:  h;ir  avbildas  kejsar  Otto  II  i  Kristi  gestalt;  han  framstalls  som 
»mansklig  av  naturen  och  gudomlig  av  nad».  Samtidigt  som  f5rf.  betonar  det 
knstocentnska  draget  i  denna  forestallning  om  en  evig,  gudomlig  sida  hos  harskaren 
aniyder  han  cmellertid  ocksa  en  f5rbindelse  med  den  senantika  konstens  framstiillning 
av  overmdivKluella  uleer  av  typen  Aegyptus  eller  lustitia,  vilkas  tidl5sa  karaktar 
olla  utmarks  med  en  gloria. 

Formeln  »rex  imago  C'hristi*  viker  sa  smaningom  for  formeln  »rex  miago  Dei» 

.Aven  om  det  mte  existerade  nagon  klar  motsattning  mellan  CAm/Mj-metaforen  och 

W<7i/^-metaforen    under    vad    Kantorowicz    kallar    »the    christocentric    age    of    the 

Ottomans  and  early  Salians»,  blir  skillna<Ien  mellan  de  bada  uttryckssjitten  senare 

betydelsefull :   kungadomet.   tidigare  betraktat   som   ett   slags   sakral    institution   me.l 

Ivnstus  som  centrum,  borjar  viisentligen  ses  som  ett  organ  for  den  gudomliga  viljan 

lattad  som  lag  och  riitt.  Samtidigt  som  denna  fiirandring  star  i   samband  med  den 

kyrkhga  hierarkms  ansprak  pa  att  ensam   representera  Kristus  pa   jorden,   iir  den 

beroende   av    uleer    hiirstammandc    fran    den    romerska    ratten.    F5restallningen    om 

fursten  som  en  medlare  mellan  manskligt  och  gudomligt  kan  sagas  fa  en  riittsfilosofisk 

omtolknmg:  fran  <len  synpunkten  belyser  Kantorowicz  den  till  synes  dunkla  tanken 

att  harskaren  samtidigt  ar  obunden  och  bunden  av  lagarna,  t.  ex.  uttryckt  i  formeln  om 

kejsaren  som  pater  et  films  lustitiac  (kejsar  Fredrik  II :s  sicilianska  konstitutioner 

Liber  augustahs).  Sadana  formler  avser  cmellertid  inte  har.skarens  tvafaldiga  natur  i 

ontologisk  mening  utan  bans  dubbla  f5rhallande  till  »lagen»  ;  Thomas  av  Aquino  defi- 

merar  detta  forhallande  sa.  att  fursten  star  5ver  den  positiva,  manskliga  ratten  men  iir 

imderkastad  den  naturliga  lagen.    I   den  dualistiska  svnen   pa   ratten   och   i   upi)fatt- 

inngen  av  hiirskaren  som  en  medlare  mellan  naturlig  och  positiv  lag  f5renades  ju- 

nster   och    teologer.    Samma   synsiltt   priiglar    enligt    Kantorowicz   bl.  a.    allegorin    i 

Ambrogio  Lorcnzettis  ber6mda  fresk  Buon  governo  i  radhuset  i   Siena:    Den  goda 

styrelsen  i  kejsarlik  gestalt  framstalls  i  kompositionen  som  en  motsvarighet  till  den 

persomfierade  lustitia  i  funktion  av  medlare  mellan  den  naturliga  lagens  (pa  fresken 

Sapiciitia)  och  den  positiva  rattens  sfiir  (pa  fresken  Concordia). 

Riltten  kunde  ocksa  ses  manifesterad  i  staten  som  rJittslig  institution.  Medeltida 
jurister.  bland  dem  engelsmannen  Rracton  som  Kantorowicz  agnar  sarskild  upp- 
niarksamhet.  betraktar  den  statliga  egendomen.  jiscus.  som  ofBrgiinglig  och  jam- 
staller  den  fran  denna  synpunkt  med  Gud  eller  Kristus.  I  Bractons  England  iakttar 
forf.  hkasa  en  tendens  att  uppfatta  kungen  som  evig  och  5verindividuell  i  bans 
egenskap  av  forctriidare  for  ratten  i  betydelsen  statlig  rattsordning. 


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amsdes  mcd  att  state,,  het,-akta<i  son,  en  oforgangli^  rattslij,  institution  burja.le 
uppfattas  son,  en  s.alvstan.i,,.  ,notsva,i,.l,et  till  kyrkan,  utvecklades  synen  pa  stiten 
•son,  en  korporat,on,  en   »statsk,-opp.,   jan,f5,-lig  n,ed  kyrkan  i  e^enskap  av   rorI»" 
v>ysucnm  ChnsH    det  o,-ganiserade  kollektivet  av  alia  kristna;  or^an.sirke ,  v^ 
ner   „,s  eg   ungefar   san.tidigt    i   kyrkosynen   och   den   politiska   spekulaio^n   under 
n.edelt,<Ien.    Kantor.nv.c.   ger   ytterst   intressanta   synpunkter   pa   forestiilln  ngen     n 
staten  son,  en  kropp  eller  organisn,.  vars  huvud  kungen  tanktes  vara    Ha,"  vi  . 
de  ta  sa„,n,anhang  hur  kristna  och  profant-politiska  motiv  smalter  san,n.an      n,e del 
.dens  fosterlandsbegrepp  oci,  patriotisn,.    Hjaitarna  i   Rolandssangen  dor  s.innkkt 
o,-   .len   kr.stna    fron.    for   lansherren    och    for    fosterlan.iet.   /.    dice   /"„,;">, 
Unstna  dygden  carUas  fick  sa  sn,aningo„,  aven  en  tydligare  »poIitisk»  i, "b^rd    " 
--.  Mnac    .Mt  do  f6r  fosterlandet»  och   »att  ,16  for  kung  och  fos    ran       v.r 
io.n,ler  so.n   hanUade  sin   vasentliga   niening  ur   forestallningen   on,   staten  "om   en 

;:rs  iMdi"^  "'"*  ^^^"'"'  -' '-  ^""-"  -  '-^ '--'  -"  ^^  ^^ 

Men  endast  i  den  man  den  statliga  organisn,en  betraktades  so,,,  standigt  fortle- 
van< le,  var  den  fullt  ja.nforlig  „,ed  Kristi  eviga  corpus  mvstinnn.  Forestldlnh  gen 
on,  de  stathga  ,nst,tut,onernas  .ododlighet.  uppfattas  av  Kantorovvicz  son,  be"  ,,gl 
av  adnnn.strafva  och  politiska  krav.  san,ti,ligt  son,  den  pa  ett  n,era  hypotetiskt  Sn 
ti  .  e.  :""f  """'^  '■''''  ^'f  ^  -«t  bakgrunden  av  skolast,kens  tidsspekulation.  Trach 
t.onellt  tanktes  <let  ron,erska  riket.  likson,  kyrkan.  fortieva  till  dJ-n  vttersta  dagen 
son,  .ns  .tut,on  och  korporation.  Denna  syn  kun<Ie  li.tt  ges  en  vidare  tilla,iipning  Son, 
korporat.on,  u„nrrsUas.  var  varje  rike  eller  folk  ,od5dligt>,  oberoen.le  av  forgfnglig- 
heten  bos  de  ,ndivider  av  vilka  det  utgjordes.  ^<"'K"g 

Aven  kungen,  statskroppens  huvu<l,  skanktes  fran  analoga  svnpunkter  »odr„ilighet> 
Son,  ,nedle,Ti  av  s,n  dynasti  var  h-irskaren  delaktig  i  en  overindividuell  tillvaro  Det 
dynast.ska  ta,,kandct.  uppfattningen  att  den  individuelle  regenten  var  ett  slags  in- 
karna  ,o,,  av  den  standigt  regerande  dynastin,  tog  sig  bl.  a.  uttrvck  i  att  tronfoljaren 
borjade  betraktas  son,  harskare  i  och  „,ed  foretra.larens  do,l',  n,edan  sjalva  kro 
n.ngen  forlorade  s,n  konstitutiva  betydelse.  En  annan  viktig  Overindividuell  fiktion 
var  »kronan*  so,,,  san,tidigt  avsag  riket  och  fursten  i  deras  .tidlosa>  existens.  An,- 
le  svard.gheten.  ,/,<;m/a.  gav  hirskaren  en  tredje  forn,  av  5verin<lividuell  ododlig- 
Kel  F,"nit  1  W  ""f  "^f"""/""'  '/'.'V"'V..  skankte.  askadliggjordes  syn,boliskt  av 
fagel  Fen,x.  l.kson,  den  n,yt,ska  fageln  var  t.  ex.  f5reteelsen  .abbot  av  Winchester, 
clkr  >kung  av  Frankr,ke.  samtidigt  en  dSdlig  Individ  och  ett  odixliigt  .slakte 

Hos  Dante  ,nner  Kantorowicz  en  kej.sarbild  so.n  t.irkroppsligar  n,anniskoslaktets 
ulkomn.ng  eller  n,anniskans  ide ;  forf.  har  givit  sitt  Dante^kap^tel  rubrike,r  Man 
cen  ere.  k,ng.s^„p»  ,  „,otsvarighet  till  tidigare  kapitel  son,  rubricerats  "  Ch  fs"- 
keSrkLnrn  "*•  ^^^''''^^-^^"'--'  ^'"^-^'-P*  -''  .Polity-centere.l  kingship,.  Dan  es 
roende  r  ^"'  '"""'""  "'"'  ^"'^  "I'l'f^^""'"*^'  ■■'tt  de  n,anskliga  varde  ,a  ar  obe- 
roende  av^  aven  o,i,  ,„te  n,otsatta.  de  andliga;  han  skiljer  sig  hSr  fran  Thomas    'v 

s1e";nli.t  n  T  ""^'"".'  "'^^'"''^'  '  '''  ^°^^'^^-^  P--'-^  '-■  -n.lafallet  r  ann 
ighetcn  t.lbaka  d,t.  I  motsats  t,ll  n,anga  av  sina  samtida.  som  ans4g  att  inget  sant 
aide  kunde  ex,stera  utantor  kyrkan.  betraktar   Dante  den  hedniske  kejsar   Augu" 

tus   r.ke  som  fullkomhgt;  dar  levde  Virgilius.  Dantes  vagvisare  till  det  jonliska  para- 


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RECENSIONER 

Uni;  ^zr:::^-:-' ''  -''''-  ^^'^^-  ^-  -  '«'^  -^-^'i^-en  ..dare 

mdcltula   la  an   on,   »kungens   tva   kroppar».    Han   menar   att   man   visserliL^.,    k.n 
Kantorouicz-  bok  har  rangen  av  ett  standardverk  inon,  nu'.leltidsforsknineen    Sin 

Lars  GiistafssoH. 

sememe,  Mainz,  Bd  7.)  Wiesbaden:  Pranz  Steiner  \erlag  1955.  vni  +  ^5,  s 
Ordericus    Vitalis.   „,u„k    i    <let   normanniska   klostret    Saint   Evroul    i    landskanet 

.eke  tdlfalle  att  fora  sitt  arbete  till  slut.   Kravet  pa  en  nv  uppl^a   kvl  sta      dltsa" 

gripanle  b"tvdelse  Or  "■'^^''f  ^'"''^  ^'^^'^  ^"^t  pavisa  vilken  stor  „ch  genon,- 

gr  panle  betydelse  Onlencus    verk  ager  for  be,16n,andet  av  det  begvnnande  tolvte 
arhundra.lcts  satt  att  uppfatta  tidens  stora  politiska  och  kyrkl.ga  proE 

tid el:  ;;;tttr  Det"'''"'-^'"f  ''-''r^'-  ■■'-   "^■"  ^-^^-'-'^  so.  d^inerade 
tiaens  nientalitet    Det  var  son,  han  papekar  en  monastisk  form  av  relieiositet  son, 

gav  hela  tulen  fran  omkring  1050  och  ett  arhundrade  framat  dess  prtr  K  L  e 

vasen<let  spelade  en  dominerande  roll  i  tidens  andliga  liv  och  s.tf,.  i  Z  f 

su;  pragel  pa  hela  tillvaron.  >De  maktigaste  ^.^:  Ik^::.::!^     Z^O^Z^ 

(III.  I).  >>raknade  det  som  en  vanheder  cm  de  inte  pa  sina  jordagods  hade  kle  ker 

o  h  munkar  son,  de  lamnade  underhall  f5r  att  de  skuHe  kunna  tjana  Gud      Av  t  ds 

Ik' on  ,  ;t  rlftf  f 'r"\?  '  rV'''"  ™"  ^°"'  ''i'd-ns-entra.  och  konstpro- 
(lukt.onen  star  pfta  ,  d.rekt  san,band  med  klostren  och  deras  ledare  viiki  e^  rni 
fran,tradde  som  uppdragsgivare  vare  sig  det  gallde  handskriftsmaLri'  eller   kyrko- 


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nxM    ^'  Uv^'sUoui  t, 


17G 


Ernst    Kantorowicz.    The   King's   7 wo    Bodies.    A    Study 


(:oMPTi;s  HKN'ors 


in  Mediaeval  Political  Theology.  Princeton,  N..].,  l^rinceton 
University  Press,  1957.  In-8,  xvi-ofiX  p.,  32  tig.  h.  t.  $  lU. 
In.,  Laiides  Regiae.  A  Study  in  Liturgical  Acclamations  and 
Mediaeval  Ruler  Worship.  With  a  Study  of  the  Music  of  the 
Laudes  and  Musical  Transcriptions  by  Manfred  F.  Bukofzer. 
Berkeley  et  Los  Angeles,  University  of  California  Press,  1946  ; 
2^  tirage,  1958.  In-8,  xxi-292  p.,  15  pi.  h.  t.  $  6,50. 

Voici  deux  ouvrages  de  Ires  liaute  erudilioii,  qui  out  cliacuu  rap- 
port k  la  royaute,  mais  sous  un  angle  tres  diffdreut.     Lc  premier 
est  ne  d'une  discussion  de  I'A.  avec  Max  Radiu,  i)rofesseur  de  droit 
a  Berkeley.     It  Iraite  de  la  distinction  enlre  la  personue  priv6e  du 
roi  et  sa  personnalite  politique,  distinction  tr6s  ancienne,  mais  que 
les  juristes  du  temps  des  Tudor,  surtout  sous  la  reine  ftlisabeth  pe, 
dlaborerent   en   formules  compliquees  et   qui  sentent   la  mythologie. 
«  Le  roi  possede  deux  corps,  un  corps  naturel  et  un  corps  politique. 
Son  corps  naturel...  est  un  corps  mortel,  sujet  a  toutes  les  infirniites 
qui  viennent  de  la  nature  ou  par  accident,  k  la  faiblesse  de  I'enfance 
et  de  la  vieilles.se,  et  aux  ddfauts  semblables  qui  atteignent  les  corps 
naturels  des  autres  luimains.    Mais  son  corps  politique  est  un  corps 
qui  ne  pent  etre  ni  vu,  ni  touche  ;  il  consiste  en  politique  et  gouverne- 
inent,  est  constitue  pour  la  direction  du  peuple  et  ladniinislration  de 
la  chose  publique  ;  ce  corps  echappe  entierement  a  I'enfance  et  a  la 
vieillesse,  et  aux  autres  deficiences  et  infirmites  naturelles  auxquelles 
le  corps  naturel  est  soumis  ;  et  pour  cette  raison,  ce  que  le  roi  fait 
par  son  corps  politique  ne  pent  etre  invalide  ni  frustre  de  son  effet 
par  aucune  deficience  de  son  corps  naturel »  (Plowden,  cite  p.  7  sv.). 
t;es  deux  corps  sont   unis  dans  la  meme  personne,  mais  ne  se  con- 
fondent  pas  ;  la  distinction  demeure,  bien  que  le  plus  digne  attire 
a  soi  le  moins  digne  ;  le  corps  politique  etant  associe  au  corps  naturel, 
celui-ci  participe  a  la  nature  et  aux  effets  du  premier.    ^  Ces  distinc- 
tions, pas  toujours  d'une  clart^  lumineuse,  furent  elaborees  k  I'occa- 
sion  du  duche  de  Lancastre.  que  le  roi  possedait  en  tant  que  due  et 
lion  en  tant  que  roi  ;  certaines  dispositions  prises  par  le  jeune  roi 
Edouard  VI  furent  ainsi  justifiees  parce  que  «  le  corps  politique  du 
roi  n'a  pas  de  minoritt^  (non-age)  ».    Cette  union,  sans  confusion,  des 
deux  corps  du  roi.  porte  I'A.  k  la  comparer  avec    I'union  des  deux 
natures  en  J^sus-Christ,  et  h  rappeler  les  explications  du  symbole 
de  S.  Athanase.    C'est  peut-etre  1^  en  effet  quon  trouve  le  plus  de 
similitude   a   la   doctrine   qu'elabor^rent  les   juristes  du   temps  des 
Tudor.     Mais  ce  n'est  qu'un  rapprochement  :  I'A.  se  defend  de  sug- 
g^rer  un  emprunt  conscient  des  Idgistes  du  xvi*  s.  aux  canons  et 
aux  dogmes  des  premiers  siecles  de  I'Kglise.    Ces  theories  du  temps 
d'lilisabeth  !'•<'  sont  discutces  dans  le  premier  chapitre  ;  sous  Charles 
^'^   ajoule-t-on.   on    insistera   davantage   sur   la   distinction,   et   les 
Pariementaires   pr6tendront   d6fendre  le   Roi    contre  le   roi ;  le  roi 


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sera  ineme  mis  a  mort  pour  saiivcr  la  royaute.  Eii  Angletene,  la 
«  soiivcraiiiete  ■>  ne  residait  pas  dans  le  roi  seul  ou  le  park'inenl  seul, 
mais  «  dans  le  roi  et  le  parlement  »  ;  en  IG 42,  le  parlement  agit  en 
vertu  de  I'aulorilc  royale,  bien  que  Ic  roi.  personne  privee,  s'y  oj)pose... 

L'enquele  minutieuse  du  Dr  K.  recherche  dans  tons  les  domaines 
et  dans  lous  les  temps,  des  antecedents  ou  des  paralleles  ^  ces  theo- 
ries tudoriennes  ;  car  ce  qui  (5tail  nouveau  a  la  fin  du  xvi''  s.,  c'etait 
{'expression  plutol  que  la  chose.  La  litteralure  a  son  mot  a  dire  : 
le  Richard  II  de  Shakespeare  est  6tudi6  au  debut  de  I'enquete  (c.  II). 
et  les  theories  de  Uante  sur  la  monarchie  humaine  viennent  la  clore 
(c.  VIII).  Entre  'les  deux,  nous  avons  d'abord  un  exameii  de  la 
royaute  comparee  au  Christ.  L'Anonyme  d'  York  (fin  xi«  s.),  qui 
resume  les  idees  politiques  des  x^  et  xi''  s..  celles  de  la  periode 
ottonienne  et  salienne,  et  de  I'Angleterre  anglo-saxonne  insiste  sur 
le  caractere  sacerdotal  de  la  royaute.  Sa  theorie  de  la  «  personne 
niixte  »  a  pen  de  rapport  avec  celle  des  deux  corps  ;  mais  davantage, 
sa  theorie  du  roi-image  du  Christ.  Et  ceci  est  admirablement  mis 
en  relief  par  I'A..  dans  un  commentaire  du  frontispice  de  rEvangeliaire 
d'Aix-la-Chapelle  (c.  97;j),  qui  represente  I'empereur  Otton  II  siegeanl 
en  majeste  avec,  autourdelui,iesattributsqui  generalement  encadrent 
les  representations  du  Christ  en  majeste.  L'idee  de  perpetuite  est 
signifiee  d6s  I'antiquite  par  le  halo  qui  ornait  les  representations  de 
I'empereur  ou  du  roi,  et  qui  fut  adopte  par  I'Eglise  dans  les  represen- 
tations des  saints;  il  soulignc  la  double  pcrsonnalite  du  roi  dans  la 
pens^e  du  haut  moyen  age,  humaine  par  nature,  divine  par  gr^ce. 
Cette  periode  est  ditc  liturgique.  ou  theologique.  parce  qu'elle  s'ex- 
prime  le  plus  souvcnt  en  termes  empruntes  ti  la  liturgie  ;  ce  que  celle- 
ci  dit  du  Christ  est  transpose  au  roi,  son  repr^sentant,  son  «  image  », 
son  «  vicaire  ». 

Aux  xii«^  et  xni«^  s..  a  la  suite  de  la  lutte  du  sacerdoce  et  de  lem- 
pire,  les  concepts  changent,  et  ce  sont  les  legistes  qu'il  faut  interroger. 
Le  chap.  IV.  aprfes  avoir  montrd  la  transition  de  la  liturgie  ii  la  science 
juridique.  etudie  spdcialement  I'apport  de  Frederic  II.  legiferant, 
dans  son  Liber  Augustalis,  comme  empereur  pour  son  royaume  de 
Sicile  (1231)  on  se  souvient  que  r.\.  a  aussi  ecrit  un  ouvrage  sur 
Frederic  II.  —  Une  phrase  de  lempereur-roi  est  particuUerement 
grosse  de  signification,  et  se  trouve  longuement  discutee  :  le  c^sar  doit 
etre  a  la  fois  «  pater  et  filius  justitiae  ».  II  est «  lex  animata  »,  <■  legibus 
solutus,  et  legibus  alligatus  ».  « justitia  mediatrix  »  :  tout  cela  est 
comments  avec  recours  aux  paraphrases  des  juristes  —  surtout 
civlls  —  et  ^  des  ceuvres  d'art,  telles  que  la  fresque  d'A.  Lorenzetli 
k  Sienne,  ou,  dans  I'fivangeiiaire  du  Mont-Cassin  (1022-23),  la  minia- 
ture de  Henri  II  rendant  la  justice.  Dans  une  antre  section,  c'est  le 
temoignage  de  Hracton  (|ui  est  presente.  avec  c()m|)araisons  sugges- 
tives  avec  les  commentaires  des  juristes  italicns  et  d'autres.  Pour 
Bracton.  le  roi  est  «  infra  et  supra  legem  »  ;  «  major  et  minor  seipso  >  ; 
il  est  le  vicaire  de  Dieu,  comme  I'eveque  lest  du  Christ.  Bracton 
va  plus  loin  :  «Rex  imago  Dei,  judex  Chrisli».    Puis  on  passe  k  I'ex- 


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COMPTES    KENDUS 


pression  «  Christus  Fiscus  ..,  au  <■  nullum  tempus  currit  contra  regom  -> 
et  toutc  la  question  de  la  prescription  ;  au  «  quod  non  capit  Christus 
rapit  fiscus  ».  La  justice,  avec  Frt^ddric  II,  le  fisc,  avec  Bracton' 
deux  concepts  qui  supposent  la  permanence,  apportent  au  roi  dans 
lere  du  droit.  I'element  de  perp^uit^  que  la  periode  liturgique  lui 
avait   reconnue   sous   d'autres   symboles. 

Et  I'enquete  continue  avec  des  abstractions  comme  le  corps  mys- 
tique de  I'Eglise,  et  son  pendant  laique,  le  corps  mystique  de  la 
chose  publique.  dont  le  souverain  est  dit  I'epoux.  comme  le  Christ 
est  de  1  Eghse  :  le  «  pro  patria  mori »,  la  propagande  patriotique 
le  «  rex  et  patria  »  (ch.  V)  ;  puis  le  thfeme  de  la  continuite,  et  des 
corporations  :  «  acvum  ->,  «  perpetua  necessitas  »  ;  «  fictio  figura  veri- 
tatis  »,  «  imperium  semper  est »,  «  universitas  non  moritur  »  (ch  VI)  • 
le  thfcme  du  roi  qui  ne  meurt  pas,  de  la  couronne  dans  ses  diverses' 
acceptions   et   associations   d'id.5es  :    «  dignitas   non   moritur*     avec 

I  image  du  ph^nix  dont  la  mort  et  la  resurrection  sont  simultan6es  • 
en  Prance,  ,  le  roi  est  mort...  vive  le  roi  I  ,  ;  les  effigies  du  roi  em- 
ployees ^  ses  funt^railles.  en  France,  d'apres  un  prdc6dent  anglais 
(Edouard  II);  et  I'usage,  en  France  comme  en  Angleterre  de  la 
double  representation  du  d<5funt,  dans  ses  atours,  sur  son  tombeau 
et   en-dessous,   comme   un   cadavre   ddcharne. 

Suivre  I'A.  dans  le  detail  de  son  argumentation,  dont  nous  avons 
simplement    indique    quelques    sommets.    aurait    demandi^    un    tr^s 
long  compte  rendu.    Sa  dialectique  est  bonne,  et  convaincante   meme 
SI  parfois  le  lecteur  dprouve  quelque  peine  k  suivre.     Nul  ne  con- 
testera  la  valeur  de  cet  ouvrage,  meme  s'il  trouve  ici  ou  1^  que  d'autres 
filons  auraient  pu  etre  exploit^s  :  le  sujet  est  en  effet  d'une  tr^s  grande 
richesse.    L'A.  dtait  admirablement  qualifit^  pour  le  trailer  •  sa  tr^s 
vaste  erudition  paralt  k  chaque  page,  dans  des  notes  explicatives 
ou  documentaires  sur  le  moindre  detail,  donnant  souvent  au  pro- 
fane un  excellent  point  de  depart  pour  des  recherches  speciales  •  et  si 
1  on  ne  pent  dire  que  la  bibliographic  est  exhaustive  (on  note'  I'ab- 
sence  de  certains  ouvrages  franfais  et  meme   anglais),  elle  est  trfes 
abondante,  rdveiant  souvent  des  etudes  trop  peu  connues,  dispersees 
dans    des   periodiques   americains    ou    de   langue    allemande      Cette 
science  n'encombre  d'ailleurs  nullement  le  developpement  de  la  pensee 
Les  memes  eiogcs  sont  dus  au  second  ouvrage,  concernant  les  ac- 
clamations liturgiques  adressdes  k  I'origine  au   souverain    et  par  la 
suite,  au  pape  et  aux  eveques  lors  de  Icur  couronnement  ou  de  leur 
sacre  ;  I'analyse,  Texposc.   la  demonstration   se  presentent   avec  la 
meme  minutie  et  la  meme  richesse  d'information  et  de  references 
bibhographiques  ;  et  bien  que  I'A.  ne  considdre  son  travail  que  comme 
*  une  etude,  ou  plutdt  une  serie  d'etudes  sur  un  sujet  qui  Tinteres- 
sait  »,  on  est  bien  tente  de  dire  qu'il  a  fait  ceuvre  exhaustive  et  de- 
finitive. 

II  place  I'origine  de  ces  laudes  regiae  dans  Tfiglise  de  la  Gaule 
franque,  avec  des  influences  anglo-irlandaises  et  romaines  •  elle 
remonterait  au  vine  s.,  mais  il  est  impossible  de  dire  si  ces  laudes 


I 


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.1.     GONI-GAZTAMHIDK  :     IIISTORIA     DK     LA     BIM. A     UK     LA     CRUZADA     179 

furenl  chantees  pour  le  couronnement  dc  Pepin  k-  Bref.  Cos  «  li- 
tanies »,  (lominc'es  par  le  Chrisius  vincit  et  entrecoupees  d'aeclama- 
tions,  ne  ressemblent  pas  aux  litanies  de  penitence  ;  c'est  un  chant 
triomphal,  ou  I'A.  reconnait  une  survivance  du  ciilte  des  empereurs. 
Meme,  il  reconnait  dans  des  variations  en  apparence  insignifiantes, 
du  viii«  au  xme  s.,  des  changements  dans  les  concepts  theocratiques 
du  gouvernement  seculier  et  spirituel.  11  etudie  aussi  les  diverses 
occasions  ou  ces  laudes  etaient  chantees,  aux  couronnements  ou  en 
d'autres  circonstances  solennelles  ;  elles  etaient  parlois  chantees  au 
fours  de  la  messe,  apres  la  collecte.  Elles  etaient  employees  aussi 
pour  le  pape  et  pour  des  tiveques.  En  France,  elles  ont  survecu 
jusqu'ii  la  Revolution,  et  meme,  comme  i'l  Rouen,  jusqu'^  nos  jours. 
On  ne  les  trouve  pas  seulement  en  France  et  en  Italic  :  I'A.  en  releve 
une  tradition  autrefois  originale  en  Dalmatie  et  en  V6netie  ;  el  les 
royaumes  normands  y  ont  pris  gout :  Sicile,  Normandie,  et  Angle- 
lerre,  oil  les  laudes  apparaissent  dfes  le  couronnement  de  Guillaume 
le  Conquerant  et  continuerent  longtemps  ;  on  les  chanta  aussi  en  de 
nombreuses  circonstances  en  dehors  des  couronnements,  comme  le 
montrent  certains  comptes  des  rois.  Dans  les  temps  modernes,  la 
coutume  revit  en  bien  des  endroits  ;  a  Rome,  elle  serait  reparuc  a 
roccasion  du  couronnement  de  S.  Pie  X.  L'A.  indique  le  r61e  qu'a  pu 
jouer  dans  ce  renouveau  la  publication  de  textes  dans  la  Paliof/niphie 
musicale  de  Dom  Mocquereau  ;  A.  Gastoud,  k  qui  Ton  doit  une  etude 
sur  les  laudes,  aurait  dte  tres  Uaiti  de  s'entcndre  appcler  Dom  Gas- 
toue  (p.  18a  et  table,  mais  non  dans  I'appendice  musical  du  profes- 
seur  Bukofzer). 

Dans  sa  structure,  ce  livre  ressemble  beaucoup  a  The  King's  Two 
Bodies  :  de  part  et  d'autre  on  s'en  va  a  la  recherche  d'idees  et  de  leur 
evolution.  II  y  a  certainement  beaucoup  k  apprendre  dans  ces  deux 
ouvrages   sur  bien   des   points   concernant    la   royaute. 

Dom  Hubert  Daii'min. 


/   n    u 

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VERLAG  BOHLAU   WEIMAR 

ubersendet  Ihnen  Besprechungsbeleg  aus 

reLlsc!-.es    raita -JahrDuch     Band  28 


lirh  Kantorow.cz  eine   S.udie   zur   n,  i  1 1  e  1  a  1 1  e  r- 

^Tess   19.,.  XVr  u    567  Se.ten).  K.  geht  von  der  Ahhandlung  des 
bedeutenden  enghschen  Rechtshistorikers  F.  W.  Maitland  uber    The 
Crown    as    Corporation"    au.    und    v.rfolgt    das    gesdudulicbe  "Pro- 
blem    von    des  Konigs    zwei  Korpern    durd.    das  Mittelalter  (The 
Pro hlen...   Chr.st  -  centere.l  Kingship;  Law    -    centered  Kingship: 
Pol.ty  -  centered  Kingship:  corpns  mysticum;  On  continuity  and 
corporat.ons:   The   King    never    .lies:    Man    -    centered    Kingship: 
Dante.    Den.    Dante-Ahsdmitt    (Seite    151-495)    konunt    natiirlich 
besondere    Bedentung    ....    ,Iie   Erkenntnis    des   poiitisd.en  Denkers 
Uante   ,st  ja   sehr  sdawierig  und  besd.riinkt   sidi   selbstverstan.llid, 
n.dit  auf  die  Monardua.   Man  wird  am  besten  das  kritisdie  Werk 
von   «;-",?••'';■  ^'''   Convivio  alia  C  o  n.  .n  e  d  i  a  -  i.n 
Druck  hefindhd.  -  abwarten.  Es  fall,  auf.  ,lali  K.  die  zuni  Teil  sehr 
ein.lr.ngenden  italienisdien   Kommentare   der  Gegenwart   zur   Div 
Lorn.  n,d.t  herangezogen  hat.  Seine Deutung  derWorte:  Te  sopra  te 
Corono  e  m  i  t  r  i  o  (Purg.  XXVII  1-12)  ist  die  folgende  (S.  494)- 
.When  Vergil  invested  Dante  with  the  insignia  of  crown  and  mitre 
that  ceremony  meant  the  coronation  of  the  ,.Adam  subtilis"  over 
the  „A(|am  mortalis".  Dante  crowned  and  mitred  over  Dante  him- 
self  .    Vgl.    dagegen   die  gegensatjiidien  Ausfiihrungen  von  M    Po 
rena.   Kommentar.    Purg.:    und   andere.    Na  tali  no    Sapegno 
Kommentar  a.  a.  O.:  .,.  .  .  Weder  ist  Virgil  in  der  Lage,  einem  an" 
.leren  e.ne  geistliche  Autoritat  zu  iii.ertragen.  die  iiber  die  ihm  ge- 
steekten  Grenzen  hinausgeht.  nod,  ist  Dante  selbst  reif,  sie  zu  emp- 
fangen.-  Die  geistlidie  Fiihrcrin  zum  himmlisd.en  Paradies  ist  dodi 
Beatrice.  Der  berUhmte  Vers  will  le.ligli,!,  im  bildiid.en  Sinne  sa- 
gen    daB  er,  Virgil,  Dante  je^t  voile  Autoritat  uber  sidi.  materiell 
und  ge.st.g.  ,n  den   Grenzen  gibt.   innerhalb  derer  er  bis  je^t  jene 
Autoritiit  ausgeiiht  hat. 


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Bibliografia  distoria  deljiritto  medievale  e  moderno 


335 


poche     pagiuc     declicatc     ilall'autore 
ai  canonisti  costituiscano  una  sintesi 
efficace  del  loro  pensiero.  Assai  chiara 
per  esempio,  e  la  critica  del  collega- 
mento,    gia    asserito    dal    Laehr    (ma 
negate   dal   Martini    e    da   altri),    fra 
«  Constitutuni  Constantini  »  e  «  Trans- 
latio    Imperii »    (cfr.    le    p.    i88   ss.). 
Meno    convincente,    almeno    se    rife- 
rite    ai    soli    canonisti,       il    giudizio 
espresso,  nell'ultimo  {)eriodo  di  p.  iq8, 
sui  decretisti  e  decretalisti  posteriori 
a  quelli  esaminati.  Si  puo  ammettere, 
infatti,  che  essi  ripetano  spesso  le  for- 
mulazioni  dei  loro  predecessori  e  che, 
come  dice  il  Goez:   «  Neue  tledanken 
sind   nicht  sehr   zahlrcich  »,    Ma   I'os- 
servazione    non    puo    forse   cstendersi 
in  buona  parte  anche  agli  storiografi 
e  agli  scrittori  politici?   E  si  farebbe 
bene  a  non  studiarli  per  questa  ra- 
gione?    Almeno   per   quanto   riguarda 
storiografi    e    scrittori    politici,    il    li- 
bro  del  Goez  e  fortunatanicnte  la  pro- 
va    piii    evidente    del    contrario.     In 
realty,   per  quanto  frequenti   possano 
essere  le  ripetizioni  e  le  formulazioni 
tralatizie,  nessun  settore  del  pensiero, 
giuridico    o    politico    o    storiografico 
che    sia,    si    mantiene    immobile    pur 
mutando  tempi  e  circostanze  storiche. 

Ernst  H.  Kantorowicz,  The  King's 
Two  Bodies.  A  study  in  mediaeval 
political  theology,  Princeton,  N.J., 
Princeton  University  Press,  1957, 
pp.      XVI  +  56S. 

I  giuristi  inglesi  dell'etk  elisabet- 
tiana  elaborarono  compiutamente  il 
concetto  della  doppia  natura  del  re 
(«  King's  Two  Bodies  »).  II  re  —  si 
legge  in  alcuni  «  cases  »  di  quell'et^  — 
ha  due  capacita,  in  quanto  ha  due 
corpi:  I'uno,  il  corpo  fisico  o  natu- 
rale,  simile  a  quello  di  tutti  gli  altri 
uomini  e  pertanto  soggetto  alle  pas- 
sioni  e  mortale;  I'altro,  il  corp<j  po- 
litico, non  soggetto  alle  passioni  e  alia 
morte,  e  quindi  trasferibile.  in  caso 
di  morte  del  corpo  fisico  o  naturale, 
ad  altro  corpo  naturale.  La  fornia- 
zione  di  questo  concetto,  i  suoi  ante- 


cedenti  medievali,  le  sue  component!, 
le  sue  infinite  iniplicazioni  costitui- 
.scono  I'oggetto  deirindagine  del  Kan- 
torowicz. «  Such  as  it  now  stands,  

avverte     I'autore     (p.   vni  —  ix)     

this    study    may    be    taken    among 
other  things  as  an  attempt  to  under- 
stand   and,    if   possible,    demonstrate 
how,    by   what   means   and   methods, 
certain  axioms  of  a  political  theology 
which  mutatis  mutandis  was  to  remain 
valid    until    the    twentieth     century, 
began    to    be    developed    during    the 
later  Middle  Ages...    This  .study  deals 
with  certain  cyphers  of  the  sovereign 
state     and     its     perpetuity     (Crown, 
Dignity,    Patria,   and  others)  exclusi- 
vely from   the  point  of  \iew  of  pre- 
senting political  creeds  such  a.s  they 
were  understood  in  their  initial  stage 
and  at  a  time  when  they  .served  as  a 
\eliiclc  for  putting  the  early  modern 
commonwealths  on   their  own    feet  ». 
I    limiti    di    questa    rassegna    non 
consentono,  purtroppo,  di  dar  conto, 
sia  pure   per  sommi  capi,   del  conte- 
nuto   di    un'indaginc,    gi^   per   il   suo 
oggetto,    tanto    importante.    L'opera, 
del  resto.  per  la  sua  stessa  orditura, 
non  soffre  una  descrizione  sommaria. 
La  trattazione  ha  una  struttura,  per 
cosi  dire,  rapsodica:  i  grandi  temi  della 
speculazione   politica,    giuridica  e   re- 
ligio.sa    medievale    tornano    costante- 
mente  nel  lungo  discorso  del  Kanto- 
rowicz, il  piu  delle  volte  in  tutta  la 
loro    complessit^.     Nessun     riassunto 
potrebbe  dare  un'immagine  soddisfa- 
cente   della   ricchezza   e   della   molte- 
pliciti   dei    motivi    dei    quali    I'intera 
opera  e  intessuta.  Si  puo  .soltanto  ri- 
cordare    che    il    Kantorowicz    divide 
la  sua  trattazione  in    nove    parti:    I. 
The     problem:     Plowden's     Reports; 

II.  Shakespeare:    King    Richard    II; 

III.  Christ-centered  kingship  (1.  The 
Norman  Anonymous;  2.  The  frontis- 
piece of  the  Aachen  Gospels;  3.  The 
halo  of  perpetuity);  \X .  Law-center- 
ed kingship  (i.  From  liturgy  to 
legal  science;  2.  Frederick  the  Se- 
cond; 3.  Bracton);  V.  Polity-centered 
kingship:    Corpus   mysticum    (i.    Cor- 


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336  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


i 


pus    ecclesiae    mysticum;    2.    Corpus 
reipublicae   mysticum;   3.    Pro    patria 
mori);  VI.  On  continuity  and  corpora- 
tions  (i.   Continuity;   2.   Fictio  figura 
veritatis);  VII.  The  King  never  dies  (i. 
Dynastic  continuity;  2.  The  crown  as 
fiction;  3.  Dignitas  non  moritur);  VIII. 
Man-centered    kingship:    Dante;    IX. 
Epilogue.  I'na  prefazione,  un'introdu- 
zione,  una  .serie  di  interessanti  illustra- 
zioni,   una   bibhografia  e  un  prezioso 
indice  anaUtico   completano   il   libro. 
L'opera  h  diretta  a/  lettori  ecce- 
zionalmente    preparati.    La    comples- 
sit^  della  problematica  e  I'imponenza 
dell'apparato  erudito  ricliiedono  una 
estrema,     costante     attenzione.      Sa- 
rebbe  stato  forse  desiderabile  un  ap- 
parato   erudito    meno   compatto    (ma 
vedi       I'avvertenza       dell'autore       a 
p.     x-xi).     Per    quanto    riguarda    la 
storia  del  diritto.  il  libro  riveste  ec- 
cezionale    importanza,    massime    per 
lo  storico  del  diritto  pubblico  e  della 
persona  giuridica.  La  ricostruzione  del 
Kantorowicz,     infatti,    e    fondata    in 
gran  parte  sul  pensiero  dei  giuristi  me- 
dievali.   Concetti  ed   istituti   giuridici 
dei    piu   complessi    sono   esaminati   o 
ricorrono    pres.soche    in    ogni    pagina. 
Da  questo  punto  di  vista  la  fatica  del- 
l'autore    e     stata     ammirevole.     La 
bonta  dei  risultati  rende  irrilevanti  le 
imprecisioni    che    talvolta    si    notano 
e  che,  come  lo  stesso  autore  avverte 
(p.  IX),  sono  in  gran  parte  dovute  alia 
mancanza  di  un  suo  specifico  training 
nel  campo  della  storia  giuridica.    In 


conclusione  si  deve  dire  che  il  Kanto- 
rowicz ci  ha  dato  un'opera  di  alto 
pensiero  e  immensa  erudizione.  Nel 
campo  della  storia  delle  idee  e  del 
pensiero  politico-giuridico  non  sono 
certamente  molte  le  ricerche  alle  quali 
si  puo  ricono.scere  pari  profonditi  e 
originality  di  impostazione. 


PiETRo  Vaccari,  Slafo  e  dassi  nei 
paesi  enropei.  Saggi  storici,  Milano, 
(iiuffre,    1957,   pp.   87. 

Nel  volume,  presentato  dalla  Scuo- 
la  Superiore  di  Scienze  Storiche  0  L.A. 
Muratori  »  di   \'erona,    della   quale   il 
Vaccari    e    Rettore.    si    trovano    rac- 
colti  i  seguenti  cinque  saggi:    i.   Uno 
sguardo  alle  origini  del  feudo  e  delle 
classi   feudali;    i.  La  concezione  dello 
Stato    corporativo    medioevale    e    la 
posizione  particolare  dello  Stato  cit- 
tadino  italiano;  3.  L'autoritk  sovrana 
contro  il  potere  della  classe  nobiliare 
nell'Alto  Medioevo;   4.   La  crisi  delle 
classi  nobiliari   nei  paesi  europei  du- 
rante il   XIV  .secolo;   5.    I    lavoratori 
della  terra  nell'Occidente  e  neirOrien- 
te    dell'Europa    nell'et^    moderna.    I 
saggi.    redatti    —    ad    eccezione    dei 
primi     due    —    in    anni    recenti,    si 
prestavano   assai    bene,    per    il    loro 
oggetto    e    la    loro    ispirazione    uni- 
taria.    ad    essere    riuniti    in    volume. 
II  libro,  per  vero,  costituisce  un'altra 
testimonianza     dell'infaticabile     ope- 
rositk  deH'illustre  studioso  di   Pavia. 


III.  -  STORIA  DEL  DIRITTO  PRIVATO 


L.  GOLDSCHMIDT.  Univetsalgeschichte 
des  Handelsrechts  [  =  Handbuch 
des  Handelsrechts,  3»  ediz.,  I, 
p.  I,  I],  ristampa,  Aalen,  Scientia 
Antiquariat,  1957,  pp.  xviii  -f- 468. 

Ristampa  della  celebre  storia  del 
diritto  commerciale  del  Goldschmidt. 
II  contenuto  del  volume  ^  stroppo 
noto  perche  debba  farsene  un  sia 
pure   fugacissimo  ricordo.   Pubblicato 


nel  1 89 1,  questo  del  Goldschmidt 
resta  il  libro  dal  quale  si  deve  ancora 
partire  per  una  visione  dinsieme  della 
storia  del  diritto  commerciale.  An- 
che  per  impulse  e  merito  del  commer- 
cialista  tedesco,  I 'ultimo  settantennio 
ha  visto  tutta  una  fioritura  di  studi 
in  questo  camjxi.  Le  ricerche  partico- 
lari  non  sono  mancate.  Anche  ne- 
gli  ultimi  anni,  in  Italia  e  fuori.  vari 
istituti  sono  stati  illustrati  in  contri- 


/   u 


r 


APPUNTI    BIiaOGRAFICI   DI    STORIA 
DEL  DIRITTO  MEDIEVALE  E  MODERNO 

a  cura  di 
DOMENICO  MAFFEI 


Estratto  da  B.  I.  D.  R.  «  Vittorio  Scialoja  » 

Serie  III  -  Vol.  11 

Volume  LXIII  della  Collezionc 


BSBS 

AG 


MILANO 

DOTT.    A.    G1UFFR£    -    EDITORE 

i960 


U        I     U     U 


f 


p- 


•-/^ '»     ^h^^i*^  -^  Ci    Ou^  <z, 


APPUNTI    BlftJOGRAFICI   DI    STORIA 
DEL  DIRITTO  MEDIEVALE  E  MODERNO 

a  cura  di 
DOMENICO  MAFFEI 


Estrutto  da  B.  I.  D.  R.  «  Vittorio  Scialoja  » 

Scrie  III  -  Vol.  II 

Volume  LXIII  (iclla  CoUezione 


MVLTA 


PAVCIS 


AG 


MILANO 
DOTT.    A.    G1UFFR£ 
i960 


EDITORE 


/    n    o 

u      I    u      I 


APPLNTI  BIBLIOGRAFICI 
DI    STORIA   DEL  DIRITTO    MEDIEVALE   E   MODERNO   * 

A  cura  di  DOMENICO   MAFFEI 


I    -  STORIA  DELLE  FONTI   E  DEL  PEXSIERO  GIURIDICO 


*■  r 


Emil  FRiEDBERG.Dif  Canones-  Samm- 
lungen  rwischen  Gratian  und 
Bernhard  voti  Pavia,  ristampa, 
Graz,  Akademische  Druck-  u. 
\'erlagi,anstalt,  1958,  pp.  viii  -r 
208; 

Quirujue  compilationes  antiquae  nee  non 
CollecHo  canonum  lipstensis,  a  cu- 
ra di  Emil  Friedberg,  nstampa, 
Graz,  Akademische  Druck-  u.  Ver- 
lagsanstalt,  1956,  pp.  xxxvi  —  224; 

Corpus  iuris  canonici,  a  cura  di  Emil 
Friedberg,  ristampa,  Graz.  Aka- 
demische Druck-  u.  Verlagsan- 
stalt,  1959.  Pars  prior  (Decreium 
Ma^istri  Gratiani),  col.  civ  -f- 
J470;  Pars  secunda  {Decretalium 
ColUctiones),     col.     lxxii  -1-  1344. 

Si  avverte  la  necessit«i  di  segna- 
lare,  anche  in  questa  sede,  queste 
tre  nstampe  per  la  loro  importanza. 
Si  tratta  di  Ubn,  come  ovvio,  che 
devono  avere  una  posizione  di  primo 
piano  non  giii  nella  sola  biblioteca 
del  canonista,  ma  in  quella  dello 
storico  del  diritto  in  generale.  A 
distanza     di     circa     un     ottantennio 


dalle  prime  edizioni,  1  opera  del  Fried- 
berg si  mantiene  ancora  valida.  L'ur- 
genza  di  una  revisione  critica.  in 
particolare  per  quanto  riguarda  I'edi- 
zione  del  Corpus  iitris  canonici,  e 
stata  av\ertita  da  piii  parti,  ma  in- 
tanto  (e  forse  ancora  per  lungo  tempo) 
si  dovrk  far  ricorso  al  Friedberg 
come  ad  un  insostituibile  strumento 
di    lavoro. 

F.  L.  Ganshof,  Recherches  sur  les 
Capitulaires,  Paris,  Sirey,  1958, 
PP      130. 

Una  prima  edizione  in  lingua  olan- 
dese  dell 'opera  che  si  segnala  ap- 
parv-e  nel  1955.  La  presente  tradu- 
zione  in  lingua  francese  h  stata  cu- 
rata  dallo  stesso  Ganshof,  che  ha 
colto  I'occasione  per  rivedere  ed  in- 
tegrare  in  piii  punti  il  testo  originale. 
Pubblicato  gii  nella  Revue  historique 
dt  droit  franfais  et  eiranger  del  1957, 
il  testo  francese  e  ora  molto  oppor- 
tunamente     presentato     in     volume. 

Quail  limiti  ha  posto  il  Ganshof 
alia  sua  ricerca?  Si  tratta  —  egli  af- 
ferma  (p.  2)  —  di  un  lavoro  di  storia 


I  present!  ApputUt  sono  intesi  a  dar  iiotizia  ai  romaiiisti  delle  pubblicazioni  di  storia 
del  dintto  medievak  «■  moderno,  e  segnatamente  di  stona  del  diritto  comune  romano-ca- 
nonjcc.  A  causa  del  Joro  carattere  schiettameutc  mformativo,  non  sara  trascurata  neppure 
la  meniione  deUe  nstampe  dei  classici  o  di  opere  ampiaraente  note.  Questa  prima  puritata 
e  dedicata,  e<:cezion  fatta  per  alcuni  casi,  alle  pubblicazioni  apparse  fra  il  1957  e  il  1059  La 
inaggior  parte  deUe  opere  pubblicate  nel  1959  sara,  tuttavia,  segnalata  nella  prossima  puntata. 


I        I    I 

I    u 


324  Btbliografia  di  storia  del  diritto  mcdievalc  c  moderno 


«  estema  »  del  diritto:  «  Le  sujet  traits 
relive  de  I'histoire  extemt'  du  droit, 
non  de  son  histoire  interne.  Nous  n'^- 
tudions  nj  le  contenu,  ni  les  caract6ri- 
stiques,  ni  les  tendances  de  la  legisla- 
tion ou  de  la  r6glementation  carolin- 
gienne  II  pent  etre  utile  d'ajouter  que 
nous  ne  faisons  pas  non  plus  une  6tude 
d'histoire   politique...  ».  L'autore  si  e 
mantenuto  fedele  a  queste   premesse. 
1    primi    due   capitoli   possono   consi- 
derarsi   introduttivi    e    sono    rispetti- 
vamente    dedicati    ad    alcune    oppor- 
tune precisazioni  terminologiche  e  al 
ricordo    delle    edizioni    principali    dei 
ca})itolari     e     della     bibliografia     piii 
importante.   II   III   capitolo  contiene 
un    tentativo    di    classificazione    dei 
capitolari  sostanzialmente  fondato  sui 
criteri    comunemente    adottati:    assai 
interessantj    si    palesano    le    osserva- 
zioni   del   Ganshof  su   quelli   che  egli 
chiama  <  documents  assimilables  aux 
capitulaires  >.,     spesso     confusi     nelle 
edizioni     con     1     capitolari     propria- 
mente    detti.    In    questo    stesso    cap. 
Ill,  nella  sez.  IV,  e  parola  dei  capi- 
tolari   destinati    al    Regnum    Lango- 
bardorum,  poi  Regnum  Italiae:  l'au- 
tore    jier     un     pnmo     orientamento 
sul    tema    del     Capitulare     Jtalicum 
rinvia    ad    alcuni    nostri    storici,    ma 
sembra     non     aver    tenuto    presente 
la    recente   e    piii    ampia    trattazione 
fattane    dall'Astuti,    Lezioni    dt    sto- 
na   del  diritto  italiano.   Le  fonti.   Eta 
romano-barbarica,    Padova,     1953,    p. 
1 19  ss.,    129  ss.    Seguono    alcuni    ca- 
pitoli   estremamente    interessanti:    il 
l\    sul    processo    di    formazione    dei 
capitolari,   il  \'   sulla  fonte  della  loro 
autorit^,  \'ale  a  dire  il  bannum  reale, 
e   sul   significato   del   consensus   men- 
zionato   in   alcuni   di   essi;    il   VI    sul 
loro   testo;    il   \U    sulla   loro   pubbli- 
cazione;     I'VIIl     sulla     loro     conser- 
vazione    (tenuto    conto    che    non    ci 
e  pervenuto  nessun  originale)  e  sulle 
collezioni  che  ne  furono  fatte;   il  IX 
sul    loro   contenuto   in    rapporto   alle 
materie    regolate;    il    X    ancora    sul 
loro     contenuto,     considerato     tutta- 
via  da  un  punto  di  \-ista  strettamente 


tecnico-giuridico  (il  Ganshof  applica 
la  terminologia  modema  distinguendo, 
in  seno  ai  capitolari,  quelli  aventi 
contenuto  legislativo  dai  regolamenti 
e  dagli  atti  amministrativi);  I'Xl 
sulla  durata  della  loro  \-aliditk;  il 
XII  sulle  modality  della  loro  appli- 
cazione;  il  XIII  sulla  loro  mcidenza 
(m  particolare  nel  caso  dei  capitula 
legibus  addenda}  sulle  varie  leggi 
nazionali;  il  XI\'  sul  loro  estinguersi 
come  forma  di  legislazione.  La  trat- 
tazione e  chiusa  da  alcune  conclu- 
sioni  assai  penetranti.  Una  tavola 
del  capitolari  e  document!  a  questi 
assimilabili,  un  ottimo  indice  alfa- 
betico  generale,  infine  un  mdice 
delle  materie  completano  opportu- 
namente  lojjera.  In  conclusione,  si 
deve  dire  che  le  ncerche  del  Ganshof 
accrescono  note\'olmente  la  nostra 
conoscenza  della  legislazione  dei  ca- 
pitolari Da  esse  bisogneri  neces- 
sariamente  muovere  per  ulterior!  ap- 
profondimenti.  Queste  mdagini  co- 
stituiscono  da  un  lato  lo  stimolo 
piii  efEicace  per  la  desiderata  nuo\'a 
edizione  critica  (p.  9),  dall'altro 
rendono  ancora  piii  auspicabile  una 
ricostruzione  di  quella  che  il  Ganshof 
chiama  storia  <■  interna  »  dei  capi- 
tolari. 


Ugo  GuALAZZiNi,  Considerazioni  in 
tema  di  legislazione  siatutana  me- 
dievale.  2*  ediz.  riveduta  e  am- 
pliata,  Miiano,  Giuffre,  1958, 
pp.    124. 

Indubbiamente  utile  a  quanti 
s'lnteressano  di  storia  del  diritto 
comune,  il  volume  del  Gualazzim 
ha  presto  meritato  una  seconda  edi- 
zione. Pur  se  la  trama  dellojiera  6 
rimasta  sostanzialmente  immutata, 
il  testo  si  presenta  ora  accresciuto 
e  riveduto  in  pivi  punti.  Non  e  certo 
necessario  ricordare  dettagliatamente 
il  contenuto  di  un  libro  gia  noto. 
Bastard  accennare  che  la  tratta- 
zione e  di\isa  m  otto  capiloh.  Nel 
primo,  che  ha  natura  introduttiva, 
si    leggono    alcune    osser\azioni    sul- 


ri'iKTlfcliM.    \ 


U       I 


Bibliografia  di  storia  del  diritto  medievale  e  moderno  325 


I'ongme  del  comune  medievale  da 
un  punto  di  vista  strettamente  giu- 
ndico.  II  secondo  capitolo  c  dedi- 
cato  all'elaborazione,  compiuta  dalla 
glossa,  dei  concetti  di  ♦  jus  commune  » 
e  « jus  generale  »:  capitolo  centrale 
dell'mtera  trattazione,  in  esso  l'au- 
tore ha  agio  di  fare  considerazioni 
assai  interessanti  sui  problemi  di 
fondo  del  diritto  comune.  II  capitolo 
terzo  tratta  degli  statu  ti  come  espres- 
sione  di  «jus  proprium  »  ed  illustra 
soprattutto  1  tentativi  fatti  dai  giu- 
nsti  medievali  per  I'inquadramento 
sistematico  del  dintto  statutario.  Nel 
capitolo  quarto  e  tratteggiata  la 
posizione  del  dintto  canonico  entro 
il  sistema  del  diritto  comune  e  nei 
suoi  rapporti  con  gh  statuti.  1  ca- 
pitoli quinto  e  sesto  sono  intesi  a 
ricostruire  le  dottrine,  \-arie  e  tal- 
^•olta  contrastanti,  formulate  rispet- 
tivamente  dai  glossator!  e  dalla  giu- 
risprudenza  posteriore,  relative  aUa 
legittimita  della  legislazione  statu- 
tana.  Nel  capitolo  settimo  e  deli- 
neato  il  concetto  di  « statutum  » 
(facciamo  nlevare  incidentalmente 
una  imprecisione  della  nota  9  di 
p.  112,  ove  si  legge  di  Bartolo  ci- 
tato da  Vi\iano  Tosco).  II  capitolo 
ottavo,  infine,  sintitola  ♦  Una  postil- 
la  metodologica  »:  ha  carattere  con- 
clusivo  e  contiene  una  serie  di  sugge- 
rimenti  ed  insegnamenti  metodolo- 
gici,  dettati  dalla  nota  esperienza 
del  Gualazzim  come  storico  della 
legislazione  statutaria.  Sono  m  par- 
tic(jlare  da  tener  present!  le  critiche 
alle  ncostruzioni  del  dintto  statuta- 
rio fondate  sul  metodo  mtegrativo: 
ncostruzioni  che,  come  giustamente 
osserva  l'autore,  non  poggiano  su 
said!  fondamenti  scientific). 

In  conclusione,  questa  nuova  edi- 
zione del  libro  del  Gualazzim  si  ri\-ela 
veramente  opportuna.  La  legisla- 
zione statutaria  e  vista  in  chiave  pro- 
blematica  e  non  gi^  meramente  eru- 
dita.  L'impostazione  sembra  feconda 
d)  nsultati  in  questo  imporlantissi- 
mo  settore  della  nostra  storia  giuri- 
dica. 


Questiones  de  tuns  subtilitatibus .  Te- 
sto, mtroduzione  ed  apparato  cntico, 
a  cura  di  G.  Zanetti  (Biblioteca 
di  Studi  Superiori,  vol.  xvi:  Te- 
sti  medievah,  Sez.  giuridica),  Fi- 
renze.  La  Nuova  Itaha  editrice, 
1958,   pp    LXXX  -t-  136. 

Le  Questiones  de  juris  subtilita- 
tibus, opera  fra  le  piii  notevoli  della 
letteratura  giuridica  medievale,  me- 
ritarono  nel  1894  un  edizione  critica 
del  Fitting,  fondata  sui  due  mss. 
allora  conosciuti,  luno  di  Troyes 
e  laltro  di  Leiden.  Lo  scritto,  tanto 
per  la  sua  importanza  quanto  per  le 
ipotesi  che  sulla  sua  patemiti  e 
datazione  furono  avanzate  dai  Fit- 
ting, attiro  subito  I'lnteresse  di  non 
pochi  stonci  del  dintto  e  dette  vita  a 
notevoli  polemiche.  Successivamente, 
nel  1938,  il  Kantorowicz  illustrava 
un  nuovo  ms.  delle  Questiones,  e 
piii  precisamente  il  famoso  e  importan- 
tissimo  Royal  11  B.  xiv  del  Bntish 
Museum  che  le  contiene  insieme  a  nu- 
merose  oltre  opere  dell  eta  dei  Glos- 
satori.  A  dajci  un  testo  fondato  su 
tutti  i  mss.  conosciuti,  vale  a  dire 
sui  due  gia  utilizzati  dai  Fitting  e 
su  quello  londmese  nnvenuto  dai 
Kantorowcz,  provvede  ora  la  Za- 
netti con  I'edizione  che  qui  si  segnala, 
L'lniziativa  va  accolta  con  soddisfa- 
zione.  L  edizione  del  Fitting  anda\-a 
facendosi  rara  ed  inoltre  poteva  con- 
siderarsi  superata  dalla  scoperta  del 
ms.  di  Londra,  che,  pur  se  non  mi- 
gliore  degli  altn  due,  consente  tutta- 
via  qualche  integrazione.  Una  edi- 
zione fatta  sulla  scorta  di  questo  j)er- 
mette  ora  agU  studiosi  ♦  di  conoscere 
I'opera  nella  forma  meno  incomplete 
alio  stato  attuale  delle  scoperte  » 
{Introduzione,  p.  xxxvm),  e,  tenuto 
conto  deirimjx>rtanza  delle  Que- 
stiones, non  si  puo  non  esserne  lieti. 
Alia  edizione  critica,  1  cui  criteri  non 
possono  essere  dicussi  m  questa  sede, 
la  Zanetti  premette  un'ampia  intro- 
duzione, dedicata  soprattutto  all'esa- 
me  e  alia  descnzione  dei  tre  mss., 
ed   utilissim!   prospetti   delle   vananti 


3^6  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


testuali   e   delle   vtirianti    delle   rubri- 
che. 


Bernardi  Papiensis  Faventini  Episco- 
pi  Summa  Decretaliiim,  a  cura  di 
Ernst  Adolf  Theodok  Laspey- 
RES,  ristampa,  Graz,  Akademische 
Druck-  II.  \erlagsanstalt,  1956, 
PP     LXII  +  368; 

Friedrich  Maassen,  Geschichte  der 
Quellen  unci  der  Literatur  des  ca- 
nontschen  Rechts  tni  Abendlande, 
1.  Die  Rechtssammhmgen  bis  zur 
Mitte  des  g.  J ahrhunderts ,  ristam- 
pa, Graz,  Akademische  Druck- 
u.  Verlagsanstalt,  1956,  pp.  lxx  -f 
982; 

JoHANN  Friedrich  von  Schulte, 
Die  Geschichte  der  Quellen  und 
Literatur  des  canonischen  Rechts 
von  Gratian  his  aiif  die  Gegenwart, 
nstampa  in  2  tomi,  Graz,  Akade- 
mische Druck-  u.  Verlagsanstalt, 
1956.  vol.  I  (Von  Gratian  bis  anf 
Papst  Gregor  IX.).  pp.  viii  +  265; 
\o\.  II  (Von  Papst  Gregor  IX 
bis  zum  Concil  von  Trient).  pp. 
xviii  +  582;  Vol.  Ill  (Von  der 
Mitte  des  16.  Jahrhunderts  bis 
zur  Gegenwart),  parte  i*,  pp. 
XVI  +  783;   parte    21-31,    pp.    413 

Tre  ristampe  che  vanno  ricordate 
per    la    loro    eccezionale    miportanza. 
Per  non  parlare  delledizione  Laspey- 
res    della     Summa    di     Bernardo    da 
Pavia,   che  riveste  interesse  piii  par- 
ticolure,    non    sar4    qui    inopjxjrtuno 
sottohneare   che   le   grandi   opere   del 
Maassen  e  dello  Schulte  costituiscono 
ancora.  soprattutto  per  alcuni  periodi, 
gli   strumenti    fondamentali   per   ogni 
ncerca    nel    campo   della   storia    delle 
font!   e   della  scienza   giuridica   cano- 
nistica.  Certo,  non  poche  sezioni  del- 
I'uno    e    dell'altro    libro    mostrano    1 
segni   del   tempo    II    lo  volume  dellu 
Schulte,  ad  esempio,  puo  considerarsi 
ormai  sufjerato:  per  ii  periodo  m  esso 
trattato  bisogna,  mfatti,  far  capo  al 
grande  Repertortiim  del   Kuttner,   del 
quale    sappiamo    che    e    in    prepara- 


zione    una    attesissima    seconda    edi- 
zione.  Scoperte  di  nuovi  manoscritti, 
nuove    edizioni     critiche,     studi     sui 
singoli    canonisti,    altre    opere    gene- 
rali  e  particolan  .son   venutc  aggiun- 
gendosi,    numerose,    dagli    anni    lon- 
tani    delle    prime    edizioni    dei    libri 
dello   Schulte  e  del   Maassen;   e   tut- 
tavia  —  dicevo  —  questi  restano  an- 
cora  mezzi   indispensabili   di   ncerca. 
Si     ponga     mente     soprattutto     alio 
Schulte.   Come,   non  ostante  il   tanto 
che     e     stato     fatto     posteriormente. 
I'opera  del  Savigny  e  ancora   fonda- 
mentale    per    la    storia    della    scienza 
giuridica    civilistica     medievale,     cosi 
per  la  storia  della  scienza  canonistica 
il    libro    dello    Schulte    puo    dirsi,    in 
molte   parti,    insostituito.    Non   si   di- 
mentichi    poi   che   lo   Schulte   dk   un 
quadro  assai  dettagliato  della  scienza 
canonistica  da  Graziano  a  gran  parte 
del    secolo    XIX,    cioe    sm    quasi    ai 
giorni    nostri.    In    assenza    di    opere 
altrettanto   vaste,   questa  sola   carat- 
teristica     sarebbe     gi^     sufficiente     a 
mettere   in   evidenza   lutilita.    Si   ag- 
giunga  a  cio  che  alio  Schulte  si  puo 
far   ricorso    con    grande    profitto    an- 
che   per   quel   che   riguarda    la   storia 
della  scienza  giuridica  civilistica.  Bio- 
grafie  e  illustrazioni  di  scritti  di  giu- 
risti    non    propriamente    canonisti    si 
susseguono,   assai  numerose,   in   tutta 
lopera.     Le    ragioni,     in     particolare 
}>er  quanto  riguarda  I'eti  medievale, 
sono  intuitive,  e  non  t  caso  di  sot- 
tolinearle  in  questa  sede.    In  conclu- 
sione,    queste    opere    del    Maassen    e 
dello   Schulte  —    ancor  piii   quesf  ul- 
tima —    non   dovrebbero  mancare  111 
nessuna     biblioteca    slorico-giuridica. 
L  Akademische  Druck-  u.   \'erlagsan- 
stalt    di    Graz    —    casa    editrice    alia 
quale    si    deve    la    ristampa    di    altre 
opere    di    estremo    interesse     per     lo 
storico    del    diritto    (ncordiamo,    ad 
esempio,      H       Denifle,      Die     Ent- 
stehung    der    Umversitdten    des     Mit- 
telalters    bis    1400.,    Graz    1956,    e    O. 
VON     Gierke,    Das    deutsche    Genos- 
senschaftsrechl,  4  volumi,  Graz  1954)  — 
ha   reso,   con   queste  edizioni.    un   ot- 


Bihliografia  di  storia  del  diritto  medievale  e  moderno  327 


timo  servigio  a  tutti  gli  studiosi, 
Hiano  o  no  essi  specialisti  di  storia 
del    diritto    canonico. 


Emil  Seckel,  Dtstinctiones  glossato- 
rum.  Studien  zur  Distinktwnen  - 
Literatur  der  romanistischen  Glos- 
satorenschule .  verhunden  mit  Mil- 
teilungen  unedierter  Texte,  ristam- 
pa, Graz,  Akademische  Druck- 
u.    Verlagsanstalt,    1956. 

Ristampa  del  classico  studio  del 
Seckel  suUe  Distinctiones  dei  glossa- 
tori,  gia  apparso  nel  1911,  in  *  Fest- 
schrift fiir  F.  von  Martitz  »,  pp.  277- 
436.  L'importanza  del  lavoro  e  dei 
testi  inediti  pubblicati  giustifica  am- 
piamente  questa  ristampa  in  forma 
di  volume  autonomo.  £  ora  da  augu- 
rarsi  che  siano  presto  resi  ugual- 
mente  accessibili  altri  studi  e  testi  fon- 
damentali -per  lo  storico  della  glossa. 

Gioele  Solari,  Filosofia  del  diritto 
privato.  I.  Indtindualismo  e  di- 
ritto private  (Universita  di  Tori- 
no, Miscellanea  dell'Istituto  Giuri- 
dico,  \'l),  lorino,  G  Giappichelli, 
I95<'.    PP    XXVI  ^  343. 

Oiiesta  fondamentale  opera  del 
compianto  maestro  dello  Studio  to- 
rinese,  pubblicata  una  prima  volta  nel 
1911,  poi  ancora  nel  1939,  era  gia 
da  temjH)  esaurita.  La  presente  ri- 
stampa. curata  dall'Istituto  giuridico 
deiri.'ni\'ersita  di  Torino,  giunge  per- 
tanto  assai  opjiortuna.  Non  e  qui  il 
caso  di  segnalare  il  contenuto  di  un 
libro  tanto  conosciuto.  \ogliamo  sol- 
tanto  far  rilevare  che,  a  distanza  di 
cinquanfanni  dalla  i»  edizione,  lope- 
ra  mantiene  intatta  la  sua  eccezionale 
imfKirtanza  per  la  storia  del  diritto 
moderno.  Chi  voglia  intendere  1  grandi 
motivi  della  speculazione  filosofica  dei 
giusnaturalisti  e  del  mo\-imento  che 
condusse,  segnataniente  nel  secolo 
XNTII,  alia  codihcazione  del  diritto 
jirivato,  dovrk  ancora  far  capo  in- 
iianzitutto  a   questo   libro  del   Solan. 


Antonio  I)omingues  de  Sousa  Co- 
sta, I'm  mestre  portuguSs  em  Bo- 
lonha  no  seculo  XIII,  Jodo  de 
Deus.  Vida  e  ohras,  Braga,  Edi- 
torial Franciscana,  1057,  pp. 
XIX  -f  214. 

11  canonista  portoghese  Giovanni 
de  Deo  fu  scrittore  fecondissimo,  pur 
se  non  molto  originale.  La  storiografia 
anteriore  non  aveva  mancato  di  occu- 
parsene.  Alcune  pagine  sulla  sua  vita 
e  sulle  sue  opere  si  leggono  anche 
nelle  grandi  storie  del  Savigny  e 
dello  Schulte;  in  tempi  recenti  scritti 
suoi  o  a  lui  attribuiti  hanno  attirato 
I'attenzione,  fra  gli  altri,  del  Kantoro- 
wicz  e  del  Rossi.  Si  sentn-a  tuttavia 
la  mancanza  di  uno  studio  comples- 
sivo,  insieme  biografico  e  relative  alle 
ojjere.  La  lacuna  e  stata  colmata  in 
modo  encomiabile  da  padre  An- 
tonio D.  de  Sousa  Costa,  che  in  que- 
sto volume  presenta  i  risultati  di 
ricerche  assai  scrupolose  e  approfon- 
dite,  condotte  su  un  numero  impres- 
sionante  di  manoscritti.  11  libro,  che 
qui  si  puo  soltanto  segnalare  rapidis- 
simamente,  h  articolato  in  due  ca- 
pitoli,  preceduti  da  una  prefazione, 
da  un  elenco  delle  abbreviazioni ,  da 
una  copiosissima  bibliografia,  da  una 
introduzione,  e  seguiti,  fra  laltro, 
da  conclusioni,  da  una  preziosa  ap- 
pendice  contenente  alcuni  documenti 
relativi  al  canonista  e  da  utilissimi 
indici  del  nomi  e  generale. 

II  primo  capitolo  ha  natura  bio- 
grafica.  La  nascita,  gli  studi,  I'mse- 
gnamento,  le  dignity  ecclesiastiche, 
gli  ultimi  anni  della  vita  del  cano- 
nista jwrtoghese  sono  ricostruiti  in 
modo  assai  convmcente.  L'autore, 
fra  I'altro,  determina  con  maggior 
precisione  che  nel  passato  I'anno 
della  nascita  (circa  11 89- 11 91)  e 
la  data  della  morte  (15  marzo  1267). 
Nel  secondo  capitolo,  indubbiamente 
il  piii  impegnativo,  si  trovano  in- 
\ece  esaminate  le  opere  di  Giovanni 
de  Deo  e  quelle  a  lui  attribuite.  Una 
minuziosa  ncerca,  condotta  sui  ma- 
noscritti.   permette    all'autore    di    ri- 


I    L 


328  Bibliografia  di  sioria  del  diritto  medicvalc  c  moderno 


Bibliografia  di  storia  del  diritto  medievale  e  moderno 


329 


tenere  sicuramente  autentiche  22 
opere,  di  afifermare  la  dubbia  pa- 
ternity di  3  opere,  di  considerare  cer- 
tamente  spurie  altre  7  opere  gia 
attribuite  al  canonista  portoghese. 
Complemento  dell'interessante  la- 
voro  di  padre  Sousa  possono  consi- 
derarsi  altri  due  suoi  scritti:  Doutrina 
penitencial  do  canonista  Joao  de  Deus, 
Braga,  1956,  e  Aniniadversiones  cri- 
ticae  in  vitam  et  opera  canonistae 
loannis  de  Deo  (« Antonianum  »,  33, 
1958,  fasc.  1-2).  Anche  questi  studi 
si  raccomandano  per  il  rigore  dell'in- 
formazione   e   la   serieta   del   metodo. 


Roderick  von  Stintzing  -  Ernst 
Landsberg,  Geschichte  der  deut- 
schen  Rechtswissenschaft,  ristampa, 
Aalen,  Scientia  Antiquariat,  1957, 
3  parti  in  4  volumi  rispettiva- 
mente  di  pp.  xii  -)-  780  e  xiv  + 
290;  XII    -f  552  e  VIII  +  326;  XVI  -!- 

1008;     VIII    -f  414. 

Non  si  pu6  non  essere  grati  alia 
casa  editrice  Scientia  Antiquariat  di 
Aalen  di  aver  pensato  a  ristampare 
questo  classico  della  storiografia  giu- 
ridica  mondiale.  La  grande  storia 
dello  Stintzing  e  del  Landsberg  era 
ormai  divenuta  una  rarita  biblio- 
grafica.  La  necessita  di  una  ri- 
stampa era  avvertita  non  soltanto 
dagh  storici  del  diritto,  ma  anche 
dagli  storici  della  cultura,  del  pen- 
siero  politico  e  della  filosofia.  Pub- 
blicata  per  la  prima  volta  tra  il  1880 
e  il  1910,  I'opera  si  e  mantenuta  va- 
lida  in  grandissima  parte.  Per  al- 
cuni  f>eriodi  e  per  alcuni  giuristi  non 
vi  sono  scritti  piu  recenti  che  pos- 
sano  sostituirla.  Come  storia  gene- 
rale  ed  insieme  assai  dettagliata  essa 
rappresenta  ancora  un  fondamentale 
strumento   di   ricerca. 

Le  vicende  dell'opera  .sono  note. 
Iniziata  dallo  Stintzing,  alia  morte  di 
questo  fu  proseguita  dal  Landsberg. 
Tra  la  pubblicazione  della  prima  parte 
(1880)  e  quella  dell'ultima  (1910) 
passarono    ben     trent'anni.     La    ge- 


nerate conoscenza  che  si  ha  di  questo 
libro    ci    dispensa   dal   .segnalarne    il 
contenuto     nei     dettagli.      Bisognera 
tuttavia     mettere     in     luce,     soprat- 
tutto  per  i  lettori  di  questo  «  Bullet- 
tino  »,    la  grande   importanza  che   ri- 
veste  anche  come  storia  della  storio- 
grafia del  diritto  romano.   Nella   pri- 
ma   parte,    dovuta    interamente    alio 
Stintzing,   fra  i  quindici  capitoli  che 
la    compongono,    si    palesano    jiarti- 
colarmente  important!  per  lo  storico 
della  storiografia   del   diritto   romano 
quelli     dedicati     all'Umanesimo     giu- 
ridico.    Se    nel    cap.     i    si    illustrano 
le     vicende     della     scienza     giuridica 
tedesca  sino  alia  fine  del  secolo   XV 
e  nel  cap.  2  si  tratta  in  generale  della 
recezione,  i  capitoli  3,  4,   5  e  6  sono 
mvece   particolarmente   intesi   a   stu- 
diare   i   riflessi    del    movimento    uma- 
nistico  nel  campo  del   diritto,   attra- 
verso  I'esame  dei  rapporti  tra  Uma- 
nesinio  e  Riforma,  e  tra  mos  gallicus 
e   mos    italicits,    e    I'illustrazione    del- 
I'attivit^   dello   Zasio   e   degli   editori 
di  fonti  nel  Cinquecento.   Non   meno 
interessanti    per    la    storia    dell'lma- 
nesimo    giuridico    sono    anche    niolti 
paragrafi    dei    capitoli    seguenti,    nei 
quali,pur  trattandosi  prevalentemente 
della    scienza    giuridica    tedesca    nel 
secolo   X\'l   e   nella   prima   meta   del 
X\'n,    si   trovano   studiate   opere    di 
giuristi    (anche  non   tedeschi)   ed   ap- 
profonditi     problemi     della     massima 
importanza    per    la    storia    giuridica 
europea   di   quell'etk.    Tanto,    del    re- 
sto,  si  puo  rilevare  anche  per  la  se- 
conda    parte    dell'opera,    dovuta    an- 
ch'essa  alio  Stintzing,    ma   edita   po- 
stuma  nel   1884   dal  Landsberg. 

La  terza  parte  di  questa  monu- 
mentale  storia  e  invece  frutto  delle 
ricerche  di  Ernst  Landsberg,  al  quale 
spetto  il  compito  di  continuare  YoyxiTd, 
con  criteri  non  dissimili  da  quelli  pre- 
cedentemente  adottati,  dopo  la  morte 
dello  Stintzing.  II  primo  volume  di 
questa  terza  parte  puo  considerarsi 
una  grande  storia  generale  della 
scuola  del  diritto  naturale  in  Europa, 
pur   se   con   riguardo  particolare   alle 


sue  vicende  in  Germania.  1  grandi 
problemi  e  le  principali  teiidenze  della 
scienza  giuridica  tedesca  ed  europea 
dalla  seconda  meta  del  Seicento  sino 
alle  soglie  dell'Ottocento  sono  mi- 
nutamente  esaminati  e  fatti  oggetto 
di  una  ricostruzione  storica  in  gran 
parte  ancora  valida.  Anche  in  questo 
volume  non  .sono  poche  le  pagine  che 
presentano  interesse  per  lo  storico 
della  storiografia  del  diritto  romano. 
L'apparato  erudito  h  imponente  (con- 
ta  ben  326  pagine)  ed  e  presentato 
indipendentemente  dal  testo. 

11  primo  volume  della  terza  parte 
con   le   annesse   Noten  fu   pubblicato 
nel    1898.    Nel    1910   vedeva   la    luce 
I'ultimo    volume    di    questa    parte    e 
dellintera    opera.     II    volume    costi- 
tuisce  certamente  la  storia  piu  com- 
pleta   della   scienza   giuridica  tedesca 
neirottocento.     Ove     si     tenga     pre- 
sente    che    quel    secolo    rappresento 
I'epoca    d'oro    del    pensiero    giuridico 
e     storico-giuridico     tedesco     e     che 
questo  esercito  poi  nell'intero  mondo 
civile  una  grandissima  influenza,  I'lm- 
j>ortanza   della   fatica   del   Landsberg 
apparira  piu  che  evidente.  II  volume 
presenta     un     interesse     senza     pari 
anche    per    lo    storico    della    storio- 
grafia del  diritto  romano  e  del  diritto 
medievale.  Personalita  e  tendenze  del- 
la grande  scuola  romanistica  tedesca 
dell'Ottocento   sono   fatte   oggetto  di 
una  esposizione  che,   pur  fondata  su 
una  analisi   minuta,   jierviene  sempre 
alia    sintesi    piii    efficace.    La    Scuola 
Storica  e  vista  in  tutte  le  sue  piii  sot- 
tili  ramificazioni.  Nessuno  dei  grandi 
romanisti  e  dimenticato.  Un  complesso 
impressionante    di    note,    raccolte    in 
un  tomo  indipendente  da  quello  del 
testo,  contiene  preziosi  ragguagli  bio- 
grafici  e  bibliografici  su  numerosi.ssi- 
mi  giuristi  e  storici   del   diritto   del- 
l'Ottocento tedesco. 

In  conclusione,  un'opera  che,  pur 
senza  aggiornamenti,  mantiene  un  po- 
sto  segnalato  in  ogni  biblioteca  giu- 
ridica, storica  e  di  cultura  generale, 
e  della  cui  ristampa,  come  dicevo, 
si  deve  davvero  esser  grati  all'editore. 


Fkanz  Wieacker,  Grander  und  Be- 
wahrer.  Rechtslehrer  der  neueren 
deutschen  Privatrechtsgeschichte , 
Gottingen,  Vandenhoeck  &  Ru- 
precht,    1959,    pp.    238. 

In  questo  elegante,  interessante  vo- 
lume il  Wieacker  ha  voluto  raccogliere 
una  serie  di  contributi  alia  storia  della 
scienza  giuridica  tedesca,  apparsi  — 
ad  eccezione  di  uno  —  nell'ultimo 
ventennio.  L'iniziativa  dell'msigne 
storico  e  giurista  tedesco  e  delle  piu 
opportune.  Si  tratta  di  scritti  pub- 
blicati  in  occasioni  e  riviste  diverse,  e 
in  qualche  caso  non  facilmente  ac- 
cessibili,  che,  sempre  conservando 
una  autonoma  validita,  si  mostrano 
tuttavia  sottilmente  concatenati  e  ben 
integrano  in  piu  punti  la  sua  fonda- 
mentale Privatrechtsgeschichte  der  Xeu- 
zeit. 

11  libro  e  di\iso  in  tre  sezioni, 
delle  quali  le  prime  due  hanno  impor- 
tanza preminente.  Nella  prima,  in- 
titolata  « Lehrjahre  des  deutschen 
Juristen  »,  I'autore  riunisce  tre  scritti, 
fra  i  quali  vanno  particolarmente  se- 
gnalati  la  prolusione  del  1943  dal 
titolo  <i  Das  romische  Recht  und  das 
deutsche  Rechtsbewusstsein  »,  sintesi 
ampia  e  penetrante  della  problema- 
tica  relativa  ai  rappnarti  tra  diritto  ro- 
mano e  storia  giuridica  tedesca,  e  il 
lungo  .saggio  «  Humanismus  und  Re- 
zeption.  Eine  Studie  zu  Johann  Apels 
Dtalogus  de  studio  ittris  recte  tnstituen- 
do  1),  importante  non  solo  per  I'acuta 
illustrazione  dello  .scritto  deirAf)el  ma 
anche  per  le  numerose  osservazioni  di 
carattere  generale  sull'l'manesimogiu- 
ridico  particolarmente  tedesco.  Nella 
stessa  linea  dello  studio  suH'Apel  ap- 
pare  anche  I'ultimo  di  questa  prima 
sezione,  intitolato  «  Ratschlage  fiir 
das  Studium  der  Rechte  aus  dem 
Wittenberger  Humanistenkreise  ». 

« Aus  den  Zeiten  der  Fiille  »  e 
il  titolo  della  seconda  sezione  del 
volume.  Qui  i'autore  ha  raccolto 
scritti,  in  massima  parte  molto  re- 
centi, su  alcuni  dei  piii  grandi  giu- 
risti dell'epoca  d'oro  della  scienza 
giuridica  tedesca:  Savigny,  Bachofcn, 


U       I 


I    J 
I    J 


330  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


Windscheid  e  Jhcring  sono  al  ceiitro 
di  pagine  lucidissime.  AU'interpreta- 
zione  di  due  grandi  personality  scien- 
tifiche  h  infine  dedicata  anche  I'ultima 
sezione  intitolata  «  Epitaphien  »,  in 
quanto  vi  si  leggono  i  necrologi  di 
Gerhard  von  Beseler  e  di  Andreas 
Bertalan   Schsvarz. 


Non  si  pu6  non  essere  grati  a  I 
Wieacker  di  aver  reso  facilmente  ac- 
cessibili  qiiesti  suoi  scritti.  La  loro 
lettura  e  altamente  istruttiva  tanto 
per  il  romanista  quanto,  soprattutto, 
per  lo  storico  della  scienza  giuridica 
mediex'alo  e  moderna,  non  soltanto 
tedesca. 


ir.  -  STORIA   DEL  DIRITTO  PI;BBLIC0 


UDWiG  BuissoN,  Potestas  und  Ca- 
ritas.  Die  pdpstliche  Gewalt  im 
Spdtmittelalter  (Forschungen  zur 
kirchlichen  Kechtsgeschichte  und 
zum  Kirchenrecht,  herausgegeben 
von  H.  E.  Peine,  J.  Heckel  und 
H.  Nottarp,  2.  Band).  Koln  Graz, 
Bohlau  Verlag,  1958,  pp.  xi  -i-  448. 


Non  si  puo  dire  che  lo  studio  del 
concetto,  del  contenuto,  dei  limiti 
della  potestas  pa  pale  nel  basso  medioe- 
vo  sia  state  trascurato  dalla  storiogra- 
tia  recente  e  nieno  recente.  11  tema  e 
stato  anzi  sottoposto  a  un  riesame 
insistente  e  continue  particolarmente 
in  questi  ultimi  anni.  11  volume  del 
Buisson  ne  e  un  notevole  esempio. 
Ci  troviamo  di  fronte  ad  una  vasta 
sintesi  della  storiografia  anteriore  ed 
insieme  ad  una  rielaborazione  di- 
retta  delle  fonti  relative  all'argo- 
mento.  L'impostazione  e  I'articola- 
zione  del  volume  appaiono  onginali. 
Precede  una  vasta  introduzione  che 
da  un  lato  illustra  i  termini  generali 
della  problematica  e  I'oggetto  della 
ricerca,  dall'altro  precisa  su  quali 
fonti  questa  e  stata  condotta.  Se- 
guono  sette  capitoli,  nei  quali  il 
concetto  della  potestas  papale  trovasi 
ricostruito  nelle  sue  implicazioni  im- 
mediate, soprattutto  in  rapporto  ad 
altri  concetti  e  a  particolari  istituti 
giuridici.  II  capitolo  i"  e  dedicate 
ixW'exetnplttm  caritatis,  il  2°  e  il  3° 
trattano  della  plenitudo  polestatis  in 
rapporto  rispettivamente  alia  iiisti- 
tia  e  alio  scandaluni,  il  40  definisce 
la    posizione   del    papa   eretico,    il    5" 


studia  la  plenitudo  potestatis  in  rap- 
porto al  giuramento,  il  6"  k  speci- 
ficamente  inteso  a  chiarire  il  signi- 
ficato  e  il  contenuto  del  giuramento 
prestato  all'atto  dell'incoronazione, 
il  7°  capitolo,  infine,  fa  luce  sul  con- 
cetto di  ('  chose  publique  ».  II  volume  h 
chiuso  da  una  copiosa  bibliografia, 
da  un  elenco  delle  abbreviazioni  e 
da  un  minuto  indice  dei  nomi,  dei 
luoghi    e    delle    cose    notevoli. 

I  limiti  della  presente  rassegna  non 
consentono  di  fare  una  descrizione 
dettagliata  e  un  esame  approfondito 
della  fatica  del  Buisson.  Sembra, 
tuttavia,  a  chi  scrive  che  I'autore  sia 
riuscito  a  disegnare  un  quadro  a.ssai 
ricco,  anche  se  non  completo,  della 
complessa  problematica  propria  del 
tema.  II  Buisson  ha  lavorato  sostan- 
zialmente  sui  soli  canonisti,  da  (ira- 
ziano  a  Felino  Sandeo.  Delle  innu- 
merevoli  opere  della  scienza  cano- 
nistica  di  questo  lungo  periodo  (sec. 
XII-X^')  egli  ha  utilizzato,  eccezion 
fatta  per  alcuni  casi  (ad  esempio, 
Uguccio  e  Giovanni  Teutonico),  quelle 
che  noi  conserviamo  anche  a  stampa. 
Sono  moltissinie,  e,  se  fatte  oggetto 
di  ricerca  diligente,  possono  anche 
condurre  a  risultati  piuttosto  sicuri; 
ma  un  piii  vasto  esame  degli  scritti 
canonistici  inediti,  in  particolare  dei 
primi  decretisti,  avrebbe  forse  contri- 
buito  a  far  nntracciare  con  maggior 
precisione  le  origini  di  alcune  teoriche 
assai  importanti.  Per  vero,  I'elTicacia 
della  ricostruzione  del  Buisson  sa- 
rebbe  stata  forse  accresciuta.  da  un 
lato  dalla  utilizzazione  di  alcune  opera 


I 


Bibliografia  di  storia  del  diritto  medievale  e  moderno 


331 


canonistiche    ineditc    di    importanza 

essenziale,   dall'altro  —  aggiungo  

da  una  maggior  considerazione  degli 
scritti    dei    civilisti.     Certo,     I'autore 
non  si  proponeva   lo  studio   di  questi 
ultimi.   Viene  tuttavia  fatto  di  chie- 
dersi   —  e   non   con   riferimento  alia 
sola  fatica  del  Buisson,  ma  in  via  di 
osservazione   generate  —  se  sia   pos- 
sibile  scindere  tanto  nettamente,  nella 
ricostruzione    delle    concezioni    e    de- 
gli    istituti     giuridici     medievali,     le 
elaborazioni  e  i  risultati  della  scienza 
canonistica    da    quelli    della    scienza 
civilistica.    II   mondo   medievale   non 
conobbe,    al    certo,    fratture    siffatte: 
gli  scambi  fra  dottrine  canonistiche  e 
dottrine   civilistiche   furono   continui. 
Cio  rilevato,  non  si  pu6  non  dare  atto 
al    Buisson    di    aver    conseguito    ri- 
sultati veramente  notevoli.  II  volume 
appare   assai   curato   anche    nei    par- 
ticolari. Fra  le  osservazioni  di  minor 
rilievo  che  possono  farsi  a  questo  pro- 
posito,    mi   sia   consentito  di   far   no- 
tare    che    sarebbe    stato    opjxirtuno, 
nell'indice  dei  nomi,  dire  «  Petrus  de 
Bellapertica  »  invece  che  «  Petrus  de 
Bellapartica  »,     come     si     legge     nel 
passo  del   Bohic  riprodotto  a   p.   294 
nota  64. 

Francesco  C.\l.\sso,  /  glossatori  e 
la  teoria  della  sovranita.  Studio  di 
diritto  comune  pubblico,  3"  ediz., 
Milano,  Giuffr^,  1957,  PP  "^xii  -|- 
224. 

Xon  6  certo  necessario  ricordare 
ai  lettori  di  questa  rivista  I'impor- 
tanza  e  il  contenuto  del  libro  del  Ca- 
lasso.  Questa  3*  edizione  si  presenta 
sostanzialmente  immutata  nel  testo, 
pur  se  con  qualche  lieve  modifica  di 
carattere  formale.  Nuova,  opportuna 
ed  estremamente  interessante  e  la 
Presentazione:  vera  biografia,  jier  cosl 
dire,  delle  vicende  del  libro.  Delineata 
in  chiave  di  sereno  colloquio  con  il 
compianto  Mtxrhi  Onory.  la  Pre- 
sentasione  costituiri  dora  in  poi 
un'indisjiensabile  premessa  per  com- 
prendere  appieno  lo  spirito  dell'opera. 


Robert  \V.  e  Alexander  J.  Carlyle, 
//  pensiero  politico  medievale,  a 
cura  di  L.  Firpo,  traduz.  ital.  di 
S.  Cotta,  vol.  I,  Bari,  I.aterza, 
'956,  pp.  XVI  -f-  681;  vol.  II,  Bari, 
Laterza,    1959,    pp.    684. 

L'importanza    dell'opera    dei    fra- 
telli    Carlyle    per    lo    studioso    della 
storia  del  diritto  pubblico  e  del  pen- 
siero politico  non  ha  certo  bisogno  di 
essere  sottolineata.    Frutto  di   mezzo 
.secolo   di    lavoro   I'opera   e   unanime- 
mente    considerata    un    classico    della 
letteratura  storiografica  mondiale.  Le 
ricerchc    che    hanno    preso    le    mosse 
da    questo   grande   libro   sono   ormai 
innumerevoli.    Ancora   a    distanza    di 
tanti    anni    dalla    pubblicazione    del 
1°    volume    (1903)    come    dell'ultimo 
(1936).  la  fatica  dei  Carlvle,  pur  mo- 
strando    talvolta    i  .segni"  del    tempo, 
resta  un  punto  di  partenza  obbligato 
per  lo  storico  del    pensiero    politico- 
giuridico  medievale.  La  problematica 
trattata,  l'impostazione,  la  forma  let- 
teraria  felice  fanno  si  che  I'opera  pre- 
senti,  inoltre,  un  grande  interesse  an- 
che   per    il    lettore    non    specialista. 
Di    qui    I'opportunit^    della    presente 
edizione  italiana  condotta  —  conviene 
dire  subito  —  con  i  criteri  di  seriet^ 
propn    dell'editore     Laterza.     Curato 
da  Luigi  Firpo  (al  quale  dobbiamo  la 
prefazione  e  la  bibliografia)  e  tradotto 
da  Sergio  Cotta,  affidato  cioe  a  mani 
assai  competenti,  il  Iibro  dei   Carlyle 
mantiene   immutato   tutto   il   suo   in- 
teresse  anche   in    veste   italiana. 

Dei  sei  volumi  di  cui  I'edizione  ori- 
guiale  dell'opera  si  compone  sono  gi^ 
apparsi  in  traduzione  integrale  i 
primi  quattro.  Di  questi  i  primi  due 
formano  il  i"  volume  della  traduzione; 
gli  ultimi  il  2".  Xell'edizione  ita- 
liana, peraltro,  si  e  preferito  parlare  di 
sezioni  anziche  di  volumi.  Cosi  il 
I "  volume  consta  di  due  sezioni,  il 
cui  contenuto  ricordiamo  brevemente 
al  lettore.  La  i"  sezione.  intitolata 
«  Le  dottrine  politiche  dai  giuristi  ro- 
mani  del  secondo  secolo  agli  scrittori 
politici  del  nono  secolo  »,  si  divide  in 


'    u 


332 


Bibliografia  di  storia  del  diritto  medievale  e  moderno 


\ 


quattro  parti,  delle  quali  la  prima  e 
introduttiva  (due  capitoli  sul  pcnsiero 
politico    di    Cicerone    e    di    Seneca), 
la  seconda  e  dedicata  ad  alcuni  aspetti 
del   pensiero   giuridico   romano    (con- 
cetto di  diritto  naturalc  e  di  jus  civile, 
schiavitii     e     proprieta,     fonti     della 
autoriti  jwlitica,  esame  delle  conce- 
zioni   politiche   espresse   nelle    Istitu- 
zioni  giustinianee),  la  terza  studia  le 
dottrine   politiche   del   Nuovo   Testa- 
mento  e  dei   Padri   della  Chiesa   (di- 
ritto  naturale,    uguaglianza   e   schia- 
vitii, propriety,  autoritS,  del  sovrano, 
autoriti  e  giustizia,  rapporti  tra  chie- 
sa e  stato),   la  quarta  infine  illustra 
le  principal!  concezioni  politiche  cor- 
renti   intorno   al    IX   secolo,    in    rap- 
porto   soprattutto   al   problema   della 
schiavitii,    alle    fonti    della    autoritk 
regia  e  alia  posizione  del  re  di  fronte 
alia  legge,  alle  relazioni  tra  chiesa  e 
stato.    La    2»   sezione   di    questo    vo- 
lume    I",     intitolata     «  Le     dottrine 
politiche   dei   giuristi   e   dei  canonisti 
romani  dal  decimo  al  tredicesimo  se- 
colo i>,  si  divide  invece  in  due  parti, 
rispettivaniente    dedicate    all'illustra- 
zione    delle    concezioni    politiche    dei 
glossatori  civilisti  edei  glossatori  cano- 
nisti. L'una  e  I'altra  parte  presentano, 
com'e   noto,    il   piii    grande   interes.se 
per    lo    storico    del    diritto    comune. 
Nclla  parte  prima   (nel  cui  titolo  sa- 
rebbe     stato     preferibile     parlare     di 
« glossatori    civilisti  »    invece    che    di 
« giuristi    romani  »)    si    ricostruiscono, 
attraverso    un    diligente    spoglio    di 
quel  che  conserviamo  a  stampa  de- 
gli    scritti    di    Irnerio,    Rogerio,    Pia- 
centino,   Azzone  ed  altri  glossatori,  i 
concetti  di  aequitas,  di  ins,  del  diritto 
naturale,   la  dottrina  della  .schiavitii, 
della    propriety,    della    consuetudine, 
la    problematica    relativa    alle    fonti 
dell'autorita    politica    e    quella    rela- 
tiva  ai   rapporti  tra   potere   ecclesia- 
stico    e    potere    secolare.    Argomenti 
analoghi  formano  I'oggetto  della  parte 
2»,   intesa  invece  a  delineare   le  dot- 
trine politiche  dei  glossatori  canonisti 
fino  alia  metk  del  secolo  decimoterzo. 
Sono  paginc,  come  dicevo,  di  estremo 


intercsse  per  lo  storico  del  diritto 
comune.  Se,  tuttavia,  la  sintesi  dei 
Carlyle  e  ancora  utilizzabile  nelle 
sue  linee  generali,  per  il  resto  essa 
va  sottoposta  ad  un'attenta  revi- 
sione.  Leggendo  questa  sezione,  pub- 
blicata  come  2"  volume  nel  1909, 
ci  si  rende  conto  di  quanti  passi  siano 
stati  fatti  nell'esplorazione  delle  fonti 
giuridiche  dell'eta  dei  glossatori  e  di 
quanta  parte  della  loro  opera  sia 
stata  resa  accessibile  nell'ultimo  cin- 
quantennio.  Ci6  vale  tanto  per  i 
glossatori  civilisti  quanto  per  i  cano- 
nisti. Bisogneri  fare  attenzione  so- 
prattutto alle  attribuzioni  degli  scritti 
utilizzati  dai  Carlyle  —  attribuzioni 
operate  dalla  storiografia  giuridica 
del  secolo  scorso  e  in  piii  di  un  caso 
negate  dalla  critica  di  questo  secolo-; 
e  di  canonisti  e  civilisti  bisognerk 
studiare  il  non  poco  che,  proprio  in 
relazionc  ai  problemi  trattati  in  que- 
sta sezione,  e  stato  portato  alia  luce 
dalla  storiografia  giuridica  piii  re- 
ccnte. 

II  2"  volume  tlella  traduzione  ita- 
liana  comprende,  come  ho  gi^  accen- 
nato,  i  volumi  3"  e  4"  dell'edizione  ori- 
ginale,  ed  6  conseguentemente  diviso 
in  dut  sezioni,  la  3*  c  la  4»  dell'in- 
tera  opera.  Oggetto  della  tratta- 
zione  della  sezione  3*  sono  ancora  le 
dottrine  politiche  dal  decimo  al  tre- 
dicesimo secolo.  Xella  prima  parte 
si  studia  I'influenza  del  feudalesimo 
sul  pensiero  politico.  L'esposizione  si 
articola  in  cinque  capitoli  intitolati: 
la  fedelti  personale,  giustizia  e  di- 
ritto, la  fonte  della  legge,  I'osservanza 
della  legge,  il  feudalesimo  e  la  na- 
zione.  Nella  seconda  parte  si  trovano 
invece  illustrate  Ic  dottrine  dei  se- 
coli  XI  e  XII  quali  furono  formu- 
late dagli  scrittori  piii  specificamente 
politici  c  non  giuristi.  La  .sezione  4*, 
infine,  e  tutta  dedicata  al  problema 
del  rapporti  tra  Papato  e  Impero  dal 
decimo  al  dodicesimo  secolo.  E,  come 
si  ricorderk,  una  sezione  delle  piii 
importanti,  anche  perch6  tocca  il  pe- 
riodo  cruciale  della'  lotta  per  le  in- 
vestiture.   Le  quattro  parti   in  cui  6 


Bibliografia  di  storia  del  diritto  medievale  e  moderno  333 


divisa,    trattano   rispettivaniente    dei 
rapporti   tra   potere   spirituale   e   po- 
tere   temporale     dal     900    al     1076, 
della   lotta  per  le  investiture,  del  con- 
flitto  politico  tra  Papato  e  Impero,  an- 
cora   delle    relazioni    tra    Papato    e 
Impero  dal  1122  al  1177.  In  questa  se- 
zione, ancor  piii  che  in  altre  parti  del- 
I'opera,   l'esposizione  delle  teorie  po- 
litiche   e    accompagnata    da    un    co- 
stante  ricliiamo  ai  fatti  storici  concreti. 
Questo,  per  sommi  capi,  il  conte- 
nuto  dei  primi  due  volumi  della  tra- 
duzione  italiana   della  classica  opera 
dei     Carlyle.     La    pubblicazione    del 
terzo  tomo,  che  conterrk  il  volume  V 
e   parte  del   volume   \'I   dcU'edizione 
inglese,  si  annuncia  imminente.  L'ulti- 
mo    tomo  conterrk  anche,   rifusi,    gli 
indici  analitici  dei  singoli  volumi  del- 
l'edizione originale.   L'opera  sark  cosl 
completata    da    uno    strumcnto    che 
ne  agevoler^  enormemente  la  consul- 
tazione.    Ma   intanto  questa   edizione 
italiana   si   presenta,   rispetto   all'edi- 
zione   originale,    opportunamente   ar- 
ricchita  da  bibliografie  che  in  quella 
mancano    quasi    del     tutto.    Non    si 
puo    non    essere    grati    al    Firpo    per 
aver  voluto  a.ssolvere  un  compito  tanto 
gravoso.    Basterk  ricordare  che  I'ap- 
pendice     bibliografica    del     tomo     !<> 
comprende  le  pagine  567-678;  quella 
del  tomo  2°  le  pagine  609-681.  Circa 
duecento  pagine,  dunque,  di  sola  bi- 
bliografia; e  in  questa  si  trova  ordi- 
nata    la    sterminata    produzione    sto- 
riografica,     anche     recentissima,     re- 
lativa a  tutti  i  problemi  trattati  dai 
Carlyle.    Alcune   omissioni   ed   impre- 
cisioni  erano  inevitabili.  Per  fare  qual- 
che     esempio,     nella     «  Bibliografia » 
del  vol.  I,  a  p.  647,  le  indicazioni  re- 
lative  alia   famosa  opera   del   Ctierke 
sono  poco  precise:  «  Die  publicisti.schen 
Lehren   des  Mittelalters  »  e  infatti   il 
titolo   del   solo   §    11    del   vol.    Ill    di 
Das    deutsche    Geriossensrhaftsrecht,    e 
non    gik    il    titolo   dell'intero   volume 
(«  Die    Staats-und    Korporationslehre 
des     Altertums  und  des   Mittelalters 
und  ihre  Aufnahme  in  Deutschland  »); 
conseguentemente    le    traduzioni    del 


Maitland  e  del  de  Pange  riproducono 
solo    una   parte   del   vol.    III.    Conti- 
nuando   con    gli    esempi,    non    si    ca- 
pisce    perche    la    Bibliotheca    iundica 
Medii  Aevi  sia  citata  sotto  il  nu.  179 
(p.  664)  e  non  sotto  il  nu.  182  (p.  666). 
Ancora   sotto   il   nu.    182,    a   p.    666, 
andavano  maggiormente  precisati  I'og- 
getto e  i  limiti  dell'edizione  (parziale) 
delle     Dissensiones     dominorxim     cur- 
rata   dal    Rossello    rispetto    a    quella 
del    Haenel.    Sempre    nella    « Biblio- 
grafia »   del   vol.    I,   .sotto   il   nu.    192 
(p.    671),    Accorso   fiorentino   e   chia- 
mato    Francesco   Accursio.    Si   e   cosi 
ripetuto    un   errore   gik    messo   in   ri- 
lievo  dal  Savigny:  Accorso  e  confuso 
con  suo  figlio  Francesco.  Sarebbe  stata 
inoltre    preferibile    una    minor    reci- 
cisione  sulle  date  di  nascita  e  di  morte 
del    grande    glossatore.     Nella    «  Bi- 
bliografia »    del    vol.    II,    infine,    sa- 
rebbe   forse    stato    opportuno    detta- 
gliare    maggiormente    le    notizie    re- 
lative   ai    Libri   feudorum    (nu.    291, 
pp.   654-655).   Minuzie,   com'6   ovvio, 
che    segnalo    soltanto    perche    se    ne 
tenga  conto  in  una  eventuale  2»  edi- 
zione. II  compito  —  ripeto  —  era  dei 
pill   difficili   e   le   imprecisioni   segna- 
late    non    intaccano    minimamente    i 
pregi  dell'eccezionale  bibliografia  del 
Firpo. 


Werner  Goez,  Translatio  Imperii. 
Ein  Beitrag  zur  Geschichte  des 
Geschichtsdenhem  und  der  politi- 
schen  Theorien  im  Mittelalter  und 
in  der  friihen  Neuzeit,  Tiibingen, 
J.  C.  B.  Mohr  (Paul  Siebeck),  1958. 
pp.   VII  -I-  400. 

Negli  ultimi  decenni  il  tema  della 
«  Translatio  Imperii  »  ha  attirato  non 
poche  volte  I'attcnzione  degli  storici. 
II  nostro  Martini,  il  Kocken,  il  Post, 
il  Guldenfels,  assai  di  recente  il  van 
den  Baar,  ne  hanno  fatto  oggetto 
di  trattazioni  approfondite.  Nessuno 
di  essi  tuttavia  si  e  spinto  oltre  il 
medioevo.  Quasi  tutte  le  ricerche  pre- 
cedenti  si  arre.stano,  infatti,  all'eti 
di  Innocenzo  III,  o,  come  quella  del 


I     L 
I     J 


334  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


Bibliografia  di  sloria  del  diritto  medievale  e  moderno  335 


Guklcnfels,  si  chiudono  con  Bonifacio 
^'I11.    11   Goez,   invece,  studia  il  pro- 
blema   dalle    sue    origini    sino   al    suo 
esaurirsi.    11    volume   che    segnaliamo 
ha,    dunque,    il    notevole    merito    di 
essere  la  prima  trattazione  comples- 
siva    della    storia    del    concetto    di 
«  Translatio  Imperii  »  e  delle  sue  im- 
plicazioni  politiche.  La  ricerca  prende 
le  mosse  dai  testi  biblici  e  si  chiude 
con  I'eta  moderna.  Con  riguardo  allc 
fonti  da  esaminare  e  utilizzare,  I'au- 
tore,    invece,    si    e    imposto    esplici- 
tamente    un    limite:    le    vicende    del 
concetto    di    « Translatio  »    sono,    in- 
fatti,  ricostruite  soprattutto  nel  pen- 
siero    storiografico    e    negli    scrittori 
politici.    Per   quanto   riguarda   i   giu- 
risti,   che   ci  interessano   piu   diretta- 
mente,   si  deve  dire  cfie  Tattenzione 
loro     rivolta     e    stata     assai     scarsa. 
Anche  quando  il  Goez  se  n'e  preoc- 
cupato,     ha    generalmente    utilizzato 
fonti    gi&    messe    in    evidenza    nelle 
precedenti    indagini.    Malgrado    que- 
sta  lacuna,  il  libro  conserva  un  grande 
interesse    per    lo    storico    del    diritto: 
il    concetto    di    «  Translatio    Imperii  » 
ha    avuto    una    parte    troppo    impor- 
tante    nella    storia    dei    rapporti    tra 
Papato   e    Impero   perche   il   giurista 
possa  disinteressarsi  delle  sue  vicende 
nella    letteratura    storiografica    e    po- 
litica.  Se  mai,  e  ora  da  augurarsi  che, 
partendo   dal   volume   del   Goez,    uno 
storico    del    diritto    intraprenda    una 
analoga  ricostruzione  complessiva  del- 
le  vicende   del  concetto  nel   pensiero 
giuridico. 

II  libro  dello  storico  tedesco  e 
diviso  in  diciannove  capitoli,  segui- 
ti  da  quattro  interessanti  excursus. 
Poiche  non  e  possibile  in  questa  sede 
fame  una  minuta  descrizione,  mi 
limitero  a  segnalarne  genericamente  il 
contenuto  e  a  sottolineare  le  pagine 
piu  importanti  per  lo  storico  del  di- 
ritto. 11  Goez  esamina  i  testi  biblici 
(cap.  1),  le  fonti  romane  (cap.  II), 
le  fonti  deH'alto  medioevo  barbarico 
(cap.  Ill),  il  problema  della  «  Tran- 
slatio »  in  rapporto  all'incoronazione 
di    Carlo    Magno    (cap.    IV),  le  fonti 


dell'etk   ottoniana   e   sveva    (cap.    V- 
VI),  le  origini  della  teoria  nel  pensiero 
curialista   (cap.   \T1),   le  sue  implica- 
zioni  politiche  da  Innocenzo  III  alia 
meti   del   XIV   secolo    (cap.   VllI)    e 
i  suoi  riflessi  nel  pensiero  canonistico 
(cap.    IX),    le    fonti    storiografiche    e 
gli  scrittori  politici  del  tardo  medioevo 
(cap.     X-Xl)     e    dell'etk    umanistica 
(cap.  Xll),  le  fonti  storiografiche  della 
Riforma    (cap.     XIII),    gli    attacchi 
del    pensiero    protestante    alia    teoria 
curialista     della     « Translatio  »     (cap. 
XIV)  e  la  difesa  fattane  dal  pensiero 
cattolico   (cap.   XV),   la  fine  del  con- 
cetto   presso    i    cattolici    (cap.    XVI- 
XVII)    e    presso    i    protestanti    (cap. 
XVI 1 1).    Senibra    avere    una    propria 
autonomia  I'ultimo  capitolo  («  Trans- 
latio  Imperii    unci    die  Auslegung  des 
Buches    Daniel  »),    che    e    seguito   da 
quattro     excursus     dedicati     rispetti- 
vamente   all'idea   di    « Translatio   re- 
ligionis  »,   alle  traduzioni  nelle  lingue 
nazionali  della  formula  latina  »  Trans- 
latio   Imperii  »,    alia    «  Translatio  »  in 
rapporto   alia   sovraniti   popolare,    al 
concetto    nel     pensiero    del     Ranke. 
Ho  gia  fatto  presente  che  il  pen- 
siero  giuridico   resta   sostanzialniente 
estraneo    alia    trattazione    del    Goez. 
L'autore  vi  si  riferisce  solo  nella  mi- 
sura   strettamente   necessaria  per  una 
migliore    intelligenza    dell'esposizione 
complessiva.    Un    esempio    di    utiliz- 
zazione  di  fonti  giuridiche  h  rappre- 
sentato  dal  breve  excursus  (p.  386  ss.) 
sulla    «  Translatio     Imperii  »    in   rap- 
porto   alia     sovranitk     popolare:     un 
tema  centrale  della  speculazione  giu- 
ridico-politica  e   della   storia  costitu- 
zionale.   Ma   anche  in  questo  caso  il 
Goez    utilizza    fonti   giuridiche    messe 
in  evidenza  gii  da   altri   (Mommsen, 
Kocken,    Gierke    ecc).    Ci6    pu6    es- 
sere   rilevato,  in  generale,  anche  per 
il    capitolo    dedicato    alia    teoria    cu- 
rialista  della    «  Translatio  »   nel    pen- 
siero  canonistico    (pp.    188-198).    Qui 
l'autore     ha     dovuto,     di     necessitii, 
ripercorrere   vie  gi^   battute   da  altri 
con   grande  competenza.   Mi  sembra, 
per6,   che,   pur  con  questo  limite,    le 


poche     pagine     dedicate     dall'autore 
ai  canonisti  costituiscano  una  sintesi 
efficace  del  loro  pensiero.  Assai  chiara 
per  esempio,  e  la  critica  del  collega- 
mento,    gii    asserito    dal    Laehr    (ma 
negato    dal    Martini    e    da    altri),    fra 
«  Constitutum  Constantini  »  e  «  Trans- 
latio   Imperii »    (cfr.    le   p.    188   ss.). 
Meno    convincente,    almeno    se    rife- 
rito    ai    soli    canonisti,       il    giudizio 
espresso,  neH'ultimo  periodo  di  p.  iy8, 
sui  decretisti  e  decretalisti  posteriori 
a  quelli  esaminati.  Si  puo  ammettere, 
infatti,  che  essi  ripetano  .spes.so  le  for- 
mulazioni  dei  loro  predecessori  e  che, 
come  dice  il  Goez:  «  Neue  Gedankeii 
sind   nicht   sehr   zahlreich  ».    Ma  I'os- 
servazione    non    puo    forse   estendersi 
in  buona  parte  anche  agli  storiografi 
e  agli  .scrittori  politici?  E  si  farebbe 
bene  a  non  studiarli  per  questa  ra- 
gione?   Almeno   per   quanto   riguarda 
storiografi    e    scrittori    politici,    il    li- 
bro del  Goez  e  fortunatamente  la  pro- 
va    pill    evidente    del    contrario.    In 
realty,   per  quanto  frequenti   possano 
es.sere  le  rijK-tizioni  e  le  formulazioni 
tralatizie,  nessun  settore  del  pensiero, 
giuridico    o    politico    o    storiografico 
che    sia,    si    mantiene    immobile    pur 
mutando  tempi  e  circostanze  storiche. 

Ernst  H.  Kantokowicz,  The  King's 
Two  Bodies.  A  study  in  mediaeval 
political  theology,  Princeton,  N.J., 
Princeton  University  Press,  1957, 
pp.      XVI  +  568. 

I  giuristi  inglesi  dell'eta  elisabet- 
tiana  elaborarono  compiutamente  il 
concetto  della  doppia  natura  del  re 
(«  King's  Two  Bodies  »).  11  re  —  si 
legge  in  alcuni  «  cases  »  di  queU'et^  — 
ha  due  capacita,  in  quanto  ha  due 
corpi:  I'uno,  il  corpo  fisico  o  natu- 
rale,  simile  a  quello  di  tutti  gli  altri 
uomini  e  pertanto  .soggetto  alle  pas- 
sioni  e  mortale;  I'altro,  il  corpo  po- 
litico, non  soggetto  alle  passioni  e  alia 
morte,  e  quindi  trasferibile,  in  caso 
di  morte  del  corpo  fisico  o  naturale, 
ad  altro  corpo  naturale.  La  forma- 
zione  di  questo  concetto,  i  suoi  ante- 


cedenti  medieval!,  le  sue  componenti, 
le  sue  infinite  implicazioni  costitiii- 
scono  I'oggetto  dell'indagine  ilel  Kan- 
torowicz.  «  Such  as  it  now  stands,  — 

avverte     l'autore     (p.    vni  —  ix)     

this    study    may    be    taken    among 
other  things  as  an  attempt  to  under- 
stand   and,    if   possible,    demonstrate 
how,    by   what    means   and   methods, 
certain  axioms  of  a  political  theology 
which  mutatis  mutandis  was  to  remain 
valid    until    the    twentieth    century, 
began    to    be    developed    during    the 
later  Middle  Ages...  This  study  deals 
with  certain  cyphers  of  the  sovereign 
state     and     its     perpetuity     (Crown, 
Dignity,    Patria,   and  others)  exclusi- 
vely from  the  point  of  view  of  pre- 
senting political  creeds  such  as  they 
were  understood  in  their  initial  stage 
and  at  a  time  when  they  served  as  a 
\ehicle  for  putting  the  early  modern 
commonwealths  on   their  own   feet  ». 
I    limiti    di    questa    rassegna    non 
consentono,  purtroppo,  di  dar  conto, 
sia  pure  per  .sommi  capi,   del  conte- 
nuto  di    un'indagine,    gik   per   il   suo 
oggetto,    tanto    importante.    L'opera, 
del  resto,  per  la  sua  stessa  orditura, 
non  soffre  una  descrizione  sommaria. 
La  trattazione  ha  una  struttura,  per 
cosi  dire,  rapsodica:  i  grand!  temi  della 
speculazione   ix)litica,   guiridica  e  re- 
ligiosa    medievale    tornano    costante- 
mente  nel  lungo  discorso  del  Kanto- 
rowicz,  il  piti  delle  volte  in  tutta  la 
loro    complessitk.     Nessun    riassunto 
potrebbe  dare  un'immagine  soddisfa- 
cente   della   ricchezza   e   della    niolte- 
pliciti   dei    motivi    dei    quali    I'intera 
opera  e  intessuta.  Si  puo  soltanto  ri- 
cordare    che    il    Kantorowicz    divide 
la  sua  trattazione  in   nove   parti:    I. 
The     problem:     Plowden's     Reports; 

II.  Shakespeare:    King    Richard    II; 

III.  Christ-centered  kingship  (1.  The 
Norman  Anonymous;  2.  The  frontis- 
piece of  the  Aachen  Crospels;  3.  The 
halo  of  perpetuity);  IV.  Law-center- 
ed kingship  (i.  From  liturgy  to 
legal  science;  2.  Frederick  the  Se- 
cond; 3.  Bracton);  \'.  Polity-centered 
kingship:   Corpus   mysticum    (i.   Cor- 


U       I 


I     L 
I    U 


336  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


Btbliografia  di  storia  del  diritto  medievale  e  moderno  ^^j 


pus  ecclesiae  mysticum;  2.  Corpus 
reipublicae  mysticum;  3,  Pro  patria 
mori);  \'I.  On  continuity  and  corpora- 
tions (i.  Continuity;  2.  Fictio  figura 
veritatis);  \'II.  The  King  never  dies  (i. 
Dynastic  continuity;  2.  The  crown  as 
fiction;  3.  Dignitas  non  moritur);  N'lll. 
Man-centered  kingship:  Dante;  IX. 
Epilogue,  Una  prefazione,  un'introdu- 
zione,  una  serie  di  interessanti  illustra- 
zioni,  una  bibhografia  e  un  prezioso 
indice  analitico  completano  il  libro. 
L'opera  e  diretta  a/  lettori  ecce- 
zionalmente  preparati.  La  comples- 
sit^  della  problematica  e  I'imponenza 
deU'apparato  erudito  ricliiedono  una 
estrema,  costante  attenzione.  Sa- 
rebbe  stato  forse  desiderabile  un  ap- 
parato  erudito  meno  compatto  (ma 
vedi  I'avvertenza  dell'autore  a 
p.  x-xi).  Per  quanto  riguarda  la 
storia  del  diritto,  il  libro  riveste  ec- 
cezionale  importanza,  massime  per 
lo  storico  del  diritto  pubblico  e  della 
persona  giuridica.  La  ricostruzione  del 
Kantorowicz,  infatti,  e  fondata  in 
gran  parte  sul  pensiero  dei  giuristi  me- 
dievali.  Concetti  ed  istituti  giuridici 
dei  piu  complessi  sono  esaminati  o 
ricorrono  pressoche  in  ogni  pagina. 
Da  questo  punto  di  vista  la  fatica  del- 
l'autore 6  stata  ammirevole.  La 
bonta  dei  risultati  rende  irrilevanti  le 
imprecisioni  che  talvolta  si  notano 
e  che,  come  lo  stesso  autore  avverte 
(p.  IX),  sono  in  gran  parte  dovute  alia 
mancanza  di  un  suo  specifico  training 
nel  campo  della   storia   giuridica.    In 


conclusione  si  deve  dire  che  il  Kanto- 
rowicz ci  ha  dato  un'opera  di  alto 
pensiero  e  immensa  erudizione.  Nel 
campo  della  storia  delle  idee  e  del 
pensiero  politico-giuridico  non  sono 
certamente  molte  le  ricerche  alle  quali 
si  puo  riconoscere  pari  profonditi  e 
originality  di  iinpostazione. 


PiETRO  Vaccari,  Stato  e  classi  nei 
paesi  europei.  Saggi  storici,  Milano, 
Giuffrfe,    1957,   pp.   87. 

Nel  volume,  presentato  dalla  Scuo- 
la  Superiore  di  Scicnze  Storiche  u  L.A. 
Muratori  »  di  Verona,  della  quale  il 
Vaccari  e  Rettore,  si  trovano  rac- 
colti  i  seguenti  cinque  saggi:  i.  Uno 
sguardo  alle  origini  del  feudo  e  delle 
classi  feudali;  2.  La  concezione  dello 
Stato  corporativo  medioevale  e  la 
posizione  particolare  dello  Stato  cit- 
tadino  italiano;  3.  L'autoriti  sovrana 
contro  il  potere  della  classe  nobiliare 
nell'Alto  Medioevo;  4.  La  crisi  delle 
classi  nobiliari  nei  paesi  europei  du- 
rante il  XIV  sccolo;  5.  I  lavoratori 
della  terra  nell'Occidente  e  nell'Orien- 
te  dell'Europa  nell'et^  moderna.  I 
saggi,  redatti  —  ad  eccezione  dei 
primi  due  —  in  anni  recenti,  si 
prestavano  assai  bene,  per  il  loro 
oggetto  e  la  loro  ispirazione  uni- 
taria,  ad  essere  riuniti  in  volume. 
II  libro,  per  vero,  costituisce  un'altra 
testimonianza  dell'infaticabile  ope- 
rositk  dell'illustre  studioso  di   Pavia. 


III.  -  STORIA  DEL  DIRITTO  PRIVATO 


L.  GoLDSCHMiDT,  Universalgeschichte 
des  Handelsrechts  [  =  Handbuch 
des  Handelsrechts,  3"  ediz.,  I, 
p.  I,  i],  ristampa,  Aalen,  Scientia 
Antiquariat,  1957,  pp.  xviii  +  468. 

Ristampa  della  celebre  storia  del 
diritto  commerciale  del  Goldschmidt. 
II  contenuto  del  volume  e  stroppo 
noto  perche  debba  farsene  un  sia 
pure   fugacissimo  ricordo.   Pubblicato 


nel  1891,  questo  del  Goldschmidt 
resta  il  libro  dal  quale  si  deve  ancora 
partire  per  una  visione  d'insieme  della 
storia  del  diritto  commerciale.  An- 
che  per  impulso  e  mcrito  del  commer- 
cialista  tedesco,  I'ultimo  settantennio 
ha  visto  tutta  una  fioritura  di  studi 
in  questo  campo.  Le  ricerche  partico- 
lari  non  sono  mancate.  Anche  ne- 
gli  ultimi  anni,  in  Italia  e  fuori,  vari 
istituti  sono  stati  illustrati  in  contri- 


buti  del  piu  alto  valore  (si  pensi,  ad 
esempio,  alle  ricerche  del  Cassandro). 
Si  attende  ancora,  tuttavia,  un  «  nuo- 
vo  Goldscimiidt »:  un  libro  che,  ri- 
goroso  e  precLso  nei  particolari,  sia 
anche  opera  di  sintesi  e  appresti 
una  visione  d'insieme  della  storia  del 
diritto  commerciale  europeo. 

La  storia  del  (Joldschmidt  merito, 
come  si  sa,  una  traduzione  italiana  a 
cura  di  V.  Pouchain  e  A.  Scialoja, 
pubblicata  nel  1913.  La  segnalazione 
di  questa  ristampa  dell'originale  te- 
desco potrebbe,  pertanto,  apparire 
superflua.  La  traduzione  italiana,  fra 
I'altro,  pur  essendosi  fatta  abbastanza 
rara,  non  e  pero  introvabile.  £  tut- 
tavia convincimento  di  chi  scrive  che, 
allorquando  si  utilizzano  opere  stra- 
niere  tradotte,  sia  preferibile  rife- 
rirsi  anche  al  testo  originale.  Con  cio 
non  si  vuole  diminuire  il  valore  e  I'uti- 
lita  delle  traduzioni:  si  vuol  soltanto 
sottolineare  da  un  lato  I'esigenza  di 
un  controllo  della  traduzione  stessa, 
dall'altro  I'opportuniti  che  il  lettore 
straniero  possa  agevolmentc  rintrac- 
ciare  il  pas.so  citato  nel  testo  originale. 

P.S.  Leicht,  Operai,  artigiani,  agri- 
coltori  in  Italia  dal  secolo  17  al 
XVI,  con  una  presentazione  di 
S.E.  Mons.  Celso  Costantini,  ri- 
stampa, Milano,  Giuffre,  1959, 
pp.    VIII  -f-  221. 

Una  opportuna  ristampa  che  atte- 
sta  la  vitality  di  questa  nota  storia  del 
diritto  del  lavoro  nel  Medioevo.  Si 
ricorderi  che  la  trattazione  e  divisa 
in  sei  grandi  parti:  i.  Uno  sguardo  al- 
I'ultima  et^  romana;  2.  Artieri  e  agri- 
coltori  nellet^  longobarda;  3.  l.'etk 
franca  e  feudale;  4.  L'et^  comunale;  5. 
Movimenti  del  pojx)lo  minuto  cittadi- 
no  nei  secoli  XIV-X\':  6.  Condizioni 
delle  classi  agricole  lavoratrici  nel 
Rinascimento.  I  movimenti  rivolu- 
zionari  della  prima  met^  del  sec.  XVI. 
La  crisi  del  Cinquecento. 

Valendosi  della  sua  vastissima  co- 
noscenza  della  storia  del  diritto  pub- 
blico   e    private)    medievale,    I'insigne 


22.  -  H.   I.  I).   R.  -  Vol.  IILXIII. 


studioso  scomparso  riusciva,  nei  tardi 
anni  della  sua  vita,  a  racchiudere  ed 
illustrare  in  questo  volume  di  non 
grande  mole  una  folia  di  problemi  e 
di  notizie  suUe  classi  lavoratrici  me- 
dieval!. La  fatica  non  e  stata  vana: 
chi  voglia  informarsi  rapidamente 
sulla  condizione  sociale  e  sullo  status 
giuridico  delle  varie  categoric  di 
lavoratori  nel  nostro  diritto  inter- 
medio  dovra  far  capo  ancora  e  anzi- 
tutto   al   libro    del    Leicht. 


DoMENico  Maffei,  Caso  /ortuito  e 
responsabilita  contrattuak  nell'eta 
dei  Glossaton.  Saggi.  (University 
degli  Studi  di  Macerata.  Pubbli- 
cazioni  dell'Istituto  di  Esercita- 
zioni  Giuridiche,  vol.  6),  Milano, 
Giuffre,  1957,  PP-  164. 

Scrivo   neU'Avvertenza:   «  I    cinque 
saggi  raccolti  nel  presente  volume  sono 
frutto  di  una  indagine  diretta  a  rico- 
struire  il  concetto  che  i  Glossator!  eb- 
bero  del  caso  fortuito  in  rapporto  alia 
responsabilitk    contrattuale    e    a    dar 
ragione    di    taluni    aspetti    della    loro 
problematica  in  questa  materia...  Va 
da  se  che  non  ho  cercato  di  colmare 
le    lacune    delle    fonti    con    integra- 
zioni  tratte  dal  pensiero  e  dalla  prassi 
giuridica  posteriore  ne,  tanto  meno,  di 
avvalermi,     nell'interpretare     i  risul- 
tati ai  quali  pervennero  i  Glos.satori, 
delle  conclusion!  della   moderna   dot- 
trina  romanistica,  che  pure  ho  tenuto 
present!,    ma    che   avrebbero   potuto, 
incautamente  adoperate,  deviare  dal- 
I'esattavalutazione  del  pensiero  di  quel 
lontani  nostri  giuristi  ».  I  cinque  saggi 
s'intitolano:  1.  Concetto  del  caso  for- 
tuito; 2.  II  rischio  e  pericolo  nel  com- 
modato,  nel  deposito,  nel  pegno  e  nel 
mandato;     3.     Perdita     fortuita     dei 
frutti  e  remissione  del  fitto  nella  lo- 
cazione  dei  fondi  rustic!;  4.  Le  ecce- 
zion!    ai    principi;    5.    La    prova    del 
caso   fortuito.    Seguono   un   indice   di 
tutte  le  fonti  citate  e  un  indice-som- 
mario. 

Per  una  approfondita  valutazione 
critica  di  questa  mia  ricerca  si  vedano 


^ 


338  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


Btbliografia  di  storia  del  diritto  medievale  e  moderno  339 


le  recensioni  di  G.  I.  Luzzatto,  in 
«IVRA»,  IX  (1958),  pp.  169-174; 
e  di  H.  Lange,  in  «  Tijdschrift  voor 
Rechtsgeschiedenis  »,  XXVII  (1959), 
PP-    350-356. 

PiETRO  Vaccari,  Introduzione  storica 
al  vigente  diritto  privato  italiano, 
Milano,    Giuffre,     1957,    PP-    208. 

La  nota  «  Introduzione  0  del  Vac- 
cari e  ripresentata,  in  questa  ristampa, 
sostanzialmente  immutata  nel  testo 
(pur  se  con  qualche  modificazione  ed 
integrazione  bibliografica),  ma  in  as- 
sai  migliore  veste  tipografica.  Si 
ricorderi  che  ii  libro  fu  pubblicato 
nel  1949,  e  che  fu  accolto  con  niolto 
favore.  A  meno  di  dieci  anni  dalla 
prima  edizione  conserva  tutta  la  sua 
utility. 

La  trattazione  si  articola  in  tre 
grandi  parti,  divise  a  lore  volta  in 
capitoli.  La  prima  parte  s'intitola 
<i  La  formazione  del  diritto  italiano  » 
e  pu6  considerarsi  una  sintesi  degli 
aspetti  pill  significativi  della  nostra 
storia  giuridica  medievale.  Diritto  ro- 
mano  e  diritto  germanico  nel  Medioevo 
italiano,  la  formazione  del  diritto 
statutario  e  la  decadenza  del  diritto 
longobardo  nell'ltalia  settentrionale, 
il  diritto  romano  come  sistema  di  di- 
ritto pratico,  I'ltalia  meridionale  nella 
storia  giuridica  medievale,  I'apogeo  del 
diritto  romano-comunee  la  formazione 
del  diritto  romano-canonico,  la  scuola 
giuridica  italiana  nell'et^  umanistica: 


sono  questi  i  principali  fra  i  molti  ar- 
gomenti  illustrati nella  prima  parte.  La 
seconda  parte,  intitolata  invece  «  II 
diritto  nelle  fonti  ileH'et^  moderna  », 
e  piu  specificamente  dedicata  alia 
storia  del  diritto  privato,  visto  nella 
legislazione,  nelle  consuetudini,  nella 
dottrina  e  nella  giurisprudenza,  a 
partire  soprattutto  dal  secolo  XVI. 
Cos!  il  1"  capitolo  tratta  del  regime 
giuridico  delle  persone  e  della  fami- 
glia,  il  2°  e  dedicato  al  diritto  delle 
successioni,  il  3"  ai  diritti  reali,  il 
4"  al  diritto  delle  obbligazioni.  Gli 
istituti  e  i  problemi  esaminati  o  an- 
che  appena  accennati  sono  innume- 
revoli.  II  compito  era  assai  difficile. 
Come  si  sa,  la  storia  del  diritto  ita- 
liano nell'etk  moderna  6  stata  assai 
negletta.  Chi  voglia  disegnarne  le 
grandi  linee,  non  pu6  giovarsi  che  di 
poche  ricerche  particolari.  fc  perci6 
non  ultimo  merito  del  N'accari  aver 
voluto  darci  un  quadro  d'insiemc  della 
disciplina  giuridica  dei  principali  isti- 
tuti privatistici  nei  secoli  a  noi  piu 
vicini  e  pur  tuttavia  meno  indagati 
dalla  storiografia  giuridica.  La  me- 
desinia  osservazione  devc  farsi  a  pro- 
posito  dell'ultinia  parte  del  volume 
intitolata  «  La  giurisprudenza  delle 
corti  ».  I)i  questo  significativo  fi- 
lone  della  nostra  storia  giuridica  non 
si  sa  molto.  P.  altro  merito  del  \'ac- 
cari  I'averne  .sottolineata  I'inipor- 
tanza  per  la  formazione  del  nostro 
diritto  ed  aver  dato  una  prima  mes.se 
tli   indicazioni  essenziali. 


IV.  -  STORIA  DEL  PROCESSO 


(ii'iDo  Rossi,  Consilium  sapientis 
iudiciale.  Studi  e  ricerche  per  la 
storia  del  processo  romano-canonico, 
I  (Secoli  XII-XIII)  jSeminario 
Giuridico  dell'Universitk  di  Bo- 
logna, XVIII],  Milano,  Giuffre, 
'9.58,    pp.    337. 

Non  si  puo  certo  afiermare  che  la 
storiografia  giuridica  degli  ultimi  anni 


abbia  studiato  di  frequente  gli  istituti 
del  processo  romano-canonico.  Questo 
importantissimo  settore  della  nostra 
storia  giuridica  da  qualche  tempo 
sembra  attirare  a.ssai  poco  I'atten- 
zione  degli  storici  del  diritto  medie- 
vale. Le  numerose  e  spesso  pregevoli 
ricerche  opndotte  dalla  storiografia 
anteriore,  .soprattutto  italiana  e  te- 
desca,  solo  di  rado  sono  state  riprese. 


II  pill  delle  volte,  per  lumi  sui  singoli 
istituti,  bisogna  far  capo  ad  indagini 
assai    invecchiate. 

Un  primo  merito  della  fatica  del 
Rossi  h  costituito,  dunque,  proprio  dal 
suo  oggetto,  dall'aver  voluto  e  saputo 
ricostruire  la  storia  di  un  istituto  del 
diritto  processuale  romano-canonico: 
un  istituto,  conviene  aggiungere,  dei 
pill  significativi  del  nostro  diritto  me- 
dievale. L'opportuna  scelta  del  tema 
e  stata  poi  seguita  da  una  ricerca  at- 
tentissima  condotta  sulle  fonti  do- 
cumentarie,  statutarie  e  dottrinali 
dei  secoli  XII  e  XIII.  Ae  e  ri.sultato 
un  libro  ricco  di  sfumature,  preciso 
nei  particolari,  privo  di  incaute  ge- 
neralizzazioni,  nel  quale  sono  dise- 
gnate  le  origini  e  le  prime,  ma  decisive, 
vicende  del  «  consilium  sapientis  iudi- 
ciale ». 

I  frutti  della  lunga  e  coniplessa 
indagine  del  Rossi  hanno  trovato  as- 
setto  in  sei  capitoli,  seguiti  da  un 
esemplare  indice  alfabetico  e  da  un 
dettagliato  indice-sommario.  Nel  cap. 
I  I'autore  esamina  il  problema  delle 
origini  dell'istituto.  Come  e  noto,  se 
parte  della  precedente  storiografia 
si  era  schierata  per  I'origine  germanica 
del  consilium  sapientis  iudiciale  (vedi 
segnatamente  Picker,  Chiovenda  e 
Kantorowicz),  altri  invece  ne  avevano 
sottolineato  la  derivazione  romana. 
Che  le  origini  del  consilium  debbano 
essere  individuate  « in  consuetudini, 
concetti  ed  istituti  propri  del  sistema 
giuridico  romano  »  (p.  31)  e  tesi  ora 
sostenuta  molto  vivacemente  anche 
dal  Rossi,  in  parte  con  argomenti  pro- 
pri, in  parte  utilizzando  le  prove  che 
a  tal  fine  erano  state  portate  dalla 
storiografia  anteriore  e  in  particolare 
dal  Checchini.  La  dimostrazione  della 
derivazione  romana  dell'istituto  6 
molto  ben  condotta  e  non  un  solo 
argomento  e  stato  trascurato  dall'au- 
tore  per  rendere  la  sua  tesi  piu  con- 
vincente.  Se  mai  la  vivacitk  dell'ar- 
gomentazione  ha  portato  il  Rossi,  da 
un  lato  ad  accentuare,  in  modo  forse 
eccessivo,  le  origini  romane  dell'isti- 
tuto,   dall'altro,    mi    sembra,    a    non 


.sottolinearne  adeguatamente  I 'origi- 
nality come  creazione  tipica  del  no- 
stro diritto  medievale.  II  rilievo,  ptral- 
tro,  appare  superato  da  quanto  si  legge 
nelle  pagine  successive  e  piu  preci- 
samente  da  quanto  I'autore  .scrive, 
prima  a  proposito  delle  ragioni  pra- 
tiche  che  motivarono  I'introduzione 
dell'istituto  «  nella  vita  proce.ssuale 
dei  secoli  dodicesimo  e  tredicesimo  » 
(p.  31  ss.,  ove  sono  ri pre.se  in  parte 
osservazioni  dellEngclmann  ),  jxji  con 
riguardo  agli  apporti  della  Scolasti- 
ca  e  in  generale  della  cultura  medie- 
vale alia  formazione  del  concetto  di 
consilittm  sapientis  (p.  48  .ss.). 

Chiusa  la  trattazione  relativa  alle 
origini    dell'istituto,    il    Rossi    —    nel 
cap.  II  —  passa  a  .segnalart  una  serie 
di  documenti  del  sec.   XII  che  testi- 
moniano  I'esistenza  di  una  cla.sse  di 
sapientes    e    ci    illuminano    sui    limiti 
della  collaborazionc  da  e.ssi   prestata 
al  giudice.   A  questo  propostito  I'au- 
tore formula  alcune  interessanti  consi- 
derazioni  sulle  differenze  tra  la  situa- 
zione  presentataci  dai  documenti  del 
XII  secolo  e  quella  invece  nfiessa  nei 
documenti  del  secolo  XIII  (pp.  73-4). 
Nei  documenti  del  XII  secolo  la  col- 
laborazionc dei  sapientes  h  attestata, 
infatti,    in    modo    soltanto    generico, 
con  la  formula  habito  consilw  sapien- 
tum;    in   quelli   del   secolo  successivo, 
invece,    «  la    presenza    del    consilium 
sapientis   prende   corpo   ed   e.sce   dal- 
I'anonimo:  il  nonie  di  coloro  che  pre- 
stano     il     consiglio     viene     specifica- 
mente  rammentato   ed   il    tenore   del 
consiglio  stesso  comincia  a  stendersi 
nel  corso  del  documento.  Si  profila  cioe 
una   nuova   situazione  »    (p.    74).    I^a- 
rimenti    interessanti    sono    le    osser- 
vazioni,   contenute    in    questo    stesso 
capitolo,    relative    al    consilium    nelle 
forme    del    colloquium    (p.    78    ss.)    e 
come    atto    processuale    nella    lette- 
ratura  notarile  della  prima  met^  del 
secolo  tredicesimo   (p.    81    ss.). 

II  cap.  Ill  e  inte.so  a  ricostruire  e 
ad  esporre  i  «  fondamenti  concet- 
tuali  »  dell'istituto.  Impresa  certo 
non     facile,     poiche,     come     nota     lo 


'    u 

I    u 


340  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


stesso  autore  (p.  103),  il  consilium 
sapientis,  per  esser  nato  ed  esscrsi 
sviluppato  nella  pratica,  « e  istituto 
che  soffre  con  difficoltk  una  sistema- 
zione  teorica  unitaria,  mentre  piii 
agevolmente  si  acconcia  ad  essere 
studiato  attraverso  le  varietk  della 
casistica  ».  Le  difficolta  di  una  rico- 
struzione  unitaria  sono  state,  tutta- 
via.superate  in  modo  soddisfacente  dal 
Rossi.  La  problematica,  tutta  assai 
(lelicata,  relativa  alia  natura  del 
consilium  e  assai  ben  luineggiata.  Si 
vedano  soprattutto  le  piigine  sui  rap- 
porti  tra  sentenza  e  consilium,  e 
ancora  quelle  sulla  obbligatoriet^  del 
consilium  considerata  dal  punto  di 
vista  rispettivamente  del  diritto  co- 
mune   e   del   diritto   statutario. 

Nel  cap.  1\'  e  disegnato  invece  un 
profilo  dell'istituto  quale  si  atteggio 
nella  dottrina  e  nella  legislazione  sta- 
tutaria  del  secolo  XIIL  11  Rossi  esa- 
mina  tutta  una  seric  di  problenii  par- 
ticolari,  ricostruendo  le  soluzioni  che 
di  essi  furono  date  dagli  statuti  e  dalla 
dottrina.  Cosi,  per  non  fare  che  degli 
esempi,  la  problematica  e  la  regola- 
mentazione  pratica  deH'animissibilita 
del  consilium  (a  richiesta  del  giudice  o 
a  richiesta  delle  parti);  dell'obbligo 
fatto  al  giudice  di  richiedere,  in  ta- 
luni  casi,  il  consilium;  della  scelta  del 
sapiens  e  requisiti  di  questo;  della 
possibilitci  di  ricusarlo;  del  giuramento 
del  sapiens;  della  forma  e  del  contc- 
nuto  del  consilium;  della  obbligatorie- 
th.  del  consilium  e  question!  relative 
(le  differenze  tra  diritto  comune  e  le- 
gislazione statutaria,  a  proposito  del- 
I'obbligatorieti,  sono  ancora  dise- 
gnate  dal  Rossi  in  modo  chiaro  ed 
efficace).  Strettamente  conncssi  con 
i  problenii  trattati  nel  cap.  IV  si 
rivelano  quelli  esaminati  nel  cap.  V, 
che,  com'e  indicate  dal  titolo,  ha  per 
oggetto  la  responsabiliti  del  giudice  e 
del  sapiens.  L'autore,  dopo  aver  pre- 
niesso  alcune  osservazioni  di  carattere 
generale  sulla  respon.sabilita  civile  e 
penale  del  giudice,  precede  ad  un'il- 
lustrazione  tlettagliata  di  quella  stessa 
rcsponsabilita    nel    ca.so    dei    procedi- 


menti  condotti  con  I'intervento  del 
sapiens  (difformita  della  sentenza  dal 
consilium;  accoglimento  del  consi- 
lium contra  ius  ecc).  Sussidiaria,  ri- 
spetto  a  quella  diretta  del  giudice,  era 
la  responsabilit^  del  sapiens,  giacch6, 
come  nota  raut(jre  (p.  257),  «  respon- 
sabile  in  modo  diretto  era,  comunque, 
il  giudice  che  aveva  pronunciato  la 
sentenza  fondata  sul  consilium  ini- 
quum;  e  quindi  contro  di  lui  si  ri- 
volgevano  di  norma  I'accusa  nel 
procediniento  di  sindacato  e  gli  altri 
rimedi  previsti  dallo  statute.  Se  poi 
il  giudice...  uscixa  indenne  da  tali 
procedimenti,  proprio  a  causa  della 
emergente  rcsponsabilita  del  sapiens, 
la  parte  danneggiata  poteva  agire 
contro  questi  davanti  al  magistrate 
ordinario  ».  In  ogni  case,  secondo 
un'osservazione  gik  dell'Engehnann,  il 
giudice,  conclusosi  il  giudizie  di  sin- 
dacato, poteva  esperire  un'azione  di 
regresso    nei    cenfronti    del    sapiens. 

Chiudc  il  volume  il  capitole  VI 
dal  titole  *  II  consilium  sapientis  cenie 
tramite  fra  la  claborazione  dottrinale 
e  la  prassi  del  fore  e  come  fattore  di 
positive  influenze  sull'amministrazio- 
ne  della  giustizia  ».  Indaginc,  per 
vero  molto  difficile,  in  quanto,  com'e 
note,  i  consilia  e  mancano  di  moti- 
vazione  ovvere  sono  insufficicnte- 
mente  motivati.  11  Rossi,  tuttavia, 
attraverso  I'esanie  di  un  netevole  nu- 
niero  di  consilia,  cosi  di  diritto  so- 
stanziale  come  di  natura  processuale, 
e  riuscito  a  pervenire  alia  conclusione 
che  <i  i  consilia  iudicialia,  nonostante 
la  scarsitk  di  segni  rivelateri,  costi- 
tuirono  indubbiamente,  nel  secolo 
della  Glossa,  un  sicuro  tramite  fra 
le  claborazione  dottrinale  ed  il  fore, 
un  positive  fattore  nella  erogazione 
della  giustizia  »   (p.    294). 

Questo  per  sommi  capi  il  conte- 
nuto  deH'opera  del  Rossi.  Dope  quanto 
si  e  detto  non  eccorre  certe  insistere 
ancora  sui  suei  pregi.  Si  tratta  di 
un  contribute  alia  nostra  conoscenza 
del  diritto  processuale  medievale,  del 
quale  bisognerk  d'ora  in  avanti  tener 
conto.    La   ricerca   c   stata    fatta    con 


} 


<    .  * 


Bibliografia  di  storia  del  diritto  medievale  e  moderno  341 


grande  scrupolo  e  buon  metodo, 
utilizzando  soprattutto  le  fonti  iJlite, 
ma  non  trascurando  qualche  fonte 
inedita.  Documenti  e  statuti  non  sono 
citati  alia  rinfusa,  come  purtroppo 
accade  spesso  di  vedere,  ma  rispet- 
tando  la  crenologia.  Lo  stesso  puo 
rilevarsi  per  la  dottrina:  in  questo 
libro  non  si  trovano  «  affastellati  » 
in  nota  Irnerio  e  il  Menochio,  il 
Piacentino  e  Giason  del  Maine,  come 
parimenti  ci  e  occorso  spesso  di  no- 
tare  anche  in  scritti  recenti,  che  perci6 
stesso  —  conviene  aggiungere  — 
potranno  essere  utilizzabili  come 
♦  trattati  di  diritto  comune  »  (ma 
perche,  allora,  non  servirsi  di  quelli 
antichi,  assai  migliori?),  ma  non  come 
opere    storiograficamente    valide.     II 


Rossi    ha    invece    utilizzato,    come    il 
buon    metodo    vuole.    quasi    esclusi- 
vamente  i  giuristi  del  periodo  consi- 
derate,   citando    solo    di    rado    quelli 
posteriori.    Questa    esigenza    h    rive- 
lata    anche    dall'opportuna    segnala- 
ziene  della  data  di  morte  (e  di  altra 
data    indicativa)    di    ciascun    giurista 
ricordato    (faccio   rilevare   incidental- 
mente  che  la  data  di  morte  di  Joannes 
de  Deo  va  corretta  in  1267,  15  marzo: 
cfr.   A.D.  de  Sousa   Costa,    Urn  me- 
stre   portuguSs   em   Bolonha   no   seculo 
XIII,    Joao    de    Deus,    Braga    1957, 
p.    40-41).    6   da    augurarsi,    dunque, 
che  I'opera  trovi  presto  il  sue  compi- 
mento    nelle    ricerche    sui    secoli    se- 
guenti,     che     l'autore     annuncia     in 
questo     prime     volume. 


V.  -  RACCOLTE  DI  SCRITTI 


Aldo  Checchim,  Scritti  giuridici  e 
storico-ginridici,  pubblicati  a  cura 
della  Facolti  di  Giurisprudenza 
deU'Universit^  di  Padova,  Padova, 
CEDAM,  1958,  3  volumi  di  com- 
plessive    pp.    xvi  +  996. 

Pur  se  numerosi  scritti  non  so- 
no stati  inclusi  nella  presente  rac- 
colta,  questa  tuttavia  centiene 
gran  parte  dell'epera  dell'illustre  au- 
tore. Si  deve  pertanto  essere  grati 
alia  FacoltA  giuridica  dell'Ateneo 
padovano  d'aver  volute  curare  la 
pubblicazione  di  questi  tre  volumi, 
rendendo  cosi  facilmente  accessibili 
una  serie  di  studi  ermai  spesso  intro- 
vabili. 

I  centributi  del  Checchini  alia 
storia  del  diritto  italiane  e  al  diritto 
ecclesiastico  sono  troppo  noti  perch6 
sia  necessario  fame  dettagliata  men- 
zione  in  questa  sede.  Ricordereme 
che  nel  volume  prime  sono  stati 
riuniti  i  molti  .saggi  dellautore  in 
tema  di  metedelegia  e  di  teeria  gene- 
rale  del  diritto,  di  storia  delle  fonti 
e  di  storia  del  diritto  pubblico.  Sono 
undici    scritti,    per   la    maggior   parte 


di  natura  metodologica,  dei  quali  gio- 
verk  ripctere  i  titoli:    i.   Sui  rapporti 
fra  storia  giuridica  e  dogmatica  giu- 
ridica; 2.  11  diritto  e  lo  state;  3.  Vec- 
chi  e  nuevi  metodi  della  storiografia 
giuridica;  4.  11  metodo  di  esposizione 
della  storia  giuridica  italiana;  5.  Sto- 
ria   della    giurisprudenza    e    interpre- 
tazione  della   legge;   6.   Studi  sterico- 
critici  sulla  <-  Interpretatio  »  al  Cedice 
Teedosiano;   7.  Un  giudice  del  secolo 
decimeterze:    Albertane    da    Brescia; 
8.    I    fondi   militari    remano-bizantini 
censiderati  in  relazione  con  Tariman- 
nia;     9.     Interpretazione     storica     di 
Marsilie;     10.     L'unit^    fondamentale 
della    storia    del    diritto    italiane;    11. 
Premesse    steriche    all'unit^    politica 
europea. 

II  secondo  volume  si  compene 
invece  di  otto  scritti,  fra  i  quali  lo 
studiose  di  storia  del  precesso  tro- 
vcrk  cinque  important!  studi  del 
Checchini  sui  ♦  consiliarii »,  sui  «  boni 
homines »,  suU'ordinamente  proces- 
suale romano,  sull'origine  delle  istitu- 
zioni  processuali  della  Sardegna  me- 
dievale e  ancora  suU'ordinamente  pro- 
cessuale  romano    nellalto    medieevo. 


/    o 


342  Bibliografia  di  storia  del  diritto  medievale  e  moderno 


Bihliografia  di  storia  del  diritto  medievale  e  moderno 


Gli  altri  tre  saggi  sono  dedicati  alia 
storia  del  diritto  private  ed  in  par- 
ticolarc  alia  « divisio  inter  liberos  » 
nei  piii  antichi  documenti  medioevali 
italiani,  al  trasferimento  della  pro- 
priety e  costituzione  della  servitii 
nel  diritto  romano  postclassico,  in- 
fine  alle  origini  e  storia  del  contratto 
di    assicurazione. 

L'ultimo     volume,    il    terzo,     im- 
portante    soprattutto    per    I'ecclesia- 
sticista,    interessa   tuttavia   anche    lo 
storico  del   diritto.   Vi  si   leggono  sei 
scritti     di    diritto    ecclesiastico,     nei 
quali    sono    prevalentemente    trattati 
problemi    di    teoria    generale    relativi 
alia  disciplina.  La  lunga  e  complessa 
«  Introduzione    dommatica   al    diritto 
ecclesiastico    italiano »    e    seguita    da 
cinque     saggi     sull'ordinaniento     ca- 
nonico     nel     diritto     italiano,     suUa 
Santa  Sede,  la  Chiesa  e  I'ordinamento 
canonico     nel    diritto    internazionale 
pubblico   e   privato,   ancora   sui   rap- 
porti    tra    ordinamento    canonico    e 
diritto  internazionale  privato,  su  Stato 
e  Chiesa  dallo  Statuto  albertino  alia 
Costituzione  repubblicana,  sul  matri- 
monioconcordatarionelsistema  legisla- 
tive e  nella  pratica  giurisprudenziale. 
La  ricchezza  dei  tre  volumi  non  e 
certo    rivelata    da    questa    segnala- 
zione  tanto  inadeguata.   I  contributi 
dell'insigne    docente    dell'Ateneo    pa- 
dovano   interessano    non    soltanto    lo 
storico  del  diritto  italiano,  ma  anche 
Tecclesiasticista    e    il    romanista.    In 
questa     sede     bisogneri     sottolineare 
soprattutto    I'importanza    delle    non 
poche  pagine  romanistiche  del  Chec- 
chini:    I'averle   riunite   gioverk   molto 
soprattutto  alio  storico  del  processo 
romano. 


Scritti  in  memoria  di  Sergio  Mochi 
Onory,  Milano,  Fondazione  Sergio 
Mochi  Onory  per  la  storia  del  di- 
ritto italiano,  1958  (Biblioteca 
della  Rivista  di  storia  del  diritto 
italiano,   vol.   XXI),   pp.   488. 

II    volume    onora    degnamente    la 
memoria  del  compianto  Sergio  Mochi 


343 


Onory.  II  \iora  ha  disegnato  un 
commosso  profile  deiruemo  e  delle 
scienziato.  Ventisci  fra  celleghi,  amici 
e  discepoli  hanno  offerto  una  serie 
di  studi  di  grande  interesse  per  gli 
sterici    del    diritto. 

Lo   scritto   del    V'iora   e   inimedia- 
tamente    .seguite    dai    contributi    di 
due    maestri    della   storia   del    diritto 
canonico:     il    prime,     di    Gabriel     Le 
Hras,  e  intitolate  «  Le  droit  classique 
de    I'Eglise    centre    la    puissance    ar- 
bitraire  »;     il     secende,     di     Stephan 
Kuttner,    «  The  collection   of  .\lanus: 
a  concordance  of  its  two  recensions  ». 
Hanno  poi  centribuito  al  volume  quasi 
tutti    gli   storici    del    diritto    italiano: 
il   Leicht  ha  studiato  I'omaggie   feu- 
dale  in  Italia,  il  Pivane  I'erigine  del 
contratto    di    precaria,    il    Trifone    il 
« privilegium     primipilare  «>,     il     Vac- 
cari     r«  accomendacio »     e     la     « se- 
cietas  »  negli  atti  dei  notai  liguri  del 
secole  XIII,  il  Viscenti  i  «  de  civitate  ■>, 
il   Barni   I'arimannia  di   Recce,    il   de 
\ergottini     la     comitatinanza     nello 
stato    della    Chiesa,    il    Marengiu    la 
conceziene    della    sovraniti    di    Rug- 
gero  II,  il  Mor  la  divisione  in  paragrafi 
delle    leggi    del    Uigesto,    il    Nasalli 
Rocca  le  « ingressazioni  »  nella  Emilia 
occidentale,  il  Rasi  le  formalita  nella 
celebraziene     del     matrimonio     e     il 
Concilie  di  Trente,   il  Rota  rinflus.so 
civilistico  nella  conceziene  delle  state 
di  Giovanni  di  Salisbury,   la  Zanetti 
il     carattere     canonico     AeWaequitas 
nella      letteratura     civilistica      preir- 
neriana,    I'Astuti    il    principle    «  Pro- 
messe   de  vente  vaut  vente  »,   il   Bo- 
gnetti  il  peso  della  tradizione  longo- 
barda  e  della  politica  bizantina  nelle 
origini  del  ducato  di  Speleto,   il  Ca- 
vallari     una     « coniuratio  »     Veronese 
del  X  secolo,  I'Era  la  personality  dei 
primi  dieci  inquisitori  del  S.   Ufficio 
in    Sardegna,    il    Masi    alcuni    usi    di 
guerra   nell'et^  comunale,    il   Calasso 
il  concetto  di  causa  legis  nel  diritto 
comune,    il   Gualazzini  alcuni   aspetti 
della    politica    frumentaria     dei     co- 
muni   medievali,   il  Giardina  il  capi- 
tolo    184    dell'Editto    di    Rotari,     il 


*   il 


,v    *, 


I. 


Bussi  la  liberty  nel  pensiero  del  giu- 
rista  tedesce  Henning.  Chiude  que- 
ste  interessante  volume  un  lunge 
studio  di  Giuseppe  Forchielli  sul- 
ramministraziene  dei  vescevadi  va- 
cant! nel  diritto  bizantino  sine  ad 
Andronico    (13 12). 

Etudes  d'histoire  dii  droit  prive  oj- 
fertes  a  Pierre  Petot,  Paris,  Li- 
brairie  G6n^rale  de  Droit  et  Juri- 
sprudence,   1959,    pp.    XVI  +  632. 

Un'impenente  raccelta  di  studi 
storice-giuridici  dedicata  ad  un  mae- 
stro della  disciplina.  I  contributi  — 
per  I'esattezza,  cmquantatre  —  sono, 
con  poche  eccezioni,  tutti  di  storia  del 
diritto  privato.  Si  tratta,  nella  mag- 
gioranza  dei  casi,  di  ricerche  parti- 
colari  cendette  con  riferimento  a 
tempi  e  territori  ben  delimitati,  ed 
interessanti  principalniente  la  storia 
giuridica  francese.  Qualche  scritto 
riguarda  la  storia  del  diritto  di  altri 
paesi  europei,  e  anche  di  paesi  extraeu- 
ropei.  Non  pochi  saggi.  infine,  in- 
teressano la  storia  giuridica  eurepea 
in   generale. 

Fra  questi  ultimi  bisogneri  ri- 
cerdare,  eltre  gli  scritti  del  Le  Bras 
(« Naissance  et  creissance  du  droit 
priv6  de  I'Eglise »)  e  del  Feenstra 
(« Theories  sur  la  responsabilit6  ci- 
vile en  cas  d'hemicide  et  en  cas  de 
lesion  cerporelle  avant  Grotius »), 
soprattutto  quelli  del  Boy^,  del 
Dauvillier,  di  Marcel  David,  del 
Dument,  del  Ganshof,  del  Garrisson, 
del  Gaudemet,  del  Grand,  del  Kalifa, 
del  L^vy-Bruhl,  deH'Ourliac,  del 
Pallasse.  del  Richardet,  del  Reussier, 
del  Sanchez- Albernoz,  di  G.  Sautel  e 
M.    Beulet-Sautel.    del    Vaccari.    Tre 


contributi,  della  Cam,  del   Vanecek  e 
del   Matuszewski,  trattano  di   aspetti 
particolari     della     storia     rispettiva- 
mente  del  diritto  inglese.  del  diritto 
ceco  e  del  diritto  polacce.  Gli  scritti 
relativi  alia  storia  giuridica  di    paesi 
extraeurepei   sono  invece  di   Yvonne 
Bengert    (<,  Note    sur    re.sclavage    en 
droit   khmer   ancien  »)    e   di   Fr6d6ric 
Joiion   des   Longrais  («  Un  ceutumier 
maritime  japonais  ni6di6val  »).  mentre 
Yvan    Debbasch    ha    illustrate    una 
pagina  di  storia  del   diritto  celoniale 
francese   («  Les  associations  serviles  k 
la     Martinique     au     XIX'     .si6cle»). 
11  numero  piii  rilevante  di  contributi. 
infine,    e    relative    —    come    ho    gii 
detto  —  ad  istituti.  moment!  ed  aspet- 
ti della  storia  giuridica  francese:  cosi 
quelli    dell'Aubenas,    del    Beyer,    del 
Brejon    de    Lavergn^e,     di    Georges 
Chevrier,    del    Didier.  del    Duby,    del 
Filhol.  del  Garaud,  del  Gut,  di  Georges 
Hubrecht.    dell'Imbert,    del    Lemari- 
gnier,    del    Lepointe,     del    L<5\y,    di 
Jehan   de   Malafosse,   del   Perrin,   del 
Portemer,    del    Provost,    del    Sicard, 
del    Tessier,    del    Timbal.    del   Tisset] 
del    \'andenbossche.    del    Viala.    del 
Villers  e  di  Jean  Yver.  In  parte  inte- 
ressanti  la   storia   giuridica   francese. 
in    parte    quella    belga,    seno.    infine] 
gli    scritti    di    Roger    \'an    Caenegem 
(«  Les  appels  flamands  au  parlement 
de  Paris  au  meyen  age  »)  e  di  John 
Gilissen    (« Le   privilege   du   cadet  eu 
droit  de  mainet6  dans  les  coutumes 
de    la    Belgique    et    du    Nerd    de    la 
France  »). 

Un  volume,  insomma,  che  apperta 
un  contribute  sestanziale  alia  nostra 
conescenza  della  storia  del  diritto 
privato  e  che  onora  assai  degnamente 
Pierre  Petot. 


I       J       I   I 

U       I    L     U 


I       Mate  »,  par  H.   K,  ,,k„s,  ,I,u,s  .l«^.((.s/,„,a„„,  \  ni,  19:)8,  L'07-280. 

.U.r„/„nvLT   I         ./i"'?    '"/'''"  '■^""""  ■^'"''•''■"  """•"""  /"■'•  "  '-''-  --  "  Arch,.o 
kua.  st,o  ,n  ulra.uqu,.  ,,arten,  „  u.ais  non  d„  «  1>  ....cl.s.  j.otostal..  „.       A.   ,1.   V. 

^^?I    K^^xf "''' "  '''"':/:'"'''^*-  '^  S<-"'y  i"  Mediaeval  Political  Tl„.,.l„.v,  ,.ar  Ernst 

du'''r:,r;!;.;so;":':',  ""  '^'  "^"'^  '^'«"  »-'^--  '^  •'-  I>--  «  >-  J-x  perso„nes 
I'i'-n  le    ens    eo.f  '''"V-"'"'"  ""*  ^^  P'Tso.me  morale.  Toulelois,  si  ello  rend  asse. 

...ode'  of  U.inkinl  ,'  7n,"r  'r'""''  ^^  ^'"''''^  ""  ^^ '  "^■^'-•.  '-'^  ^'o  *  corporational 
oonnaissaieiK    sif,      '  •      ''"'■l'"''.'"".'  P'^rsonne  morale,  que  les  juristes  remains 

une  seulo  •  «  The  I"  •  '  "^"r'  I>ersonnes  physiques,  coneues  fictiveinent  comma 
'i-^'i  const'ilM.-.P  \  '^'"*'''  ^"^nd  Body  »  serait  une  «  corporation  sole  »,  une  corpora- 
'■"i-iede  d  'a'^  :  ""h  ""'"  /'".•^""""  "''>'-•-  (p.  5  ;  271).  Javoue  ,n'il  .n'est 
•"i--6".e  uS,  ;  .^""^J-^'""  d.^^  ..on.broux  texte  que  lA.  apporle  ;  es.-il 

'    lonxaincu  :    il  fiire  un  parafrraplie  de  (M-orporational  */yTO/)«ofn/'  , 


2t._) 


JUSTIFICATIF 
^•▼«  Et.  August 

HLLLiCns    AUGVSIJXII,^    POUR    /,fe^. 


in  England  ».  p.  401-409.  Je  serais  assez  porte  a  expliquer  la  eho.e,  en   \ntrleterre 
comme  ailleurs,  par-une  iAfU-  Ae  personnifieation  <le  l.-r  dignite,  de  la  fonction    L 
mot  anglais  «  Body  »  ne  fait  pas  de  didiculte,  malgre  limage  qu'il  suggere  en  premier  " 
heu  :  il  sigmfie  beaucoup  de  choses  :  le  cor[,s  liumaw,  un  grcMipement  de  personnei 
ma.g  aussi  et  ceuramment,  un  individu,  une  personne.  Et  si  je  nc  mahuse   les  texteV'' 
laling  que  I'A,  cite  et  qui  oomportent  Pexpression  pars  corporis  no,tri  ~    princinis  ' 
(par  ex.  p.  417,  n.  342),  ne  sont  pas  d'auteurs  anglais  :  ils  sappli.p.ent  au  conseil   ''• 
du  roi  qui.  bien  qu  .dent.fie  au  roi,  supj.ose  une  pluralite  de  pcrsonnes  ■  tout  comme   ' 
aotuellement,  lA.  le  sait  bien,  «  Couronne  ».  .le  ninsisle  pas  davantan'e  sur  ce  pro 
bleme  qui.,  mise  a  part  nu  grande  incompetence  dans  la  matiere,  est  pa'r  trop  eloLui. 
de  I'objet  de  ce  Bulletin.  Le  sous-titre  du  vol.  «   Recherche  do  iheolo-ie    .olitinue 
m6d.evale  »,  et  lArudition  bien  connue  de  lA.  font  prCvoir  quel.pus  recours  inAi    ' 
tatles  k  saint  Augustin  ;  ils  no  peuvent  etre  quVn  marge  du  sujel.  -  Je  ne  signal t 
pas  les  textes  augustiniens  ou  psoudo-augusliniens  (|uil  arrive  a  lA   de  citer  d'apre  b  " 
tJratien  :  ,1  a  le  rare  merite  de  los  i.lomifier  dans  Tujuvre  meme  dAugusUn.  Signalons  ~' 
en  vrac  :  la  distinction  dans  une  memo  personne  entre  sa  qualito  dhomme  et   .a 
fonction.  Aug.   Ep.   185,  5     II)   (p.   57)  ;  revolution  de  lidoe  au^^usMnienne  du  rcj.  ' 
l"*'^  'P- !^"'  =  ,'  ">">""«•••  des  textes  aug.  Enarr.  in  ps.   146.  17  :  /„  /„/,.  e.:  tract.  50 
(p.  75  •76)  sur  la  formation  du  droit  de  IKglise  a  posseder  ;  linsertion  d'un  ae^um 
entre   1  opposition    augustinienne   A'aetertnl.is-lempu.i    (p.    275-280)     Interessante    a 
beaucoup  de  points  de  vue  est  1  ^plication  ,,„e  PA.  donne  dune  nuniature  fron- 
t.spice   de   1  tvangeliaire   dAix-la-Chapelle.    exocutee   vers   973   dans   Pabbaye   de 
Reichenau.   L  empereur  Otton   II   y  est  represente  en   Christomimotes   (y  v7ir  un  " 
Christ  en  majeste  semble  dilRcil.,  p.  65,  n.  49).  et  chose. curieuse,  „n  voile  (voile  du 
tabernacle),   porte   par  les   symboles   des   4   evangolistes,   soparo   la    t^le   du   corps 
LA    pense  que  le  miniaturiste  sest  inspire  d'Aug.  Knarr.  in  ps.  90  el  91,  oil  Au^ 
parlant  du  Chrislus  lotus,  dit  que  le  Chef  (In^pcrator)  est  bien  au  ciel  mais  qu'il 
mihte  sur  terre  dans  ses  n.oml.res  (p.  61-78).  Chez  Aug.,  ren.arquons-lo,  il  v  a  plus 
que  deux  natures  en  une  personne  :  la  doctrine  du  Corps  mystique.      -  Kn'somnu; 
de  ce  volume  extrdmenientj-iche  en  donnees  sur  lo  sujel  traito,  il  nest  h  retenir ' 
pour  I  augustiaisant  que  Pinteressant  eomnventaire  sur  fci    nunialure  de  PKvange- 
haire    d'Aix-la-Chapelle.  \    d    V 


I        J 

U       I    L 


V  TiTE  Kixc's  Two  BoniKs:  A  Study  in  Mediaeval  Political  Theology.  By 
Erne-it  II.  Kantorowiez.  Princeton:  Princeton  University  Press,  1957.  Pp. 
xvi,  5C8.  $10. — Doins  I)ack  to  the  middle  apies  the  antluir  analyzes  the 
conse(iuenees  of  the  tlieory  that  king.s  had  a  hddy  politic  as  well  as  a  body 
natural. 


f-<. 


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Jr.o^NAL  OF  THE  HiSTOftY  OF  IDEAS 


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Review  s  ^~q 

kanoelleries  roumainos;  3"  c'est  un  temps  ciiracteristique  de  k  prose  narrative  rorfT^ 
nmrs^Ilappelons  une  id6e  fdconde  de  M.  P.  .?-:i)i.schcr  qui,  6tudiant  les  chartes  liKmes 
du  moy^age  itaiien,  en  retire  des  faits  mori)liologiqucs  con.sider<5s  comme  lereHet  de 
la  langueNmlgaire".  Transposons.  Le  d6veloppement  de  I'imparfait  slave  k;^e  6poque 
ou  son  recuXest  g6n6ral,  sauf  dans  le  pays  dont  la  langue  le  cultive,  si»fall,-il  un  pur 
hasard  ?  En  dSj^itres  mots,  dans  quelle  mesure  avons-nous  alTai re  :\  u^lioyau  de  pens^e 
roumaine  sous  vdHe  slave  ?  Et  voili  ouverte  une  nouvelle  persp<<Hive  de  recherche  • 
r6tude  patiente  de  l>l<uigue  des  chancelleries  slaves  des  pays  prfinnains  en  tant  qu'6ma- 
nation  d'une  r6alit(5  lingHistique  populaire. 

G.  Mihailft,  Adjective  de>Hhine  slavA  in  limba  romin^Adjectifs  d'origine  slave  dans 
la  langue  roumaine],  p.  61-76.X(etenir,  pour  une  6y^Uic]\(^  recherche  sur  le  plan  indo- 
curop6en,  la  suggestion  (p.  G8,  n.  S?>^u  sujet  denf^el  'joyeux'.  L'auteur  renvoie  au  lett 
vesels,  h  I'illyr.  Veselia  =  Felicitaa  (VWer,  o^«<,,  I,  191;  H.  Krahe,  IF,  LVII,  113  et 
Sprache  der  Illyrier,  I,  61)  et  n'exclut  pa!»^  possibility  d'une  <5tvmologie  autochtone" 
qui  eiit  ravi  B.  P.  Hasdeu.  Le  mot  serait  «^Bb»me  compagnie  dans  la  famille  s(5mantique 
de  bucune.  /  N. 

M.  Sala,  Un  fenomen  fonetic  romfnesc  produn  subsij>fluenta  graiurilor  sirbo-croale  [Un 
ph6nomone  phon6tique   roumam<produit   sous  I'infhWe'des  parlors  serbo-croates) 
p.  249-250,  Phenomene  dialectal  insignifiant  :  &  >  g  li  SeNj^eni,  Timisoara  (ALR  fill 
N.S.,  P.  29).  /  %. 

Les  trois  volumes  cojvtfennent  -  en  dehors  d'un  grand  nomh^Kd'articles  littcraires 
et  historiques  que  je4)asse  sous  silence  —  des  chronitiues,  compte>S;endus,  notes  qui 
orientent  bien  suryBtat  des  etudes  slaves  en  Roumanie.  Une  remarqueShiale  s'impose. 
Afin  que  cette  txHilication  justifie  pleinement  son  titre,  il  faudrait  que  l^ombre  des 
6tudes  traitapf  de  I'influenee  roumaine  sur  les  peuples  slaves  soit  plus  abonSot,  car  — 
on  ne  se  l^era  pas  de  le  r(5p6ter  —  les  courants  culturels  ne  furent  pas  a  sens  uWque". 
Les  queues  6tudes  (plus  exactement  trois)  qui  6clairent  ce  c6te  de  la  questiokfont 
figure^le  concessions,  noy6es  comme  elles  le  sont  dans  la  masse  des  autres  (48  arti^s, 
saji/ compter  les  recensions  et  les  notes).  Sinon,  une  conclusion  facheuse  s'imposert' 
relle-mdme.  [E.  Lozovan,  UniversM  de  Copenhague] 

Kantorowicz,  Ernst  H.   The  King's  Two  Bodies.  A  Study  in  Medieval 
Political  Theology.  Princeton:  Princeton  University  Press,  1957  Pp  xvi 
568;   24   plates 

This  is  in  many  respects  a  romarkablo  hook:  particularly  remarkable  for  its 
eminent  author's  vast  learning  and  ability  to  collect  and  organize  around  a 
central  theme  material  from  theology,  philosophy,  law,  literature,  and  iconog- 
raphy (to  mention  only  his  major  sources)  from  early  Christian  times  down  to 
the  17th  century.  Drawing  upon  many  specialised  studies  pertinent  to  his 
subject,  as  well  as  upon  original  texts.  Professor  Kantorowicz  has  created  a 
fascinating  synthesis  that  cannot  fail  to  excite  our  admiration  and  throw  new 
light  on  a  myth  which  is  still  valid  in  our  own  times.  Though,  with  Dante, 

VIII  (itmr^Mil^!!^'""^'*  analogiques  en  -ora  dans  les  chartes  latiuiuhet'ftritte,XUilA, 

"  Le  mot  ne  figurepiirirmT?r1a4i*tejle^  autocht'on^s  dress^e  par  M.  I.  I.  Russu 

Limba  trnco-dacilor  (Bucure.sti,  1959)7p7~Wt»r— .^,_^ 

"  Cf .  la  the.se  de  M.  E.  TurdeiUHi  :  «Les  Rouimims7m4^.ia.iwis6  le  d<5veloppenienl  des 
lettres  slaves  dans  Icuth  -proijres  priiu-ipaut(^s  meme  i\  I'epoqueTrt-miijnemes  ne  s'en 
servaient  plu»»-(f>c,s  I'rinci panics  roiiinaines  et  les  Slaves  du  Sud  :  rapportsltl 
HfiUgtcrrr  [.Miinchen  :  Siidost  Institut,  1959),  p.  13) 


Reprinted  from  Romance  Philoloqy,  Vol.  XV,  No.  2,  November  1961 

University  of  California  Press  •  Berkeley  4 

Printed  in  U.S.A. 


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R  o  M  A  N  c  ?:    V  u  I  L  o  L  o  <i  Y,  Vol.  XV,  No.  2,  November  1901 


the  author  might  well  have  cautioned  hi.s  rcadens  in  "piceioletta  barca" 
(like  your  reviewer)  to  beware  of  attempting  the  "pelago"  he  sails,  he  could 
hardly  claim  that  "L'acciua  ch'io  prendo  gi^  mai  non  si  corse".  It  is  apparent 
from  his  introductory  discussion  of  Maitland's  contributions  on  the  Tudor 
period  and  from  the  abundant  richness  of  his  erudite  footnotes  tliat  many 
other  scholars  have  sailed  in  some  of  these  waters:  but  none,  if  we  are  not 
mistaken,  have  gone  so  far  or  with  such  extensive  ecjuipment.  The  journey, 
however,  is  a  difficult  one  and  by  no  means  in  a  straight  line,  not  simply  in 
the  sense  that  it  begins  with  Plowden  in  16th-century  England  and  ends  with 
Dante  in  14th-century  Italy,  but  because  Kantorowicz  constantly  changes 
course  or  seems  to  double  back  as  he  pursues  over  Europe  in  different  ages, 
through  Church,  State,  and  the  Law,  the  mainsprings  and  evolution  of  the 
idea  of  the  King's  Two  Bodies.  In  this  broad  and  yet  detailed  excursus  it  is 
extremely  difficult  to  recognise  the  sort  of  continuity  that  enables  the  reader 
in  the  end  to  be  sure  exactly  where  he  has  been:  so  that  he  may  have  the 
impression  of  having  taken  an  extraordinarily  instructive  cruise,  rather  than 
of  having  progressed  on  a  determined  and  determinable  course  from  point  to 
point. 

Let  us  test  this  impression  by  a  rapid  survey  of  the  book.  The  "problem"  with  regard 
to  English  juridical  thought  is  set  out  in  Chap,  i,  i.e.,  the  fiction,  first  clearly  apparent 
in  Plowden's  reports,  of  the  distinction  between,  and  unity  of,  the  King's  Body  natural 
and  his  Body  politic,  between  his  mortal  being  and  his  immortal  office  as  Head  of  the 
corporation  which  he  and  his  subjects  together  compose.  We  need  not  be  concerned  with 
the  legal  niceties  this  fiction  provoked  (e.g.,  the  extreme  ca.se  of  Charles  I),  but  we  can- 
not overlook  the  penetrating  study  in  Chap,  ii  of  Shakespeare's  Richard  II  as  a  "tragedy 
which  centred,  not  only  on  the  concept  of  a  Christ-like  martyr  king,  but  also  on  that 
most  unpleasant  idea  of  a  violent  separation  of  the  King's  Two  Bodies".  With  these 
premises,  Kantorowicz  takes  us  back  to  trace  the  idea  of  "Christ-centred  kingship", 
starting  from  the  so-called  Norman  Anonymous  of  c.  1100  a.d.,  in  whose  treatise  De 
cunsecralione  ponlificum  et  regum  there  appears  the  transfer  to  kings  of  theological  con- 
cepts applied  to  the  dual  nature  of  Christ,  with  a  resultant  liturgical  philosophy  of 
kingship.  Kantorowicz  finds  this  concept  of  kingship  characteristic  of  the  "uncompro- 
misingly christocentric  period  of  Western  civilisation"  of  e.  900-1100,  exemplified 
iconographically  by  representations  of  the  Emperor  "in  majesty"  or  endowed  with  the 
halo.  "The  King  a  gcmina  persona,  human  by  nature  and  divine  by  grace,  this  was  the 
high  medix'val  e(iuivalcnt  of  the  later  vision  of  the  King's  Two  Bodies,  and  also  its  fore- 
shadowing". 

The  next  phase  is  the  development  of  "Law-centred  kingship",  i.e.,  of  a  politico- 
juridical  concept.  The  shift  is  barely  accounted  for,  and  glimpsed  rather  than  explained 
in  symptoms  like  John  of  Salisbury's  doctrine  of  rex  imago  aequitatis  and  the  rising  idea 
of  the  Pope  as  vicariun  Christ i.  The  change,  however,  is  unmistakably  apparent  in  Fred- 
erick Il's  Uber  augustalis,  with  its  significant  formula  of  the  Emperor  as  pater  et  filius 
iustitiae,  which  derived  from  Roman  law  and,  whilst  not  removing  the  divine  nature  of 
the  King,  placed  the  emphasis  on  the  "rational"  as  against  the  mysterious  concept  of 
his  person  predominant  in  earlier  times,  .\lmost  contemporary  with  Frederick's  idea  of 
himncUsiti  lex anintnta,  Bracton  in  England  was  dealing  with  a  similar  problem  of  whether 
the  King  was  above  or  under  the  Law;  and  Kantorowicz  deals  at  length  with  these  two 


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I 


figures,  discussing  and  illustrating  their  different  resolutions  of  the  apparently  contra- 
dictory nature  of  the  sovereign  at  once  outside  and  yet  limited  by  the  Law.  This  leads 
to  a  consideration  of  a  particular  point  of  law:  the  inalienability  of  Crown  lands,  and  the 
dual  nature  of  the  King  in  his  private  capacity  and  as  the  perennial  fisc,  against  which 
nullum  lempus  currit.  In  other  words,  by  this  stage,  "the  mediajval  dichotomy  of  sacer- 
dotiiim  and  regnum  was  superseded  by  the  new  dichotomy  of  the  King  and  the  Law". 

The  further  development  to  "Polity-centred  Kingship"  took  place  under  the  influence 
of  the  corporational  view  of  the  Church  a.s  a  corpus  mysticum.  In  the  12th  century  this 
term  came  to  signify  no  longer  the  'consecrated  host',  but  the  'organised  body  of  Chris- 
tian society',  and  led  to  a  view  of  Christ's  two  bodies  somewhat  different  from  that  of 
his  dual  nature,  human  and  divine:  namely,  a  distinction  between  his  individual  body 
and  a  collective  body,  the  Church,  of  which  he  is  the  Head.  Together  with  the  idea  of  the 
Vopcvicarius  Chrisii,  this  led  to  the  emergence  of  the  concept  of  the  ecclesiastic  corpus 
mysticum,  whose  Head  is  the  Pope,  —  in  other  words,  to  a  concept  more  political  than 
sacramental  or  liturgical,  and  one  more  readily  transferable  to  the  secular  field.  Here  it 
began  to  appear  clearly  in  niid-13th  century,  and  with  growing  momentum  made  its  way 
into  law  and  social  philosophy,  with  a  multiplication  of  distinctions  between  the  indi- 
vidual and  those  universitates  to  which  he  belonged,  and  into  the  particular  field  of  the 
law  concerning  the  King  and  the  corpus  reipublicae  mysticum.  The  similarity  and  over- 
lapping at  this  time  between  ecclesiastic  and  secular  ideas  is  very  striking,  including, 
e.g.,  the  marriage  metaphor  used  to  express  in  both  spheres  the  relation  between  the 
Head  and  the  corpus.  With  this  transference,  the  essential  continuity  of  kingship  and  of 
the  state  as  a  corporation  parallelling  that  of  the  Pope  and  the  Church  was  firmly  estab- 
lished, bringing  with  it  much  new  consideration  of  the  individual's  obligations  to  the 
corpus  of  which  he  is  part. 

Such  continuity,  however,  probably  could  not  have  been  so  readily  envisaged  or 
codified  without  fundamental  revision  of  the  question  of  the  "eternity  of  the  world". 
In  the  13th  century,  under  the  influence  of  Aristotle  and  Averrhoes,  the  old  Augustinian 
dualism  of  Time  and  Eternity,  of  opposition  between  a  brief  finite  world  and  God's 
infinity,  gave  place  to  a  new  quasi-infinite  continuity  of  the  world.  In  this  new  climate 
of  thought,  the  traditional  sempiternity  of  the  Church  and  of  Rome  passed  to  peoples 
and  states;  for,  though  individuals  pass  away,  "populus  non  moritur".  There  thus  grew 
up  the  fiction  of  the  immortality  of  "personified  collectives  and  corporate  bodies. ..that... 
preserved  their  identity  despite  changes".  This  solved  the  problem  of  the  continuity  of 
the  body  politic,  but  not  entirely  that  of  its  Head,  which  had  yet  to  be  absolved  of 
"defects"  peculiar  to  itself:  interregna  and  consecration. 

This  problem  was  closely  bound  up  with  the  views  of  the  decretalists  and  the  dualists 
on  the  relationship  between  God,  Pope,  and  Emperor.  If  the  latter  derived  his  authority 
directly  from  God,  he  entered  into  his  rights  upon  election  and  not  on  consecration:  and 
this  was  the  opinion  that  prevailed  oflicially  in  imperial  legislation  from  1338.  Dynastic 
continuity,  immune  to  interregna  and  independent  of  consecration,  rescued  the  King's 
body  natural  from  mortal  accident,  while  the  growing  fiction  of  the  Crown  as  imperish- 
able established  a  continuity  of  his  body  politic  (that  which  united  him  with  the  corpus 
reipublicae  mysticum).  With  the  "Crown  as  fiction"  went  also  obligations  as  well  as 
rights,  in  particular  the  oath  of  inalienability  of  the  fi.sc,  parallel  to  that  taken  by 
ecclesiastics  in  the  13th  century  (and  non-alienation  becomes  a  well-worn  argument  in 
late  mediaeval  literature  regarding,  e.g.,  the  Donation  of  Constantine).  Furthermore,  the 
King  came  to  be  regarded  as  the  guardian  of  the  Crown,  conceived  of  as  sempiternally  a 
minor  and,  con.sequently,  unaffected  by  Time.  Finally,  the  Crown  was  reinforced  by  the 
idea  of  an  immortal  Dignitas,  adapted  from  canonistic  doctrine  concerning  ecclesiastical 
offices;  and  from  this  de.scended  ultimately  the  well-known  formulation  of  the  theory 
that  the  King  never  dies:  "The  king  is  dead!  Long  live  the  king!"  Kantorowicz  goes  on 


f 


i 


/    L     U 


182 


Romance    Philology,  Vol.  XV,  No.  2,  November  1961 


to  trace  a  ceremonial  represent  a!  ion  of  the  King's  Two  Bodies  in  the  use  of  effigies 
in  funeral  rites  and  processions  in  France  and  England,  and  associates  this  with  the  twin 
sepulchral  ornaments  (the  robed  figure  and  the  naked,  emaciated  corpse)  found  espe- 
cially in  15th-centur>'  England. 

With  a  brief  Conclusion  that  stresses  the  particularly  English  juridical  development 
of  the  idea  of  the  Kings  Two  Bodies,  the  main  part  of  the  book  comes  to  a  close.  The 
last  chapter  on  "Man-centred  kingship:  Dante"  is  rather  in  the  nature  of  an  appendix, 
though  an  important  appendix,  as  we  shall  presently  see. 

For  the  part  so  far  con.«idered,  your  re^^ewer  hopes  that  he  has  done  not  too 
much  injustice  to  some  450  pages  of  Kantorowicz's  text  by  attempting  to 
outline  its  theme.  The  strength  of  the  book  rests  in  the  abundance  of  diverse 
material  and  its  wide  range  both  in  time  and  space.  Its  weakness  appears  to 
lie  in  the  nature  of  the  subject  and  in  the  methods  of  inquiry  it  imposes. 
Kantorowicz  is  throughout  at  grips  with  a  complexity  of  similar  and  over- 
lapping conc^-pts  deri\ing  from  theology-,  philosophy,  and  canon  and  civil  law, 
and  manifesting  themselves  in  subtly  differing  forms  at  different  times  and 
places  in  Europe.  It  is  in  consequence  a  subject  very  difficult  to  get  onto  the 
ground  and  to  describe  hi.storically:  the  links  of  a  chain  of  ideas  appear  to  be 
there,  but  somehow  the  chain  as  a  connected  sequence  fails  to  materialise. 
The  book  proceeds  rather  by  jiL\tapo.?ition  and  .suggestion  than  by  demonstra- 
tion and  deduction:  the  parts  are  there,  but  the  relationship  between  them  is 
imprecise  and  chronologically  as  well  as  geographically  not  a  little  confu.sing. 
This  accounts  for  the  almo.?t  complete  absence  in  our  summary  of  reference 
to  cause  and  effect,  to  a  tangible  pattern  of  growth.  The  result  has  the  fa.scina- 
tion  of  a  kaleidoscope,  but  perhaps  also  its  limitation  of  possibly  shifting  to  a 
different  pattern  •with  a  metaphorical  shaking.  It  is  only  fair,  however,  to  say 
that  the  author  is  aware  of  such  difficulties  in  his  theme;  and  it  must  be 
emphatically  .stated  that  he  has  provided  Maitland's  inquir>-  into  the  English 
monarchy  with  a  most  impres.sive  and,  in  general,  convincing  background  in 
mediaeval  thought.  Maitland,  however,  had  also  mentioned  possible  sources  of 
"twin-Vom  majesty"  in  Antiquity.  This  problem  is  briefly  affronted  by 
Kantorowicz  in  his  Epilogue  —  perhaps  too  briefly,  unless  one  regards  the 
descent  of  the  Tudor  formula  as  the  exclasive  concern  of  the  book  (at  lea-st 
half,  at  a  rough  guess,  deals  with  the  European  idea  in  general) ;  for  Kantoro- 
wicz refers  to  various  precedents  in  pagan  Antiquity  for  the  gemination  of 
the  ruler  later  developed  in  Christian  thought.  But  it  would  be  churlish  to 
exj)ect  fuller  treatment  of  such  antecedents  in  a  Ixxjk  centred  on  the  mediseval 
period. 

The  chapter  on  Dante  is  naturally  concerned  with  De  Monarchia,  and  fo- 
casses  attention  primarily  on  the  concept  of  humana  cinlitas,  a  mystical 
corporation  of  all  men,  whether  pagan  or  Chri.stian,  headed  by  the  Emperor 
who  derives  his  authority  direct  from  God  and  not  through  the  intermediary 
of  the  Pope.  With  Gilson,  Kantorowicz  insi.i^ts  on  Dante's  ".separatism",  his 
bold  severance  of  Man's  two  ends,  moral  and  spiritual,  represented  by  the 


U       I    L 


Reviews 


]f!S 


earthJy  and  heaA-enly  paradises,  and  governed  by  the  agency  of  quiLe  distincl 
authorities.  He  also  stresses  the  near-Averrhoistie  idea  of  the  eolleotix'-e  human 
intellect  that  may  l)e  aetuat.ed  only  by  liie  unit.ed  effort  of  all  men  li\-ing  in 
peaee  under  one  rule.  The  object  of  his  argument  is  t.o  sho^r  how  Danl« 
■visuahsed  the  nature  and  importance  of  a  purely  human  and  int.eDectual 
organisation  existing,  as  it  were,  outside  and  alongside  i-he  Churc;h,  and  ^i^ith  a 
separate  justifi(!ation  and  goal  of  its  own.  Kant,orowioz  takes  issue  with  Gilson 
on  one  point  of  interpretation,  which  apptiars  t.o  us  t.o  have  bieen  shghtly 
stretched  by  both  scholars  to  accord  with  their  particular  theses.  This  con- 
cerns M(m.m..l2,  where  Dant,e  meets  the  argument  that.,  as  —  according  to 
Arist.otie  —  aU  memliers  of  a  genus  are  reducible  to  one,  and  therefore  all 
men  are  reducible  to  one,  and  as  the  Pope  is  not  reducible  1,o  other  than  the 
Pope,  then  all  men,  including  the  Emperor,  are  reducible  t.o  the  Pope,  "tam- 
quam  ad  mensuram  e1  regulam".  Dante's  counter  t.o  this  is  t.o  distinguish  the 
officies  of  Pope  and  Emperor  from  their  human  incumbents,  and  to  st,ate : 

Prout  BUiit  homiues,  habenl  reduoi  ad  optimum  hominem  qui  est  mensura  omnium 
aliorum  el  ydea,  ul  dicani,  quisquis  ille  sir,  ad  exim.eiil.eni  maxime  unum  in  peneref^uo: 
ui  iial»eri  potest  ex  ultimit;  ad  Nipomacum. 

From  this  passage  Gilson,  with  the  distinctions  of  authority  of  Ccmnno  in 
mind,  and  identifying  the  optimui;  homo  -with  the  Arist.ot*lian  sage,  con- 
structed three  orders  of  equal  rank  and  summarised  them  in  this  way: 

Dens 


Optimus  homo  Imperator  Papa 

Kant.orowicz  corrects  this  diagram,  quite  rightly,  wji^n  one  of  his  own: 


Ixnper&tor 


^jc, ->  Deus  ^    ^ 


optimus  homo 


Papa 


He  also  tends  t.o  draw  the  idea  of  the  Arist,ot«lian  sage  t.owards  the  Emperor 
and  to  identify  Jmperaior  —  o-ptim;u^  homo,  concluding: 

Dante's  whole  scheme  of  duality  postulated  with  regard  to  humamiac  the  figure,  not  of 
the  Greek  philosopher-sage,  bul  of  the  Romau  Emperor  philosopher,  just  w  it  postulated 
the  figure  of  the  R.omaii  pontiff  with  regard  t.o  ChriKHamtax 

However  true  this  may  be  on  the  general  basis  of  D<  Mcmarchia,  it  cannot 


/    J    u 

U       I    L     U 


184 


Romance    P  h  i  l  o  l  o  c;  y,  Vol.  XV,  No.  2,  November  1961 


surely  bo  supportpd  from  the  argumenl  in  in.  12.  The  Vnyn}  is  as  mwh  nptimun 
homo  as  the  EnifM^roi'  in  thai  contoxt,,  and  the  ('niphasis  xhv.rc  lies,  iiol  on  l,hr 
quality  or  identity  [quisquis  illc  sit)  of  the  nptimufi  homo,  but  on  a  philosophi- 
cally argued  distinntion;  and,  onoc  arpued,  the  nptimuft  hnmn  plays  no  further 
pari  al  all  in  Dante's  demonstration. 

The  most  original  point  of  this  chaptei  apptsars  to  us  to  lie  in  the  author's 
interpretation  of  Vergil's  famous  line  in  I^urg.  xxvii.142: 

per  ch'io  te  Hovra  tv  corono  e  mitrio. 

Kantorowicz  instances  the  use  of  'crowT:i'  and  'mitre"  in  baptismal  c(!remonies 
and  sees  Dante's  journey  up  to  the  Earthly  Paradise  as  a  process  of  identifi- 
cation with  the  original  image  of  Man,  with  Adam  suhtilin,  culminating  in 
the  Vergiliaii  '•coronution''.  He  concludes: 

Dantf  uchinved  hit.  "iiaptism"  into  humanitati  in  u  puru-HucramentaJ  and  paru-eccleaias- 
ticul  faahioii,  with  Cato  actinp  as  sponKor,  and  with  the  prophet  Vergil  as  hin  Baptist, 
u  Bapti.st,  tliougli,  wild  thi^  tinif  unlocked  th  man  nni  ttic  heavenK,  hut  the  paradise  of 
Man 

—  an  hitellectuul  baptism,  therefore,  admitting  him  to  the  r.orput<  miisticum 
Ada(  quod  est  hunianitan.  This  explanation  satisfactorily  rids  the  important 
episode  of  the  I^apal  and  Imperial  overtones  commonly  ascrilied  to  it  and 
deserves  most  serious  consideration  by  Dante  scholars. 

Othei'  aspects  ol  this  ciiapter  also  rettommend  it  to  all  those  interested  in 
Dante;  and  they  will  readily  forgive  the  author  the  erroneous  statement  that 
Boniface  VIII  is  shown  in  the  chasm  of  the  Simouists,  and  may  overlook  the 
footnote  (14,  p.  455)  asserting  thai  Dante  aticepted  Frederick  IPs  definition 
ofnobilityiniU«m.iii.3.15(what  of  "anticu  ri(;chezzu"?J.  (C.  Gkayhon,  Oxfitrd] 

lAYKON.  CiEciL,  E]».  Vincciizo  Calmeta.  frrwf  c  Idtm  ediU  c  inediU  i^^imfiUc 
did  di  altri  incditi).  CoUezione  di  opere  inedite  o  nipe^ufibhcata 
mi  dellu  C-'onamissione  per  i  testi  di  hngua,Ju»lr'C^XXl.  Bologna: 
Casa  CaHlncci,  1955).  Pp.  Ixxiii,  144 

Nel  ristretto  manij^oiudi  italianisti  inglesi  Cecil  (jruyson  ocrcupa  ormai  un 
posto  distinto.  Aj  suoi  luvo?hsm  lesti-miticiii  e  su  L.  B.  All)erti  si  aggiunge  ora 
una  traduzione  della  "\'ita  del  SaJKijiarola  di  Pt.  Ridolfi  e  inline  ciuesi.o  volume 
che  ci  permette  di  ricostruipe  una  ft^Hm  di  scrittore  conosciuta  finora  quasi 
soltanto  di  secondu  mano,  attraverso  te!?tHuonianze  di  (iontemporanei.  In 
parte  questa  ra('(;olte  di  scritti  e  anclie  una  it'st^Mminianzu  dellu  etrcezionale 
vitalita  e  spiritp  di  coojM-razione  di  Carlo  DionisOT*i^n  vero  'maeHtro" 
pervenuto  duliu  scuola  del  Giimialt  Siorico  aH'Universita  ahi,ondru,  e  capace 
di  mettere  u  proftttu  la  sua  esperieuza  italiana  fra  i  tesori  del  BmisliMuseum. 
Ai  sj^'  interessi  si  avvicinano  (juelli  del  Grayson,  e  a  lui  si  deve  in  parttsplare, 
OCT  11  presente  volume,  la  H<;operta  dell'importante  lettera  a  Isaltella  di 

heprint«l  from  Houanci  Viiiloj,oo\.  Vol   XV,  Nu  2    November  IttOl 

liniver»it.v  of  Califormii  Praw     Berkeley  4 

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Man's  Government  of  Man~the  What,  the  Why,  the  How 


SOVEREIGNTy:  An  Inquiry  Into  tht 
Political  Good.  By  Bertrand  dc  Jou- 
vcnel.  Translated  from  the  French 
by  J.  F.  Huntington.  320  pp:  Chi- 
cago:   University  of  Chicago   Press. 

By  D.  W.  BROGAN 

AND  here  we  come  to  the 
^  moral  of  this  book.  It 
is  a  trite  one:  political  science 
is  a  moral  science  •  *  •  For  pur- 
poses of  clarity  I  should,  then, 
say  that  political  science  is  a 
natural  science  dealing  with 
moral  agents."  Thus  Bertrand 
de  Jouvenel,  the  French  political 
philosopher,  describes  the  field 
of  study  and  exposition  to 
which  he  has  made  this  re- 
markable contribution.  This  de- 
scription is  sufficient  proof  of 
his  indifference  or  active  hos- 
tility   to    a    prevailing    wind    of 


doctrine  which  insists  that 
nothing  that  cannot  be  meas- 
ured can  be  studied  and  that 
the  g^reatest  crime  an  academi- 
cian can  commit,  the  greatest 
affront  to  the  spirit  of  the  age, 
is  to  indulge  in  value  judg- 
ments. 

For  M.  de  Jouvenel,  such 
naive  examples  of  "scientism" 
are  both  a  symptom  and  a  cause 
of  the  present  parlous  state  of 
political  studies  and  of  politics 
in  our  Western  world.  He  is 
concerned  not  with  the  problem 
of  the  source  of  authority  (al- 
though that  interests  him),  but 
with  the  terms  ano  conditions 
on  which  that  authority  is  used 
and  the  means  and  ends  of  that 
use.  He  is  concerned  with  "the 
political  good,"  not  with  the 
politically   popular,   easy   or   ef- 


fective. A  political  course  of  ac- 
tion may  be  all  these  things  and 
yet   be   bad. 

It  is  not  that  M.  de  Jouvenel 
is  indifferent  to  some  of  the 
techniques  and  discoveries  of 
what  are  called  (not  by  him) 
"the  behavioral  sciences."  He 
can  use  a  mathematical  meta- 
phor with  effect  (remembering 
that  it  is  a  metaphor),  and  he 
neatly  distinguishes  the  popular 
and  the  scientific  idea  of  the 
representative  man.  He  thinks 
that  the  political  habits  of  what 
we  call  primitive  societies,  like 
the  Baganda,  cast  light  on  the 
emotional  character  of  power 
even  in  more  technically  ad- 
vanced societies.  He  rightly  re- 
calls to  our  minds  the  learned 
and  fruitful  speculations  of  the 
French    scholar   G.    Dum6zil    on 


o 


12. 


PuinMng  6t>  J»am  Wttrnm    Collecttim  of  Mr    mid  Mrt    H.  Baorowttz    Cottrtrtti  Uttte  8(iKf<o,  Ltd 
"L'Empire  " 


the  origins  of  Roman  political 
practice,  tbe  difference  between 
"rex"  and  ''dux"  wWch  is  part 
of  UTe^foiindatlons  of  our  poli- 
tics. He  tells  us  that  he  admires 
the  dictum  of  Mr.  Truman  that 
the  President  of  the  United 
States  "can't  pass  the  buck  to 
anybody."  But  he  knows  that 
there  are  societies  where  the 
nominal  head  of  the  state  can 
and  does  pass  the  buck. 

"In  the  island  of  Tonga,  for 
instance,  a  monarch  called  the 
Tuitonga  was  revered.  On  his 
appearance  all  prostrated  them- 
selves and  kissed  his  feet.  If 
he  took  part  in  a  gathering, 
which  he  did  not  do  very  often, 
no  one  dared  sit  beside  him.  If 
he  spoke,  all  listened  attentively 
and,  when  he  had  finished,  cried 
out  as  one  man;  'How  true!' 
For  all  that,  he  did  not  rule. 
His  life  was  lived  apart,  in 
meditation,  prayer  and  ritual." 
Such  were  the  mikados  before 
Meiji,  the  Kings  in  late  Mero- 
vingian France.  TTiere  have 
been  Shog\ms  and  Mayors  of 
the  Pfdace  in  many  societies. 
There  may  be  such  today. 

lyl^  DE  JOL^ENEL  is  not 
mainly  concerned  with  political 
mechanics  and  political  fictions. 
He  is  concerned  to  define  and 
describe  the  role  of  the 
sovereign,  the  limitations  of  his 
power  and,  more  important,  the 
conditions  of  the  rightful  ex- 
ercise of  his  accepted  power. 
In  pre-revolutionary  EJurope,  in 
the  contemned  ages  of  divine 
right,  a  king  was  above  the  law 
in  the  sense  that  he  could  not 
be  kept  from  breaking  it,  but 
he  w£is  below  the  law  in  that 
he  had  a  duty  of  obedience  to 
GSod  and  to  the  fundamental 
laws  of  the  realm.  In  the  west 
(Russia  was  another  thing)  a 
king  had  no  right  divine  to 
govern  wrong  de^ite  Pope's 
sneer.  He  had  only  the  right 
to  govern  justly. 

Mr.  Brogan  is  Professor  of 
Political  Science  at  Cambridge 
University. 


With  the  coming  of  "democ- 
racy'' the  sovereign  powers  of 
the  king  were  transferred  to 
"the  people,"  but  not  the  limi- 
tation of  their  use  under  divine 
order  and  under  the  threat  of 
divine  punishment.  (Lincoln,  it 
may  be  suggested,  held  views 
on  divine  judgment  that  ap- 
proximated, in  very  different 
conditions,  those  of  Jacques 
Bossuet.  A  people  could  sin  and 
be  rightly  punished,  like  a 
wicked  king.)  A  nauve  and  con- 
sciously atheistic  utilitarianism 
made  what  the  majority  wanted 
the  test  of  truth  and  justice. 
The  father  of  this  doctrine  was 
Rousseau  but  M.  de  Jouvenel, 
a  most  learned  and  acute  stu- 
dent of  "Le  Contrat  Social,"  is 
careful  to  clear  Rousseau  of 
the  responsibility  of  the  follies 
of  his  bastards.  But  be  the  pa- 
ternity what  we  like  to  think 
it,  today  what  "Lola  wants, 
Lola  gets"  is  a  vulgar  and  dtui- 
gerous  and  popular  political 
doctrine. 

With  it  is  8issociated  a  vague, 
inconsistent  and  unattainable 
idea  of  "justice"  that  is  a  crude 
form  of  egalitarianism,  and  per- 
haps the  most  striking  section 
of  a  most  striking  book  is  the 
demonstration  that  "it  is  im- 
possible to  establish  a  just  so- 
cial order."  At  the  moment  it 
is  perhaps  more  valuable,  in 
the  American  context  (which 
is  one  of  grave  danger),  to 
show,  as  M.  de  Jouvenel  does, 
that  the  common  good  is  not 
an  aggregate  of  competing  in- 
terests but  something  different 
and  above  them.  To  destroy  any 
version  of  "wihat  is  good  for 
(General  Motors  is  good  for  the 
United  States"  is,  today,  to  de- 
serve well  of  the  republic.  But 
every  page  of  this  brilliant  and 
successful  effort  in  political 
restoration  is  loaded  with  ore. 
The  text  has  been  most  suc- 
cessfully translated,  although  it 
may  be  suggested  that  "tail- 
lable"  is  inadequately  rendered 
as  "accountable"  and  that  the 
English  for  "Perouse"  is  "Per- 
ugia." 


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/ 


MEDIAEVAL  ACADEMY  OF  AMERICA 

HASKINS    MEDAL 

Ernst  H.  Kantorowicz.  "The  King's  Two  Bod- 
ies: A  Study  in  Mediaeval  Theology."  Prince- 
ton 


JANUARY   18,    1960  ^  UMi  ^ki^     ?     U/'c^kA' 


I    u    n 
f      /    u 


f\ 


§)  /W^/il^iC*- 


NEW   SCHOOL    FOR    SOCIAL    RESEARCH 
GRADUATE  FACULTY  OF  POLITICAL  AND  SOCIAL  SCIENCE 

66  West  Twelfth  Street,  New  York  II,  New  York       ORegon  5-2700 


Aucuit  8,1962 
465   Weotend  Avenue, New  '  ork  24,N.Y. 


Liefer  Herr  i^iintorowloz  : 

loh   *r311   BBi.ch  wirklich  nlcbt   Tiedanken.Ich  aochte 

Sle  nur  wisaen  Iaa8en,daa8   lolf)  air  nlcht  veraacen  konnte.melne  teoarite 
Arbeit  liegen  zu  laisen  und- zWel   iVochen  relnston  Glucki  alt   Ihrem  |^  und- 
Icgenden   Such  verlw' ji'cij?^^.  Icfi  'flaulie   In  der  Tat.dasa  es   In  dar  Antlke 
nlohtg  d'^rilelshen   ^ali.  (Die   Anaerkunj  zu  2hr»r.lKirj  Ist  kostllah^Fur  dag 
v-f^rstandnls  der  christllohen  und  imchchrlitlichen   tVelt  Itt   die   L^hre  der 
zwei  Korper  gnmlefcnd.  »Venn   Sle  die   polltlache  und  sozlale  ^eachlchte  vnd 
deren  Antafonslaen  und /v  evolut' onen  analyal2r3n  J'CKiKen  2ic   Inaer  zu  dleser 
Schluaseltheorie.Ich  kenne  die  Zelt  natiirllch  sehr  v*enif,a^er   Ich  ha¥e 
Eraaoug   grundllch   3tw.^icrt  und   firde  r.och  hler  die  Theoric  rein  und  ra- 
dlkal    In    seiner  Thbologle  und   radikalen  Sozlalkritik   der  auf ateifenden 
aodernen   iHfelt;  ^Inea   seiner  letzten   Bucher:D©  Bello   Turoi«»  antlcipiert 
von   ailner  xlttelalterlichen  Tbeorle   der  Carltag   ,dle  die  Herrscher  den 
Arxen   Pohulden.das   Snde  dleaer  chrlatliehen  Welt  durcb  die  unbeUlje 
"elrat  von  flnanziellen   Interesaen  iilt  den   polltlacben  Ambltlonen  dea 
souveranen  Staatea.iDle   froaeen  ^esulten   dea  XVI  ten  «Jahrhunderta  ha^en 
die  acderne  katastrophe  wchl   erkannt..loh  flnde  eg  so  faeclnlerend  wle 
i,le   die  Aontnultat  dleaer   /-elt   dare  tell  on.  Ich   flnde  die  Daratellun«  aten- 
beraultend  da  ea  doch  oft  unver standi Ich   Igt.daea   die   antaconlatlachen 
f^rafte  io^.  kelne   Dlgru»tlon  errelchten.Ich  ha^e  nle  elre  ¥efrledi«ende 
Darstellunj  jefunde, .daas  die   Ecclegia  nloht  von   den  Bettelordcn  je- 
r-rcnfit  wurde.Kraaaua'^ex  ^egeneandi   Igt  doch  nooh   aehr  zaha.Da   Ich  dooh 
In  elnem  *'old  zuhause   1iin,wo  eg  kelne  jroase  und   aouverane  Qelehrten  fltet, 
80  erlauTien  Sle  air  %\x   aafen,wle  wunderschon^  eg  war  eln  crundlefendeg 
Such  echter  *elehrgaiBkeit  zu   atudleren  salt  Aagclnatlon  und  Ju^l.daga   eg 
80  etwag  cllit.Und  dazu  die  llterarlache   Elesanz.alt  Rlchar<I_J     zu  be- 
Clnnen  und  mlt  Dante  zu   Bchlleaaen^daa   Igt  ercrelfend   In  aller  ^^elehrt- 
helt.Und  nun  lafaen   Sle  mloh   doch  von  ^erzen  fur   dies  kogtitare   ^eechenk 
danken,ea  wlrd  wohl   eln   Tell    Ihrea  LeVeng  darln   gtecken.Daa  ilapUel  u¥er 
^'rledrlob   II   left  das  nahe. 

m^.!^  J* 
Alliert  Saloaon 


Ihr  alter 


/     U 


U     J 
I     L 


u 


Department  of  Anthropology 


University  of  Utah 

SALT  LAKE  CITY    1 
January  6,    1P4P, 


Mr.   Ernest   Xantorowicz, 
Tlniversiby  of  CaHfornia, 
Berkeley,    California. 

Dear  Mr.   Kantorowicz ; 

It   is  with  extreme   regret   that   T  must   inform  you  that 
Professor  Douglas  Maggs,   i^o  with  me  had  assumed  the  responsibility 
of  editorship  of  the  Max  Padin  essays,   and   I   have  arrived   at  the 
painful  decision  that  the   project   in  honor   of  Max  Radin  will  have 
to  Le  abandoned.      As   editors  we  have   found   ours-^lves    in  a  most 
uncomfortable  position  for   some  months.      More  than  thirty  eminent 
scholars   had   contributed  essays,   all   of  high   quality  and  many  of  them 
of  outstanding  excellence,    sufficient    ^or  a  volume   of  nearly  a  thousand 
pages.     A  committee   of  friends   of   Professor  Kadin  in  California  under- 
took the  burden  of  raising  funds   and  making  the  business   arrangements 
for  the   publication  of  the  volume.     Although  the   committee  succeeded 
in  raising  a  very  considerable  sum  of  money,    it   regretably   falls   far 
short   of  the  amount   required  to  publish  the   kind  of  book  that  was 
projected.      Printing  costs   have   so  sky-rocketed  that   it   now  seems 
hopeless  to  undertake   the   publication   of  a   ncholarly  collection  of 
essays   of  the   sort  we  have   gathered  together. 

As   an  editor  who  has    imposed  upon  your   good   faith,    T   am 
covered  with  considerable   embarrassment.     Tj^vorth^less ,   there   seems 
to  be  no  other  alternative  than  to  confess    our   failure  and  to  extend 
to  all   our  contributors   our  most  humble  apologies    ^or  the  delay  in 
publication  caused  by  your  sending  your  manuscript  to  us  and   our 
holding   it   for  mere  than  a  year.     We   erred    in  trustinr  the   represen- 
tations  made  to  us  and    in   optimistically  postponing  abandonment  of 
the   project   in  the  hope  that   our  financial   problem  wriOd   be   success- 
fully solved. 

The   problem  now  is,    how  do  you  want  us   to  handle  your  paper' 
At  your  direction,    T   shall   return   it  directly  to  you,   or,    if  you  prefer 
in  order  to  save   time   I   shall   send    it  directly  to  the   editor  of  any  * 

publication  that  you  may  name.      Inasmuch  as   I  modified  the   footnote 
citations   in  order  to  make  them  conform  to  the  uniform  standard  which 
we  adopted   for  editorial    purposes,    it   is   likely  that  you  will  want  me 
to  return  the  manuscript  directly  to  you. 

T  a-vmit  your  instructions,   and   I    shall  act   immediately  upon 
receiving  them. 


EAH/i 


Sincfterely, 


E.  Adams  on  HoebelJ 


no 


Ay    7?U 


^1(17 


PAAr.l  \jf-p:)^A ^ 0^ oyj\Cl  Ld}Q<^^(0^\ 


7 


/      //      M 


•52.      "The  Archer  in  the  Ruthwell  Cross,"  Art  Bulletin,  XLII  (1960),  57-59. 
^'s   copy,    one   note    at   end. 

A.  Letter   from  ^heodor  Klauser,    PJ  Apr   60 

B.  Latter   from  Meyer    -.hapiro,    6   Apr   60 


/    U     L 


REPRINT     FROM 


THE  ART  BULLETIN 

A     QUARTERLY 

PUBLISHED     BY    THE     COLLEGE     ART    ASSOCIATION    OF    AMERICA 


MARCH      1960 


VOLUME     XLII 


NUMBER      ONE 


I    U     L 
f       /    O 


■%^~-. 


21.   FfjsrtJeri   ende   Evangelien,   Haarlem,    14K6 
(From  Sthrt-tlen,  Dut:h  and  Flemish  Woodcuts) 


Zj.  Hi.rjrtir.  tj;.   7  .".it/:,  Hii.ii.iltm,  141,5    ^ixoii,  tnhreucn,  Duuti  ui.u  i  Umah  H 


22.    Hisrorit   van   Jason,    Haarlem,    1485 
*From  Schretlen,  Dutch  and  Flemish  \\  oodcuts) 


24.  Boeck  d4S  Guldens  Throens,  Haarlem,   148* 
(Courteiij-  of  the  Pierpont  Moriran  Librarj,* 


U       I 


u 


1 .  Rutbwell   Cross,  fippermom   Sertion 
(Drawinp  b^   Mis?  A.  C   Esmeijer) 


/>c<yua  nan  tarn  etfibi  yii--prtnnper.-PV-^inTun:  fitawnT»^i5'.3pdI»nr?  opiKa 

.-V--.  --^"^ 


r*r. 


>^ 


-*N     r 


/  r 


:^' 


■?i 


-^  X 


Ai 


a.  Ishmael  lutth  Hagar  atiiJ  His  Egyptum   Wije.  Brit.   Mus.   Cotton   Ms   Claudius 
B.   IV,  fol.  36'    ( pluiti)    C^mrtesy  of  thr  British   Musrutn) 


NOTES 


THE  ARCHER  IN  THE 
RUTH  WELL  CROSS 

ERNST  H.    KANTOROWIC7, 

Twd  higlily  suggrestivc  studies  were-  dt-voted  some 
time  acri)  to  the  Ruthwcll  Cross,  a  monument  of  prol>- 
ably  the  seventh  or  eij;hth  ccnturv,  near  the  Enghsh- 
SiTottisli  bonier,  which  combines  classical  elements  witii 
otlicrs  of  Anglian  or  Celtic  origin.  One  study  was 
written  h\  the  late  Professor  Saxl,^  and  the  other  one  by 
Professor  Meyer  Schapiro."  They  were  publishe.d  al- 
most simultaneously,  in  Spring  1945,  although  owing 
t(i  the  contingencies  of  wartime  communications  it  so 
iiappened  tiiat  the  autiiors  were  hareh  informed  of 
each  other's  doings.^  Whereas  Professor  Saxl  stressed 
the  Mediterranean  origin  of  the  iconographir  items  and 
of  some  stylistic  elements  of  the  representations  sculp- 
tured in  tlic  Cross  and  its  shaft,  Professor  Schapiro 
broadh  discusseil  the  religious  meaning  of  the  reliefs. 
Tile  latter"^  interpretation  of  the  Cross,  which  iie  came 
to  regard  as  a  landmark  of  Insular  asceticism  reflecting 
ideals  of  the  Egyptian  desert  fathers,  appears  particu- 
larh  persuasive.  In  fact,  most  of  the  subjects  repre- 
sented in  the  Cross  fall  in  with  the  idea  of  the  solitary 
life  of  the  hermits  in  tht  deserts  of  Egypt  or  Syria:  the 
Lord's  7  emptation  and  his  adoration  by  the  beasts  of 
the  desert,  St.  John  the  Baptist,  the  hermits  Paul  and 
Anthony,  St.  Man-  Magdalen,  who  was  believed  to  be 
a  recluse,  the  Flight  into  Egypt — those  are  the  out- 
Standing  themes  alluding  to  the  life  in  the  desert. 

There  is,  however,  one  figure  to  which  neither  Sax] 
nor  Schapiro  paid  mucii  attention ;  that  i&,  tlie  kneelinL' 
archer  (Fig.  i )  in  tiie  upper  part  of  the  Cross.  In  the 
caption  (jf  figure  i  (no.  9)  of  his  article,  Schapiro  in- 
troduced iiim  as  "Archer  Aiming  at  Bird,''  referring 
thereby  to  the  bird,  apparenth  an  eagle,  carved  in  the 
uppermost  stone  of  the  Cross. ■"  Whether  tin  archer 
realh  '"aims"  at  the  bird,  may  i)e  open  to  doubts;  but 
as  a  working;  hvpothesis  we  may  accept  the  suggestion. 
The  symbolism  of  the  eagle  in  Ciiristian  an  and  lore 
o])ens  tile  field  wideh  to  speculation.'  Saxl  iield  that 
"tlie  eagle  at  the  summit  must  undoubtedly  be  inter- 
preted as  :i  symbol  of  the  Ascension,"*  but  he  did  not 
combine  tlit  arciier  with  the  bird.  Instead,  tiie  archer 
reminded  him  of  Psalm  90:6,  "the  arrow  that  fiieth  by 
day,"  and  of  two  archers  in  the  representation  of  Psalm 
90  in  the  Utrecht  Psalter  who  point  their  weapons  at 


Christ  shown  as  he  treads  lion  and  adder  under  his 
feet.'  Saxl's  reference  to  that  Psalm  is  easily  explained 
h\  the  fact  that  Christ  is  represented  in  the  central 
section  of  the  Cross  standing  on  adder  and  lion,  which, 
however,  do  not  represent  the  conquered  fiend  hut  the 
desert  animals  adoring  the  Lord.  Schapiro  referred  to 
the  figure  of  the  archer  in  a  footnote  only.  He  believed 
that  the  archer  and  the  bird  did  not  have  a  "definite 
religious  sense,"  and  explained  the  scene  as  "one  of  the 
oldest  mediaeval  examples  of  secular  imagery  at  a 
terminal  point  of  a  religious  mfiniiment.'"*  He  thus 
seemed  to  think  of  a  hunting  scene  of  a  more  or  less  or- 
namental character,  disconnected  from  the  great  theme 
of  desert  life  which  otherwise  he  found  sf>  strongly 
empha.si7.ed  in  the  carvings  of  the  Cross. 

It  is  surprising  that  apparently  neither  Saxl  nor  Scha- 
pir(j  li.'ive  recalled — not  even  in  order  to  refute  it — one 
Biblical  model  that  seems  to  fit  so  weE  into  the  com- 
po.sition  of  the  Ruthwcll  Cross  and  almost  thrusts  itself 
iinon  the  reader,  especialh  the  reader  of  Schapiro's  il- 
luminating di.scus.sion.  Genesis  21:12-21,  narrates  the 
cruel  ston  of  Abraham's  treatment  of  Hagar,  the  bond- 
woman from  Egypt,  and  her  son  Ishmael.  At  the  im- 
perious bidding  of  Sarah,  who  had  watched  Ishmael 
playing  with  her  son  Isaac  (according  to  legendary' 
tradition,  Ishmael  had  jokingh'  aimed  his  bow  at 
Isaac),"  Aiiraham  was  forced  to  remove  Hagar  from 
his  hou.se.  He  gave  her  a  loaf  of  bread  and  a  skin  filled 
with  water  and  sent  her  away  together  with  Ishmael, 
the  son  whom  she  had  born  unto  him.  Hagar  wandered 
into  the  wilderness  of  Beersheba,  in  the  Negeb,  where 
the  water  was  soon  consumed.  She  cast  the  starving 
child  under  a  shrub,  and  sat  henself  down  "a  good  way 
off,  as  it  were  a  bowshot,"  to  avoid  being  bound  to  wit- 
ness the  death  of  her  child.  God,  however,  seeinr  her 
distress,  opened  her  eyes,  whereupon  siie  noticed  a  well 
of  water.  She  filled  the  empt^  skin  and  gave  the  lad  to 
drink.  "And  God  was  with  tiie  lad ;  and  he  jrrew  and 
dwelt  in  the  wilderness,  and  iiecamc  an  archer  (moratm 
est  in  solitudmr  jactusque  est  iuvenis  Sagittarius)  ;  and 
iie  dwelt  in  the  wilderness  of  Paran  [in  the  Sinai 
I'eninsula],  and  his  mother  took  him  a  wife  of  the 
land  of  Eg^^pt." 

If  really,  as  Schapiro  pointed  out  so  convincingly,  the 
carvings  m  the  Ruthwell  Cross  were  centered  on  themes 
of  the  Egyptian  desen  and  of  the  ascetic  life  in  the 
wilderness  in  general,  it  would  not  appear  too  far- 
fetched to  identify  the  archer  with  Ishmael.  The  rah- 


i.  I  .  Saxl,  "Tht  Ruthwell  Cross,"  Journal  of  ttu  Warburg 
and  CourtauLi  Institutes,  vi,   194J,  pp.   1-19. 

2.  Meyer  Schapiru,  "Tht-  Relipous  Meaninp  of  the  Ruth- 
well   Cross,"  ART  BULLETIN,  X.XV1,    1944,   pp.   232-245. 

3.  M.  Schapiro,  p.  233  n.  4,  sugg-ests,  however,  that  at  lea»t 
he  wa.'i  informed  about  Saxl's  forthconiinp  article. 

4.  Schapiro  (^platt  facinp  p.  232  )  calls  attention  to  the  fact 
that  tile  upper  pan  of  tlit-  Cross  iias  been  reversed.  Both  archer 
and  bird  an  better  recognizable  in  Sa.xl'.s  study,  pi.  4,  b  and  d. 
For  tht  drawing  oi  that  section  of  the  Cross  (Fig.  i  )  1  am 
greatly  obliged  to  Miss  Anna  C.  Esnieijer,  in  Princeton. 


5.  Sec  T.   Schneider,  art.  "Adler,"  Reallexii-on  jier  Anttkt 
uiiii  Ckrsttentum,  l,  cols.  9 iff. 
C.  F.  Saxl,  of.cit.,  p.  6. 

7.  Utrecht  Psalter,  fol.  S3^y  cd.  E.  DfV\ald,  Princeton, 
1932,  pL  LXXXIV. 

8.  M.  Schapiro,  of.cit.,  p.  238  n.  5-. 

9.  B.  Beer,  Leheti  Ahraiiam's  nach  Aufjassung  der  juducftev 
Sage,  Leipzig,  1859,  p.  49;  see  also  Louis  Ginzlwrg,  The 
Legetids  oi  tiK  Jevis,  Philadelphia,  194",  I,  pp.  z63{.  (a  work 
to  which  Professor  Kurt  Weitznianii  kindly  culled  my  atten- 
tion). 


U       I 


u   u 


58 


THE    ART    BULLETIN 


binic  tradition  lias  it  that  Ishmael  became  the  teacher 
and  master  of  all  archers,  and  in  another  tradition  it  is 
said  that  "he  aimed  at  birds.'""  It  is  true,  of  course, 
that  he  was  not  an  anchorite,  althoutrh  according  to  one 
tradition  he  became  a  penitent  during  the  lifetime  of 
Abraham."  Moreover,  the  fact  that  "God  was  with 
him"  and  protected  him  in  the  desert  has  to  he  taken 
into  account,  and  John  Chrysostom  makes  this  feature 
the  focal  point  of  his  cxejjesis  of  Genesis  21,  explaining 
that  there  was  even  greater  security  for  a  man  dwelling 
in  the  desert,  provided  that  God  was  his  friend,  than 
for  one  living  in  the  cities;  Chrysostom  returned  to  this 
subject  once  more,  thus  interpreting  Ishmael  chiefly  as 
a  pious  man  living  in  the  desert.'"  For  all  that,  however, 
Ishmael  as  an  archer  represented  another  type  of  desert- 
dweller  than  the  hermits,  one  who  through  the  descend- 
ants born  to  him  by  his  Egyptian  wife  became  the  epo- 
nvmic  forebear  of  the  Ishmaelites  or  A  gar  em,  the  Arab 
tribes"  that  according  to  the  legend  turned  against 
Israel'''  and  eventually,  b\-  accepting  the  faith  of  Ma- 
homet, also  turned  against  the  Christian  religion.  This, 
then,  was  the  fulfillment  of  the  divine  promise  (Genesis 
16:13)  that  went  to  Ishmael  even  before  he  was  born, 
saying:  "He  shall  he  a  wild  man.  His  hand  will  be 
against  all  men,  and  all  men's  hands  against  him."  And 
this  is  also  the  reason  why,  according  to  the  legend,  the 
angels  protested  against  showing  the  well  tt)  Hacar: 
"Why  sliould  Ishmael  have  water,  since  his  descendants 
will  destroy  the  Israelites  by  thirst.'"^'' 

It  would  be  difficult  to  tell  whether  or  not  the 
shooting  at  the  eagle  of  the  Ascension  (if  we  accept 
Saxl's  interpretation  of  the  bird)  should  be  considered 
significant  of  the  hostility  of  the  Ishmaelites  against 
Israel  and  against  the  new  chosen  people  of  Christ.  We 
should  not  forget  that  the  eagle  mav  symbolize,  on  the 
basis  of  Psalm  102:5,  and  of  Isaiah  40:31,  the  com- 
munit\-  of  the  chosen  with  God.^"  Also,  it  must  remain 
undecided  wiiether  the  arciier  in  the  Ruthwell  Cross 
is  really  aiming  at  the  bird  (as  suggested  by  Schapiro) 
or  shooting  in  vain  (comparable  to  the  archers  in  the 
Utrecht  Psalter),  or  not  shooting  at  the  bird  at  all. 

10.  B.  Beer,  of.cit.,  p.   169  n.  515. 

11.  Max  Seligsohn,  art.  "Ishmael,"  T/ie  Jewis/i  Encyclo- 
pedia, VI,  cols.  647f. 

12.  John  Chrysostom,  In  caf.  xxi  Genes.,  Homilta  XLVl, 
c.  2,  Pair,  gr.,  liv,  col.  425;  cf.  c.  4,  cols.  427f. 

13.  Genesis  25:12-18. 

14.  B.  Beer,  of.cit.,  p.  171  ;  Selipsohn,  in  Jeviish  Encyclof., 
VI,  col.  647. 

15.  B.  Beer,  of.cit.,  p.  51  ;  Selig-sohn,  loc.cit. 

16.  T.  Schneider,  "Adler,"  RAC,  1,  col.  92. 

17.  Francis  Wormald,  Englis/i  Draiuings  of  the  Tenth  and 
Eleventh  Centuries,  London,  1952,  pi.  19a  and  p.  67  (N.28  I  ; 
cf.  pp.  39f.,  for  the  hypothesis  that  "the  oripinal  lyinp  behind 
thf  Aelfric  Heptateuch  must  havf  been  an  important  earlv 
Christian  MS,"  thoufjh  the  artist  would  probably  have  followed 
"a  good  tenth  centur\  copy."  1  am  ohlig-ed  to  Dr.  Rosalie  B. 
Green   for  calling  my  attention  to  this  drawinfr- 

The  eagle,  it  is  true,  is  found  quite  often  in  the  reliefs  of 
ancient  Christian  sarcophagi,  holding  in  its  Ijeak  the  wreath 
surrounding  tin  Christograin  above  the  triumplial  Cross;  best 
visible  in  a  sarcophagus  at   Aries  and   Avignon    (J.   Wilpcrt, 


The   iconographic   pattern,   however,   of  Ishmael   the 

archer  shooting  at  a  bird  is  not  without  a  parallel,  though 
it  is  rare.  It  is  actually  found  in  Insular  art.  British 
Museum,  Cotton  Ms  Claudius  B.TV,  an  Aelfric  Hepta- 
teuch from  St.  Augustine's  in  Cantcrbiirj',  of  the  second 
quarter  of  the  eleventh  century,  displays  in  a  drawing 
(fol.  36')  a  handsome,  rather  princely-looking  youth, 
Ishmael,  who  points  his  arrow  at  a  bird  perched  on  top 
of  an  extravagantly  stylized  tree  and  big  enough  to  be 
identified  with  an  eagle  (Fig.  2)."  His  mother  Hagar, 
seated  to  the  left  side  of  the  tree,  makes  a  gesture  that 
suggests  that  she  wishes  to  stop  the  youthful  archer  from 
shooting  the  bird,  whereas  the  young  Egyptian  woman, 
Ishmacl's  wife,  seems  to  soothe  the  anxiety  of  her 
mother-in-law.  The  representation  of  Ishmael  the  arch- 
er, though  suggested  by  the  Bible,  does  not  belong  to  a 
fixed  cycle  of  pictures;  but  it  is  found  occasionally,  for 
example  in  a  Rembrandt  etching,  where  the  lad  is 
shown  as  an  archer  even  in  his  father's  house,  at  the 
time  when  Abraham  was  host  to  his  three  angelic 
visitors.^*  Again,  the  legendary  tradition  mentions  that 
Ishmael  was  present  on  that  occasion."' 

The  stor}'  of  Ishmael  is  referred  to  once  more  in 
the  Bible:  by  St.  Paul,  in  his  Epistle  to  the  Galatians 
4:22-31.  The  ston-  is  garbled,  because  the  Apostle, 
introducing  Ishmael  as  the  son  secundum  camcm  as 
distinguished  from  Isaac,  Abraham's  son  secundum 
fromissioncm  or  se.cmtdum  spiritum  tries  to  demonstrate 
that  it  is  always  the  son  according  to  the  flesh  who  will 
persecute  the  son  according  to  the  spirit  and  to  promise, 
and  "even  so  it  is  now."^"  Therefore  he  claims  that 
Isiimael  -persecuted  Isaac,  a  statement  refuted  by  St. 
Jerome,-'  whose  words  later  were  taken  over  verbatim 
by  the  Glossa  orditiaria  on  the  Bible. "-  The  Apostle  may 
have  followed  a  Haggadah  or  Targum  tradition  when 
he  maintained  that  Ishmael  persecuted  Isaac,"  just  as 
Jerome  followed  legendary  tradition  when  he  broadly 
discussed  the  issue  of  inheritance  which  allegedly  sepa- 
rated Ishmael  from  Isaac."  Thereafter,  however, 
Jerome  fell  in  with  St.  Paul's  arguments  and  held  that 
those  living  carnalh-  will  always  persecute  with  Ishmael 

/  tarcofagi  cristtani  antichi,  Rome,  1929-1936,  II,  pi.  146,  fig. 
2  i  see,  for  other  examples  and  for  the  literature  on  the  subject, 
Schneider,  '-Adler,"  KAC,  i,  col.  92).  But  even  should  that 
wreath-holding  eagle  be  more  than  a  decorative  element,  it  is 
iconographically  too  different  from  the  eagle  in  the  Ruthwell 
Cross  to  have  any  relevance  here. 

18.  Bartsch  29,  Etching  of  1656,  to  which  Professor  Erwin 
Panofsky  obligingly  called  my  attention. 

19.  C£.  B.  Beer,  of.cit.,  p.  39  n.  414. 

20.  For  a  hodiernal  application  of  the  Pauline  version,  see 
Erik  Peterson,  "Die  Kirciie  aus  Juden  und  Hciden,"  in  his 
Tfieologische  Traklate,  Munich,   1951,  pp.  2416. 

21.  Hieronymus,  In  Epist.  ad  Galat.,  c.  iv,  29-31,  ?atr.  lat., 
XXVI,  col.  419AB:  "Non  puto  invenire  nos  {non  in  text  is 
wrong]   posse  ubi  Isniael  persecutus  fuerit  Isaac." 

22.  Patr.  lat.,  CXiv,  col.  582B. 

23.  B.  Beer,  of.cit.,  p.  49.  Set,  however,  also  Genesis  16:12: 
"manus  eius  contra  oiiiiies." 

24.  Hieronymus,  loc.cit.  For  tlie  expulsion  of  Ishmael  as  an 
act  of  disinheritance,  see  B.  Beer,  of.cit.,  p.  49,  also  p.  6 1 . 


>   C    n 
u      I    J    u 


NOTES 


59 


the  Isaacs,  that  is,  those  baptized  and  rising  again  with 
Christ  and  setting  their  affection  on  things  above,  not 
on  things  on  earth  (Col.  3:2),^''  or,  as  Augustine  said, 
always  persecute  the  sursum  J erusaLem.'^'^ 

Whether  it  could  be  argued  that  the  archer  in  the 
Ruth  well  Cross  carvings  is  aiming  at,  and  therewith 
persecuting,  a  sursum  Jerusalem  or  one  of  its  equiva- 
lents, will  remain  a  matter  of  interpretative  speculation. 
Less  speculative  is  perhaps  another  hit  of  evidence,  that 
of  the  Lectionaries,  whicii  seems  to  connect  the  Ishmael 
Story  with  the  season  of  Lent.  The  First  Sunday  of 
Lent  has,  according  to  oldest  Roman  usage,  the  Gospel 
of  Matthew  (4:1-11)  describing  the  Temptation  of 
Christ  in  the  wilderness."'  Since  in  that  passage  (verse 
6)  Satan  refers  to  Psalm  90:11,  we  find  that  the 
Gradual,  and  the  Tractus  thereafter,  are  covered  by 
Psalm  90:  "Thou  shalt  tread  upon  the  lion  and  the 
adder."^*  The  Genesis  passage  about  Ishmael  (21:12- 
21)  is,  of  course  absent  from  the  Roman  system  of 
pericopes,  because  the  Old  Testament,  if  we  except 
Psalter  and  Prophets,  is  read  only  on  few  occasions.  In 
the  Mozarabic  Liher  Com?nicus,  however,  the  Genesis 
passage  is  read  on  the  Thursday  of  the  First  Week  of 
Lent,  whereas  the  prophecy  about  Ishmael  (Genesis 
16:12)  belongs  to  the  Lesson  of  the  preceding  da)^ 
Wednesday  after  the  First  Sunday  of  Lent.^"  Rome  has 
the  Ishmael  stort-  nevertheless  in  the  Epistle  on  the 
Fourth  Sunday  of  Lent,  the  passage  (Galatians  4:22- 
31)  that  in  the  Liher  Commicus  is  read  on  the  Nativity 
of  St.  John  the  Baptist,  a  day  likewise  connected  with 
the  idea  of  the  wilderness.^"  While  all  that  may  be 
inconclusive,  the  pericopes  show  none  the  less  that  Ish- 
mael has  some  right  to  be  present  in  a  climate  in  which 
the  ideas  of  asceticism  and  desert  life  prevail. ^^ 

I  believe,  therefore,  that  we  may  safely  work  with  a 
hypothesis  holding  forth  that  the  archer  in  the  Ruthwell 
Cross  refers  to  Ishmael  in  the  wilderness.  This,  at  an}' 
rate,  seems  a  more  satisfactory  solution  than  the  assump- 
tion according  to  which  a  purely  decorative  configura- 
tion, having  no  religious  meaning  at  all,  was  displayed 
by  archer  and  eagle  in  the  summit  of  the  RuthweD 
Cross. 

INSTITUTE  FOR  ADVANCED  STUDY 
PRINCETON,    N.J. 

25.  Hieronynius,  of.cit.,  col.  420A:  "Hodie  quoque  hi 
qui  .  .  .  vivunt  carnaliter  persequuntur  eos  qui  ex  aqua  et 
spiritu  nati  sunt  et  cum  Christo  resurgentes  ea  quaerunt  quae 
sursum  sunt,  non  dcorsum.  Faciant  quod  volunt:  cum  Ismacle 
persequantur  Isaac.  .  .  ." 

26.  Aug-ustinus,  Efistolae  ad  Galatas  exfoshio,  §40,  Pair, 
lat.,  XXXV,  cols.  2i33f. 

27.  T.  Klauser,  Das  romisc/ie  Capitulare  Evangeliorum 
(Liturgiefreschichtlichf  Quellen  und  Forschuiigen,  2S),  Miin- 
ster,  1935,  I,  pp.  19  [no.  56],  65  [no.  64],  107  [no.  60], 
146  [no.  73],   175   [no.  64]. 

28.  For  tht;  Tractus,  which  is  characteristic  of  the  mass  in 
Lent,  see  J.  A.  Jungmann,  Missarum  Sollemnia,  2nd  ed., 
Vienna,  i949>  '<  PP-  53 if-  The  inner  connection  of  the  Tempta- 
tion with  Psalm  90  has  l)een  pointed  out  by  F.  Saxl,  of.cit., 
p.  2,  and  by  M.  Schapiro,  of.cit.,  p.  233. 

29.  Liber   Commicus,   ed.   Fray    Justo   Perez   dc    Urbel    and 


THE  ARTISTIC  EVOLUTION 
OF  DAVID'S  OATH 

F.   HAMILTON   HAZLEHITRST 

Of  all  tlic  paintings  executed  b)'  Jacques-Louis  David, 
probably  the  best  known  is  the  Oath  of  the  Horatii  (Fig. 
i).  During  its  day  it  created  a  tremendous  stir  among 
both  amateur  art  lovers  and  critics.  While  there  have 
been  papers  written  on  the  origins  of  the  theme  of  the 
Oath  of  the  Horatii  and  the  handling  of  the  composi- 
tion, the  evolution  of  the  painting  from  its  genesis  to  its 
completion  has  not  as  yet  been  thoroughly  investigated. 
The  rational,  creative,  and  thinking  processes  of  this 
famous  Neoclassic  French  painter  arc  significant.  In 
the  present  paper  we  shall  attempt  to  study  the  reasons 
for  the  successive  changes  David  made  in  the  prelimi- 
nary sketches  of  the  work. 

It  is  ironic  that  the  painting,  which  was  later  re- 
garded by  many  as  an  ode  to  and  justification  of  re- 
bellion, was  in  fact  commissioned  by  Louis  XVI  himself, 
who,  as  we  are  told,  greatly  admired  the  finished  work. 
Indeed,  since  Louis  XVI's  commission  was  granted  in 
1 783,  we  may  say  that  the  Oath  was  painted  on  the  eve 
of  the  French  Revolution.  David  probably  did  numer- 
ous preliminary  sketches  for  the  picture  while  in  Paris; 
but  the  actual  painting  was  executed  in  Rome  in  1784, 
and  it  was  exhibited  at  the  Parisian  salon  the  following 
year. 

It  is  most  likely  that  the  initial  impetus  behind  the 
painting  was  a  play  by  Corneille.^  The  stor^',  however, 
derived  ultimately  from  Roman  histori.^  In  order  to 
determine  which  tribe  was  to  have  dominion  over  the 
other,  the  three  brothers  Horatii  were  chosen  by  the 
Romans  to  battle  in  single  combat  representatives  of 
the  rival  Albans.  Unfortunately,  the  Albans  selected 
the  Curiatii,  three  brothers  who  had  close  family  ties 
with  the  Horatii.^  The  Horatii  carried  off  the  victory 
but  not  without  the  death  of  two  of  them.  The  remain- 
ing triumphant  brother  returned  to  Rome  where  he  was 
rebuked  by  his  sister,  Camilla,  for  killing  her  betrothed. 
Forthwith,  to  the  consternation  of  the  people,  he  drew 
his  sword  and  slew  her.  While  his  daughter-in-law, 
Sabina,  wife  of  the  young  Horatius  and  sister  of  the 
fallen  Curiatii,  grieved,  the  aged  Horatius,  in  a  declam- 

Atilano  Gonzales  y  Ruiz-Zorilla  (Monumenta  Hispaniae  sacra, 
Ser.  Liturpica,  11),  Madrid,   1950,  I,  pp.   i02f.  and  96f. 

30.  Liher  Commicus,  n,  pp.  4.47f. 

31.  See  above,  nn.  1  i  and  12,  for  the  concept  of  Ishmael  as 
a  penitent. 

1.  The  drama,  first  presented  in  1639,  was  entitled  Les 
Horaces. 

2.  The  probable  iconog-raphic  sources  for  David's  painting 
have  been  ably  worked  out  by  Edgar  Wind  in  an  article 
entitled,  "The  Sources  of  David's  Horaces"  {Journal  of  the 
Warburg  and  Courtauld  Institutes,  1940-1941,  iv,  pp.  124- 
13S). 

3.  Horatius,  the  eldest  of  the  three  brothers,  was  married 
to  Sabina,  the  sister  of  the  Curiatii;  Camilla,  the  only  daughter 
of  the  aged  Horatius,  was  betrothed  to  Curiatius,  the  eldest 
of  the  three  Alban  brothers. 


U       I     J 


60 


THE    ART    BULLETIN 


atory  speech,  defended  his  son's  actions.  'J'he  moral  of 
the  play  was,  then,  that  duty  and  tiie  defense  of  one's 
country  were  of  greater  importance  than  personal  ties 
of  familial  affection. 

David  saw  a  performance  of  Corncille's  drama  given 
in  Paris  at  the  end  of  i  782  by  some  of  the  finest  actors 
of  the  day.  He  was  apparently  much  moved  by  the  play, 
and  when  Louis  XVI  commissioned  a  painting,  this 
was  the  subject  that  the  artist  submitted  for  approval.* 

The  painter's  first  interpretation  of  the  story  (Fig. 
2)"''  shows  the  old  father  standing  on  a  platform,  with 
one  arm  dramatically  outstretched,  gesturing  to  the 
crowd,  and  the  other  embracing  the  shoulders  of  his 
stalwart  son.  At  the  foot  of  tlie  steps  lies  the  body  of 
the  newly  slain  Camilla;  Sabina,  her  head  in  her  hands, 
grieves  beside  her.  Other  figures  appear  to  be  charging 
up  the  steps,  ready  to  attack  the  cruel  son  of  the  old 
Horatius.  The  scene  is  one  of  action  and  melodrama. 
In  its  basic  disposition  it  suggests  a  certain  afliliation  to 
Domenichino's  Martyrdom  of  St.  Andrew  (Fig.  3).* 
In  both  cases,  the  central  figures  are  placed  in  the  right 
foreground,  a  temple  wall  is  seen  in  the  middle  ground 
with  figures  standing  and  seated  within  the  portico,  and 
in  the  far  distance  is  a  columned  classical  facade.  It  is 
known  that  David  greatly  admired  the  works  of  Do- 
menichino  and  made  sketches  after  his  paintings  during 
his  first  sojourn  in  Italy  between  I  775-1780.  It  would 
be  strange  indeed  if  he  had  not  sketched  this  well- 
known  picture  while  there. 

However,  another  artist  and  another  painting  ob- 
viously figured  far  more  prominently  in  the  evolution 
of  the  Oath  of  the  Horatii.  In  his  biography  of  the 
artist,  Jules  David,  the  painter's  grandson,  specifically 
designates  Poussin's  Rape  of  the  Sahine  Women  as  the 
painting  that  influenced  the  Oath  (Fig.  4).'  David 
himself  is  quoted  as  having  said,  "Si  c'est  a  Corneille 
que  je  dois  mon  sujet,  c'est  a  Poussin  que  je  dois  mon 
tableau.""  Yet,  David's  first  sketch  of  the  Oath  seems 
quite  unrelated  to  the  composition  of  the  Sabincs.  The 
fine  classical  balance  of  Poussin's  painting  is  entirely 
lacking.  The  similarities  lie  rather  in  the  common  feel- 
ing of  animation.  It  may  be  said  that  the  idea  of  placing 
two  important  figures  on  a  platform,  one  of  whom  re- 
mains relatively  calm  amidst  a  scene  of  general  frenzy, 
IS  not  unlike  Poussin ;  also,  the  geometric,  architectural 
arrangement  of  the  background  is  similar.  Only  one 
specific  detail  links  Poussin's  Sabmes  unquestionably  with 
this  earl)-  sketch  of  the  Oath,  that  being  the  figure  in 

4.  The  proposed  painting  was  described  in  a  letter  from 
Anpiviller  to  David  approving  the  artist's  proposed  subject 
(Archives  Nationales  0I1932).  "Horace,  vainqueur  des  trois 
Curiaces,  condamne  a  niort  pour  le  nieurtre  de  Camille,  sa 
soeur,  defend  u  par  son  pcre  au  moment  ou  les  licteurs  I'en- 
trainent  au  supplice  et  absous  par  le  peuple  louche  de  ce 
spectacle  et  du  grand  service  qu'il  vient  de  rendre  a  sa  patrie." 
This  letter  was  cited  by  Alexandre  Peron,  Examen  du  tableau 
des  Horaces,  Paris,  1839. 

5.  Louvre,  no.  3196.  There  arc  numerous  extant  preliminary 
drawings  for  the  Oat/i.  Only  those  considered  vital  in  the 
evolution  of  the  picture   will  be  singled   out. 

6.  This  similarity  of  disposition  has  been  pointed  out  by 
K.    Holma,   David,   son   e<vo/ution  et  son  style,   Paris,    1940, 


the  short  tunic  who  rushes  up  the  steps  with  his  right 
foot  alread)'  at  the  level  of  the  two  Horatii.  This  man 
strongly  recalls  the  running  figure  in  the  right  fore- 
groimd  of  Poussin's  picture.  The  position  of  the  feet, 
legs,  torso,  and  right  arm  is  identical;  even  the  fall  of 
the  drapery  folds  over  the  upper  leg  is  treated  in  a 
comparable  manner. 

David,  seemingly  very  concerned  that  this  royal  com- 
mission should  be  an  outstanding  success,  wished  advice 
and  so  explained  his  project  to  a  number  of  his  friends." 
Some  believed  that  there  was  not  enough  action  in  this 
particular  scene  as  rendered  in  the  drawing,  and  sug- 
gested that  he  paint  the  actual  battle  between  the 
Horatii  and  the  Curiatii.  It  appears  that  David  found 
these  ideas  not  at  all  to  his  liking,  for  bloodshed  as  such 
is  ultimately  not  a  part  of  the  final  composition.  Perhaps 
he  felt  that  such  an  interpretation  would  place  too  great 
an  emphasis  on  the  momentary  both  in  actual  physical 
attitudes  and  in  the  over-all  content.  Instead,  David 
chose  a  moment  from  the  Horatii  story  that  would  most 
readily  lend  itself  to  the  idea  of  classical  serenity  and  a 
dauntless  moral  fortitude;  this  solution  enhanced  the 
sense  of  permanent  values  which  is  indeed  the  essential 
content  of  the  painting. 

Thus,  the  second  sketch  for  the  Oath  to  be  con- 
sidered (Fig.  5)"  reveals  an  entirely  different  episode 
of  the  heroic  story,  for  it  portrays  the  actual  oath-taking 
of  the  three  brothers  Horatii,  one  of  whom  is  being 
presented  with  the  implements  of  battle  by  his  father. 
It  is  uncertain  whether  this  drawing  was  done  in  Paris 
or  after  David's  return  to  Rome  in  the  latter  part  of 
1784.  I  think  it  is  more  likely  that  this  second  sketch 
was  executed  in  Rome,  for  it  definitely  bears  the 
marked  influence  of  another  painting  by  Nicolas 
Poussin,  The  Death  of  Germanicus,  formerly  in  the 
Palazzo  Barberini  in  Rome  and  now  in  the  Minne- 
apolis Institute  of  Arts  (Fig.  6).  It  seems  only  logical 
that  David  should  return  at  this  time  for  another  look 
at  the  great  Poussin  in  Rome,  although  he  could  have 
made  sketches  of  this  particular  work  on  his  first  trip 
to  Italy.  In  any  event,  this  painting  appears  to  be  of 
considerable  importance  in  the  evolution  of  the  Oath. 
First  of  all,  the  story  of  the  death  of  Germanicus 
and  the  specific  scene  chosen  by  Poussin  is  not  far 
removed  from  certain  aspects  of  the  Horatii  theme. 
The  subject  for  Poussin's  Death  of  Germanicus  is 
derived  from  Tacitus."  We  see  in  the  picture  the 
Roman  general  reclining  on  his  death  bed,  surrounded 


p.  45  n-  19- 

7.  Jules  David,  Le  feintre  Louis  David,  souvenirs  et  docu- 
ments inedils,  Paris,   1880. 

Poussin's  Rafe  oj  the  Sahine  Women  was  at  the  time  in  the 
Royal  Collection  at  the  Palais  Royal  in  Paris  which  was  open 
to  the  public. 

8.  This  quotation  is  found  in  Alexandre  Peron,  Examen 
du  tableau  des  Horaces,  Paris,   1839,  p.   31. 

9.  Among  those  called  in  for  consultation  concerning  the 
proper  subject  matter  of  the  painting  were  Trudaine,  Wailly, 
the  architect,  Le  Brun,  the  art  dealer,  and  Moitte,  the  sculptor. 
See  Louis  Hautecoeur,  Louis  David,  Paris,   1954,  p.  71. 

10.  This  drawing  is  in  the  fecole  des  Beaux-Arts,  Paris. 

11.  Tacitus  Annales  11.  72. 


U       I     J    L 


NOTES 


61 


by  his  faithful  soldiers  and  his  wife,  Agrippina,  and 
their  children  who  mourn  beside  him.  With  his  last 
words  the  dying  Gcrmanicus  accuses  Tiberius  of 
poisoning  him.  In  response  to  this  revelation,  one  of 
the  warriors  who  stands  in  the  center  of  the  composi- 
tion raises  his  right  arm  and  swears  to  avenge  his 
general's  death.  The  theme  of  vengeance  because  of 
moral  duty  seen  in  the  Poussin  and  the  idea  of  the 
three  Horatii  taking  the  oath  to  save  the  state  are  not 
dissimilar. 

As  soon  as  David  had  decided  to  interpret  the  drama 
in  the  physically  less  rigorous  aspect  of  the  oath-taking, 
he  turned  to  another  aspect  of  Poussin  that  contained 
many  of  the  elements  appropriate  for  his  desired  scene. 
A  close  examination  of  the  David  sketch  and  the 
Death  of  Gcrmanicus  reveals  a  number  of  partially 
concealed,  cleverly  assimilated  ideas.  First,  in  Poussin's 
painting  there  is  the  general  grouping  of  the  soldiers 
to  the  left  and  the  grieving  women  to  the  right  which 
finds  a  parallel  in  the  David  drawing.  David's  group 
of  young  warriors  is  nothing  more  nor  less  than  a 
modification  of  the  soldiers  in  the  Death  of  Grrmanicus. 
In  his  stance,  the  David  warrior  of  the  first  row  is 
close  indeed  to  the  helmeted  and  cloaked  figure  seen 
in  the  Death.  The  figure  of  the  spear-bearing  soldier 
in  the  second  plane  of  the  David  sketch  is  merely  a 
modification  of  the  Roman  warrior  at  the  extreme  left 
in  the  Death  of  G ermanicus }^  David,  at  this  stage, 
must  have  still  felt  that  the  elder  Horatius  would  be 
most  appropriately  drawn  in  a  long  Roman  toga  and 
so  he  retained  this  type  of  dress  which  is  basically  simi- 
lar to  that  found  in  the  portrayal  of  the  old  man  in 
his  first  sketch  of  the  Oath.  The  group  of  mourning 
women  in  David's  drawing  shows  a  freer  interpreta- 
tion of  the  Poussin  figures,  but  that  they  ultimately 
derive  from  those  in  Poussin's  Germanicus  is  certain. 
There  is  a  corresponding  pyramidal  grouping.  Al- 
though, in  contrast  to  Poussin,  David  places  a  kneeling 
figure  in  the  lap  of  the  seated  Sabina,  Sabina  herself  is 
simply  a  combination  of  two  figures  in  Poussin's  paint- 
ing— the  seated  woman  and  the  woman  holding  the 
child  who  stands  immediately  behind  her.  In  the  latter 
figure,  the  position  of  the  head  and  the  contour  of  the 
shoulder  and  arm  quite  definitely  find  their  counter- 
parts in  the  Sabina  of  the  sketch.  A  third  figure  appears 
in  this  David  drawing,  although  it  seems  that  the  painter 
was  less  certain  of  the  efficacy  of  this  figure  which 
leans  over  to  embrace  the  two  mourning  women.  The 
initial  idea  for  this  spectrelike  image  could  have  been 
derived  from  the  woman  lifting  the  child  in  the  Death 
scene,  but  this  analogy  should  not  be  pushed  too  far. 
It  is  important,  however,  in  view  of  the  development 
of  the  Oath,  to  note,  at  least,  the  shadowy  presence 
of  this  figure. 

Once   we   can  accept  the  idea  that  the  Death  of 


Germanicus  was  instrumental  in  determining  both  the 
mood  and  the  essential  design  of  the  Oath  of  the 
Horatii,  we  should  look  at  the  sketcli  in  relation  to  the 
finished  rendering  of  the  Oath  (Fig.  l)."  The  major 
difference  which  immediately  strikes  the  eye  is  the 
absence  of  a  classical  unity  in  the  sketch  and  the  final 
change  of  emphasis  in  the  picture  itself. 

In  the  drawing,  the  group  of  mourning  women  is 
somewhat  pushed  to  the  foreground,  thereby  giving 
as  much  prominence  to  these  figures  as  to  the  Horatii 
themselves.  In  the  painting,  the  disconsolate  group  has 
been  slightly  moved  back  toward  the  middle  ground 
so  that  the  more  important  figures  of  the  actual  oath 
taking  are  given  proper  emphasis.  The  young  Horatii 
of  the  sketch  do  not  emerge  as  a  powerful,  consolidated 
group.  There  is  a  feeling  of  uncertainty  in  their  rather 
haphazard  arrangement;  and  their  relationship  with 
the  mourning  figures  on  the  right  appears  timid  and 
not  well  integrated.  How  different  is  the  final  arrange- 
ment of  the  youthful  Horatii,  for  in  their  stalwart  and 
dynamic  stance  there  is  a  fine  sense  of  the  unity  of 
purpose  and  the  ideals  that  will  carry  them  to  triumph 
in  the  field.  The  women  in  this  picture  form  a  clearly 
subordinate  group.  Perhaps  the  weakest  of  all  of  David's 
figures  in  this  second  sketch  is  the  aged  Horatius, 
inasmuch  as  his  pose  is  without  vigor.  David  must  have 
been  cognizant  of  this  weakness,  for  the  figure  of  tlie 
elder  Horatius  becomes  one  of  the  strongest  charac- 
terizations in  the  final  painting.  There,  the  long  toga 
is  abandoned,  to  be  replaced  by  the  simple  tunic.  The 
solid  stance  of  this  figure  from  the  waist  down  follows 
explicitly  that  of  the  powerful  young  Horatius  of 
David's  first  sketch  for  the  Oath. 

Certainly  the  most  marked  difference  between  the 
second  sketch  and  the  finished  painting  lies  in  the 
essential  unity  achieved  in  the  latter,  a  unity  which  is 
largely  absent  in  the  preliminary  drawing.  The  back- 
ground arcade  seems  to  add  focus  to  the  three  different 
parts  of  the  painting,  the  young  Horatii,  their  father, 
and  the  group  of  their  mourning  women. ^*  The  paint- 
ing further  divides  itself  into  two  groups,  that  of  the 
actual  oath  swearing,  revealing  in  the  male  figures 
the  sense  of  physical  might  and  moral  strength,  and 
that  of  the  women  and  children  who  display  in  their 
forlorn  attitudes  a  sense  of  feminine  weakness  and 
desolation.  The  Horatii  of  the  painting  are  strongly 
marked  in  terms  of  composition  by  the  sharp  diagonal 
of  the  spear  held  by  the  younger  Horatius  at  the  left; 
there  is  a  second  emphatic  diagonal  formed  by  the 
stance  of  these  figures,  extending  through  their  legs, 
bodies,  and  heads.  This  is  countered  by  the  attitude  of 
the  father  which  creates  a  diagonal  going  up  in  the 
opposite  direction;  these  diagonals  combined  stress  a 
V-shape  in  the  composition  of  the  painting.  The  apex 
of  the  whole  design  is  slightly  off  center  and  can  be 


12.  David  has  only  roughly  drawn  in  the  prominent  cloak 
thrown  over  the  shoulder  of  the  warrior  in  the  Poussin 
paintinp. 

13.  The   painting   is   in   the  Louvre,   No.    189. 

14.  David   doubtless  saw  similar  arcades  in   Italy.   Holma 


(op.cit.,  p.  39)  reproduces  a  photograph  of  one  of  these  extant 
arcades  which  is  almost  identical. 

For  further  discussion  of  the  architectural  background,  see 
Rene  Crozef,  "David  et  I'architecture  neo-classique,"  Gazette 
des  Beaux-Arts,  April   1955,  pp.   211-220. 


62 


THE    ART    BULLETIN 


seen  to  focus  on  the  cluster  of  swords,  now  held  high 
by  the  aged  Horatius  as  he  invokes  the  aid  of  the  gods 
for  their  divine  assistance.'*  In  David's  painting,  the 
women  to  the  right  appear  as  a  secondary  appendage, 
but  they  are  linked  to  the  Horatii  figures  in  terms  of 
the  over-all  composition,  for  the  left  foot  of  the  elder 
Horatius  visually  leads  directly  to  the  seated  female 
figure.  A  distinct  diagonal  is  thus  created  which  be- 
comes one  side  of  a  clearly  marked  triangle  formed 
by  the  two  figures  of  Camilla  and  Sabina. 

But  again,  David  has  not  achieved  this  compositional 
unity  without  the  shadow  of  Poussin  falling  heavily 
upon  him.  To  ascertain  this,  we  must  refer  again  to 
Poussin's  Rafe  of  the  Sabines.  To  the  left  of  this 
painting  are  two  figures  of  lictors  standing  immediately 
below  the  platform.  Each  stands  with  one  arm  ex- 
tended directly  outward.  The  one  nearest  the  picture 
plane  turns  his  back  to  the  viewer,  and  his  legs  are 
placed  solidly  apart;  his  fellow  Roman  faces  him,  his 
right  foot  pointing  into  the  foreground.  In  the  stance 
of  these  two  figures  there  is  a  distinct  affinity  with 
those  of  the  young  Horatii  of  David's  painting.'"  The 
artist  has  merely  made  slight  modifications;  he  has 
added,  of  course,  the  third  brother  and  has  made  the 
group  more  solidly  compact  than  that  in  Poussin's 
painting.  The  conception  of  the  elderly  father  as  a 
figure  of  great  physical  strength  and  of  obvious  plebeian 
simplicity  is  probably  also  derived  from  the  Sahmes. 
The  heavy  muscular  bearded  man  seen  fleeing  in  the 
right  forejrround  of  Poussin's  painting,  whose  pose 
was  used  eariier  in  David's  first  drawing  for  the  Oath, 
is  now  plainly  similar  in  type  (although  dissimilar  in 
pose)  to  that  of  the  old  Horatius  of  David's  finished 
painting. 

In  terms  of  composition  perhaps  we  may  draw  one 
further  analogy  between  these  two  works.  As  in  the 
Oath  of  the  Horatii,  we  find  a  diagonal  starting  at  the 
top  of  Poussin's  picture  at  the  extreme  left  in  the 
cornice  of  the  building  and  descending  to  approximately 
the  middle  of  the  painting;  this  diagonal  is  countered 
by  one  ascending  up  to  the  right,  the  whole  forming  a 
V-design  similar  to  David's  composition.  And  to  the 
right,  outside  of  this  triangular  device,  is  an  important 
but  secondary  episode  in  the  drama,  a  soldier  leaning 
over  to  seize  a  young  girl  from  the  hands  of  an  old 
woman.  The  actual  apex  of  Poussin's  painting  is  very 

15.  This  unity  of  focus  was  lacking  in  the  sketch  derived 
from  Poussin's  Germanicus  where  only  one  of  the  sons  appears 
to  receive  the  swords. 

16.  The  similarity  of  one  of  Poussin's  lictors  with  the 
stance  of  the  young  Horatius  was  pointed  out  by  \.  Peron, 
Examen  du  tableau  des  Horaces,  Paris,  1839,  P-  3«. 

\  7.  The  original,  formerly  in  the  Moltke  Collection,  is 
now  in  the  Statens  Museum  for  Kunst  in  Copenhagen.  There 
are  several  copies  and  numerous  engravings  of  the  work.  See 
E.  Magne,  Nicolas  Poussin,  fremier  feititre  du  roi,  Brussels 
and  Paris,    1914,   pp.    219-220. 

18.   It  is  located  in  the  Palais  des  Beaux-Arts,  Lille. 

This  drawing  bears  the  inscription,  L.  David,  inv.  iyS2. 
Since  the  drawing  was  done  in  Rome,  its  actual  execution 
doubtless  dates  from  1784.  A  close  examination  of  the  inscrip- 
tion shows  the  actual  date  below  the  signature  to  be  distinctly 


much  like  that  of  the  Oath,  that  is,  it  is  seen  in  the 
middle  ground  a  little  to  the  left  of  center  in  the 
canvas  in  the  area  between  the  charging  horseman  and 
the  seized  and  elevated  Sabine  woman. 

It  is  interesting  to  note  that  in  the  first  borrowing 
from  Poussin's  Rafe  of  the  Sabine  Women,  David 
was  satisfied  with  capturing  the  older  artist's  sense  of 
drama,  the  tenseness  and  movement  of  figures.  When 
David  again  turns  to  Poussin's  Sabines  it  is  apparently 
for  reasons  of  classical  composition  in  terms  of  harmony 
and  balance.  This  was  a  vital  step,  for  as  we  have 
already  seen,  it  was  sorely  needed  in  David's  second 
sketch  in  order  to  pull  his  composition  together  into 
a  meaningful  whole. 

There  are  a  number  of  missing  pieces  to  the  puzzle 
of  the  Oath's  evolution.  Of  course,  many  of  the  modifi- 
cations of  design  must  be  credited  to  David's  own 
inventiveness.  But  at  least  one  other  painting  by 
Nicolas  Poussin,  the  Testament  of  Eudaynidas  (Fig. 
7),"  must  be  cited  in  connection  with  the  origins  of 
David's  great  painting.  It  cannot  be  said  with  cer- 
tainty that  David  ever  saw  this  painting,  but  it  was 
known  through  engravings  during  the  lifetime  of  the 
artist.  If  we  compare  Poussin's  work  with  one  of  the 
last  preliminary  drawings  before  the  actual  execution 
of  the  Oath  of  the  Horatii  (Fig.  8),'*  which  we  shall 
refer  to  as  the  Lille  drawing,  I  think  we  shall  have 
to  accept  the  suggestion  that  this  death  scene  too  is 
involved  in  David's  masterpiece. 

The  mourning  figure  who  rests  her  head  in  the  lap 
of  the  old  woman  is  surely  the  most  Davidian  of  all 
Poussin's  figures  thus  far  cited.  In  its  mood  and  posture 
It  is  not  far  removed  from  the  Lille  drawing,  and 
indeed,  is  quite  close  to  the  central  seated  figure  in  the 
final  composition.  If  this  were  the  only  analogy  between 
the  two  works,  then  the  comparison  might  be  termed 
coincidental,  but  there  are  several  other  features  that 
would  appear  to  make  the  comparison  justifiable.  On 
the  wall  in  the  background  of  the  Death  of  Eudamidas 
hangs  a  spear,  a  shield,  and  several  daggers.  Also  to 
be  noted  in  Poussin's  picture  is  the  round  table  with 
panther-headed  supports.  Both  of  these  elements  are 
to  be  found  in  the  Lille  sketch,  modified  to  be  sure,  but 
nevertheless,  essentially  the  same.'"  In  the  Lille  draw- 
ing, the  old  woman  who  supported  the  girl  in  the 
Poussin  painting  is  seen  doubled  up  in  grief  over  the 

by  another  hand;  and  hence,  it  was  probably  added  at  a  later 
date.  Even  if  the  1782  date  on  the  sketch  is  accepted  as  David's, 
the  year  in  all  probability  refers  to  the  time  of  David's  decision 
to  portray  a  scene  inspired  by  the  story  of  the  Horatii.  The 
artist's  signature  is  almost  always  either  David  fecit  or  David 
/acie^a/.  Occasionally  he  uses  invenit  but  usually  in  conjunction 
with  fecit  or  faciebat  to  indicate  that  the  drawing  or  painting 
was  conceived  and  executed  at  the  same  time. 

19.  The  shield  is  of  a  different  shape  in  the  Lille  sketch, 
but  one  of  the  young  Horatii  holds  a  round  shield.  In  the  final 
version  of  the  Oath,  the  round  shield  finds  its  way  to  the 
back  wall. 

The  motif  of  the  small  vase  on  the  table  seen  in  the  Death 
of  Eudamidas  may  have  been  transformed  in  the  Lille  drawing 
into  the  large  crater  placed  on  a  pedestal  behind  the  mourning 
women. 


/    L     U 

U       I     J       I 


NOTES 


63 


table.  The  borrowings  from  tlie  Death  of  Eudamidas 
were  in  all  likelihood  transmitted  by  way  of  an  engrav- 
ing. This  would  account  for  the  reverse  positions  of 
the  grief-stricken  young  woman  and  that  of  the  spear, 
shield,  and  daggers  in  the  final  painting  of  the  Oath 
as  well  as  in  the  Lille  drawing.  One  otlicr  element 
that  is  similar  in  terms  of  general  composition  is  the 
analogous  division  of  the  pictures  in  a  two  to  one  ratio; 
in  the  case  of  the  Death  of  Eudamidas,  this  division 
is  emphasized  by  the  architectural  background.^" 

Another  comparison  could  and  should  be  made  in 
regard  to  one  more  detail  of  the  final  painting  of  the 
Oath.  Tlie  old  woman  bowed  over  the  table  in  the 
Lille  sketch  is  replaced  in  the  painting  by  an  adoring 
mother  protectively  embracing  her  children.  The  con- 
tour formed  by  her  shoulder  and  head  is  exactly  the 
same  as  that  of  the  old  woman  in  the  Lille  drawing. 
The  idea  of  incorporating  children  in  the  Oath  appar- 
ently came  late  in  the  evolution  of  the  picture.  It  seems 
quite  possible  that  David  returned,  in  this  regard,  to 
Poussin's  Death  of  Gcrmanicus  where  children  are 
very  much  in  evidence.  We  have  already  seen  that  the 
idea  of  an  embracing  figure,  though  abandoned  in  the 
Lille  drawing,  had  already  been  in  David's  mind  in 
the  earlier  preliminary  sketch  in  which  a  barely  defined 
figure  embraces  the  mourning  Camilla  and  Sabina. 
In  the  Gcrmanicus  painting  the  standing  woman  at 
the  right  supporting  the  child,  who  has  been  previously 
mentioned  in  respect  to  the  second  sketch  of  David, 
is  very  close  in  type,  feeling,  and  actual  contour  to  the 
mother  in  the  Oath,  especially  if  we  reverse  the  figure. 

In  this  analysis  of  the  Oath  of  the  Horatii,  it  must 
be  stressed  that  though  David  borrowed  heavily  from 
different  sources,  he  ultimately  produced  a  work  that 
appears  fresh  and  new  in  conception.  From  the  be- 
ginning, David  was  constantly  trying  to  purify  in 
terms  of  figure  types,  composition,  and  content.  He 
eliminates  extraneous  details  whenever  possible.  This 
is  most  obvious  when  we  compare  the  late  Lille  draw- 
ing with  the  final  work.  The  distracting  male  figure 
behind  the  group  of  mourning  women  as  well  as  the 
large  vase  at  the  extreme  right  are  omitted.  The  stair- 
case and  the  figure  seated  at  the  top  are  left  out,  to  be 
replaced  by  a  simple  antecliamber  only  barely  percepti- 
ble in  the  dense  shadows.  All  of  the  changes  then  made 
by  David  from  the  beginning  are  along  lines  of  simplifi- 
cation and  clarity  of  expression.  In  tlie  final  analjsis, 
the  froideur,  which  characterizes  this  highly  Neoclassic 
painting,  is  carried  to  far  greater  extremes  than  in 
any  of  the  paintings  of  Nicolas  Poussin.  The  greatness 


of  David  lies  in  these  very  purifications,  especially  since 
the  moral  content  is  so  inextricably  tied  up  in  them. 
David,  when  he  declared,  "Si  c'est  a  Corneille  que 
je  dois  mon  sujet,  c'est  a  Poussin  que  je  dois  mon 
tableau,"  was  being  astonishingly  forthright  in  paying 
the  fiddler  his  due.  This  payment  should  be  recognized 
today. 

UNIVERSITY  OF  GEORGIA 


A  MINOR  POET  MEETS  HIRAM  POWERS 

EVERARD   M.    UPJOHN 

Perhaps  no  American  sculptor  of  his  generation  won 
such  applause  as  Hiram  Powers.  Tuckerman's  enthu- 
siasm, to  be  sure,  is  so  characteristic  of  that  generous 
if  none  too  critical  annalist  as  to  weigh  only  lightly 
in  the  scales.^  To  his  plaudits  we  may  add  those  of 
Hawthorne,^  of  C.  Edwards  Lester,^  himself  a  minor 
sculptor,  and  of  Henry  W.  Bellows.'*  Lester  indeed 
tells  us  that  tiie  Old  World  recognized  Powers  as 
worthy  of  standing  beside  Michelangelo  and  Thor- 
valdsen,"  and  that  Thorvaldsen,  who  visited  Powers' 
studio  in  Florence,  said  "The  entrance  of  Powers  upon 
the  field  constituted  an  era  in  art.""  To  be  sure,  not 
every  one  shared  these  views.  The  Cosmopolitan  Art 
Journal  in  i860  found  little  to  praise  in  the  Greek 
Slave,''  but  in  this  was  out  of  tune  with  its  day.  Jarves 
also  failed  to  share  the  entiiusiasm  of  his  contempo- 
raries,* but  these  dissenters  were  exceptions  to  the  rule. 

Elizabeth  Clementine  Kinney,  a  minor  American 
poet,  was  not  an  exception.  Tliis  puritanical  hypo- 
chondriac and  blue  stocking  came  to  the  Casa  del  Bello 
in  Florence  in  1863,  after  spending  four  years  at  Turin 
where  her  husband  had  been  sent  as  American  minister. 
On  October  i,  1854,  she  opened  her  Journal."  Therein 
she  bemoaned  from  time  to  time  her  maladies  and  other 
personal  misfortunes,  recorded  some  of  her  poems,  and 
described  her  friends.  The  Powers  lived  across  the 
street  (entry  of  Dec.  23,  1854)  and  for  several  years 
the  families  saw  each  other  frequently.  Mrs.  Kinney 
read  Powers  her  poem,  the  Beggar-boy;  his  approval 
so  delighted  her  that  she  wrote  enthusiastically  ".  .  .  he 
is  a  true,  as  he  is  a  great  man,  &  never  flatters  [Nov.  30, 
1854]."  Mrs.  Kinney  had  reservations  about  the 
morality  of  court  life  in  Turin,  but  while  avoiding 
high  society  in  Florence  she  found  her  associations 
there  with  the  Powers,  Robert  and  Elizabeth  Barrett 


20.  This  division  of  the  picture  surface  is  one  used  by  many 
artists,  but  it  is  employed  frequently  by  Poussin  whence  it 
probably  found  its  way  to  David's  painting. 

1.  Henry  T.  Tuckcrnian,  Book  of  the  Artists,  New  York, 
1867. 

2.  Nathaniel  Hawthorne,  T/ie  French  and  Italian  Note- 
books, Boston,  1858. 

3.  C.  Edwards  Lester,  The  Artist,  the  Merchant,  and  the 
Statesman  of  the  Age  of  the  Medici  and  of  Our  O'wn  Time, 
New  York,    1845. 


4.  Henry  W.  Bellows,  "Seven  Sittings  with  Powers,  the 
Sculptor,"  Afflcton's  Journal,  June  12-Sept.   11,  1869. 

5.  Lester,  op.cit.,  p.  2. 

6.  Lester,  op.cit.,  p.  8. 

7.  Albert  T.  Gardner,  "Hiram  Powers  and  William 
Rimmer,"  Magazine  of  Art,  February,  1943,  pp.  43-47. 

8.  James  Jackson  Jarves,   The  Art  Idea,  New  York,   1877. 

9.  Elizabeth  Clementine  Kinney,  Journal,  Oct.  1854  to 
Jan.  1866;  this  unpublished  manuscript  is  in  the  Columbia 
University  Library. 


U       I     J     J 


64 


THE    ART    BULLETIN 


Browning,  tlic  Trollopes,  and  two  brotliers  of  Alfred 
Tennyson  very  much  more  to  her  taste. 

Were  tlie  laurels  bestowed  on  the  sculptor  by  these 
writers  prompted  by  the  attempted  idealism  of  the 
Greek  Slave,  the  Fisher  Boy,  or  the  California^  They 
are  generally  mentioned  with  approval,  sometimes  with 
enthusiasm.  And  yet  it  is  hard  to  believe  that  such 
pedestrian  stereotypes  alone  can  account  for  the  fame 
of  this  Vermont  Yankee.  Or  was  it  the  striking  realism 
of  such  portrait  busts  as  that  of  Andrew  Jackson?  It 
might  be  so,  and  yet  neither  Lester,  nor  Bellows,  nor 
Mrs.  Kinney  devote  much  space  to  them  as  objects. 
Perhaps  Powers'  remarks  on  his  purposes  in  sculpture, 
his  theories,  fascinated  these  authors.  Here  we  may 
approach  tlie  answer.  His  comments  were  uttered  in 
conversation,  face  to  face  with  those  who  later  re- 
corded them.  Under  these  circumstances,  the  romantic 
struggles  of  his  early  life,  and  his  later  financial  suc- 
cess, lent  splendor  to  his  accomplishment  in  stone,  and 
authority  to  liis  words.  Perhaps  it  was  more  Powers, 
the  man,  tlian  Powers,  the  artist,  who  was  the  real 
attraction. 

Born  in  Woodstock,  Vermont,  in  1805,  Powers 
moved  to  Cincinnati  in  18 19,  where,  among  other 
things,  he  worked  in  a  clock  and  organ  factory,  made 
his  first  bust  in  wax,  and  devised  for  the  Western 
Museum'"  a  remarkable  animated  model  of  Dante's 
Inferno."  These  activities  brought  him  to  the  attention 
of  Nicholas  Longworth,  who,  in  1835  sent  him  to 
Washington,'-  where  Powers  busied  himself  modeling 
busts  of  Jackson,  J.  Q.  Adams,  Calhoun,  Marshall, 
Van  Buren,  and  other  political  leaders.''  The  brother 
of  Senator  William  Campbell  Preston  of  South  Caro- 
lina helped  him  to  go  to  Florence"  in  1837,  where 
his  plaster  busts  could  be  converted  into  marble.  There 
he  stayed  until  his  death  in  1873,  leaving  the  environs 
of  Florence  only  twice  in  that  time  for  week-long 
visits  to  Rome.'^  All  this  is  well  known. 

Moreover,  Powers'  success  commanded  at  least  the 
financial  respect  it  deserved.  When  he  came  to  Flor- 
ence he  brought  with  him  thirteen  busts  to  put  into 
marble  at  $300  each."  As  the  years  passed  and  his 
reputation  grew  he  was  able  to  increase  his  fees,  and 
did  so  in  order  to  discourage  further  commissions  for 
portraits."  The  Greek  Slave  was  bought  by  Mr.  Grant 
for  $3,700."  He  also  made  six  replicas  of  that  statue 
which  sold  at  an  average  price  of  $4,000."  His  ideal 
bust  of  Proserpina  was  bought  by  Mr.  Cary  of  Phila- 
delphia for  $500,^°  as  was  the  bust  of  John  Marshall 
for  the  same  amount  by  the  Federal  Government  in 
1840.^'  The  Government  also  commissioned  him  in 
1855  to  do  full  length  statues  of  Franklin  and  Jeffer- 
son at  $10,000  apiece;  these  were  installed  in  the 
Capitol  in  1863." 

10.  Edward  H.  Dwir^ht,  "Art  in  Early  Cincinnati,"  Cincin- 
nati Art  Museum  Bulletin,  Auf^ust  1953. 

11.  Bellows,  of.cit.,  26  June   1869. 

12.  IhiJ.         13.  IbiJ.         14..   Ibid. 

15.  Bellows,   of.cit.,   12   June    1869. 

16.  Bellows,   of.cit.,   11    Sept.    1869. 

17.  Lester,  of.cit.,  p.  16. 


How,  then,  did  this  man  impress  Mrs.  Kinney? 
Lester  has  left  us  his  observations  of  Powers  ten  years 
earlier,  and  not  long  after  Powers'  arrival  in  Florence. 
Bellows'  description  comes  fifteen  years  later,  near  the 
end  of  Powers'  life.  Hawthorne  and  Jarves  saw  Powers 
in  the  1850's  but  neither  has  given  us  quite  the  same 
intimate  and  informal  picture  as  Mrs.  Kinney.  Here 
are  but  random  jottings.  There  is  no  attempt  to  sketch 
Powers'  life,  or  to  present  his  theories  of  sculpture  in 
any  comprehensive  fashion,  and  yet  her  observations 
serve  to  confirm,  and  in  some  respects  to  amplify,  the 
more  complete  accounts  mentioned  above. 

Proximity  fostered  the  intimacy  between  the  Kinneys 
and  the  Powers.  Powers  saw  his  neighbors  daily,  and 
helped  them  with  advice  when  they  were  sick.  Likewise 
the  families  shared  their  social  life. 

"We  are  highly  favored  in  having  Mr  Powers  for 
a  neighbor:  he  lives  right  opposite,  &  may  be  seen  more 
than  once  every  day  crossing  the  street  in  his  sculptor 
blouse  &  cap  to  make  us  a  call  in  some  respite  moment 
[Dec.  23,  1854]. 

"Mr  Powers  comes  in  to  see  my  husband  several 
times  a  day:  he  has  made  himself  so  useful  too,  in 
every  case  of  indisposition  in  the  family  since  we  came 
here,  that  we  call  him  Dr.  Powers  [Dec.  28,  1854]  ! 
"Last  evening  went  to  Mrs  Powers'  reception  for 
the  first  time  this  winter;  yet  she  has  them  every 
Thursday  .  .  .  [Feb.  16,  1855]. 

"Mr  Powers,  for  instance,  passes  some  part  of  almost 
every  evening  with  us,  &  I  never  feel  the  time  lost 
which  is  spent  with  him.  Mr  Browning,  the  poet,  is 
often  with  us;  also  Mr  Jarves,  the  author,  &  others  as 
gifted  &  intelligent   [March  26,   1855]. 

"Went  last  evening  to  Mrs  Powers'  reception,  & 
heard  some  good  singing  by  an  American  lady  who  is 
soon  to  make  her  debut  as  frima  donna  at  one  of  these 
theatres  [April  9,  1855]." 

It  was  Powers,  the  man,  who  fascinated  Mrs. 
Kinney. 

"How  beautiful  it  is  to  see  one  who  stands  at  the 
very  head  of  American  Art — who  has  indeed  won  a 
name  in  all  lands  prouder  than  that  of  any  living  sculp- 
tor— so  simple,  so  childlike  in  his  ways!  ...  I  have  never 
met  a  great  man  who  spoke  so  little  of  himself:  he 
seems  scarcely  to  think  of  himself,  or  of  acquisition  in 
any  way.  Labors  to  perfect  every  thing  he  does,  for 
Art's  sake — when  by  slighting  the  minutiae,  as  other 
sculptors  do  in  their  works — &  striving  only  for  the 
grand  effect,  he  might  make  double  the  money,  &  lose 
no  general  fame.  Hardly  ever  does  he  speak  of  his  own 
works;  yet  he  is  not  by  any  means  indifferent  to  praise, 
or  blame  from  true  sources.  Never  does  he  step  in,  even 

18.  Ibid. 

19.  Gardner,  of.cit. 

20.  Lester,  loc.cit. 

21.  Glenn    Brown,   History   of   the    United   States   Capitol, 
Washington,   1900,  p.   184.. 

22.  Brown,   of.cit.,  p.    183. 


U       I     J    U 


NOTES 


65 


for  a  moment,  without  suggesting  something  to  my 
mind  by  his  conversation,  wliicli  not  being  great,  in 
the  usual  sense,  is  always  to  the  point,  always  profita- 
ble, always  suggestive.  He  too,  is  a  self-educated  man: 
lias  devoured  science  and  mechanics;  for  which  his 
native  taste  is  so  strong  that  it  is  the  fashion  with  some 
to  deny  him  the  higher  sense  of  the  ideal.  I  have  seen 
him  now  every  day  for  over  a  year;  have  been  an 
earnest  listener  to  his  conversation,  a  profound  student 
of  his  mind:  I  believe  him  to  possess  the  imaginative 
faculty, — the  creative  power  in  a  high  degree.  This 
conviction  is  founded  quite  as  much  on  his  conversation, 
as  on  the  works  he  has  already  produced.  His  mind  is 
not  only  analytical,  but  metapliorical — his  analogies 
are  always  striking,  his  expressions  figurative,  foettc: 
indeed  he  shows  a  vivid  imagination,  a  comprehensive 
scope.  ...  He  has  made  enemies — strong  ones;  but 
these  have  always  proved  to  be  bad  men.  He  is  severe 
on  every  species  of  wickedness;  has  no  tolerance  for 
immorality  in  any  shape,  &  never  hesitates  to  show  his 
indignation  for  a  rogue,  be  he  in  high,  or  low  life  .  .  . 
I  never  saw  him  the  least  lifted  up  by  any  honors  he 
received,  tho'  his  studio  is  frequented  by  all  great  men 
of  the  world  who  come  to  Florence — even  by  princes 
and  sovereigns  of  the  most  imperial  rank;  nor  did  I 
ever  see  him  disdain  the  humblest  person  who  sought 
to  know  him,  if  that  person  he  believed  virtuous  [Dec. 

23,  i854l." 

Both  Lester  and  Bellows  devote  much  attention  to 
Powers'  desire  for  absolute  fidelity  of  detail  in  his 
portrait  busts.  Save  for  the  brief  phrase  in  the  passage 
just  quoted,  Mrs.  Kinney  almost  ignores  this  side  of 
bis  output,  but  has  a  good  deal  to  say  about  his  ideal 
works. 

"I  believe  him  capable  of  doing  anything  that  any 
other  artist,  ancient,  or  modern,  has  done,  or  will  do. 
He  has  never  made  a  group:  some  say  he  never  wilU 
because  he  never  can.  Perhaps  he  never  will  do  it; 
tho'  T  hope  he  may,  to  satisfy  these  sceptics;  or,  rather 
(for  they  are  not  deserving  of  it)  to  enrich  the  world 
of  art; — but  I  venture  to  declare  that  he  who  can 
make  such  single  figures  as  his,  can  weave  them  to- 
gether in  lines  of  beauty — can  express  in  marble  a 
unity  of  idea  in  multiplicity  of  form,  no  less  harmoni- 
ously, than  he  has  made  the  several  parts  of  the  single 
figure  blend  in  sweet  accord  to  express  one  thought 
of  beauty.  The  statue  illustrating  Milton's  //  Prnsteroso 
(which  by  the  bye  is  misspelt  'Penseroso'  in  the  title 
of  the  poem,  there  being  no  such  word  in  modern 
Italian)  on  which  Mr  Powers  has  been  engaged  for 
the  past  year  is  the  most  successful  expression  of  intel- 
lectual beauty  that  was  ever  produced  in  marble;  for 
the  ancients  fail  to  give  their  ideal  woman  a  soul,  as 
well  as  a  body  typifying  all  physical  beauty:  hence  the 
Venus  de  Medici  disappointed  me — being,  as  it  is, 
only  the  most  perfect  expression  of  female  grace  ever 
given  to  immortality;  lacking,  as  it  does,  that  soul- 
beaming  face  which  is  the  first  &  last  requisite  of  the 
perfect  woman.  .  .  .  There  seems  to  be  a  jealousy 
springing  up  against  Mr.  P.  I  suppose  because  he  is 


the  acknowledged  head  of  our  respectable  body  of 
artists.  The  statue  may,  on  this  account,  be  received 
less  entluisiastically  tlian  were  his  Eve,  &  Greek  Slave; 
but  all  true  critics  will,  I  am  sure,  feel  it  to  be  superior 
to  cither,  with  its  sublime  face  'commercing  with  the 
skies,'  &  seeming  to  be  lighted  thence  with  divine 
beauty  [Dec.  23,  1854]. 

"We  should  regret  leaving  Florence  as  much  on 
account  of  parting  with  our  sculptor  friend,  as  for 
anything  else.  We  went  over  with  him  to  see  his  statue 
Pcnsierosa,  now  completed,  in  a  favorable  light  which 
he  had  arranged  from  above  for  tlic  purpose  of  showing 
it,  looking  its  best,  to  us.  And  grand  indeed  it  looked. 
Tho'  the  undraped  original,  standing  beside  it,  was 
more  beautiful.  Drapery  cannot  improve  such  a  perfect 
work  as  this,  &  I  am  pleased  that  Mr  Powers  means 
to  put  it  also  in  marble  undraped,  as  the  leading  figure 
of  a  group  which  he  contemplates  executing  soon.  The 
style  of  drapery  necessary  for  illustrating  Milton's  lines, 
was  not  favorable  for  the  best  ideal  effect.  However 
the  face  of  the  statue  is  so  sublime  tliat  one  forgets 
every  thing  else  before  it  [April  12,  1855]. 

"Mr  Powers  has  been  made  very  happy  by  a  bill  just 
passed  in  both  houses  at  Washington,  to  give  him  an 
order  for  his  statue,  America,  for  the  Capitol.  Twenty- 
five  thousand  dollars  have  been  appropriated  for  his 
work,  &  he  will  realize  something  handsome  by  it, 
as  the  statue  is  already  modelled  &  will  only  have  to  be 
put  in  marble  by  his  workmen.  I  rejoice  truly  that  the 
Government  has  at  last  done  justice  to  our  sculptor.* 
The  statue  is  beautiful  &  appropriate  both  in  design  & 
execution. 

"*  President  Pierce  never  permitted  this  act  of  justice 
to  our  sculptor  to  be  carried  out  [March  26,  18155]." 
In  the   realm  of  theory,   Mrs.   Kinney  offers  this 
entry. 

"Last  evening  in  speaking  of  the  beauty  of  antique 
vases,  he  observed  that  the  oval  or  generic  form  was 
the  embn'o  of  all  grace  in  men,  animals  and  tilings — 
the  ege  of  beauty  itself — comprising  the  first  idea  of 
all  curving  lines.  The  human  form  he  added,  when 
symmetrical,  makes  four  ovals:  the  first,  is  the  face; 
the  second,  the  chest  &  viscera,  the  third,  from  thence 
to  the  knees;  the  fourth  from  the  knees  to  the  ankles. 
In  most  vegetables  &  flowers  the  same  is  observable;  — 
the  seed  being  generally  oval — the  fruit  often  so,  & 
the  bud  always.  I  was  of  course  struck  with  the  idea, 
never  so  presented  to  my  mind  before — at  nncc  mathe- 
matical &  poetical,  &  such  is  the  mind  of  Hiram  Powers 
[Feb.  4,  18551." 

Powers  was  not  the  only  sculptor  whom  the  Kinneys 
knew. 

"Mr.  Hart,  our  sculptor,  passed  some  hours  with  us 
(he)  is  full  of  his  new  &  wonderful  invention; — an 
instrument  for  measuring  the  human  form  so  accu- 
rately that,  with  its  aid,  an  artisan  can  make  a  bust  or 
statue  nearly  as  well  as  an  artist,  &  that,  from  three  or 
four  sittings  of  the  subject.  It  will  certainly  be  valuable 
as  a  time  &  labor  saver;  but  Mr  Powers  disapproves 
of  it  as  making  art  too  mechanical.  Mr  Hart  is  a  man 


66 


THE    ART    BULLETIN 


of  inventive  mind,  of  genius  too,  I  believe,  aside  from 
his  meciianical  genius.  He  has  made  some  of  the  finest 
busts  I  ever  saw,  &  tho'  he  persists  in  giving  all  the 
merit  of  tlicm  to  Jiis  instrument,  none  but  an  artist 
could  liavc  made  such  busts  even  with  that.  I  prayed 
him  to  begin  his  statue  of  Henry  Clay,  which  he  was 
sent  abroad  some  four  years  since,  by  the  ladies  of 
Virginia,  to  make;  or  at  least  to  try  his  instrument  on 
some  statue:  he  replied  that  he  was  waiting  to  find  a 
perfect  model,  when  he  would  reproduce  human  form 
exactly  from  nature  by  Jiis  instrument,  &  make  such  a 
statue  as  never  was  made  before.  His  invention  is  his 
pet;  on  this  he  seems  determined  to  base  Ins  fame: 
indeed  he  shows  no  ambition  to  be  known,  save  as  its 
in  venter,  &  expects  to  get  a  patent  for  it  FFeb.  8. 
1855]. "^'^ 

But  to  return  to  Powers.  Mrs.  Kinney  notes  (Dec. 
23>  J ^54)  that  he  was  a  Swedenborgian,  and  therefore 
predisposed  to  believe  in  communications  from  the  spirit 
world.  During  November  1855,  Mr.  Home,  a  medium 
from  Boston,  appeared  in  Florence.  He  had  already 
gained  notoriety  in  London  (entry  of  May  2,  1855) 
and  now  held  a  number  of  seances  in  Florence.  Mrs. 
Kinney  was  frankly  skeptical  beforehand,  but  since 
neither  she  nor  any  one  else  in  Florence  could  account 
for  the  phenomena  on  rational  grounds,  she  was  nearly 
converted. 

"I  have  had  further  opportunities  of  investigating 
Mr  Hume's  mysterious  doings,  &  again  seat  myself  to 
make  memoranda  of  what  I  have  experienced,  for  fu- 
ture reference.  We  had  a  seance  the  other  evening  at 
the    house   of    Mr   Powers:   no   one    present   save    th 


family,  Mr.  Hume,  &  ourselves— i.e.  my  husband  & 
I   [Nov.   10,   1855]."-* 

Mrs.  Kinney  later  regained  her  skepticism.  On  No- 
vember 29,  she  notes:  "I  have  closely  observed,  & 
believe  that  what  he  desires  (not  what  we  desire,  unless 
It  happens  to  jump  with  his  wish)  always  comes  to 
pass."  Robert  Browning  consistently  scoffed  at  the 
wliole  business. 

Powers  did  not.  However,  his  acceptance  of  these 
manifestations  of  spirits  from  another  world  would 
seem  to  have  had  little,  if  any,  effect  on  his  sculpture. 
He  went  rigiit  on  working  in  Florence  as  he  had  be- 
fore. Mrs.  Kinney's  final  reference  to  Powers  fittingly 
closes  her  random  remarks. 

"All  our  acquaintances  have  left  Florence  for  the 
summer,  save  Mr  Powers  &  family,  who  seems  as  un- 
wilhng  to  move,  as  my  husband  is.  For  twenty  years 
Mr  P.  has  labored  at  his  art  in  the  same  place,  &,  I 
believe,  without  having  made  any  excursions  out  of 
the  city.  His  wife,  a  staid,  quiet  person,  has  borne  him 
eight  children  here,  &  remained  always  at  lier  domestic 
post,  nursing  &  bringing  them  all  up  herself,  &  scarcely 
leaving  her  own  nursery  &  fireside  for  even  a  day. 
But,  she  is  careworn,  &  looks  prematurely  old,  thro' 
this  constant  round  of  duties  unvaried  by  any  chano-e. 
He  too,  needs  airing,  more  morally  &  artistically,  than 
physically.  I  could  not  but  think  while  at  Rome  how 
much  good  it  would  do  him  to  visit  that  old  Metropolis 
of  Art  [Aug.   17,  1856]."" 


e       COLUMBIA  UNIVERSITY 


23.  This  passage  refers  to  the  Kentucky  sculptor,  Joel  T. 
Hart,  1 8 10-1877,  whose  statue  of  Henry  Clay  in  Richmond 
was  finished  in    i  859. 

24-  Mrs.  Kinney  in  this  passage  refers  to  the  tiiediuni  as 
Mr.  Huine,  thoujjii  in  a  number  of  other  passages  the  name 
is  spelled  correctly  as  Home. 

25.   After  this  date,  Mrs.  Kinney  made  only  sporadic  entries 


m  her  Journal.  In  May  1858,  the  Kinnevs  left  Florence  and 
went  to  Bagni  di  Lucca,  and  then  to  Leghorn.  They  returned 
to  Horence  in  November  1858,  staying  first  in' the  Casa 
Francois,  and  then  in  the  Villa  Giglioni,  Bello  Sguardo,  near 
Florence  (28  .April  1859).  The  few  remaining  entries  were 
written  in  Germany  (1864-1865),  France  (1865),  and  finallv 
Morristown,  New  Jersey   (1866). 


/     L     U 
I     J     U 


FRANZ   JOSEPH   DOLGER-l  NSTITUT 
ZUR    ERFORSCHUNG    DER    SPATANTIKE 

Direktor:    Professor   Dr.Th.Klauser 


den   27.    4.    I960 


BONN, 

UNIV.-HAUPTGEBAUDE,  AM  HOF  1 
TELEFON:  31941/431 


Herrn  Professor  Dr. Ernst  H, Kantorowicz 
The  Institute  for  Advanced  Study 
Princeton,  New  Jersey  (USA) 


Lieber  Herr  Kantorowicz, 

vielen  herzlichen  Dank  fur  Ihr  Separatum  mit  der  so  hiibschen  Beobach- 
tung,  dass  der  Bogenschiitze  am  Kreuz  von  Ruthwell  sehr  wohl  in  die 
Reihe  der  Hinweise  auf  die  vita  eremitica  gehoren  konnte,  Eine  letzte 
Unsicherheit  bleibt,  wie  Sie  ja  selbst  gesehen  haben,  insofern,  als 
der  Bogenschiitze  of f ensichtlich  mehr  im  Blick  nach  oben  denn  im  Blick 
nach  unten  gedeutet  werden  muss.  Nach  DACL  4,2,1911  waren  oben  links 
ein  Fisch,  oben  rechts  ein  Schwan  und  an  der  Spitze  ein  Mann  mit  einem 
Vogel  dargestellt.  Ich  kann  nicht  feststellen,  ob  diese  Beschreibung 
zuverlassig  ist.  Wenn  ja,  dann  wiirden  wohl  alle  drei  Bilder  symbolisch 
verstanden  werden  miissen.  Aber  in  welchem  Sinne?  Spielt  hier  vielleicht 
eine  Vorstellung  der  spaten  Monchsmystik  herein:  der  Monch( Ismael)  mit 
dem  Pfeil  der  Meditation  nach  gottlichen  Zielen  schiessend?  Haben  Sie 
jedenfalls  herzlichen  Dank  fur  dieses  neue  Specimen  Ihrer  gelehrten 
Meditation. 

Jahrbuc  h  2  haben  Sie  hoffentlich  inzwischen  erhalten.  Was  sagen  Sie 
dazu?  In  den  nachsten  V/ochen  kommt  ein  Bericht  liber  die  ersten  20  Jahre 
des  Reallexikons. 


Herzlichst  griissend  Ihr 


'    L     U 
U       I     J       I 


279  West  4th  Street 
New  York  14 
April  6,1960 


Dear  Dr,  Kantorovricz, 

I'm  verye  touched  by  your  note  on  the  lluthwell 
archer  -  a  subject  that  brings  back  to  memory  some  of  the  ploasantest 
days  I  have  ever  spent  on  a  problem  of  mediaeval  art.  It  would  be  es- 
pecially af^!;reeable  to  me  to  accept  your  decipherment  of  this  fipure, 
since  it  would  confirm  in  a  way  my  view  of  the  cross  as  a  whole.  But 
the  reason  that  led  me  originally  to  doubt  the  religious  sense  of  this 

figure  -  and  I  believe  it  has  a  sense,  though  a  "secular"  one, and  is  ^' ("^^ 

not  purely  "ornamental"  -  is  still  compelling  :  the  archer  occurs  else- 
where in  Hiberno-Saxon  sculpture  and  in  contexts  that  make  a  relipious 
interpretation, such  as  yours,  doubtful  to  me.  Would  you, by  the  way, 
explain  the  falconer  on  the  Bewcastle  cross  as  part  of  the  iconographic 
scheme  ? 

I  would  be  more  inclined  to  consider  your  interpret- 
ation, in  spite  of  this  difficulty,  if  you  could  cite  some  Anglo-Saxon 
texts  (  in  Latin  or  the  vernacular  )  which  speak  of  Ishmael,  in  the  sense 
you  give  him,  as  so  many  texts  speak  of  the  known  ascetic  themes  and 
figures  on  the  Ruthwell  Cross. 

Since  you  comment  on  the  circumstances  of  the 
publication  of  Saxl's  and  my  own  article,  perhaps  I  should  tell  you  more 
about  themo  As  a  matter  of  fact, he  knew  the  main  substance  of  my  article 
in  1943  through  a  letter  I  had  written  him.  I  had  made  a  draft  in   1942, 
which  I  read  to  Kitzin,"er  that  year  or  early  in  1943.  Saxl  wrote  to  me 
t  at  that  time,  asking  if  I  could  supply  him  with  some  unpublished  examples 
of  Christ  treading  on  the  beasts,  as  in  rs,91,  a  theme  he  was  studying 
in  connection  with  the  example  on  the  Ruthwell  Cross,  In  his  catalogue 
of  English  Art  and  the  Mediterranean,  published  shortly  before,  you  will 
see  that  he  still  held  to  the  old  view  of  the  subject  on  the  Cross.  I 
did  send  him  some  photos,  but  I  also  wrote  him  atk  length  then  to  say  that 
I  did  not  accept  that  interpretation  of  Christ  and  the  beasts  and  proposed 
the  one  in  my  article.  Some  months  later  Saxl  cabled  me,  asking  me  to 
permit  him  to  quote  my  letter  zszBBxaxtxEiK  which  he  said  coincided  with 
his  own  results,  ii  In  the  course  of  his  study  of  the  Cross  he  had  come 
upon  the  same  evidence.  In  his  article  the  letter  is  quoted  in  part  and 
without  the  date  -  an  inadvertence  for  which  Saxl  apologized  and  which  he 
offered  to  correct  in  a  reprinting  of  his  article  (  which  never  appeared). 

I  can't  at  this  moment  send  you  a  list  of  the 
other  examples  of  the  archer  in  insular  sculpture.  I  write  from  memory 
of  the  studies  I  made  almost  twenty  years  ago.  But  it   I  will  look  through 
my  old  notes  and  write  you  again  on  this  matter,  if  yoiire  interested. 
If  the  figure  shoulil  indeed  turn  out  to  be  Ishmael  and  if  the  conception 
depends  on  the  Jewish  ^;idrashic  tradition,  it  would  be  particularly  striking 
in  the  light  of  another"nebraisra"in  insular  art,  the  theme  of  the  angel 
brin'ring  the  ram  to  the  Sacrifice  of  Isaac,  which  I  -have  traced  to  Jewish 
sources  via  Alcuin  (  Ars  Islamica, 1943)  in  an  artic  le  I  wrote  for  the 
70th  birthday  of  my  old  friend, Louis  Ginzberg. 


^7 


With  warm  regards, 


Cordially, 


/ 


U       I    U    U 


^JSSIS, 


f\y  ixic 


-///g 


Fm/icV   'ypM^lrrrr7f*j?r7  r^5(j^  rf-^'r7)/^ 


c/c^k 


of 


><s. 


'r^'- 


w? 


I    L 

U      I    u 


U       I    U    L 


AN  OFFPRINT  FROM 


Dumbarton  Oaks  Papers 


NUMBER  FOURTEEN 


ON  THE  GOLDEN  MARRIAGE  BELT 

AND  THE  MARRIAGE  RINGS  OF  THE 

DUMBARTON  OAKS  COLLECTION 


Ernst  H.  Kantorowicz 


THE  DUMBARTON  OAKS  RESEARCH  LIBRARY  AND  COLLECTION 


I    U     J 


ALL  RIGHTS  RESERVED  BY  THE 

TRUSTEES  FOR  HARVARD  UNIVERSITY 

THE  DUMBARTON  OAKS  RESEARCH  LIBRARY  AND  COLLECTION 

WASHINGTON,  D.  C. 


Distributed  by 
J.  J.  Augustin,  Publisher 
Locust  Valley,  New  York 


Library  of  Congress  Catalog  Card  Number  42-6499 
Printed  in  Germany  at  J.  J.  Augustin,  Gluckstadt 


I 


I    L     U 

I    U       I 


ON  THE  GOLDEN  MARRIAGE  BELT 

AND  THE  MARRIAGE  RINGS  OF  THE 

DUMBARTON  OAKS  COLLECTION 


Ernst  H.  Kantorowicz 


I 


I    U     J 


This  article  is  identical  with  a  paper  read  at  the  Sym- 
posium on  "The  Dumbarton  Oaks  Collection:  Studies  in 
Byzantine  Art,"  held  at  Dumbarton  Oaks  in  May  1958.  The 
paper,  in  its  turn,  was  based  on  a  section  of  the  lecture  on 
"Roman  Coins  and  Christian  Rites,"  given  at  Dumbarton 
Oaks  as  far  back  as  April  1951. 


I 


THERE  are  several  ohjets  d'art  in  the  Dumbarton  Oaks  Collection  which 
at  this  Symposium— held  in  honor  of  its  founders  on  the  occasion  of  their 
fiftieth  wedding  anniversary— should  not  pass  unnoticed,  and  the  dis- 
cussion of  which  fittingly  opens  this  year's  series  of  papers :  the  golden  marriage 
belt  from  Syria  (figs.  la-b)  and  a  number  of  Byzantine  marriage  rings  (figs. 
27a-b,  29a-b).  The  iconographic  questions  connected  with  these  objects,  and 
ultimately  with  the  far  broader  problem  of  interrelations  between  Roman  coins 
and  Christian  rites,  are  not  entirely  unknown,  since  they  have  been  studied  at 
least  in  broad  outline. ^  There  remain,  however,  some  details  which  are  interesting 
enough  to  justify  a  new  assessment  of  the  material  and  which  may  lend  depth 
to  the  over-all  historical  perspective. 

Golden  belts  composed  of  coins  or  coin-like  medallions  and  forming  a  piece  of 
jewelry  which,  according  to  Roman  law,  might  even  be  an  object  of  usufruct, ^ 
were  not  unusual  in  early  Byzantine  times.^'  There  is,  for  example,  a  very  similar 
belt,  equal  in  length  to  the  one  at  Dumbarton  Oaks  (74  cm.),  in  the  De  Clercq 
Collection,  in  Paris  (fig.  2).^  A  third  one  is  in  the  Metropolitan  Museum;  it  was 
found  in  Kyrenia,  on  Cyprus,  where  it  was  unearthed  together  with  a  now  fa- 
mous set  of  silver  dishes  and  other  valuables  (fig.  3).^  The  Kyrenia  girdle  is 
remarkable  for  its  monetary  value.  It  is  composed  of  solid  gold  medallions  and 
coins  and  weighs  almost  a  pound;  that  is,  as  Mr.  Philip  Grierson  has  pointed 
out,  almost  three-months'  salary  of  a  provincial  governor,  which  amounted  to 
four  pounds  of  gold  annually  during  the  reign  of  Justinian. «  The  other  two 
girdles  are  much  lighter,  since  their  central  medallions  and  the  adjoining  meda- 
lets  are  relatively  thin  pieces  of  gold  pressed  from  molds  and  therefore  hollow 
on  the  reverse  side.  If,  as  Mr.  Marvin  Ross  has  suggested,  the  design  of  the  cen- 
tral medallion  actually  goes  back  to  genuine  gold  medallions  distributed  by  the 
emperor,  the  implication  would  be  that  the  older  pattern  of  imperial  gifts,  which 
followed  the  consular  type— that  is,  displaying  the  emperor  on  his  chariot  in 
the  consular  procession— had  been  replaced,  in  the  late  sixth  or  seventh  century, 

1  The  material  has,  quite  recently,  been  assembled  in  a  convenient  and  efficient  way  by  W.  VVein- 
stock,  "Pronuba,"  7?£,  XXIIIri  (1957),  750-756;  see  also  Arnold  Ehrhardt,  "Nuptiae,"  RE.'SXW.z 
(1937),  1478-1489,  and  the  articles  by  Belling  and  Kotting  mentioned  infra,  notes  8  and  10. 

^  Dig.,  7,1,28:  Nomismatum  aureorum  vel  argenteontm  veterum,  quibus  pro  gemmis  uti  solent,  usus 
fructus  legari  potest.  Odofredus  on  this  law  (Lyon,  1552),  fol.  250^,  gl.  numismatum:  Poteris  uti  [numis- 
matibus]  in  gemmis  et  portare  ad  pectus  vel  decorare  teipsum,  shows  that  the  intention  of  the  legislator 
was  perfectly  clear  to  the  jurists  in  the  thirteenth  century. 

^  See  Philip  Grierson,  "The  Kyrenia  Girdle  of  Byzantine  Medallions  and  Solidi,"  Numismatic 
Chronicle,  ser.  VI,  vol.  XV  {1955),  55-70,  who  (pp.  57,  59)  briefly  discusses  also  the  other  girdles. 
See  Marvin  C.  Ross,  "A  Byzantine  Gold  Medallion  at  Dumbarton  Oaks,"  Dumbarton  Oaks  Papers,  11 
(1957).  247-261,  esp.  258. 

*  A.  de  Ridder,  Collection  De  Clercq:  Les  bijoux  et  les  pierres  gravies,  VTI:  i  (Paris,  191 1),  208,  no. 
1 212.  Cf.  Grierson,  op.  cit.,  59,  note  12;  Ross,  op.cit.,  258,  note  74,  and  fig.  12. 

'  This  is  the  girdle  studied,  and  carefully  analysed,  by  Grierson,  op.  cit.  (with  pis.  vi-viii) ;  see  pp. 
55 f.  for  the  history  of  the  find  at  Kyrenia,  Cyprus;  also  Ross,  op.  cit.,  247 f.,  and  figs.  4-5. 

®  Grierson,  op.  cit.,  69,  note  49. 


I    L     L 

U       I    U    U 


4  ERNST  KAXTOROWICZ 

by  a  religious  motif:  the  display,  twice  repeated,  of  a  Christian  marriage 
scene." 

It  is  the  iconography  of  this  central  scene  to  which  attention  shall  be  called 
here— a  catena  iconographica  of  which  some  links  are  well  known  whereas  others 
have  passed  unnoticed. 

The  ancient  Roman  marriage  rites  were  taken  over  by  the  Christian  Church 
with  very  few  changes.^  The  auspices  of  the  augurs,  of  course,  were  abolished, 
and  the  sacrificium  nuptiale,  the  nuptial  sacrifice  of  wine  or  incense,  was  eventu- 
ally "converted"  and  became  a  nuptial  mass.  But  the  legal  and  ceremonial 
aspects,  namely  the  reading  of  the  marriage  consent  from  the  tabulae 
nuptiales  and  its  signing,  the  handing  over  of  the  dowry,  the  dextrarum  iunctio 
or  clasping  of  the  right  hands,  and  the  cooperation  of  the  deity  confirming 
the  legal  action  and  protecting  the  marriage,  dca  pronuba  or  deus  protiubus—SLU 
of  these  underwent  few  changes,  or  changes  only  with  regard  to  the  tutelary 
deity. 

In  pre-imperial  and  early  imperial  times,  the  goddess  uniting  and  protecting 
the  young  couple  was  Juno,  who  was  invoked  because  hers  was  the  care  of  the 
vincia  iugalia,  the  "fetters  of  marriage."^  In  that  capacity,  Juno  pronuba  was 
shown  standing  between  the  young  couple  with  her  hands  on  the  shoulders  of 
groom  and  bride  who  were  performing  the  dextrarum  iunctio;  at  least  the 
archeologists  would  usually  call  this  deity  a  Juno  pronuba  when  she  appears  — 
as  she  does  quite  frequently— on  sarcophagi,  for  instance  on  the  sarcophagus 
of  the  Uffizi  (fig.  4)}^  or  on  that  of  the  Belvedere  (fig.  5)  where  we  also  notice 
the  altar  for  the  sacrificium  nuptiale}'^ 

Whether  the  goddess  on  the  sarcophagi  really  was  meant  to  be  Juno,  is,  how- 
ever, by  no  means  certain;  for  the  contemporary  imperial  issues  of  wedding 
coins  reflect  with  few  exceptions  the  idea  of  Concordia,  the  concord  of  the  bridal 

'  Ross,  op.  cit.,  258,  261. 

»  See,  in  addition  to  Weinstock  and  Ehrhardt  [supra,  note  i),  the  studies  by  August  Rossbach,  Rd- 
mische  Hochzeiis-  und  Ehedenkmdler  (Leipzig,  1871),  and  Inez  Scott  Rvberg,  Rites  of  the  State  Religion 
»«  Roman  Art  (Memoirs  of  the  American  Academy  in  Rome,  XXII  'Rome,  1955"),  i63ff.  For  the 
Christian  aspects  of  the  problem,  see  Otto  Pelka,  AltchristUche  Ehedenkmdler  (Strasbourg,  1901)- 
Ludwg  Eisenhofer,  Handbuch  der  kathoUschen  Liturgik,  II  fFreiburg,  1933),  4o8fi.;  Korbinian  Ritzer 
Eheschhessung:  Formen,  Riten  und  religtoses  Brauchtum  der  Eheschhessung  ni  den  chnstUchen  Kirchen 
des  ersten  Jahrtausends  (Wiirzburg  Diss.,  1940),  the  most  thorough  and  erudite  study  on  the  develop- 
ment of  the  Christian  marriage  rite,  unfortunately  published  m  tj-pescript  only  (Munich  1951)  I  am 
grateful  to  Dom  Leo  Eizenhofer,  Abtei  Xeuburg  near  Heidelberg,  for  calling  my  attention' to  this  work 
and  lendmg  me  his  copy.  See  further  G.  Delling,  art.  "Eheschliessung,-  Reallexikon  fur  Antike  und 
Christentum,  IV  (1959),  719-731. 

*  See,  for  the  problem,  Weinstock,  art.  "Pronuba,"  cols.  750-752. 

"  Rvberg,  Rites,  pi.  lviii,  fig.  91.  G.  Rodenwaldt,  Vber  den  Stxlwandel  tn  der  antoninischen  Kunst 
(Abhandlungen  d.  preuss.  Akad.  d.  Wissenschaften,  Jahrg.  1935,  -^o.  3  [Berlin,  1935]),  13 ff.,  while  ad- 
mitting that  archaeologists  usually  call  the  deity  Juno  pro7iuba,  decides  nevertheless  in  favor  of  Con- 
cordia-see  also  his  study  "Zur  Kunstgeschichte  der  Jahre  220  bis  270,- Jahrbuch  des  Deutschen  Archa- 
ologischen  Instituis,  LI  (1936),  logi.,  where  he  discusses  the  sarcophagus  in  the  Thermae  Museum  and 
styles  the  pronuba  correctly  Concordia.  The  material  has  been  ably  collected  by  B.  Kotting  art 
"Dextrarum  iunctio,"  Reallexikon  fur  Antike  und  Christentum,  III  (1957J,  881-888. 

"  Ryberg,  Rites,  pi.  lix,  fig.  93.  Photo:  Deutsches  Archaologisches  Institut,  Rome  No  36  540 
I  am  much  obliged  to  Mrs.  Ryberg  for  lending  me  this  photograph,  and  to  Professor  Reinhard  Herbig' 
Director  of  the  German  Archaeological  Institute  in  Rome,  for  providing  me  with  a  copy  of  it 


iMARRIAGE  BELT  AND  RINGS  AT  DUMBARTON  OAKS      5 

couple.  We  recognize  the  dextrarum  iunctio  of  Antoninus  Pius  and  the  elder 
Faustina  where  the  inscription  says  simply  CONCORDIAE  (fig.  12)  or,  as  in  the 
case  of  Caracalla  and  Plautilla,  CONCORDIAE  AETERNAE  (fig.  13). 12  The  idea, 
however,  hardly  differs  when  the  inscription  refers  to  the  PROPAGO  IMPERI 
(fig-  14)  which  was  expected  to  issue  from  the  concord  of  Caracalla  and  his 
empress. 13  "Concord,"  however,  though  forming  sometimes,  together  with 
Fides  and  Pudicitia,   the  cortege   of  Juno  pronuba}*  was  not   the  original 
meaning  of  the  ceremony.  Originally  the  Roman  bridegroom  did  not  clasp  hands 
with  his  bride,  but  —in  memory,  as  it  were,  of  the  "Rape  of  the  Sabine  Women" 
—took  the  bride  by  the  wrist  to  indicate  that  she  was  given  in  his  possession 
and  power  and  was  obliged  to  obey  and  serve  him.^^  Concordia,  to  be  sure,  was 
a  ver>'  ancient  Roman  goddess;  but  only  gradually  did  she  grow  into  the  role  of 
a  marriage  deity,  apparently  at  a  time  when  the  notion  of  concord  had  been 
assimilated  to  and  influenced  by  the  Stoic  idea  of  //owowom —implying  not  only 
the  concord  of  those  concerned,  but  also  the  "harmony  of  the  universe,"  an 
idea  which,  along  with  Stoic  philosophy,  had  been  spreading  in  the  Roman 
Empire. 16  It  was,  if  we  may  say  so,  this  "spatial"  cosmos  harmony  of  which 
eventually  the  bridal  couple  too  was  supposed  to  be  an  exponent.  The  "Rape 
of  the  Sabine  Women"  had  been  philosophized  and  philanthropized;  it  had 
been  replaced,  under  the  influence  of  Greek  philosophy,  by  a  completely  differ- 
ent state  of  mind  and  of  mood. 

In  the  course  of  this  development,  imperial  coins  commemorating,  or  referring 
to,  the  marriage  of  an  imperial  couple  began  to  display  Concordia  herself  acting 
as  pronuba.  As  a  Concordia  felix  she  solemnizes  the  marriage  of  Caracalla  and 
Plautilla  (fig.  15)17  or  puts  her  hands  on  the  shoulders  of  Marcus  Aurelius  and 
the  younger  Faustina  as  they  clasp  hands  while  receiving  the  Vota  publica 
occasioned  by  their  marriage  (fig.  16), is  a  scene  in  which  she  also  unites  Corn- 
modus  and  Crispina  (fig.  17). i^  Concordia  establishes,  as  it  were,  both  the  unison 
of  the  august  couple  and  its  unisonance  with  the  eternal  harmony  of  the  universe. 
The  main  idea,  of  course,  was  similar  when  two  emperors  were  shown  clasping 
hands  to  demonstrate  their  Concordia  (fig.  i8),2o  and  the  Concordia  Augustorum 
need  not  always  have  evoked  such  heart-warmingly  acid  feelings  as  apparently 

"  Harold  Mattingly,  Coins  of  the  Roman  Empire  in  the  British  Museum  (London,  1923-50),  IV, 
pi.  VII,  fig.  13,  and  Paul  L.  Strack,  Untersuchungen  zur  romischen  Reichsprdgung  des  zweiten  Jahrhun- 
derts  (Stuttgart,  1931-37),  HI,  pi.  vi,  fig.  422 ;  for  the  Concordia  aeterna  coin  (fig.  13),  see  Mattingly,  V, 
pi.  xxxviii,  fig.  I,  and  Mattingly,  Roman  Coins  (London,  1927),  pi.  xxxv,  fig.  13. 

'^  Mattingly,  V,  pi.  xxxviii,  fig.  2. 

"  Martianus  Capella,  De  nuptiis,  II,  147,  ed.  A.  Dick,  63:  deorum  Pronuba  [luno]  nuntiatur,  ante 
quam  Concordia,  Fides  Piidicitiaque  praecurrunt.  Cf.  Weinstock,  art.  "Pronuba,"  col.  752. 

'*  Pelka,  AltchristUche  Ehedenkmdler,  99. 

"Cf.  Eiliv   Skard,  "Zwei  religios-politische  Begriffe:  Euergetes-Concordia,"  Norske   Videnskaps- 
Akademi  i  Oslo:  Avhandlinger  (1931),  67-105;  cf.  \V.  Nestle,  in  Klio,  XXI  (1927),  3531.,  on  Homonoia 
in  Greek  authors;  W.  \V.  Tarn,  Alexander  the  Great,  II  (Cambridge,  1950),  append.  25,  pp.  399 ff.;  also 
Zwicker,  art.  "Homonoia,"  i?£,  VIII:  2  (1913).  2265!!.;  see,  for  possible  Greek  influence,  Weinstock 
art.  "Pronuba,"  752,  38 ff.;  also  Tarn,  op.  cit.,  II,  4151.;  Skard,  74 ff.,  105. 

1'  Mattingly,  V,  pi.  xxxiii,  fig.  16. 

"  Mattingly,  IV,  pi.  xiii,  fig.  4;  Strack,  Untersuchungen,  III,  109,  with  pi.  v,  fig.  159,  and  pi.  xvi, 
fig-  957- 

"  F.  Gnecchi,  /  Medaglioni  Romani,  II  (Milan,  191 2),  pi.  xci,  figs.  8,  9. 

"  Mattingly,  IV,  pi.  liii,  fig.  13. 


i    U 


€ 


ERNST  KANTOROWICZ 


was  true  in  the  case  of  the  tetrarchs  in  their  porphyry  monuments  in  the 
Vatican  (fig.  6).^^ 

While  Concordia  prevailed  as  a  marriage  goddess,  her  place  could  yet  be 
taken  by  another  patron  deity  as  well.  The  Emperor  Aurelian  made  the  cult  of 
Sol  invictus  an  official  cult  of  the  state.  Fittingly,  we  find  the  Sun  god,  the  new 
dominus  imperii,  who  by  his  rise  conquers  the  demons  of  darkness  and  brings 
peace  and  security  to  man,  as  the  pronubus,  the  unifier  and  solemnizer  of  the 
marriage  of  Aurelian  and  Severina  (fig.  iq).^^  It  is  not  surprising,  of  course,  that 
in  a  gold-glass  picture  Cupid  is  found  acting  as  an  Amor  pronubus,  his  hands 
resting  on  the  heads  of  the  couple  (fig.  8);^  after  all,  his  mother  Venus  was 
mentioned  occasionally  as  a  pronuba.^  It  may  strike  us,  however,  as  more 
curious  to  find,  in  the  time  of  late  paganism,  a  gold  glass  displaying  a  Hercules 
pronubus:  ORFITVS  ET  CONSTANTIA  IN  NOMINE  HERCVLIS  reads  the  inscription 
(fig.  9).^^  Hercules,  to  be  sure,  offers  the  golden  fruits  which  he  recovered  from 
the  garden  of  the  Hesperides  and  which  formed  a  very  ancient  nuptial  symbol. 
Pomegranates,  however,  since  they  contained  many  seeds  in  one  skin,  were 
also  a  symbol  of  Concordia  who  is  quite  often  shov^n  with  a  pomegranate 
lying  on  a  patera.^^  The  presence  of  Hercules  is  not  justified  by  the  three 
fruits  alone.  He  has  a  connection  v^ith  Concordia  as  well.  In  front  of  the  Roman 
aedes  Concordiac  Augtisiae,  the  temple  of  Concord  on  the  Capitoline  Hill, 
rededicated  in  a.d.  13,  there  was  a  statue  of  Hercules  crov^-ning  himself. 2" 
Moreover,  in  the  political  theor\^  of  the  late  empire,  Hercules,  the  eponymous 
god  of  the  Herculean  d\Tiasty  of  the  tetrarchs,  was  above  all  the  heroic  savior 
in  the  service  of  man,  who  had  liberated  the  world  from  all  sorts  of  monsters, 
and  who  therefore  appeared  as  the  great  pacator  mundi.  the  Elp-nvoiroios  and 
EipTivo9uAa^,  pacifier  and  concord-bringer  of  the  world. ^^  And  in  this  capacity, 
too,  Hercules  pronubus  may  well  have  taken  the  place  of  Concordia  pronuba. 

The  more  numerous  the  substitutes  of  Concord  became,  the  greater,  of 
course,  became  the  discord  within  the  Roman  world  and  the  graver  the  political 
situation.  According  to  Hellenistic  political  theories  it  M-as  the  chief  task  of  the 
prince  to  establish  M'ithin  his  empire  the  Homonoia  of  his  subjects  and  to  attune 
them  to  a  harmony  M'hich,  in  the  sublunary  sphere,  was  supposed  to  reflect  the 

"'■  Richard  Delbruck,  Aniike  Porph yrwerkc  (Berlin,  K132),  pi.  xxx\  .fig.  i  (Diocletian  and  Maxmiiaii). 

22  M.  Bernhart,  Handhuch  zur  MUnzkunde  der  rinwschen  Katserzeit  (Halle,  IH26),  pi.  m,  iig.  3;  also 
Mattinply  and  E.  A.  Sydenham,  The  Romati  Imperial  Cotnapc,  \ :  2  (Jgs"),  pi.  vii,  fig.  109;  of.  Mcm- 
naicf  romamcs  tmperiaks :  Collection  de  M.  Paul  Vautier  ct  Maxime  ColHgnon  (Lucerne,  1922),  pi.  lii, 
fig.  1 61 7,  and  p.  8c). 

=""  Kafiaele  Garrucci,  T'ein  ornah  di  figure  m  ore  (Rome,  1858),  pi.  xxviii,  fig.  6. 

2*  Weinstock,  art.  "Pronuba,"  755;  Carl  Koch,  art.  "Venus,"  RE,  VIIIA,  878;  see  Kottrng,  art. 
"Eheschhessung,"  {supra,  note  10),  884,  for  Venus  pnmuba  in  Nero's  Domw.v  aurea. 

**  Garrucci,  Vetrt,  pi.  xxxv,  fig.  1.  CI.  H.  Vopel,  Die  altchrtsthchen  Goldpldser  (Preiburg,  1899),  29. 

"«  Occasionally  a  fruit  is  seen  on  the  patera:  e.  g.  Bernhart,  Handlmch  zur  Munzkunde,  pl.LX, 
fig.  3:  also  Mattingly,  III,  pi.  xlvi,  fig.  14.  CI.  Cesare  Ripa,  Iconologia  (Padua,  aOii),  mfi.,  and  Dora 
and  Erwm  Panofskj-,  "Iconography  of  the  Galerie  rran9ois  1«  at  Fontainebleau,"i  Gazette  des  beaux- 
arts,  ser.  Xl,  vol.  LII  (1958),  127,  note  31,  with  figs.  16-17. 

2^  C.  C.  Vermeule,  "Heracles  Crovramg  Himself.  Kew  Greek  Statuarv  J-v'pes  and  their  Place  in 
Hellenistic  and  Roman  Art,"  Journal  of  Hellenic  Studtcs.  LXXVIl  (1957),  284f.,  pi.  i,  figs.  4-6.  CI. 
Ryberg,  Rites,  86f.  and  pi.  xxvi,  fig.  39b,  for  a  supplicatio  to  Concord  in  front  of'her  cult  image. 

»  "Wilhelm  Derichs,  HeraklesTorbild  des  Herrschers  tti  der  Antike  (Cologne  Diss.  TiTJeBcnptl   loso) 
39,75,  107,  i2of.  -^         K  J.    ^;j  ;. 


MARRTAGEBELTANDRINGSATDUMBARTONOAKS       7 

harmony  of  the  universe.  The  emperor  was  honored  as  the  pacator  mundi  and 
appeared  as  the  living  Concord  of  the  human  race  with  regard  to  both  public  and 
private  spheres.^*  From  early  times  onward  Concordia  was  connected  with  the 
imperial  cult,  especially  with  that  of  the  empresses.  The  Empress  Livia  was 
identified  with  Concordia-Homonoia  and  became  the  patroness  of  marriages  in 
Egypt  where  the  nuptial  rites  were  celebrated  hri  'louXias  lE^aorfis,  that  is, 
probably  in  front  of  her  statue.^"  And  at  the  very  end  of  the  Roman  Empire,  in 
321  or  324,  a  double-solidus  was  issued  at  Trier  showing  Constantine's  Empress. 
Fausta.  as  a  Concordia  between  Crispus  and  Constantine  II,  the  FELIX 
PROGENIES  CONSTANTINI  AVG.,  as  the  inscription  says  (fig.  2o).3i  The  appear- 
ance of  the  emperor  himself  in  the  role  of  a  Concordia  pronuba  is  a  feature  of 
a  very  late  period  only.  Perhaps  we  should  recall  the  fact  that  in  the  late 
Empire  contracts— including  marriage  contracts— were  frequently  signed  be- 
fore the  emperor's  image;  also,  that  the  solemn  oath,  if  such  was  taken,  was 
dehvered  by  the  genius,  the  tyche,  "of  our  unconquered  lord  and  august  em- 
peror. "32  That  is  to  say,  the  emperor  in  his  capacity  of  guardian  of  contracts  and 
solemn  oaths  could  be  recognized  even  in  the  legal  sphere  as  an  incarnation  of 
Concordia.  Represented  in  this  role  we  find  Theodosius  II,  in  a  solidus  of  437, 
a  specimen  of  which  has  recently  been  acquired  by  the  Dumbarton  Oaks 
Collection  (figs.  21,  22).  The  haloed  emperor  gives  his  blessings  to  the  marriage 
of  Valentinian  III  and  Licinia  Eudoxia,  while  the  legend  surrounding  the  im- 
perial pronubus  and  the  likewise  haloed  couple  reads:  FELICITER  NVBTIIS.^ 

We  know  from  the  evidence  of  the  pap\Ti  that  in  the  later  years  of  Theodo- 
sius II  the  official  oath  formula  was  christianized.  The  imperial  tyche  was  still 
invoked,  a  custom  that  lingered  on  until  the  seventh  century.  But  this  invoca- 
tion was  preceded  thenceforth  by  the  invocation  of  Christ  or  the  Holy  Trinity.** 
At  the  next  issue  of  wedding  solidi,  in  450,  we  find  that  Juno  and  Concordia, 
Sol  invictus  and  Cupid,  Hercules  and  emperor  have  ceded  their  place  to  Christus 

"»  W.  W.  Tarn,  Alexander,  II.  4096.;  of.  E.  R.  Goodenough,  "The  Political  Philosophv  of  Hellen- 
istic Kingship,"  Yale  Classical  Studies,  I  (1928),  595.  and  passim,  for  the  "P>nhagorean'  tractates 
(which  speak  of  'Harmoma  '  rather  than  Homonoia);  also  Louis  Delatte,  Les  Trattes  de  la  Royauie 
d'Ecphante,  Diotocenc  ei  Sthenidas  (Liege  and  Pans,  1942),  Index,  s.  v.  ippovkt,  who  dates  these  trea- 
tises rather  late  (first  or  second  centur>-  a.d.).  For  the  emperor  as  pacator,  see  Leo  Berlmger,  Beilrdge 
zur  moffiziellen  Titulatur  der  romischen  Kaiser  (Breslau  Diss.,  1935),  54  ff-,  €>6f. ;  A.  Alfoldi,  in  Romische 
Mitteilungen.  L  (1935),  99  and  pL  vii. 

""  Ulrich  Wilcken.  'Ehepatrone  im  romischen  Kaiserhaus,"  Zeitschrift  der  Saiigny-Stiftung  fur 
Rechtsgeschichte ,  roman.  Abt.,  XXIX  (igoui,  5045. 

"1  R.  Delbruck.  Spdtantike  Kaiserportraiis  iBerlm,  1933),  78  and  pi.  v,  fig.  4. 

=•*  See  E.  Seidl,  Der  Eid  trn  romisch-dgyptiscken  Provimialrecht  (Mimchener  Beitrage  zur  Papynis- 
forschung,  XXIN'  [Munich,  1935]),  Sfi-.  for  the  forms  of  oaths,  and  121,  for  marriage  contracts;  of. 
A.  Stemwenter,  art.  "lusiurandum,"  RE,  X:i  (1918),  1260,  line  12,  for  sponsalia  strengthened  by  an 
oath,  and  (Ime  22)  lor  contracts  with  oath.  For  legal  actions  contracted  in  front  of  an  imperial  image, 
see  Wilcken.  loc.  cii.  [supra,  note  30);  Alfoldi,  m  Romische  Mitteilungen.  XLIX  (1934),  7of.;  Helmut 
Kruse.  Studien  zur  offinellen  Geltung  des  Kaiserbildes  (Paderbom,  1934),  79f. ;  Erik  Peterson,  //  Ltbro 
degli  Angeli  (Rome,  1946),  58.  note  111.  See  tnfra,  p.  15. 

""  H.  Dressel.  m  Zetischnft  ficr  Numismatik,  XXI  (1898),  247!.,  pL  vii,  fig.  15.  The  Dumbarton 
Oaks  specimen  was  acquired  in  April,  1958 ;  it  is  reproduced  here  (fig.  22). 

"  Seidl,  Eid,  8fi.,  for  the  Christian  oaths  beginning  under  Theodosius  II  (cf.  I2f.) ;  see  p.  11  for  the 
invocation  of  the  imperial  tyche  under  Herachus.  Augustme,  Ep.  XXIII, 5  (CSEL.,  XLIV,69,  lines 
i8fl.),  saj's  f  .1  •  -.hat  the  oath  of  groom  and  bnde  was  to  be  taken  pUrumque  per  Christum ; 

cf.  Delling,  "L  ._"  (>M^»a,  note  8).  729. 


U       I    U 


6 


ERNST  KANTOROWICZ 


pronuhus  (fig.  23  a)  .^  The  bridal  couple,  the  Empress  Pulcheria  and  her  Emperor- 
Consort  Marcian,  the  first  at  whose  coronation  the  patriarch  extended  the 
blessings  of  the  Church,  are  haloed  and  diademed  like  their  predecessors,  and 
the  central  figure  appears  in  quasi-imperial  attire.  Only  the  crossed  halo  of  the 
pronuhus  indicates  the  change  and  allows  us  to  understand  that  in  the  Christian 
empire  Christ  was  the  new  pacator  mundi.  By  coincidence,  in  a  verse  inscription 
of  ca.  A.D.  450  at  the  Church  of  S.  Croce  in  Ravenna,  Christ  is  praised  as  cuncti 
Concordia  mundi,  "the  Concord  of  the  whole  world. "'^ 

True,  the  solidus  of  450  is  not  the  first  representation  of  Christ  in  the  role  of 
Concordia  pronuha.  In  the  sarcophagus  reliefs  of  the  fourth  century  Christ  is 
sometimes  shown  in  the  place  formerly  taken  by  Juno  pronuha,  and  the  icono- 
graphic  continuity  here  is  no  less  striking  than  it  was  in  the  case  of  the  coin 
images.  Although  the  sarcophagus  of  the  Villa  Albani  (fig.  7)  is  badly  mutilated, 
enough  is  left  to  recognize  not  only  Christ  in  the  place  of  the  Roman  goddess, 
but  also  the  altar  for  the  sacrificium  nuptiale  (see  fig.  5)  which  now  has  been 
turned  into  a  lectern  carrying  a  Gospel  Book.^''  That  the  pronuhus  should  be 
acting  at  the  same  time  as  stephanophoros.  holding  the  bridal  crowns  over  the 
heads  of  the  couple,  is  a  feature  not  customary  in  earlier  Roman  wedding  icono- 
graphy. It  reminds  us,  however,  how  ineffective  were  the  ranting  invectives  of 
Tertullian  against  the  crovraing  of  bride  and  groom^**— a  custom  even  now  ob- 
served in  the  Eastern  Churches— and  how  easily  the  bridal  wreaths  of  flowers 
assumed  an  almost  transcendental  connotation  anticipating  the  eternal  crown 
of  life,  provided  that  the  marriage  was  contracted  tantum  in  Domino,  "only  in 
the  Lord"  (I  Cor.  7:39).^^ 

The  continuity  by  transference  disclosed  by  the  monuments  is  strikingly  con- 
firmed by  the  texts  of  the  first  half  of  the  fifth  century.  Around  a.d^  400, 

»  Paulmus  of  Nola,  Carmev  XXV,  lo,  ed.  Hartel,  238 :  Absit  ab  his  thaiamis  .  .  .  luno,  Cupido,  Venus 
norntna  luxunac  For  the  medallion,  see  Dressel,  op.  cii.,  248L,  pi.  vii,  fig.  16.  This  is  vet  another  item 
illustrating  the  process  by  which  the  imperial  dlgnit^-  of  the  Eastern  Empire  became  ecclesiastici.sed 
particularly  noticeable  around  450;  see,  e.g..  Peter  Charanis,  "Coronation  and  its  Constitutional 
bignificance  in  the  Later  Roman  Empire."  Byzanitori,  X\-  (10,40-41),  53 f.  A  later  solidus  of  the  same 
type  has  been  recently  acquired  by  the  Dumbarton  Oaks  Collection  (3^.47 ;  see  fig.  23b).  It  refers  to  the 
marriage  of  Ariastasius  I  and  Ariadne  (May  20.  491)  and  still  displays,  probabh-  for  the  last  time,  the 
legend  FELICITER  N^'BTIIS.  The  imperial  couple  is  without  halo,  whereas  the  crossed  halo  of  Christ 
as  pronubus  is  very  clearly  recognizable.  See  G.  Zacos  and  A.  Veglerv,  "An  Unknown  Solidus  of 
Anastasios  1.  '  Numismatic  Circular,  LXVII  (September  1959),  134  f-  an  article  to  which  Professor 
Philip  Gnerson  kmdh-  called  my  attention. 

»«  Agnellus,  Liber  pontificalis  ecclestae  Ravennatis,  ed.  Holder-Egger,  m  Mon  Germ  Hist  ScrH> 
tores  rerun,  Langobardicarum  (1878),  306,  lines  i8f.;  ed.  A.  Testi  Rasponi,  in  the  new  edition  of  Mura- 
toTiReruniltaltcarum  scriptores,  11:3  (Bologna.  1924),  122:  Christe,  Patrts  verbum,  cuncti  concordta 
mund,  This  was  the  first  line  of  the  verse  mscription  on  the  fa9ade  of  Santa  Croce  in  Ravenna  a 
church  built  by  Galla  Placidia.  See  Andre  Grabar,  Martyrium,  I  (Pans,  1946),  224,  note  2  throuch 
whom  my  attention  was  drawn  to  this  inscription.  t  '        n.  .  u^i 

^'  J.  Wilpert,  /  sarcofagt  cristiani  antichi.  I  (Rome,  1932),  pi.  lxxiv,  fig   3 

"  Tertullian.  Pf  coro«a,  13,4;  Karl  Bans,  Der  Kranz  m  Antikc  und  Christentum  (Theophaneia  11 
:.Bonn,  1940]),  chap.  \  ,  pp.  936.,  cf.  Eisenhofer.  Uturgik,  II,  412;  also  Hans  ]ulius  Wolfi.  Written 
and  Lnwritten  Marriages  w  Hellenistic  and  Postclassical  Roman  Law  (Haverford.  1939)  84!  Ritzer 
Eheschhessung,!,  41  f.,  stresses  (p.  46)  the  Armenian  influence;  see  Kottinp  (supra,  note' 10),  880  for' 
the  wreath  at  the  dextrarum  lunctio.  "         • 

<iJ\u^'^^^!'^'' u^^T  ^^r    T"""'  '3-5)  to  this  passage:  habes  apostolum  m  domino  nubere  lubentem. 
bee  the  edition  by  Aemilius  Kroymann,  m  Corpus  Chrisiianorum,  Ser.  lat.,  U  (Tumhout,  1954),  1061, 


^      'J' 


.      \ 


MARRIAGE  BELT  AND  RINGS  AT  DUMBARTON  OAKS      9 

Sevenanus  of  Gabala  wrote  m  a  sermon,  which  strangely  enough  is  al.so  trans- 
mitted under  the  name  of  Petrus  Chrysologus,  Bishop  of  Ravenna  between 
430  and  450 : 

"When  the  images  of  two  persons,  kings  or  brothers,  are  painted,  we  often 
notice  that  the  painter,  so  as  to  emphasize  the  unanimity  of  the  couple, 
places  at  the  back  of  them  a  Concordia  in  female  garb.  With  her  arms  she 
embraces  both  to  indicate  that  the  two  persons,  whose  bodies  are  separated, 
concur  in  mind  and  will.  So  does  now  the  Peace  of  the  Lord  stand  in  the 
center  to  teach  us  how  separate  bodies  may  become  one  in  spirit.**" 

We  could  hardly  have  asked  for  a  more  accurate  description  of  the  change 
which,  by  a.d.  400,  had  taken  place:  the  substitution  of  Concordia  by  the 
"Peace  of  the  Lord."  Paulinus,  Bishop  of  Nola,  however,  who  died  in  431,  was 
even  more  specific  when,  in  the  Epithdamium  for  his  son  Julian,  he  applied  the 
technical  term  pronuhus  to  Christ : 

Tali  lege  suis  nubentihus  adsiai  lesus 
Pronubus,  ei  vini  nectar e  mutat  aquam. 

(By  those  of  his  who  marr\-  in  this  [Christian]  law  Jesus  stands 
as  pronuhus,  and  he  changes  water  into  the  nectar  of  wine.)*i 

The  allusion  to  the  marriage  of  Cana  gives  additional  weight  to  the  pronubus 
attribute  of  Christ,  an  idea  apparently  quite  familiar  in  the  fifth  centur\'.  The 
popular  art  of  decorating  gold-glasses  helped  to  spread  even  more  widely  that 
idea  (fig.  io)*2  which  in  later  times  was  projected  back  into  the  m\i:hical  past : 
the  deity  uniting  the  hands  of  Adam  and  Eve  (fig.  34)  .*3 

In  the  legal  sphere,  the  emperor  as  a  guardian  of  marriage  contracts  was  like- 
wise replaced  by  Christ  and  his  vicars ;  for  the  tabulae  nuptialcs  were  signed  not 
infrequently  before  the  bishop.**  Henceforth  the  imperial  pronubus  vanishes 

*"  The  passage  from  Sevenanus  of  Gabala  was  published  by  Carl  WeT-mann,  'Omonoia,  '  Hermes. 
XXIX  (1894),  626f. ;  It  IS  identical  with  one  in  a  Christmas  sermon  attnisuted  to  Petrus  Chr\-sologus. 
Sermo  CXLIX.  in  Patr.  lat..  LII,  598D-399A.  While  it  is  not  at  all  clear  how  it  happened  that'  sermons 
of  Sevenanus  were  ascribed  to  Petrus  Chr\'sologus,  the  fact  itself  is  generally  recognized ;  see  Albert 
Siegmund,  Die  Vberlieferung  der  griechischen  ckrtsthchen  Liieraiur  in  der  laleinischen  Kirche  bis  zum 
zwolften  Jakrkundert  (Municb-Pasing,  1949),  130;  E.  Dekkers  and  A.  Gaar,  Clans  Patrum  Laimorum 
(Sacris  erudin,  III:  Steenbrugge,  1951),  227.  The  concord-bringmg  "Peace  of  the  Lord"  was  repre- 
sented m  the  contemporan,-  mosaic  of  the  arch  of  S.  Maria  Maggiore  ica.  432-440)  by  an  angel  acting 
as  pronubus  and  uniting  Joseph  and  the  prophetess  Anna  ithat  is,  the  New  and  Old' Testaments);  cf. 
Grabar,  L'empereur,  216 f..  and  pi.  xxxiv. 

*'  Paulinus  of  Kola,  Carmen  XXV,  151  f.,  ed.  Hartel  (CSEL..  XXX  [1894]),  243.  Cf.  F.  J.  Dolger, 
Antike  und  Christentum,  VI  (1950),  1,  note  i :  "Eine  Arbeit  fiir  sich  konnte  im  Anschluss  an  Paulinus 
von  Nola. . .  lesus  pronubus  betitelt  werden."  Unfortunately  Dolger  did  not  wxite  that  study. 

"  Garrucci,  1  vetri,  pi.  xxix,  fig.  3. 

*=  Bible  morahsee  illustree,  ed.  Comte  A.  Delaborde  (Pans,  1911),  I,  pL  vi  (Oxford,  Bodleian  MS 
270b,  fol.  61-). 

**  Eisenhofer,  Liturgik,  II,  409!.,  416!. ;  cf.  Pelka,  Altchristhche Ehedenkmaler,  92  ;  Ritzer,  Eheschlies- 
sung,  I,  35,  4of.  Augustine,  Sermo  CCCXXXIJ,  §  4,  Patr.  lat.,  XXX\TII,  14O3,  mentions  expressts 
verbis  the  signing  of  the  tabulae  by  the  bishop :  Verum  est ;  istis  iabuHs  subscripstt  episcopus.  The  sacer- 
dotal benediction  of  matrimony  is  mentioned  quite  often.  Paulinus  of  Nola,  Carmen  XXV,  11 :  Sancta 


I    L 
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ERNST  KANTOROWICZ 


from  iconography,  though  a  certain  lingering  is  still  noticeable  in  the  silver  dish 
from  Cyprus  where  a  chlamydatm,  King  Saul,  marries  off  his  daughter  Michal  to 
young  David  (fig.  ii).^^  However,  the  figure  of  the  bishop  or  priest  solemnizing 
matrimony  was  too  prominent  in  daily  life  to  be  neglected  in  art.  It  was  a  scene 
depicted  in  numerous  representations  of  the  Sposalizio  until,  in  the  High  Re- 
naissance, it  reappeared  in  medallic  art.*^  Only  one  medallic  design  from  among 
very  many  will  be  mentioned  here :  the  Cardinal  de  Bouillon  solemnizing  the 
marriage  of  the  Dauphin  Louis,  son  of  Louis  XIV,  to  Marie  Anne  of  Bavaria 
(fig.  24). 47  xhe  inscription  VICTORIA  ET  PACE  AUSPICIBUS  shows  that  this  event 
had  primarily  political  aspects,  though  it  was  not  so  exclusively  political  as  a 
medallion  of  1570,  executed  by  Giovan  Antonio  de'Rossi,  on  which  the  bride 
is  the  Signoria  of  Venice,  the  groom  is  the  Kingdom  of  Spain,  and  the  Con- 
cordia pronuha  is  Pope  Pius  V  extending  his  blessings  to  a  military  alliance 
against  the  Turks  (fig.  25). 4** 

For  all  the  available  evidence,  however,  it  can  still  be  asked  whether  in  fact 
Concordia  pronuba  was  simply  replaced,  in  the  fourth  and  fifth  centuries,  by 
Christus  pronubus,  and  whether  this  change  implies  merely  an  iconographic 
problem  or  affected  the  meaning  of  the  ceremony  as  well.  The  answer  to  these 
questions  is  given  by  the  golden  marriage  belt  of  the  Dumbarton  Oaks  Collec- 
tion (figs.  la-b).  The  central  medallions  display  Christ  as  the  unifier  and 
solemnizer  who  places  his  hands  over  those  of  the  couple  clasping  hands.  Of 
chief  importance  is  the  inscription:  EK  eEOY  OMONOIA,  "Concord  deriving 
from  God,"  with  the  words  XAPIC  and  YflEIA  written  in  the  exergue.'*^  That 


sacerdohs  venerando  ptpiora  pacta/ iunguntw:  also  line  231:  Imbue,  Christe,  novos  de  sancto  antistite 
T/i^rV]  ^'^^'^'^l^'^i^stical  benediction  was  mentioned  already  by  John  Chrvsostom,  Iv  Genesit,,  Homilia 

JJ     '  ^  ^"'  ■  ^*'"  -^^^  •  '♦■^^  ***^''  iiitzcT,  1,  41,  note  301),  who  preaches  against  pagan  excesses  at 

weddmp  parties  and  adds :  5eov  OTravn-a  TaOra  doTEAauvEiv .  .  .  Kai  lepras  koAsiv  koI  61'  euvcov  Kai  eOXoviuv  ttiv 
ouovoiav  ToO  ouuoiKEcriou  ovcrcpiyyEiv  .... 

«  Nicosia  (Cyprus),  Mu.seum.  Pliotograph:  Dumbarton  Oaks.  The  dish  has  often  been  reproduced • 
n^J^T^^\^^  l''""^^'  ^"""'^  ^'"'''  ^>'^««''«'  1  (P^"«.  1925),  313.  fig.  15m;  Leclercq,  art.  ■'Chvpre  '' 

nfAv  ^\^'''  '-f '•  ^^-  -'^'^  <'''^*^  literature);  also  art.  "David."  DACL.,  IV:  i,  2qc,/3oo  fig"  ,(,30 
That  the  design  followed  the  imperial  prototj'pe  cannot  be  doubted;  see  Andre  Grabar  LemPerem 
dans  /  aW /)y^aM/^«  (Paris,  1936),  217,  note  4.  '  ' 

,  !'^\^'  ""T  ^^"^-.^"'^^^  ""'^  Renaissance  (Zurich.  1947),  571.  The  material  has  not  vet  been  col- 
lected, though  a  beginnmg  has  been  made;  see  Paul  Schmid,  "Die  deutsche  Hochzeitsmedaillc" 
Deusches  Jahrhuch  fur  ^umlsmatlk.  1U-J\  (IQ40-41),  9-52,  pis.  i-vi.  The  fact  that  a  Juno  pronuba 
made  her  appearance  m  a  pantomime  performed  in  Bologna  at  the  wedding  of  Annibale  Bentivoclio 
and  Lucrezia  d  Lste,  merely  reflects  the  general  climate  of  the  Renaissance ;  cf.  Jakob  Burckhardt  D,e 
hultm  der  Renaissance,  ed.  Werner  Kaegi  (Gesamtausgabe,  N"  [Berlin  and  Leipzig  1930!)  298  Emrl 
transl.  by  S.  G.  C.  Middlemore  (\ienna,  n.  d.).  214.  ^    ^      ^  ^''  ^  '     ^'■ 

lxZl?''''%'^'''TT  M^'n'*"'^'  ^^.''^f^''  ""■  ^''  Pr'ncipaux  evenements  du  regne  de  Loms  le  Grand 
(Academie  Royale  des  Medailles  et  des  Inscriptions  [Pans.  1702]),  fig.  on  p    180 

^    «^  Georg  Habich.  Die  Medaillen  der  italiemschen  Renaissance  (Stuttgart  and  Berlm,  n.  d.)  pi.  lxxix, 

"  Dumbarton  Oaks  Collection,  no.  37-33;  cf.  The  Dumbarton  Oaks  Collection:  Handbook  (Washine- 
ton,  195.5),  p.  80.  no  190  and  figure  on  p.  95:  also  Berta  Segall,  "The  Dumbarton  Oaks  Collection  " 
American  Journal  o    Archaeology. ^l.X  (,941),  13!..  and  figs.  5-7.  For  the  device,  see  Constantme 

imperial  uedding  Es,  6  Seos  6  ayios.  60s  avrro.s  6p6voiav  with  similar  wishes  to  follow  for  the  emmre 
(PaaiAEjov)  and  the  marriage  (yduos).  Further,  the  acclamations  for  the  Augusta  (Xogt  II  o^  S 
ivupipEuftTis  iK  ©Eou  TT,  ■n-op9up(;t.  s"-.  'i,  y;.    iu 


MARRIAGE  BELT  AND  RINGS  AT  DUMBARTON  OAKS  U 

is  to  say,  Homonoia-Concord  no  longer  ruled,  or  even  existed,  in  her  own  right 
as  an  independent  goddess  or  virtue,  who  had  her  own  aedes  and  altar,  nor 
could  the  couple  by  its  purely  human  and  moral  qualities  represent  her  divine 
essence.  Concordia  was  now  a  gift  of  God ;  she  proceeded  from  God  and  had  be- 
come subservient  to  God.  What  Saint  Augustine  said  about  Virtus  in  general, 
that  "Virtue  is  not  a  goddess  but  a  gift  of  God,  and  that  she  is  to  be  obtained 
from  Him  by  whom  alone  she  can  be  given,"  or  that  "not  truth,  but  vanity, 
makes  the  Virtues  goddesses;  for  they  are  gifts  of  the  true  God,  and  not  them- 
selves goddesses,"  all  of  that  was  applied  to  Concordia  as  well:  EK  GEOY 
OMONOIA.  5" 

The  change  reflected  also  upon  the  bridal  couple.  No  longer  were  groom  and 
bride  embraced  by  the  natural  harmony  of  the  universe  in  which  they  partici- 
pated and  of  which  they  became  a  likeness  through  their  Homonoia.  Their  hands 
are  now  joined  together  by  a  sacrament,  by  a  spiritual  principle  bestowing  upon 
them  Concord  as  a  special  gift  like  Grace  and  Health.  Although  the  marriage 
rings  (figs.  27a-b)  continued  to  display  occasionally  the  word  Homonoia,^^  and 
although  both  Eastern  and  Western  marriage  rites  still  mentioned  the  concord 
by  which  bride  and  groom  were  to  be  united, ^2  something  essential  had  changed : 
the  couple  no  longer  appeared  as  the  manifest  likeness,  the  visible  mimesis  of  the 
purely  natural  order  of  the  world.  And  yet,  the  idea  of  mimesis  was  not  lost, 
nor  was  it  absent  from  the  Christian  ritual.  In  the  Epistle  to  the  Ephesians 
(5:25),  St.  Paul  enlarged  upon  the  image  of  the  marriage  of  Christ  to  the 
Church,  and  the  chapter  from  Ephesians  appears  in  almost  all  the  later  Christian 
services  of  the  "Solemnization  of  Matrimony";  it  is  used  as  the  Lesson  and 

*"  Augustine.  De  civ.  Dei,  IV,  20,  ed.  Dombart,  I,  169:  [Virtus]. . .  dea  non  est,  sed  donum  Dei  est. 
Ipsa  ab  illo  impetretur,  a  quo  solo  dart  potest.  Also  IN',  21,  Dombart,  I,  170:  Has  dcas  non  Veritas,  sed 
vanitas  facit;  haec  entm  veri  Dei  munera  sunt,  non  ipsae  sunt  deae.  Cf.  Thendor  Ernst  Mommsen,  "Pet- 
rarch and  the  Stor^•  of  the  Choice  of  Hercules,"  Journal  of  the  Warburg  and  Courtauld  Institutes,  XVI 
(1935).  178-182. 

"  Fig.  27a;  Dumbarton  Oaks  Collection,  no.  53.12.4  (sixth  centurj-) ;  cf.  Handbook,  p.  76,  no.  169. 
Mrs.  Enrico  de'lsegri  has  called  my  attention  to  the  fact  that  the  design  of  this  ring  (the  bust  of  Christ 
over  the  Cross  with  two  figures,  right  and  left)  corresponds  exactly  to  that  of  the  ampullae  (bust  of 
Christ  over  the  Cross  with  the  two  thieves,  right  and  left)  of  the  sixth  century' ;  .see  Grabar.  Les  ampoules 
de  Terre  Satnte  (Paris,  1958),  pis.  xii,  xiii,  xiv,  xvi,  xvni,  xxvi,  xxvni,  etc.  See,  on  related  rings, 
Paolo  Orsi.  "Giojelli  bizantini  della  Sicilia."  Melanges  offerts  a  M.  Gustave  Schlumberger  (Paris,  1924), 
395.  fig-  65 ;  Carlo  Cecchelli,  "L'anello  bizantino  del  Museo  di  Palermo,"  Orientalia  Christiana  Periodica, 
XIII  (1947).  40-57  (with  full  bibliography).  I-'ig.  27b:  Dumbarton  Oaks  Collection,  no.  59.60;  a  new 
acquisition  of  the  Collection.  See  also  Dalton,  Catalogue  (infra,  note  62),  9,  No.  48,  and,  for  the 
ampulla  pattern.  No.  50. 

^-  See  the  Preface  "Qui  foedera  nuptiarum  blando  concordiae  iugo . . .  nexuisti"  of  the  Nuptial 
Mass  in  the  Saaanientaritini  Gelasianuni,  LII,  ed.  H.  A.  Wilson  (Oxford,  1894).  265,  which  is  found  also 
in  the  Gregorianum  (Pair,  lat.,  LXXNTIl,  261),  and  can  lie  traced  to  the  Pontificale  Romanum  saecuh 
XII .  ed.  Michel  Andrieu,  Le  pontifical  Romain  au  moyen-dge  (Studi  e  Testi,  LXXXVI  r\atican  City, 
1938]),  I,  261,  !(  9.  whereas  it  no  longer  has  a  place  in  the  present  Mtssale  Romanum.  See  further,  for 
the  Mozarabic  rite,  the  Liber  Ordinum,  ed.  Marius  Ferotin,  M onumenta  Ecclesiae  Liturgica,  X  (Paris, 
1904),  437:  Da  eis.  Domine,  unam  pudicitiam  unamque  concordiam,  and  438:  .  .  .in  timore  tuo  animorum 
concordiam.  The  Byzantine  Euchologion  refers  in  the  various  nuptial  orders  (the  Akolouthiai  for  Spon- 
salia.  Crowning,  and  Second  Marriage^  time  and  again  to  Homonoia  ;  see  EOxoXdyiov  to  Msya  fKome, 
1^73).  i^'3  (twice:  iv  b\iovoiq.  Kai  ^€^0191  ttIotei),  164  (kv  eipi^vT)  Koi  6uovola),  160  (Aos  onlrrols.  .  .  6u6woiav 
yuxwv  Kol  ctcou6twv).  Also  172,  176,  179.  The  prayer  pp.  i63f.  (  Kupie  6  etos  f)ucov  6  ttiv  tl,  i6vwv.  ktX.) 
can  be  traced  back  to  the  Barberini  graec.  336  of  the  eighth  (or  ninth)  century,  and  may  be  considerably 
older;  see  Ritzer,  Eheschliessung,  68  f.,  and,  for  the  date  of  the  codex,  Dom  Anselm  Stnttmatter,  "Missa 
Graecorum,"  Traditio,  1  (1943),  81,  note  4. 


fe 


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12 


ERNST  KANTOROWICZ 


pervades  the  prayers. ^^  j^  is  still  included  in  the  Book  of  Common  Prayer  where, 
in  the  introductory  prayer,  the  estate  of  matrimony  is  praised  as  "an  honorable 
estate,  instituted  of  God,  signifying  unto  us  the  mystical  union  that  is  betwixt 
Christ  and  the  Church."  And  once  more,  towards  the  end,  there  is  an  invocation 
of  God  "who  hast  consecrated  the  state  of  Matrimony  to  such  an  excellent 
mystery,  that  in  it  is  signified  and  represented  the  spiritual  marriage  and  unity 
betwixt  Christ  and  his  Church. "^^ 

The  marriage  of  Christ  to  the  Church —in  mediaeval  art  often  identified  with 
the  Coronation  of  the  Virgin  —was  occasionally  represented  in  later  miniatures 
(fig-  35)  where  the  chalice  or,  more  generally,  the  Sacrament  of  the  Altar  figured 
as  the  unifier. ^^  Similarly,  at  the  mystical  marriage  between  the  bishop  and  his 
local  church,  the  Holy  Spirit  might  act  as  pronuhus,  with  the  altar  table  placed 
between  the  couple  and  with  Christ  giving  his  daughter  away  (fig.  36), ^^  a 
meaning  supported  by  the  miniature  in  an  English  Psalter  of  ca.  1310  where 
Saul  is  seen  giving  away  his  daughter  Michal  to  David  (fig.  ^y).^''  Unfortunately, 
the  late-mediaeval  secular  equivalent  —the  king's  marriage  to  his  realm,  symbol- 
ized by  the  ring  ceremony  of  the  Coronation  Orders^S— does  not  seem  to  have 
found  any  representation  at  all;  the  nearest  would  be  a  medallion  of  1603, 
showing  Henry  IV  as  Mars  and  Maria  de'Medici  as  Pallas  joining  hands  while 
the  Dauphin  Louis  XIII  places  his  foot  on  a  dolphin.  We  recognize  an  eagle 
descending  from  heaven  and  carrying  a  crown  in  its  beak,  apparently  the  "im- 
mortal Crown"  symbolizing  the  continuity  of  kingship  and  representing,  in 
this  case,  the  unifier  (fig.  26). ^9  For,  the  inscription  PROPAGO  IMPERI  indi- 

"  Ephesians  5:22-33,  i.s  the  Epistle  of  the  Byzantine  marriage  rite  (Euchologion  [editio  Romana, 
1873],  i7of.),  and  it  may  have  served  that  purpose  at  all  times.  In  the  West,  the  tradition  is  more  com- 
plicated. Paulinus  of  Nola,  Carmen  XXV,  i6-ji.  (infra,  note  61),  shows  that  the  passage  from  Ephe- 
sians was  at  least  present  in  his  mind  when  writing  the  Epithalamium  for  his  son ;  and  it  serves  again  in 
the  modern  Missale  Romanum  composed  under  Pius  V,  in  1 570.  In  the  Middle  Ages,  however,  apparently 
under  the  influence  of  the  Romano-Germanic  pontifical  of  the  tenth  century,  the  lesson  I  Corinthians 
6:15-20,  was  commonly  used  (cf.  Ritzer,  II,  15),  thus  replacing  with  a  stalwart  exhortation  against 
fornication  the  subtle  ontological  commemoration  of  the  divine  model.  Some  manuscripts,  however 
indicate  that  the  Lesson  from  Ephesians  was  current  as  well ;  cf.  Andrieu,  Le  Pontifical  Romam,  I,  260,' 
note  4.  This  is  not  surprising  becau.se  the  Benediction  Deus  qui  potestate  virtutis  tuae  alludes  to  the 
passage  from  Ephesians  (see  infra,  note  54),  and  that  Benediction,  which  is  still  found  in  the  present 
Missale  Romanum,  can  be  traced  back  to  the  Roman  Pontifical  of  the  twelfth  century  (Andrieu,  op. 
ciL,  I,  261,  lines  2^&.)  and  further  to  the  Gregorianum  of  Pope  Hadrian  I ;  cf.  H.  A.  Wilson  The  Gre- 
gorian Sacramentary  under  Charles  the  Great  (Henry  Bradshaw  Societv,  XLIX  [London  1915])  221 
§  6.  See  also  infra,  note  65,  for  that  Lesson  on  the  day  of  Epiphany,  that  is,  the  day  of  the  ma^iaee 
of  Christ  to  the  Church.  '  ^ 

"  The  Book  of  Common  Prayer  follows  verbatim  the  text  of  the  Benediction  Deus  qui  potestate 
virtutis  tuae  (supra,  note  53) :  Deus  qui  tarn  excellenti  mysterio  coniugalem  copulam  consecrasti  ut  Christi 
ei  Ecclesiae  sacramentum  praesignares  in  foedere  nuptiarum.  The  benediction,  of  course,  is  found  also  in 
the  rite  of  Sarum  which  became  more  or  less  authoritative  for  the  English  Church  in  the  thirteenth 
centurj';  cf.  W^ilham  Maskell,  Monumenta  Ritualia  Ecclesiae  Anglicanae,  I  (Oxford    1882)    70  and  72 

^  Bible  moralisee,  I,  pi.  6  (Oxford,  Bodl.  MS  270b,  fol.  6r).  ' 

"  Bible  moralisee.  III,  pi.  479  (London,  Brit.  Mus.  MS  Harley  1526-27,  fol.  Br). 

"  Munich,  Cod.  gall.  16,  fol.  35V,  a  miniature  to  which  Professor  Erwin  Panofsky  obligingly  called 
my  attention  and  of  which  he  also  lent  me  a  photograph.  Although  the  MS  is  said  to  be  French  (eall ) 
It  is  m  fact  an  English  Psalter  of  ca.  1310  and  comes,  as  Professor  Panofsky  pointed  out  to  me   from 
the  same  workshop  as  the  famous  Tickhill  Psalter  in  the  Morgan  Library. 

«  See,  for  the  king's  marriage  to  his  realm,  E.  H.  Kantorowicz,  The  King's  Two  Bodies  (Princeton 
1957).  2i2fi.,  and,  for  the  (French)  ring  formula,  221  f.,  note  85. 

''^  G.V.liiW,  The  Drey  fuss  Collection:  Renaissance  Medals'(0^iord,  ig^i)  pi  cxix  fig  s'i6  For 
the  eagle  with  crown  on  Roman  coins,  see,  e.  g.,  the  aureus  issued  S.C.  (by  decree  of  the  Senate)  to 


MARRIAGE  BELT  AND  RINGS  AT  DUMBARTON  OAKS    13 

cates  that  the  medallion  celebrates  the  perpetuity  of  the  dynasty  exactly  as  it 
does  on  the  Roman  coin  from  which  the  inscription,  to  the  letter  was  taken 
(fig-  i4)-«" 

However  that  may  be,  the  loving  understanding,  the  Homonoia-Concovd  be- 
tween Christ  and  his  Church,  the  latter  represented  by  the  Virgin  Mary,  served 
as  the  transcendental  model  of  bridal  couples  marrying  in  the  Christian  faith. 
This  model  must  have  been  far  older  than  our  relatively  late  liturgical  texts 
would  suggest.  For  one  thing,  in  the  Epithalamium  of  Paulinus  of  Nola  for  his 
son  mention  is  made  not  only  of  lesus  pronuhus,  but  also  of  the  grande  sacra- 
mentum, quo  nubit  ecclesia  Christo,  "the  great  sacrament  by  which  the  Church 
gave  herself  into  marriage  to  Christ."6i  Moreover,  on  the  octagonal  or  quatrefoil 
bezel  of  a  wedding  ring  in  the  British  Museum,  of  the  sixth  or  seventh  century 
(fig.  28), 62  the  hoop  of  which  is  likewise  octagonal,  we  recognize  the  celestial 
couple  of  Christ  and  Mary,  King  and  Queen  of  Heaven,  as  they  dispense  their 
blessings  to  the  slightly  smaller  bridal  couple  —the  motto  being  again  Homonoia. 
This  design  appears  also  on  another— similar,  if  more  elegant  and  slightly 
later— ring  of  the  Dumbarton  Oaks  Collection  (figs.  29a-b),  which  is  likewise 
octagonal. 63  Once  more  the  inscription  reads  Homonoia  and  refers  to  both 
couples:  to  Christ  and  Mary  as  the  model,  and  to  the  smaller  human  couple  as 
the  antitype  and  mimesis  of  the  exemplary  concord  of  King  and  Queen  of 
Heaven. 

A  few  words  may  be  devoted  to  the  strange  octagonal  shape  of  the  bezel  and 
the  hoop.  The  octagon  is  the  customary  shape  of  early  Christian  baptisteries,** 
and  one  might  be  all  the  more  inclined  to  seek  a  connection  with  baptism, 
since  the  marriage  of  Christ  to  the  Church  was  generally,  especially  in  Syria] 
understood  to  follow  after,  or  take  place  at,  the  Baptism  of  Christ  in  the  Jordan  : 
the  Church  was  cleansed  on  Epiphany  and  the  marriage  followed  after  that 
nuptial  h^ih—Hodie  caelesti  sponso  iuncta  est  Ecclesia  announces  the  famous 
antiphon  on  Epiphany.*^  Another  consideration,  however,  has  its  merits  too, 

celebrate  the  acceptance  of  the  augustus  title  on  the  part  of  Octavian ;  Alfoldi,  in  Rom.  Mitt.,  L  (1935), 
pl-  13,  fig-  5.  and  p.  87.  The  French  medallist  could  hardly  have  known  the  corresponding  ico'nographic 
t>-pe  of  the  Dove  descending  with  a  crown  in  its  bill  at  the  Baptism  of  Christ  in  the  Jordan  of  which 
one  of  the  finest  specimens  is  found  in  the  Dumbarton  Oaks  Collection;  cf.  Handbook,  p.  80,  no.  189 
(illus.  on  p.  91). 

•»  See  supra,  note  13;  for  the  Crown  "which  never  dies  "  ("la  couronne  et  la  justice  ne  meurent 
jamais"),  see  Kantorowicz,  op.  cit.,  417,  note  343,  and  pp.  3363. 

*'  Paulinus  of  Nola,  Carmen  XXV,  167 f.,  ed.  Hartel,  243;  see  supra,  note  53. 

«='  O.  M.  Dalton,  Catalogue  of  the  Finger  Rings:  Early  Christian,  Byzantine,  Teutonic,  Mediaeval  and 
Later  (London,  1912),  8f.,  No.  45. 

«=  Dumbarton  Oaks  Collection,  no.  47.15;  see  Handbook,  p.  81  f.,  and  figure  195  on  p.  94,  where, 
however,  the  bezel  is  not  shown. 

•*  F.  J.  Dolger,  Anttke  und  Christentum,  IV  (1934),  i53ff-.  and  V  (1935),  293f.;  cf.  K.  Schneider, 
art.  "Achteck"  and  "Achtzahl,"  Reallextkon  fiir  Antike  und  Christentum,  I  (1950),  72ff.,  793. 

•*  Odo  Casel,  "Die  Taufe  als  Brautbad  der  Kirche,"  Jahrbuch  fiir  Liturgieivissenschaft,  V  (1925), 
144-147  :  Hieronymus  Frank,  •'Hodie  caelesti  sponso  iuncta  est  Ecclesia :  Ein  Beitrag  zur  Geschichte  und 
Idee  des  Epiphaniefestes,"  Vom  christlichen  Mysterium:  Gesammelte  Arbeiten  ztim  Geddchtnis  lan  Odo 
CaselO.S.B.,  edd.  Anton  Mayer,  Johannes  Quasten,  Burkhard  Neunheuser  (Diisseldorf,  1951),  192-226, 
is  the  most  profound  discussion  of  this  subject;  see  p.  199,  note  31,  for  the  evidence  of  the  Gallican 
Epistle  Book  of  Schlettstadt  (seventh  or  eighth  century),  which  has  the  Lesson  from  Ephes.  5:20-33, 
on  Epiphany  (see  supra,  note  53). 


'    L     U 

I    U       I 


14 


ERNST  KANTOROWICZ 


and  may  even  appear  preferable.  Andre  Grabar  has  convincingly  proved  that 
the  Church  of  the  Holy  Saviour  in  Antioch,  which  Constantine  the  Great  dedi- 
cated in  327,  was  originally  devoted  to  Honionoia-Concordia,  a  title  referring  to 
a  more  specialized  capacity  or  hypostasis  of  the  incarnate  Word.««  That  is  to 
say,  just  as  Constantine  dedicated  churches  in  Constantinople  to  the  Saviour  in 
his  special  capacities  of  Divine  Wisdom  {Sophia),  of  Divine  Power  {Dynamis), 
and  Divine  Peace  {Eirene),^'^  so  did  he  dedicate  a  church  to  the  Saviour  as 
Divine  Concord  {Homonoia)  in  the  Oriental  capital,  Antioch— a  tropaion  after 
his  victory  over  Licinius  by  which  the  Orient  and  its  capital,  Antioch,  were 
again  united  to  the  Roman  Empire  where  Homonoia  now  prevailed.  The  Church 
of  the  Divine  Concord,  however,  was  an  octagon— to  oKTdycovov  Kupiaxov,  as 
Theophanes  called  xi.^  Apparently,  the  word  Homonoia  released  almost  auto- 
matically, for  the  Byzantine  mind,  the  vision  of  the  octagon  at  Antioch,  just  as 
for  us  the  word  Hagia  Sophia  immediately  conjures  the  vision  of  the  dome  of 
the  most  venerable  church  of  Constantinople.  Perhaps  the  octagonal  Homonoia 
rings  may  even  serve  to  strengthen  Grabar's  ingenious  identification. 

In  its  Christian  garb,  as  displayed  by  the  rings,  the  idea  of  Homonoia,  or 
Harmony,  gained  a  new  spatial  depth  and  an  unexpected  perspective.  This 
then,  this  doubling  of  the  couples— the  celestial  couple  being  a  model  of  the 
terrestrial— should,  we  may  assume,  be  considered  as  a  genuine  contribution 
of  the  ideas  developed  by  the  Christian  Church.  Or  does  this  doubling,  too,  have 
its  pagan  antecedents  ?  It  is  true  that  the  myths  of  Amor  and  Psyche,  of  Mars 
and  Venus,  may  have  served  occasionally  as  mythical  paradigms,  comparable 
perhaps  to  the  marriage  of  Adam  and  Eve  as  a  cipher  of  Christian  mythology.*** 
But  those  myths  were  hardly  more  than  allegorical  parallels  lacking  the  moral 
obligation  to  imitate  a  model,  and  they  definitely  lacked  the  spatial  reality 
and  perspective  which  the  marriage  between  the  Mediator  and  the  Mediatrix, 
Christ  and  the  Church,  conveyed  to  the  idea  of  Homonoia  and  thereby  to  the 
wedding  ceremony  itself.  This  would  likewise  be  true  when  a  coin  displayed 
the  imperial  couple,  Hadrian  and  Sabina,  joining  hands  with  a  divine  couple, 
Osiris  and  Isis  (fig.  30)  ;7»  for  the  scene,  referring  to  an  adventus  reception,  has  no 
model  character  whatsoever.  Hence,  we  may  dismiss  off-hand  the  mythical 
"models,"  but  cannot  dismiss  with  equal  nonchalance  some  other  imperial 
antecedents. 

In  A.D.  176,  the  Roman  Senate  passed  a  decree  ordering  that  bride  and 
groom  should  offer  on  their  wedding  day  a  sacrifice  on  an  altar  placed  in  front 
of  the  colossal  silver  statues,  in  the  temple  of  Venus  and  Roma,  of  Marcus 

*•'  A.  Grabar,  Martyrium,  I,  222 ff. 

«■  See  Jean  Paul  Richter,  Qt4ellen  der  hyzantinischen  Kunstf^eschichte  (Vienna,  1897)  4  S  2  for  the 
three  churches  in  Constantinople;  cf.  13,  §37.  The  oratory  called  Honwnoia  in  the  capital  was  not  dedi- 
cated to  Christ  as  Concord,  but  commemorated  the  concord  of  a  Council-  ibid     144    8  4 

^  Theophanes  CA.o«o^r«/>Am,  I,  ed.  C.  de  Boor  (Leipzig,  1883-85),  28,'  quotkl  hx  Grabar  who  also 
discusses  (223f.)  the  political  situation. 

«»  See  Rossbach,  Rdmische  Hochzeits-  und  Ehedenkmdler,  172,  for  a  sarcophagus  m  the  Campo  Santo 
at  Pisa  where  Amor  and  Psyche  are  represented  as  well  as  bride  and  groom.  See  supra,  note  43  and 
hg.  34,  for  Adam  and  Kve.  'tJ-  '  " 

'«  Strack,  Untersuchungen,  II,  pi.  xiii,  fig.  743;  cf.  pi.  vi,  fig.  314,  also  p.  164. 


MARRIAGE  BELT  AND  RINGS  AT  DUMBARTON  OAKS  15 

Aurelius  and  his  Empress,  the  younger  Faustina.^i  Similar  decrees,  we  may  recall, 
are  known  from  Egypt.'^  Most  explicit,  however,  is  an  earlier  inscription  from 
Ostia.  That  city  consecrated  an  altar  for  the  imperial  couple  Antoninus  Pius 
and  the  elder  Faustina  to  the  end  that 

ob  insignem  eorum  concordiam —ior  the  outstanding  concord  of  emper- 
or and  empress— the  maidens  that  marry  at  Ostia,  and  their  grooms 
are  held  to  offer  on  that  altar  on  the  day  of  their  wedding." 

That  this  decree  was  carried  through  verbatim -probably  not  only  in  Ostia 
and  the  provinces,  but  also  in  Rome^^-is  suggested  by  a  series  of  superb 
sestertu  of  Antoninus  Pius  which  actually  reveal  the  whole  procedure  (figs. 
3ia-c).'5  We  recognize  the  colossal  statues  of  Emperor  and  Empress  facing  each 
other,  also  the  altar,  and,  before  it,  the  dextrarmn  itmctio  of  bride  and  groom. 
The  two  smaller  human  figures  are  framed  and  overshadowed  by  the  huge 
statues  (the  pedestals  are  plainly  visible,  even  on  a  later  replica  [fig.  ^sW^  of 
Emperor  and  Empress  who  clasp  hands  exactly  as  does  the  newly  wedded  pair  at 
their  feet.  Moreover,  the  Emperor  carries  in  his  left  hand  the  statue  of  Concordia 
whose  name  we  also  read  in  the  inscription  and  who  creates,  as  it  were,  the 
harmony  of  all  three  spheres:  the  human,  the  imperial,  and  the  universal. 
Concordia  pronuha  is  effective  by  her  own  cosmic  power  of  rendering  harmony; 
but  she  wields  her  power  also  through  the  mediatorship  of  the  prototypes,  the 
Divi.  The  Divi,  as  demanded  by  Hellenistic  political  philosophy,"  are'  the 
mimetai  of  the  heavenly  order,  whereas  man  becomes  the  mimetes  of  the  ruler. 
The  coin  discloses  strikingly  the  unison,  harmony,  and  equality  of  rhythm  of 
macrocosmos  and  microcosmos. 

All  of  this  opens  up  some  wider  perspectives  both  backward  and  forward. 
We  may  think  of  Theocritus'  Panegyric  for  King  Ptolemy  II  and  his  Oueen 
Arsinoe  whose  "holy  wedlock"  of  brother  and  sister  appeared  to  the  poe't  as  a 
mimesis  of  that  of  the  rulers  of  Olympus,  Zeus  and  Hera'^-a  metaphor  which 
has  its  antecedents  far  back  in  the  ancient  Near  East  where  the  royal  marriage 

''  Alfoldi,  in:  Rom.  Mitt.,  XLIX  (1934),  Oi,  note  3,  and  L  (1935),  96;  Strack,  Uniersmhungen,  III, 
P-  ?f  *'1""*!",S  ''"'^  interpreting  Cassius  Dio,  71,31,1);  Weinstock,  art.  '■Pronuba,"  753. 

'    L.  Wilcken,  "Ehepatrone  im  romischen  Kaiserhaus"  (siipra,  note  30). 

"  C^l-,  XIV,  Suppl.  5326:  Imp.  Caesari  T.  Aelio  Hadnano  Antonino  Aug.  Pio  P.P  et  divae  Fau- 
sttnae  ob  insignem  eorum  concordiam  Utique  m  ara  virgines  quae  in  Colonia  Ostiensi  nubent  item  mariti 
earum  supphcent.  Strack,  lac.  cit. 

'«  Strack,  111,96. 

"Strack  III,  pi.  X,  fig  826;  Alfoldi,  Rom.  Mitt.,  L  (1935),  pL  xn,  fig.  15;  Bernhart,  pi.  lx,  fig.  10. 
f^  Ifll  Tu  '  •„•  •  ^^''^'''^'^^^^^  "f.,  has  misunderstood  the  meaning  of  these  coins  because  he 
thought  that  the  smaller  figures  were  Marcus  Aurelius  and  the  younger  Faustina ;  but  so  have  others- 
ct.  Mrack,  III,  96,  note  291 ;  Alfoldi,  op.  cit.,  96,  note  i. 

'•  G.  F  Hill,  Catalogue  of  the  Greek  Coins  of  Lycia,  Pamphilia,  and  Pisidia  (London,  1897)    i88f 
nos.  75-76   pi.  XXXII,  fig.  2:  Gordian  and  Antioch  {Colonia  Caesarea  Antiochia),  standing  confronteii 
on  pedestals;  the  Emperor  holding  in  his  left  a  statue  (of  the  genius  of  the  citv  or  oi Concordia  ')  grasps 
with  his  right  the  right  hand  of  Antioch;  between  them  an  altar.  Cf.  Strack,  III,  96,  note  291    who 
called  attention  to  this  coin. 

"Theocritus,  XVII,  128-134.  Cf.  Fritz  Taeger,  Charisma:  Studien  cur  Geschichte  des  antiken  Herr- 
scherkultes  (Stuttgart  1957),  37^;  see  also  G.  W.  Elderk.n,  "The  Marriage  of  Zeus  and  Hera  and  its 
Symbol,    American  Journal  of  Archaeology,  XLI  (1937),  4^4-435- 


U       I 


I    1 1 
I    u 


16 


ERNST  KANTOROWICZ 


was  generally  visualized  as  an  antitype  of  the  Upbs  yApos  of  the  divine  powers.'*^ 
Or  we  may  turn  our  attention  towards  later  times  and  mention  the  imperial 
couple  of  Septimius  Severus  and  Julia  Domna,  or  Gallienus  and  Salonina,  who 
were  represented  on  their  Concordia  coins  as  Sun  and  Moon  (figs.  32a,  b),'^  the 
Emperor  radiate  and  the  Empress  on  the  crescent,  and  recall  the  marriage  of 
the  Sol  lustitiae  to  the  Woman  Having  the  Moon  under  her  Feet  (Rev.  12:  i), 
that  is,  according  to  customary  exegesis,  the  Church.^ 

And  we  may  add,  for  what  it  is  worth,  that  in  the  Byzantine  and  Russian 
Euchologia  the  rituals  of  crowning  the  bride  and  groom  commemorate  in  the 
Dismissal  not  only  Christ  and  Mary,  but  also  Saint  Constantine  the  Great  and 
Saint  Helen,  the  Emperor's  mother.*^!  In  this  concentricity  of  human,  saintly, 
and  divine  couples  there  is,  it  is  true,  some  resemblance  with  the  former  con- 
centricity of  human,  imperial,  and  divine  spheres.  But  the  Christian  imperial 
saints  no  longer  were  exponents  or  models  of  that  natural  order  and  concord  of 
the  world  which  the  sestertius  of  Antoninus  Pius  and  Faustina  suggested. 
Constantine  and  Helen  have  become  exponents  and  symbols  of  that  spiritual 
world  order  which  the  inscription  of  the  Dumbarton  Oaks  golden  wedding  belt 
proclaims:  EK  0EOY  OMONOIA. 


The  Institute  for  Advanced  Study 
Princeton,  N.J. 

'"  See,  e.  g.,  Ivan  Engnell,  Studies  in  Divine  Kingship  in  the  Ancient  Near  East  (Uppsala  1943) 
Index,  s.  V.  iEp6s  76^05;  E.  Norden,  Die  Gebmt  des  Kindes  (Leipzig  and  Berlin,  1024)  i^iSff  ■  Alfoldi 
in /fow.  Mi«.,  L  (1935),  124.  .     -'  ty.    J      ..^iju.ui, 

"  Mattingly,  V,  pi.  xxxvii,  8  and  p.  233,  also  pi.  xxxvii,  ii;  Alfoldi,  Numismatic  Chronicle,  ser 
5,  vol.  IX  (1929),  pi.  XVIII,  I.  Cf.  Alfoldi,  Rom.  Mitt.,  L  (1935),  pi.  xii    13-14 

"o  See,  e.  g.  the  Glossa  ordinaria,  Patr.  lal.,  CXIV,  732;  or  Alexander  Minorita,  Expositio  in  Apo- 
calypsim,  ed.  A  01s  Wachtel  (Monum.  Germ.  Hist.,  Quellen  zur  Geistesgeschichte  des  Mittelalters    1 

H.vinrt'h' M^^^'  ^^'^^'  "^1!°  1"°^'^'  ^P^^'-  5--3f-  i-^  order  to  explain  the  marriage  of  the  Woman 
Having  the  Moon  under  her  Feet  with  Christ  Sol  iustitiae. 
"  Euchologion  (ed.  Rome,  1873),  174,  also  180. 


<  Mi 


I    L 


Pari.s,  I)c  ("ltiT(i  ("olli'Ctioii.  (iulck'u  Maniayf  l->rlt  (stc  noW   t) 


:l    New  York,  Metropolitan  Musoum.  (loldcn  Belt  from  Kyrcnia,  Cyprus  (sec  note  5) 


I 


I, 
I 


I 


.").    Roinr.  Ix'IntcUtc  .Mumuui.  ^arcopluiKu^  (sec  notes  II,  :{7) 


ti.    Rome.  N'atiean.  Porplury  Statue. 
Diocletian  and  Maxiniian  (see  note  il) 


7.    Rome,  \illa  Altiani.  Sarcophagus  Fragment 
(see  note  :{7) 


U       I 


I    J 
I    J 


^>.     (idld   ('il;is>:  Amor  iiromihus 


!'.    ( lokl  ( ilass :  Hercules  pronuhu^ 
(see  note  i't) 


in.  ("lold  Class:  Christ  us  proiuihus 
(see  note  I'J) 


*-*  *-f«    ^.tri  ^  1 


l;j 


n 


V        V 


*'»4»»Hk»** 


IS 


Hi 


lit 


"  V:  ,.? 


V 


icii 


■20 


11. 


Nicosia,  Museum.  Silver  Uisli  with  Marriage  of  David  and  Michal  (see  note  4.")) 


I      i 


12.  (omorcUac:  .\nt..nuui>  I'n.s  and  Faustina  (see  note  \-l).  1:1  Voncordmc  uctcnuic:  Caracalla  and 
Plautilla  (see  note  j-ii.  jj.  Prop^fio  imperi:  Caracalla  and  Plautilla  (see  notes  1:),  CO).  1.5  Concordia 
fdix:  Caracalla  and  I'iautilla  (see  note  17).  1(1.  Vota  publica:  Marcus  Aureluis  and  Faustina  II  (see 
note  IS).  17.  Vota  pttbliai:  Commodns  and  Crispina  (see  note  lit).  ]s.  Concordia  Aii^astonun  (see 
note  -20).  lit.  Concordia :  Aurelianns  and  Soverina  with  Sol  invictus  pronubus  (see  note  -I'l 
Progenies  Constantiui  Aiii;.:  Crispus  and  Constantine  II  with  Fausta  as  Concordia 

the  above  figures  are  enlarged. 


•20.    Felix 
see  note  :{1).       All  of 


U      I 


1    u 


21 


24 


27a 


25 


27b 


23a 


23b 


•21 ; 


2s 


•21.  l-cliiiltr  Xithliis:  Tlicodosius  II  witli  \:ilcntinian  III  and  Lit  iiiia  luidoxia  (sec  notr  :i:i).  22.  I)uml)art()n 
Oaks  Collection.  I'clicitcr  Xiihtiis:  Tlicodcisiu^  II  with  \'alcntinian  III  and  I.iriiiia  luuloxia  (sfc  note  :{I5). 
2.5a.  1-tiicitcy  Siihtiis:  ("hri.stiis  proiuibus  with  Martian  and  Pnklu'iia 
Oaks    Collection.    I'clicitcr   Xiibtiis:   Christus 


la  (sec  note  :{.")).  2:51).  Duniiiarton 
IS  pronubus  with  Anastasius  I  and  .\riadnc  (.^cc  note  3")). 
21.  Mcdallic  Dcsifjn :  Cardinal  dc  Bouillon  Blessing  Marriage  of  Dauphin  and  Marie  Anne  oi  Bavaria  (see  note  47). 
2").  Medal  by  (i.  A,  de'Rossi:  Pope  Pius  \'  with  \'enice  and  Spain  (see  note  4S)  2C> 
Collection.  Medallion:   Henry  I\'  and  Maria   de'Medici 


Oaks  Collection.  Wedding  Kings  (see  note  ")!) 
with  Couple  (see  note  (12) 


Paris,   Dreyfuss 
L'i    with   Dauphin    (see  note  .")!•)■       27a.  b.    Dmubarton 
2s.    British  Museum.  Wedding  Ring:  Christ  and  St.  Mary 

All  of  the  al)o\i-  figures  are  enlaigi'd. 


If 


•'■  ''"■'^'■'  b.    Hoop 

2'.ta,  1).    Dumbarton  Oak-  Collection.  Wedding  ring  (see  note  f;3) 


31a 


3U 


31b 


32a 


31c 


33 


32b 

3(1.  Adventus:  Hadrian  and  Sabina  with  Osiris  and  Isis  (see  note  7(1).  31a,  b,  c.  Concordia:  Bride  and  (irooni 
Sacrificing  in  Front  of  Statues  of  Antoninus  Pius  and  Faustina  I  (sec  note  75).  32a.  Concordia  Augg.:  Gallicnus 
and  Salonina  (see  note  79).  32b.  Concordicic  actcrnac:  Septimius  Sc\erus  radiate,  Julia  Domna  on  Crescent 
(see  note  71t).     33.    Colonia  Caesarea  Aniiochia:  Statues  of  Gordian  and  .\ntioch  (see  note  7t)).     All  of  the  abo\-e 

figures  are  enlarged. 


U       I 


•U.    MariiaL;o  ol  Adam  ami  \i\v  (>vv  notr  l-\ 


;i.").    Marriam'  ol  Christ  and  Churcli  (see  note  .">.')) 
Bible  nioialis(  r 


irmfKttnndiiitmuimcu 


octittis  filin  Uti  iguft  tn«B 


;•}(■).    Bibk'  nioralisc't':  Christ  Marryin;,'  a  Church  to 
a  I')ish()p  (see  note  .")(l) 


I      ->»^, 


17.    Munidi.  Cod.  ^-all.  Moiiac.  l(i,  fol,  :{;V  :  Saul 
Marrviii,^  Midial  to  David  (see  note  oT) 


I    U 


1/      A  CONCORDIA  SALUSCKRVIANIAK- 

I  DIE   EINTRACHT  1ST  DAS  HEIL   DEUTSCHLANDS 


Aureus  MaKDus 


..coNcoRnr 


I   Oil 


■1'.,  Due 


>  Due 


10   Due 


-'".   -W    Due. 


Kin.  Ger.na„ia.    wie   «ie    no.4,    „.>,„„,,   ,,,,,,„„.   ...,,,  ^     kh„.   «„.an..r,.  Te,.,..ni„.  „.„Her„  ,i„. 
«.r«e„de  M,.«er.  .lie  si.l,  um  .lie  Ki„,r.,l,.  „„,er  il.rrn   Kin.lern  l.e,„i,l„: 


1  Dukat  20  mm  3,5  g DM      30. 

2 '/a  IJukalen  26  mm  »,8  g DM      70. 

5  Dukaten  35  mm  17,5  g DM    130. 

10  Dukaten  44  mm  35      g DM  260. 

20  Dukaten  50  mm  70      g DM  520. 

30  Dukaten  50  mm  105      g DM   780. 

Feingehult  bei  alUn  Gepriiiiten  980  —   Dukatengold 


Ein  kleines  Buch  mit  wichtigem  luhalt: 

Aureus  Magnug  Weltwahrung,  ein  Zeililukiinienl  der  (iel<l|{eschiciitr,  mil  KinleiiiiiiK  von  C.  F.  Behrena. 
Au9  ileni  Inhalt:  Zilrrher  Tliesen  llnil  Aureus  MaKX""-  Oliiie  Krclliiiiki-il  ini  (^elilwesen  —  der  Menxi^i 
ein  Staatssklave  !  StellunKnalime  iles  Siliulzanitrs  in  W  u»liini;><Mi  :  ..%ir  eriaulirn  unHCren  BOrnern 
nii'ht.  Gold  zu  besitzen".  Wortlaut  di-s  uinriikuniHi'lipn  .Mrmorandunii',  Giddenr  V^  erteinlieit  Kejien 
W  ahrungswirrwar,  GoldmQnzen  ala  (ielilanlane.  I'reid  den  (iolilpd.  (iniliijoldiiraiiiingen  der  \  erKunifenbrit. 
^XeltmOnzen.  Weltwahrung  Napoleona  III.  -  (lesrlieilerl  !  Inllaliimen  neil  deni  Allerluni.  —  IK  Seiten, 
zaiilreiche  Abbildungen  auf  Kunxidrmk,  cegen  KinHcnilunK  von  l)>I  1.-  in  Kriefmarkan  vom 
Verlag  Gebr.  HaertI,  Munchen  55.   \  ingerstralie  11   (Kein  Vrraand  duriJi  Nadinahme !) 


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Louis  Reekmans,  Dextrarum  iunciio 

Bulletin  de  I'institut  historique  beige  de  Rome 
XXXI  (1958) 


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'54. 


''Kingship  under  the  Impact  of  Scientific  Jurisprudence,"  in  Twelfth-Century 
Europe  and  the  Foundations  of  Modem  Society,  ed.  M.  Clagett,  G.  Post,  and  R.  Reynolds 
(Madison,  Wisconsin,  1961),  89-111. 

"IK' 3    coDv,    amounted. 

A.  Le+:ter   frora   ^onoskv,    2[l   May  61 

B.  Letter   from  -->ich   Genzmer,    7   Nov    61 


I    U     J 
U       I     U     J 


Fc-      -  .  "^^  fl'POrt  AKO  THE 


£m5r  H.  Kantorowicz 


Kingship  under  the  Impact 
of  Scientific  Jurisprudence 


Participants*  of  a  S>-mposium  which  was  arranged  to  demonstrate  from 
various  points  of  view  the  characteristic  features  of  "Twelfth-Century 
Europe,"  will  be  inclined,  despite  the  additional  heading  "and  the 
Foundations  of  Modern  Society,"  to  fall  under  the  spell  of  Charles 
Homer  Haskins'  great  vision  and  ingenious  thesis  of  "The  Renaissance 
of  the  Twelfth  Century."  .\lthough  the  subject  I  have  prof)osed  to 
discuss  tonight  would  seem  to  confirm  rather  than  refute  Haskins'  thesis 
it  is  not  at  all  my  intention  to  deal  with  "Renaissance"  features  or  analyze 
twelfth-century  kingship  sub  specie  iurisprudentiae  renatae.^  It  is  my  intention 
to  stick  more  closely  to  "the  Foundations  of  Modern  Society"  and  point 
out  certain  effects  which  a  disciplined  scientific  jurisprudence — reborn 
or  not — seems  to  have  had  upon  the  idea  of  medieval  kingship. 

What  unquestionably  distinguished,  in  the  public  sphere,  the  twelfth 
century-  from  the  preceding  centuries  was  the  sheer  existence  of  a  learned 
jurisprudence.  ==  Law,  of  course,  there  always  existed.  e\'en  in  the  darkest 
of  the  so-called  Dark  Ages.  It  wiD  be  quite  sufficient  here  to  recall  the 
impressive  sets  of  Dooms  of  the  Anglo-Saxon  kings,  the  Lombard  edicts, 
the  \'isigothic  law  collections,  or  the  Capitularia  of  the  Carolingians  in 
order  to  understand  that  the  earlier  Middle  Ages  were  anything  but 
lawless.  These  leges  barbarorum,  however,  were  characterized  by  the  fact 
that  according  to  their  claims  and  their  apphcability  they  all  were  pro- 
vincial and  not  universal ;  second,  that  they  were  the  work  not  of  pro- 
fessional jurists,   but  of  jurisprudential  laymen  even  though  many  a 


I    u    u 

I    U       I 


90 


KINGSHIP    AND    SCIENTIFIC  JURISPRUDENCE 


feather  may  have  been  borrowed  from  scientific,  that  is,  Roman  law; 
finally,  that  those  laws,  which  represented  the  customs  of  a  tribe  or  J 
region,   were  administered   by  jurisprudential  laymen    (kings,   counts, 
clerics,  noblemen,  or  missi  of  any  kind)  and  not  by  learned  and  scienti- 
fically trained  judges.  A  similar  situation  prevailed  within  the  realm  of 
ecclesiastical  lau .  True  enough,  the  canons  of  the  councils,  decrees  of 
popes,  and  certain  laws  of  the  Christian  emperors— apart  from  Scripture 
and  patristic  tradition— formed  a  priori  a  body  of  ecclesiastical  law  which, 
however,  was  as  yet  unsifted  and  unorganized.  A  period  of  regional- 
provincial  collections  of  canonical  material  (.African,  Hispanic,  Galilean, 
Italian)  was  followed  by  a  period  of  private  collections  of  a  more  universal 
character,  of  which  a  respectable  number  was  produced  between  the 
Carohngian  age  and  that  of  Gregory  MI.  Thereafter,  however,  the 
forces  released  by  the  Church  Reform  and  the  Struggle  over  Investitures 
broadened  the  universalistic  outlooks.  .After  the  efforts  of  Burchard  of 
Worms  and  Ivo  of  Chartres,  a  compendious  and  organized  body  of 
canon  law  was  privately  composed,  around    1140,   by  the  Bolognese 
monk  Gratian,  the  Decretum  GratianiJ  Nor  can  we  doubt  that  it  was  by 
the  power  of  the  same  forces  that  the  body  of  Roman  law  was  reactivated 
which,  in  its  turn,  was  not  without  influence  on  the  work  of  Gratian." 
Hence,  a  universal  ecclesiastical  law  and  a  universal  secular  law  made 
their  appearance,  within  a  generation  or  two,  in  the  early  twelfth  century. 
The  intricate  problem   of  the  survival   of  Roman  law  during  the 
Middle  Ages  and  the  process  of  its  so-called  revival  shall  concern  us 
here  as  httle  as  the  question  who  first  made  Bologna  the  home  of  legal 
studies,  Pepo  or  Irnerius.5  It  is  quite  sufficient  for  our  present  purpose 
to  knov^•  that  in  the  pamphlet  literature  of  the  Struggle  over  Investitures 
Roman  law  was  not  infrequenth ,  if  only  sporadically  and  unsvsiematical- 
ly,  apphed  to  bolster  the  imperial  position  as  well  as  to  undermine  it;^ 
further,  that  around  iioo,  or  a  httle  later,  Irnerius  taught  Roman  law 
at  Bologna;  finally,  that  around  1 140  Gratian  composed  in  Bologna  his 
Decretum.  At  any  rate,  two  independent,  though  eventually  interdepend- 
ent, sets  of  law,  both  universal  according  to  claims  and  apphcabHity 
came  into  existence  in  the  twelfth  century.  The  scientific  interpretation 
of  these  sets  of  law  became  a  "must"  owing  to  the  numerous  contradic- 
tions and  other  difficulties,  and  it  gave  birth  to  a  methodical  studv  of 
sources  and  parallels,  and  therewith  to  a  legal  science  which,  in  the 
course  of  tmie,   mothered   our  modem  historico-philological  method. 
That  IS  to  say,  once  the  two  bodies  of  law,  Roman  and  canon,  were 


/    U     L 
U       I    U     J 


ERNST   H.  KANTOROWICZ 


91 


placed  before  the  scholar,  there  resulted  also  the  challenge  to  understand, 
interpret,  and  apply  the  law  scientifically — comparable  to  the  effects 
issuing  from  Holy  Scripture  and  leading  to  numerous  expositions  on  the 
books  of  the  Bible  or,  as  happened  later,  to  the  effects  of  the  corpus 
Aristotelicum  and  its  commentation  in  the  age  of  scholasticism.  Canonistic 
studies  (hitherto  a  branch  of  theology)  and  secular  jurisprudence  (hither- 
to a  branch  of  rhetoric)  became  each  a  science  in  its  own  right.  Legal 
science  acquired  the  rank  of  "moral  philosophy";  it  became  autonomous 
and  soon  rose  to  be  a  challenge  to  theology.' 

Moreover,  through  the  concentration  of  the  new  legal  studies  in  the 
city  of  Bologna  and  their  combination  with  the  study  of  the  notariate 
and  with  the  ars  dictandi,  a  broad  layer  of  legally  trained  men  and  minds 
began  to  spread,  especially  in  Italy  where  the  jurists  became  the  foremost 
representatives  of  the  Italian  inteUigentsia,  a  legal  profession  the  like 
of  which  did  not  exist  in  the  earlier  Middle  Ages.  This  change  did  not 
escape  contemporary  observers  who  in  prose  and  in  jingling  verses  began 
to  complain  that  the  study  of  the  two  lucrative  arts — jurisprudence  and 
medicine — tended  to  eclipse  the  study  of  literature,  and  of  letters  in 
general,  as  well  as  of  theology.  These  complaints  were  repeated  over  and 
over  again,  from  the  time  of  Stephen  Langton  who  was  not  the  first  to 
do  so,  to  Dante  who  was  not  the  last.* 

Another  consequence  of  the  new  study  of  law  was  perhaps  more 
decisive.  In  former  days,  law  was  a  matter  dealt  with  by  kings,  grandees, 
and  wise  old  men — by  witan  of  every  pattern — and  it  was  administered  by 
noblemen,  clerics,  and  others  enjoying  the  king's  confidence.  Beginning 
with  the  twelfth  century,  however,  law  became  a  matter  to  be  treated 
with  scientific  accuracy,  and  justice  was  administered  (the  later,  the 
more  exclusively)  by  judges  trained  in  the  laws  and  in  legal  thinking. 
This  evolution  resulted  in  a  remarkable  change  of  the  earlier  medieval 
social  stratification.  As  the  number  of  Doctors  of  Law  increased  (wTote, 
around  1180,  Ralph  Niger),  the  jurists  in  their  pride  demanded  to  be 
called  not  doctors  or  masters,  but  domini,  lords ; '  that  is,  they  assumed 
a  title  normally  reserved  to  noblemen  and  prelates  who  represented  the 
two  ruling  classes  during  the  earlier  Middle  Ages.  From  the  twelfth 
century  onward,  the  two  knighthoods  of  former  days  (the  militia  armata 
of  chivalry  and  the  militia  inermis  or  celestis  of  the  clergy)  were  comple- 
mented or  supplemented  by  a  third  knighthood  of  jurists,  the  militia 
legum  or  knighthood  of  law,  and  soon  of  letters  at  large  {militia  litterata  or 
doctoralis) . ' "  Roman  law  stipulated  that  a  filius  familias  could  dispose 


/    U     L 
I    U    U 


92  KINGSHIP   AND    SCIENTIFIC  JURISPRUDENCE 

freely  of  his  peculium  castrense,  that  is,  of  everything  he  had  earned  as  a 
soldier  {miles)  or  as  a  public  official,  as  a  lawyer,  or  otherwise  in  the 
service  of  the  Prince.  The  medieval  jurists  interpreted  the  word  miles, 
"soldier,"  in  the  medieval  sense  of  "knight";  and  since  Roman  law 
"equiparated"  the  lawyer  and  the  miles  or  knight,  the  glossators  began  to 
claim  knighthood  for  the  jurist."  This  claim  was  put  up,  at  the  latest, 
by  the  great  Placentinus  who  died  in  1192;  it  was  repeated  by  Azo  and 
the  Glossa  ordinaria  on  Roman  law  composed  by  Accursius  around  1230, 
and  by  many  others  as  well.  And  thus  it  happened  that  by  the  second 
half  of  the  thirteenth  century  the  doctor's  hat  was  generally  recognized 
as  an  equivalent  of  the  cingulum  militare  of  knighthood. '^  By  applying  the 
terminology  of  Roman  law  to  the  conditions  of  the  high  Middle  Ages 
(in  fact,  by  misinterpreting  Justinian's  laws)  the  jurists  further  arrived 
at  the  theory  that  every  Doctor  of  Laws  who  had  taught  at  a  university 
for  twenty  years  had  the  rank  of  a  count.  "3  However  that  may  be,  the 
tombs  of  the  great  jurists  in  Bologna  display,  without  an  exception,  the 
title  Dominus,  Lord,  before  the  name  of  the  deceased. 

The  social  rise  of  legal  intelligentsia  certainly  reflected  the  general 
importance  of  the  learned  jurists  and  their  authority  to  which  eventually 
all  princes,  secular  and  spiritual,  paid  their  respects.  Justinian  had 
styled  Ulpian  his  friend  (amicus)  and  father  {parens)  just  as  he  styled  the 
jurists  Theophilus  and  Dorotheus  his  predecessors  (antecessores)  and  gave 
them  the  title  ot  viri  illustres.'*  It  was  natural  for  the  medieval  jurists  to 
make  the  most  of  Justinian's  words.  Azo,  for  example,  said  quite  bluntly 
that  legal  science  "effects  that  the  professors  of  law  rule  solemnly  over 
the  orbis  terrartim  and  sit  in  the  imperial  court  judging  in  a  lordly  fashion 
tribes  and  nations,  plaintiffs  and  defendants."  >5  Bracton  repeated,  and 
enlarged  on,  Azo's  words,  changing,  however,  "emperor"  and  "imperial" 
into  "king"  and  "royal." '^  And  Cynus  of  Pistoia  exclaimed:  "Thou 
seest,  oh  student,  how  much  the  [legal]  science  effects  which  makes  the 
jurisprudent  a  father  and  friend  of  the  Prince."  "  Indeed,  the  twelfth, 
thirteenth,  and  fourteenth  centuries  were  the  golden  age  of  the  juris- 
prudents. As  the  jurists  became  the  chief  advisers  and  councillors  of 
princes,  the  princes  became  more  and  more  dependent  on  them.  As 
early  as  1115  we  find  Irnerius  in  the  entourage  of  Emperor  Henry  V 
where  he  also  served  as  a  judge. '«  Further,  no  medievalist  will  have 
missed  the  stories  about  Barbarossa  conversing  with,  and  seeking  the 
counsel  of,  the  learned  Four  Doctors  of  Bologna.  Moreover,  the  profes- 
sional jurist  became  the  professional  administrator  of  justice,  the  pro- 


U      I    u 


' 


ERNST   H.  KANTOROWICZ 


93 


fessional  judge.  Gone  were  the  times  when  the  customs  and  laws  of  a 
country  were  remembered  by  the  wise  old  men  only  and  when  some  sort 
of  natural  reason,  combined  with  a  man's  social  standing,  made  a  person 
fit  to  sit  in  court  as  a  judge.  What  counted  in  the  age  of  the  new  juris- 
prudence was  that  the  judge  arrived  at  his  sentence  in  a  scientific, 
rational  fashion,  which  among  other  things  excluded  ordeals  by  fire  or 
water,  and  that  he  judged  according  to  his  lawbooks  or  was  able— as  in 
England — to  expound  the  common  law  scientifically  as  a  professional. 
By  gradually  monopolizing  the  administration  of  justice,  the  legal  pro- 
fession, however,  began  to  encroach  upon  the  position  of  the  king  himself 
in  his  capacity  of  judge.  The  medieval  king  could,  and  would,  sit  in 
court  if  he  so  pleased  and  could  himself  adjudicate  the  cases  before  him. 
This  custom  died  slowly.  Frederick  II  still  sat  in  court;  so  did  Henry  III 
of  England  as  well  as  Edward  I  and  Edward  1 1."  Later  something 
changed.  It  is  true,  the  king  was  the  fountain  of  justice;  he  was  supposed 
to  interpret  the  law  in  case  of  obscurity;  the  courts  were  still  the  "king's 
courts"  and  the  king  was  still  considered  the  judge  ordinary  of  his  realm 
whereas  the  judges,  who  derived  their  power  from  him,  acted  only  as 
delegate  judges.  For  all  that,  the  custom  arose  that  the  king  should  not 
pass  judgment  himself:   Rex  aid  Imperator  non  cognoscunt  in  causis  eorum, 
"king  and  emperor  do  not  pronounce  judicially  in  their  causes,"  says 
Andreas  of  Isernia  quite  explicitly. ^o  Cynus  uses  approximately  the 
same  words  ("Imperator  causas  suas  non  ipse  cognoscit:  sed  iudices 
alios  facit"),  but  adds:   "Licet  quando  velit,  et  ipse  possit  in  re  sua 
index  esse."^'  Indeed,  it  was  common  opinion  that  in  cases  pertaining 
to  the  fisc  the  prince  could  be  index  in  causa  propria,  and,  as  Bracton  shows, 
also  in  cases  of  high  treason" — opinions  well  prepared  by  Pope  Innocent 
IV  discussing  the  limitations  of  a  bishop's  competency  to  pass  judgment 
himself."  Normally,  however,  the  king  was  supposed  to  judge  exclusively 
through  his  judges  who  were  juristic  professionals  and  who,  in  lieu  of  the 
king,  were  expected  to  have  all  the  pertinent  laws  present  to  their  mind, 
in  scrinio  pectoris.^* 

Ever  since  the  end  of  the  thirteenth  century,  the  jurists  also  gave  a 
reason  for  that  custom.  The  South-Italian  Andreas  of  Isernia,  writing 
around  1300,  was  hardly  the  first  to  make  the  blunt  statement  that  the 
king  has  to  rely  upon  his  jurisprudents  because  raro  princeps  iurista  invenitur, 
"rarely  will  a  prince  be  found  who  is  a  jurist.""  In  similar  terms,  Sir 
John  Fortescue  explained  that  it  was  unfit  for  a  king  "to  investigate 
precise  points  of  the  law  . . .  but  these  should  be  left  to  your  judges 


/    0    u 
U      I    u    u 


94 


KINGSHIP   AND    SCIENTIFIC  JURISPRUDENCE 


and  advocates  .  .  .  and  others  skilled  in  the  law.  In  fact,  you  will  render 
judgment  better  through  others  than  by  yourself,  for  none  of  the 
kings  of  England  is  seen  to  give  judgment  by  his  own  lips,  yet  all  the 
judgments  of  the  realm  are  his.  .  .  ."  And  Fortescue  added  that  the 
legal  experience  necessary  for  judges  is  scarcely  attainable  in  twenty 
years  of  study. ^^  It  was  this  doctrine  which  finally  brought  about  one 
of  the  fiercest  clashes  between  Sir  Edward  Coke  and  King  James  I. 
At  a  Star  Chamber  session,  the  king,  taking  his  seat  on  the  normally 
empty  throne,  declared  he  would  ever  protect  the  common  law.  "No," 
interjected  Sir  Edward  Coke,  "the  common  law  protects  the  king." 
The  angry  king,  shaking  his  fist  at  Coke,  later  argued  that  "he  thought 
the  law  was  founded  upon  reason,  and  that  he  and  others  had  reason  as 
well  as  the  judges."  To  that  Coke  replied  calmly  that  indeed  the  king 
had  excellent  gifts  by  nature,  "but  his  Majesty  was  not  learned  in  the 
laws  of  his  realm  of  England,  and  causes  which  concern  the  life,  or 
inheritance,  or  goods,  or  fortunes  of  his  subjects,  are  not  to  be  decided  by 
natural  reason,  but  by  the  artificial  reason  and  judgment  of  law,  which .  .  . 
requires  long  study  and  experience  before  that  a  man  can  attain  to  the 
cognizance  of  it."^^ 

Raro  princeps  iurisla  invenitur:  the  modern  idea  of  a  king  who  no  longer 
is  supposed  to  take  causes  out  of  his  courts  and  give  judgment  upon  them 
himself,  originated  from  the  stratum  of  scientific  jurisprudence  which 
emerged  in  the  twelfth  century.  The  new  jurisprudence  which  so  often 
has  been  claimed  (and  rightly  so)  as  supporting  royal  absolutism,  in  this 
case  put  some  restrictions  on  royal  arbitrariness  by  depriving  the  king 
from  functioning  actively  on  the  bench  as  supreme  judge.  Roman  law, 
however,  had  the  effect  of  bridling  the  king  in  other  respects  as  well. 

During  the  great  strife  between  Pope  Gregory  VII  and  Emperor 
Henry  IV  both  curialists  and  imperialists  began  to  make  use  of  the  lex 
regia  or  lex  de  imperio  for  the  purpose  of  arguing  whether  or  not  an  emperor 
could  be  deposed.  The  law,  transmitted  by  the  Digest,  the  Code,  and  the 
Institutes  of  Justinian,  advanced  the  doctrine  that  the  imperium,  originally 
vested  in  the  populus  Romanus  and  its  maiestas,  had  been  conferred  by  the 
Roman  people  upon  the  Roman  emperor.  This  act,  in  itself,  was  double- 
edged,  as  it  touched  upon  two  principles  diametrically  opposed  to  each 
other.  It  could  imply  (and  this  was  the  opinion  of  the  imperial  party) 
that  the  Romans,  once  and  for  all,  had  renounced  the  supreme  power, 
which  irrevocably  they  bestowed  upon  the  Prince,  or  rather  upon  the 
Prince's  office.  On  the  other  hand,  the  same  law  allowed  the  curialists 


'   u    u 

I    U       I 


ERNST    H.  KANTOROWICZ 


9> 


to  defend  the  opposite  thesis:  that  the  Prince,  individually,  had  been 
appointed  by  the  Roman  people  as  the  administrator  of  the  empire,  and 
that  this  appointment  was  not  at  all  irrevocable.  Manegold  of  Lauten- 
bach  {ca.  1085)  even  went  so  far  as  to  say  that  a  prince  who  failed  as  a 
governor  could  be  chased  away  just  as  a  farmer  could  chase  away  an 
unfaithful  swineherd. ^8  The  prince  thus  became  an  employee  of  the 
sovereign  people,  since  the  supreme  power  was  supposed  to  rest  always 
and  imprescriptibly  with  the  sovereign  people  of  Rome. 

We  notice  that  herewith  the  principle  of  popular  sovereignty  was 
foreshadowed  during  the  Struggle  over  Investitures,  and  may  add  that 
it  permeated  the  ideologies  of  the  twelfth  century.  For  one  thing,  the 
City-Romans  in  the  days  of  Arnold  of  Brescia  defended  this  idea  when 
Barbarossa  prepared  to  come  for  his  coronation  to  Rome,  and  the 
Roman  leaders  claimed  that  the  citizens  of  the  Eternal  City  alone  were 
entitled  to  dispose  of  the  imperial  diadem — an  argument  to  which  Bar- 
barossa answered  that  he  held  his  imperium  from  God  alone  and  from 
God  directly.29  The  history  of  Rome  in  the  thirteenth  and  fourteenth 
centuries  actually  centered  upon  the  theory  of  Roman  popular  sover- 
eignty until  finally,  in  1328,  an  emperor,  Louis  of  Bavaria,  actually 
received  the  diadem  at  the  hands  of  the  senators  and  people  of  Rome, 
not  in  St.  Peter's,  but  on  the  Capitoline  Hill.'"  It  is  true,  of  course,  that 
the  civilians  during  the  twelfth  and  thirteenth  centuries  and  beyond 
were  inclined  to  uphold  the  origin  of  the  imperial  power  directly  from 
God ;  but  they  also  left  no  doubt  that  indeed  the  ancient  Roman  populus 
acted  within  its  right  when  it  claimed  to  be  the  ultimate  source  of  the 
imperial  power,  whereas  opinion  was  divided  with  regard  to  the  claims 
of  the  medieval  City-Romans  or,  for  that  matter,  with  regard  to  any 
medieval  populus.  It  was  finally  as  a  result  of  the  intransigence  of  the 
hierocratic  theory,  according  to  which  the  emperor  depended  not  on 
God  directly  but  on  the  pope,  that  the  Roman  lawyers,  and  some  moder- 
ate canonists  as  well,  recognized  the  popular  origin  of  the  imperial  power, 
and  used  the  idea  of  popular  sovereignty  as  a  means  to  freeze  out  the 
papal  claims.  Hence  the  jurists,  while  always  ready  to  back  the  direct, 
divine  origin  of  imperial  power,  tried  to  combine  the  imperial  claims 
to  direct  divine  descent  with  those  to  popular  origin.  The  Glossa  ordinaria 
of  Accursius  therefore  neatly  combined  "God"  and  the  "people"  as  the 
two  sources  of  imperial  authority  and  thereby  came  close  to  the,  so  to 
say,  final  formulation  of  John  of  Paris  around  1 300 :  populo  faciente  et 
Deo  inspiranteJ^ 


I    u    n 
f      /    u 


96 


KINGSHIP   AND   SCIENTIFIC  JURISPRUDENCE 


To  the  debate  on  the  lex  regia  the  twelfth-century  jurists  contributed 
after  their  fashion  by  glossing  on  that  law:  Irnerius  and  Roger,  Pillius, 
Placentinus,  and  Azo  as  well  as  canonists  such  as  Rufinus,  Bazianus,  and 
the  authors  of  anonymous  works. ^^  The  arguments  of  the  lex  regia  in 
favor  of  the  popular  origin  of  imperial  power  were  used  against  papal 
claims  by  Frederick  II,  and  against  papal  as  well  as  imperial  claims  by 
the  Senator  Brancaleone  and  by  Cola  di  Rienzo,  and  culminated  of 
course  in  the  doctrine  of  Marsilio  of  Padua.  ^^ 

On  the  other  hand,  the  context  in  which  the  lex  regia  was  quoted  in  the 
Digest  and  the  Institutes  seemed  to  support  the  budding  royal  absolutism, 
for  it  was  quoted  in  order  to  substantiate  the  sentence  which  for  centuries 
remained  the  pith  of  absolutist  desires:  Quod  principi  placuit,  legis  habet 
vigorem.  "What  has  pleased  the  Prince,  has  the  force  of  law,"  for  the  Prince 
legally  owned  the  power  to  legislate  after  the  people  had  conferred  the 
imperium  upon  him.  Roman  law,  however,  also  provided  the  means  to 
check  unscrupulousness  on  the  part  of  the  prince.  As  opposed  to  the 
absolutists,  the  constitutionalists  referred  to  a  law  in  the  Code,  the  Digna 
vox,  in  which  the  legislator  frankly  declared  himself  bound  to  the  law : 
"It  is  a  word  worthy  of  the  majesty  of  the  ruler  that  the  prince  professes 
himself  bound  to  the  law:  so  much  does  our  authority  depend  upon  the 
authority  of  the  law."^'*  Therewith  the  gates  were  flung  open  to  the 
problem  of  whether  the  prince  be  "above  the  law"  or  "under  the  law." 
It  shall  not  be  denied  that  the  problem  itself  existed  before,  but  it 
became  articulate  with  the  reactivation  and  the  exegesis  of  Roman  law, 
and  gained  additional  importance  by  the  question  whether  and  to  what 
extent  the  ruler  was  bound  to  local  customs. ^^  The  jurists,  of  course,  were 
fully  aware  of  the  glaring  contradiction  presented  by  Roman  law  itself, 
of  the  antinomy  between  the  maxims  princeps  legibus  solutus  and  princeps 
legibus  alligatus,  and  they  tried  to  discuss  away  the  discrepancy  by 
stressing  that  the  prince,  though  not  fettered  by  the  law,  should  volun- 
tarily bind  himself  to  the  law,  especially  to  the  laws  he  himself  may  have 
issued.  On  the  basis  of  this  antinomy  John  of  Salisbury  felt  prompted  to 
interpret  the  prince  as  being  at  once  an  imago  aequitatis  and  a  servus 
aequitatis,  just  as  Frederick  II  claimed  to  be  at  once  "Father  and  son, 
lord  and  servant  of  Justice. "^^  It  was  perhaps  Thomas  Aquinas  who,  in 
his  orderly  fashion,  overcame  the  apparent  legal  impasse  when  he  ex- 
plained that  indeed  the  prince  was  legibus  solutus  with  regard  to  the  vis 
coactiva,  the  coercive  power  of  man-made  positive  law  which  received 
its  power  from  the  prince  anyhow;  on  the  other  hand,  Aquinas  held  that 


U       I 


u 


ERNST    H.  KANTOROWICZ 


97 


the  Prince  was  bound  to  the  vis  directiva,  the  directive  power  of  natural 
law  to  which  he  should  submit  voluntarily — and  for  that  purpose  Aqui- 
nas, too,  quoted  the  Digna  vox.^''  This  cleverly  phrased  opinion,  by  which 
Aquinas  combined  most  of  the  earlier  arguments,  offered  not  only  for 
the  moment  an  acceptable  way  out  of  the  dilemma :  it  was  acceptable 
to  both  adversaries  and  defenders  of  the  more  absolutist  concepts  of 
kingship,  and  therefore  it  was  still  quoted  by  Bossuet  while  Louix  XIV 
himself  acknowledged  its  essence. ^^ 

We  recognize  that  Roman  law  had  its  say  in  eminently  political  and 
ethical  matters,  sponsoring,  as  it  did,  both  popular  sovereignty  and  royal 
absolutism,  both  a  kingship  above  the  law  and  one  bound  to  the  law, 
and  that  thereby,  to  say  the  least,  it  kept  the  discussion  moving.  To  some 
extent  we  probably  should  connect  (as  A.-J.  Carlyle  did)  the  conflict 
among  the  jurists  about  the  lex  regia  with  the  conflict  between  the  new 
lawbooks  and  the  customs,  or  the  customary  law,  of  the  land.^'  There  is, 
however,  an  ethical  substratum  in  this  dispute  as  well  as  in  the  Digna 
vox  itself:  "It  is  worthy  of  the  majesty  of  the  ruler  that  the  prince  professes 
himself  bound  to  the  law." 

Political  ethics,  to  be  sure,  were  influenced  by  Roman  law  in  very 
many  respects.  For  one  thing,  there  developed,  beginning  in  the  twelfth 
century,  a  growing  awareness  of  the  transpersonal,  or  "public,"  character 
of  the  commonwealth,  the  res  publico.  On  the  basis  of  Roman  law  John 
of  Salisbury  styled  the  prince  a  persona  publico,  a.  potestas  publico  ;*°  and  it 
did  not  take  long  before  one  began  to  learn  that  also  the  fisc  (whose 
characteristics  were  broadly  discussed  in  the  Tenth  Book  of  Justinian's 
Code)  was  a  pubHc  institution  which  "never  died"  and  therefore  survived 
the  individual  prince.  This  was  true  also  of  the  "Crown"  in  the  abstract 
and  in  a  suprapersonal  sense  of  the  word  which  began  to  be  used  in 
France  and  in  England  as  early  as  the  twelfth  century:  Suger  of  St. 
Denis  and  Henry  I  of  England  (under  whom  the  office  of  "coroner," 
charged  with  maintaining  judicial  and  fiscal  rights  of  the  crown,  came 
into  being)  may  stand  here  as  the  landmarks.  Shghtly  more  emotional 
was  the  notion  of  potrio  applied  to  the  kingdom  in  twelfth-century 
literature,  in  France  {Song  of  Roland)  as  well  as  in  England  (GeofTrey  of 
Monmouth) .  Moreover,  a  few  years  ago  Gaines  Post  showed  how  much 
the  two  laws,  Roman  and  canon,  contributed  to  giving  currency  to  the 
idea  oi  patria  which  likewise  implied  a  transpersonal  concept  of  public 
perpetuity:  to  fight  for  the potria,  to  die  for  the patria,  even  to  kill  without 
qualms  one's  father  or  brother  for  the  sake  of  the  patria,  to  procreate 


'    U     J 
U       I       I    L 


98 


KINGSHIP    AND    SCIENTIFIC  JURISPRUDENCE 


children  for  ihepatria,  or  to  pay  special  taxes  pro  necessitate  or  pro  defensione 
patriae.  All  those  were  ideals  (no  matter  whether  we  like  them  or  not) 
which  were  disseminated  by  the  two  laws  and  the  new  jurisprudence.*' 

Those  political  or  public  ethics  inevitably  influenced  also  the  image 
of  the  ruler.  The  prooemium  of  Justinian's  Institutes  opens  with  a  philoso- 
phical remark  of  general  importance:  "The  imperial  majesty  must 
needs  be  not  only  decorated  with  arms,  but  also  armed  with  laws  that 
it  be  able  to  govern  rightly  in  either  time,  in  war  and  in  peace."  This 
opening  of  the  authoritative  juristic  textbook  not  only  suggested  a  fare- 
well to  the  purely  military  ideal  of  a  kingship  relying  upon  the  sword, 
but  also  contained  a  challenge  for  a  king  to  act  as  a  legislator.  The 
dialectics,  however,  of  the  formula  armis  decorata — legibus  armata  conjured 
an  image  of  majesty  rooted  in  far  deeper  layers,  and  the  humanistically 
well  versed  jurists  of  the  Renaissance  recognized  that  Justinian's  formula 
was  a  transformation  of  Greek  ideals  and  that  it  reflected  that  optimum 
of  rulership  expounded  in  Plato's  Republic:  kings  who  philosophize  and 
philosophers  who  rule  as  kings.  Emblematic  drawings  rendering  the 
gist  of  Justinian's  formula  were  not  rare  in  the  Renaissance.  They  showed 
a  king  brandishing  a  sword  in  one  hand  and  a  book  in  the  other,  until 
finally  an  impresa  of  the  sixteenth  century,  bearing  the  motto  Ex  utroque 
Caesar  (an  allusion  to  Justinian's  utrumque  tempus),  changed  the  meaning 
of  the  book  in  the  prince's  left  hand,  which  now  no  longer  was  supposed 
to  represent  "Laws"  specifically,  but  "Letters,"  because  "by  these  two, 
that  is.  Arms  and  Letters,  Julius  Caesar .  .  .  was  made  the  lord  of  the 
whole  world."  Or  else,  the  book  stood  for  "Arts"  in  general,  as  explained 
by  the  accompanying  verse:  "A  Prince's  most  ennobling  parts/Are  skill 
in  Armes,  and  love  oi  Arts."*^ 

That  kind  of  dialectical  tension  was,  so  to  speak,  daily  bread  in  the 
twelfth  century,  in  which  not  only  the  ideals  of  "knight"  and  "cleric" 
merged,  as,  for  example,  in  the  orders  of  knighthood  as  well  as  in  courtly 
poetry,  ■'^  but  in  which  also  the  rex  literatus  appeared  as  another  ideal. 
In  a  way,  John  of  Salisbury  anticipated  the  Renaissance  motto  when  he 
declared  (and  he  was  not  the  first  to  do  so)  that  an  illiterate  king  was 
nothing  but  an  asinus  coronatus.**  John  of  Salisbury  does  not  refer  to  the 
Prologue  of  the  Institutes,  though  he  quotes  it  in  another  connection. 
But  Glanville,  the  great  English  jurisprudent  under  King  Henry  II, 
opened  the  prologue  to  his  De  legibus  with  the  very  words  of  the  Institutes, 
changing  only  Justinian's  imperialem  maiestatem  into  the  more  modest  and 
appropriate  regiam  potestatem.   His  paraphrase  then   wandered   to   the 


U       I       I     J 


ERNST    H.  KANTOROWICZ 


99 


Scottish  lawbook  commonly  called  the  Regiam  maiestatem ;  it  served  the 
writer  of  Fleta  to  formulate  his  prologue,  and  it  is  found  also  in  a 
spurious  proem  to  Bracton's  De  legibus,  whereas  the  genuine  Bracton 
drew  directly  from  the  Institutes  or  from  Azo's  Summa  Institutionum.*^ 
If  we  add  the  late  medieval  tractates  on  the  subject  of  "Knighthood  and 
Jurisprudence,"  De  militia  et  iurisprudentia,  we  not  only  recognize  the 
influence  of  the  prologue  to  the  Institutes,  but  also  begin  to  see  more 
clearly  the  bearings  of  the  "legal  knighthood,"  the  militia  legum,  to  which, 
as  early  as  the  twelfth  century,  the  jurists  aspired.** 

Scientific  jurisprudence  gradually  began  to  change  the  vocabulary 
of  statecraft,  and  the  new  vocabulary  began  to  influence  statecraft  itself 
If  those  concerned  continuously  read  and  heard  and  had  discussions 
about  whether  the  people  or  the  prince  should  be  recognized  as  the  true 
founder  of  law;  or  about  the  fact  that  the  prince  is  not  only  decorated 
with  arms,  but  also  armed  with  laws;  that  the  prince  is  legibus  alligatus, 
though  in  some  respects  he  be  legibus  solutus,  and  that  what  pleases 
him  has  the  strength  of  law,  then  indeed  it  should  not  be  surprising  to 
find  that  the  prince  accepted  and  grew  into  the  new  role  of  legislator. 
Indeed,  the  law-making  king  began  to  eclipse  the  law-preserving  king  of 
earlier  centuries,  and  the  rex  legislator  superseded  the  more  religiously 
tinted  rex  iustus.  The  image  of  Justinian  and  Tribonian  began  to  obscure 
that  of  Melchizedek,  whose  name  was  translated  rex  iustitiae.*^  That  is 
to  say,  under  the  impact  of  jurisprudence  and  juristic  rationalism  the 
ideal  of  liturgical  kingship  began  to  disintegrate.  Its  roots  had  been 
undercut  anyhow  by  the  papacy  of  the  Church  Reform.  Now  it  fell  to 
Justinian's  lawbooks  and  their  vocabulary  to  replace  and,  in  a  secular 
sense,  restore  some  of  the  religious  values  of  kingship,  which  had  deter- 
mined, as  an  effluence  of  the  ruler's  liturgical  consecration  (then  still 
considered  a  sacrament),  the  image  of  kingship  in  the  centuries  preceding 
the  Struggle  over  Investitures. 

At  the  height  of  that  struggle,  around  i  too,  the  so-called  Norman  (or 
York)  Anonymous  defended  more  vigorously  than  any  other  author  the 
idea  of  Christ-centered,  liturgical  kingship,  and  therewith  that  of  the 
priestly  character  of  the  king  who  was  "not  quite  a  layman,"  nay,  was 
(as  a  result  of  his  anointment)  a  rex  et  sacerdos.  Forty  years  later,  in  King 
Roger  IPs  prologue  to  his  Assizes  (i  140),  the  shift  from  liturgy  to  law 
becomes  manifest  in  a  peculiar  way.  The  position  of  "king  and  priest" 
was  claimed,  after  a  fashion,  also  by  Roger  1 1 ;  but  he  regained  his 
quasi-priestly  character  not  through  the  Church  (this  was  impossible 


/    O    U 


lOO  KINGSHIP   AND   SCIENTIFIC  JURISPRUDENCE 

after  the  Gregorian  Age),  but  through  the  high  pretensions  of  Roman 
legal  philosophy,  extracted  from  the  prologue  to  the  Digest,  where  the 
jurisprudents  were  compared  to  priests.  The  ancient  liturgical  language 
still  reverberated  in  King  Roger's  prologue,  but  its  spirit  was  that  of 
Justinian.  Like  Justinian,  the  Sicihan  king  called  his  lawbook  an  oblation 
to  God,  an  offering  of  mercy  and  justice,  and  then  continued:  "By  this 
oblation  the  royal  office  assumes  for  itself  a  certain  privilege  of  priesthood ; 
wherefore  some  wise  man  and  jurisprudent  [in  the  Digest]  called  the 
law-interpreters  Priests  of  Justice. "♦^  That  is  to  say,  the  point  of  reference 
of  this  new  ideal  of  priest-kingship  was  no  longer  the  Anointed  of  God  of 
the  Books  of  Kings  and  the  Psalter,  but  the  legislator  and  jurisprudent  as 
depicted  in  the  lawbooks  of  Justinian. 

The  metaphorical  quasi-priesthood  of  the  jurisprudents,  and  thereby 
of  the  king  who  was  the  index  iudicum  of  his  kingdom,  was  frequently 
discussed  and  interpreted  by  the  glossators.  In  a  twelfth-century  collec- 
tion of  legal  word  definitions,  the  author,  drawing  from  the  Institutes, 
expounded  under  the  heading  De  sacris  et  sacratis  the  new  (or,  in  fact, 
very  old)  dualism:  "There  is  one  thing  holy  which  is  human,  such  as  the 
laws;  and  there  is  another  thing  holy  which  is  divine,  such  as  things 
pertaining  to  the  Church.  And  among  the  priests,  some  are  divine  priests, 
such  as  presbyters;  others  are  human  priests,  such  as  magistrates,  who 
are  called  priest  because  they  dispense  things  holy,  that  is  laws."*'  That 
doctrine  of  bipartition  was  carried  on  in  the  law  schools.  The  Glossa 
ordinaria  refers  to  it,  and  Baldus,  in  the  fourteenth  century,  still  defended 
the  thesis  that  legutn  professores  dicuntur  sacerdotes,  for  (says  he)  there  is  a 
sacerdotium  spirituale  as  well  as  a  sacerdotium  temporale ;  just  as  Bracton 
distinguished  between  res  sacrae  pertaining  to  God  and  res  quasi  sacrae 
pertaining  to  the  fisc.so  This  general  mood  of  the  glossators  was  curiously 
epitomized  by  Gulielmus  Durandus,  the  great  jurist  and  liturgical  expert 
at  the  end  of  the  thirteenth  century,  who  referred  to  the  glossators  when 
he  declared,  not  at  all  disapprovingly,  "that  the  emperor  ranked  as  a 
presbyter  according  to  the  passage  [in  the  Digest]  where  it  is  said :  'Deserv- 
edly we  [the  jurisprudents]  are  called  priests.'"  It  is  remarkable  that 
here  a  positive  effort  was  made  to  derive  the  prince's  nonlaical  character 
not  from  his  anointment  with  the  holy  balm  and  his  consecration,  but 
from  Ulpian's  solemn  comparison  of  judges  with  priests. '• 

In  this  connection  we  may  recall  also  that  it  was  in  the  days  of  Bar- 
barossa  only,  and  not  before,  that  the  medieval  empire  began  to  be 
styled  "the  holy  empire,"  sacrum  imperium — and  every  medieval  historian 


/    U    L 


ERNST    H.  KANTOROWICZ 


lOI 


should  feel  uneasy  when  in  his  textbook  he  constantly  reads  that  Char- 
lemagne, in  800,  was  crowned  emperor  of  the  "Holy  Roman  Empire," 
a  statement  teeming  with  mistakes  and  misconceptions  and  as  anachro- 
nistic as  talking  about  the  guns  of  Alexander  or  the  paratroopers  of 
Caesar.  Sacer,  in  the  language  of  Roman  law,  meant  no  more  than 
"imperial,"  though  in  medieval  Latin  it  may  have  had  more  Christian- 
ecclesiastical  connotations.  It  was,  at  any  rate,  from  Roman  law  that 
Barbarossa  borrowed  the  epithet  sacrum  for  his  imperium,  and  it  would 
spoil  the  specific  flavor  of  both  the  time  of  Charlemagne  and  the  age 
of  Barbarossa  with  its  new  jurisprudence  by  using  uncritically  the 
epithet  "sacred"  for  the  events  of  800.  And  one  more  little  warning 
should  be  sounded.  We  arc  far  too  often  inclined  to  talk  about  "secular- 
ization" of  ecclesiastical  thought  and  institutions  in  connection  with  the 
modern  state.  Secularization  certainly  there  was — when,  for  example, 
the  marriage  of  Christ  to  the  universal  Church,  or  the  marriage  of  the 
bishop  to  his  local  church,  was  by  analogy  transferred  to  the  political 
sphere:  the  jurists  pointed  out  that  the  king  was  wedded  to  his  realm 
as  a  "mystical  groom."  52  But  we  find  little  of  that  "secularization"  in 
the  twelfth  century.  What  happened  then  was  not  a  secularization  of  the 
spiritual,  but  rather  a  spiritualization  and  sanctification  of  the  secular. 
Sacrum  imperium  was  not  a  borrowing  from  the  vocabulary  of  the  Church; 
it  was  a  para-ecclesiastical  designation  in  its  own  right,  though  when 
reintroduced  it  replaced  the  old  antithesis  of  sacerdotium  and  regnum  by  the 
more  coordinating  and  complementary  designations  of  sancta  ecclesia  and 
sacrum  imperium,  holy  Church  and  sacred  empire.  In  other  words,  the 
sacred  character  of  the  empire,  and  of  the  emperor  himself,  no  longer 
drew  its  strength  from  the  idea  of  the  christus  domini,  from  the  altar,  or 
from  the  Church,  but  it  was  a  secular  sacredness  sui  iuris  and  sui  generis 
apart  from  the  Church,  a  concept  which  eventually  found  its  most 
eloquent  interpreter  in  Dante  and  his  vision  of  two  Paradises,  one 
imperial-terrestrial  and  the  other  ecclesiastical-celestial. 

It  would  be  wrong  to  assume  that  the  dualism  of  sacredness  and 
holiness  was  produced  by  Roman  law  alone.  From  Justinian  there 
derived  the  vocabulary,  the  technical  term  sacrum  imperium ;  Roman  law, 
however,  represented  but  one  current  within  a  very  complex  evolution, 
as  may  be  grasped  from  many  examples.  The  Christ-centered  kingship 
of  the  earlier  Middle  Ages  found  one  expression  in  the  ruler's  title  of 
honor,  vicarius  C.hristi.  In  the  thirteenth  century,  however,  this  title 
became  rarer,   and  without  disappearing  completely  it  was  replaced 


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102 


KINGSHIP   AND    SCIENTIFIC  JURISPRUDENCE 


by  that  ofvicarius  Dei,  "Vicar  of  God."  What  this  change  implied  was 
again  a  loosening  of  the  ties  with  which  the  medieval  prince  was  linked 
to  the  altar,  to  the  sacrificial  God-man  who  was  not  only  the  eternal  King 
but  also  the  eternal  Priest.  What  had  happened  is  again  a  rather  complex 
evolution  of  which  no  more  than  two  strands  shall  be  mentioned  here. 
On  the  one  hand,  the  dogmatic-theological  development  of  the  twelfth 
century  towards  defining  the  real  presence  of  Christ  in  the  Sacrament 
produced  a  new  accentuation  of  the  very  ancient  idea  of  the  presence 
of  Christ  in  the  person  of  the  vicariously  mass-celebrating  priest.  The 
Decretum  Gratiani  quoted  a  number  of  places  in  which  bishops  and  priests 
were  styled  vicarii  Christi;  but  by  the  end  of  the  twelfth  century  vicarius 
Christi  became  next  to  exclusively  the  title  of  honor  of  the  supreme 
hierarch,  the  Roman  pontiff."  On  the  other  hand,  the  hierocratic  ter- 
minology found  an  unexpected  ally  in  Roman  law.  For,  the  civilians, 
relying  upon  the  vocabulary  of  Justinian's  lawbooks  and  (,n  Roman 
authors  such  as  Seneca  and  Vegetius,  began  to  style  the  emperor  deus 
tn  terris,  deus  terrems,  or  deus  praesens,  taking  it  for  granted  on  the  basis  of 
their  sources,  that  the  prince  was  above  all  "vicar  of  God"  and  not 
"vicar  of  Christ."  In  fact,  the  designation  vicarius  Christi  for  the  emperor 
would  not  have  been  within  the  range  of  legal  language  at  all.  Thus  it 
happened  that  the  Christocentric  ideal  of  rulership  dissolved  also  under 
the  influence  of  Roman  law,  and  gave  way  to  a  more  theocentric  concept. 
Henceforth,  a  papal  Christus  in  terris  (to  use  an  expression  of  Arnald  of 
Villanova)  found  a  counterpart  in  an  imperial  deus  in  terris.^* 

Another  bifocality  may  be  discerned  with  regard  to  the  univcrsalism 
of  the  Roman  Empire  and  the  territorial  monarchies,  and  herein  again 
Roman  law  plays  an  important  role.  It  was  in  the  twelfth  century  only 
that  Roman  law,  by  which  (as  was  commonly  imagined)  in  ancient  times 
the  \Nhole  orbis  terrarum  had  been  governed,  became  the  new  Kaiserrecht, 
the  vahd  law  of  the  medieval  lords  of  the  sacrum  imperium.  The  universalis- 
tic  character  of  Roman  law  was  taken  for  granted  even  before  its  reac- 
tivation in  the  twelfth  century:  around  1050,  the  hope  was  voiced  by 
Anselm  the  Peripatetic  that  the  ancient  universalism  was  to  be  restored 
not  armis,  but  legibus:  "Legibus  antiquis  totus  rcparabitur  orbis"— "By 
the  ancient  laws,  the  whole  world  shall  be  repaired." ss  It  was  a  hope 
still  shared  by  Dante,  among  many  others. 

Moreover,  independently  of  Roman  law,  the  universality  of  the  Roman 
Empire  appeared  throughout  the  Middle  Ages  as  an  established  fact, 
since  St.  Jerome,  and  his  identification  of  Daniel's  Fourth  World  Monar- 


I    u 


ERNST    H.  KANTOROWICZ  I03 

chy  with  the  empire  of  the  Romans,  held  the  sway.  In  the  twelfth  eentury 
the  un,versahst,c  tendeneies  inherent  in  both  Roman  law  and  Roman 
Empire  were  hnked  to  the  Hohenstaufen  emperors,  and  these  medTval 
pnnces  were  backed  not  only  by  dreams  and  myths,  but  als'by  th 
reahty  of  law  nself.  That  union  was  consummated  by  the  time  of  Bar 
barossa.  at  the   atest.  The  landmarks  are  the  Diet  of  Roncaglia  of  t  ,58 
the  assertion  of  the  Four  Doctors  that  the  medieval  emperor  wa    the 
d^mnus  mund^,  and  the  decision  of  Barbarossa  to  incorporate  one  of 
h:s  own    aws    the  Authentica  HabUa  or  PrMe.ium  scholasHcum  granting 
to     udents  un.versal  safety,  in  Justinian's  Code,  an  act  emphasizing  tha! 

erpetrr;;  "^'  ""t'^t  '"■^" ^-^^^^^^^  ^^^^^  -^^-^  ^'-n 

emperors.s6  7  he  un.versahty  of  the  empire,  however,  was  not  only  one 
of  space,  but  also  one  of  time.  Daniel's  Fourth  Empire  (that  is  in  l"! 
37  ";"'"^''°"'  T  ^""^"  '^"P''"^^  ^^'  '°  ^-^  "-''  ^he  end  of  /he 

sTnc  the  IIT  Tf\  '"  ''^  ""'  ""^^'  ''^'  '-^'^'  by  jurisprudence 
smce  the  lawbooks  of  Justmian  stated  over  and  over  again  that  "the 

empre  .forever,"  MpeHum  semper  est.  And  whereas  Jerome's  mythica 

empuernuy  referred  to  the  Roman  Empire  alone,  the  statement'of  h 

lawbooks  Impenurn  semper  est  had  implications  in  the  sense  that  every 

«n...r./a.,  large  or  small,  was  juristically  "forever."  In  other  words   the 

u„st.c    (though   not   the   mythical)    sempiternity   of  the   empire   wa 

ransferable  to,  and  easily  adopted  by,   the  territorial  monarlesr^n 

the  esch'?'r"T'"  -/— ^-'^  re,ni,  even  though  they  were  lacking 
the  eschato  ogical-mythical  background  of  the  eternal  Roman  Empire 
Subsequently  the  claims  to  universalism  on  the  part  of  the  Hohenstaufen 
emperors  and  their  successors  were  challenged  by  the  lords  of  the  terri- 
torial monarchies;  and  the  best  challenge  was  to  claim  the  same,  or  at 
least  similar  prerogatives  for  the  territorial  states.  This,  then,  was  the 
climate  m  which,  from  the  twelfth  century  onward,  som'e  fundaml^l 
poll  ical  dogmas  began  to  develop  in  the  individual  monarchies,  cul- 
minat,ng  finally  m  the  famous  sentence  Re.  superiorem  non  reco.nosLns  est 

-ithin  his  realm  "  As  a  result  of  this  maxim,  some  special  imperial 
prerogatives,  as   for  example,  the  right  of  appointing  notaries  public  or 

^h  msT'""'       '"tT"'"  ''"'""'  """  P^"^'  °"  ^°  ^he  kings  deeming 
themselves  emperorlike  within  their  realms  57  &  S 

In  addition  to  these  fairiy  well  defined  imperial  prerogative  rights, 
however,  there  was  passed  on  to  the  kings  also  the  whole  compound 
of  legal  philosophy  contained  in  the  imperial  Roman  law.  For  example 


U       I 


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104  KINGSHIP   AND    SCIENTIFIC  JURISPRUDENCE 

the  Lex  Mia  maiestatis  concerning  the  crime  of  lese  majesty  was  now 
appropriated  by  the  kings  although  in  the  Digest  and  the  Corf,  it  referred 
only  to  the  emperor  and  to  the  maiestas  of  the  Roman  people  ss  Further 
the  statement  of  St.  Jerome,   embedded   in  canon   law  and   saying' 
Exercitus  facit  imperatorem,  "The  army  creates  the  emperor,"  was  trans- 
ferred to  the  king:  exercitus  facit  regemJ"  Also,  the  famous  maxim,  derived 
from  the  Code  and  declaring  that  "the  emperor  has  all  the  laws  in  the 
shrine  of  his  breast,"  was  transferred  not  only  to  the  pope,  the  verus 
tmperator,  but  also  to  the  King  of  France;  for,  a  French  jurist  (probably 
Thomas  of  Pouilly,  ca.   1296-97),  says  in  so  many  words  that  "of  the 
King  of  France  it  may  be  said,  as  it  is  said  of  the  emperor,  that  all  the 
laws,  especially  those  pertaining  to  this  kingdom,  are  shut  in  his  breast."  *» 
That,  furthermore,  the  Roman  emperor  was  terra  marique  dominus,  "lord 
over  land  and  sea"  and  over  the  elements  as  well,  was  a  notion  going 
back  to  antiquity.  It  ^v■as  applied  not  at  all  rarely  to  Frederick  II.  Then, 
m  a  lawsuit  concerning  the  association  {pariage)  of  Philip  IV  of  France 
and  a  French  bishop,  one  of  the  royal  legists,  Guillaume  de  Plaisian, 
pointed  out  that  the  French  king,  since  he  was  "emperor  in  his  realm," 
had   command  over  land  and  sea,  whereupon  the  bishop  mockingly 
answered:  "Whether  the  king  be  emperor  in  his  realm,  and  whether  he 
command  over  land  and  sea  and  the  elements,  and  whether  the  elements 
would  obey  if  the  king  gave  orders  to  them,  is  irrelevant  to  the  points 
at  stake."*'  How  deeply  engrained  the  belief  in  the  king's  power  of 
commanding  the  elements  actually  was,  even  as  late  as  the  seventeenth 
century,  may  be  gathered  from  the  Diary  of  Samuel  Pepvs  who,  seeing 
in  the  summer  of  ,662  King  Charles  II  riding  in  his  barge  in  a  downpour 
of  rain,  made  the  telling  entry:  "But  methought  it  lessened  my  esteem 
of  a  king,  that  he  should  not  be  able  to  command  the  rain."«^  Finally 
there  should  at  least  be  mentioned  a  philosophical  concept  transmitted 
from  Greek  philosophy  through  the  agency  of  Roman  law,  which  was 
reapplied  to  the  Hohenstaufen  emperor  and  transferred  to  the  pope  in 
the  twelfth  century,  until  in  the  thirteenth  it  was  passed  on  to  the  terri- 
torial kings:  the  idea  of  the  prince  as  the  lex  animata,  the  "living"  or 
^'animate  law."  The  usefulness  of  this  concept  for  the  theory  of  absolutism 
IS  almost  self-evident,  especially  when,  under  the  influence  of  Aristotle 
the  lex  animata  was  turned  into  a  iustitia  animata.  For  not  only  was  the 
king  said  to  be  present  in  all  his  law  courts,  in  which  finally  he  was 
present  also  vicariously  through  his  image,  his  state  portrait,  or  his  coat 
of  arms,  but  there  was  also  a  good  reason  for  asserting  that  the  king's 


/  u   o 


'     < 


ERNST    H.  KANTOROWICZ  105 

M-ill,  iheorc tically,  had  the  force  of  law :  being  himself  the  animate  law, 
the  king  could  do  no  ^^Tong,  since  "whate\-er  he  did  would  be  ipso  facto 
just/'^s 

To  be  sure,  it  is  a  long  and  verv-  involved  and  comphcated  way  that 
leads  from  the  twelfth  century  to  the  absolutist  theories  of  sovereignty. 
Xor  can  this  rapid  sur\-ey  claim  to  have  done  more  than  barelv  touch 
upon  a  few  problems.  For  all  their  brevity  and  skimpincss,  however,  the 
present  remarks  may  suffice  to  demonstrate  that  in  a  discussion  of 
■Twelfth-Ontur\-  Europe  and  the  Foundations  of  Modern  Society" 
the  impact  of  jurisprudence  on  government  cannot  easily  be  neglected. 


NOTES 

Surgen-  prevented  the  present  author  from  being  a  full-time  participant  of 
the  S>-mposium  on  "Twelfth-Centurv- Europe  and  ihe  Foundations  of  Modem 
Socier\-."  He  was.  however,  able  to  prepare  this  paper  which  his  friend. 
Professor  Gaines  Post,  was  kind  enough  to  deliver  for  him  and  even  to 
defend  in  the  discussion — an  act  of  making  a  colleague's  cause  his  ov*ii  for 
which  the  author  remains  a  grateful  debtor. 

Charles  Homer  Haskins  himself  has  sur%  eyed  brilliantly  "The  Re\-ival  of 
Jurisprudence"  in  Chapter  \'II  of  his  Retudisance  of  the  Twelfth  CerUur} 
'Cambridge.  1939).  pp.  192—223. 

The  truly  important  achirv-emenl  of  the  K>-caIled  "rebirth  of  Roman  law" 
was  the  evolution  of  a  scientific  jiarisprudence  and  a  jurisprudential  method; 

this  point  has  been  stressed  repeatedlv.  r '  "   .  e.g..  bv  Wolde- 

mar  Engelmann.  Die  Wiedfrgebwi  der  A  •,  durch  die  uissen- 

ichaftliche  Lekre  (Leipzig.  1 938 ' . 

.\  succinct  and  admirably  organized  sur\e>  of  sources  and  hisior\-  of  canon 
law  to  roughly  1300  has  been  offered  by  .\Iphons  M.  Stickler.  HvluHa  Juris 
Canomri  Latini.  I :  Historia  Fontium  ("Turin,  1950) ;  a  brief  general  sur\ey, 
including  canon  law  in  England,  was  given  b\'  the  Lord  Bishop  of  Exeter, 
R.  C.  Mortimer,  Western  Canon  Law  ('Berkele>-  and  Los  .\ngeles.  1953). 
For  some  aspecB  of  the  interrelations  betiAeen  the  Struggle  over  In\cstiturcs 
and  the  reactivation  of  Roman  law,  see  Karl  Jordan,  "E>cr  Kaisergedanke  in 
Ravenna  zur  Zcit  Heinrichs  IV.,"  Deutsches  Archil.  II  (19381.  85-125.  For 
Gratian  and  Roman  law.  see  the  report  of  Stephan  Kuttner,  ".NevN-  Studies 
on  the  Roman  Law  in  Gratian's  Decretum."  The  Serrdnar,  XI  (^1953  .  12-50. 
For  the  few  documents  referring  to  Pepo.  see  Hermann  Kantorovvicz  and 
Beryl  Smalley,  ".\n  English  Theologian's  \'iew  of  Roman  Law:  Pepo, 
Imerius.  Ralph  Niger."  Mediaei-al  and  Renaissance  Studies.  I  1^41-4^  . 
237-52- 

For  example,  Petrus  Crassus  (cf.  Jordan.  "KaisergedauK':  rxjisv-red.  and 
Manegold  (see  below,  note  28)  undermined  the  imperial  jaosition  by  means 
of  Roman  law. 


//     U    II     II 

u   u   u   u 


I06  KlNGSHIl"  AND   SCIENTIFIC  JU  HISPKUDENCI 

7  Hermanii  Kantorowic?..  Studies  in  the  Glossators  of  the  Roman  Law  fCambridtfr,. 
19381,  pp.  jiyf.,  n.  4.  Haskins,  Renaissance,  p.  199,  asoribcf.  the  separation  of 
civil  lav  from  rhetoric  to  Imerius.  and  (p.  215I  of  canon  lav  from  theolo^- 
to  Gratian.  To  Hostieiisis.  Sumnui  aurea.  pronem.,  nos.  c^io  !'\  enicf..  i;)86), 
col.  6.  carioij  jurisprude^ncf  wa.«:  a  third  scietitie  apart  from  theology  and 
civil  lav,  a  tertium  genus,  ex  ingenm  quasi  permixtuni.  a  scientiii  perrmxta.  because 
h  embraces  both  the  spiritual  and  tlit  temporal.  For  the  method,  see  Erich 
Genzmer.  "Die  jiLstinianisclK  Kodifikation  und  die  Glos.saioreri,"  Atti  del 
Congressi)  Intenuizioruili  di  Dtrittn  Romatw :  Bologna.   I    (Pavia.    1 934) ,   gSoff. 

ft  The  jinple :  "Dal  Gallicnav  opes  et  sanctio  I  astiniana. /Ex  alii.s  paleas.  ex 
Lsti.s  collipe  prana."  quoted  h\  Stephen  Lanpton  as  well  as  b\  the  Glo.isa 
ordinaria.  on  Conn,  ornnsm.  v.  'ditissimi.'  is  sure  to  be  much  older;  cf.  H.  Kan- 
torowicz.  'All  Enplish  Theolopiari's  \'iev"  (above,  note  5,;.  p.  246.  n.  2; 
see  also  Haskins.  Studie.^  in  Mediaeval  Culture  (Oxford.  19291.  p.  47.  for  the 
rivalry  between  lav\  and  theok)p\ .  and  p.  25.  for  the  "lucrative  branches  of 
knowledge."  See  Dante.  Paradisn.  IX.  i.^gfT..  and  Michele  Maccarone. 
"Teolopia  e  diritto  canonico  nella  Motuxrchia.  III.  3."  RivvTlc  di  Storia  delia 
Chiesa  iti  Italia.  \'  ( 1951  -.  23f. 

y  Raljjh  Niger.  Moralia  regttm.  c.  XIX.  ed.  H.  Kantorowicz.  'Wn  English 
"  S", '^.^i.  ftMT.  Theologian's  \'iew."  p.  250.  lines  3iff. :  "Procedentc  vero  tempore,  aurto 
numero  legis  peritorun:  inpinguatu.'-  esi  dilectu-S.  et  recalcitrax-ii  in  tantum 
in  legu>  doctores  appellarentuj  domuii.  indigne  ferentes  appcliari  dociores 
vel  magistri."  Cf.  p.  247,  n.  2.  Later  the  title  donuma  was  an  established  fact. 
Sec.  e.g..  Lucas  de  Pemia.  Lectura  .  .  sufier  tribw  Liirns  Cudicis,  on  Cod.  1 2. 
15  fLyon.  15441,  fol.  231'^'*:  "[doctores  legum]  qui  etiam  sunt  ab  omnibus 
honorandi  nee  debent  ab  aliis  quantumcumque  maximis  in  eorum  iitteris 
appellari  fratreh.  sed  domini.  contrarium  facientes  punicndi  stmt."  Lucas  de 
I'eima  actualh  relers  to  lniiot;eiii  I\  .  Ap/iaratu.\.  on  X.  2.  if,,  n.  5  iLvon. 
1578),  fol.  aoo.  who  mentioned  the  sententia  dominorum. 

10  H.  Fitting.  Das  Castrensr  fiectdium  in  setnffi  geschtchtlicken  Entuncklung  und 
lieuttgen  genieinrechtliciien  Geltwii;  Halle.  1871  .  pp.  53 iff.,  has  summed  up  the 
essential  material.  For  militia  doctmalis.  see  Baldus.  on  Cod.  7,  38,  1,  n.  I 
(\'enice.  15861.  fol.  28. 

11  The  relevant  places  are  Cod.  2,  7,  4  and  14:  see  also  2,  6,  7  [nobiiissimos). 
These  laws  refer  to  advocaii  only,  but  the  medieval  jurists  expanded  the  ref- 
erence to  junsperiu  in  general.  See  aisc>  Instii..  prooem.  I'belov* .  note  42  . 
and  Cod.,  prooem.  Summa  rei  puiiltcai.  prol. 

12  Fitting.  Castrensr  ftecultimi.  p.  543.  n.  1.  for  Piacentinus  miliiui  lite^aionc 
miltlantes  :  .\zti.  Summa  Inttitutumuni.  on  prooem..  n.  2  ,'Lyon,  1530  .  fol.  20fc. 
distinguished  three  niiiitiae:  "Est  ergo  militia  alia  armata.  alia  inennis.  alia 
literata.''  .'Uread)'  Guide  Faba.  Summa  dictamims.  1.  n.  28.  ed.  A.  Gaudenzi. 
in  frupugnatore.  Ill  (ibyo;.  309.  addicsses  a  niagister  as  Ittteratoru  miluiae 
cingtUo  ret&mito.  This  may  be  a  figurative  expression:  however,  the  later 
fonnularies  contain  a  form  for  the  promotion  to  the  docturutt.  sa\-ing: 
"  .  celebn  mihtia  et  militan  cmgulo  [u]  decoramus  leque  t.:onsc>riio, 
ordini  et  nunaero  milicie  legum  doctorum  et  professorum  aggregamus" :  cf. 


n    u    n 
u    u    u 


/ 1 


13 
14 


15 


16 


•9 


ERNST   H.  K.ANTOROWICZ  107 

H.  Kaiser.  ColUctarius  perpetmrum  Jormamm  Johanm.^  dr  Geylnhusen  flnnsbrurk 
jpoo).  form  49:  sec.  in  general.  Fitting.  CaUreme peculwm.  pp.  ^yff 
Cod.  12,  15. 

(^-  «.  37(38),  4-  "Serunduni  resporwum  Domitii  Ulpiani.  .  .iuris  ronsulti 
amici  mei."  Cod.  4.  65.  4.  '• .  .  ,  acl  iJomitium  Ulpianum  pranfcctum  praetorio 
et  parentem  meum  ..."  Inst.,  proneni..  §3  :  '• .  .  .  Thmphilc.  m  Dorothro  vim 
iliaunbas  antecessoribus  |nostn.s]."  That  the  word  nostn.  wa,s  asualix  omh- 
trA  has  b,-e„  .stressed  b>  Fran<;oi.s  Hotman  ;'Hotomanu,s.  /,..  gmtuor  lihros 
Institutionum  land  ed.:  Venice.  .369].  p.  r,:  on  7^/.,  prooem..  3.  v.  '-^nteres- 
soribus  nostns").  who  likr  all  thr  giossators  and  commentators  pointed  out 
tlia.  latlier"  and  '-predecessoi"  referred  to  th,-  jurtsprudenLs  to  wi.om 
Jastiniaii  allocated  him.sell. 

Axu.Sumnm  Imtttuttonum.  proloeu.  Quasim>d,<  geniti  fLyon.  15301,  fol.  aSyv 
ed.  I-.  V\.  Maitland.  SeUct  Passages  from  tk  Works  of  Brae  tor,  arul  A-,>  'Selden 
Society,  \'II1:  London.  1835,,  P-  3:  "|scientia  iun.s]  veiut  almihca  domma- 
trix  nobihta:  addiscente.  et  ut  vera  per  omnia  iatear.  iun.s  professores. 

per  orben.  terrarum  iecit  soiemniter  pnncipari  ei  .seder,-  11,  imperiali  aula 
tnbus  et  nationes.  actorcs  et  reas  ordiiu  dommabili  ludicante!..-  Thai   tht 
Bolofniesf   Master  iJonconiijapno  served  a.s  a  ghost  writer  ol  .^zo's  prologue 
is  oi  httl,  OT  no  importanct  m  thi.s  connection:  ci,  Hermann  Kantorow.cz 
uiossators  of  ttu  liorruai  Law.  p.  227.  n.  3a. 

Bracton.  Ih  Ugibm.  fol.  ib.  ed.  Woodbine,  II.  20:  ed.  Maitiand.  p.  7  ,w,th 
hi..  note.s  on  p.  ,5  :  '•  .  .  q^g  nobilitat  addiscentcs  .  .  .  et  tacit  eo.s  principari 
m  regno  i  Azo :  ^  orbem  terrarum]  et  scdcrt  m  aula  regia  1  .-^zo :  tmt^uUn  et  in 
sed,  ipsias  regLs  quas:  throno  l>ei.  tribu..  e.  natione..  actores  et  re«s  ordmt 
dommabiliiudicantes  .- lor  Bracton'.  additiom,  set  Lrnst  H.  Kantoro- 
wicz.  The  Kmg's  Two  Bodies  (Princeton,  1957),  p.  ,60:  hi>  change.  ,«rto 
terrarmi:  regtuwi:  imperiali:  regia  an  suggestive  with  regard  to  tht  broader 
subject  of  re.x  est  tmperatw  m  regru.  sw,  ise,  tWov^^.  Thai  th<  juuge.  'a.  judgt  " 
i-s  '•sittmp  m  thr  seat  oi  th<  King  (concerning  hi.s  justice,.-  was  an  axiom 
defended  ardenth  b^  Si,  Ldward  Coke,  m  the  cast  of  Flovd  and  Barker 
TwelJUi  Part  of  the  heporti.  p.  s:,. 

Cvnu.v  ofPwtoia.  l„  Codtcem.  on  C.  4.  {,5.  4,  n.  2  (Frankfurt,  1578).  fol  276^- 
^otaiiuuni  quod  Impcrator  vocat  Ulpianum  parentem  suum.  su  rcst>ertu 
scentiae  et  aetati.  jcf.  Gios.a  ordxnarw  on  C.  4.  i.-,.  4].  vocat  eum  anucum 
infra  dr  contra,  sti.  1.  secunclum  [=  C.  t,  37^38^  4].  Nam  su  legitur  m 
Uiromcis.  .Alexander  Imperator  praecipuum  habuit  amicum  Ulpianum  et 
Paulum  etiam,  et  vidci,  studiose,  tjuantum  potest  scientia:  quii.  laci,  Icpum 
peritum  patreni  praecipuum  Lprnicipum'J.  facit  etiam  anucum.  secundum 
Augustmun,  est  anini,  custos  et  secundum  leronvmum  est  alter  ego  '  The 
passage  from  C.ynus  was  occasionalh  quoted  m  later  times;  «:e  e.g.,  Johannes 
Oinotomus.   h,   quattuoi  Jnsiituiumun.  libros.  on  Inst.,  prooem..  3,  n.   i 

(§  cuniqw  iuc.  '\  eiiictj.  it»4;j,.  p.  4. 

Haskiiii.  Henaisswtce.  p.  199;  Jordan,  "Kaisergedaiike,"  p.  ia6 
For  Hederici.  II  a.s  judge,  see  FedoT   Schneider.  "Toscanische  Stud.en  - 
Uuelln,  WW  f-orsctwtigeti  au   ttalunucmi  Arcmveti  mm  BwiwItieKcn.  XII  ( 19091 


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20 

21 
22 


23 


24 


26 

27 


fults  Srkf  'l^^^mo  imperatore  ibidem  presentiaht.r  ox.st.nte  "  Cf 
although   the   emp^r  ocr  T"^*'^^"  '"  «=-'>■  -^dern  Umes),  and 

don!' : ';ti  ^n  ''2o"r(r'- '  '"^'^^"  "^"'^''^''  ^-^  ^^^^  ^^^-^  ^- 

S    R    Ph  V       -'         ^^'"■'""  ^'^'  '^"""^  ^«-  for  a  few   later  cases 

null.  re,un.  .^„.e  rd.ciuL'  priern"  vt  l"'  '"^  ^^^  "'''''P^'^  ^^ 
Andreas  of  Isemia.  In  usu..  feudorum  commentaria,  on  F.«^    IT    .-  /«n. 

Cvnus        S"^"^  feudi",  n.  84  (Naples,  ,57:)   fol.  28  i^io'  ''  ^  "^  ''"■ 
e.ynus.  on  Cod.  7.  37,  3,  n.  i,  fol.  445 vo 

Aiti.  ar  ■concern/d    or  Y"h"''  "f''  "  '^"'"^  ''"^"  ^^^  -"- 

treason  or  lese  „.,e.,  .ud.^d  J,' t  ^  aXl''  with^^rr™"^ 
acimg  a.s  judge,  but  "debent  pares  associari    JZ7  ^'    °°- 

•ustu^anos  sues  s.ne  paribus  aclTr  sit'-udex  >        ^      ""  ^"  "'P^""  ^"^^ 

?=^;5;;  S.^  '^^"^  ^'^'^'"''"^  '^-^  -  ^-  3-  40.  23,  n.   3 
Cynus.  on  CW.  6,  2^,  10  n    i    fol   of,-.."N-  .    l 

hodu  ^lr.rant   s  "L'elil  Ibe    '  ""P^^^*"'""  '^^-verunt  :ura.  et  r,u..rme 

Andreas   oi   Isernia,   on  Feud.  1    '^    n    ifi    ^'n,.' 

"Potest  Hir-;    ^,    ^  '  ^'  ^  ^^  success,  ten.'),  fol.  zV- 

nienns  ^'  ^°°^*^-  "•  24]   "  ideo  dicitur  PhilosoDfaiae 

pJenus  raro  enim  mvenitur  princeps  lurista  "  Or  .a  v    ^    ""™opn«f 

fol    ovo.  "       ^f  ^  T  M'"'i-cps  lurista.     U..  tbtd.,  praeludia.  n.  2^, 


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28 


29 

30 


31 
32 


33 

34 
35 
36 


ERNST   H.  KANTOROWICZ  I09 

pp.  304f.,  622;  Roland  G.  Usher,  "James  I  and  Sir  Edward  Coke  "  En,Hsh 
Htstoncal  Rsvmv.  XVIII  ( .903),  664^,  esp.  GGyfr  ^ 

Eugenio  Dupr^  Theseider,  L'Idea  imperiale  di  Roma  nella  tradUione  del  medioe.o 
M.lan    ,94.),  pp.         ff.,  ,ff,,,  ,  ^^^,^,  ^^„^^  .^^  ^^^^^^^^^^  - 

kT  7';r"'"^,  ^^'^  '^*-  ^^^-'   -«■■  fo^  a  d-ussion  of  the  /..  re.ia.  Fritz 
Kern    GotUsgna^ntum  und  mderstandnechl  tm  friiheren  Mittelalter  (Leipzig 

^federVolkssouveramtattmmtMalterlichen  Rom  (Leipzig,  igjo)  esp  nn  .^ftff  • 
for   the   older  literature,  see  Kantorowicz,  Kaisl  kiel'J,  IT^Zifl: 

ST  H  in""v'  '^^'^'  PP-  '■^^•'  ^°  -^-^  ^^-  shouldt  addfd 
..off  Frttz  Schulz  '  Bracton  on  Kingsh.p."  English  Historical  k.lj' 
J^>i  ('945),  .53ff.;  Walter  Ullmann,  The  Medieval  Idea  of  Law  as  Represented 
by  Lucas  de  Penna  (London,  . 946) ,  pp.  48ff  «^/'^«^«/^rf 

Dupre  Theseider.  Vldea  imperiale,  pp.  153-60 

In  general,  see  Paul  Schmitthenner,  Die  Anspruche  des  Adels  und  Volks  der 

StadRom  auf  Vergebung  der  Kaiserkrone  wdhrend  des  Interregnums  (H^storische 

,,'ff  "'    ?,^'  ^"""'.  '9^3''  ^*^^  D"P^<-^  Theseider,  L'Idea  imper^ale,  pp. 
237ff.,  for  the  coronation  of  Louis  of  Bavaria 

See  SLTt^  ".  ""^.7''.  ^"^  ^"''^^   ^^""'^^*°"'    '957).  PP.   296ff. 
See  Dupre  Theseider.  Vldea  tmperiale,  pp.  257ff.  and.  for  the  canonists 

Hae  pTntf        '  V^f  "r  ""'  ^"''"""""  *"  '"'^"'^  "'■  (Miscellanea  H.sto: 
nae  Pontihc.ae,  XIX;  Rome,  1954),  P-  214,  n.  52. 

See,  for  Frederick  II,  Brancaleone,  and  Rienzo,  Dupr6  Theseider,  Vldea 
impenale,  pp.  ,733-.,  .yyff.,  go^ff.  "^  "^ """ 

Cod.  I,  14,  4. 

p!:i'lP'.'^f,^^^°^''^.'^  !° ':"^^°-^  bV  R°--  >aw,  see  Dig.  ,.  3,  3._4o. 


2, 


ed.  Webb,  I,  238,  lines  ijf ;  Liber  augustali^,  I,  3,,'ed. 


37 


38 
39 


40 


41 


42 


Policraticus,  IV, 

HuiUard-Breholles.  Historia  diplom^a  Friderict'seZdi  (ParTsTsVaff )' '  I v' 
33:alsoDupreTheseider,/,7rf.«,m/„Wa/..  p    ,79  S^n.^iv, 

Aqumas    Surnma  theologua    l-U.e.  qu.  XCVI,  a.  5,  ad  3;  cf  R.  W.  and 
fQ28)     V     ';  f  '{"'"^-^.f  ^^'^'--^  ^''^''-/  7-A.o:.  in  the  West  (London, 

r/ilimKl^'K'-  J'^"":^^"^  ^"b-^-  ^  '^-''  ^"-^-^  dans  r,^,re  de  Saint 
Thomas  (Bibhotheque  thomiste,  XXX;  Paris,  .95.)    pp   8of 

Kantorowicz,  The  King's  Two  Bodies,  p.  ,36,  n.  ,54  ' 

A.-J.  Carlyle    "The  Theory  of  the  Source  of  Political  Authority  in   the 

f^fraticuslV,  2;  Gaines  Post.  "The  Theory  of  Pubhc  Law  and  the  State 
in  the  Thirteenth  Century, "  Seminar,  VI  ( ,  948) ,  42-59 

,"/rT,""'r.^^'  ^"^'^  ''""'  ^<"'--  PP-  '73fl-..  for  the  fisc,  and  pp 
232ff.,  for  patrta;  Games  Post,  "Two  Notes  on  Nationalism  in  the  M.ddk 
Ages:  1.  Pugna  pro  patria,"  Traditio,  IX  (1953)    281  ff 

rwli?r""F  '''T  ^L''"'""''^'  P^^^""-'  ""^  ^'"^•'  Constitution  Summa 
rerpubUcae.  For  the  problem,  see  Ernst  H.  Kantorow.cz,  "On  Transform^ 


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110  KINGSHIP   AND    SCIENTIFIC   JURISPRUDENCE 

tions   of  Apolline    Ethics,"   Charlies:   Studien  zur   Altertumswissenschaft,    cd. 
Konrad  Schauenburg  (Bonn,  1957),  pp.  265-74. 

43  This  is  more  or  less  the  theme  of  the  valuable  study  of  Reto  R.  Bezzola, 
Les  origines  et  la  formation  de  la  litteralure  courtoise  en  Occident  (500-1200) 
(Biblioth^que  de  rficole  des  Hautes  fitudes,  fasc.  286;  Paris,  1944). 

44  Policraticus,  IV,  6,  ed.  Webb,  I,  254,  line  25. 

45  See,  on  these  prologues,  Kantorowicz,  "The  Prologue  to  Fleta  and  the 
School  of  Petrus  de  Vinea,"  Speculum,  XXXII  (1957),  231-49,  and,  for  the 
earlier  times,  P.  E.  Schramm,  Kaiser,  Rom  und  Renovatio  (Leipzig  and 
Berlin,  1929),  I,  282f. 

46  See,  e.g.,  Flavio  Biondo,  Borsus,  site  de  militia  et  iurisprudentia,  ed.  B.  Nogara, 
Scritti  inediti  e  rari  di  Biondo  Flavio  (Rome,  1927),  pp.  i3ofr.  See  also  above, 
note  10. 

47  See  Andreas  of  Isernia,  In  usus  feudorum,  praeludia,  n.  25,  fol.  'i,'"^'^,  on  the 
legislating  prince:  "Item,  impcrator  non  facit  leges,  sed  iurisperiti  approbati 
per  eum,  ut  Tribunianus  et  alii "  For,  the  prince  est  raro  iurista. 

48  F.  Brandileonc,  //  diritto  Romano  nelle  leggi  JVormanne  e  Sveve  del  regno  di  Sicilia 
(Turin,  1884),  p.  94.  See,  for  the  whole  problem,  Kantorowicz,  The  King's 
Two  Bodies,  pp.  1 1 7-23. 

49  Petri  Exceptionum  appendices,  I,  95,  ed.  H.  Fitting,  Juristisch  Schriften  des 
fruheren  MitUlalters  (Halle,   1876),  p.   164. 

50  Bracton,  fol.  14,  ed.  Woodbine,  II,  57f. 

51  Durandus.  Rationale  divinorum  officiorum,  II,  8,  6  (Lyons,  1565),  fol.  55™: 
"Quidam  etiam  dicunt  ut  not.  IF.  de  rerum  divis.  1.  sancta  [Dig.  i,  8,  9: 
the  prince  dedicates  sacra  loca]  quod  fit  presbyter,  iuxta  illud :  'Cuius  merito 
quis  nos  saccrdotes  appcllat'  [Dig.  i,  i,  i]." 

52  See,  on  the  marriage  of  the  prince  to  his  realm,  Kantorowicz,  The  King's 
Two  Bodies,  pp.  212-23,  and,  for  Reipublicae  mysticus  coniunx,  Ren6  Choppin, 
De  domanio  Franciae.  Ill,  tit.  5,  n.  6  (Paris,  1605),  p.  449. 

53  See,  for  those  changes,  Kantorowicz,   The  King's  Two  Bodies,  pp.  89-93. 

54  Ibid.,  p.  92,  nos.  i6f 

55  See  F.  Diimmler,  "Gedichte  aus  dem  XL  Jahrhundert,"  .Yeues  Archiv,  I 
(1876),  177,  line  25.  For  the  problem,  see  P.  E.  Schramm,  Kaiser,  Rom  und 
Renovatio,  I,  2790".,  and  the  recent  study  by  Hermann  Krause,  Kaiserrecht 
und  Rezeption  (Abh.  d.  Heidelberger  Akad.,  1952,  N.  i;  Heidelberg,  1952). 

56  The  Fourth  (Roman)  Empire  was  eventually  fused  with  a  Fifth  Empire, 
that  of  Christ;  cf.  Aquinas  [Tolomeo  of  Lucca],  De  regimine  principum, 
III,  i2f.,  ed.  Joseph  Mathis  (2nd  ed.;  Turin  and  Rome,  1948),  pp.  53!?.; 
also  C.  N.  S.  Woolf,  Bartolus  of  Sassoferrato  (Cambridge,  1913),  pp.  3i8fr. 
For  the  Authentica  Habita,  see  Cod.  4,  13.5  post ;  Monumenta  Germaniae  Historica, 
Constitutiones.  I,  249,  no.  176. 

57  For  the  Rex  imperator  theory,  see  Post,  in  Traditio,  IX  (1953),  296fr.,  with  a 
critical  discussion  of  some  recent  studies  on  the  subject  (Calasso,  Ercole, 
Mochi  Onory);  for  the  imperial  prerogatives,  sec  W.  Ullmann,  "The 
Development  of  the  Medieval  Idea  of  Sovereignty,"  English  Historical  Review 
LXIV(i949),  Iff. 


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59 


60 


61 


62 
63 


Dig^  48,  4;  Cod.  98.  For  example,  Andreas  of  Isernia,  /„  ususfeudorum,  on 
Feud  I,  5   n    ,3   fol.  savo-ggro,  applies  ^he  lex  Julia  maiestatis  perpetually  to 
the  king  of  Sicily,  and  so  do  the  other  Neapolitan  jurists. 
Decretum   c   24,  D^gg:  .^..a7«.  imperatorem  facial.  ]ohn  of  Paris,  Z).  /,o/«tote 
r.^.«  etpapah    c.  XV,  ed.  Dom  Jean  Leclercq,  Jean  de  Paris  (Paris,  ,042) 
p.  222    line  8,  still  makes  a  distinction:  nam  populus  facit  regem  et  e^itrls 
tmperatoren,.  Jean  de  Terre  Rouge,  Tractatus  de  iure  futuri  successoris  legitimi 
I,  art.  I,  conclusio  24,  in  Francois  Hotman,  Consilia  (Arras,  1586),  Appendix' 
p.  34:  exercttuspopulifacit  regem  sive  imperatorem.  Cf.  E.  E.  Stengel   Den  Kaiser 

machl  das  Heer   (Weimar,    .9,0),   also  in  Hislorische  Aufsdtze  Lrl  Zeumer 

gewidmet  (19 10),  pp.  262-75. 

Fritz  Kern,  Acta  Imperii  Angliae  et  Franciae  ab  a.  1S67  ad  a.  1313  (Tubingen 
.9.1),  No.  271,  p.  200,  lines  i2fr.:  "et  de  eo  (rege  Franciae)   potest  dici,' 

sicut  de  imperatore  dicitur,  videlicet  quod  omnia  iura,  precipue  competentia 

regno  suo,  in  ems  pectore  sunt  inclusa."  The  whole  legal  opinion  discusses 

imperial  rights  appropriated  by  the  French  king 

For  the  rule  over  land  and  sea  as  a  rhetorical  commonplace  applied  to 

S:!"' XXXlf ;;"  t  ^7'^'--'7-a  Marique,"  Journal  of  Roman 
^/«^^.,  XXXI     (,942),  53-64,  and,  for  its  application  to  the  dea  Roma, 
C.  M.  Bowra,     Melmno's  Hymn  to  Rome,"  ibid.,  XLVII  (,957),  2,    For 
trederick  II,  see  Kantorowicz,  Kaiser  Friedrich  der  Zweite,  Er^dr^^un.sband, 
pp.  204f.  For  Phihp  IV,  or  rather  his  crown  jurist  Guillaume  de  Plaisian 
and  the  Bishop  of  Gevaudan,  see  Memoire  relatif  au  Pareage  de  1.07   ed' 
A.  Maisonobe   in  Bulletin  de  la  sociite  d' agriculture,  Industrie,  sciences  et  arts  du 
DepartementdelaLozere  (Mendo,  ,896),  pp.  52,,  532;  Plaisian  asserted  "quod 
dominus  Rex  sit  imperator  in  regno  suo  et  imperare  possit  terre  et  mari  " 
to  which  the  bishop  replied:  "Porro  utrum  dominus  Rex  sit  imperator  in 
regno  suo  et  utrum  possit  imperare  terre  et  mari  et  dementis  et,  si  obtem- 
perarent  ipsa  elementa,  si  eisdem  imperaret,  .  .  .  nichil  ad  propositum  nee 
contra  Episcopum  facit." 
See  Samuel  Pepys'  entry  on  July  19,  1662. 

For  the  /.^  animata  theory,  see  Kantorowicz,   The  King's  Two  Bodies,  pp 
.27fr.;  Krause    A-«,W../i/  (above,  note  55),  pp.  37ff.;  and,  for  the  age  of 
absolu  ism,  William  Farr  Church,  Constitutional  Thought  in  SixUenth-Century 
France  (Cambridge,  194,),  p.  25,,  also  pp.  47  (n.  10),  58,  70,  97,  and^^;; 


/  /     U    I  I     L 
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THE    INSTITUTE    FOR     ADVANCED    STUDY 


PRINCETON,     NEW     JERSEY 


SCHOOL  OF  HISTORICAL  STUDIES 


May  2k,   19 6l 


Professor  Ernst  Kantorowicz 

The  Institute  for  Advanced  Study 

Princeton,  New  Jersey 

Dear  Eka: 

Today  I  am  coming  to  you  In  sackcloth  and  ashes:   In  my  excite- 
ment about  your  marvelous  article  on  Kingship  and  Jurisprudence  and 
my  enthusiasm  about  your  reference  to  Clno  da  Plstola,   I  confused 
the  latter 's  tomb  with  another  one  so  that  my  beautiful  theory  falls 
to  the  ground.  As  It  turns  out ^ Clno 's  tomb  does  not  show  hlra 
enthroned  but  Is  adorned  with  a  perfectly  normal  lecture  scene  as 
found  on  so  many  tombs  In  Bologna,  etc.;  In  fact  the  lecture  scene 
Is  rather  archaic  and  modest  In  that  It  shows  the  great  man 
relegated  to  the  left-hand  margin  of  the  composition  and  reduced 
to  profile  Instead  of  placing  him  In  the  center  and  showing  him 
In  front  view.  So,  please,  don't  bother  to  look  up  an  Illustration 
and  forgive  me  for  my  falling  memory.  Only  a  few  years  ago  I  should 
not  have  made  a  mistake  like  this.' 

With  all  good  wishes,  and  hoping  to  see  you  soon. 

Contritely  yours, 

Erwln  Panofsky 


EP:rs 
End. 


'^r^'  •).«  ^ 


n    u   n 
u    u   u 


Prof.  Dr.  Erich  6enzmer 

Miinchen  13 
Fried richstraOe  4,ptr. 

den   7.    i^ovember   1961 


Herrn  Professor 

Dr.    Ernst   d,    Kantorowicz 

The   Institute   for 
Advanced    Study 

Princeton 

Uevf   Jersey 
U.S.A. 


Sehr  vt-rehrter,  lieber  -lerr  xvollege, 

Sie  haben  mir  eininal  '?:escnrieben,  die  Jurisprudenz  sei 
Ihnen  nicht  an  der  Vi/iege  gesungen  worden.  Aber  jetzt  muS 
ich  an  dieser  i^ehauptung  zweifeln  und  wenigstens  annehmen, 
daS  Sie  sich  noch  als  Erwachsener  in  eine  Juristische 
'^iege  gelegt  haben.  Sie  sind  in  den  Gunabula  Jurisprudentiae 
zu  dause,  das  zeigen  die  drei  Sonderdrucke,  fur  die  ich 
Ihnen  vielmals  danke,  und  besonders  der  Sonderdruck  von 
"Kingship  under  the  Impact  of  Scientific  Jurisprudence". 

Qbrif-iens  scheint  noch  niemand  gemerkt  zu  haben,  daS  der 
quellenmafiige  ""rsprung  des  Dominus  -  Titels  fur  die  Kechts- 
j|  lehrer  eine  in  Justinians  Digesten  (D.  33.  2.  22.  pr . ) 
■  '  iiberlieferte  i3riefanrede  eines  jungen  Juristen  an  seinen 
_  Lehrer,  den  Spatklas  iker  Julius  Paulus  ist.  Der  gute 
■l^Wesennius  Apollinaris  hat  sich  schwerlicn  traumen  lassen, 
was  er  damit  in  spateren  Jaarhunderten  anrichten  wurde. 

Ihr  schoner  und  zwei  anschein/end  entlegene  Gebiete  ver- 
bindender  i^eitrag  zur  J^'estscnrift  fur  r^rwin  -^anofsky  erinnert 
mich  daran,  dai3  ranofsky  nicht  nur  an  der  oriiversitat 
^lamburg  gewirkt  hat  (leider  ehe  ich  nach  ^iamburg  kam), 
und  dort  nocn  viele  seiner  witzigen  Ausspriiche  kolportiert 
werden,  sondern  daB  er  auch  ein  Mitschuler  (in  einer 
Parallelklasse )  von  mir  auf  dem  Joachimsthaler  G^ymnasium 
gewesen  ist. 

Als  eine  sehr  bescheidene  Segengabe  lege  ich  meine  r.in- 
leitung  zum  "i\Ieuen  Savigny"  (IRMAE)  bei. 

Mit  herzlichsten  jrtiSen  bin  ich 


Ihr  sehr  ergebener 


/  /    /_/   n    o 
u   u   u   u 


n    u    n    o 

u    u    u      I 


I    ' 


/i,f    ix>G 


M/50 


tyl/iSf  !/3^rOWfr7    ^nllrr-J^Qi/j 


£1^^/ 


V/;'6' 


*55.  "The  Sovereignty  of  the  Artist:  A  Note  on  Legal  Maxims  and  Renaissance  Theo- 
ries of  Art,"  in  De  Artibus  Opuscula  XL:  Essays  in  Honor  ofErwin  Panofsky,  ed.  Millard 
Meiss  (New  York,  1961),  267-279. 

EK's  copy,  annotated. 

A.  Letter  fron  Guinea  Post,  ?.0   Nov  5B 

B.  Idem,  not  long  after- •'^rds. 

C.  "Ablericus  de  Rosate"  (half  page,  rellovO 

D.  Letter  froia  ^^tejlnan  Kuttner,  ?.?.   Nov  5^»  ^*i  th  a 

page  of  no^es  attached. 

E.  ''Magno  su  ingenio"  (page) 

F.  ''Angelo  de  Tib'^ldis"  (page,  ^ellov) 

G.  ''Arnold  Hause^"  (3x5  card) 
H.  "'Harry  Volfson*'  (slip) 

I,   Letter  from  Gafnes  ^ost,  28  June  61 
J,   Letter  from  ^tephan  Kuttner,  1  Aug  61 
K.   Letter  from  Konrad  Hoffman,  11  May  63 


/  /    u      in 
u    u      I    u 


Reprinted  from 
DE  ARTIBUS  OPUSCULA  XL 

ESSAYS  IN  HONOR  OF 

ERWIN  PANOFSKY 


Edited  by  MILLARD  MEISS 


New  York  University  Press  •  i^6i 


'flU 


~^^^^ 


/  /    u 

U     U       I 


The  Sovereignty  of  the  Artist 
A  Note  on  Legal  Maxims  and  Renaissance  Theories  of  Art 

ERNST  H.  KANTOROWICZ 


That  the  writings  of  medieval  jurists— glossators  and  commentators  of  Roman  and  canon 
law— might  have  been  in  any  respect  relevant  to  the  development  of  Renaissance  theories  of 
art  has  rarely  been  taken  into  consideration.  There  is,  however,  an  almost  a  priori  reflection 
which  would  render  such  a  hypothesis  less  improbable  than  might  appear  at  first  sight :  the 
fact  that  in  the  thirteenth  and  fourteenth  centuries  the  intelligentsia  was  represented,  at  least 
in  Italy,  largely  by  learned  jurisprudents,  and  that  therefore  poets  and  humanists— occa- 
sionally even  an  artist,  Alberti— not  infrequently  started  their  careers  by  studying  law. 
Moreover,  the  general  humanistic  climate  of  Italy  was  certainly  prepared  by  the  jurists  of  the 
thirteenth  century  who,  after  all,  trained  their  wits  and  demonstrated  them  by  commenting 
upon  a  classical  text— the  Roman  body  of  civil  law— which  in  its  entirety  had  been  handed 
down  from  antiquity  and  was,  as  Petrarch  understandingly  put  it,  an  autoritas  Romane  anti- 
quitatis  plena}  Finally,  those  scholars,  many  of  whom  were  poets  themselves,  were  also  the 
men  who  first  applied  other  classical  authors  to  practical  life  and  read  the  texts  not  only  as 
belles  lettres  for  edification  but  also  as  sources  for  the  purpose  of  extracting  from  them  such 
principles  as  might  prove  useful  for  expounding  the  law.^  At  any  rate,  an  antiquity  which  was 
systematically  applied  to  daily  life  and  even  enforced  by  the  authority  of  the  law  made  its 
first  appearance  within  the  circles  of  jurisprudents. 


For  valuable  information  in  matters  of  medieval  law  I  am 
greatly  indebted  to  the  kindness  of  Professors  Stephan  Kuttner 
and  Gaines  Post,  while  for  various  suggestions  in  other  fields 
my  thanks  go  to  Dr.  Robert  L.  Benson,  to  Professor  and  Mrs. 
Enrico  de'Negri,  and  to  Professor  Erwin  Panofsky. 

'  Petrarch,  "Epistola  ad  postcros,"  in  Francesco  Petrarca, 
Prose,  ed.  G.  Martellotti,  P.G.Ricci,  et  al.,  Milan  and  Naples, 
i95  5,p.lo,  states  that  he  was  far  from  disliking  "legum  autori- 
tas, que  absque  dubio  magna  est  et  romane  antiquitatis  plena, 
qua  delector."  Cf.  Domenico  Maffci,  Gli  im~i  deWumanesimo 
giuridko,  Milan, I956,p. 56,  who  in  his  first  chapter,  pp.3 5-78, 
ably  discusses  the  invectives  against  the  jurists  on  the  part  of 
the  humanists.  Petrarch  himself  studied  law  apparently  under 
the  guidance  of  Oldradus  de  Ponte  ( ?)  and  Joannes  Andreac ; 
see,  for  the  letters  to  Joannes  Andreae,  I-^pistnlae  de  rebus  fa- 
miliaribus,  v.y-g,  and  perhaps  also  the  very  Pctrarchcsqucly 
unpleasant  ones,  iv, 15-16,  ed.  Giuseppe  Fracassetti,  Florence, 
I, i859,pp. 273-282,237-247;  according  to  Savigny,  Geschichte 
des  romiscben  Rechts  im  Mittelalter,  Heidelberg,: 8 34,vi,p.  112, 
the  last  two  letters  were  not  addressed  to  Joannes  Andreae  at 
all.  Petrarch  was  also  in  correspondence  with  Lucas  de  Penna, 
a  highly  educated   South-Italian   jurist;  cf.  W.  L'llmann,    I'be 


Medieval  Idea  of  Law  as  Represented  by  Lucas  de  Penna,  London, 
i946,p.33,n.2o,  and  Maffei,  op.cit.,pp.<)^R.  He  had  some  vener- 
ation also  for  Cynus  of  Pistoia  (Savigny.vi.p.S^),  and  the  jurist 
Guglielmo  da  Pastrcngo  was  his  close  friend. 

*  Albericus  de  Rosate  (d.1354).  In  Digestum novum,  prooem., 
n.2o,\'enice,i585,f.5r,  says  unambiguously:  Allegat  etiam  haec 
scienlia  poetas.  See  also  on  Dig.,i,%,(>,^,f.(yi,  where  Albericus 
defends  (against  Accursius  and  the  Glossa  ordinaria  on  the  Ro- 
man Corpus)  the  thesis  that  when  the  law  is  deficient  and  a 
f>oetic  allegation  might  clarify  the  cause,  "authoritates  poeta- 
rum  et  philosophorum  . . .  possint  in  causis  allegari."  He 
himself  a«ually  alleged  Dante  quite  frequently,  both  the  De 
Monorchia  and  the  Divina  Commedia;  cf.  Bruno  Nardi  {Sel 
mondo  di  Dante,  Rome,i944,pp.  163-1 73  [reprinted  from  Studi 
danteschi,  xxvi,i942]),  who  has  colleaed  some  of  these  ref- 
erences to  Dante  as  a  legal  authority.  Lucas  de  Penna,  In  Tres 
IJbros,  prooem., Lyon, i544,fol.iva,  makes  a  similar  statement 
concerning  the  legal  references  to  poets,  and  adds:  "Ego  in 
illorum  sententiam  facillime  cedo  qui  non  credunt  sine  leaione 
auctorum  posse  hominem  fieri  literatum."  As  Albericus  cited 
Dante,  so  would  Lucas  de  Penna  cite  Petrarch;  see  on  Cod., 
io,i8,i,f.26va,  for  an  allegation  of  Famil.,y.n,i,  and  L'llmann, 
Imcos  de  Penna,  p.  5  3, n. 20,  for  other  references. 


267 


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268 


ERNST  H.  KANTOROWICZ 


It  is  not  intended  here  to  discuss  the  easily  demonstrable  influence  which  individual  laws 
of  the  Roman  Corpus  exercised  on  the  artistic  development  of  Italian  cities.  It  is,  for  example, 
noteworthy  that  the  laws  on  city  planning  issued  by  the  Emperor  Zeno  in  474,  and  confirmed 
by  Justinian  in  531,  found  their  way  into  the  statute  books  of  almost  all  Italian  communes  as 
early  as  the  second  half  of  the  thirteenth  century  and  occasionally,  for  instance  in  Pisa,  even 
by  the  middle  of  the  twelfth  (1164).'  Or  we  may  recall  that  the  laws  concerning  statues, 
images,  and  the  decoration  of  public  squares,  which  are  found  in  considerable  number  in  the 
law  books  of  Justinian,  had  some  effect  insofar  as  they  promoted  the  concept  of  a  profane 
art,  which  was  ars  pnblica,  in  juxtaposition  with  a  sacred  art,  which  was  ars  ecclesiastica.* 
Nor  should  we  forget  that  the  idea  of  an  equilibrium  of  arma  et  leges,  to  which  Justinian 
referred  in  the  proems  to  the  Institutes  and  the  Codex,  was  transformed  by  Renaissance  artists 
into  the  related  ideal  of  arma  et  litterae  and  was  reflected  by  emblematic  art  as  well  as  by 
literary  disputes,  e.g.,  between  Militia  et  Jurisprudentia  or  Ars  et  Afars.^  What  shall  be  ven- 
tured here  is  merely  to  demonstrate  that  certain  current  views  of  later  theoreticians  were 
foreshadowed  by  the  writings  of  the  jurists,  and  that  there  existed,  to  say  the  least,  some  strong 
analogies  between  the  poetico-artistic  theories  of  the  Renaissance  on  the  one  hand  and  the 
professional  doctrines  of  medieval  jurists  on  the  other. 

There  was,  in  the  first  place,  a  whole  cluster  of  interrelated  problems  which  vexed  the 
Renaissance  artists  and  poets  and  to  which  their  attention  was  drawn  over  and  over  again. 
Was  art  supposed  to  imitate  nature,  or  should  it  surpass  nature  and  proceed  beyond  imitation 
to  new  invention?  Was  there  fiction  involved,  and  how  did  fiction  refer  to  truth?  What  was 
the  relationship  between  art  and  inspiration,  ars  and  ingenium—z.  problem  nonexistent  so  long 
as  an  art  was  a  craft?  The  answers,  of  course,  were  never  uniform,  and  they  were  contra- 
dictory even  within  the  work  of  the  same  author.^  Those  various  opinions  shall  not  occupy 
us  here;  also,  the  struggle  about  the  supremacy  of  poetry  over  painting  or  vice  versa,  and  of 
painting  over  sculpture  or  vice  versa,  may  be  left  aside  at  this  time.'  On  the  other  hand,  the 
group  of  notions  such  as  ars,  imitatio,  natura,  inventio,  fictio,  Veritas  and  divine  inspiration  is 
important  because  it  is  associated  with  problems  which  can  be  traced  back  without  dif- 
ficulty to  the  medieval  jurisprudents. 

"Art  imitates  Nature,"  was,  of  course,  an  Aristotelian  maxim.  It  became  generally  known 
after  the  Physics  had  been  translated  some  time  before  1200,  and  the  likewise  relevant  Poetics, 


'  fro(/.,8,:o,i2-i3.  On  these  and  other  related  laws,  cf. 
Moritz  Voigt,  "Die  romischen  Baugesctzc,"  Sit^.  Ber.  Sdiht. 
Gesellschaft  der  Wisstnscbaften  ;;«  LeifK^ig,  Lv,i90},pp.i75-i98, 
esp.igoff. ;  for  the  revival  and  reinforcement  of  those  laws, 
see  Wolfgang  Braunfels,  Mittelalterlkhe  Stadlhaukimst  in  der 
Toskana,  Berlin,i953,pp.88,ii  i(Pisa),i  14.  See  also  Hcinrich 
Felix  Schmid,  "Das  Wcitcrlcben  und  die  >Xiederbclcbung  an- 
tiker  Institutionen  im  mittelalterlichen  Stadtcwesen,"^««a/;V; 
Storia  del Diritto,  i,i957,pp.85-i35. 

*  E.H.  Kantorowicz,  "Glosses  on  the  State  Portrait,"  Paper 
(not  yet  published)  read  at  the  Annual  Meeting  of  the  College 
Art  Association,  Pittsburgh,  Pa.,  January  26,1956.  Cf.  Karl 
Borinski,  Die  Antike  in  Poetik  und  Kmsttheorie,  Leipzig,i9i4,i, 
p.84,n.i,  and  p.  269  for  other  instances  of  legal  influence. 

»  E.H.  Kantorowicz,  "On  Transformations  of  ApoUine  Eth- 


ics," Cbarites:  Studien  r^ur  Altertumsnissenschaft,  ed.  Konrad 
Schauenburg,Bonn,i957,pp.265-274.  Jacobus  a  Bruck  (sccibid., 
p.274,n.45),  author  of  Umbkmata  politica,  Strasbourg  and  Co- 
logne, 161 8,  published  also  a  mirror  of  princes  bearing  the  em- 
blematic m\cArset  Mars,  Strasbourg,i6i6;  cf  Borinski,  op.cit., 
i,p.i9i,  and  his  study  "Ein  Brandenburgischer  Regentenspiegcl 
und  das  Fiirstenideal  vor  dcm  grosscn  Kriege,"  Studien  r^ur 
vergleicbenden  Literaturgesrbicbte,  v,i905,pp.i96-225, 323-329.  Sec 
also  Heinrich  Fichtenau,  Arenga,  Graz  and  Cologne, i957,p.i99 
(cf  pp.26ff.),  for  the  change  from  leges  et  arma  to  arma  et  litterae. 

•  Cf.  Rensselaer  W.  Lee,  "Ut  pictura  poesis:  The  Humanistic 
Theory  of  Painting,"  Art  Bulletin,  xxii,i94o,pp.i97-269,esp. 
204f.,  for  the  inconsistencies  within  the  theories. 

'  Sec  below,  notes  63^,  and,  in  general,  E.  Garin,  La  disputa 
delle  arti  nel Quattrocento,  Florence,  1948. 


THE    SOVEREIGNTY   OF   THE   ARTIST  269 

around  1250.  There  were,  however,  other  literary  channels  accessible  to  the  Middle  Ages 
through  which  knowledge  of  these  doctrines  could  have  been  transmitted  in|a  more  indirect 
fashion.8  One  of  those  channels,  which  was  quite  independent  of  the  normal  literary  cur- 
rents, was  Roman  law.  While  harking  back  to  early  Roman  jurists  of  the  first  and  second 
centuries,  Justinian's  Institutes  and  Digest  reproduced,  and  medieval  jurists  therefore  began  to 
interpret,  the  essence  of  the  Aristotelian  maxim."  To  be  sure,  in  the  legal  jargon  the  famous 
principle  did  not  refer  to  visual  arts  or  artistic  vocation  at  all,  but  referred  to  art  only  in  a 
very  special  sense,  far  removed  from  painting  and  sculpture.  It  was  quoted  for  a  rather  pro- 
saic and  sober  purpose,  that  is,  to  clarify  a  certain  point  of  the  law  of  adoption.  "It  is  the 
opinion  that  a  younger  person  cannot  adopt  an  older  one;  for  adoption  imitates  nature,  and 
it  would  be  monstrous  if  the  son  were  older  than  the  father."i»  That  is  to  say.  Jurisprudence, 
commonly  defined  as  an  art  {ius  est  ars  boni  et  aequi),^^  "imitated  nature"  just  as  every  other 
art  was  supposed  to  do,  and  imitated  it,  in  the  case  of  adoption,  by  means  of  an  artistic 
fiction:  though  blood  relationship  did  not  necessarily  exist,  an  older  person  was  yet  entitled 
to  recognize  a  younger  one  legally  as  his  son,  and  a  younger  one,  an  older  one  as  his  father. 
"Therefore,"  writes  Baldus  enlarging  on  Bartolus,  "fiction  imitates  nature,  and  for  that  reason 
fiction  can  take  place  only  where  truth  may  have  its  place." ^^  Baldus  derived  his  thesis  from 
Roman  law  exclusively.  But  an  author  of  the  Trecento,  such  as  Baldus  was,  could  hardly 
avoid  drifting  into  the  sphere  of  Aristotelian  influence  as  well,  nor  would  he  have  tried  to 
avoid  it;  and  thus  it  happened  that  Baldus  opined  on  another  occasion,  though  still  in  con- 
nection with  the  law  of  adoption,  that  "art  imitates  nature  so  far  as  it  can,"  and  then  added: 
"Notice  that  fiction  imitates  the  idea  of  nature  and  its  style  {naturae  rationem  atque  stjlum)."^^ 
Fiction,  in  that  whole  context,  had  not  the  slightest  derogatory  meaning.  It  was  as  little 
derogatory  as  Petrarch's  definition  of  the  "office  of  the  poet,"  which  was  said  to  "disclose 
and  glorify  the  truth  of  things  woven,  as  it  were,  into  a  decorous  cloud  of  fiction."  1*  Fiction 
was  rather  something  artfully  "created"  by  the  art  of  the  jurist;  it  was  an  achievement  to  his 
credit  because  fiction  made  manifest  certain  legal  consequences,  which  had  been  hidden  before 
or  which  by  nature  did  not  exist.  For  by  fiction  the  jurist  could  create  (so  to  say,  from  nothing) 


•  Physics,  ii,2,i94a2i,  is  of  course  decisive,  and  in  the  Poetics 
it  is  the  general  problem  of  mimesis  and  poiesis  which  is  relevant. 
The  Poetics,  however,  though  translated  in  the  thirteenth  cen- 
tury by  Hermann  the  German,  became  really  effective  in  the 
high  Renaissance  only;  see  Lee,  o/i.«7.,p.20i,n.23.  Horace  and 
Macrobius  were  influential;  cf.  Ernst  Robert  Curtius,  Huropai- 
sche  IJteratur  und  lateiniscbes  Mitlelalter,  Berne,i948,pp.442ff.  for 
Macrobius,  and  pp.524f.  for  the  long  history  of  Dante's  di  na- 
tura buona  scimia;  see  also  H.VC'.  Janson,  Apes  and  Ape  Lore  in 
the  Middle  Ages  and  the  Renaissance,  London,i952,pp.287ff. 

*  The  relevant  law  is  Dig.,i,j,i6.;  but  more  explicit  is  Inst., 
1,11,4  (sec  next  note). 

"/«//., 1, 11,14:  "Minorem  natu  non  posse  maiorem  adoptare 
placet:  adoptio  enim  naturam  imitatur  et  pro  monstro  est,  ut 
maior  sit  Alius  quam  pater." 

^^ Dig., 1, 1,1,  a  passage  naturally  discussed  hundreds  of  times. 
A  late  jurist,  Joannes  Oinotomus,  on  /«//., 1,1 1,4,  Venice,i643, 
p.45,  says  expressis  verbis:  "Adoptio  cnim  ceu  ars  imitatur  na- 
turam." 

"  Baldus,  on/^/g.,i7,2,3,n.2,  Venice, 1 5 86,f.i  20v :  "Fictio  ergo 
imitatur  naturam.  Ergo  Actio  habct  locum,  ubi  potest  habere 


locum  Veritas."  Bartolus,  on  the  same  law,  Venice,  1 5 67,f.  1 39. 

"  Baldus,  on  /J'/g.,i,7,i6,f.38v:  "Ars  naturam  imitatur  in- 
quantum  potest,"  with  the  additio:  "Nota  quod  Actio  naturae 
rationem  atque  stylum  imitatur." 

'•  The  definition  is  that  of  the  Privilegium  which  Petrarch  re- 
ceived at  his  Capitoline  coronation  (1341).  For  the  corrected 
text,  see  Konrad  Burdach,  X^om  Mitlelalter  ■y4r  Reformation,  11, 
part  i:  Rien^o  und  die  geistige  W'andlung  seiner  Zeit,  BerUn,i9i3- 
i928,p.509,n.2:  "Ignorant  autem  poctae  ofticium  ...  in  hoc 
esse:  veritatem  rei,  sub  amoenis  coloribus  absconditam  et  de- 
cora velut  figmentorum  umbra  contectam,  altisonis  celebratam 
carminibus  et  dulcis  eloquii  suavitate  respergat."  In  his  Ora- 
tion, which  he  delivered  on  the  Capitol,  Petrarch  repeated  al- 
most these  very  words  (sub  velamine  figmentorum)  and  gave  as 
his  source  Macrobius  (sub  poetici  nube  figmenti);  cf.  E.H.  Wil- 
kins,  "The  Coronation  of  Petrarch,". S/vew/x/w,  xvin,i943,p.i75; 
see  also  his  Studies  in  the  Life  and  Works  of  Petrarch,  Cambridge, 
Mass. , 195  5,pp.3o6f.,  for  an  English  translation  of  the  not 
easily  accessible  text.  That  the  Privilegium  was  inspired  by  Pe- 
trarch can  no  longer  be  doubted;  see  below,  n.6o. 


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ERNST   H.  KANTOROWICZ 


a  legal  person,  ^  persona  ficta—z  corporation,  for  example— and  endow  it  with  a  truth  and  a 
life  of  its  own ;  or  he  could  interpret  an  existing  body,  such  as  the  corpus  mysticum  of  the 
Church,  in  the  sense  of  a  fictitious  person,  and  gain  a  heuristic  element  by  means  of  which  he 
might  arrive  at  new  insights  into  administration,  property  rights,  and  other  conditions.  In 
that  sense  fiction  was  a  He  as  little  as  poetry  was  a  lie,  the  latter  a  current  assumption  deriving 
from  classical  antiquity  against  which  Petrarch  struggled  with  all  his  authority.'*  Therefore 
Aquinas  could  say  that  fiction,  far  from  being  a  lie,  might  on  the  contrary  be  zfigura  veritatis, 
because,  ran  his  argument,  otherwise  all  that  had  been  said  by  wise  and  holy  men  or  even  by 
the  Lord  Himself  would  be  held  to  be  mendacious. 1®  On  the  other  hand,  the  imitation  of 
nature  was  thought  to  be  praiseworthy  in  itself.  Consequently,  a  jurist  of  the  early  fourteenth 
century,  Oldradus  de  Ponte,  came  to  defend  alchemy  because  he  concluded:  "Since  art 
imitates  nature,  alchemists  do  not  seem  to  commit  a  sin."" 

A  more  serious  aspect  and  a  deeper  layer  of  the  problem  was  struck  by  Cynus  of  Pistoia, 
Dante's  friend  and  himself  a  poet.  For  Cynus  insisted  that,  in  general,  "civil  [i.e.,  legal]  acts 
have  to  imitate  nature,"  just  as  he  held  that  "law  {jus)  imitates  nature." i**  We  arrive  therewith 
at  a  very  broad  problem :  that  of  the  legislator  as  an  artist,  because  he  was  one  who  ^.v  officio 
imitated  nature.  The  major  premise,  of  course,  must  be  sought  in  the  assumption,  shared  by 
everyone  in  the  Middle  Ages,  that  there  existed  an  independent  Law  of  Nature.  On  that 
basis,  a  political  author  such  as  Aegidius  Romanus  could  build  up,  in  his  De  regimim  prin- 
cipiim,  almost  a  theory  of  royal  imitation  of  nature,  a  subject  touched  upon  already  by  Thomas 
Aquinas.is  To  him  the  act  of  legislating  appeared  as  an  art  imitating  nature  because  it  imitated 
the  law  of  nature.  The  art  of  the  legislator,  however,  though  determined  by  the  general 
natural  law,  has  to  "adinvent"  the  particulare  of  the  positive  law  ("lus  positivum  ...  est  per 
industriam  hominum  adinventum"),^"  that  is,  the  particular  application  of  the  general  law  of 
nature  to  a  limited  space  and  a  limited  time,  yet  in  such  a  fashion  that  the  particulare  still 
reflected  the  generale  of  the  law  of  nature.  In  other  words,  the  legislator  does  both  more  and 
less  than  "imitating  nature"  because  he  "adinvents."  Nevertheless,  the  general  rule  of  ars 
imitatrix  naturae  remains  valid  also  for  Aegidius  Romanus,  because  the  legislator's  work 
should  reflect  in  its  proportions  the  totality  of  nature.^i  It  was  plausible  that  the  legislator. 


"  The  whole  second  section  of  his  Oration  is  devoted  to 
the  subject  of  truth  in  poetry;  see  Wilkins,  Studies,  pp.joGf. 
For  the  classical  conception  of  the  mendacious  character  of 
poetry,  see  Borinski,  Poetik  imd  Kunsttheorie,  i.pp.iff. ;  also 
E.R.Curtius,  liuropdische  Literatur,  pp.21  i,n.i,222f.,40i. 

^' Summa  theologica,  ni,q.5  5,art.4,ad  i,  quoting  Augustine, 
Dt  qtmestionibus  Evangelistarum,  ii,c.5i  (Migne,  Patrol.lat., 
xxxv,col.i362). 

"Oldradus  de  Ponte,  Consilia,  Lxxiv.n. i, Venice, I57i,f29r; 
cf  xciv,n.8,f.}6rb:  "Sic  in  natura  videmus,  quani  ars  imitatur, 
ut  insti.  de  adopt.  §  minorcm." 

"Cynus,  on  Cod'.,7,37,3,n.5,Frankfurt,i578,f.446ra:  "Civiles 
actus  naturam  habcant  imitari."  Also,  on  Coi/., 2,5,io,n. 5, f.jir: 
"lus  naturam  imitatur,"  a  passage  repeated  verbatim  by  Angelus 
de  Ubaldis,  on  Z)/g., 1,7, 16, Venice, i58o,fi7v. 

"Aegidius  Romanus,  De  regimine  principum,  iii,2,cap.24, 
Romc,i5  56,f  307:  "lus  enim  positivum  per  artem  et  industriam 
hominum  adinventum  praesupponit  ius  naturale,  sicut  ea  quae 


sunt  artis  praesupponunt  quae  sunt  naturae."  On  the  work  of 
Aegidius,  see  the  brief  and  clear  analysis  by  VCilhelm  Berges, 
Die  Fiirstenspiegel  des  hohen  und  spdten  Mittelalters,  Stuttgart, 
i938,pp.2ii-228;  also  p. 32  for  Aquinas,  De  regimine  principum, 
i,c.i2  ("Ea  quae  sunt  secundum  artem,  imitantur  ca,  quae  sunt 
secundum  naturam"). 

">  Loc.cit.;  see  also  above,  n.19,  where  the  sentence  preceding 
the  one  quoted  stresses  once  more  the  "adinvention"  (f.3o6v): 
"[ius  positivum]  quia  semper  quae  sunt  per  artem  hominum 
adinventa,  fundantur  in  his  quae  tradita  sunt  a  natura." 

"  /W.,iii,2,cap.8,f  278r:  "Si  rex  . . .  vult  . . .  scire  desiderata 
quod  sit  cius  officium,  diligenter  considerare  debet  in  naturali- 
bus  rebus.  Nam  si  natura  tota  administratur  per  ipsum  Deum, 
qui  est  princeps  summus  et  rex  regum,  a  quo  rectissime  regitur 
uni versa  tota  natura:  quare  a  regimine  quod  videmus  in  natu- 
ralibus,  derivari  debet  regimen,  quod  trahendum  est  in  arte  de 
regimine  regum;  est  enim  ars  imitalrix  naturae." 


THE   SOVEREIGNTY   OF   THE   ARTIST  271 

commonly  idealized  as  the  "animate  law,"  by  his  act  of  re-creating  nature  (so  to  say)  within 
his  limited  orbit,  showed  some  resemblance  with  the  Divine  Creator  when  creating  the 
totality  of  nature.  He  was  therefore,  as  the  jurists  and  political  theoreticians  asserted  time  and 
time  again,  sicut  deus  in  terris.^^ 

It  IS  well  known  that  according  to  the  artistic  theories  of  the  high  Renaissance  the 
ingentum—^nm  or  poet— was  not  uncommonly  recognized  as  a  simile  of  the  creating  God, 
since  the  artist  himself  was  considered  a  "creator."  Ernst  Robert  Curtius,  who  devoted  the 
last  paragraph  of  his  learned  book  on  medieval  European  literature  to  this  problem,  came  to 
the  conclusion  that  the  concept  of  the  poeta  creator  did  not  antedate  the  eighteenth  century, 
when  it  began  to  make  its  appearance  sporadically,  and  he  quoted  as  an  example  Goethe's 
reflections  at  Strasbourg  in  1775.  This  is,  however,  a  date  which  is  far  too  late.  Cristoforo 
Landini  in  the  fifteenth  century  styled  the  poet,  Dante,  at  least  Tiprocreator  like  to  God.^^  The 
creator  metaphor  was  even  more  common  with  artists.  Professor  Panofsky  called  attention  to 
statements  of  Diirer  which  he  carefully  analyzed  and  in  which  Diirer  explained  that  the 
artist,  whom  he  likened  to  God,  had  the  power  to  "create,"  that  is,  create  "in  his  heart" 
something  that  had  never  been  in  anyone's  mind  before.^*  This  is  certainly  diametrically 
opposed  to  "imitation,"  because  Diirer's  dictum  expresses  the  consciousness  of  a  non- 
imitating,  therefore  original  or  creative,  power  in  the  heart  of  the  artist.  Panofsky,  of  course, 
was  well  aware  of  the  fact  that  in  the  later  Cinquecento  the  creator  metaphor  was  quite  often 
applied  to  artists,  and  that  the  preceding  generations  had  come  very  close  to  similar  concepts." 
They  should,  however,  not  be  confused  with  the  etymon  poesis,  poeta,  deriving  from  Greek 
noielv  and  only  by  mistake  occasionally  translated  with  "create."  This  was  not  the  meaning 
the  medieval  authorities  gave  to  poeta  and  poesis,  and  it  may  suffice  here  to  refer  to  Dante, 
who  in  a  famous  passage  of  De  vulgari  eloquentia  interpreted  poesis  as  fictio  rhetorica  musicaque 
composita,  thereby  vaguely  following  Huguccio  of  Pisa's  Magnae  derivationes.  This,  and  not 
"creator,"  was  also  the  meaning  which  Petrarch  and  Boccaccio  as  well  attributed  to  poeta,  and 
E.  R.  Curtius  had  good  reasons  for  reminding  his  readers  that  "the  poet  a  creator"  was  in 
fact  the  application,  not  of  a  classical,  but  of  a  Jewish-Christian  metaphor.^^ 

This  is  indisputably  correct;  but  when  one  tries  to  find  when  and  where  this  theological 
metaphor  was  originally  applied,  by  whom  and  to  whom,  one  will  have  to  inquire  in  the 
first  place  into  the  works  of  the  early  Decretalists  around  and  after  1200.  There  indeed  the 
metaphor  appears  characteristically  in  connection  with  the  then  relatively  new  papal  title  of 


"  There  is  hardly  one  civilian  who  would  fail  to  interpret 
the  position  of  the  princeps  in  similar  terms ;  cf.  Kantorowicz, 
The  King's  Two  Bodies,  Princeton, :957,p.92,n. 16,  for  the  sources; 
cf.  Otto  von  Gierke,  Das  deutsche  Cenossenschaftsrecht,  ^ct- 
lin,i88i,iii,pp.562f  ,nos.ii9-i22;alsoFichtenau,^rfng<j(above, 
n.5),p.i5o,n.8.  Porphyry,  I'ita  Plotini,  c.5,  mentions  a  (lost) 
tractate  by  Origen  having  the  title :  "The  King  the  Paramount 
Creator"  {on  ftovoi  noitjTtji  6  fiaatkev;). 

"  Curtius,  Liuropdische  Literatur,  pp.4o:fT.  For  Cristoforo 
Landini,  cf.  Edgar  Zilsel,  Die  Entslebung  des  Genitbegriffes,  Tii- 
bingen,i926,p.28:,n.i5i. 

"  Erwin  Panofsky,  Albrecht  Diirer,  3rd  ed.,  Princeton,  1948, 
i,pp.279ff. ;  see  also  his  "Artist,  Scientist,  Genius:  Notes  on 
the  Kcml%&aiio:.-V>iinmcTmig,"  Metropolitan  Museum  of  Art:  The 


Renaissance,  A  Symposium,  February  S-jo,jfj2,  New  York,i9j3, 
p.90. 

"  Panofsky,  "Artist,  Scientist,  Genius,"  p.90,  mentions, 
c.g.,theAnnotatorto  Leonardo  da  Vinci  of  ca.1550,  who  makes 
creatore  synonymous  with  Leonardo's  signore  e  Die;  cf.  Zilsel 
{op.cit.,}p.zii),  who  mentions  the  interesting  passage  from 
Francesco  de  Hollanda,  V'ier  Gesprdche  iiher  die  Maierei  gejiihrt 
~»  Rom  i;)S  (Quellenschriften  fiir  Kunstgeschichte,  new  se- 
ries,ix),  Vienna, i899,p.  116  (=  f  144V). 

••  See  Alfredo  Schiaftini,  "  'Poesis'  e  'Poeta'  in  Dante," 
Studia  philologica  et  litteraria  in  bonorem  L.  Spit~er,  ed.  A.G. 
Hatcher  and  K.L.Selig,  Bem,i958,pp.379-389,  esp.381  (for 
Petrarch  and  Boccaccio), 3 84  (Huguccio  of  Pisa);  see  also  Cur- 
tius, o/>.rt/.,p.i54. 


n    u 
u    u 


I    u 


n 


272 


ERNST   H.  KANTOROWICZ 


f 


w* »  " 


^i- 


Vkarius  Christi  or  Vicarius  Dei,  which  began  to  spread  during  the  twelfth  century  though  it 
had  been  used  sporadically  before.^'  Through  the  agency  of  certain  decretals  of  Pope  Inno- 
cent III,  who  availed  himself  very  frequently  of  that  title,  it  penetrated  into  canon  law  and 
was  consequently  interpreted  and  glossed  on  by  canon  lawyers.  Around  1220  the  canonist 
Tancred  glossed  on  the  words  dei  vicem  of  an  Innocentian  decretal  of  1198,  incorporated  in 
one  of  the  early  collections  of  papal  decretals,  the  so-called  Compilutio  III,  and  wrote: 

In  that  respect  [regarding  the  lands  of  the  churches]  he  [the  popej  acts  as  the  vice-gerent  of  God, 
because  he  is  seated  in  the  place  of  Jesus  Christ,  who  is  true  God  and  true  man  ....  Also,  he  makes 
something  out  of  nothing  like  God.  .  .  .  Also,  in  those  affairs  he  acts  in  the  place  of  God  because  he  has  the 
plenitude  of  power  in  matters  pertaining  to  the  Church ....  Also,  because  he  can  give  dispensation 
above  and  against  the  law  ....  Also,  because  from  justice  he  can  make  injustice  by  correcting  and 
changing  the  law ....  Nor  is  there  any  person  who  could  say  to  him :  Why  dost  thou  act  as  thou 
dost?  28 

This  remarkable  theory  concerning  the  pope,  who  de  nichilo  facit  aliqiiid  nt  Dens,  passed 
from  Tancred  to  Bernard  Botone  of  Parma  and  his  Glossa  ordimria  on  the  Liher  Extra  (ca-. 
1044),  that  is,  on  the  great  collection  of  papal  decrees  composed  by  Raymund  of  Penafort 
and  published  by  Pope  Gregory  ix  in  1234.  Following  Tancred,  the  glossator  said  de  nulla 
potest  aliqiudfacere,  repeating  also  most  of  the  other  arguments ;  but  at  the  same  time  he  added 
a  few  items  serving  to  illustrate  the  papal  plenitude  of  power:  the  pope's  initiative  is  derived 
from  divine  judgment,  and  he  can  change  the  nature  of  things  ("dicitur  habere  coeleste  arbi- 
trium...et  ideo  etiam  naturam  rerum  immutat").^'  Shortly  thereafter,  Hostiensis  cited  the 
doctrine  of  Tancred  and  the  Glossa  ordinaria  in  his  Sunima  aurea  (ca.  1250-125  3).  While  refer- 
ring to  Raymund  of  Pefiafort,  who  in  his  Sn/tima  de  casihns  (ca.  1 227-1 234)  had  jotted  down 
thirty-four  cases  of  prerogative  rights  reserved  to  the  pope  exclusively,  pouring  them  for 
mnemotechnic  reasons  into  verse,  Hostiensis  increased  their  number  to  sixty,  and  produced 
among  his  addimenta  the  line  "Ens  non  esse  facit,  non  ens  fore  ...."*'  That  is,  "He  [the  popeJ 


"  For  the  history  of  this  title,  sec  the  careful  monograph  by 
Michele  Maccarronc,  Vicarius  Christi:  Storia  dei  titolo  papale, 
Rome,i952,esp.pp.io9iT.  for  Innocent  in. 

"  The  gloss  of  Tancred  on  Compilatio  ///,i,5,;  (=  X  1,7,3), 
mentioned  by  Walter  Ullmann,  Medieval  Papalism,  London, 
I949.p.52.n.:,  was  rendered  more  completely  by  Gaines  Post 
in  his  review  of  Ullmann's  book  in  Speculum,  xxvi.igj  i,p.25o, 
and  by  Maccarrone,  op.cit. ,p.\zo,  while  the  full  text  has  been 
published  by  Brian  Tierney,  Foundations  of  the  Conciliar  Theory, 
Cambridge, 195 5, p.88,n.i,  from  the  Cambridge,  Gonvillc  and 
Caius  College  ms  17.  It  deviates  only  insignificantly,  except 
for  one  point,  from  the  text  in  the  Bamberg  MS  Can.  19,  f.  124V, 
of  which  Professor  Post  kindly  placed  a  copy  at  my  disposal : 

In  hoc  gerit  vicem  dei,  quia  sedit  in  loco  iesu  christi,  qui  est 
verus  deus  et  verus  homo,  ut  in  constit.  irmocentii  "firmiter 
credimus"  [Cow^ft. /i., 1,1,1,  =  X  i,i,i].  Item  de  nichilo  facit 
'  aliquid  ut  deus,  arg.iii.q.vi.  "hec  quippe"  [C.;,q.6,c.io],  et  C. 
de  rei  ux.act.i.  unica  in  prin.  [CW.,5,i3,i-ia].  Item,  in  hoc 
gerit  vicem  dei  quia  plenitudincm  potestatis  habet  in  rebus 
ecclcsiasticis,  ut.ii.q.vi  "decreto"  [C.2,q.6,c.i  i],  infra,  de  usu 
pallii.  c.ii.  [X  1,8,2].  Item,  quia  potest  dispensare  super  ius  et 
contra  ius,  ut  infra,  de  concess.  pre[bende  et  ecclesie]  non 
vacantis.  c.i.   (X   },8,i].   Item,  quia  de  iusticia  potest  facere 


iniusticiam  corrigendo  ius  et  mutando,  ut  in  constit.  domini 
Innocentii  in.  "ut  debitus"  [Comp.IV,  2,12,3  =  X  2,28,59],  e' 
c.  "non  debet"  [Comp.IV,  4,3,3  =  X  4,14,8].  Nee  est  qui  dicat 
ei,  cur  ita  facis  [De  penitencia  (C.33,q.3),D.3,  c.21  post]. 

In  Tierney's  transcription  from  the  Cambridge  MS  the  words 
ut  I^eus  in  the  second  clause  are  missing,  whereas  they  are 
found  in  the  Bamberg  MS  as  well  as  in  Cod.Vat.lat.1377,  which 
Maccarrone,  op.cit.,p.izo,  has  reproduced  (the  text,  unfortu- 
nately, is  marred  by  many  errors),  omitting,  however,  the 
next  to  the  last  clause. 

"  Clos.  ord.  on  X  1,7,3,  v.  "veri  Dei  vicem."  The  Gloss  on 
the  Liher  I-xtra  (abbreviated:  X)  is  quoted  here  according  to 
the  edition  of  Turin,  1588.  The  phrase  dicitur  habere  coeleste 
arbitrium  is  a  quotation  from  Cod.,i,\,\,\:  "...  motus  nostri, 
quem  ex  caelesti  arbitrio  sumpserimus." 

^  Hostiensis  (Henricus  de  Segusio),  Summa  aurea,  on  X  1,30 
{de  officio  legati,  §  "Quid  pertinet"),  Venice, i586,col. 519,  quotes 
Raymundus.  The  passage  referred  to  is,  as  Professor  Stephan 
Kuttner  kindly  informed  me,  Raymundus,  Summa  de  casibus, 
3,27  {de  differentiis  officiorum,  §2),  which,  however,  does  not 
contain  the  phrase  ex  nihilo  aliciuid  facit  or  its  equivalent.  Sec, 
for  Hostiensis,  also  Ullmann,  Medieval  J^apalism,pp.^i{. 


THE   SOVEREIGNTY   OF   THE   ARTIST  273 

makes  something  that  is,  not  be;  and  makes  something  that  is  not,  come  into  being."  Hos- 
tiensis thus  added  to  the  glosses  of  his  predecessors  also  the  opposite  and  perhaps  more  con- 
vincing papal  capability  of  bringing  something  existing  to  nought  (de  aliqno  facit  nihil),  which 
he  explained  by  quoting  the  prerogative  oi  mutare  etiam  naturam  rei?^  Non  ens  fore,  on  the 
other  hand,  he  explained  in  the  traditional  way:  id  est,  de  nihilo  aliqiiid  facit,  a  doctrine  which 
he  cited  once  more  in  his  Lectura?'^  At  the  end  of  the  century  Gulielmus  Durandus  (d.  1296) 
quoted  the  doctrine  in  his  Speculum  iiiris,  repeating  also  the  tenet  concerning  the  papal 
capability  of  "changing  the  nature  of  things. "^^ 

So  far  these  extraordinary  prerogatives  have  been  attributed  to  the  pope  alone.  In  the 
course  of  time,  however,  they  ceased  to  represent  a  papal  monopoly.  A  French  jurist  of  the 
fifteenth  century,  Guido  Papa  (d.  1487),  transferred  the  doctrine  de  nihilo  aliqiiid  facit  to 
the  secular  power,  to  the  emperor,  and  thereby  implicitly  to  kings  who  were  "emperors  within 
their  realms"  and  could  claim  the  plenitiido  potestatis  with  regard  to  their  regna?^  It  should  not 
remain  unmentioned,  however,  that  by  an  audacious  somersault  the  doctrine  was  applied 
also  to  the  person  from  whom,  no  less  audaciously,  it  had  been  derived— to  Christ.  Conrad  of 
Halberstadt,  a  chronographer  of  the  middle  of  the  fourteenth  century,  discussed  certain 
effects  proceeding  "a  Christo  pontifice  summo  tiprimopapa . . .  per  quem  de plenitiidine  potestatis 
omniz  facta  sunt  ex  nichilo."^^  By  thus  transferring  papal  authority,  and  canonistic  maxims 
defining  Tpvp'a\  plenitiido  potestatis,  to  Christ,  the  "first  pope,"^*  everything  seems  to  fall  again 
into  its  proper  place,  virtute  iuris  canonici.  Christ,  who  had  been  royal  or  imperial  during  the 
earUer  Middle  Ages,  was  papalized— also  iconographically— in  the  late  medieval  centuries, 
when  in  their  turn  the  secular  powers  appropriated  to  themselves  numerous  papal  preroga- 
tives. 

The  question  might  be  raised  whether  the  canon  lawyers  depended  upon  some  extra-legal 
sources.  The  answer  would  be  that  this  is  unlikely.  Peter  the  Lombard,  it  is  true,  advanced 
the  hypothesis  that  just  as  man  could  forgive  sins,  so  man  could  also  be  said  to  create;  but  he 
made  it  perfectly  clear  that  the  forgiving  of  sins  was  a  human  ministry,  that  in  fact  the  Lord 
operated  cum  servo  et  in  servo,  and  that  man  could  make  something  from  an  existing  matter 
only,  but  could  not  create  ex  nihilo.  And  Aquinas  bluntly  denied  that  the  creations  of  nature 
and  art  were  really  creative  acts,  holding  with  St.  xVugustine  that  none  but  God  was  a  creator, 
because  even  new  forms  introduced  by  nature  and  art  were  potentially  "concreated"  with  the 
materia-"  All  this  shows  merely  that  the  question  of  artistic  "creation"  was  alive,  but  that 
the  answers  to  it  were  in  the  negative.  The  problem  of  the  sources  of  the  jurists  finds  a  much 
simpler  and  more  straightforward  solution.  For  the  source  of  the  Decretalists  was  clearly  the 
Decretum  Gratiani,  that  is,  a  passage  from  St.  Ambrose's  De  mysteriis,  in  which  Ambrose 


"  See  n.29  for  the  Glos.  ord.  ("etiam  naturam  rerum  immu- 
tat").  For  mutare  naturam  rei  see  perhaps  Tancred  (n.28):  "de 
iusticia  potest  facere  iniusticiam  corrigendo  ius  et  mutando." 

"  Hostiensis,  Lectura,  on  X  1,7,3,  ^-  "'f*  primo"— a  reference 
gratefully  received  from  Professor  Kuttner. 

"  Durandus,  Speculum  iuris,  Lib.i,  pt.i  {De  legato,  ^"t^unc"), 
n. 42,  Venice,  1 602, 1, p.  50. 

"  Guido  Papa,  Consilia,  Lxv,n.9,Lyons,i544,f.86. 


••  K.  Wenck,  "Die  Chronographie  Konrads  von  Halber- 
stadt und  verwandte  Quellen,"  Forschungen  ~ur  deutschen  Gt- 
schicbte,  xx,i88o,p.298,  ad  annum  1353;  cf.  Ingeborg  Schnack, 
Richard  von  Cluny,  Berlin,i92i,p.i6i. 

"  For  the  important  problem  of  Cbristus  primus  papa,  see 
Schnack  {op. cit., pp. \'fi&.),  who  assumes,  probably  correctly, 
that  this  designation  does  not  antedate  the  twelfth  centur>'. 

"  Petrus   Lombardus,  Sentential,  iv,5,3,  also  11,1,3   ('^liKne, 


1 


~Wr^i<>^    ^.(KS/C^CCX   ^^rtj(Cn.a^'' 


XX  I 


CtSO^cU'^ 


■^^,^';:?i,^.Tu„«a«^i-« 


\  i    U      I    L 

U    U       I    J 


274  ERNST   H.  KANTOROWICZ 

discussed  the  Lord's  Words  of  Institution  which  effected  the  consecration  of  the  elements  or, 
in  the  language  of  the  twelfth  and  later  centuries,  eifected  the  transubstantiation.  "The  words 
of  Christ,  who  could  make  something  out  of  nothing,  can  they  not  change  things  that  are 
into  something  that  they  were  not  before?  For  it  is  no  less  [an  achievement]  to  give  to  things 
new  natures  than  to  change  them.''^"  We  have  to  recall  that  the  Decretalists  were  glossing  on 
the  words  veri  Dei  vicem.  Therefore  what  was  valid  for  Christ  was  claimed  to  be  valid  also  for 
the  vicarius  Christi.  The  logic  was  straightforward  and  massive,  and  the  frequent  allegation 
of  the  Ambrosian  passage  by  later  commentators  shows  how  remote  legal  thinking  was  from 
unwarranted  diffidence. 

What  was  the  meaning  of  that  surprising  claim  de  nihilo  jacit  [papa]  aliquid  sicut  Deus} 
Tancred,  the  canonist  who  to  our  knowledge  coined  the  phrase,  gave  a  brief  explanation.  The 
source  of  the  claim  is  the  vicariatus  Dei  or  Christi  by  which  the  pope  has  the  plenitndo  potes- 
tatis.^  What  the  pope  could  do  by  his  plenitude  of  power,  which  Tancred  still  restricted  cor- 
rectly to  the  government  of  the  Church,  was  to  give  dispensation  above  and  against  the  law, 
provided  that  his  action  did  not  violate  faith  and  divine  or  natural  law  (for  example,  he  could 
not  dissolve  a  consummated  marriage),'"'  and  he  could  create  new  law,  thereby  making  in- 
justice what  had  hitherto  been  justice.  The  allegations  of  Tancred  to  the  Decretum  Gratiani 
and  Justinian's  Code,  repeated  by  all  his  successors,  indicated  what  de  nihilo  facere  meant  in  the 
language  of  the  jurists.  A  number  of  Breton  bishops  had  been  deposed  (for  good  canonical 
reasons)  by  the  Bishop  of  Dol-de-Bretagne  who,  however,  was  not  the  competent  judge 
(in  this  case,  the  Archbishop  of  Tours).  Moreover,  the  deposed  bishops  had  been  replaced  by 
other  bishops,  whose  election  was  invalid  since  their  predecessors,  not  having  been  deposed 
by  the  competent  judge,  de  iure  still  held  their  offices.  The  pope  ordered  a  new  trial  before  the 
Archbishop  of  Tours,  but  without  either  reinstating  the  deposed  bishops  or  demoting  the 
newly  elected  ones :  ex  nihilo  (out  of  a  procedurally  invalid  removal  from  office) >«/  aliquid  (he 
recognized  an  invalid  election).  "A  judgment  which  was  none,  he  [the  pope]  makes  to  be 
one,"  says  the  ordinary  Gloss."  Similar  is  the  content  of  the  allegation  to  the  Code:  for  the 
purpose  of  reclaiming  a  dowry,  a  lawsuit  of  stipulation  was  granted,  even  though  a  stipulation 


Pair.  Z-3/.,cxcn,coIs.852,65i).  Thomas  Aquinas,  Summa  theo- 
logica,  i,q.xlv,art.8,i,  and  conclusio.  Sec  R.H.  Sainton,  "Man, 
God,  and  the  Church  in  the  Age  of  the  Renaissance,"  Metro- 
politan Museum  of  Art:  The  Renaissance,  A  Symposium,  New  York, 
195  3>PP-5  3.62a,  where  attention  is  called  to  these  passages,  from 
whose  interpretation,  however,  I  deviate. 

»•  De  conseiratione,  D.2,  c.69:  "Sermo  igitur  Christi,  qui  po- 
tuit  ex  nichilo  facere  quod  non  erat,  non  potest  ea,  quae  sunt,  in  id 
mutare,  quod  non  erant?  Non  enim  minus  est  dare,  quam  mu- 
tare,  novas  naturas  rebus.'"  The  passage  was  referred  to  by  Ber- 
nard of  Parma  in  Clos.  ord.  on  X  1,7,5,  and  by  others.  Tliere  is 
no  doubt  that  the  legal  arguments  and  the  combination  of 
"making  something  out  of  nothing"  and  "changing  the  na- 
ture of  things"  were  inspired  by  that  passage.  Vice  versa,  the 
Glos.  ord.  on  the  Decretum  (by  Joannes  Teutonicus,  ca.1215), 
Dt  cons.,  D.2,c.69,  v.  "minus,"  promptly  brings  the  allegation 
to  Cod.,  5,15,1-ia  (below,  n.42),  the  paramount  evidence  for 
de  nihilo  facere  aliquid  ever  since  Tancred. 

"  The  papal  plenitudn  potestatis  as  a  hierocratic  password  is 
likewise  of  a  relatively  recent  date;  according  to  Tiemey,  Con- 


ciliar  Theory,  pp.i4iff,,  it  came  into  general  usage  in  the  works 
of  the  Decretists  around  1200  only;  a  similar  date  is  suggested 
by  Friedrich  Kempf,  S.J.,  Papsttum  und  Kaisertum  hei  Innocen^ 
III.,  Romc,i954,pp.296fT.;  and  G.B.Ladner,  "The  Concepts  of 
'Ecclesia'  and  'Christianitas'  and  their  Relation  to  the  Idea  of 
'Plcnitudo  potestatis'  from  Gregory  vii  to  Boniface  viii,"  in 
Sacerdo^io  e  Regno  da  Gregorio  rii  a  Bonifacio  riii,  Rome,i954, 
pp.6}ff.,  demonstrates  convincingly  how  the  concept  of  ple- 
nitudo  potestatis  was  developed,  not  before  the  twelfth  century, 
from  that  of  full  Icgatine  powers.  See  also  Alfred  Hof,  "Pleni- 
tudo  potestatis  und  Imitalio  imperii  zur  Zcit  Innocenz'  iii,"  Zs. 
f.Kircii.Gescb.,  lxvi,  1954-55, pp.}9-7i. 

"Tiemey,  o/).r/7.,p.89,n.5,  also  brings  out  in  full  relief  the 
hypertrophies  and  exaggerations  of  Innocent  iv's  hierocratic 
views  on  this  point. 

«•  The  allegation  is  (:.3,q.6,c.io;  the  analogy  is  slightly  cla- 
rified (as  Professor  Kuttner  pointed  out  to  me)  by  the  Casus  in 
the  Glos.  ord.  to  the  Decretum,  which  in  its  turn  leads  Bernard 
of  Parma,  Glos.ord.  on  X  1,7,3,  v.  "veri  Dei  vicem,"  to  explain: 
"et  scntentiam  que  nulla  est,  facit  aliquam." 


THE    SOVEREIGNTY   OF   THE    ARTIST  275 

had  never  been  made— hence  a  creatio  ex  nihilo.*^  The  Glossa  ordinaria  on  the  Liher  Extra 
seemed  to  presuppose  that  the  meaning  would  be  self-explanatory,  and  offered  no  further 
commentary;  but  a  marginal  gloss  was  later  added  by  the  Roman  correctors  of  the  Decretales, 
in  which  they  complained  that  vix  aliquid  explicat  {glossa]  propriis  verbis,  and  therefore  pointed 
out :  "To  make  something  out  of  nothing  is  to  found  new  law  {est  ius  novum  condere)"  that  is, 
to  legislate."  Hostiensis  gave  no  further  explanation  either,  but  repeated  from  the  ordinary 
Gloss  the  words  saying  that  the  pope  could  also  change  the  nature  of  things,  a  sentence  to 
which  the  marginal  gloss  remarked  that  it  referred  to  positive  law  only,  since  the  pope  could 
not  override  divine  or  natural  law."  This,  in  his  turn,  Durandus  illustrated  by  referring  also, 
though  only  indirectly,  to  the  Dictatus  papae  of  Gregory  vii :  "He  can  make  an  illegitimate 
legitimate,  and  can  make  a  monk  a  canon,  et  huiiismodi."*^  Guido  Papa  finally  explained:  "He 
[the  emperor]  can  [legally]  vivify  a  dead  person  and  give  dispensation  beyond  the  law."^« 
In  other  words,  the  papal-imperial,  and  probably  also  royal,  power  of  "making  something 
out  of  nothing"  was  restricted  to  certain  technicalities  of  the  law  as  well  as  to  legislation  at 
large. 

While  this  simple  and  prosaic  explanation  of  a  seemingly  bewildering  claim  may  be 
disappointing  at  first  sight  and  appear  to  lead  us  nowhere,  the  concept  at  issue  is  yet  inter- 
esting enough.  The  ideal  legislator  as  visualized  by  the  jurists  not  only  became  an  imitator  of 
nature  by  applying  the  law  of  nature  to  the  particular  circumstances  of  his  realm,  but  he  was 
also  the  only  person  who  could  make  new  laws  according  to  the  necessities  of  a  changing  time 
and  thereby  "make  something  out  of  nothing."  This,  of  course,  was  an  anxiously  guarded 
prerogative  of  the  sovereign.  In  the  Dictatus  papae  Pope  Gregory  vii  monopolized  for  the 
Roman  pontiff  exclusively  the  right  pro  temporis  necessitate  novas  leges  condere,"  whereas  the 
most  efficient  pupil  of  the  popes,  the  Emperor  Frederick  11,  proclaimed  in  his  Liber  augustalis 
that  it  was  a  principal  duty  of  the  dignitas  imperialis  excellentiae  to  produce  new  laws  as  time  and 
circumstances  demanded  ("iuxta  novorum  temporum  qualitatem  de  nostro  gremio  nova  iura 
producimus").^«  Moreover,  the  legislator,  when  handling  his  art,  the  ars  aequi  et  boni,  was 


"  Co(/.,5,i3,i-ia.  The  principle  involved  is  discussed  by 
Andreas  of  Isemia,  In  ustis  feudorum,  on  Feud.11,^0  ("De  capitulis 
Corradi"),  n.29,Naples,i57i,fol.202va,  but  without  mentioning 
the  maxim  de  nihilo  etc.  Sec  above,  n.38. 

*'  The  marginal  gloss  added  to  gl.  "veri  Dei  vicem"  on  X  i, 
7,3,  stresses  throughout  the  legislating  capacity:  "nam  de  ni- 
hilo aliquid  facere  est  ius  novum  condere;  et  de  iniusticia 
iusticiam  [sic;  cf.  above,  n.31:  de  iusticia  iniusticiam]  intellige 
per  constitutioncm  iuris;  et  immutare  substantiam  rerum  ac- 
cipi  debet  in  his  que  sunt  iuris  positivi."  The  liturgical  connec- 
tion (indicated  in  n.38)  has  been  ignored. 

"  Hostiensis,  loc.cit.  (above,  n.30):  "de  aliquo  facit  nihil, 
mutando  ctiam  naturam  rei." 

"  Durandus,  /or.aV. (above,  n.33):  "De  aliquo  facit  nihil  mu- 
tando etiam  rei  naturam ....  Immutat  ergo  substantialem  rei 
naturam,  puta  faciendo  de  illegitimo  legitimum:  ut  extra, 
qui  fill  sint  leg.  per  vencrabilcm  [X  4,17,13],  et  de  monacho 
canonicum:  ut  74.dis.quorundam  [D.74,c.6].  Et  de  monacho 
non  monachum  et  de  capaci  non  capacem  et  huiusmodi . . . .  De 
nihilo  aliquid  facit.  ..."  Cf.  Dictatus  pape,  §7:  "Quod  illi  soli 
licet  . . .  de  canonica  abbatiam  facere  et  e  contra  .  . . ."  Das  Re- 


gister Gregors  yit.,  ed.  Erich  Caspar,  Berlin,i920,p.203(/J«'^.,ii, 
55a).  The  problem  concerning  the  change  of  the  nature  of  a 
monk  was  discussed  quite  frequently.  Tancred  (see  Tiemey,  op. 
cit.,  p.90,n.  5)  denies  that  the  papal  plenitude  potestatis  may  allow  a 
monk  to  own  property,  "sed  de  monacho  potest  facere  non 
monachum."  Innocent  iv,  however,  claimed  that  poverty  and 
celibacy  ot  the  monk  were  matters  of  positive  law  only  and 
therefore  the  pope  had  dispensatory  authority;  he  states  quite 
cynically:  ".\lonachus  autcm  nihil  est  quam  solitarius  tristis 
[C.i6,q.i,c.8]  ...  ex  hoc  patct  quod  papa  potest  dispensare 
cum  monacho  quod  habet  proprium  vel  coniugem." 

"  Guido  Papa,  loc.cit.  (above, n.  54) :  "dicitur  [imperator]  quoad 
temporalia  deus  in  terris.  Potest  enim  de  nihilo  aliquid  facere  et 
mortuum  viviticare  et  super  ius  dispensare. ..." 

*'  Dictatus  pape,  §7  (above,n.45).  Cf.  Cod.,  1,14,12,5:  "leges 
condere  soli  imperatori  concessum  est.  . . ." 

*"  Liber  augustalis,  1,38,  Constitutionum  Regni  Siciliarum  libri  111, 
Naples, 1775, p.85.  To  this  passage  the  later  commentator  Mat- 
thaeus  de  Afflictis,  In  utriusque  Siciliae  .  . .  Constitutiones,  N'enice, 
I562,i,f.i55rb,  remarks:  "Non  autcm  ex  hoc  dicitur  quod  ius 
est  variabile :  sic  etiam  Deus  mutavit  multa  ex  temporum  dis- 


/  /    u 

u   u 


276  ERNST   H.  KANTOROWICZ 

able  to  produce  something  new  because  he  was  divinely  inspired  ^.v  officio.  This  clue  was 
borrowed  from  Roman  law  in  which  Justinian  claimed  to  take  his  motive  power  ex  caelesti 
arhitrio}^  Divine  inspiration,  of  course,  was  appropriated  to  himself  by  Frederick  11  in  his 
Liber  aiigustalis,  in  which  he  repeatedly  cited  the  words  of  Justinian,«>  and  as  a  matter  of  rou- 
tine it  was  attributed  to  kings  and  sovereigns  who  had  become  emperor-like  within  their 
territories."  Above  all,  however,  the  divine  inspiration  in  accordance  with  the  law  of  Jus- 
tinian was  arrogated  to  himself  by  the  pope,*^  the  vems  iniperator,  who  was  the  vice-gerent  not 
only  of  Christ  the  High  Priest,  but  also  of  Christ  the  King;  and  it  was  in  the  papal  vicariate  of 
the  royal  Christ  that  an  early  canonist,  Silvester  Hispanus,  found  the  reason  why  attributes 
and  privileges  of  the  emperor  could  be  passed  freely  to  the  pope.s"  This  transfer  of  claims 
from  one  dignitary  to  another  seems  to  have  been  also  an  important  ingredient  of  that  mysteri- 
ous power  immutandi  ream  naturam-.iottht  Glossa  ordinaria  to  the  Decretals  defined  this  power 
as  the  ability  "of  applying  the  substance  of  one  thing  to  another  thing  {substantialia  mius  rei 
applicando  alii)."^*' 

In  fact,  that  procedure  of  transferring  something  from  one  orbit  to  another  formed,  we 
may  say,  the  essence  of  the  art  of  the  jurists,  who  themselves  called  this  technique  aeqiii- 
paratio,  the  action  of  placing  on  equal  terms  two  or  more  subjects  which  at  first  appeared  to 
have  nothing  to  do  with  each  other.  For  example,  the  Church,  a  city,  and  a  maniac  were 
technically  on  equal  terms  as  "minors"  because  none  of  them  could  handle  his,  or  its,  own 
affairs,  and  therefore  all  three  were  in  need  of  a  guardian."  That  method  of  "equiparation," 
however,  which  was  not  restricted  to  jurisprudence,  can  help  us  to  understand  in  what 
respects  the  theories  of  the  jurists  might  appear  to  have  been  relevant  to  the  later  artistic 
theories.  The  legislator  takes  his  impulses  from  divine  inspiration,  and  he  creates  certain  judg- 
ments and  technicalities  out  of  nothing,  but  he  does  all  that  ex  officio,  just  as  he  imitates  nature 
Hkewise  by  virtue  of  his  office,  and  not  as  an  individual  poetic  or  artistic  genius.  The  equi- 
paration, however,  of  poet  and  emperor  or  king -that  is,  of  the  poet  and  the  highest  office 
representing  sovereignty -began  as  early  as  Dante.  When  Dante  sadly  praised  Apollo's  laurel, 
of  which  in  his  days  "so  rarely  frond  was  gathered  for  the  triumph  of  either  a  Caesar  or  a 
poet  {per  trionfare  0  Cesare  0  poetd)r  he  actually  "equiparated"  Caesar  and  poet  by  means  of  a 
tertiim,  the  crown  of  laurel,s«  transforming  a  fine  of  Statius:  "The  twin  laurels  of  poet  and 
warrior  flourish  in  rivalry.""  j^  other  words,  by  means  of  the  "Peneian  frond"  Caesar  and 


positione,"  with  allegation  of  X  4.14,8:  "quoniam  ipse  Deus 
ex  his,  quae  in  veteri  testamento  statuerat,  nonnulia  mutavit  in 
novo,"  a  canon  of  Innocent  iii,  issued  at  the  Lateran  Council  of 
1215  (c.50). 

"  See  above,  n.29.  For  the  illumination  and  divine  inspira- 
tion of  the  ruler  see  the  remarks  of  Fichtenau,  Arenga,  p.  77, 
n.70.  The  inspiration  attributed  to  the  prince  by  the  Civilians 
is  similar  to,  but  not  quite  identical  with,  the  earlier  medieval 
illumination  by  the  Holy  Spirit;  see  Kantorowicz,  The  King's 
Tr>o  Bodies,  pp.ii4ff, 

'»  Lii>er  atigustalis,  1,6  and  22,pp.i7,54. 

"  See,  e.g.,  Matthacus  de  Afflictis  (above,n.48),  on  i,6,n.6,  f. 
49V :  "quod  rex  huius  rcgni  [Siciliae]  habet  arbitrium  puniendi 
delicta  a  summo  Deo  omnipotenti,  subaudi  mcdiante  eius 
vicario." 


"  Glos.  ord.  on  X  1,7,5,  v.  "veri  Dei  vicem":  "unde  dicitur 
habere  caeleste  arbitrium."  See  above,  n.29. 

"  Maccarrone,  X'icarius  Christi,  p.  119. 

"  Glos.  ord.  on  X  1,7,3:  "ct  ideo  etiam  naturam  rerum  im- 
mutat,  substantialia  unius  rei  applicando  alii,  argumen.  C. 
communia  dc  leg.  1.2  {Cod.,  6,43,2]." 

"  ^'k- .4.6, 2 2, 2:  "Quod  edictum  etiam  ad  furiosos  et  in- 
fantes et  civitates  pcrtinerc  Labeo  ait."  The  Church  eventually 
was  treated  as  a  miversitas  or  a  civitas;  see  Kantorowicz,  The 
King's  Tao  Bodies,  pp.374f. 

"  Parad.,  i,28fl. 

"  StAtius,  AM/Ieid,  i,i5f.:  ".  . .  cui  geminae  florent  vatumque 
ducumque  /  Certatim  laurus."  Cf.  E.H.  Wilkins,  "Coronation 
of  Petrarch,"  pp.i6iff.,i76. 


THE    SOVEREIGNTY   OF   THE   ARTIST  277 

poet  appeared  to  Dante  potentially  on  one  level,  since  only  "the  highest  political  and  the 
highest  intellectual  principates"  could  be  decorated  at  all  with  the  laurel.^s  The  coronation  of 
Petrarch  in  1341  made  this  equiparation  manifest.  Wrapped  in  the  royal  purple  of  King 
Robert  of  Naples,  which  had  been  given  to  him  for  that  purpose  (regia  vestis  circumfHsa  me 
tegebat\^^  Petrarch  received  the  crown  of  laurel  on  the  Roman  Capitol  and  thereby  demon- 
strated to  the  world  of  learning  and  art  universally  to  what  extent  indeed  king  and  poet 
ruoy^di  pari  passu.  Moreover,  in  the  diploma  or  Privilegium  which  the  Roman  senator  handed 
over  to  Petrarch  at  the  coronation  ceremony  and  which  was,  to  say  the  least,  inspired  by 
Petrarch  himself,**  we  find  the  notion  officium  poefae,  a  notion  repeated  several  times  by 
Petrarch  and  defined  as  the  disclosure  of  truth  woven  into  a  decorous  cloud  of  fiction.*^  Here 
then  poetical  art  itself  was  presented  as  an  "office,"  the  officium  poetae.  Finally,  there  occurs, 
thrice  repeated  in  the  Privilegium  and  eight  times  repeated  in  Petrarch's  Oratio,  the  com- 
bination of  "Caesars  and  poets,"  to  which  Petrarch  in  other  writings  referred  at  least  six 
times,  expressing  the  idea  that  the  glory  of  Caesars  and  of  poets  justified  the  award  of  the 
wreath  of  laurel  because  the  eternal  verdure  was  earned  tam  bello  quam  itigenio,  "by  both  war 
and  ingenium."«2  Clearly  expressed  on  that  occasion  also  was  the  related  idea  that  immortality 
was  won  both  by  great  exploits  and  the  poet's  song.s^  It  was  quite  obviously  at  this  point,  or 
even  with  Dante's  equiparation  of  Caesars  and  poets,  that  the  ideal  of  arma  et  litterae  began 
to  supersede  that  of  arma  et  leges,  familiar  to  Justinian  and  current  in  the  circles  of  jurists.** 
With  Petrarch's  Capitoline  crowning  ceremony  the  equiparation  of  prince  and  poet 
ceased  to  be  a  mere  metaphor:  its  quasi  reality  had  been  demonstrated  ad  oculos,  if  in  a  slightly 
theatrical  and  stage-like  fashion.  Nor  did  the  equiparation  stop  at  this  point.  On  the  basis  of 
fame,  or  its  fickleness,  already  Dante  had  treated  painters  and  poets  on  equal  terms.«5  And 
Petrarch,  in  good  classical  fashion,  styled  Homer  a  \)'X\mcv,  primo  pittor  delle  memorie  antiche.^^ 
It  was  finally  Horace's  Ars  poetica  which  extended  the  new  and  quasi-sovereign  status  of  the 
poet  to  the  painter;  for  the  Horatian  metaphor  ut  pictura  poesis,  or  rather  its  inversion  /// 
poesis  pictura,  became  the  passkey  which  eventually  opened  the  latches  to  the  doors  of  every 
art— first  to  that  of  the  painter,  then  to  the  arts  of  the  sculptor  and  the  architect  as  well.  They 
all  became  liberal  artists,  divinely  inspired  like  the  poet,  while  their  crafts  appeared  no  less 
"philosophical"  or  even  "prophetical"  than  poetry  itself.«"  It  was  a  cascading  of  capacities, 
beginning  from  the  abilities  and  prerogatives  conceded  ex  officio  to  the  incumbent  of  the  sover- 
eign office  of  legislator,  spritual  or  secular,  to  the  individual  and  purely  human  abilities  and 
prerogatives  which  the  poet,  and  eventually  the  artist  at  large,  enjoyed  ex  ingenio. 


"  Burdach,  \'om  MiUtlalter  ^ur  Rtformation,  ii,pt.i,p.505. 

"  VCilkins,  "Coronation  of  Petrarch,"  p.  182. 

•"  Cf  Burdach,  o/).<-/'/.,pp.5o8f.;  Wilkins,  op.dt.,p.\iy. 

"  Burdach,  op.cif., p. ^og,n.2;  see  above,  n.14. 

"VCilkins,  o/).«/. ,pp. 1 76, 1 79 ;  see  p. 187  for  the  Oratin  and 
the  Privilegium,  which  both  use  the  phrase  tam  hello  quam  in- 
genio; also  pp.  1 76, 1 86. 

•'  Burdach,  op.dt.,p.^o%. 

**  Sec  above,  n.5. 

"  Purg.,  xi,79tT. :  the  miniaturists  Oderisi  and  Franco  Bo- 
lognese,  the  painters  Cimabue  and  Giotto,  and  the  poets  Guit- 
tone  d'Arezzo  and  Guido  Cavalcanti  represent  three  pairs  of 
artists  symbolizing  the  vanity  of  fame,  the  fame  of  the  earlier 


one  being  always  eclipsed  by  that  of  the  later  one— an  early 
parallelism  of  miniaturist,  painter,  and  poet  to  which  Professor 
Panofsky  called  my  attention. 

•«  Trionfo  della  Fama,  111,15 ;  Borinski,  Poetik  und  Kunsttbeorie, 
I, p. 184. 

"Borinski,  o/>.f/V.,i,pp.i85ff.;  Rensselaer  W.  Lee,  "Ut  pic- 
tura poesis,"  pp.i99fF.  and  n.14,  reproducing  the  famous  pas- 
sage from  Cennini,  who  coupled  painting  and  poetry  on 
grounds  of  imaginative  freedom.  Sec  also  Lorenzo  \'alla,  who 
in  Elegantiae,  Basel,! 571, praefatio,p.ii,  called  the  fine  arts  illae 
artes,  quae  proxime  ad  liberales  acceduni,  a  passage  which  Professor 
Panofsky  kindly  called  to  my  memory. 


I 


n    u 
u    u      I 


i 


278  ERNST   H.   KANTOROWICZ 

If  the  general  line  drawn  here  and  leading  from  the  legislator  and  his  plenitudo  potestatis  to 
the  poet  and  further  to  the  artist,  be  recognized  as  valid  at  all,  there  might  be  yet  another  item 
worth  mentioning.  The  many-sidedness  or  all-sidedness  of  the  artist  as  uomo  universale,  so 
characteristic  of  the  Renaissance,  will  correctly  be  traced  back  to  Vitruvius,  who  demanded 
that  the  architect  be  literate,  able  to  draw,  educated  in  geometry^  optics,  arithmetic,  that  he 
know  history,  philosophy,  music,  and  that  he  have  some  knowledge  of  medicine,  jurispru- 
dence, and  astrology. ««  The  same  list,  replacing  only  jurisprudence  by  perspective  {pro- 
spectiva),  was  considered  essential  by  Ghiberti  for  the  painter  and  the  sculptor:  "Conviene 
che  'Ho  scultore  etiamdio  el  pictore  sia  amaestrato  in  tutte  queste  arti  liberali."""  But  quite 
mdependently  of  Vitruvius,  the  jurists  demanded  the  same  kind  of  universalism  for  their 
trade:  "Legal  science,"  wrote  Albericus  de  Rosate  in  the  fourteenth  century,  "is  commendable 
because  it  is  more  universal  than  other  sciences;  for  other  branches  of  knowledge  deal  with 
something  particular;  that  one,  however,  deals  with  almost  all  sciences  and  especially  with  the 
liberal  ones."  And  he  enumerates  grammar,  dialectic,  logic,  rhetoric,  arithmetic,  geometry, 
mathematics,  music,  astrology,  moral  philosophy,  medicine,  and  literature,  showing  in  each 
case  why  this  or  that  art  was  relevant  to  jurisprudence.""  We  notice  that  the  ideal  of  mastering 
a  universal  complex  of  disciplines  was  something  belonging  to  the  encyclopedic  ideal  of  the 
thirteenth  century  which,  by  transference,  was  then  applied  also  to  the  artists-thus  interi- 
orizing,  as  it  were,  the  universalism  of  the  two  universal  powers.  Or  when  Petrarch,  in  con- 
nection with  the  poetical  examination  preceding  his  coronation,  wrote  about  "rex  Siculus 
quem  e  cunctis  mortalibus,  equiore  animo,  ingenii  iudicem  pati  possum,"  did  he  not  imply 
that,  with  the  exception  of  his  royal  friend  ("ilium  summum  et  regem  et  philosophum  Rober- 
tum"),  no  mortal  could  judge  Petrarch's  ingemim?'^  And  should  we  not  think  of  that  maxim 
encompassing  the  ver>'  essence  of  sovereignty,  that  privilege  claimed  by  the  pope,  and  soon 
also  by  the  royal  power,  who  insisted  that  the  sovereign  could  judge  all,  but  be  judged  by 
none?'2  Qante  had  certainly  usurped  the  sovereign  power  of  judging  all  men,  just  as  Petrarch 
could  not  suffer  to  be  judged  by  any  mortal  save  his  royal  friend.  Here  the  Pauline  device 
(i  Cor.  2,  15),  "Spiritualis  autem  iudicat  omnia  et  ipse  a  nemine  iudicatur,"  monopolized  by 


"  Zilscl,  Gemebegriff,  pp.26off.,  sounds  a  vcr>'  necessan- 
warning  against  overestimating  the  ideal  of  the  uomo  universale 
in  the  Renaissance;  sec  also  Sainton  (above,  n.57),  p. 5 5.  The 
ideal  of  X'itruvius,  De  architectura,  1,1,  however,  had  a  lasting 
influence  on  Renaissance  theories  of  art. 

••  Ghiberti,  /  Commentarii,  ed.  Julius  von  Schlosser,  Berlin, 
I9i2,i,p.4;  cf.pp.12f.;  Ghiberti  himself  (i,p.i6  =  I,c.i8)  says 
about  Lysippus:  "Questo  Lisyppo  fu  doctissimo  in  tutta  I'arte 
et  universale."  And  the  same  polymathv  was  expected  in  the 
sixteenth  century  by  Francesco  de  HolJanda,  Vier  Gesprdche, 
p.Lx.xx:  the  painter  is  required  to  know  the  Latin  authors,  the- 
Greek  ones  at  least  in  translation,  natural  philosophy,  theology 
(including  knowledge  of  the  Bible  and  hagiography),  historj-, 
poetics,  music,  cosmography,  astronomy,  mathematics,  physiog- 
nomies, and  anatomv. 

'"Albericus  de  Rosate,  In  Dig.  novum,  prooem.,nos.i6ff., 
fols.2v-3r,  begins  by  "equiparating"  jurisprudence  with  theol- 
ogy: "Nee  dicat  quis  me  hanc  legalem  scicntiam  ultra  debitum 

subhmare,  eam  acquiparando  sacrae  scripturae luris  pru- 

dentia  est  divinarum  et  humanarum  rcrum  notitia  [D;]?., 1,1, 10, 


2;  /«//.,!, I, t],  non  ergo  incongrue  assimilatur  scripturae  di- 
vinae.  Ex  his  etiam  commendabilis  est  hacc  Icgalis  scientia 
quia  universalior  est  aliis  scientiis.  Aliae  enim  scientiae  de 
ahquo  particular!  tractant;  haec  autem  quasi  de  omnibus  scien- 
tiis et  maxime  libcralibus  tractat."  He  then  demonstrates  why 
all  the  disciplines  are  needed  for,  and  how  thev  come  into  the 
compass  of,  jurisprudence,  which  thus  emerges'as  a  secularized 
theology. 

"  Hp.famiL,  iv,4,  ed.  Fracassetti.  i,p.2n,  and  "Fpistola  ad 
posteros,"  in  Pro,e,<,A.  Martellotti.  p.,4;  cf.  \X  ilkins,  "Coro- 
nation of  Petrarch,"  pp.i8of 

"  For  the  weird  history  of  that  axiomatic  notion,  see  Alben 
Michael  Koenigcr,  "Prima  sedes  a  nemine  iudicatur,"  Beitrage 
Zur  Ceschtckte  des  christlichen  Allertums  mdder  by-antinischen  Litera- 
tur:  Festgahe  far  Albert  hhrbard,  Bonn  and  Leipzig,, 922  pp  275- 
300;  for  Boniface  vm,  who  quoted  the  maxim  in  his  bull  Unam 
sanctam  (cf  Lxtravagantes  commun.,  1,8,1),  see  Burdach  op  cit 
pp.5  38ff;  and  for  the  transfer  of  the  maxim  to  the  royal' power' 
see  my  article  ".Mysteries  of  State."  Hanard  Theological  RevieJ 
XLviii,i95  5,pp.75f. 


THE    SOVEREIGNTY   OF   THE   ARTIST 


279 


the  Holy  See  {Sancta  sedes  iudicat  omnia)  and  forming  later  on  a  prerogative  of  the  incumbent 
of  the  sovereign  office  at  large,  has  reverted  again  to  its  original  meaning:  the  spiritual  man 
in  general,  the  true  pneumatikos,  who  was  filled  with  the  Spirit,  could  be  judged  by  none 
because  he  was  sovereign  as  a  vessel  of  the  Spirit.  The  Spirit  {pneuma\  it  is  true,  was  secu- 
larized when  the  ingenium  claimed  to  be  above  and  beyond  judgment;  but  the  inspiration  from 
on  high  was  there  none  the  less.  Again,  we  notice  that  a  legal  prerogative  due  to  the  sovereign 
^-.v  officio  has  been  passed  on  to  the  true  Renaissance  sovereigns,  the  artists  and  poets,  who 
ruled  ^.v  ingeniop  And  we  may  remember  how,  in  the  fifth  circle  of  Dante's  Purgatory,  a  pope 
(Hadrian  v)  and  a  king  (Hugh  Capet)  had  to  continue  their  penitence  among  the  weeping 
souls,  whereas  the  soul  of  a  poet,  Statius,  was  released  and  set  free  while  the  earth  trembled.'* 
No  one  aware  of  the  late  medieval  development  of  political  theories  will  be  surprised  to 
find  an  analogical  development  within  the  field  of  artistic  theories.  The  supreme  human 
authority  no  longer  was  vested  in  the  officer  alone,  be  he  emperor,  king,  or  pope.  It  was 
vested  in  man  as  well  or,  as  Dante  would  have  said  with  Aristotle,  in  the  optimus  homo  adorned 
"with  mitre  and  with  crown.""5  To  be  Man,  in  the  emphatic  sense  of  the  word,  had  come  to 
be  an  officium,  not  only  for  the  Neo-Platonists  or  for  Campanella,'«  but  already  for  Dante. 
And  through  the  agency  of  Petrarch  the  ojficium  poetae  had  become  a  well  articulated  notion. 
Ever>^  ojficium,  however,  in  order  to  assert  itself,  demanded  or  was  in  need  of  some  kind  of 
quasi-theological  justification  and  exaltation.  This  arrogation  oi  'n  plenitudo  potestatis  was  true 
of  the  offices  of  the  spiritual  and  secular  powers,  and  it  became  true  for  the  offices  of  poet 
and,  by  transference,  of  painter  and  artist  at  large.  It  may  therefore  not  have  been  amiss  to 
raise  the  question  here  to  what  extent  and  in  what  respects  the  artistic  theology  of  the  Renais- 
sance followed  certain  trails  first  marked  out  by  the  political  theology  of  medieval  jurists. 

THE    INSTITUTE   FOR  ADVANCED   STUDY 


"  It  should  be  mentioned,  however,  that  in  a  letter  to  Bar- 
batus  of  Sulmona  (,l:p.  variae,  xxii,  ed.  Fracassetti,  Florence, 
III, 1865, pp.553ff.,csp.359)  Petrarch  scornfully  refused  to  be 
called  metaphorically  king  of  poets:  "Ingenue  quidcm  regis 
poctarum  appullationcm  rcspuo.  L'bi  enim  rcgnum  hoc  excr- 
ccam  quaeso?  Quos  mihi  statuis  regni  fines?...  Lbi  scdere, 
quove  ire  iubes,  ut  sim  vatum  rex,  nisi  forte  in  solitudinem 
meam  transalpinam,  atque  ad  fontem  Sorgiae  me  restringis ?" 

'*  Purg.  xix-xxi.  Professor  Enrico  de'N'egri  kindly  called  my 
attention  to  these  interrelations  between  pope,  king,  and  poet ; 


see  also  his  study  "Tema  e  iconogriiiji  del  Purgatorio,"  Romanic 
Retiea;  XLix,i958,pp.97f. 

"  De  Monorchia,  111,12;  Purg,  xxvii,i42;  Kantorowicz,  King's 
fuv  Bodies,  pp.456ff.,46o,495. 

'•  Cf  Lilo  libel.  Die  italieniscbe  Kultur  und  dtr  Geist  dtr  Tra- 
godie,  Freiburg, 1 948, pp.  i74tf.  T.  Campanella,  Del  sensn  delle 
cose  e  della  magia,  m,c.25,  ed.  Antonio  Bruers,  Bari,i925,p.i25, 
calls  man  luogotenente  della  prima  causa,  that  is,  a  vicar  of  God, 
though  not  by  virtue  of  a  high  office. 


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INSTITUTE  OF  RESEARCH  AND  STUDY 
IN  MEDIEVAL  CANON  LAW 

620  MICHIGAN  AVENUE,  N.  E. 
WASHINGTON  17,  D.  C. 


November  22 ,  1958 

Professor  Ernst  H.  Kantorowicz 
22  Alexander  Street 
Princeton,  New  Jersey 

Dear  Eka: 

Please  forgive  me  for  dictating  a  letter  rather  than 
postponing  a  reply  to  your  four  weeks  old  letter  any  longer. 
It  was  encouraging  to  have  your  friendly  comment  on  my  New  York 
paper;  only  one  who  has  worked  as  you  have  with  the  medieval 
knows  what  it  means  to  plan  (and,  still  more,  to  make) 


which  steers  clear  of  the  reconstruction  of 
"original"  and  at  the  same  time  provides  an 


an 


texts 
edition 


a  conjectural 
insight  into  the 


genesis  of  the  text  as  read  by  the  glossators.   I  have  dis- 
cussed this  problem  with  many  persons  (including  Sam  Thorne), 
and  some  intelligent  remarks  on  this  score  were  made  already 
at  the  Bologna  congress  in  1952  (cf.  Studia  Gratiana  V  113), 
but  it  remains  a  tough  problem. 

I  am  attaching  a  page  of  notes  on  'de  nichilo  facit  aliquid.* 
It  is  not  much  but  may  be  of  some  use  all  the  same.   All  in 
all,  I  have  the  impression  that  one  ought  to  take  the  rhetorical 
flourish  of  the  phrase  with  a  grain  of  salt:'^  the  words  veri 
dei  vicem 
to 


some 
practical 
the  analogy  to 
has  a  lot  of 
Maker. ) 


of  the 
are  very  tempting  in  this  respect,  but  it  comes  down 
very  uncreative  ,  practical  things  if  one  considers  the 
meaning  indicated  in  the  references.  (Incidentally,  on 

Creation  in  the  works  of  the  artist  ,  Dorothy  Sayers 
things  to  say  in  her  The  Mind  of  the 


intelligent 


Some  day  soon  I  hope  we  can  have  another  talk  on  Institute 
matters.   As  you  know  we  still  have  got  nowhere  with  my  attempts 
to  build  up  capital,  and  I  am  worried  about  the  future. 

I  have  about  two  pages  to  review  The  King's  T.vo  Bodies  for 
the  Catholic  Historical  Review,   This  I  find  rather  frustrating, 
as  it  will  cut  out  all  discussion  of  detail.   Probably  I  have 
to  remain  very  general  and  then  send  you  all  the  unused  notes  I 
made  while  reading  and  rereading  (and  admirjng)  the  book. 

Eva  was  very  much  touched  by  your  good  letter  on  her  father's 
death.   She'll  write  you  herself. 

As   ever , 


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INSTITUTE  OF  RESEARCH  AND  STUDY 
IN  MEDIEVAL  CANON  LAW 

620  MICHIGAN  AVENUE,  N.  E. 
WASHINGTON  17,  D.  C. 


1  August  1961 


Lieber  EKa 


etc 


\  V^^' 


bei  meiner  Rtlckkehr  aus  Europa  (wortlber  gleich  mehr)  fand  ich 
Ihren  Brief  und  Ihren  Aufaatz  aus  der  Panofsky-festachrif t ;  bevor 
ich  heute  abend  zu  Eva  und  den  Kindern  nach  Canada  gehe ,  will  ich 
Ihnen  nur  rasch  ftlr  be  ides  danken.  Ihre  freundlichen  Worte 
meinen  Harmony-vortrag  waren  sehr  wohltuend;  als  ich  ihn 


ftinf 

dass  ich  einem  allgemein 

hatte  und  dabei  auch  vor 


ttber 
vor  bald 


grosse 


Mfihe  ,  mich  so  auszudrtlcken 


Jahren  schrieb ,  gab  ich  mir 

interesdierten  Publikum  etwas  zu  sagen 
jemand  "vom  Fach"  bestehen  kBnnte.  So  bin 


ich  froh,  dass  es  Ihnen  gef alien  hat. 


In  Ihrem  Aufsatz  sehe  ich  mit  Vergntlgen  eini.^es  aus  unserer 
alten  Korrespondenz  fiber  'aliquid  ex  nihilo';  mit  Ihrer  Selbst- 
kritik  haben  Sie  aber  Unrecht.  Llir  jedenfalls  hat  das  Ganze  (und 
nicht  nur  der  juristische  Teil)  sehr  gut  gefallen.  Die  spezifisch 
kanonistischen  Beobachtungen  interessieren  mich  nattlrlich  ganz 
besonders,  schon  wegen  der  Bertlhrungspunkte  mit  den  Problemen  der 
Dispensation  (ftlr  meinen  bi^amus-auf satz ,  von  dem  ich  gerade  die 
Dmbruchkorrektur  gelesen  habe ) . 

Zwei  Kleinigkeiten:  (l)  Bernard  von  Parma,  Glos.  ord.  ist  in 
der  ersten  Rezension  vor  1242,  in  der  letzten  nach  1263  (vor  4266) 
zu  datieren,  cf.  Kuttner  &  Smalley ,  EHR  60  (194  5)  97ff.    (2)  Es 
lohnte  sich,  dem  'cur  ita  facis?'  bei  Tancred  etc.  einmal  nachzu- 
gehen.  Die  zitierte  Stelle  De  pen.  D.3  j^Ex  persona  Cin  der  heutigen 
Zahlung:  C.22D  gibt  zwar  den  Gedanken,  aber  nicht  die  Pormulierung; 
von  wem  die  stammt ,  weiss  ich  nicht  ,  aber  jedenfalls  sagt  schon 
Petrus  Cantor:  'non  enim  mihi  licet  dicere  domino  papae :  Cur  ita 
facis?  Sacrilegium  est  enimcpera  eius  redarguere . . . •  (Verbum  abbr. 
C.44,  PL  205.139  D) —  und  damit  wSren  wir  wieder  bei  dem  Problem 
vom  disputare  de  factis  regum  (Two  Bodies  158  n.209)  angelangt, 
fiber  das  ich  Ihnen  einmal  etwas  zu  schreiben  versprach. 

Bei  meiner  rOmischen  Reise  ist  allerlei  herausgekommen ,  vor 
allem  die  Sicherung  der  Monument a  iur.  can. ;  Protektorat  und  Verlag 
(nebst  dem  grttsjten  Teil  der  Druckkosten)  tlberniimmt  der  Vatikan; 
die  ganze  wis^enschaftliche  Verantwortung  bleibt  beim  Institut  ,  so 
dass  niemand  (insbesondre  nicht  Catholic  University)-  uns  wird  her- 
einreden  kttnnen.  Ich  bin  sehr  stolz  auf  meine  Erfolge  as  Diplomat. 
Und  ^L^wei  Manuskripte  (Pransen,  Garcia)  werden  diesen  Winter  fertig. 
Mit  Bob  Benson  kOnnten  es  drei  sein... 

Gestern  trank  ich  bei  Susanne  guten  (von  mir  aus  Paris  mitge- 
brachten)  Cognac  aus  der  schOnen  ,  von  Ihnen  geschenkten  Karaf f e . 


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*56.      "Gods  in  Unifonn,"  Proceedingi  of  the  American  Philosophical  Society,  CV  (1961), 
368-393. 

EK's  copy,  annotated. 


A. 

B. 

C. 

D. 

E. 

F. 

G. 

H. 

I. 

J. 

K. 

L. 

M. 

N. 

0. 


Q. 
H. 
S. 
T. 
U. 


Letter  from  Er^-'in  Rosenthal,  3  Mar  62 

"Temple  iu  Kalabiha  [?]"  (photo) 

1?   pRges  of  notes  from  some  vork  (half  pfipe,  rink) 

Letter  from  Konrad  ^icffmann,  30  Mnr  62 

Letter  from  Leonardo  Olschki,  29  Oct  61 

Letter  from  Milton  Anastos,  13  Nov  61 

Letter  from  Percy  Ernst  .Schramm,  30  Oct  61 

Letter  from  Arthur  D.  Nock,  16  Oct  61 

Letter  from  Theodor  Klnuser,  2  Nov  61 

Letter,  from  fteve^  Shapiro,  23  Dec    61 

Letter  in  Lb tin  from  Adolf  Katzenellenbogen,  5  Oct  61 

Letter  from  Lynn  v»hite,  3  Nov  61 

"Fibeln"  (s-piml  notebook  pa^e) 

"Hatra"  (half  page) 

"Christus  als  nicnt  Kbnig"  (slip) 

"Alexdander  as  Hunting  Rider"  (photo  from  "•'altera 
Art  Gsllery) 

"^rods  "n  Uniform"  (half  pare) 

"p.lQl,  fig.  132"  (hnlf  pare) 

"Gods    in  Uniform"    (half  pac:e) 

"Bvz.    Zs.    53    (I960)    218" (3x5  card) 

Letter  from  Frank  Gilliam,  1  Nov  61 


'  /    U    J    u 

U     U     J       I 


'56.      "Gods  in  Uniform,"  Proceedings  of  the  American  Philosophical  Society,  CV  (1961), 
368-393. 

EK's  copy,  annotnted. 


A.  Letter  from  Er^in  Rosenthal,  3  Mar  62 

B.  "Temple  iu  Kalabiha  [?]"  (photo) 

C.  1?   pages  of  notes  from  some  work  (lialf  pnge,  pink) 

D.  Letter  from  Konrad  iicffmann,  30  Mar  6P. 

E.  Letter  from  L-onardo  Olschki,  ?9   Oct  61 

F.  Letter  from  Milton  Anastos,  13  Nov  61 

G.  Letter  from  Percy  Ernst  .Schramm,  30  Oct  61 
H.  Letter  frora  Arthur  D.  Nock,  16  Oct  61 

I.  Letter  from  Theodor  Klnuser,  P.   Nov  61 

J.  Letter  from  Heye^  Shapiro,  ?3  ^c  61 

K.  Letter  in  Latin  from  Adolf  Katzenellenbogen,  5  Oct  61 

L.  Letter  from  Lynn  vhite,  3  Nov  61 

M.  "Fibeln"  (spiml  notebook  page) 

N.  "Hatra"'  (half  page) 

0.  "Christua  ala  nicht  Konig"'  (slip) 

^,  "Alexdander  aa  Hunting  Rider"  (photo  from  '^niters 
Art  Gallery) 

Q.  "'Tods  in  Uniform"  (half  pa,'e ) 

R.  "n.l91,  fig.  132"  (half  page) 

S.  "Gods  in  Uniform"  (half  pa«e) 

T.  "Rvz.  Zs.  53  (1960)  218" (3x5  card) 

U.  Letter  from  l^ank  Gilliam,  1  Nov  61 


< 


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u    u    J      I 


ERNST  H.  KANTOROWICZ 


LANCASTER  PRESS,  INC.,  LANCASTER,  PA. 


Reprinted  from  Proceedings  of  the  American  Philosophical  Society,  Vol.  105,  No.  4,  August,  1961 


n    o    U    1 1 
u    u      I    u 


PROCEEDINGS 
of  the 

American  Philosophical  Society 


Contents  of  Volume  105,  Number  4 


In  Need  of  a  Consensus.     {Penrose  Memorial  Lecture) 

J.  William  Fulbright  349 

The  Kingdom  of  Corsica  and  the  Science  of  History.     Robert  R.  Palmer  354 

The  Geneva  Folio  Reprinting  of  the  Encyclopcdie.        George  B.   Watts  361 

Gods  in  Uniform.  Ernst  H.  Kantorowicz  368 

Somatology  of  the  Ayom  Pygmies  of  New  Guinea.  Martin  Gusinde  394 

The  Controversy  over  the  Site  of  Heat  Production  in  the  Body. 

Everett  Mendelsohn  412 

Systematic  and  Ecological  Relations  of  Peromyscus  areas  and  P.  maniculatus. 

Walter  Sheppe,  Jr.  421 

Shoran — A  Precision  Five  Hundred  Mile  Yardstick. 

Stuart  William  Seeley  447 


A  Flower  Where  the  Roads  Divide. 


Caryl  P.  Haskins  452 


Price  for  complete  number  one  dollar 


AMERICAN  PHILOSOPHICAL  SOCIETY 

Independencb  Squabs 

Philadelphia  6,  Pa. 


n   o   u 

u    u      I 


<     / 


GODS  IN  UNIFORM 

ERNST  H.  KANTOROWICZ  * 

Professor,  School  ol  Historical  Studies,  Institute  for  Achaiired  Studies 
(Read  November  10,  1V60) 


A  I'RKi.iMiNARv  ri'inark  will  I)e  needed  on  what 
is  meant  by  the  term  "uniform"  in  the  following,' 
pajjes. 

A  person  carrying  arms  is  not  necessarily  a  uni- 
formed person.  Gods  as  well  as  goddesses  are 
fre(|uently  armed.  Athene  is  practically  alvvavs 
helmeted  and  carries  a  lance.  But  she  is  dressed 
in  a  peplos  or  himation,  and  not  in  a  uniform. 
Arcs  would,  c.v  officio,  l>e  represented  in  arms, 
carrying  a  spear  and  a  shield  and  wearing  a  hel- 
met, lint  his  costume  is  that  of  heroic  or  divine 
ntiditv,  or  of  nudity  loosely  dra])ed  (fig.  \a ) , 
that  is,  a  costume  not  practical  for  human  war- 
fare. It  is,  however,  a  different  matter  when  the 
same  god  api)ears  in  a  cuirass  worn  over  a  tunic 
(fig.  1/').  For  in  this  case  he  has  donned  an 
armor  similar  to.  or  even  identical  with,  the  stand- 
ard army  ctiirass  which  the  mercenaries  in  the 
Hellenistic  monarchies  received  from  the  royal 
ar.senals,  or  which  the  Roman  legionaries  ])ur- 
chased  from  the  .surjjlus  depot  of  their  outfit.  The 
uniformlike  attire  might  even  he  accentuated  by 
the  addition  of  certain  badges  or  in.signia  of  rank 
— an  ot^cer's  sash,  a  tor(iue,  or  a  fibuhi.' 


A  .sestertius,  issited  during  the  reign  of  Hadrian 
hv  the  mint  of  Ale.xandria,  shows  the  Dioscuri. 


♦  The  author  wishes  to  express  his  gratitude  to  Pro- 
fessors .Andreas  .^Ifoldi,  Sirarpie  Der  Nersessian,  Otto 
Neugebauer,  Henri  Seyrig,  James  F.  Gilliam,  and  to  the 
Rev.  P.  Paul  Grosjean,  S.  J.,  for  valuable  information 
and  various  courtesies;  to  Professor  Ilior  Sevcenko.  Dr. 
George  Stamires,  and  Professor  Kurt  Weitzmann  for 
their  eflforts  to  obtain  photographs;  and  to  the  German 
Archaeological  Institute,  in  Rome,  the  American  \umis- 
matic  Society,  in  New  York,  the  Dumbarton  Oaks 
Research  Library  and  Collection,  and  the  Musee  du 
Louvre  for  their  readiness  to  provide  photographs. 

'  I'or  armed  goddesses,  see  Le  Lasseur,  Denyse.  Lrs 
decsses  anmu-s  dans  I'art  classique  grcc  ef  leurs  orifiincs 
orientates.  Paris.  1919.  The  two  coins  of  .\res.  nude 
and  cuirassed,  are  both  from  the  mint  of  .Mexandria  and 
both  issued  under  Antoninus  Pius;  see  Dattari,  G.,  Xumi 
Augg.  Alexandrini — Monele  imperiali  greche.  pi.  IX,  nos. 
2464  and  2460,  Cairo,  190L  See  below,  nos.  51  f.,  for  the 
rise  of  uniformed  soldiery. 


the  iieavenly  Twins  Castor  and  I'ollu.x.  in  military 
attire.  They  are  clad  in  a  Roman  "body"  or 
"mu.scled"  cuirass  to  which  there  are  attached, 
at  the  lower  end,  a  row  of  metal  lappets,  the 
ptcrygcs.  with  long  leather  tabs  dangling  dow^n 
kilt-like  and  with  similar  leather  flajjs  jjrotecting 
the  .shoulders  (fig.  2).  The  twin  gods  obviously 
sported  the  uniform  of  Roman  legionaries  or 
Roman  officers.-  This  is  an  unusual  feature.  In 
classical  times  the  Diosctiri  were  usually,  though 
not  always,  naked  e.\cei)t  for  their  conical  felt 
ca])s  and  their  short  cloaks  or  capes  fluttering  in 
the  wind,  as  seen  on  the  reverse  side  of  so  many 
coins  of  the  Roman  Re])ublic.''    They  were  always 


Fiu.  1(1-/'.     .\rc>   (mint  nt   .\li\andria). 


2  Dattari,  Sumi  Augg.  Alexandrini.  pi.  XII,  fig.  1681; 
P(K)le.  Reginald  Stuart,  Catalogue  of  the  coins  of  Alex- 
andria and  the  Xomes.  84  and  pi.  \'.  fig.  708,  London, 
1892;  Chapouthier,  Fernand,  Les  Dioscures  au  serx'ice 
d'line  deesse.  6,^  and  pi.  XL  tig.  54,  Paris,  1935. 

•''  It  is  true  that  heavily  armed  Dioscuri  are  found, 
though  rarely,  in  some  ancient  vase  paintings  of  the  sixth 
century  B.C.;  see,  e.g..  Chapouthier,  op.  cit..  199,  fig.  2i; 
but  the  meaning  is  held  to  be  agonistic,  and  not  military 
(ibid.,  202  a.). 


PROCEEDINGS    OK    THE    AMERKA.S    PH ILOSOIMIR  AL    SOI  lETV,    VOL.    105,    NO.    4,    ACGCST,    1961 
Reprint  Printed  in  U.S.A. 


n   u   u    J 

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KRNS'I-  II.  KANTOROWICZ 


PRoc.  ami;r.  riiii,.  soc. 


vol..    lOS,    NO.   4,    |i)(,|| 


CODS  IN  INjFOKM 


370 


Fk;.  2.  Fk;.  3. 

Dioscuri  (iiiiiit  of  Alixaiulria). 


Fu;.  4. 


conct'ivod  (it  as  adulescents  or  c|)liel)<.'s.  and  they 
were  tlie  patrons  oi'  the  Roman  voiith  of  ecjnestrian 
nol)ility  who  prided  tliemseives  on  guing  lu  l>attle 
with  arms  hut  without  an  armor.''  There  are.  it 
is  true.  Ale.xandrian  coins,  of  the  same  Hadrianic 
l)eriod.  on  which  the  Dio.scuri  ap|)ear  acconhnj^ 
to  the  classical  tradition:  nude,  facing  eacli  other, 
armed  with  their  lonj,'  lances,  and  holdinj.;  their 
hor.ses  hy  the  I)ridle  (i\\i.  3).  But  the  fact  re- 
mains that  a  considerahle  numl)er  of  issues  of 
the  Alexandrian  mint  de])ict  the  Twins  in  mili- 
tary dress  (fig.  4),  and  it  may  he  mentioned  that 
with  almost  negligihle  exceptions  all  our  evidence 
for  the  Dioscuri  in  uniform  derives  from  Egvjtt 
and  not  earlier  than  the  second  centurv  of  our  era. ' 
This  is  not  simply  a  matter  of  chance.  It  is  a 
well-known  fact  that  the  Egvi)tians.  es])ecially  in 
Roman  times,  had  a  j)redilection  for  re])resentin,i; 
their  own  Graeco-Egyptian  gods  in  military  guise, 
a  custom  which  almost  certainly  goes  hack  to  the 
Hellenistic-Ptolemaic  era.*"'     Tf  we  accept  the  view 

*  Alfoldi.  Aiulreas.  Drr  Iriihriiiiii.uhr  Rcitcradcl  niid 
seine  Ehrcmthzciihoi.  46  ff.,  49.  Baden-Baden,  19,S2: 
Helbig,  W'.,  Die  Castores  als  Sclnitzpiitter  dcr  roini^clieii 
F.quitatus,  Hermes  40:  101  ff.,  lOO.i.  .-\  similar  relaticm- 
sliip  may  have  e-xL-ited  between  the  Dioscuri  and  the 
Greek  epiiebes  whose  badge,  the  f>ctiisos.  a  broad-rimmed 
flat  bat,  was  worn  sometimes  by  the  tw  in  (jods ;  cj. 
Chapoutbier,  «/•.  cit..  Mi,  fig.  7. 

•"'See  Dattari.  op.  cU..  pi.  XII,  fig.  248.S  (for  the 
Dioscuri  in  the  nude),  and  pi.  XX I\',  fig.  286,?  (for 
another  specimen  of  the  uniformed  gods).  See  also 
Chapoutbier,  op.  cil.,  48  ff.,  fig.  26,  for  the  wall  painting 
from  Theadeli)hia ;  cf.  Breccia,  Kvaristo,  Tcadclfia  c  il 
icmpio  di  Piirfcros  (Monuments  de  I'figypte  greco- 
romaine,  I),  124  ff.  and  pi.  I. XI,  fig.  1,  Bergamo,  1926. 
Non-Kgyptian  is  a  relief  from  Telmcssos  (Pisidia),  now 
in  \'ienn;i,  where  the  Twin-gcnls  are  seen  on  horseback 
in  the  uniform  of  legionaries  ;  .see  Chapoutbier,  23  ff.  and 
1.1.  I,  fig.  2. 

•^  Whereas  Paribeni,  R.,  Divinita  stranierc  in  abito 
militare  romano,  Bulletin  de  la  .Soeiete  (ireheolof/iqiie 
d'Ale.xandric  13:  177  ff.,  1910,  and  others  rendered  the 
communis  opinio  according  to  which  no  gods  were  pic- 


t)f  Michael  Rostovtzeff,  the  first  Egyptian  grjd 
who  (as  he  ])uts  it)  "was  enlisted  in  the  regular 
army"  was  Heron,  an  equestrian  god  of  foreign 
origin,  hut  Egyi)tianized  in  Ptolemaic  times.  He 
a])])ears  indeed  in  Hellenistic  rather  than  in  Ro- 
man military  dress :  a  cuirass  made  of  jjlates  or 
scales  and  decorated  with  the  gorgoneion  (fig. 
5).'  This  Hellenistic  armor  is  still  worn  hy 
Heron  in  Roman  times  as  .seen  in  a  ])ainting  from 


>«n«aii»lmiin'«»' 


iyyy,.' 


I  lu-aiUlphia,   tciiipU    uf    I'mtirc 


I  llToll. 


tured  in  military  attire  in  pre-Roman  times,  Rostovtzeff, 
Michael,  Kleinasiatische  und  syri.sche  Gotter  im  ri'miischen 
.Agypten,  .letiyptus  13:  .SIO  f.,  1933,  refutes  this  opinion 
by  calling  attention  to  the  Hellenistic  uniforms  of  gods 
in  Palmyra  and  Dura. 

■  Rostovtzeff,  op.  cit..  510  f.  Breccia,  Teadelfia,  110  ff., 
and  pis.  LVII,  LVIII. 


the  FayyCim,  now  in  Paris  (tig.  ()).  where  the 
figure  on  the  right  represents  that  god.'  A 
warning,  however,  shoidd  he  .sounded.  The  Hel- 
lenistic cuirass  was  still  (piite  common  in  Roman 
times  and  is  found  with  earlier  Roman  armor 
statues  as  well."  Therefore,  a  Hellenistic  tvi)e 
of  cuirass  all  hy  itself  cannot  he  used  without 
(jualification  as  an  evidence  proving  the  pre-Ro- 
man (late  of  a  monument. 

However  that  may  he,  Egy])tian  gods  in  uni- 
form are  luimerous.  Horns,  the  son  of  Isis  and 
Osiris,  is  very  often  represented  not  simply  armed, 
hut  in  military  garh.  A  hntnze  statuette  of  the 
second  century  .\.i).,  now  in  the  Louvre  (fig.  7), 
shows  the  god  with  the  s])arrow  hawk's  head  as 
a  Roman  officer,  despite  some  non-Roman  fea- 
tures.'"    His  cuirass  is  scaled  ;  he  wears  around 


I-'k;.  6.     Paris,  panel   from  the   I'ayynni :   Heron    (right). 


"  Cumont,  I*".,  Un  dieu  suppt)se  syrien,  asstxrie  a  Heron 
en  figypte,  .^lelinu/es  syriens  offerts  a  .Monsieur  Rene 
Dus.unid  1  :  pi.   I,  facing  p.  2,  Paris,  19.W. 

'•' C /.  N'ermeule  HI.  Cornelius  C.  Hellenistic  ;ind 
Roman  cuirassed  statues,  Berytus  13:  .^  and  40,  19.i9,  who 
(p.  18)  styles  the  statue  of  M.  Holconius  Rufus  of  the 
Augustan  period  (pi,  I\',  fig.  13)  the  first  complete 
statue  that  may  be  called  Roman  without  being  based 
on  Hellenistic  tradition.  In  the  classicistic  atmosphere 
of  the  second  century  after  Christ,  the  Hellenistic  armor 
was  occasionally  revived;  see.  e.g..  X'ermeule.  op.  cit., 
5.  57,  60.  61  (nos.  225-249). 

'"  Chapot.  X'ictor,  1,'Horus  garde-froiitiere  du  Nome 
Setbroithe,  Melaniies  Maspero  (  Memoires  .  .  .  dc  I'in- 
stitute  francaise  d'archeologie  orientale  du  Caire  67  (2)  : 
225  ff.,  pis.  I-n,  1935-1937. 


V-l 


rv. 


bid.  7.      I.ouvn-.     bronze     statuette:     Horus. 

his  waist  the  ofiicer's  .s.nsh  with  fringed  or  tas- 
seled  ends,  tied  in  a  simple  sli])-kn()t,  and  not 
yet  in  the  fashion  characteristic  of  later  statues 
of  em])erors  and  officers  which  displayed  the  so- 
called  Hercules-knot  with  the  ends  tucked  away." 
Although  his  headgear,  the  white  crown  of  Lower 
Egyj)t  and  the  pendants  of  cloth,  is  Egy])tian  he 
is.  nevertheless,  decorated  with  the  Graeco-Ro- 
man  crown  of  laurel ;  and  his  head  is  surrounded 
hv  sun-ravs  suggesting  the  fusion  of  Horus  and 
the   sun   god.      Another    hawk-headed    Horus    in 

"  For  the  sash  tied  in  a  Hercules-knot,  see  Delbriick, 
Richard.  Die  Consulardiptychen,  41.  Berlin  und  Leipzig, 
1929;  Keyssner,  Karl,  art."  ••N<k1us,"  A7-  17  (1 )  :  807  f., 
1936,  on  the  nodus  llereulancus. 


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IMNSV  II.  KANTOROWiCZ 


vol.,    1()5,   NO.  4,    I'Jfill 


GOn.S  IN  UNIFORM 


372 


l>kO(  .  AMKK.    I'llll..   SOC, 


Fui.  8.     Cairo,    Coll.    I'oiuiikt,   ti-rracotta :    Hurus. 

military  attire  i.s  in  the  British  Museum.  The 
ty])e  is  (juite  fre(|uent.'-  The  same  type,  for 
e.\ani|)le.  lias  been  worked  into  a  terracotta  bust 
where  the  decorated  cuirass  may  su^^'est  officer's 
rank  ( fijj.  S|.'''  How  common  it  was  to  re])re,sent 
also  the  youthful  Horus,  in  his  hypostasis  as 
Har])ocrates.  in  military  dress  may  be  J,^-lthered 
from  a  figurine  in  the  collection  of  .Arthur  D. 
Nock.  The  terracotta  of  Horus  jnitting  his  hand 
to  his  mouth  is  doubtless  mass  fa1)rication ;  but 
even  so  it  dis]ilays  essentially,  if  in  shorthand, 
tile  customary  features:  the  armor  with  the  leather 
tabs,  the  sash,  and  a  baldric  running  from  the 
left  shoulder  to  the  right  hip   (fig.  Q).'^ 

One  more  .statuette  of  Horus.  in  the  Collection 
Sinadino  in  Alexandria,  (fig.  10),  should  be 
mentioned  here  on  account  of  the  posture;  the 
right  arm,  so  often  broken  away,  is  raised  and 
one  finger  lifted.     This  hand,  |)erha])s.  held  orig- 

■2  See  Cliapot,  np.  cit.,  \>\.  II,  left  fiRure,  for  a  Horu.s 
in  the  British  Museum.  Clermoiit-Claniieau.  Ch.,  Horus 
et  Saint  Georges,  Kniir  arclicoliHiiquc  33 :  24,  1877, 
mentions  two  other  statuettes  of  Horus  in  military  dress 
in  the  Briti.sh  Museum ;  r/.  Chapot,  op.  cit..  228. 

'•■'  Perdrizet,  P.,  Lcs  Icrrcs  cuites  (frecqucs  d'Enyptc 
dc  la  Collection  Fouqiict  2:  pi.  1,1,  Nancy,  Paris,  and 
Strasbourg,  1921. 

'*  I  am  very  much  obliged  to  Professor  Arthur  I). 
Nock  for  calling  my  attention  to,  and  providing  me  with 
a  photo  of,  his  interesting  terracotta. 


inally  a  s])ear.  luiless  it  was  meant  to  be  a  gesture 
of  im])eratorial  greeting.  At  any  rate,  the  mili- 
tary dress  is  very  accurately  that  of  a  Roman 
officer:  the  niu.scled  cuirass,  the  ptcryycs  with 
the  leather  tabs,  and  the  sash  around  the  waist.''' 
Other  Egyptian  gods  display  a  similar  attitude. 
Of  those  therianthropic  deities  the  god  Apis,  with 
his  head  of  a  steer,  is  among  the  best  known. 
He  appears  likewise  in  full  luiiform;  his  right 
hand  is  ()])en  and  raised  in  a  gesture  known  from 
Roman  em])erors  when  addressing  their  legions, 
and  the  editor  of  this  little  bronze  statuette,  Haron 
von  Hissing,  gave  it  the  title  of  Apis  hupcnitor  in 
the  attitude  of  the  allociitio  (fig.  11  )."'     We  can- 


Fh..  0.     Cambridge,   Coll.    .-X.    I).    Nock,   terracotta: 
Harpocrates. 


»*  Von  Bissing,  Die  Nekropole  von  Koni-esch-Schuk.^fa, 
Expedition  Ernst  Sicglin  1  :   149,  fig.  9.\  Leipzig,  1908. 

•"Von  Bissing,  Eine  Apisfigur  in  der  Haltung  dcr 
Adiocutio,  Oriental  Studies  dedicated  to  Paul  llaupl, 
ed.  Cyrus  .Vdler  and  .Aaron  Ember,  29.=i-299,  Baltimore 
and  Leipzig,  1926.  The  same,  or  a  siniil.ir  figure,  is  dis- 
cussed by  Breccia,  E.,  Osiris-.Xpis  in  abito  militare 
romano,  Bulletin  dc  la  societc  archeoloyique  d' Alexandrie 


Fk;.   10.     .Me.xandria,    former    Coll.    Sinadino,    bronze: 
Horus. 

not  tell  whether  the  dog-headed  .\nubis  of  the 
National  Museum  in  .Athens  had  the  same  atti- 
tude, since  the  right  band  is  broken  away  from 
this  bronze  statuette;  but  he,  too,  a])|)ears  in 
uniform  with  two  rows  of  la])|)ets  covering  the 
tiuiic  of  which  the  lower  edge  becomes  visible.'" 
Another  .ATUibis.  in  the  Museo  Nazionale  in 
Rome,  wearing  a  decorated  armor,  suggests  that 
the  god  held  in  bis  right  hand  a  s])ear  or  a  staff 
scepter  (fig.  12).'^  Vet  another  god.  ])erhaps 
()u])waut-.Makedon.  also  therianthro])ic,  is  re])re- 
sented  in  uniform  and  shown  with  his  right  arm 
rai.sed.'* 

The  general  ap])earance  of  all  tbo.se  Egyptian 
gods  is  closely  related  to  a  sm.all  bronze  statuette 

17:  184,  1919-1920.  The  interesting  article  by  Alfred 
Hermann,  Der  letzte  Apisstier,  Jalirhuch  fiir  Antike  und 
Christcntum  3:  .^4-.s().  1960,  reached  me  only  after  1  bad 
returned  the  proofs;  see,  however,  esp.  40  f,  for  the  .\pis 
in  military  attire,  and  n.  5i,  for  a  cfirrection  of  von 
Bissing. 

''  Von  Bissing.  .'Jnyptische  Kiilthilder  der  Plolomaier- 
und  Romerzcit  (Der  alte  Orient  34.  1-2),  17  flf.,  fig.  16(i, 
Leipzig,  1936. 

I'C/.  Paribeni  (above,  n.  6),  pi.  VI-VII.  My  thanks 
go  to  the  German  Archaeological  Institute,  in  Rome,  for 
providing  me  with  a  photo  of  this  statuette  (  Photo  No. 
60.1199). 

"•Von  Bissing,  in  Expedition  Ernst  Sieglin  1:  14,^ 
fig.  89,  from  the  Collection  Sinadino,  in  .Alexandria. 


from  the  Delta,  now  in  the  Louvre  ( lig.  13).-" 
It  disi)lays  a  ])erson  in  military  attire:  cuirass 
with  ptfr\'(/cs,  and  leather  tabs,  the  sash  with  its 
characteristic  knotting,  and  shoulder  tal)s.  The 
rays  of  the  sun  god  surroimd  the  head.  The 
])er.son  re])resented  is  .\le.\ander  or  rather  Ale.\- 
ander-lielios,  that  is,  .Alexander  as  a  god.  It  is 
true,  the  statuette  is  of  Roman  times  but  it  may 
be  a  rejjiica  of  an  earlier  work  of  art  of  that  tyjje. 
The  attitude  should  perhaps  be  comj)ared  with 
that  of  a  Ptolemaic  bronze  statuette  showing 
.Alexander  in  the  aegis  of  Zeus,  norm;illy  an  at- 
tribute of  Zeus'  daughter  Athene,  but  here  given 
to  Alexander  the  god  who  was  venerated  in  Alex- 
andria   (fig.    14).-'      Tt    has    been    assumed    that 


Fig.  11.     Former    Coll.    BissiiiR,    bronze    statuette:    .\\n>. 


-"  Schreiber,  Theodor,  .S'ludien  iiher  das  Hildiiis  Alex- 
anders des  Grossen  ( .Abhandlungen  d.  Siichsischen  Ge- 
sellsch.  d.  Wisscnsch.  21,  .?),  72  i..  140,  and  pi.  \'II,  fig. 
P.,  Leipzig,  190.?.  Von  Bissing,  Eine  .\pisfigur  (above 
n.  16),  296,  has  connected  the  A\ns-.ldlocutio  statuette 
with  the  .Alexander  in  the  Louvre,  but  did  not  follow- 
up  his  observation.  1  owe  the  (iiraudon  photo  to  the 
kindness  of  Professor  Sirarpie  Der  Xersessian,  in 
Dumbarton  Oaks.  For  .Alexander  as  a  Moon-god,  with 
a  crescent  and  three  stars,  see  Cuniont,  Reiherehes  siir 
ie  symholisnie  funeraire  des  Ni>mains,  pi.  W'l,  fig.  1, 
and 'p.  208,  Paris,  1942. 

-'  Perdrizet,  Paul,  Un  type  inedit  de  la  plastique 
grecque :  Alexandre  a  I'egide,  .Monuments  I'iot  21 :  59- 
72.  pis.  IV-\'.  1913.  Sec  pp.  70  f.  for  the  hypothesis 
linking  this  statuette  to  Lysippus'  sculpture  iif  .Alexander. 


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I'KOC  .  AMKK.    I'HIl,.  SOC. 


vol..    lO.'i,   No.  4,    l')(>\\ 


(iODS   IN   INIFORM 


374 


the  ;ittitiule  of  Ale.vander  in  the  aegis  may  lio 
hack  tn  a  statue  hy  Lysippus  wliicli,  if  this  l)e 
true,  would  have  iuthienced  also  the  statuettes 
of  so  many  of  the  theriaiithropic  s.;ods  ])reviously 
discussed.  Prohahly  tlie  llorus  in  tlie  Louvre 
(fig.  7)  had  also  the  right  liand  raised  and  tlius 
would  resemhle,  witli  his  crown  of  sun  rays,  the 
.Alexander  statuette  (fig.  l.i)  in  more  tlian  one 
detail.  it  would,  indeed,  he  very  tem|)ting  to 
draw  the  straight-forward  conclusion  that  Alex- 
ander was  the  first  "god  in  uniform"  and  that  he, 
general  and  god  at  the  srune  time — as  de])icted  also 


Fk;.   12.     RoiiK',     .\lu.sf(]     .Xazidiialt,    hrniizc 
.\mihis. 


Fid.   1,V     Louvre,    hroii/c     ^tatlu•ttc• :     .McxaTuier 
I  PliDto   (iiraii(li)n  ). 


in  a  decadrachiue  of  the  mint  of  Bahvlon  -'- — 
started  the  Egyptian- Alexandrian  tradition  of 
representing  not  only  the  native  gods  in  militarv 
attire  hut  also  the  Graeco-Roman  gods  who  in 
classical  times  were  preferahly  represented  in  the 
nude  or  loo.sely  draped.  Rut  it  does  not  seem 
likely  that  this  simjile  and  ])lausihle  hvpothesis 
can  he  ])roved.  Nevertheless,  the  similarity  of 
gesture  and  attitude  displayed  hv  the  statuettes 
of  Florus,  A])is,  and  Anuhis,  and  hv  that  of  Alex- 
ander may  suggest  that  they  all  followed  some 
common  model  which  may  have  heen  as  famous 
as    Lysipjnis"    statue   f)f   Alexander;   more   likely. 

■-'-  Profcs.sor  .Mfri'd  R.  Ri'llinpt-r  iibliKiiisly  called  my 
attention  to  tlii.s  decadraclini  wlncli  shows  .\lc.\ander 
wearing  the  euirass  and  holding  in  his  rigiit,  extended, 
hand  the  tliunderholt ;  his  head-dress  is  Persian.  Cf. 
Hill,  (ieorge  h'rancis.  Catnlof/iic  of  lite  (ireek  coins  of 
statuette:  Anibia,  Mesopotamia,  and  Persia,  191,  No.  61,  and  pi. 
XXII,  fig.  18,  London,  1922. 

J-   L  i'i'^  "^  fj  ,    [\Z.     i*<co  £o<.w*-.  .<Jc^    -Kml    CeU.^   ti.  oU;(*«-c«tt«jL«-   ^"^ 


HI 


l"i(,.   14.     Cairo.    Coll.     hOuciuet.    bronze:     .Mexaiider 
with    .\egis. 

however,  we  have  to  take  into  account  some  radi- 
ations of  the  canonical  Doryphoros  ])ose. 

It  should  he  added,  if  only  in  ])arcnthesis,  that 
in  Egypt  also  other  deities  were  represented  in 
militarv  garh,  and  that  representations  following 
that  jtattern  are  found  even  in  .so  small  works  of 
art  as  anuilets.  One  amulet  shows  without  douht 
Anuhis  in  the  dress  of  a  .soldier   (fig.   15  i,-''  the 

-^  Bonner,  Campbell,  Stmiies  in  mai/icol  amulets, 
chiefly  (iraeeo-fuiyttiaii.  jil.  11,  tig,  .W,  and  !>.  2.^9.  Ann 
.\rbor,  1950.  .-\nother  amulet  shows  not  .\nubis  but 
Scth,  likewise  in  armor;   if.  (Irirtiths,  J.  (iwyn,  .Seth  or 


saiue  god  who  in  a  necrojxile  at  Alexandria  is 
shown  as  anguii)edc,  cuirassed  and  decorated  with 
thv  paliidaiiioilimi  (fig.  16  I.-'  .Such  snake-legged 
deities  are  not  rare  on  amulets  either,  where  we 
find,  for  example,  a  lion-headed  god  in  military 
dress  (fig.  17)."'  In  l'"gypt,  however,  also  a 
(ireek  goddess,  such  as  Nemesis  or  the  Roiuan 
(Ira  Roimi  (tig.  IS),  was  occasionally  re])resented 
as  a  military  ])erson,-''  a])])arently  for  no  other 
reason  than  to  accommodate  to  a  taste  which 
certainl}-  h;id  gained  its  full  strength  iti  Roman 
times. 

This  does  not  imply  that  the  custom  of  ])ic- 
turing  the  gods  in  officers'  unifonu  fleveloped 
under    the    Roman    doiuination    onlv.      <  hi    the 


Fi( 


15.      Magi'-al    amulet:    .-\nubis     (Metropolitan 
Museum.   .\ew   York).    (  Eidarged. ) 


.\nuhis  ?  Jour,  li'arhurii  and  Courtauld  Institutes  22: 
.36/   IT.,  and  pi.  38,  a.  1959. 

-■*  \'on  Bissing,  .hiyftisehe  Kulthilder,  fig.  14(/.-  Ex- 
pedition  Ernst  .Sienlin  1  :  142.  The  present  reproduction 
was  made  after  a  line  drawing  from  the  portfolio  I.es 
bas-reliefs  de  Kom-el-Cliou<iafa,  ed.  F.  W.  von  Bissing 
and  Gilleron,  pi.  XIII.  Munich,  1901,  by  courtesy  of  the 
Dumbarton  Oaks  Library. 

-"■  Pxinner,  Cani|)bell.  .l/iii/uii/  amulets,  pi.  \',  9<)-101  ; 
pi.  \I1I,  172.  Cf.  Xilsson,  .Martin  P.,  The  anguii)ede 
of  the  magical  amulets.  Hari-ard  Theoloqical  Kei'iexs.'  44: 
61  ff.,  1951. 

-"  Perdrizet,  P.,  Nemesis,  Bulletin  de  Correspondanec 
Hellenique  36:  2M  ff.,  fig.  I.  1912.  For  the  Dea  Roma 
on  .Mexandrian  coins,  see  Dattari,  Sumi  .lutig.  Ale.r.. 
pi.  XXI,  No.  4994;  also  Poole,  Coins  of  Ale.xandria.  pi. 
XXIII,  fig.  240.  Seyrig.  in  Syria  13:  26.1  1932,  considers 
"the  case  [of  the  .Mexandrian  Roma]  exceptional."  See, 
in  general,  \'ermeule,  7'/ic  i/oddess  Koma  in  ancient  art, 
Cambridge,  Mass.,  1959,  who,  however,  does  not  discuss 
the  .Mexandrian  coin  nor  the  Roma  type  represented 
by  it. 


/  /     U    U     L 

U     U       I     J 


375 


I-:RNS'|-   II,   KANIOKOWICZ 


ll'KOC.   AMI   K.    I'llll..   SOC. 


VOL.    105,»NO. 


I'^ill 


C.()[)S  IN   INIFOKM 


376 


m 


Fk;.   Id.     Alixandiia.     Kdiu-el    Cliougafa :     Amibis 
aiiRiiipode. 

contrary,  tlu-  findiiiiL^js  in  Palmyra,  l)ura-F,nrn]ins, 
and  Hatra  make  it  perfectly  clear  that  the  tradi- 
tion of  providinfi  jjods  with  military  tra])|)in<;s 
was  pre-Konian  and  went  hack  to  Hellenistic 
times.  A  Palmyrene  relief  in  the  Louvre  of  the 
first  half  of  the  fir.st  century  after  Christ  (f\ii.  1*?) 
shows  a  triad   of  j:;(k1s.-'      We   recofjnize   in   the 

-"  Seyrig,  Aiitiquiti-s  Syrirniu's  4:  ,M,  pi.  II,  193,5; 
Morchart,  Mary,  P-arly  sculpture  in  Palmyra,  Hrrvliis 
12:  60  f.  and  fig.  11.  also  figs.  12,  1.?,  1956-1957.  The 
nuinbiT  of  PalniyriMic  gods  in  military  dri'ss  is  excessively 
great  and  no  effort  has  been  made  licre  to  assemble  the 
material  completely.     I'or  the  triad  of  Hel,  Jarbilxjl,  and 


I'll..    17.     Magical    amulet:    lion-headed    god    (  L'liiv.    of 
Michigan).    (Enlarged.) 


I'K..    IS.      1  )ea     konia     (mint     of     .Mexandria ) . 

center  a  bearded  deity,  identiiied  as  H.'l,  wearinjj 
a  L'ahitlios  on  his  liead  and  a  diadem  with  fringed 
ends.  The  armor  is  made  of  small  rectanj,'ular 
scales:  the  shoidder  straps  are  fastened  with 
riiifis.  Where  we  normally  wduld  fmd  the 
f^lcr\'(/cs   we    see   rows   of   pearls   and    a    meander 


« 


Vn,.   19.     Louvre,  relief  frt)ni    Palmyra:   triad  of  gods 


Fn 


Palmyra,   relief:    lielio>   Tluo-,   .Megisto.s. 


])attern  decorating,'  the  lower  edj,'e  of  the  cuirass 
— an  Oriental  tendency  to  a  certain  enrichment 
of  the  costume.-^  Danjjlinjj  down  from  the  armor 
are  two  rows  of  frinji;ed  leather  t1a])S.  The  tijjht 
trousers  are  visible  under  the  edf(e  of  a  tunic 
which  has  Ion;,'  sleeves,  a  tunica  inanicata.  The 
officer's  belt  is  likewise  frin{,H-d.  The  i^dd  wears 
a  paludiuiicntiiui  which  is  held  by  a  ])la(iue  or 
fibula  on.  or  just  l>elow.  the  right  shoulder.  The 
same  uniform  (though  without  the  Parthian 
trousers    but    enriched    by    a    torcjue.    a    necklace 


.\gliboI,  see  al.so  Eissfeldt.  Otto.  Tciiif',-1  und  Kiiltr 
svrischrr  Stiidtc  i)i  lu-llriiistisrli-rdmisclu-r  Zcit  (I)er 
altc  Orient  40),  83  iT.,  1941. 


H^^HA> 


Fig.  21.     Palmyra,  pottery  tessera:  .\glibol. 


2"  See,  for  that  tendency.  N'ermeiile,  Ctiinisscd  slatiu-s. 
25  f. 


I"i(..  22.     Kome,   Capitol,  aedieula :    .\glihol    uitli 
Malakhel. 

usuallv  of  twisted  gold)  is  worn  by  the  gods  to 
the  right  and  left:  the  one  to  the  right  is  Jarhibol. 
the  sun-god  of  Palmyra:  to  the  left  is  .Aglibol.  the 
moon  god.  identitiable  by  the  cre.scent  in  his  halo 
of  sun  rays. 

The  emblem  of  the  crescent,  however,  does  not 
alvvavs  identify  the  deity  with  certainty  as  the 
moon  god.  There  is.  for  e.xam])le.  the  bust  of 
a  cuirassed  god  whom  the  description,  despite  the 
crescent,  calls  ])lainly  Ilrlias  Thcas  iiiCfiistos  ( tig. 
20);  the  date  is  known  accurately  in  this  case: 
.\.n.  .^0.-"  This  rejiresentation  must  have  been 
rather  pojnilar:  for  the  same  design  is  .seen  on  a 
tcsscni  from  Palmyra  (tig.  21  )  where  the  image 
of  the  cuirassed  bust  of  the  god  decorates  the 
small  terracotta  token  serving  its  bearer  to  secure 
a  meal   on   the  feasts  of  the  god.'"     M  a   later 

-"Seyrig.  .\ntiquites  syriennes.  §  72:  Bas-relief 
palmyrenien  dcdie  au  solcil,  Syria  36:  58  flf.  and  pi.  XI, 
5.  1959. 

•'"Seyrig.  .hitiqiiilrs  syriciiius  2:  116.  fig.  50.  Pai^is, 
1938.     For  the  purpose  of  the  trsscrac.  see  Seyrig,  ibid.. 


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377 


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I'KCK.  AMIK.   I'llll..  SOC. 


VDI..   ins,  NO.   1.    |<)f,|| 


GODS  IN  rNIF<X)RM 


378 


]K'ri(i(l,  till'  I  U-llciiistic  cuirass  was  rc'])laco(l  hv  a 
Rdiuan  aniKir.  An  ardiciihi  in  tht-  Ca|)it(>iiiif 
Museum  in  Rdnic.  dated  A.n.  2.^5.  shows  A«;!il>(il 
witii  tlie  crescent  in  a  simple  Roman  hcidv  cuirass, 
extendinj;  his  liand  to  .\lalakhel  (tij;-.  22).-"  It 
is  sur]irisinj4  to  lind  how  consistently  I'almvrtMie 
,i;i)ds  were  represented  in  uniform.  Shadrafa.  Idr 
e.\am])le.  a  jjod  whose  name  is  said  to  U'  deri\ed 
from  Satra]).  the  title  of  the  ancient  Persian  pro- 
vincial j,n)vernors,  wears  a  Hellenistic  ])late  armor 
with  sash  as  well  as  the  lon^-sleeved  tunic  and 
the  I'arthian  trou.sers  ( fi^-.  2.?(.-'-  The  lilendint; 
of    Hellenistic    and    I'arthian    elements    character- 


l'aliii\ra,  relief:   Sliadi.ifa. 


and  in  Syria  16:  .W  f.,  1<^.?5;  also  liis  study  Les  tcs.seres 
palniyrenieniies  et  le  banquet  rituel,  Memorial  \M.-J.\ 
iMiirannc  51-58,  Paris,  1940.  Cj.  F.  Cuniont,  Rcchenhcs 
siir  Ir  syiiiholisiiic  funcrairc  dcs  Rninains.  208,  Paris,  1042. 

■■"  Seyrig,  .hitiquitcs  syriniiirs  2:  100.  pi.  XXXI;  also 
in  Syria  18:  20.?,  pi.  XXXI.  10.^7.  I  owe  the  photo  to 
tlie  courtesy  of  the  (ierman  .Archaeolofjical  Institute,  in 
Rome  (Xo.  1W6.1108).  For  Malakhil  in  liis  relation  to 
.\glihol.  see  Eissfcldt,  Teiiipct  unii  Kullr.  89  f. 

•■'-  Seyrig,  Note  sur  les  plus  anciennes  sculjjturcs 
lialmyrenienncs.  Brrytus  3:  1,?7,  pi.  XXX,  19,?6;  cf. 
.Iiiiiairs  arch,'olo(]iqui's  d,-  Syric  7:  pi.  \'1II,  fig.  2,  1957; 
Morehart,  Mary,  in  Brrylus  12:  63,  and  f^gs.  14  and  1.5, 
1956-1957.  For  Shadrafa,  sec  Scyrig,  Antiquitcs  sxricn- 
ncsZ:  2i,  n.  4,  19.W;  Eissfcldt,  Tcmpd  timi  Kulh;  102  f. 


izes  not  only  the  military  attire  of  the  I'almvrene 
j(o<ls.  hut  al.so  fre(|uently  that  of  the  ^ods  of 
l)ura-Euro])os.^''  A  has-relief  of  a  local  god  of 
Dura.  Ai)hlad,  .son  of  Hadad,  which  belongs  to 
the  middle  of  the  first  century,  shows  the  god  in 
Parthian  trousers  and  in  a  long-sleeved  tunic 
over  which  he  wears  an  armor  decorated  with 
stars.  We  notice  the  sash,  and  also  the  torque 
around  his   neck    (fig.   24).''^     Again,   at  a   later 

■''•*  Hopkins,  Clark,  .Aspects  of  Parthian  art  in  the 
light  of  discoveries  from  Dura-Kuropos.  lirrytiis  3:  [il. 
III.  fig.  1,  facing  p.  6.  19,36,  (  [Aphlad]  "clothed  in  the 
dress  of  a  Hellenistic  officer").  Cf.  Hopkins,  C,  in: 
The  (wcafntio)!.';  at  Ihira-Eurofos:  f<rrlimiiHir\  ref'orl 
5:  107  flf.  and  pi.  XIII,  19.R  Rostovtzeflf.  Dura  and  the 
problem  of  Parthian  art,  Yale  Classical  Studies  5:  figs. 
36  and  38,  1935;  sec  ibid.,  160  fT..  and  Dura-riur(if<os  and 
its  art,  Oxford,  1938,  for  the  blending  of  Parthian  and 
Hellenistic  elements;  Sevrig,  .lutiquiles  s\rie)nies  2: 
4.5-73,  19.38, 

■■'*  Hopkins.  Clark,  in  Herytus  3:  pi.  Ill,  fig.  1,  facing 
p.  6.     Cf.   Rostovtzeff,  Dura-Huropos  and  its  art,  p.  87: 


Imc.  25.     Dura-Europos,     wallpainting  :     .sacrifice     to 
.larhibol. 

])eriod,  the  gods  of  Dura  would  he  dressed  in  a 
garh  of  more  Roman  a])pearance.  as,  for  e.\am])k'. 
the  statue  of  Jarhihol,  the  sun  god.  in  a  wall- 
])ainting  of  the  Artemis  temple,  annexed  to  the 
Praetoriiun  (fig.  25  )  ;  ■'■  or  the  statues  of  three 
haloed  gods  in  a  fresco  dedicated  hy  the  Trihune 
Terentius  (fig.  26  i.'"'    The  gods  wear  the  golden 


Fig.  20.      I)ura-lun()p>i>.     uallpaintinti  ;     thiH'     k"i1>. 


"wears  a  Hellenistic  military  dress  with  some  Iranian 
features,"  and  p.  65  for  the  ginl  himself.  For  Aphlad, 
son  of  Hadad,  see  Eissfcldt,  Teinpel  und  Kulle,  139  f. 

'•■'■  RostovtzetT,  in  )'<i/i-  Classieal  Studies  5:  fig.  57, 
and  p.  249,  1935;  Hopkins,  in  Pura  Report  5:  153  flf., 
and  pi.  XXXVI.  figs.  1-2. 

•"•  Seyrig.  .hiti(iuites  .■;yrieiiues  1:  pi.  XLIII,  19.?4;  see, 
for  a  colored  phite,  Cumont.  F.,  l-'ouilies  de  Doura- 
Huropos,  pis.  I.  and  LI,  fig.  1,  Paris.  1926.  For  the 
golden  armor  worn  by  Roman  emperors,  see  Delbriick, 
Die  Consulardiptyehe)!,  41  ;  also  Wrmeule,  (.  uirassed 
statues.  43,  No.  76. 


I'"i(;.  27.     Hatra,  marble  statue:  .\ssiir-Bel. 

cuirasses  of  a  full-dress  imiform ;  their  silver 
sashes,  however,  are  more  richly  decorated  than 
tho.se  of  Roman  officers,  nor  are  thev  knotted  in 
the  same  way. 

Rather  impressive  is  the  recentlv  excavated 
marble  statue  of  Assur-Hcl  of  Hatra  (.south  of 
Mosul  I.  of  the  first  century  after  Christ  (fig. 
27).'-^'  The  cuirass  ditTers  from  most  Hellenistic 
and  Roman  patterns.  The  ptcrygcs  are  absent ; 
hence,  the  two  rows  of  leather  tabs  dangle  down 
from  the  cuirass  directly ;  and  instead  of  one 
row  f)f  leather  fia])S  there  are  three.  Moreover. 
the  cuirass  is  decorated  with  a  bust  of  Helif)S 
whose  relief  is  found  occasionally  also  on  im- 
perial armor."  The  sash  is  broader  than  usual, 
but  knotted  in  the  customary  way.  This  god 
wears  al.so  a  torque  aroimd  his  neck.  Crouched 
to  his  feet,  between  two  eagles,  is  the  Tyche  of 

'■^'Illustrated  London  .\e2es.  116,  figs.  5-6.  Dec.  18, 
1954.  Lenzen.  Heinrich.  .Ausgrabungen  in  Hatra, 
.Irchiiolciiiseher  Anseiijer  70:  339- ,342,  figs.  2  and  3,  1955. 
I  am  much  obliged  to  Sir  Ronald  Syme  for  having  called 
my  attention  to  the  Tuonuments  of  Hatra. 

■"*  The  cuirass  resembles  one  in  the  Olympia  Museum  ; 
('/.  \"ermeule,  Cuirassed  statues,  pi.  XIX,  fig.  58,  and 
p.  61,  No.  2i2.  Vor  Helios  on  imperial  breastplates,  see, 
e.g.,  Brendel,  Otto.  Der  Schild  des  .Achilles.  Die  Antike 
12:  272  flf.,  esp.  276  f.  (figs.  .3-4),  and  278  (fig.  5).  19.36; 
Mancini,  (iioacchino,  Le  statue  loricate  imperiali,  Hul- 
lettino  delta  Conitnissione  areheoloi/iea  CLiinmunale  di 
Roma  50:  181  (  Nos.  17.  18)  an<l  183  (No.  29),  1923,  for 
Sid  on  imperial  armor. 


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370 


KRNST  H.  K.WTOROWICZ 


I'ROC.  AMIvK.    I'llir,.  SOC. 


Vol..    10,'i,   ,\(l.  4,    I'X.ll 


C.OD.S  IN  IN  I  FORM 


380 


/ 


Fi(..  _'8.     Hatra,  rcliif :  siin  nod. 

Hatra.  Tlie  hack  of  the  inf)mnnent  doe.s  not  re- 
peat the  military  armor,  l)ut  chsplays  in.stead  the 
aegis  with  the  head  of  Gorgo ;  it  reminds  ns  of  the 
aegis  statue  of  Alexander  the  Great  (fig.  14 1. 
Al.so  at  Hatra  there  is  a  Imst  of  the  sun  god  in 
militarv  attire  ( iig.  2S|.  similar  to  the  Inists  ol 
Aglihoi  at  Palmyra,  hut  lacking  the  crescent. 
The  in.scri])tion  styles  the  god  "The  Lord  of 
Otifering."  and  the  editor  suggests,  though  with- 
out evidence,  that  the  armored  god  may  he  Mith- 
ras.-'" The  shoulder  cla.sps  of  his  cuirass  are 
decorated  with  eagles,  and  on  a  military  .standard 
flanked  hy  the  eagles  of  Hatra.  the  Imst  of  the 
god  is  seen  once  more  as  a  ])la(|ue."'  Here  then 
the  image  of  the  cuiras.sed  sun-god  has  hecome 
an  ohject  of  ajiplied  art  just  as  the  images  of 
Koman  em])erors  were  attached  to  insignia  or 
(lis])laved  <in  phalcrac  and  other  military  i)ara- 
])hernalia." 

There  were,  of  course,  many  more  gods  in  Syria 
and  Asia  Minor  who  were  re])resented  in  uniform. 
Strangelv  enough  the  soldier  god  par  excellence. 
Mithras,  a])])ears,  it  .seems,  only  once  in  military 
dress,   on   a   coin    of   Tarsus    (fig.    29).   and    no- 


'\ 


3»  lUustralcd    London    Srws.    W)^)    1.,    fig.    8,    Nov.    17, 
1951.     For  Mithras,  st-o  below,  n.  42. 
•"'  Illustrated  London  \'ews.  fig.  9,  /('<■.  cit. 
*'  For    phalcrac,    see    .Mfoldi,    Per    friihrdniischc    h'c- 
I      itcradcl  und  seine   Ehrcnabzciehcn.   17   flf.,   Baden-Baden, 
:      19.^2;  and  his  Zu  den  romisciien  Reitcrscheilien,  Gcrmania 
30:    187-190,    1952.     Probably    the    Caracalla    plaque,    re- 
jirodiiced  by  Brendel,  in  Die  .Intikc  12:  275,  fig.  2.  served 
X  (dji^  ?*0>  •  also  as  an  insignia. 


Fui.  29.     TarsUs,  enln  :   .\litlu.i> 
(enlarged ). 

where  else.^'-  Hut  another  god  who  was  ven- 
erated in  the  military  camps.  Jiippiter  Dolielieniis, 
is  practicallv  always  represented  in  the  officer's 
garh.^-'  .Swinging  in  his  right  hand  the  douhle- 
a.\e,  he  is  often  .seen  in  a  sim])le  Roman  nniscled 
armor   (fig.  .^0).'*  though  he  too  may   wear  the 


Fk;.  .^0.      r.erlin.     .\nti(|Uariuin  :     I  )oliehenus. 


'-Hill,  (i.  I'".,  Calaloiiue  of  (ircek  coins  of  Lycaonia. 
LMuria.  and  Ciluia.  2\i  No.  2Sfi.  and  pi.  XXWII,  fig. 
4,  London,  1900.  Cf.  Will,  E.,  Le  relief  cultucl.  2.59,  n.  2. 
who  emphasizes  the  absence  of  Mithras  representations 
in  military  attire,  l-'or  a  full  bibliography,  see  Ver- 
niaseren,  Maartcn  J.,  Corpus  inscriptionum  ct  inonii- 
mcntonim  rclii/ionis  Mithriacae.  52,  fig.  27.  and  pi.  I.  fig. 
4,   Haag.   19,^h' 

'•Kahn.  .\.  II..  Jnl^f'tcr  I 'oliclicniis.  Leiden,  1943. 
The  latest  study,  by  Merlat,  P.,  Jupiter  Dolicheniis:  lissai 
d'interfretalion  ct  dc  .Syntlicsc.  Paris.  I960,  has  not  yet 
heeTi  accessible  to  me. 

"See,  e.g..  the  relief  found  in  Rome  ( .\ntiquarium  in 
Berlin)  and  discussed  by  Seyrig,  .Syria  14:  pi.  XXXX'III, 
tig.  2,  19,?.^:  ,/.  Kaiin,  of.  cit..  117  f.  and  pi.  XIII,  fig.  21. 


I'll..  ,il.     Ilanran,     Syria,    altar    frayiiuiit  :     .\>kUpios. 

trousers  of  the  oriental  gods.''  iUu  as  in  Egv])t 
so  in  .Syria  some  definitely  (ireek  gods  were  re])- 
re.sented  in  armor.  .\skle|)ios  repeatedK-  a|)pears 
in  imiform  in  .Syrian  monuments,  for  example  on 
an  altar  in  Hauran  where  he  is  seen  in  a  Roman 
muscled  cuirass  (fig.  31  }.*'• 

It  will  he  unnecessarv  for  our  ])ur])ose  to  give 
a  fuller  catalogue  of  re])resentations  of  gods  in 
military  dress,  since  the  material  cited  here  will 
suffice  to  j)ose  a  few  (|uestions  regarding  some 
])rinciples  invoKed. 

The  ap])earance  of  so  many,  and  esi)ecially  ori- 
ental, gods  in  imiform  is  difficult  to  e.\i)lain.  The 
hypothesis  according  to  which  these  gods  should 
l)e  considered  "soldier  gods,"  who  in  this  ca])acity 
donned  military  attire,  has  heen  ahandoned  long 
ago.^'  And  another  suggestion  advancing  the 
theorv  that  tliose  gods  were  considered  com- 
manders-in-chief of  their  religious  followers  who 
thus  formed  a  kind  of  iiiilitia  del  or  deoruiii.  is 
not  sound  either,  hecau.se  it  carries  later  Christian 


•••■^The  Renaissance  drawing  by  Pirro  Ligorio  (six- 
teenth century)  of  the  Berlin  relief  shows  that  tlie  god 
wore  the  Oriental  trousers;  Seyrig,  op.  cit..  .^70.  fig.  I; 
Kahn,  op.  cit..  117  IT. 

■"' Jalabcrt,  Louis,  Inscrif'tions  i/rcciiiies  ct  latincs  dc 
Syrie.  157  flf.  and  pi.  II,  Beirut.  1906;  Baudissin,  (Iraf 
W.  \\'.,  .Idonis  und  F.smnn.  299  .-md  pi,  IX,  fig.  1.  Leipzig, 
1911. 

*"  This  was,  more  or  less,  the  current  opinion  recently 
refuted  l)y  Will,  K.,  /..•  relief  cultucl.  259  f. 


metaphors  as  realities  into  the  pagan  ])a.st.^'*  The 
l)rol)lem  should  perha])s  he  attacked  in  a  less 
straightforward  and  more  circumstantial  way. 

Treacherous  though  it  is  to  start  from  a  modern 
])arallel,  we  shotild,  nevertheless,  recall  the  fact 
that  the  custom  of  Kuro])ean  monarchs  to  a])i)ear 
almost  ])erpetually  in  some  regimental  uniform, 
or  in  that  of  a  general  of  the  army,  was  a  very 
late  one.  It  hegaii  in  the  eighteenth  century, 
and  hecame  the  general  hahit  a])parently  only  hy 
the  time  of  the  \a|)oIeonic  wars  and  thereafter. 
That  is  to  .say,  it  hegan  at  a  time  when  the  con- 
tinental nations  asserted  them.selves  as  military 
monarchies,  with  a  j)revalence  of  the  military  at 
large. 

.Something  similar  nui.st  have  ha])pened  in  the 
military  monarchies  of  the   Hellenistic   world. 

1  )  There  were,  in  classical  times,  citizens  hear- 
ing arms  and  i)roviding  their  own  armor,  hut 
there  was  not  a  uniformed  soldiery.^"  .Alexander's 
.h-(/yr(ispide.'i.  however,  his  corp.s  d'elitr  of  "silver- 
shielded"  guards,  were  a  uniformed  imit  which 
survived  the  death  of  their  king.  The  .Irf/yn'i- 
.•ipidci  were  continuefl  hv  some  of  the  Diadochs, 
notaliK'  h\  the  Seleucid  rulers  of  Syria.'"  More- 
over, in  the  Hellenistic  monarchies  the  mercen- 
aries received  their  arms  and  armor  from  the 
ro\al  arsenals  instead  of  themselves  ])roviding 
for  their  armature  as  private  citizens. ''  The  same 
hecame  true  in  Rome.  Ever  since  the  times  of 
Marius  the  legions  carried  standardized  arms  and 
armor,  eveti  though  the  individual  legionary  had 
to  pa\  for  his  eciuipment :  its  value  was  gradually 
deciucted  from  his  ]);iy  in  monthly  in.stalments.''- 
.-\t  anv  rate,  from  the  Hellenistic  ])eriod  onward 
we  mav  talk  alK)ut  "uniformed"  soldiers. 

2)  We  have  to  consider  the  cuiras.sed  statues 
of  kings  and  generals  and  recall  their  history.     Tn 

*•<  \'on  Bissing,  ./,i/.v/'//.fi7ic  Kulthildcr.  22  f..  1936; 
against  his  hypothesis,  see  Will,  op.  cit..  206  f. 

■"*  The  military  costume  had  no  roots  in  the  national 
traditions  of  the  East.  "Ceci  i)our  la  bonne  raison  qu'il 
n'e.xistait  pas  d'uniforme  a  haute  epoque;  le  guerrier  se 
distinguait  du  civil  non  par  son  accoutrement  .  .  .  mais 
par  les  arnies  (|u"il  tenait  a  la  main."  Cf.  Will.  «/<.  cit., 
264. 

•"(7.  Droysen.  H..  .\rgyraspides,  KE2.\:  8001.,  1895; 
also  his  Uccrx^cscn  und  Kricfisfiihrunii  der  Gricchcn.  155, 
hreiburg,  1889;  and,  for  the  red  cloaks  of  the  Spartans, 
ihid..  24  and  155,  n.  2;  Plutarch.  Pliilopoimcn.  ii. 

■■■'  \'on  Domaszcwski,  .Mfred,  Bewaffnung,  RE  3 :  376, 
lines  60  f.,  1897. 

•■'-  Domaszewski,  op.  cit..  377,  lines  52  ff.  MacMullen, 
Ramsay.  Inscriptions  on  armor  and  the  supply  of  arms 
in  the  Roman  empire,  .liiicr.  Jour.  .-Irchacoloiiy  64:  2.^  ff., 
I960. 


n    u   u 

u    u      I 


381 


KRNSr  II.   K.W'IOROW  ICZ 


ll'KOC.  AMIK.   I'lUl..  M)C. 


VOL.    105,   N(l.    t,    \'>(i\\ 


r.ons   IN  TNIFORM 


382 


his  very  thorough  study  of  this  suhject.  Professor 
Cornelius  C.  Vernieule  has  jxnnted  out  that  cui- 
rassed  statues  hej^an  to  make  their  appearance 
sporadically  in  Hellenistic  times,  whereas  in  clas- 
sical times  generals  and  ])rinces  would  have  been 
represented  preferably  in  divine  or  heroic  guise, 
that  is,  more  or  less  naked  or  dra|)ed.'''  The 
earlier  Roman  cuirassed  statues  still  disi)la\ed  the 
influence  of  Hellenistic  armor ;  thereafter  Rome 
used  the  "muscled"  or  "body"  cuirass  which  often 
was  richly  decorated,  especially  the  ceremonial 
armors  of  emperors,  jjrinces,  and  generals.  The 
statue  of  Augustus  from  Prima  Porta  demon- 
strates that  decorated  cuirass,  while  the  bare- 
footedness  of  the  emperor  still  seems  to  suggest 
the  nudity  of  the  gods.  The  high  tide  of  imjjerial 
cuirassed  statues,  however,  falls  in  the  second 
century  after  Christ  when,  according  to  Professor 
\'ernieule,  "one  senses  that  the  emperf)rs  sys- 
tematically i)opulated  the  cities  of  North  Africa 
and  Asia  Minor  with  their  cuirassed  statues."  ''* 
And  in  another  connection  he  stresses  the  fact 
that  "the  Trajanic  and  Hadrianic  periods 
produced  the  greatest  number  of  |  cuirassed] 
statues."  "^ 

3)  Together  with  the  history  of  cuirassed 
statues,  that  of  the  Roman  trophies  should  be 
considered,  that  is,  of  the  cuirassed  manne(|uins 
with  armor  i)laced  on  a  i)ole.  In  his  illuminating 
study  on  the  Roman  tr()])hy.  Professor  Gilbert 
Charles  Picard  has  pointed  out  that  this  ritual 
monument  of  victory  does  not  antedate,  in  Greek 
art  and  literature,  the  late  sixth  or  even  early 
fifth  century,  and  that,  when  it  achieved  greater 
popularity  in  Hellenistic  times  as  an  ex])rcssion 
of  Greek  triumjjhal  art.  the  tro])hies  celebrated 
mainly  the  Tychc  or  Eiitychia  of  the  victorious 
general,  his  luck  or  good  fortime.'''  In  the  Hel- 
lenistic monarchies,  however,  it  referred  also  to 
the  Arctc  oi  the  king.  In  this  sense,  the  trophy 
was  inherited   by  Rome  where   its  meaning  still 

^^  Vermeule,  Cuirassed  statues  (see  above,  n.  9),  7, 
Heckler,  .\nt(m,  Beitrage  zur  Geschichte  der  antiken 
Panzcrstatuen,  Jahreshcjte  des  iisterreichischeti  archiio- 
loi/isehen  Iiistitiits  19-20:  192  f.,  1919,  enipha.sizes  very 
strongly  that,  with  tlie  exception  of  a  coin  for  Thenii- 
stocies.  generals  were  not  represented  in  armor  (kiring 
the  classical  period. 

■■*  N'ernieule,  o/".  eit.,  7.  See  also  Hanfmann,  George 
M.  .-\..  .\  new  Trajan,  .liner.  Jour,  of  .-{rchaeoUiny  61: 
228,  and  226.  n.  18,  1057,  for  the  barcfootedness  of  .Au- 
gustus. 

■■'■''  \'ernieule,   of.  eit..  5. 

■""  Picard,  Gilbert  Charles,  Lcs  trophees  romains:  Con- 
tribution (I  I'histoire  de  la  reliiiion  el  de  I'art  triumphal 
de  Rome.  ?,6  ff.,  Paris,  19.S7. 


was  that  of  the  Fclicita.^  of  the  victor,  though  it 
was  linked  under  Augustus  also  to  the  Genius 
of  the  general,  to  the  gi'niii.f  .  Iiij/ii.tli.''  I'y  the 
second  century  of  our  era,  the  theology  oi  fiu- 
tycliid.  or  Latin  Pi'licifn.w  was  gradually  ecli])se(l 
by  that  of  the  /'/V/ikv  of  the  general,  that  is,  of 
the  em])eror  whose  I'irtits  pcrpctna  was  the  ulti- 
mate c;mse  of  victory.  Hence,  the  cuirass  tro])hies 
became  monuments  for,  or  symbols  ui.  the  vic- 
tories of  the  emperor  exclusively  and  of  his  I'irhi.s- 
invicta — one  of  the  axioms  of  the  late-imperial 
theology  of  victorv.'"  Perha])s  it  may  be  said 
that  the  cuirassed  statues  of  emperors,  which 
l)ecame  so  overalnmdant  in  the  Trajanic  and 
Hadrianic  j)eriod,  made  the  armored  ruler  him- 
self, as  it  were,  a  Tpjiraiov  'inxpvxoi'.  a  living  tro])by 
glorifying  the  emperor's  J'irtiis  pcrpctua.  his 
])erpetual  jirowess  and  moral  excellence. 

4)  There  is  reason  to  consult  the  evidence  of 
the  coins  as  well.  Professor  .\.  .Mfi'ldi  has  dem- 
onstrated strikinglv  that  the  Roman  emjjerors  in 
the  time  of  the  Principate  were  not  supposed,  or 
even  not  allowed,  to  wear  the  uniform  and  in- 
signia of  an  i)iip('nit(ir  within  the  potiicnitiii  of 
Rome — e.xcept  on  the  occasion  of  a  projcctio  or 
some  other  .strictly  military  event.''"  Normally 
they  wore  the  toga,  that  is,  civilian  clothes. 
Hence,  it  was  onlv  another  indication  of  the  final 
])revalence  of  the  military  over  the  civilian  (the 
latter  rejjresented  by  the  .Senate  i  that  eventually, 
as  has  been  a])tly  remarked,  the  jacadc  civile  gave 
way  to  the  rcalitc  iiiilitairc.''"  By  the  end  of  the 
first  century  the  em|ieror  wore  almost  always, 
even  within  the  poiiirriiiiii  of  Rome,  military  at- 
tire with  the  attributes  and  insignia  of  his  rank, 
exce])ting  only  the  occasions  when  he  ])erformed 
religious  functions  or  met  the   Senate. 

The  coins  illustrate  this  develo])ment  with  all 
the  clarity  that  we  could  desire.  The  obverse 
side  of  Roman  coins  di.sjjlays  as  a  rule  the  portrait 
head  of  the  emjiernr.  Of  the  Julian-Claudian 
house  there  is.  with  the  exception  of  one  sestertius 
of  Nero,  not  a  single  coin  which  shows  the  em- 
peror  other    than    naked,    that    is.    b.-ire-necked."' 

•■■  Picard,  up.  eit..  168,  268  fT. 

"'*  Picard,  op.  eit..  371  fT. ;  sec  466  ff.,  for  the  inii)erial 
theology  of  victory. 

■'■■'  .Mfoldi,  Insignien  und  Tracht  der  roinisclien  Kaiser, 
Ih'ulsehes  arehdoloi/isehes  IiislituI:  h'tniiisehe  Milteil- 
umien  50 :  9  ff.,  4.^  ff.,  47  f.,  19.?.s, 

™  Alfaidi,  op.  eit..  4.i 

'"' Cf.  Mattingly  1:  p.  d.xxi,  an<l  ])!.  X!,i,  fig,  1  (p. 
215,  No.  111).  For  Galba,  see  1:  p.  Ixiv,  and  pi.  I.II. 
fig.  6  (p.  310,  No.  1.^).  This  refers  only  to  tlie  portrait 
on  tlie  obverse  side  of  the  C(jins  ;  for  on  tiie  reverse  the 


» 

i 


Cuiras.sed  |)ortraits  on  coin.s  remain  extremelv 
rare  mitil  the  end  of  the  lirst  centurv.  Then, 
under  the  emperors  by  adoption,  the  cuiras.se<l 
image  is  found  more  frecpiently ;  it  begins  to 
|)revail  in  the  .second  half  of  the  second  centurv. 
In  the  third,  the  naked  bust  becomes  almo.st  ob- 
.solete  and  a  real  rarity,  though  it  is  still  occasion- 
ally found  under  Sejjtimius  Severus,  Caracalla, 
and  (ieta,  and  later  under  Gordian  III,  Gallienus, 
and  Probus.  The  naked  bust,  however,  is  regu- 
larly tound  on  coins  commemorating  the  conse- 
crated rulers;  it  becomes  a  |)rivilege  of  the  Diz'i."- 
The  last  pieces  showing  the  em])eror  naked,  that 
is,  hare-necked,  are  a  few  beautiful  medallions 
of  Constantine  the  Great,  one  of  which  shows  in 
the  rever.se,  significantly,  the  em])eror  in  uniform 
carrying  a  tro|)hv  over  his  left  .shoulder,  with  the 
iiLscription :  \1RTUS  CONSTANTINI  AUG. 
(fig.  ^2  }.''■'  Thereafter,  in  Christian  times,  all 
coins  show  the  emperor  either  dra])ed  or,  prefer- 
ably, cuirassed  and  armed  and  often  helmeted. 
The  military  virtus  of  the  emjjeror  and  the  mili- 
tary costiune  have  coiiijuered  heroic  or  divine 
luidity. 

5)  The  evidence  of  the  coins  su])ports  the 
observations  of  Professor  X'ermeide  who  remarks 
that  the  earlier  im])erial  cult  statues  ])ortrayed 
emi)erors  and  ])rinces  in  divine  and  heroic  guise 
rather  than  in  armor. ''^  In  other  words,  there 
originally  was  an  iiiiilatin  dcontin  on  the  part  of 
the  eiu])erors  and.  before  their  time,  on  the  part  of 


is 

I'll,.  .52.     I  Jumbarton    Oaks,    gold    medallion:    I'irtus 
(.(>ii.\-laiitiiii. 


emperor  was  shown  even  at  an  earlier  date  wearing  the 
cuirass;  see  Alftildi,  np.  eit..  47  f.,  with  tig.  5. 

"-  Delbriick,  R.,  Die  }fiiii:hildnisse  7'on  .Ma.riminus  his 
Carinus.  27  ((.,  100  f.,  128  f.,  I^erlin,  1940,  who  emphasizes 
that  the  bare-necked  portr;iits  (less  rare  after  A.li.  260) 
referred  above  all  to  deified  emperors. 

"■'  For  specimens  of  these  medallions,  see  Bellinger, 
Alfred  R.,  Roman  and  Byzantine  medallions  in  the 
Dumliarton  Oaks  Collection,  Dumbarton  Oaks  Papers 
12:  123  ff.,  and  f^gs.  7-11,  l.?-14,  1958;  .see  also  figs.  20 
and  28  for  Constantine's  .sons,  and  j).  132  for  the  de- 
scription of  the  I'irtus  medallion   (fig.  7). 

"■•  X'ermeule,   Cuirassed  statues,  7. 


Fir;.  33.     British  .Museum,  aureus   (enlarged)  : 
Septimius   Severus. 

the  Hellenistic  kings.  The  armored  .statues  of 
so  many  gods  seem  to  indicate  the  reverse  cur- 
rent: an  imitatio  iinpcnUoruni  on  the  part  of  the 
gods. 

An  aureus  of  Septimius  Severus  may  illu.strate 
this  fact  and  lead  on  to  .some  further  observations 
(fig.  ?>?>).'^''  The  coin  .shows  the  sun  god  stepping 
on  his  chariot,  the  steeds  ready  to  climb  the  skv 
which  is  indicated  by  cumuli  of  clouds  arching 
over  a  Tellus  who  with  her  coriuico])ia  rests  com- 
fortably reclined  as  though  in  an  age  of  |)lentv 
and  |)eace.  The  god,  naked  excejit  for  his  Hutter- 
ing  shoulder  cape  is,  however,  not  .Apollo,  but  an 
.Apollo  sporting  a  ixiinted  beard,  that  is,  an  .Ajxillo 
having  the  features  of  .Se])timius  .Severus.  The 
message  of  the  coin  is  obvious.  When  the  em- 
peror rises  (and  his  rise,  Orietis  .lu</usli.  is  a 
daily  event  like  the  ri.se  of  the  sun  I ,""  the  hearth. 
Tellus.  is  in  a  state  of  grace,  of  peace,  and  of 
comfort,  in  the  state  of  a  new  felicitv  of  a  dawn- 
ing (ioklen  .Age — Tuus  iaiii  regnat  Apollo  as 
visualized  by  Virgil  in  the  Fourth  Eclogue.  .Sej)- 
tiniius  .Severus  did  not  introduce  the  design.  It 
is  found  on  a  phaleni,  a  ])la(|ue  serving  as  a  deco- 
ration on  the  tra])])ings  of  horses  or  of  an  armor, 

'■'■"'  Mattingly,  Coins  of  the  Roman  Empire  in  the 
liriti.sh  .\ru.u-um  5:  57,  No.  226,  pi.  X,  tig.  19  (  a.d.  197). 
To  this  <ii(n'».f  in  the  British  Museum  Professor  .Andreas 
.Alfiildi  obligingly  called  my  attention,  providing  me  at 
the  .same  time  with  a  jiboto. 

''"  I'or  this  i)robIein,  see  my  forthcoming  study  Oriens 
.tui/usli. 


n   u   u   u 

u    u      I    u 


383 


KRXST  H.  KANTOROWirZ 


IPROC.  AMFR.   I'HIL.  S.OC. 


VOL.  105.  NO.  4.  IO61I 


C.OD.S   IN   IMKOKM 


384 


now  in  the  Vatican  ( fig.  34  i .  and  ascri1)ed  to  the 
j^-cond  century  after  Christ.*'"  It  is  further  found 
on  a  bronze  medallion  of  Antoninu.s  Pius,*"  and 
on  two  of  Commodus.*"  While  one  of  the  Com- 
modus  issues  clearly  shows  the  youthful  sun  god. 
the  other  one  shows  the  deity  l)earded  like  Com- 
modus.  The  em];)erors  in  their  nakedness  thus 
indulged  in  an  imitatio  dcorum.  But  the  C)pposite 
trend,  closely  connected  with  the  militarization  of 
the  imperial  apj)earance.  made  itself  felt  as  well. 
A  relief  from  Ephesu^  of  the  time  of  Marcus 
Aurelius  shows  approximatel}  the  same  scene.'*' 
Here,  however,  the  j>erson  stepping  onto  the 
chariot   is   clearly   the   em];»eror   wearing   imjierial 


Fig.  .'4.     \'ati.an.    phalera :    Sol    In'.'icliis    Anciustus 


*•  Guarducci.  Margherita.  Sol  invictus  augnstuj..  Rcndi- 
conli  drlla  Pont.  Accadcm.  Romana  di  archcologia.  ser. 
3,  30-31 :  161  ff..  1957-1959.  tentatively  dated  the  phalrra 
second  centurj-.  The  inscription  in  the  exergue  reads : 
InvmUiri  luris  Soli  ittx^iclo  auausto.  See  also  Cumont. 
F.,  Tcxirs  rt  monuments  2:  108.  No.  89.  ]  am  again 
greatly  indebted  to  my  colleague  .Andreas  .Mfoldi  for  a 
I>hc>to  of  this  plaque. 

"•■  Gnecchi.  F.,  /  m-cdaiilioni  rom.ani.  pi.  L.  fig.  6.  Milan. 
1912:  cj.  p.  16.  No.  67.  See  also  Toynbee.  Jocelyn  M.  C. 
Thr  Hadriamc  School,  pi.  XIX.  fig.  8.  and  p.  141,  n.  5. 
Cambridge.  1934. 

""Gnecchi.  op.  cil.  (supra,  n.  68).  pi.  LXXVIII.  figs. 
.V4.  and  p.  S2.  Xos  3-4;  TojTibee,  op.  at.,  pi.  XIX.  fig.  9. 

'"  Heberdey.  R..  in  Jahrrshfjtr  dcs  ostcrrckhtschrn 
archiiologischm  Insiituls  7.  Beiblatt  55  f.,  1904 ;  Reinach. 
S..  Repertoire  dc  rcliejs  qrers  rt  rcmain.'t  1  :  144.  fig.  3; 
Paris.  1909:  Mrs.  .Arthur  Strong,  in  Jour.  Roman  Studies 
1:  39  f..  pi.  XII.  1911.  and  htr  Roman  sculpture  from 
.Auxmstus  to  Constantino'.  295.  London,  1907;  To>Til)ee. 
op.  cit..  141  and  pi.  XXXll,  fig.  3. 


1  >ura-Europo 


Z..U-    Tl 


uniform — the  cuirass  with  metal  ptcrygcs  and 
sash.  The  chariot  is  seen  also  in  a  wall-painting 
at  Dura,  in  the  shrine  of  Zeus  Theos  (fig.  33)."' 
Here,  however,  the  god.  holding  lance  and  glolie. 
is  not  naked.  He  is  dressed  in  Hellenistic- 
Parthian  costume,  the  paludamcntum  held  hy  a 
golden  fibula  on  his  shoulder.  Actitally.  the  sun 
god  himself  appears  in  full  imjferial  dress,  though 
not  in  military  attire,  for  example,  fin  a  stele  from 
Asia  Minor,  now  in  the  Mu>etmi  at  Leyden  (fig. 

\W  notice  that  the  imitatio  dcorum  on  the  part 
of  the  em^jerors  was  supplemented  by  an  imitatio 
impcratorum  on  the  part  of  the  gc»ds.  This  prin- 
ciple ctf  mutual  imitatifin  was  actually  carried  so 
far  that  after  the  mc>del  of  the  imperial  apotheosis 
( the  emi>eror's  ascent  on  an  eagle  i  the  gods  in 
Egvpt  were  "apotheosized"  after  the  same  fashion 
although  as  gc>ds  they  were  not  in  need  of  an 
ajKitheosis.'"  But  the  same  idea  is  found  in  .^yria 
as  well  where  a  tetradrachme  of  the  third  century 
shows  the  same  design.'*    That  is  to  say.  the  gods 

■'  RostortzefT.  Dura-Europos  and  its  art.  pi.  XIII. 
lacing  p  74:  cf.  Grabar.  .Andre.  .Martyrium  2:  140  f.. 
Paris.  1943. 

■-Leyden.  Rijksmuseum  van  Oudheden.  to  which  1 
am  much  obliged  for  providing  me  with  a  photo.  The 
stele,  as  Professor  F.  K.  Dorner  kindly  informed  me. 
has  t>een  published  by  Ctmont  F..  in  Comptes-rendus 
de  VAcademic  des  inscriptions  et  belles-lettres,  270  ff.. 
1915:  cj.  Wikander.  Stig.  Feuerpriesier  in  Klrinasien 
und  Iron.  4  f..  Lund.  1946. 

"'•N'ogt.  }..  Die  alexandrinischen  Miinzen,  73  f.,  Stutt- 
gart. 1924.  calls  attention  to  this  apotheosis  of  gods:  see 
also  Cumont,  F..  in  Rnve  d'hisloire  des  religions  62 : 
138  f..  1910. 

■*  See.  e.g..  Bellinger.  .Alfred.  The  Syrian  ietradrachms 
oi  Caracalla  and  Macrinus  (Numismatic  Studies  3).  pi 
IX,  fig.  2.  New  York,  1940. 


Fig.  36.     I^eyden.    Rijksmuseum.    stele :    .XjkjIIo   and 
-Artemis. 


were  treated  as  though  they  were  emjx-rors.  and 
the  emjx-rors  as  though  they  were  gfxls. 

6»  There  is  yet  another  argument  which  has 
l>een  advanced  to  explain  the  military  costume  of 
so  many  gf»ds  in  Egypt  anrl  the  Xear  East,  and 
this  has  to  l)e  considered  .serifuisly.  It  has  l>een 
suggested  that  the  military  attire  may  have  ren- 
dered many  of  the  foreign  gf)ds.  the  dii  percf/rini. 
more  acce]jtable  '■  to  the  Romans  who.  as  we 
know,  often  ecjuated  the  foreign  gfxls  with  their 
own.  at  least  in  name,  though  not  always  in  sub- 
.stance.  Hence,  while  the  god>  of  the  Roman 
Capitol  were  always  rejjresented  as  gfnis  an<l  not 
as  officers,  if  we  except  Mars  who  jjrofessionally 

•^Will.  E..  Le  relief  cultucl.  27(i  f . :  "[JOUr  ks  rendre 
acceptables." 


was  often  shown  in  nu'litary  guise ; '"  and  while 
it  would  not  have  occurred  to  the  Romans  to  ]nit 
their  own  |uj)iter  into  a  uniform,  it  was  different 
with  the  foreign  gods.  The  (/;/  pcrajrini  were 
assimilated  or  romanized  by  means  of  their  luii- 
form.  no  matter  whether  the  impulse  may  have 
come  from  the  Orientals  or  fmm  the  Romans. 

If  we  now  review  our  arguments — (  1  )  the  late 
ai^jx-arance  nf  uniform  military  equi|)ment ;  (2) 
the  (leveln])nient  of  the  cuirassed  statues:  (3) 
the  development  of  the  armored  tro])hies  ;  (4  )  the 
(levelo])mein  of  the  cuirassed  coin  ])ortraits  of 
Roman  em])erors  replacing  the  bare-necked  ])or- 
iraits;  ( .^  )  the  interrelation  of  imitatio  dconiiii 
nil  the  ])art  nf  the  emixrors  and  imitatio  impcra- 
torum on  the  part  of  the  gods;  (6i  the  tendency 
ti>  romanize  the  dii  pcrcgrini  by  means  of  display- 
ing them  in  military  attire — we  have  a  consider- 
able numl)er  of  clues  at  f)ur  disposal  suggesting 
hnw  it  came  about  that  so  many  gods  of  Egypt 
and  the  Xear  East  were  represented  in  uniform. 
Xfir  will  it  l)e  reallv  surprising  t<i  find  that  also 
the  last  of  the  oriental  and  foreign  gods  pene- 
trating, and  finally  cimquering.  the  Rnman  em])ire 
fell  in  with  thi.>  genera!  militarization  and  im- 
l)erialization  of  the  deities.  Christ  was  re])eatedly 
represented  with  the  im])erial  purjjle  chlamys 
around  his  shoulders,  as.  fnr  examjjle.  in  the 
ceiling-painting  of  the  Roman  tomb  of  Clodius 
Hermes,  ca.  .\.v.  230;  •'  that  is  at  a  time  when 
also  the  expression  Christ  us  Impcrator  had  be- 
come relativel\  common.'"  Even  the  victorious 
cross,  taking  the  place  oi  the  pagan  trojjhy.  was 
si.metimes  clecorated  with  the  imperial  ])aluda- 
mentum.  which  is  found  also  as  a  sjiecial  decora- 
tion of  the  jjagan  victory  tro])hy  the  crossl)eam  of 
which.  sup]>orting  the  cuirass,  may  have  ]iroduced 
some   similaritv    with   the   tropacum    Crucis    (fig. 

'•See,  e.g.,  Xermcule,  Cuirassed  statues,  pi.  \1I.  fig. 
24,  for  Mars  Ultor  in  the  Capitoiiiie  .\Iuveum,  in  Rome. 
On  coins,  of  course,  he  is  also  very  <jften  in  strictly 
military  attire;  see,  e.g.,  Dattari,  .Viimi  Augg.  Alex- 
andrini.  pi.  IX,  where  .Ares  api>ears  both  in  the  nude 
(no.  2464)  and  cuirassed  (no.  2¥i)\  in  the  times  of 
.Antoninus    Pius    (see  above   fig.    1    a-l>). 

"■  W'irth,  Fritz.  Romische  H'andmalerei  'com  I'ntcr- 
gang  I'ompejis  his  ans  linde  des  drilteii  Jahrluiiiderts, 
190  and  pi.  .sO.  Berlin.  19.M:  tomb  of  Clixlius  Hermes 
ica.  A.D.  230),  painting  in  the  ceiling  <if  one  of  the  niches. 

'•  See  Peterson,  Erik,  Christus  als  Imperator,  in  his 
Theologische  Traktale.  151  flF.,  .Munich,  1951  ;  also  Koll- 
witz,  J..  Christus.  Heallexikon  jitr  .Uttike  und  Christcn- 
lum  2 :  1257  flf.,  1954. 

'*  .See  P.aradez.  J.,  and  .\l.  I.egiay,  l.a  tToi.x-tropliee  et 
le   reliquiaire   dWioun-l'.erich,   Cahiers  archcologiques  9: 


n   u   u   u 

u    u      I    u 


365 


ET<.NST  H,  KANTORCmiCZ 


li'Kor,  AMr.K    I'frii.   soi 


veil..   MIS,  VO.  4,   IMhil 


TtODS  in  r\lF(^RM 


386 


^utt^ftnclerT:  c^b<xf\lifatm  iiiauLi^\-. 


Fi(,. 


1  ropat'uni  Oucis  and  1  ropliy   (  \'ortii  Africa). 


Christ  III  military  attirt.  howt-ver,  is  rather 
rare.  A  terracotta  funerary  i)la(|Uf  of  earl\  Mero- 
viiif:iaii  times  is  tod  worn  and  its  jjhotopraphic 
reproduction  to(i  indistinct  to  control  its  editor's 
contention  according  to  which  Christ  was  re])re- 
sented  in  the  costume  of  a  Roman  pfeneral  holding 
a  glolie  in  his  hand  and  stepping  on  the  lion  and 
the  dragon,""  It  is  (|uht  likely .  however,  that  the 
editor  was  correct.  For  in  connection  with  I'salni 
^0:  13:  "Thou  shah  tread  upon  the  adder  and 
the  hasihsk.  the  lion  and  the  dragon  shall  thou 
trample  under  feet."  St.  .A.ugu.stine.  in  his  Emtr- 
nitums  ini  the  I'salins.  leh  nichned  to  .stvle  Chrisi 
the  wtpcratnr:  and  his  commentar\ .  through  tht 
agency  of  the  ordinary  I'salter  gloss,  remained  in- 
fluential throughoiu  the  Middle  Ages."'  Thi.- 
then  may  lie  the  reason  for  the  somewhat  jyer- 
jilexing  fact  that  the  rare  medieval  representation.- 
of  Christ  as  a  warrior — Cliristus  utiles  or  Cltristit.'^ 
hflli(icr — .serve  mostly,  though  not  exclusiveh ,  a^ 
an  illu.stration  of  this  Psalm  versicle.  Christ  in 
medieval  armor  is  found,  for  examj)le,  in  the 
!nnth-centur\  Stuttgart  I'salter  (fig.  38 1.*-  and 
also  on  the  right  end  of  the  Hadelinus  Casket  in 


?>~»J 


\ 


Fi(..  38.     .Stuttpart,   P.salter :   Ps.   XC,   13. 

Vise,  of  the  late  eleventh  centur\  ( fig.  3^' )  ."•' 
In  hoth  cases  the  warrior  Chrisi  wears  the  purjile 
chlamys,  and  holds  in  his  left  hand  the  hook,  in 
his  right  a  lance  or  a  staf^" :  in  the  I'salte^r  minia- 
ture he  even  wears  the  inijierial  shoes  leaving  the 
toes  tree. 


77.  fip.s.  2-3.  19S7:  for  tlu  prDbiem  in  {reneral.  .s«  Pitanl 
Ciilliert  Ciiarles.  Lcs  triipli,-fs  rinmitm.  A^A  fi..  Pan.s 
M'.v.  and  (iral)ar.  .'\n(ire,  L'cmpi'rcur  daus  I'art  hx::autiii. 
_'3"  fi.,   Stra.sl)()nrp  and  Paris.   WM) 

""  Lantior.  Raymond,  I'iaquc  iunerairt  d(  tt^rrc-cint! 
nierovnipitMUn.,  Jahrbtich  lies  Komiscii-Cit'nmmixciwi 
■f  y.cnlntlmu.srwiis  1  :  2.57  1..  l'>.^.  a  .stud>  tn  wliicli  Miss 
Mar\    Moreliart   oblipiuply   called   my   attention, 

"' .*\upu.stine,  hiiarratiimcs  in  f'salwos.  XC.  5;  Mipne. 
}'atroi(iiu  laliiw  37:  1163;  rj.  Kantorowicz.  E.  H.,  Tlir 
kwii's  tu'i'  Ixidics.  71  {.,  n.  69.  Princeton.  l'>57,  lor  .sonu 
later  radiations. 

"-  S  1  n  t  t  p  a  r  I.  Wurttembcrpisclit  Lande.sbibliotliek  : 
P.salter,  ed  Erne.st  J.  DeWaid,  Tin  Sluttiiart  f'sullfr. 
lol    107\  Prmcetoii.  IWll, 


Fi(„  3**,     \"i.st.  .slirim   of  St    Hadeinu  :   P.s.  XC,  13. 


"■'Baird,  .Mice.  Tlit  Shrint  of  S.  Hadeline,  Vise, 
Hurliui/ioii  Muiiuziui  31:  2(1  and  ])lh.  I-ll,  l'n7:  Heibip, 
1,,  Art  Miisiin  1:  ]il    faciup  y.  44.  Hriixelles.   14(K,. 


C<L. 


i-K..  4w.     kavfnna.  Archifj>iscci;ia.i   Chajiel :   P.s.  Xc   13. 


7'he  general  ])attern  of  these  re].)resentati(>ns 
has  its  history.  In  tht  Archit-piscopal  Chajiel  at 
Ra\'enna  we  find  a  mosaic  picturing  Christ,  hold- 
ing the  hook  in  his  left  hand  and  shouldering  the 
cross-stafT  with  his  right  in  exactly  the  fashicm  in 
which  Constantine  (  see  fig.  32  i  carries  the  trophy. 
He  stands  on  lion  and  dragon — not  as  Chrislus 
miles,  but  in  the  full  and  authentic  uniform  of  a 
Roman    hnpcraior    (fig.    401."*      Over    a    kmg- 

"■'  Wiliiert,  J„  />»/■  ritmtxrhm  Mosoikni  und  Malcrrini. 
pi.  89  and  p,  47,  Freiburg,  1917.  The  lower  part  of  the 
nio.saii  i.s  restored,  whicii.  however.  di«'s  iiol  afTect  the 
presein  arputnent  Photo  hy  c(,)unesy  of  tl»e  fjemian 
Arcbaeoiopical  Institute,  ni  Kome  (No,  58.539),  Set- 
also  Grabar,  Andre,  L'empereur  dans  t'art  bysantin,  237 


sleeved  tunic,  he  wears  a  golden  cuirass  with  <inc 
row  of  small  pteryges  from  which  the  leather 
flaps  dangle,  fringed  at  the  ends.  His  shoulders 
are  protected  by  similar  leather  tabs.  His  sash 
is  hardly  \-isible  Ijecause  most  of  his  cuirass  is 
covered  by  the  puqjle  paludamcnium.  Tlie  purple 
itself  is  fastened  at  the  right  shoulder  by  a  nnmd 
filnila  framed  by  a  circle  of  j.>earls  or  stone?. 
From  the  filmla  there  dangle  three  l<jng  jx^ndants 


ff,,  and   I-awrence.   Mari'«n.   Thf  sarcophagi  of  Havrnna 


I  Monographs  on  At   ' 

]3().      194?.     f..r     ad. 

\^  eigaiid,    1 

nlmbu^,  Byz  .2 


'    Arts  2).  26,  n. 
y,     S«?e     further 
iie»    Chrisli^ramm- 
73  flF,,  1932,  ' 


,4.1.  i  t.  t  .^ 


r-<-€xtM-oi.   ifctci*.u-^t^  tj^i-^ 


n    u    U    U 

U    U       I      I 


387 


KkN'S'I    U.   KAN'IOkOWlCZ 


IPKOC.  ami  H     I'HII..   MK. 


vol..  in.";,  NO.  4,  iflfii] 


TrOnS   IN    I  \IR)RM 


388 


I'lo.  41.     Ravenna.     .San     \itali 


lustiniaii. 


ei)nii)(>.se(l  of  stiff  golden  ]>in^  ending   in  a   larfjc 
pearl  each. 

The  tihiila  with  three  ])eii(iant.'-  of  pearl.s  i.--  one 
of  the  forenio.st  im])erial  insifjnia  re.served  for 
the  eni])eror.s  exclusively.'*  We  know  this  insi^^- 
nia  from  the  Madrid  silver  luissoriuiii  of  Theo- 
dosius  1.  where  the  eni])eror  as  well  a.--  his  two 
sons  and  C( t-caesar.--  (lis])lays  the  tihula  with  the 
three  |)endants,*"'  and  from  the  mosaic  of  Justinian 


■'■  Fr)r  flu  fibula,  set  Dell)rnck.  Richard.  Dir  Coii- 
sjilardiflychcn  und  'mi'andtr  Dcnkmdlcr.  text  p.  40, 
Herlin.  192()-I92<':  Deer,  josel,  Dcr  Ktiisrronuil  I-'ricd- 
richs  II..  4S  fif.,  Bern.  1952.  with  full  biblKjjrraphy,  and 
Kin  Doppelbildnis  Karl>  des  (irossen.  J-orschumiai  sur 
Ktmstficschichtc  und  christlichni  Archdoloflic  2:  HI, 
195.^;  see  also  Kantorowicz,  Tin-  kiti/is  /ico  bodies.  416, 
11.  Ml.  for  the  later  development. 

"'■Grabar,  o/'.  cil.  {sufira,  n.  84 1,  pi.  X\'l  ;  also,  for 
the  bibliography.  Dellirnck.  Cou.tiilardif>tyiiini.  235  fif.. 
No.  62.  For  a  better  reproduction,  sec  Deer.  Kaiserornat 
brirdrich.<:  II..  pi.  XXI\'.  tigs.  4-5.  who  (p.  4'' t  for  gocxl 
reasons  believes  that  the  new  type  of  the  fibula  with  three 
pendants  does  not  antedate  Constaiitine  the  Great  (cu. 
A.u.  315). 


ill  .San  \itale  at  f-Iavenna  (  fi^;.  41  ).""  Contrari- 
wise, the  imperial  ^^overnor  of  Hermopolis.  .'Xjih- 
ro(lisiu>.  seen  in  the  mosaic  of  the  arch  in  .Santa 
Maria  Ma{jf,nore.  in  Rome,  displays  a  tihula  with 
no  more  than  tw<i  pendants.'*''  That  is  to  .say, 
Chri.st  is  represented  in  the  correct  uniform  of  a 
Roman  fjeneral  or  rather  an  emperor,  including; 
the  correct  insifjnia. 

Tile  Ravenna  mosaic  of  Chri.st  triumphant  over 
lion  and  draf^on  is  the  la.st  rcpre.sentation  of  what 
ma\    he  called  a  {jod  in  miiform.     It  is  true  that 


Imo.  4_.     kanye    uaniii.    istaiil)ui.    wall    paiiitmj;  : 
St.    George 


"'The  mosaic  has  been  reproduced  very  often;  see  e.g., 
(irabar,  of<.  cit.,  pi  XX.  fig.  1  ;  von  Simson,  Otto  G., 
Sacred  /■ortrcss.  pi.  Ill,  Chicago,  1^4^;  see  also  pi. 
XXN'II,  for  the  mosaic  in  Sant'.-Xpollinare  in  Classe, 
where  only  the  ruling  emperor,  Constaiitine  I\'  Pogo- 
iiatus,  has  the  fibula  with  the  three  pendants,  hut  not  his 
soils  Heraclius  and  Tilierius,  altiiough  they,  too,  are 
haloed,  l-'or  a  third  mosaic  l  of  either  Theodorich  or 
Justinian  I,  see  von  l.oreiitz.  I-r.,  Theoderich — iiicht 
lustinian.  kiimisclir  MitlcUutuicn  50:  M^  ff..  pi.  LXI\'. 
1935. 

''^  Wilperi.  Dti-  romisclicu  Musaikai,  489  and  pis.  6(»-6S< 


I 


X 


III..  4.1  «-/'.      Venice,  ."sail   Marco,  relief:    (ui    Jil.  George,   yci    ^t.  i 'erneinus. 


certain  saints,  especially  in  Byzantine  art,  were 
imifornied  even  in  later  centuries,  and  their  tunics 
sometimes  reveal  that  they  were  enlisted  in  cadres 
of  the  im])erial  ^'uards.**"  The  two  Saints  Theo- 
dore (  .Stratelates  and  Tiro).  Saint  Georpe.  Saint 
Demetrius.  Saint  I'rocojiius,  and  Saint  Mercurius 
still  apiiear  in  the  late  thirteenth-century  frescoes 
of  Kariye  Camii,  at  Istanbul,  in  their  traditional 
late  Roman  uniform  (fig.  42).'"'  and  even  in  rela- 
tively modern  ( .seventeenth-  and  eijjhteenth-cen- 
tury  )  Russian  icons  these  saints  are  rejiresented 
(|uite  often  in  their  (|uasi-classical  militarx   attire. 

""  Delbriick,  R.,  Der  s))atantike  Kaiserornat,  Die 
Aiilikr  8:  20,  1932.  indicates  that  the  military  saints 
wore  torques,  and  that  the  trinimiugs  of  their  tiniics  dis- 
closed their  attachment  to  various  guard  regiments;  see 
also  Treitiiiger.  Ott(j.  Ihe  ostriiniisehe  KuisiT-  und 
Reichsidce.  51,  Jena,  1938. 

'■"'  Delehaye.  H.,  Les  le!ieiide.\-  tirrrques  drs  saiitis  mili- 
taires.  2  ff..  Paris,  1909;  Underwood,  Paul  A..  Fourth 
preliminary  report  on  the  restoration  of  the  fwscoes  in 
till  Kariye  Camii  at  Istanbul  bv  the  Bvzautine'  In.stitute, 
I>nwharl,„i  Oak:-:  Piiprrs  13:  18*^.  192  f.,  195.  197  f.,  207, 
figs.  ,1.  4,  8,  10-14,  1".=;". 


Admittedly .  their  costume  no  longer  is  (juite  accu- 
rate and  tends  to  hecome  fantastic.  But  .Saints 
George  and  Demetrius,  in  their  relief  icons  of  the 
west  facade  of  San  Marco  in  \'enice  ( fig.  43  a-h  ). 
.still  show  the  correct  armor  of  late  antiquity  and 
di.splav  the  officer's  sash  tied  in  the  Hercules 
knot."' 

In  the  We.st.  >ome  saints  were  not  only  awarded 
knighthood,  hut  received  real  army  commissions, 
even  in  quite  modem  times.  It  was  a  jKiramili- 
tary  distinction  when  .Saint  Andrew  of  Amalfi 
was  made  a  knight  of  the  Golden  Fleece  by  Philip 
in  of  .Spain,  a  decoration  which  the  saint  actually 
wears  when  on  his  feast-day  his  statue  is  carried 
in  procession  through  the  streets  of  Amalfi.  But 
it  is  far  more  .startling  when  we  hear  that  .Saint 
-Anthony  of  Padua,  who  died  in  1231.  was  aj)- 
{•ointed  in  1731.  by  Philip  \'  of  .Spain,  an  admiral 
of  the  Spanish  Navy  with  an  admiral's  salary,  and 

"'  Demus,  Otto,  The  Church  of  .San  Marco  in  I'enice 
(Dumbarton  Oaks  Studies  6).  figs.  40-41.  Washington, 
D.  C,  I960. 


cA     atCd.ir^l'T^ta   'l-MJVt 


n    u    L 

u    u    J    u 


38') 


llRNSr   II.   KANTOKOWICZ 


|l'K(K  .  AMIK.   I'HII..   SIX  . 


VOL.    lOS,   NO.  4,    1961 1 


GODS  IN  INIFORM 


390 


that  the  Kitij;  himself  decorated  the  saint's  statue 
with  the  phinied  hat  of  an  a(hiiiral,  witli  the  he- 
niedaled  sash,  and  with  a  sword  and  a  niarslial's 
l)aton  (fi^.  44)."-  uniform  insifjnia  whidi  tlie 
.saint  wore  over  his  Franciscan  cowl.  A  few  years 
i>efore  that  event,  in  1710.  .Saint  Anthony,  a  native 
of  Portugal,  had  been  a])pointed  a  fjeneral  of  the 
Portujj^uese  army  in  the  field."''  In  a  way.  he 
shared  this  hi<,di  militarv  rank  with  Saint  .Sel)as- 
tian.  who  was  a  f;eneral  of  the  Portufjuese  army 
in  iLrarrison.""" 

What  was  <,M)od  for  the  mother  countrv ,  was 
jjood  for  the  colonw  Brazil,  where  militar\-  honors 
were  conferred  upon  .Saint  Anthony.  Hy  letter 
])atent  of  17.sl.  .Saint  Anthony  was  commissioned 
a  cajitain  of  infantry  in  the  Brazilian  arm\ .  ca])- 
taincy  of  Rio  de  Janeiro."'  This  rank  he  held, 
with  monthly  ])ay  of  4.000  cruzados  and  l)ack])ay 
of  540.000  cruzados.  until   ISIO.  when,  hy   letter 


Fig.  44.     St.   .Ainon.   hinshruck  :    .St.    Antlionv   of   Padua. 


'•'-' Klcinsclimidt.  Beda.  Aiitouitis  foii  Padua  ( Forscliuii- 
geii  zur  Volk.skundc  6-8).  .158,  and  fig.  ?M  (p.  .160). 
Diisseldorf.  IWI.  This  study  was  most  oblipiiigly  called 
to  my  attention  by  the  Rev.  P.  Paul  Grosjean.  S.J.,  in 
Brussels,  who  readily  provided  me  with  additional  in- 
formation. 

»•''  Kleinschmidt,  .liildiilus.  ^5^. 

9*  Op.  cil..  M). 

''■'  Op.  Lit.,  360  f.,  for  the  various  promotions. 


Fi(..  4.^.     .Admiral    .St.    .^llthony    and    the    Tyrol    Kaiser- 
jager    (postal    card    l'M4l. 

patent  of  October  25  of  that  year,  he  was  com- 
missioned a  major  in  the  Brazilian  arnn  with 
monthly  ])ay  of  .SO.OOO  cruzados.  .Vnd  finallv.  on 
July  2().  1814  he  was  promoted  to  the  rank  of  lieu- 
tenant-colonel of  the  Brazilian  Infantrv.  His  .sal- 
ary of  SO.OOO  cruzados  monthly  {ra.  $40 1  was 
actually  ])aid  to  him- — that  is.  to  a  Franciscan  con- 
vent in  Kio  de  Janeiro — until  1<^M1.  when  the 
Brazilian  jiovernment  revised  all  pavments  made 
to  churches  and  monasteries.  But  the  militarx 
rank  of  .Saint  Anthonv  was  not  forjjotten.  In 
\'-^4  the  Austrian  crack  rejjiment.  His  .-\])o.stolic 
Majesty's  Own  Tyrol  Rifle  Ref,nment  (  Tirolcr 
Kaiser jiif/cr  \.  went  to  war  protected  h\  .Saint 
Anthony  in  the  uniform  of  a  .S])anish  Admiral, 
who  had  his  cultual  center  in  the  Tvrol.  in  Inns- 
bruck (  f\g.  45  )  ."'• 

What  was  i)()ssil)le  with  rejjard  to  saints,  both 
Eastern  and  Western,  was  not  ])ossible  with  re- 
gard to  the  Christian  God.  Cliri.\-tii.s  hcUigcr  or 
mih\<;.  as  has  l)een  demonstrated,  was  re])resented 
occasionally  in  the  Middle  .^ges ;  but  he  wore  in- 
dividual armor,  and  not  a  uniform — siniplv  be- 
cause there  were  no  uniforms  in  the  Western 
Middle  Ages.  .And  when  in  the  late  seventeenth 
century  uniforms  again  made  their  a])pearance — 
the  Coldstream  (iuards  for  exam])le.  date  back 
to  King  Charles  II.  and  the  ])a])al  Swiss  Guard 

»«  Op.  cit.,  356,  fig.  341. 


to  the  pontificate  of  Pope  Julius  H,  while  the 
design  of  their  uniform  is  a.scril>ed  to  Michelangelo 
— it  no  longer  was  |)Ossil)le  or  lx»fitting  to  bestow 
u])on  the  Christian  God  the  rank  of  an  honorary 
colonel  of  the  Coldstream  or  Grenadier  Guards 
or  of  the  Irish  Guards.  Hence,  the  late-cla.s.sical 
idea  of  rejjresenting  gods  in  the  correct  militarv 
attire  with  the  insignia  of  rank  ended  in  the 
Ravenna  mosaic  of  Christ  defeating  the  lion  and 
the  dragon. 

How  are  we  to  explain  the  idea  it.self  of  pic- 
turing the  gods  in  the  uniform  of  ofificers  or  gen- 
erals." It  is  difficult,  of  cour.se,  to  give  a  .satis- 
factory answer  which  would  fit  all  circumstances. 
This  much,  however,  may  be  safely  said,  that  the 
cuiras.sed  statues  of  Hellenistic  kings  and  Roman 
emperors,  the  cuiras.sed  portraits  on  coins,  and 
also  the  di.splay  of  arms  and  armor  per  se  in  the 
form  of  trophies  shouldered  by  the  em])eror  or 
serving  as  a  decoration,  all  are  features  indicative 
of  the  ])rowess,  the  7'irtiis  of  the  i)erson  so  re[)re- 
sented  or  .so  honored.  In  a  similar  .sense,  the 
cuirass,  the  military  attire  of  the  gods  mav  have 
served  to  indicate  their  prowess,  their  virtus:  it 
was  the  virtus  of  the  Dio.scuri.  the  7'irtus  of  Horns. 
the  virtus  of  AsklejHus  or  of  the  oriental  sun  gods 
which,  just  as  the  virtus  of  the  emi)erf)rs.  was 
to  be  made  manifest  by  the  uniform  or  armor — 
and  finally  the  virtus  Chri.tti  imperatoris  defeating 
lion  and  dragon.®' 

Therewith  this  rapid  survey  contributes,  if  from 
an  admittedly  narrow  angle,  to  a  far  broader  prob- 
lem ;  that  is,  to  the  problem  of  the  survival  and 
the  continuity  of  pagan  iconography  in  Christian 
garb,  or  to  the  problem  of  the  transition  from 
])agan  .Antiquity  to  the  Christian  Middle  Ages. 
And  this  survival  by  transference  is  really  all 
that  this  paj)er  intended  to  demon.strate. 

.^PPENDIX 

Two  fragments  of  terra  sigillata  from  the  Ben- 
aki  Museum  in  Athens  came  to  the  author's  atten- 
tion only  after  the  manuscript  was  ready  for  the 
printer.""    Whether  they  are  relevant  to  the  prob- 

""  Picard.  Lrs  trophfc:  romains.  511  f. 

*^  I  am  greatly  indebted  ti)  Prt>fessor  Howard  Comfort, 
of  Haverford  College,  who  first  called  my  attention  to 
the  larger  fragment;  to  Professor  M.  Chatzidakis, 
Director  of  the  Benaki  Museum  in  ."Ktbens.  for  sending 
me  a  photograph  not  only  of  the  larger  fragment,  but 
also  of  the  smaller  fragment  hitherto  unknown  to  me ; 
and  to  Profes.sor  .\.  .Alfoldi.  my  colleague  at  the  Insti- 
tute for  .Advanced  Study,  for  patiently  giving  me  advice 
concerning  many  essential  items.  The  fragments  (  Benaki 
.Museum,  photographs  38.^.1  and  3834)    were  Ixith  l)ought, 


lem  di.scus.sed  in  the  preceding  pages  will  he  dififi- 
ctilt  to  decide.  But  since  the  two  ])ieces  are  as 
yet  unjniblished.  they  may  be  edited  here  never- 
theless whatever  their  value  may  l)e  for  the 
present  argument. 

The  fragments  (  figs.  46  and  47  )  form  the  ui)pcr 
and  upper  right  sections  resjjectively  of  a  rec- 
tangular dish  of  quite  fine  pottery  characteristic 
of  late  Roman  ware.""  The  di.shes  have  a  rela- 
tively high  rim  which  on  the  top  is  broad  enough 
for  the  dis])lay  of  ornamental  figures  produced  bv 
-Stamps.'""  Dishes  of  this  kind  are  well  known. 
They  usually  were  imitations  of  silver  dishes  pre- 
sented to,  or  by,  the  high  ofificers  of  the  Roman 
Empire,  cheap  copies  fabricated  en  masse  for  and 
purchased  by  the  ordinary  citizen— so  to  say, 
paper!)acks  as  compared  to  de  luxe  editions.'"* 
Those  dishes  could  l)e  round  when  coi)ied  after 
the  model  of  silver  missoria.  or  rectangular  when 
copied  after  a  rectangular  dish.'"-  Roman  law 
mentions  lM)th  and  even  discloses  their  technical 
name:   lan.v   quadrata   vel  rutunda.^"^ 

The  fragments  of  the  Benaki  Museuni  thus  be- 
longed to  the  type  of  lanees  quadratae  made  of 
pottery,  and  the  similarity  of  their  decorated  rims 
as  well  as  the  identity  of  the  design  of  the  central 
pieces  of  which  actually  a  third  sjiecimen  is 
known.'"*  make  it  clear  that  we  are  dealing  with 
objects  of  mass  production.  The  design  of  the 
center  emblema  .shows  two  horsemen  facing  each 
other  and  holding  their  horses  by  the  bridle,  using 
for  this  purpose  their  far  hands,  that  is,  the  right 
figure  the   right  hand  and  the   left   one  his   left. 

and  probably  found,  in  Egypt.  The  larger  fragment 
(fig.  46)  is  M  cm.  long  and  19  cm.  high,  the  smaller 
one  (fig.  47)  20  cm.  long  and  12.2  cm  high.  The  rim  is, 
in  both  fragments.  4  cm.  high,  and  it  is  ( in  fig.  46 )  5.3 
cm.  broad.  The  measurements  of  a  third  si)ecimen  (  see 
n.  106).  no  longer  existing,  but  reasonably  well  described, 
were  for  the  whole  dish  :  45  cm.  long  and  37  cm.  high : 
the  rim  was  2  cm.  high  and  5-()  cm.  broad. 

""  For  the  dishes  of  that  kind,  see  Wace,  .Alan  J.  B., 
Late  Roman  lottery  and  i)late.  Hullctiii  de  la  society 
royalc  d'archcoloyic  d'.Alcxandric  37 ;  47- .56,  1948,  a 
study  to  which  Professor  Homer  .A.  Thompson  kindly 
called  my  attention. 

'""See  Wace,  .52. 

'"'Wace.  54  f. ;  r/.  Fuhrmann.  H..  Studien  zu  den 
Consulardiptychen  verwandten  Denkmalern,  Hiimische 
.Vtitlrllionini  SS.  92-W.   1940. 

'"-Wace,  pi.  Ill,  reproduces  such  a  dish,  l-'uhrmann. 
93,  mentions  that  he  intended  to  deal  with  these  rec- 
tangular dishes  on  a  later  occasion,  but  he  died  Ijefore 
publishing  that   study. 

'"■' Diijcst.  6.1.6;  </.  Delbruck.  Consiilardiptxchcn,  70, 
n.  250. 

I"*  .See  below,  n.   106. 


n    u   L 
u    u    J 


391 


ERNST  H.  KANTOROWICZ 


(rRCK'.  ami;r.  i'hil.  s(k:. 


Vol..    105,   NO.   4,    l'<ftl| 


GOD.S  IN  UNIFORM 


392 


.1 


Figs.  46,  47.     I-raRnieiits  of  late  Konian  pottery  dishe.s  (Beiiaki  Museum,  .\tlieiis, 

Photos  Xos.  3833  and  3834) . 


Ill  tlioir  otluT  liands  tliey  liokl  spears  with  a  l)roa(l 
l)Ia(ii',  the  right  figure  carrying  the  weapon  up- 
right, the  left  one  carrying  it  horizontally.  These 
liorsemeii  in  coiinterposition  suggest  the  Dioscuri 
who  were  represented  over  and  over  again  in  this 
attitude.  The  costume  of  the  horsemen  is  richly 
decorated  or  emhroidercd,  their  sleeved  tunics  as 
well  as  their  paludamcnta.  The  trai)pings  of  their 
mounts,  visihle  esjiecially  in  the  smaller  fragment 
(tig.  47),  are  likewise  (|uite  rich,  an  unusual  fea- 
ture in  representations  of  the  Dioscuri  even  when 
displayed  in  uniform.  More  startling,  however, 
are  the  Phrygian  caps  which  hoth  riders  wear. 
We  might  be  inclined  to  inter])ret  these  headgears 
as  misunderstood  pilci.  the  felt  caps  normally 
worn  by  the  divine  twins,  and  accordingly  to 
identify  the  two  horsemen  as  militarily  over- 
dressed  Dioscuri.'"'' 

This  identification,  however,  is  defeated  by  the 
inscription  running  in  two  lines  above  the  heads 
of  the  figtires.     It  reads : 

0K.\TI()X1HL'S  SANTOKU.M   I'E 
KDUCHT  DOMINUS. 

The  inscription  is  the  same  in  both  fragments,  and 
it  was  the  same  also  in  a  third  s])ecimen,  found 
in  1<%0  by  a  French  farmer  in  Algier,  of  which 
we  have  a  good  descrij)tion  but  which  no  longer 
exists:  "en  I'absence  du  colon  Xicollet,  ses  enfants 
ont  casse  le  ])lat,"  ends  the  rejKirt  of  the  finding 
rather  di.sappointingly.""'  The  lettering  itself  is 
almost  identical  in  both  pieces  if  we  except  the  '.S' 
in  DOMINUS  (fig.  47)  which  a])parently  was 
not  pro{)erly  rendered  by  the  stamp  and  which 
has  been  added  in  a  somewhat  clumsy  and  crude 
fashion.  The  inscrijrtion  is  obviously  incom])lete, 
and  we  would  expect  some  continuation  in  the 
lower  section  of  the  ])ictures ;  for  to  the  Ix-holdcr 
it  should  be  revealed  whom  and  whither  pcrducct 
Dotuinus  on  the  strength  of  the  ])rayers  of  the 
.saints.  The  whole  jihra.se  has  a  "liturgical"  ring, 
and   in  fact   there  are  numerous  pas.sages  in  the 

•""For  the  Dioscuri  in  inihtary  attire,  see  above,  notes 
2  and  5,  and  figs.  2  and  4. 

i""  Sec  Rntic  africainc  6:  463  {.,  1862.  The  finder 
gave  a  reasonalily  gfxwl  dcscrii>tion  of  his  Iroiivaillr  to  a 
local  newspaper.  His  report  was  later  reprinted  by  the 
editor  of  the  Rciiie  ajricainc  whence  it  was  passed  on 
to  scholarly  works  of  epigraphy.  See  Corpus  inscrip- 
tionum  latinarum  8 :  ''285,  where  also  the  report  is  re- 
printed. See  further  Monceaux.  Paul.  Enquete  sur 
I'epigraphie  chretienne  d'Afrique,  Mcmoirrs  f<r,\u-nti'S  par 
divers  savants  a  I'Academie  des  Inscriptions  ft  Kellcs- 
Lrttres  dc  France  12  (1):  308,  No.  321,  1908;  Dichl, 
Ernst.  Inscriptiones  hitinae  christianac  vcteres  2 :  487, 
No.  2499;  Berlin,  1925. 


earliest  VVe.stern  sacramcntary,  the  Leonianum, 
which  might  serve  to  sup]>lement  the  inscription ; 
for  example:  ".  .  .  sanctorum  dej^recationc  pla- 
catus  |Deus|  .  .  .  [populum|  ad  .sanctorum  gau- 
dia  .sem])iterna  perducat" ; '"'  or  "...  nos  ad 
caelestia  regna  perducens" ;  '"*  or  "...  ad  niiser- 
icordiam  ])erducat  aeternam."  ""•  It  would  seem 
most  likely  that  some  place  of  destination  similar 
to  those  t|uoted  was  found  in  the  lower  section  of 
the  central  image.  Curiously  enough,  the  con- 
tinuation of  the  inscription  was  lacking  also  in 
the  Algerian  specimen.""  and  later  editors  of  the 
in.scription  su])pk'nientecl :  nox  ad  rcijna  cacloruin 
with  a  question  mark.'" 

However  that  may  l)e,  it  is  oinious  that  the  two 
hor.scmen  are  not  the  Dio.scuri.  but  Chri.stian 
saints.  Who  are  they?  We  do  n<it  know  eques- 
trian .saints  represented  after  the  fashion  of  the 
twin  gods.  It  is  true,  in  the  Pistis  Sophia,  a 
Gnostic  tractate  of  the  third  century,  mention 
is  made  (|uite  often  of  the  "Twin  Redeemers" 
(<TO)Tripts),  but  they  are  identified  with  the  "Child 
of  the  Child"  which  obviously  does  not  fit."- 
Other  identifications  of  the  Dioscuri  with  twin 
saints  are  either  unconvincing  or  do  not  fit  the 
image  of  the  si(/i!lata  fragments."^  Unfortunately, 
the  pictures  on  the  rim  of  the  dishes  do  not  oflfer 
a  clue  either.  In  the  frieze  of  the  larger  fragment 
( fig.  46 )  we  recognize  in  the  center  an  acdicula 
(not  u])right,  but  lying  on  its  left  side)  harboring 
a  ])erson.  To  the  right  and  left  of  the  acdicula  are 
lions  running  in  opposite  directions  similar  to 
tho.se  found  in  a  pottery  missoriitiii  at  Madrid  and 

'"' .S"(7("r(;iii(-(i/(irii(»i  reronese.  ed.  Mohlberg,  I..  C, 
Leo  Eizenhofer,  and  Petrus  Siffrin,  12,  16  f..  No.  87. 

1""  Jhid..  72,  2,  No.  551. 

>"9/W..  155.  10.  No.  1218. 

""  /?«•»(•  africaine  6:  463  f. :  "Ou  Ic  Seigneur  conduira- 
t-il?  Probablenicnt  a  la  gloirc,  au  combat,  a  la  vic- 
toire."  The  finder  thought  that  the  two  warriors  were 
.\'orth-.\frican  .\rians  at  war  against  the  orthodox 
Chrislian.s. 

'"  .So  Monceaux.  followed  by  Diehl  (above,  n.  9). 

^^'- Pistis  Sophia,  ed.  Carl  Schmidt,  Koptisch-gnoslische 
Schriftcn  1:  147  ff.,  and  passim,  Leipzig,  1905  (see  index, 
.v.f.  "Zwillingserloser" ) . 

"^Harris.  J.  Rendel,  The  Dioscuri  in  the  christian 
legends.  London,  1903,  is  brilliant  but  evasive.  Gregoire, 
Henri.  Saints  iunieaux  ct  dieux  ca'caliers  (  Bibliotheque 
hagiograi)hique  orientale  9^,  Paris.  1905,  deals  with 
triplets  and  not  with  twins.  Kraus,  \V'..  Dioskuren, 
Rcatlcxikon  fiir  Antike  und  Christcntum  3:  1134  flF.,  1957, 
mentions  Saints  Peter  and  Paul,  and  Cosmas  and  Damian. 
as  Dioscuri  by  transference,  but  these  saints  cannot  be 
identified  with  the  horsemen  of  the  fragments.  See,  for 
the  holy  triplets,  Jacques  Moreau,  Zur  Passio  der  hi. 
Drillingsbruder,  Jahrbuch  fiir  Antike  U)id  Christentum 
3:  134-140,  1900. 


/  /     U    L      J 
U     U     J     L 


393 


KRNST  H.  KANTOROVVICZ 


[PROC.  AMKR.  PHII..  HOC. 


elsewhere."*  They  are  purely  decorative,  just 
as  the  ani])h(ira  (also  lyinj,' 1  to  the  rij^^ht  of  the 
right  lion.  It  would  he  tempting  to  interpret  the 
lions  as  indicative  of  a  zrnatio  and  the  two  horse- 
men as  vcnatorcs.'^^''  But  this  meaning  would 
not  be  suj^jiorted  by  the  pictures  of  the  third  speci- 
men, the  dish  from  Algier.  According  to  the 
report  of  the  finder  of  that  dish,  there  were  the 
figures  of  three  men  on  each  of  the  four  sides  of 
the  rim,  and  the  finder  first  thought  they  repre- 
sented the  twelve  apostles,  hut  gave  \\y)  the  idea 
because  the  twelve  figures  were  all  made  of  the 
same  stamp.  Moreover,  there  was,  in  the  center 
of  the  up])er  rim,  the  figure  of  a  child  "holding  in 
its  hand  an  emblem  in  the  form  of  a  'Y',"  '"' 
that  is,  the  littera  Pytha(/orac.^^~  Hence,  for  the 
interpretation  of  the  horsemen  the  ])icture-friezes 
on  the  rims  of  the  dishes  do  not  yield  a  clue  either. 
There  is  one  more  item  which  demands  our 
attention.  Between  the  two  horses  is  a  stand  or 
a  table — the  Algerian  report  says  "an  urn" — 
on  the  top  of  which  something  that  looks  like  two 
leaves  is  plainlv  visible.  Professor  Alf()ldi  sug- 
gested that  the  stand  might  l>e  an  agonal  table  on 
which  the  prizes  are  laid  out,  the  rewards  given 
as  a  symbol  of  victory.     Amf)ng  those  prizes  were 

"*  See.  for  the  i)()ttery  niissorium  of  the  Museo 
arqueologico,  in  Madrid.  Fuhrmann,  in  Kihiiischc  Mit- 
teilmificn  55:  pi.  XII.  1940. 

"■''  In  the  missorium  of  Madrid  is  indeed  one  horseman, 
a  7'ciiator;  but  his  costume  is  very  diflfcrcnt  from  that 
of  the  fragments  from  the  Bcnaki  Museum.  For  the 
"moral"  aspects  of  the  I'rnatio,  see  (irabar.  Andre, 
L'cmpcrcur  dans  I'art  byzantin.  57  fF.,   1,^.^  ff. 

'"'AVt'Hr  ajricainc  6:  46,^:  "Un  enfant,  place  au  milieu 
du  rebord  superieur,  tient  a  la  main  un  emblenic  en 
forme  d'Y." 

"'For  the  literature  on  the  Pythagorean  letter,  see 
Theodor  E.  Mommsen,  in  Jour,  li'arbun/  and  Courtauld 
Institutes  16:  184,  n.  1,  1953;  sec  also  his  Mediaeval  and 
Renaissance  studies,  184,  n.  26,  Ithaca,  1959. 


not  only  crowns,  but  often  ai.so  individual  leaves 
made  of  gold  or  a  few  gold  coins  or  medals.'"* 
Similar  tables  are  quite  often  displayed  on  coins, 
especially  of  Nero.""  We  usually  find  on  them 
a  crown  and  an  urn,  whereas  under  the  top  of 
the  table  we  recognize  figures  such  as  two 
sphinxes  facing  each  other  or  two  gryphons.  On 
one  .si)ecimen,  however,  there  are  apparently  two 
horsemen,  in  this  case  the  twins,  who  face  each 
other.'-"  If  indeed  there  should  Ik*  in  the  images 
of  the  sigillatac  an  allusion  to  victory,  it  might  be 
advisable  to  supplement  the  inscription  accord- 
ingly and  add  perhaps  the  words  ad  z'ictoriani 
scmpitcrnamP^  The  whole  inscription,  in  that 
case,  would  read : 

ORATIONIBUS  SANTORUM  I'H 

RDUCET  DOMINUS 

I  AD  VICTORIAM    SEMPITERNAM  |. 

It  woidd  mean  that  the  orations  of  the  military 
saints  prompted  the  Lord  to  lead  the  faithful  to 
sempiternal  victory.  Unless,  however,  an  un- 
damaged dish  turns  up  in  some  other  collection  or 
museinn  it  will  be  imjiossible  to  su])])lement  the 
inscription  correctly  or  even  to  imderstand  the 
meaning  of  the  pottery  centers.  The  date  of  the 
siyillatac  may  be  fourth  century  or  early  fifth. 
They  seem  to  be  characteristic  of  the  age  of  tran- 
sition from  pagan  antiquity  to  the  medieval  Chris- 
tian world,  and  the  e(|uestrian  saints  in  military 
costinnc.  if  saints  they  are,  would  be  exponents  of 
the  same  evolution. 


""  Delbriick.  Consulardiptychen.  70  ff..  S  4. 

"■'  M.ittingly,  Harold,  Coins  of  the  Rowan  F.nif<ire  in 
the  British  Museum  1 :  pi.  45,  figs.  .3,  5-8,  and  p.  250  ff., 
Nos.  259.  264  ff.,  London,  192,1 

'-"  Paris,  Bibliotheque  Nationale.  Cabinet  des  medailles. 
No.  10708,  a  photograi)h  of  which  was  kindly  placed  at 
my  dispo.sal  by  Professor  A.  Alfoldi. 

'-'  Sacramentariuni  I'eroncse,  50,  4,  No.  .^66. 


1 


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r/    o      /    _( 

LI     U       I    L 


Berkeley  8,  California 
lolL;  Keith  Avenue 
den  29.  Oktober  1961 

Li eb star  EKA, 

TT,T^  .         Spat,  aber  herzlich,  danke  ich  Dir  ftlr  Deinen  An-r^qt^  pnrQ  tm 

UNI.'OM.  der  mir  viel  VergnUgen  uAd  heitere  BelLSln/gespendet  hi?-  Sohl 

eine  Deiner  amUsantesten  und  gelungesten  "kleinen  Schriften"  mit  rrissen 

Horizonten,  so  leicht  besch.vingt  bei  all  der  ausschweif enden  Gelahr?hlu 

Als  IXi  inir  vor  Jahren  von  dem  Thetna  sprachst,  konnte  ic^  rnir  nicht  vi  el  d«v„r, 

ter  vorstellen,  heute  indessen  Vieles  und  in'vielSr  Hinsicht  Be  eichnende? 

hast   oSis  I'^Ml^TSi-S''^'';^''"^^"^  ^^-^er±.l   kostbarem  Kmm  zuslmmengetragli 
hast.  GOLS  li.  U.^iOKi^  smd  wohl  immer  der  mehr  Oder  weni^er  kt[nstl-ris  he 

fahrHn  der^GalauSf °;^'"''''"ir • 'r'^^"^'  ^^^^^  Jesus  ChrS?us' Himmels- 
gerecht?er?i4  e?sch  in?  ^Jrpf  i?^?'^^' -''  ^nSlJ^^'^^^^^  '  ^Igeladjutants  durchaus 
lllle  nio  t  ';!jrS  T     ^^filich  '.-alraen  "Hande  an  die  Hosennaht"  in  diesem 
Falle  nicnt  g'^rl^lz'..ri.    Lainim  ste^  e  icli  stranm  und  salutiere,  urn  Dir  raeinen  Dank 
stilgerecht  und  vorschriftsmassig  auszudrUcken.  meinen  Dank 

c,«-p>.o  +   A    ^5®^  Leine  Karte  aus  Saloniki  habe  ich  mich  seinerzeit  s-hr 
gefreut.  Ansons ten  habe  ich  nichts  voa  Dir  geh-c5hrt  und  erfa  ren.  Wir  haben 
einen  durch  auswartige  Besucher  belebtel^  SoLer  genabt,  freincA  von  e?nlm 
apokalyptischen  Herbst  gefolgt,  sodass  ich  vvie  geiahmt  dahinlebe  una  mir 
Der  G?alau?s:?:'israS  ^^-^^^^^^-tliche  Marfinalien  zu  Marco  Polo  vertreibe; 
i-f.t  ^;?  h!S  S  \^  ^  '■''   ^^^1^0  ^^^   Englische  ttbersetzt  worden  un.  liegt 

jetzt  bei  der  BolLmgen  Founaation  um  ein  Paar  Tausend  Dollars  ftlr  den  Dr!fk 
zu  erbetteln.  Die  Antwort  steht  noch  aus.  Pater  Folger  sphrieb  Janz  hec-ifT^w 
und  au.h  sonst  erreichten  mich  zustimmende  Urteile,  meist  a^s  pfankr^fch 
Es^^^s^o^ft'  ^I^^l  ^   ^^  '^^'^'^   ^-^--  --^  -^  B^lebu^ng^derS^tf  bei. 

Vi  le  herzliche  Grtlsse  von  Deinem  alten,aehr  altB»> 


n    o      I    J 

u    u      I    J 


® 

^ 


Milton  V.  An^stoB 

17^.  -  .,  il.  W. 

Wasliine,ton  7,  D.  C. 


13.  November  19<^1 


Herm        Dr 

Professor^Ernst  H.   Kantoro-'lcz 

Institute  for  Advanced  Stidies  and  Researc^^ 

trinceton,  Wev/  Jersey 


Lieber  Freund   und   sebr  verehrter,   grosster  Professor  in  der  Velti 

In  den  letzten  Tagen  ginc  es  hier  sehr  schlecht,  weswegen   ich  nun 
von  unserer  Gev/ohnheit,   in  lateinisch  und  griechisch   zv  schreiben, 
Abstand  nehme  vind   in  deutsch  fortfahre. 

Als   ich  ^re^wvinderschone  Arbeit  Gods   in  Uniform   (ist  es   nicht  ein 
IrrtunTfui-  M^dchen  in  Uniform?  ^ehen  sie  S.   38^.')    bekam,   sollte  ich 
mich  jetzt  in  den  Himmel  geboben  fiihlen.    Ich  ^abe  naturlich  diesen 
Artikel  als  Vortrag  in  Dumbarton  Oaks  gehBrt,  und,  wie  es    zu  erwarten 
war,  vieles  von   Ihnen  gelernt.    Ihre  wichtigen  Ergebnisse   zu  lesen 
ist  wirklich  ein  "Neuheitserleb:is"'^2  'Jor. ,   5,   17). 

Haben  Sie  vielleicht  in  12th  Century  Evirope  meine  Anmerkiang^  25, 
S.    j^67  gesehen,   -o   ic^  ^r°n  Ptandpimkt   pegen  Manager  vertejrige? 
Da^ur  nuss   ich  nun  viel  Blut  sc^^'vitzen ,  'veil  ^'err  rr/''So?r|  Manager 
gegen  -ic'-  -^it  alien  seinen  Krfiften  -n't^t.'  Nati'rllch   opfere   ich 
mich  mit  Freuden. 

L'.it  herzlichsten  Griissen  verbleibe   ic^,M^y*^»X    •<■    T^VTo  ii^*^<i.^t^ 


Ihr 


\> 


Z.  Nickt  Ik/^JO^ 


A 


^ 


X4^ 


3.  cL  k.  FrC^mm^  % 


M 


n   u 
u   u 


I    u 


(g,) 


tr 


HISTORISCHES  SEMINAR 
DER  WNIVERSITAT 

Prof.    Ur.    P.   ^,    ochramm 


QOTTINQEN,   DEN.,  ^, 

NIKOLAUSBERQER  WEg  IS-^*-'*        '  ^^  •       I96l 


He  r  rn 

Professor  Dr.  Ernst  Kantorowicz 

Institute  for  Advanced  Studies 

P  r  i  n  c  e  t  o  n  (N.J.) 

USA 


luein  lieber  IJrnst! 

Mit  Vergniigen  und  Belehrung  habe    ich  Hire    beiden  Aufsatze 
auf  der  lieise    studiert.    Zu  dem  .Intonius  kann  ich   Ihnen  noch 
zwei   Geschichten  mitteilen,    olme   letztons   sagen   zu  konnen, 
v/o    ich  Q±Q   las: 

Die   brasilianische    Oder  eine    andere   Armee      zog   in  einen  Krieg 
und  vorneweg  der  Heilige    als   Oberkomriiandierender.Das  Ungluck 
wollte,    dal3   die   erste    feindliche   K^monenkugel   der  Gegner  dem 
Heiligen  den  Kopf  abrili,    v/orauf  die   betr:.ffene   Armee    sich   so- 
fort   in  kopf  lose   i^^ucht   sturzte.    Nach  der  anderen   Geschichte 
bekam  der  Heilige   ein  Jahresgehalii  Als   eine    aufgeklarte 
republikanische   Kegierung  an  das  iiuder  kan,    befbrderte    sie 
den  Heiligen  mit   soforti-er  Wirkun-  vom  Cxeneralmajor   zum  Ge- 
neralleutnant,    versetzte    ilm  aber  anschlieBend   in  den  iiuhe- 
stand,    was   der  liegierun,-  ermoglichte,    das   bisher  gezahlte 
Gehalt  empfindlich  herabzusetzen.    Vielleicht  machen   Ihnen 
diese   beiden  Geschichten  SpaB. 


Mit  he rz lie hem  GruB 

Ihr 


^P^ 


n    o     I    L 

u    u      I    J 


/ 


K 


Harvard  University 

CAMBRIDGE  38.  MASSACHUSETTS 

K-21  Eliot  House 


October  16,  ^951 


'Oil  so  much  for  your  .creat  kindness 


Dear  ''TCa: 

in  writinc:  to  me  as  you  did.   I  do  hooe  to  :];''od- 
ness  that  ..luth  v/lll  feci  better  S'-on.'  More  tlian 
on-^  of  my  ?ood  friends  have  suffered  t'lis  x-;ay, 
and  the  co;: ^^orting  thins  is  that  they  do  ^-et"  bet- 
tor.  I  knoT'.'  that  you  v/ill  be  a  toi.'er  of  strength 
to  ;hrold  —  and  to  her. 

"Gods  in  Uniform"  arrived,  and  I  have  read 
it  vith  the  greatest  p"-^asure  and  adr.iration, 
and  marvel  at  your  sweep  of  knowledge,   I  do  hope 
that  you  v.'i"l  send  a  copy  to  the  Institute  of 
Clapsical  Studies  in  London-  (v;hiah  includes  the 
library  of  the  Hellenic  and  Roman  Society),  for 
articles  published  in  t  -.is  ;3ournal  do  tend  to  be 
overlooked  by  people,   \nd  if  you  have  pleaty, 
Michael  Grant  of  ^elf-st  would  certainly  b'  most 
grateful  for  one.  ks   for  the  binding,  I  s  all 
take  the  will  for  the  deed.   On  that' Pythagorean 
y,  you  of  conrs"  kn '-■'•• 
his  Symbolicme  U28ff.,  and  there  is 
in  Le  moyen  "tge,  LX  (195^),  ^03ff. 


by  Cur.iont  In 
an  article 


Do  by  all  means  come  and  ta"  e  a  drin'  with 
me  V  '.en   you  -".re  in  Car.bridge  in  January,   If  you 
ha-^pea  to  think  of  i':,  drnp  me  a  card  so  that  if 
it  s'lould  be  at  the  time  o-^   my  brief  disappearance 
to  'Tew  York,  I  can  save  you  a  .iourney;  but*  I  do 
hope  it  \7ill  n'^t  so  coincide,  '^ 

I  thin':  "likomaisMp"  in  a  good  addition 
to  th'--  conforts  of  life. 


-oct  p-r-^tef ullv. 


\r  ev^r, 


d^U^u^ 


n    o      I    L 
u    u      I    u 


FRANZ  JOSEPH  DOLGER  -  INSTITUT 
ZUR  ERFORSCHUNG  DER  SPATANTIKE 
Direktor:    Professor  Dr.Th.Klauser 


BONN,     den    2.    11.    I96I 

UNIV.-HAUPTCEBAUDE,  AM  HOF  1 
TELEFON:  31941 /«! 


Herrn  Professor  Dr.  Ernst  Kantorowicz 
The  Institute  for  Advanced  Study 
Princetont  New  Jersey  (USA) 


Lieber  Herr  Kantorowicz, 

vorgestern  ist  Ihr  Sonderdruck  "Gods  in  uniform"  angekommen.  Ich  habe 
die  glanzende  Untersuchung  naturlich  gleich  verschlungen.  Herzlichen 
Gliickwunsch!  Ich  mochte  das  Thema  im  RAC  nicht  erst  unter  Uniform,  son- 
dern  unter  "Kleidung  III  (militarische )"  bringen.  Da  der  Buchstabe  "K" 
nicht  mehr  so  lange  auf  sich  warten  lassen  wird,  sollten  Sie  sich  schon 
Gedanken  iiber  die  Redaktion  Ihres  Artikels  machen.  Hoffentlich  wollen 
Sie  es  tun,  Es  wiirde  mich  freuen. 

Zur  Sache  heute  nur  folgendes.  Der  kriegerisch  uniformierte  Christus  in 
der  erzbischof lichen  Kapelle  in  Ravenna  hatte  nach  den  Tavole  storiche 
dei  Mosaici  di  Ravenna  5  (I954)  ganz  anders  ausgesehen.  Christus  hatte 
danach  eine  lange  Tunika  getragen.  Aber  das  Stucco  im  Baptisterium  der 
Orthodoxen  (Grabar,  L'empereur  PL. 27,1)  beweist  doch  wohl,  dass  die  Re- 
atauration  im  Prinzip  zutreffend  ist,  wenn  auch  anderswo  der  langgewan- 
dete  Christus  vorkommt  (z.B.  auf  einer  af rikanischen  Lampe  bei  E.Coche 
de  la  Fert^,  L'antiquite  chretienne  1958,  65  Kr.  65).  Sehr  interessant 
sind  die  tonernen  Missorien  aus  dem  Be naki -Museum.  Vvieder  ein  Beleg  da- 
fur,  dass  man  sich  nicht  scheute,  Gegenstande  mit  profanen  oder  gar  heid- 
nischen  Darstellungen,  durch  eine  christliche  Aufschrift  ein  wenig  chri- 
stianisiert,  als  Geschenke  zu  benutzen.  Das  auff allendste  Beispiel  dieser 
Art  ist  ja  der  Londoner  Proiecta-Schrein, 


Noch  einmal  herzlichen  Dank  und  viele  Griisse  Ihres 


n    u 

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^57. 


''Puer  exonens:  On  the  Hypapante  in  the  Mosaics  of  S.  Maria  Magriore  "  in 
Perenmias:  P.  Thomas  Michels  OSB  zum  70.  Geburtstag,  ed.  Hugo  Rahner  SJ  and 
Emmanuel  vonSeverus  OSB  (Beitrage  zur  Geschichte  des  Alten  Monchtums  und 
des  Benediktmerordens,  Supplementband  2;  Miinster,  1963),  118-135. 

EK's  copy,  no  annotntion3--but  see  insiie  cover 
for  photo  of  Michels. 

A.  "D.O.  5l..^li.li|"  (photo) 

B.  Photo  from  Univ.  Michigan 

C.  Wote  froh.MBandi"  [?],  undated 


J 


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PERENNITAS 


Aichcndorfltch*  Buchdruck*r«i  Munitar  Wattf. 


Beitriige  zur  christlichen  Archiiologie  und  Kunst,  zur  Geschichte 

der  Literatur,  der  Liturgie  und  des  Monchtums 
sowie  zur  Philosophic  des  Rechts  und  zur  politischen  Philosophic 


P.  Thomas  Michels  OSB 
zum  70.  Geburtstag 


Herausgegeben  von  Hugo  Rahncr  SJ 
und  Emmanuel  von  Scvcrus  OSB 

SONDERDRUCK 

(nicht  im  Handel) 


VKRLAG   ASCHENDORFF 
MCNSTER  1963 


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119 


PUER  EXORIENS 
On  the  Hypapante  in  the  Mosaics  of  S.  Maria  Magg-iore 

By  Ernst  H.  Kaniorowicz 

In  a  brilliant  diapter  of  iconographic  sleuthing.  Professor  A. 
Graear,  efficiently  seconded  by  Prolessor  J.  Gage,  has  unriddled 
the  meaning  of  one  of  the  mosaics  in  the  ardi  of  S.  Mana  Maggiorc, 
in  Rome,  displaying  the  Presentation  of  Christ  in  the  Temple  \ 
TTie  feast  is  now  known,  in  the  West,  as  that  of  Candlemas  or 
of  the  Purification  of  the  Virgin  Mary,  that  is,  a  Marian  feast 
celebrating  in  accordance  with  Ex  IS  and  Lev  12,  the  purification 
of  the  Mother  of  God  on  the  fortieth  day  after  having  given  birth 
to  her  son'.  Originally,  however,  the  day  marked,  both  in  the  East 
and  in  the  early  Western  Church,  not  a  feast  of  St.  Man-,  but  a 
feast  of  the  Lord,  Hypapante,  or,  in  Latin.  Occursus  Domini,  cele- 
brating the  meeting  of  the  aged  Simeon  with  the  new-bom  Saviour 
of  the  World". 

The  earliest-known  representation  of  the  Hypapante,  the  one 
in  the  ardi  of  S.  Maria  Maggiorc  of  the  second  quarter  of  the 
fifth  century  (fig.  1),  is  at  the  same  time  the  most  cryptic  one,  for 
it  is  unique  in  even*-  respect  V  One  xtry  strange  feature  is  the 

'  A.  Gra.B/*.r,  L'rmprrrur  dans  I' art  bytantiv  (Paris  19.86^  21  f.— 225:  J  Gage. 
Le  trmi'lum  Urhi!:  rt  Irs  nricincf  dr  rider  dr  Rmm'atio  (Annuairf  de  I'ln- 
stituf  dc  Philolopic  et  d'Histoire  Oricntales  ct  Slaves :  MelanpeB  Franz  Cumont 
IV  [IMe]  l.'i]  — 187).  and  his  studv  Sarnilum  nm'um  (TransartionF  of  the 
International  Numismatic  Conpresf  in  London,  June  .fO — lulv  S.  19S6  [Lon- 
don 19.SS]   182  ffV    Cf.  0    Casei.    ALw  1    (]9.".0)"2.-.0  No    199' 

'  E.  LtTcius.  Die  Anfiingr  drs  EriUgmkulU  in  drr  dvristlidim  Kirche  (Tubinpcn 
1904^  48.'!  f:  L.  EiBENHOFEK.  Hondhuch  der  katholisdim  Liturgik  CFrciburg 
]9.'?2)  1  .'.82  f 

'The  occursus  belongs,  as  its  name  suf pests  {Hypapante,  ajia-<rrr\ai.z) .  to  the 
more  general  advmtus  or  ,.epiphanv"  ceremonial:  see  E  H  Kantorowicz. 
The  ^King's  Adximl"  and  the  Enigmatic  Panels  in  the  Doors  of  Santa  Sabina 
(Art  Bulletin  XXVI  [1944]  218  n.  75:  227  n.  123).  See  also  M  Higgiw, 
Note  on  the  Purification  (and  Date  of  Satii>ity)  in  Constantinople  in  601 
(ALw  2  [19.'i2]  81— 8S),  for  the  date  of  the  Feast  (Febr.  2  or  14)  and  for  the 
shift  from  a  celebration  in  whidi  ^originally  the  Saviour  was  uppermost"  to 
a  feast  emphasizing  the  role  of  St    Marv     Also  Eikenhofer.  Ioc.  cit 

*  D.  C  Shorr.  The  Ironograpkir  Develofnncnt  of  the  Presentation  in  the 
Temple  (Art  Bulleltn  XXVIIl  [1946]  17— .^2.  especially  19  f)  for  the  repre- 
sentation in  S.  Maria  Maggiorc.    The  author  of  this  in  many  respects  satis- 


separation  of  Simeon  from  the  Child,  carried  in  the  arms  of  St. 
Mary  before  bemg  passed  to  the  arms  of  Simeon.  In  the  Roman 
mosaic  the  two  protagonists  —  the  Child  and  St.  Simeon  —  are 
separated  from  each  other  by  a  group  of  three  persons:  St.  Joseph 
and  the  prophetes  Anna,  representing  the  New  and  Old  Testa- 
ments respectively,  and  an  angel  acting  as  the  unifier  of  the  couple, 
or  their  pronubus  —  a  scene  deriving  iconographically,  as  Gr.\- 
B,\R  pointed  out,  from  the  Co?icordia  coins  and  from  sarcophagi 
of  imperial  Rome'.  Coin  images  also  served  as  the  key  by  which 
Grabar  unlocked  the  riddle  of  a  far  more  puzzling  scene.  The  oc- 
cursus itself  is  staged  in  front  of  a  temple  from  which  St.  Simeon 
steps  forth  to  meet  the  Child.  The  building,  however,  is  not  the 
Temple  of  Jerusalem  as  the  beholder  would  be  entitled  to  expect 
on  the  basis  of  Lk  2,25.  but  the  pagan  tcmplum  Urbis  in  Rome, 
the  temple  of  the  goddess  Roma  which  for  many  centuries  had 
symbolized  the  idea  of  Roma  aetcrna.  This  fact  has  been  emphasized 
most  powerfully  by  the  artist  himself,  since  he  placed  in  the  pedi- 
ment of  the  temple  the  statue  of  the  Dca  Roma*.  For  the  cult  of  this 
goddess  a  noble  college  of  twelve  priests  had  been  instituted  in  im- 
perial Rome,  whose  members  were  of  senatorial  rank  (duodecemviri 
Urbis  Romac)  and  were  headed  by  the  emperor  as  sacerdos  Urbis'. 
From  this  temple  of  the  Roma  aeierna  there  hastens,  in  the  mosaic, 
the  pious  Simeon,  frequently  designated  as  a  .priest"  or  even  the 
.high  priest"  (sacerdos  magnus)  of  the  Temple  of  Jerusalem*.  The 

factor)'  and  methodical  studv  was  unfortunatelv  not  acquainted  with  the 
results  of  the  works  of  Grabar  and  Gage,  nor  with  the  iconographic  study 
of  A.  Xtngopoixos.  'YTtajta-iTTi  ("E.TfTfoir  'ETaipfia;  Bv^avTivwv  S^-iovfkuv 
VI  [1929]  S28— SS9).  whiA  would  have  yielded  some  clues  for  at  least  one 
iconographic  type:  the  Child  held  over  the  altar.  Nor  did  she  consider 
sufficiently  the  liturgical  aspects  in  connection  with  the  passage  from 
Is  6. 6^7.  which  is  of  paramount  importance  for  the  understanding  of  the 
content  and  iconography  of  the  feast.   See  below,  n.  27. 

'  Grabar  217  ff:  cf.  E.  H.  Kantorowicz.  On  the  Golden  Marriage  Belt  and  the 
Marriazc  Rinzs  of  the  Dumbarton  Oaks  Collection  (Dumbarton  Oaks  Papers 
XIV  [1960]  5—16.  csp   9  n.  40). 

"  See.  in  addition  to  Grabar  and  GACt.  also  C  C.  Vermfit-E.  The  Goddess 
Roma  in  the  Art  of  the  Roman  Empire  (Cambridge.  Mass    19J9    95  f. 

''  GAGt,  Templum  Urbis  158  f;  Grabar  224  n.  1:  K.  Latte.  Romiscke  Religions- 
gesdiiditc  (Munidb  I960)  517. 

*  Not  onlv  the  Ex'angelium  Nicodemi  II  1  (c.  XX'II)  cd.  C.  Tischendorf. 
Evangeha  apocrypha  (Lcipiig  1855)  368.  to  wiA  Grabar  224  n.  4  called 
attention,  designates  Simeon  a  priest.  TTje  expression  is  found  over  and  over 
again.  Cf..  c.  g.,  Ephraem  Strus.  Sermo  de  Domino  nostro  c.  48.  ed. 
T.    J.   Lamt    (Medieln    1882)    I    258;    Simeon   autem    sacerdos:   c.    50   p    264: 


n    u   u    u 

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120 

mosaicist  represented  the  old  man  with  a  short  white  beard    that 
IS,  unmistakabl)'  in  the  guise  ol  St.  Peter,  „Prince  of  Apostles"- 
who   IS   followed  by   the   college   ol   Dea  Roma  priests   evidently 
staging  the  Apostles". 

In  this  pagan-Roman  and  Christian  syncretism  in  which  all 
cyphers  appear  to  be  exchangeable,  the  tcmplum  Urhis  signifies  an 
idea  of  specific  importance.  Grabak,  and  especially  Gage  have 
traced  the  numismatic  history  of  that  temple,  founded  as  the 
tcmplum  Romac  ct  Veneris  by  Hadrian  in  121  A  D  and  conse- 
crated m  136/37  A.  D. '".  In  248,  the  Roma  temple  became  the  centre 
ot  the  millenary  celebrations  of  the  founding  of  Rome  when  coins 
were  issued  by  the  Emperor  Philip{)us  showing  the  front  of  the 
shrme  with  the  inscription  miLtanum  sarculum  and  sarculum 
novum  \  During  the  latter  half  of  the  third  century,  the  templum 
Urhts  remained  the  outstanding  symbol  of  the  very  broad  idea  of 
the  Rciiovatw  Romanorum  and.  connected  with  it,  of  the  Aibn 
implying  Rome's  artrrnUas  and  her  eternal  reiu^'enation  '^'  In  other 
words,  the  image  of  the  tcmplum  Romac  appeared  as  the  icono- 
graphic  type  indicating  the  ideas  of  Roman  renewal:  and  in  this 
symbolic  meaning  the   image  outlasted  not   only  pagan  times,  a.s 

hracdua  Simeonis  saccrdotis;  c.  51   pp.  264,  26C.  is  more  „r   les.s   devoted  to 
Smieons    sacerdnUum:     s.r     als..     Ephraems     Hymnn.s     dr     Stmronr     scnr 

ne    IrlnlTr  r       I  ^""""'-"f  A„arr.o„t.ra  IV:  Ir,  ncrursuJoomini 

rnrii        T/  "^rT  """""  "  """•^'^  ''^"''  (J'G  87'  3.  3--'2f  with  n    m 

Further.   Mana.c^   February  2   (editio  Romana    1896),   III  47K    (Gernianus   or 
loannes    Mo„achu.s  ,    480    (Cosmas).   where   he    ,s   also    called    i  pp.v      In    the 

^  tn,m  Heortolog.on.  ed.  Manuei,  I    Gedkon  (Constantinople   189<)1  68 

pi     LUJff     19ff,  who  does  not  consider  the  studies  of  Grabar  and  Gage 
calLs  attention  to  the  fac,  that  the  men   formn,p  the  cortege  ol   Sim"on  wore 

Magg.ore   (pi.  XXX    149  ff),   was   d.splaved  bv   the  priest   of  Midian    Rapuel 
^^  (Jethro)    when  he  married  off  his  dauphter  Zipporal,  to  Moses  ' 

For  the  date,  see  P.  1.    Strack,   Uutcrsncinmgev  z„r  romhcher,  Reichshranun, 

S  ;x:f^il;  rs^''  ^  ""^^^^  '""''^^ "  '''••  ^^^-^  rrmpiird 
"  ?rxiv'j_'f  ''^ '  ^^'""^ "  '""^  ^^' '-" "'""  ^'' ''»'«-«''"" "'"""" 

and^l  f^lT  p^  ^  3  3-3..5,  esp.  .820  fl  for  the  eternitv  of  rLc 
and  3AH^  for  the  Roman  goddess  AetrruUas  who  had  the  attributes  of  The 
Graeco-Egyptian  A,dn)'  see  also  Stuack.  op    cit    I   186  f 


121 

evidenced,  for  example,  by  the  Contornialcs"',  but  also  the  sadc 
of  Rome  at  the  hands  of  Alaric  in  410.  Shortly  before  or  after  that 
disa.ster,  the  usurper  Priscus  Attalus,  anti-emperor  opposing  Hono- 
rius,  issued  once  more  a  coin  di.splaying  the  temple  of  Rome  with 
the  legend  INVICTA  ROMA  AEtERNA  ".  And  in  those  very 
years  the  poet  Rijtiuus  Namatianus,  prefect  of  Rome  probably 
in  414,  praised  his  city  in  the  famous  lines: 

Jllud  tc  rrfiarat.  quod  cetera  regno  resolvit: 
Ordo  renascendi  est,  cresccrc  po.tsr  malis  .  .  .  ". 

It  was  this  mood  of  a  great  quand  meme  after  the  catastrophe, 
whidi  dominated  Rome  in  the  age  of  the  invasions  and  gave 
nourishment  to  thoughts  of  Roman  rebirth  and  Rome's  eternity 
despite  all  the  adversities  whidi  had  befallen  her.  Only  some  twenty 
years  after  Alarics  conquest  of  Rome  the  rebuilding  of  the  shrine 
of  S.  Maria  Maggiore  was  started,  and  in  its  mosaic  decorations 
the  image  of  the  tcmplum  Romac  served  once  more  to  express 
in  symbolic  shorthand  the  ideas  of  reju\enation  and  renovation, 
of  the  sacculum  nox>um,  the  sacculum  miliarium,  and  of  the  tcm- 
porum  fclicitas.  All  those  blessings,  so  often  promised  and  hoped 
for,  were  now  to  come  true  for  mankind  —  and  therewith  also  for 
Rome,  the  mistress  of  the  world  —  through  the  Incarnation  of  the 
Son  of  God  '".  TTiat  is  to  say,  the  old  mottoes  of  the  imperial  past 
remained  valid,  though  valid  in  a  new  sense,  the  Christian  sense. 
A  sacculum  novum  there  was,  but  it  was  identical  with  the  advent 
of  Christ  whom  a  Petruslike  St.  Simeon  hastens  to  meet:  and  it  was 
Simeon  who  by  his  occursus  made  visible  the  oneness  and  concord 

'•"'  A.  Alfoldi.  Dir  Kontomialm  (Festsdirift  der  Ungarisdicn  Numismatisdien 
Gescllsdiaft  zur  Feicr  ihres  vierzigjahrigcn  Bestehens  ^Leipzig  1942/43] 
pi.  XXIIl  figs  9 — II)  [Vrhi  Roma  hclema),  and  p.  114.  pieces  whidi  Alfoldi 
dates  before  394  A..  D.  (cf.  pp    16  f). 

'^  Graiiar  222:  Cohen,  Dvscriftion  dcs  mtdaUlrs  impcriales  (Paris  1892)  VIIl 
204  f  Nos  .B:  .'.:  6.  For  Attalus,  see  0.  Seeck,  art.  Priscus  Attalos  (RE. 
Neue  Bearbcitung  II  2  [1896]  2177  ff)  See,  for  the  Rmuvatio  idea  after 
the  Saccd  di  Roma.  G.  B.  Ladner,  The  Idea  of  Reform  (Cambridge.  Mass 
19.')9)  esp.  250  ff. 

'=  Rt'TiLUis  Namatianus,  De  reditu  suo  I  ISS  f.  ed.  J.  Vessereau  (Paris  1904)  9: 
cf.  p    I7.<?  for  the  date  of  his  office  of  praefectus  urhi. 

"■'  For  the  (from  St  AiiC.lfsTiNi's  point  of  view  erroneous;  expectations  of  man\ 
Christians  in  some  perpetual  progress,  see  Th  E.  Mommsen,  St.  Augustine 
and  the  Christian  Idea  of  Progress  (Journal  of  the  History  of  Ideas  XII 
[1951]  .S4(i — 374);  also  in  his  Medieval  and  Renatssance  Studies,  ed. 
E,  F.  Rice.  Jr.  (Ithaca,  N  Y    1959)  265—298 


n   u   u   u 

u    U       I       I 


122 


of  Jerusalem's  temple  and  the  templum  Urbis,  of  Jerusalem  and 
Rome,  of  himself  and  St.  Peter,  of  Christian  and  Roman  priests, 
New  and  Old  Testaments,  old  age  and  new  age ''.  The  language 
of  symbols  and  of  iconography  is  in  this  case  unambiguous,  and 
Grabar  and  Gage  have  admirably  unravelled  the  threads  of  a 
highly  involved  texture. 

There  remains  one  question  that  should  be  raised  although  it 
may  seem  insignificant;  but  the  answer  to  it  may  serve  to  brace 
the  whole  problem  and  tie  some  loose  ends  together.  How  did  it 
occur  to  the  artist  to  connect  the  elaborate  ideology  of  the  templum 
Urbis  and  the  saeculum  novum  with  the  feast  of  Purification,  of 
the  meeting  of  the  aged  Simeon  with  the  forty-days  old  Saviour? 
The  feast,  though  it  concludes  the  Christmas  cycle  of  the  liturgical 
year  and  therefore  is  still  related  to  Christ's  epiphany  in  the  flesh, 
does  not  all  by  itself  suggest  that  interpretation.  It  is  true,  the 
saeculum  novum  coins  display  sometimes  the  meeting  of  two  em- 
perors in  front  of  the  temple  of  Roma;  but  the  occur sus  of  Simeon 
to  meet  the  Lord  in  front  of  that  temple  is  not  really  a  parallel. 
On  the  other  hand,  the  meeting  of  Simeon,  the  old  age  ready  to 
go,  with  the  new  age  ready  to  come  as  represented  by  the  Infant 
Christ,  who  in  Pseudo-Matthew  is  called  the  redemptio  saeculi^*, 
is  certainly  not  an  image  wanting  symbolic  strength.  But  is  the 
meeting  of  old  age  and  infancy  sufficient  to  explain  how  it  hap- 
pened that  the  feast  of  Hypapante  was  deemed  appropriate  to 
illustrate  the  ideas  of  novum  saeculum.  of  rcnovatio,  and  of  reju- 
venation in  general?  These  ideas  would  hinge  exclusively  on  the 
contrast  of  the  sencx  Simeon  and  the  infans  Jesus  and  obscure  per- 
haps what  may  be  the  diief  issue. 

The  prayers  and  chants  by  whidi  the  Eastern  Church  celebrates 
February  2nd,  the  feast  of  Hypapante.  send  us  in  another  direction. 
For  when  we  examine  in  the  Mcnaia  the  office  of  that  day,  we  find 
that  the  versicles  call  forth  very  definitely  the  vision  of  world  or 
god  rejuvenation,  and  that  they  repeat  incessantly  one  leading 
idea,  which  is: 

"  The  tendency  to  transfer  ..Jerusalem"  to  Rome  (see,  however,  the  cautious 
words  of  Grabar  224  n.  2)  is  suggested,  for  example,  by  the  assimilation  of 
Peter  to  Moses;  see  C.  A.  Knellek.  Moses  wid  Petriis  (Stimmen  aus  Maria 
Laadi  LX  [1901]  2.37— 2.')7);  G.  A.  van  den  Berch  van  Eysinga,  St.  Pierre, 
second  Moise  (Congres  d'histoire  du  Christianisme:  Jubile  Alfred  Loisy 
[Paris  and  Amsterdam  1928]  II  181  —  191). 

"Grabar  224  n.  4;  Gage.  Templum  Urbis  172. 


123 


Today  the  Ancient  of  Days,  he  that  once  gave  the  law  on 
Mount  Sinai  to  Moses,  is  seen  as  a  babe  ...'". 

Today  he  that  of  yore  gave  to  Moses  the  law  on  Mount  Sinai, 
stoops  under  the  fetters  of  the  law,  he  that  for  our  sake 
became  the  one  merciful  towards  us.    Now  the  pure  God  as  a  holy 
Child  opened  the  chaste  mother  .  .  .  *". 

The  Ancient  of  Days  has  become  a  babe  in  the  flesh,  and  has 
been  brought  by  his  Virgin  Mother  to  the  temple  ...*'. 

For  my  sake  the  Ancient  of  Days  has  become  a  babe  ...**. 
It  would  be  easy  to  argue  that  these  stidicra,  ascribed  to  Anato- 
Lius,  Germanos,  Johannes  Monachus,  and  others,  are  perhaps 
of  a  more  recent  date  and  not  as  old  as  the  fifth  century".  That 
is  true.  Sermons,  however,  of  an  earlier  date  reflect  similar  ideas", 
and  these  ideas  seem  to  go  back  to  Ephraem  the  Syrian,  who  died 
in  373  A.  D.  In  his  Hymnus  dc  Simeone  sene,  Ephraem  stresses 
several  times  that  the  aged  Simeon  testified  to  it  that  ,.the  Infant 
truly  was  the  Ancient  of  Days",  and  that  he  knew  that  ,.the  diild 

'"  Mcnaia  (editio  Romana.  1896)  III  478  (Anatolius):  'O  jiaXaio;  f)UE(>u)v  6  xai 
Tov  vouov  .id/.ai  ^v  2iv^  hoii;  t(J)  Mwoei  ofiutpov  Ppeopo;  opaxai. 

*"  Mcnaia.  loc.  cit.  (Joannes  Monachus):  Stjuepov  6  nd?.at  t(\>  MojofT  H  Sivgi 
v6|xov  Eni6oii;  toIc  vofxixol;  tncnmnxtx  deofioig,  6i'  fma:  (u;  Eiiffrt^.avx'vog 
xaO'  I'lud;  VEVOvtb;.  Nvv  6  xaOapo;  0e6;  tu;  jiaifiiov  fiyiov  u,T)Tpav  6iavoi|av 
dyvfiv  XT/.. 

"  Mcnaia  III  479  (Germanus  or  Anatolius):  'O  na>.ai6;  T)HEpu)v  vriJiidaa: 
aapxi  XT/.. 

**  Mcnaia  III  481 :  NtiniduEi  6i'  I^e  6  IlaXaio;  tuv  fiiiEecjv. 

*^  Johannes  Monachus,  of  course,  lived  in  the  fifth  century.  But  was  he  really 
the  composer  of  all  the  hymns  attributed  to  him? 

"  SoPHRONius,  Oratio  III:  De  Hypapante  (PG  87.  3,  3287  ff)  (the  Latin  version 
only;  the  Greek  text,  published  by  H.  Usener,  Vro%Tam,m  Bonn  [1889]  was  not 
accessible  to  me),  esp.  §  10  col  3294:  Lex  auLem  x<etus  et  sencx  el  infirma, 
mso  Christo  .  .  .  et  ab  infirmitatc  ad  salutem  [Simeon]  reducebatur;  et 
vetustate  .  .  .  convenientcr  nointati  rcnovata  eximebatur:  lumen  enim  veterem 
Israel  omni  vetustate  libcrans  .  .  oculis  ccrnebatur  .  .  .  Existens  nmms  e 
veteri  .  .  .  Christum,  lumen.  [Simeon]  aspexit.  See  also  §  12  col.  3296:  Nos 
pulchri  renni'ati  Christiquc  praesentia  in  altum  stihlati  .  .  .  cantcmus  Domino 
canticuni  noimm.  Renovati  etenim  sumus.  nox'ique  facti  e  veteribus.  jussique 
canticum  novum  canere  Deo  ac  Patri.  qui  Christi  nos  praesentia  et  innovavit 
univcrsos  ct  populum  illius  novum  esse  demonstravit.  Cantcmus  Domino 
canticum  novum:  quia  mirabilia  fecit  atque  per  Christi  quidem  praesentiam 
mirahilius.  per  quam  omnia  innovantnr  .  .  .  atque  in  Deum  sublata  in  primam 
itwentutem  transfcruntur.  The  whole  sermon  of  Sophronius  is  pervaded  by 
the  idea  of  rcnovatio.  although  it  is  rather  the  rejuvenation  brought  to  others 
than  the  rejuvenation  of  God  which  is  discussed.  To  Cyril  of  Jerusalem. 
Homilia  in  Occur.sum  Domini  XI  (PG  33.  1200  A)  Christ  is  ,.the  father  of 
the  future  Aibn  (nttrfip  tov  he^/.o\to:  alwvo:)"  In  the  Oratio  in  occursum 
Domini  of  Amphilochius  of  iconium  (PG  39,  52  f.  c.  \'I)  related  ideas  are 
expressed,  but  not  that  of  the  rejuvenation  of  the  Ancient  of  Days. 


n    u    II    II 
u      I    u    u 


124 


125 


he  carried  in  the  Temple  on  his  arms,  was  the  Ancient  of  Days  ". 
From  Ephraem  there  derives  also  the  topos,  which  was  so  often 
repeated  later  on,  in  both  the  East  and  the  West,  saying  that  „the 
aged  man  was  younger  than  the  infant",  and  that  the  babe  „was 
older  than  sun  and  man" "".  That  is  to  say,  Ephraem  produced  in 
his  Hymn  practically  all  the  images  and  metaphors  which  were 
repeated,  and  elaborated  on,  by  later  poets;  and  it  would  be 
difficult  to  overestimate  the  influence  of  Ephraem's  poetry,  or  of 
the  poems  ascribed  to  him. 

What  is  the  meaning  of  those  metaphors  and  images?  The  fre- 
quent references  to  Moses  receiving  the  law  on  Mount  Sinai  are 
easily  explained.  St.  Mary  fulfilled  the  law  —  repeated  in  Lk  2,23 
—  according  to  which  „every  male  that  openeth  the  womb  shall 
be  called  holy  to  the  Lord"  (Ex  13,2),  and  fulfilled  also  the  other 
law,  recorded  in  Lev  12,  concerning  the  purification  of  women  on 
the  fortieth  day.  The  Old  Testament  Lessons  on  February  2nd  are 
therefore,  in  the  Greek  rite  as  well  as  in  the  modern  Western 
Breviary,  Ex  13,  and  Lev  12,  in  addition  to  the  Gospel  taken  from 
St.  Luke.  The  Prophetic  Lesson  from  Is  6,  has  a  different  function 
with  whidi  we  are  not  concerned  here".  On  the  other  hand,  ..the 
Ancient  of  Days  again  a  babe",  is  a  strange  image,  though  its 
meaning  is  clear:  the  One  who  gave  the  law  on  Mount  Sinai  is 
identical  with  the  babe  presented  in  the  temple.  The  lawgiver, 
however,  who  appeared  to  Moses  on  Mount  Sinai,  is  not  called 
„God"  or  „the  Highest",  but  (with  Dan  7,9.  13.22)  the  „Ancient 
of  Days"  who,  according  to  Apk  1,14 — 20,  had  in  his  hand  the 
Seven  Stars,  whose  hairs  were  white  like  wool,  whose  countenance 

"Ephraem.  Uymnus  de  Simeone  scne.  ed.  Lamv  II  628  ff.  See  especially  §  28 
p.  638:  Indinat  sc  scncx  coram  panniln  el  scnectus  testimonium  reddit  infant i 
ipsitm  vere  esse  Antiquum  Dierum.  and  §  29:  Senex  sapiens  .  .  .  lonsiderabat 
cum.  et  sciens  ilium  esse  Antiquum  Dierum.  dcprcrahatur.  See  also  §  13 
p.  632,  and  Scrmo  de  Domino  nostro  §  "il.  cd.  Lamy  I  266. 

"  Ephraem,  Uymnus  de  Simeone  sene  §  22  p.  636:  Nisi  senex  puerulo  iunior 
esset.  supplices  ei  non  offeret  preces.  and  §  23:  .  .  .  ratus  ctiam  erat  ilium 
infantem  sole  ac  homine  esse  antiquiorem.  A  similar  idea  is  expressed  in  the 
Magnificat  Antiphon  of  the  Roman  Breviary  (February  2):  Senex  puerum 
porlahat.  Pucr  autem  sencm  regehat.  In  the  Mass  of  that  day  the  versicle 
forms  the  core  of  the  Alleluia;  the  antiphon  is  found  already  in  the  Liber 
responsalis  of  the  9th  century  (PL  78,  746  D)  and  may  well  be  of  a  con- 
siderably earlier  date. 

"The  .live  Coal"  (avf>pa|)  held  in  the  tongs  (JiaPiSe;)  by  the  Cherub  to 
cleanse  the  mouth  of  Isaiah  was  commonly  understood  as  a  prefiguration  of 
the  Child  held  in  the  hands  of  St.  Mary  and  Simeon.  See  my  forthcoming 
study  on  Roma  and  the  Coal. 


was  as  the  sun  shineth  in  his  strength,  and  who  said  of  himself: 
Ego  sum  primus  cl  ultimus^^. 

In  order  to  understand  the  full  impact  of  the  liturgical  images 
as  well  as  their  connection  with  the  tcjnpliim  Romac  actcrnac  and 
with  the  renovatio  idea  of  the  novum  sacculum  it  will  be  rewar- 
ding to  make  a  detour  and  inspect  certain  groups  of  Roman  im- 
perial coins  which  are  relevant  to  the  general  problem  of  the 
rejuvenation  of  gods. 

A  handsome  aureus,  issued  by  the  emperor  Domitian  in  82  or  83 
A.  D.,  displays,  on  the  obverse,  the  features  of  Domitia  Augusta, 
the  empress.  On  the  reverse  side,  a  babe  is  shown,  a  boy  seated  on 
the  quartered  globe,  lifting  his  hands  and  trying  to  grab  the  Seven 
Stars  that  surround  him.  The  inscription  identifies  the  child:  DIVUS 
CAESAR  IMPERATORIS  DOMITIANI  FILIUS  (fig.  3)^'.  To 
understand  the  idea  of  the  coin  image  an  epigram  of  M.\rtial 
(VI  3,  1  f)  on  the  expected  birth  of  Domitian's  offspring  has  proved 
to  be  helpful'".  Martial  greeted  the  child  to  be  born  with  words 
which  echoed  Virgil's  Fourth  Eclogue:  „Be  born  . . .,  true  scion  of 
gods;  be  born,  illustrious  boy"  —  Nascere  ...I  Vera  deum  suboles, 
nasccrc,  magne  pjier  {Epig.  VI  3, 1  f).  Martial  thus  assimilated  the 
vera  deum  suboles,  offspring  of  Domitian",  to  the  messianic  child 
and  future  kosmokrator  foretold  by  Virgil  (line  49):  rara  drum 
suboles,  magnum  lovis  incrementum.  The  fact  that  the  babe,  on  the 
reverse  of  the  aureus,  is  seated  on  the  quartered  globe  implies  that 

"*  For  the  Ancient  of  Days,  see  G.  Millet,  La  dalmatiquc  du  Vatican  (Bihl.  de 
I'Ecole  dcs  Hautes  Rtudes  LX  [Paris  19.56]  42  ff).  Cf.  H.  Gressmann.  Der 
Messias  (Gottingen  1929)  403  ff. 

'"  H.  Mattingly  —  E.  A.  Sydenham,  The  Roman  Imperial  Coinage  (London 
1923)  II  180  No.  213  and  pi.  V  fig.  86.  Cf.  H.  Mattingly,  Viigil's  Fourth 
Eclogue  (Journal  of  the  Warburg  and  Courtauld  Institutes  [1947]  pi.  10 
[facing  p.  17]).  A.  Dieudonn^,  Une  monnaie  de  I'imperatrice  Domitia  (Melan- 
ges numismatiques,  Ire  Ser.  [Paris  1909]  1—9)  thinks  rather  of  a  consecration 
coin. 

""  Cf.  Mattingly,  Virgil's  Fourth  Eclogue  18. 

"  That  the  emperors  should  appear  as  sires  of  gods  was  a  not  uncommon  idea. 
See  Virgil,  Aeneis  IX  642:  dis  genite  et  geniture  deos.  Seneca,  Consolatio 
ad  Marcum  XV  1 :  Caesares  qui  dis  geniti  deosque  genituri  dicuntur.  Also 
the  inscription  CIL  III  710  (Diocletian  and  Maximian):  diis  geniti  et  deorum 
crcatorcs.  See,  for  additional  places,  Alfoldi,  Insignien  und  Trachl  der 
riimisciien  Kaiser  (Rom.  Mitt.  L  [1935]  84  n.  2).  It  is  not  devoid  of  some  logic 
that  the  Frendi  kings  in  the  13th  century  were  styled  reges  sancli  .  .  .  cum 
generent  sanctos  reges.  See  E.  H.  Kantorowicz,  The  King's  Two  Bodies 
(Princeton  1957)  253  n.  185. 


n    u   1 1 
'  /      /   u 


126 


127 


he  is  the  lord  of  the  earth.  The  Seven  Stars,  however,  signifying 
either  the  planets,  or  the  seven  component  stars  of  the  Lesser  or 
Greater  Bear,  manifest  him  also  as  the  lord  ot  the  heavens  "^ 
That  is,  the  child  is  designated  as  the  lord  of  the  universe.  We 
should  recall  that  the  visionary  of  Patmos,  who  wrote  shortly  after 
Domitian,  described  the  Ancient  of  Days  as  one  holding  in  his 
right  hand  the  Seven  Stars  (Apk  1, 16),  an  attribute  or  insignia  of 

'*  It  is  not  at  all  easy  to  identify  the  „Seven  Stars'.  We  would  be  inclined  to 
think,  in  the  first  place,  of  the  seven  planets,  and  this  is  in  fact  the  inter- 
pretation favored  by  R.  Reitzenstein,  Poimandres  (Leipzig  1904)  lllff. 
A  terracotta  lamp,  hovi'ever,  shows  Christ  as  Kriophoros  or  ,.Good  Shepherd' 
with  the  Seven  Stars  above  his  head  (fig.  8),  but  with  sun  and  moon  as  well; 
cf.  R,  Garrucci,  Storia  delta  arte  cristiana  (Prato  1873/81)  vol.  VI  pi.  474 
fig.  2;  also  L.  Perret,  Calacomhes  de  Rome  (Paris  1851)  IV  pi.  17  fig.  3. 
Since  sun  and  moon  belonged  to  the  planets,  the  Seven  Stars  could  not  easily 
have  been  the  seven  planets,  but  rather  one  of  the  Bears,  the  Lesser  or  the 
Greater.  F.  Boll,  Aus  der  Offenbarung  Johannis  (Stoicheia  I  [Berlin  1914] 
21  f ;  53  f)  believes  that  the  Seven  Stars  in  the  hand  of  the  Ancient  of  Days 
indicated  the  Lesser  Bear.  This  constellation  ruling  the  pole  was  of  some 
importance  with  regard  to  Augustus,  because  according  to  Suetonius, 
Augustus  80  there  were  seven  moles  found  on  the  child's  body  at  the  time  of 
his  birth,  arranged  in  modtim  et  ordinem  ac  numerum  stellarum  caeleslis 
ursac.  E.  Norden,  Die  Geburt  des  Kindes  (Leipzig-Berlin  1924)  159  f  n.  4 
interprets  the  caeleslis  iirsa  without  qualification  as  the  Lesser  Bear.  Con- 
trariwise, there  are  quite  a  number  of  Cretan  coins  showing  Augustus  (cither 
his  head  only,  or  enthroned,  or  riding  a  chariot  drawn  by  elephants)  sur- 
rounded by  seven  stars,  which  J.  N.  Svoronos,  Niimismatique  dc  la  Crete 
ancicnne  (1890)  pi.  XXXII  figs.  2;  3;  4  alwa5's  identifies  as  les  sept  etoiles 
de  la  Grande  Oiirse  (see  also  pp.  334;  348).  Both  Boll  and  Norden  refer  in 
this  connection  to  the  great  magical  papyrus  in  Paris,  ed.  K.  Preisendanz, 
Papyri  graecae  magicae  (Leipzig-Berlin  1928)  I  96  (P.  IV  675  ff).  where  the 
seven  „pole-rulcrs  of  the  heaven'  {not.ov.QajQotz.  toO  ovgavoP)  might  be  iden- 
tified with  the  stars  of  the  Lesser  Bear.  The  divine  lord,  however,  whose 
epiphany  is  described  in  the  papyrus  (695  ff),  holds  in  his  hand  the  golden 
foreleg  of  an  ox  which  is  called  the  constellation  of  the  Bear  which  „turns 
the  heaven  and  brings  it  back,  ascending  and  descending  according  to  the 
hours".  This  golden  foreleg  of  an  ox,  studded  with  seven  stars,  is  well  known 
from  pictures  in  Egyptian  astronomical  texts,  and  the  distribution  of  the  stars 
leaves  no  doubt  that  the  Big  Dipper  was  meant;  see  O.  Neugebauer- 
R.  A.  Parker,  Egyptian  Astronomical  Texts  (London  1960)  I  28  and  pis.  4; 
6;  8;  9,  and  passim.  The  god  holding  the  seven  stars  of  the  Greater  Bear  in 
his  right  hand  has  been  identified  (not  beyond  doubt)  with  Mithras;  see 
A.  Dieterich,  Eine  Mithraslitnrgie  (3rd  ed.,  publ.  by  0.  Weinreich  [Leipzig- 
Berlin  1923]  70  ff,  also  78  ff),  and  against  him  (ibid.  pp.  234  ff)  Cumont  and 
others;  sec  also  M.  P.  Nilsson,  Die  Religion  in  den  gricdiiscficn  Zauberpapyri 
(Bulletin  de  la  Soci6t6  des  Lettres  de  Lund  [1947/48]  II  62  n.  1).  But  whoever 
the  god  holding  in  his  right  hand  the  seven  stars  set  in  the  golden  foreleg  of 
an  ox  may  have  been,  the  parallel  with  the  Ancient  of  Days  holding  the 
Seven  Stars  in  his  right  hand  is  obvious.    He  is  the  .Lord  of  the  constellation 


him,  god  or  emperor,  that  rules  the  pole  {no)joy.Qu.zwQ) ".  In  other 
words,  the  babe  on  the  globe  is  not  simply  a  new-born  prince;  but 
he  is,  as  has  been  convincingly  demonstrated  by  Mattingly", 
identical  with  the  baby  Jupiter.  The  messianic  child,  in  Virgil's 
words,  was  to  be  magnum  lovis  incrementum,  the  „new  great  scion 
of  the  stock  of  Jupiter",  or  rather,  as  emphasized  by  A.  Alfoldi", 
Jupiter  himself,  rejuvenated  and  now  incarnated  in  the  new-born 
imperial  prince.  This  interpretation  is  supported  by  a  coin  from 
Crete,  issued  under  Trajan  (fig.  4) ".  Once  more  we  recognize  the 
baby  god  sitting  on  the  globe  and  lifting  its  hands  towards  the 
Seven  Stars;  but  an  important  feature  has  been  added:  at  the  child's 
right  wc  recognize  a  goat,  the  goat  Amalthea  whidi  had  given  milk 
to  the  new-born  Zeus  on  Mount  Ida".  This  addition  makes  it  clear 

of  the  Bear",  who  actually  is  mentioned  (6  ttj;  figxtou  .  .  .  xvpio;)  though 
not  named,  in  the  same  magical  papyrus,  ed.  Preisendanz  I  116  (P.  IV  1291), 
in  which  we  find  inserted  also  two  prayers  to  the  .all-effecting  power  of  the 
constellation  of  the  Bear"  (P.  IV  1275;  1331).  Finally,  the  Seven  Stars  have 
been  identified  with  the  Pleiades;  see  below,  n.  33.  Professor  O.  Neugebauer, 
to  whom  I  am  much  obliged  for  information  on  many  points,  suggested  that 
probably  both  meanings  (i.  e.  Planets  and  one  of  the  Bears)  were  intertwined 
and  therefore  both  possible  whenever  the  .Lord  of  the  Seven  Stars"  was 
alluded  to. 

"  As  a  royal  or  divine  attribute  the  Seven  Stars  have,  as  Professor  Neu- 
gebauer kindly  informed  me,  a  very  respectable  history  whidi  can  be  traced 
back  to  the  second  millennium  B.  C.  See  H.  Frankfort,  Cylinder  Seals  (Lon- 
don 1939)  p.  251  with  fig.  81,  and  the  numerous  representations  of  the  ninth 
century  B.  C.  and  thereafter  on  pi.  XXXIII  figs,  b;  c;  g;  k;  pi.  XXXIV 
figs,  h;  i;  pi.  XXXVI  fig.  e.  The  stars  are  often  accompanied  by  sun  and 
moon,  and  Frankfort,  195  and  217,  interprets  the  Seven  Stars  as  the  Pleiades, 
not  as  the  Planets,  nor  as  one  of  the  Bear  constellations  whidi,  according  to 
Dr.  Neugebauer,  were  not  of  great  significance  in  the  Mesopotamian  orbit, 
whereas  they  were  of  importance  in  Egypt.  See  Boll,  op  cit.  21  f,  53,  for 
him  .that  rules  the  pole",  and  Preisendanz  I  96  (P.  IV  700  f)  for  the  ex- 
pression JtoXoxedTCop.  Among  those  polokratorcs  and  lords  of  the  Seven  Stars 
we  thus  have  found  the  Mesopotamian  kings,  Mithras  (?),  Augustus,  the  in- 
fant Zeus  and  imperial  princes,  the  Ancient  of  Days  and  Christ. 

^'  M.4TTINGLY,  Virgil's  Fourth  Eclogue  19. 

"  A.  Ai.FOLDi,  The  Numbering  of  the  Victories  of  the  Emperor  Gallicnus 
(Numismatic  Chronicle  5th  Ser.,  vol.  IX  [1929]  267  ff,  esp.  277  f). 

'*J.-N.  Svoronos,  Numismatiqtie  de  la  Crete  ancienne  (Macon  1890)  I 
pi.  XXXV  fig.  1;  A.  B.  Cook,  Zeus  (Cambridge  1914)  I  51  f  fig.  28. 

"  The  goat  in  connection  with  Jupiter  is  very  frequent  on  coins  of  the  Roman 
Republic:  see,  e.  g.,  H.  A.  Grueber,  Coins  of  the  Roman  Republic  in  the 
British  Museum  (London  1910)  I  322  Nos.  2476—2483  pi.  XXXVIII  figs. 
11  — 14  and  passim.  But  this  subject  is  not  under  consideration  here.  See,  in 
general.  Cook,  Zeus  I  706  ff.  See  also  A.  Alfoldi,  The  Main  Aspects  of 
Political  Propaganda  on  the  Coinage  of  the  Roman  Republic  (Essays  in 
Roman  Coinage  Presented  to  Harold  Mattingly  [Oxford  19.56]  88  f). 


/  /    U    I  I     J 
U       I     U     L 


\2H 


(lia(  III  (lit:  (jcljiii  11)111  iiii.i({(  iIh  li.iliy  on  llic  glol>c  and  lifting  his 
ImikIn  Ii)  iIu  S«  v<  II  Sl.ti^  w.n  Mil  .ml  in  \n-  )lic  youthful  or  rejuve- 
nali<l  Jii|)il«i.  And  lluic  willi  wi  nndii'ilaiKi  bcttci  the  coin  image 
ol  Doiiiilian'ii  Mill,  it  hikya  lli.il  iIm  Diuua  (lacsur  Imperaloris  Domi- 
ttant  Itltus  IS  kIciiIk.iI,  hi  Viit^iI'm  language,  with  the  magnum 
lovts  ituTi  m( iiltiiii.  llif  ..filial  .S(  ion  ol  Jupiter's  stodc",  or  with  old 
Jij)>il(i   IiiiiimII  UK  ai  naif  as  a  ljal>y  again  ^. 

\'ii<<,ii,'i>  nicssiaiiK  l\<  lo^;u(  was  certainly  hovering  over  imperial 
Roiin-  uiilil  alinosi  llic  end  ol  (lie  Western  empire**.  A  bronze 
inedallion  ol  Anloninus  I'ius  brings  further  elucidation.  On  the 
reverse  side,  the  baby  is  seen  riding  sidewise  on  the  goat  Amalthea 
towards  an  altar  beneath  a  tree  (fig.  5).  Since  the  altar  is  adorned 
with  an  cajole,  Jupiter's  bird,  we  have  to  conclude  that  this  picture 
loo  demonstrates  the  rejuvenated  Jupiter  riding  as  a  baby  on  his 
loyal  animal  *".  We  may  pass  over  a  set  of  bronze  coins  issued 
under  (Jommodus,  disjjiaying  the  inscription  lOVI  lUVENI  and 
implying  that  the  youthful  „god  of  the  early  days  of  victory  over 
the  '1  itans  was  represented  in  the  young  ruler  of  the  Roman  world", 
Commodus".  Instead  we  concentrate  briefly  on  a  large  set  of 
silver  coins  of  the  Kmperor  Gallienus,  convincingly  interpreted  by 
Ai.foi.oi ",  which  suggest  related  ideas.  On  these  coins  the  baby 
Jupiter  appears  once  more  re-incarnated  in  a  young  imperial  prince. 
Valerian  II,  Gallienus'  son.  The  boy  Caesar  is  represented  as  the 
rejuvenated  god  riding  on  the  goat  Amalthea  (fig.  6).  This  idea 
is  borne  out  by  the  inscription  expounding  the  intention  very 
distinctly:   lOVI   CRESCENTI,  to  the  waxing  Jupiter.  That   is, 

**  See  Alfoldi.  The  Numbering  .  .  .  (above  n.  3.5)  278  for  vcttis  and  noviis 
luppiteT. 

*  TTiis  has  been  shown  in  some  detail  by  Mattingly,  Virgil's  Fourth  Eclogue 
csp.  19,  who  traces  the  influence  of  the  Eclogue  to  a  bronze  coin  of  the 
emperor  Gratian  holding  the  Christian  standard  while  the  inscription  reads: 
GLORIA  NOVI  SAECULI.  a  clear  reference  to  the  age  of  Christ  as  the 
novum  iaeculum. 

*"  Cook.  Zeus  I  713,  fig.  528;  cf.  p.  .52;  F.  Gnkcciii,  /  medaglioni  romani  (Milan 
1912)  II  IC  Nos.  60  f  and  pi.  L  fig.  4;  Ai.F()I.di,  Thr  Numbering  .  .  .  (above 
n.  35)  268  fig.  1.  See,  for  a  similar  issue,  though  without  the  altar, 
P.  L.  Strack,  Untersudiungcn  zur  rihnisriirn  Hridisfniigung  dcs  zweitcn  Jahr- 
hunderls  (Stuttgart  1937)  III  161  and  pi.  IV  lig.  658  a. 

*'  MATii.N(,i.y,  Coins  of  the  Roman  Empire  in  /hi  British  Museum  IV  (London 
1940)  Nos.  593*;  623;  633;  635  pp.  810;  ,SI9;  821  ff  .ind  pi.  CVIII  figs.  4 
and  9;  cf.  Introduction  p.  CLXlv. 

"  Ai.f6i.I)I,  The  Numbering  .  .  .  (above  n.  35)  pi.  XX  fig.  10.  and,  for  the  coins, 
figs.  12—16;  also  Cook,  Zeus  I  714  fig.  530:  also  Pn.  V.  Hii.i.,  Aspects  of 
Jupiter  on  Coins  of  the  Roman  Mint.  A.  I).  (i.'i—.'ilS  (Numismatic  Chronicle. 
Sixth  Ser,  XX  [1960]  pi.  VIII  fig.  18). 


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129 

the  image  alludes  to  Jupiter  who  has  become  an  infant  again  and 
therefore  now  is  growing.  He  is  both  old  and  young  at  the  same 
time;  and  the  young  one  waxes  and  gathers  strength  for  the  govern- 
ment of  the  world,  a  rcslilutor  generis  humani  and  beginner  of  a 
new  era,  a  saccidum  novum'\  Another  issue  of  coins  of  Gallienus 
for  Valerian  11,  or  for  his  younger  son  Saloninus",  opens  up  a  new 
perspective.  The  obverse  shows  the  profile  head  of  the  youth  with 
the  inscription  PIETAS  SAECULI;  and  while  the  image  in  the 
reverse  remains  practically  unchanged,  showing  the  child  riding 
on  the  goat,  from  right  to  left,  the  legend  differs;  it  now  reads: 
lOVI  EXORIENTI,  „To  the  rising  Jupiter"  (fig.  1)'\ 

In  this  case,  the  infant  Jupiter  has  been  interpreted  in  solar 
terms.  Young  Jupiter  „rises"  as  the  Sun  rises,  and  this  metaphor 
suggests  yet  another  aspect  of  the  saeaditm  novum  motif.  For, 
the  „rising  child",  piier  exoriens,  6  vr);tio;  6  uvcxTtUwv  would  nor- 
mally refer  to  Helios  or  Sol,  the  sun  god'".  ,.He  that  gives  light 
to  the  day,  the  rising  child"  is  an  invocation  found,  for  example, 
in  the  famous  Paris  magical  papyrus''.  Phtarcii  mentions  that 
the  Egyptians  considered  the  rising  Sun  a  child,  and  the  pictures  of 
the  infant  Sun  sitting  on  the  lotus  are  common  enough'".  A  hymn 
to  the  Egyptian  Sun  God  announces  that  ..he   [the  Sun]   is  Ptah, 

"  Alfoldi.  The  Numhcrins,  .  .  .  (above  n.  $'^)  270;  sec  esp.  278  nos.  92—9'?. 

"  For  the  coin  for  Saloninus,  see  Ai.foldi,  The  Niinihrring  .  .  .  273;  Mat- 
TiNGi.Y,  Virs:il's  Fniirtli  Eclogue  18,  and  cf.  15;  Cook.  Zcusl  714  fig.  .131;  also 
Hii.1..  op.  cit.  122  f  (,.a  rare  sestertius"). 

*'Ai.f6i.di.  Thr  Numbering  ...  271  and  pi.  XX  fig.  6.  That  the  reign  of  a 
noviis  Jit/)l>iter  ushers  in  some  kind  of  golden  age  is  a  belief  which  has  a 
long  history.  Sec,  e.  g..  Timotheus  of  Milet  (ca.  398  B.C.),  frg.  12  (Bergk. 
Pnelne  lyrici  gracci  [Leipzig  1914]  III  624):  veo;  6  Ztvz  Paoi?.EiVi,  /  t6 
-•Tfi^.ni  6't)v  Kpovo:  agxcnv  /  (I.titoj  (lovoa  .Ta>.airi.  See  also  Statius.  Sihae 
I  f).  39—13.  ed.  Ki.oTZ  34:  /.  tiiinc  saccula  comhara.  Vrtiislas.  I  Anliqui  Jovis 
aureiimqiir  tem/iiis.  which  by  implication  makes  Domitian  the  noviis  Jiip- 
I'itcr:  see  F.  Sauter,  Der  riimisc/ie  Kaiscrkidt  bei  Martial  imd  Statius  (Stutt- 
gart-Berlin 1934)  21. 

"F.  Boll.  Gricchisdie  Kalender.  SbH  I  Abh.  16  (1910)  42  f  n.  3.5.  Cook, 
Zeiis  I  714  did  not  fail  to  recognize  the  solar  character  of  the  lovi  exorienti 
coin. 

"  Preisendanz  I  38  (P.  Ill  1,54  f):  6  ri'iv  f|u^pav  cf.oTittov  ...,')  vivt.o;  o  ava- 
T^U(,)v:  see  also  Preisendanz  I  28  (P.  II  120).  where  the  phrase  is  repeated 
almost  verbatim. 

♦«  Pi.UTARCH.  De  Pylhiac  oracniis  400  A  (c.  12):  AIywtiouc  .  .  .  m:  uoyi^v  Ava- 
ToJ.ri;  ;:iai8iov  veoyvov  vodcpovTa;  e.-ti  XcotcT)  xa0et6uevov:  see  also  De  /side  et 
Ostride  .3.5,5  C  (c.  11).  For  the  image  of  the  infant  Sun  sitting  on  the  lotus 
see.  e.  g,.  P.  Berlin  ,5026.  line  107,  ed.  Preisendanz  I  26;  and.  for  represen- 
tations, C.  Bonner,  Studies  in  Magical  Amulets  (Ann  Arbor  19.50)  140  ff  and 
figs.  189—208. 

9     Pcrrnntta< 


U     I  I     L 

I     U     J 


130 


the  oldest  of  all  gods.  He  waxes  old  and  rejuvenates  in  the  revol- 
ving course  of  eternal  time"  ".  Nor  is  there  any  dearth  of  similar 
statements  "*.  That  is  to  say,  Jupiter  was  not  the  only  god  to  appear 
as  an  old  man  who,  at  the  beginning  of  a  new  saeculum  became 
an  infant  again.  For,  the  same  transformation  was  attributed  also 
to  Sol-Helios.  His  rejuvenation  was  linked,  in  the  first  place,  to 
the  daily  cycle  of  morning  and  evening:  a  child  in  the  morning,  a 
man  at  noon,  and  an  old  man  in  the  evening.  But  the  image  of 
the  Sun  god  as  a  baby  was  likewise  valid  with  regard  to  the  larger 
cycle  of  the  year.  „As  an  infant  (parvulus)  he  appears  at  the  winter 
solstice",  and  „he  grows  old  during  the  year  to  appear  again  as 
a  parvus  et  infaris  on  the  shortest  day",  writes  Macrobius",  and 
similar  statements  are  found  frequently.  That  is,  the  rejuvenation 
of  the  Sun  deity  is  clearly  bound  to  the  natural  cycles  of  day  and 
year,  and,  we  may  add,  of  the  saeculum  as  well. 

It  stands  to  reason  that  the  Hypapante  diants  rendering  the 
message  that  „today  the  Ancient  of  Days  has  become  a  babe" 
have  to  be  viewed  against  the  badcground  of  the  pre-Christian 
ideas  of  rejuvenated  gods.  An  encaustic  icon  of  the  sixth  or  early 
seventh  century  in  the  monastery  of  St.  Catherine  on  Mount  Sinai 
displays  the  Emmanuel,  the  incarnate  Christ,  on  the  knees  of  the 
Virgin  as  a  pucr-senex  or  jiaiSapioyeQcov,  that  is,  with  features  old 
out  of  proportion  to  the  infant's  age".  An  eleventh-century  Gospel- 

"  R.  Reitzenstein,  Poimandres  (Leipzig  1904)  235  f;  cf.  P.  Friedlander,  Johann 
von  Gaza  tind  Paidus  Silentiarius  (Leipzig  1912)  170,  who  has  collected  a 
number  of  passages  relevant  to  the  infant  Sun. 

"•  See,  e.  g.  the  prayer  to  the  Sun  in  a  magical  papyrus  at  Oslo,  ed.  Preisendanz 
II  170  (P.  XXXVI  219);  6  xoO'f)fiFpav  yt\\u>\ie\oz  veo;  x(ii  ytnuiv  fii'iviov. 
Further  Martianus  Capella,  De  nuptiis  I  76,  ed.  Dick  35:  farie  autem  mox 
ingressus  est  pueri  renidentis.  in  incessn  medio  invenis  anheli,  in  fine  senis 
apparebit  occidiii,  licet  duodecim  nonnidlis  fnrmas  convertcre  crederetur. 
See,  for  the  twelve  changing  forms  of  the  Sun  (in  agreement  with  the  twelve 
hours  of  the  day  or  with  the  Zodiac),  Reitzenstein,  Poimandres  256  ff. 
FiRMicus  Maternus,  De  errore  VII  7,  ed.  K.  Ziegler,  22,  20:  qiiis  vidit 
puernm  Soletn.  John  of  Gaza  55  fF,  ed.  Friedlander  138,  describes  the  Sun 
as  a  child  and  an  old  man,  while  mentioning  maturity  last  —  characteristic 
of  the  Greek  predilection  of  polarity  (beginning  —  end  —  middle);  cf. 
F.  Boi.L,  Die  Lebensalter  (Neue  Jahrbiidier  fiir  das  klassische  Altertum  XXXI 
[1913]  95);  R.-D.  Keil,  Anfang,  Ende  und  Mitte  (Antike  und  Abendland  VI 
[1957]    145  ff). 

"  Macrobius,  Saturnalia  I  18,  9;  cf.  Boll,  Gricdiisdic  Kalender  42;  Norden, 
Die  Gehitrt  des  Kindes  25  n.  3. 

"  I  owe  the  knowledge  of  this  icon  to  the  kindness  of  Professor  Kurt  Weitz- 
MANN  who  will  publish  the  icons  of  St.  Catherine's  together  with  other 
results  of  the  Sinai   Expeditions  sponsored   by  the   University  of  Michigan, 


131 

book,  now  in  Paris",  actually  shows  (fig.  2)  Christ  in  three  different 
ages:  in  the  central  medallion  we  recognize  the  Ancient  of  Days 
(riaXaio;  tojv  fmfgoJv);  the  medallion  to  the  left,  inscribed  XpioTog, 
shows  a  mature  man;  and  the  one  to  the  right,  inscribed  'Ennttvour)?L, 
renders  Christ  as  a  youth".  That  Christ  was  jioXv^oeqjog,  was  stated 
occasionally  and  suggested  even  more  often  by  implication"  — 
just  as  the  Aion  was  called  jiavTOnopcpog,  jioixiXo^opcpGc;,  one  in  whom 
there  is  „no  earlier  nor  later,  no  older  nor  younger"  (ou6e  nQia- 
pvTEeov  ovU  vEWTEeov)".  „Child,  old  man,  born  before  the  ages, 
coeval  with  the  Father",  explains  a  verse  in  the  Greek  Anthology". 
On  the  other  hand,  in  the  Vita  Abercii,  three  persons  —  actually 

Princeton  University,  and  the  University  of  Alexandria,  Egypt.  For  the  topic 
puer  senex,  see  E,  R.  Curtius,  Europdisdie  Lileratur  und  lateinisdies  Mittel- 
alter  (Bern  1948)  106  ff,  esp.  109  n.  1  for  Jesus  as  puer  senex.  See  also 
below,  n.  57.  The  Greek  technical  term  was  quite  popular  ever  since  the 
fourth  century;  cf.  Curtius  108  (PG  67,  1069  A). 

"Paris,  Bibl,  Nat.,  Ms.  gr.  74  fol.  167  (St.  John);  cf.  H.  Omont,  Evangiles 
avec  peinlures  byzantines  du  Xle  siecle  (Paris  n.  y.)  II  pi.  142.  The  pictures 
of  the  other  evangelists  follow  a  similar  pattern;  see  I  pi.  1  (Matthew)-  pl  57 
(Marc);  II  pl.  92  (Luke). 

"  In  the  Gospels  of  John  Alexander,  Czar  of  the  Bulgarians  (1331  —  1371),  we 
find  the  same  scheme,  but  all  three  medallions  have  the  same  inspription 
(IH20YV  XPJVTOS).  See  Brit.  Mus.,  Add.  Ms.  39  627  fol.  213,  ed. 
B.  D.  FiLov,  Les  miniatures  de  I'  Evangile  du  Roi  Jean  Alexandre  a  Londres 
(Sofia  1934)  pl.  CXXXIX  (an  excellent  colour  reproduction).  The  miniatures 
of  this  Ms.  depend  throughout  on  Ms.  gr.  74  of  the  Biblioth^que  Nationale. 

"See  E.  Peterson,  Einige  Bemerkungen  zum  Hamburger  Papyrus-Fragment 
dcr  Acta  Pauli  (Vigiliae  Christianae  III  [1949]  142—162,  esp.  158,  where 
he  mentions  nokv^ioQCfoz) ;  cf.  Vita  Abercii  c.  16  (below  n.  58).  where  the  ex- 
pression :lo>.lla)w^o;  is  found.  The  related  expression  jtoXv:iQ6aM.io:  occurs, 
as  Mrs.  E.  de'Negri  kindly  called  to  my  attention,  in  the  Ada  Joannis  c.  91, 
ed.  R.  A.  Lipsius-M.  Bonnet,  Acta  Apostolorum  apocrypha  (Leipzig  1898) 
II  1,  196.  Cf.  Actus  Petri  cum  Simone  c.  21,  ed.  Lipsius-Bonnet  I  69,  18  f: 
quomodo  [viduae]  alias  et  alias  dominum  viderint.  For  the  image  of  Jesus 
in  apocryphal  writings,  see  W.  Bauer,  Das  Leben  Jesu  im  Zeitalter  der  neu- 
testamentlichen  Apokryphen  (Tubingen  1909)  313  f. 
»»For  Aion  in  general,  see  D.  Levi,  Aion  (Hesperia  XIII  [1944]  269—314;  274 
n.  9  for  bibliography).  For  Aion  as  navT6noecpo;  dtoc,  see  A.  Alfodi  Der 
neue  Weltherrscher  der  Vierten  Ekloge  Vergils  (Hermes  LXV  [1930]  377);  for 
Alwv  ;ioixi>.6iioefpo;,  see  Nonnos,  Dionysiaca  VII  22  f;  Levi  276  n.  13.  For 
Aion  being  neither  older  nor  younger,  see  Plutarch,  De  E  apud  Delphos 
c.  20;  Moralia  393  A,  ed.  F.  C.  Babbitt,  Loeb  Classical  Library  V  244;  cf. 
Levi  279.  For  a  related  idea,  see  the  Leiden  Papyrus  published  by  Preisen- 
danz II  90  (P.  XIII  70  f):  6  ^lETanoecpol)^evos  el5  ndvxa;,  dopaTo;  el  M6)y 
Aluivoc.  Cf.  Actus  Petri  cum  Simone  c.  20,  ed.  Lipsius-Bonnet  I  68,  14:  hie 
est  omnia. 

"  Anthologia  Palatina  I  21:  nai,  Y^pov,  alcivuv  iiQoyfMia^tQt  Jiaxpds  6nr)Xi|. 
See  also  I  20:  naXaivevi;,  vlk    \eoyvi. 


n   o   1 1    L 
u      I    u    u 


132 

three  blind  old  women  —  visualize  Christ  in  three  different  ages: 
one  experiences  him  as  :tefco|ii)TTi;,  the  second  as  a  beardless  young 
man  (veaviaxog  uyevEiog),  and  the  third  one  as  a  small  child  (toi- 
buQiov  nixQov)  '\  because  Past,  Present,  and  Future  have  no  meaning 
in  view  of  the  aiwv  tOTwg,  the  immovable  Aidn''\  The  same  pheno- 
menon came  true,  according  to  Marco   Polo,  when   the  Three 
Magi  paid  their  respects  to  the  Holy  Child:  the  youngest  of  the 
Wise  Men  found  the  Child  seemingly  of  his  own  age;  the  middle 
one  found  the  Child  in  the  age  of  a  mature  man;  and  the  eldest 
one  saw  it  as  an  old  man "°.  The  connections  of  that  triple  appea- 
rance of  the  Lord  of  the  Universe  with  the  Sassanian  doctrines 
concerning  Zervan,  the  deified  Time  and  its  three  consubstantial 
manifestations  expressing  the  three  stages  of  life,  have  been  per- 
tinently investigated  by  L.  Olschki  "'  and  are  not  in  need  of  being 
re-considered  here.  But  the  three  mimetic  manifestations  of  the 
mcarnate  God  who  is  perceived  by  every  person  according  to  his 
own  stage  of  maturity,  has  its  parallel  in  the  Third  Vision  of  the 
Shepherd  of  Hernias.  For  Hermas,  when  meeting  the  Kyria  dispen- 
sing revelation  to  him  (that  is,  the  Church),  finds  her  an  old  woman; 
when  meeting  her  a  second  time  she  appeared  to  him  much  younger 
and  gayer  though  her  body  and  hair  were  still  that  of  an  old 
woman;  the  third  time,  he  found  her  quite  young  and  very  hand- 
some and  gay,  and  only  her  hair  was  that  of  old  age.  The  reason 
for  that  uvavewaig  of  the  woman  was,  according  to  the  information 
obtained  by  Hermas,  that  he,  Hermas,  himself  had   changed   by 
reaching  successively  stages  of  greater  faith,  perfection  and   in- 

»«S.  Ahcrcii  Vila  c.  29.  ed.  Th.  Nissen  (Leipzig  1912)  22,  13  ff:  cf.  Peterson, 
op.  cit.  158.  The  same  story  is  found  in  Actus  Petri  cum  Sinnmc  c.  21,  ed. 
LipSHis-BoNNET  (Leipzig  1891)  I  68  f  (the  Latin  text  of  the  Vcrcelli  Acts). 
See  also  Ahcrcii  vita  c.  16,  ed.  Nissen,  14.  6ff:  .  .  .  tov  fiHiopcfov  toI;  voof-mv 
y.ai  aiiopffov  toi;  dvvoonaiv,  t6v  iia>.ai6v  xai  vewTegov,  t6v  xqovm  (paivoiiEvov 
v.ai  del  ovxa.  This  description  again  is  found  in  the  Acfu.t  Petri  cum  Simone 
c.  20,  ed.  LiPsius-BoNNET,  I  68. 

»•  Tatian.  Orafio  ad  Graccos  26.  ed.  E.  Schwartz  (Tcxte  und  Untcrsuchungen 
zur  Geschichte  dcr  altchristlichen  Litcratur  IV  1  [Leipzig  18S8]  27  line  27). 
Peterson,  loc.  cit. 

«•>  Marco  Polo,  trsl.  by  H.  Yule,  The  Book  of  Ser  Marco  Polo^  (London  10->1) 
I  79.  V  •      / 

"  L.  Olschki,  The  Wise  Men  of  the  East  in  Oriental  Tradition  (Semitic  and 
Oriental  Studies  Presented  to  William  Popper,  ed.  W.  J.  Fischel  [Berkeley- 
Los  Angeles  19,51]  375-395,  esp.  381  ff).  who  indicates  al.so  the  l.clicf  of  the 
followers  of  the  Old  Man  of  the  Mountain  in  whom  .childhood,  maturity, 
and  old  age  were  only  one  condition". 


133 

sight "-.  The  forms  of  appearance  are  mimetic  and  vary  depending 
upon  the  beholder"'.  The  decisive  feature,  however,  is  that  owing 
to  the  Eternity  of  the  godhead  its  manifestations  of  „old"  or 
„young"  represent  in  fact  only  one  condition;  and  therefore  „the 
Ancient  of  Days,  who  once  gave  the  law  on  Mount  Sinai  to  Moses, 
is  now  seen  as  a  babe".  He  is  rejuvenated  and,  by  his  incarnation, 
he  introduces  a  new  era;  but  he  is  still  the  same  that  he  was  on 
Mount  Sinai,  for  Aetalem  et  sexum  non  habet  haec  subolcs,  as 
Paulinus  of  Nola  puts  it,  and,  referring  to  the  Virgin,  he  explains: 
Mac  genetrice  senex  aeque  generaliir  ut  itifans^*.  Or,  as  Dionysius 
Areopagita  pointed  out  half  a  century  later,  the  antithesis  of  the 
noAaiog  and  the  veog  implies  that  the  ancient  one  indicates  him  who 
was  an  uexii?.  from  the  beginning,  whereas  the  young  one  is 
dyi'ipoj;,  not  aging  "^. 

Attention  should  be  called  to  yet  another  item  which  seems 
relevant  to  magnum  lovis  incremcntum.  In  the  Canticle  of  Zacha- 
rias(Lk  1,78)  Christ  is  referred  to  as  'AvaToAi]  e^  iii|ioi':,  Oriens  ex 
Alto,  conventionally  translated  by  „dayspring  from  on  high"  (King 
James)  or  „ Orient  from  on  high"  (Doiiay  Bible).  Zacharias,  the 
father  of  John  the  Baptist,  here  harked  back  to  the  Prophet  Zacha- 
rias (3,8;  6,12)  where  the  coming  of  the  Messiah  is  announced, 
whose  name  is  given  as  'k\axoli\,  Oriens.  Perhaps  orttis  would 
have  been  a  more  adequate  translation.  For  the  Hebrew  word 
Zemah,  which  Luther  uses  in  his  German  version  without  trans- 
lating it,  means  the  „shoot",  the  „offspring",  in  the  sense  in  which 
Horace  {Carm.  IV  5)  addresses  Augustus  Divis  orte  bonis,  „Off- 
spring  of  the  good  gods".  The  King  James  version  therefor  renders 
the  Hebrew  word  by  „the  Brandi",  just  as  in  Jer  23,5,  the  Hebrew 
word  Zemah,  or  Greek  dvato^,  is  rendered  correctly  by  germen 
in  the  Latin  Vulgate.  That  is  to  say,  the  Messiah  is  likewise  a 
magnum  incrementiim  of  the  highest  God,  especially  if  the  under- 
lying meaning  of  the  Canticle  of  Zadiarias  is  taken  to  be  Oriens 
ex  altissimo,  dvaToXii  VE,  VTpiotov,  a  „scion  of  the  Most  High".  On 

"Pastor  Hermae,  Visio  III  cc.  11  —  13,  ed.  R.  Joly,  Hermas:  Le  Pasteur  (Sour- 
ces chretiennes  .53  [Paris  1958]   129  ff  =  cc.  19—21). 

•^  See  also  the  Actus  Joannis  cc.  88—89,  ed.  Lipsius-Bonnet  II   1,  194. 

"  Paulinus  of  Nola,  Carmina  XXV  175f,  ed.  Hartel  (CSEL  30  [1894]  243). 
See  CuRTius,  op.  cit.  109,  for  the  birth  legend  of  a  Buddhist  saint  who  had 
a  long  white  beard  when  his  mother  gave  birth  to  him. 

*^  Dionysius  Areopagita,  De  divinis  nominibus  X  2  (PG  3,  937);  also  945/6  for 
the  paraphrase  of  Pachymeres,  and  IV  385/6,  for  the  sdiolia  of  S.  Maximus. 
I  am  indebted  to  Professor  A.  Grabar  for  calling  my  attention  to  this  pas- 
sage. 


J 


n   o   1 1 
'  /     /   u 


134 


the  other  hand,  the  messianic  epithet  'AvatoXif],  Oriens,  was  custo- 
marily connected  with  the  Malachian  Sol  histitiac,  so  that  two 
different  strands  of  thought  are  here  interlaced  with  one  another"". 

After  our  circumstantial  lucubration  it  will  be  easier  to  under- 
stand how  it  happened  that  the  designer  of  the  mosaics  in  S.  Maria 
Maggiore  placed  the  events  of  the  Hypapante,  the  meeting  of  Christ 
and  the  aged  Simeon,  in  the  unexpected  surroundings  of  Rome  and 
chose  the  templum  Roftiae  as  an  appropriate  background  to  interpret 
the  holy  scene.  The  tertium  quid  should  not  be  sought  in  the  tension 
between  the  age-old  Simeon  and  the  infant  Jesus,  but  rather  in 
Christ  himself  who  is  babe  and  Ancient  of  Days  at  the  same  time, 
who  is  at  once  old  and  young  as  Roma  actcrna  herself.  Hence, 
by  the  display  of  the  shrine  suggesting  Roma's  eternal  rejuvenation 
as  well  as  by  the  shrine's  symbolic  value  of  the  saeculum  novum, 
the  leading  idea  of  the  feast  indicating  that  the  Ancient  of  Days 
has  become  a  babe  again  was  intensified.  The  Roman  beholder  of 
the  mosaic  would  have  been  at  liberty  to  interpret  the  piier  exoriens 
of  Christian  mythology  as  one  next  of  kin  to  Virgil's  magnum 
lovis  incrementum,  or  to  understand  the  Christian  Sol  htslitiae 
as  a  "HA-io?  dvaTeUcov,  a  new  rising  and  youthful  Sun  who  ushers 
in  the  new  Aion,  the  saeculum  novum",  provided  that  this  hypothe- 
tical Roman  remained  aware  of  one  important  point.  The  rejuvena- 
tion according  to  natural  cycles  into  which  the  Graeco-Roman  gods 
were  bound,  as  well  as  the  plurality  of  rejuvenations  on  the  part 
of  Jupiter  had  drawn  to  an  end.  According  to  the  Christian  faith 
no  more  than  one  rejuvenation,  or  renewal,  of  the  world  was 
possible,  and  this  renovatio  was  the  consequential  result  of  the 
Incarnation  of  the  Son  of  God,  the  event  that  made  the  Ancient 
of  Days  to  be  a  child  again,  a  puer  exoriens.  Of  the  Christian 
Jiovum  saeculum  there  could  be  no  repetition  because  the  incarnate 
God,  though  older  than  the  world  and  older  than  St.  Simeon,  was 
dtTpejiTMg  vTimdoac,   „being  a  babe   immutably",  or  dyriowg,    „not 

••For  the  rather  involved  problem,  see  A,  Jacoby,  'AvaToX^  1%  (ji)»oitc  (Zeit- 
sdirift  fiir  die  neutestamentlichc  Wissensdiaft  XX  [1921]  20,5—214),  who 
points  out  (p.  207)  that  Ci|iog  has  the  meaning  of  ,God"  (6iivanic  injuatou  = 
6uvaiu;  l|  Cijiouc:).  The  solar  meaning  is  definitely  overstressed  in  the  New 
En?,lhh  Bible  (Oxford-Cambridge  1961)  96:  „The  morning  sun  from  heaven 
will  rise  upon  us." 

"  Christ  as  "HXio;  dvaiaXtov  is  one  of  the  most  frequent  metaphors;  in  the 
chants  of  the  Eastern  Churdi  it  is  found  time  and  time  again;  see  for  the 
service  on  Hyfwpante,  Menaia  III  480.  See  also  my  forthcoming  study  on 
Onens  Augusti. 


135 

aging",  as  Pseudo-Dionysius  explained  by  applying  the  famous 
epithet  of  the  Olympian  gods  to  the  new-born  Saviour"".  And  also 
the  Christian  Helios,  once  he  had  risen,  remained  a  tpoj;  uvianegov 
and  tibuTov,  a  light  without  evening,  a  light  without  setting"". 

The  chants  of  Ephrem  and  of  the  Greek  service  on  the  day  of 
Hypapante  heralded  the  infant  Christ  as  the  reborn  and  rejuve- 
nated Ancient  of  Days.  These  chants  have  served  us  here  as  the 
indispensable  medium  to  recognize  that  the  syncretistic  iconography 
of  the  Occursus  in  S.  Maria  Maggiore  in  front  of  the  symbol  of  the 
saeculum  novum,  the  Roma  temple,  was  caused  not  merely  by  the 
confrontation  of  old  age  and  new  age  as  represented  by  Simeon 
and  the  baby  God,  but  also  by  the  other  leading  idea  which  consisted 
in  the  doubling  of  old  age  and  infancy  in  the  incarnate  God  himself. 
It  is  true,  of  course,  that  the  Incarnation  was  a  singular  event 
whidi  could  not  be  repeated,  nor  could  every  new-born  imperial 
prince  be  visualized  as  a  rejuvenation  of  the  Ancient  of  Days.  But 
the  mythologumena,  both  imperial  and  divine,  of  the  pre-Christian 
days,  were  carried  over  to  the  Christian  age  and,  like  Jupiter 
or  Aion,  the  new  Lord  of  the  Seven  Stars  was  at  once  the  primus 
et  novissimus  (Apk  1,17),  since  by  the  Virgin  Mother,  as  Paulinus 
OF  Noi.A  put  it,  senex  aeque  generatur  tit  in  fans'"'.  For  these  reasons 
the  Hypapante  could  signify  the  dawn  of  the  Saeculum  novum. 

•«  Menaia  III  482;  483.  See,  for  Dionysius  Areopagita,  above  n.  65. 

••  Menaia  III  478;  483. 

'"  See,  for  Paulinus  of  Nola,  above  n.  64. 

NOTE  TO  THE  ILLUSTRATIONS 
I  am  greatly  obliged  to  Mile.  Marie-Ther^se  d'Alverney  for  providing  me 
with  a  photograph  of  fig.  2,  while  for  photographs  3,  5,  6,  7  my  thanks  go  to 
Professor  A.  Alfoldi. 


U      I    u    u 


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Nordrhein-Westfalen, 

Die  Lehre  vom  Almosen  in  den  Kollektenpredigten  Leos  d.  Gr.  .  .  46 
Viktor  Warnach  OSB,  Month  der  Abtei  Maria  Laach,  Professor  an  der 

Universitat  Salzburg, 

Zur  Theologie  des  Gebetes  bei  Nilus  von  Ankyra 65 

Rudolph  Arbesmann  OSA,  Professor  an  der  Fordham  University,  New 

York, 

Monchslegenden  in  mittelalterlicfaen  Augustinusviten 91 

2 
Hans  Sedlmayr,  Professor  an  der  Universitat  Munchen, 

Ars  humilis  in  der  Spatantike 105 

Ernst  H.  Kantorowicz,  Professor  an  der  Princeton  Univ.,  Princeton,  N.  J., 

Puer  exoriens 

On  the  Hypapante  in  the  Mosaics  of  S.  Maria  Maggiore  .  .       .118 

Hieronymus  Frank  OSB,  Month  der  Abtei  Maria  Laach, 

Ecce  advenit  dominator  Dominus 

Alter  und  Wanderung  eines  romisthen  Epiphaniemotivs  ....  1S6 
Egon  Wellesz,  Professor  an  der  Universitat  Oxford, 

Ober    die    Zusammenhange    zwiscfaen    dem    Gcsang    der    Ost-    und 

Westkirthe  155 


n   u   n    u 

u      I    u      I 


s 

BuRKHARD  Neunheuser  OSB,  Monch  der  Abtci  Maria  Laadi, 

Der   Gestaltwandel   liturgischer   Frommigkcit 

Grundsatzlichcs  zur  geistcsgeschichtlidien  Deutung 160 

Josef  A.  Jungmann  SJ,  Professor  an  der  Universitat  Innsbruck, 

Der  christlidie   Freitag {$2 

Stephan  Hilpisch  OSB,  Mondi  der  Abtei  Maria  Laadi, 

Die  Feier  der  Karwodie  in  der  Abtei  Fulda  zu  Beginn  des   17.  Jahr- 

hundcrts Igg 

Georg  Schreiber,  Apostolisdier  Protonotar,  Professor  an  der  Universitat 
Munster  i.  W., 
Die  Weinlese  in  der  kirdilidien  Kultur 197 


GoNZAGUE   DE  REYNOLD,   Professor   an   der  Universitat  Freiburg/Sdiweiz, 

Un  probleme  historique:  la  Bourgogne  et  les  Bourgognes     ....     215 
Johannes  Ramackers,  Professor  an  der  Padagogisdien  Akademie  in  Aachen, 

Zwei    gefalschte    Papsturkunden    fiir    das    Stiftskapitel    Saint-Hilaire 

-le-Grand  in  Poitiers 

Zugleich  ein  Beitrag  zur  Geschichte  der  kirchlichen  Exemtion     .       .       .228 
Paulus  Weissenberger  OSB,  Prior  der  Abtei  Neresheim, 

Die   Anfiinge  des   Hohenstaufenklosters   Lorch  bei   Sdiwabisdi-Gmiind     246 
Walter  Mohr,  Professor  an  der  Universitat  Saarbrucken, 

Zum  Geschiditsbild  Ottos  von  Freising 274 

Ernst  Behler,  Dozent  an  der  Universitat  Bonn, 

Die  Entstehung  der  mittelalterlichen  Universitat  von  Paris  ....     294 
OsKAR  v.  Halecki,  Professor  an  der  Fordham  University,  New  York, 

Die  osterreidiisdi-polnischenBeziehungcn  zurZeit  der  Union  von  Lublin 

Neue  Quellen  und  Forschungsprobleme  ...  322 

Jakob  Rieser,  Msgr.,  Professor  an  der  Universitat  Salzburg, 

Newmans    „Irisdier   Feldzug" 00 r 

NoRBERT  MiKO,  Dozent  an  der  Universitat  Salzburg, 

Einige   Dokumente   zur   Frage   der  Bestiitigung  Dr.   Karl   Luegers   als 

Biirgermeister   von   Wien «i 


Hugo  Lang  OSB,  Abt  von  St.  Bonifaz  und  in  Andedis,  Professor  an  der 

Universitat  Miinchen, 

Das  Problem  der  Qualitat  in  der  Kunst 3g3 

Walter  Warnach,  Dozent  an  der  Kunstakademie  in  DGsseldorf, 

Der  Christ  und  die  modernc  Kunst '  gyj 

Richard  Ettinghausen,  Professor  an  der  Freere-Gallcry  in  Washington, 

New   Pictorial   Evidence   of  Catholic  Missionary  Activity   in   MuKhal' 

India   (early  XVIIth   century) .  385 

Christian  Kreutz,  Studienrat,  Recklinghausen, 

Die  zentrale  Funktion  des  aschyleisdien  Prometheus  im  Denken  Samuel 

laylor  Coleridges „„. 


Emmy  Wellesz,  Oxford, 

Caritas  in  Hofmannsthals  Werk  und  Leben 435 

Werner  Ross,  Direktor  des  Deutschen  Gymnasiums  in  Rom, 

Glockenmusik .4, 

6 
Richard  Mohr,  Professor  an  der  Universitat  Nijmegen, 

Zur  Entstehung  und  Geschidite  des  Sittlichen 451 

Cyrill  v.  Korvin-Krasinski  OSB,  Mondi  der  Abtei  Maria  Laach, 

Die  kosmische  Urbs  als  Kult-  und  Zeitmitte 

Ein  Beitrag  zum  Problem  „Kulteidos  und  Geschidite" 471 

7 

Matthias  Vereno,  Mitglied  des   Instituts  fiir  Religionswissenschaft  und 
Christliches  Altertum,  Salzburg, 
Das  Bose  in  der  Heilsgeschiditc 493 

Paul    Wolff,    Generalassistent    des    Katholischen    Akademikerverbandes, 

Bonn, 

Die  christliche  Friedensidee 

Ein  Beitrag  zu  ihrer  Theologie  und  ihrer  gesdiichtlidien  Wirkung  .  .  521 
Rudolph  Berlinger,  Professor  an  der  Universitat  Wurzburg, 

Das  Ereignis  der  Wahrheit 538 

J.  J.  M.  VAN  der  Ven,  Professor  an  der  Universtat  Utrecht, 

.  .  .  etiamsi  daremus  non  esse  Deum  .  .  . 

Gottesdammerung  in  Grotius'  Naturreditslehre 557 

Alfons  Adams,  Professor  an  der  Padagogischen  Akademie  in  Paderborn, 

Das  Ende  der  Besinnlichkeit  und  der  Primat  der  Aktivitat  im  Denken 

'^^"'^ 566 

Reinhard  Lauth,  Professor  an  der  Universitat  Mundien, 

Die  Bedeutung  des  Sinn-Begrififs  in  Kants  praktischer  Postulatenlehre    585 

8 

Otto  Kopp,  Luzern, 

Ober  zwei  auCenpolitische  Essais  von  Philipp  Anton  von  Segesser  .       .     602 

Rene  Marcic,  Dozent  an  der  Universitat  Wien, 

Abrifi  einer  Genealogie  des  Gewaltenteilungsprinzips 619 

Albert  Auer  OSB,  Monch  der  Abtci  Neresheim,  Professor  an  der  Univer- 
sitat Salzburg, 
Grundlagen  der  Ethik  des  Dialektischen  Materialismus 656 

Friedrich  August  Frhr.  von  der  Heydte,  Professor  an  der  Universitat 

Wurzburg 

Widerstand  und  Opposition  im  modernen  Verfassungsbild  ....  674 
Erich  Hula,  Professor  an  der  New  School  for  Social  Research,  New  York, 

Weltregiment  und  Weltpolitik  im  20.  Jahrhundert .688 

Gunther  KiicHENHOFF,  Professor  an  der  Universitat  Wurzburg, 

Staat  und  Kirche  in  der  heutigen  pluralistischen  Gesellsdiaft  nach  der 

Enzyklika  „Mater  et  magistra" 599 

Gottfried  Hasenkamp,  Miinstcr  i.  W. 

Epilog 724 


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-^f ^r 


Aevum  Ghristianum 


Salzburger  Beitrage  zur  Religions-  und  Geistesgeschichte  des  Abendlandes. 

Unter  Mitwirkung  von  Beda  Thum  OSB  und  Matthias  Vercno  herausgcgeben 
von  Thomas  Michcls  OSB. 

„Wenn  von  Salzburg  mit  seiner  universalen  Tradition  eine  neue  Schriftenreihc 
ausgeht,  so  rechtfertigt  sich  das  durch  die  nun  schon  uber  ein  Jahrhundert  alten 
Bemuhungen,  die  1810  aufgehobene  Salzburger  Benediktiner-Universitat  in  einer 
ihr  gemaBen  neuzeitlichen  Form  wiedererstehen  zu  lassen.  Die  Salzburger  Hoch- 
schulwochen  haben,  besonders  in  den  letzten  Jahren,  in  ihrer  Themensetzung 
immer  deuthcher  erkennen  lassen,  dafi  die  nun  crrichtete  Salzburger  Universitat 
erne  Lehr-,  Bildungs-  und  Forschungsstatte  der  Wahrheit  auf  dem  Grunde  des 
unverherbaren  europaischen  Geistesgutes   werden  soil.  Sic  will  versuchen    das 
Neue    das  m  unserer  Zeit  nach  Antwort  ruft,  mit  den  ihr  gegebenen  Mitteln  in 
die  abendlandisch-europaische  Tradition  einzuordnen.  In  diese  Aufgabe  soil  auch 
die  Schnftenreihe  „Aev„m  Ghristianum"  einbezogen  werden.  Die  Herausgeber 
b«chranken  sich  dabei  nicht  nur  auf  Vorlesungen,  die  bei  den  Salzburger  Hoch- 
schulwochen  gehalten  wurden,  sondern  sie  steht  ebenso  anderen  wichtigen  Bei- 
tragen  zur  Erforschung  der  geistigen  Bewegungen  in  der  abendlandischen  Welt 
"•  (^'=''  Herausgeber  uber  die  Reihe  „Aevum  Ghristianum") 

'■  ^^^i^.?''""^    A/j-M-VcA,.    IVis^en  und  Offenbarung.  1958.  112  Seiten.  Papp- 
band  DM  7,50.  ^ 

2.  Alfons  Adams:    Transzendenz  der  Erkenntnis  und  EschatologU  der  Geschichte.  1958 
147  Seiten,  Pappband  DM  9,80. 

3.  Wilhelm   Kahles:   Geschichte  als  Liturgie.    Die  Geschichtstheologie  des  Ruper- 
tus  von  Deutz.  1960,  244  Seiten,  kart.  DM  16,-,  Pappband  DM  17,50. 

4.  Stefan  Rehrl:  Das  Problem  der  Devout  in  der  projangriechischen  Literatur  im  Vergleich 
zu  Septuagmta  und  Neuem  Testament.  1961,  228  Seiten,  kart.   DM  19  50    PaoD 
band  DM  21, — .  '     '       ^^ 

5.  Walter  Mohr:   Die  karolingische  Reichsidee.  IV  und  243  Seiten.  kart.  DM  19  50 
Pappband  DM  21,—.  '     ' 

6.  Wilhelm  HofTmann:  Augustinus.  Das  Problem  seiner  DaseinsausUgung.    1963. 
Bezug  unserer  Bucher  durch  jede  Buchhandlung.  Weitcre  Bande  in  Vorbercitung. 

Erschienen  im  Verlag  AschendorflP  Munster 


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58.      -Onens  Augusti  -  Le,er  du  Roi,-  Dumbarton  Oaks  Papers,  XVII(  1 


(1963),  119-177. 


Offprint, 


5flA   Reprint  of  x^j,.    Ii|.9-162  (Anatole  tu  Despotu),  translated 
:nto  German,  in  Wege  der  Forschung,  Bd.  CCCXLI,  ed 
H.  Hunger  in  volume  entitled  'T   "      " 


OS) 


^Uas    bvzantinische   Herracher- 


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AN  OFFPRINT  FROM 


Dumbarton  Oaks  Papers 


NUMBER  SEVENTEEN 


ORIENS  A  UGUSTI  -  LEVER  DU  ROI 


Ernst  H.  Kantorowicz 


THE  DUMBARTON  OAKS  CENTER  FOR  BYZANTINE  STUDIES 

1963 


//     U     J     I  I 
U       I    L     U 


ALL  1<R.H1>  iM  ^-   .vVhU  BY  THE 

TRUSTEES  lOK  IIAKVAKIJ  UNIVERSITY 

nil:    in  MbAKToN  OAKS  RESEAUCH  LIBKAKY  AND  COLLECTION 

WASHINGTON,  D.  C. 


Distributed  by 
J.J.  Augustin,  Publisher 
Locust  Valley,  New  York 


Library  of  Congress  Catalogue  Card  Number  42-6499 
Printc.l  in  Gerinanv  a!  ]    1.  Augustin,  Gliickstadt 


u    ^  c 


•*"!$?r^ 


ORIENS  A  UGUSTI  -  LEVER  DU  ROI 


Ernst  H.  Kantorowicz 


U     J     J 
I    L     L 


— tgn./»-i'';<? 


I 


I.  Oriens  August  I* 


i 


Contents 

1.  Oriens  Avgusti     ng 

2.  Christus  Oriens    i^g 

3.  'AvotoAti  toO  Aeottotou 149 

4.  Lever  du  Roi   162 


This  article,  wliicli  is  based  on  a  paper  read  at  Dumbarton 
Oaks  on  April  5,  1951,  was  to  have  been  the  first  of  a  series 
of  "Studies  Eastern  and  Western  in  the  History  of  Late 
Classical  and  Mediaeval  Ideas."  The  series  was  to  have  in- 
cluded the  following  additional  titles: 

"Synthronos" 

"Roman  Coins  and  Christian  Rites" 

"Epipliany  and  Coronation" 

"Ciiarles  the  Bald  and  the  Nat  ales  Caesarum" 

"Roma  and  tlie  Coal." 
Professor  Kantorowicz  was  able  to  correct  the  proofs  of  the 
present  paper  before  his  death  on  September  9,  1963.  In 
accordance  with  his  expressed  wishes,  plans  for  publishing 
the  other  studies  in  the  series  will  be  abandoned.  Oc- 
casional references  to  some  of  these  studies  in  the  footnotes 
have  been  allowed  to  stand. 


AN  aureus  issued  by  Hadrian  in  a.d.  117,  the  year  of  his  accession, 
shows  on  the  reverse  side  the  profile  bust  of  a  handsome  youth,  his 
flowing  locks  adorned  with  the  radiate  crown  (figs.  ia-b).i  The  inscrip- 
tion in  the  exergue  discloses  his  name:  ORIENS.  "Behold  a  man,  the  Orient 
is  his  name";  so  we  might  muse  with  the  prophet  or  meditate  with  Philo:  "A 
strange  appellation  if  you  assume  this  name  to  be  given  to  a  man  consisting 
of  body  and  soul."^  Hadrian's  mintmaster,  of  course,  did  not  think  in  terms 
of  biblical  messianism,  but  rather— if  at  all— in  terms  of  imperial  messianism 
or  imperial  theology.  Moreover,  it  would  have  been  hard  to  tell  whether  the 
crown-bearing  youth  named  Oriens  had  a  body,  and  even  more  difficult  to 
decide  whether  he  had  a  soul.  For  the  youth  is  a  god.  He  is  Sol  or  Sol  oriens, 
the  Sun-god  or,  even  more  accurately,  the  god  of  Sunrise.  He  is  not  identical 
with  Aurora,  the  roseate  Dawn,  who  precedes  Sunrise.  He  is  Sunrise  itself, 
the  Rise  in  timeless  perpetuity.  Nothing,  however,  except  the  inscription  and 
perhaps  the  youth  of  the  Morning  Sun,  would  betray  that  the  picture  was 
supposed  to  represent  the  brief  moment  in  which  the  great  luminary,  newborn 
on  every  day,^  becomes  visible  on  the  horizon.  Nor  did  the  later  imperial 

*  I-'or  generous  aid  and  counsel,  I  wish  to  express  my  warmest  thanks  to  my  colleagues  Professors 
Andreas  Alfoldi,  Otto  Neugebauer,  Erwin  Panofsky,  Ralph  E.  Giesey,  Mrs.  Dora  Panofsky  and  to 
other  frie'nds  as  well,  whom  I  could  consult  on  various  points.  My  thanks  are  due  also  to  all  those 
who,  either  personally  or  through  their  institutions,  were  kind  enough  to  provide  me  with  photo- 
graphs: Professor  Howard  Adelson,  of  the  American  Numismatic  Society  (fig.  62),  Professor  Andreas 
Alfoldi  (figs.  6,  10,  25,  26),  Dr.  Herbert  ,'\.  Cahn.  in  Basel  (figs,  ib,  3,  4,  5,  17,  20),  Dr.  Rudolf  Noll, 
Kunsthistorisches  Museum  in  Vienna  (fig.  27),  Professor  Erwin  Panofsky  (fig.  35),  Dr.  Hellmut 
Sichtermann,  Deutsches  Archaologisches  Institut  in  Rome  (figs.  12,  13),  and  Miss  Julia  Warner,  at 
Dumbarton  Oaks  who,  from  the  repositories  of  Dumbarton  Oaks,  supplied  me  with  the  bulk  of  the 
photographic  material  presented  here.  Cross-references  to  a  footnote  refer  also,  practically  always, 
to  the  text  to  which  the  footnote  belongs. 

■  Paul  L.  Strack,  Untersuchungen  zur  romischen  Reichsprdgung  des  zweiten  J ahrhunderts  (Stuttgart, 
1931-1937).  II.  46,  and  pi.  I,  fig.  37;  in  his  Catalogue  Appendix,  Strack  distinguishes  three  different 
legends  on  the  reverse:  No.  20:  DIVI  NER  NEP  PM  TR  PCOS  (here  fig.  la);  No.  29:  PM  TR  PCOS 
DES  H;  No.  37:  PM  TR  P  COS  II  (here  fig.  ib).  Cf.  Mattingly  and  Sydenham,  The  Roman  Imperial 
Coinage,  II  (1926),  pi.  xii,  fig.  218  (  =  Strack,  No.  20) ;  also  Mattingly,  The  Coins  of  the  Roman  Empire  in 
the  British  Museum.  Ill,  241,  No.  35,  and  pi.  xlvi,  fig.  16;  249,  No.  75f.,  and  pi.  xlviii,  fig.  8  (=  Strack, 
No.  37).  The  coin  is  not  too  rare;  a  specimen  was  actually  for  sale  at  Mumen  und  Medaillen  A.G., 
Liste  190,  No.  39  (Basel,  May /June,  1939).  for  a  little  more  than  Sioo.  See  for  a  few  additional  remarks 
on  that  coin,  Otto  T.  Schulz,  Die  Rechtstitel  und  Regierungsprogramnte  auf  romischen  Kaisermiinzen 
(Studien  zur  Geschichte  und  Kultur  des  Altertums,  XIII:  4  [Paderborn,  1925]),  69.  On  Oriens  in 
general,  see  Peters,  "Oriens,"  in  Roscher,  Lexicon,  III,  col.  ioi6f. ;  Marbach,  "Sol,"  RE,  IIIA,  col. 
912;  Cumont,  "Sol,"  in  Daremberg-Saglio,  IV:  2,  col.  1384;  H.  Usener,  Das  \V eihnachtsfest  (2nd  ed., 
Bonn,  191 1),  357ff-.  also  in  Rheinisches  Museum,  LX  (1905),  471  ft. ;  Jules  Maurice,  Numismatique 
Constantinienne  (Paris,  1911),  II,  308 ff.;  M.  Bernhart,  Handbuch  zur  Munzkunde  der  romischen  Kaiser- 
zeit  (Halle,  1926),  I,  69,  and  205!. 

*  Zachariah,  6, 12;  cf.  Philo,  De  confusione  linguarum,  14,  62,  ed.  byWendland,  II,  241.  14,  a  passage 
quoted  by  Eusebius,  Praeparatio  evengelica,  XI,  15,  5-6,  533d,  ed.  by  Dindorf,  II,  34,  ed.  PG,  21,  col. 
885C;  see  F.  J.  Dolger,  Sol  salutis  (2nd  ed.,  Miinster,  1925),  i5of. 

^  I'or  the  daily  rejuvenation  of  the  Sun,  see  my  forthcoming  study  "PUER  EXORIENS:  On  the 
Hypapante  in  the  Mosaics  of  S.  Maria  Maggiore,"  Perennitas:  Festschrift  fur  Dom  Thomas  Michels  O. 
S.  B.  (Miinster,  1964),  note  47!?. 

119 


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120 


ERNST  H.  KANTOROWICZ 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


121 


Oriens  coinages  illustrate  the  moment  of  Sunrise  in  the  traditional  fashion 
which  Roman  art  inherited  from  Greece. 

A  black-figured  kraier  in  the  Bibliothcque  Nationale  may  remmd  us  of  the 
customary  representations  of  the  moment  of  Sunrise.  The  vase  painting  shows 
the  god's  quadriga  in  full  frontality.  Only  the  disk  of  Helios  is  visible,  and 
the  whip  which  the  god  holds  in  his  right  hand.  The  rippling  of  the  sea  in 
which  three  dolphins  play  near  the  surface  indicates  the  quiet  coolness  of  the 
early  morning  hour.  This  is  truly  Helios  emerging  from  the  sea,  slow  and 
majestic;  and,  as  in  nature  itself,  we  are  not  quite  certain  whether  the  sun 
disk  rises  or  whether  the  waters  recede  (fig.  7)."  The  calmness  and  restraint  of 
the  design,  characteristic  of  Greek  archaic  art,  are  no  longer  found  in  the 
Hellenistic  medallion-sized  plaque,  a  silver-gilt  phalera  or  horse-trapping  of 
about  300  B.C.,  from  Elis,  now  in  the  British  Museum  (fig.  8).^  The  team  of  four 
horses  is  in  full  action.  They  stamp  out  of  the  ocean  in  which  we  notice  again 
two  dolphins  just  below  the  segment  of  the  horizon— now,  however,  no  longer 
freely  playing  in  their  own  right  and  as  they  please;  they  have  become  sub- 
servient to  an  idea  and  are  ornamentally  arranged  in  frozen  rigidity  below 
the  sun  disk.  Since  the  horses  are  harnessed  two  by  two  in  opposite  directions, 
we  are  permitted  to  see  the  divine  charioteer  in  full  frontality,  his  huge  face 
surrounded  by  flashing  rays.  With  the  exergual  horizon  separating  the  ocean 
from  the  sky  and  with  the  divergent  lines  bursting  forth  in  all  directions,  the  disk 
itself  becomes  the  Sun  while  the  design  clearly  suggests  the  moment  of  sunrise. 

This  Hellenistic  style  of  depicting  sunrise  was  received  by  Rome.  The 
statue  of  a  Roman  general  from  Susa,  now  in  Turin,  shows  Sol  oriens  on  the 
breastplate  of  his  cuirass  (fig.  12).^  The  upward  movement  of  the  rising  chariot 
is  intensified,  and  resumed,  by  the  rapturous  heavenward  gaze  of  the  general, 
a  feature  adopted  from  Hellenistic  models.'  It  expressed,  of  course,  in  the  case 
of  imperial  statues,  the  emperor's  inspired  connection  with  the  deity  above, 
perhaps  even  a  close  inner  relationship  between  his  numen  and  the  god.  The 
connection  of  armored  statues  and  Sol  oriens,  though  rare,  must  yet  have 
been  quite  popular  in  imperial  Rome.  Not  to  mention  the  armor  of  the  Augustus 
statue  from  Prima  Porta  where  the  relief  on  the  breastplate  displays  the  Sun- 
god's  rising  in  a  chariot,  the  horses  galloping  from  left  to  right,  there  is  another 
armored  statue  from  Cerveteri,  now  in  the  Lateran,  and  yet  another  one  from 
Salona,  the  breastplates  of  which  display  the  rising  Sol  on  the  quadriga  as  he 
emerges  from  the  sea  (figs.  13,  14). ^  Moreover,  there  is  a  coin  of  Vespasian 

*  Paris,  Bibliothcque  Nationale,  No.  220;  see  S.  Lambrino,  ed.  Corpus  Vasorum  Anliquorum: 
France,  fasc.  10  (Paris,  1931),  56,  pi.  75,  fig.  9,  and  pi.  76,  fig.  6;  Arthur  Bernard  Cook,  Zeus:  A  Study 
in  Ancient  Religion  (Cambridge,  1914-1940),  1,  335,  fig.  268,  also  226,  note  5.  Cf.  Konrad  Schauenburg, 
Helios  (Berlin,  1955),  35,  note  303. 

"  F.  H.  Marshall,  "Recent  Acquisitions  of  the  British  Museum,"  JHSt,  XXIX  (1909),  160,  fig.  13; 
for  an  excellent  reproduction,  see  Cook,  Zeus,  I,  pi.  xxiv,  facing  p.  336. 

•  Otto  Brendel,  "Der  Schild  des  Achilles,"  Die  Antike,  XII  (1936),  278,  fig.  5,  photograph  from 
the  German  Archaeological  Institute,  Rome. 

'  H.  P.  L'Orange,  Apotheosis  in  Ancient  Portraiture  (Instituttet  for  Sammenlignende  Kulturforsk- 
ning,  Ser.  B,  Skrifter,  XLIV  [Oslo,  1947]). 

»  Brendel,  op.  cit.,  275 f.,  and  fig.  3.  See,  for  these  two  armored  statues  (here  figs.  12,  13),  Cornelius 
C.  Vermeule  III,  "Hellenistic  and  Roman  Cuirassed  Statues,"  Berytus,  XIII  (1959),  39!.,  Nos.  41 


showing,  on  the  obverse,  the  emperor  in  armored  costume  and,  on  the  reverse, 
the  frontal  head  of  Sol  oriens.^  The  design  of  Sol,  frontal  on  his  quadriga, 
appeared  on  a  republican  denarius  (fig.  ii)  as  well  as  on  later  coins  of  Aurelian 
(fig.  9)  and  Probus,i"  and  it  turns  up  once  more  on  very  late  antique  contor- 
niates  where  sometimes,  and  perhaps  significantly,  it  is  connected  with  the 
portrait  of  Alexander  the  Great  on  the  obverse. ^^  On  the  imperial  coins,  how- 
ever, this  picture  serves  only  to  designate  Sol  invictus  in  general,  and  not  the 
more  particularized  version  of  Oriens.  The  naturalism  of  the  Grecian  type 
picturing  the  very  moment  of  the  Sun-god's  emergence  from  the  sea  did  not, 
it  seems,  illustrate  adequately  what  the  idea  of  Oriens  was  supposed  to  convey. 
Helios,  in  late  imperial  Rome,  was  expected  to  rise  not  only  aesthetically  in 
his  morning  beauty,  but  must  rise  either  politically  or,  as  it  were,  theologi- 
cally and  ethically  to  fulfill  certain  moral  duties  comparable  to  those  of  the 
emperor  himself. 

A  political  purpose  may  be  discerned  in  the  issue  of  Trajan's  aurei  display- 
ing the  profile  head  of  the  youthful  Sun-god,  lacking,  however,  as  yet  the 
inscription  Oriens  (fig.  2).  The  monetary  type  of  this  gold  coin  can  be  traced 
back  to  the  Roman  Republic  where  it  was  not  too  rare  in  the  first  century 
B.C.  (fig.  3)  and  was  sported,  after  the  model  of  Hellenistic  kings  (fig.  5),  by 
Marcus  Antonius,  the  transmitter  of  a  number  of  oriental  svmbols  of  ruler- 
ship. ^2  Trajan,  before  embarking  on  his  last  campaign  of  almost  unparalleled 

and  42,  whose  excellent  investigation  shows  that  Sol  on  cuirasses  is  far  rarer  than  the  Gorgoneion 
which  probably  was  the  most  common  decoration.  For  Helios  on  an  armored  statue  from  Hatra,  see 
E.  H.  Kantorowicz,  "Gods  in  Uniform,"  Proceedings  of  the  American  Philosophical  Society,  CV  (1961), 
378,  notes  37,  38,  and  fig.  27;  and  for  Sol  on  the  breastplate  of  the  statue  from  Prima  Porta,  see  Erika 
Simon,  Der  Augustus  von  Prima  Porta  (Opus  Nobile,  XIII  [Bremen,  1959I),  pis.  iv  and  v,  and  p.  11, 
for  the  coloring  of  the  relief.  See  Schauenburg,  Helios,  38  f.  and  fig.  20,  for  other  cuirassed  statues 
decorated  with  the  rising  sun,  and  Walter  Schmid,  "Torso  einer  Kaiserstatue  im  Panzer,"  Strena 
Buliciana:  Commentationes  gratulaloriae  Francisco  Bnli6  (Zagreb,  1924),  45  ff.  and  pi.  v  (here  fig.  14). 
»  See  Alfoldi,  in  RM,  L  (1935).  107,  and  pi.  xni,  fig.  15;  Mattingly,  CREBM,  II,  8,  Xo.  47,  pi. 

1.  fig-  15- 

•'  For  the  reverse  of  a  denarius  of  ca.  100  B.C.,  see  H.  Mattingly,  "Rare  and  Unpublished  Roman 
Coins  in  the  Fitzwilliam  Museum,  Cambridge,"  Numismatic  Chronicle,  6th  Ser.,  XVI  (1956),  166,  No. 
18,  and  pi.  XVII,  fig  7;  see  also  Gian  Guido  Belloni,  Le  monete  Romane  dell'etd  repubblicana  (Milan, 
i960),  70,  No.  666,  and,  for  a  good  reproduction,  Monnaies  et  Medailles,  Catalogue  195  (Basel,  1959 
[November]),  No.  383  (here  fig.  11).  For  the  later  imperial  coins,  see  Mattingly  and  Sydenham,  RIC, 
V:  I,  301,  Nos.  319-322,  pi.  VII,  fig.  no,  and  R.  Delbriick,  Die  Munzbildnisse  von  Maximinus  bis 
Carinus  (Berlin,  1940),  pi,  xxiv,  fig.  22  (Aurelian  [here  fig.  9]).  See,  for  a  medallion  of  Probus,  Jocelyn 
M.  C.  Toynbee.  Roman  Medallions  (Numismatic  Studies,  V  [New  York,  1944]),  162,  and  pi.  xxviii, 
fig.  7;  H.  Mattingly,  Roman  Coins  (London,  1927),  pi.  xx.xiii,  fig.  8;  Mattingly-Sydenham,  RIC,  V: 

2,  112,  No.  861  ff,  pi.  I,  fig.  13,  and  pi.  V,  fig.  i;  Karl  Pink,  "Die  Medaillonpriigung  unter  Kaiser  Probus," 
Numismatische  Zeitschrift,  LXXVI  (1955),  23,  No.  32,  and  pi.  i,  fig.  10. 

*i  A.  Alfoldi,  Die  Kontorniaten  (Leipzig,  1943),  105,  and  pis.  iv  (figs.  5-8),  .x.xxvi  (figs.  3-4),  .xlvii 
(fig.  2).  Darkness,  conquered  by  Sol,  is  sometimes  symbolized  by  a  crocodile.  For  Alexander-Helios, 
see  E.  H.  Kantorowicz,  "Gods  in  Uniform,"  Proceedings  of  the  American  Philosophical  Society,  CV 
(1961),  372f.,  and  fig.  13. 

'*  For  the  denarius  of  L.  Valerius  Acisculus,  of  ca.  45  B.C.  (here  fig.  3),  see  H.  A.  Grueber,  Coins 
of  the  Roman  Republic  in  the  British  Museum  (London,  1910),  I,  536,  No.  4113,  pi.  liii,  fig.  9.  Grueber 
catalogues  with  one  exception  (II,  137,  No.  i25ff.,  a  frontal  Sol)  only  coins  of  the  first  century  B.C. 
displaying  the  type  here  under  discussion;  cf.  I,  396,  No.  3245 f.,  pi.  xlii,  fig.  11;  525,  No.  4044,  pi. 
LI,  fig.  16;  536,  No.  4iioff.,  pi.  liii,  fig.  8;  578,  No.  4248ff.,  pi.  lvii,  4-5  (frontal) ;  585,  No.  4284^., 
pi.  Lviii,  figs.  2-4;  II,  300,  No.  645f.,  pi.  xcv,  fig.  11;  also  II,  68  and  70,  Nos.  4543f.,  4549!?.,  pi.  lxvi, 
fig.  17,  and  pi.  lxvii,  fig.  i  (Augustus).  For  Marcus  Antonius,  see  II,  4861.,  No.  871!.,  and  506 f..  No. 
I4ifl. ;  further  the  interesting  issues  II,  398,  Nos.  60-62,  pi.  cm,  figs.  20-21,  showing  the  facade  of  a 
temple  and  within  the  temple  a  clipeus  with  the  radiate  head  of  a  frontal  Sol;  for  a  better  reproduc- 


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ORIENS  AUGUSTI  -  LEVER  DU  ROI 


123 


victories  over  the  Parthians,  consulted  the  oracle  of  luppiter  Heliopolitanus, 
the  Syrian  Sun-god,  and  posed  the  question  whether  he,  the  Emperor,  would 
safely  return  to  Rome  after  the  war.  Actually,  it  may  have  been  in  connec- 
tion with  this  oracle  that  Trajan  ordered  the  emission  of  the  aurei  displaying 
Sol  with  the  radiate  crown. ^^  After  Trajan's  death  in  the  East,  Hadrian  chose 
to  continue,  for  a  short  while,  that  pattern  of  gold  coins,  though  with  a  remark- 
able amplification.  To  the  features  of  the  sun-god  he  added  the  word  Oriens 
meaning,  like  the  Greek  word  "AvaToAfi,  both  the  sunrise  and  the  East.  Did 
the  inscription  then  refer  to  the  geographical  Orient,  although  we  know  that 
Hadrian  actually  abandoned  his  predecessor's  Oriental  policy  P^^  That  sounds 
plausible  enough.  But  perhaps  Hadrian  intended  to  put  himself  for  some  other 
reason  as  well  into  personal  liaison  with  the  rising  Sun-god.  According  to  a 
Giessen  Papyrus,  Helios,  shortly  after  the  change  of  emperors,  had  taken  the 
trouble  to  appear  to  the  people  of  Egypt  in  his  own  person  in  order  to  announce 
that  in  his  chariot  of  white  steeds  "he  had  just  risen  together  with  Trajan 
(fipTi  Tpaiav[c6i]  cruvavaTEiAas)"  and  that  now  he  returned  to  herald  the  acces- 
sion of  Hadrian,  the  new  emperor.^^  The  papyrus  describing  the  ascension 
of  Trajan  should  probably  be  put  into  relation  with  the  new  custom,  not 
regularly  observed,  of  displaying  the  chariot  of  the  Sun-god  on  Consecratio 
coins,  and  we  may  recall  that  this  tradition  was  still  followed  on  the  Consecra- 
tion coins  of  Constantine  the  Great. ^^  At  any  rate,  it  will  not  be  easy  to  separate 
clearly  politico-geographical  issues  from  the  cultual-theological  aspects. 

The  iconographic  type  of  the  solar  youth  in  profile  (fig.  2)  turned  up  once 
more  in  a  dtipondius  of  Hadrian,  without  the  inscription  Oriens}'^  It  was 
repeated  later  on  by  Probus,  with  the  inscription  SOLI  INVICTO  COMITI 
AUG.  (fig.  4)  i^**  that  is  to  say,  the  image  of  the  youth  with  the  radiate  crown 
no  longer  alluded  to  the  rise  of  the  Sun-god.  In  fact,  Hadrian's  precocious 
legend,  Oriens,  was  not  resumed  until  more  than  a  century  had  elapsed  after 


tion,  see  A.  B.  Cahn,  Sammlung  Hiiberlein  (Catalogue,  I'rankfurt,  1933),  Nos.  3044-46.  The  profile 
head  is  also  on  coins  of  the  Seleucids  where,  however,  the  youth  with  the  radiate  crown  portrays  the 
king,  not  the  god;  see,  e.g.,  the  drachmae  of  .\ntiochos  VI  Dionysos  (145-142);  cf.  E.  Newell,  The 
Seleucid  Mint  of  Antioch  (New  York,  1918),  241,  251,  257;  Monnaies  et  Midailles,  Vente  publique 
XIX  (June,  1959).  No.  545  (here  fig.  5). 

»»  Strack,  Untersuchiingen.  I,  229,  pi.  iii,  fig.  244,  discusses  also  the  political  aspect  (here  fig.  2);  cf. 
Mattingly,  CREBM,  III,  pp.  x.xxvi,  117,  121,  134,  Nos.  592f.,  621  ff.,  681,  pis.  x.\,  figs,  i,  12-14, 
and  XXII,  fig.  16. 

"  Strack,  Untersuchungen,  I,  229f,  believes  in  Hadrian's  personal  initiative  concerning  the  addi- 
tional Oriens,  a  word  which  he  as  well  as  Schulz,  Rechtstilel  {supra,  note  i)  interpret  in  an  almost 
exclusively  geographic  sense. 

>'  P.  Giessen  20;  cf.  E.  Komemann,  "'^va.%  Kaiv6s  'ASpiavds,"  Klio,  VII  (1907),  278ff. ;  F.  Preisigke, 
Sammelbuch  griechischer  Papyrus-Urkuuden  (1915-1922),  I,  526;  O.  Weinreich,  "De  dis  ignotis  quaes- 
tiones  selectae,"  Archiv  fur  Religionswissenschaft,  XVI 1 1  (191 5),  34  ff. 

i«  See  Strack,  Untersuchungen,  II,  116,  and  III,  92;  also  Patrick  Bruun,  "The  Consecration  Coins 
of  Constantine  the  Great,"  Arctos.  N.S.,  I  (1954),  19-31 1  Leo  Koep,  "Die  Konsekrationsmiinzen  Kaiser 
Konstantms  und  ihre  religionspolitische  Bedeutung,"  Jahrbuch  fur  Antike  und  Christentum   I  (lOsS) 
94-104.  ■      ^  ^^  " 

"  Strack,  op.  cit..  II,  13,  pi.  .xvi,  fig.  434  (Dupondius  of  a.d.  123). 

'«  Mattingly-Sydenham,  RIC.  V:2,  32,  No.  138,  pi.  11,  fig.  2,  and  108.  No.  829;  Strack  Unier- 
suchungen.  1,  229.  Iwo  handsome  specimens  of  the  Probus  aurei  are  found  also  in  the  catalogue  of  • 
Munzen  und  Medaillen  A.G.,  Vente  publique  XIX,  5-6  Juin  1959  (Basel,  1959),  pi.  x  figs  249  (fig' 
249  =  our  fig.  4),  250.  °       f^  \  o- 


its  first  appearance:  Gordian  III  (239-244)  was  the  first  to  renew  emissions  of 
Oriens  coins  showing  Sol  standing,  his  right  hand  raised  and  holding  the 
globe  in  his  left,  with  the  legend  Oriens  Augusti}^  Thereafter  Sol,  in  addition 
to  numerous  other  ways  of  being  represented,  held  his  set  place  as  Oriens 
until  the  very  end  of  the  pagan  empire;  Licinius  and  Maximinus  Daja  were 
the  last  emperors  to  apply  the  Oriens  legend. 20  The  new  Oriens  issues  of  the 
third  century,  however,  deviated  considerably  from  the  Hadrianic  pattern. 
The  radiate  crown,  first  adopted  by  Nero  as  an  imperial  insignia  (though  it 
had  been  quite  customary  with  Hellenistic  kings  long  before),  adorned  with 
some  consistency  the  head  of  the  emperor  himself  on  the  coins  of  the  third 
century.2i  On  the  reverse,  the  likewise  radiate  Sol  appeared  as  a  small  figure 
in  full  stature,  standing  (fig.  15)  or  walking.  The  most  common  representa- 
tions of  that  type  showed  the  Sun-god  raising  his  right  hand  and  holding  in 
his  left  either  the  globe  or  the  whip. 22  More  rarely  was  he  pictured  carrying  a 
palm,  or  a  laurel  branch  and  bow  (fig.  16),  or  a  tropaeumP  Occasionally  he  is 
seen  entering  his  quadriga  or  racing  it  to  the  right  or  left  (fig.  17).^*  All  these 
were  the  conventional  designs  for  representing  the  Sun-god  in  general,  but 
without  any  allusion  to  his  special  character  of  Oriens.  A  change,  however,  is 
noticeable  under  Aurelian  (270-275),  the  most  ardent  propagator  of  solar 
henotheism  and  of  Sol  invictus  in  particular.  On  his  coins,  Oriens  appears  in  a 
new  and  rather  unexpected  attitude:  he  puts  his  foot  on  the  neck  or  back  of 
a  defeated  enemy  or  kicks  one  or  two  captives  (figs.  iSa-c).^^  This  design,  the 
calcatio  colli,  had  its  long  history  in  imperial  art.^^  But  in  connection  with  the 

"  Mattingly-Sydenham,  RIC,  IV :3,  37,  No.  213,  pi.  in,  fig.  14. 

*•  The  Oriens  issues  are  enumerated  by  Bernhart,  Handbuch.  I,  205,  and  in  the  other  works  quoted 
supra,  note  i.  New  finds,  of  course,  may  increase  their  number  daily.  The  latest  coins  with  Oriens 
inscription  are  those  of  Licinius  and  Maximinus  Daja;  cf.  Maurice,  Numismatique  Constant.,  II,  298, 
3o8f;  H.  von  Schonebeck,  Beitrdge  zur  Religionspolitik  des  Alaxentius  und  Constantin  (Klio  Beiheft, 
N.F.  30  [Leipzig,  1939]),  139-  Maurice  interprets  Oriens  in  the  sense  of  ortus  imperii,  rise  to  power 
(". .  .Le  Soleil  qui  est  suppose  faire  naltre  les  empereurs  a  la  puissance  mondiale,"  or  "Oriens  comme 
faisant  naitre  a  I'empire  I'.Xuguste  ou  les  Augustes"). 

"  For  the  radiate  crown,  see  Alfoldi,  "Insignien,"  RM.  L  (1935),  144;  J.  M.  C.  Toynbee,  "Ruler- 
Apotheosis  in  Ancient  Rome,"  Numismatic  Chronicle,  6th  Ser.,  VII  (1947),  131,  pi.  vi,  figs.  4,  5,  and 
(for  Antoninus  Pius)  145,  pi.  vi,  fig.  14;  I'riedrich  Ehrendorfer,  "Der  Denar  des  .Aurelian,"  Numismat- 
ische  Zeitschrift.  LXXVI  (1955),  i4- 

*'  For  the  Antoninianus  of  Gallienus,  see  Mattingly-Sydenham,  RIC,  V;  i,  174,  No.  494ff.,  and 
pi.  II,  fig.  23.  The  type  of  Sol  with  the  whip,  though  extremely  popular  in  ancient  art  at  large,  seems 
to  appear  on  imperial  coins  at  a  relatively  late  date  only,  not  before  Septimius  Severus;  see  Mattingly- 
Sydenham,  RIC.  IV:  I,  103,  119,  I57f.,  Nos.  loi.  217,  489,  592,  pi.  viii,  fig.  15.  Globe  and  whip  are 
the  attributes  most  frequently  represented  in  the  Oriens  issues  of  coins. 

'^  Mattingly-Sydenham,  RIC,  V:i,  140,  No.  113,  for  a  palm  branch  (Gallienus);  272,  No.  64,  pi. 
viii,  fig.  116  (Aurelian)  for  a  laurel  and  bow,  also  for  a  trophy  and  a  globe  surmounted  by  a  crescent, 
ibid.,  p.  272,  No.  65.  See  also  Peters,  in  Roscher,  Lexicon,  III,  1017.  Apollo  with  bow  and  laurel  belongs 
perhaps  to  the  general  problem  discussed  by  me  in  another  connection;  see  Kantorowicz,  "On  Trans- 
formations of  Apolline  Ethics,"  CHARITES:  Studien  zur  Altertumswissenchaft,  ed.  Konrad  Schauen- 
burg  (Bonn,  1959),  265 ff.,  esp.  pi.  x.xxv,  fig.  2. 

"  Sol  in  quadriga,  galloping:  Mattingly-Sydenham,  V:i,  174,  No.  497!.  (Gallienus);  V:2,  45,  No. 
267  (Probus);  entering  quadriga:  V:2,  350,  No.  152  (Postumus).  .\urelian  (ineditum):  Munzen  und 
Medaillen  A.G.,  Auktion  XVII,  2.-4.  Dez.  1957  (Basel,  1957),  pi.  xxxii,  fig.  557,  and  p.  55,  No.  557 
(here  fig.  17). 

"  Mattingly-Sydenham,  RIC,  V:i,  267,  2711.,  28of.,  286,  292f.,  Nos.  17,  61-64,  i34'  i37.  ^5°  '■• 
187,  242f.,  etc.,  and  pi.  viii,  figs.  116,  123,  126,  129. 

'•  This  subject  will  not  be  discussed  here;  see  my  forthcoming  study  on  "Roman  Coins  and 
Christian  Rites." 


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rising  Sun-god  it  was  a  new  theme  on  imperial  coins.  Sunrise  poses  here  as  a 
vengeful  pacator  orbis  (fig.  19). ^^  Himself  ever  unconqucred,  Sol  triumphantly 
defeats  by  his  rise,  by  his  mere  appearance,  the  evil  spirits  and  chases  away 
the  demons  of  darkness  who,  politically,  would  be  identical  with  the  barbarians 
and  other  military  foes  of  the  pater  and  restitutor  generis  humani,  the  Roman 
emperor.28  Beginning  at  the  latest  under  Probus,  the  emperor  himself  would  be 
shown  on  coins  in  the  attitude  of  kicking  a  captive  (fig.  20)  or  dragging  a 
captive  behind  him,  a  type  found  very  often  on  coins  of  Valcntinian  and 
Theodosius.29  All  this  implied,  in  the  language  of  imperial  political  theology, 
that  Oriens  was  an  antitype,  a  double  of  the  imperial  pacator  orbis.  The  emperor^ 
decorated  with  the  corona  radiis  distincta,  defeats  by  his  rise   the  political 
enemies  of  the  empire  and  of  mankind.  He,  too,  is  ever  unconquercd  like  Sol 
invictus;  and  like  Sol  oriens  he  crushes  the  enemies  by  his  mere  a})pearance 
and  sun-hke  omnipresence.^o  "The  happiness  of  the  Lord  King  on  his  arrival 
wipes  away  from  the  world,  like  the  twilight  of  the  sun,  the  trembling  fear  of 
gaping  darkness,"  writes  Fulgentius.^i 

The  relationship  between  Oriens  and  emperor  was  emphasized  by  the  coin 
mscriptions  as  well.  It  is  true,  the  simple  one-word  legend  Oriens  still  appeared 
occasionally,  as  on  coins  of  Saloninus  and  Postumus.^a  Usually,  however,  a 
fuller  version  will  be  found  reading  ORIENS  AUG[USTI]  or  AUGUSTORUM 
in  any  one  of  the  many  possible  abbreviations.  Therewith  a  certain  interac- 
tion has  been  established,  or  given  expression,  between  the  emperor  and  the 
god  of  sunrise  such  as  existed  with  regard  to  so  many  other  gods  and  goddess- 
es. That  is  to  say,  Orieyis  Augusti  referred  to  one  of  the  numerous  divine 
qualifications  of  the  emperor,  such  as  Virtus  Augusti,  Salus  Augusti,  Concordia 

"  For  Sol  as  pacator  orbis,  see,  e.g.  Mattingly  and   Sydenham,   RIC.  V:i.   265,  No.  6f     pi    vm 

?Tet  iclaiirLd'p'!  ;      °xT'  ""^^  '7  ''T'""*^  '^^^'  '''•  ''^-  ^'7  (Postumus);  4I4;No.T3 

oftnV^fi,      ,?    ^-^t^'  ^!  i     ""■  ^^7'  '''"'^  •"■^'  ^^"-  ^72  (Carausius).  Cf.  Joseph  Vogt,  Ok6w  (Freiburg 

i960).  162,  who  points  out  that  pacator  orbis  as  an  impenal  title  was  started  under  Septimius  Severu; 

i28"'rMtJfr.^H™°"*'  ^'^^''  ''  monuments  figures  relatifs  aux  mystcres  dc  Mithra  (Brussels    1899)    I 
llLl    ^'^'^^^^  J""'-'  ^"  '""'"ent  ou  il  dardait  ses  premiers  rayons,  frappait  les  dLions  qui  dans  les 

under  the  sons  of  Constantine  ^eia^escmchte,  IX  (1958).  141  fif.,  for  a  similar  type 

t^:c^^::^ll;Z::  "°'^  '''•  ''■  '-'  ^^^  ^"^P^^-^--'^  omnipresence.  AIf61di,  RM.  L.  .40^.,  for 
"Fulgentius.  A/jto%iae.  I,  prooem..ed.  by  R.  Helm  (Leipzig  iSoSi    c    ,  ^      ■•        ■.,■ 

SyltV^iS!  V;riSV::';r"^'  ''""'^^^'  """''''''■  '•  ^^^^  -^>-  ^-  Valedan  II.  Mattingly- 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


125 


Augusti,  comparable  to  the  imperialization  of  other  gods— Mays  Augusti  or 
Minerva  Augusti  (or  ^MgMs/«)~such  as  are  found  in  the  inscriptions  and 
legends  of  coins.^a  Hence,  "Sunrise"  began  to  rank  with  the  emperor's  tutelary 
companions  or  equals.  He  became  one  of  the  numerous  manifestations  of  the 
emperor's  genius  which,  in  addition  to  other  possibilities,  had  chosen  to  appear 
also  as  the  ''Ever-rising"  and  thus  "Ever-unconquered."  The  prince,  in  his 
capacity  of  "Imperial  Sunrise,"  was  conqueror  in  permanence  of  all  evil,  and 
thereby  became  the  savior,  and  morally  the  father,  of  the  human  race. 

This  then,  we  may  take  it,  was  the  meaning  of  Oriens  Augusti:  it  was  the 
emperor's  rising  in  timeless  perpetuity.  Hence,  the  Greek  imagery  displaying 
the  very  moment  of  sunrise  or  a  time-bound  sunrise  did  not  quite  suit  the 
purposes  of  imperial  coin  propaganda.  Moreover,  the  designation  ORIENS 
depended  upon  and  referred  to  the  cult  of  Mithras.  Before  his  identification 
with  Sol  invictus,  Mithras  himself  had  been  predominantly  a  god  of  the  Morn- 
ing Light,  one  "who  rises  above  Mount  Hara  before  the  Sun. "34  Mithras  was 
actually  worshipped  under  the  name  of  Oriens:  a  small  marble  altar,  found 
along  the  Tiber,  has  the  dedicatory  inscription  Orienti.^^  The  connection  with 
Mithras  explains  the  fact  that  the  issue  of  Oriens  coins  (if  we  except  the  Hadri- 
anic  aureus)  belongs  to  the  third  and  early  fourth  centuries  only  and  was 
started  at  a  time  when  the  cult  of  Mithras,  now  actively  promoted  by  the 
Roman  emperors,  reached  its  climax.^e  It  further  explains  why  the  imagery  of 
Sol  invictus  was  freely  used  for  representing  Oriens  Augusti. 

For  all  those  cultual  connotations  and  connections,  it  will  nevertheless  be 
legitimate  to  raise  the  question  whether  Oriens  Augusti  should  not  be  inter- 
preted in  a  different  fashion  as  well.  We  may  rule  out  the  suggestion  according 
to  which  those  coin  issues  referred  to  nothing  but  the  dies  imperii  or  ortus 
imperii,  the  accession  of  the  ruler  and  his  rise  to  power;  for  the  Oriens  Augusti 
coins  were  struck  in  any  year  of  an  emperor's  reign,  not  only  in  the  year  of 
his  accession.37  It  is  true,  a  law  of  the  Emperors  Valentinian,  Theodosius,  and 
Arcadius  ordained  that  the  emperor's  ortus,  his  day  of  accession  as  well  as 
his  birthday,  should  be  celebrated  annually  and  observed  as  feriae.^^  But  this 

»3  For  the  problem,  see  A.  D.  Nock.    "The  Emperor's   Divine   Comes,"  JRSt.  XXXVII  (1947) 
102-116.  Not  all  the  gods  received  the  epithet  Augusti  or  Augustus  (Augusta),  which,  among  the  higher 
deities,  was  sometimes  given  to  Minerva.  See,  e.g.,  Joseph  Vogt,  Die  alexandrinischen  Munzen  (Stutt- 
gart, 1924),  I,  51.  and  II.  20,  for  the  inscription  'Aei^uTi  aEpaori^  on  a  coin  of  Domitian;  see  Mattingly- 
Sydenham.  RIC,  V:  2.  354.  Nos.  211  f..  for  Minerva  Augusti  under  Postumus. 

"  See  Christensen,  in  CAH,  XII.  119;  F.  Saxl,  Mithras  (Berlin,  1931).  73;  Wust.  "Mithras  "  RE 
XV.  col.  2132.  63.  '  ' 

"  Cumont,  Textes  et  monuments.  I.  128.  and  II,  102,  No.  48  bis;  M.  J.  Vermaseren,  Corpus  inscrip- 
ttonum  et  monumentorum  religionis  mithraicae  (Hague,  1956),  206.  No.  518.  According  to  H.  Usener 
Gotternamen  (Bonn,  1929),  362,  note  29.  Oriens  became  also  a  popular  Roman  name. 

^*  Cumont.  Mystires  de  Mithra,  88  f. 

^'  See  supra,  note  20,  for  the  opinion  of  Maurice. 

»*  C.  3,  12,  6.  5,  of  August  7,  389  (=  Cod.  Theodos.,  2,  8,  19,  4),  mentions  indeed  the  ortus  imperii 
among  the  feriae.  The  term  does  not  seem  to  have  been  used  in  earlier  times.  The  fratres  Arvales  always 
use  for  the  day  of  accession  the  term  ob  imperium  and  so  does  the  Feriale  Duranum;  see  Aelius  Pasoli 
Acta  Fratrum  Arvalium  (Bologna,  1950),  81 ;  R.  O.  Fink,  A.  S.  Hoey,  and  W.  F.  Snyder.  "The  Feriale 
Duranum,-  Yale  Classical  Studies,  VII  (1940),  43  (Col.  I.  15,  17,  21),  45  (Col.  II,  3),  47  (Col.  II.  20). 
185!.  See.  in  this  connection,  also  W.  Seston,  "Jovius  et  Herculius  ou  I'^piphanie  des  Tetrarqiies  "' 
Hisioria,  I  (1950),  257-266. 


n    u    J    L 

U       I    L     U 


126 


ERNST  H.  KANTOROWICZ 


ordinance  would  not  explain  the  elaborate  solar  symbolism  which  all  those 
coin  issues  exhibit,  or  even  the  wording  Oriens  for  ortus. 

A  different  matter  is  the  interpretation  of  Oriens  in  a  geographical  sense, 
referring  to  the  political  "imperial  Orient."  In  fact,  the  geographical  connota- 
tions of  Oriens  coinages  have  to  be  considered  seriously  as  allusions  to  political 
events  in  the  East,  to  intended  campaigns  or  actual  wars  against  the  Parthians 
or  other  peoples  in  the  East.  This  seems  to  have  been  true  in  the  case  of  Gordian 
who  issued  Oriens  coins  in  connection  with  his  Persian  wars  of  241-242  ;=*»  or 
of  Gallienus  who,  in  268,  distributed  his  Oriens  Augiisti  series  in  order  to 
emphasize  his  claims  to  certain  Eastern  provinces  then  under  the  "emperor" 
Odenathus  of  Palmyra.^"  Also  when  we  find  the  designation  Oriens  on  coins 
of  Aurelian  showing  Sol  treading  captives  under  foot,  it  is  difficult  not  to 
think  of  the  hapless  Queen  Zenobia  of  Palmyra  as  she  walked,  laden  with 
golden  chains,  in  the  procession  of  her  conqueror.  Aurelian,  in  his  coins,  seems 
to  have  played  deliberately  with  the  ambiguity  of  the  word  Oriens  meaning 
Orient  and  Sunrise  at  the  same  time.  In  Rome  Aurelian  triumphed  as  restitutor 
Orientis  and  restitutor  orbis;  an  aureus  from  the  mint  of  Antioch,  however, 
shows  Sol,  the  globe  in  his  left  hand,  with  the  same  inscription  RESTITUTOR 
ORIENTIS  (fig.  21)  just  as  in  another  coin  he  appears  as  RESTITUTOR 
ORBIS.'*!  There  prevails,  in  this  case,  a  certain  reciprocity  between  Aurelian 
and  the  Sun-god,  and  one  is  reminded  of  mediaeval  emperors  who  ascribed 
their  own  exploits  to  their  God.  The  same  reciprocity  is  strikingly  demon- 
strated by  another  coin  of  Aurelian,  which  rightly  has  attracted  much  atten- 
tion :  the  legend  on  the  reverse,  surrounding  the  Sun-god  rising  in  his  quadriga 
frontally  after  the  Greek  model,  reads  SOL  DOMINUS  IMPERII  ROMAN  I 
(fig.  9),  while  the  obverse,  showing  the  head  of  Aurelian  adorned  with  the 
radiate  crown,  reads  DEO  ET  DOMINO  NATO.^^  Mutually,  or  together, 
emperor  and  Sun-god  ruled  over  the  empire  or  restored  the  Orient— an  ap- 
propriate vagueness  concerning  identification  or  comparison  of  a  ruler  with  a 
deity,  a  vagueness  which  was  characteristic  of  the  antique  ruler-cult  in  general.^^ 
It  is  noteworthy,  however,  that  the  solar  concept  of  the  Restitutio  Orientis 
reflectmg  so  clearly  Aurehan's  tendency  of  theologizing  his  policy,  represents 
at  the  same  time  a  significant  change  as  compared  to  the  concepts  of  his 
imperial  predecessors.  The  unfortunate  Valerianus,  who  paid  for  his  capture 
at  Jhe  hands  of  Shapur  not  only  with  his  Hfe,  but  also  with  his  memoriae 

J  J.  Vogt,  Die  alexandrinischen  Munzen,  194.  The  oriental-political  background  of  the  Trai-in 

fntet'sis  of  a''paft!cula;'t\me.-''^°"'^'''^  '"'  ^""^  ''''''''  ^°'"^  °^  ^^^^^"  ^"^  "^^"^  ^'^^  the  "Eastern 

2jorf^^'^BerI^i^  ^/fots)  ^J^^r^T'  M  l'^"  Wstorischen  Ereignisse  im  Osten  zwischen  a6o  und 
th  1  .,'r^^/^^^'  \('938),  82f.  See  also  Mattingly  and  Sydenham,  RIC.  Vi  122  No  a7  whero 
the  egend  ORIENS  refers  to  Valerian  II.  lean.ng  on  a  shield  and  crowning  a  trophy 

"Mattmgly-Sydenham,  i?/C,V:  1,280,  290.  304   ^10  Nos   i4of     :>2,{\^r,i     7' t      ^       .• 

oJl:  '''    ■'  '''■  '''■  ''"'  '°''  P^-  ^"'  '«•  ^°^'  ^-  A"-'-"-  -d  306.  No!  367   for  s!l  as  ReJuTor 

"  See  the  remarks  of  Mattingly,  in  Mattingly- Sydenham    Rrc    V-,     ^c9*  •         .   r       .u 
ibid.    ^01    Nos   ^10-^22   nl   vir   fir,    TT^-  7^  IK  -1     j7      ,  ,   '  '      •'•    ^SSf.;   and   for  the  coins, 

43  Mi     °M  l^  ^   ri  V'        ■  ^^-  "°'  ^elbruck,  Munzbildnisse.  pi.  x.xiv   figs   21-22   and  n    Tc,f 
Nock,     Notes  on  Ru  er  Cult,"  JHS,  XLVIII  {1928)   31  f  ^  '  ^     ^^  ' 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


127 


damnatio-^apart  from  the  terrifying  reliefs  dramatizing  and  eternalizing  that 
singular  humiliation  of  a  Roman  emperor— had  a  series  of  Restitutor  Orientis 
coins  issued  some  fifteen  years  before  Aurelianus.  And  Gallienus  continued 
that  practice.  On  the  coins  of  these  emperors,  however,  the  legend  Restitutor 
Orientis  does  not  refer  to  the  Sun-god.  The  inscription  surrounds  a  female  deity 
who  has  the  turreted  crown  on  her  head  and  comes  to  greet  her  conqueror 
with  a  wreath  in  her  hand,  probably  the  detested  aurum  coronarium  (fig.  22). ^^ 
That  is  to  say,  Oriens,  the  province,  appears  on  the  coins  of  Valerianus  and 
Gallienus  in  the  conventional  form  of  a  personified  province;  and  similar 
representations  of  Oriens,  the  geographic  "Orient,"  as  a  female  goddess  are 
found  under  Aurelian.^^  Hence  there  was,  after  all,  another  way  of  represent- 
ing the  geographic  Orient  if  that  was  intended;  and  it  is  therefore  all  the  more 
remarkable  that  Aurelian,  when  distributing  Restitutor  Orientis  coinages  with 
the  image  of  the  Sun-god,  quite  obviously  aimed  at  expressing  a  different 
idea  by  using  the  ambiguity  of  the  word  Oriens. 

While  there  is  no  doubt  that  the  inscription  Oriens  might  allude  to  the 
geographic  Orient,  it  would  be  a  mistake  to  apply  this  meaning  to  every 
Onens  emission  of  coins.  Emperors  whose  fields  of  activity  were  remote 
from  Eastern  affairs  and  had  nothing  whatever  to  do  with  wars  against 
Persia  or  similar  enterprises,  have  nevertheless  used  the  Oriens  Augusti  types 
for  their  coinages.  Postumus,  for  example,  who  was  fighting  in  Gaul,  on  the 
Rhine  and  in  Britain,  could  hardly  justify  in  his  pohcy  the  far-reaching  hypoth- 
esis, gleaned  from  his  Oriens  Augusti  emissions,  that  he  "even  dreamed  of 
ruling  the  East."4«  Nor  should  similar  conclusions  be  drawn  from  the  Oriens 
Augusti  coins  issued  by  the  two  Tetrici  or  by  Victorinus,  or  by  the  British 
Emperors  Carausius  and  Allectus.'''  It  would  be  very  difficult,  therefore,  to 
put  forward  the  view  that  these  Emperors  by  striking  their  Oriens  coins  wished 
to  announce  claims  to  the  Near  East  and  the  Oriental  regions.  Moreover,  the 
coin  images  of  the  Oriens  emissions  do  not  warrant  any  one-sided,  or  even 
predominantly  geographical  interpretation.  They  are,  by  and  large, 'identical 
with  the  designs  of  a  great  number  of  other  specimens  plainly  manifesting 
the  solar  conception  of  rulership  and  proclaiming  the  Sun-god  as  the  emperor's 
celestial  antitype  or  divine  comes.'^>'  This  title  of  comes,  to  be  sure,  does  not 
suggest  that  the  emperor's  celestial  companion  has  become  subordinate  to 
the  emperor,  but  indicates  the  idea  that  Sun-god  and  ruler  were  correlates.** 

"  Mattingly- Sydenham,  RIC,  V:i.  60,  No.  286,  pi.  i,  fig.  7  (Valerian),  and  103.  No.  448  (Gallienus). 
See  also  Alfoldi,  in  Berytus.  IV  (1937),  46,  and  pis.  xi,  7-12,  xii,  19-20,  xm   21-22 

"  Lor  Aurelian,  RIC,  V:i,  280,  290,  304,  310,  Nos.  1401.,  233^,  35of    404 

"  Alfoldi,  in  CAH,  XII,  187. 

"See  Mattingly- Sydenham,  RIC.  V:2,  396,  No.  115  (Victorinus);  406.  No.  gSf  (Tetricus  I)- 
422  No.  245  (Tetricus  II);  471,  489,  Nos.  94 ff-  293 ff-  (Carausius);  558,  560,  566,  Nos.  4  26f  84 
(AUectus).  ■  T         ■-     t 

.,pc  ^°^^^;,'^^?*^'  °"  Ruler-Cult,"  JHSl,  XLVIII  (1928).  31  f.,  and  "The  Emperor's  Divine  Comes.- 
JJiii,  XXXVII  (1947),  102-116. 

«•  So  W.  Ensslin,  Gotikaiser  und  Kaiser  von  Gottes  Gnaden  (Sitzungsberichte  der  bayerischen  Akade- 
mie,  1943.  Heft  6  UMunich,  1943]).  39flf-,  who  stresses  "die  Vorstellung  des  dienenden  Gottes  "  See 
also  Alfoldi,  The  Conversion  of  Constantine  and  Pagan  Rome  (Oxford,  1948),  59.  See,  however  the  well 
balanced  judgment  of  Nock,  "Divine  Come.';,"  1031. 


n   u    J 

u       I    L       I 


4i' 


128  ERNST  H.  KANTOROWICZ 

In  a  similar  sense  Sun-rise  and  emperor  have  been  ^-^'^^''^^ J^^ 
and  Oriens  Augusti  appear  as  equivalent,  almost  mterchangeable  notion  which 
support  each  other  iid  supplement  each  other  in  a  cultual  and,  as  it  were, 
"theological"  sense.  We  may  recall  the  Giessen  Papyrus:  the  Sun-god  claim- 
ing tha?  "he  had  risen  together  with  Trajan.-  The  imperial  ascension-so 
well  known  from  Consecratto  coins,  including  the  last  one  that  of  Constantine 
the  Great-was  depicted  not  only  in  connection  with  a  deacl  emperor  s  con- 
secration, but  also  with  the  living  emperor's  glorification^^^  An  aureus  oiihc 
year  a.d.  197  shows,  on  the  reverse  side,  the  chariot  of  the  Sun-god,  its  four 
horses  ready  to  cHmb  the  sky,  indicated  by  cumuli  of  clouds  which  arch  over 
the  reclining  Tellus  with  her  cornucopiae  (fig.  25).^^  The  figure  to  the  right, 
preceding  the  horses,  is  probably  the  customary  Dawn  or  Phosphoros,  as 
displayed  for  example,  in  the  cuirass  reliefs  of  the  Augustus  from  Prima 
Porta  53  The  charioteer,  however,  whom  we  see  stepping  on  the  quadriga, 
is  not  Sol  but  the  Emperor  in  the  garb  of  the  Sun-god,  or  else  a  Sol 
having  unmistakably  the  features  and  pointed  beard  of  Septimius  Severus.^'* 
We  are  familiar  with  these  facial  similarities  of  emperor  and  god;  they  were 
almost  the  rule  in  the  jugate  busts  of  emperors  and  gods  which  became  cus- 
tomary in  the  third  century.^^  The  aureus  of  Septimius  Severus  is  of  great 
interest  not  only  because  it  offers  evidence  for  the  fact  that  the  emperor  him- 
self is  "the  rising  one,"  the  Oriens,  but  also  because  it  sheds  light  on  a  number 
of  other  representations  of  that  scene.  Of  particular  significance  for  the  inter- 
changeability  of  Sol  and  augustus  is  a  phalera,  a  plaque  serving  as  a  decora- 
tion on  horse  trappings,  probably  of  the  second  century,  now  in  the  Vatican, 
which  shows  the  same  design  and  has  the  exergue  inscription  INVENTORI 
LUCIS  SOLI  INVICTO  AUGUSTO  (fig.  26). ^^  The  same  Sol  invidus  augustus 
is  found  also  on  a  bronze  medallion  of  Antoninus  Pius,  though  it  does  not 
allow  us  to  identify  the  Sun-god's  features ;  but  a  medallion  of  Commodus,  a 

"  See  supra  note  15. 

"1  See  supra,  note  i6. 

^^  Mattingly,  CREBM,  V,  57,  No.  226,  pi.  x,  fig.  19.  To  this  aureus  in  the  British  Museum  Professor 
Alfoldi  kindly  called  my  attention,  also  providing  me  with  a  photo.  The  interpretation  of  this  set  of 
medallions  in  the  sense  of  imperial  sunrises,  obvious  by  their  design,  is  supported  also  by  the  Oriens 
Augusti  denarius  of  Aurelian,  here  fig.  17. 

'^  For  the  Prima  Porta  Augustus  in  the  Vatican,  see  J.  M.  C.  Toynbee,  The  Hadrianic  School 
(Cambridge,  1934),  P'-  xxxii,  fig.  i,  and,  for  a  reproduction  of  the  cuirass,  Alfoldi,  "Zuni  Panzer- 
schmuck  der  Augustusstatue  von  Primaporta,"  RM ,  LII  {1937),  pi.  xvu,  also  551.  For  more  detailed 
reproductions,  see  Erika  Simon,  Der  Augustus  von  Prima  Porta,  pis.  iv,  v,  and  vii. 

"  This  similarity  has  not  been  pointed  out  by  Mattingly,  loc.  cit.  {supra,  note  52).  I  am  grateful 
to  Professor  Alfoldi  for  having  passed  on  his  observation  to  me.  For  the  coin  image  of  Septimius 
Severus,  see  Mattingly,  CREBM,  V,  56,  No.  225,  pi.  x,  fig.  18. 

"  Kantorowicz,  The  King's  Two  Bodies  (Princeton,  1957),  503f-.  and  fig.  32:  id.,  "The  Quinity  of 
Winchester,"  Art  Bulletin,  XXIX  (1947),  82,  figs.  27-29.  H.  Usener,  "Z\villingsl)ildung,"  Kleine 
Schriften  (Leipzig-Berlin,  1913),  IV,  3551.,  while  discussing  jugate  busts,  does  not  discuss  the  imperial 
coins.  Cf.  Nock,  "Divine  Comes,"  107 f.,  note  57.  See  also  V.  Schultze,  "Die  christlichen  Miinzprag- 
ungen  unter  den  Konstantinen,"  Zeitschrift  fur  Kirchengeschichte,  XLIV  (1925),  333  and  335,  for  Sol 
ascending  on  the  quadriga  with  the  features  of  Constantius  Chlorus;  cf.  Kocp,  "Konsekrationsmiinzen" 
(see  supra,  note  16),  99,  note  42. 

"  Margherita  Guarducci,  "Sol  invictus  augustus,"  Rendiconti  delta  Pontif.  Accademia  Romana  di 
archeologia,  3rd  Ser.,  vols.  30-31  (i957-i959),  161  ff.  Cf.  Kantorowicz,  "Gods  in  Uniform,"  382 f., 
note  67,  and  fig.  34. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


129 


repetition  of  the  Antoninus  bronze,  displays  the  radiate  Sun,  once  more  with 
a  beard,  rising  on  his  chariot  and  therefore  indicates  the  Emperor  in  the  role 
of  Sol,  whereas  another  bronze  medallion  of  Commodus  shows  the  charioteer 
radiate  and  beardless  and  thus  refers  to  Sol  alone."  To  the  coin  evidence 
representing  the  emperor  as  Sol  oriens  there  should  be  added  one  of  the 
reliefs  on  the  cuirasses  of  armored  statues  (fig.  12),  displaying  the  rising  Sol 
frontally  as  he  emerges  on  his  quadriga  from  the  sea;  for  this  charioteer,  as 
has  been  suggested  long  ago,  has  perhaps  the  features  of  the  young  Domitian.^s 
Finally,  on  a  bronze  disk  of  the  British  Museum,  we  find  Caracalla  in  military 
attire  represented  as  Sun-god,  though  only  his  bust  is  shown  and  he  is  not 
ascending  the  quadriga  (fig.  10). ^^ 

Another  monument  is,  however,  decisive:  it  is  a  relief  from  Ephesus,  now 
in  Vienna,  from  the  time  of  Marcus  Aurelius.  We  recognize,  making  allow- 
ance for  some  additions,  the  same  design  known  to  us  from  the  medallions  of 
Antoninus  Pius,  Commodus,  and  Septimius  Severus  (fig.  27).^  The  head  of 
the  charioteer  is,  unfortunately,  missing,  but  his  military  costume  is  that  of  a 
Roman  emperor,  probably  Marcus  Aurelius.  Whether  the  picture  commemo- 
rates the  Emperor's  successes  in  the  East  by  showing  him  as  an  Oriens  or  whether 
Marcus  "anticipates  the  honour  of  apotheosis  while  still  in  life,""  may  be 
difficult  to  tell.  At  any  rate,  he  is  the  imperator  oriens,  with  Victory  hovering 
above  his  chariot  whose  horses,  galloping  high  above  the  reclining  Tellus,  are 
guided  by  Roma  or  Virtus  and  by  Sol  himself.  The  slab  represents  indeed  the 
Emperor  "rising  together  with  the  Sun,"  ('HAico  ovvavaTeXXcov) .  This  monument 
is  interesting  for  yet  another  reason ;  whereas  the  coin  images  showed  the  em- 
peror in  the  costume  of  the  god,  that  is,  naked,  the  emperor  of  the  Ephesus 
slab  steps  on  the  chariot  in  military  attire.  This  change  calls  to  our  attention 
the  fact  that  the  imitatio  of  the  gods  on  the  part  of  the  emperor  was  often 
paralleled  by  the  imitatio  of  the  emperors  on  the  part  of  the  gods.  In  a  wall 
painting  at  Dura-Europos,  Zeus  Theos  is  represented  in  the  Hellenistic-Parthian 
costume  of  a  general  or  emperor,  his  head  surrounded  by  a  radiate  halo.  The 
god  is  about  to  step  on  the  chariot  of  the  Sun-god  and  to  rise  in  it — he  too  an 
Oriens  and,  for  that  matter,  an  imperator  oriens,  decorated  with  the  insignia 
of  the  emperor's  military  dignity  (fig.  28). ^^ 

*'  See,  for  Antoninus  Pius,  Gnecchi,  Medaglioni,  II,  16,  No.  67,  pi.  l,  fig.  6;  and,  for  Commodus, 
52,  Nos.  3-4,  pi.  Lxxviii,  figs.  3-4.  See  also  Jocelyn  M.C.  Toynbee,  The  Hadrianic  School  (Cambridge] 
1934),  141.  note  5,  and  pi.  xix,  figs.  8  and  9. 

'*  Brendel,  in:  Die  Antike,  XII  (1936),  2761.,  279. 

*»  Brendel,  op.  cit.,  275,  fig.  2.  Photograph  from  the  German  Archaeological  Institute  in  Rome, 
No.  34.2331,  of  which  Professor  Alfoldi  kindly  placed  a  copy  at  my  disposal. 

•"  Vienna,  Kunsthistorisches  Museum  (Inv.  I,  867).  See  Mrs.  Arthur  Strong,  "The  Exhibition 
Illustrative  of  the  Provinces  of  the  Roman  Empire,"  JRSt,  1  (191 1),  39f.,  pi.  xii,  and  her  Roman 
Sculpture  from  Augustus  to  Constantine  (London,  1907),  295;  S.  Reinach,  Repertoire  de  reliefs  grecs  et 
romains  (Paris,  1909),  I,  144,  fig-  3;  Toynbee,  op.  cit.,  141,  and  pi.  x.xxn,  fig.  3;  see  also  the  report 
on  Ephesus  by  R.  Heberdey,  in:  Jahreshefte  des  osterreichischen  archdologischen  Instituts,  VII  (1904). 
Beiblatt,  551. 

•1  Strong,  "The  Exhibition,"  39. 

•'  See  M.  Rostovtzeff,  Dura-Europos  and  its  Art  (Oxford,  1938),  pi.  xiii  facing  p.  74.  Grabar, 
Martyrium  (Paris,  1943).  H.  i4of.,  emphasizes  the  epiphany  or  theophany  character  of  those  represen- 
tations: "C'est  r  dvoycoyi^  triomphale,  th^me  de  theophanie."  That  the  god  or  emperor  stepping  on 


n   u    J    u 

u     i   u    u 


130 


ERNST  H.  KANTOROWICZ 


What  does  the  evidence  of  all  these  monuments  convey?  In  the  first  place, 
they  make  it  clear  that  the  connection  of  Oriens  Augiisti  coins  with  political 
events  in  the  East  (although  such  a  connection  occasionally  does  exist)  is  not 
the  most  important  aspect  of  this  rather  complex  problem.  It  may  be  safe  to 
maintain  that  the  idea  of  Oriens  Augusti  belongs  to  the  field  of  political  the- 
ology rather  than  to  that  of  political  geography.  Second,  the  message  of  the.se 
monuments  is  that  Tellus  may  rest  comfortably  reclined  and  produce  her 
fruits  because  the  rise  of  the  Sun-god  emperor,  who  chases  away  all  the  demons 
of  darkness,  secures  for  her  the  felicitas  temporum.  The  theme  is  perhaps  the 
Virgilian  Tutis  iam  regnat  Apollo.  In  fact,  the  imperium  sine  fine  has  found  its 
complementary  counterpart  in  an  imperium  sine  umbris,  an  empire  in  which 
the  Sun  does  not  set,  but  in  which  he  rises,  as  it  were,  perpetually  and  in 
permanence.  In  that  empire,  therefore,  an  eternal  "Clarity"  would  prevail,  and 
some  coins,  first  issued  by  Postumus  and  inscribed  CLARITAS  AUGUSTI 
or  (beginning  with  Constantine)  CLARITAS  REIPUBLICAE,  expressed  an 
idea  related  to  that  of  Oriens  Augusti  (figs.  23,  24).^^  Again,  it  is  a  timeless, 
ageless,  immutable  Clarity  which  knows  not  the  shadows  of  night,  a  correlate 
of  the  ever  active  Sunrise.  The  Sun  does  not  set  within  the  confines  of  the 
empire  because  the  emperor's  vigilance  works  in  every  moment  and  at  every 
place,  even  zw  ultima  Thule,  in  the  Britain  of  Carausius  and  Allectus,  Constan- 
tius  Chlorus  and  Constantine.  Constantius,  writes  a  panegyrist,  before  joining 
the  gods  and  the  fruition  of  light  eternal,  did  see  even  in  this  world  diem 
paene  continuum.^'*'  For  in  Britain,  more  blessed  than  other  countries,  where  the 
winters  are  not  too  frigid  nor  the  summers  too  hot,  a  land  without  harmful 
snakes,  where  "the  days  are  longest  and  no  night  is  devoid  of  some  light 
. .  .Sol  himself,  who  to  us  seems  to  set,  there  seems  to  have  skipped  his  set- 
ting."^^  Another  orator  praised  Constantius  whom  "the  Sun-god  himself, 
ready  to  drive  across  the  sky,  received  on  his  chariot,  which  remains  almost 
visible  throughout,  because  in  the  hour  of  his  setting  he  actually  regains  his 
rising,  since  the  risings  are  quite  close  to  the  settings."*^ 

the  chariot  indicates  Oriens  is  countenanced  by  the  altar  from  Palmyra  in  the  Capitoline  Museum  in 
Rome;  see  Cumont,  "L'autel  palmyrenien  du  Mus6e  du  Capitole,"  Syria,  IX  (1928),  102,  pi.  .\.\.\viii, 
fig.  I,  and  his  Les  religions  orientales  dans  le  paganisme  roniain  (4th  ed.,  Paris,  1929),  pi.  .\,  facing  \x 
106,  who  stresses  the  Oriens  character.  I'or  gods  in  uniform,  see— in  addition  to  R.  Paribeni,  "Divinita 
straniere  in  abito  militare  romano,"  Bulletin  de  la  societe  archeologique  d' Alexandria  XIII  (lyio), 
177-183,  and  E.  Breccia,  ibid.,  XVII  (1919-1920),  i84ff.— Ernest  Will.  Le  relic  cultuel  grico-romain 
(Paris,  1955).  258 ft.,  and  my  study  "Gods  in  Uniform"  [supra,  note  8). 

«^  Usener,  Das  Weihnachtsfest  (supra,  note  i),  362,  364,  for  the  Claritas  coins.  Cf.  Mattingly-Syden- 
ham,  RIC.  V:2,  333,  358  (No.  260),  364  (No.  336),  for  the  first  appearance  of  the  inscription  under 
Postumus.  In  Constantinian  times,  the  type  CLARITAS  REIPUBLICAE  was  reserved  for  Con- 
stantine II;  see  Patrick  Bruun,  "The  Disappearance  of  Sol  from  the  Coins  of  Constantine,"  Arctos, 
Nov.  Ser.  II  (1958),  15-37,  esp.  20. 

"  XII  Panegyrici  Laiini,  ed.  by  W.  Baehrens  (Leipzig,  191 1),  VI(VII),  7,  2,  p.  2051 : . .  ut  fnnturus 
extnde  luce  perpetua  lam  videret  illic  diem  paene  continuum.  The  numbering  of  the  panegyrics  differs 
m  Panegyriques  latins,  ed.  and  trsl.  by  Edouard  Galletier  (Paris,  1952);  see  II  59  (VII  [61  c  -)  Cf 
Cumont,  LM;tr /jer/>e;!ia  (Paris,  1949),  460.  '  '"  )•    •  /^       • 

«  Paneg.  VI,  9,  3,  Baehrens,  207;  Galletier,  II,  61:  . .  .longissimae  dies  et  millae  sine  aliqua  luce 
noctes.  .  .ut  sol  ipse  qui  nobis  videtur  occidere,  ibi  appareat  praeterire. 

*^  Paneg.  VII(VI)  14,  3,  Baehrens,  231 ;  Galletier,  II,  28:  O  felix  'in  imperio  et  post  imperium  felicior 
(audis  enim  profecto  haec  et  vides),  dive  Constanti,  quern  curru  paene  conspicuo,  dum  vicinos  ortus  rePetit 
occasns,  sol  ipse  invecturus  caelo  excepit. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


131 


We  understand  what  ideal  was  in  the  mind  of  those  orators  who  believed  that 
Constantine  had  seen  his  Apollo  comitante  Victoria,  and  claimed  that  in  the 
god's  features  Constantine  had  recognized  himself.^'  Like  Britain,  the  land 
over  which  his  father  had  wielded  power  and  which  was  governed  by  Constan- 
tine, the  Emperor  himself  knew  not  the  Dark,  because  he  conquered  it.  He, 
the  likeness  of  the  Sun-god,  was  the  perpetual  Claritas.  was  the  Oriens,  the 
Rise  without  setting. 


These  were  not  metaphors  produced  by  a  rhetor's  whim.  They  were  stock 
phrases  of  imperial  solar  theology  such  as  were  current  in  the  age  of  transi- 
tion, images  which  the  panegyrist  here  applied  to  Constantine,  the  oriens  im- 
perator,^^  and  which  by  that  time  were  freely  applied  also  to  the  salvator  oriens, 
to  "the  man  whose  name  was  Oriens."  This  terminology,  needless  to  say,  did  not 
originate  on  the  banks  of  the  Tiber  or  Thames.  It  emerged  from  the  ancient 
Near  East,  penetrated  into  the  Hellenistic  kingdoms  as  well  as  into  the  Roman 
Empire,  and  finally  conquered  the  Christian  Church  as  well. 

Solar  similes,  including  that  of  the  "Sunrise,"  were  applied  to  the  Pharaohs 
of  ancient  Egypt  in  almost  infinite  numbers.  In  a  hymnic  letter  of  the  age  of 
the  19th  Dynasty,  the  Pharaoh  is  addressed  as  the  rising  Sun: 

[Turn]  thy  face  unto  me,  thou  rising  Sun 

That  illumineth  the  Two  Lands  with  its  beauty ! 

Thou  Sun  of  Mankind,  that  banisheth  the  darkness  from  Egypt. 

Thou  art  hke  thy  father  Re',  who  ariseth  in  the  firmament. «» 
This  is  only  one  example  to  illustrate  the  general  mood.  We  recognize  familiar 
metaphors:  The  Pharaoh  oriens,  a  likeness  of  Re'  rising  in  the  firmament;  or 
the  "Sun  of  Mankind"  banishing  darkness  from  the  kingdoms  and  giving  per- 
petual light  to  Egypt.  Admittedly,  we  may  say,  these  are  comparisons,  very 
natural  (if  somewhat  exaggerated)  comparisons  between  the  king  and  the 
Sun-deity,  which  draw  their  language  from  equally  natural  phenomena.  When, 
however,  we  turn  to  the  worship  of  the  Persian  Great  King  we  quickly  under- 
stand that  Oriens,  the  Rise,  meant  not  comparison,  but  indicated  a  strange 
co-equality  of  ruler  and  light,  and  that  the  "Rise"  was  actually  a  cultual  term. 
Mithras  himself,  we  recall,  was  originally  a  god  of  the  Morning  Light.'"  Hence, 
Mithras  also  was  the  true  Oriens:  but  since  the  Parthian  king  claimed  to  be 


«'  Paneg.  VI(VII),  21,  4-5,  Baehrens,  217!.;  Galletier,  II,  72. 
•»  Paneg.  VII(VI),  i,  Baehrens,  220;  Galletier,  II,  16. 


•»  A.  Erman  and  H.  Ranke,  Life  in  Ancient  Egypt,  trsl.  by  H.  M.  Tirard  (London,  1894),  66f. ; 
Ivan  Engnell,  Studies  in  Divine  Kingship  in  the  Ancient  Near  East  (L^ppsala,  1943),  6.  In  general  see 
Jules  Baillet,  Le  regime  pharaonique  (Paris,  1912-1913),  I,  16  (notes.  1-5),  406,  anApassim;  Henri  Frank- 
fort, Kingship  and  the  Gods  (Chicago,  1948),  148 ff.  Not  only  the  Pharaoh,  but  also  the  Roman  emperor 
was  considered  the  "son  of  the  Sun";  cf.  Eduard  Norden,  Die  Geburt  des  Kindes  (Leipzig-Berlin, 
1924),  132,  note  4;  alsoErwin  Pfeiffer,  Studien  zum  antiken  Sternglauben  (Stoicheia,  II;  Leipzig-Berlin, 
1916),  loi,  note  5. 

"*  See  supra,  note  34.  I-'or  the  connections  between  Mithras  and  Shamash  (likewise  the  Sun  rising 
above  the  mountains),  see  E.  Will,  Le  relief  cultuel,  206 f.,  fig.  38.  .\lso,  for  the  Israelitic  king  as  Phas- 
phoros,  the  Morning  Star  (Ps.  log),  J.  Coppens.  "Le  Psaume  CX  et  I'id^ologie  royale  Israelite,"  The 
Sacral  Kingship  (Leiden,  1959),  338,  note  10. 

9* 


/  /    U    J    u 

U       I     L        f 


132 


ERNST  H.  KANTOROWTCZ 


ORIENS  AUGUST!  -  LEVER  DU  ROI 


133 


"throne-sharer  of  Mithras"  (ouvepovos  eew  Miepa),'^  he,  the  kinj.j,  did  not  rise 
like  the  Sun  in  the  sense  of  a  poetical  comparison  or  metai)hor,  but  rose  to- 
gether mth  the  Sun,  with  his  throne-sharer  Mithras.  "The  one  rising  together 
with  the  Sun"  ('HAfco  ouvavaTeAAcov)  actually  formed  part  of  the  official  title 
of  the  Great  King.  The  Alexander  Novel,  such  as  we  know  it,  was  comi)osed 
in  the  late  third  century  a.d.,  that  is,  at  a  time  when  the  solar  theology  had 
already  conquered  the  Roman  Empire  and  left  the  imprints  of  its  symbols  on 
the  imperial  style.  The  titles  of  the  Persian  king  mentioned  in  the  Novel  are 
nevertheless  accurate. '^  They  are  also  found,  at  least  in  essence,  in  the  great 
inscription  of  Antiochus  of  Commagene,  a  descendent  of  the  same  Darius  who 
was  defeated  by  Alexander  the  Great."  King  Darius,  according  to  the  Alexan- 
der Novel,  had  the  title  "Kindred  of  the  gods,  and  throne-sharer  of  the  god 
Mithras,  and  the  one  rising  together  with  the  Sun"  (Qecov  cTuyyevfig  auvOpovo?  xe 
Beep  Miepa  Kai  cruvavaTeAXoov  'HAicp),  or  simply,  "the  one  rising  with  Helios." 
The  Persian  st3'le  may  be  even  reconstructed  from  the  Latin  version  found  in 
Ammianus  Marcellinus:  farticeps  stderum,  frater  Solis  et  Lunae.""^  That  the 
word  dvoTEAAeiv  had  its  set  place  in  the  Persian  royal  style  is  further  confirmed 
by  Theophylactus  Simocattes  who  wrote  in  the  late  sixth  century.  For  he  records 
that  Chosroe  II  used  the  title  "He  that  rises  together  with  the  Sun  and  lends 
his  eyes  to  the  Night"^^ — implying,  of  course,  that  with  and  for  the  king  there 
was  no  darkness.  If  we  consider  the  extraordinary  influence  that  Persia  in 
general  and  especially  Mithraism  exercised  on  Roman  imperial  thought,"^  we 
may  understand  that  Oriens  Augusti  was  far  more  than  a  felicitous  and 
pleasant  comparison.  It  was  apparently  a  Mithraic  metaphor  suggesting  that 
the  Roman  emperor,  not  unlike  the  Persian  king,  was  one  "rising  together 
with  the  Sun." 

Although  Oriens  Augusti  is  clearly  described  by  the  intellectual  and  reli- 
gious climate  of  the  third  century,  the  underlying  idea  of  the  emperor's  "Ris- 
ing," his  'AvaToAri,  is  considerably  older  than  that,  and  the  term  itself  could  be 
almost  identical  with  Adventus  or  Epiphany.  It  should  be  remembered  that 
anatellein  was  a  technical  term  of  astronomy  not  only  with  reference  to  the  rise 

"  Historia  Alexandri  Magni  (Ps,  Callisthenes),  I,  36,  2,  ed.  by  \V,  Kroll  (Ikilin,  1926),  40,  21. 

'-  Ps.  Callisthenes,  loc.  cit.,  and  I,  38,  2,  Kroll,  42,  21;  II,  16,  10,  Kroll,  86,  23.  ' 

"  For  the  Nenirud-Dagh  inscription,  first  published  by  K.  Humann  and  6.  Puchstein,  Ifeisen  in 
Kleiiiasien  und  Nordsyrien  (Berlin,  1890),  2628.,  and  since  reprinted  frequently,  see  Cumont,  Textes 
et  monuments,  II,  Sgff.,  and  M.  J.  Vermaseren,  Corpus  inscriptionum  et  monumcntorum  r'eligionis 
Mithriacae  (The  Hague,  1956),  I,  54-  ^o.  32.  Joseph  Wallis,  Sp>ache  und  Stil  der  grossen  griechischen 
Inschrifl  vom  Nemnid-Dagh  in  Kommagene  (Heidelberg,  1920),  33,  stresses  the  coincidence  of  the 
king's  birthday  (official  or  natural  one  ?)  with  that  of  Mithras. 

'*  .\mmianus  Marcellinus,  XVII.  5,  3:  particeps  siderum.  frater  Solis  et  Lunae.  Cf.  Geo.  Widengren 
"The  Sacral  Kingship  of  Iran,"  The  Sacral  Kingship  (Leiden,  1959),  246;  .\lf61di,  RM,  L  (1935)    i43 
The  Latin  Alexander  Novel,  of  course,  translates  the  title  verbatim;  cf.  Julius  Valerius    Res  gestae 
Alexandri,  I,  37,  ed.  by  Kueblcr  (Leipzig,  i8j8).  43.  ^luvaque  orienscumSoleDarius;si\sol.  40, Kiwhler, 
50,  2ff. :  consessori  dei  Mithrae  simulque  cum  sole  orienti. 

"Theophylactus,  Historiae,  IV,  8,  5,  ed.  by  C.  de  Boor  (Leipzig,  1887),   164.  Cf.  Carl  Clemen 
Gnechische  und  lateinische  Nachrichten  Uber  die  persische  Religion  (RgVV   XVII -i  [Giessen    1920I)' 
193:  A.  Christensen,  Uempire  des  Sassanides  (Copenhagen,  1907),  88.  He  that  "lends  his  eye's  to  the 
night    was  Mithras;  see  J.  Hertel,  Die  Sonne  und  Mithras  im  Awesta  (Leipzig    1927)    lo/ff     lorff 

'•  Alfoldi,  RM.  XLIX  (1934),  6ff.,  reduces  the  Persian  influence  to  its  propel  proportions  though 
without  denying  in  the  course  of  his  study  the  existence  of  such  influences. 


of  the  sun,  but  also  to  that  of  other  heavenly  bodies,  and  in  that  sense  it 
intruded  at  an  early  date  into  the  language  of  the  cult  of  the  Roman  emperors. 
Already  Augustus  was  praised,  in  an  inscription  at  Pliylae,  as  the  luminary  of 
all  Greece  "who  had  arisen  as  the  great  savior  Zeus"  (6s  acoTrip  Zeus  dv^TeiAe 
u^yas).''^  There  may  be  added  a  papyrus  praising  the  Emperors  Severus  and 
Caracalla  as  the  lords  "who  have  risen  in  their  Egypt"  (dvaTeiAavn-Es  iv  tt] 
^auTcov  Alyu7rTcp).78  Another  papyrus  is  interesting  in  view  of  the  later  practice 
in  Byzantium,  because  here  the  word  dvaTeAXeiv  is  used  in  an  acclamation 
at  the  hippodrome  in  order  to  celebrate  the  "epiphany"  of  Vespasian  in 
Alexandria.''^ 

The  corresponding  phraseology  will  be  found  in  the  Latin  orbit  as  well.  We 
may  disregard  perhaps  some  very  general  statements  referring  to  an  emperor's 
accession  as  a  salutaris  exortus  or  comparing  this  event  to  "the  rise  of  a  lumi- 
nary of  salvation  for  the  human  race,"«<'  but  we  should  not  be  insensible  to 
their  tone  of  savior-expectation,  to  the  "litany  style. "«i  There  are,  however, 
other  utterances  which  more  specifically  illustrate  the  Oriens  Augusti  motif! 
Statins,  for  example,  greeting  Domitian  on  a  New  Year's  day  when  the  latter 
entered  upon  his  new  consulate,  said  quite  straightforwardly:  Atque  oritur  cum 
sole  novo,  cum  grandibus  astris.^^  Domitian's  "rising  together  with  the  new  sun" 
is  reminiscent,  to  be  sure,  of  the  Persian  royal  style,  since  oritur  cum  sole  is 
the  equivalent  of  'HXiw  cruuavaTeXXEi.  Moreover,  Statins  remarks  that  the  rising 
emperor  outshines  the  rising  sun  and  heavenly  bodies  (clarius  ipse  nitens).  The 
theme  of  a  competition  between  imperial  sun  and  physical  sun  was  not  a  new 
theme.  Implicitly  this  idea  was  expressed  by  the  Asiatics  honoring  Caligula 
in  an  inscription:  "The  new  Sun,  Caius  Caesar  Augustus  Germanicus. .  .shall 

"  The  inscription  (CIG,  4923,  lines  3-4)  has  been  referred  to  very  often;  see,  e.g     Mfoldi    "Der 
Weltherrscher  in  der  IV.  Ekloge  Vergils,"  Hermes.  LXV  (1930),  370;  Sauter,  Der  romische  Kai'serkull 
bei  Martial  und  Statms  (Stuttgart,  1934).  Mof-,  vvho  (138-153)  has  collected  important  material  on 
the  emperor  as  sidus;  see  also  J.  Stroux,  "Die  Zeit  des  Curtius,"  Philologus,  LXXXIV  (1929),  233-251 
for  related  material. 

"  F.  Preisigke,  Sammelbuch  griechischer  Papyrusurkunden  (1915-1922),  I,  No.  4284,  13;  cf.Wilhelm 
Schubart,  "Das  Gesetz  und  der  Kaiser  in  griechischen  Urkunden,"  Klio,  XXX  (1937),  60. 

"  l"*-  Jouguet,  "L'arriv^e  de  Vespasian  a  Alexandrie,"  Bulletin  de  I'lnstitut  d'Egypte,  XXIV  (1942) 
21-23,  PSP-  25 ff'.  offers  a  reconstruction  of  the  defective  text  differing  from  the  one  suggested  by 
him  in  his  study  "Vespasien  acclame  dans  I'hippodrome  d'Alexandrie  (P.  Fouad  ler,  8),"  Melanges  de 
philologie,  de  litterature  et  d'histoire  anciennes  offerts  d  Alfred  Ernout  (Paris,  1940),  201-210.  See,  how- 
ever, .-Vndr^  .\ymard,  "L'investiture  divine  d 'Alexandre  et  I'investiture  imperiale  de  Vespasien  en 
Egypte,"  Revue  des  etudes  anciennes.  XLIX  (1947),  371  ff-,  who  callsjouguet's  reconstruction  very 
daring. 

w  Pliny,  Nat.hist..  XXXIII,  3  (41) ;  Paneg.Lat..  Ill,  2,  3,  ed.  by  Baehrens,  132,  20,  and  ed.  by  H.  Gutz- 
wiiler.  Die  Neujahrsrede  des  Konsuls  Claudius  Mamertinus  vor  dem  Kaiser  Julian  (Basel,  1942),  II,  3, 
p.  28;  also,  for  additional  places,  p.  no.  Further  Seneca,  Consolatio  ad  Polybium,  13,  i,  and  Hellfried 
Dahlmann,  "Studien  zu  Scnecas  Consolatio  ad  Polybium,"  Hermes,  LXXII  (1937),  3i2ff.,  3i5ff. 
Theodosius  was  a  novum  si'^ms;  cf.Claudian,  Detertio  consul.  Honorii,  i-joH..  ed.  by  M.  Platnauer  (Loeb), 
I,  282,  and  O.  Weinreich,  "Gebet  und  Wunder,"  Genethliakon  Wilhelm  Schmid  (Stuttgart,  1929)] 
239f.  See  also  the  studies  of  .\lf61di,  "Der  Weltherrscher  der  IV.  Ekloge  Vergils"  (supra,  note  77)! 
38off.,  and  of  Stroux  {supra,  note  77),  239. 

"  See,  for  the  "litany  style,"  .Mfcildi,  RM.  XLIX  (1934),  82 ff.,  and  L  (1935),  86ff. 

"*  Statins,  Silvae.  IV,  i,  3-4;  cf.  Sauter,  Kaiserkult  bei  Martial,  139.  The  connection  of  New  Year 
with  the  "rising"  of  the  ruler  is  of  course  very  old;  cf.  Baillet,  Le  regime  pharaonique.  I,  16  (note  3), 
379;  Engnell,  Divine  Kingship,  33ff,  63ff.,  and  passim;  also  C.J.  Gadd,  Ideas  of  Divine  Rule  in  the 
Ancient  Near  East  (London,  1948),  48 ff. 


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with  his  own  rays  shine  forth  together  with  [HeUos]."^^  And  a  similar  idea  is 
reflected  by  the  distichs  in  which  the  island  of  Rhodes  boasts  of  receiving 
equal  light  from  both  Helios  and  Caesar:  "I  was  near  extinguished  when  a 
new  ray  gave  light  to  me,  Helios,  and  aside  thy  brilliance  shone  Nero."**'*  Where 
a  v^os  "HAios,  a  Sol  novus,  makes  its  appearance  there  will  always  be  a  danger 
of  the  new  Sun  outshining  the  old  one,  and  of  the  new  Sun  being  acclaimed  as 
the  new  savior. ^^  Such  a  tendency  is  found,  for  example,  in  Curtius  Rufus. 
This  historian  sets  the  decline  and  disintegration  of  Alexander's  empire  against 
the  flourishing  empire  of  the  Roman  people.  The  latter,  he  writes,  was  safe 
owing  to  the  princeps  "who,  in  the  night  which  was  almost  our  last,  shone  forth 
like  a  new  luminary.  The  rise  of  this  star — by  Hercules ! — and  not  that  of  the 
sun  has  restored  light  to  a  world  in  darkness."**^  We  find  a  similar  compound 
of  ideas  in  Martial  also  who  asserts  that  even  if  the  emperor  arrive  by  night, 
his  Advent  will  be  daylight  to  the  people. ^^ 

In  the  course  of  time,  not  only  the  emperors,  but  most  of  the  gods  were 
identified  in  one  way  or  another  with  the  Sun-god,  or  themselves  became 
orientes.  lovi  exorienti  was  the  inscription  on  a  coin  distributed  by  Gallienus 
for  his  son  Saloninus,  who  thus  was  compared  or  correlated  with  the  new-born 
Zeus.ss  luppiter  Heliopolitanus,  the  Syrian  Sun-god,  likewise  indicates  a 
possibiHty  of  equalizing  two  deities.^^  Another  possibility  may  be  gleaned 
from  a  gem  inscription  in  which  Zeus  is  acclaimed:  "One  is  Zeus  Serapis,  the 
Holy  Name,  Zebaoth,  the  Light,  the  Rising  CAvaToAt))."  This  Zeus,  too,  is  a 
solar  deity,  he  is  Zeus  "HAios  Meya?  SEpd-rris,  a  cumulation  of  divine  names 
which  had  become  the  custom  in  the  syncretisms  of  late  antiquity  and  which 
also  the  Christian  God  was  not  spared.»»  In  the  so-called  Debate  on  Religion  at 
the  Sassanian  Court,  a  legendary  composition  of  the  fifth  century,  it  is  said  that 
an  inscription  was  dedicated  "To  Zeus  Helios  the  great  godking  Jesus  (Aii  'HAico 
eecp  peyaAcp  BaaiAsT  'lriCToO)."»i  The  rising  Helios  in  imperial  attire  within  the 

"3  Dittenberger.  Sylloge  Inscripi.  Graec.  (3rd  ed.,  1917),  No.  798;  (2nd  ed.).  No.  365.  Cf.  Weinreich 
ARW,  XVIII  (1915),  35,  note  i;  Sauter,  Kaiserkult.  141;  H.  P.  L'Orange,  "Sol  invictus  imperator  " 
Symbolae  Osloenses,  XIV  (1935),  103;  P.  Kiewald,  De  hnperatorum  Romanorum  cum  certis  dis  et  com- 
parahone  et  aequatione  (Halle  Diss.,  1912),  314^-.  note  90 ff.,  for  Nero  and  other  emperors  as  "new  suns  " 
See  for  related  material  (auvavaAdpiTeiv  etc.),  Papyri  Osloenses.  ed.  Eitrcm  and  .\mundsen  (Oslo 
1936).  in,  188,  No.  126,  4,  also  II,  128,  No.  52,  18. 

»*Anthologia  Palatina.  IX,  178  (Antiphilus  of  Byzantium);  Sauter,  Kaiserkult,  141-  L'Orange 
op.  ctt  103,  note  3.  and  his  -Domus  aurea^Der  Sonnenpalast,"  Seyta  Eitvcmiana  (Oslo,  1942)  09f  ' 
Kiewald,  op.  ctt.,  278.  ■     j-^  i-     j  ■. 

"See,  for  vtes 'HXios  in  general,  A.  D.  Nock,  "Notes  on  Ruler-Cult,"  JHSt,  XLVIII  (1928)    ^^fl 
liy  the  fourth  century  not  only  emperors  but  others  as  well  became  "Second  Suns"-  see  W  Vol'lgraff* 
Argos  dans  la  dependance  de  Corinthe  au  IVe  siecle,"  fAntiquite  classique.  XIV  (1945),  8    for  one 
Ka  linikos  (Ka.bel,  hptgr..  906)  whom  the  poet  called  yafns  'iXXuplSoj  SEurepov  f,^A,ov. 

Curtius  Rufus,  X,  9,  3;  cf.  J.  Stroux,  "Die  Zeit  des  Curtius,"  Plulologus.  LXXXI V  (1929)    z^Sfi 

Tnd  otZs "Am^'X      •"t^'-?,7,!f  ^'^r ' ^!"^'  "^'^''  "'^^  ^^^^^"'^^l  '"/'-■  ^^ °«-«d  by  Menande'; 
ana  otners,  Alfoldi,     Der  neue  Weltherrscher,     381. 

"  Martial,  VIII,  31  f.;  Sauter,  Kaiserkult,  139. 
sth  Ser^  vnf  TX  '/^'^^-^""^'^^••'"g  ^^  ^he  Victories  of  the  Emperor  Gallienus,"  Numismatic  Chromcle, 
^    «»  ,        T  *^  "*''  ^~°^-  ^^^  ^^^°  "^y  P^Per  on  Puer  exoriens  [supra   note  x) 

lor  Juppiter  Heliopolitanus,  see,  e.g.,  Cook,  Zeus.  I   551  ff 

»«  Erik  Peterson,  Els  ©Eds  (Gottingen,  1926),  238,  note  2,  and  239. 
=.,.1,         ^'  ^'■^^''®'  ^"^  '"S^^annte  Religionsgesprach  am  Hofe  der  Sassaniden   (Texte  und  Unter- 
suchungen  zur  altchnstlichen  Literatur  und  Gesch.chte,  N.  F.  IV:  3,  1899)    18    v  F    I    DSlger    5o/ 
Salutts.  60;  Franz  Boll,  Aus  der  Otjenharung  Johaririis  (Stoicheia,  I  [Berlin    1914])^  48.'  ^'         ^ 


ORIENS  AUGUST!  -  LEVER  DU  ROI 


135 


zodiac  would  finally,  in  the  Middle  Ages,  display  the  features  of  a  Chris 
Helios  (fig.  29). »2 

Oriens  was  drawn  eventually  even  into  the  orbit  of  demonology.  For  as  one 
of  the  four  regions  of  the  world,  Anatole  became  a  demon  in  her  own  right 
who  came  to  be  identified  with  the  archangel  Uriel  ;^wa/o/^  was  also  the  name 
of  one  of  the  ten  Horae,  and  a  strange  coin  or  tessera  of  the  third  or  fourth 
century  a.d.  shows  on  one  side  the  radiate  head  of  Sol  with  the  inscription 
Anatole  and  on  the  other  side  the  Moon  with  the  insription  Dysis  (fig.  6).»3 
But  within  this  orbit  it  was  probably  more  consequential  that  the  Scarab,  the 
sacred  sun-beetle,  was  invoked  as  "the  Lord  of  the  Rising  (SeaT^o-rns 
•Av[ToX(ris]),"  or  as  "Titan  rising  firelike  (Titqv  -rrupoeis  dvaT[i]Aas) . "  For  the 
Scarab  was  quite  often  identified,  for  example  by  St.  Ambrose,  with  the  new- 
Sun,  the  Sol  salutis,  that  had  risen  over  the  Roman  world,  that  is,  with  Christus 
Oriens  ex  alto.^* 

2.  Christus  Oriens 

The  solar  names  and  attributes,  images  and  predications  of  Christ  in  the 
early  Christian  centuries  have  been  discussed  so  profoundly  by  Hermann 
Usener,  and  have  been  treated,  in  more  recent  years,  so  exhaustively  by  the 
late  Franz  Joseph  Dolger  that  relatively  few  words  will  suffice  to  indicate  the 
character  of  the  Oriens  idea  in  its  Christian  garb.^^ 

Oriens  as  a  name  or  predication  of  Christ— On^ws  Christi  figura  writes  Tertul- 
lian»8--is  not  derived  from  the  Roman  cult  of  emperors,  but  from  the  same 
Near  Eastern  stratum,  the  same  world  of  thought  from  which  also  the  Oriens 
Angusti  idea  had  borrowed  its  strength,  that  is,  from  the  solar  theologies  at 
large  which  were  characteristic  of  the  Near  Eastern  religions.  The  language  of 
some  of  the  books  of  the  Old  Testament— Psalms,  Wisdom  of  Sirach,  Prophets 
—was,  like  every  cultual-poetical  language,  rich  in  solar  metaphors  and 
similes  describing  the  exalted  nature  of  the  divine  or  the  glorified  human 

"  Paris,  Bibl.  Xat.,  MS  lat.  7028,  fol.  154;  H.  Bobcr,  in  Journal  of  the  Warburg  and  Courtauld 
Institutes.  XI  (1948).  14.  note  3,  and  pi.  in,  b.  See  also  Brendel,  Die  Antike.  XII,  280;  Hugo  Buchthal, 
The  Miniatures  of  the  Paris  Psalter  (London,  1938),  pi.  x.xvii,  fig.  87. 

»^  Preisendanz,  "Oriens,"  RE,  XVIII  :i,  col.  1031;  A.  De'latte,  La  catoptromancie  grecque  et  ses 
derives  (Li^ge,  1932).  80,  98,  103.  P.  Perdrizet,  "L'archange  Ouriel,"  Seminarium  Kondakovianum.U 
(1928),  241  ff.,  does  not  seem  to  consider  this  function  of  Uriel.  Anatole  was  also  the  name  of  one  of 
the  ten  Horae;  Peterson,  op.  cit.,  238,  note  2.  The  bronze  coin  or  tessera,  in  the  British  Museum,  will 
be  discussed  by  Professor  Andreas  Alfoldi  who  generously  placed  the  photographs  at  my  disposal  for 
publication,  See,  however,  fig.  3  for  Sol  on  the  obverse  and  Luna  on  the  reverse  of  Republican  coins. 

"  K.  Preisendanz,  Papyri  graecae  magicae  (Leipzig-Berlin,  1928),  I,  40  (P.  Ill,  210).  See  also  p.  26 
(P.  II,  108),  where  Apollo  as  a  child  sitting  on  the  lotos  is  called  Antoleus.  For  St.  .Ambrose,  see  F.  J. 
Dolger,  "Christus  im  Bilde  des  Skarabiius."  Antike  und  Christentum.  II  (1930),  230-240,  and  III 
(1932),  28off.  See  also  G.  Foucart,  "Sur  quelques  representations  des  tombes  thebaines,"  Bulletin  de 
I'Institut  Egyptien,  XI  (1917).  292ff. 

»»  Usener,  Weihnachtsfest.  357 ff.;  Dolger,  Sol  Salutis.  esp.  I49ff.,  and  the  same  author's  Die  Sonne 
der  Gerechtigkeit  und  der  Schwarze  (Miinster,  1918),  in  addition  to  the  numerous  passages  in  the  volumes 
of  his  Atitike  und  Christentum.  esp.  vol.  VI  (1950),  1-56,  the  discussion  of  a  Christmas  sermon  of 
Bishop  Zeno  of  Verona. 

»•  Tertullian,  Adv.  Valentinianos.  c.  3,  i,  ed.  by  Kroymann  (Corpus  Christianorum .  ser.  lat.,  II  [1954!), 
754! :  Amat  figura  spiritus  sancti  orientem,  Christi  figuram.  Cf.  Dolger,  Sol  Salutis.  143. 


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137 


being.  It  is,  however,  a  different  matter  to  compare  tlie  deity  with  Sun  and 
Sunrise,  or  to  isolate  the  "Rising"  and  use  it  as  a  name  of  a  divine  being  or 
a  divine-humane  savior.  Oriens  as  a  name  goes  far  beyond  a  simple  comparison 
or  metaphor.  The  verses  of  Zacharias  announcing  the  theophany  of  one  called 
Oriens  ('AvaToAr))  have  therefore  startled  the  exegetes,  Jewish  as  well  as  Chris- 
tian, from  early  times.  "Behold,  I  will  bring  my  servant  the  Orient"  (Zach. 
3:  8),  and  "Behold  a  man,  the  Orient  is  his  name"  (Zach.  6:  12) — these  are 
prophecies  which  have  indeed  a  strange,  even  mysterious  ring.  And  these 
prophecies  were  echoed  by  the  Gospel  of  St.  Luke  which  claimed  their  fulfil- 
ment: "The  Orient  from  on  high  [Oriens  ex  alto,  dvaToAfi  i%  Ovfous)  hath 
visited  us"  (Luke  i:  78).  On  the  other  hand,  the  decisive  impulses  for  develop- 
ing a  Christian  "solar  theology"  came  from  the  portentous  words  of  Malachi, 
(4:  2):  "Unto  you  that  fear  my  name,  the  Sun  of  Righteousness  [Sol  iustitiae 
"HAios  Tfis  SiKQioauvris)  shall  arise."  At  an  early  date  the  notions  of  "Sunrise" 
and  "Sun  of  Justice  (Righteousness)"  have  been  linked  together;  for  already  in 
the  Hellenistic- Jewish  Book  of  Wisdom  (5,  6)  those  two  predications  appeared 
jointly,  if  in  the  form  of  a  lament  at  their  disappearance.*'  And  with  reference 
to  Christ,  both  Oriens  and  Sol  iustitiae  will  be  found  in  conjunction,  over  and 
over  again,  in  the  liturgies  or  liturgical  chants  of  the  Church,  since  these  two 
names  seemed  so  fittingly  to  support  and  interpret  each  other. 

Whereas  the  divine  name  of  Sol  iustitiae  imposed  no  material  difficulties  to 
either  understanding  or  interpretation,  many  exegetes  have  been  puzzled  by 
the  word  Oriens  as  the  name  of  a  man,  that  is,  of  the  Messiah.  And  difficulties 
indeed  there  are.  In  the  Hebrew  text  of  Zacharias  3:  8,  and  6:  12,  we  find  the 
woTdZemach  where  the  Vulgate  has  Oriens.  The  Hebrew  Zemach  has  the  mean- 
ing of  "offspring"  or  "shoot,"  which  the  King  James  version  of  the  Bible 
renders  correctly  with  "branch,"  whereas  Luther  leaves  the  Hebrew  word 
untranslated.  Zemach,  all  by  itself,  has  no  connection  with  solar  ideas  or  solar 
theology  although  the  word  in  the  sense  of  "sprouting  forth"  would  have  the 
connotation  of  "appearing"  as  well.  The  solar  connotation  oi  Zemach  came  in 
only  through  the  translation  of  the  Seventy.  For  they  translated  Zemach  by 
dvaxoAri,  which  renders  the  meaning  correctly  if  it  is  used  in  the  sense  of  ortiis, 
"offspring."  But  the  Greek  word  dvaToAri  meant  also,  and  above  all,  the 
"Rise"  or  "Sunrise,"  and  therewith  the  solar  implications  superseded  the 
original  meaning  and  finally  became  dominant.  In  short,  the  "offspring  of  the 
House  of  David"  or  the  "offspring  of  the  Highest"  finally  became  an  Oriens  ex 
alto,  a  "Sunrise  from  on  high"  (Luke  i:  78),  a  phrase  the  sense  of  which,  to 
say  the  least,  is  not  self-evident.** 

Moreover,  Oriens  or  Anatole  meant  not  only  the  Rise  or  Sunrise,  but  also 
the  East,  the  geographic  "Orient."  Hence,  the  interpretation  of  the  verses  of 

»'  Sapientia.  5:6:   . .  .et  iustitiae  lumen  nan  luxit  nobis,  et  sol  intelligentiae  non  est  orlus  nobis    Cf 
Dolger,  op.  cit.,  155. 

•»  The  problem,  far  more  complicated  than  indicated  in  this  paragraph,  has  been  clarified  and 
efficientlydealtwithby  Adolf  Jacoby,  •"AvorroXTi  i^  Oyous.'Z.Vnr,  XX  (1921),  205-214;  cf.  Hermann 
U  btrack  and  Paul  BiUerbeck,  Kommentar  zum  Neuen  Testament  aus  Talmud  und  Midrasch  (Munich 
1924),  II,  113  (on  Luke  1:78).  ^ 


Zacharias  and  Luke  in  the  sense  of  "eastern  direction,"  that  is,  in  that  of  the 
"Orientation"  of  prayers  (in  the  kiblah  sense),  is  found  in  the  early  Christian 
centuries  as  often  as  in  the  sense  of  the  Rising.** 

The  ambiguity  of  the  word  dtvaToXf)  as  a  rendering  of  the  Hebrew  Zemach  is 
responsible  for  the  bewilderment  of  the  early  exegetes  and  for  their  interpreta- 
tion of  "Rising"  in  the  sense  of  a  solar  metaphor.  Writes  Philo: 

A  strange  thing  to  call  a  man  the  "Rising."  But  if  you  mean  that 
immaterial  man  who  is  identical  with  the  image  of  God,  you  will  admit 
that  "Rising"  was  happily  given  to  him  as  a  most  appropriate  name. 
For  the  Father  of  All  made  him  to  rise  as  his  eldest  Son,  whom  else- 
where he  named  "First-Begotten. "^''^ 
Philo  was  still  aware  of  the  fact  that  Anatole  originally  had  the  meaning  of 
off-spring  or  shoot,  and  therefore  identified  the  "Rising"  with  the  "First- 
Begotten  of  the  Father  of  All."  And  yet,  Philo  too  in  some  respects  initiated 
the  future  solar  identification  of  the  one  whose  name  was  "Rising."  He  identified 
him  with  the  First-Begotten  and  thereby  with  the  Logos.  For,  writes  Philo  on 
another  occasion,  the  Logos 

does  not  set  nor  is  he  extinguished;  but  the  right  Logos  (dpSos  Aoyos) 
is  ever  born  to  rise,  and  just  as  (so  I  believe)  the  rising  sun  fills  the 
darkness  of  the  ether  with  light,  so  will  virtue,  when  it  ri.ses  in  the  soul, 
illuminate  its  darkness  and  disperse  the  dense  shadow. ^"^ 
In  this  case  the  Anatole  of  the  Logos  ("charioteer  of  the  powers")i<'2  is  com- 
pletely interiorized  and  allegorized:  a  permanent  birth  and  permanent  rise  of 
the  "right  Logos"  in  the  human  soul.  By  thus  spiritualizing  the  notion  of 
"Sunrise"  Philo,  here  as  well  as  in  so  many  other  respects,  has  prepared  the 
work  of  the  Christian  exegetes  at  Alexandria. ^"^ 

The  non- Jewish,  Christian  interpreters  of  Scripture  understood  the  "Rising" 
as  a  special  name  of  Christ  in  accordance  with  the  Gospel  of  St.  Luke,  but 
the  possibilities  of  allegorical  interpretation  remained  very  numerous  even  on 
that  basis.  Anatole  might  be  taken  as  an  admonition  to  turn  towards  the  East 
at  prayers.^"*  It  might  be  understood  as  an  indication  of  the  rising  from  the 
tomb,  the  Resurrection  of  Christ  as  well  as  man's  resurrection  from  spiritual 
or  factual  death. ^^^  It  might  further  be  understood  as  a  reference  to  baptism, 
the  rebirth  of  man  and  his  new  rising,  an  interpretation  favored  perhaps  Ijy  the 
fact  that  baptism  in  the  Greek  language  was  called  9coTiCTii6s,  "illumination," 

»"  For  the  orientation  of  prayers,  see,  in  addition  to  Dolger,  op.  cit.,  20 ff.,  and  passim,  the  study 
by  Erik  Peterson,  "La  Croce  e  la  preghiera  verso  Oricnte."  Ephemerides  Liturgicae,  LIX  (1945),  52-68, 
and  the  first  two  chapters  of  his  Frithkirche,  Judentum  und  Gnosis  (Koine-Freiburg-\ienna),  1-35. 

"»  Philo,  De  confusione  liveuarum,  14,  62,  ed.  by  Cohn-Wendland,  II,  241,  14!?.;  cf.  Dolger,  i5of. 

•"'  Philo,  Legum  allegoria,  I,  46,  ed.  by  Cohn-Wendland,  I,  72,  i-jfi.;  Dolger,  150,  note  2. 

'"  Dolger,  Antike  und  Christentum,  VI,  53,  note  18;  H.  A.  Wolfson,  Philo  (Cambridge,  1948),  I, 
345,  cf.  236. 

'*'  For  a  peculiarly  interesting  example — one  out  of  hundreds — of  this  influence,  see  I-"rederic 
Tailliez,  "BoctiAiki^  6665: :  Les  valeurs  d'un  terme  mystique  et  le  prix  de  s<ja  histoire  litterale,"  Mis- 
cellanea Guillaione  de  J  erphanion  (Orientalia  Christiana  Periodica,  XIII  [Kome,  1947),  309  tf. 

"•*  Supra,  note  99. 

•'"  Dolger,  Sol  Salutis,  364  ff.,  and  passim.  The  same  idea,  of  course,  is  found  time  and  time  again 
in  the  Byzantine  books  of  the  divine  service;  see,  e.g.,  Oktoechos  (Kome,  1886),  139:  Ik  toO  "Ai5ou  ydp 
dv^EiXev  'HXtos  Sikoioctuvtis,  Xpiorbs  . . .  oupdvios  fivOpwiros,  Qtb^  k-n\yi\o%. 


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ORIENS  AUGUSTI  -  LEVER  DU  ROI 


139 


and  that  this  hght-metaphor  was  easily  hnked  to  the  rise  of  Light  in  inner 
man  as  well  as  to  the  "Rising  of  the  Sun  of  Righteousness."  Furthermore. 
dvoToXfi  could  be  synonymous  with  "Advent"  or  "Epiphany,"  that  is,  a 
person's  solemn  appearance,  just  as  actually  an  Adventus  Au^usti  coin  might 
show  the  design  of  Oriens?^  In  this  meaning  the  notion  of  "Rising"  was  hnked 
to  the  Advent  of  Christ  in  the  flesh  and  to  his  Manifestation  on  the  Jordan, 
that  is,  to  the  feasts  of  Christmas  and  Epiphany;  and  we  shall  find  that  the 
solar  predications  of  Christ,  including  that  of  Oriens,  abound  on  those  two 
feast  days  in  the  prayers  and  chants  of  the  Church. 

We  notice  that  a  vast  complex  of  associations  was  released  by  the  word 
Oriens  or  Anatole  as  a  name  of  Christ.  Many  of  these  associations  may  be 
traced  back  to  the  Alexandrians.  Clement  of  Alexandria  was  not  ver\'  specific 
about  the  meaning  which  Oriens  imphed.  \'aguely,  however,  he  combined  it 
with  man's  spiritual  "birth-day,"  his  illumination  and  presumably  rebirth  by 
baptism.^"'  To  Origen,  who  discussed  the  epithet  on  several  occasions,  Oriens 
in  the  sense  of  Christ-Logos  became  the  mediator:  "He,  Christ,  is  the  man 
whose  name  is  Orient,  who  has  been  made  the  mediator  between  God  and 
men."  Origen  concluded  that  the  faithful  should  turn  at  prayers  to  the  East 
from  where  the  Sun  of  Righteousness  ever  rises  and  where  the  true  Light  is 
bom.^"**  In  connection  with  the  orientation  of  prayers  Origen  quoted  the  appel- 
lative of  Oriens  several  times.^"*  On  one  occasion,  however,  he,  too,  linked 
Oriens  to  baptism  and  connected  that  name,  at  least  imphcitly,  with  the 
mediatorship  of  Christ.  For,  in  a  remarkable  passage,  he  explained  that 

every  one  who,  in  one  way  or  another,  receives  the  name  of  Christ, 
becomes  also  a  son  of  the  Orient.  For  so  it  is  written  about  Christ: 
"Behold  a  man,  the  Orient  is  his  name."  WTiosoever,  therefore,  has 
received  the  name  of  Christ,  is  said  to  be  a  son  of  the  Orient. ^i'* 
In  other  words,  the  one  baptized  being  a  son  of  the  Sunrise  becomes  one 
ovvavoTEAXcov,  one  "rising  together"  spiritually  with  Christ-Hehos,  the  media- 
tor, just  as  the  Persian  kings  and  Roman  princes  were  said  to  be  "rising 
together"  with  their  solar  deities.  A  related  idea  had  been  expressed  pre\-ious- 
ly  by  Ignatius  of  Antioch  who  visualized  death,  especially  the  death  of  the 
mart>T,  as  a  "Sunrise,"  a  rising  towards  hfe  eternal  and  therewith  towards 
glorification  with  Christ.^"  In  the  Byzantine  service  on  December  27th,  the 
protomartyr  St.  Stephen  is  actually  praised  because  the  memory  of  his  mar- 

1"*  On  a  coin  of  ^■lctormus;  cf.  Cohen,  V].  69,  6;  Usener.  W ethnachisfest .  358. 

1""  Clement,  Strcmiaia.  VII.  7,  ji  43.  6.  ed.  by  Stahlin,  ]1],  32 :  hrei  bi  yEueeWou  f\vipa$  ekcbv  f|  &vaToM] 
. . .  (SXXd  Kni  Tols  iv  dyvoit?  KuXtv5ouwEwois  dwrreiXEv  yvucJEus  dXTi9Eioi5  nuipa  Kara  Aoyoi'  toO  f)Xiou  -rrpos  tt|v 
icjeivTiv  &varo'Ki]v  ai  euxai.  Cf.  Dolger.  1446.  (with  note  2.) 

i""  Ongen.  Jn  Lcvittcum  homiha.  IX.  10,  ed.  by  Baehrens  (GCS),  VI,  438,  zofi:  Ah  orienii  hbt  ptopi- 
tiatu)  venit:  tnde  est  emm  "nr  cui  Onens  nomeri  est"  (Zach.  6:12),  qui  mediator  Det  et  hominuw  (1  Tun 
2:5)  iactus  est."  Cf.  Dolger,  168.  note  i, 

^i*  Dolger,  op.  cit..  1576. 

"0  Origen,  In  librum  Judtcum  homiha.  VIII,  1-2  ("Defilus  (.>nfiitii;    ;.  ed  -'.-ns,  VJ  J ,  p.  309, 

1 3  ff :  Omnis  guts  supei  se  quoqur  mode  nomen  suscepit  Christi.  fihus  efjintui  (>i  .  evrm  scriptum 

est  de  Cknsto:  "Ecce  nr.  Orzens  ncyme-n  est  illi."  Qmsquc  erpo  Christi  suscepit  nomev.  fiHus  esse  dicttur 
Orientis.  Cf.  Dolger.  362  Per  Lundberg,  La  typohpic  baptismak  dans  Vancievne  iplise  (.'Vcta  Seminaru 
Neotestamentici  I'psalensis,  X  ;'l'ppsala.  1942").  174,  note  i. 

1"  Dolger,  Sol  Salutis.  146,  on  the  "birthdays"  (i.e.  days  of  their  death)  of  the  martyrs,. 


t\Tdom  "rises  together"  with  Christ  and  "shines  forth  together"  with  the 
spiritual  Sun. ^^2 

A  different  aspect  of  the  spiritual  Sunrise  was  introduced  by  Justin  the  ^Lartyr, 
namely,  the  competition  with  the  physical  sun.  No  one,  writes  he,  has  suffered 
death  for  the  physical  sun,  whereas  many  have  suffered  death  for  Christ. 

For  more  fiery  and  radiant  than  the  sun  in  all  its  power  is  His  Logos 

of  truth  and  wisdom,  who  dives  into  the  depths  of  heart  and  mind. 

Therefore  speaks  the  Logos:  "Above  the  sun  there  shall  rise  liis  name 

[Ps.  71:17],"  and  Zacharias  speaks:  "The  Rise  is  his  name.""^ 

Justin  deduced  the  superiority  of  the  spiritual  Sun  over  the  natural  sun  from 

the  Psalter  (Ps.  71 :  17) ;  but  similar  conclusions  were  reached  also  by  different 

means.  Justin's  contemporary,  Mehto  of  Sardes,  writing  under  Marcus  Aure- 

hus,  visualized  the  Baptism  of  Christ  in  the  Jordan  as  the  "bath  of  Helios": 

the  Sun-God's  fiery  disk  dips  into  the  sizzling  sea,  not  to  be  extinguished,  but 

to  appear  to  the  dead  in  Hades,  and  then  to  rise  again,  refreshed  and  more 

beautiful,  the  next  morning  in  order  to  appear  to  the  quick.  He  is  truly  the 

invictus,  for  when  he  leaves  the  quick  on  earth  he  appears  to  the  dead,  and 

vice  versa: 

The  King  of  Heaven  and  Lord  of  the  creation,  the  Sun  of  the  Rising 
(fiXios  dvorroAfis),  appearing  to  the  dead  in  Hades  and  to  the  quick  on 
earth,  he,  this  only  Sun  (uovos  fiXios  ov>ro5) ,  has  risen  from  the  heaven 
(dvETEiXEv  drr'  oOpavoO;  Luke  i:  78:  i%  uyous).^^^ 
Here  Christ-Hehos  not  only  has  echpsed  the  physical  sun,  but  claims  exclusive- 
ness:  he  is  the  "only  Sun." 

This  tendency  grew  stronger  when,  in  the  fourth  century,  the  Christian 
authors  built  up  their  genuine  "solar  theology'"  which  they  set  over  against 
the  pagan  solar  henotheism  of  Sol  invictus. 

He  is  our  God He  is  our  Sun,  the  true  Sun,  who  by  the  plentv  of 

his  clarity  (claritatis  suae  de  plenitudine)  hghts  the  most  brilliant  fires 
of  the  world,  kin  to  the  stars  and  shining  poles.  He,  that  has  been  set- 
ting once,  has  risen  again  [ortus  est  rursum)  so  as  never  to  repeat  his 
setting."^ 
In  this  fashion,  the  new  Sol  iustitiae  has  been  opposed  to  the  pagan  Sol  invic- 
tus by  Zeno  of  Verona.  The  "Rising"  was  stressed  even  more  emphaticallv 
by  Maximus  of  Turin  when  he  discussed,  in  a  Pentecost  sermon,  the  meaning 
of  Sunday. 

The  Day  of  the  Lord  is  so  venerable  to  us  and  so  solemn  because  on  it 
the  Saviour,  like  the  rising  Sun  {salvator  velut  sol  oriens),  has  rent  the 
darkness  of  the  nether  world  to  shine  forth  with  the  light  of  resurrec- 

^"  Menaia  (Rome.  1S89),  II,  700  iavvctvarriXKoxmav  .  .  .  Ti)v  ivbo^cv  toO  ripajToudpTupo?  uvriyrivj ;  702 
('Ds  doTTip  90Eiw6s,  OTiuEpov  ovvE^EXocuyt  T^  yEvnioti  XpioroO,  6  ripwroudprus  Zte^ovo?!.  See  also  A.  Vac- 
cari,  "Frammenti  Ijturgici  greci,"  Roma  t  VOruntt,  \\\  (1917),  147  (fol.  14,  Imes  ijfi.). 

1"  Justm,  Dialogus  cum  Tryphone,  121,  i,  Migne,  PG,  VI,  col.  757AB;  Dolger,  Sol  Salutis,  i53f. 

11*  Dolger,  op.  cit.,  156,  note  3,  brings  the  full  text;  see  alscj  Antike  und  Christentum,  VI,  9. 

1"  Zeno,  II,  tract. IX  (De  nativitate  Domim  et  maustaU),  ed,  Migne,  PL,  XI,  417H;  Dolger,  Antihe 
und  Christentum .  \l,  1  ff .  This  passage,  and  the  places  quoted  in  the  next  notes,  have  all  been  discussed 
by  Usener,  306ff.,  as  well  as  by  Dolger. 


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ERNST  H.  KANTOROWICZ 


tion.   And  therefore  this  day  is  called  by  the  people  of  the  profane 

world  "Sun-day"  because  Christ,  the  risen  Sun  of  Righteousness  (ortus 

sol  iustitiac  Christus),  has  given  splendor  to  that  day.^^* 

Maximus,  who  in  his  exegesis  of  Sunday  followed  St.  Jerome.i^'  eventually,  in 

a  Christmas  sermon,  confronted  the   "New  Sun"  with  the  old  physical  sun. 

The  latter  was  subservient  to  the  former,  because  the  clantas  of  the  physical 

sun  was  renewed  orientc  Salvatore:  it  was  obscured  at  the  agony  of  Christ, 

but  on  the  day  of  his  birth  it  shone  with  greater  than  usual  splendor  and  it 

may  have  risen  even  earlier  than  usual. ^^^  And  where  there  is  a  "New  Sun," 

there  must  also  be  an  "old  sun."  Hence,  Maximus  continued: 

The  old  sun  I  would  call  the  sun  of  this  world,  the  sun  that  suffers 

eclipses,  is  excluded  by  walls,  is  obscured  by  clouds.  Old  sun  I  would 

call   the  one  subject   to  \'anity,   fearing  corruj)tion,   apprehensive  of 

judgment Old  I  M^ould  call  the  one  lending  its  hght  to  the  crimes  of 

men,  the  one  that  does  not  flee  adultery  nor  shuns  homicide. i^" 

The  sun  of  the  oricns  Dominus,  however,  knows  no  defection— on  the  contrar\^ 

the  New  Sun  is  bound  to  wax  while  its  forerunners  decrease.i^o  And  in  a 

Christmas   sermon   attributed   to    St.   Augustine  the    Sun   of   Righteousness 

becomes  a  "sun  without  setting,  ever  living  and  unaffected  by  the  fall  of  the 
hours.  "121 

We  are  famihar  with  this  phraseologv'.  The  rising  of  the  sol  novus,  the  clantas, 
the  deus  crescens,  the  inferiority  of  the  old  sun  as  compared  to  the  new,  the 
permanent  rise  of  the  sun  without  setting,  even  the  impatience  of  the  physical 
sun  which  is  willing  to  rise  a  little  earher  on  the  ruler's  adventus:  all  these"  were 
metaphors  and  images  which  the  ruler  in  hea\'en  shared  with  the  ruler  on 
earth.122  These  images,  however,  appear  in  a  new  spiritualized  setting,  indeed 
so  spiritual  that  the  Christian  authors  felt  no  embarrassment  at  saluting 
Christ,  the  New  Sun,  as  Apollo— saZw,  o  Apollo  vere^^'-^—or  styling  him  Phaeton 
Christos.^^ 

At  the  same  time  the  poets  of  hturgical  chants  expounded  the  theme  of 
the  Oriens,  especially  in  connection  with  Christmas  and  the  "Feast  of  Lights," 
Epiphany ,125  but  also  on  other  feasts  of  the  liturgical  year.  E^'en  a  rapid  and 

"^  Maximu.s  of  Turin.  Homilia  LXl .  Migne.  PL,  L\'I1,  col.  371 ;  Dolger,  Sol  Salutis    3-1   note  s 
"'  Dolger,  371,  note  1.  '  -^ 

Z  P^«"'l"--;^"^'^'-f  f  (  =  Maximus  of  Turin)  Sernw  VI.  Migne,  PL,  X\-IL  col.  635;  Usener   366 
^^  Ibid.,  col.  636B.  •  J     ■ 

1*'  IbuL.  col.  637. 

"■Augustine.  'Sermo  CXCl.  Mign.,  PL,  XXXVIH,  col.  1004,  note  1.  an  exordium  at  variance 
with  the  normal  text  transmission,  which  Usener,  366,  has  put  m  its  correct  place;  cf.  Dolger  'intikc 
Uftd  Christentuni.  \1,  2.  niiti;  12.  ' 

'--  Supra,  notes  04f.,  83-87. 

"■'  Paulinus  of  Nola,  Carmina.  II,  51,  ed.  Hartel  {CSEL.  XXX),  344 

!!r  f"P^'"™'"s,  Anacreontica.  \.  100  (In  Christ,  haptismum],  Migne.  PG.LXXXVIL  7,   col  ^t^ooB 

"  I_or  the  emphaticalh-  solar  character  of  tlxe  Ep,phan>-  service,  see  the  short  but  teilmg  pages 
by  I.  Hendrix,  La  fete  dc  1  Lpipliame,"  Congres  d'histmre  du  ChnsHamsmc:  Juhilr  Alfred  Lm,v 
(Pans-Amsterdam.  1928),  II,  2:3-228.  For  the  very  complex  problem  of  Christmas  and  Epiphany 
and  for  the  modem  literature  on  the  subject,  see  Dom  Anselm  Strittmatter.  "Christmas  and  Epiphany  ^ 
Origins  and  Antecedents,"  Thoiv^ht.  ^Xll  (1942),  600-620;  Hieronvmus  Irank  "Eriihgeschichte 
::S.l^Xn1:;;r^^"  Weihuachtsfestes  im  Lichte  neuerer  Porschung."  AroHi.  fi^ LUu.,.e. 


ORIENS  AVGUSTI  -  LEVER  DU  ROl 


141 


superficial  leafing  through  the  service  books  of  the  Eastern  Church  reveals  to 
what  extent  the  idea  of  Christus  oriens  has  pervaded  liturgical  thinking. i2« 
Not  to  mention  commonplaces  referring  to  Christ  as  the  rising  light  of  the 
worid,  the  same  idea  was  described  more  specifically,  for  example,  in  a  Hirmos 
which  was  sung  on  December  the  23rd:  "Jesus,  Light's  leader,  is  risen"  (6 
{pcoToycjyog  'hcroOs  avcrriTdXy^v)  }^'  whereas,  in  the  preceding  Kontakion  of  the 
Saints,  the  martyrs  were  said  to  "shine  forth... hke  luminaries  acting  as 
vicars  of  the  Sun."i28  Or,  on  Christmas  day,  the  E xaposteilarion  brings  the 
image  of  the  Oriens,  by  means  of  a  variant  of  Luke  i :  jS,  in  the  superlative: 
"He  has  x-isited  us  from  on  high,  our  Sa\iour,  the  Rise  of  Rises"  (^TreCTK^vf^crro 
fipas. .  .'AvcrroXf)  avarrohCbv)  }^  On  Epiphany,  we  find  in  a  prayer  of  Sophronius, 
among  the  famous  "To-day"  acclamations,  the  versicle:  "To-day  the  Sun  with- 
out setting  has  risen,  and  the  universe  has  been  illumined  by  the  Light  of 
the  Lord.  "13"  A  short  chant  at  the  end  of  \'espers  on  Christmas  day  refers  to 
the  Magi : 

Thy  birth,  Christ  our  God,  has  risen  for  the  universe  as  a  light  of 
spiritual  knoM'ledge;  for  through  thy  birth  the  star- worshippers  have 
learned  from  the  Star  to  prostrate  themselves  before  thee  as  before  the 
Sun  of  Righteousness  and  to  recognize  thee  as  the  Sunrise  from  on 
high.131 

This  is  the  same  event  which  prompted  Petrus  Chr\'sologus  to  remark  point- 
edly:  Ah  Oriente  ad  Orientem  veniunt  magj}^^ 

Likewise  on  Christmas  Day,  a  Troparion  was  sung:  "Thou  hast  risen, 
Christ,  from  the  Virgin,  thou    intelligible   Sun  of  Righteousness"    (dvrreiXas 

XpiCTTE     EK     napQEVOU,      VOTITE     "HAlE     Tf|S     BlKQlOOVVTls)  .1*^    lu    f aCt ,      thc     Wholc     COm- 

pound  of  images  related  to  Chnsius  oriens  has  been  attuned,  above  all,  to 
the  cult  of  the  Mrgin  Mary.  The  Greek  avarriXKEiv  like  the  Latin  orirj  has,  of 
course,  also  the  meaning  of  "being  bom,"  or  E^avoTEXXEiv,  of  Latin  exoriri, 
"to  issue  from."  This  is  undoubtedly  the  meaning  when  a  Sticheron  on  Decem- 
ber 24th  praises  the  Virgin  because  "from  thee  there  has  risen  our  Lord"  (fee 
croO  dvcn-EToAKEv  6  Kupios  fiucjv).i34  Qn  the  other  hand,  however,  the  solar  con- 
notations of  the  "Rising"  are  unmistakable  when  it  is  said  that  the  "Sun  of 

»»•  The  Menata  are  quoted  according  to  the  EdU%o  Romana  (Rome,  1892).  Completeness  of  relevant 
passages  is  not  intended,  nor  an  analysis  of  either  date  or  authors  of  the  individual  chants. 

'*■  Menaia.  II,  607  (Dec.  23) 

1"*  Mena-ia .  II ,  604  :  BnSouxourai  tois  ev  ctkotei  ws  (pwcrrfipEs  im-dpxovTES  tou  'Hkiov.  This  refers  to  the  mar- 
t^TS,  whereas  tiie  twelve  apostles  are  identihed  with  the  tweh-e  ra\-s  of  the  sun;  cf.  Dolger,  Anhke  und 
Chrtstentum,  V  [i^^b).  9,  note  29e,  and  VI  (1950).  306.,  3^fi-;  see  also  F.  Boll,  Aus  derOffenbarung 
Johanms  (Leipzig-Berlin,  1914),  98S. 

^*  Menaia,  II,  671  (Dec.  25),  678  (Dec.  26). 

^*>Meva%a.   Ill,  138   (Jan.  6):  Zfiuepov  6  &Bwtos  'HXios  dvrrEiXi Cf.  Migne,  PG,  LXXXIII: 

3,  col.  4004A,  m  an  Epiphany  sermon  of  Sopiiromus.  The  \-ersicle  may  be  far  older;  it  belongs  to  the 
nte  of  the  Blessing  of  the  Waters  on  Epiphany;  see  Eucholosiov  (Rome,  1873).  221 ;  F.  C.  Conybeare, 
Kituale  Armenorum  (Oxford,  1905),  417,  425.  432,  for  the  Znyepov  versicles  which  are  found  also  in 
the  Westem  Church;  cf.  A.  Baumstark,  "Die  if o<i»f-Antiphonen  des  romisthen  Breviers  and  der  Kreis 
ihrer  griechischen  Parallelen,"  LHi  Kirchenmusik.  X  (1909),  issff. 

*^i  Menma.  II,  660  (Dec.  25). 

"'  Petrus  Chrj'sologus,  Sermo  CLVl  ("De  Epiphania  et  magis").  PL,  LIT,  col.  613B. 

"»  Menaia.  JI,  655  (Dec.  25). 

'*■  Menata.  II,  612  (Dec.  24). 


n    u    J    u 

u       I    J       I 


142 


ERNST  H.  KANTOROWICZ 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


143 


Righteousness"  has  risen  from  the  \^irpin,  as  in  the  afore-mentioned  Christmas 
Troparion  or  in  a  chant  of  December  23rd:  "From  the  virginal  cloud  a  great 
Sun  has  risen  for  us."^^^  The  same  is  true  in  an  Apolytikion  on  Candlemas: 
"Hail,  full  of  grace,  God-bearing  Virgin,  from  thee  there  rose  the  Sun  of 
Righteousness.  "1^  And  it  is  only  a  sHght  variation  of  the  theme  if  a  Hirnios, 
on  December  23rd,  alludes  to  Isaiah  6:  6,  and  says:  "The  Coal,  the  Sun  as 
previously  envisaged  by  Isaiah,  has  risen  from  the  virginal  womb."^^'  Finally, 
we  may  mention  John  of  Damascus  who  used  salutations  resembling  those  of 
the  Akathistos  Hymn,  when  in  a  homily  he  addressed  the  Virgin: 

Hail,  thou  gate,  looking  towards  the  East  (ttuAti  f)  dvaToAopTverrros)  from 
which  there  appeared  the  Rising  of  Life  (fi  Tfis  Lcofjs  dvaToAfi)  diminish- 
ing for  men  the  Setting  of  Death. ^^^ 
"U'estern  liturgies  also  use,  though  less  abundantly  than  do  the  eastern  ones, 
the  images  of  the  rising  Sol  iustitiac;  and  the  "Rise"  as  a  name  of  Christ  is 
invoked,  for  example,  in  one  of  the  0-antiphones  sung  daily  at  the  Magnificat 
during  the  last  week  before  Christmas:  0  Or i ens, j Splendor  lucis  aeiernae,/el 
Sol  iustitiae . . . .  ^^^ 

A  remark  may  be  added  on  certain  word -coinages.  A  new  cult  will  not  only 
adopt  old  symbols  and  their  emotional  ^'alues  (in  this  case  the  emotional  value 
of  the  god  that  not  only  rises,  but  actually  is  a  perpetual  Rising,  an  Oriens) ; 
it  will  also  coin  new  words  which  are  meant  to  emphasize  the  new  interj)reta- 
tion  and  explanation  of  an  old  symbol  serving  new  purposes. ^^  The  permanency 
of  the  imperial  light  was  expressed  by  implication  rather  than  expressis  verbis. 
Coin  legends  such  as  Oriens  Augusti,  Claritas  Augusti,  and  other  notions 
describing  the  emperor's  permanent  victory  over  the  forces  of  darkness  and 
evil  (invictus),  suggest  a  perpetual  habitus  of  the  emperor  as  the  one  who  rises, 
shines  forth,  protects,  or  conquers.  It  remained,  however,  for  the  Christian 
cultual  language  to  coin  such  new  words  as  would  most  emphatically  express 
the  timelessness  of  the  rising  light,  apparently  in  conformity  with  the  timeless 
eternity  of  God.  'Av^crrrepos  is  such  a  word.  "On  earth  there  has  risen  the  Sun 
without   evening"    begins  a    Theotokion    in    the  Oktoechos}'^^    The    adjective 

^^^  Menaia,  II,  598  (Dec.  23);  napeEviKfjs  ^  veipeAtis  WEyots  fjuiv  dvcrxEAAEi  "HXios.  ThLs  topos  goes 
back  to  the  fourth  centun'  at  the  latest;  cf.  Ephrem,  Hvmni  di  11. Maria.  XIX,  4,  ed.  Lamy,  II,  O22, 

"«  Menata.  Ill,  480  (Feb.  2) :  ^k  aoO  ydp  ocveteiXev  6  'HAios  ttis  SiKaioaOvris. 

"■  Menaia.  II,  602  (Dec.  23) :  6  avSpa^,  6  'Haaia  Trpoo9eEi5  'HAios,  -rrapeEviKfis  orro  yatrrpos  dvETEiXt. 
For  Christ  (or  the  Eucharist)  a.s  the  "Coal,"  an  image  already  used  by  Ephrem.  see  my  lorthcoming 
study:  "lioma  and  the  Coal." 

""  John  of  Damascus,  Homilia  II  in  Nativitatem  B.]'.  Mariac,  c.  7,  Migne,  PG,  XCVI,  col.  689I); 
see  also  692A:  XatpE,  oOpavE  . .  4^  fi5  6  ttjs  SikoioctOvtis  fi^ios  dv^Ei?^.  See  also  Andrew  of  Crete,  In 
annimiiationem  B.  Martae,  PG,  XC\'I1,  col.  900A,  where  the  Virgm  is  likewise  styled  fluATi  [pXErroi/aa 
TT-pos  dvocToXds]. 

""  For  a  few  remarks,  see  Usener,  367;  Dolger,  Sol  Salulis.  157,  note  1.  See  the  Liber  responsalis 
for  the  0-Antiphones  on  Dec.  23,  and  for  related  material  on  Dec.  24,  in  Migne,  PL,  LXXVIII,  cols. 
732 f.  It  is  not  the  intention  here  to  trace  the  Western  strand. 

"»  For  the  changing  values  of  symbols,  see  the  remarks  of  E.  Goodenough,  "The  Crown  of  Victory 
in  Judaism,"  Art  Bulletin.  XXVIIl  (1946),  i39f.  For  the  philological  and  rhetorical  as})ects  of  the 
problem,  see  A.  D.  Nock,  "Word-Coinage  in  Hermetic  Writings,"  Contectanea  Keotestamenlica  X] 
(1947),  i63ff,  esp.  i77f. 

1*1  Uhtoechos,  129:  'EttI  Tfis  yfjs  dv^tXEv  6  dvEcnrEpos  'HAios  6id  Tfjs  ix  ooO  TlapeEviKfis  yEvvfiaEoos. 
Cf.  Euchologion.  458  (I-Yayer  at  the  Dedication  of  a  Church). 


Av^cTTTepo?,  "without  evening,"  is  an  early  Christian  coinage  which  can  be 
traced  back  at  least  to  Methodius  of  Olympus  (d.  311)  who  hails  the  Church 
"encompassed  by  the  Light  without  evening,"  and  who,  in  the  beautiful  hymn 
concluding  his  Symposium.,  acclaims  Christ : 

Life's  chorus-leader,  Christ,  Light  without  evening,  hail  (Zcofis  xopay65, 

XpiOT^,  xdipe  9C0S  dv^a-rr£pov).i*2 
The  essence  of  the  image  itself  is  also  found  in  Latin  {Sol  qui  nescii  occasum, 
sine  occasu,  sine  node),  though  only  rarely  in  the  form  of  a  new  word-coinage, 
such  as  inocciduum.^*^  Besides,  qui  nescit  occasum  or  sine  occasu  might  as  well, 
or  even  better,  be  the  translation  of  another  coinage:  dSuTo?.  In  the  meaning 
of  "not  to  be  entered"  (for  example,  a  shrine,  a  temple)  the  word  was  quite 
common  in  classical  Greek;  but  in  the  Christian  language  it  referred  to  the 
BuCTis,  the  setting  of  the  sun,  and  in  phrases  such  as  "Light  without  setting" 
the  adjective  aSurog  is  found,  for  example,  in  the  Symposium  of  Methodius.'** 
and  it  serves  to  contrast  pointedly  the  Rise  of  the  Divine  Sun  in  the  Epiphany 
service:  "To-day  the  Sun  without  setting  has  risen. "i*^  Also  the  somewhat 
rarer  dK^vcoTog,  "who  cannot  be  emptied,  "'*«  belongs  to  this  group  of  new  words, 
all  of  M-hich  will  turn  up  again  in  the  language  of  Byzantine  ruler  worship. 

The  impact  of  the  Christus  Oriens  idea  was  reflected  not  only  in  the  language 
of  liturgical  poetry,  but  also  in  that  of  Christian  iconography.  Oriens,  we  recall, 
was  interpreted  also  in  the  sense  of  the  Resurrection.""  For  this  concept  the 
recent  excavations  under  the  Basihca  of  St.  Peter,  in  Rome,  have  produced 
most  interesting  e\idence.  Most  of  the  subterranean  chambers  hitherto  exca- 
vated and  cleared  are  not  Christian.  But  Christian,  or  christianized,  was 
certainly  the  so-called  Mausoleum  of  the  Julii,  for  in  it  there  have  been  dis- 
covered wall  mosaics  which  are  Bibhcal :  Jonah  swallowed  by  the  great  fish ; 
a  fisherman  (alluding  probably  to  Matt.  4:  19;  Mark  1:17:  "\  will  make  you 
fishers  of  men"),  and  perhaps  also  a  Good  Shepherd.i*^  Jonah's  sojourn  of 

"=  Methodius.  Symposium.  XI,  286,  ed.  by  Bonwetsch  [GCS).  133,  5;  cf.  VIII,  185,  Bonwetsch,  87, 
14;  also  W.  Christ  and  M.  Paranikas.  Anthologia  Graeca  Carminum  Ckristianorum  (Leipzig,  1871),  34, 
31,  and  also  pp.  174,  198  (Cosmas),  256  (Metrophanes) ,  and  passim.  In  the  Menata  the  term  dvEo-rrEpos 
is  found  over  and  over  again;  see,  e.g.,  II,  621  (Hirmos  on  Dec.  24):  'Haoias  9^5  iBcov  dvecrrrEpov;  the 
same  verse  III,  80  (Jan.  5) ;  see  also  III,  483  (Feb.  2),  and  passim.  For  the  salutation  xocipE  9WS  avia- 
TTEpov,  see  Dolger,  "Lumen  Christi."  Antike  und  Christentum,  V  (1936),  8fi.  See  also  supra,  note  loi. 
for  Philo  who,  however,  does  not  use  the  word  dwEcrrrEpos. 

"=•  Cf.  Dolger,  Antike  und  Christentum,  V,  18 f.  Petnis  Damiani  uses  the  word  lumen  inocciduum 
(Dolger,  op.  cit.,  VI,  21.  note  28),  and  Alanus  of  Lille,  Anticlaudianus.  V,  283,  ed.  by  R.  Bossuat  (Paris, 
1955)-  more  conventionally  uses  the  term  lux  nescia  noctis. 

^**  Methodius.  Symposium.  IV.  5,  VI,  5,  VIII,  3,  ed.  by  Bonwetsch,  51,  21 ;  69.  22;  84,  24. 

'*'  Sophronius,  Oratio.  Migne,  PG,  LXXXVII:  3,  col.  4004,  also  Menaia,  III,  138  (Jan.  6):  Zi^yepow 
6  dSuTos  "HA105  dv^iAE  .  .  .  The  versicle  belonged  also  to  the  Blessmgs  of  the  Waters  on  Epiphany; 
cf.  Conybeare,  Rttuale  Armenorum,  417,  432.  See  further,  Christ  and  Paranikas,  Anthologia,  173.  line 
234  (Cosmas  Melodus) ;  251,  line  184  (Akathistos  of  Joseph  the  H>-mnographer) ;  256,  line  67  (Metro- 
phanes of  Sm\Tna)  In  the  service  of  \'espers  on  the  Day  of  St.  John  Chn-sostom,  a  stichos  refers  to 
the  Saint  as  tov  dcnipa  tov  d5»rrov;  cf.  Menaia.  II,  135  (Nov.  13). 

"«  See,  e.g..  .A.pollinaris  of  Laodicea,  In  Fsalmos.  LXXIV,  17,  Migne,  PG.  XXXIll,  col.  1420. 

"'  Supra,  notes  105,  116.  Cf.  Dolger,  Sol  Salutis.  364  ff.  Cf.  Clement  of  .Alexandria,  Protreptikos, 
Vlll,  84,  2,  ed.  Staehlin,  I,  63,  19:  6  Xpitrros  Kupios  6  Tfis  dvaardoEcos  f|Aios.  Cf.  SjK-ier  (next  note),  217, 
note  20. 

""  The  literature  on  the  excavations  at  St.  Peter's  is  enormously  rich.  It  will  suffice  here  to  refer 
to  Joceh-n   loynbee  and   John  Ward  Perkins,   The  Shrine  of  St.  Peter  and  the   Vatican  Excavations 


n    u    J    L 


144 


ERNST  H.  KANTOROWICZ 


three  days  and  three  nights  in  the  belly  of  the  monster  before  it  released  the 
prophet  on  the  dry  land  was  commonly  understood  (cf.  Matt.  12:40)  as  a 
prefiguration  of  the  death  and  the  resurrection  of  Christ. ^^®  What  matters 
here,  however,  is  the  exciting  and  excellent  mosaic  in  the  ceiling  of  the  chamber, 
even  though  only  its  right  section  has  been  preserved  (fig.  30). ^^  The  gold 
ground  is  covered  with  leaves  and  shoots  of  vine,  and  only  the  center  remains 
vacant  for  the  representation  of  a  stern  HeHos  on  his  chariot.  What  the  ceiling 
undoubtedl}-  pictures  is  the  Rise  of  the  Sun:  the  reddish  color  of  the  gold 
ground  beneath  the  wheels  and  the  hind  legs  of  the  horses  seems  to  suggest 
the  dawn.  The  Christian  character  of  the  wall  mosaics  permits  but  one  inter- 
pretation of  the  ceiling  mosaic :  that  the  charioteer  is  Christ  or  Christ-Hehos, 
the  "new  and  true  Sun."  Christ-Helios  rising  on  his  chariot  was  an  idea  not 
at  all  foreign  to  the  age  of  transition,  and  Firmicus  Maternus  actually  mentions 
the  Resurrection  of  Christ  in  the  currus  triumphalis,  whereas  others  interpret- 
ed the  four  horses  as  the  four  Gospels. ^^^  The  texts  as  well  as  the  mosaic  are 
traditional  insofar  as  their  symbolic  language  is  borrowed  from  pagan  models ; 
we  recall  the  pictures  of  emperors,  engraved  upon  coins  or  chiseled  on  slabs, 
rising  towards  heaven  in  the  quadriga  of  the  Sun-god  (see  figs.  25,  27). ^^^  Here 
the  image  has  been  transferred  to  Christ.  The  divine  charioteer,  holding  the 
globe  in  his  left  hand,  wears  a  tunic;  he  is  not  naked  like  the  Sun-god. ^^^  The 
halo  surrounding  his  head  and  the  rays  of  light  shooting  forth  from  it  are 
found  also  on  pagan  monuments;  but  in  the  mosaic  the  rays  seem  to  be  ar- 


(London-New  York -Toronto,  1956),  esp.  ii6f. ;  Theodor  Klauser,  Die  riimische  Petrustradition  im 
Lichte  der  neueren  Ausgrabungeii  unter  der  Peter skirche  (Arbeitsgemeinschaft  fiir  I'orschung  des  Landes 
Nordrhein-Westfalen,  Geisteswissenschaften,  XXIV  Cologne-Opladen,  IQ36]),  39,  notes  54,  io8f., 
and  pis.  8-9;  Othmar  Perler,  Die  Mosaiken  der  Juliergnift  im  Vatikan  (I'reiburger  Universitiitsreden, 
N.  F.,  XV]  [I'Yeiburg,  Switzerland,  19.53]),  h^^  made  the  mosaics  the  subject  of  a  monograph.  Hermine 
Speier,  "Die  neuen  Ausgrabungen  unter  der  Peterskirche  in  Kom,"  Vermdchtnis  der  Antike,  ed.  by  R. 
Herbig  (Heidelberg,  1950),  199-218. 

'*"  For  Jonah,  see  Eduard  Stommel,  Beitrdge  zur  Ikonographie  der  konstantinischeu  Sarkophag- 
plastik  (Theophaneia,  X  [^Bonn,  1934]),  4-^^-.  with  note  72;  Perler,  Juliergruft,  32f. ;  Klauser.  Petrus- 
tradition. 108,  who  (despite  Matt.  12:40,  16:4)  has  certain  doubts  about  the  meanmg  of  the  Jonah 
scene  in  third -century  thought.  For  the  lusherman  symbol,  see  Charles  W.  F.  Smith,  "I'lshers  of 
Men,"  Harvard  Theological  Review,  LIl  (1959),  187-203;  Perler,  Juliergruft,  8ff. — Concerning  the  Good 
Shepherd,  see  Th.  Klauser,  "Studien  zur  Entstehungsgeschichte  der  christlichen  Kunst,  I,"  Jahrhuch 
fur  Antike  und  Christentum,  1  (1958),  20-51,  who  has  made  strong  restrictions  with  regard  to  the 
Christian  character  of  that  figure,  especially  on  sarcophagi.  See  also  Lritz  Saxl,  "Pagan  and  Jewish 
Elements  in  Early  Christian  Sculpture,"  in  his  Lectures  (London,  1957),  45~57.  ssp.  48f,,  a  study  to 
which  Professor  E.  Panofsky  kindly  called  my  attention.  In  the  Mausoleum  of  the  Julii,  however,  the 
Christian  character  of  that  figure  is  countenanced,  e.g.,  by  the  frescoes  from  the  cemetery  of  SS. 
Peter  and  Marcellinus,  where  the  Good  Shepherd  is  found  also  in  connection  with  Jonah  scenes,  and 
Jonah  in  connection  with  a  charioteer  scene;  cf.  V.  X.  Kraus,  Real-Encyklopddie  der  christlichen 
Altertiimer,  II  (Freiburg,  1886),  3.55ff.,  figs.  197,  199  (s.v.  "Mahle");  Perler,  38f.,  and  pi.  vi. 

1"  Klauser,  Petrustradition,  pi.  vii ;  Toynbee  and  Perkins,  pi.  xxxn,  facing  p.  107;  Perler,  pis. 
ii-iii.  For  a  colored  reproduction,  see  the  official  report:  Esplorazioni  sotto  la  Confessione  di  S.  Pietro  in 
Vaticano.  eseguite  negli  anni  ig4o-ig4g,  a  cura  di  B.M.  Apollonii  Ghetti,  et  al.,  prefazione  di  L.  Kaas 
(Vatican  City),  I,  pi.  B,  facing  p.  38,  and  pi.  C,  facing  p.  42;  also  in  Life  magazine  of  March  20,  1950, 
p.  71.  See  also  Speier  {supra,  note  148),  217  and  pi.  66. 

*"  I'^irmicus  Maternus,  De  errore  profanarum  religionum.  XXIV,  4,  ed.  by  K.  Ziegler  (Leipzig,  1907), 
61,  23;  Dolger,  Antike  und  Christentum.  VI,  51-56,  has  collected  a  considerable  amount  of  material 
for  the  topic  of  Christ  as  a  charioteer. 

"^  This  point  has  been  stressed  by  Klauser,  107. 

""  Klauser,  107,  indicates  the  pagan  parallels,  but  stresses  the  cruciform  arrangement  of  the 
rays.  Cf.  Perler,  45. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


145 


ranged  in  a  cruciform  manner.  At  any  rate,  there  can  be  no  doubt  concerning 
the  purely  Christian  character  of  the  mosaic  in  the  ceiling  of  the  Mausoleum  of 
the  Julii.  This  mosaic  was  quite  obviously  meant  to  represent  the  "HXios  xfis 
dvacrraaecos,  the  Rise  of  the  new  "Sun  of  Resurrection,"  as  befits  a  sepulchral 
chamber. 

Christ-Helios,  of  course,  is  an  iconographic  type  which  is  not  too  rare.  We 
may  recall  that  mediaeval  Sol  in  imperial  garb  whose  bearded  face  suggests 
Christ,  placed  in  the  center  of  the  zodiac— a  not  altogether  impos.sible  inter- 
pretation, since  Christ  as  the  "Lord  of  the  Year"  with  the  apostles  as  the 
signs  of  the  zodiac  is  mentioned  frequently  by  patristic  and  early  mediaeval 
authors.i^^  But  these  representations  do  not  refer  to  Christus  Oriens  specifi- 
cally. 

There  are,  however,  most  con\'incing  representations  of  Christus  Oriens  which 
hitherto  have  not  been  evaluated  in  this  connection,  even  though  the  icono- 
graphic pattern  itself  is  very  well  known. 

We  have  to  start,  for  obvious  reasons,  from  the  illustrations  of  the  so-called 
Canticle  of  Zacharias,  that  is,  Luke  i :  78.  Zacharias,  the  father  of  John  the 
Baptist,  we  recall,  supposedly  harked  back  to  the  verses  of  the  Old-Testament 
prophet  Zacharias  when  he  prophesied  the  visitation  of  the  Oriens  ex  alto.  An 
eleventh-century  Greek  Gospel  manuscript  at  Paris  shows  the  scene  in  a 
simple  fashion:  Zacharias  announces  to  a  group  of  people  the  Epiphany  of 
the  Oriens  ex  alto  who  is  depicted  as  the  sun  disk  containing  the  bust  of  Christ 
(fig.  31  a).i^^  This  representation,  which  may  go  back  to  very  early  times,  has 
been  repeated  in  numerous  Gospels — Greek,  Slavic,  Georgian,  and  others  as 
well — and  also  in  innumerable  Psalters;  for  the  Canticle  of  Zacharias  formed, 
together  with  the  Canticles  of  Moses,  of  Habakkuk,  of  the  Three  Hebrews, 
of  the  Virgin,  of  Simeon,  and  others,  the  last  section  of  almost  every  mediaeval 
Psalter  so  that  there  is  no  dearth  of  illustrations  of  this  scene.  The  t\'pe  of 
the  bust  of  Christ  in  the  disk  of  the  sun  is  actually  found,  as  early  as  the  ninth 
century,  in  the  Chludoff  Psalter  (fig.  32),  where  the  Hehos-Christ  has  been 
adapted  to  the  Canticle  of  Habakkuk. ^^^  A  variation  of  the  theme  is  found  in 
a  Greek  Psalter  in  the  Vatican:  Zacharias  kneeling  in  prayer  while  above  the 
rocks  there  rises  in  the  sky  (e^  Ovfous),  below  the  ark  of  heaven,  the  sun-disk 
with  the  bust  of  Christ  (fig.  33).^^" 

1'*  See  supra,  note  92  (fig.  29),  for  that  mediaeval  melothesia ;  cf.  F.  Saxl,  Lectures  (London,  1957), 
1,  61  f.,  II,  pi.  35a.  Klauser,  107,  believes  he  recognizes  a  beard  around  the  chin  of  the  charioteer  in  the 
Mausoleum  of  the  Julii,  but  I  fail  to  see  it.  For  the  twelve  apostles  as  the  twelve  rays  of  the  Sun,  see 
Dolger,  Antike  und  Christentum,  VI,  36-51,  and,  as  the  signs  of  the  zodiac,  J.  Danielou,  "Les  douze 
Apotres  et  le  zodiaque,"  Vtgiliae  Christianae,  XIII  (1959),  14-21. 

165  Paris,  Bibl.  Mat.,  MS  gr.  74,  fol.  107;  cf.  H.  A.  Omont,  £vangiles  avec  peintures  byzantines 
(Paris,  1908),  pi.  95  (here  fig.  31  a).  See,  for  our  fig.  31  b,  Bogdan  D.  Filov,  Les  miniatures  de  I'Evangile 
du  Roi  Jean  Alexandre  d  Londres  (1934),  pi.  70,  fig.  i. 

1"  Chludoff  Psalter,  fol.  154^'.  Photograph,  courtesy  of  the  £cole  des  Hautes £tudes,  Coll.  Chr^tienne 
et  Byzantine.  The  picture  refers  to  Habakkuk,  3,  3,  a  versicle  very  often  quoted  liturgically  in  the 
Eastern  Church;  see,  e.g.,  F.  E.  Brightman,  Liturgies  Eastern  and  Western  (Oxford,  1896),  I,  360,  14; 
431,  34,  and  quite  often  in  the  hj-mns  of  the  Pentekostarion .  Christ  in  the  sun  is  inscribed  uEcrnv^pia, 
south  (Deus  ah  austro  veniet),  whereas  the  rising  natural  sun  is  inscribed  dvorxoAi^. 

**'  Vat.  gr.  1927,  fol.  285*',  ed.  by  Ernest  T.  De  Wald,  The  Illustrations  in  the  Manuscripts  of  the 
Septuagint,  III;  Psalms  and  Odes,  part  I:  Vaticanus  graecus  ig2y  (Princeton,  1941),  pi.  Lxxi. 

10 


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147 


Once  it  is  recognized  that  the  bust  of  Christ  in  the  sun-disk  may  have, 
iconographically,  the  meaning  of  Oriens  or  ctvaToAri,  we  may  expect  to  find 
the  symbol  elsewhere  also.  Christus  Oriens  has  been  connected  not  only  with 
the  geographic  East,  with  baptism,  martyrdom,  and  resurrection,  but  above 
all  with  the  incarnation,  and  therefore  with  the  epiphany  of  Christ  in  the  flesh 
on  Christmas.  The  chants  of  the  Greek  Church  abound  in  that  season  in  praise 
of  the  rising  Sun  of  Justice,  and  they  refer  preferably  to  St.  Mary,  the  instru- 
ment of  the  incarnation  and  of  the  "Rise  of  Rises. "^^^ 

"From  a  virginal  cloud  there  has  risen  for  us  the  great  Sun."i59 
"From  your  body  there  has  risen  the  luminary  of  heaven. "is" 
"From  the  Virgin  hast  thou  risen,  Christ,  the  spiritual  Sun  of  Right- 
eousness. "^^^ 

"Hail,  thou  art  highly  favored,  godbearing  Virgin,  for  from  thy  womb 
there  has  risen  the  Sun  of  Righteousness. "^^^ 
Has  that  "Rise  of  Rises,"  the  rise  of  the  Sun  from  the  Virgin  been  represented 
in  Byzantine  imagery?  One  of  the  most  famous  images  of  the  Holy  Virgin 
was  the  Blachernitissa,  the  miracle-working  Virgin  of  the  Church  of  the  Bla- 
chernae  Palace  built  by  the  Empress  Pulcheria.  What  the  original  picture  was 
hke  is  uncertain,  though  the  type  may  be  conjectured.  Most  likely  it  showed 
an  Orans,  the  Virgin  standing  frontally,  her  tw^o  arms  raised,  and  dressed  in 
the  mantle  which  had  been  brought  from  the  Holy  Land  to  Constantinople. ^^^ 
The  type  can  be  recovered,  for  example,  from  eleventh-century  coins  of 
Constantine  IX  Monomachus  and  from  a  seal  (fig.  34a). ^^^  During  the  Iconoclas- 
tic Struggle  the  original  picture  disappeared.  But  when,  after  the  Restora- 
tion of  Orthodoxy,  the  whole  complex  of  problems  and  arguments  related  to 
the  Incarnation  became  a  matter  of  greatest  importance  because  only  the 
incarnate  Christ  could  be  represented  in  images,  a  variant  of  the  Blacherni- 
tissa made  its  appearance:  the  Virgin  from  whose  body  the  Sun  of  Righteous- 
ness was  visibly  rising.  This,  at  least,  seems  to  be  the  meaning  of  the  new 
type  of  a  Blachernitissa  having  on,  or  above,  her  breast  a  medallion-like  disk 
showing  the  bust  of  the  incarnate  Christ  (fig.  34b). ^^^  It  seems  that  this  would 
be  the  type  referred  to  by  Constantine  Porphyrogenitus  under  the  name  of 


129. 


See,  for  'AvotroXfi  dvctroAcov,  Meiiaia.  II,  671,  687  (Exaposteilarion,  Dec.  25);  also  supra,  note 

>"  Menaia,  II,  598  {Kanon,  Dec.  23). 

i'"  Menaia,  II,  607  (Theotokion,  Dec.  23). 

"'  Menaia,  II,  655  (Troparion,  Dec.  25). 

1"  Menaia,  III,  480  (Apolytikion,  Feb.  2). 

"3  Jean  Ebersolt,  Sanciuaires  de  Byzance  (Paris,  1921),  451. 

'««  I'or  the  coins,  see  W.  \\'roth.  Catalogue  of  the  Imperial  Byzantine  Coins  in  the  British  Museum 
(London,  1908),  II.  pi.  liv,  fig.  14,  p.  476,  note  i:  first  appearance  on  coins  of  the  Virgin  with  the 
medallion  of  Christ  (under  John  Zimisces  [969-970]),  and  pi.  liv,  figs.  3-1 1,  p.  502fi  No  isff  for 
other  representations  of  the  Blachernitissa;  see  pi.  lix,  fig.  5,  p.  503,  No.  18,  for  the  legend  BLACHER- 
NIT1SS.\.  For  the  seal,  see  Ebersolt,  Sanctuaires,  50,  fig.  7. 

"'  Ebersolt,  op.  cit.,  50,  figs.  8-^.  One  of  those  seals  (fig.  8)  has  the  inscription  'ETriaKEvi/K-  the 
same  seal  displays  the  disk  with  rays,  unless  these  are  folds  of  the  \'irgin's  mantle.  It  is  possible 'that 
several  similar  types  had  the  collective  name  Blachernitissa;  see  the  discussion  bv  Oskar  Wulff  Die 
hotmesisktrche  tn  Nicaa  und  thre  Mosaikcn  (Strasbourg,  1903),  258ff.  See  also  Andre  Grabar  Lico- 
noclasme  byzantin  (Paris,  1957),  253!?. 


Episkepsis}^^  It  is  true,  the  display  of  the  medallion  bust  of  Christ  was  the 
insignia  of  the  Iconophiles  and  it  was  displayed  very  often  as  an  imago  clipeata 
held  by  the  Virgin  or  by  angels. ^^^  What  surprises  the  observer  is  that  the 
Blachernitissa  does  not  hold  the  image  in  her  hands  as  otherwise  she  so  often 
does,  but  that  as  an  Orans  she  has  her  hands  lifted.  Thus  the  disk  was,  as  it 
were,  floating  on  or  above  the  breast  of  the  Virgin,  or  as  though  it  were  one 
with  the  Virgin.  This  strange  independence  of  the  disk  or  medallion,  which 
remained  in  its  place  without  being  held  by  the  hands  of  the  Virgin,  has  led 
Andre  Grabar  to  interpret  the  disk  with  the  image  of  Christ  as  featuring  the 
Incarnate  God  in  the  womb  of  his  Virgin  Mother. ^•'^^  In  fact,  there  are  numerous 
representations  where  the  Child  is  seen  in  the  transparent  body,  that  is,  in 
the  womb  of  the  Virgin  ;i6»  Grabar,  therefore,  took  the  medallion  with  the 
image  of  Christ  to  refer  to  the  Annunciation  as  the  moment  of  the  Incarna- 
tion. The  Virgin  with  the  disk  of  Christ  above  her  breast,  however,  differs 
widely  from  representations  showing,  by  the  transparency  of  her  body,  the 
Child  in  St.  Mary's  womb.^'"  Moreover,  the  Blachernitissa  with  the  sun-like 
disk  on  her  breast,  which  is  patterned  after  the  model  of  the  Helios-Christ  in 
the  manuscript  illustrations  of  Luke  i :  78,  has  the  name  of  '^■n\QK£.^x<;  (fig. 
34c),  the  Visitation,!'!  which  reminds  us  of  the  verse  in  Luke  i :  78:  e-maKE^ETai 
fiuag  dvaToTvfi  i%  \j^o\j%,  "The  Rise  from  on  high  has  visited  us."  It  is  true,  of 
course,  that  in  the  hymns  of  the  Eastern  Church  the  Virgin  herself  is  called 
"Visitation  of  the  weak,  of  the  miserable,  of  the  sick."!'^  But  she  is  the  "Visita- 
tion" only  because  through  her  as  the  medium  "The  Rise  from  on  high  has 
visited  us  to  give  light  to  them  that  sit  in  darkness."  No  doubt,  the  Child  in 
the  disk  high  on  the  bosom  of  the  Virgin  refers  to  the  Incarnation  and  is  the 
"sign"  of  the  Incarnation,  but  it  indicates  the  Birth,  the  'AvaxoXri  or  "Rise" 

"«  Constantine  Porphyrogenitus,  De  caeremoniis,  II,  c.  12,  ed.  by  Reiske,  553:  koI  drrr^pxovTat  (the 
emperors)  diro  St^ias  eis  ttiv  i-rrioxeyiv,  Koi  onrrouaiv  k&keTcte  KTipoOs  Kol  TTpoffKuvoOaiv. 

'•'  Grabar,  L'tconoclasme,  2^2i.,  cf.  figs.  69,  138-140. 

*'*  Grabar,  op.  cit.,  254 f. 

••»  For  the  problem,  see  G.-H.  Luquet,  "Representation  par  transparence  de  la  grossesse  dans 
I'art  Chretien,"  Revue  archeologique ,  5th  Ser.,  XIX  (19^4),  137-149.  a  study  to  which  Professor  Panof- 
sky  kindly  called  my  attention. 

I'o  Grabar,  Recherches  sur  les  influences  orientates  dans  I'art  balkanique  (Paris,  1928),  75 f.  and  pi. 
VI,  fig.  3,  publishes  a  miniature  from  a  Serbian  Gospelbook  (thirteenth  century,  but  relying  iconogra- 
phically upon  very  early  models)  showing  the  pregnancy  of  Elizabeth;  but  the  child  (John  the  Baptist) 
is  in  the  womb,  and  not  perched  on  the  breast  of  Elizabeth.  See  also  infra,  notes  174,  175.  P.  Perd- 
rizet.  La  vierge  de  misericorde  (Paris,  1908),  192  (quoted  by  Grabar),  mentions  a  German  image  of 
that  kind,  but  the  two  images  he  reproduces  pi.  .x,  figs.  1-2,  and  p.  85,  are  Venetian  replicas  of  the 
Byzantine  Episkepsis  or  Blachernitissa. 

1"  For  the  Episkepsis,  see  supra,  note  165  f .  Also,  the  silver  plaque  (thirteenth  or  fourteenth  century) 
from  Ochrida  is  inscribed  Episkepsis:  cf.  N.  P.  Kondakov,  The  Iconography  of  the  Mother  of  God 
[Jkotiografija  Bogomateri]  (St.  Petersburg.  1915).  H.  102,  fig.  30,  where  the  Child  holds  up  his  hands 
making  either  the  epiphany  gesture  or  that  of  blessing.  That  type,  too,  sur\-ived  for  many  centuries; 
cf.  Bogdan  I).  Filov,  Die  altbulgarische  Kunst  (Bern,  1919),  56  and  pi.  .xvii. 

"'  Cf.  Sophronios  Eustratiades,  'H  eeoTOKos  kv  ttj  C;nvoypa9i9(  (Paris,  1930),  23,  who  has  collected  a 
great  number  of  {iriCTKEvfis  designations  of  the  Virgin  (hr.  do^Evouvrwv,  i-n.  -rrdvTwv) .  See  also  the  Theo- 
tokarion,  ed.  by  Metropolitan  Sophronios  Eustratiades  (Paris,  1931),  I,  11  (verse  304ff.),  120  (verse 
222),  214  (verse  191  f.),  221  (verse  11  f.).  I  am  much  obliged  to  Dr.  Basil  I.aourdas,  formerly  at  Dumbar- 
ton Oaks,  for  calling  my  attention  to  these  works.  It  is  perhaps  significant  that  .\ndreas  of  Crete 
(O60-740)  has  not  included  {-n-ioKEyis  in  his  catalogue  of  Marial  epithets;  In  nativitatem  B.  jMartae 
IV,  Migne,  PG,  XCVII,  861  ff. 

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ERNST  H.  KANTOROWICZ 


rather  than  the  Annunciation.  This,  then,  would  be  in  agreement  with  the 
aforementioned  versicles  as  well  as  with  others  chanted  on  various  occasions: 
"Dance,  O  Isaiah;  for  the  Virgin  had  in  her  womb,  and  gave  birth  to,  a  son, 
to  the  Emmanuel,  both  God  and  man,  whose  name  is  Sunrise  ('AvaToAr)),"  or, 
as  a  Hirmos  has  it  on  December  23:  "The  Coal,  the  Sun  as  foreseen  by  Isaiah, 
rose  from  the  Virginal  womb."^^^ 

There  is,  perhaps,  a  garbled  confirmation  of  this  in  an  early  fourteenth- 
century  Flemish  manuscript:  a  Blachernitissa  type  with  the  disk  showing  the 
face  of  the  Sun  or  of  the  uncreated  Christ  from  which  there  shoot  forth  the 
flame-like  rays  of  the  sun  (fig.  35).  The  miniature,  however,  represents  the 
apocalyptic  woman  "clothed  with  the  sun  and  having  the  moon  under  her 
feet. .  .and  being  with  child,  she  cried  travailing  in  birth"  (Revel.  12:  i).  It  is 
a  curious  crossbreed  of  the  Apocalyptic  Woman  and  the  Blachernitissa,  the 
latter  being  clearly  the  model.^^*  Also,  in  a  Munich  manuscript  of  ca.  1406, 
there  is  a  Virgin  in  the  stable,  her  womb  opening  and  surrounded  by  rays;i'^ 
whereas  a  stone  sculpture  of  the  Burgundian  School,  of  the  middle  of  the 
sixteenth  century,  displays  the  Virgin  showing,  on  the  lower  part  of  her  body, 
the  Baby  Christ  surrounded  by  rays  or  flames. ^^^ 

In  summa,  the  Rising  of  the  Sun  of  Righteousness  seems  to  have  been  the 
subject-matter  of  the  Blachernitissa  type  displaying  the  disk  with  the  image  of 
Christ  on  the  Virgin's  breast.  Perhaps  the  Sunrise  idea  has  even  been  drama- 
tized in  the  Armenian  Church.  On  the  great  feasts,  the  Armenian  liturgy 
intercalates,  during  the  "Great  Entrance,"  when  the  elements  of  the  sacrifice 
are  carried  in  solemn  procession  from  the  offering  table  to  the  altar,  a  special 
chant,  a  cento  made  up  of  Psalms  18  and  67,  Habakkuk  3:  3,  and  Psalm  23. 
Just  before  the  Cherubic  Hymn  is  sung,  the  deacon  proclaims:  "He  hath  set 
his  tabernacle  in  the  sun:  and  he,  as  a  bridegroom  coming  out  of  his  bridal 
chamber,  hath  rejoiced  as  a  giant  to  run  his  course."  Then,  always  alternating 
with  the  chanters  of  the  Cherubic  Hymn,  the  deacon  says  when  the  proces- 
sion comes  towards  the  East:  "Cast  up  an  highway  for  him  that  rideth  upon 
the  Heaven  of  Heavens  towards  the  East"  (Ps.  67:  33).  When  he  comes  towards 
the  South,  the  deacon  says  the  words  from  Habakkuk:  "God  shall  come  from 
the  South  and  the  Holy  One  from  Mount  Paran."  Finally,  when  arriving  at 
the  steps  of  the  altar,  the  last  passage  of  Psalm  23  is  voiced:  "Lift  up  your 
gates,  O  ye  princes,  and  be  hfted  up,  O  eternal  gates:  and  the  King  of  Glory 

>"3  Oktoedws  (Rome,  1886),  85 :  'Haata,  x6p£U£  i\  FTapeevos  iayiv  iv  yacrTpi  koI  Itekev  \j\6v  t6v  'EutiavoufiX, 
Sedv  TE  Kai  av6pcoTrov  'AvoroXi^  ovo\ia  auTW.  The  Hirmos  is  often  repeated;  cf.  Euchologion  (Rome,  1873), 
173;  Triodion  (Rome,  1879),  285,  cf.  284.  Menaia,  II,  602  (Hirmos,  Dec.  23) :  'O  dcvepa^,  6  'Haaia  ■Trpoo9- 
Oeis  'HXioj,  TrapeEviKfjs  diro  yaaTp6s  dvETEiXE. 

1"  Rothschild  Canticles,  fol.  63^,  Flemish  MS  of  the  late  thirteenth  or  early  fourteenth  century; 
cf.  Mirella  Levi  d'Ancona,  The  Iconography  of  the  Immaculate  Conception  in  the  Middle  Ages  and 
Early  Renaissance  (Monographs  on  Archaeology  and  Fine  .'Vrts,  VII;  College  Art  Association,  1957), 
24 f.,  note  50,  and  fig.  6.  I  owe  all  my  knowledge  about  this  MS  to  the  generosity  of  Professor  Erwin 
Panofsky. 

'"  Alfred  Stange,  Deutsche  Malerei  der  Gotih  (Berlin,  1936),  II,  175,  fig.  232.  from  Clm    1404';  (ca 
A.D.  1406). 

>'»  Petit  Palais:  La  Vierge  dans  I'ari  franfais  (Les  Presses  Artistiques;  Paris,  n.d.)  nl  61  catalogue 
No.  207. 


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149 


shall  enter  in "i"  Therewith  the  holy  action  of  the  Great  Entrance  has 

been  placed  in  a  new  perspective.  For  there  is  a  drama  enacted:  the  King  of 
Glory,  as  carried  in  the  elements,  is  identified  with  the  Sun  that  comes  forth 
as  a  bridegroom  out  of  his  chamber  to  run  his  course  to  the  altar,  to  the  Cross. 
It  may  be  mentioned  that  also  in  the  Western  Church  Psalm  i8:  6-7,  formed 
the  text  of  antiphones  which  were  sung,  according  to  the  Liber  responsalis  of 
the  ninth  century,  in  connection  with  the  words  Orietur  sicut  sol  salvator  mundi 
on  Christmas  eve.  There  is,  however,  a  slightly  different  meaning  implied, 
since  the  next  antiphone  reads:  Dum  ortus  fuerii  sol  de  coelo,  videbitis  Regent 
regum  procedentem  a  Patre  tanquam  sponsus  de  thalamo  suo}"^^  Moreover,  the 
Tollite  portas  of  Psalm  23  is  also  sung  on  Christmas  eve  according  to  the 
Liber  antiphonarius  i^a  and  both  Psalms  (18  and  23)  are  found  together  on 
New  Year's  day  in  the  present  Breviarium  Romanum.  But  the  'dramatized 
mystery  of  Christus  Oriens  seems  to  be  a  peculiarity  of  the  Armenian  Church, 
a  feature  to  be  kept  in  mind  on  account  of  the  later  development. 

3.  'AvaToAri  toO  Aeottotou 

In  one  of  his  Hymns  on  Epiphany,  Saint  Ephrem  the  Syrian  (303-373) 
pointed  out  that  Semha  and  Denha  had  ruled  simultaneously.^^o  Semha,  in 
Syriac,  is  the  "Splendor"  and  perhaps  the  equivalent  of  Latin  Claritas.  Denha 
means  the  "Rise,"  especially  Sunrise;  it  is  the  Syriac  version  of  Greek  'AvaToAri 
(Luke  i:  78)  and  of  Hebrew  Zemach  (Zach.  3:8,  6:  12),  and  it  designates  at 
the  same  time  the  "Epiphany"  of  Christ,  that  is,  the  manifestation  of  his 
divinity  in  the  Jordan. ^^i  Splendor  or  Claritas  was  identified  by  the  Syrian 
Church  Father  with  the  "king  on  earth,"  more  specifically  with  Emperor 
Augustus;  and  the  "Rise"  he  identified  with  the  "Son  in  heaven,"  with  Christ. 
Hence,  Claritas  (Augustus)  and  Oriens  (Christ)  ruled  together  at  the  same 
time. 

The  underlying  political  theology  of  this  synchronism— based  upon  Luke 
2:  I— is  well  known. 182  it  eventually  culminated  in  the  concept  that  the  uni- 
versal monarchy  on  earth  and  the  universal  monotheism  in  heaven  were 
interdependent.  Just  as  Augustus  had  abolished  the  polyarchy  of  kings  by 
estabUshing  the  Roman  world  monarchy,  so  had  the  incarnate  Son  of  God 
done  away  with  polytheism  by  establishing  man's  belief  in  one  God.  This 
alleged  parallelism  of  monarchy  and  monotheism  had  been  exploited  by  Origen, 
Eusebius,  and  other  authors.   It  became  generally  prevalent  after  the  Con- 

'"  Brightnian,  Liturgies  Eastern  and  Western,  431  f. 

"»  Migne,  PL,  LXXVIII,  col.  733. 

"»  Ihid.,  col.  645 A  and  C. 

'•"•  Ephrem,  In  festurn  Epiphaniae,  II,  i,  ed.  Lamy,  I,  i2f. 

'"  Ibid.,  p.  14,  note  i. 

"«  The  problem  has  been  brilliantly  discussed  by  Erik  Peterson,  "Kaiser  Augustus  im  Urteil  des 
antiken  Christentums,"  Hochland.  XXX  (1932-1933),  289ff.,  and  "Der  Monotheismus  als  politisches 
Problem,"  in  his  Theologische  Traktale  (Munich,  1951),  49-147;  see  also  Theodor  E.  Mommsen,  ".Apo- 
nius  and  Orosius  on  the  Significance  of  the  Epiphany,"  Late  Classical  and  Mediaeval  Studies  in  Honor 
of  Albert  Mathias  Friend,  Jr.  (Princeton,  1955),  96-111. 


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ERNST  H.  KANTOROWICZ 


stantinian  peace  with  the  Church.  Through  the  agency  of  Orosius  this  concept 
was  to  hnger  on  to  Dante  and  beyond,  and  a  faint  echo  is  found  in  one  of  the 
Celtic  Catecheses.^^^  In  the  Byzantine  Church,  an  Idiomelon  on  Christmas, 
composed  by  the  poetess  Casia  (born  ca.  8io),  enlarges  upon  the  symmetry  of 
Augustus  and  Christ:  "When  Augustvis  ruled  on  earth,  there  came  to  end  the 
many  kingdoms  of  men;  and  when  Thou  wert  made  man  through  the  agency 
of  the  Virgin,  the  polytheism  of  the  idols  was  quashed. . . .  Inscribed  were  the 
peoples  to  the  judgment  of  Caesar;  inscribed  were  we  faithful  to  the  name  of 
thy  divinity. . .  ."^^^  It  was,  however,  not  the  custom  to  express  the  congru- 
ency  of  monarchy  and  monotheism  in  solar  terms  ;i^^  and  if  Ephrem  the 
Syrian  emphasized  the  simultaneous  rule  of  Claritas  and  Oriens,  he  was  ap- 
parently influenced  by  certain  trends  of  his  time,  perhaps  even  by  the  legends 
of  coins  still  current  in  his  day. 

However  that  may  be,  the  juxtaposition  of  Sun-Emperor  and  Helios-Christ 
in  the  hymn  of  the  Syrian  poet  was  not  lacking  some  interesting  perspective, 
which  would  be  true  not  only  with  regard  to  the  pagan  past,  but  also  with 
regard  to  the  Christian  future.  For  it  seems  more  than  doubtful  that  the 
pagan  idea  of  a  "Sun-kingship"  of  the  ruler  on  earth  would  have  survived  so 
completely  and  undisturbedly,  as  it  actually  did  in  Byzantium,  had  it  not 
been  justified  by  the  "Sun-kingship"  of  the  ruler  in  heaven  and  its  parallelism 
with  that  of  the  ruler  on  earth.  In  fact,  the  introduction  of  Christianity  into 
the  Roman  Empire  may  have  prompted  Constantine  the  Great  to  discontinue, 
though  somewhat  reluctantly,  his  coinage  displaying  the  Sun-god  with  the 
legend  Soli  invicto  comiti  Augusti  nostri}^^  but  it  did  not  otherwise  impair  the 
solar  qualifications  or  solar  character  of  the  Christian  emperors.  For  Eusebius, 
Constantine  was  still  the  one  "rising  together  with  the  Sun";  for  Himerios, 
Hehos  was  still  the  fropater  of  the  Constantinian  house;  and  the  imperial 
apostrophe  dele  f|Ai6  paaiAeO,  "Sun-emperor  divine,"  belonged  to  the  stock- 
phrases  of  the  Byzantine  poets  and  orators  till  the  end  of  the  Eastern  Empire. ^^' 
Nor  did  the  concept  of  the  emperor's  "Sunrise"  ever  disappear  from  the 
language  of  the  court  ceremonial,  notwithstanding  the  fact  that  at  the  emperor's 
side,  or  above  him,  the  new  "noetic"  Helios,  the  Sun  of  Justice,  had  risen. 
The  new  faith  did  not  curtail  the  idea  of  imperial  sun-rulership,  but  added, 

1*3  Dante,  De  Monarchia,  II,  12,  ed.  by  Paget  Toynbee,  Le  opere  di  Dante  Alighieri  (Oxford,  1924), 
362;  see  also,  for  Dante  and  Orosius,  Charles  Till  Davis,  Dante  and  the  Idea  of  Rome  (Oxford,  1957), 
55ff.  For  the  Celtic  Catecheses,  see  Andre  Wilmart,  Analecta  Reginensia  (Studi  e  Testi,  LIX  [Vatican, 
1933]).  99:  Caesar  'possessio  principalis'  interpretatur;  Augustus  vera  interpretaiur  'solemniter  stans'. 
Quae  duo  nomina  Chrislo  conveniunt 

"*  Menaia,  II,  651  (Dec.  25);  cf.  Christ  and  Paranikas,  Anthologia,  103;  Raffaele  Cantarella,  Poeti 
bizantini  (Milan,  1948),  I,  141,  for  the  text,  and  II,  164,  for  an  Italian  translation  of  the  poem  and  the 
literature  on  Casia. 

186  Origen,  Contra  Celsutn,  II,  30,  ed.  by  P.  Koetschau  (Leipzig,  1899),  I,  158,  2ff.,  when  discussing 
the  oneness  of  Justice  and  Peace  (Ps.  71 :  7),  links  the  peace  of  Augustus  to  the  justice  of  the  "Sun  of 
Justice,"  but  does  not  otherwise  use  solar  metaphors  in  this  connection. 

"*  A.  Alfoldi,  The  Conversion  of  Constantine  and  Pagan  Rome  (Oxford,  1948),  55ff.;  Patrick  Bruun, 
"The  Disappearance  of  Sol  from  the  Coins  of  Constantine,"  Arctos,  N.S.  II  (1958),  i5fi. 

"'  Eusebius,  Vita  Constantini,  I,  43,  ed.  by  Heikel,  28,  iif. ;  Himerius,  Ora/io  VII  .q.  and  EclogaXIT, 
6,  ed.  by  Dubner  (Paris,  1849),  62,  25,  and  24,  38;  for  the  address  "Sun-emperor  divine,"  see  infra,  note 
243. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


151 


on  the  contrary,  new  strength  to  the  old  metaphor.  The  Christian  emperor— the 
supreme  God's  hyparchos  on  earth,  next  to  Christ  as  God's  hyparchos  in 
heaven^^^ — became  the  christominietes  above  all  others,  that  is,  the  one  imitat- 
ing and  impersonating,  even  ceremoniously  staging,  Christ,  the  ruler  of  the 
universe.  Hence,  the  imperial  solar  predications,  though  historically  a  survival 
from  the  pagan  past,  or  a  continuation  of  it,  were  henceforth  backed  up  and 
legitimized  by  the  solar  nomenclature  of  Christ  himself. 

The  sun-kingship  of  the  Byzantine  emperors,  therefore,  was  not  only  a 
residuum  of  Hellenistic-Roman  tradition  but  also  a  reflection  of  the  sun- 
kingship  as  represented  by  the  Christian  God.  These  two  strands  were  bound 
to  overlap  incessantly  during  the  Byzantine  millennium  although  each  strand 
had  a  life  of  its  own  as  well.  The  Hellenistic  tradition  survived,  above  all,  in 
the  circles  of  the  court  litterati,  poets  and  rhetors.  The  Christian  influence 
was  felt  predominantly  within  the  sphere  of  the  "imperial  liturgy,"  the  celebra- 
tion of  feasts  of  the  court  and  feasts  of  the  ecclesiastical  year.^**^  But  since  the 
court  litterati  also  produced  poems  for  the  emperor's  celebration  of  Church 
festivals,  whereas  the  Christian  worship  in  general,  and  the  idea  of  Christ's 
sun-king.ship  in  particular,  were  charged  with  Hellenistic-Roman  elements,  it 
would  be  futile  to  try  to  keep  the  two  strands  clearly  apart.  In  fact,  the  Byzan- 
tine poets  were  eager  to  interlace  the  two  strands,  and  thereby  they  arrived 
sometimes,  like  Ephrem  the  Syrian,  at  visualizing  two  Helioi.  Thus  a  twelfth- 
century  poet,  Theodores  Prodromos,  addressed  himself  in  an  Epiphany  chant 
to  the  emperor  and  the  imperial  city  in  the  following  lines: 

Light  up,  Rhomaean  City!  And  once  more:  Light  up! 

Bask  in  the  doubled  beams  of  your  Two  Suns. 

You  have  the  Sun  of  Justice,  here,  the  Father's 

Bright-mirrored  splendor,  naked  in  the  Jordan. 

And,  there,  you  have  the  Sun  of  Monarchy, 

The  Father's  vicar,  shining  in  the  palace. ^^'^ 
On  another  occasion  the  "Helios  Basileus"  Manuel  I,  whose  theophoric  name 
(Manuel  =  Emmanuel)  was  a  challenge  to  poetical  metaphors,  was  addressed 
by  the  same  poet : 

Thee,  the  christos,  I  dare  style  Phoibos  too.^^^ 

"*«  Eusebius,  De  laud.  Constant.,  3  and  7,  ed.  by  Heikel,  202,  2,  and  215,  31.  Cf.  J.  A.  Straub,  Vom 
Herrscherideal  in  der  Spdtantike  (Stuttgart,  1939),  121;  also  Ensslin,  Gottkaiser  und  Kaiser  von  Gottes 
Gnaden.  61. 

"»  For  the  imperial  "liturgy" — the  term  poaiXiKfi  AEiTOupyfa  in  the  broader  sense  of  imperial 
ceremonial  and  service  actually  occurs;  cf.  Const.  Porph.,  De  caerim.,  II,  52,  ed.  by  Reiske.  I,  704,  13 
— see  the  fundamental  study  of  Otto  Treitinger,  Die  ostromische  Kaiser-  und  Reichsidee  nach  ihrer 
Gestaltung  ini  hufischen  Zeremoniell  (Jena,  1938),  esp.  49fi. 

>»•  Theodoros  Prodromos,  Poemata,  XVIII,  1-6,  ed.  by  A.  Mai.  Patrum  nova  bibliotheca  (Rome,  1853), 
VI,  413;  cf.  E.  H.  Kantorowicz,  "Dante's  'Two  Suns',"  Semitic  and  Oriental  Studies  Presented  to 
William  Popper  (I'niversity  of  California  Publications  in  Semitic  Philology,  XI  [Berkeley-Los  Angeles, 
1951]).  221. 

1"  See  the  Epithalamium  (line  70)  of  Theodoros  Prodromos  for  the  daughter  of  Manuel  I,  Theodora: 
Toiyap  ToXiiw  cte  tov  yfi\trx6v  koI  9oT|3ov  6vo|iAo-ai;  ed.  by  C.  Neumann,  Griechische  Geschichtsschreiber 
und  Geschichtsquellen  im  zwolften  Jahrhnndert  (Leipzig,  1888),  67;  Konrad  Heilig,  "Ostrom  und  das 
Deutsche  Reich  um  die  Mitte  des  12.  Jahrhunderts,"  in:  T.  Mayer,  K.  Heilig,  C.  Erdmann,  Kaisertum 
und  Herzogsgewalt  im  Zeitalter  Friedrichs  I.  (Schriften  des  Reichsinstituts  fiir  altere  deutsche  Ge- 
schichtskunde,  IX  [Leipzig,  1944]),  247. 


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ORIENS  AUGUSTI  -  LEVER  DU  ROI 


153 


This  assemblage  of  Basileus,  Christ,  and  Phoibos  on  one  denominator  was 
hardly  startHng  to  ears  used  to  listening  to  Byzantine  court  language.  To  us, 
however,  it  may  appear  like  a  belated  reminder  of  that  "triangle"  of  Roman 
Emperor,  Sol  invidus,  and  Sol  lustitiae,  which  described — as  it  were,  in 
shorthand — the  final  settlement  between  emperor  cult,  pagan  solar  henotheism, 
and  Christian  monotheism  during  the  fateful  age  of  transition,  the  fourth 
century. 

The  subject  here  under  discussion,  is  not,  however,  the  Byzantine  sun- 
kingship  in  general,  but  more  specifically  the  survival  of  the  sun-rise  metaphor, 
which  in  Byzantium  was  always  connected  with  some  very  conspicuous  and 
spectacular  ceremonial,  at  which  the  emperor  actually  "rose."  With  this 
tendency  there  fell  in,  very  distinctly,  the  great  panegyric  which  Corippus 
wrote  on  the  accession  of  Justin  II,  in  565.  He  described  the  Emperor's  eleva- 
tion on  the  buckler,  a  ceremony  adopted  by  the  Romans,  probably  from 
Germanic  tribes,  as  early  as  the  fourth  century.  Whatever  the  original  mean- 
ing of  this  ceremony  may  have  been,  of  which  Byzantine  miniatures  furnish  a 
great  number  of  illustrations,^^^  to  Corippus,  the  quaestor  sacri  palatii,  the 
elevation  on  the  buckler  appeared  in  an  unambiguously  "solar"  light  as  the 
Emperor's  Sun-rise.  Four  select  young  men,  writes  Corippus, ^^^  lifted  the 
"tremendous  disk  of  the  shield"  (fig.  36).  Standing  on  that  disk,  the  new 
Emperor  became  visible  and  made  his  appearance. 

Now  he  is  present,  the  greatest  benefactor  of  the  world  community, 
to  whom  kings  bend  their  necks  in  submission,  before  whose  name  they 
tremble,  and  whose  numen  they  worship. 

There  he  stands  on  that  disk,  the  most  powerful  prince,  having  the 
appearance  of  the  Sun. 

Yet  another  light  shines  forth  from  the  city.  This  day  is  truly  a 
marvel,  for  it  allows  two  suns  to  rise  together  at  the  same  time. 

Or  did  my  song  carry  me  beyond  proper  bounds?  Perhaps  it  may 
puzzle  you  that  I  said:  two  suns  were  rising  together  and  at  the  same 
time.  But  with  my  mouth  I  did  not  produce  empty  words  nor  vain 
figures  of  speech.  The  mind  of  the  Just  is  more  resplendent  than  the 
sun.  It  does  not  merge  into  the  sea;  it  does  not  yield  to  darkness;  nor 
is  it  concealed  by  a  murky  shadow. ^^* 

"2  For  the  elevation  on  the  buckler,  see  Straub,  Ilerrscherideal,  6i,  231;  Treitinger,  Zereynoriiell, 
22  fi.;  G.  Ostrogorsky,  "Zur  Kaisersalbung  unci  Schilderhebung  im  spatbyzantinischcn  Krcinungs- 
zeremoniell,"  Historia,  IV  (1955).  ^^zfi.  The  Central-Asiatic  origin  of  the  ceremony  seems  likely;  cf. 
A.  Boodberg,  "Marginalia  to  the  Histories  of  the  Northern  Dynasties,"  Harvard  Journal  of  Asiatic 
Studies,  IV  (1939),  2420.;  also,  for  later  times,  Leonardo  Olschki,  The  Myth  of  Felt  (Berkeley,  1949), 
2 iff.  This,  however,  does  not  contradict  the  well  established  theory  according  to  which  the  Roman 
soldiers  adopted  the  elevation  on  the  buckler  through  the  agency  of  Germanic  tribes.  The  custom  can 
be  traced,  within  the  Roman  orbit,  to  the  fourth  century.  I-or  a  few  manuscript  illustrations  of  the 
scene,  see  H.  P.  L'Orange,  Studies  on  the  Iconography  of  Cosmic  Kingship  in  the  Ancient  World  (Oslo, 
1953).  103 ff.,  and  figs.  76,  78-80;  and,  for  the  history  of  the  iconographic  pattern,  Kurt  Weitzmann] 
Illustrations  in  Roll  and  Codex  (Princeton,  1947),  i78ff.,  and  figs.  183,  185-188. 

>»3  Corippus,  In  laudem  lustini,  II,  1371.,  ed.  by  Partsch,  Monumenta  Germaniae  Historica,  Auctores 
antiquissimi  (Berlin,  1879),  III,  130:  Quattuor  ingentem  clipei  sublimius  orbetn  adtollunt  leek  iuvenes. 
See  infra,  note  199,  for  clipeus. 

"*  Corippus,  II,  137-158. 


The  elevation  on  the  buckler  was  clearly  interpreted  as  the  new  emperor's 
"epiphany,"  his  manifestation  of  imperial  dignity  not  only  to  his  people  and 
his  city,  but  to  the  world.  Nunc  adest  was  a  terminus  technicus  for  a  divine 
appearance,^^^  and  in  this  case  the  ^Tri9avfis  was  hailed  as  the  maximus  orbis 
communis  benefactor,  a  notion  referring  to  a  person  of  semidivine  character. ^^^ 
The  subjected  kings  bend  their  necks  and  worship  (adorant)  the  numen  prae- 
sens  of  the  emperor  as  it  rises— just  as  the  Oriens  coins  display  the  rising 
Sun-god  as  he  puts  his  foot  on  the  necks  or  backs  of  subjected  enemies,  the 
demons  of  darkness.^^^  The  image,  of  course,  of  the  defeated  worshipping  the 
appearing  prince  is  traditional  in  connection  with  Adventus-^^\\>\i2cay  scenes, 
and  it  is  found  in  the  same  place  until  the  high  Middle  Ages.^***  The  buckler  it- 
self seems  to  remind  the  poet  of  the  disk  of  the  sun  {clipeus  solis),  whereas  the 
emperor  solis  habens  speciem  is  the  Sun  himself — a  distinction  between  sun-disk 
and  Sun-god  which  is  not  without  parallels. ^'•'^  Moreover,  solis  habens  speciem 
likewise  belongs  to  the  general  vocabulary  of  epiphanies.^"**  The  emperor  on 
the  buckler,  however,  reminded  the  poet  more  specifically  of  the  rising  sun: 
he  visualized  geminos  consurgere  soles.  The  word  consurgere  is,  of  course,  the 
exact   equivalent   of   Greek   auvavaTeXXeiv,    a  term  which  reminds  us  of  the 

^*^  Nunc  adest  (line  145 f.)  is  a  formula  answering  the  ritual  cries  Adesto,  Adeste;  see,  for  these, 
Eduard  Norden,  Aus  altromischeyi  Priesterbiichern  (Lund,  1939),  178,  207,  227,  274,  with  the  parody  of 
the  Arvalian  prayer  by  .\rnobius,  Adversus  nationes,  III,  43,  ed.  by  Reifferscheid  (CSEL,  IV  [Vienna, 
1875]),  140,  i3ff.;  further  Pfister,  "Epiphanie,"  RE.,  Suppl.  IV  (1924),  col.  304f.,  §  27f.,  and  "Epode," 
col.  335ff-,  §  i2ff.;  also  Hans  Siegert.  "Zur  Geschichte  des  Imperativs  adesto,"  Museum  Helveticum, 
XI  (1954).  195  ff-  Eor  the  Christian  style,  which  followed  the  pagan  style  of  invocations,  cf.  P.  Hendri-i, 
"La  fete  de  ri'"piphanie,"  Congrh  d'histoire  du  Christianisme  (Paris-.\msterdam,  1928),  II,  2i6f. ; 
also  a  note  by  Dom  Thomas  Michels,  "Auctor  pietatis  in  Roman  Liturgy,"  Folia,  I  (1946),  33,  note  2. 
See,  above  all,  the  more  recent  studies  by  Elpidius  Pax,  EniOANEIA  (Miinchener  Theologische 
Studien,  Historische  Abteilung,  X  [Munich,  1955]),  32!.,  74,  and  his  article  "Epiphanie,"  RAC,  V 
(1961),  841,  833  (hue  ades). 

196  j.-Qr  the  ruler  as  benefactor  (tuEpy^TTis) ,  see  Eiliv  Skard,  Zwei  religios-politische  Begriffe:  Euergetes- 
Concordia  (.Xvhandlinger.  .  .Norske  Videnskaps-.\kademi,  1931 ;  2  ^Oslo,  1932^),  for  the  earlier  period 
when  the  notion  of  benefactor  was  locally  or  nationally  conditioned,  whereas  Hellenistic  kings  and 
Roman  emperors  were  styled  benefactors  orbis  communis  (ttjs  KOiufis  otKoup^vr)?) ;  see,  for  this  notion, 
H.  Janne,  "La  lettre  de  Claude  aux  Alexandrins  et  le  Christianisme,"  Melanges  Franz  Cumont  (.\n- 
nuaire  de  I'lnstitut  de  philologie  et  d'histoire  orientales  et  slaves,  IV  [Brussels,  1936^),  276(1.,  and  a 
few  remarks  by  Cumont,  L'Egypte  des  astrologues  (Brussels,  1937),  27ff. ;  also  Schubart,  in  Klio,  XXX 
(1937),  6off-  Iritz  Taeger,  Charisma  (Stuttgart,  1957),  I,  237f.,  considers  the  title  Euergctes  the  lowest 
grade  of  cultual  honors  bestowed  upon  a  ruler, 

*"'  See  supra,  note  26,  for  my  forthcoming  study  on  "Roman  Coins  and  Christian  Rites." 

1'*  See,  for  the  parallelism  of  imperial  and  Christian  art,  Grabar,  L'empereur,  253 ff.,  also  8of.  See 
further  the  Roman  Assumption  poem  of  the  time  of  Otto  III  (Mon.  Germ.  Hist.,  Poetae  lat.,  V,  465ff.l. 
line  3gf. :  Vultus  adest  Domini,  cui  totus  sternitur  orbis,  with  reference  to  the  appearance  of  the  Volto 
santo  in  solemn  procession.  See  infra,  note  204. 

"*  See  Nock,  "The  Emperor's  Divine  Comes,"  114,  note  108,  who  calls  attention  to  the  distinction 
made  between  Helios  (or  Apollo)  and  the  disk  of  the  visible  sun.  Perhaps  Tertullian,  Apolog.,  XVT 
10,  should  be  added:  habentes  ipsum  (sc.  solent  =  Christum)  uhique  in  suo  clipeo.  Also  Ovid,  Metam.' 
XV,  192,  seems  to  take  the  sun-disk  as  the  shield  of  Phoebus:  Ipse  dei  clipeus.  John  of  Gaza  visualizes 
the  Pp^cpos  dvotr^AXcov  in  the  midst  of  the  disk;  see  his  Ekphrasis.  I,  55f.  (dXX'  kv\  u^ao-coi  /  dv5po|ji£v 
p6p9coae  90ais  Pp£(pos),  ed.  by  P.  Friedliinder,  Johannes  von  Gaza  und  Paultts  Silentiarius  (Berlin-Leipzig, 
1912),  138,  and  his  illuminating  commentary,  p.  170.  For  the  distinction  between  sun-disk  and  sun- 
"substance"  with  regard  to  Christ,  see  also  the  poems  of  Manuel  Holobolos,  II,  17,  and  IV,  2,  ed. 
Boissonade,  Anecdota  Graeca  (Paris,  i829ff.),  V,  161,  163. 

*"  Apuleius,  Metam.,  XI,  24:  Lucius  appearing  to  the  worshippers  ad  itistar  solis.  Cf.  Nock,  Con- 
version (Oxford,  1933),  146;  Willi  Wittmann,  Das  Isisbuch  des  Apuleius  (Forschungen  zur  Kirchen-  und 
Geistesgeschichte,  XII  [Stuttgart,  1938]),  ii4ff. 


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Persian  royal  title— "who  rises  together  with  the  sun. "201  In  fact,  it  has  been 
convincingly  demonstrated  in  recent  years  to  what  extent  Corippus'  leading 
idea-  his  equation  of  the  elevation  on  the  buckler  and  the  imperial  sunrise— had 
been  anticipated  by  the  ceremonial  observed  at  the  New- Year's  feast  of  the 
Achaemenean  kings.  The  king,  seated  on  his  throne,  was  lifted  with  his  throne 
on  the  shoulders  of  his  men:  "He  rose  on  that  day  like  the  sun. . .  Now  people 
were  astonished  at  the  rising  of  two  suns. "202  Moreover,  Achaemenean  seals 
quite  often  display  in  an  upper  register  Ahura  Mazda  rising  in  the  middle  of 
the  world  ring,  while  in  the  lower  register  the  Great  King,  likewise  within  a 
disk,  duplicates  the  image  of  the  supreme  god.203  Indeed,  those  were  the 
gemini  soles  of  which  Corippus  was  speaking.  A  miniature  in  a  Greek  Psalter 
shows  how  long  those  symbols  survived  by  transference:  the  prince  and  his 
son  are  seen  rising  on  the  buckler  while,  in  a  disk,  Christ  ascends  to  heaven 
and  thus  parallels  by  his  ascension  the  royal  metaphor;  nor  is  there  absent, 
in  the  right  corner  of  the  picture,  the  group  of  subjected  enemies  "bending 
their  necks"  (fig.  36). ^o^ 

We  recognize  the  long  tradition  of  the  metaphor  of  the  "Two  Suns,"  which 
referred  at  times  to  the  king  and  the  natural  sun,  and  at  other  times  to  the 
king  and  the  deity:  Ahura  Mazda  or  Mithras  or  Christ.^o^  Corippus,  in  his 
panegyric,  stressed  the  duplication  of  the  natural  sun  through  the  rise  of  the 
emperor.  But  the  Christian  features  were  not  lacking  in  his  scenic  setting. 
After  the  fashion  of  the  customary  allegorical  spiritualization,  Corippus  inter- 
preted the  "imperial  sun"  as  the  mens  iusti,  whereby  the  "Just"  might  have 
been  nothing  but  an  allusion  to  the  Emperor's  name  Justin. 206  This  "mind  of 
the  Just,"  however,  plus  sole  nitet:  its  brilliance  eclipses  that  of  the  natural 
sun  because  it  knows  neither  darkness  nor  clouds,  but  is  a  sun  without  setting, 
non  mergitur  M«r//s— images  traditional  with  Christian  authors.^"' 

What  matters  here  is  that  the  elevation  on  the  buckler  was  interpreted  by 
Corippus  as  an  epiphany,  as  a  sunrise  of  the  imperial  sun  on,  or  in,  its  disk, 
an  idea  perhaps  intimated  by  the  starred  buckler  on  which  King  David  was 
raised  (fig.  37)  and  expressed  in  its  most  concise  form  by  the  roundel  in  the 
Dumbarton  Oaks  Collection  (fig.  38)  and  its  parallel  in  Venice.2o«  In  fact, 
Corippus  once  more  referred  to  the  Emperor  as  Oriens  when  describing  the 

'""  Sec  supra,  note  71  f. 

=»2  Albiriini,  Aihdr  ul-bdkiya  or  Vestiges  of  the  Past.  trsl.  by  C.  E.  Sachau,  The  Chronology  of  Ancient 
Nations  (London,  1879),  202,  i7ff.,  also  200,  35if.,  quoted  by  L'Orange,  Cosmic  Kingship,  87. 

*•'  L'Orange,  op.  cit.,  93,  figs.  65  b-c. 

»*  Vat.  gr.  1927,  fol.  32  (Ps.  XX).  ed.  by  E.  De  Wald,  The  Illustrations  in  the  Manuscripts  of  the 
Septuagint,  III:  i  (Princeton,  1941),  pi.  x. 

«>*  See  supra,  notes  70  f.,  190,  203.  For  gods  or  princes  in  the  zodiac,  see  also  L'Orange,  Cosmic 
Kingship.  32ff.,  with  fig.  i4ff.,  also  g^H.,  with  fig.  eyf.,  and  passim.  See  also  infra,  notes  275,  286f. 

»>«  For  allusions  of  that  kind,  see  E.  H.  Kantorowicz,  "Kaiser  I'riedrich  II,  und  das  Ko'nigsbild 
des  Hellenismus,"  Varia  Variorum:  Festgabe  fur  Karl  Reinhardt  (Munster-Cologne,  1952),  184,  note 
85.  Perhaps  Matt.  5:45  may  have  contributed,  a  versicle  which  has  influenced  also  the  poem  of  John 
of  Gaza,  I,  64f.,  cd.  by  Paul  Eriedlander,  138  and  171. 

™'  See  supra,  note  141  ff. 

^^  See  The  Dumbarton  Oaks  Collection:  Handbook  (Washington,  1933),  19  No  49  and  fig  49  p 
34;  H.  Peirce  and  R.  Tyler.  "A  Marble  Emperor-Roundel  of  the  Xllth  Century,"  Dumbarton  Oaks 
Papers,  2  (1941).  3-9-  See  also  L'Orange,  op.  cit.,  108,  fig.  81. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


155 


new  Emperor's  consular  procession.  Justin  was  carried  on  the  shoulders  of 
young  noblemen  while  sitting  on  his  portable  throne,  the  sella  divalis.  Anyone 
who  has  ever  seen  the  pope  being  carried  on  the  scdia  gestatoria  into  St.  Peter's, 
towering  high  above  the  agitated  ocean  of  the  frantically  acclaiming  crowd, 
will  understand  that  to  Corippus  the  Emperor  on  his  portable  throne  appeared 
"like  the  holy  luminary"  or  "like  the  golden  sun  emitting  from  the  liquid 
waves  of  the  ocean  its  resplendent  rays."2o» 

The  sunrise  metaphor  was  applied  by  Corippus  in  connection  with  two 
conspicuous  scenes—the  Emperor  raised  on  the  buckler  and  the  Emperor 
raised  in  the  sella  gestatoria — that  is,  on  two  occasions  when  the  Emperor 
physically  rose  and  appeared  aloft  in  an  elevated  place  above  all  other  men. 
It  is  characteristic  of  Byzantium  that  it  was  always  some  situation  related 
to  those  described  by  Corippus  which  evoked  the  sunrise  metaphor.  The 
evidence  may  be  found  in  the  acclamations  which,  on  the  whole,  had  ceased 
to  be  spontaneous  expressions  of  popular  feelings  but  had  become  ritualized. 210 
An  occurrence  around  a.d.  600  allows  us  perhaps  to  visualize  the  develop- 
ment from  spontaneity  to  ritualization  even  of  the  sunrise  metaphor  itself. 
One  day,  it  so  happened  that  the  Emperor  Phocas  was  late  in  appearing  at 
the  Circus  because  he  had  been  drinking  with  his  friends.  The  races  could 
not  start  before  the  Emperor  was  present,  whereupon  the  impatient  crowd 
began  to  shout  the  cry  which  henceforth  will  be  found  so  often  in  the  records 
of  Byzantine  history.  They  shouted:  'AvaxEiXov  Ocoko  "Rise,  appear,  Phocas. "^^i 
The  action  of  the  masses  was  certainly  spontaneous. But  was  the  cry  itself  a 
spontaneous  cry?  There  are  sure  to  exist  earlier  instances  for  the  usage  of 
the  Anateilon  acclamation  which,  in  one  form  or  another,  was  probably  heard 
at  the  reception  of  Vespasian  in  the  hippodrome  of  Alexandria  ;2i2  and  it 
seems  that  this  was  a  conventional  cry  customary,  for  example,  in  the  circus. ^^^ 
Probably,  however,  it  was  only  in  a  later  period  that  those  cries  were  ritualized 
and  received  their  set  place  within  the  imperial  ceremonial.  In  later  times,  at 
any  rate,  these  calls  or  acclamations  were  so  well  known  in  Byzantium  and 
so  fixed  within  the  imperial  ceremonial  that  a  certain  performance  was  simply 
called  TO  dvdTEiXov,  just  as  in  the  old  Austrian  monarchy  the  imperial  anthem 
was  styled  Das  "Gott  erhalte."  In  this  sense,  then,  Codinus  could  write:  oi  ydAxai 
9:6ouCTi  TO  dvaTEiAaTE,  "The  chanters  sing  the  Rise."^^'^ 

What  was  the  performance  of  the  "Rise"  like,  and  on  what  occasions  was 

"•"Corippus,  In  laudem  lustini,  IV,  iijU.,  245!?.,  25iff. 

*'»  For  the  development  of  the  acclamations,  see  Alfoldi,  "Zeremoniell,"  RM ,  XLIX  (1934),  79*^- 
Ireitin^er,  Zeremoniell,  71  ff.;  and,  in  general,  Th.  Klauser,  "Akklamationen,"  RAC,  I  (1950),  2i6tf., 
esp.  225f  (§  7). 

"'  Cedrenus,  Synopsis,  404I),  ed.  by  Bekker  (Bonn,  1838),  I,  709,  5. 

'"  See  supra,  note  79. 

^"  One  of  the  factions,  the  Greens,  traditionally  greeted  the  red  charioteer  as  'AvotteXXcjv ;  cf.  De 
caerimoniis,  I,  O9  and  71,  ed.  by  Rciske,  320,  12  and  331,  23,  ed.  by  Vogt,  II,  126,  11,  and  153,  8. 

"*  Codinus,  XVII,  ed.  by  Bekker,  97,  4;  cf.  A.  Heisenberg,  Atis  der  Geschichte  der  Palaiologemeit 
(Sitz.  Ber.  Munich,  1920,  Abh.  10),  iii;  see  also  Jacques  Handschin,  Das  Zeremonienwerk  Kaiser 
Konstantins  und  die  sangbare  Dichtung  (Basel,  1942),  103,  who  stresses  the  fact  that  the  Anateilon 
acclamations  finally  accomodated  to  the  plurality  of  emperors  (A  nateilate) ;  see,  for  this  point,  also 
De  caerim.,  ed.  by  Vogt,  Comment.  II,  p.  xvi. 


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it  sung?  The  Book  of  Ceremonies  of  Constantino  Porphyrogenitus  gives  a 
full  account  of  the  procedure  on  three  occasions:  at  the  nomination  of  a 
caesar  or  nobilissimus;  at  a  deximon,  a  ceremonious  reception;  and  in  the 
Hippodrome. 

The  co-optation  and  nomination  of  one  or  more  sub-emperors  or  caesars  on 
the  part  of  the  ruling  basileus,  practiced  ever  since  the  reforms  of  Diocletian, 
is  found  in  every  century  of  Byzantine  history.  In  the  Constantinian  age,  the 
caesar  had  the  title  of  epiphanestatos  kaisar,  later  of  eutychestatos.^^^  About 
the  ceremonial  observed  at  the  nomination  of  a  caesar  we  are  not  lacking 
information,  not  even  for  the  earlier  period.  In  fact,  the  proclamation  of  Leo 
II,  in  473,  is  well  described.  It  took  place  in  the  Hippodrome  where  soldiers 
and  people  had  assembled.  The  populace  called,  in  Greek,  for  the  old  Emperor, 
Leo  I,  to  appear,  while  the  army  fell  in  with  cries  in  Latin.  When  the  senior 
Emperor  appeared,  escorted  by  the  Senate,  the  assembly  demanded  that  the 
new  Caesar  be  crowned.  Thereupon  the  Caesar,  Leo  II,  was  introduced  and 
invested  by  the  Emperor. 216  The  nomination  of  Justinian  I,  in  525,  followed 
similar  hnes  but  for  the  fact  that  the  ceremony  was  staged  in  the  Triclinium 
of  the  palace,  and  not  in  the  Hippodrome. ^i' 

From  the  eighth  or  ninth  century  onward,  the  scene  of  the  investiture  of  a 
caesar  (the  technical  term  was  xeipoTovia,  the  imposing  of  hands)  took  place 
on  the  terrace  of  the  so-called  "Tribunal,"  a  very  spacious  atrium  within  the 
palace  where,  on  a  portable  altar,  the  regalia  and  insignia  of  the  new  caesar 
were  laid  out  on  that  occasion.  The  Tribunal  was  reached  by  passing  through 
an  immense  reception  hall,  the  "Triclinium  of  the  Nineteen  Couches,"  through 
which  the  imperial  procession  advanced.  However,  before  the  majesties  (that 
is,  the  senior  emperor,  his  empress,  perhaps  an  empress  dowager,  or  a  caesar 
created  at  an  earlier  date)  arrived  on  the  terrace  of  the  Tribunal,  and  while, 
together  with  the  patriarch,  they  were  still  traversing  the  "Nineteen  Couches,"' 
the  acclamations  were  started  outside  on  the  terrace  calling  for  the  rulers  to 
appear.  Those  acclamations  were  performed,  as  was  indeed  very  often  the 
case,  in  responsorial  style:  the  chanters  recited  and  the  people  responded. 

Chanters:  "Rise,  God-possessed  kingship"— 'AvdTeiAov,  r\  eveeos  BaaiAeia. 

People:  "Rise,  rise,  rise" — 'AvocteiAov,  dvctTeiAov,  dvoreiAov. 

Ch:  "Rise,  NN.  autocrats  of  the  Romans"— 'AvdTeiAov,  NN.,aOTOKpdTopes 
'Pcoiiaicov. 

P:   "Rise,  rise,  rise" —  'AvoTeiAov,  dvdTeiXov,  dvaxeiXov. 
Ch:  "Rise,  servants  of  the  Lord"— "AvdreiAov,  oi  eepd-rrovres  toO  Kupbu. 
P:   "Rise,  rise,  rise" — 'AvdTeiAov,  dvdreiAov,  dudxeiAov. 
Ch:  "Rise,  NN.  augustaeof  the  Romans"— 'AvdreiAov,  NN.  AuyoOcn-ai  tcov 
'PcoMaicov. 

*"  See,  for  the  epithets,  Vogt,  op.  cit..  II,  Comment.,  45  and  50. 

"«Z)«  caerim.,  I,  94.  Reiske,  431,  i2fl:  eKpatov...  TtpoTpETrovrrEs  tov-  paaiAw  dvEAdEiv.  What  the 
cries  were  like  is  not  said;  but  they  must  have  been  kXtitiko  similar  to  the  dvdreiAov  For  a  brief  survey 
of  the  earher  coronations,  see  \.  E.  R.  Boak,  "Imperial  Coronation  Ceremonies  of  the  Fifth  and 
bixth  Centuries,    Harvard  Studies  in  Classical  Philology,  XXX  (1919),  37!!. 

"'  De  caerim.,  I,  95,  ed.  by  Reiske,  432. 


t 

I 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


l;-57 


P:  "Rise,  rise,  rise" — 'AvdTeiAov,  dvdTEiAov,  dvaxEiAov. 

Ch:    "Rise,  rulers  with  the  augustae"— 'AvdTeiAov,  oi  SEcnrdTai  auv  toTs 

AuyoOorais. 
P:  "Rise,  rise,  rise"— 'AvdxeiAov,  dvdreiAov,  draxeiAov. 
This  is  the  .scheme  of  the  Anateilon  acclamation  as  it  was  offered  before 
the  emperor  and  his  family  became  visible  and  made  their  appearance  on 
the  terrace  of  the  Tribunal.  On  the  terrace  an  altar  was  prepared  behind 
which  the  patriarch  with  his  deacon  took  his  place,  whereas  it  was  the  emperor 
who  blessed  the  crowd  by  making  three  times  the  sign  of  the  cross.  At  this 
moment  the  chanters  of  the  Blues  and  the  Greens  fell  in,  singing  the  angelic 
cries:  "Holy,  holy,  holy."  Then  the  singers  changed  the  tune  and  explained, 
as  it  were,  the  purpose  of  the  preceding  Anateilon  cries: 

Lords  of  the  inhabited  world,  take  pleasure  in  your  slaves  who  have 
called  you  forth  (-irapaKaAoOvTas) .  Slaves  that  we  are,  we  venture  to 
call  you   forth    (-rrapaKaAEaai).  With   fear  we  entreat    (SuctcottoOuev)  the 
lords,  and,  O  benefactors  (EUEpyeTai),  warding  off  the  evil  (dAE^iKdKco?) 
be  favorably  disposed  to  the  supplications  of  your  people.  Lords,  make 
your  slaves  happy ;  for  the  happiness  of  your  city  we  entreat  you.  Let 
there  appear  (eTri9avr)Tco)  to  your  slaves  the  caesar.  We,  thy  slaves,  O 
lords,  are  calhng  him  forth  for  the  utmost  glory  of  the  senate,  for  the 
utmost  success  of  the  army,  for  the  delight  of  you,  O  benefactors. "218 
These  acclamations  are  interesting  in  many  respects.  The  chanters  first  apol- 
ogized for  having  "called  forth"  the  majesties  by  the  cries  of  Anateilon,  of 
having  troubled  them  to  make  their  appearance.  That  is,  they  interpreted  the 
Anateilon  cries  as  the  thing  that  they  really  were:  KAriTiKd,  or  Omvoi  TrapaKAriTiKoi 
cultual    and  ritual    cries    by  means  of  which   a  god  was  invited  to  make 
his  appearance.219  The  apologies  for  having  evoked,  or  conjured  up,  the  alexi- 
kakoi,  the  gods  or  "benefactors"  warding  off  evil,  likewise  belong  to  the 
same  ritual  sphere;  they  are  found  quite  often  in  the  magic  papyri.220  No  less 
interesting  is  the  "fear"  lest  one  has  "pestered"  the  majesties,  the  frequent 
assertion  of  the  slave  status  of  the  callers  or  "conjurers,"  and  the  final  demand 
to  cause  the  epiphany  of  the  new  caesar.221 

We  recognize  that  a  ritual  performance  has  been  taking  place  within  which 
the  cries  of  "Rise,  rise,  rise"  have  their  very  specific  and  almost  magical  func- 
tion, the  function  of  calling  the  not  yet  present  niimen  of  the  emperor.  And  it 
falls  in  with  the  general  idea  of  making  a  solemn  evocation  of  a  deity  that 

»"  For  the  whole  performance,  see  De  caerim..  I,  43,  Reiske  ed.,  222f!.,  Vogt,  II,  29fif.  The  same 
acclamations  were  offered,  according  to  I,  44,  Reiske,  228,  21  ff.,  Vogt,  II,  36,  at  the  promotion  of  a 
nobilissimus.  The  second  set  of  acclamations,  without  the  Anateilon,  was  heard  on  other  occasions  as 
well;  see  De  caerim.,  I,  62,  69,  71,  Reiske  ed.,  2781.,  327,  354,  356,  Vogt,  II,  88,  132,  1551.  For  the 
Tribunal,  see  Vogt,  I,  Comment.,  51!.,  and,  ibid.,  68,  for  the  Nineteen  Couches. 

"»  See  SM^ra,  note  195,  and  Elpidius  Pax,  EniOANEIA,  32 f.,  and  passim;  also  "Epiphanie," 
RAC,  V  (1961),  841  (Ruf-tind  Heischelieder). 

»«>  See,  e.g.,  Preisendanz,  II,  54  (P.  XIa,  14);  Pfister,  "Epode,"  335 f. 

«"  These  assertions  of  fear  and  awe,  frequent  in  the  magical  papyri,  arc  also  "liturgical."  See 
Edmund  Bishop,  "Observations  on  the  Liturgy  of  Narsai,"  in  R.  H.  Connolly,  The  Liturgical  Homilies 
of  Narsai  (Texts  and  Studies,  VIII:  i;  Cambridge,  1909),  92fi. 


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ERNST  H.  KANTOROWICZ 


the  ^Tn9avri5  when  finally  he  appears,  blesses  the  people,  and  that  the  bless- 
ings, in  their  turn,  are  answered  by  the  cry  of  the  angels:  Holy,  holy,  holy. 222 
Very  similar  was  the  procedure  at  a  Deximon,  a  solemn  reception  in  the 
palace  for  the  court  society. 223  Again  the  Anateilon  was  sung  before  the  majes- 
ties appeared,  while  they  ascended  to  the  elevated  thrones.  It  was  their  "Sun- 
rise" to  the  throne  which  the  Anateilon  indicated.  And  again  the  blessing 
followed  and  was  responded  to  by  the  cries  of  the  Thrice-Holy.  In  the  so-called 
Trilexion,  a  tripartite  chant  for  the  emperor,  which  followed  and  was  intro- 
duced by  and  interspersed  with  Polychronia  (the  good  wishes  for  a  long  reign), 
there  was  actually  found  a  quotation  of  Luke  i :  78,  with  special  reference  to 
the  emperor: 

The  City  of  the  Romans  is  rendered  strong,  since  she  has  received 
salvation  from  her  own  scion,  and  glorified  is  the  scepter  of  power. 
For,  "the  Sunrise  from  on  high  has  visited  her"  through  thee,  our 
ruler,  who  loves  righteousness  and  has  been  anointed  by  the  Lord  with 
holy  oil.224 
In  other  words,  through  the  emperor,  the  native  son  of  Byzantium,  the  Sun 
of  Righteousness  has  risen  and  has  brought  salvation  to  the  city. 

The  Anateilon  acclamations  are  once  more  mentioned  in  the  Book  of  Cere- 
monies, in  connection  with  the  emperor's  appearance  in  the  Hippodrome. 225 
Actually  the  very  appearance  of  the  Basileus  in  his  box  at  the  races  was  called 
'AvaToAri  toO  BecrrTOTou,  the  "rise"  or  adventus  of  the  ruler. 226  The  Anateilon  ac- 
claims were  offered  by  the  two  circus  parties,  with  slight  variations  on  the 
part  of  the  Blues  and  the  Greens,  at  the  moment  when  the  majesties  were 
ready  to  ascend  the  steps  of  the  Kathisma  and  while  they  ascended  them, 
though  before  they  became  visible  to  the  people.  Then  the  emperor,  having 
made  his  appearance  and  standing  with  his  family  before  the  thrones,  gave 
the  blessings  with  the  folded  corner  of  his  chlamys.  He  turned  first  to  the 
crowd  in  the  center,  then  right  and  left  to  the  Blues  and  Greens  respectively, 
whereupon  the  blessing  was  again  responded  by  the  Thrice-Holy  and  the 
ensuing  acclamations  of  the  emperor  "with  whom  God  rules  together"  and  who 
makes  the  majesty  above  visible  on  earth  by  "imitating  God's  philanthropy.  "227 
The  three  performances  described  by  the  Book  of  Ceremonies  show  that 
invariably  the  Anateilon  was  sung  before  the  emperor  or  emperors  became 
visible  to  the  people,  that  is,  while  they  were  in  the  process  of  "rising"  to  the 

«"  Treitinger,  Zeremoniell,  227,  note  80,  has  collected  the  places  for  the  imperial  blessing  (Kcrracrcppa- 
y(teiv)  of  the  people. 

"i>  De  caerim.,  I,  63,  Reiske  ed.,  280,  Vogt,  II,  Qoff.  For  the  deximon,  see  Vogt,  II,  Comment., 
97ff.,  and  for  the  musical  parts,  Handschin,  Das  Zeremonienwerk,  51. 

^^*  De  caerim.,  I,  63,  Reiske  ed.,  281,  23ff.,  Vogt,  II,  91. 

**'  De  caerim.,  I,  69,  Reiske  ed.,  3i6f.,  Vogt,  II,  r22f. 

2«  De  caerim.,  I,  68,  Reiske  ed.,  305,  5,  Vogt,  II,  113,  13;  see  also  Sophie  Antoniades,  La  place  de  la 
liturgie  dans  la  tradition  des  lettres  grecques  (Leiden,  1939),  196. 

"'  I-"or  the  imperial  blessings  dispensed  with  a  ply  of  the  purple,  see  Reiske,  II,  64  and  89,  and 

Treitinger,  Zeremoniell.  227,  note  80.  Whether  or  not  this  ritual  should  be  connected  with  the  mappa. 

the  purptireum  pannulum,  in  the  hand  of  the  emperor,  or  with  the  adoration  of  the  purple,  would  be 

difficult  to  tell;  see,  for  the  latter,  W.  T.  Avery,  "The  adoratio  purpurae."  Memoirs  of  the  American 

/I catfetMy  tM  i?ome,  XVII  (1940),  66-80.  For  the  acclamations,  see  De  cafmw     I    69    Reiske  ed     ^17 
6ff.,  Vogt,  II,  123.  '       '  ■ 


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159 


Tribunal,  to  the  throne,  to  the  Kathisma.  Just  as  Corippus,  in  his  panegyric, 
a])plied  the  Sunrise  metaphor  on  the  occasion  of  the  elevation  on  the  buckler 
or  on  the  sedia  gestatoria,  so  were  the  Anateilon  cries  evoked  whenever  tlie 
emperor  physically  ascended  to  some  higher  level.  This  became  true  also,  if  in 
a  slightly  more  artificial  fashion,  when  the  ceremony  of  the  prokypsis  was 
introduced,  a  performance  which  is  not  mentioned  in  the  book  of  Constantine 
Porphyrogenitus,  and  which  does  not  seem  to  antedate  the  Comnenian  period.228 
Prokypsis  can  mean  any  raised  platform  or  dais,  and  in  this  sense  a  scho- 
lion  to  an  epigram  of  the  Anthologia  Planudiana  uses  the  word,  or  rather 
-rrpoKUTmov,  to  designate  the  elevated  imperial  box  in  the  Circus  from  which 
the  emperor  watched  the  races.229  In  the  course  of  time,  however,  it  came  to 
mean  both  a  ceremony  and  a  peculiar  kind  of  elevated  platform.  The  proky- 
psis was  a  wooden  estrade,  erected  in  the  open  and  appropriately  draped  with 
tapestries  and  golden  curtains.  The  curtains  were  as  yet  closed,  when  the 
emperor  with  the  caesars  and  the  augustae  ascended  the  platform'  by  a  back 
stair  while  the  front  of  the  stage  was  still  veiled.  In  front  of  the  prokypsis, 
the  court,  the  clergy,  the  deputations  of  the  army,  and  the  people  assembled 
waiting  for  the  majesties  to  appear.  Then,  after  the  members  of  the  imperial 
family  had  taken  their  proper  places  on  the  estrade  and  had  arranged  themselves, 
the  curtains  were  flung  open:  the  emperors,  now  visible  from  the  knees  up- 
ward, made  their  epiphany.  The  stage  was  artificially  illuminated  whenever 
the  ceremony  took  place  after  sunset,  as  indeed  it  often  did.  In  the  dark  of 
the  night  the  prokypsis  would  give  the  impression  of  being  an  island  of  light 
in  the  brilliancy  of  which  the  numen  praesens  of  the  basileus  became  manifest ; 
it  was  an  imperial  epiphany.23o 

The  performance  of  the  prokypsis  was  staged  regularly  on  certain  feasts  of 
the  Church,  on  Christmas  and  Epiphany,  after  the  emperor  had  attended  the 
service  at  Vespers  in  one  of  the  palace  churches;  but  it  was  made  also  on 
certain  feasts  of  the  court,  at  coronations  and  weddings. 2^1  The  rite  was  a 
blending  of  ecclesiastical  and  pagan-imperial  features.  One  contribution  of  the 
Church  should  be  sought  in  the  elaborate  use  made  of  the  curtains  (KaTa-rre- 
Tdauaxa)  which,  in  the  divine  service,  once  the  iconostasis  had  been  introduced, 
had  liturgical  functions.232  The  opening  and  closing  of  the  katapetasmata  of  the 

«'  For  the  prokypsis.  see  the  classical  study  of  Heisenberg,  Palaiologenzeit,  85  ff.,  and  the  valuable 
additions  by  Treitinger,  Zeremoniell,  ii2ff.  See  further  M.  A.  Andreeva,  "De  la  ceremonie  'proky- 
psis,'" Seminarium  Kondakovianum.  I  (1927),  157-173  (the  Russian  text  has  been  kindly  translated 
for  me  by  Professor  Michael  Cherniavsky),  who  very  correctly  emphasizes  the  close  connection  of  the 
prokypsis  with  the  emperor's  anatole  at  a  deximon  and  in  the  Hippodrome  (see  next  note),  a  connection 
which  was  not  only  "external"  (Treitinger,  114). 

2»  Sec  Anthologia  Palatina.  ed.  by  F.  Diibner  (Paris,  1888),  II,  640,  the  scholion  to  XVI,  380. 

»^  Artificial  light  effects  in  connection  with  an  epiphany  were  well  known.  See,  e.g.,  L.Deubner 
"Romische  Religion,"  Archiv  fiir  Religionswissenschafl.  XXIII  (1925),  314,  who  mentions  a  slab  froni 
the  thermae  of  Caracalla  in  which  the  spaces  between  the  rays  of  Mithras'  radiate  crown  were  cut  out 
so  that  a  light  placed  behind  that  slab  would  gi\e  the  impression  of  the  gotls  appearance  in  the  splen- 
dor of  the  divine  light;  see,  for  a  similar  slab,  G.  Behrens,  "FZin  Mythraeum  in  Bingen,"  Germania. 
VI  (19-2-2),  82.  See,  above  all,  Apuleius,  Metam..  XI,  24fi.  Treitinger,  Zeremoniell.  115,  note  338. 

''^i  Treitinger,  Zeremoniell.  114,  note  335. 

"»  See,  in  general,  Carl  Schneider.   "Studien  zum  Ursprung  liturgischcr  Einzclheiten  ostlicher 
Liturgien,   I:  Kon-aTreTaCTtia."  Kyrios.  I   (1936),  57-73:   Joseph  Braun.  Der  christliche  Altar  (Munich 
1924),  II.  I59ff. 


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161 


prokypsis  paralleled  the  exposing  and  concealing  of  the  altar  space  in  the 
divine  service  of  the  Eastern  Church.  On  the  other  hand,  however,  the  ex- 
pedient of  the  curtains  which,  in  the  language  of  the  Church,  symbolized  the 
"opening  of  heaven, "233  had  its  tradition  in  the  pagan  Roman  past  which 
continued  to  work  as  a  fermenting  agent  in  the  rites  of  the  Church.234  Moreover, 
it  was  a  remnant  of  the  ancient  cult  of  emperors  that,  at  the  prokypsis,  the 
basileus  was  almost  constantly  acclaimed  as  Helios,  although  this  feature,  too, 
had  assumed  a  Christian  meaning:  the  imperial  christomimetes  was  a  reflection 
of  the  Sun  of  Righteousness,  so  prominently  present  in  the  hturgies  of  Christ- 
mas and  Epiphany.235 

Where,  then,  were  the  Sunrise  acclamations  fitted  into  the  punctiho  of  the 
prokypsis}  According  to  Codinus,  the  chanters  sang  the  Anateilate  (here  for 
the  first  time  the  plural  is  used  instead  of  the  customary  Anateilonf^^  when 
the  majesties  ascended  the  platform  still  veiled  by  the  golden  curtains  so 
that  the  emperors  could  not  be  seen  by  the  people.  As  soon  as  the  curtains 
opened,  those  surrounding  the  prokypsis  extolled  the  emperors  with  felicitat- 
ing acclamations.237  Almost  the  same  information  may  be  gleaned  from  an 
anonymous  report  referring  to  the  coronation  of  Manuel  II  Palaeologus  (1386). 
The  cries  of  "Rise,  rise,  rise,  emperors  of  the  Romans"  ('AvaTeiAaTe,  dvaTeiXaTe, 
dvaTEiAaTe,  BaaiAel?  tcov  'Pcopaicov)  were  heard  while  the  curtains  were  closed. 
"Immediately  thereafter  they  draw  the  curtains  back.  The  emperors  make 
their  appearance,  and  the  acclamations  are  said.  And  the  closing  of  the  cur- 
tains finally  deprives  the  people  from  further  looking  at  the  emperors."238 
Although  these  reports  are  late,  we  nevertheless  recognize  the  familiar  cadre 

233  This  was  already  the  interpretation  of  John  Chrysostom,  HomUia  Til  ad  Ephes.,  c.  5,  Migne, 
PG,  LXII,  col.  29;  and  it  will  be  found,  with  slight  variations,  in  various  expositions  of  the  Mass  and 
of  church  Ijuildings  in  the  East  as  well  as  in  the  West;  cf.  Brightman,  Liturgies  Eastern  and  Western, 
491,  i6ff.  ("signifying  that  the  doors  of  heaven  are  then  opened");  Ps.  -Bede,  De  tabernaculo,  II.  8, 
Migne,  PL,  XCI,  cols.  443C  (Velum  hoc,  coelum  interprctatur)  and  446D  [velum  quo  caelum  figuratur). 
For  the  "Prayer  of  the  Veil"  (euxr)  TTepiiTETdCTtJotTOs),  see  Brightman,  op.  cit.,  84  f.,  158,  and  Henri 
Stern,  in  Cahiers  archeologiques.  Ill  (1948),  97.  note  3. 

231  Alfoldi,  "Zeyemoniell,"  36ff.;  cf.  Euscbius,  Ad  Const.,  1,  i,  ed.  by  Heikel,  196,  30 ff.;  Corippus, 
In  laud.  lust..  Ill,  ioyff.,  255f.,  ed.  by  Partsch,  142!.  See  also  Grabar,  "Une  fresque  Visigothique  et 
I'iconographie  du  silence,"  Cahiers  archeologiques,  I  (i945).  1^4^-.  f"r  a  rapid  survey  of  the  develop- 
ment. See  also  Theodor  Klauscr,  "Der  Vorhang  vor  dem  Thron  Gottes,"  Jahrbuch  fur  Antike  und 

Christentum,  III  (19(^0).  141  f- 

236  xhe  interrelations  between  pagan-imperial  survival  and  imperial  christomimesis  have  been 
discussed  by  Treitinger,  Zevemoniell,  iiyff.;  cf.  L'Orange,  Cosmic  Kingship,  iii- 113.  Professor  Francis 
Dvornik,  of  Dumbarton  Oaks,  will  have  more  to  say  about  this  subject. 

23*  Codinus, c.  XVII,  ed.  by  Bekker,  97 : xpuawv  5^  pr)XoOOpcoi>  ttiv  (4vap<i6pav  CTKeirdvrwv  cbore  ixf\  6paa6ai 
Tous  paaiXEls,  o\  <^6iXTa\  gSoucri  t6  dvaTeiXorre,  AvoTEiAare.  alpou^vcov  ouv  eOOOs  tcov  pTiAoSOpcov  EU(pTmoOvTai  ol 
PaaiAEls.  The  suddenness  of  the  epiphany  (cf .  Matthew  24:27:  coaTTEp  i]  darpaini)  is  remarkable  and  seems 
to  belong  to  the  ceremonial ;  see  Apuleius,  Metam., XI,  24 :  repente  velis  redtictis ;  further,  the  anonymous 
coronation  report,  quoted  by  Heisenberg,  Palaiologenzeit,  90:  koI  euOOs  crOpavTES  to  KorrcnTETaapcn-a ; 
and  ibid.,  85  (,\cominatus) :  f^ai^vris  (^avt\%.  The  vela  were  curtains  which  opened  right  and  left  such 
as  are  seen  in  hundreds  of  representations;  cf.  Grabar,  Martyrium,  II,  141,  note  4,  and  his  article 
referred  to  supra,  note  234,  who  rightly  connects  this  apparatus  with  theophanies.  There  were,  how- 
ever, also  liturgical  curtains  which  went  up  vertically;  sec,  e.g.,  Leontius  of  Neapolis,  ]'ilaS.  Johannis 
Eleemos.,  c.  14,  Migne,  PG,  XCIII,  col.  1627:  iam  diacono.  .  .sanctum  velum  exaltaturo.  This  rolling 
curtain  was  known  in  Rome;  see  W.  Beare,  "The  Roman  Stage  Curtain,"  Hermathena,  LVII  (1941). 
104-115. 

"'  EucpTmoOvrai  ol  pacriXEis;  see  note  236. 

'3»  Heisenberg,  Palaiologenzeit,  90. 


of  the  ceremonial  which  is  practically  identical  with  that  described  in  the 
Book  of  Ceremonies  on  the  occasion  of  the  investiture  of  a  caesar,  of  the  im- 
perial appearance  at  a  Deximon,  or  in  the  Hippodrome.  The  traditional  ritual 
has  simply  been  adapted  to  the  prokypsis,  with  the  Anateilon  proffered  shortly 
before  the  emperors,  as  yet  invisible,  made  their  appearance.  The  chief  differ- 
ence was  that  at  the  prokypsis  the  imperial  epiphany  did  not  compare  to  an 
adventus,  but  was  the  result  of  a  conjuring  trick:  for  the  very  purpose  of  an 
epiphany  the  emperors  were  first  hidden  away  behind  the  curtain  and  then 
constrained  to  appear  by  the  invocation  of  the  Anateilon. 

The  connection  of  the  Anateilon  acclamations  at  the  prokypsis  with  the 
idea  of  imperial  sun-rulership  has  not  passed  unnoticed.239  It  is  best  illustrated 
by  the  works  of  the  poets  who  composed  the  official  chants  for  the  various 
epiphanies  of  the  emperor.  The  epithalamium  of  Theodore  Prodromus  cele- 
brating the  Emperor  Manuel  I  Comnenus  when,  in  1 147/8,  Manuel's  niece 
Theodora  was  married  to  Henry,  the  brother  of  the  Hohenstaufen  Conrad  III, 
was  probably  sung  at  the  wedding  prokypsis."^^  The  Emperor,  as  usual,  was 
addressed  as  the  sun  who  with  his  torch  was  supposed  to  give  splendor  to  the 
capital  and  who  "with  his  bright  rays  and  his  rises"  (kqI  toIs  XapTrpais  c^ktIcti 
CTou  Kai  TaTs  dvaToXals  aou)  shed  radiance  on  the  faces  of  the  young  couple. 
City  and  people  entreated  the  imperial  light-bringer  (paaiAiKe  9coa96pe  you): 
"Anateilon— Rise,  gold's  luster,  rise  from  your  bed-chamber  and  send  forth 
your  rays."2'«i  That  the  emperor  should  rise  from  his  bed-chamber  (koitcov) 
would  hardly  have  evoked  a  reminiscence  of  the  young  giant  of  Psalm  18:5, 
who  leaves  his  solar  bride-chamber  (Traaros).  The  words  differ  too  markedly. 2*2 
The  parallel  was  nevertheless  not  totally  absent  from  the  minds  of  the  poets, 
as  is  shown  by  a  poem  by  Nicholas  Eirenikos  for  a  bridal  prokypsis.  The  poem 
was  composed  for  the  engagement  of  the  Nicaean  Emperor  John  Vatatzes  to 
Constance,  a  daughter  of  the  Western  Emperor  Frederick  II  (1244),  and  it  was 
performed  by  two  half-choirs  which  apparently  substituted  for  the  customary 
chanters  of  the  Blues  and  the  Greens.  In  the  section  which  was  sung  while  the 
Emperor  and  his  bride  were  still  behind  the  curtain,  but  ready  to  appear  to 
the  people,  the  choir  sang: 

"HAiE  yiya  paaiAsO,  dKaiaoTe  9C0CT96p£, 

Tfis  oiKoupi^vris  696aA|ji4  Kai  twv  'Pcopaicov  Aux^e, 

dvoTEiAov,  dvoTEiAov,  tI  toO  AoiTToO  PpaSuvei?. 

("Sun-emperor,  giant,  bringer  of  light  untiring, 

Eye  of  the  world,  and  torch-light  of  the  Romans, 

Rise,  rise,  why  delay  still  longer  ?")243 

^^  Treitinger,  Zeremoniell,  ii2fi.,  117!.,  iigf.;  L'Orange,  Cosmic  Kingship,  iiiff. 
240  por  the  epithalamium,  see  supra,  note  191;  especially  lines  6ff.,  iiff.,  ed.  by  Neumann,  65,  ed. 
by  Heilig,  245. 

2*1  Ibid.,  line  13:  dvdreiXov,  6  ypwaouyi^s,  dTT6  toO  aoO  koitwvos. 
"^  See  supra,  note  ijjfi. 

"3  Cf.   Heisent)erg,   Palaiologenzeit,   104;  Treitinger,  Zeremoniell,  116,   See,  for  similar  language, 
Theodorus  Prodromus,  Poemata,  X,  31  f.,  ed.  by  Mai  (see  supra,  note  190),  408: 

Av^rEiXas,  Av^TeiAas  Aanirpiv  ht.  Tfjs  Icba;, 
f\KK  9eT£  PoctiAeO,  Kai  SqtSouxf'?  t^^v  ktIctiv. 

II 


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ERNST  H.  KANTOROWICZ 


Here  the  gigas  metaphor  comes  somewhat  closer  to  the  images  of  Psalm  i8:6, 
all  the  more  so  as  other  prokypsis  poems  put  into  parallel  the  miraculous  fact 
that  both  the  huge  Sun  of  Righteousness  and  the  huge  imperial  Sun  find 
enough  space  in  the  small  solar  disk:  Christ  encircled  by  the  tiny  cave  of  his 
birth,  and  the  emperor  by  the  narrowness  of  the  prokypsis  which,  on  Christmas, 
symbolized  anyhow  the  hollow  of  Bethlehem  filled  with  the  light  of  the  rising 
Sun  of  Justice. 24^ 

The  few  examples  here  adduced  are  evidence  for  the  fact  that  the  Anateilon 
acclamations  were  due  always  under  the  same  circumstances  and  that,  although 
the  word  had  simply  the  meaning  of  "appear,"  the  solar  connotations,  both 
imperial  and  Christian,  were  ever  present.  It  may  be  added  that  the  language 
of  the  Church  decisively  influenced  also  the  language  of  the  court  liturgy. 
Acclamations  celebrated  the  "ascension  without  evening  "(dv^cm-Epov  dvdAriyiv) 
of  the  monarchic  power,  or  honored  the  "inexhaustible  well  of  the  inhabited 
world' '  (dxevcoTov  9peap  Tf]?  oikouhevtis)  .^^^ Eustathius,  metropolitan  of  Thessalonica, 
praised  the  dynasty  of  the  Comneni  as  "light-bringing  without  setting"  (900090- 
pnaoi . . .  £15 dSuTov). 2-16 In anEpithalamium,probablyin connection  witha/)yo/ey/)- 
sis,  Theodore  Prodromus  addressed  the  Emperor  John  Comnenus:  "That  thou 
mayest  not  set.  Sun  of  Rome;  thou  mayest  not  set  in  all  eternity"  (m^  5uvri5,  'Pcomtis 
v(K\z,  \xr\  5uvTis  eis  aico vas)  .^^^  And  the  Easter  acclamations  proclaim :  "Today  the  crea- 
tion celebrates  a  double  paschal  feast  of  salvation  seeing  thy  scepter,  O  lord,  rising 
together  with  the  resurrection  of  Christ. "^^s  Thus,  the  feasts  of  Christmas,  Epij^h- 
any,  Easter,  and  others  were  "doubled"  in  Constantinople,  as  demonstrated 
by  the  Epiphany  poem  of  Prodromus  quoted  supyu,^*^  because  those  feasts  sig- 
nified the  Rising  of  the  two  suns,  of  the  Sun  of  Justice  as  well  as  of  the  imperial 
sun  which  likewise  was  a  light  "without  evening,"  a  light  "without  setting,"  a 
light  "inexaustible"  like  the  Light  glorified  by  the  chants  of  the  Church.  It  is 
evident  that  in  the  Byzantine  dvaToAf]  toO  Sectttotou  there  merged  the  pagan  Oriens 
Augusti  and  the  Christian  Oriens  ex  alto. 

4.  Lever  du  Roi 

We  may  feel  today  that  the  Byzantine  fashion  of  staging  the  Anatole  of  the 
Basileus  was  highly  artificial  and  even  theatrical.  Yet,  when  we  sneer  at  the 
artificiality  and  theatricality  of  Byzantine  ceremonial,  as  has  been  the  custom 
of  Western  authors  from  the  times  of  Liutprant  of  Cremona,  that  is  from  the 
tenth  century  onward,  we  should  not  forget  how  modest  all  that  display  was 
as  compared  to  the  gross  materiahsm  of  the  extravagant  cult  of  the  French 
Roi  Soleil  in  the  seventeenth  century. 

Oyaeca  (I  a.ns,  1829-1833)    V,  i6i  and  163;  L'Orange,  Cosmic  Kingship.  89,  note  i. 

i    T:r-   ;  ^Yr-  ^^  ^.'''^'-  ^75'  6ff.,  ed.  by  Vogt,  II,  176.  See  also  infra,  note  251 
"«  Eustathius,  Laudaho  fmiebris.  c.  71,  Migne,  PG,  CXXXV  col    io2sB 
"'  Theodorus  Prodromus,  Poemata,  IV,  14,  ed.  by  Mai   402  ' 
"s  De  caerim.,  I,  4,  ed.  by  Reiske,  46,  5,  ed.  l)y  Vogt,  I,  40   8 
''"  See  supra,  note  190. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


163 


When  in  1653  Louis  XIV,  then  aged  fifteen,  adopted  the  Sun  for  his  per- 
sonal symbol,  the  ground  was  thoroughly  broken  and  well  prepared  for  the 
dazzling  display  of  modern  Sun-kingship  which  has  forever  remained  attached 
to  this  monarch's  name.  It  is  not  an  exaggeration  to  say  that  in  the  West,  so 
far  as  solar  imagery  during  the  earher  Middle  Ages  survived  at  all  in  the 
language  of  courtly  veneration  of  rulers  secular  or  spiritual,  it  was  not  inter- 
locked with,  or  the  counterpart  of,  the  liturgical  solar  imagery  due  to  Christ 
as  the  Oriens  or  Sol  lustitiae.  Such  bipolarization  was  Byzantine,  but  it  was 
not  Western  in  the  early  Middle  Ages.  Solar  imagery  applied  to  kingship 
became  apparent  in  the  later  Middle  Ages  only,25o  and  thence  survived  in 
various  currents  and  gained  momentum  until  it  was  applied  in  a  more  exclusive 
fashion  to  the  bearer  of  the  French  crown.  One  current  derived  from  Byzan- 
tium and  was  activated  in  the  West,  for  example,  by  Italo-Greek  poets  who 
in  their  poetical  panegyrics  exalted  the  Norman  and  Swabian  rulers  of  Sicily. ^^i 
It  met  with  the  broader  stream  of  Latin  tradition  and  of  Latin  poetry  in 
agreement  with  which  Frederick  II  was  hailed  as  the  Sol  mundi  or  praised  as 
"the  new  Sun  that  has  risen"  [Sol  novus  est  ortus).^^^  A  third  current  should 
be  added,  which  may  be  called  the  "messianic"  current  in  the  wake  of  which 
Frederick  II  as  well  as  the  French  king  were  not,  as  in  Byzantium,  juxtaposed 
or  antithetically  compared  with  Christ,  but  were  adorned  with  the  customary 
epithet  of  Christ  himself,  Sol  iustitiae}^^  From  this  messianic  current,  there 
must  be  distinguished  the  ecclesiological  imagery  according  to  which  the  pope 
represented  the  Sun  and  the  emperor  the  lesser  luminary,  the  Moon.^^*  Hence, 
any  emphasis  laid  upon  the  solar  character  of  the  secular  power  could  assume 

""  This  has  been  noticed  also  by  Heinrich  Fichtenau,  Arenga:  Spdtantike  und  Mittelalter  im  Spiegel 
von  Urkundenjormeln  (Graz-Cologne,  1957),  35 ff.,  and  esp.  no,  for  the  revival  of  the  solar  topos  in 
the  times  of  the  Hohenstaufen. 

"1  See,  e.g.,  the  panegyric  of  Eugenius  of  Palermo  for  William  II  of  Sicily  (1166-1189),  ed.  L. 
Sternbach,  "Eugenios  von  Palermo,"  Byza>iiinische  Zeitschrift.  XI  (1902),  449,  No.  XXIV,  esp. 
verses  8-1 1,  praising  the  king  as  an  dv^cTTTtpos  <pcoa96pos,  "lightbearer  without  evening,"  who  with  his 
rays  weakens  those  of  the  natural  sun  to  such  an  extent  that  the  sun  is  forced  to  set.  See  also  Raffaele 
Cantarella,  Poeti  Bizantini  {Milan,  1948),  I,  206,  No.  LXXXVIII  (Ital.  trsl.  II,  236),  for  the  verses 
of  Georgius  Chartophylax  about  Frederick  II  and  Rome.  See  further  the  arenga  of  Count  Roger  I  of 
.\pulia,  of  1097,  composed  in  Greek,  and  later  (in  1143)  translated  verbatim  into  Latin  in  a  charter 
of  Roger  II,  quoted  by  Fichtenau,  Arenga,  36,  No.  30. 

"^  See  E.  Kantorowicz,  Kaiser  Friedrich  II.,  Erganzungsband  (1931),  251,  and  esp.  the  verses  of 
Orjinus  of  Lodi,  ed.  by  A.  Ceruti,  in  Miscellanea  di  Storia  Italiana,  VII  (1869),  45  (sol  novus  est  ortus) , 
and  compare  the  verse  of  Statius  (supra,  note  82).  For  Sol  mundi,  see  also  Erganzungsband ,  251  (letter 
of  Manfred).  See  further  R.  M.  Kloos,  "Ein  Brief  des  Petrus  von  Prece  zum  Tode  Friedrichs  II.," 
Deulsches  Archiv,  XIII  (1957),  I56ff.  (also  for  orientalis).  and  his  "Nikolaus  von  Bari,"  ibid..  XI 
(1954),  1^9-  ^■o''  the  Latin  tradition  (e.g.  Cassiodorus),  see  Fichtenau,  Arenga,  37,  No.  33. 

253  1,-Qr  Frederick  II  as  sol  iustitiae.  see  Manfred's  letter,  quoted  Erganzungsband,  251;  for  the 
King  of  I'Yance  (Regem  Francorum  solem  iustitiae),  see  J.  Haller,  Papsttum  und  Kirchenreform  (Berlin, 
1903),  I,  470,  note  I,  quoting  the  appellatio  of  the  University  of  Paris  against  Benedict  [XIII];  see 
also  infra,  note  260.  Also  the  other  solar  metaphor  of  Christ,  Oriens,  was  at  least  connected  with  the 
imperial  dignity  when  P'rederick  I  wrote  to  Monza  and  emphasized  in  the  Arenga  quanta  tnultitudine 
miserationum  suarum  ille  summus  oriens  ex  alto  nos  visitaverit.  qui  diadetna  imperii  et  coronam  glorie 
capiti  nostra  imponere  dignatus....  See  Fichtenau,  Arenga.  64,  No.  105;  see  also  97,  No.  i8g.  For 
antithetical  comparisons,  see  my  remarks  in  Varia  Variorum:  Festgabe  fiir  Karl  Reinhardt  (Miinster- 
Cologne,   1952),  i8off. 

'"  For  the  sun  and  moon  simile  in  political  theory,  there  are  a  few  remarks  by  K.  Burdach,  Rienzo 
und  die  geistige  IVandlung  seiner  Zeit  (Berlin,  1913-1928),  273ff.,  332 ff.;  also  Kantorowicz,  "Dante's 
'Two  Suns,'"  209,  230. 

II* 


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ERNST  H.  KANTOROWICZ 


also  an  antipapal  or  anti-hierocratic  tendency— very  obvious  in  the  outbursts 
of  Dante  who,  in  the  Divine  Comedy,  referred  to  the  two  universal  powers  as 
due  soli  and  addressed  his  messianic  emperor,  the  Luxembourg  Henry  VII,  as 
sol  nosier  and  Titan  exoriens.^^^  On  the  other  hand,  the  Roman  pontiff  whom 
the  jurists  also  occasionally  identified  with  the  Sun.^^s  could  easily  recognize 
the  solar  character  of  the  secular  power  had  that  suited  his  purposes. '-^^^ 

These  late-mediaeval  currents  were  active  everywhere  in  Europe. ^^^^  Tliey 
occasionally  broke  to  the  surface  in  late-mediaeval  England, ^^^  and  they  were 
certainly  not  absent  from  France:  "It  is  he  [the  king  of  France]  who  comes 
from  heaven  and  sparkles  brighter  than  the  sun;  it  is  he  who  has  illumined  all 
of  us. . . ;  it  is  he  who  rightly  may  be  called  the  king  of  glory."  Such  were  the 
greetings  extended  to  the  delegates  of  the  University  of  Paris  who  were  sent 
to  the  Council  of  Pisa  in  1409. ^^  The  quasi-theological  or  semireligious  flavor 
of  utterances  such  as  these  cannot  easily  be  mistaken,  nor  was  this  substratum 
abolished  in  the  age  of  royal  absolutism  even  though  the  Renaissance  movement 
and  the  general  revival  of  classical  antiquity  tended  to  have  secularizing 
rather  than  spiritualizing  influences. 

*"  See  Dante,  Purgatorio,  XVI,  io6f.,  recently  discussed  by  Michele  Maccarone,  "La  teoria  ieroc- 
ratica  e  il  Canto  XVl  del  Purgatorio,"  Rivista  di  Storia  della  Chiesa  in  Italia,  IV  (1950),  375ff.,  and 
my  study,  mentioned  supra,  note  254.  See  Dante's  Epist.,  Vll,  1-2,  and  V,  i.  For  tlie  anti-hierocratic 
tendency,  see  also  Hampe  [infra,  note  258),  43 ft. 

'''•  See,  e.g.  Baldus,  on  X,  i,  5,  4,  n.14,  In  Decretalium  volumen  Commentaria  (Venice,  1580),  fol. 
64:  S'cut  se  habel  sol  in  planelis,  ita  papa  in  ecclesiis.  This  passage  was  quoted  verbatim  by  Mattliaeus 
de  Afflictis,  on  Liber  augustalis,  I,  7,  n.  32,  In  utriusque  Siciliae . .  .Constitutiones  novissima  praelectio 
(Venice,  1562),  1,  fol.  52,  who  adds:  et  ideo  unus  Deus,  unus  Sol,  unus  papa. 

^"  See,  e.g.,  Boniface  VIII  in  his  recognition  of  Albert  as  future  emperor  (April  30,  1303),  who 
pointed  out  that,  though  normally  the  sun-moon  doctrine  is  observed,  nos  autem  accipimus  hie  im- 
peratorem  solem...qui  est  sol  sicut  monarcha,  qui  habet  omnes  illuminare  et  spiritnalem  poteslatem 
defenders.  Ci.  Mon.Germ.  Hist.,  Constitutiones,  IV:  i,  139,  2off.,  No.  173.  The  exaltation  of  Albert,  of 
course,  was  to  serve  the  pope  in  his  struggle  against  Philip  IV  of  France. 

2*8  See,  e.g.,  for  Bohemia,  Karl  Hampe,  Beitrdge  zur  Geschichte  der  letzten  Staufer:  Ungedruckte 
Briefe  aus  der  Sanimlung  des  Magisters  Heinrich  von  Isernia  (Leipzig,  1910),  43!!.;  Joseph  Emler, 
Regesta  Bohemiae  et  Moraviae  (Prague,  1882),  II,  iio2f..  No.  2557.  Or,  for  Spain,  the  remarks  by  ]. 
A.  Emmens,  "Les  Menines  de  Velasquez,  Miroir  des  Princes  pour  Philippe  IV,"  Nederlands  kuvst- 
historisch  Jaarboek,  XII  (1961),  77f. 

25»  For  King  Richard  II,  see  the  literature  collected  by  me  in  The  King's  Two  Bodies,  32,  note  18. 
For  Henry  VIII,  see  Franklin  Le  Van  Baumer,  The  Early  Tudor  Theory  of  Kingship  (New  Haven, 
1940),  86,  121.  In  the  case  of  Queen  Elizabeth,  her  "cult"  as  Cynthia  and  virginal  Moon-goddess  did 
not  permit  a  solar  symbolism  to  develop  with  equal  strength;  cf.  Frances  A.  Yates,  "Queen  Eliza- 
beth as  Astraea,"  Warburg  Journal,  X  (1947),  27-82.  I'or  James  I,  see  the  authorized  version  of  the 
Bible  where  the  dedication  refers  to  the  appearance  of  the  king  "as  of  the  Sun  in  his  strength  "  A 
silver  medallion  designed  by  Nicolas  Briot  was  struck  for  Charles  I,  in  1633:  a  sun  radiating  (in  the 
Renaissance  fashion  of  hachures)  over  London  and  the  legend  SIC  REX  ILLUMINAT  URBEiM  SOL 
ORBEM  REDIENS.  A  specimen  of  this  medallion  is  owned  by  the  American  Numismatic  Society 
and  a  reproduction  is  found  in  L.  Forrer's  Biographical  Dictionary  of  Medallists  (London,  1904),  1, 

289,   fig.  :»    t/'      ' 

.u  \^^^f 'T"  °^  hatchings  for  representing  the  sun  are  remarkable  in  themselves.  For,  whereas  in 
the  Middle  Ages  the  sun  was  usually  represented  "mythologically"  or  figuratively  as  a  figure  or  bust 
or  head  with  a  radiate  crown,  the  Italian  emblemists- perhaps  under  the  induence  of  Durer-in- 
troduced  the  hatchings  which  were  still  emanating  from  a  face,  as  in  our  figure  40  (see  note  263).  See 
or  some  Italian  emblemists,  Jacopo  Gelli,  Divise,  Motti,  Imprese  di  famighe  e  personaggi  ilaliani 
(Milan,  1916  ,  p.  75^  No.  182;  p^43i  No.  1125;  p.  527,  No.  1364  etc.;  also  Erwin  Panofsky,  Studtes 
study"    "^^  (New  York,  1939),  XC,  fig.  170,  for  Alciati.  The  iconography  of  the  sun  deserves  a  special 

dorZIlrJiJ;^''^'"''^-  "^'^^^.^^  't'^y.?*'  ^"^  ^^"^*  P^"'^^^^  '«  G^^"d  Schism."  Archives  d'histoire 
doctnnale  et  htteraire  du  moyen  age,  XXIV  (1949),  260. 


ORIENS  AUGUSTI  -  LEVER  DU  ROT 


165 


From  the  sixteenth  century  onward,  political  art  and  political  literature 
north  of  the  Alps  abounded  in  solar  language.  Quod  in  celis  sol  hoc  in  terra 
Caesar  est.  This  motto  which  Diirer,  under  the  influence  of  his  learned  friend 
Pirckheimer,  placed  on  the  canopy  of  the  triumphal  car  designed  for  the  Em- 
peror Maximilian  (fig.  39),  was  in  many  respects  the  keynote  of  the  solar 
metaphors  applied  to  princes  in  that  century,  for  example,  to  the  Emperor 
Charles  V.^si  It  would  be  easy  enough  to  extract  from  political  and  legal  writ- 
ings of  the  sixteenth  century  any  number  of  passages  in  which  the  King  of 
France  as  "the  soul  of  his  realm"  was  compared  to  the  sun  as  the  "soul  of 
the  world,"262  or  of  statements  in  which  the  old  theme  of  the  "two  suns" 
which  God  had  given  to  the  world  was  repeated:  the  natural  sun  and  the  king 
as  the  sun  of  his  realm  (fig.  40). 263  Much  of  that  was  bolstered  up  by  quota- 
tions from  classical  authors  unknown,  or  practically  unknown,  during  the 
the  Middle  Ages.264 

The  direct  influence  of  clas.sical  antiquity  became,  of  course,  overwhelm- 
ingly strong  in  seventeenth-century  France.  It  was,  after  all,  the  century  of 
Charles  Du  Cange,  the  age  in  which,  under  the  patronage  of  Louis  XIV  and 
Colbert,  the  Royal  Press  sponsored  the  first  systematic  edition  of  Byzantine 
authors.  Hence,  this  strand  of  post-classical  tradition  was  reactivated  as  well, 
and  even  though  Constantine's  De  caeremoniis  was  not  seen  through  its  editio 
princeps  until  the  middle  of  the  eighteenth  century,  Codinus'  De  officiis  at 

'"Erwin  Panofsky,  Albrecht  Durer  (3rd  ed.,  Princeton,  1948),  I,  181.  A  medallion  of  Emperor 
Charles  V,  struck  in  Augsburg  in  1541,  uses  Diirer's  motto  verbatim  on  the  reverse;  Miimen  tind 
Medaillen,  K'atalog  Auktion  XVII  (Basel,  1957).  P-  I9,  No  126,  cf.  pi.  xvii.  See  also  the  impresa  of 
the  Prince  Elector  Johann  Georg  of  Brandenburg  (1571-1598),  a  sun  and  a  heart  with  cornucopia 
chained  together  and  the  motto:  Quod  sol  in  coelo;  quod  cor  in  corpore:  Princeps f Hoc  et  in  Imperio 
Maximus  esse  solet.  See  Jacobus  a  Bruck,  Emblemata  politica  (1618),  Emblema  VII,  p.  25IT.;  also 
art.  "Impresa,"  Enciclopedia  Italiana,  XVIII,  939.  See  also  supra,  note  259,  the  legend  of  the  medallion 
designed  for  Charles  I  in  1633;  further  J.  A.  Emmens,  op.  cit.  (supra,  note  258),  771.,  who  quotes 
from  J.  de  Solorzano  Pereyra's  Emblemata  Regio- Politica  in  centuriam  unam  redacta  (Madrid,  1653), 
320,  Emblema  XLII,  the  motto:  Sic  regat  Rex  Solum  ut  Sol  regit  Polum.  I  am  grateful  to  Professor 
Panofsky,  who  called  my  attention  to  this  article. 

^•2  The  unison  of  solar  imagery  and  divine  right,  so  characteristic  of  Louis  XIV,  is  found  earlier 
in  the  addresses  of  the  Procureur  general  Jacques  de  la  Guesle;  see  his  Remonstrances  (Paris,  161 1), 
where  the  first  Remonstrance,  of  1588,  begins  with  a  long  discussion  of  the  functions  of  the  sun  in 
order  to  show  (p.  3)  "que  plusieurs  rapports  se  sont  faicts  de  I'authorite  Royalle  au  Soleil:  comme 
Dieu  I'a  colloque  la  hault  au  ciel  pour  la  plus  excellente  representation  de  sa  grandeur:  aussi  a-il 
place  icy  bas  en  la  terre  une  autre  lumi^re,  image  de  sa  divinite,  en  la  personne  des  Princes  souverains." 
In  another  Remonstrance  of  the  same  year  (p.  35  f.),  the  author  begins  with  a  paraphrase  of  Psalm 
18:  4fi.  (the  sun  coming  out  of  his  chamber  as  a  bridegroom  and  running  his  course  as  a  giant;  see 
supra,  note  242)  and  then  immediately  applies  those  images  to  the  king;  and  in  the  Remonstrance  of 
1589,  P-  91,  the  sun  is  defined  as  I'dme  de  I'Univers. 

283  Pierre  Le  Moyne,  De  I'art  de  regner  (Paris,  1665),  finally  brings,  p.  46,  an  impresa  of  Louis  XIV 
showing  the  two  suns  in  the  sky.  For  the  political  ideas  of  Le  Moyne,  see  H.  Ch6rot  S.  J.,  £tude  sur  la 
vie  et  les  oeuvres  du  P.  Le  Moyne  (Paris,  1887),  321  ff. 

''■'  Jacques  de  la  Guesle  avails  himself  of  that  new  material  very  extensively,  and  in  another  con- 
nection I  have  indicated  that,  e.g.,  the  Neo- Pythagorean  fragments  from  the  Florilegium  of  Stobaeus 
were  of  some  importance  for  the  political  theory  of  absolutism;  cf.  Kantorowicz,  The  King's  Two 
Bodies,  499,  no.  1 1  ff.  Moreover,  it  should  be  taken  into  account  that  the  Keplerian  revaluation 
and  modification  of  the  Ptolemaic  system  brought  to  the  fore  a  heliocentric  conception  of  the 
universe  which  could  easily  be  adapted  to  a  king-centered  absolutism.  See  also  J.  A.  Emmens, 
op.  cit.  (supra,  note  258),  76,  fig.  30,  for  a  picture  of  Sol  dressed  as  king,  and  Emler  (supra,  note  258), 
II,  iio2f.,  No.  2557,  for  the  explanation:  Cum  igitur  regem  celi  solem  appellet  astroloyce  subtilitatis 
indago. 


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ERNST  H.  KANTOROWICZ 


least  was  edited  and  translated  by  Gretser  and  Goar  in  1648.265  Above  all, 
the  study  of  ancient  coins  and  medallions  had  become  a  field  of  great  interest, 
or  even  a  hobby,  not  only  of  Italian  but  also  of  French  scholars,  including  Du 
Cange.  There  was,  however,  a  difference  between  simply  collecting  coins  for 
their  own  sake,  and  efforts  to  extract  from  them  their  message  and  apply  the 
latter  to  new  conditions.  After  the  Italian  scholars  and  medallists  of  the 
Renaissance  had  prepared  the  way,  an  enthusiastic  and  learned  Provencal, 
Rascas  de  Bagarris  (b.  1567,  in  Aix),  archaeologist  and  numismatist,  the  friend 
and  stimulator  of  the  even  greater  antiquarian  Fabri  de  Peiresc  (b.  1580), 
wrote,  in  161 1,  a  memoir  Sur  la  necessite  de  retahlir  I' usage  des  medailles.  In  this 
memoir,  Rascas,  who  a  little  earlier  had  written  a  book  on  the  "Idea  of  Medals," 
invited  King  Henry  IV  to  strike,  after  the  Roman  model,  coins  and  medallions 
illustrating  the  history  of  the  King's  exploits  and  of  his  reign  at  large. ^s"  An 
efficient  political  propaganda  by  means  of  coins  and  medallions,  which  recorded 
serially  and  as  a  running  commentary  all  important  events,  exploits,  ordinances, 
or  victories  of  a  prince's  life,  was  unknown  in  Greece  and  was  developed  mainly 
in  imperial  Rome.  Despite  the  very  high  standard  of  Italian  medallists  ever 
since  the  fifteenth  century,  Italy  did  not  develop  a  so-called  histoire  metallique 
excepting  a  few  attempts  on  the  part  of  the  Medici  and  of  individual  popes. ^^^ 
For  the  first  time  since  the  days  of  imperial  Rome,  however,  Rascas  de  Bagar- 
ris came  forth  with  a  clear-cut  program  for  recording  in  chronological  succes- 
sion all  the  important  events  in  his  King's  life,  his  private  and  public  actions, 
in  medallions. 268  It  is  true,  Henry  IV  did  not  acquiesce  to  this  suggestion. 
There  were  nevertheless  handsome  medallions  struck  for  him,  which  displayed 
Henry  IV,  after  the  model  of  the  Hercules  Romanus  Comniodus,  as  a  Hercules 
Gallicus—ALCIDES  HIC  NOVUS  ORBI  according  to  one  inscription  (figs.  41 
a-b).269  These,  however,  were  isolated  issues  of  medals  and  not  part  of  a  greater 
historical  program. 

"'  See  Karl  Krumbacher,  Geschichte  der  byzantinischen  Literatur  (2nd  ed.,  Munich,  1897),  426. 

"«  For  Rascas  de  Bagarris,  see  Andr6  Michel,  Histoire  de  I'art  (Paris,  1923),  VII  ;i,  p.  402 f.;  also 
Michaud's  Biographie  universelle  (new  ed.,  Paris,  n.d.),  XXXV,  203^.  I'Vjr  Peiresc,  see  (leorges 
Cahen-Salvador,  Un  grand  humaniste:  Peiresc  (Paris,  1951),  239f.,  for  his  collection  of  coins  (17,000 
pieces),  and  17,  for  his  relations  with  Rascas  de  Bagarris. 

2"  See  Regling,  "Medaille,"  in  Worterbuch  der  Munzkunde,  ed.  by  F.  Frhr.  v.  Schrotter  (Berlin- 
Leipzig,  1930),  380  b,  for  Medici  and  papal  medallions. 

"'  For  these  series  of  coins,  see  F.  Friedensburg,  Die  MUnze  in  der  Kulturgeschichte  (Berlin,  1909), 
igSf. 

"»  Natalis  Rondot,  Les  medailleurs  et  les  graveurs  de  tnonuaies,  jetotis  et  medailles  en  France  (Paris, 
1904),  pi.  .XX,  fig.  4  and  pi.  xxi,  fig.  3.  Classical  antecedents  of  these  pieces  may  be  found  in  certain 
coins  of  Commodus,  the  Hercules  Romanus:  see,  e.g..  Max  Bemhart,  Handbuch  der  Munzkunde  der 
romischen  Kaiserzeit  (Halle,  1926),  pi.  xi,  fig.  5;  Mattingly,  CRERM.  IV  (London,  1940),  pi.  cxi, 
figs.  2,  6.  For  Henry  IV  of  France  as  Hercules  Gallicus,  see  Rudolf  Wittkowcr,  "The  Vicissitudes  of  a 
Dynastic  Monument:  Bernini's  Equestrian  Statue  of  Louis  XIV,"  De  artibus  opuscula  XL:  Essays 
m  Honor  of  Erwin  Panofsky.  ed.  by  Millard  Meiss  (New  York,  1961),  I,  506,  no.  31  ff.,  and  II,  pi.  170, 
fig.  9,  who  discusses  also  Louis  XIV  as  Hercules.  Hercules  Gallicus.  it  is  true,  is  normally  considered  iii 
a  more  restricted  sense  in  agreement  with  the  short  tractate  of  Lucian,  Heracles,  i  ft.,  who  mentions  the 
Galhcan  Hercules  as  a  model  of  eloquence;  see  Andreas  Alciati,  Emblemata  (I.yon,  1600),  No.  CLXXX, 
p.  617  (Eloquentia  fortitudine  praestantior),  and  the  notes  on  Hercules  vir  Gallu's  493 f'  For  the  clas- 
sical and  cultual  background,  see  Rudolf  Egger,  "Aus  der  Unter%Nelt  der  Festland-Kelten,"  Wiener 
Jahreshefte,  XXXV  (1943),  iisfif.,  a  study  to  which  Professor  Herbert  Nesselhauf  kindly  called  my 
attention.  See  further  Robert  E.  Hallowell,  "Ronsard  and  the  Gallic  Hercules  Myth  '■  Studies  in  the 
Renaissance,  IX  (1962),  242 ff. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


167 


France,  in  the  seventeenth  century,  was  fortunate  enough  to  have  produced 
at  least  two  great  medallists,  Guillaume  Dupre  (1572-1642)  and  Jean  Varin 
(1604-1672).  From  Dupre's  atelier  proceeded  a  medallion,  struck  in  161 1  and 
designed  for  the  accession  of  the  infant  Louis  XIII,  which  is  of  particular 
interest  here  (fig.  42a).2'o  Qr  the  obverse,  the  medallion  shows  the  jugate 
busts  of  young  Louis  XIII  and  his  mother,  Maria  de'  Medici,  the  official 
Regent  for  the  duration  of  the  king's  minority.  The  reverse  is  quite  classi- 
cal in  its  conception,  and  the  inscription  of  the  medallion  is  evidence  of 
the  designer's  intimate  knowledge  of  Roman  coins.  It  shows,  in  the  left 
section,  a  naked  young  Sol,  as  young  as  he  is  when  rising  in  the  early  morning. 
His  head  is  surrounded  by  flashing  sun-rays.  In  his  left  hand  he  carries  the 
globe  surmounted  by  the  cross.^'i  Opposite  him,  and  facing  him,  is  Maria  de' 
Medici  in  the  armor  of  Minerva,  .seated  and  holding  in  her  lowered  left  hand 
the  thunderbolts,  whereas  her  raised  right  hand  holds  the  olive  branch  over 
the  globe,  pacified  already  by  the  cross.  Her  gesture  symboHzes  that  the 
dangerous  weapons  now  are  banned  and  that  the  olive  branch  rules  over  the 
globe  of  the  earth  held  in  the  hand  of  the  youthful  Sol  who  looks  up  ecstatically 
to  the  branch.  The  legend  gives  the  explanation:  ORIENS  AUGUSTI  TUT- 
RICE  MINERVA.  Here  then,  for  the  first  time  since  Roman  antiquity,  do 
we  find  again  the  inscription  Oriens  Augusti,  meaning  in  this  case  "The  rise 
of  the  august  under  the  tutelage  of  Minerva."  No  doubt,  however,  can  arise 
about  the  source  of  the  inscription:  it  was  derived  from  Roman  Oriens  Augusti 
coins. 

Whereas  Henry  IV  was  deaf  to  the  advice  of  Rascas  de  Bagarris,  Louis 
XIV,  fifty  years  later,  fell  for  the  idea  of  an  Histoire  metallique  of  his  reign. 
In  1662,  after  the  death  of  Mazarin,  the  King  took  over  the  government  and 
ruled  by  himself.  When,  at  this  time,  the  engraver  Jean  Varin  suggested  the 
emission  of  a  set  of  historical  medallions  demonstrating  in  gold,  silver,  and 
bronze  the  King's  history  and  historical  achievements,  Louis  XIV  agreed  to 
this  proposal.  Colbert  supported  the  plan,  and  in  1663  he  actually  founded  the 
Academic  des  Inscriptions  composed  of  a  small  number  of  savants.  The  name 
of  the  Academic  intimates  that  it  was  to  occupy  itself  chiefly  with  composing 
inscriptions  and  general  designs  of  the  medallions  immortalizing  alia  maniera 
classica  the  glory  of  Louis  XIV. ^'2  The  academicians  made  the  designs  and 
finally  published,  in  1702,  a  collection  of  Medailles  sur  les  principaux  evene- 
ments  du  regne  de  Louis  le  Grand,  covering  the  years  from  the  King's  birth 
(1638)  to  1700,  although,  of  course,  the  medallions  from  1663  backward  had 

=™  Rondot,  Les  medailleurs .  .  .en  France,  pi.  .xxiv,  fig.  3.  .\n  oval  medallitm  by  Dupre  (fig.  42  b)  has 
the  same  design  and  inscription,  see  F.  Mazerollc,  Les  medailleurs  fran^ais  du  XV^  siccle  au  milieu  du 
XVII''  (Paris,  1904),  III,  pi.  x.xxi,  fig.  663,  cf.  II  i32f..  No.  663.  For  other  medallic  representations 
of  Ix)uis  XIII  in  the  guise  of  Apollo,  see  Jean  Babelon  and  Jos^phe  Jacquiot,  Histoire  de  Paris  d'aprh 
les  medailles  (Paris,  1951),  81  and  pi.  .xi,  fig.  39. 

^"  See  Percy  Ernst  Schramm,  Sphaira,  Globus,  Reichsapfel  (Stuttgart,  1958),  i22ff.,  who  emphasizes 
that  in  fact  the  French  kings  did  not  use  the  globe,  even  though  occasionally  they  may  be  shown 
carrying  it  in  allegorical  representations  as,  e.g.,  in  the  medallions  here  discussed. 

2'^  Rondot,  Les  medailleurs,  106 ff.  For  the  foundation  of  the  Academic  des  Inscriptions,  see  L6on 
AucoG,  L'Institut  de  France  (Paris,  1889),  pp.  IV  and  LIff. ;  .Mfred  Maury,  L'ancienne  Acad^mie  des 
Inscriptions  et  Belles-lettres  (Paris,  1864). 


/  /    u    u 

U       I       f 


168 


ERNST  H.  KANTOROWICZ 


to  be  invented  ex  fost  facto.  Naturally  the  founding  of  the  Academic  des  In- 
criptions  was  itself  considered  a  major  exploit  of  Louis  XIV  and  therefore 
duly  commemorated  by  a  medal:  Mercury  writing  with  a  metal  stilus  on  a 
brazen  plate  while  overturning  a  vessel  filled  with  coins,  and  the  inscription 
explaining:  RERUM  GESTARUM  FIDES  (fig.  43).273 

The  first  medallion  in  the  publication  of  the  Academic  des  Inscriptions  re- 
ferred naturally  to  the  birth  of  the  Dauphin.  The  design  shows  a  personified 
France  on  her  knees,  extending  her  hands  in  order  to  receive  the  child  carried 
by  an  angel  as  a  present  of  heaven — COELI  MUNUS  says  the  inscription 
accordingly  (fig.  44).^^*  The  second  medallion  depicts  the  ORTUS  SOLIS 
GALLICI,  a  legend  which  the  Academicians  translated  Le  Lever  du  Soleil  de 
la  France  (fig.  45,  a-b).^'^^  The  design  displays  the  infant  Dauphin  and  future 
King  seated  in  the  chariot  of  the  Sun-god,  with  Victory  guiding  the  horses 
and  holding  out  a  crown  of  laurel  to  the  babe.  Like  the  Sun-god  in  classical 
representations,  or  like  Roman  emperors  in  some  coin  images  or,  for  that 
matter,  hke  Christ  as  the  Lord  of  the  Year,  the  new  baby-sun  of  France  was 
placed  in  the  center  of  the  zodiac.  The  child's  rival,  that  is,  the  natural  sun, 
is  seen  as  it  passes  from  the  sign  of  Leo  to  that  of  Virgo  to  indicate  the  astrol- 
ogical birth  hour  of  Louis,  which  is  inscribed  in  the  exergue  of  the  central 
image:  Septembris  quinto  [hora  undecima],  minutis  triginta  octo  ante  meridiem 
MDCXXXVIIL 

At  the  age  of  four,  in  1643,  the  Dauphin  Louis  succeeded  to  the  throne. 
The  medalHon  designed  to  commemorate  this  event  shows  the  infant  King 
— FRANCORUM  SPES  MAGNA  says  the  legend— seated  on  the  buckler 
which  is  elevated  by  Francia  and  Providentia.  On  the  ground,  between  the 
two  figures,  is  the  globe  of  the  earth  and  a  cornucopia  (fig.  46  a).^^^  In  early 
Byzantium,  we  recall,  the  elevation  on  the  buckler  was  interpreted  as  a  "sun- 
rise" of  the  basileus,  his  first  epiphany  after  his  accession.  In  seventeenth- 
century  France,  of  course,  this  ceremony  no  longer  was  practiced.  It  was 
nothing  but  an  antiquarian  recollection  of  (as  the  scholars  of  the  Academy 
thought)  the  early  Frankish  past,  and  for  that  very  reason  also  Napoleon  was 
shown  standing  on  the  buckler  (fig.  46  b),2"  although  by  his  time  the  numerous 
representations  of  that  scene  found  in  Byzantine  manuscripts  would  have  been 

*'3  Midailles  sur  les  principaux  dvenements  (see  next  note),  73. 

"*  Medailles  sur  les  principaux  evenements  du  regne  de  Louis  le  Grand  avec  des  explications  histori- 
ques.  par  I'Academie  Royale  des  Medailles  et  des  Inscriptions  (Paris,  1702),  fol.  i.  The  inscription 
Coeli  Munus  seems  to  allude  to  the  name  Theodosius  or  DieudonnS  which  apparently  had  been  sug- 
gested for  the  Dauphin  by  Cardinal  Richelieu  in  order  to  put  into  relief  the  fact  that  the  heir  to  the 
throne  had  been  born  after  a  marriage  of  twenty-six  years;  Julia  Pardoe,  Louis  the  Fourteenth  (New 
York,  1847),  I,  100 f.  Gustave  Toudouze  and  Maurice  Leloir,  Le  Roy  Soleil  (Paris,  1908),  i. 

2"  Medailles  sur  les  principaux  evenements,  fol.  2  (here  fig.  45a),  and  Menestrier,  Histoire  de  Louis 
le  Grand  (Pans,  1691),  pi.  4  (here  fig.  45b).  The  exergue  inscriptions  are  at  variance  with  each  other, 
tor  the  Roman  emperor  m  the  zodiac,  see  Strack,  Untersuchungen,  II,  100 f,  esp.  107;  for  a  Helios- 
Christ  in  the  zodiac,  see  supra,  fig.  29. 

"«  Midailles  sur  les  principaux  evenements,  fol.  4.  See,  for  the  elevation  on  the  buckler,  suPra,  note 
192.  ' 

»"  For  Napoleon  on  the  buckler,  a  medallion  designed  by  Romain-Vincent  Jeuffroy  (1774-1826) 
see  Rondot,  Medailleurs,  pi.  xxxix,  fig.  6,  and  p.  367;  L.  Bramsen,  Medaillier  de  Napoleon  le  Grand 
(Copenhagen,  1904),  326,  327;  see  also  Edward  Edwards,    The  Napoleon  Medals  (London    1837)    pi. 
HI,  figs.  1-4,  7.  Napoleon  is  elevated  by  a  senator  and  a  soldier. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


169 


known.  The  solar  implications,  however,  were  not  registered  in  1643,  and  the 
inscription  in  the  exergue  says  simply  INEUNTE  REGNO.  MDCXLIII. 

Louis  XIII  died  on  May  14th  of  that  year.  Four  days  later,  on  May  i8th, 
the  little  King  held  his  first  Lit  de  Justice  in  the  Parliament  of  Paris.  The 
Grand  Chambellan  and  one  of  the  captains  of  the  guard  carried  him  to  the 
dais  and  seated  him  on  the  throne  to  the  right  of  his  mother,  Anne  of  Austria, 
whom  he  then  ordered  to  be  proclaimed  Regent  and  head  of  the  Regency 
Council  of  the  kingdom.  This  Lit  de  Justice  was  commemorated  adequately 
by  a  medallion  bearing  the  inscription  ANNAE  AUSTRIACAE  REGIS  ET 
REGNI  CURA  DATA.^'s  This  design  was  made,  we  recall,  after  1663  only, 
that  is,  twenty  years  or  more  after  the  event.  There  was,  however,  also  a 
contemporary  design  of  1644,  and  in  this  earlier  design  the  possibihty  of 
interpreting  the  king's  first  Lit  de  Justice  in  solar  terms  did  not  escape  the 
royal  artist  commissioned  to  contrive  a  New  Year's  jetton  commemorating 
the  most  important  event  of  the  past  year.  His  sketch  shows  a  Phoenix  perched 
on  a  mountain  nest  and  illumined  by  bright  bundles  of  rays  emanating  from 
the  sun  (fig.  47). ^'^  The  inscription,  borrowed  from  Virgil's  Fourth  Eclogue, 
reads  Caelo  demittitur  alto,  "He  is  sent  from  high  Heaven,"  a  motto  which  the 
Academicians  had  alluded  to  in  the  COELI  MUNUS  medallion  commemorating 
the  birth  of  Louis  as  a  gift  from  heaven  to  La  France.^^  The  designer  of  the 
Lit  de  Justice  jetton,  however,  offered  his  own  interpretation: 

The  Phoenix  is  born  and  soars  from  the  ashes  of  his  father  by  the 
influence  sent  to  him  from  heaven  and  the  sun.  In  the  same  way,  the 
king  has  been  given  to  us  miraculously  from  on  high:  and  from  the  lit 
funebre  of  his  father  he  rises  to  his  lit  de  justice.^^^ 
The  results  of  that  first  Lit  de  Justice  of  the  infant  King,  chiefly  the  establish- 
ment of  the  Regency  Council  headed  by  his  mother,  were  recorded  by  a  design 
in  which  the  members  of  the  Academie  des  Inscriptions  stressed  the  solar 
aspects  of  the  new  order.  We  recognize  the  young  King  in  the  guise  of  Sol.  He 
is  seated  in  the  chariot  of  the  Sun-god,  which  rides  over  the  clouds  and  is 
drawn  by  four  steeds  over  whose  heads  the  morning  star  shines.  That  this 
Stella  matutina  symbolized  the  King's  mother  may  be  gathered  from  the 
obverse  of  the  medallion:  it  shows  the  jugate  busts  of  the  boy  king  and  his 
mother,  with  the  inscription  LUDOVICUS  XIV.  R[EX]  CHRISTI[ANISSI- 
MUS].  ANNA  AUSTRIACA  AUGUST[A]  with  the  date,  1643,  in  the  exergue. 
The  reverse  displays  the  inscription  HAEC  SOLEM  PRAEVIA  DUCIT,  "She 
[Anne,  the  morning  star]  leads  the  Sun  by  shining  before  him"  (fig.  48). 2^2  It 
is,  despite  the  date,  an  ex  post  facto  design,  related  to  Dupre's  Oriens  Augusti 
medallion  for  Louis  XIII  and  Maria  de'  Medici  as  IVIinerva  (fig.  42)  and  sug- 
gesting theOriens  metaphor  only  by  means  of  the  symbol  of  the  Stella  matutina. 

"*  Medailles  sur  les  principaux  evenements,  fol.  5. 

i"»  Ralph  E.  Giesey,  The  Royal  Funeral  Ceremony  in  Renaissance  France  (Geneva,  i960),  191  f. 
and  fig.  18. 

^^  Supra,  note  274. 

"'  Giesey,  192,  note  55. 

2«2  Claude-Francois  Menestrier,  Histoire  du  Roy  Louis  le  Grand  (Paris,  1691).  pi-  iv,  figs.  3  a  and  b. 


n   0   u   u 

I       I       I    u 


170 


ERNST  H.  KANTOROWICZ 


In  1651,  when  beginning  his  fourteenth  year,  the  King  was  declared  of  age, 
and  the  medaUion  designed  on  that  occasion  shows  the  Queen  Mother  Anne 
of  Austria  passing  the  rudder,  decorated  with  hUes,  to  her  son.^ss  j^^t  the 
real  rudder  of  government  was  still  firmly  held  by  Cardinal  Mazarin,  and  only 
on  the  latter's  death,  in  1661,  did  the  King,  now  aged  twenty-three,  take  over 
the  government  and  begin  to  rule  by  himself.  The  medallion  designed  by  the 
Academie  shows  Louis  XIV  in  the  guise  of  Apollo  seated  on  a  globe  fieurdelyse, 
in  his  left  hand  the  lyre  and  in  his  right,  the  rudder  (fig.  49). ^^^  Bright  flashes 
of  sun  rays  surround  his  head  while  the  legend  says  simply  ORDO  ET  FELICI- 
TAS  and  the  exergue  inscription  explains  REGE  CURAS  IMP[ERII]  CAPES- 
SENTE,  with  the  date  1661.  In  the  same  year,  the  King's  attentive  presence 
in  council  was  remembered  by  a  special  design.  He  is  the  omnipresent  Sun-god 
whose  chariot  wheels  over  the  clouds,  drawn  by  four  galloping  horses  (fig. 
50). 285  Deep  under  the  chariot  we  recognize  a  segment  of  the  globe  of  the 
earth,  and  high  above  is  a  segment  of  the  zodiac  showing  Leo,  Virgo,  and 
Lzfiya— again  an  allusion  to  the  constellation  at  the  King's  birth.  The  in.scrip- 
tion  reads  GALLIA  FELIX,  and  in  the  exergue  we  find  ASSIDUA  REGriSl 
CONSILIIS  PRAESENTIA.  1661. 

Solar  symbols  are  rarer  than  one  would  expect  in  connection  with  military 
events,  but  they  are  not  absent.  After  the  resistance  of  the  Fronde  had  been 
broken,  in  1653,  by  the  conquest  of  various  cities,  the  medallion  commemorat- 
ing this  event  shows  the  rising  Sun-god  dissipating  the  clouds,  and  the  motto 
SERENITAS,  with  the  exergue  inscription  PLURIMAE  URBES  RECEPTAE 
MDCLIII  (fig.  51). 286  xhe  zodiac  is  the  natural  circle  within  which  the  sun 
moves.  We  recall  the  designs  ORTUS  SOLIS  GALLICI  (fig.  45)  and  GALLIA 
FELIX  (fig.  50).  But  the  young  Sun-god  racing  his  horses  had  other  sporting 
grounds  at  his  disposal.  After  the  campaigns  against  Holland  in  1672,  the 
designer  of  the  medallion  immortalizing  this  event  replaced  the  twelve  signs 
of  the  zodiac  by  twelve  conquered  Dutch  and  Rhenish  cities  and  fort- 
resses: Arnhem,  Zutphen,  Nimwegen,  and  others,  an  achievement  which 
remmded  him  of  the  twelve  labors  of  Hercules,  and  therefore  the  legend  reads 
SOLISQUE  LABORES.  The  design  shows  the  solar  chariot,  guided  appar- 
ently by  France  herself,  who  here  takes  the  place  of  the  King,  driving  along 
this  zodiac  of  city  names  (fig.  52). 287 

There  is  one  further  design  which  refers  to  the  Oriens.  It  shows  the  bust  of 
Louis  XIV  emerging  from  a  cloud  from  which  thunderbolts  are  shooting  down 
to  earth.  On  earth  there  is  seen  a  pride  of  lions  in  addition  to  vultures  and  a 
four-headed  monster.  The  inscription  above  the  king's  head  says  ORTUS 

2*^  Medailles  sur  les  principaux  evcnements,  fol   32 

Z  %fy,  ^°'  59  (here  fig.  49  a);  also  Ucnestvi^r .  Histoire.  pi.  .x,  fig.  i  b  (here  fig.  49  b) 
^^^  Medailles  sur  les  pnnctpaux  ivenements   io\   (,1  "g.  4;'";- 

"» Op.  cit.,  fol.  34.  .       ■       ■ 

^"  Menestrier,  Histoire,  pi.  .x.xi,  fig.  3  b.  The  fact  that  the  Twelve  Labors  of  Hercules  were  inter 
L  astrologte  grecque  (Paris,  1899),  137,  i;  577,  i.  ^  '  i^oucne-i^eciercq, 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


171 


EST  SOL,  and  that  above  the  beasts  says  ET  CONGREGATI  SUNT  (fig. 
c^3)  288  Xhe  words  are  taken  from  Psalm  103:  2off.,  where  the  Psalmist  addresses 
the  Lord:  "Thou  makest  darkness,  and  it  is  night:  wherein  all  the  beasts  of 
the  forest  do  creep  forth,  the  young  lions  roaring  after  their  prey. ..."  Then, 
however,  "The  Sun  ariseth,  they  gather  themselves  together,  and  lay  them  down 
in  their  dens."  The  meaning  is  anything  but  obscure:  the  sun  when  it  rises 
conquers  and  dissipates  all  the  monsters  of  the  dark.  The  medallion  thus 
expressed,  through  the  medium  of  the  Psalm,  almost  the  same  idea  which,  in 
the  images  of  Roman  imperial  Oriens  Augusti  coins,  Sol  conveyed  when 
trampling  on  captives  or  demons  of  the  dark,  and  which  Shakespeare  convey- 
ed when  allowing  King  Richard  II  to  compare  his  arrival  on  the  Coast  of 
Wales  with  the  rising  of  the  sun: 

Discomfortable  cousin !  Know'st  thou  not 

That  when  the  searching  eye  of  heaven  is  hid, 

Behind  the  globe,  that  lights  the  lower  world, 

Then  thieves  and  robbers  range  abroad  unseen. 

In  murders  and  in  outrage,  boldly  here. 

But  when  from  under  this  terrestrial  ball 

He  fires  the  proud  tops  of  the  eastern  pines. 

And  darts  his  light  through  every  guilty  hole, 

Then  murders,  treasons,  and  detested  sins. 

The  cloak  of  night  being  plucked  from  off  their  backs. 

Stand  bare  and  naked,  trembling  at  themselves  ?289 
This,  approximately,  was  supposed  to  be  the  effect  when  the  royal  sun,  Louis 
XIV,  rose. 

Sunrise  was  not  only  depicted  in  designs  of  medallions  and  in  books  of 
royal  devices  and  imprese^^  but  was  also  staged  artificially.  At  the  time  of 
the  king's  marriage  to  Maria  Theresa  of  Austria,  in  1660,  a  triumphal  arch  was 
built,  "brilliantly  lighted,  from  which  in  honor  of  Louis  a  rising  sun,  composed 
of  innumerable  jets  of  flame,  slowly  detached  itself  and  mounted  into  the 
horizon. "281  Two  years  thereafter,  the  King,  who  had  earlier  adopted  the  Sun 
as  his  personal  symbol,  adopted  his  official  solar  impresa.  The  design,  com- 
posed by  an  antiquarian  named  Douvrier  and  executed  as  a  medallion  in  1663, 
showed  the  sun  in  its  zenith  bearing  a  human  face  surrounded  by  ApoUine 
locks,  upright  over  the  forehead,  and  emitting  his  rays  onto  the  globe  of  the 

•**  Menestrier,  Histoire,  pi.  .x.xxiii,  fig.  i  a.  The  circular  legend,  taken  from  Psalm  45:9-10, 
indicates  that  the  king  has  terminated  all  wars:  Videte  opera  Domini,  quae  posuit  prodigia  super  ler- 
ram,  auferens  bella. 

"•  King  Richard  II,  3,  2,  36-46. 

**  Works  on  royal  imprese  were  published  in  great  numbers,  and  many  of  them  ran  through  very 
many  editions.  See,  e.g.,  Claude-l'rani^ois  Menestrier,  L'Art  des  emblemes  (Lyon,  1662);  Philosophic 
des  images  (Paris,  1682) ;  La  science  et  I'art  des  devises  (Paris,  1686) ;  La  devise  du  Roi  justifiee  .  .  .  avec 
un  Recueil  de  cinq  cents  devises  faites  pour  Sa  Majeste  et  toute  la  maison  royale  (Paris,  1679).  See,  for 
a  catalogue  of  his  works,  J.  Renard,  Catalogue  des  oeuvres  imprimees  de  C.-F.  Menestrier  (Lyon,  1883) ; 
also  P.  Allut,  Recherches  sur  la  vie  et  les  oeuvres  du  Phe  C.-F.  Menestrier  (Lyon,  1856).  The  other  great 
authority  was  Pierre  Le  Moyne  (1602-1671);  see,  above  all,  his  Livre  de  I'art  de  regner  (Paris,  1665), 
and  De  I'art  des  devises  (Paris,  1666),  which  contains  a  full  collection,  still  absent  from  the  earlier 
edition  of  1649,  of  devices  for  the  king. 

*'  Sir  Charles  Petrie,  Louis  XIV  (London,  1938),  201. 


n   u   u   u 


172 


ERNST  H.  KANTOROWICZ 


earth  (fig.  54). ^^^  j^g  inscription  contains  only  the  three  words  which  were 
received  as  the  king's  device:  NEC  PLURIBUS  IMPAR.  The  meaning  of 
these  words  is,  according  to  the  fashion  of  the  imprese,  somewhat  dark,  and 
the  King  himself  admitted:  "Je  sais  qu'on  a  trouve  quelque  obscurite  dans 
ces  paroles,  et  je  ne  doute  pas  que  ce  meme  corps  n'en  piit  fournir  de  plus 
heureuse."  Louis  XIV  interpreted  it  in  the  sense  that  he  himself  would  be 
sufficient  to  govern  several  empires  just  as  the  sun  would  be  sufficient  to  give 
hght  to  other  worlds. ^^^  This  is  also  the  interpretation  offered  officially  by  the 
Academic  des  Inscriptions,^'^'^  and  one  might  translate  "Not  unequal  to  several 
suns  [or:  kings],"  or  "Equalling  the  power  of  several."  Both  the  device  and 
the  whole  emblem  were  henceforth  displayed  over  and  over  again.  An  ex- 
tremely handsome  medallion  from  the  hands  of  Varin  has  the  date  of  1674 
(fig-  55).^^^  but  it  is  generally  held  that  the  new  impresa  received  its  official 
character  at  the  time  of  the  Grand  Carrousel  of  1662.286  At  any  event,  from 
that  time,  when  the  King  was  twenty-four  years  old,  the  myth  of  the  Roi 
Soldi  was  firmly  established,  and  it  was  to  fascinate  and  dominate  the  minds 
of  the  world  for  more  than  half  a  century.  It  is  true  that  the  King  had  already 
applied  solar  symbolism  to  his  person  in  his  youth.  In  1653,  at  a  performance 
in  the  theatre  of  the  Petit-Bourbon,  the  king  took  part  in  the  Ballet  de  la 
Nuit  by  Isaac  Benserade.  He  appeared  as  the  rising  sun,  with  a  golden  wig 
on  his  head  and  in  a  costume  flashing  from  head  to  foot  with  sun  rays  (fig. 
56),  and  the  lines  recited  to  interpret  his  appearance  almost  predicted  the 
future : 

Deja  seul  je  conduis  mes  chevaux  lumineux 

Qui  trainent  la  splendeur  et  I'eclat  apres  eux. . . 
Je  suis  I'astre  des  Rois. 


Sans  doute  j'appartiens  au  monde  a  qui  je  sers, 

Je  ne  suis  point  a  moi,  je  suis  a  I'Univers, 

Je  lui  dois  les  rayons  qui  couronnent  ma  Tete 297 

»"  llmile  Bourgeois,  Le  Grand  Siecle:  Louis  XI  V,  les  arts,  les  idees  (Paris,  1896)  48  For  the  device 
Itself,  see  .Wrfai//«  siir  les  princtpaux  evenements,  fol.  74;  see  infra,  note  295.  In  defense  of  the  device 
(which  allegedly  was  copied  after  a  device  of  Philip  II  of  Spain)  Menestrier  wrote  a  whole  book-  La 
Devise  du  Roy  jushfiee  (Paris,  1679) ;  see  Paul  .A.llut,  Recherches  sur  la  vie  et  snr  les  oeuvres  du  P  Claiide- 
tranfots  Menestrier  (Lyon,  1856),  i55f. 

»3  Memoires  de  Louis  XI V  pour  Vinstruction  du  Dauphin,  ed.  by  Charles  Dreyss  (Paris  i860)  II  sto 
(Appendix  II  [1662]).  '  >'      •  :>i 

^^Medailles  sur  les  principaux  evenements.  fol.  74:  "...les  mots. .  .signifient,  qu'ainsi  que  les 
rayons  de  cet  Astre  eclairent  a  la  fois  la  Terre  et  plusieurs  Globes  celestes,  de  mesme  le  genie  du  Roy 
suftiroit  a  gouverner  ensemble  et  la  France  et  plusieurs  Royaumes  "  ^  j 

«">  Mazerolle,  Jean  Varin.  pi.  v,  fig.  43,  for  the  year  1664;  see  pi.  ix,  fig.  228,  which  has  the  date 
1674,  two  years  after  the  death  of  Varin.  Cf.  Frederic  Peny,  Jean  Varin  de  Liege  (1947)    pi    xx    fie 
'««"t   ^u-^^:.^.^^  ''^'°  ^""'^°*'  ^''  medailleurs.  pi.  xxxvm,  fig.  2  (with  a  different  motto     "  '  " 
In  his  Memoires  pour  Vinstruction  du  Dauphin,  ed.  by  Charles  Dreyss,  II  sGgf    the  King  himself 
mentions  his  new  device  in  connection  with  his  discussion  of  the  Carrousel.  Cf.  Toudouze  and  Leloir 
Le  Koy  boleil.  28. 

,  "".^f"  ?'T"  '^r^"*'''''"'  ^^  Bensserade  (Paris,  1697),  II,  69:  "Le  Roy  representant  le  Soleil 
^''"^^.  J  ^'T'  '''''"■^^'  '"eP'"<^^ented  the  sun  also  on  other  occasions,  for  example,  in  the  Ballet 
Royal  dHercule  Amoureux.  of  1662;  op.  cit.  II,  2771.,  where  the  King  as  the  sun  makes  his  entree  with 
sl  1     r       """'  ^  <^r^^mg  of  the  King  in  his  solar  costume,  see  Bourgeois,  Le  Grand 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


173 


The  King  danced  also  in  Benserade's  Ballet  Royal  d'Hercule  Amoureux,  of 
1662,  staged  this  time  in  the  Tuileries,  and  again  he  wore  a  similar  costume 
when  impersonating  the  sun.29« 

The  full  impact  of  the  King's  solar  philosophy,  however,  became  notice- 
able m  the  i66o's  only.  In  those  years,  after  the  birth  of  the  Dauphin  in  1661,299 
Louis  XIV  himself  dictated,  in  his  so-called  Memoirs  or  rather  his  Instruc- 
tions for  the  Dauphin,  his  own  rationalization  for  upholding  the  solar  symbolism 
as  a  vehicle  for  royalty.  The  sun,  writes  he,  has  been  chosen  for  the  body  of 
the  royal  impresa.  For  according  to  the  rules  of  emblematic  art,  the  sun 
which 

est  le  plus  noble  de  tous,  et  qui  par  la  quaUte  d'unique, 

par  I'eclat  qui  I'environne, 
par  la  lumiere  qu'il  communique  aux  autres  astres  qui  lui  composent 

comme  une  espece  de  cour, 
par  le  partage  egal  et  juste  qu'il  fait  de  cette  meme  lumiere  a 

tous  les  divers  climats  du  monde, 
par  le  bien  qu'il  fait  en  tous  lieux,  produisant  sans  cesse  de 

tous  cotes  la  vie,  la  joie  et  Taction, 
par  son  mouvement  sans  relache,  ou  il  parait  neanmoins  toujours 

tranquille, 
par  cette  course  constante  et  invariable,  dont  il  ne  s'ecarte 

et  ne  se  detourne  jamais, 
est  assurement  la  plus  vive  et  la  plus  belle  image  d'un  grand 
monarque.*^ 
It  was  in  the  i66o's,  too,  that  Louis  XIV  decided  to  build  his  palace  in  Ver- 
sailles, even  though  the  building  itself  was  not  finished  until  considerably 
later.301  If  in  his  Instructions  for  the  Dauphin  of  1662  he  remarked  that  he 
refrained  from  changing  his  impresa  "celle-la  etant  deja  employee  dans  mes 
batiments  et  en  une  infinite  d'autres  choses,"302  such  a  change  would  have 
been  even  less  possible  after  the  construction  of  Versailles.  For  the  gilded 
device  of  the  Sun  King  sparkled  in  every  room  of  the  palace,  from  every 
ceiling,  from  the  "empty  throne"  (an  Etoimasia  of  classical  times  transferred 
to  a  Lit  de  Justice,  emblazoned  with  the  rising  sun  and  the  motto  HINC 
SUPREMA  LEX  [fig.  59]  j,^"^  fj-om  tapestries,  or  from  the  cresting  of  a  Boulle 
clock  where  the  royal-imperial  crown  appears  above  the  head  of  Sol  in  a 
sunburst,  thereby  making  Louis  XIV,  as  it  were,  the  "Master  of  Time"  (fig. 

*'  Charles  I.  Silin,  Benserade  and  His  Ballets  de  Cour  (Baltimore,  1940),  306,  where  also  the  golden 
wig  made  by  Madame  Touze  is  mentioned. 

^  For  the  medallion  designed  on  the  birth  of  the  Dauphin,  see  Me'dailles  sur  les  principaux  evene- 
ments, fol.  65. 

""'  See  Memoires  pour  V instruction  du  Dauphin.  eA.hy  Dreyss,  II,  570.  See  also  Fritz  Hartung,  "L'6tat 
c'est  moi,"  Historische  Zeitschrift.  CLXIX  (1949),  5,  note  2. 

*>'  See,    e.g.,    James  Eugene   P'armer,    Versailles   and  the  Court  under  Louis  XIV  (New  York, 

1905).  3 ff- 

*"  Memoires  pour  Vinstruction  du  Dauphin.  II,  570.  See  also  Bourgeois,  Le  grand  siicle,  50:  "Cette 
devise  eut  un  succ6s  prodigieux.  Les  armoires  du  roi,  les  meubles  de  la  couronne,  les  tapisseries,  les 
sculptures  en  furent  orn^s." 

™^  Menestrier,  Histoire  de  Louis  le  Grand  (Paris,  1691).  pi.  28. 


n    u   L 

n      I    J    u 


174  ERNST  H.  KANTOROWICZ 

58  a-b),  the  xpovoKpArcop,  as  one  of  the  emblemists  styled  him.»«  In  the  gardens 
of  \>rsailles  there  was  the  "Basin  of  Apollo"-a  sculpture  of  the  Sun-God 
driving  his  four  stamping  horses  as  they  rise  from  the  leapmg  waters  of  the 

fountain. ^^ 

For  all  this  playfulness,  it  should  not  be  forgotten  to  what  degree,  and  in 
what  a  torturingly  labored  fashion,  the  King  ventured  to  live  up  to  his 
self-imposed  Apollonian  image  in  his  daily  life.  Apparently  it  has  as  yet  not 
been  clarified  to  what  extent  the  classical  coifjiire  of  Apollo-Helios,  the  flame- 
like locks  surrounding  the  head  and  standing  up  over  the  forehead,  the 
dvaoToXfi  Tfis  Kouns,  was  responsible  for  the  introduction  of  the  peculiar 
wig  which  Louis  XIV  sported.^os  But  the  sun  deity  was  certainly  the  ideal 
towards  which  Louis  XIV  unceasingly  strove.  "He  was  always  young,  he  was 
always  victorious,  he  was  always  crowned  with  the  laurel  [which  \'ictory  held 
out  to  him  ever  since  his  infancy],  he  was  always  superb.  Each  day  he  rose 
and  set  with  the  same  splendor,  and  in  transit  gave  light  and  life  to  all  the 
world.  "307 

The  self-imposed  myth  regulated  life  and  ceremonial  at  his  court.  In  the 
center  of  the  palace  of  Versailles,  which  itself  was  credited  with  being  the 
center  of  the  world,  was  the  King's  bedchamber.  The  chamber  faced  the  East 
and  its  windows  were  directed  towards  the  rising  sun,  but  also  down  the 
Avenue  de  Paris  towards  the  capital  of  France.^*'  In  the  abundant  light  of 
the  morning  sun  the  Sun  King  himself  rose  in  a  highly  ceremonious  manner. 
That  is  to  say,  the  perpetual  identification  of  the  King  with  his  symbol  led 
to  the  identifying  of  the  King's  daily  Lever  in  the  morning  with  the  rise  of 
the  natural  sun,  and  accordingly  his  Coucher  in  the  evening  with  the  setting 
of  the  sun.  The  elaborations  of  the  King's  Lever  with  the  various  entrees  of 
courtiers  and  callers  have  often  been  described. ^"^  It  began  with  the  services  of 
officers  and  valets  of  the  Wardrobe  and  Chamber  before,  first,  the  entree 
familiere  took  place,  the  entry  of  the  princes  of  the  blood  and  the  members 
of  the  royal  family  who  appeared  as  soon  as  the  king  was  awake.  There  followed, 
second,  the  grande  entree  of  great  officers  and  certain  privileged  persons  who 
were  granted  the  favor  of  being  present  while  the  king,  now  seated  in  an 
armchair,  was  being  dressed.  There  came,  third,  an  entree  of  others  who  on 

*♦  See,  e.g.,  Edith  A.  Standen,  "The  Roi  Soleil  and  Some  of  his  Children,"  Metropolitan  Museum 
of  Art,  Bulletin,  IX  (1951),  134,  for  an  embroidered  hanging;  James  Parker,  "A  Royal  French  Clock," 
ibid.,  XVIII  (i960),  i93ff.,  esp.  figs,  on  pp.  195  and  201.  For  Louis  XIV  as  xpovoKpdrwp  ("Maistre 
du  temps"),  see  Brice  Bauderon,  Seigneur  de  Senecey,  L'Apollon  Frangois  ou. . .  Louis  le  Grand,  XIV 
de  ce  nom  (Macon,  1681),  3318. 

*•*  J.  E.  Farmer,  Versailles,  pis.  facing  pp.  92  and  216. 

*<**  The  perruque  d'or  made  by  Mme.  Touze  and  worn  by  the  King  when  appearing  as  the  rising  sun 
in  Benserade's  Ballets  is  mentioned  occasionally;  see  Silin,  Benserade  and  his  Ballets  de  Cour,  306, 
also  300.  See,  for  the  coiffure  of  the  Sun-god,  H.  P.  L'Orange,  Apotheosis  in  Ancient  Portraiture  (Oslo, 

1947)- 

*"  Farmer,  Versailles,  216. 

*"'  Farmer,  Versailles,  36 f. 

"•  See  Farmer,  Versailles,  i54fJ.,  who  supplements  the  report  of  Saint- Simon  by  that  of  L'^tat  de 
la  France  (Paris,  1702),  I,  254-278.  See  also  Ezechiel  Spanheim,  Relation  de  la  cour  de  France  en  1690, 
in  the  annotated  edition  of  £mile  Bourgeois  {Annales  de  I'Universite  de  Lyon,  Droit  et  Lettres,  N.S. 
II,  fasc.  5  [Paris  and  Lyon,  1900  ),  277fi. 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


175 


^ 


account  of  their  offices  had  the  right  of  entrance  or  were  otherwise  privileged 
After  several  other  entrees,  personal  callers  and  petitioners  entered  the  chamber 
m  which  by  that  time  150  to  200  persons  were  standing  around  while  the  Sun 
Kmg  rose  and  dressed.  The  worshippers  of  Mithras  could  not  have  greeted  the 
rise  of  Sol  tnvtctus  with  greater  devotion  than  the  courtiers  greeted  the  daily 
rise  of  their  monarch,  and  the  semireligious  character  of  the  punctilio  surround- 
ing the  King  has  often  been  noticed:  the  Levers  and  Couchers  "semblent  des 
salutations  d'adorateurs  d'un  astre.''^!** 

It  may  well  be  that  this  ceremonious  rising  from  bed  had  antecedents  in 
the  French  coronation  ceremonial  which,  in  its  turn,  was  influenced  by  the 
chivalrous  ceremonial  of  elevation  to  knighthood:  after  the  night-vigil  and  the 
traditional  bath  the  one  to  be  dubbed  rested  on  a  parade  couch  to  receive 
visits  of  honor.311  However  that  may  be,  the  elaborations  of  the  Lever  were 
apparently  introduced  by  Louis  XIV  and  adapted  to  the  royal  symbol  of  the 
sun.  The  appearance  of  the  various  entrees  according  to  rank  has  a  parallel  in 
the  various  vela  (actually  "curtains")  of  courtiers,  officers,  and  invited  guests 
admitted  to  the  great  receptions  at  the  court  of  the  Byzantine  emperors.^i^ 
But  it  should  be  stressed  that  nothing  similar  to  the  royal  Lever  was  practiced 
in  imperial  Byzantium.  The  total  absence  of  any  washing  worth  the  mention- 
ing made  the  Lever  possible  at  the  French  court,  and  ideologically  there  was 
probably  no  need  for  washing:  SURGENS  CORUSCAT,  "He  sparkles  the 
moment  he  rises,"  said,  reassuringly,  a  device  symbolizing  the  Lever  of  the 
new  King,  Louis  XV  (fig.  6o).3i3  And  similar  devices  referred  to  Louis  XIV  for 
example,  INGENS  VISUS  AB  AURORA,  "An  immense  sight  from  the  moment 
of  Dawn,"  or  VINCIT  AB  ORTU,  "He  conquers  from  the  moment  he  rises."3i4 
The  royal  heliolatry  was  practically  boundless.  It  is  like  looking  into  the 
mirrors  of  the  Galerte  des  Glaces,  lit  by  four  thousand  wax  candles  and  reflect- 
ing them,  when  we  look  at  the  giddying  superabundance  of  little  sun  symbols 
and  devices  spinning  around,  or  emanating  from,  the  central  face  which  is 
inscribed  DIGNA  DEO  FACIES,  a  motto  rendered  by  the  contemporary 
designer:  "II  est  comme  le  Dieu  de  ce  monde  visible"  (fig.  57).^^^  It  is  a  plate 
of  royal  devices,  valid  only  for  the  first  quarter  of  the  King's  reign.  The  mul- 

^^  E.  Lavisse,  Histoire  de  France,  VII:  z  (Paris,  1906),  403. 

"'  There  is  reason  to  hope  that  this  complicated  problem  will  be  discussed  by  Professor  Ralph  E. 
Giesey.  For  the  ceremonious  resting  of  the  king  on  a  bed  of  state  and  his  rising  from  it  before  his 
coronation,  called  also  Lever  du  Roy,  see  the  etching  in  Antoine  Danchet,  Le  Sacre  du  Roy  [Louis  XV] 
(Paris,  1722),  tableau  I  (no  paging).  For  the  bath  before  the  dubbing  of  a  knight  and  his  ceremonious 
rest,  see  Konrad  Burdach,  Rtenzo  und  die  geistige  Wandlung  seiner  Zeit.  in  his  Vom  Mittelalter  zur 
Reformation  (Berim,  1913-1928).  II;  i,  858.;  and  for  the  integration  of  this  feature  of  chivalry  into 
the  coronation  ritual,  see  Percy  Ernst  Schramm,  A  History  of  the  English  Coronation,  trsl.  by  Leopold 
G.  Wickham  Legg  (Oxford,  1937),  76,  93 f. 

"•  Constantine  Porphyrogenitus,  De  caerimoniis,  I,  i,  ed.  by  Reiske  (Bonn,  1829),  241,  and  cd.  by 
Albert  Vogt  (Paris,  1935).  I.  P-  i8f;  in  his  Commentary,  p.  71,  Vogt  explains  that  he  translated  iWa 
"habituellement  par  'entree',  comme  on  disait  au  XVII    siecle." 

^'^  X.  Danchet,  Le  Sacre  du  Roy,  an  illustrated  "Explication  des  figures  all6goriques  qui  repondent 
au  tableau  du  Lever  du  Roy"  (tableau  I). 

*"  Both  devices  are  found  in  the  collection  of  Pierre  le  Moyne,  De  I'art  des  devises  (Paris,  1666), 
455  and  458. 

"*  Mene.strier,  Histoire  du  Roy  Louis  le  Grand  (Paris,  1691),  pi.  .\Liv. 


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176 


ERNST  H.  KANTOROWTCZ 


ORIENS  AUGUSTI  -  LEVER  DU  ROI 


177 


titude  oi  suns  is  bewildering,  and  it  defeats  the  purpose  of  the  King's  device 
NEC  PLURIBUS  IMPAR  \^Titten  in  large  letters  in  the  outer  circle. 

We  cannot  but  admire  the  relatively  modest  sincerity  and  simplicity  of 
Roman  and  Byzantine  emperors  who,  in  a  rather  discreet  and  unobtrusive 
fashion,  were  identified  or  identified  themselves  with  the  rise  of  the  sun.  They 
stiD  wished  to  establish  by  this  expedient  their  o\\'n  or  their  office's  unison  v^ith 
a  god,  pagan  or  Christian.  They  were,  at  any  rate,  strangely  remote  from  the 
unbridled  sell-admiration  and  self-mirroring  of  the  model  monarch  of  modem 
times  M-ho,  though  rehgiously  a  devout,  sought  and  received  the  reflections  of 
his  ov^Ti  image  in  that  baffling  secular  cult  of  his  court.  WTiile  the  admiration 
for  the  Sun  King  and  his  court  was  almost  universal,  his  political  adversaries 
banded  together  in  the  League  of  Augsburg,  of  1686,  and  their  accumu- 
lated bitterness  prompted  them  to  make  use  of  propaganda  in  the  form  of 
medaUions  lampooning  the  Sun  king.  When  Louis  XIV  entered  into  secret 
negotiations  with  the  Ottoman  Sultan,  with  the  Bey  of  Algiers,  and  the 
English  refugee  King  James  II,  his  enemies  made  fun  of  the  unholy  alliance 
of  four  by  issuing  a  medallion  which  was  a  witty  persiflage  of  the  royal  emblem. 
For  where  the  sun  should  stand,  a  Devil  was  shown  IN  FOEDERE  OUINTUS, 
"The  Fifth  of  the  AlHance,"  hovering  in  the  air  over  withering  lilies. ^i^  In  1689, 
the  league  of  France's  adversaries  issued  a  medallion  NON  SEMPER  LILIA 
FLORENT,  "Not  ever  do  the  Lihes  bloom"  (fig.  61). ^i"  The  obverse  shows 
Phaeton's  fall  and  the  inscription:  INCENDIT  QUACUMOUE  INCEDIT: 
COMPESCET  IGNIBUS  IGNES,  "Fire  he  puts  whither  he  puts  his  foot :  And 
will  quench  the  fires  by  fires." 

In  1661,  we  recall,  when  Louis  XIV  took  over  the  government,  a  handsome 
design  for  a  medallion  showed  the  youthful  King  Helios  with  rudder  and  l\Te, 
seated  comfortably  on  a  globe  which  then  seemed  to  belong  to  the  fleurs-de-lis 
alone  (fig.  49).  Thirty  years  later,  when  the  decline  began,  the  king's  adversaries 
issued  a  medallion:  the  globe  fleurdelisc  had  turned  into  an  exploding  bomb, 
and  the  inscription  SE  IPSISSIMO  indicated  the  self-explosion  of  the  abnorm- 
ally distended  Gallic  empire  (fig.  62).^^**  In  the  seventeenth  century'  this  was  a 
good  and  novel  joke.  We,  however,  have  experienced  almost  too  often  the  fact 
that  bombs  explode  se  ipsissimo,  and  usually  because  some  great  monarch's 
or  leader's  sunrise  has  been  too  hot. 

Whereas  in  the  atmosphere  of  the  courtly,  gallant  emptiness  of  \'ersailles 
the  symbol  of  the  sun  and  its  rise  was  devaluated  through  inflated  apphcation, 
the  courtly  plajiulness  was  turned  once  more  into  utter  seriousness  in  the  age 
of  Napoleon. 

The  idea  of  a  metallic  history  and  propaganda  by  means  of  coins  was  carried 
through  by  the  French  Revolution  and  by  Napoleon  e\-en  more  persistently 
than  by  the  Academie  under  Louis  XIV.  It  is  no  exaggeration  to  maintain  that 
from  the  Napoleonic  designs  of  medaUions  and  coins  the  histor>'  of  the  French 

"'*  Menestrier,  op.  cii.,  pi.  xl,  fig.  6. 
""  Menestrier,  op.  cit.,  pi.  xmi. 
*"  Menestrier,  op.  cii.,  pi.  xlii. 


Emperor  could  be  reconstructed  as  efficiently  as  vsehave  learned  to  reconstruct 
Roman  imperial  history  by  the  agency  of  imperial  and  provincial  coins. 3»» 
A  medalhon  displaying  Napoleon's  elevation  on  the  buckler  has  been  mentioned 
before  (fig.  46b).  There  is,  however,  another  design  which  is  peculiarly  relevant 
to  this  present  study  and  which  reflects  at  the  same  time  the  great  familiarity 
of  the  classicist  Empire  style  with  the  Roman  models. 

The  medalhc  design  refers  to  Napoleon's  landing  at  Frejus,  on  October  9, 
1799  (fig.  63a-b).32o  This  was  the  moment  when  Napoleon  returned  from  his 
EgVT^tian  campaign,  exactly  one  month  before  he  overthrew  the  Directory  and 
usurped  full  poHtical  and  mihtary  power  by  establishing  himself  as  theVirst 
Consul.  The  reverse  side  of  the  planned  medallion  shows  a  downcast  France, 
seated  on  a  low  rock  just  above  the  ground,  with  a  tiny  French  chanticleer 
back  of  her,  and  stretching  out  her  arms  to  Napoleon  who  has  just  landed  from 
Eg^-pt.  His  sea  voyage  is  indicated  by  a  prow  back  of  him,  decorated  with  a 
little  sphinx  indicating  the  country  he  came  from.  Both  Napoleon  in  his  palu- 
damentum  and  France  bearing  a  mural  crown  are  clad  a  Vantica.  The  inscriptions 
are  even  more  remindful  of  antique  models.  The  one  in  the  exergue,  communi- 
cating the  date,  interprets  the  arrival  of  Napoleon  in  classical  terms:  FELIX 
ADVENTU S  NEAPOLIONI S,  whereas  the  legend  proper  reads :  EXPECTATE 
VENI,  "Come,  O  expected  one."  It  is  the  almost  messianically  flavored  legend 
of  Advenius  coins  of  a  single  Roman  em.peror,  Carausius,  who  had  his  head- 
quarters in  Britain,  ^^i  jhis  messianic  note  of  the  legend  is  characteristic  not 
only  of  the  third  century,  but  also  of  the  situation  of  1799,  of  the  time  of  Na- 
poleon's landing  at  Frejus  when  France  was  ready  to  receive  him  as  the  savior 
of  the  endangered  country.  The  obverse  of  the  medallion's  design  is  no  less 
characteristic.  It  shows  Napoleon's  bust,  draped  with  the  paludamentum ,  his 
head  surrounded  by  a  burst  of  sun  rays,  while  the  inscription  below  says 
laconically  ORIENS. 

Therewith  our  argument  comes  full  circle.  The  Hadrianic  aureus  (fig.  i) 
showed  the  Sun-god  with  the  exergual  one-word  inscription  ORIENS.  The 
head  of  the  god  has  been  replaced,  in  agreement  with  a  very  long  and  circum- 
stantial development,  by  the  head  of  the  supreme  political  and  mihtary  man 
in  power.  But  the  lapidarv'  inscription  ORIENS  again  leaves  it  unexplained 
whether  it  is  to  be  understood  geographically  or  theologically,  that  is,  whether 
it  refers  to  Napoleon's  oriental  expedition  or  to  Napoleon  himself  as  the  new 
rising  sun  that  breaks  over  Frcince  in  her  agonies. 

'"  See  supra,  note  277,  and  next  note. 

^"i  Ernest  Babelon,  Les  medailles  historiques  du  tegne  de  Sapoleon  le  Grand,  Empereur  et  Rot,  pu- 
bliees  sous  les  auspices  de  la  Socieie  de  Sumtsmatique  de  Sew  York  (Pans,  1912),  p.  13.  I  am  indebted 
to  Professor  Ralph  E.  Giesey  for  first  calling  my  attention  to  this  design,  and  to  Professor  Howard 
L.  Adelson  for  a  photograph. 

"2'  While  it  is  true  that  m  Virgil's  Aenevd,  II,  282 f.,  Anchises  addresses  the  ghost  of  Hector,  cisking 
him  quibus.  Hector,  ah  oris  expectaie  vents  ?,  the  imperative  form  Expectate  veni  in  connection  with  an 
Adventus  scene  can  go  back  only  to  the  Carausius  coins  where  britannia  greets  the  emperor  with  the 
words  with  which  Francia  addresses  herself  to  Napoleon.  See,  for  the  Carausius  Adventus  coins,  H. 
A.  Grueber,  in  Numismatic  Chronicle,  3rd  Ser.,  XX  (1900).  pi.  in,  fig.  8;  Percy  H.  Webb,  "The  Reign 
and  Coinage  of  Carausius,"  ibid.,  4th  Ser.,  VII  {1907),  70,  and  pi.  1,  fig.  9;  J.  M.  C.  Toynbee,  The 
Hadrianic  School  (Cambridge,  1934),  64f.,  and  pi.  xn,  fig,  6. 

12 


n    u    L     J 

U       I     J    L 


1    1.,  ohv 


1    h.  n-v. 


2,  ()h\ .  2.  r(\- 


:-i,  ob\-.       :J,  rev. 


4.  obv, 


4,   rev. 


re\- 


i.  at'.  Haclnaii..l/(rf«s;  rt'\ .,  ^(// ()K1L.\>  iseenotel).  2.  'lTiiydU.Aureus:ny.,Sol[setnotel'S). 
8.  Republican  Denarius  (L.  \'alerius  Acisculus) :  obv.,  Sol,  rev.,  Luna  (see  note  12).  4.  Probus, 
Aureus:  SOLI  INVICTO  COMITI  AUG.  (seenotelK).  5.  Seleucid Drachma:  obv..  Antiochus VI 
Dionysus  (see  note  12).     (>.  British  Museum.  Bronze  Tessera  or  Coin:  obv.,  ANATOLH,  rev., 

AVCIC  (see  note  H8) 


n   u 


_^_.. 


11,    ()t)V. 


11,  rev. 


f. 


iu 


7.   Pans,  BibhothequeNaticmulciK..  220:  Black-fipuredA>«/(T  (SIT  n()t(-4).     K.   British  Museum 

Hellenistic  Silver-piltPlacjuc  or /V;a/m/(sffnc)tf  5).     it.  Aurelian,  Bronze  Coin- ohv    SOI  DOM 

IMP.  ROM.  (see  note  1(1).    10.  Caracalla.  Bronze  Plaque  or /V;a/frrt  (see  note  :,!•).    11.    Republican 

Denarius  [\.  Manlius  O.  F.):  ohv.,  Roma,  rev..  Sol  rising  (see  note  10) 


n   u   L    u 

u       I    J      I 


is  a.  iiln-. 


Is  a.  rc\- 


IS   I, 


r.'.  ()i> 


lid,  ,,i.\ 


•-:i),  i.\ . 


■iy*  ^  ?v 


^<^^^ 


•>■) 


.'>*  •  ^^ 


IS   c 


>W^bi^ 


;'.  u-\ 


rilu'. 


24 


rrv 


].■). 
IC. 
17. 

Ant 

re\-. 

(see 

(see 

the 

witl 


FA(  AIOK  OKHIS,  .Sol  (^ee  note  -ir).      -20.   Prolius,  .-Jz/yn/.s-  rev     \IRTrS   I'K'OIU    \\( 

note   2<.).       -21.    Aurelian.    Anrcus:    rev.,    RKSTmTOR    ()I      ATIS      sM      .         i        ' 

note  41).      22.   C.alHenus,  Antoninianus:    re^•.,  R]: S    1       T  (  R    OR  [  XTIS     '  '      '   .T 

Province  ()nens  (see  note  44,.      2H.   Maxn.,anus,  Anton.niln^^^  :^     ClI  ^T  AS ''JTr  W 

.    (  aptne  (see  note  iVA).      24.  Constantine:   rev.,   (LARITAS  RHnM-nLH     , -■'"■'  „e  ^i 


X  ■ 


s: 


r.  = 


>'.  — 


X   5 


-  y: 


c  '-7 
u  - 

x    — 


r.  -05 


X 


u      i    J    J 


^"-- 


#■ 


«  \ 


a 


^ 


:!1   li 


:i2 


;j;i 


c 


on. 


:J1  a.  Paris,  Hihliotlioiuc  Xationalc.  MS  pr.  "4.  f<'I-  !••':  Canticlo  (if  Zacliarias  (sec  note  155).      :{!  b.  Lond 
I^ritisli    Museum.   Acid.  MS  :iiMi-2T.   tol.  \\\    (see  note  155).      :{-2.  Cliludoff   Psalter,  fol.  154^':   Canticle  of 


Habakkuk  (see  note  15(i) 


\'ati 


can 


MS  gr.  1!I27.  fol.  •2S5^ :  Canticle  of  Zacliarias  (sec  note  157) 


/  /    U    L     L 

U       I     J    U 


;ij  c 


87 


;^4  a-c.  Istanbul,  Ottoman  .M 


Canticles,  fol,  (;:}\ 


36 


uscnni.  I'.w.antHK'  Srals  of  lilachcrnilissa   [ 


^ee  note  174).     ;i(>.  \'at 


:{7.   X'atican.  MS  '^r.  7.V2,  fol.  S-2:  HI,. vat 


ican,  MS  ^r.  i;»-27,  fol.  :52:  Klrvat 


\\n'  (src  note  KM  f.).      :{.-,.  Rothschild 


y. 


<-. 


lo 


ion  on  tlic  lincklcr  (sec  note  'iOH) 


n  on  the  l^ncklrr  (.SCO  note -iO-l). 


U       I     J 


n    a,  ol.v 


n    a,  Yvv. 


II    i> 


4'i  a,  ()i)\'. 


l-i  a,  lew 


4:J 


li>  1) 


44 


41  a-K  Mo<lalli„ns:    Hcnrv  I\    as  Uncnlrs  Oallicus  (sc-e  note  •iC.'.l).       fi  a-l>.   (iuillaiinir    Duinv,  Medallions   lor 

oius  \III.   rev  ,  ORIEXS  ArClSTl  TrTRICK  .MIXER\-A  (see  note -27(1).     4:1   Acad,  <les  Inscr.    Design  for 

Medallion:  l-oundin^  of  the  Acadeniie  des  Inscriptions  (see  note  -27:5).    44.  Acad,  de  Inscr.,  Desi.^n  lor  Medallion: 

I-lirtli  of  Louis  XI\'  (see  note  '274) 


45  a 


^  .     I  Clu'i.  ,  ^ 


•<o9) 


»     ''  /llrifi^iitc 


u 


..<«..^^^^'\ 

'..<i|^^,'     ^4'^)/ 


/" 


»/«>4        "«•« 


J'/^'^ 


,»/       ■  rit'ti  kf^   ^u  ,t ,  f 


4S 


4!l  a 


4!t  h 


4')  a.  Acad,  des  Inscr.,  Design  for  Medallion:  ORITS  SOI.IS  (lALLICI  (see  note-27.')i.  4.")  h.  Meiiestriers  X'ersion  of  4')a 
(.see  note  •27.")).  4(1  a.  .\ead.  des  Inscr.,  Design  lor  Medallion:  IClevation  on  the  I'.iickler  of  Louis  \I\'  (see  note  27(1). 
4t;i).  Roniain-\"incent  jeuf'fiow  Mi'dallion:  Iilexation  on  the  lUickler  of  Napoleon,  1S(I4  (see  note  277).  47.  Paris. 
Hibliotheciue  Ma/ariiie,  .M.s  l:}!*.'.,  fol,  D:  Design  for  New- Year's  jetton,  1(144  (see  note  27'.0.  4s.  Menestrier,  Design  for 
Medallion,  l(!4:i:  re\-.,  Louis  XI\'  on  Chariot  of  Sun  with  (hieen  Mother  as  .</;•//<*  Mtitiiiiiui  (see  note  2s2l.  4!t  a-h.  Acad. 
des  Inscr.,  Design  for  Medallion,    Itlll]  :    Louis  .\I\-.\pollo  on  ("ilobe //(•/(n/i'A'.sv  (see  note  2^4) 


n   u   L    u 

U      I    J    u 


:)() 


:a 


")."),  ()h\-. 


5:3 


54 


;>;>,  row 

50.  Acad,  des  Iiiscr.,  Dfsign  for  Midallion,  Kldl  :  CiALLIA  FELIX  (sot-  note  •2S5).  51.  Acad,  dos 
Inscr.,  Design  for  Medallion,  l(i5:}:  SERENITAS  (sec  note  2S(»).  52.  Menestrier,  Design  for  Me- 
dallion: SOLISOl'E  LAHORES  (see  note  2S7).  5:5.  Menestrier,  Design  for  Medallion:  ORITS 
EST  SOL  (see  note  2.SS).  51.  Acad,  des  Inscr.,  Medallion:  Tlie  King's  Device— NEC  PLrRlIU'S 
IMPAR  (sec  note  202).    55.  Jean  Varin,  Medallion,  1G74:  obv.,  LUDlO\TCUSJ  MAGNUS,  rev., 

King's  Device  (see  note  2!)5) 


56 


.)^  .1 


'U 


..S   I) 


5t;.    ru'ii>cradc'>  I'alUi  dc  la  \  iiit:   \aa\\--\\\  ni  liu' ((^tunu'  of  Sunrise  (see  note  2'.»7!.      57.    Menestrier, 
I'lalf  (if  tlic  King's  Soi.ir  Devices  (see  note:>15).      5S  a   b.  Metropolitan  Museum.  HoulleClock  of  T.ouis  XIW 

antl  detail  of  top  (se<'  iiotr  :!(Hl 


n   o   L    u 

u       I    J      I 


t;i)  A.    I)<'tail  of  top  of  'ral)li';iu 


SURGENS     CORUSCAT. 


(■)0  1).    Detail  of  Ixittoni  of  'I'ablcau 
Daiiclict,  I.t-vcr  dii  Roy,  Tableau  (see  note  :!1;{) 


ti2 


5!» 


y     vi<miirii>cj    T'AB. 
f,/     IT  rSSKytXIDlMtATA*. 

/  TarnauMKnf  T«vKrATosiix 

_  'VUDI-  ^        -JLjrTlI» 

3  ,     V.  MBC  .(>,  ijooax 


^■»« 


f«  LK-'*'^ 


•^Sil 


f.l 


«'.:}  a 


till  b 


")!!.  Desij^ii  ol  Medallion:  /.;/  ,/,■  fu^tiiC  [m-v  note  :{(I:{).  (11.  Medallic  Persiflage:  obw.  I'all  of  Phaeton, 
rev..  X()\  SI-:M1'KK  1.11.I.\  FLORKNT  (see  note  lllT).  i'd.  Medallic  Persiflage:  SE  IPSISSIMO 
(see  note  :{lS).      t;:5  a   b.    Medallic  Design,  17!»!»:  obv..  Napoleon  as  OKIKNS.  rev.,  ADNKNTl'S  in 

I'reius  (see  note  '.\'20) 


n   u   L    1 1 
u     f   u   u 


WISSENSCHAFTLICH  E  BUCHGESELLSCHAFT 


Wissenscfaattlicfae  Budigesellschatt.  blOO  Dafmstadt,  Poattach  1129 

Herrn  Professor 
Dr.  Ralph  Giesey 
Department  of  History- 
University  of  Iowa 

Iowa  City  /  Iowa  /  USA. 


Telefon  : 

Darmstadt  (OfilSl)  Sa.-Nr.  H4045 
Bankkonto : 

Investitions-  u.  Handelsbank  AG 
Frankfurt/M.  6234 
Postschedckonten : 
Frankfurt  (Main)  lOVl  fi« 
Wien  1093  67 
Zurich  80-504  06 
a  Gravenhage  970  57 


Ihr  Zeidieu 


^  Bei  Antwort  bitte  Diktatzeidien  und  Datum  unseres  Schreibens  angeben 


Ibre  Nachridit  void 


Unser  Zeidien 

Cii  /  Ha 


6100  DARMSTADT,  Hindenburgstr .  40 

13.  September  1971 


Betr.:  Kantorowicz,  E.H. :  Oriens  Augusti  -  Lever  du  Roi.  Dumbarton 
Oaks  Papers  17  (I962),  S.  117  -  177;  daraus  Exzerpt:  Anatole 


tu  Despotu,  S.  149  -  162  (in  deutscher  Sprache) 


T 


Sehr  geehrter  Herr  Professor  Giesey, 

mit  gleicher  Post  habe  ich  mich  auch  an  Herrn  Professor  Cherniavsky 
in  Albany  gewandt.  Unser  Verlag  plant  einen  Sammelband  zu  dem  oben- 
erwahnten  Thema;  der  Herausgeber,  Herr  Professor  Hunger  (Wien) ,  mochte 
in  diesen  Band  auch  den  obenerwahnten  Auszug,  die  Untersuchung  von 
Herrn  Professor  Kantorowicz,  aufnehmen. 

Der  Herausgeber  hat  uns  durch  Vermittlung  eines  guten  Bekannten  - 
durch  einen  Hinweis  von  Herrn  Professor  G.  Ladner  aus  Los  Angeles  - 
Ihre  sowie  die  Adresse  von  Herrn  Professor  Cherniavsky  mitgeteilt. 

Ob  Sie  und  Herr  Professor  Cherniavsky  -  als  Erben  des  wissenschaft- 
lichen  Nachlasses  von  Herrn  Professor  Kantorowicz  -  sich  mit  unserem 
Wiederabdruckwunsch  einverstanden  erklaren  konnen  ? 

Venn  Sie  uns  eine  Zusage  schicken  konnen,  wiirden  wir  auch  gern  von 
Ihnen  erfahren,  ob  Sie  allein  uber  die  Wiederabdruckrechte  verfiigen 
Oder  aber  ob  wir  uns  an  einen  Verlag  wenden  mlissen. 

Mit  Interesse  sehe  ich  Ihrer  Stellungnahme  entgegen.  Schon  im  voraus 
unseren  besten  Dank. 


Mit  freundlichen  GriiBen 
WISSENSCHAPTLICHE  BUCHGESELLSCHAFT 


i( 


C    C- 

(   Hermann  Ciirten   ) 


n    u    L 

u      I    u 


THE  UNIVERSITY  OF  IOWA 

IOWA  CITY,  IOWA         52240 

17  September  1971 


Department  of  History 


=  3  I  li[i,,r,i,iji  lEg 


•^iiSinioJ^^ 


i4r.  Hennann  Ciirten 
Wissenschaftliche  Buchgenellschaf t 
6100  Darmstadt 
Germany 

Dear  Mr.  Ciirten, 

In  the  front  of  D.O.Papers  17,  where  Oriens  Au,':':usti  was  printed,  we  find 
this  statement:  "All  rights  reserved  by  the  Trustees  for  Harvard  University, 
The  Dumbarton  Oaks  Research  Library  and  Collection,  Washington,  D.C."  I  judge, 
therefore,  that  rights  to  reproduce  must  be  given  by  them. 

I  am  sending  your  letter,  therefore,  to  Professor  Ihor  ?evcenko,  Professor 
in  Dumbarton  Oaks,  who  is  a  close  friend  of  mine,  as  he  was  of  Kantorowicz's,  and 
who,  along  with  Cherniavsky  and  me,  is  the  guardian  of  some  of  Kantorowicz's  :T'-:ch- 
lass.  He  will  secure  the  permission  to  reprint  the  portion  of  Oriens  Au.?jsti 
which  you  specify  in  your  letter,  or  tell  you  what  must  be  done  to  secure  such 
permission. 

Should  it  happen  that  the  literary  heirs  of  Kantorowicz  rau;^  t  give  their 
consent,  be  advised  that  they  are  two  sisters,  nieces  of  Kantorowicz's.  One  of 
them,  herself  an  academic,  has  handled  all  questions  of  reprinting  Kantorowicz's 
woi-ks  in  recent  years.   She  had  readily  given  consent  to  all  enterprises,  such  as 
yours,  so  you  will  have  no  trouble  at  all  if  it  should  turn  out  that  she  must  be 
approached.  Her  name  is  Dr.  Beate  Salz,  Dept.  of  Sociology,  University  of  Puerto 
Rico,  San  Juan,  P.R.  You  could  write  her  directly. 

Sincerely  yours. 


Ralph  E.  Giese, 


1 


/  /    U    L      J 

U       I    U    L 


UNIVERSITATS  PROFESSOR 

DR.   P.  THOMAS   MICHELS   OSB 


SALZBURG, 
NONNBERGCASSE 
POSTFACH    1/SI4 


29.5.1963 

2 


Professor 

Dr.  Ernst  Kantorowicz 

Institute  for  Advanced  Study 

PRINCETON,  New  Jersy 


Sehr  verehrter,  lieber  Herr  Kollege! 


Sie  haben  mir  einen  so  lieben  und  f reundschaf tlicheri  Brief  ge- 
schrieben,  da,6  ich  Ihnen  von  ganzern  Herzen  dafiir  danken  mu;3 . 
Ich  freue  mich,  dajS  die  Caristia  gut  bei  Ihnen  angekommen  sind, 
und  danke  Ihnen  von  ganzem  Herzen  fiir  Ihre  ausdriJcklichen  Gluck- 
wunsche  zur  Vollendung  meines  7o,  Lebens j ahres . 

Ich  mu3  Ihnen  ja  sehr  dankbar  sein,  und  bin  es  auch,  daj3  Sie  eine 
so  wertvolle  Abhandlung,  wie  mir  unser  P.  Prior  schon  verraten 
hat,  zu  der  mir  zugedachten  Festgabe  beigesteuert  haben.  Da,6  Sie 
darin  auch  das  Problem  des  Herrn  der  Sieben  Sterne  ausdrucklich 
behandelt  haben,  interessiert  mich  naturlich  aufs  hbchste.  Ich 
bin  sehr  begierig,  den  Beitrag  zu  lesen,  und  hoffe,  da|3  mir,  wie 
versprochen,  die  Festgabe  auf  den  nachsten  Hochschulwochen  uber- 
geben  werden  kann. 

SoLlte  mein  Mitbruder  P.  Anselm  Strittmatter  noch  am  Institute 
sein,  so  bitte  ich  ihn  herzlich  zu  gru^en. 

Ich  hoffe.  dap  Sie  ihre  izrkranicung ,  von  der  ich  vor  einiger  Zeit 
horte,  glucklich  uberwunden  haben.  Ihren  Arbeiten  wunsch-^  ich 
von  ganzem.  Herzen  einen  guten  und  gesegneten  Fortgang. 


In  herzlicher  Yerbundenheit  und  Ergebenheit 

Ihr 

(Univ.  Prof  .Dr.  p.  Thomas   r.lichels   QS?>)l/s  /(/ 


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19.  Mai  1063 


Lleber  verehrter  Kollere  Thomas  Hlchelo, 

Festschrlften  haben,  da  sie  ja  Wahrh«it.  enthalt«n  son  en,  kelne  kurzen 
Beinc,  sondern  sehr  sehr  lanpe  Paine,  deren  lanpe  slch  eher  in  die  Zeit  cr- 
streckt  als  In  den  Hauw.  Nvin  sind  Sir  unaoren  OrUs^en  zuvoreeko-nmen  durch 
Ihre  CARISTIA,  und  warn  unsere  "lanren  Belne"  dlesea  Zuvorkorrmen  m^pllch  pe- 
macht  haben,  so  1st  es  put.   Thres  if^t  elne  Saramlung  kurzer,  und  zwar  ebenao 
schUncr  wle  tlefer  StUcka,  die  belehren  und  dip  Oelehrthelt,  dip  liberal  1 
apUrbar  ist,  lelcht  trapan  und  leicht  vermltteln.   Haben  Sle  Dank  dafUr  und 
aelen  Sle  zur  Herauspabe  dieser  Vortfripe  und  Laudatlones  beplUckifllnr^cht  wlr 
auch  nachti^glioh  zur  Vollendung  Ihrea  7C.  Jahrea,  dfw  Ich  auch  nlcht  so  fern 
bin. 

In  melnen  Beltrap  zu  Ihrer  Festachrift  habe  ich  ndt  einlper  Freude  elne 
lange  Fussnote  hineinpen8tlgt  liber  den  Harm  der  Sleben  Sternd,  well  ich  mlch 
erlnrerte,  dass  dieses  Problem  Sle,  als  Sle  noch  in  dlesem  Innde  waren,  elnst 
besctefUpt  hat.  Auch  dachte  Ich,  dasa  die  Tusa^imenhMnpe  mlt  der  bstUchen 
Uturgle  Sle  eventual  1  interes'^ieren  kKnntenj  denn  liber  die  Koptlschen  Tauf- 
Akklamationen  bin  ich  Ihnen  .1a  erstmals  bepepnet. 

Unser  Inatltute  for  Advanced  Study  verWffentlirht  lelder  kclne  Pllcher- 
oder  Z.  Itachriftenreihe,  die  wlr  Ihrem  Forschunpszentrum  stlften  k'-nnten. 
Was  unaere  Mltglieder  verbffentllchen,  erscheint  in  den  landll^ufipen  Zelt- 
schrlften  cder  wlrd  von  Princeton  University  Pres^s  auf  unsere  Kosten  ^edruckt 
wenn  es  slch  um  BUcher  handelt.  So  ka' n  ich  Ihnen  lelder  kelne  "Schriften  dea 
Institutes"  zukonmen  lasswi,  und  nur  melne  elpenen  Pirher  wle  die  Laudes  Regiae 


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Oder  The  King's  Two  Rodles  kUnnte  ich  Ihnen  schicken,  falls  Sie  die  nicht 
lanpgt  haben,  und  die  Separata  elniper  AufSHtze. 

Wlr  haben  perade  Ihren  Mltbruder  Anieln  Strltttnatter  als  Oast  fUr  ein 
Semester  hier  am  Institute,  un<^  Ich  plaubn  er  penlesst  die  Frelhelt  zur  Arbeit 
sehr  und  macht  von  Ibr  aursrdpblp  und  erfolpr^'l'^b  Oebraiich,     Tcb  -^(^'1•^=!t  werde, 
nach  mehreren  Cperatlonen,   auch  alt  xmd  die  Schatten  werdcn  Tdnper:  Mnlorescue 
cadunt  altla  de  montlbus  umbrae  trgfe  fUr  mlch  Im  Ubertraponen  Sinne  bu.  Doch 
geht  es  mlr  put,   solang  es  halt  da  lert,  und  Ich  kwimp  au-h  zuw  Arbclten,  nur 
peht  es  etwas  lanpsamer. 

Blelben  Sle  p^esund  und  arbeltnlustig  wle  blsher.     Ich  p^denke  Threr 
in  aufrlchtiper  F.rpebenheit  und  Verbundenhelt. 

Ihr 


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m. 


Sonderdruck 

aus 

Das  byzantinisdie  Herrscherbild 

Seiten  258-280 


:•     ? 


•ANATOAH  TOY  AESHOTOY 


von 


ERNST  H.  KANTOROWICZ 


1975 

WISSENSCHAFTLICHE   B  UCHG  ES  ELLSCHAFT 

DARMSTADT 


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Dcr  friihhyzantinisdie  Kaiser 


257 


Justinian,  der  sein  Leben  und  seine  Herrsdiaft  von  der  Wut  des 
Hauptstadtpobels  bedroht  gesehen  hat,  will  nicht  mehr  anerken- 
nen,  dafi  seine  Macht  audi  vom  Volke  stammt.  Bei  ihm  gewinnt  die 
Auffassung,  dafi  die  Kaisergewalt  von  Gott  allein  ausgehe,  immer 
grof?eres  Gewicht.'*  Er  betont  in  seinen  Novellen  immer  wieder, 
dafi  Gott  ihm  sein  Imperium  iibergeben  habe."  Wenn  der  Kaiser 
nunmehr  fiir  sein  Volk  sorgen  mufi,  so  gesdiieht  dies  nidit  etwa, 
weil  ihn  gewisse  Verpfliditungen  gegeniiber  seinen  Untertanen 
dazu  zwingen,  sondern  nur,  weil  dies  der  Wille  seines  Auftrag- 
gebers,  Gottes,  ist." 

Diese  seine  Eigensdiaft  als  Voilzieher  des  Auftrages  Gottes  flofit 
ihm  die  Oberzeugung  ein,  dafi  der  einzelne  Trager  der  Kaiser- 
gewalt iiber  den  anderen  Mensdien  steht,  und  veranlafit  ihn  zur 
EinFiihrung  eines  despotischeren  Tones  an  seinem  Hof,  wofiir  ihn 
audi  Prokop  mit  besonderer  Sdiarfe  tadelt.'' 

Es  tritt  also  seit  dem  Nika-Aufstand  eine  neue  Phase  in  der  Ent- 
widtlung  der  Vorsiellungen  iiber  die  Kaisergewalt  hervor.  Jetzt  ge- 
winnt das  transzendentale,  das  mystisdie  Element  iiber  den  alteren 
juristisdien  Sinn  der  Zeit  des  Prinzipais  und  der  friihbyzantini- 
sdien  Zeit  (bis  532)  in  der  Kaisertheorie  die  Oberhand. 

Aber  die  Untersudiung  dieser  neuen  Phase  soil  der  Gegenstand 
einer  eigenen   Arbeit   werden. 


'*  Aber  ohne  eine  vermittelnde  Einrichtung,  etwa  der  Kirdie.  die  im 
Gegensatz  zum  Westen  sidi  niemals  das  Redit  erworben  hat,  die  „Basi- 
leia"  verleihen  zu  konnen.  Siehe  dariiber  F.  Dolger,  BZ.  38  (1938),  S.  240; 
vgl.  A.  Midiel,  Die  Kaisermadit  in  dcr  Ostkirdie,  Ostkirdilidie  Studien  4 
(1955),  S.  232ff. 

"  Zum  Beispiel  N.J.  8  Edikt  (78.  21);  N.J.  72  Pr.  (358.  36—37); 
N.J.  77  Pr.  (381.  19—20);  N.J.  80  Pr.  (390.  21—22);  N.J.  81  Pr. 
(397.  14);  N.J.  85  Pr.  (414.  17);  N.J.  86  Pr.  (419.  19—20);  vgl.  audi 
W.  Enfilin,  Gottkaiser  .  .  .,  S.  91  ff. 

'•  Siehe  z.B.  N.J.  133  Pr.  (666.21). 

"  Prokop,  Historia  arcana,  30.  21  ff.  (184.  19  ff.  J.  Haury).  —  Vgl. 
L.  Br^hier,  Les  survivances .  .  .,  S.  57. 


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259 


Ernst  H.  Kamorowicz :  Oricns  August!  —  Ltver  du  Roi  (Dumbarton  Oaks  Papers  17 

rig^.i      s    ■J*J — I'v?      All-    deni  Enplischer   ubcrscty.t   \  on  l.dith   und  Gerhard  Binder. 


"ANATOAH  TOY   AE2:nOTOY* 
Von  Ernst  H.  Kantorovicz 

In  einer  seiner  Hymnen  zum  Epiphaniefest  spridit  Ephraim 
der  Syrer  (303—373)  davon,  dafi  Semha  und  Dcnha  gleidizeitig; 
herrsditen.'  Semha  bedeutet  im  Syrisdben  ^Glanz'  und  entspridit 
mhaltlidi  etwa  lateinisch  Claritas.  Denha  bedeutet  ^Aufgang", 
speziell  Sonnenaufgang.  und  ist  die  syrisdie  Ubersetzung  von 
griechisdi  'AvaTO/.T]  (Lucas  1,78)  und  hebraisdi  Zemach  (Zadi.  3,8; 
6,12"! ;  es  bezeidinet  zugleidi  die  ^Ersdieinung'  Christi,  d.  h.  die 
Ofienbarung  seiner  Gottheit  im  Jordan.^  Der  synsche  Kirdien- 
vater  idennfizierte  Glanz  bzw.  Claritas  mit  dem  „Konig  auf 
Erden",  genauer  mil  dem  Kaiser  Augustus,  den  ^Aufgang"  mit 
dem  „Sohn  im  Himmel",  also  Chnstus.  Claritas  (Augustus)  und 
Onens  (Christus)  herrsditen  also  gemeinsam  zur  selben  Zeit. 

Die  diesem  Syndironismus  zugrundeliegende  politisdie  Theo- 
logie  stiitzt  sidi  auf  Lucas  2,1   und  ist  gut  bekannt."  Sie  gipfelte 

'■  Der  folgende  Text  stelli  der  3.  Absdinitt  der  inn  Qucllenvcrmcrk  be- 
zeidint-teti  LJntersuchung  dar.  lir  Oripmal  werdcn  die  Anmcrkungt-ti  pt- 
zahh:  IBDff.  Verweise  auf  Anmerk unpen  zu  hier  nidit  abgedrudtien 
Passapen  stehen  m  edtipt-n  Klammern.  Diese  Anmerkunpsziffern  sind  un- 
verandert,  entspredien  also  der  Oripinalzahlunp. 

'  Ephraim.  In  festuin  Epiphaniae  I]  1  (ed.  Latnv  1  12  f.V 

-■  Ebd.  14,  Anm.  1. 

'  Das  Problem  behandelt  vorziiplidi  Erik  Peterson,  Kaiser  Aupu.stus  im 
Urteil  dcs  antiken  Christentums,  in:  Hodiland  30  (1932—33),  S.  289  fi.; 
Der  Monotheismui.  als  politisdies  Problem,  in:  Theolopisdit  Traktaie 
(Miindien  1951),  S.  49— 147;  vpl.  audi  Th.  E.  Mommsen,  Aponius  and 
Orosius  on  the  Significance  of  the  Epiphany.  Late  Classical  and  Mediaeval 
Studies  in  Honor  of  Albert  Machias  Friend,  Jr.  (Princeton  1955), 
S.  96— 111. 


in  der  Vorstellung,  dafi  die  universale  Monarchic  auf  Erdcn  und 
der  universale  Monotheismus  im  Himmel  voneinander  abhangen. 
Ebenso  vie  Augustus  der  Polyardiie  von  Konigen  durch  die  Er- 
nditung  der  romisdien  Weltherrsdiaft  ein  Ende  setzte,  so  besei- 
tigte  der  fleisdigewordene  Sohn  Gottes  den  Polytheismus,  indem 
er  den  Glauben  an  den  einen  Gott  stiftete.  Origenes.  Eusebios  und 
andere  Autoren  macbien  sich  diesen  crklarten  Parallelismus  von 
Monardiie  und  Monotheismus  zunutze.  Er  wurde  allgemein  vor- 
herrschend,  nadidem  Konstantin  seinen  Frieden  mit  der  Kirche  ge- 
madit  hane.  Durch  die  Vermittlung  des  Orosius  hielt  sich  diese 
Auffassung  bis  zu  Dante  und  dariiber  hinaus;  ein  sdiwadies  Echo 
findei  sidi  nodi  in  einer  der  KeltisAen  Kaiechesen.*  In  einem  Idio- 
melon  der  byzantinischen  Kirche  auf  '^"eihnachten  fiahne  die  Didi- 
tenn  Kassia  (geb.  ca.  81C)  die  Symmetrie  Augustus  —  Christus 
breit  aus:  ,Als  Augustus  auf  Erden  herrsdite,  fanden  die  vielerlei 
Konigreidie  der  Menschen  ein  Ende;  und  als  Du  Mensdi  wurdesi 
durch  die  Jungfrau,  wurde  der  Polytheismus  der  Gotzen  vernich- 
tei . .  .  Die  Volker  wurden  dem  Ratschlufi  des  Kaisers  anheimgegeben, 
wir  wurden  im  Glauben  dem  Namen  Deiner  Gottlidikeit  anheim- 
gegeben .  .  ."^  Es  war  allerdings  nidit  ublidi,  die  Cbereinstimmung 
von  Monardiie  und  Monotheismus  in  solaren  Begriffen  auszu- 
driidien.*  VJ'enn   Ephraim   der   Syrer   die   gleichzeitige   Herrsdiaft 

•  Dame,  De  Monardiia  II  12.  ed  Paget  Toynbee,  Le  opere  di  Dante 
Alighieri  (Oxford  1924),  S.  362:  zu  Dante  und  Orosius  vgl.  Charles  Till 
Davi!,,  Dante  and  the  Idea  of  Rome  (Oxford  1957).  S.  55  ff.  Cber  die 
Keltisdien  Katediesen  s.  Andre  Wilmart,  Analecta  Regincnsia,  in:  Studi 
e  Testi  59  (Vatican  1933,i,  S.  99:  Caesar  .possessio  principalis'  intcrprc- 
tatur;  Augustus  vero  interpreutur  ,solemniter  stans'.  Quae  duo  nomina 
Christo  convemunt .  . . 

'■  Mcnaia  II  651  (25.Dez.);  vgl.  Chnst/Paranikas,  Anthologia  103; 
Raffaele  Caniarella,  Poeti  bizantmi  (Milano  1948)  I  141  (Texti  und  II 
164  (italien.  Ubersetzung  des  Gedidbts  und  Litcratur  zu  Kassia). 

•  Ongenes,  Conua  Ccls.  U  30  (ed.  Koetsdiau  [Leipzig  18991 
1  156,2  fi.l,  verbindet  in  der  Diskussion  iiber  die  Einheit  von  Gereditigkeit 
und  Fneden  (Psalm  71,7)  den  Frieden  des  Augustus  mit  der  Gereditigkeit 
der  „Sonne  der  Gereditigkeit*.  verwcndet  in  dieser  Verbindung  jedodi 
sonst  ktint  solaren  Meiapbem. 


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Lrnst  H.  Kantorowic? 


AvaTo/.t)  Tof  hennoToi' 


261 


von  Clantas  und  Oricm  betonte,  war  er  offenbar  von  bestimmten 
Stromunpen  seiner  Zeit  beeinflufit,  vielleicht  sogar  durdi  die  Le- 
penden  von  Miinzen.  die  damals  nodi  im  Umlaut  waren. 

Wit'  deni  audi  sein  mag;  Das  Nebeneinander  von  Sonne  —  Herr- 
sdier  und  Helios  —  Christus  imHymnus  des  syrisdienDiditers  bot 
durdiaus  eine  interessante  Perspektive,  die  nidit  nur  hinsiditlidi 
der  heidnisdien  Vergangenheit,  sondern  audi  hinsiditlidi  der 
diristlidien  Zukunft  stimmen  modite.  Denn  es  ersdicint  mehr  ais 
zweifelhaft.  da(^  die  heidnisdie  Idee  eines  „Sonnen-Konij;tunis"  des 
Herrsdiers  auf  Lrden  so  vollkomnien  und  unbeeintriiditij^t  iiberlebt 
hiitte,  wie  es  in  Bvzanz  der  Fall  war,  wenn  nidit  die  Paralielitat  von 
„Sonnen-Koni}jtum"  des  Herrsdiers  im  Himme!  und  von  „Sonnen- 
Kijnigtum"  des  Herrsdiers  auf  Erden  diesc  Idee  fjeredirfertigt  hiitte. 
In  der  Tat  map  die  Emtiihrun;;  des  Christentums  in  das  Rcimisdie 
Reidi  Konstantin  den  Grofien  dazu  bewogen  haben.  seine  Miinz- 
pragung,  die  den  Sonnen-Gott  mit  der  Legendc  Soli  invicto  comtti 
Au}(usti  nostri  darstellte,"  mit  einigem  Ziigern  aufzugeben;  dodi 
wurden  dadurdi  im  ubrigen  die  solaren  Qualitaten  oder  der  soiare 
Charakter  der  diristlidien  Herrsdier  nidit  beeintraditigt.  Fiir  Euse- 
bios  war  Konstantin  nodi  der,  „weldier  zusammen  mit  der  Sonne 
autgeht";  Hinierio,s  sah  in  Helios  nodi  den  propater  des  konstan- 
tinisdien  Hauses;  die  Anrede  des  Kaisers  als  Weif  r\Xif  PaaiXEi), 
„gottlidier  Sonnen-Herrsdier",  gehbrtc  zum  Repertoire  der  hvzan- 
tmisdien  Diditer  und  Redner  bis  zuni  Ende  des  Ostreidis.''  Audi 
versdiwand  die  Vor.siellung  vom  „Sonnenaufgang"  des  Herrsdiers 
nie  aus  der  Spradie  des  Hofzeremonielh,  ungeaditet  der  Tatsadie, 
da£  an  der  Seite  des  Herrsdiers  oder  iiber  ihm  der  neue  „gei.'!Tige" 
Helios,  die  Sonne  der  Gereditigkeit,  autgegangen  war.  Der  neue 
Glaubc  verkiirztc  die  Idee  der  kaiserlidien  Sonnen-Herrsdiaft  nidit, 
sondern    gab    im    Gegenteil    dem    alten    Bild    neue    Kraft.    Der 


■  A.  Alfoldi,  The  Conversion  of  Constantine  and  Papan  Romt  (Ox- 
ford 1V48).  S.  55ff.;  PariA  Bruun,  The  Disappearance  of  Sol  from  the 
Coins  of  Constantine.  in:  Arctos  N  S.  2  (1958)  S.  15  ff. 

"  Lusebios,  Vita  Constantini  1  43  (ed.  Heikel  28,11  f.):  Himerios,  Ora- 
tio  VII  9  und  Ecloga  XII  6  (ed.  DUbner  [Paris  1849]  62.25  und  24.38); 
2ur  Anrede  ..jjbttlidier  Sonnen -Herrsdier"  s.  unten  Anm  64 


dinstlidie  Herrsdier  —  Gottes  hcidister  hyparchos  auf  Erden,  gleidi 
nadi  Christus  als  Gottes  hyparchos  im  Himmel*  —  wurdc  der  chri- 
stomimetes  par  excellence,  d.  h.  er  allein  war  es,  der  Christus,  den 
Beherrsdicr  des  Universums.  nadiahmte.  verkorperte,  ja  .sogar  kul- 
tisdi  darstellte.  Daher  wurden  die  .solaren  Titel  des  Kaisers,  ob- 
gleidi  historisdi  ein  Oberbleibsel  aus  heidnisdier  Vergangenheit 
oder  einc  Fortsetzung  der.selben,  kiinftig  durdi  die  soiare  Nomen- 
klatur  Christi  selbst  gestiitzt  und  legitimiert. 

Das  Sonnen-Konigtum  der  byzantinisdien  Kaiser  war  demnadi 
nidit  nur  ein  Rest  helienistisdi-romisdier  Tradition,  sondern  zu- 
gleidi  Spiegelbild  jenes  Sonnen-Konigtums,  das  sidi  in  Gestalt  des 
Christengoties  zeigie.  Diese  beiden  Strange  waren  wiihrend  der 
tausend  lahre  von  Bvzanz  standig  miteinander  verfloditen,  und 
dodi  fiihrte  jeder  Strang  gleidizeitig  ein  Eigenleben.  Die  helleni- 
stisdie  Tradition  lebte  vor  allem  in  den  Kreisen  der  hcifisdien  litte- 
rati,  der  Diditer  und  Redner,  fort.  Der  diristliche  Einflufi  war  vor- 
wiegend  im  Bereidi  der  „kaiserlidien  Liturgic"  spiirbar,  in  der  Art, 
wic  man  die  Festc  des  Hofes  und  des  Kirdienjahres  feierte."'  Seit 
aber  die  litteratt  des  Hofes  audi  fiir  die  Feier  diristlidier  Festc 
durdi  den  Kaiser  diditeten,  wahrend  zugleidi  der  diristlidie  Kult 
im  allgcmeinen  und  die  Vorstellung  vom  Sonnen-Konigtum  Christi 
im  besonderen  mit  hellenistisdi-romisdien  Elementen  erfullt  war- 
den, ist  es  aussiditslos,  die  beiden  Strange  klar  voneinander  trennen 
zu  wollen.  Die  byzantinisdien  Diditer  bemiihten  sidi  in  der  Tat, 
beide  Strange  zu  verknupfen,  mandimal  mit  dem  Ergebnis,  da£  sie, 
wie  Ephraim  der  Syrer.  das  Bild  zweier  Helioi  zeidineten.  So  wen- 
det  sidi   der  Diditer  Theodoros  Prodromes   (12.  Jahrhundert)  in 

•  Eusebios,  Dc  laud.  Constant.  3  und  7  (ed.  Heikel  202.2  und  215,31). 
Vgl.  J.  A.  Straub,  Vom  Herrsdierideal  in  der  Spatantike  (Stuttgart  1939), 
S.  121 ;  ferner  EnClin,  Gottkaiser  und  Kaiser  von  Gotte.-.  Gnaden,  S.  61 
[vgl.  in  diesem  Bd.  S.  62]. 

'"  Zur  kaiserlidien  „Liturpie''  s.  die  prundlegende  Abhandlung  vor 
Otto  Treitinper,  Die  ostromisdie  Kaiser-  und  Reidisidee  nadi  ihrer  Ge- 
staltunp  im  hbfisdien  Zeremoniell  (.lena  1938),  bes.  S.  49  fF  ;  der  Bepriff 
ftaoi/.ixfi  /.EiTi)Ut)viu  in  der  weiteren  Bedeutung  kaiserlidien  Zeremoniells 
und  kaiserlidicr  Huldipung  bepepnet  in  der  Tat:  vgl.  Const.  Porph.,  De 
caerim.  II  52  (ed.  Reiske  I  704.13). 


n    u   L    u 

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262 


Ernst  H.  Kantorowicz 


einem  Epiphanieiied  wie  folgt  an  den  Kaiser  und  die  kaiserliche 
Stadt: 

Leuditc  aut,  Stadt  dcr  Rhomiier,  und  nodi  einmal:  l.cuditc-  auf! 

Kr);lanze  im  doppclten  Glanz  deiner  bciden  Sonnen. 

Hier  hast  du  die  Sonne  der  Cerechtigkeit, 

des  Vaters  Abglanz,  nadit  im  Jordan; 

don  hast  du  die  Sonne  der  Alleinherrschaft, 

des  Vatcrs  Stcllvcrtreter,  strahlend  im  Palast." 

Bei  anderer  Gelegenheit  wendet  sich  derselbe  Dichtcr  an  den 
„Helios  Basileus"  Manuel  I.,  dessen  theophorer  Name  (Manuel  = 
Emmanuel)  f;eradezu  nadi  metaphorischem  Ausdruck  durch  den 
Dichter  verlangte:  „  ja,  idi  wage  es,  Dich,  den  christos,  audi  Phoi- 
bos   zu    nennen."'" 

Den  an  die  byzantinische  Hofspradie  gewohnten  Horer  iiber- 
raschte  es  kaum,  dafs  hier  Basileus,  Christus  und  Phoibos  auf  eineii 
Nenner  gebracht  warden.  Uns  freilich  mag  das  wie  eine  verspiiiete 
Reminiszenz  an  jenc  riimische  Dreiheit  von  Kaiser,  Sol  invictus 
und  Sul  lustttiac  anmuten,  welche  in  formelhafter  Kiirzc  den  end- 
giiltigen  Ausgleidi  zwischen  Kaiserkult,  heidnisch-solarem  Heno- 
theismus  und  christlichem  Monotheismus  in  der  schicksalhaften 
Obergangsperiodf  des  4.  jahrhunderts  besdirieb. 

Gegenstand  dieser  Untersudiung  ist  nicht  das  byzantinische  Son- 
nen-Konigtum  allgemein,  sondern  spezieller  das  Oberleben  des  Bil- 
des  vom  Sonnen-Aufgang,  das  in  Byzanz  immer  mit  einem  redit 
augenfalligen  und  praditigen  Zeremoniell  verbunden  war,  bei  dem 

"  Theodores  Prodromes,  Poemata  XVIII  1 — 6  (ed.  A.  Mai.  Patrum 
nova  bibliotheca  fRom  18531  V  413);  vgl.  E.  H.  Kantorowicz,  Dante's 
'Two  Suns'.  Semitic  and  Oriental  Studies  Presented  to  William  Popper, 
in:  University  of  California  Publications  in  Semitic  Philology  11  (Ber- 
keley-Los Angeles  1951),  S.  221. 

'=  Siehe  das  Epithalamion  des  Theodoros  Prodromes  fiir  die  Tochter 
Manuels  I.,  Theodora  (Z.  70):  xoiyae  TO/.^td)  at  tov  xQiotov  xal  miifiov 
ovouuoai  (ed.  C.  Neumann,  Griechische  Geschiditssdireibcr  und  Ge- 
sdiichtsquellen  im  12.  Jahrhundert  [Leipzig  1888],  S.  67).  Konrad  Heilig, 
Ostroni  und  das  Deutsche  Reich  urn  die  Mitte  des  12.  Jahrhunderts,  in: 
Th.  Mayer.  K.  Heilig,  C.  Erdmann,  Kaisenum  und  Herzogsgewalt  im 
Zeitalter  Friedrichs  I.  (Sdiriften  des  Reichsinstituts  fiir  iikere  deutsdic  Ge- 
sdiichtskundc  9   [Leipzig  1944),  S.  247). 


'AvaroJ.Ti  toi"  b?an6ro 


263 


der  Kaiser  wirklidi  „aufging".  Mit  dieser  Vorstcllung  dedtt  sich 
ziemlich  genau  der  grofie  Panegyrikos,  den  Corippus  anlafilich  der 
Thronbesteigung  Justins  II.  im  Jahre  565  verfafite.  Corippus  sdiil- 
dert  die  Erhebung  des  Kaisers  auf  den  Schiid,  cine  Zercmonie, 
welche  die  Rcimcr  bereits  im  4.  Jahrhundert,  vermutiich  von  ger- 
manischen  Stammen,  angenommen  hatten.  Die  urspriingliche  Be- 
deutung  dieser  Zeremonie  mag  dahingestellt  bleiben:  Fiir  Corip- 
pus, den  quaestor  sacrt  palatii,  ersdiien  die  Schildcrhebung,  die  auf 
zahlreichen  byzantinischcn  Miniaturen  dargestellt  ist.'^  in  einem 
unzweifelhafl  ..solaren"  Licht  als  der  Sonnen-Aufgang  des  Kaisers. 
Nach  Corippus'-"  hoben  vier  ausgcwahlte  junge  Manner  die  „gc- 
waltigc  Scheibe  des  Schiides"  empor.  Auf  dieser  Scheibe  stehend 
trat  der  neuc  Kaiser  alien  sichtbar  in  Erscheinung: 

Nun  ist  er  gegenwartig,  der  griifitc  'Wohltater  der  Mensdiheit,  vor  dem 
Konlge  ihren  Nadten  in  Dcmut  bcugen,  vor  dessen  Namen  sle  zittcrn, 
dessen  numen  sie  verehren. 

'='  Zur  Erhebung  auf  den  Sdiild  s.  Straub,  Herrscherideal,  S.  61.231; 
Trcitinger,  Zeremoniell,  S.  22fl[.;  G.  Ostrogorsky,  Zur  Kaisersalbung  und 
Schildcrhebung  im  spatbyzantinisdien  Kronungszeremoniell,  in:  Histo- 
na  4  (1955),  S.  252  ff.  [vgl.  in  diesem  Bd.  S.  103  ff.].  Der  zentralasiatisdie 
Ursprung  der  Zeremonie  ist  nicht  unwahrscheinlidi;  vgl.  A.  Boodberg, 
Margin,ilia  to  the  Histories  of  the  Northern  D\nasties,  in:  Harvard 
Journal  of  Asiatic  Studies  4  (1939),  S.  242  ff.;  ferner  —  fur  spaterc  Zeit — 
Leonardo  Olschki,  The  Myth  of  lelt  (Berkeley  1949),  S.  21  ft.  Dies 
widerspricht  jedoch  nicht  der  wohlbegriindeten  Theoric,  nach  der  romischt 
Soldaten  die  Erhebung  auf  den  Schiid  durch  die  Vermittlung  gcrmanischer 
Stanime  angenommen  haben.  Der  Braudi  kann  innerhalb  des  romischen 
Raumes  bis  ins  4.  Jahrhundert  verfolgi  werden.  Zu  einigen  bild- 
lidien  Darsiellungen  der  Szcne  in  Handschntien  s.  H  P.  L'Orange,  Stu- 
dies on  the  Iconography  of  Cosmic  Kingship  in  the  Ancient  World  (Oslo 
1953),  S.  103  ff.  mit  Abb.  76.  78—80;  zur  Geschichte  des  ikonographischen 
Schemas  s.  Kurt  Weitzmann,  Illustrations  in  Roll  and  Codex  (Princeton 
1947),  S.  178  ff.  mil  Abb.  183.185—188. 

'*  Corippus,  In  laudem  lustini  II  137  f.  (ed.  Partsdi,  Monumcnta  Ger- 
maniae  Historica,  Auctores  antiquissimi  [Berlin  1879],  111  130):  Quat- 
tuor  ingentem  clipei  sublimius  orbem  adtolluni  lecti  iuvenes.  S.  u.  Anm.  20 
(zu  clipeus). 


/  I    u 

U       I 


I    1 1 
I    u 


264 


Ernst  H.  Kantorowicz 


'AvaTo>.ti  ToC  btanoxov 


265 


Er  steht  da  auf  dieser  Sdieibe,  der  gewaltigste  Fiirst,  hat  das  Aussehen 
der  Sonne. 

Ein  zweites  Lidit  nodi  leuditel  von  der  Stadt  her.  Dieser  Tag  isi  wahr- 
haft  ein  Wunder,  lafit  er  dodi  zwei  Sonnen  miteinander  und  zu  gleidier 
Zcit  aufgehen. 

Hat  etwa  mein  Lied  die  ihm  geziemenden  Grenzen  iibcrschritten?  Viel- 
leidit  verwundert  es  euch,  dafi  idi  sage,  zwei  Sonnen  gingen  gleichzeitig 
miteinander  auf.  Doch  mein  Mund  hat  weder  lecre  Worte  nodi  eitle 
Rc'detigurcn  geformt  .  .  .  Der  Geist  des  Gereditcn  strahlt  heller  als  die 
Sonne;  Er  taudit  nidit  in  die  Fluten,  weidit  keiner  Dunkelheit,  wird 
von  keincm  finstcren  Sdiatten  verhullt.'" 

Die  Schilderhebung  ist  hier  eindeutig  als  die  „Epiphanie"  des 
neuen  Kaisers  verstanden,  als  Bekundung  seiner  Herrscherwiirde, 
nidit  nur  vor  seinem  Volk  und  seiner  Stadt,  sondern  vor  der  Welt. 
Nunc  adest  war  terminus  tedinicus  fiir  eine  gottlidie  Erscheinung," 
und  in  diesem  Fall  wurde  der  ejtiqpavT);  als  maximus  orbis  com- 
munis benefactor  begriifit,  was  auf  eine  Person  halbgottlichen 
Wesens  weist."  Die  unterworfenen  Konige  beugen  ihr  Haupt  und 

'=  Corippus  II  145—157. 

'"  Nunc  adest  (Z.  145  f.)  ist  eine  den  ritucllen  Rufen  „Adesto", 
„Adestc"  antwortende  Formel;  s.  hierzu  E.  Norden,  Aus  altromisdien 
Pricstcrbudiern  (Lund  1939),  S.  178.  207.  227.  274,  mit  der  Parodie  des 
Arvalgebets  durdi  Arnobius,  Adversus  nationes  III  43  (ed.  Rciffcrsdieid 
[CSEL  4;  Wien  1875]  140,  13  fF.);  ferner  Pfister,  Epiphanie,  in;  RE 
Suppl.  IV  (1924),  Sp.  304  f.  §  27  f.;  Epode,  ebd.  Sp.  355  ff.  §  12  ff.;  Hans 
Siegert,  Zur  Gcsdiidite  des  Imperativs  adesto,  in;  Museum  Helveticiim  11 
(1954),  S.  195  ff.  Zum  diristlidien  Stil  der  Anrufungen,  der  sidi  an  den 
heidnisdien  anlehnte,  vgl.  P.  Hendrix,  La  fete  de  I'Epiphanie,  Congres 
d'histoire  du  Christianisme  (Paris — Amsterdam  1928)  II,  S.  216  f.;  audi 
Dom  Thomas  Midiels,  Auctor  pietatls  in  Roman  Liturgy,  in;  Folia  1 
(1946),  S.  33  Anm.  2.  Siehe  grundsatzlidi  die  neueren  Studien  von  Eipi- 
dius  Pax,  Eni4>ANEIA,  in;  Miindiener  Theologisdie  Studien,  Hist.  Abt., 
10  (Mundien  1955),  S.  32  f.  74;  ders.,  Art.  Epiphanie,  in;  RAG  5  (1961) 
841.853  [hucades]. 

"  Zum  Herrsdier  als  benefactor  (euEpY^fn?)  s-  Eiliv  Skard,  Zwei  reli- 
gios-politisdie  Begriffe;  Euergetes  —  Concordia,  in;  Avhandlinger  .  .  . 
Norske  Videnskaps-Akademi  1931,2  (Oslo  1932);  iiber  die  friihere  Peri- 
ode,  als  der  Begriff  des  Wohltaters  lokal  oder  national  gefafit  war, 
wahrend    hellenistische    Konige    und    romische    Kaiser    Wohltater    orbis 


beten  (adorant)  das  numen  praesens  des  Kaisers  bei  seinem  Auf  gang 
an;  genau  so  stellen  die  Oriens-Munzen  den  aufgehenden  Sonnen- 
Gott  dar,  wie  er  seinen  Fufi  auf  den  Nacken  oder  Riidten  unter- 
worfencr  Feinde,  der  Damonen  der  Finsternis,  setzt.'**  Das  Bild  von 
den  Besiegten,  die  den  ersdieinenden  Fiirsten  anbeten,  ist  in  Ver- 
bindung  mit  /lt^t'ent«5-Epiphanie-Szenen  Ublidi  und  findet  sidi  an 
gleidier  Stelle  bis  ins  hohe  Mittelalter."  Der  Schiid  selbst  erinnert 
den  Dichter  offenbar  an  den  Sonnenschild  (clipeus  solis),  wahrend 
der  Kaiser  —  solis  habens  speciem  —  die  Sonne  selbst  ist:  eineUnter- 
sdieidung  zwischen  Sonnen-Schild  und  Sonnen-Gott,  die  ihre 
Parallelen  hat.-"  Oberdies  gehort  solis  habens  speciem  audi  zum 

communis  (tt);  xoivfiz  olxot'iAEVT];)  genannt  wurden;  s.  zu  diesem  Begriff 
H  Janne,  La  letlre  de  Claude  aux  Alexandrins  ct  le  Christianisme, 
in:  Melanges  F.  Cumont  =  Annuaire  de  I'lnstitut  de  philologie  et  d'histoire 
orientales  et  slaves  4  (Briissel  1936),  S.  276ff.;  audi  einige  Bemerkungen 
von  F.  Cumont,  L'Egypte  des  astrologues  (Briissel  1937),  S.  27  ff.;  Sdiu- 
bart,  Klio  30  (1937),  S.  60  ff.  Fritz  Taeger,  Charisma  (Stuttgart  1957), 
I,  S.  257  f.  sieht  in  dem  Titel  Euergetes  die  unterste  Stufe  der  einem 
Herrscher  verliehenen  kultischen  Ehren. 

'"   [Siehe  oben  Anm.  26. J 

'"  Zur  Parallelitat  kaiserlicher  und  christlidicr  Kunst  s.  Grabar,  L'empc- 
reur,  S.  253  ff.,  audi  80  f.  Siehe  ferner  das  romische  Gedidit  zu  Mariae 
Himmelfahrt  aus  der  Zeit  Ottos  III.  (Men.  Germ.  Hist.,  Poetae  lat.,  V 
465  ff.),  Z.  39  f. ;  Vultus  adest  Domini,  cui  totus  sternitur  orbis  (m\i  Be- 
zug  auf  das  Ersdieincn  des  Volte  santo  in  feierlidier  Prozession).  S.  u. 
Anm.  25. 

""  Siehe  Nock,  The  Emperor's  Divine  Comes,  S.  114,  Anm.  108,  der  auf 
die  Unterscheidung  von  Helios  (Apollo)  und  Schcibe  der  siditbaren  Sonne 
hinwcisi.  Vielleicht  darf  man  Tertullian,  Apologeticum  16,10  anfiigen; 
habcntes  ipsum  (sc.  solem  =  Christum)  ubique  in  suo  clipeo.  Audi  Ovid, 
Metam.  15,192  sdieint  die  Sonncnsdieibe  als  Schiid  des  Phoebus  zu  ver- 
stehen;  Ipse  dei  clipeus.  Johannes  von  Gaza  stellt  das  tiefC(o:  uvate/./.ov 
in  der  Mitie  der  Sdieibe  dar;  vgl.  seine  Ekphrasis  I  55  f.  (ed.  P.  Fried- 
lander,  Johannes  von  Gaza  und  Paulus  Silentiarius  [Berlin-Leipzig  1912] 
138;  dazu  den  Kommentar  ebd.  170):  (iXK'  i\i  niootoi  /  uvftpo^itri  \i6ti- 
t)(t)Ot  m'Oi;  [igf^oc.  Zur  Unterscheidung  zwisdien  Sonnen-Scheibe  und 
Sonnen-„Substanz"  im  Hinblidi  auf  Christus  s.  auch  die  Gedidite  des 
Manuel  Holobolos  II  17  und  IV  2  (ed.  Boissonade,  Anecdota  Graeca 
[Paris  1829  ff.]  V161.  163). 


n   u 

u      I 


266 


Ernst  H.  Kantorowicz 


'AvutoXt)  toO  beanoxov 


267 


gebriiuchlichen  Vokabular  von  Epiphanien.^'  Der  Kaiser  auf  dem 
Schild  erinnert  den  Dichter  ganz  besonders  an  die  aufgehende 
Sonne:  Er  zcigt  geminos  consurgere  soles.  Das  Wort  consurgere  ent- 
spridit  inhaltlich  genau  dem  griechisdien  ox'vuvrm^.Xtiv,  ein  Be- 
griff,  der  an  den  persischen  Konigstitel  erinnert  —  „der  zusammen 
mit  der  Sonne  aufgeht"--.  In  neuerer  Zeit  ist  iiberzeugend  dar- 
gestellt  worden,  in  welchem  Umfang  der  Leitgedanke  des  Corippus 
—  die  Gleidisetzung  von  Schilderhebung  und  kaiserlichem  Sonnen- 
Aufgang  —  bereits  durdi  die  Zeremonie  beim  Neujahrsfest  der 
Adiaimenidenkonige  vorgepragt  war.  Der  Konig  sal?  auf  seinem 
Thron  und  wurde  mit  diesem  auf  die  Schultern  seiner  Leute  gcho- 
ben:  „Er  ging  auf  an  jeneni  Tag  wic  die  Sonne  ...  Da  geriet  man 
in  Staunen  iiber  den  Aufgang  zweier  Sonnen."-^  Zudem  zeigen 
achaimenidische  Siegel  ofters  in  einem  oberen  Bild  Ahura  Mazda, 
wie  er  in  der  Mitte  des  Weltkreises  aufgeht,  wahrend  im  unteren 
Bild  —  ebenfalls  in  einer  Sdieibe  —  der  Grofikonig  ein  Gcgenbild 
des  hochsten  Gottes  darstellt.^''  So  mu(?  man  sic+i  die  gemini  soles, 
von  denen  Corippus  spridit,  vorsteilen.  Eine  Miniatur  in  einem 
griechisdien  Psalter  zeigt,  wie  lange  soldie  Symbole  dutch  Obertra- 
gung  fortlebten;  Man  sieht  den  Herrsdier  und  seinen  Sohn  auf  dem 
Schild  aufgehen,  wahrend  auf  einer  Scheibe  Christus  in  den  Him- 
mcl  aufsteigt:  Christi  Himmelfahrt  ist  Gegenbild  zum  koniglichen 
Aufgang;  auch  fehlt  in  der  rechten  Edie  des  Bildes  nidit  die  Gruppe 
unterworfcner  Feinde,  „die  ihren  Nacken  beugen"^'''. 

Wir  sehen  die  lange  Tradition  des  Bildes  von  den  „zwei  Son- 
nen",  das  sidi  zu  gewissen  Zeiten  auf  den  Konig  und  die  naturlidie 

-'  Apuleius,  Metam.  11,24:  Lucius  ersdieint  der  Kultgemcinde  .id  instar 
soils.  Vgl.  Nodt,  Conversion  (Oxford  1933),  S.  146;  Willi  Wittmann,  Das 
Isisbudi  des  Apuleius,  in:  Forsdiungen  zur  Kirdien-  und  Geistesgesdiidite 
12  (Stuttgart  1938),  S.  114ff. 

"   [Siehe  oben  Anm.  71  f.] 

"  Albiruni,  Ath,ir  ul-bakiya  or  Vestiges  of  the  Past  (transl.  by  C.  E. 
Sadiau,  The  Chronology  of  Ancient  Nations  [London  1879],  S.  202,17  ff., 
auch  200,35  flF.),  zitiert  bei  L'Orange,  Cosmic  Kingship,  S.  87. 

"  L'Orange  a.  a.  O.,  S.  93,  Abb.  65  b— c. 

"  Vat.  gr.  1927,  fol.  32  (Ps.  20;  ed.  E.  De  Wald,  The  Illustrations  in  the 
Manuscripts  of  the  Septuagint  111,1   [Princeton  1941],  PI.  X). 


Sonne,  zu  anderen  Zeiten  auf  den  Konig  und  die  Gottheit  (Ahura 
Mazda,  Mithras  oder  Christus)  bezog.-"  Corippus  betont  in  seinem 
Panegyrikos  die  Doppelung  der  natiirlichen  Sonne  durch  den  Auf- 
gang des  Kaisers.  Aber  die  christlichen  Ziige  fchlen  in  seiner  Sze- 
nerie  nicht.  Nadi  der  iiblidien  Methode  allegorisdier  Spiritualisie- 
rung  deutet  Corippus  die  „kaiserliche  Sonne"  als  mens  iusti,  wobei 
ittstus  vielleidit  nur  auf  den  Namen  des  Kaisers,  lustinus,  an- 
spielte.-'  Diese  mens  iusti  aber  plus  sole  nitet:  ihr  Glanz  stellt  den 
der  natiirlichen  Sonne  in  den  Sdiatten,  well  sie  weder  Finsternis 
nodi  Wolken  kennt,  sondern  eine  Sonne  ohne  Untergang  ist  {nan 
mergitur  undis).  Dies  sind  traditionelle  Bilder  diristlicher  Auto- 
ren.^** 

In  unserem  Zusammenhang  ist  wichtig,  dafi  die  Erhebung  auf 
den  Schild  von  Corippus  als  Epiphanie,  d.  h.  als  Aufgang  der  kai- 
serlichen  Sonne  auf  oder  in  ihrer  Scheibe,  gedeutet  wurde.  Diese 
Vorstellung  wurde  vielleidit  durch  den  sternengeschmiickten  Schild, 
auf  dem  Konig  David  emporgehoben  wurde,  angeregt;  sie  erhielt 
ihre  knappste  Gestalt  in  dem  Rundschild  der  Dumbarton  Oaks 
Collection  und  seinem  Gegenstiick  in  Venedig.^*  Nodi  einmal  ver- 
weist  Corippus  in  seiner  Beschreibung  der  konsularen  Prozession 
des  neuen  Kaisers  auf  den  Kaiser  als  Oriens.  Justin  wurde  auf  sei- 
nem tragbaren  Thron  —  der  sella  divalis  —  sitzend  auf  den  Schultern 
junger  Edelleute  getragen.  V  er  einmal  gesehen  hat,  wie  der  Papst 
auf  der  sedia  gestatoria  in  die  Peterskirche  getragen  wird,  hodi 

'^^  Siehe  obcn  Anm.  [70  f.]  11.  24.  Ober  Gotter  und  Herrsdier  im 
Ticrkrcis  s.  auch  L'Orange,  Cosmic  Kingship,  S.  32  ff.  mit  Abb.  14  ff., 
fcrner  95  ff.  mit  Abb.  67  f.  und  passim.  [Vgl.  audi  unten  Anm.  275.  286  f.] 

"  Ober  soldie  Anspielungen  s.  E.  H.  Kantorowicz,  Kaiser  Friedrich  II. 
und  das  Kbnigsbild  des  Hellenismus  (in:  Varia  Variorum,  Fcsigabe  fiir 
Karl  Rcinhardt  [Munster-Koln  1952],  S.  184,  Anm.  85).  Vielleicht  darf 
man  Matth.  5,45  heranziehen;  dieser  Vers  hat  audi  das  Gedidit  des  Jo- 
hannes von  Gaza  I  64  f.  (ed.  P.  Friedlander  138  und  171)  bceintluEt. 

=»   [Siehe  oben  Anm.  141  ff.] 

-'  Siehe  The  Dumbarton  Oaks  Collection:  Handbook  (Washington 
1955),  S.  19.  No.  49  und  Abb.  49  (S.  34);  H.  Peirce  und  R.  Tyler,  A 
Marble  Emperor-Roundel  of  the  Xllth  Century  (Dumbarton  Oaks  Papers 
2  [1941],  S.  3—9).  Siehe  audi  L'Orange  a.  a.  O.,  S.  108,  Abb.  81. 


268 


Ernst  H.  Kantorowicz 


'AvatoXf)  Tov  beoKoxuv 


269 


iiber  dem  erregten  Meer  der  ihm  enthusiastisdi  zujubelnden  Menge, 
wird  verstehen,  dafi  der  Kaiser  auf  seinem  tragbaren  Thron  dem 
Corippus  „wie  das  hellige  Licht"  oder  „wie  die  goldene  Sonne,  die 
aus  den  klaren  Wellen  des  Ozeans  ihre  glanzenden  Sirahlen  aus- 
sendet",    erschien.^" 

Corippus  verwendet  das  Bild  vom  Sonnenaufgang  in  Verbin- 
dung  mit  zwei  bemerkenswerten  Szenen  —  dem  auf  dem  Schild  und 
dem  auf  der  sella  gestatoria  in  die  Hohe  gehobenen  Kaiser  — ,  zwei 
Gelegenheiten  also,  bei  denen  der  Kaiser  physisch  aufging  und  in 
der  Hohe  auf  einem  iiber  alien  iibrigen  Menschen  erhobenen  Platz 
erschien.  Es  ist  typisch  fiir  Byzanz,  dai5  es  immer  Situationen  gab, 
die  den  von  Corippus  besdiriebenen  verwandt  und  dazu  angetan 
waren,  das  Bild  vom  Sonnenaufgang  auf  den  Plan  zu  rufen.  Den 
Beweis  hierfiir  bieten  die  Akklamationen,  die  im  allgcmeinen 
keine  spontanen  Aufierungen  des  Volksempfindens  mehr,  sondern 
langst  ritualisiert  waren. ^'  Eine  Begebenheit  um  600  n.  Chr.  er- 
moglicht  uns  vielleicht,  die  Entwicklung  von  Spontaneitiit  zu  Ritu- 
alisierung  der  Sonnenaufgangs-Metapher  seibst  aufzuzeigen.  Eines 
Tages  verspiitete  sich  Kaiser  Phokas  mit  seinem  Erscheinen  im  Zir- 
kus,  weil  er  mit  seinen  Freunden  gebechert  hatte.  Da  die  Rennen 
nicht  beginnen  konnten,  bevor  der  Kaiser  anwesend  war,  bradi  die 
ungeduldige  Menge  in  den  Ruf,  den  man  hinfort  so  oft  in  den  Be- 
richtenbyzantinisdierCesdiichte  finden  sollte,  aus:'AvdTFi>.ov  $w)tu, 
„Gehe  auf,  Phokas,  ersdieine."^-  Die  Masse  handclte  gewil?  spon- 
tan;  aber  war  audi  der  Ruf  spontan?  Sidier  gibt  es  friihere  Bei- 
spiele  fiir  den  Gebraudi  der  /l«afe/7on-Akklamation;  in  der  einen 
oder  anderen  Form  war  sie  wohl  beim  Empfang  Vespasians  im 
Hippodrom  von  Alexandreia  zu  horen.*^  Der  Ruf  war  ansdieinend 


'"  Corippus,  In  laudem  lustini  IV  227  ff.  245  ff.  251  ff. 

"  Zur  Entwidtlung  der  Akklamationen  s.  Alfoldi,  Zcremoniclt  (Rom. 
Mitt.  49  [1934],  S.  79  ff.;  jetzt  in:  Die  monardiisdie  Rcprascntation  im 
mmisdien  Kaiscrreidic  (Darmstadt  1970),  S.  79  ff.  (Anm.  d.  Obers.]). 
Treitinger,  Zeremoniell,  S.  71  ff.;  allgemein  Th.  Klauser,  Akklamationen 
(RAC  1  [1950],  S.  216  ff.,  bes.  225  f.  [§  7]). 

""  Cedrenus,  Synopsis  404  D  (ed.  Bekker  [Bonn  1838]  I  709,5). 

"   [Sichc  oben  Anm.  79.] 


konventionell,  gebraudilich  zum  Beispiel  im  Zirkus.'"  Wahrscheinlidi 
wurden  soldie  Rufe  aber  erst  in  einer  spiiteren  Periode  ritualisiert 
und  erhielten  ihren  Platz  im  kaiscrlichen  Zeremoniell.  In  spaterer 
Zeit  jedenfalls  waren  diese  Rufe  oder  Akklamationen  in  Byzanz 
so  bekannt  und  im  hofisdien  Zeremoniell  verankert,  da(?  man  einen 
bestimmten  Akt  einfach  to  uvuTtiXov  nannte,  wie  etwa  in  der  alten 
osterreichischen  Monarchic  die  Naticnalhymne  das  „Gott  erhalte" 
enthielt.  So  konnte  dann  Kodinos  schreiben:  oi  \j'(Ut«i  ^6oi'Oi  to 
dvuTFiXfiTf,  „die  Sanger  singen  den  Aufgang".^^ 

Wie  sah  die  Auffuhrung  des  „Aufgangs"  aus,  und  bei  welchen 
Gelegenheiten  wurde  er  gesungen?  Das  Zeremonienbuch  des  Kon- 
stantinos  Porphyrogennetos  gibt  eine  komplette  Darstellung  der 
Handlung  bei  drei  Gelegenheiten:  bei  der  Ernennung  eines  Caesar 
oder  nohilissimus;  bei  einem  deximon,  einem  feierlidien  Empfang; 
im    Hippodrom. 

Die  Kooptierung  und  Ernennung  eines  oder  mehrerer  Unter- 
kaiser  oder  Caesaren  seitens  des  regierenden  Basileus  war  seit  den 
Reformen  Diokletians  regelmafiige  Praxis  und  findet  sich  in  alien 
Jahrhunderten  byzantinisdier  Geschidite.  In  der  konstantinisdien 
Epoche  trug  der  Caesar  den  Titel  epiphanestatos  kaisar,  spiiter  den 
Titel  eutychestatos.^^  Wir  besitzen  Nachrichten  iiber  das  bei  der  Er- 
nennung eines  Caesar  vollzogene  Zeremoniell,  sogar  fiir  die  friihe 
Zeit.  Gut  ist  die  Proklamation  Leons  II.  im  Jahre  473  besdirieben. 
Sie  fand  im  Hippodrom  vor  Soldaten  und  Volk  statt.  Die  Menge 
verlangte  in  griediisdier  Spradie,  der  alte  Kaiser,  Leon  I.,  solle  er- 
scheinen, und  das  Heer  stimmte  mit  Rufen  in  lateinischer  Sprache 

"^  Eine  der  Parteien,  die  Griinen,  griiilte  traditionell  den  roten  Wagen- 
lenker  als  'AvaTi>.>.u)v;  vgl.  De  caerim.  I  69  und  71  (ed.  Rclske  320,12 
und351,23;  Vogt  II  126,11  und  153,8). 

"  Kodinos  XVII  (ed.  Bekker  97,4);  vgl.  A.  Hcisenberg,  Aus  der  Ge- 
sdiidito  und  Litcratur  der  Palaiologenzeit  (Sitzungsberidite  Miindien  1920, 
10),  S.  Ill;  s.  audi  Jacques  Handschin,  Das  Zercmonienwerk  Kaiser  Kon- 
stantins  und  die  sangbare  Diditung  (Basel  1942),  S.  103;  Handsdiin  betont 
den  Umstand,  da(5  die  Anateilon-Akklamationen  sdilie(5Iidi  der  Mehrzahl 
von  Kaisern  angepafit  wurden  (Anateilate);  s.  hicrzu  audi  De  caerim. 
(ed.  Vogt  im  Kommentar  II,  p.  XVI). 

"  Zu  den  Epitheta  s.  Vogt,  a.  a.  O.  II,  Kommentar  45  und  50. 


n    u 

u      I 


I    J 


270 


Ernst  H.  Kantorowicz 


'AvaxoXri  tov  StonoTOU 


271 


ein.  Als  der  Alt-Kaiser  in  Begleitung  des  Senates  erschien,  forderte 
die  Versammlung  die  Kronung  des  neuen  Caesar.  Daraufhin  wurde 
der  Caesar,  Leon  II.,  durch  den  Kaiser  eingefuhrt  und  eingesetzt." 
Die  Erncnnung  Justinians  I.  im  Jahre  525  folgte  ahnlichen  Ridit- 
linien,  nur  mit  dem  Unterschied,  dafi  sidi  die  Zeremonie  im  Tricli- 
nium des  Palastes  und  nicht  im  Hippodrom  abspielte.'" 

Seit  dcm  8.  oder  9.  Jahrhundert  fand  die  Investitur  eines  Caesar 
(der  Terminus  hierfur  war  xtieoioviu,  Handauflegung)  auf  der 
Terrasse  des  sogenannten  ..Tribunals"  statt.  Das  Tribunal  war  ein 
ziemlich  geraumiges  Atrium  innerhalb  des  Palastes,  wo  bei  dieser 
Gelegenheit  die  regalia  und  insignia  des  neuen  Caesar  auf  einem 
Tragaltar  ausgestellt  wurden.  Zum  Tribunal  gelangte  man  durdi 
eine  riesige  Empfangshalle,  das  „Triclinium  der  neunzehn  Sofas", 
durch  weldie  die  kaiserlidie  Prozession  zog.  Bevor  jedodi  die  Maje- 
staten  (der  Alt-Kaiser,  die  kaiserlidie  Gattin,  vielleicht  eine  Kai- 
serinwitwe  oder  ein  zu  fruherem  Zeitpunkt  gewahlter  Caesar)  auf 
der  Terrasse  des  Tribunals  ankamen,  wahrend  sie  noch  zusammen 
mit  dem  Patriarchen,  den  Raum  der  „neunzehn  Sofas"  durchsdint- 
ten,  setzten  draufien  auf  der  Terrasse  die  Akklamationen  ein,  die 
das  Erschcinen  der  Herrscher  forderten.  Solche  Akklamationen 
wurden  meistens  im  Wechselgesang  zwisdien  Vorsangern  und  Volk 
vorgetragen: 

Sanger:    ..Empor,   gottergriffene   Majestiit"    —   'AvnTEi?.ov,   r\   fvOeo? 
Baoi>.Eia. 

„Empor,  empor,  empor"  —  'AvAteiXov,  dvdtfdov,  avaxEiJ.ov. 
„Empor,  NN.,  Autokratorcs  der  Rhomacr"  —  'AvaifO.ov, 
NN.,  ai'TOXQaTOQt ;  'Pionaiwv. 

„Empor,  empor,  empor"  —  'AvdtEiXov,  dvdTEiXov,  dvdxEtXov. 
„Empor,   Diener  des  Herrn"   —   'AvdTfi?.ov.  ol  flEQd.iovTE; 

TOV  Kl'p'lOl). 


Volk: 

Sanger: 

Volk: 

Sanger: 


"  De  caerim.  I  94  (ed.  Rciske  431,12  ff.):  EXQa^ov  ...  nQOXQenoyxs;; 
TOV  {iaaOJa  a\f).f>civ.  Uber  den  Charakter  dieser  Rufe  wird  nidits  gesagt; 
es  muli  sidi  bci  ihnen  urn  x?.i)Tixd  ahnlidi  dcm  uvuteiXov  gchandclt  haben. 
Einen  knappcn  Oberblidc  iiber  die  friihcren  Kronungen  gibt  A.  E.  R.  Boak, 
Imperial  Coronation  Ceremonies  of  the  Fifth  and  Sixth  Centuries  (Har- 
vard Studies  in  Classical  Philology  30  [1919],  S.  37  ff.). 

»"  De  caerim.  I  95  (ed.  Reiske  432). 


Volk:       „Empor,  empor,  empor"  —  'AvdxeiXov,  dvdx£i/.ov,  uvdrtiXov. 
Sanger:    „Empor,  NN.,  Augustae  der  Rhomaer"  —  'AvuteiXov,  NN., 

AiiyoOoTai  rojv  'PcojiuUuv. 
Volk:       „Empor,  empor,  empor"  —  'AvuteiXov,  dvdxeiXov,  dvdTEiXov. 
Sanger:    „Empor,    Herrscher    mit    den    Augustae"    —    'AvmteiXov,    ol 

6f  onoTui  ai'v  Ttti;  Avyovaxui^. 
Volk:       „Empor,  empor,  empor"  —  'XvuxtiXoy,  dvuTEi^.ov,  dvdifiXov. 

[Das  uvuTti^-ov  (engl.  "rise")  des  Originals  wurde  hier,  um  den  Unter- 
schied zwischen  dvdxEiXov  und  dvaxEiXatE  nicht  zu  verwischen,  mit  „cm- 
por"  wiedergegeben;  an  anderen  Stellen  versucht  die  Obersetzung  durch 
„gehe  auf"  (uvdtEiXov),  „gcht  auf"  (dvuTtl/.axE)  im  Bild  des  „Aufgangs" 
(dvuTo/.i'i,  sunrise,  Sonncnaufgang)  zu  bleiben.  Anm.  d.  Obers.] 

Nadi  diesem  Muster  wurde  die  Anateilon-Akklamation  dar- 
geboten,  und  zwar  bevor  der  Kaiser  und  seine  Familie  zu  sehen 
waren  und  auf  die  Terrasse  des  Tribunals  heraustraten.  Auf  der  Ter- 
rasse war  ein  Altar  aufgebaut,  hinter  dem  der  Patriarch  mit  seinem 
Diakon  Platz  nahm,  wahrend  es  dem  Kaiser  oblag,  die  Menge  mit 
dem  dreimaligen  Kreuzeszeichen  zu  segnen.  In  diesem  Augenblick 
stimmten  die  Sanger  der  Blauen  und  der  Griinen  den  Ruf  der 
himmlischen  Heersdiaren,  das  „Heilig,  heilig,  heilig",  an.  Darauf- 
hin anderten  die  Sanger  die  Tonart  und  erlauterten  gleichsam  die 
Absidit  der  voraufgegangenen  Anateilon-Rufe: 

Herrcn  der  bewohiiten  Welt,  findet  Gefallen  an  euren  Sklaven,  die 
eudi  herbeigerufen  haben  (napaxaXoOvTa;).  Sklaven  sind  wir  und  so 
wagen  wir  es,  eudi  herbeizurufen  (.^aQaxaXFaal).  Mit  Furcht  treten 
wir  chrcrbictig  an  cuch  heran  (6i)au);tov[JEv),  unsere  Hcrren;  ihr  Wohl- 
tater  (FiiEQVETai),  wchrt  das  Bose  ab  (dAESixdxto;)  und  seid  gnadig  ge- 
neigt  den  Bitten  cures  Volkes!  Ihr  Herren,  erfiillt  cure  Sklaven  mit 
Freudc;  fiir  die  Freude  eurer  Stadt  treten  wir  an  euch  heran.  I.afit  euren 
Sklaven  den  Caesar  ersdieinen  (Fmcf avT)TCo)!  Wir,  eure  Sklaven,  rufen 
ihn  hcrvor,  Hcrren,  zum  hochsten  Ruhm  des  Senates,  zum  hochsten 
Glijck  des  Heeres,  zu  eurem  Ergotzen,  ihr  Wohltiiter.'* 

"  Fiir  die  ganzen  Darbietungen  vgl.  De  caerim.  I  43  (ed.  Reiske  222  ff.; 
Vogt  II  29  ff.).  Dieselben  Akklamationen  wurden  nadi  I  44  (ed.  Reiske 
228,21  ff.;  Vogt  II  36)  bei  der  Beforderung  eines  nobilissimus  dargeboten. 
Der  zweite  Teil  der  Akklamationen  —  ohne  das  Anateilon  —  war  auch  bei 


n    o     I   u 


272 


Ernst  H.  Kantorowicz 


Diese  Akklamationen  sind  in  mehrfadier  Hinsidit  interessatn. 
Zunachst  entschuldigen  sich  die  Sanger  dafiir,  dafi  sic  die  Majesta- 
ten  dutch  die  Anateilon-Rufe  „herbeigerufen"  habcn,  mit  ihrcr 
Bitte  zu  erscheincn  belastigt  habcn.  Sie  verstandcn  also  die  Anatei- 
lon-Rufe als  das,  was  sie  in  Wirklichkeit  waren:  xXriTixa  oder 
i'Uvoi  jtaQaxX»^Tty.oi,  kultische  und  rituelle  Rufc,  durdi  die  ein  Gott 
um  sein  Erscheincn  gcbeten  wurde.^"  Die  Entschuldigungen  fiir  das 
Herbeirufen  oder  Heraufbesdiworen  der  alexikakoi  —  der  Ginter 
oder  „Wohltater",  die  Obel  abwehren  — ,  gehoren  in  denselben 
rituellen  Bereich;  man  findet  sie  ziemlidi  haufig  in  den  Zauber- 
papyri.'"  Ebcnsointeressant  istdie  „Furcht",dafi  man  die  Majcstaten 
„belastigt"  habe,  die  wiederholte  Versicherung,  dafi  die  Rufer  oder 
„Beschw6rer"  Sklaven  scien,  und  endlich  das  Verlangen,  die  Epi- 
phanie  des  neuen  Caesar  zu  veranlassen.*^ 

Wir  stellcn  fest,  dafi  ein  ritueller  Akt  stattfand,  in  dem  die  Rufe 
„Gehe  auf,  gche  auf,  gehe  auf"  ihre  ganz  bcsondere  und  fast  ma- 
gisdie  Funktion  habcn,  namlich  das  nodi  nicht  gegenwartige  numen 
des  Kaisers  herbeizurufen.  Mit  der  allgemcinen  Vorstellung  von 
der  feierlidien  Beschworung  einer  Gottheit  stimmt  iiberein,  daft  der 
f.iicfctvri;,  wenn  er  endiidi  erscheint,  das  Volk  segnet  und  die 
Scgensworte  dutch  den  Ruf  der  Engel  „Heilig,  heilig,  heilig"  beant- 
wortet   werden.'" 

Ganz  ahnlich  ging  es  beim  Deximon,  einem  feierlichen  Empfang 
fiir  die  hofische  Gesellschaft  im  Palast,  zu."  Das  Anatcilon  wurde 

anderen  Gclegcnheiten  zu  horcn;  vgi.  De  caerim.  I  62.  69.  71  (ed.  Reiske 
278  f.  327.  354.  356;  Vogt  II  88.  132.  155  f.).  Zum  Tribunal  s.  Vogt  a.  a.  O. 
I,  Kommentar  51  f.;  zu  den  Neunzehn  Sofas  s.  ebd.  68. 

*"  Sichc  oben  Anm.  16;  Elpidius  Pax,  Eni<l>ANEIA  32  f.  und  passim; 
ders.,  Epiphanie  (RAG  5  [1961],  S.  841   [Ruf-  und  Heisdiclicdcr]). 

*'  Sichc  z.  B.  Prcisendanz  II  54  (P.  XIa,  14);  Pfistcr,  Epode  335  f. 

*^  Dicse  Bckundungcn  von  Furdit  und  hciliger  Sdieu,  die  mnn  in  den 
Zaubcrpapyri  haufig  trifft,  sind  auch  „liturgisdi".  Siehc  Edmund  Bishop, 
Observations  on  the  Liturgy  of  Narsai  (in:  R.  H.  Connolly,  The  Liturgical 
Homilies  of  Narsai  [Texts  and  Studies  8,1;  Cambridge  1909],  S.  92  ff.). 

*'  Treitinger,  Zcremonicll,  S.  227,  Anm.  80,  hat  die  Stclien  fiir  die  kai- 
serliche  Segnung  (xaxaoqeavitEiv)  des  Volkes  gesammelt. 

**  Ue  caerim.  I  63  (ed.  Reiske  280;  Vogt   II  90  ff.).  Zum  deximon  s. 


'AvatoXt)  ToO  btanoxov 


273 


auch  bier  gesungen,  bevor  die  Majestaten  in  Erscheinung  traten, 
also  wahrend  sie  zu  den  erhohten  Thronen  hinaufstiegen.  Das  Ana- 
teilon  kiindigte  ihren  „Sonnen-Aufgang"  auf  den  Thron  an.  Wie- 
der  folgte  die  Segnung,  die  von  den  Rufen  des  „Dreimal-Heilig" 
beantwortet  wurde.  In  dem  folgenden  sogenannten  Trilexion, 
einem  dreitciligen  Gesang  fiir  den  Kaiser,  der  jeweils  durch  ein 
Polychronion  (die  guten  Wiinsche  fiir  eine  lange  Regierung)  einge- 
leitet  und  unterbrochen  wurde,  fand  sidi  tatsiichlich  ein  Zitat  aus 
Lucas  1,78  mit  speziellem  Bezug  auf  den  Kaiser: 

Die  Stadt  der  Rbmer  erhalt  Kraft,  denn  sie  empfing  das  Heil  von  ihrem 
eigcnen  Sprof?,  und  das  Szepter  der  Madit  wird  gepriesen  .  .  .  Denn 
„der  Aufgang  aus  der  Hohe  hat  sie  besudit"  durdi  dlch,  unser  Herrscher, 
der  du  die  Gereditigkeit  liebst  und  gesalbt  bist  vom  Herrn  mit  heiligem 

ai.« 

In  anderen  Worten:  Durch  den  Kaiser,  den  Sprofi  von  Byzanz, 
ist  die  Sonne  der  Gerechtigkeit  aufgegangen  und  hat  der  Stadt  Heil 
gebracht. 

Das  Zeremonienbuch  erwahnt  die  ^«<atei/o«-Akklamationen 
noch  einmal  in  Verbindung  mit  dem  Erscheincn  des  Kaisers  im 
Hippodrom.*"*  Tatsachlich  hiefi  schon  das  Erscheincn  des  Basileus  in 
seiner  Loge  anlafilich  der  Rennen  'AvaTO?.ii  xov  btanoxov,  „Auf- 
gang"  oder  adventus  desHerrschers.''^Die/l«a^e/7or?-Zurufe  wurden 
—  mit  leichten  Variationen  auf  seiten  der  Blauen  und  der  Griinen  — 
von  den  beiden  Zirkusparteien  dargebracht,  in  dem  Augenblidi, 
da  sich  die  Majestaten  anschickten,  die  Stufen  des  Kathismu 
zu  ersteigen,  und  wahrend  sie  hinaufstiegen,  auf  jeden  Fall  bevor 
das  Volk  sie  sehen  konnte.  Nadi  seinem  Ersdieinen  erteilte  der 
Kaiser  den  Segen  mit  dem  Bausch  seiner  Chlamys;  er  stand  dabei 
mit  seiner  Familie  vor  dem  Thron.   Zunadist  wandte  er  sidi   zu 

Vogt  II,  Kommentar  97  ff.;  fiir  die  musikalisdien  Partien  s.  Handsdiin, 
Das  Zeremonienwerk,  S.  51. 

"  De  caerim.  I  63  (ed.  Reiske  281,  20  ff.;  Vogt  II  91). 

"  De  caerim.  I  69  (ed.  Reiske  316  f.;  Vogt  II  122  f.). 

"  De  caerim.  I  68  (ed.  Reiske  305,5;  Vogt  II  113,13);  vgl.  audi  Sophie 
Antoniades,  La  place  de  la  liturgie  dans  la  tradition  des  lettres  grecques 
(Leiden  1939),  S.  196. 


/  /  u 


I     L 


274 


Ernst  H.  Kantorowicz 


der  Menge  in  der  Mitte,  dann  besonders  nach  rechts  und  links  zu 
den  Blauen  und  Griinen;  daraufhin  wurde  der  Segen  beantwortet 
durdi  das  „Dreimal-Heilig"  und  die  folgenden  Akklamationen  des 
Kaisers,  „mit  dem  zusammen  Gott  herrsdit"  und  der  die  himm- 
lische  Majestat  auf  Erden  sichtbar  werden  liifit,  indem  er  „Gottes 
Liebe  zu  den  Mensdien  nadiahmt".''" 

Die  drei  im  Zeremonienbuch  beschriebenen  Akte  zeigen,  dafi  das 
Anateilon  konstant  gesungen  wurde,  bevor  das  Volk  den  oder  die 
Kaiser  sehen  konnte,  also  wahrend  sie  im  „Aufgehen"  zum  Tribu- 
nal, zum  Thron,  zum  Kathisma  begriffen  waren.  Ebenso  wie  sich 
Corippus  in  seinem  Panegyrikos  der  Sonnenaufgang-Metapher  bei 
der  Erhebung  auf  den  Sdiild  oder  die  sedia  gestatoria  bedient, 
wurden  die  Anateilon-Kufe  immer  dann  beschworen,  wenn  der 
Kaiser  sich  physisdi  zu  einer  hoher  gelegenen  Stelle  begab.  Dies 
gait  audi  fiir  die  allerdings  weniger  natiirlich  gestaltete  Zere- 
monie  der  prokypsis:  Dieses  Sdiauspiel  ist  im  Budi  des  Konstan- 
tinos  Porphyrogennetos  nicht  erwahni  und  diirfte  erst  in  der  Zeit 
der  Komnenenherrsdier  aufgekommen  sein." 

Prokypsis  kann  jede  erhohte  Plattform  oder  Estrade  bedeuten; 
in  diesem  Sinn  ist  das  Wort,  bzw.  genauer  ,^goxraTlOV,  in  emem 
Scholion  zu  einem  Epigramm  der  .Anthologia  Planudea<  gebraudit 

•*"  Zu  den  kaiscrlidien  Segnungen,  die  mit  einem  Bausdi  des  Purpur- 
gewandes  crteilt  wurden,  s.  Reiske  a.  a.  O.  II  64.  89 ;  Treitinger,  Zeremoniell. 
S.  227,  Anm.  80.  Ob  dieses  Ritual  mit  der  mappa,  dem  purpureum  pannu- 
lum,  in  der  Hand  des  Kaisers  oder  mit  der  Verehrung  des  Purpurs  vcrbun- 
den  werden  darf,  ist  sdiwer  zu  sagen.  Zu  letzterer  vgl.  W.  T.  Avery,  The 
adoratio  purpurac  (Memoirs  of  the  American  Academy  in  Rome  17 
1 1940],  S.  66—80).  Zu  den  Akklamationen  s.  De  caerim.  I  69  (ed.  Reiske 
317,6  ff.;Vogt  II  123). 

"  Zur  prokypsis  vgl.  die  klassisdie  Abhandlung  von  Heisenberg,  Pa- 
laiologenzeit,  S.  85  ff.,  und  die  wertvollen  Erganzungen  von  Treitinger, 
Zeremoniell,  S.  112  ff.  Siehe  ferner  M.  A.  Andreeva,  De  la  ceremonie 
,prokypsis'  (Seminarium  Kondakovianum  1  [1927],  S.  157 — 173;  den 
russischen  Text  iibersetzte  freundlicherweisc  Professor  Michael  Cherniav- 
sky),  die  sehr  richtig  die  enge  Verbindung  der  prokypsis  mit  der  kaiser- 
lidien  anatole  bei  einem  deximon  und  im  Hippodrom  (vgl.  die  folgende 
Anm.)  betont,  eine  Verbindung,  die  nicht  nur  „au(5erlich"  war  (Treitinger, 
S.  114). 


'AvaioXri  ToC  btan,6xov 


275 


zur  Bezeichnung  der  erhohten  kaiserlidien  Loge  im  Zirkus,  von 
der  aus  der  Kaiser  den  Rennen  zusah.'"'  Im  Laufe  der  Zeit  ent- 
widtelte  sich  die  Bedeutung  von  prokypsis  dahin,  dafi  damit  so- 
wohl  eine  Zeremonie  als  auch  eine  spezielle  Art  von  erhohter  Platt- 
form bezeichnet  sein  konnte.  Die  prokypsis  war  eine  holzerne 
Estrade,  die  im  Freien  erriditet  und  passend  mit  Wandteppichen 
und  goldenen  Vorhangen  drapiert  war.  Die  Vorhange  biieben  zu- 
nachst  nodi  geschlossen,  wenn  der  Kaiser  mit  den  Caesares  und  den 
Augustae  die  Plattform  iiber  eine  riickwartige  Treppe  bestieg.  Vor 
der  prokypsis  versammelten  sich  der  Hof,  der  Klerus,  die  Abord- 
nungen  des  Heeres  und  das  Volk  und  warteten  auf  das  Erscheinen 
der  Majestaten.  Wenn  dann  die  Mitglieder  der  kaiserlichen  Familie 
die  ihnen  zukommenden  Platze  auf  der  Estrade  eingenommen  und 
sich  zum  Auftritt  geriistet  hatten,  wurden  die  Vorhange  aufgeris- 
sen:  Die  Kaiser  waren  nun  von  den  Knien  auf  warts  siditbar  und 
vollzogen  ihre  Epiphanie.  Immer  wenn  die  Zeremonie  nach  Son- 
nenuntergang  stattfand,  und  dies  kam  oft  vor,  war  die  Biihne 
kijnstlich  erleuchtet.  Im  Dunkel  der  Nacht  vermittelte  die  prokyp- 
sis den  Eindruck  einer  Insel  des  Lichts,  in  deren  Glanz  sidi  das 
numen  praesens  des  Basileus  manifestierte:  eine  kaiserliche  Epi- 
phanie." 

Die  prokypsis  wurde  regelmafiig  an  bestimmten  kirdilidien 
Festtagen  aufgefiihrt,  zu  Weihnaditen  und  Epiphanie,  nachdem  der 
Kaiser  in  einer  der  Palastkirdien  der  Vesper  beigewohnt  hatte;  sie 
fand  allerdings  audi  bei  gewissen  Hoffesten  statt,  bei  Kronungen 

">  Siehe  Anthologia  Palatina,  ed.  F.  Dubner  (Paris  1888)  II  640,  das 
Sdiolion  zu  XVI  380. 

■'"  Kijnstliche  Lichteffekte  in  Verbindung  mit  einer  Epiphanie  waren 
wohlbekannt.  Vgl.  z.  B.  L.  Deubner,  Romisdie  Religion  (Archiv  fiir  Reli- 
gionswissenschaft  23  [1925],  S.  314);  Deubner  erwahnt  eine  Platte  der 
Caracalia-Thermen,  bei  der  die  Zwischenraume  zwisdien  den  Strahlen  der 
Strahlenkrone  des  Mithras  herausgesdinitten  waren,  so  daft  ein  hinter 
dieser  Platte  aufgestelltes  Licht  den  Eindruck  der  Erscheinung  des  Gottes 
im  Glanz  des  goltlichen  Lichtes  vermittelte.  Zu  einer  ahnlichen  Platte  vgl. 
G.  Behrens,  Ein  Mythraeum  in  Bingen  (Germania  6  [1922],  S.  82).  Siehe 
vor  allem  Apuleius,  Metam.  11,24  ff.;  Treitinger,  Zeremoniell,  S.  115, 
Anm.  338. 


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277 


und  Hochzeiten.^^  In  dem  Ritus  misditen  sidi  kirchlidie  und  heid- 
nlsch-kaiserliche  Formen.  Einen  Beitrag  seitens  der  Kirche  hat  man 
in  dem  weitgehenden  Gebrauch  der  Vorhange  (xuTajifTdoiiUTu)  zu 
sehen,  die  scit  Einfiilirung  der  Ikonostase  liturgische  Funktion  im 
Gottesdienst  hatten.*^  Dffnen  und  Sdiliefien  der  katapetasmata  an 
der  prokypsis  bildeten  die  Parallele  zum  Enthiillen  und  Verhiilien 
des  Altarraums  im  Gottesdienst  der  Ostkirche.  Andererseits  ging 
aber  die  Verwendung  der  Vorhange,  die  in  der  kirdiiidien  Sprache 
„das  Dffnen  des  Himmeis"  symbolisierten,'*''  auf  die  heidnisch- 
romische  Vergangenheit  zuriick,  die  als  Ferment  in  den  Riten  der 
Kirdie  weiterwirkte**.  Dariiber  hinaus  war  es  ein  Oberbleibsel  des 
antiken  Kaiserkultes,  daft  der  Basileus  bei  der  prokypsis  fast  im- 
mer  als  Helios  begriilk  wurde,  obwohl  audi  dieser  Zug  christlidie 
Bedeutung  angenommen  hatte:  Der  kaiserlidie  christomimetes  war 
ein  Widersdiein  der  Sonne  der  Gerechtigkeit,  die  in  den  Weih- 
nadits-  und  Epiphanieliturgien  einen  zentralen  Platz  hat.** 

'^  Treitinger,  Zeremoniell,  S.  114,  Anm.  335. 

^^  Siche  allgemein  Carl  Sdineider,  Studien  zum  Ursprung  liturgisdier 
Einzelheiten  ostlidier  Liturgien  I:  yiuiansTaayia  (Kyrios  1  [1936],  S. 
57—73);  Joseph  Braun,  Der  diristlidie  Altar  (Mundien  1924)  II,  S.  159  ff. 

^*  Diese  Interpretation  gab  sdion  Johannes  Chrysostomos,  Homil.  Ill 
ad  Ephes.  5  (Migne  PG  LXII  29);  sie  findet  sidi  mit  leichten  Abweidiungcn 
audi  in  versdiiedcnen  Darstellungen  der  Messe  und  kirdilidier  Gebaudc 
im  Osten  ebenso  wie  im  Westen.  Vgl.  Brightman,  Liturgies  Eastern  and 
Western,  S.  491,16  ff.  ("signifying  that  the  doors  of  heaven  are  then  open- 
ed"). Ps.-Beda,  De  tabernaculo  II  8  (Migne  PL  XCI  445  C  [Velum  hoc, 
coelum  interpretatur]  und  446  D  [velum  quo  coelum  figuratur]).  Zum 
„Gebet  des  Vorhangs"  (eiixt)  nEpiJiETdanaTOc)  vgl.  Brightman  a.  a.  O., 
S.  84  f.,  158;  Henri  Stern,  in:  Cahiers  ardieologiques  3  (1948),  S.  97, 
Anm.  3. 

"  Alfoldi,  Zeremoniell,  S.  36  ff.  (jetzt  in:  Die  monardiisdic  Rcprasen- 
tation  [s.  oben  Anm.  31],  S.  36  ff.  [Anm.  d.  Obers.]);  vgl.  Eusebios,  Ad 
Const.  I  1  (ed.  Heikel  196,30  ff.);  Corippus,  In  laud.  lust.  Ill  207  ff.  255  f. 
(ed.  Partsdi  142  f.).  Fur  einen  sdinellen  Oberblidt  iiber  die  Entwidtlung 
vgl.  audi  Grabar,  Une  frcsque  Visigothique  et  I'iconographie  du  silence 
(Cahiers  ardieologiques  1  [1945],  S.  124  f.);  audi  Th.  Klauser,  Der  Vor- 
hang  vor  dem  Thron  Gottes  (Jahrbuch  fiir  Antike  und  Christentum  3 
[1960],  S.  141  f.). 

"  Die  wechselseitigen  Beziehungen  zwisdien  heidnisch-kaiserlichen  Re- 


An  welcher  Stelle  waren  die  Sonnenaufgang-Akklamationen  in 
den  Ablauf  der  prokypsis  eingefiigt?  Nach  Kodinos  sangen  die 
Sanger  das  Anateilate  (hier  erstmalig  der  Plural  anstelle  des  her- 
kommlidien  Anateilon),^i  wenn  die  Majestiiten  die  Plattform  be- 
stiegen,  die  dutch  die  goldenen  Vorhange  noch  verhiillt  war,  so  dafi 
die  Kaiser  vom  Volk  nicht  gesehen  werden  konnten.  Sobald  die 
Vorhange  sich  offneten,  priesen  die  Umstehenden  die  Kaiser  und 
riefen  ihnen  Gliidiwunsdie  zu.-'**  Fast  dasselbe  lafit  sidi  einem  ano- 
nymen  Bericht  iiber  die  Kronung  Manuels  II.  Palaiologos  (1386) 
entnehmen.  Wahrend  die  Vorhange  geschlossen  waren,  horte  man 
die  Rufe  „Geht  auf,  geht  auf,  geht  auf.  Kaiser  der  Rhomaer!" 
('AvuTeibtTE,  dvartiXaTf,  dvaTtiXuTe.HuoiAEi;  xwvTwuaiujv).  „Un- 
mittelbar  darauf  ziehen  sie  die  Vorhange  zuriidt.  Die  Kaiser 
treten  auf,  und  die  Akklamationen  ersdiallen.  Das  Sdiliefien  der 
Vorhange  entzieht  die  Kaiser  endlidi  dem  weiteren  Blidi  des  Vol- 
kes."5*  Obwohl  diese  Beridite  spat  sind,  erkennen  wir  dodi  den 

likien  und  kaiserlicher  diristomimesis  sind  erortert  bei  Treitinger,  Zere- 
moniell,  S.  117ff.;   vgl.    L'Orange,   Cosmic   Kingship,    S.  Ill  — 113. 
■''  Kodinos  c.  XVII  (cd.  Bekker  97):  xt>t'O(0\  6e  (1t|/.o{)iiQo)v  tiiiv  flva- 

liuOpuV  OXf.TOVTtOV  u')aTE  UT|  OQaodttl  TOU;  (JaOlXEU,  01  H'tt^.Tai  (Jiftovoi  to 

uvaiEiXaTE,  uvaxEiXaxE.  alpof^Evtov  ouv  eiiOv;  tcuv  (itiJ-oOiipiov  Ei'qtiuoOv- 
TUi  oi  (^aoi/.fi;.  Das  plotzliche  Eintreten  der  Epiphanie  (vgl.  Matih.  24,27: 
('r'lO.TEp  t)  (loTQa;xt'|)  ist  bemerkenswcrl  und  scheint  zum  Zeremoniell  zu 
gehoren;  s.  Apuleius,  Metam.  11,24:  repente  velis  reductis;  ferner  den  von 
Hcisenbcrg,  Palaiologcnzeit  90,  ziticrten  anonymen  Kronungsbcricht: 
xai  EiiOi'C  avguvTE;  td  xaTanExdouaTa;  s.  ebd.  85  (Choniates):  tSaicfvti; 
(favFic.  Die  vela  waren  sidi  nach  links  und  redits  offnende  Vorhange,  wie 
sic  auf  Hunderten  von  Wiedergaben  zu  sehen  sind;  vgl.  Grabar,  Marty- 
rium  II  141,  Anm.  4,  sowie  Grabars  oben  Anm.  55  genannten  Artikel,  der 
dicscn  .apparatus'  riditig  mit  Theophanien  vcrbindet.  Es  gab  allerdings 
audi  liturgische  Vorhange,  weldie  vertikal  betatigt  wurden;  vgl.  z.  B. 
Leontios  von  Neapolis,  Vita  S.  Johannis  Eleemos.  14  (ed.  H.  Gelzer,  Leon- 
tios'  von  Neapolis  Leben  des  hi.  Johannes  des  Barmherzigen  [Freiburg- 
Leipzig  1893]  29,8):  xoO  feiaxovov  .  .  .  xoO  a.y[ov  y.axa.xExcionaxo;  vij'ova- 
fltti  he).).ovxo;.  Dieser  aufrollbare  Vorhang  war  in  Rom  bekannt;  vgl.  W. 
Bearc,  The  Roman  Stage  Curtain  (Hermathena  57  [1941],  S.  104—115). 

^^  Ei'((  riuovvxai  ol  f5aoi?.Ei;;  vgl.  Anm.  57. 

'•  Heisenberg,  Palaiologenzeit,  S.  90. 


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279 


vertrauten  Rahmen  des  Zeremoniells,  das  praktisch  identisdi  ist 
mit  dem,  welches  im  Zeremonienbudi  anlafilich  dor  Investitur  eines 
Caesar,  des  kaiscrlichen  Auftretens  bei  einem  deximon  oder  im 
Hippodrom  beschrieben  ist.  Das  traditionelle  Ritual  wurde  einfach 
auf  die  prokypsis  iibertragen,  einsdiliefilidi  des  Anateilon,  das  kurz 
vor  dem  Auftritt  der  zunachst  noch  unsichtbaren  Kaiser  dar- 
gebracht  wurde.  Der  wesentliche  Untersdiied  bestand  darin,  daf?  die 
kaiserliche  Epiphanie  bei  der  prokypsis  sich  nicht  mit  einem  ad- 
ventus  vergleichen  liefi,  sondern  Ergebnis  eines  Kunststudis  war: 
Allein  zum  Zweck  einer  Epiphanie  verbarg  man  die  Kaiser  zu- 
nachst hinter  dem  Vorhang  und  notigte  sie  dann  dutch  die  Anatei- 
lon-Kufe,   sich   zu   zeigen. 

Die  Verbindung  der  Anateilon-Akk\3.ma.tionen  bei  der  prokyp- 
sis mit  der  Vorstellung  von  der  kaiserlichen  Sonnen-Herrsdiaft 
blieb  nicht  unbeachtet.**  Sie  ist  durdi  die  Werke  der  Dichter,  welciie 
die  offiziellen  Gesange  fiir  die  verschiedenen  Epiphanien  des  Kaisers 
verfafiten,  sehr  gut  beleuchtet.  Das  Epithalamion  des  Theodores 
Prodromes,  das  den  Kaiser  Manuel  I.  Komnenos  feiert,  als  dessen 
Nichte  Theodora  im  Jahre  1147/8  den  Bruder  des  Hohenstaufen 
Konrad  III.,  Heinrich,  heiratete,  wurde  wahrscheinlich  bei  der 
¥ioii\zcitsprokypsis  gesungen."'  Der  Kaiser  wurde,  wie  gewohnlich, 
als  die  Sonne  angeredet,  die,  wie  man  glaubte,  mit  Ihrer  Fackel 
der  Hauptstadt  Glanz  verlieh  und  „mit  ihren  hellen  Strahlen  und 
ihren  Aufgiingen"  (xui  tui;  Xun.ipalg  dxtlai  aov  xui  talg  dvaxoXalg 
aov)  strahlenden  Glanz  auf  die  Gesiditer  des  jungen  Paares  aus- 
gofi.  Stadt  und  Volk  flehten  den  kaiserlidien  Liditbringer  an 
(Poadixe  cpwocfopE  \iov):  „ Anateilon  —  Gehe  auf,  goldener  Glanz, 
gehe  auf  aus  deinem  Schlafgemacii  und  sende  deine  Strahlen  aus."** 
Die  Vorstellung,  dafi  der  Kaiser  aus  seinem  Sdilafgemadi  (xoixwv) 
aufgehe,  hatte  an  sich  wohl  kaum  an  den  jungen  Helden  von 
Psalm  18,5  denken  lassen,  der  sein  solares  Brautgemach  (jtaaioc) 


»»  Treitinger,  Zeremoniell,  S.  112  ff.  117  ff.  119  f.;  L'Orange,  Cosmic 
Kingship,  S.  Ill  flf. 

"'  Zum  Epithalamion  s.  oben  Anm.  12;  bes.  Z.  6  fF.  1 1  ff.  (ed.  Neumann 
65;ed.  Hcilig24.S). 

"'  Ebd.  Z.  13:  (tvuTEi^.ov,  6  zpt'oavvf);,  dno  toC  aov  xoitojvoc. 


verljifit.  Der  Unterschied  im  Ausdruck  ist  zu  deutlich."''  Die  Paral- 
lel war  dem  Denken  der  Diditer  dennoch  nicht  viillig  fremd.  Dies 
zeigt  ein  Gedicht  des  Nikolaos  Eirenikos  fiir  die  prokypsis  einer 
Braut.  Es  wurde  verfaEt  anlafilidi  der  Verlobung  des  nikaenischen 
Kaisers  Johannes  Batatzcs  mit  Konstanze,  einer  Tochter  des  west- 
lichen  Kaisers  Friedrich  II.  (1244);  vorgetragen  wurde  es  von  zwei 
Halbdioren,  die  offensichtlich  an  die  Stelle  der  herkommlichen 
Sanger  der  blauen  und  griinen  Zirkuspartei  traten.  In  dem  Ab- 
schnitt,  der  vorgetragen  wurde,  wahrend  der  Kaiser  und  seine  Braut 
noch  hinter  dem  Vorhang  standen,  aber  sdion  auf  das  Erscheinen 
vor  dem  Volk  vorbereitet  waren,  sang  der  Chor  die  Worte: 

"HXif  Yi'/tt  fJaai^.tC,  ux(i(iUTt  qtoocjoyf, 

Ti'i;  oixoii|ifVTi5  o(^da>.uE  xai  tujv  'Pouaiwv  Ki'xvf, 

avdTEi?.ov,  dvaxEiXov,  xi  tov  XowoC  poafivvei;; 

Sonne,  Held,  Kaiser,  unermiidlicher  Bringer  des  Lichts, 

Augc  der  Welt  und  Leuchte  der  Rhomaer, 

gehe  auf,  gehe  auf,  warum  verziehst  du  nodi  langcr?"'' 

Hier  rvickt  die  g/ga5-Metapher  etwas  naher  an  die  Bilder  von 
Psalm  18,6,  urn  so  mehr  als  andere  pro^>'psis-Gedichte  dazu  das 
Wunder  in  Parallele  setzen,  dafi  beide,  die  unermefiliche  Sonne  der 
Gerechtigkeit  und  die  unermefiliche  kaiserliche  Sonne,  Platz  genug 
auf  der  kleinen  Sonnenscheibe  finden:  Christus  liegt  besdilossen  in 
der  winzigcn  Hohlc  seiner  Geburt  und  der  Kaiser  in  der  Enge  der 
prokypsis,  die  zu  Weihnaditen  irgendwie  die  Hohle  von  Bethlehem 
symbolisierte,  erfiillt  von  dem  Lichi  der  aufgehenden  Sonne  der 
Gerechtigkeit.** 

Die  wenigen  hier  angefUhrten   Beispiele  bcweisen   hinreichend, 

«'   [Sieheoben  Anm.  177  ff.] 

"  Vgl.  Heisenbcrg,  Palaiologenzeit,  S.  104;  Treitinger,  Zeremoniell, 
S.  116.  Ahnlidie  Ausdruckswcise  bei  Theodoros  Prodromes,  Poemata  X  31  f. 
(ed.  Mai  [s.  oben  Anm.  11],  S.  408): 

'AvETfi/.a;,  dvfTEiXa;  Xannpov  fx  xr\z  fo')a;, 
r\\\.(  Of  if  [laoi/.FO,  xai  6(jt6ov/El;  ii'iv  xiiaiv. 
'■'*  Zu  diesem  Parallelismus  s.  das  Gedicht  des   Manuel  Holobolos  (ed. 
Boissonade,    Anecdota    Graeca    [Paris    1829—1833]    V    161    und    163); 
L'Orange,  Cosmic  Kingship,  S.  89,  Anm.  1. 


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Ernst  H.  Kantorowicz:  'AvaTO>.T|  toO  bionoTOv 


dafi  die  /l«^fei/o«-Akklainationen  immer  unter  den  selben  Um- 
standen  fallig  waren  und  dafi  trotz  der  einfachen  Wortbedeutung 
„erscheinen"  beim  Anateilon  der  solare  Nebensinn  —  aus  kaiser- 
lidier  und  christlicher  SiAt  —  immer  gegenwiirtig  war.  Aufierdem 
beeinflufite  die  Spradie  der  Kirdie  entscheidend  auch  die  Sprache 
der    Hofliturgie.    Akklamationen    feierten    den     „Aufstieg    ohne 
Abend"  (dvfo.ityov  dvd>.rn|Hv)  der  monarchischen  Madit  oder  ehr- 
ten  den  „unerschopflichen  Brunnen  der  bewohnten  Welt"  (d/ivwtov 
qi)£ae  TTi;  Olxov^EV7^c).''«  Eustathios,  Metropolit  von  Thessalonike, 
verherrlidn  die  Dynastie  der  Komnenen  als  Liditbringer  ohne  Un- 
tergang  (q)woq)O0iiooi  hi  ov  xutu  loug  onie  biiovia;,  dXA'  eic;  u8i)tov).«' 
In  einem  Epithalamion  wandte  sidi  Theodoros  Prodromes  —  ver- 
mutlidi  in  Verbindung  mit  einer  prokypsis  —  an  den  Kaiser  Johan- 
nes Komnenos:  „Mogest  du  nicht  untergehen,  Sonne  Roms,  mogest 
du  in  alle  Ewigkeit  nicht  untergehen"  (ht|  ftiw,];,  TtofU);  ^ht,  Hn 
6vvTic;  Eig  aicovac).**'  Die  Osterakklamationen  verkunden:  „Am  heu- 
tigen  Ostertag  feiert  die  Sdiopfung  ein  zweifadies  Fest  des  Heiles, 
da  sie  deine  konigliche  Madit,  o  Herr,  aufgchen  sieht  zusammen 
mit  der  Auferstehung  Christi."«»  Weihnachten,  Epiphanie,  Ostern 
und  andere  Feste  waren  in  Konstantinopel  dcmnadi  Doppelfeste; 
das  zeigt  sich   in   dem  oben   zitierten  Epiphaniegedicht  des  Pro- 
dromos.'o  Diese  Feste  kiindeten  namlidi  von  dem  Aufgang  zweier 
Sonnen,  der  Sonne  der  Gereditigkeit  und  der  kaiserlichen  Sonne, 
die  ebenso  wie  erstere  ein  Licht  „ohne  Abend",  „ohne  Untergang" 
und  „unersdiopflidi"  war  wie  das  Lidit,  das  in  kirchlichen  Liedern 
verherrhdit  wurde.  Augenscheinlich  sind  in  die  byzantinische  dvaToXr) 
ToO  bto.noTov  der  heidnisdie  Oriens  Augusti  und  der  christliche  Oriens 
ex  alto  eingcgangen. 


«"  De  cacrim.  I  79  (ed.  Reiske  375,6  ff.;  Vogt  II  176).  [Siche  audi  untcn 
Anm.  251.] 

"  Eustathios,  Laudatio  funebris  c.  71  (Mignc  PG  CXXXV  1025  B). 
•«  Theodoros  Prodromos,  Poemata  IV  14  (ed.  Mai  402). 
•*  De  caerim.  I  4  (ed.  Reiske  46,5;  Vogt  I  40,8). 
'"  Siehe  oben  Anm.  11. 


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59. 


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u      I    u 


59.  ''Constantinus  Strator:  Marginalien  zum  Constitutum  Constantini,"  in  Mullus: 
Festschrift  Theodor  Klauser,  ed.  Alfred  Streiber  and  Alfred  Hermann  (Jahrbuch  fiir 
Antike  und  Christentum,  Erganzungsband  1;  Munster,  1964),  181-189. 

Offprint. 

A.  Letter  to  Michels  (cony),  19  May  1963 

B.  Letter  from  Michels,  29  Kay  1963 


n    u   u    J 

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£.K.  oPF^RiNT   Fji.e 


MULLUS 


FESTSCHRIFT 
THEODOR  KLAUSER 


SONDERDRUCK  •  NIGHT  IM  HANDEL 


JAHRBUCH  FOR  ANTIKE  UND  CHRISTENTUM 
ERGANZUNGSBAND  1   •   1964 


ASCHENDORFFSCHE    VERLAGSBUCHHANDLUNG 
MONSTER  WESTFALEN 


M 


n   u   u    J 

u      I    u    J 


CONSTANTINUS  STRATOR* 

Marginalien  zum  Constitutum  Constantini 

In  der  Kirche  der  SS.  Quattro  Coronati  zu  Rom  befindet  sich  in  der  Capella  di 
San  Silvestro  ein  Zyklus  des  Lebens  Konstantins  des  GroBen,  soweit  dieses  gemaB  der 
Legende  sich  mit  dem  Leben  Papst  Sylvesters  uberschneidet.  Unter  den  Wand- 
gemalden,  die  dem  dreizehnten  Jahrhundert  angehoren,  interessieren  besonders  zwei 
Szenen,  die  sich  auf  das  legendare  officium  stratoris  Kaiser  Konstantins  beziehen^ 
In  der  ersten  Szene  ist  Papst  Sylvester  thronend  dargestellt,  die  Mitra  auf  dem  Haupt. 
Vor  ihm  beugt,  barhauptig,  doch  in  vollem  kaiserlichen  Ornat,  Konstantin  d.  Gr.  das 
Knie.  Mit  der  rechten  Hand  uberreicht  er  dem  Papst,  anstelle  der  von  Sylvester  aus- 
geschlagenen  Kaiserkrone,  das  frygium,  einen  gleichfalls  kaiserlichen  Kopfputz;  mit 
der  Linken  halt  er  die  Zugel  eines  weiBen  Pferdes,  das  noch  halb  im  Torbogen  eines 
Palastes  verborgen  ist.  Der  Palast  vvird  durch  die  Inschrift  als  Capitolium  bezeichnet. 
Die  zweite  Szene  zeigt  den  Papst  auf  dem  weiBen  Pferde^  sitzend  und  nach  rechts  auf 
das  Palasttor  zureitend.  Statt  mit  der  Mitra  ist  das  Haupt  des  Papstes  nunmehr  mit  dem 
fr\gium  geschmuckt.  Er  ist  begleitet  von  einem  schirmtragenden  pediscquus  und  drei 
berittenen  Bischofen.  Das  Pferd  wird  von  Konstantin,  der  seinerseits  jetzt  die  Kaiser- 
krone tragt,  mit  der  rechten  Hand  am  Zugel  gefuhrt.  Vor  ihm  schreitet  als  der  die 
Prozession  eroffnende  cursor  ein  Soldat  einher,  der  das  kaiserliche  Schwert  tragt. 

Die  beiden  Szenen  illustrieren  wortgetreu  den  Abschnitt  des  Constitutum  Con- 
stantini, in  dem  der  erste  christliche  Kaiser  angeblich  die  Ehrungen  beschrcibt,  die  er 
Papst  Sylvester  aus  Dankbarkeit  zugestanden  habe: 


*  Anmerkung  der  Redaktion:  Wir  beklagen  tief 
das  uncrwartete  Ableben  unseres  Mitarbeiters 
Ernst  H.  Kantorowicz,  der  das  Erscheinen  dieser 
Festschrift  nicht  mehr  erlebcn  sollte  und  dessen 
Beitrag  eine  seiner  leizten  Arbeiten  wurde. 

'  G.  WiLPERT,  .Mosaikcn,  Text  1008/10,  101  If 
u.  Taf.  268. 

*  DaI3  das  Papstpferd  weiB  war,  wird  immer 
wieder  betont,  wenigcr  in  den  Ordines  als  in 
anderen  Quellcn;  vgl.  zB.  Lib.  Pont.  2,  404,  19; 
440, 10:  446,21,  fur  den  Pontifikat  .Mexandcrs  III; 
vgl.  auch  (fiir  Suger,  Romuald  von  .Salerno, 
Sachsenspiegel  ua.  i  R.  Holtzmann,  Der  Kaiser 
als  Marschall  des  Papstes  (1928)  8,.  11,.  13,.  17,. 
E.  EicHMANN,  Weihe  und  Kronung  des  Papstes  im 
Mittelalter  (1951)  23,  meint,  es  sei  »spatcstens  im 
10. /14.  Jh.  schon  Tradition,  daB  der  Papst  (wie 
der  Kaiser  auf  einem  weificn  Pferde  reitet  .  .  . «. 
Diese  .\nnahme  wird  dadurch  bestatigt,  da3  das 
V'ogesenkloster  R^miremont  seit  der  Mitte  des 
11.  Jh.  verpflichtet  war,  dem  Papst  alle  vier  Jahre 
einen  .Schimmel  mit  kostbarer  Satteldeckc  zu 
schicken  (vgl.  P.  E.  Schramm,  Herrschaftszeichen 


und  Staatssymbolik  3  [1956]  715,),  wahrend  das 
Bistum  Bamberg  seit  1020  jahrlich  einen  Schimmel 
zu  stellcn  hattc  (H.-\V.  Klewitz,  Die  Kronung  des 
Papstes:  SavZKan  30  [1941]  118).  Die  fruheste 
seiche  Bcstimmung  betraf  das  Kloster  Reichenau, 
das  unter  Gregor  V  (9%/9)  verpflichtet  wurde, 
einen  Zins  von  zwei  weiBen  Pferden  zu  leisten, 
wenn  der  Abt  dieses  Klosters  in  Rom  geweiht 
wurde;  vgl.  Th.  Klalser,  Die  liturgischen  Aus- 
taaschbeziehungen  zwischen  der  romischcn  und 
der  frankisch-deuLschen  Kirche  vom  8.  bis  zum 
11.  Jh.:  Histjb  53  (1933)  185fr.  GemaB  dem 
Pontificale  Romanae  Curiae  des  13.  Jh.  reitet 
auch  der  mitrierte  Abt  bei  seiner  Weihe  auf  einem 
weiCcn  Pferd;  vgl.  .M.  Andriei;,  Le  Pontifical 
Romain  au  Moyen  Age  2  (Vatikan  1940)  = 
Studi  e  Testi  87,409,11.  Es  sei  erwiihnt,  daB  im 
Spatmittelaltcr  auch  das  Sakrament  von  einem 
weiBen  Pferde  getragen  wurde;  vgl.  R.  Elze,  Die 
Ordines  fiir  die  Weihe  und  Kronung  des  Kaisers 
und  der  Kaiserin  (1%0)  178,  12,  ordo  27,  cap.  68: 
equus  albus  faleratus  cum  tintinnabulo  portans 
Sacramentum. 


u  u   u 

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182 


Ernst  H.   Kavtorouirz  f 


.  .  .  fn'pium  vero  candido  rutorf  splcndi- 
dam  resuTTPCtionem  dominicam  designans 
eius  sacratissimo  A'crtici  manibus  nostris 
posuimus,  et  lenentes  frenum  equi  ipsius 
pro  re\'erentia  beati  Petri  stratoris  officium 
illi  exhibuimus,  statuentes,  eundem  fn- 
gium  omnes  eius  successores  pontifices 
singulariter  uti  in  proc.essionibus  ad  imi- 
tationem  imperii  nostri. 


Und  irui  unseren  eignf;n  Handen  setzten 
wir  auf  scin  hochheiliges  Haupl  das 
in'gium,  das  in  seinem  wciBen  Schimmer 
die  glanz\'olle  Aulerstehung  des  Herm 
kennzeichnel,  und  indem  v\ir  den  Ziige] 
seines  Pferdes  ergriffen,  Jeisielen  wir  ihm 
a  us  Ehrfurcht  fur  den  heiligen  Petrus  den 
Diensi  eines  Strators  und  setzten  fest,  daB 
alle  seine  Nachfolger  als  Bischofe  einzig 
dieses  gleiche  {n'gium  bei  Prozessionen 
benutzen  sollten  in  Nachahnnung  unserer 
Kaiserherrschaft  ^. 


Der  den  kaiserlichen  Stallmeisterdienst  beschreibende  Halbsatz  dieses  Berichtes  gilt 
in  der  neueren  Forschung  meist  als  eine  Interpolation,  also  gleichsam  eine  Falschung 
iimerhalb  der  Falschung,  M'eil  dieser  Passus  die  Bestimmungen  fiir  das  frv'gium  unter- 
brichi  und  den  zweiten  Teil  dieser  Bestimmungen  hcichst  ungeschickl  anschlieBen 
laBi^  Das  Einschiebse]  ist  jedoch  in  alien  Handschriften  uberliefert,  und  es  bestehen 
auch  sonst,  -wie  mir  scheint,  Griinde  daiur,  dieser  Athetierung  mit  MiBtrauen  zu 
begegnen. 

Mabillons  Ordo  Romanus  IX  fnach  der  Zahlung  von  .■\NDRiEr  Ordo  XXX\'I  und 
nichtromischer  Herkunft)  ist  im  9.  Jh.  entstanden  und  damit  grwiB  spater  als  die 
Konstantinische  Schenkung^.  In  diesem  Ordo  wird  unter  anderem  der  Ritus  der 
Papsrweihc  beschrieben,  eine  Feierlichkeit,  die  mit  dem  triumphalen  Festzug  \'on 
St.  Peter  zum  Lateran,  gleichsam  dem  processus  consularis  des  Neuge-weihten,  zu  enden 
hatte.  Der  Hergang  wird  ziemlich  genau  beschrieben.  Nach  dem  Gottesdienst  begab 
sich  der  Papsi  in  die  Sakiistei,  wo  er  auf  der  sella  apostolica  Platz  nahm*.  Dieser  Sessel 
konnte  aber  auch  im  Freien,  auf  den  untersten  Stufen  der  Peterskirc:he.  aufgestellt  sein. 
Hier  empfing  der  Papst  die  akklamierenden  Laudes  der  patroni  regionum  in  der  ein- 
fachen  Form  der  damaligen  Zeit :  Domnus  Leo  papa,  quem  sanctus  Petrus  elegit,  in  sua 
sede  multis  anni.";  sedere'.  Darauf  kam  der  prior  stabuH,  also  der  papsthche  Ober- 
stallmeister,  und  setzte  dem  Papst  fiir  den  prozessionalen  Umzug  das  regnum  auf.  Der 
Papst  bestieg  sein  Pferd  und  wurde  von  den  hohen  Beamten,  den  iudices,  vorbei  an  den 
akklamierenden  \'olksmengen  zu  seinem  Palast  eskortiert.  *  DaB  jemand  das  Pferd  des 


°  N'pl.  C.  MiRBi,  Quellen  zur  Greschichte  des 
Papsttums  (1924)  112,  §  16,  der  jedocb  Zeumere 
Auspabt  folpend  den  Sat?  nut  den)  VVon  prcices- 
sionibu!-  besciiiieitt  und  dit  nkchstcii  \'ier  Wortf 
als  »Lujleitunc<'  iur  den  nachsten  Abschiutt  ver- 
wendei.  Dies  ist  nachweislich  iaisch.  und  ich  iolge 
daher  den  mittelalterlichen  Kanonisten.  wic  sif 
etwa  da.'^  Decretum  Gratiani.  D.  XC\'l,  c.  14. 
wiederpibi.  ed.  E.  Frieuberc,  Corpus  luris 
Ganonici  1  (Graz  1955)  344.  \'gl.  auch  Hoitzmann 
aO.  243  u.  Andrieu,  Ordines  is.  uuien  Anm.  5 
4.173,. 

'  HoLTZMANN,  aO.  24  ;  H.  Volteuni  :  SavZGcnn. 
50  (1930)  440;  G.  Ostrooorsky,  Zum  Strator- 
dienst  des  Heirschers  in  der  Bvzantiniscb-Slax'i- 


schen  Welt :  Seminanum  Kondako\'iaiiuiD  7 
(1935)  201«. 

'  PL  78.  ]0C)6f ;  M.  ANi.KiF.r,  Les  Ordines  Romani 
du  Haut  Moven  P^t  4  i'Louvain  1956  204  f  u. 
ebd.  185ff  iiber  Herkunft  und  Datum  des  Ordo. 
'  Zur  sella  aposiolica,  vgl.  Anuriei  aO.  167ff. 
"  Vgl.  E.  H.  Kantorowicz,  Laudes  regiae 
(Berkeley-Los  .Angeles  1946)  126ff,  aucb  134ff 
iiir  den  Laudes-7  \-p  des  Ordo  RamsnuB  IX; 
iemer  .A.nuriei  aO.  4, 162  ff. 

"  VN'afarend  das  W  ort  regnum  scbon  vorhcr  haufig 
gebraucht  wurde  zur  Bezeichnung  von  \'otJv- 
kronen  und  andercn  Kronen  vgl.  Lib.  Pont.),  ist 
dif  Bezeicbnung  regnum  lur  das  papstiiche  In- 
signt   iuer   wohl    zum   erstenma]    belcgbar;    vgl. 


Cnnitantifim   Strator 


183 


Papsies  am  Zugel  gefuhrt  haile,  -wird  nicht  gesagt.  Jedoch  wird  in  dem  eher  ctwas 
fruheren  Ordo  XXXIX  (Andriev  eigens  vcrmerkt.  daB  sowohl  ein  in  St.  Peter  neu- 
gewcihter  Priester  vvie  auch  ein  don  neugeweihter  Diakon  von  je  zwei  papstlichen 
Straiorcn  geleitet  -wurde,  die  die  Ziigel  des  Pferdes  hielten*.  Man  soUte  annehmen,  daB 
auch  bei  der  Papstweihe  Stratoren  das  papstiiche  Pferd  am  Ziigel  fiihrten ;  uir  erfahren 
aber  nur  aus  dem  Ordo  Romanus  I  des  8.  Jh.,  dafi  Laien-Stratoren  das  papstiiche 
Pferd  rechts  und  links  umgaben  ^  f*. 

Wie  dem  auch  sei,  zu  den  Funktionen  eines  papsthchen  Stallmeisters  gehorte  es 
offenbar  auch,  dem  Papst  die  prozessionale  Kopfbedeckung  aufzusetzen.  Dieser  Brauch 
des  Papstzeremoniells.  der  im  Ordo  IX  '.\.vdriev,  Ordo  XXXXT  verzeichnet  ist, 
kann  natiirhch  nicht  weiter  zuruckgehen  als  der  Usus  selbst.  namhch  fiir  die  Prozession 
eine  eigene  papstiiche  Kopfbedeckung  zur  Schau  zu  siellen.  Dieser  prozessionale 
KopLschmuck  hatte  in  dem  Ordo  den  Namen  regnum,  in  der  Konstantinischen  Schen- 
kung  hieB  er  fngium.  \'orhanden  war  aber  der  prozessionale  Kopfputz  schon  vorher, 
mindestens  seit  dem  Jahre  710,  als  Papst  Konstantin  708  15  bei  seinem  .\dventus  in 
Konstantinopel  mit  dem  camelaucium  geschmiackt  seinen  Einzug  hielt  ut  solitus  est 
Romae  proccdere^^  Die  Konstantinische  Schenkung  hatte  also  wie  so  haufig  nur  etwas 
verbrieft,  was  schon  langst  papstlicher  Gepflogenheit  entsprach,  namhch  beim  processus 
eine  eigene  Kopfbedeckung  zu  tragen.  Dabei  kann  es  in  diesem  Zusammenhang  gleich- 
gultig  bleiben,  ob  regnum.  fr\gium  und  camelaucium  jeweils  einen  andern  oder 
jeweils  den  gleichen  Gegenstand  bezeichneten.  Worauf  es  hier  ankommt,  ist  das  \'or- 
handensein  eines  eignen  prozessionalen  Kopfschmucks,  dessen  sich  der  romische 
Bischof  bedienen  durfte.  vvie  es  derm  auch  eigens  in  der  Schenkung  hieB,  das  Ehren- 
zeichen  sei  »bei  Prozessionen  zu  benutzen  in  Xachahmung  unserer  Kaiserherrlichkeit«. 
Der  Kaiser  Konstantin  der  Legende  aber  hatte,  sowohl  dem  Sinn  seiner  \'erbriefung 
nach  wie  vermuthch  auch  romischem  Brauch  entsprechend,  seinen  Stallmeisterdienst 
Bcbon  damit  angetreten,  dafi  er  dem  Papst  ein  prozessionales  Insigne  aufs  Haupt  setzte, 
brixa-  er  noch  die  weitere  Funktion  ubemahm,  das  Pferd  des  Papstes  eine  Strecke  weit 
am  Ziigel  zu  fiihren.  Den  Halbsatz  der  Konstantinischen  Schenkung,  der  das  Pferde- 
fiihren  vcrmerkt,  brauchen  wir  also  nicht  unbedingt  als  Interpolation  anzusehen,  wenn 
tatsachlich  der  Stratordienst  aus  zwei  vcrschiedenen  Funktionen  bestand :  erstens  dem 
Aufsetzen  der  prozessionalen  Kopfbedeckung  als  ein  \"orrechi,  das  dem  prior  stabuli 
oder  maior  strator  zufiel,  und  zwcitens  dem  Fiihren  des  Pferdes  am  ZiigeP*. 


Klewitz  aO.  112:  s.  auch  ANcwEf  aO.  4,  169f. 
Der  FiinfliiB  der  K  nrr>«!tanti»»if.r-)^f^  Schenkung  auf 
diesen  Ordo  laBt  sicfa  kam  lenpien.  wie  zuletzt 
Andrieu  aO.  1721.  gczeigt  hat.  Die  Kolle  des 
prior  stabuli  >»-ird  jedoch.  wie  .^,^-DRl£v  173f.  vor- 
■dbliigt,  ^axmd  aaruckzufuhreo  i>cin.  daB  die 
proBGMiaaaie  Kafrfbedeckung  »cominc  partie  de 
I'attirail  cqucstre*  in  der  7at  dcstn  Stallxneister 
an^'crt^aut  war.  Die  BedeutungdoMgkcit  des  Stall- 
meisters andererseits  schutzte  daixor,  den  Aki  als 
liturgischen  Ritus  oder  gar  im  Sinne  eincr  Inve- 
stitur  auszult^en.  Der  Brauch  des  papstlichen 
Holes  hat  sich  dann  auch  im  C.  C.  widcrge- 
spiegclt.  wo  StaJimeisier  Konstantin  dem  Paptt 
die  Paradehaube  auisetzt. 
•  Anuriev  aO.  4.285,  20f   (|  26j  u.  286  (§  Z\). 


Fur  das  Datum  —  Endc  des  8.  Jh.  —  liehe  ebd. 
280.  Der  Ordo  gchort  zu  der  Gruppe,  die  in  ciner 
Handschriit  von  St.  Amand  uberhefert  ist  und 
schon  von  L.  Duchesne,  Christian  Worship 
(London  193)  456ff  herausgegeben  wurde;  zur 
Stelic  ».  ebd.  477.  Fur  den  nicht-romischen 
Charakter  dieses  Ordo  siehe  schon  E.  Buhop, 
Liturgica  Historica  (Oxford  1918;  151 '60. 
''  PL  78,  937f  (§2;;  Andriev  aO.  2,70,4. 
''  Lib.  Pont.  1,390,15. 

"  S.  unten  Anm.  21  fur  den  maior  strator  CAlbi- 
nuS;  und  .\nin.  24  fur  den  marcscalchus  maior 
(Ordo  Romanus  X\'j.  Fiir  die  \'erbricfung  alter 
GeH'otinheiten  in  der  Konctant.  Schenkung  vgl. 
Th.  Klacser,  Der  Ursprung  der  bischoflichen 
und  Ehrenrcchic  (1948;  25ff  mit  der 


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184 


Ernst  H .  Kantorowicz  f 


Conatantinus  Strator 


185 


Zu  dieseni  doppeltcn  Dienst  knnntc  es  mitiirlich  nur  danr  kommnn,  wnnn  dnr  Pupst 
nichl  schon  voriier  mit  dnni  irypiuni  hekloidoi  war.  Das  Aufstuzcii  dcr  Papstmiitzf  aber 
ist  nach  denn  Stand  unseres  Wissens  in  den  ersten  vier  Jahrhundertcn  dcs  furstlic:hen 
Stratordienstes  nicht  in  Frage  gekommen,  Ja  war  gar  nicht  moglich  gewescn,  und  zwar 
wegen  der  Eigenart  des  piipstliciien  processus.  E.s  ist  mil  Recht  darauf  hingowiesen 
worden,  daB  da.s  Won  processio  in  der  Sclienkung  nicht  im  Smnc  der  »Kirc.hcriprnzes- 
sion«  zu  verstehen  isi,  sondern  eher  in  dem  eincs  triumphalen  Festzugcs  '•'.  Hicrbei  ist 
jedoch  cine  wichtige  Unterscheidung  bisher  zu  kurz  gckommen  oder  gar  nicht  gemacht 
worden.  Bei  welcher  Gelegenheii,  oder  welchen  Gelegeiiiieiten,  war  denn  ein  fiirstlicher 
oder  kaiserliclier  Stratordienst  fiilUg?  Die  Anrwori  ist:  bei  zwei  Gelegenheitcn,  niimlich 
erstens  bei  einem  processus,  eineni  feierliciien  Aufzug,  der  hier  vielleicht  als  »Triumph- 
zug«  bezeichnet  werden  dari,  obwohl  der  romischi-  Triumphator  fuhr,  nicht  ritl,  wic 
auch  der  Consul  beini  processas  consuiaris  auf  einer  biga  fuhr  und  nicht  zu  Pferde  saB ; 
und  zweitens  bei  einem  piipstlichen  Adventas,  also  bei  einer  Einholung  des  Papstes, 
um  ilm  bei  einem  liesuclu  ieieriich  zu  empiangen.  d.  h.  ad  papam  suscipiendum^"*. 
Dieser  Adventus  war  schon  in  der  romischen  Antikc  in  solchem  Mafir  zu  einem  Triumph 
ausgebaut  worden  i*,  daB  es  durchaus  verzeihiich  ist,  wenn  die  verschiedenen  Aufziigc 
nielli  immcr  sorgfiiltig  auseinandergehulten  wurden.  Hier  jedoch  ist  diesc  Differen- 
zierung  wichtig  msofern,  als  niimiich  wiihrend  der  ersten  vier  Jahrhunderic  der  Kon- 
stantinischen  Schenkung  (ca.  750 — 1150i  die  fiirsthchen  Stratorendienstc  ausschheflhch 
in  Verbindung  mit  einem  piipstlichen  adventus  bezeugt  sind;  und  auch  spiiterhin  war 
dir  Mehrzahl  dei  Fiillf  fiirstlichen  Stratordienstes  auf  eine  feierlichc  Einholung  abge- 
stelh.  Als  ProtoTvp  mag  dabei  die  Einholung  Papst  Stephans  II  durch  Konig  Pippin 
bei  der  Begegnung  von  Ponthion  HbA:]  gelten.  Pijipm  war  dem  ihn  besuchenden  Papste 
drei  Meilen  entgegengeritten.  ALs  sein  Zug  sich  dem  des  Papstes  niiherte,  sprang  der 
Kbmg  vom  Pferd,  warf  sich  demiitig  vor  Stephan  II  nieder  und  fiihrte  dann  das  piipst- 
hchf  Pierd  einr  Streckf  am  Ziigel  ^".  EbeiLso  war  es  im  April  R.=i8,  als  der  neugewiihltf 
Papst  Nikolaus  I  sich  zu  Kaiser  Ludwtg  II  in  das  Hoflager  zu  Qiiinto  an  der  Ym 


don  zitierteii  Literatur.  Fur  Canielauciuni  — 
I-ripiuni  —  kcfnium  vrI.  P.  E.  Sciikamm,  Hen- 
scliaftszciclieii  1..52fi.  Obwohl  dcr  Ordo  IX 
sjjater  ist  ais  da-  Konstam.  Scheiikuiig  und  von 
dieser  beeinfiuflt  ist  (s.  oben  Anm.  B),  so  reflek- 
tiereii  doch  beidi  Dokunientt  einfacli  den  roml- 
scheii  Braucli  de^  U  Jii.  m  Uczup  au;  dit  Funktion 
de^  Stahnieisteri.  dn  nocli  l>ei  .'\lbinus  und  im 
C>rdo  X\   tortiebi. 

•'  Vgl.  E.  Cas!-ak.  Das  Papstium  unter  iraiiluscliei 
Hcrrechaft  r  19,56  29  Dei  allerdiug.-.  spiitt  Ordi. 
XXMI  dcr  Kaiserkrbnunp  i'Llzi  aO.  15, 177, 17) 
liai  eiiieiieipiiei:  Abschniti;  xDcpropressu  Gaesaris 
cuni  l-'omiiici  scu  L()uuaiura  }>er  Lirbeni.« 
"  Hi)i.TznANN  aC).  2(  und  passim  hai  daiiken.'.- 
werter  Weisc  scliarf  umerschicden  zwisclieii  dem 
ofiicium  stratons.  dem  Fiilirerj  des  Pferdes.  und 
dem  officium  marescalci.  dem  Steipbupeliiahen 
I>er  .Steipbuffeidieusi  intercssieri  hier  niciu.  well 
zZ.  der  Abtassunp  der  Koiistamnj.  Sclienkuuf;  der 
Steipbugel  selbsi  iiocii  icaum  enigeliilin  war:  vgl. 
Lynn  T.  W  hiti  Jr.,  Medieval  lechnolopx  and 
Social  Changt-  (O.xford  1962 1  26f.  Nomialerweisi 


—  uiic:  wen  i)equeniei  fiir  dcii  Pap.st  in  seineri 
zerenionielleii  Crewandeni  —  trat  dit-  scaia 
poniificLs  in  Funktion,  das  Leiterclieii  zum  Br- 
steifjeii  dc.s  Plerdcs,  fiir  das  in  spiiterer  Zeii  ein 
eiprenes  Saunipferd  erwahnt  wird;  vpl.  Elze. 
Cirdmci,  177.40  Hhcdo  XX\'I1.  c.  m< :  1K:129 
((,'t)d  c.  B9  :  >,Equas  .super  quo  .scala  pro  I'uniifta- 
])orcatur.  e;  scala  ipsao.  das  mi  le.stzupt  iioch  vor 
dem  das  Sakranieni  trapenden  Plerdr  niarschiertt. 
DerlJnterschied  zwischendem  processas  tnumjiho- 
li.s  und  dem  Ariventas  lsi  m  V\  bisiier  nit  be- 
achlet  worden. 

'  Zur  .•\uainielunp  von  'Vdventu-s  unci  Iriumpii 
vpi.  \.  Alvoldi.  l)ir  .'\usgestaltunp  de^  nioiiarchi- 
schen  Zeremonielis  am  romischen  Kauerhofc: 
KoniMm.  49  .1935)  93ff;  zum  .'Vdventas  im 
Mittelalter.  vgl.  E.  H.  Kantorowicz.  TIk  Kiiig'.s 
.'\dveni  and  tin  Enipniatii  Panels  in  tht  Doors  of 
Santa  Subnui:  .^n  liulletm  2()  1944;  21):i.".U. 
"  Lib.  Pom.  1.447.  Du  mi  folpenden  anzufiihren- 
den  Stellen  shid  alh:  von  Hoi.tzmann  7fT,  gt- 
saninieli  unci  interpretiert  worden. 


Flaminia  begab''.  ITm  eincn  Adventus  handcltc  cs  sich  frmcr,  als  Papst  Urban  II 
den  Jungen  Konrad,  Sohn  Kaiser  Hcinrichs  IV,  109.S  in  Cremona  anfsuchtci*, 
und  als  Papst  Innoccnz  II  von  Konig  Lothar  von  Supplinburg  1131  in  Luttich 
eingcholt  AA-urdei*.  Es  ist  evident,  dafi  bei  all  dicscn  Gdegenhciten  dcr  Papst 
seine  prozessionalr  Kopfbedeckung  schon  trug,  bevor  es  zu  einem  Stratordienst 
kommen  konnte. 

Der  triumphale  processus  war  wohl  regelmaBig  verbundcn  mit  dcr  Wcihc  dcs  Papstes 
Oder  einer  papstlichen  »Festkr6nung«,  die  an  den  groBen  Kirchcnfestcn  stattzufindcn 
pflegtc.  Bei  dicsen  Gelegenheitcn  muBtc  dem  Papst  finita  missa  jenes  Insignc  aufgesctzt 
werden.  Dies  geschah  in  spatercr  Zeit,  als  der  Ordo  IX  nichl  mchr  in  Kraft  war,  durch 
den  .Vchidiakon  von  St.  Peter.  So  wenigstens  beschreibt  im  12.  Jh.  Bcncdikt  von  St. 
Peter  den  Vorgang^".  Aber  noch  in  dem  etwas  .<;pateren  Ordo  dcs  Albinus,  Bischofs  von 
.Albano,  ist  dabei  die  friihere  Verbindung  mit  den  Funktionen  des  Strators  durchaus 
lebendig;  denn  bevor  der  Papst  zu  Pferde  steigt  archidiaconus  recipit  frigium  a  majori 
stratori  (sit),  de  quo  dominum  papam  coronal ^^  Es  ist  also  der  Oberstallmcistcr.  der 
dem  Erzdiakon  den  Kopfschmuck  reicht,  -wenn  er  ihn  auch  nicht  mehr  selbst  dem 
Papst  aufs  Haupt  setzt.  Der  triumphale  Umzug  fand  aber  auch  nach  dcr  Kaiser- 
krbnung  statt,  die  regelmaBig  mit  dem  Ritt  von  St.  Peter  durch  die  StraBen  Roms 
abschloB  und  nach  dem  Lateran  oder  einem  anderen  Palast  hinfiihrte.  Bei  dieser  Ge- 
legenheit  hieli  der  neugekronte  Kaiser  fiir  eine  kurzc  Wegstrccke  die  Ziigel  des  papst- 
hchen  Reittiers,  bevor  er  selbst  aufsaB,  um  mit  dem  Papst  gemeinsam  den  W'cg  fort- 
zusetzen^.  Dieser  Stratordienst  in  Nachahmung  Konstantins,  das  heiBt  des  Kon- 
stantin  der  gefidschten  Schenkung.  ging  dann  auch  ein  in  den  sogenannten  Ccncius  II, 
einen  Ordo  der  Kaiserkronung  des  12.  Jh.,  und  findet  sich  in  den  meisten  der  spatcren 
Ordines  vieder^.  Das  Aufsetzen  des  papstlichen  Prozes.sional-Insigne  -wurde  in  diesen 
Ordines  nicht  mehr  erwahnt,  doch  erfahren  ■wir  aus  anderen  Quellen,  daB  dies  zu  den 
Obliegenheiien  des  Priors  der  Kardinal-Diakone  gehone,  wiewohl  es  noch  in  spater 
Zeit  heiBt  recipit  regnum  de  manu  marescalchi  majoris^*'.  Es  erschien  wohl  als  unmog- 
lich,  diesen  Kopfschmuck  aus  der  Hand  des  Kaisers  zu  empfangen ;  auBerdem  war  dieser 
Teil  des  fiirsthchen  Strator-Dien.stes  wohl  in  den  \'ier  Jahrhundertcn  in  \'crgessenheit 
geraten,  wahrend  derer  er  nicht  ausgeiibt  werden  konnte,  weil  die  Konige  und  Kaiser 
nur  bei  einem  Ad\'entus  als  Stratoren  fungierten. 

Mit  der  Feststellung.  daB  ein  fiirsthches  oder  kaiserhches  officium  stratoris  in  dcr 
Melirzahl  der  Falle  mit  einem  papsthchen  Ad\'entus  zusammenhing,  ergibt  sich  aber 
auch  schon  ein  gewisser  Einbhck  in  die  Geschichtc  dieser  Zeremonie.  Eine  unendhche 
Menge  romischer  MiinzpraErungen  zeigt,  daB  der  Kaiser  bei  seinem  Ad\entus  \"on  einer 
vor  ihm  schreitenden  geflugelten  \'icloria  geleitet  wurde,  die  manchmal  auch  die  Ziigel 


''  Lib.   Pom.  2.152.  heiBt  es  ausdrucklicb   ».  . 

augustUK  obvius  in  adventum  eius  occurrit.« 

"  \'gl.  HoLTZMANK  aO.  Bjf  iiir  die  verscliiedenen 

Berichte. 

"  Sugcr.   \'ie   de   Louis   k   Gros.   c.    31(119  A. 

MoLiNir.E  [Pan.s  18B7]). 

»"  Ordo  Romanas  XI,    c.  21    [PL  78,  1033D]: 

Lib.  Gens.  [146  J  AiiRb-DtPCHusNt]. 

»'  Albinus  XI,  J;  3,  in  Lib.  Gens.  2, 124. 

*»  Vgl.   HoLTZMANN     aO.    12  ff,   der  mil    Retiit 

betoiu.  dati  zeitwei.it  der  Sieipbupeldiensi  von  der 


Ciurie    fur    wichtiger    angcsehcn    wurde    als    das 

Pierdefubrcn. 

"  Elee,  Ordines  46  (Ordo  XI\",  c.  51 ).  68  (Ordo 

XVIL  c.  31),  83  lOrdo  XVIH,  c.  43  .  98    Ordo 

XIX,  c.  40)  und  wciter.  wonlich  vvicderholt.  in 

den  Ordines  XX— XXI\'   ill7.   128.   138.   150) 

bis  zum  letzien  Ordo.  dem  Karls  \'  von  1529   = 

Ordo  XX\11,  c.  67  (ebd.  ]77i. 

**  So  m  dem  Ordo  dcs  Petrus  Amelius  \oin  ELnde 

de&H.Jh.,  PL78,  1280  (c  11). 


n   o   o   L 

U      I    u    u 


186 


Ernst  H.   Kantorowicz  f 


Constantinus  Strator 


187 


des  kaiserlichen  Pferdes  erprifT^^  Rei  der  Verchristlichung  dieses  Motivs  trat  statt  der 
\^ictoria  ein  Engel  eiri,  wir  ja  ikonopraphisc.h  die  gcflugeltc  Siepespottin  sich  iibcrhaupt 
gem  in  einen  Engel  verwandellc*''.  Diesc  Stellvertrctung  fmdet  sicli  nicht  nur  in  der 
Kunst,  sondern  spiegelt  sich  auch  und  vor  allem  in  den  Texten  wieder.  Um  von  andercm 
zu  schweigen,  sei  hier  nur  an  den  Text  erinnert,  der  beim  Adventus  des  Kaisers  als 
Antiphon  gesungen  wurdc  und  noch  im  modernen  Pontificalc  Romanum  verzeichnet 
isl,  ein  Text,  der  auf  Ex.  23,20  basiert:  Ecce  ego  mittani  angclum  meum,  qui  praecedat 
te  ...,  Oder  auf  einer  der  prophetischen  oder  evangelischen  Nachformungen  dieses 
Verses 2".  Den  Adventus  des  Papstes  in  kaiserlichen  Formen  zu  begehen,  war  schon  vor 
der  Abfassung  der  Konstantinischen  Schenkung  iiblich,  so  vor  allem  bei  den  Ein- 
hoiungen  besuchender  Papstc  in  Konstantinof)el  2^  Aber  erst  in  der  Schenkung  wird 
die  voranschreitendc  Siegesgottin  oder  der  voranschreitendc  zugelfuhrcnde  Engel 
durch  den  Kaiser  selbst  ersetzt. 

R.  HoLTZMANN,  dem  wir  die  eindringlichste  Studic  iiber  den  kaiserlichen  Strator- 
dicnst  verdanken,  hat  darauf  hingewiesen,  dafi  ini  spiiteren  Byzanz  der  Prntostrator 
gelegentlich  das  Pferd  des  Kaisers  am  Ziigel  fuhrtc,  und  daB  in  friiherer  Zeit  der  Wagen 
der  Kaiserin  bei  einer  Osterprozession  von  vier  Patriziern  geleitet  wurde,  die  die  Pferde 
am  Zugel  fuhrten  *».  Beispiele  dieser  Art  lieBen  sich  noch  in  grofierer  Zahl  anfuhren  ^n. 
Sueton  berichtet  zum  Beispiel  von  Nero,  er  habc  getriiumt.  daB  er  die  tensa  des  Juppiter, 
den  Wagen  also  mit  dem  Bildc  des  Gottes,  erst  zum  Hause  des  \espasian  habc  fuhren 
mussen,  bevor  er  das  Gefahrt  zum  Circus  geleitete^i.  Aber  dies  bedeutete  doch  wohl 
nur,  daB  er  dem  Wagen  voranfuhr  oder  voranschritt,  nicht  aber  die  Pferde  am  Ziigel 
fuhrte.  So  wurde  es  ja  auch  bei  der  ^'erchristlichung  dieses  Brauches  ublich,  daB  bei 
Reliquien-Prozessionen  der  byzantinische  Kaiser  dem  Gefahrt  zu  FuB  voranschritt, 
wiihrend  der  Patriarch,  den  Reliquienschrein  auf  den  Knieen  haltend,  auf  dem  Wagen 
saB,  ein  Vorgang,  den  ofienbar  voliig  sachgetreu  die  bekannte  Trierer  Elfenbeintafel 
wiedergibt32.  Aber  auch  hier  fuhrte  der  Kaiser  nicht  selbst  die  Pferde,  sondern  diese 

"  Vgl.  E.  Kantorowicz:  An  Bulletin  26  ;'lt»44i. 
wo  gegeniiber  '1\A  eim  Anzahl  solcher  Adventus- 
Munzeii  abgebiidet  ist;  Abb.  7,  die  Ruckseiti 
eines  C>oldmedaillons  Konstantins  d.  Gr..  zeigt 
wohl  eint-  zugelfiihrende  Victoria.  Vgl.  fiir  einc 
bessert  Abbildung  J.  M.  C.  1  oynbee,  Roman 
Mcdallion.s  (New  York  1944)  Taf.  17.11. 
"  Vgl.  In.  Klauser,  Engel  X  (in  der  Kunst): 
RAC  5,306fi;  Kantorowicz  aC).  220f. 


"Vgl.  Mai.  3,1;  Matth.  11.10;  Marc.  1.2; 
Luc.  7,27.  Der  Text  des  Pontifical*-  stimmt  mit 
kcincm  der  hier  genannten  Textc  voUig  iibereiii: 
die  evangelischen  Textt-  gehcn  zuruck  auf  den 
prophetischen  Vers  de.s  Malachias  CiA,.  der 
dargestellt  ist  in  der  lur  von  Santa  Sabina  und 
in  der  Bibel  von  Farfa  (Ripold;  vgl.  Kantoro- 
wicz aO.,  Abb.  40  und  46  (mit  der  Unterschrift 
von  Abb.  44). 

"  Vgl.  Lib.  Pont.  1,275  fPapst  Johann  I).  287 
(Agapetus).  297 f  f\'igihus;.  390  (ConstanUn,. 
Aber  schon  vorher  wareii  di<  Legateii  de.s  Papstes 
Hormisda  mit  grofien  Ehren  cmpfangcn  worden; 
ebd.  1.270  und  273,,. 

«"  HoLTZMANN  aO.  22f.  40fr.  Zum  Problem  des 
Stratordienstes  in  Byzanz  vgl.,  auBer  Ostrogorskv 


(oben  Anm.  4,,  vor  allem  O.  Ireitinoer,  Dif 
ostromisciit-  Kaiser-  und  Reichsidet  (1938)  225fr. 
HinzuzufUgcn  wart-  noch,  dafi  Nilus  Doxopatrcs 
(12.  Jh.;.  .Notitia  patriarch.  (PG  132.  1113;'14B 
den  westlichen  Stratordienst  fiir  einr  Einfiihrung 
Papst  Leos  III  hieh. 

•"  Einc  anniiherndt  Parallelc  bieten  die  Seld- 
schukken-Sultanc.  dit  da.s  Pferd  des  Khalifen  von 
Bagdad  am  Ziigel  fuhrten;  vgl.  Reiskf  in  scinen 
Noten  zu  Gonstantin  Porphyrogenitus,  Dt-  cacri- 
moniis  2. 726;  doch  ware  hier  westlicher  EinfiuB 
vielleicht  nicht  ganz  auszuschlielien  Siehc  jedoch 
Esther  6,11:  Haman  vor  dem  Pfcrdt  Mardochais 
schreitend  und.  nach  antiker  Iradiiioii.  e.s  am 
Ziigel  fiihrend.  wu-  es  audi  in  der  Synagogc  von 
Dura-Europos  dargestellt  ist:  vgl.  M.  Rostov- 
tzefi,  Die  Svnagogc  von  Dura:  RomOuS.  42 
(1934)  203fl,  laf.  19. 

"  Sueton,  Vesp.  5,7.  Zum  Fuhren  der  tensa  vgl. 
A.  Adaecherli.  Fercula.  Garpenta  und  T  ensat- 
in  the  Roman  Procession :  Bollettino  Studi  Mediter- 
ranci  6  (1935/36)  9  mit  Anm.  135.  137.  145. 
*■■'  Vgl.  A.  Hermann.  Mit  der  Hand  singen.  Ein 
Beitrag  zur  Erklarung  der  "Iriercr  Elfenbeintafel: 
JbAG    1    (1958)    105fl,   mit   rciclicn  Litcraturaii- 


wurden  vom  Kutschcrbock  aus  gelenkt,  vielleicht  durch  einen  hoheren  Wiirdentrager. 
Die  Fragc  erhebt  sich  jedoch,  ob  der  Kaiser  selbst  bei  irgendeiner  Gclcgenheit  ein 
Pferd  am  Zugel  gcfiihrt  hat  und  .somit  als  ziigclfiihrcnder  Strator  auftrat. 

Bronzcmedaillen  des  Commodus  zeigen  den  Kaiser  auf  einem  Fclshlock  als  Jup- 
piter iuvenis  sitzend.  Ihm  nahert  sich  von  rechts  eine  mannliche  Person,  anscheincnd 
ein  Strator,  das  Pferd  am  Zugel  fiihrend^''.  Dies  aber  war  naturlich  kcin  gcwohnlicher 
Stallknecht,  sondern  ein  Gott,  einer  der  himmlischen  Reiter,  der  Dioskurcn,  die  als 
Soteres  verehrt  wurden.  Die  Dioskuren,  die  auf  einer  anderen  Bronzemedaillc  des 
Commodus  den  Thron  des  Juppiter  rechts  und  links  flankierten,  waren  nicht  scltcnc 
Erscheinungen  im  Zusammenhang  mit  dem  Kaiserkult**.  Es  kennzeichnet  jedoch  einen 
weiteren  Schritt  im  Gangc  der  kaiserkultlichen  Umwandlungen,  wcnn  schlicfilich 
einzelnc  KaLser  selbst  gleicksam  als  Dioskuren  auftraten.  Dies  isl  erstmals  der  Fall  auf 
einer  Pragung  des  Probus,  auf  deren  \'orderseite  der  Kaiser  bewaffnet  dargestellt  ist, 
in  der  Linken  den  Schild,  auf  dem  man  den  iiber  Feinde  dahinsprengenden  Kaiser 
sieht,  und  mit  der  Rechten  ein  Pferd  am  Z)iigel  fiihrend'*.  Der  Miinztyp  erscheint  noch 
mehrmals.  Auf  einem  Goldmedaillon  des  Numerianus  (Taf.  10a)  findet  man  auf  der 
Vorderseite  den  Kaiser,  die  Lanzc  in  der  Linken  und  mit  der  Rechten  sein  Pferd  am 
Zugel  fuhrend,  wahrend  auf  der  Ruckseite  die  VIRTUS  AUGUSTORUM  gefeiert 
wird:  zwei  Kaiser  zu  Pferde,  mit  den  Lanzen  Feinde  niederstechend  und  iiber  ihnen 
eine  die  beiden  August!  kronende  Victoria^*.  Die  Miinze  besagt  wohl  gleichzcitig,  daB 
der  kaiserliche  Dioskur  der  Herr  des  romischen  equitatus  war,  da  ja  die  Dioskuren 
selbst  als  Schutzherren  der  romischen  Ritterschaft  galten'".  W'ir  finden  den  gleichen 
Miinztyp  femer  auf  einer  Bronzemedaille  des  Maximianus  (Taf.  10b):  der  mit  der 
Rechten  das  Pferd  fiihrende  Kaiser  halt  in  der  Linken  den  Schild  mit  der  romischen 
Wolfin  und  den  Zwiliingen,  wahrend  die  Inschrift  besagt  \TRTUS  M.\XIMEAXI 
AUG'*.  Eine  Silbermedaille  Konstantins  d.Gr.  schheBt  sich  dieser  Reihe  an  (Taf.  10c). 
Mit  der  rechten  Hand  hat  der  Kaiser  die  Ziigel  seines  Pferdes  erfaBt;  in  der  linken  tragt 
er  neben  dem  Schild  mit  der  Wolfin  und  den  ZwUlingen  ein  Kreuzzepter,  das  mit  einer 
Kugel  gekrbnt  ist.  Statt  des  Kranzes  hat  er  auf  dem  Haupte  den  Helm  mit  der  Feder- 


gaben  fiir  die  Elfenbeintafel.  Siehe  auch  L. 
Duchesne.  Ghri.stian  Worship  416,,  der  jedoch 
irrtiimlicli  den  Kaiser  hinter  dem  VN  agen  schreiten 
liill;.  Ebenso  sciireitet  der  bN-zantinisctie  Kaiser, 
einc  Kerzc  in  der  Hand,  den  konscknerien  Ele- 
menten  unmittelbar  voraus,  wcnn  diese  beim 
wgrolien  Emgang«  durch  die  Kirche  zum  .Altar 
getragen  werden:  7  reitinoer  aO.  138,,. 
*"  F.  Gnecchi,  1  medaglioni  romani  2  (Milano 
1912!  Taf.  84.  Abb.  61,  und  62.  No.  96f.  Zum 
Juppiter  iuvenis  vgl.  .A.  Alfoldi:  NumCliron,, 
5,9  (1929)  267 fT,  bcs.  277f;  E.  H.  Kantorowicz. 
PucT  cxoricns:  Festschrift  Th.  MicheLs  ("1963), 
"  Gnecchi  aO.  2,  Taf.  83,  Abb.  2,  und  S,  60, 
No.  74;  auch  ebd.  3.  laf.  151.  .Abb.  13,  und  S.  37, 
No.  190.  wo  Gastor  von  rechts  nach  links  reitet. 
wahrend  eint-  kleint-  \"ictoria  sein  Pferd  fiihri. 
Zu  den  Dioskuren  ini  Kaiserkult.  vgl.  K.  Scott, 
Drusus  nicknamed  >>Gastor«:  GlassPhil.  25  (1930 
155/61.  und  ders..  The  Dioscuri  and  the  Imperial 
Cult:  ebd.  3791.  Erwahiicii.swert  ist  vielleicht  die 
Bronzemedaille    bei  Gnecchi   2,  Taf.  71,  Abb.  5 


und  S.  43.  No.  5,  denn  hier  waltet  ein  gewisser 
Parallelismus :  auf  der  \'s.  die  sich  ansehenden 
Kaiserbiisten  des  Marc  .Aurel  und  des  Lucius 
\  erus.  auf  der  Rs.  die  sich  gleichfalls  ansehenden 
Dioskuren  mit  ihren  Pferden. 
"  Fiir  die  Medaille  des  I*robus,  siehe  Gnecchi 
3,  Taf.  156,  .Abb.  21,  und  S.  67,  No.  48;  Taf.  157, 
Abb.  11,  und  S.  70,  No.  75;  auf  der  Rs.  \'IC- 
TORl.A  -AUG  und  eine  Trophae  zwischcn  zwei 
Gcfangenen.  \'gl.  auch  H.  Mattingly  —  E.  A. 
Sydenham.  The  Roman  Imperial  Coinage  5.2 
(London  1933 1  Taf.  2.  .Abb.  7  und  S.  38.  No.  189; 
Rs.  ROM.AE  AETERN.AE:  Roma  im  Tempel 
sitzend  mil  \'ictoria  auf  der  Hand  t.ind  Szeptcr. 
\"gl.  Tovnbee.  Roman  Medallions  177. 
"  Gnecchi  l.Taf.  4.  .Abb.  7.  und  S.  11,  No.  1 ;  R. 
Delbriick.  Die  Mtinzbildnissc  von  Maximinus  bis 
Garmus  (Berhn  1940)  Taf.  30  Abb.  30.  und  S.  233. 
"  W.  Helbig.  Die  Casiorcs  als  Schutzgotter  der 
romischen  Equitatus:  Hermes  40  (1905)  101  fT. 
"  Gnecchi  2.  7  af.  127.  .Abb.  6  und  10,  und  S.  129f, 
No.  18  und  25. 


ri    u    U 


188 


Ernst  H.   Kantorowicz  f 


Constantinus  Strator 


189 


krone.  Auf  dem  Helm  selbst  ist  das  Christogramm  ()^)  angebracht,  wohl  das  erste- 
mal,  daB  dieses  Zeichen  Christi  auf  einem  kaiserlichen  Miinzbild  erschcinl.  Die  Ruck- 
seite  zeigl  den  Kaiser  auf  dem  suggestus,  das  Tropaeum  in  der  Hand  und  von  einer 
Victoria  gekronl,  dazu  die  Umschrift  SALUS  REI  PUBLICAE^".  Durch  das  Christo- 
gramm auf  dem  Helm  ist  die  Medaille,  die  wohl  mit  Sicherheit  auf  315  nC.  datierl 
werden  kann,  sehr  beriihmt  geworden*". 

Noch  einmal  kommt  das  Munzbild  mit  dem  pferdcfuhrenden  Kaiser  auf  einer 
Lyonnaiser  Pragung  des  Crispus  vor  (320  nC.)".  Dann  verschwindet  der  Typ  von  den 
Munzen  der  Kaiser.  Aber  der  Typ  selbst  ist  damit  noch  nicht  tot.  Er  hat  ein  Nachleben 
in  den  Kontorniaten  des  4.  und  5.  Jh.,  auf  denen  freilich  der  Kaiser  ersetzt  wird  durch 
einen  Rennfahrer^^  Doch  es  besteht  kein  Zweifel  darubcr,  daB  diese  »Kutscher- 
munzen«  den  Kaisermunzen  nachgeformt  sind:  die  viel  zu  kleinen  Pfcrde-Protomen 
sind  Kontorniaten  und  Munzen  gemeinsam,  und  auf  den  Ruckseiten  der  Kontorniaten 
findet  sich  haufig  das  Bild  des  uber  einen  Lowen  hinwegsprengenden  Kaisers  ^^  Die 
Verwandtschaft  mit  den  Kaisermunzen  ist  auch  nicht  ganz  aus  dem  BewuBtsein  ge- 
schwunden;  denn  einer  der  Kontorniaten  hat  die  verfalschende  Umschrift  crhalten 
DN  GL  C  lOMANUS  P  F  AUG^',  wahrcnd  ein  andercr  Kontorniat  mit  Kutscher- 
bildnis,  allerdings  ohne  Pferd,  die  nachtriigliche  Umschrift  erhielt  DN  CONSTANTI- 
NUS MAX  AUG  ^5 

Die  Priigungen  des  3.  und  4.  Jh.  mit  dem  Bildnis  des  Imperators  als  Strator,  der 
sein  eignes  Pferd  am  Zugel  fiihrt,  sind  naturlich  etwas  seltsam,  wcil  doch  dem  Kaiser 
wie  jedem  Offizier,  wenn  abgesessen,  ein  Pferdehalter  zur  Verfugung  gestanden  hatte. 
Die  Kaisermedaillen  sind  wohl  auch  im  Wesentlichen  durch  das  Vorbild  der  Dioskuren 
bestimmt  gewesen,  das  in  christlicher  Zeit  bedeutungslos  wurde,  jedoch  auf  den  Kaiser 
als  den  vorbildlichen  EQUES  ROMANUS  bezogcn  werden  konnte"'^.  Immerhin 
haben  in  den  Kontorniaten  jene  Bildnisse  des  pferdcfuhrenden  Kaisers  noch  ein  eigen- 
artiges  Nachleben  gehabt,  indem  auf  ihnen  der  Kaiser  dann  wirklich  zum  »Kutscher« 
wurde.  Ob  dariiber  hinaus  noch  ein  Weiterleben  dieses  Miinztyps  zu  verzeichnen  ware, 
liiBt  sich  vorerst  nicht  sagen.  Viellcicht  hatten  die  Wandgemaldc  in  der  Petronilla- 
Kapelle  von  St.  Peter  uns  Auskunft  gebcn  konnen;  denn  diese  enthielten  Szenen  aus 
dem  Leben  Konstantins  d.  Gr.  und  Sylvesters  P".  Diese  Wandgemalde  entstammten 
der  Zeit  Papst  Pauls  I,  der  Zeit  also,  in  der  das  Thema  Konstantin  und  Sylvester  be- 


'"  Fiir  Konstantins  Silbermedaillc,  s.  Gnecchi  1, 
Taf.  29,  Abb.  3,  und  S.  59,  No.  18;  E.  Pridik, 
Neuerwerbungeii  romischer  Munzen  im  Miinz- 
kabinett  der  Ermitage:  ZNum  40  (1930)  78, 
Taf.  3.  Abb.  18.  Vgl.  vor  allem  die  zahlreichen 
Aufsatze  von  A.  Alfoldi,  The  Helmet  of  Con- 
stantine  with  the  Christian  Monogram:  Journ- 
RomStud  22  (1932)  9flF;  ders..  Hoc  signo  victor 
eris:  Pisciculi  F.J.  Dolger  (1940)  1  fT;  ders..  The 
Initials  of  Christ  on  the  Helmet  of  Constantino : 
Studies  in  Roman  Economic  and  Social  History- 
(Princeton  1951)  303 ff;  ders..  Das  Kreuzszepter 
Konstantins  des  GroI3en :  Schweizer  Miinzbliitter  4 
(1954)  81  ff. 

*"  Fiir  die  Datierung  vgl.  auBer  Alfoldi  auch  K. 
Kraft,  Das  Silbermedaillon  Constantins  des 
GroBen:  Jb.   f.  Numismatik  und   Geldgeschichte 


5/6  (1954/5)  151  fT.  Ebd.  Taf.  12  Abb.  12  =  unsere 

Taf.  4  c. 

*'  J.    Maurice.    Numismatique    Constantinienne 

(Paris  1911)2.  Taf.  4.  Abb.  12,  und  S.  117. 

*'  A.   Alfoldi,   Die   Kontorniaten    (Budapest  — 

Leipzig  1943)  laf.  11,  Abb.  1/13;  Taf.  32,  .-Vbb.  1/3; 

Taf.  36,  Abb.  6/12;  Taf.  42,  Abb.  1/3,  8/12,  u.  6. 

"  Ebd.  101  f. 

"  Ebd.  169,  Nr.  367. 

*'  Ebd.  Nr.  366. 

*"  Goldmedaille  bei  Gnecchi  1.  Taf.  6,  Abb.   12, 

und  S.  16,  No.  9;  Rs.  Konstantin  zu  Pferde,  In- 

schrift  EQUES  ROMANUS. 

"  Lib.    Pont.    1,455,    23fr,    mit    461.,,    fiir    die 

Translation    der    HI.    Petronilla    auf    Bitten    des 

friinkischen  Konigs  und  ihre  Kapelle  in  St.  Peter 

(Vita  Stephans  H),  und  464,  20 fT,  mit  466,  (Vita 


sondcrs  stark  im  Vordergrund  stand,  und  in  der  mutmaBlich  auch  die  Konstantinische 
Schcnkung  vcrfaBt  wurde  "«.  Aber  diese  Gcmalde  ficlen  dem  Neubau  von  St.  Peter  zum 
Opfer,  nachdem  man  sic  kurz  zuvor  noch  ausgebcs.sert  odcr  crneuert  hattc;  und  cs 
scheint,  daB  in  dicsem  Fallc  keine  Rcnaissance-Zeichnungcn  der  Gemaldc  crhalten 
sind,  die  uns  sonst  so  haufig  uber  das  Ausschen  verlorener  Werke  Kundc  vermittcln^*. 
Eine  Anregung  durch  Munzbilder  ware  dabci  nicht  einmal  a  limine  auszuschlieficn  •^'». 
Die.se  Bemerkungen  erhebcn  nicht  den  Anspruch,  eine  Losung  der  Frage  zu  sein, 
wie  der  kaiserliche  Stratordienst  in  die  Konstantinische  Schenkung  hineingeraten  ist, 
—  eine  Frage,  die  auch  den  verehrten  Freund,  dem  diese  Zeilen  gewidmet  sind,  in  Ver- 
bindung  mit  den  bischoflichen  Ehrenrechten  beilaufig  beschaftigt  hat^i.  Vielleicht 
gelingt  es  andern  hier  wciterzukommen.  Doch  der  Zwcck  dieser  Zeilen  war  nur,  auf 
die  in  diesem  Zusammenhang  noch  nicht  beachteten  Munzbilder  die  Aufmerksamkeit 
zu  lenken,  in  denen  Constantinus  Strator  tatsachlich  vorkommt'*^. 

Princeton  Ernst  H.  Kantorowicz  t 


Pauls  I)  fiir  die  Dekorierung  der  Kapelle.  Wir 
erfahren  jedoch  nur  aus  Niccola  della  Tuccia, 
Cronache  di  \'iterbo  e  di  altre  citta:  I.  Ciampi, 
Cronache  e  statuti  della  citta  di  Viterbo  =  Docu- 
menti  di  storia  italiana  5  [Florenz  1872]  256 
[=  ad  27.  VL  1458]),daC  »nel  qual  luogo  (nella 
cappella  di  Santa  Petronilla)  e  pinta  anticamente 
la  storia  di  Costantino  imperatore.«  Er  berichtet 
weiterhin,  daB  man  dort  Gebeine  gefunden  habe 
»coperti  di  drappo  d'oro  fino  .  .  .  Dicevasi  fosse 
il  corpo  di  Costantino  e  un  figlioletto«.  Vgl. 
hieruber  G.  B.  de  Rossi;  Bullett.  .\rchCrist  (1878) 
142:  auch  Ch.  Huelsen,  Le  chiese  di  Roma  nel 
medio  evo  (Florenz  1927)  422  f  und  zusammen- 
fassend  E.  Male,  fitudes  sur  Ics  eglises  Romaines: 
Les  Chapclles  de  Sainte  Petronille :  Rev.  des  Deux 
Mondes  43  (1938j  345  fT,  bes.  350  fT. 
*"  Diese  Zusammenhange  sind  langst  betont 
worden.  am  eindringhchsten  von  L.  M.  Hart- 
MANN,  Geschichte  Italiens  im  Mittelalter  2,2 
(1903)  222  f;  s.  auch  E.  Caspar,  Das  Papsttum 
unter  frankischer  Herrschaft  (1956)  22  ff. 
••  Vgl.  G.  B.  de  Rossi,  Sepolcro  di  S.  Petronilla  aO. 
(1879)  14f. 

*"  Auf  einer  gefiilschten  Tonlampe  ist  der  Kon- 
stantin einer  Bronzemimze  aus  Siscia  (ca.  318/20) 
dargestellt  (Taf.  lOd/e;  zur  Munze  vgl.  .\.  .A.lf6ldi, 
The  Helmet  of  Constantine  with  the  Christian 
Monogram:  JournRomStud.  22  (1932)  Taf.  4, 
.'Kbb.  17.  und  S.  1 1 ;  R.  Delbruck,  Spatantike 
Kaiserportraits  von  Constantinus  Magnus  bis 
zum  Ende  des  Westreichs  (1933)  72,  Nr.  12; 
Kkapt  aO.  (oben  .^nm.  40),  Taf.  12,  Abb.  12.  Die 
Photographie  der  Ibnlampe  aus  dem  Kunst- 
museum  in  Bonn  verdanke  ich  dem  F.  J.  Dolger- 
Institut  in  Bonn.  Die  Tatsache,  daB  es  sich  um 
eine  falschung  handelt,  hat  schon  R.  Garrucci, 
Storia  della  arte  cristiana  (Prato  1873/81)  6.2 
Abb.  D  richtig  erkannt,  und  Delbruck  aO.  73, 
hat  diese  Tatsache  nochmals  aufs  kraftigste  be- 
tont. Fiir  modernc  Falschimgen  von  Tonlampen 


vgl.   H.-G.   BucHHOLz,   Kaiserportraits  auf  Ton- 
lampen: Jblnst.  76  (1961)   173/87.  Fur  den  Fal- 
scher  wird  das  Christogramm  (>^)  an  Konstantins 
Helm  besondcre  .\nziehungskraft  gehabt  haben. 
wie   sich    dies    auch    aus    der    \'erwegenheit    der 
Falschung  ergibt.  Wahrend  namlich  auf  der  Munz- 
vorlage  der  Schild  des  Kaisers  einfach  geperlt,  das 
heiBt  bildlos  war,  hat  der  FaLscher  auf  dem  Schild 
ein  groBes  Kreuz  angebracht,  in  des.sen  Winkeln 
(auf  der  Photographie  kaum  noch  erkennbar)  in 
bekannter  Weise  die  Buchstabcn  IC  XC  XI  K.^ 
verteilt  waren  (|^£).  ein  S\-mbol,  das  im  Osten 
wohl  seit  dem  5.  oder  6.  Jh.  bckannt  war;  vgl. 
F.  J.    DoLGER,    Eucharistischer    Hostienstempel : 
ACh  1   (1929)  2 Iff.  Auf  byzantinischen  Munzen 
kommt  dieses  Zeichen  wohl  erst  im  11.  Jh.  vor; 
vgl.  W.  Wroth,  Catalogue  of  the  Imperial  Byzan- 
tine  Coins   in    the    BM.    (London    1908)    2,507. 
Taf.   60,   Abb.   6f    (Theodora  .\ugusta,    Tochter 
Konstandns  VIII:    1055/56),   und   553,   Taf.  66, 
.\bb.    4/5    (.Mexius    I:    1081 '11 18).    Der    Spruch 
'Itjooui;   XptCTTo;    vixa   findet   sich   seit   dem   8.  Jh. 
recht  haufig  als  Umschrift  um  das  auf  drei  Stufen 
gestellte  Kreuz;  ebd.  380,  Taf.  44,  .Abb.  4  (Kon- 
stantin V);  391.  Taf.  45,  .'^bb.  17  (Artavasdes) ; 
394.  Taf.  46.  .Abb.  2  (Leo  I\  i.  Uber  das  Alter  der 
Tonlampen-Falschimg  laBt  sich  kaum  Genaucres 
sagen;  aber  das  so  aufdringlich  gefalschte  Schild- 
zeichen  laBt  doch  wohl  an  eine  Zeit  denken,  in  der 
die  Bckehrung  Konstantins  noch  Ciegenstand  be- 
sonderer    Propaganda    gewesen    ist.    Konstantins 
silbeme  Strator-Medaille  mit  dem  Christogramm 
am  Helm  (Taf.  lOci  mag  auch  einmal  eine  solche 
propagandistische  X'erwendung  gefunden  haben. 
"  Klauser,     Der     Lrsprung    der    bischoflichen 
Insignien  und  Ehrenrechte  27. 
"  Fiir  mancherlei  Hilfen  und  .A.nregungen,  Aus- 
kiinfte  und  Besserungen  geht  mcin  Dank  an  Mrs. 
Aline  Abaecherli  Boyce,  Professor  .\ndreas  ,\lf6ldi 
und  Professor  Gerhart  B.  Ladner. 


I 


/  '     L'    U     U 

U      I    u    u 


Milling.  J-t.UM  hnf  I    III.    hi, I, I.,,      !')/,4, 


Tafel    10 


a.  N'uincnamis.  (  lolcliiipdaille  aus  Tieiniini    \].  284 1    b.  Maxirniaruis.  Bnmzemunze   i .  Konstantin 

d.  (ir..  SilhcniKclailif    \;|.  315i    d.  Konstantin  d.  Cir..  Hroiizemniizf  aus  .Sis(  ia     uin  31H  20     c.  Cie- 

fals(  htf  Tonlainjjc    HMO  im  Akad.  Kuiistinusciini  in  Bonn 

I>.  H.  Kant()n)\\i<z  +  .  Cionstantiniis  Stratoi 


o  u  u 

I    U       I 


MULLUS  •  FESTSCHRIFT  THEODOR  KLAUSER 

Herausgegcben  von  Alfred  Stuibcr  unci  Alfred  Hermann.  (Jahrbuch  fur  Antike  und  Chrlstentum, 

Erganzungsband  1/1964)  VIII  und  415  Seiten,  1 1  Abbildungen  im  Text,  1 7 Tafeln,  kart.  DM  64.- 

Leinen  DM  68,—.  Bezug  durch  jede  Buchhandlung. 

Die  Festschrift,  der  dieser  Sonderdruck  entnommen  ist,  enthalt  insgesamt  folgende  Beitrage: 

Andreas  Alfoldi  (Princeton),  Stadtromische  heidnische  Amulett-Medaillen  aus  der  Zeit 
um  400  nC.  (mit  2  Tafeln) 

Maria  R.  Alfoldi  (Frankfurt  a.M.),  Die  Sol  Comes-Miinze  vom  Jahre  325.  Neues  zur 
Bekchrung  Constantins  (mit  1  Tafel) 

Alphons  A   Barb  (London),  Krippe,  Tisch  und  Grab.  Ein  Versuch  zur  Formsymbolik  von 
Altar  und  Patene  (mit  2  Textabbildungen) ,, 

Giovanni  Brusin  (Aquileia),  La  basilica  apo.tolorum  di  Aquilcia.  Problema  storico-archeo- 
logico  (mit  1  Textabbildung  und  2  Tafelabbildungen) 28 

Pierre  CouRCELLE  (Paris),  Virgile  et  I'immanence  divine  Chez  Minucius  Felix 34 

Jean  Dani^lou  (Paris),  Le  Symbole  de  la  Caverne  chcz  Gregoire  de  Nysse 43 

Friedrich  Wilhelm  Deichmann  (Rom),  Vom  Tempcl  zur  Kirche      52 

ALBRECHTDiHLE(K6ln),  IndischePhilosophenbei  Clemens  Alexandrinus 60 

Erich  Dinkler  (Heidelberg),  Bemerkungen  zum  Krcuz  als  TpoTraiov 71 

Heinrich  Dorrie  (Miinster),  Das  fiinffach  gestufte  Mystcrium.  Der  Aufstieg  der  Seele  bei 
Porphyrios  und  Ambrosius 

Arnold  Ehriiardt  (Manchester),  Emmaus.  Romulus  und  Apuleius 93 

HiERONYMUs  Engberding  (Abtei  Gerleve),  Die  Kunstprosa  des  eucharistischen  Hochgebetes 

der  gnechischen  Gregoriusliturgie jqq 

Erich  Fasciier  (Berlin),  Abraham,  9UCTioX6yo?  und  91X0?  deou \\\ 

W.  H.  C.  Frend  (Cambridge),  A  note  on  the  influence  of  Greek  immigrants  on  the  spread 

of  Christianity  in  the  West ,„r 

Jean  Gage  (Paris),  Le  livre  sacrc  et  I'epreuve  du  feu.  A  propos  d'une  mosaique  du  mausolee 

de  Galla  Placidia  ^  Ravenne  (mit  1  Tafelabbildung)      J30 

Armin  von  Gerkan  (Koln),  Zur  Hauskirche  von  Dura-Europos  (mit  2  Textabbildungen^      143 

Fran(JOIS  Halkin  (Bruxclles),  Une  nouvelle  passion  des  martyrs  de  Pergame 150 

Alfred  Hermann  (Koln-Bonn),  Antinous  infelix.  Zur  Typologie  des  Heiligen-Unheiligen 

in  der  Spatantike  (mit  3  Text-  und  2  Tafelabbildungen) 155 

Hans  Herter  (Bonn),  Amme  oder  Saugflasche 153 

Heinz  K.\hler  (Koln),  Zur  Datierung  des  Sarkophags  von  Manastirine  im  Archiiologischen 
Museum  von  Split  (mit  8  Tafelabbildungen) J73 


n   u   u   1 1 

u      I      I    u 


Ernst  H.  Kantorowicz  f  (Princeton),  Constantinus  Strator.  Marginalien  zum  Constitutum 

Constantini  (mit  5  Tafelabbildungen) '81 

Heinrich  Karpp  (Bonn),  Viva  Vox 190 

Leo  Koep  (Freiburg  i.B.),  Astrologia  usque  ad  Evangelium  concessa.  Zu  Tertullian,  De 

Idololatria  9 199 

Bernhard  Kotting  (Munster),  Tier  und  Heiligtum 209 

Martin  Krause  (Miinchen),  Das  literarische  Verhaltnis  des  Eugnostosbriefes  zur  Sophia 

Jesu  Christi.  Zur  Auseinandersetzung  der  Gnosis  mit  dem  Christentum 215 

Richard  Krautheimer  (New  York),  Zu  Konstantins  Apostelkirche  in  Konstantinopel    .    .  224 

Georg  Luck  (Bonn),  Die  Form  der  suetonischen  Biographic  und  die  friihen  Heiligenvitcn  230 

Paul  Mikat  (Dusscldorf),  Erwagungen  zur  koptischen  Kunst 242 

Siegfried  Morenz  (Basel-Leipzig),  Agyptische  Spuren  in  den  Scptuaginta 250 

Otto Nussbaum  (Bonn),  Zur  Bedeutung  des  Handkreuzes  (mit  3  Text-  u.  4 Tafelabbildungen)  259 

Ilona Opelt  (Freiburg i.B.),  Der  Edelstein  im  Bauch des  Fisches.  Ein  orientalisches  Novellen- 

motiv  bei  Johannes  Moschos 268 

Michele  Pellegrino  (Torino),  II  »Topos«  dello  »Status  rectus«  nel  contesto  filosofico  c 

biblico 273 

Othmar  Perler  (Fribourg),  Die  Taufsymbolik  der  vier  Jahreszeiten  im  Baptisterium  bei 

Kehbia 282 

Friedrich  Pfister  (Wurzburg),  Ein  apokrypher  Alexanderbrief.  Der  sogenannte  Leon  von 

Pella  und  die  Kirchenvater 291 

Wolfgang  Schmid  (Bonn),  Bilderloser  Kult  und  christliche  Intoleranz.  Wesen  und  Herkunft 

zweier  Nachrichten  bei  Aelius  Lampridius  (Alex.  43,6{) 298 

WiLHELM  ScHNEEMELCHER  (Bonn),  Der  getaufte  Lowe  in  den  Acta  Pauli 316 

Marcel  Simon  (Strasbourg),  Remarques  sur  la  Catacombe  de  la  Via  Latina 327 

Johannes  Straub  (Bonn),  Zur  Ordination  von  Bischofen  und  Beamten  in  der  christUchen 

Spa  tan  tike.  Ein  Reform  vorschlag  der  Historia  Augusta? 336 

Alfred  Stuiber  (Bonn),  Depositio  —  xaTa&eatq 346 

Willy  Theiler  (Bern),  Antike  und  christliche  Riickkehr  zu  Gott 352 

Klaus  Thraede  (Bonn-Koln-Siegburg),  Die  Infantia  des  christlichen  Dichters 362 

W.  C.  van  Unnik  (Nijmegen),  Die  Anklage  gegen  die  Apostel  in  Philippi  (Apostelgeschichte 

l^'20f) 366 

Joseph  Vogt  (Tubingen),  Bcmerkungen  zum  Gang  der  Gonstantinforschung 374 

Jan  Hendrik  Waszink  (Leiden),  Bemerkungen  zu  Justins  Lehre  vom  Logos  Spermatikos  380 

Stefan  Weinstock  (Oxford),  Saturnalien  und  Neujahrsfest  in  den  Martyreracten    ....  391 

Kurt  Weitzmann  (Princeton),  Zur  Frage  des  Einflusses  judischer  Bilderquellen  auf  die 

Illustrationen  des  Alten  Testamentes  (mit  10  Tafelabbildungen) 401 


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tfaaaeait  wfr^c^t. 


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tia  lakra  iaa  Stadlwaa  rukrtaa  JUICT  v*t  ToUaa  SitvlAIaac  Urar  ^radalliitelt* 
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vslate  Auaaafa.   la  arbalteta  ala  faat  iM*r  bai  aiaaa  Srtaar  uad  braakta  ala  Bit- 
1,^  <U  aaMtaataa  Slanaa  kala*  und  kcmata  dla  rlalaa*  aabaa  Prauada  4a«it  W  - 
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via  ZiMar  varaaadala  dvraa  ihra  Bluaaa  ia  Sabalaa,  aU  ftattcMfi  s«atUtaa  ait 
piMtttaatlaabaa  Ipaiaaa.  Baa  fraaaa  3li*  ilaear  Stucfcaajahra  w^,  daaa  ala  dla 
ntoaaataa  rr^iada  fnad.  alt  daaaa  ala  daaa  Salt  Ibraa  Labaaa  bafrauaitt  UUKUlf 
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rraaadaa  aad  faraaadtaa,  faaaa  aa.  wla  ala  daaa  wladar  dla  aabCaataa 
aaltar  varaabaakta* 

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a»a  alfaaaa  Kladaa* 


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tlcta  Jl«  bailakumg  rm  riolaa  Kaab^a  jad  '.ada'tM. 


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taral!allalikalt  la  Ikvar  frlaaka  aad  KatuniaMialt  prauaaa  Ili^raak  mt  dU  laMOar 
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alok  MB  JiMiaataa  au  bak< 


Zalaar  roa  AV6I*a  frauadaa 


tit 


jadii 

lau^ata  dawla  clakt.  daaa  ala  tur  JUAlaakaa  9aaav  faWrta*  abar  akM  JaAa  la 
aur  gaiailfaa  Bali  4aa  Jwdaatoaa  afkoiata  ala  dla  Fardaruaf  4aa  Talkaa 
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■lak  alt  daa  aka«»aUlaakaa  Oaaaalaktaa  (  Tea  UaHia  lukar  arikklt)  kakast  aa«da« 
Ala  Ikr  aaaa  fUr  iaMav  vartrall  blUbaa,  lca«a  TarkUd  daa  Ubaaa* 


rlr 


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mit  gam  at,  ala  daaa  ala  ala  l^adttrfaia  a«ak  rralkalt  aad  laailaiikaft  arvaAaa 
attaata*  Barar  ala  Mak  iarlU  koBt  mte  aU  aa  aiaaa  Arkaltalafar  aatialiatiaCkar 


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ttalltna»  'lla  sit   Ihran  fUa/  kUlata  fladtra  la  alata  KtUar  vohatt  aad  tattr 
dtr  Uat  i»r  t&gllehta  Sorcaa  Tblllg  luaiaaBaabraak*  AUll  tar  treh  karttr  Xalt 
frtaadla  uad  Ttrtnwia  dar  frtu^ts  gab  alahta*  «at  ala  Ikr  ja  abgttthltfta  Mitt. 
81t  L'>)«mabB  alia   aah^rar*   Arfcalt   ta  ;iaua,  tuaali  dla  riadartiaaha  bit  tltf   la  dlt 
laaht  hiatia*  hol'^a  awa  'laia  alehitaa  K'rnnkaniuiua  daa  kibrlggtbliabtat  Fltw  fttr 
tit  tad   sorgtt  fUr  Htldtr  uad   TtrbreuahU  tla  QrotaUU  Urta  Voaatptttkatla*   lit 
tfhitktt  die  Trau    la  kvrita  Abttiltdaa  tvalaal  auf    Ihrt  Ctttta  fur  Srkoltaf  uatf 
blitb    (  tiiLbrtad    Ihrat  Szaataa   In  dar  Jaaha  dar  aatioaal^tttlallatittlMa  toTolutioa) 
ait  all  an  fUaf  r'.nUt.t  el  .'a  in  uaH  buntta  ohaa  .11  a  Tr^  nu  alaaa  T^Xltr  ta  dta 
darta  ilahaa.   ala  gab  Ihr  auah  Ihra  tlaklgaa  ^aar  Saiiuht»  tail  at  dtr  fttoai^a 
MS'Sl  ja  vtnlti  aueBRehtt|  wtaa'ait  sit  strrisataaa  S«klan^agt«  Oft,  taaa  dlt  ki,^ 
ka  Fru   sj  aOdt  «ar  ,  (Ihortaha  sit  auth  dlt  tehrlfttttlltrlatht  Arbtlt,  dlt  i»41» 
fltruag  dar  Ulla^alaroBaat*  Diaaa  HUfa  hat  bit  lu   iMCrt  Uljah  «tdaatrt*   INGI 
taadarta   arat  aaa,   ala  tla   Ha  7ray   too  Btrllu  fort  aaah  rial  ^bmeht  hattt  uad 
ihr  alat  atbbat  Yohaung  uad   Ihran  alsvnaa  ?rauadtakra*.f  Uharalttalt  hattt*  tad  dta 
ilttttaa  raabta,  dasaaa  Tatar  jUdlatb  aar.   la  dat  Laadtahulhtia  aaoh  Btrrllaan 
fthratht  hattt. 

Bald  tttlltta  tlah  Ihr  auah  aeaa  aadart  Aufgahta*   Sla  tahr  ttlUta*  ^rathlat* 
tataa  Mldebta,   dla  ala    In  dtr  Sabult  la  (irltthlttii  uatarrltbttta»   fthltt  Sfttrt 
la  d9r  riaatt  utJ   gln,-^  to   Ihrta  Lalataagaa  aarkllab  surUtk.   INJl  t?raah  ait  IhTf 
tad  llarla,  dlt  alt  glUhtad  Ttrabrtti  vtrtrxatt  Ihr,  daaa  dla  liuttar  tit  aad  dlt  Oi- 
ttharlattr  tloht  athr  aralhrta  koaatt,  uad   tla  ttlhtt  gacauagan  aari  atthtt  la  ti- 
aar rabrlk   lu  ar^ltaai  da  ala  nbar  alabt  atf 't  Abltar  rtrtlehtta  vallta,  htt  Ihr 
1)1(71  aa,   alt  prlrnt  vortubtralttt.   Taa  da  aa»  var  Maria  tAgliaa  n&eb  dtr  fahrlk- 
trtelt  btl  «at,  bla  tltf   la  die  S«abt.'#lr  trbtltttan  ainta  rlehtlgta  Stuadtapln 
att,  uad   ataa  ala   lu  aUdt  var,    tahlta   Ihr  AKJI  dan  Ttahtaloka  uad   ila  blltb  8   Ikft 
loa^  gtiai  btl  aat|   ar  lat  klar,   d«ae  aun  AU.;i*t  frauadaeaaft  und   Kilft  Varia  rtt* 
ttta  sad   hair,    Ihrr   ffob»«rt   Sltuntiaa   tu  artrrp^ta*   '^ft  auaatt   ala,   ua  attk  9ald   xu 
Ttrdlaeta,   aaebta  in  Thrldtd  aaftrataa,   4ad  all  dat  artmg  3la,v«ll  AXQI  Ihr  tlat 
gtlttlr^t  Vtlt  aufl  lutt   ,   frtt  Ton  «llaa  Sahlacvartaa* 

Sa  vtrglafta  dlt   rval  Jahrt   la  Barlia   la  alaan  lataealT  autrafUIltta  Ihgi 
AJiai  gavthatt  alab  an   !ia   Ootatadt  uad    ihrta  Llm,    ala  hatta  ^iadllaht  frtudt  dt- 
raai   allt   3tndt  -  ua/l  U-baha   St' t  *  oaan  aurv«>vMg  tu  l^raao,   die  ^hf^atra  tad  Llaita 
allar  Autobaatt   lu  vlrsta,   uad  via  aaa  achnallttaa  tps  aiaaa  ?lat '   tua  aadaraa 
koaat.    ?la  uattrrUhlatt   lo  allan  dral  ^iifloban; jaaajlaa,dl9   aa   in  3arlla  gah  uad 
ffbarali    lenloa*   i  «    "rnunduohnf tta,   'in:t   '^aalt   alias   z.    ttiaav     aent  kai, auaatt   alt 
Jada  liiouta  wvaut-sn,    jcnr'.i'a  ..  .•   leh^^aatar   "^r^et^   ia   ^aiirta,lantta  tad  baraltatt 


u  u 


8tu»(*oo   Tor  !a  '.Mrtfn  nuf  /^timdc   In  d«r   !;t«»fUb«hn  wiJ   la  (i9h—.   Oft  tr^f   i«ii 

■  Irh  alt   ihr  ;.n*.ir  a«r  NoPunltihr   rjn  U»xnnd«r.)liiti,und    4^71    attn-l,   dl«  Vnp^t 

n-r   L^bj-^riDCMi^M  f •  nil    In  don   -trttin   ?nr»»  4ti   April  19!3   ot^tt.    Dl*  «aii»« 
n«lBoil*ll»tli  Cur  lantliUon   hAtte    *J»';i  nit   •iB««   o«aI«f«  ▼on  all«B  Zv«if*lK  b«- 
frtlt,    3»ttt   fpUit*   ait   Ihrt  2vjgtharlg)t«lt   turn  JUdls«h«B   Sohlckeal  u»d   b«ktaaU 
•i«h  -iaiu,   DiinJl^r  iln«u»  r'ln   uU   -«  >;fln   Aoaohl-jia  an  dlt   Vr  dltlo«,^i«oht« 
6y^uii-or«a  '^a«i   :i«M  «pdt«r  r«/rclu.»aiili(  en  dan   3e/xatbat-Ab«ndea   In  d%r  Ortaadlar- 

■  trfosa    t#il|   dl9    laUlgun^  <^«b   .>«dfcl>b«th  vna  /Ji(il*»  ^••rtyolltt«>>,a««tt  QutiUu^ 

■  tark«  nailabuifT  lur  ab«rllaf*»rt«n  fom  T«rl<ut;jtt  Ton  Ihr  auc*i   In  .l«r  aauaa  tit  - 
11(1  jn   ^'.m  saa-tvDHlariiia  n^osioa»(,    Z^t  tr>t   ai*  anon  )iark6a«ll«ha«  3r«M«Ji  ma  Jti* 
JeotJN    ibor,    oHae  auca  aur   irg«nJ  aia  '^aaati   cu  T«nui«hlilaaiKan«   t>M«li  lad«rt« 
t\t   !hr^n  NnrMn,  Vk.hl'io  jkw.!.    i«B    ^\>«i  aue   Jciaau*!   I  i,   dar   Jh^maaJi  dam  K«a«tt« 

A^fh  d'a   .~a*.sol;aUuu,<   tur  Ail)*  ku  ^itai  plultilflu   Dna  J»sab«a«  wv  ASlI't 
«rpt«r  ?lan»    ai*  volI^a   in  Cautaehlai^d   auar  la  A^laaJ  aa  alaan  jUtflaalMS  Land* 
ari^ahuncohala  nUht  a.  ImuL*  ITindcr  uat«rrlatitaa«  Hakrara  Lahrar  baiaa  ala  ua  fk^ 
rm  1/ltali-kuni;.    I<*a  ^^r  Utjuilu   la  /r-nkmian.   lWGl*k  Vuttar  in  (^•r   5akv«ii,  a«lM 
Alija  vsr  tc'.ioa  bacMuit  al«  .'J'il  blc.i  liawuonta»ua  aith  ?oa  air  lu  Tarabaahladani 
Icb  hatta   <!odar.y  ei:  'n   Ih' ani  Plnni    f^nd,   daan  aia  la's  Laad  kcnea'i  aUaaia  ala  Gha* 
luirh    ic^    r&ai  el  bruflr.av<  '^it   'illvn    '^ahtl*^n»   d     {rarada  VaaBonaa  alt  diaoar  4r  * 
bai*i:kr«:'t  gabr^ucht  ^.atdan*   7la   ia.nar,  vlcu   sia  nloiit  Yoa  iitra«  t*laa«   JBrat  ala 
dia  *>:titt'«r  aleh  <alt  una  tr«r  uu<i    la   llirar  groa^aa  Labhaf  ilckait  AU3Z*t  Stalliuif 
ala  alaaic;  rHf^Iieha  dirtcllla,    vat*    VNII   vaUr  ruhlgi   L'ad  aatUrilali  hat  mta 
rcakt   -   i''i  rar-f    i^ch  Pnldatlna  f^''^***    ^b  Au^abllck  ^vmr  dla    'JstadialduBf  gafal- 
laat   tin-   cia  viadar  vurck  daa  antiara  arvagaa.    3ia    .'artaraitun^a  danartaa  aiakt 
lita|ra>    la  i^*r  Vartatalt  arbaltata  A.!'''!  al;,  .'uhrarla  an  Jar  aratan  Jufa«dallJ«h» 
dla   sp4t')'  .-inah  Ein  Charld   i^nf^  unrl   hauta    .n   Aloalv  lat*    la  'iovaab<ir  kaai   ala  la*a 
liuidf  n'^ohdati  s'u      Ish  nn   '■•n  Turaaaladaaataa  /iaim4aa  la  alian   Tailaa  Dautaah^ 
Inadi   ▼^r^'l  tjhia'lat  !;.4tt4»    Zio  bat    '.n  .iar  LlaJ   -!^naaalat'^'*''a  mntt   ala   la  alaaa 
flb>M   .'Int.*'.!!*,    ,   \to  nur  Ilabrtlscu  (;aoproonan  rlrd.    Bai    Ibrar    '•hrt  duroha  Land 
hnti'^    '«*.i   'S**.ik  3«r>«   \iat*u8)at  >ini*    .  lo  i  dgrt   :.aar  vo4l   g^/^Ult»   uur  rjrda  »u  vaalg 
Tart,     uf      i*   r!pr.i::hi   f:0l^(;t,   d^iu-il/  aatje.icaj   ala   ala^>(aion  QiaaM  aadaraa  Ort 
oHni  Dautaoha    ru   janan.   ''nn  aa'dekta   ala  anoft    '.airath;   daaeda  aar  at  aaah  alaa  klal 
aa  rv.rnh,     ilia  vAi'cn  Ton  K'iiKiftalt  nn  alt   aiaaadar  ^^BDot,    all*   aua  FUiaktuad 
iKTT    '\f.  ^rtta  r«utueha.    £4  ^r  uaaiytiica  <r&»ar  fiir  aia  unJ   fraad.    Oaai  allaih* 
lleh  »rat    *)af  ra^  Twlata   ^la    aiea  ait   aialr>,ar.   .<'nail  laa.IKa   Arbait  war    Ittr  aim  groa* 
aar   Tro^ti    aia  katta  unpekauraa  Yarlanxaa  n-.ai   arbvarar  :Srdarbait|   aaah  pflsaiam 
und    Mian.    \li  '^tn   «ltf    lua  ?:Uc<;en<; 'aajt   siatmlta   ,  wia  /.aa   ao  ablloll  ial*    giag  fia 
Ita  ■'•n   fraian   r.t..nd4n   'a  d>*a    ;a?»(iaaf<trt*a  arbaiUafuai    'la  aan  aa  Ihr  varbotf 
aaU    Jit  Vain    ^^^^^^r  a<>ar  al  0  9    'Ajaiaa  nrLaiUn  aoilt   ««'  vi*   M^r  batraffaSaXa 
war  fL'r   <>ia  «!•«  d^r   /•irlur.t  .l^^r   pari'alicn'tn  /rai::;ait,dji»t  aaa   ihr  uatartagt«  9 
•u;ra«r   '    r  K«f  Jr<art«»rt   Ir.-lt   iar  ^aliaita.i  la.tahdf  tljviag  aaaas^-gai^aai   BluMaa 
\if*    itwisa   ««.•   pfla<»iit    '-jAlln-    lanor  wr  at   bcacu,   aana  alia  wit  iaa  Liataa 
Sehluae  a^r^taa    jV  J  ik  "fioh  fs»«»   iir  raritn^tau*    1*  jfurda  au  •  Jlaaaa  ZuaaniM  - 
alwt4.aa   iatar  xlarir,.*n4a  Jlaa  aiaat  d^r  <^/,  aai    ;    La  arataa  Jlatar  n«af  rla 
aUh,    treti   gr;*   »r  rjJlgValt,    onJ    i»rt    *'ara  «alun,-:ao   ta -l»uaac«ani    abar  ihr  irar 
dS«   Art    Iar  Olaiu.' jI  :a»a    in      \:.»   fi«i*    -.iuuu   «tf   aliA  wj  rarhaaat* 

•Uaii  all*!   :/^   J.^hr  ».ir.U'ij   ela    3a»ai.:   ,u«  alaitj^a   iait  in  Jaruaalaa  la  la- 
baa.    In    'Uf<m     lutjr  lamta  ala   intaaal*  hab/tiaaJl,   « Ir  Tamaatnltataa  atkti»a 
Laaaa  aaila   ,    la    'anan  air  Sknkacaasra  faaainaaa  ait  friuadaa  luaaa,  ana^taa 


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fMt  u«d  ««H«  ellBlhll^  tin  kl«la«r  U«aMta.  •■»^«ttl«  tlak 

X«  Mr  dU.  tin  nihlg*.,   glJakllaii..  J^r,  dl«  ••l.Ua   5o)i«bb«tot  Ttrkr^iah- 
*?,'  "^\T:^^T'  '"^  '"   -''*  "^'^  "•''  ^-  L.i.r.r.i«ta  rorbT.uitI!l«S^ 


«•  AKOI  far  .In  .t,..  L«d..huli,.l«  d.a  Ml-g.rUa  .iari^ttt..  DiJi  ."Sala. 

.   !         •  ^^     I"'  '"'■  ^^  ^"''^^•^  »»^  <»<»^  ««•!■••■«  flrteeWt  ikt  m 
!ll/*nJT  L^v^**','*'    '•'  •'•  •rb.l.,U  uad  fUhlf   .l.h     a  dl,.«  ^J  ^ki* 

MMt  uad  WktMB.  ¥lr  fuhr.n  gcvaUsaa  h«rauf,aad   —horn  auf  d«r  Pahrt  dahU 
MhUaaa  uaa,  daaa  dUt  dar  .ehBn.ta  Ort  ia  Uad«  .al.  Ala  wlr  In  dla  alU  Kraai. 
fakrarturff  k«i.«  ,i^  dl.  P.rga  roa  dort  .u.  aabaa,  aar  d.r  la.aia».a  fait  kaJHir 
Hlar  aolli.  iWai   Ikr  La*J  .ra.rb.a.   Da,u  dl.  b..oid.r.  fXOakllch.  Zut«ILJt;n„; 
djr  Oruppa,   la  d»r  aUlga  a.tt.  Jungta  waa,  dla  daa  Mlir.ahl  ans«klraiid,  dla 
TiMdltloa  kialtaa,  at»aa  voaaeh  alah  AKCI  aiaMl  gaaatet  katta.  Xa  daa  Oadaakaa 
aa  dl.taa  Laad,   ala  kattt  to^r  aahoa  faaUhlt,  fulu-  ala  aaah  Italiaa.oB  alah  la 
ea«e  alt  dar  fallabt.a  ftUfjntutUr  ni   tra/faa.  Dla  iUla*  badautata  fBr  ila  akhr 
ala  ala  A»ffrlaahan  aaallaabar  rrtft..  Dl.  B.Ktgaaac  .It  Tlalaa  a«haa  fraaadaa.Jia 
laiwls«t»ao  In  alia  Walt  taratr.ut  iraraa,   iUrtta  ala  la  Ihraa  lifaaaa.aad  lalfta 
Ihr  n.ah  alaaal  gmai  atarfc  Ihr.  Terbuad.ahalt  alt  dar  ahaadlladliahaa  Xaitar.Sla 
aar  vaalga  TaahM  la  flaraai*  gaao^t  dl.  Kuaaaa  Ugllah  uad  dla  Raprodaktloaaa.dla 
al«  halabraahta,  aaraa  d.aa  ihr.  Ujll.ha  frauda.     Za  flaraai  truf  tla  al«h  .it 
ihrar  Vuttar  aad  a.hata  bal  Tar-aadt...   Kla.«i  aplalta  ala  alt  daa  Kladara  Ihrar 
Ooualna  a.  ttraad.ga'l   faat   la  OadRalaa  fla^  ala  aa,lhaaa  Ma   Soad  alaa.  graiMa 
Ma.abak   (    far.)   tu  bavan.   •  Hlar  lat  d.r  Kuhatall,   hlar  lat  dna  Haaa.dar  TSMrftaa- 

!!ir*??:^^S/^""*?  !***!L^"  ?*°  '^**^««  ««»alltaa  alah  dla  Anmahsaaa.,  ala  idOI 
TO.  Ibra.  Plaa  auf  da.  Oiraal  arUhlt.  uad  Toa  Jaarath  Raaaraal.    Spttar  fra«ta  .1. 
daafl   Ihr.  C«ialaa,   wla  naa   Ihr  4i.ru   Y=rhalf*n  ktfaata,   .la  a.oata  dl.   Saaaa  uad 
bakaa  ala  rar.prooham.   -  la  grVioUr  ."raud.,   daat  sU  aaa  ala  SlK«aaa  aafaana 
kOaata  ,   fuhr  ala  aaoti  Saclaad^u.  >uah  <iart  noah  aaha  frauMa  ««  baauahaai  Vaah 
dral  aaaatalangar  AbatMahalt  ,  k«  ul.  i.  ilat.r  1937  turOak  uad   s1b«  aaah  Umroih 
■aaanial.  Zu.  .rat.a  Uml  aalt  ala  I.  Laada  var,  labta  ala  la  Ihra.  Zlgaaa.,  ala 
kauf  t.  clah  alaaa  wlaticaa  LUt,uad  rlahUta  Iha  ala  ala  fappaahnua  ala.  a.  Iha 


U     U        I 


i 


10. 

k«nni  pflaniU   tit   Bluam  xfA  .lankta  usd   b*ld  wmr  itr  alt«  lUf  Toll  T«l  i]l1X*B 
Blus«a.  lln  k«llla«i  StU«k  Bodon  rlthUU   itt  als   OwiUMlai^:  h«r,   oaohU  tii* 
Mui«r  BUS  groiMA  Stalnan  dam,   cbnata  d««  3odM,und  ui  Ign  lu  pflUg»»,  kalt« 
■  !•  Srd*  dtiu  uDvl   ^rub  •lalg«  Ual«  tUf  ua.    7oa  frtih  bis  apAt  aaoh  9«naa«mtar- 
gn««  rodaU  ANQI  uari  b«p«lt«ta  d«a  Bodtn  ror  fUr  dta  ObgUdauaoh«a,dla   ala  d«« 
r-.yf   pflaaiaa  wollt«.   Ua   tu  bciAsstra,  au-st^   «1«  daa  VasMr  la  Paokla(na)  valt 
daa  B«rg  harcaftrsfaa  aaa  daa  fadl   (  Tlaattal)   |   aa  halisaa  Ikgtn  leklayat*  •!« 
•ft  30  PaaklB  Iag««r,   Ma  Damthta  ataadaa  sah  a  uad  Mali  uad   ^aaQfa  vans  ftflt 
abar  daa  Arbtltan  r'ni  allala  la  fndl  aar  tehaa  gafikrlloluAffTI  kaaata  ktia  fltfUhl' 
dar  Aafat»  ala  arklirt.  9»  aus  Ihrar  Fhaataii«lo«lck«lt  hamat,   daej  tit  oar  Ur 
AifvablUk  dar  Kaadlunc  lat^rtasUrtt ,   aleht  IHaga  ,  dlt  •atiardaa  gaaalMlMa  k9u- 
taa  araatBaUi  aa^  doah  vwtit*  «ia  graaa   ,  wU  air  alia,  4a9»  al?  aa  alaaa  mhr 
(afihrdataa  Plati  allalr.  tttad.   »<•'.   'ie-n  •rs^an  greaaaa  Aafrlff   auf  dla  Arkaltar 
dla  dla  Uodatrnbda  nt»oh  Athllt  bautaa   ,    i(irt#   AJI3I  dla   Sctflica  nih  raa  flektaia 
•la  allala  auf   Ihraa  Ua:*   arb«llat»,   Dsaala  flal  Mordaahai   E«f.r  ,   daa  Mlatin 
Uaupt  dar  Omppa,  r\lt  daa  ANGl  aft  bl»  tiaf    la  dlt  tlafa  Maeht  hlaaU  Itea^lJ-lkl- 
■ad  galanit  hatta,  und   dar  bat  dan  7«ataa  dan    "oa  aagab,   Daalt  arhialt  41a  kl^la^ 
Umpp*  •!•••  gafihrllohao   Stoas.    Ka  kanaa   gvar  vlala  Maua  kai^al,   i\»  tlgll^ha 
L«baa  var  aiaa  dnbarada  Badrohung. 

Nach  dar  groe'aa  Cpnaaa-.c  •1*>r  Tachan  und  BafaBtlguagearbaltaa  aricrwkta  JUfOI 
••ar  sehw«r,   %cai.«nlun/?  la  hoh»-B  riabar  alt  groatan   Co^-lar«an,   Vie  aaa  «adll«k 
kalarla  aatd*ekt«,    iorihanlrn  -  »-ir  j  a   in   L-^nanixjaf/ihr  und    •ealU'iiallch  Ub«nraa4 
•  lo  aueh  JUm,   vfi-*  Jla  arata   c^rodaa  rrrachalt  alt   ^tudeatla,    r^at   lar  Tarmd*- 
rung  dar  Aar>ta.   In  dar  Zait  f«atlfta   alcn   ihra  frauntlu'rhaf  t  al*.  alnaa  dar  Qiaaa- 
rla  (  Xaaanul)  Dov  Isriar  aabr.  Ala  aio  dns  drota  litd  «.l«Jar  apaxiaraa  gakaa  darf* 
ta,.  baauehian  ale  dia(Bllltarlsehen  Wchtar  |     'Taflrla  Toa  Jaaroth  la  Haifa,    ala 
baglaltata   al#  aoch   xua  Auto  uaJ  irollta    a-jhan   aallat  h«rauf atalgan  auf  pltftillakkr 
Sahaauslit  nnch  <'.«?  Ort  und  daa  '.'anfshaa  .    D<rr  f  nd  as   lu  anatranc^and  imd  klalt  ala 
lurUak.   Aaf   llaaar  \atof\hr  Toa  nn\fn  naa)n  Jairoth  kazaa  ron  dea'l3  laaataaa  daa 
Auto  12  ua,  dnruatar  Do«.(91a  Aribar  kattaa  daa  'H^  ranaoaart  unddaaa  das  Aaia 
aagacvf  ••  )01aa  'Jn^lUtk  lat  ala  aataahaidaadar  Xlaashaltt  In  ANOI's  Lakaa  ga- 
vaaaa»   ala  angta  air  daaala  t  Bis  Jatxt   tmt  aa  laaar  our  aadara  ,daaa  tJaiaa  imr 
gallabta  Vaasah  flal,  dlaaaal  alato  aalbat.   lah  waa  aiiah  daalt  fartlgvariM.    Ua 
auQhta  daa  ?latt  dar  dsaala  aa  aaiataa  gafihrdat  amr     Aamnt  Haiioraa«k«af%aii«i« 
an  allan  aehvaran  ArbaltapUtiaa,  und   iroti   Ikrar  grsaaan  llaaaakalt  faai  altll 
auak  dort  allaihlleh  alaaa  klalnaa  7raaadaakrala  ua  ala«   te  Jabraatag  4«a  Uakar* 
falla  f uhr  ala  lur  Gadankf alar, und  rtn  dort  aa  traaata  ala  aloh  alokt  aakr  raa 
Ibrar  Landsahrft*   81a  pflaaiia  aaua  Biuaa,   dla  altaa  hattan  dla  Arabar 
aaabta  aloh  nauaa   3aaUaalaad   luraaiit,  kaufta  aleh  alna  Zlaga  uad  alaaa 
flag  nooh  aiianal  In   ihraa  fuopanhAua  dlaa  Laban  raa  rerma  an«Abar  via  aa4ara  dlaa* 
■al.  £a  Tar  kaina   "ru^^pa  CIlaMgaalantar  alt  lkr|   taltvalaa  var  dar  KUbar  Baik 
Oraa  tm  aalban  riatt  und   ANOI  lift  uatar  daa  Lira  t!nd  daa  wngavohataa  Ottrlaba. 
Ala  ala  'lana  fortglngaa,  var  aiaa  s^oaaa  ilaaaakalt  aa  ?latta,  aur  aaalft  Fad- 


llaa,    ralaahan  d«nan   rvar  f raundath^f tlleha  Naakbaf^ilainiagaa  harraaktaSf   abar. 
d3«h     )i%\n9  Oaaalneaakalt  dar  Idaaa  uad  ::iala  via  frUhar. 

Toa  Tali   iw   Za[*  nun  atlar  ANGT  rua    Ihr^i  Bar*;  haruBt»rt  Ihra  fraaa^a  la  ba« 
stieban  uad  a«aa  Tntft   tu   aaaaala^   d'.a  aaaaa.-.ll9ha   Slnrankalt   iu   tmgaa»Ja4aab 
nAch  kartar  Zalttr^a^  aa  ala  laaor   >ladar  turilok,   ata  Vonnta   tlnh  nlabt  traaaaa« 
ala   gahCrta   ni    Ihrar  r!rda  und  LAaJcra#ft,    Ihr   Saalina  uad  31j«aq  fordartak  ala 
turtfak*    So  lud    ala   alia    Ihra   ?rfu«da    (u   aieh  ala,    i%ha  rlala  Oista  aBf,aa  ala 


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aa  Ur  BlumtafUllt  uad  3x^h^  d«r  Uadathaft  Uila«bitn  su  !«••«».   Si*  JUlte 
41«  TltlM  frUeht«,  dl«  dart  wllrf  vmoJiMa,   —\Ut  rou  Un  BIusm.  J«d«  H«kl. 

n.r  J«hra  lang  Itb^a  AMOI  .uf   lhr«i  B«rs*l  TUr  r«loh«  Jahrt.  r«l«k  « 
Xrl«b«a,  aa  Uid«a  uad   m  fsohaao.   Ta  dl..«r  .::alt  kn  tit  raai  w  Uirtr  airli.. 
ftUtlgan  7alt  wrtlak.   81a  U»  Mhr  vaalg,  abar  la  daa  aaalrM  WcJit«««.  dir 
•la  lltbta,  fasd  ila  daa  Splajal  ihrtt  •iganta  teknu  Srlabaat.   U  mr  Ikr  ul 
Zalla  aalaar  KarU  aUka.  Tla  aln.  Offaabanin«,   Oa.taltuag  lUrta  alfwaabarJS. 

ftmiaa  wlr  aaoh  .la  ralaat*  Tarhaltaaai,   iotaalac  Kaaaahllokaa.aUaa  aaaarar 
ltr«lf«a  7ru«htlftaiat  tvltihaa  Strca  uad   Caolala,   -  •  Olata  Stia  ma  Aaa 
Xlaclaa  U  dar  Oaf  omthait  4ar  dl.hUrlaaiaa  Spraaha  ,  aathialtaa  ASOxTBa  - 
ilahaag  tar  XHa  and   Ihran  Dlantt  aa   Ihr,  i;ich  fUr  dla  fala.ua  OabvUnaMa 
Ihraa  Irlabaac  faad   ala  Auadmtk   In  aalaaa  Brltfaa  uad   Cadlchtto.  iBmmVmZ 
•raatttaa  Ihr  diss*  7«raa  algenaj   Spraahen. 

OU  tadara  (,^.U.  Urar  Krif ta,   tu  dar  tla  alt  frottar  frtuda  flak  Ml«ak- 

bakaaata,  aar  H«.r.  J.daa  Abaad  a^^  d.r  Aro.U  laa  .la  200   /«rsa  uad  JuTvU 
wlad.r  4aa  •lailcartl,,  dU.ar  Jalt  ,  daa  auek  ila  ^Itgaprtlf t  hatU.aai^ 
irat.  dar  J  •!••  J*iura  da.  aahalabar  Tar.lakaaa  wurda  Ihr  ll.r  kla^r.daM  iUa 
dar  aahra  Slaa  Ihrar  falatican  i.li  w^  uad  jiidi.aha.  fi.ato,  daa  fia  >it  irt.! 
••?  .y  "!''  "^***  •'^««'^«"  ^^^•n  <*oah  aiaht  ihraa  Vaian  aattpra^uikar  aU 
cab  4an  taapf  u.  da.  JUdl.aha  nicht  «f,  U.  Ihr  klar  gawordaa  war.daw  thr  4tr 
Talaud  uod  dla  habriioahaa  IlaaaU.r  alna  fr-tda  lalt  daa  Caluth  darataUtaJ 
aiehti  aahr  tu  tmg^n  haltaa  uad  Ihr  aia  aigaar  i^jadmek  tala  koaataa,  aaahtT 
•  la  alna  Syrvthata  -  lia  Sprr.cheehtpfuog  la  dar  habnLl.ah.a  Jcbaraatniac.  4ar 
raa  Ur  C«ltabtfa  Dltht.r.  I>.ar  aahr  baacnl/tlgta  ala  alch  ait  UabarMtsncw 
Shakaapaara,  aiUa  und  3oath«)   tua  Tall  rersueht*  bU  aaalt  el^taaa  XrktUii 
uod  frauta  slah^  v«an  ila  la  Kralt  aialohcaalaatar  Anerkenaunj  fUr  Ikra  ■— fflV 
unf  faad*  ^ 

Cad  dock  drfta^a  aleh  iaaar  vladar  dla  frrg*  »uf,   ofc  ait  la  dar  Zalt  <•• 
Krlaga*  •<>  '•'»  ▼«  Ulaa  Oaaohahan  tiar   la  Ihrar  algaaan  7alt  labaa  dSrfta.ob 
auch  nicht   ala  Tarpfllohtat  a4ra,   la  dan  Xrltja  alt  tu  helfaa.    Sohliaaallch.lja 
rrtthllrig  194J  •ntsr>hloaa   ale   alah,    xua  Mllltar   tu   gahan.   ia  rial    Uir  aakr 
aehwar,    al«h  toq  Ihrar  fralhait  und  klasaiaalt   tu   iDiuiaa,  abar  ala  ala  ilah  aat* 
aahloaaan  hatta,   ath  ala  aa  roa  daa  baataa  Saltaa  aA,   f»ml  auch  la  8ara/aa4.1a 
TorbaHttuagala«ar  alador  alaa  wlrkllnha  /rauadla^  la  Aagyvtaa,   la  dar  «at«, 
arbaitata  ala  In  alnaa  Xr-vakaahaaa  ala  Sahvaatar,  aaah  aUaa  L'ooat  TafAlaaaia 
dar  Ihr  ri  laiaht  war,  ala  Xaahtaeiivaatar  iwal  iJoaata  l«og,  uad  var  aahr  gUak* 
llah,  rtana  dla  Pttlentan  ala  llabtaa,uad  «la   iuraij  Ihra  grassa  Hlraarga  Uaaa 
dla  Sateaariaa  atwaa  arlalahlara  kannta.    aahr  arfHllt  kaa  ala  Ui  Auguat  faHlak 
rua  Urlaub,  Dls  ^a'.t   aahlan  Ihr  tu  kart,   ao  Tlala  aaha  frtunda  lauaaia  ala  aalMS 
uad  doeh  taah  aach  dta  Laad  und  dan  'ilaaaa   aohajaa«   ila  aratan  Abaa4,ala  ala  aa«h 
Haart  gakoanaa  »ar,   tla  hatta  gamda  Ila  Siiaiiaa  la  ihraa  Lift  galagt  uad  bal  i§m 
Trawadao  Ta«  gatrjnkaa,  llaf  ala   aaoaall  auf'a  Uad  hlajntar,  und  ala  fla  €m 
altaa  RaaaUua  nah,   via  ja4iaa  J«hr  Tollalr  .allaJoaa,   atallt»»   ala  daa  ^at«a  lar 
Salta  aa-1  klattarta,   wl»  Jadvt  J»hr,   hlaaaf,   aua  daa  rollaa   tu  7fiaakaa«(iiaZ 
v^r  ▼«•  i^iadhalt   nn  gawohataaaf   ila  h<2cbat«ii  3Auaa   tu  Itlatttra^und  raa  alaaa  Art 
auf  ''an  wnA9r9n  tu   apctngan   ),   r)«r  \at  aar  aoraah    lad    UOI   f  lai  ran  5  Matar  HBka 
ttjf   laa  Eta<*nrobr,.Ur!a  ala  BaTAHi-tr.n^   tu    Ihr*-j    Mrtan  fUhrt*.    5la  aarkta  tafart 
daaa  ^1«   5<illlhBt  wur  wi»Jdaebt«   imoo,   d^ita   aia    ',l«-ch   atarb^n  ^rata  und  dar  3a-. 
daaka,   t>o  aft   frUbar  i^adaaht  ua^   nun  gaaa  vlrkliah  and  nab,artahr«akt«.fl« 


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d1.Jt.r,.  54UB.  H«,  wo  .a  J„n  u.rat;S>nr  ^^^  ^r..  Nocb  OliillLI  JJ  2! 
•rlBit,  •!•  ttb«r^l  das  y«g«r  aua  war.  bmi  wv  wit 


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l«t  a«  Mdar«»  adcr  aloiit  iafdllt* 


abtttaMB  !«•» 


Kir  -aat  a.  aieht  aablaaht,  rial  baasar  ala  lah  ar^rtata,  •mtaaa  vohl 
waraa  »al«ar  Stah*«Mf»UQi>haa  Hetar»dua  jlth  Arbalt  la  Triibllar  uBd  ttiua  4aA 

irUier  fr««t  und  *<r  Uba«»fraiat  tUneaat  -  r^lUa*  »aU   Ich   jla  mitmng 
Bleht  etifK«f:aban  hiiba  ,   aa«  wonl  Urlaat  gaauc  lat,  «b«r  lea  kaaa  ntUt 


laM]l»H  tr  f  toi  alth  wfdlli,{  «it  I  (   Uh  r«r  «U  i«B  ZmI  la  d«r  IWAi) 
u««l  ncCi  atum.nli'ar  sata  i«a  b1;   ihr  •Il«iat    alt  hat  nir  rial   und   tahr  %ttm 
rm  t'th  ar«Ahlt,  tdr  aUo  ca  artaMitUmd»  »Udar  •laa&l  aU  "llak  la-daa  ib- 
rru-ad  eoaeabllthaa   icMaa  «Bd   Cchlokaala  -  daa  bUfi  ^Ir  iacar  auoa  aala  •Immi 
•■ahr  a^ntverdaaaiwad    la  u«r  Am^iir  l«r  ▼t»i«o   tu  aab«a.    Jnd  dltM  !«ha  daa  M*- 
9*%§  rj   alaan  MarrciMn,   .Mr  «lBoia  fo  i:«'**lit,   bat  atrf.  b^.'lJ^ktniaa, 

Ja,   l-^b  batt*  •.naatiloa  X«la«  Zalt.raat*  ta  abar  glaUh  nai  daa  Oamittii 
-•-f-hflrar.   ,i«d  wf   ii.,.  i«i,,  rl^,  i^  ,r,^  .«  >  5  tm   UWuWh  ^<  ,U  —Xikm 
«tjna,  'laat  wir  un«  ka*.^  «ir  daa  d*^**  ^\IU\  kaaatan,  ^r  ".»«1  dla  ktalaalitMl 
T*rr^aSnn««a  anehta,   una    lah  Xaat  •nrartatat    i'.r  atlrdaa  alt  i«a   '^tara  la  OmWa 
luadan, ad.r  •■  vuntan  uA<    /lil<ai   vaeaaaa  ri«  I.    Lvi-M  Xnaht,   ;:int»r  dar  Gbaiba 
i*.-ma    *a^aa,di>Bn  ^<a-J   St.«fef laa%«rala,   St«il#*<      ^^^    '.•'^■•n  St.   a,   ta  4aaa  'jfc 
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!*a,   tfl*  Ihr  di«  pri«s««utt«r  •tua4*ml«M(  arAidtaivaaa  •!• 
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^A«anxl«n  ""^  •,  w^,  .,  ^,ii  «ad  V«fr«u3cwi«   «iak  alt  dar  fflaga- 

■Hti«r  and  1><  tval   Sahuljaiira  aatarrlslitata  dl»  Pfltra- 

■attar  •!•  aalbvt,   la  alaar  klalaaa  Ontppa  rom  dral  JCladtm* 
AJLla*  ami  alt  dtr  Pf Itgaaatt'^r  in  PvdJhrung  kMiflabta  fUr  AHQEX  aad  war  alaa 
ruhlga  «tUla  r   '-  ^'.    Dt«s«  /r«u,   di«  dajMl*  vahl   sahaa  fraa*a  Sargaa  hatta  umi 
ala  •iatanot  U  arta,  ▼•»«t'<ad  a»,   Jada  Mlaata,  dla  ■!•  alt  4aa  Kladara 

TarVraakta,   aa  alaaa  ifaat  t«  gattAltaa*  IMt  Siakaufaa,  i9r  Mattar  da*  Karb  tr*> 
gaa  dUrfaftt  d*a  gaaaiaaaMa  Koahaa  ua4  Raakaa,   all**  varaa  vi«btlfa  Bral^laaa 
In  ANTI'*  Ti^»M*  Stlaaaar  «■  laaatagtd**  r*i*rll*ba   la  di*  Kirah  fakaSf  41* 
k«rrllab*a  Aa*flUK«   !•  dl«  HwaMtlfhl*,  dl*  *lalg«   Stuadaa  wait  raa  Martaarg  aat- 
fvrat  war  ,   uad  dA«  Plliaauahaa,   bal  d*naa  *la  Jada*  Pllaaliaa  uatarsahaldaa 
laraU.   km  AJ^nd,  aaan  dla  Saaila    mtargiag,   durfta  AMOI  aooh  laaga  rar  daa  Kau- 
aa   ■pl*l*a,ayid    xiaa  aar  *la  ••  glUakllah  Ubar  dl*  JMiValialt,d-a*  at*  faas  Imt 
aaliralaa  misnt**  Mit  daa  Pflagabmdar  Tarbrnd  sla  alaa  algaaa  Ptiaataalaapraaha 
aad   gr»m—  PaplariMppaSf   Robfcata*   dl*   Ihr  •Igaaa*  Labaa  fUkrlaa*    tifr  cahSaar 
al*  alia  Sylal*  alt  Klndara,   aar  a*  fUr  ■!*»  a«aa  Ikr  dla  Pfl*g«Mittar  raa  iltfar 
algaaaa  Kiadbalt  uad  Jagwid  ariihlia  und  ▼*•  Japaa«   Jada*  Vart  aad  Oadlaht  tet 
*1*   sl*h  bavakrt  uad  dl*  Zalt  dar  frtlharaa  Jugaai  1st  fVr  AKJI  dla  Xalt  daa 
▼allk*nMaaa  «lQaklialia«l«  naaa— ,  41a*  vaaaah  ala  laaar  tataaavli^  lMtta»  via 
iaa  ^9rl»r9i^  Pai-««;i«at  blLab  Ihr  dl*  li&rburgar  Z«lt  la  d«i  rabr  alafxabaa  Haa* 
tiaablld  da*  arfUlltaa  Lab*f  ,   d**  Ralabtua*  i9r9r,  dla  al«h  baaalMUaa  mUmmu 
U  Itt  alaa  aaah  nlakt  Tarwaadarllaiit  daa*  ANOI  sleh  al*  arkaadifft  kai«   aar  Ihra 
ntara  aara«,   •!•  lltt  twar  aahr  uaiar  d««  fraaidlladlaahaa  llaMtt,da«  la  daa 
kltUM  tttdt*h*a  alaaiuid  Tar*taiid,  abar  hatta  U  Oruada  ala  da*  OafUkl  dar  ia* 
dara-halt,  al*  •*  rUla  jUdivaha  rindar  la  *hrl*Ul*haa  HUlaa  katt«M   'l*  *«r 
THlllg  tagabbrlg  au  dlaaa*  fbiuaa  uad   glaubia  ahM  Jadaa  Z«alfal,daa*  balda  XI- 
tara  bal  a\aaa  KHb*baa  la  lUllaa  uagakaaiaaa  aalaa  aad  alaa  TaravoMt^fdla  Ihit- 
tar  (   gaaaat  F^ttln   )   aiah  aa  Ura  Irtlaltojah  klliiMrta* 

AVOI'*  Tai^r  aUrb  1917.   W*  Ihitttr  flag  dsMl*  ■**  K*«*taatlaar«l  •!•  >t»^- 
kmrntUm^^  ••^  ^^  '"'^  3roaaa*  galal*t*i«apitar  arbaltata  al*  U  Barlla  la 
dar  f«taaafsfUraarg«.   8la  Wtt*  aialt  la  fald*  alt  alaar  adallgaa  Kraikaapriag»<- 
rlB  l««lg  Wfraaadat  aad  baaahlaa*  apltar  ala  Haaa  la  dar  Mlka  vaa  lOa  alt  Ihr 
taaa«aaa   «n  ka«faa.   la  dlaaaa  aahr  a«MMB  UaAhaaa  la  iarrllagaa  aaraa  rlala 
Wdaataad*  Maaaeban  tu   CJf.*t   ,   alia*  fraaada  dar  »ttt*r,ala  gr9—r  Irala  aahr 
kaltlTlartar  and   gablld*t*r  Man*ah«i.  Al*  dl*  lhitt*r  daa  Baa*  aa  *«ktfa  aad  ralah 
alaaariahtat  tatta,   aateia  *la  alah  daah  aaah  Ihrar  Ta«ht*r,  wad   al«  lad  si*  ■• 
daTgro.Baa  r*rlaa  *la.   AHOl   fuhr  -agara  f.rt  ^*.  Marburg  iad  fUhlta  ^*  f-^ 
fraaT  u  ilaaar  ralahaa  bOrfarllah  garlahtataa  ^^•'l^J^*  "L"*?.  Jl.'!!l. 
ktftig*.    Ut.a*lTa  H-tUr  aar  Ihr  frairf.   Aa  lida  <•'  farla.  aagta  aU  llM-,d..a 
Sm  Jal  U  Harrllaga.  bal   Ihr  blalbaa  ^rd*  aad  la  Ula  »'•  '^T-***!*  f*,^«-« 
ia*  aar  .la  gr«...ar  tahlag  fUr  dl*  .faa  kH^i   bU  war  farahtbar  ^''^^'•*J»^ 
daa*  .1.  aft  flua^tpUa*   .tteladaU  uad    .ahr  aa  dar  Sahaaatht  a«ah  dar  gallab- 
taa  Pflagawtttr  lltt,   A».oh  d^a  darahgaUtlgta  Mlllaa  aar  Ihr  '•'^^••••/•*  • 
daa*  a\*  vaa  Aaf  ^«g  .n.<*U  ?r*«adla  dar  liutt*r,  dl*  aah»aaJ>.dr>i«,«Uht  l*ld*a 
k*aata,aad  «Ma  AMOI  ala*  Aatlpathl*  alaaa  Maa*ahaa  gagMObar  *apraaA«Caaa  wmr 


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rrwi  Hwk  iiiifcli  MklUrlltk  Alt 

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ttUftnt  loii  vnrvttiMbilslM  4M0I*t  r«ia«v« 

tfa  fVUlS  ««fcrlo«,  Mirf  aXs  •!•  •liAliali  !«•  Ula«r     ^  -^,  .^  ,^ 

fK*.  AMI  Uff«t«  i«  tUMr  KMb«M«iMl«,   la  Ur  fMUM  K1a»m  !•»«%•  mt 

MldthM  MSMr  Ur,  iU  tibilt  «»r  lunti^m,  U  4«r  ««■  MMl«r«  mt  A^mku 

•U«  U«ht«M  hat  vr  urn  .i«M  ftbM  Mm..  ZMt  ktkai  .U  mIv  H^TTLlirWrdlr 
MilUr  MMi  4«r  f»l«tifM  AteMpMU*  ia  ■»•,  M«  l^^lt  m^  fOr  AU 
•*  'Ml  ^i*  <«<Mnite  iMipim  4m»  l«ttW«>rk  «ai  41«  raMfitrtaft  alt  Am 
PIUh9f>  fir  41.  •!•  iMk^fibt  •an  wla  MatJMaatU,  b««liltl«t«  •!•»  ia««  sU  4IU 
••aalafUkrwivM  aUTa^k  •tt»*«adit  lamta.  UaWtWifi  wr  tkr  INaifctali  «ad  U  Wk- 
liakktlt  MaMaitf  tw  Iara«i  fkHmmmml*  Ma  Ifeittar  aaakU  aia  U  4«r  Ui\  aaWr- 
^^^  ^^  ^^^'  alcaaaa  Wait  Wkaaatf  l«a  alt  Ur  tf la  iQLaaaUar  md  •riUIta  Ur 
Bla  kaaata  MadarWr  araiklaat  aall  ala  alali  paa  iaa  Mil  «••  ^^kltaa 
vad  laact  laiiakta,  rfla  sla  aalkat  aaa  «aa  tMlfrair  AidkWta.  ja  aaA 
alaaahak.  U«  Haaptaaalw  aaakta  aU  ala  ait  4ar  fKaakiaakai  Tiji^  ill  ka  - 
^•■^^  ••<'  ■*♦  Oaania  -Mlcktaa*  la  dmr  Zalt  larata  41131  rial«,Tial«  CMiakta  aaa* 
■■■"•i"'  •*•  *«^  **^  Ufcaa  Uac  WsUltataa.  Xlaa  Uit  Img  aar  «»«k  aU  «iaa 
•aavf*  •■Mttirta  wla  4ia  Hkitt^»aad  kat  4aa  Mi^mali  aa  wakraa  Aia  «M  MaM  aia 
vla^ar  au/gafiWa.  AbM*  aplktar  lalMta  nU  daali  iia  f  rtovniaiMM  <••  VIkrwa  ala 
gHtllAM  Maaaakaa  aakr  ak,  aaa  tlcfaa  «  rallflKaaa  Oaftttt*  ittwua  aiakt  U  aa- 
S!."!??!*  ■"•^^•^  »^«  «tUlah«a  aiaahaa  Aaif .  ta  mi  aar  tM.  teada  taU- 
kaf tig  aird,     Oi«  tifantlwit  Oaarfaa  i^ra^M  aar  fir  taMr  -rrrMiitiat  for 
mm*%  ltalli«c  Bar  fiaMM^r  aatf  l|at  Uraa  aifaaaa  MU  ««l 

aiafUaati  iMa  •la  aaah  i«iUr  4mi  OraaAgaAi 

vaaigaa,  «la  v«a  Otbart  aa4  Idal  Aaaa  kaHlHt  aiai  4aa  vaaiatta  mm  wm^^mm, 
■fcHl«>i»t  kat«  Uwl  d«aa  .l«t  d laaaa  Bakaai««ardaa  u«l  llMrfWiil  aatiaa  U  4U  fait 
4ar  «ittar  rm  frVastar  BaAaaf 


IkrataiaM  klaUt  aU  Uraa  altaa  llarkartar  flu  ilwkiitaa  traa,  «•  Mtlta  aU» 
aia  aiakt  aaUat  «aa  Haaa  aafviaaHaa  kasta,  aaU  ala  m  fvttli  aaali  lUa  fak* 
«iaaia  aad  aa  ja  «a«ic  Badiaata  fak»  aa  ataai  aia  Saaataca  fitfk  aaf«aai  aaaa 
aak  aalOlaraa  ,  kaita  lia  Mkaa  4U  Tva^paa  gaaiaalrt.  ▼«  OLrtMr  larata  ala 
«*"*^"*«>k^  ••<  vaa  dar  rkakia  Ana  Kaatea  Aar  falaaa  l^falaaa*    "Am  «ar  Mit«llai 
«aa  Davf  TWrairaralaatkia  iia  Muttar  aa  ikraa  i^taataaa  alaaal   f^.iaaa  fia  9r«»- 
aapa  laviakta  atMita  al««ia  aUikitaa  lauarajaafaa,  uaA  aa  Ur  nr  ^t«r  aet«r* 
aaaia.   Ua  AMC  14  Jakra  V#«  w  MaUl«akaa4,  4«k«  aU  kalkaa  Jalw  an^Maa  tfia 
Mittar  ala  m  almk  gaaaaiai  katta,  vikarta  aia  Ur  4U  Oa«ahl#ita  Ikrar  Oakart.U 
aar  aia  ^m%—t  Saklaf  fUr  hMOl^  4a  aia  4a«ii  4U  ^lafMattar  tUI 
kia411akar  lUkta  ,  aai  4aa  fraaia  ftifUkl  4a«  4kataa4a  4ar  itettar 
9Mia  tlk«rvla4aa  kaaata.   lU  ^pAlta  aif  4-aa  aalw  alt  OaviaaaAakiai 
Wr  aaflMi  ala  aiakt  aakr  41a  kaidaa  Fraaaa  aa 
Vaiaa  aa  11 


»aaa  aa4  vial  lyft. 


«M  )a4a  U  Uvar 


/  /       /     U 
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Is  •iMr  Vt■t«nl^•llt  «ir4«  AMI  kw«f  l««a*ri,  nwl   tkmthl  Ja  «!•  IktUr  «l«lit 
r«llil««  «ar  «  ua<l  mt9k  ki*<n  kmm  Bovkt  wr  Aomh  UXUm  «!•  f«si^r9««  4«r  klr«l^ 

4ma»  4U  liitWtf  AMGX  fiMtKli*  aicftUrW,  tfUs  «wr  fUr  Wi49  •!«  laatlcvt  F^at 
lUil  ▼«  4a  «a  »••  4mu  AMOX  X«i%«r«vi«a  •   Xa  4«r  Ult  «yr4«  •!•  M«k  U  4lt 

CMM  ^mUU  4«r  UuiUr  aMf9MMw«a«  wtMbM  <«■■§  Mi|gLi«i«ni  •!• 
rsil«bM,  liiWv*ll««  fVrMitaU  terrMhW. 


wrMU»«M««  wit*W«r  kufsb^r*!!. 


# 


AIM  imr  ia««r  ft  111  a«4  mn^klmnmmm^  wigwWvr  liU40b*r«li,  •!•  m^ 

Urn  U  0»(fy»  dvr  IkitUr  Uiv  OiiiiiiiB  ,  liUr  U  llrar  aatUrli 

Mii  la  «9r  UaktftrrWftet  «••  »1fMM  tesifwdis  wtflbW  •!•  grMiw 

Pf  Virwaitm  witf  ••  WctaMl  rm  bIImi  •!«  h«nllttlM«  V^rMUtai*  n  Ur, 

Aa  4m  l«MIMf«Ua>i>w  *t»t»wril»— 1  ▼•rwMtolWU  iu  ltett«#  Um  -wid 
A^m4«»  m  d«M«  •Ul8«  gl*l«halirtf«  r— fc—  «i»4  Mi4ili—  mi«  Am  Ovvf* 

■nth  Wl  4m  7M»mmtmkUmi\mm  DU  U  JlUirl0t  AMU  wrllakW  slvh  U  ««i 
Md  var  WnMMM  tm  i«i  wmm^  mkw  •WvIcm  OtfUld  ««r  Ll«to*  Mmi 
••r  S«t«  A«r  MWhMi  aipMiiriPti  sMtto  ANOX't  itetWr  »  via  vtMk  4U 
fir  Hid9  wr  mi  v»f%«i  4m  wtWr*  tmwmmmtwtrm*  lU  Jakr  ki«lt  sidl  AMI 
Ml  4a«  nrto«t«  fla  Jakr  d«r  PtiUrUit  tiJurikW  •!•  d«r  lluiWr  »  dU  fBrHitatot 
tm»»  4U  grMt*  UU«M«h«fUl«kJi«lt  d««  IkWrtf  •!•  m  frUk  ^iMm  mw4§  Mi 
•pAtofi^  VMM  A^OI  itaf^  d«r  lladtkf  «HMMhMi  m1,  sU  4ur«Ji  4*«  f^vi^ 
4*r  f««||»  r«»Mla  «Ur4«*  »i«M  4iit»t  «ar  aattlrlicli  Wratktlgi,  ai«  iMHf 

Ll»k«  ivlMikM  ^i4««  vMt^,  vM  •!•  4wrtk  htiallfte  faUiMB 

^*m*  fc«  «ar  •U  pas  gUinia  late  4*v  IllfW, 
iffMff,  ••am  ANOI  IWr  d««  OartoafltWr  U«ti«ri»»iM  all  4«a 
VBl4»HuUrp«t  M  aaaka^  aiUrmi  41*  lAittav  aaali  MlAtaC*  ^'< 
laac  kat  4U  Aac»i«  aaa  lOhnia  aU  wMa^kaatAMI  U  4m  lalAaf  hla*U  MrfiAfi, 
•yitor  aavfeW  41«  IHittar,  4aM  Ur  T^rVat  4Mrolikr»fiMa  mrda.  abar  aU  kUIt  •• 
4Maaflk  aafraaki. 


Vvv     #V^1P^     a  V  V  w*ia     w^a^' 

wrfllte*  4aaa  4U  LI 
aai  wLp%  aad  ale  u\> 
4ia  ■  BMhiiliiff—  aa 


Maaa  9rtiU  Eaaialiaai  WraaaMW  tMOU  yalltfaaiaa,  aU  ««r  fraaaaalaa  la  iimw 
Uiam/^9  «•<  t>  <*r  <^l  •ia4  aakl  aalMa  41a  aralaa  Oadtahta  r'riaiii    IM 
W  tett*  4aa  OtfUkl  daa  grtaaia  Abataada  t«  AMCI'a  MUia«  aad  ^krfaraM  T«r 
■apateaMP  va'  niklia,  daaa  4U  Biadaag  aUii  lUaaa  tAtiU  u«f  faraia  aalaa 
varaalaaala  AMOI  m  BataaavaaiM  d«r  Traaa  aad  AaaiMar^la  dUaa  Zalt  f&Ut  ASaia 
AMtart  ala  a4iUaaa,  iMiWraa  Akaakiadafaai*  dia  9e»im  Salat  aaik  WfiUa  U  41a 
graaaa  tta4«,  dU  d«a  DaKklad  falav&lili  uad  uakataaia*  atalaara  uad  OfavaMa* 
lifk  aar.  Uad  4aaa  dla  Tr*w»  Mak  dar^kifcaafl.  ANOL  aalnankW  ivlaMai  MiiUta 
mi  a«9kUalafi«  ,  aad  akhlia  aakllaaallMt  «aUv  4aa  SiaTlaad  4ar  Hattav  ^h» 
U%tU.  DU  Mittar  varliaM  AaaaXa  aaM  ■trrllaiMt  airf  alt  _    _ 
Fralkavf.  ffM  AHOI'a  •rmtm  laaaatar  valM  lak  a«il«>  aar  4aa«  sl#  alt 
flalas  aad  Elfar  tu  laiaaa  aaflac*  abar  alak  aMa  ^ia»  mil  ala  laaali 
4ar  Llaka  au  dia  ■arrllaaar  fraaada  faaa  aal 
aa  tte  kl^n  «a  Ika  alaki  aak  au  tva,  Akar  1 
kiatav  Tiraaaaaswirltk  at  liakaa  aala  •  lada  4a«  laakaiara 


Ikr 


klavari 


4a  ala 


Ma  Mwa  4aa  l%a41iiM 

Oa  daa  ^lata  Aalakiaa  d 
ykUOafla  aU  futik  Ut»  ma 


AROI  mr  ToUaa  lHal4kiaac  ihmr  H9imXimmiU 
■alt  M  kafralffa»rf»Ma  air  avratakai 
aar  avalct  iaaalt  akkltaa»aad  kaaaadara  to 


I    n    J    n 

I     U     L     U 


fir  ?«Hf»Mkrl«WM  mrm  —  vittrwlt  «•■!•••  Ai»  '^^ 

AMrilgiir«i«  D— InlB^  i»tinn —  «ri«iu  rtr  AUmi  Kr«lt  fcatW  4i»  «MIm 
lilt  •!»•  ■^•r.^lUlifc  U4m^tmt»  <!•  Ow«*1m»  '•fJ^'T^i^iJ*!?  "S?^ 

ftitiiis  4*ffWr  MSMN  «M  ft«klA«a  •!•  UttUt  Utfa.«b«r»»,jiMyi  -^>>*y 


fSrlnr  U«M.im  AfWit  »Mkt  AlOI  Bi^  ^•m  WAt  »  •i^t  •Wj«  ^V» 
irimmm  Mi  i  a.  U«Wn»lUl«li  -  gilli«iM»  ■•  ♦!*««••  »  ^^!*!*  *•  JT  5!i!' 


iiinioJ  'fUi  4.r:iit  uiii;--;  •i*'-^** "' iiriis!!  ^La«.  i.  *%. 

rLil     ..mi  T-  Bl»t«  li»te,  -mi  kt-W  iU  ^•1«H  -a^  'r****  JTUV^- 
«»iMAffU.  •!!••  il««  fcat  iM  flhar^Ur  mkr«r  H»lUrk«it  ^  .*—  -«* 

!feL^I^tlI«kli  %«i.«i.  »..  ir^M.  aa*  ii«.«r  tU4§m$Bk^  ~V*;"  ^f,^^, 

^•imMto  fittMw  wufc  «ii«-  ict^i«  ?J2^  *ii,2sip  !!•  5!*i^ 

nTTlJ^Titl^  mr  mm  mU  •U  !•%•»  Bifau  «Mr  r— —  «lllifcw«iW*rft  ■« 


KUii*«« 


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•VMM  ItatMfi   i>  awOfcM^  •«  kawM.  XlM  MMfet  ^ttlvt  iJM  U«MM>Mr«i  Wf»»- 


41*  ^mUImm  rm  ri»\m  r 


II      J      J 

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!«•  %«U«  mi  l«nw  Mik  aAt  B«f»lsWff«af  alU  1   ■!!■■  ifct«lUA<r  vm  siri 

itMhaUMc  ■■■■^■■■■■,4f  >l«kt  ia  Ikr  mXW«  bla  wf  ••  !•%•«•  fwaift  w 
varw  ilv  «U  fM<i>HMaa  41«Mr  smm  Ukc»MHWlBMhaft  ■HrMk^idl. 


fratt  ter  Ut«v*MHi«M  mtl^wlt  m  A«r  Rarli 

■teft*  tfl«  Ml  A«B  ^XXm  Mkr  ilv^a  1^  Mtflllt««»  litt  •!•  «  iar 
««^t   ,  M  «■■  tiinkl,   U  t\»mw  VUliMMatHtft  «Mt  ml  iriii|ilii,ilan 
•Am  ««kn»  lilf*   n  m±m,   tm*  ^t»mm  QnfUk:   hVMS,  ««itfW  *!•  alaii  m 
fart  .  aai  mm  BWmlt«ali«  Ur  tfU^BatrwMiaff  •laar  frw,  atear  ki 
•talVarlm,  <ila  alt   ikr«a  flaf  MMMa  riadara  la  aiaaa  CaUar  aakaW  Mi  «B«ar 
imr  Laat  tiar  Mkgll«tMa  Sarfaa  i^llg  b»  i  ii     iiilrMfc,  4»C  aar  aadl  Imraar  lalt 
nriMJli  aad  lartrwii*  dar  Fr«i»a«  fak  aiakta,  «m  •!•  tkr  ja  a^ftaaiaataa  tiLi%a. 
•ia  IWraaha  alia  aalr*ara  Ar^lt  ta  Itaaa,  auaab  «la  riaiava&aalM  bia  %Ui  U  iU 
■aalrt  kiwia*  kalia  m,%  ^m  aiakataa  traafcaaiiaa  iaa  OWlspaUlataM  laaM  fir 
ala  wmi  aarfta  fttr  flaidar  uad  var^raaakla  aia  OraaataU  Ikraa  Kaaal 
•«kl*U  tU  rraa  U  Wraaa  Akatiaiaa  tvalMl  aaf   ikn  Caaiaa  nr 
%llal    (  atkT-apf   Ibraa  taMaaa  ia  Aar  Baaha  dar  aatiaaal-aaaUllaiiaAaa  arvalaiiM) 
■it  allaa  fiiaf  rrauai^  al^aia  ua^  avaaia  akaa  tfia  fr«a  roa  alaaa  C^UflT  fti  4aa  ■»> 
iaraa  ilihw,   at*  fak  llu-  aaali  !!■«  aiaftlfaa  ^aar  Satiate,  aall  —  tor  saanaia 
atm  )a  aaalg  aaavahia.  aaaa  ala  ait  MrriaaaMa  iakla^gl^a.  Oft.  mm  «ia  kras- 
ka  rraa  aa  ^Ma  aar  ,  ■%■  waala  ala  aatfb  iia  aahnftatailarlaAa  Ivteli*  «ia  liii- 
rtaraac  A**-  HI  iiilarwii     »iaaa  UUfa  kat  kia  a^   AliCI'a  4lijak  faAaMTt*   AMI 
mil  ->i   vpat  aaa,   al*  «la  iia  rraa  vaa  Bartln  fart  aa*  Ilal  gak>aifct  haHa  ni 
Ur  alaa  aaMM  foteuac  aai  Uwaa  aipaMa  frMi«ia*r«i«  llkawlttalt  haMa»  aai  Urn 
&Itaat«a  raakM,  «a»aaa  KWr  jHJlaah  av,   la  aaa  Laaiaataalkala  aaah 


Bali  ataUtaa  alak  Ikr  aaak  aaaa  aatfata  laf|ifcwi.    Ha  aakr  atinaa» 
■MM  liaiiaa,  iia  aU  la  «ar  Satoala  ia  Briaaklaak  aaiamaiiiata»  faklla  Bf 
tl  Bar  naaaa  aad  glag  ia  ikraa  Ulaiaafaa  sarkllak  airU*.   BB31  apraili  aii  Uv, 
a^l  Maria,  iU  aia  gUBanJ  aavakrW,  aartraata  Ikr,  Baaa  BU  Mattar  Bia  «■!  4U  9 
aalMriatar  alaBt  malkr  araUvaa  kaMiU,  aiid  aia  aalkat  g»  laaagaa  mr,  aaaMa  U  at- 
aar  ftfkrik  aa  ar  <aliaa|  Ba  ala  aWr  alakt  aaf 'a  Bkltar  aarslaktaa  aallta,  Wt  Ur 
aa,  aia  yrlaat  aoraakartliaa.   ?aa  A*  aa,  aar  MarU  tBfllafc  ai^ak 
lit  kai  aaa,  kla  tiaf   la  Ala  BaakUVir  arkalWUa  alaaa  rlBktljaa 
•aa,  aa^  aaM  aia  ai  aUAa  aar,   aaklia  Ur  IKCQ  Baa  liakaalika  aat  aU  kliak  • 
Xaag  0MI  bai  aaat  •'  1*^  klar,  Aaaa  awa  AkJI'a  fraa^Aaaaaft  aai  nifa 
lata  a^   kalf  •    Ikra   aakvara   Biaaatiaa  ax  artm#Ba»  ''^t  abaata   aia,  aa  i 
aaffBiaaaa,  Makta  la  IkrlMA  aaftrataa,  a«i  aU  Baa  •rtn^  aia,aail  JMI  Ikr  aUa 
gaiatlfa  Iklt  aafbaata  ,  fral  raa  aUaa  Bakla^Mrlatt. 

Ba  varfUfn  *^  •^^  '■'^»«  ^  kW'H*  i*  a^mb  laiaaalT  wafaflUtaB  ft«i 
mm  ^MMli   alak  aa  Ala  flraaat^t  b^  i^mm  Um,  aia  katta  kUAllaiw  friii  U- 
WM.  alia  itait  -  aad  V-kaka  BlatlaMa  aaaaaa^if  aa  laraaa,  Aia  fc  aiw  aai  Llai«a 
allar  iMtakaaaa  aa  vlaaaa,  aai  aria  aaa  ■ikailUiaa  rm  alaaa  Plat-  im  paiiin 
kwmU   Bia  uatarriaktata  U  allaa  Aral  miakaauMniaayiia  —  la  Barlto  p*  aai 
Ikarall   aaklaaa  a^a  Fraaataatef iaa,  wat   ciaalt  allaa  «w  aaiaaa  ii^kt  k»,aaarta  aia 
jaBa  VlaaW  aaaaataaa,   aakrlak  Axa  ■Bkfcitii   BrViCa  ta 


II      J      J 

U     L     J 


»••  Tcr  !■  «<irU«  wf  frwmmi9  1»  «»r  5t«ft^«lM  mi^  la  telMtt.  Oft  tr^'  i«li 
■l«1i  vlt   Ikr  u«t«r  4*r  li«f««l«kr  m  amnami^r flmU,mwi   aI(B   ■tM4,  4U  MsfH 

»»■  'L»kr«r«uwM  f  fad  im  i««  arsUii  TkffM  «••  A^rli  If  SI  vtatt*  Bi«  M«t*- 
Ml»«flUaisti»«lM  Lb*4L1iU«c  »»t%«  AHai  sit  •!«•■  8«iaaf«  rm  ttllM  i««ir*ia  w- 
fr»lt,  Jtttt  •firte  •!•  Ihrt  Iag»Mrlg^«lt  nm  jliiMhM  t«Uflk«ttl  va^  MkwMU 
rlth  <••".   X>*fUWr  hlaaut  vrng  •!•  a  c«»  AbmUmm  •«  *!•  Tr^ltl«a,W«»«kt« 

•tr««M   fill  *i9  (iaUlgiiM  4««  Scte^baU  •••  UiOI'i  ««rtT«U«i*Bt»«iM  QiifUrt 
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llfloB  «!•  f»«UMisrlc«  Bia«uM»    S«  tmt  si*  •••fc  li«rkl^l«h«  irwA  ««  !•• 
dMi«m  tV^r,   otaM  M«ft  BBr  IrfwU  •!•  0«.«t«  ■■  T*rM«kUMlfM«   ftMSls  t»id»rU 

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r*  Wltwlrt^mg.    I«H  *mr  UmmIs  !■  rrm»kr«l«li,   ANOrk  lfcitt«r  i«  d»r 

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luirh  ..."    f»««  .bbr.«h«»  clt  Ul«-  /rtktnia.   i     f«r«4«  llM»«k«a  .It  4Uy  AT  > 

Ht  £tl-r  K*  .It  «•  tn.f  •»!   U  Ur.r  frM.«.  UWiafilgk.it  AMW't  tl^!..! 
•It  •UbIk  rUflitka  «%rtUllU.   »r,t«  iHGI  Mkr  niklfi  L.<  MtLrllak  ^^^^ 
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U«i,  •^•MlM  •'•   a«k  TM  ran  Ti,rft«kl«*«.t#a  fi^*m4m  is  all**  T^Uaa  >Mi««kr 
laadi  ▼•rnh.tkladat  hatta,   8U  ^t   la  dar  blaj   .3am«la«4a.»  aaa  'i^^V^ 
nkl«i  .UtaUia   ,  wa  mr  labftl.aa  fasyraaKaa  wlr*.   »;^  J^-"*'  "'*"'V,"'~.^, 
katia   .!•  Batk  tar..  ba.«akt  —?   .1.^  iart  aaar  «akl   f  fHkli,   -ar  •ur*.  W  Mlf 

Zm.  Dautaak.  'n.  «.M..  -a.  ^l^kia  ai.  aa^  ^-^ /f  *'  "/^SJ^ 
ZTrvutak.  alia  atraa  ▼••  TlaAkalt  aa  .it  aiaaadar  kakaaai,  alia  m»  fiMikpmwA 
i»Tt    -l.  .rata  T^t.aha.   t.  -mr  uMiXiea  •«*••«'  '^•••^••?l//*t\^  ^ 

Mr  Traat,   aia  katU  .»caka.>«a  Varlamw  "•f/'^^V'^*''^??*   •'"/tL.  ^ 
a.i    itan/u.  i-«   .1.    t»«  ni.ka..U«t*t   .t.iallU   ,  wl.  da.   ao  -^^^•^/•^•J^  '^ 
i«  Aa.  fral.a  tUmdm  \n  «aa  3a^aagariaa  arbalta««aa4  »!•  —a  aa  ^  ?^»%t 
illJ^a  Huia-r  .akr  al.  •   Sia«l-  ar^lf-  .Ol.  war  aia  ..hr  ^i^-»->> 
Sr  for  .U  .la  dar  farla.t  dar  Mr^»U«^-  'r.lk.lt.4...  M  ^>^  -♦•^^H  * 
ri«r  ^    r  gafardaru.  irWlt  dar  flU^^W.  B«.aMfti«ua(  •••"^'J*^   *-^ 
••«  Oa.aM  »   rflafaa.   Saal'^  «a«r  tmf  ••  •••^  T!.T.!  AlJmuT 
••kUat  •••kta.  «a/  daa  auaK  vaa  Ur  ^rlaaftam.   B,  ^rda  a>a  <iaaa.  mi 
SliL.  1— r  iUr.r.i.*a  -la.  .i^t  d^  *a*  aai   ,    ^  •'•^  11^  ITli!^ 
luk.   trtt.  frc^t.T  MUdl^alt.   aad  da.  ?ar.-.^-.f*i  iail»ma.^«.   -k-r  Ikr 
41a  irt  A.r  »l#ku..la.a.  -i^    d,..  rlala  lada.  m  .lak  aa  TarkMt. 


ka«. 

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I.  .'iaaa.  "rinfr  lamt.   .la   lat-.f  ka.Ala.k,  air  P.r«.aialUU. 
^.  .    I.  ^aM.  wlr  IkakaarN^ra  ««Mi.aa-  -It  Fra-i*.  !•••.  ■• 


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LMk  ••<  Ii«bt«  <!•  fU4i  U  lkr«a  Ua4»«h«rt  ■!!  rvltklitJMa  ItotMiflsTlkl 
«M  iMMr  vl«4«r  i«  syiUraa  i«krM  mc  ••  *i«  m  ilur  his 
ia  Mid*r««  IWllta  <••  L«sd«i  tu  1«W*««  Mmtk  •!••■  tel^a  Jaliri 
tUit  •!•  n«lila  arWlUW»  c^ag  •!•  lartiak  Mf '•  Ui4,  AUmmI 
!■*•  talMirf,  «■  at*   gaai  laUaslT  la  J«aUwbM  aaaaakiliM*  lah  katta 
ala  Ukraria  la  tlMr  Altataitrahul*  JarutalM*  aU  klaiaat  MUakaa  lara    m  air 
«MaiBa«>  <tl«  la  craataala»«r  Afimt  ,  ▼•rkaaaaa  aa  4ar  naMaaaar  Wttaito  kaM 
■K*«Ma  k«MU  luad  «1«  ala*  klalaa  fU4a  bara««aaMkM«  aw.   AHOI  aate  4a« 
md  aa  alA  la  thr  klaUat  8tak«haa  a.«a  lU  Oiaji  ala  vaHtaaU  SO  *aaaJl  af» 
ftf  aii4  aar  aaak  Uraa  ^frtffaa  BllliaaArl.ak  raii^  ft..  ti»d  aatatiNtW  ^* 
gat  «ad  wtr49  allaUaiak  aln  klaiaar  Maaaaiw 

la  aar  41aa  aln  Riklf«a,  clUakliokaa  ;«itr,  41a  aalaiaa  SahabkaWt 

taa  wir  gaMlaaaa.  u»»n  da  lak  alah  auf  dat  LakraraiMaa  varbaraiUU.! 
aXlaa  alt  air  alt,   dla  aatiwlarlgaa   Stailaa  la  Ikaaak  aad  dar  Ml 
lah  laraaa  aaaeia* 


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la  riVhllAff  kaa  AHCI'a  Matter   ta  Baauak»   ait  frUfaa  , , 

aa  Altai  far  aia  aauaa  Laa<'^«bulkala  daa  Oa^aagartaa  aiarlAiata.   »iM  aaiaaldaaa 
•la  alah  la  alaaa  Maatbav  OWln  xu  &rb«iUa  ^aa  dlt  faalaahU  Wlrtaaiufi  kaaaaa 
•a  laraaa,  wall  dlaaa  form  dar  prlvataa  aad  daak  faaalaaaaaa  flrtaakafi  Ur  at 
aalaWa  suaa«ia.   Sta  fia^  aaak  daa  Vdaa,  aaaii  iaar  IWvUk  ,  kafraaaiate  alah  ia- 
alg  alt  dar  faallta,  ba^    'tr  ala  arkaitaia  wad  fUklta  tlak  la  dlaaaa  Barfa  arkr 
vakl*  Oad  4aah  kaaakloaa  via  aaak  Tarlaaf  alaaa  Jakraa  akaaa  Ilgaaft  aa 
•U  aakaia  aiak  aahr  aatfi  alfaaaa  Ialia/faa»  ikirak  £af«U  arfakr  ala  fw 
ff  dU  auf  daa  Oirmti,  la  •immr  Art  Oa-ap«ratlai  arAtar  aim  W^^kmr  Mm 


pmf  aiv  awi   «^  wnwAi  M  mwmmr  art  «a*ap«raviai  aratar  ata  It^aluiT  ipaiali  aaia 
waUta  •  M  Baa  4ar  4artkla  fUkraa4aa  Chaaaaaa  af%alkaa  aa4  fir  alami  IkU  (.aa 
kakaaaa.  fir  fuhrao  faaaiaaaa  karaaf^aad   aakaa  auf  dar  fahrt  dakla 
)»  daaa  41aa  dar  aakiaaU  Ort  la  Ua4a  aai«   Ala  air  la  41a  alia  Kfvaa- 
fakrafterg  kaaaa  aad  41a  Urf  rtm  dart  aaa  aakaa»  aar  4ar  Baaaklaaa  fa««  fa^aaai. 
Biar  aolUa  AVOI  ikr  Laad  araar^aa*  Dasu  dU  taaoadara  gXlikltaka  ZuaMBta«tallaag 
4ar  Or\tff^  U  4ar  aUlfa  aatta  Jungaa  aaraa,  dla  daa  Mltraakl  MgaMlr«a4,  4ia 
Tlra41tlaa  kialtaa*  aWaa  voaaak  tlak  AXOX  alaaal  ftrnkmi  katka*  Xa  ««■  faAM^aa 
aa  dlaaaa  Ua4,  ala  katta  aogar  aahaa  gaaiklt,  fukr  ala  aaak  Italiaa»aB  aiak  la 
One  alt  dar  gallaktaa  Pflagaaattar  la  traffaa*  »la  ilalaa  ka4aakaia  fir  ala  tMw 
alf  aU  Aaffriaakaa  aaallaakar  Kr&fU.  Dla  Bagagaaag  alt  Tlalaa  aakaa  fiaaa4aa««l* 
tatarlaaaaa  la  alia  Walt  aaratraat  varaa,  fttrkta  alt  la  tkraa  Mgaaaa,aa4  aalfta 
ikr  aaak  alaaal  gaaa  atarfe  Ikra  rarteadaakalt  alt  4ar  akaa411a41  aakaa  l)altar«lla 
aar  aaalga  ffaakaa  la  naraat»  g«aa#a  41a  Huaaaa  t&fliik  aad  dla  Iapra4aktltaaa«41a 
ala  kaiabraakia,  aaraa  4a«a  ikra  Ufllaka  frau4a«     la  flaraai  traf  ala  aiak  ait 
Ikrar  latUr  uad  vakata  kai   Tar«madtaa.   Eiaaal  aplalta  ala  alt  4aa  Klaiara  Urar 
Oaaaiaa  aa  ttraa4,gBd  gaat  la  aa4aakaa  fla^  ala  aatikaaa  aaa  laad  alaaa 
■aaakak   (   fara)  «u  kaaaa.  •  Riar  lat  dar  KukatUl,   klar  iat  daa  ■aaa«4ar 
^riaa,  dla  niuaao  ata«"  Zu  daa  Klaf4ani  gaaalltaa  aiak  41a  Braaakaaaaa*  ala  AVOX 
Taa  Ikraa  Flaa  aaf  4aa  Okraal  araiklta  aad  worn  Jaaraik  laaafaal.    Ipitar  fragta  ala 
4aae   ikra  Oaaaiaa,  via  aaa  Ihr  dutu   rsHiaiftn  kVaata,   ala  aaaata  4ia   IkaM  aad 
kakaa  ala  vara^raabaa*  -  la  grVaatar  7ratt4a,   daaa  ala  aaa  ala  Mgaaaa  aafMga* 
kiaata  ,  fakr  ala  aaak  laKlaa4,aa  auak  dart  aaak  aaka  fraaa4a  aa  kaaaakaaf  Haak 
4rai  aaaatalangar  Akvaaaakalt  ,  kai  ala  la  Wlatar  19)7  taftak  aad  fiag  aaak  %Mratk 
laaaraal.  laa  arataa  Hal  aalt  ala  la  LaMa  var»  lakta  ala  la  ikraa  MfMNa*  ala 
kaafta  tlak  alaaa  vUslfaa  Lift,aad  rlaktata  tka  via  ala  fkfpaakaaa  ala^  aa  Urn 


II     J     L 

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k«r«ii  ^UaiU  •!•  BIvmb  wmi  iMkM  tmi  b«l«  vmr  d«r  tlU  Btf  ▼•!!  tw  Aliai*t 
BlMMi.  Bl«  k«jIlMs  8tU«k  BodM  ri«liUi«  •!•  al*  aii«Mlu|^  ter,  aaflito  aIm 
ltaii*r  »«•  fr««Ma  8t«la«a  iarvait  •Vn*t«  «••  B«iM,««4  «■  tf«  ih  pfUgM,  k«l%« 
•U  Ir4«  4iiw  aad   grub  •laifv  Ual«  tl«f  m.   Toa  fiHli  Us  ipit  aacli  l«BaM«i««r- 
gaaf  r«4«i«  AMai  wad  b«r«lt«t«  d«a  BHaa  Ttr  fUr  dla  Oktt>Bi«i«b«atil«  ■!•  te- 
rwif  priaaiaa  volltt.  Ua  n  Waisttra,  mscU  •!•  4aa  Vaaaar  la  Pa<lita(TU)  vtit 
iM  Barg  iMraaflrwn  «■•  <«■  *Mi  (  n«a«««l)  |   m  kalsaaa  lifaa  uhltpplt  gU 
•fl  M  faaliia  laaMr.  M«  BIa««htB  ataadta  aak^a  inU  Mala  aai  Safllaa  aafW  ftAtt 
aWr  4aa  Arbaltaa  g«ai  aUala  la  Wail  aar  aakaa  ■afllirllak.iVai  kaaata  k«ta  fcflUa 
iar  Am*^»  '^^  arkUrta  ta  aaa  Ikrar  Pkaataaialaal^lalt  karaas»  daaa  aia  aar  Aar 
tefaabllak  dar  Haadlaaf  laiaraaslartai  alakt  Maga  ,   dla  aaaaardaa  gaaahtlMi  k9aa- 
taa  aTaataalli  «a^  daak  wiaata  ala  gtnum  ,  »!•  vir  alla»  4aaa  aia  aa  9imm  aaktr 
garikrdataa  naii  allala  ataad.  Bai  daa  arataa  graaaaa  kkfritt  aaf  dt«  IvWltart 
dla  dla  Uadatraaaa  naah  Atkllt  baataa  »  tidrt*  4II3Z  dla  Sakiasa  aak  vaa  aiali«aia 
ala  allala  auf  Ihraa  Uat*   arbaltata.  ftaaala  flal  Hardaakal  Ba«r  ,  daa  ftlatlga 
Itoayt  dar  Onifpa.  ^It  daa  AMOl  aft  kla  tlaf   la  dla  tlafa  Maaki  kiaala  Hiaafc  fkl 
■ad  galarat  tetU,  aad  dar  kal  dan  faataa  daa  Taa  aagak*   BaMit  arklalt  41a  klalaa 
OrapM  aiaaa  gafUuIiakaa  Staaa*   Ka  kaata  tvar  Tlala  laaa  kaMait  daa  MLgllaka 
Lakaa  war  alaa  dauarada  Badrahuag* 


Maah  dar  groasaa  Spaaaaag  dar  IWohan  uad  Bafaailguagaarbaltaa  aritnakta  ii(S 
aakr  aakawri  wc«>>*ttlaag  la  kahaa  riabar  alt  groaMa   Sahaarsaat   ^'^*  ■•■  •ailiah 
kalaria  aatdaakia*   laobaalanr  v«r  «la  la  L«baaagafakr  aad   aaklla<»allali  ika|^a»d 
ala  auak  dlaaai  trlt  dla  arata  graaaa  Er^akltalt  ala  Btudaatla,    faat   aar  VlaraaB4a<- 
mag  dar  Aarfta.   In  dar  Zalt  faatlgta  aith  ihra  frauadaokaft  alt  alaaa  Aar  Qlwaa- 
rip  (  laaarad)  Dow  lackr  aakr.  Ala  aH  dna  arata  lal  »ladar  afatlaraa  faiMa  darf* 
ta>  baauektao  sit  dlaCaUlUrlsahaa  Waktar  |     Oaflrla  roa  Jaarotk  la  Haifa,   ala 
baglaltata  sla  ao«h  sua  Auto  aad  vollta  sakon  salbst  karaaf aialgaa  aaa  pllttllj^kr 
Sakaauakt  aaah  Am  Ort  aaA  daa  Manaakaa  •  I>«w  fnad  ••  tv  aastraagaad  aid  klalt  ala 
ivHIak.  Aaf  ilasar  JUitaf'^kr  Taa  Hnlfn  aaek  Jaarotk  kaaaa  roa  daa  13  ZaaaaaM  daf 
Aula  12  aa«  daruatar  Bo««(lla  Arnkar  kattaa  daa  Vag  Tamaaart  aaddaaa  daa  Aata 
aacsfrlffsa  )llaa  UnglUak  Itt  ala  aataakaldaadar  llaadkaltt  U  AVOI't  Lakaa  t»» 
«aaaa»   sis  sngts  air  isnala  i  Bis  Jatst  imt  as  Ivar  aar  saddra  ,4aaa  llMaa  Aar 
galUkta  Haaaak  flal,  dlaaaal  alak  aalkat.  lah  aaaa  aaah  daMlt  fartlgvarAaa.   Ka 
aaakta  daa  ?l*t«  4«r  daaala  aa  aalataa  gafkkrdat  aar     Awit  Mk  srs  aAfcaaiWlWta 
aa  allaa  askvaraa  Arbaltaplittaa,  uad  trati  Ikrar  gf**^  llaawkalt  f«iA  alik 
aadk  d«rt  allaikllak  alaaa  klaUaa  rraaadaakrala  aa  ala.   Aa  Jakraatag  Aaa  fakar> 
fallf  f ukr  ala  lur  Oadaakfalartuad  ▼<>«  dort  aa  traaata  ala  alak  alahi  aalir  tab 
Ikrar  Laadaakrft*  Sla  pflaaita  aaaa  BAaaa,  dla  altaa  kattaa  dla  Arakar  wjikMna, 
■aakta  alah  aaaaa  flaMBaaiaad   laraakta  kaafta  alak  atna  Zlaga  aad  aUaa  BmI  asA 
flag  aaak  alaa^l  la  ihraa  Pappaakaua  dlas  Labaa  raa  raraa  aa«Akar  via  aaAara  Alaa* 
aal.  Xa  aar  kaiaa  Ontypa  gliiikgaalaatar  alt  Ikr,  laltvalaa  aar  dar  Xlkkar  Baik 
Oraa  m  aalkaa  natt  uad  ANOI  lltt  uatar  daa  Ufa  ead  daa  aagasskalaa  fktrlaka. 
Ala  ala  daaa  fartgiagaa,  aar  alaa  groaaa  Xlaaaakalt  as  Flataa,  aar  Mal«i  PkHl- 

llaa.   iviaakaa  danan  tvar  frawadaekaf tllate  Maahkalkatlakaagaa  karraikt<a«  akar 
d»ak    kalaa  OasMlaaaakalt  dar  Idaaa  aad  Zlala  via  fftiMr. 


Tea  :!alt  tu  Zatt  aua  at  lag  A*iOT  roa  tkr««  Barg  karuatariUra 
aaakaa  aad  aaaa  KraAt  B«  aMaala*  dla  aaasahllaka  llnaaalialt  t«  t 
aaak  karsar  Zalttrlab  aa  tla  iMar  vladar  tuHlak,  ala  kaaaU  alak  alakt 
ala  gahVria  ru  Ikrar  tHa  aad  UaJsakaft,  Ikr  OiMiaa  aad  Bluaaa  fardari 
tadlfk*   Aa  lud   ala  alia  Ikra  fraaada   sa  slak  ala,  aaka  Tlala  Aata  saf*! 


ila 
ala 


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•a  4«r  BlMMsfUll*  wad  IdM  4«r  Uatfsiliaft  Ull»«iMi««  n  Ui 


»i 


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Tl«r  Jakr«  Umg  !#¥%•  AJfOI  Mf  lkr«i  ft«rflt|  tUr  fUh»  Jakr*,  n 
Irl«b«a,  aa  L«U«m  vad   m  Wa«ht«ti.   '^a  <)Us«r.^«it  k«i  ■!•  gaag   su 
g#U%lC«B  l«li  wr««k*   tU  Ins  Mhr  Mslg*  a^r  U  4m  MalfM 
•U  lUkU»  fM4  •!•  d«a  S»Uff»l  l)ir«t  0lf«fi«a  lalau  lrl»b«M«  •• 
Z«ll«  lalMr  MarU  aUkat  vl«  •!••  OffMbarvAf,  OaftaltMf  Iteaa  H 
"  fladM  vlr  Mick  •!>  r«lM»«  ▼trk&ltMas,   •«i«al0«  HMMklltk^s^alaM 
tir«lf«a  rmaktlaadai  rvlatkaa  .MXrtm  uad  0«t%«im«   •  "  Maaa  tkiw  ma  i 
IlagtM  U  4«r  Oaf  ofvtiMit  4«r  4l8kt«rltak«a  Spratka  ,  aathitltM  AMI 
ilakaaf  tar  IHa  «ad   IhrM  Dlaavt  aa  Ikr.  ineh  fUr  dlt  falaatM 
lkr*a  IrlakMa  fmad   tia  luadni^k  la  mIam  BriafM  Mad  0a41akiaa« 
•raat*i«a  IKr  dl«M   7«rM  alfaaat  SprathM* 

OU  aadara  gualla  Ikrar  Krif  t«,   tu  dtr  tit  alt  groaaar  rr9uU  tl^k  Mltik- 
kakaaala»  «ar  K««ar.  J*daa  Akaad  a<iah  d«r  Arotlt  la«  tia  iO^  7arM  ■•4  m^tmi 
wiadar  4a«  •Uti«arttga  41aMr  i«lt  ,  4aa  autk  tia  ititgapitgt  k«it«tWi4  4m 
iratt  4ar  vlalaa  Jakra  4aa  aakalakar  rarslakaaa  trwN*  Ikr  iMar  kl«rar»4aM  4Ut 
4ar  Mkra  Siaa  ikrar  gaiatigM  fait  v«r  uad  jiUiatkaa  flaaM*   dat  via  alt  ^««» 
MM  n»iaa  aad  »ika  anrorkaa  katU.  doah  alaht  IkrM  ItaM  MtapraA»iMr  aU 
0ak  4m  Xmmft  ua  daa  Jttdlaaka  aloht  mt,  ala  Ihr  kiar  gavordM  mcr^Um  ikr  4m 
TaXM4  MSd  dia  kakrttl»akaa  ZlaaaUar  alaa  fraiada  fait  daa  Galwtk  4ar«taUI«it 
alakta  Mkr  iw  %tifn  kattaa  uad  Ihr  aia  algaar  Anadraak  mU  koaataat  iMhU 
ala  alaa  Bfrathaaa  -  11a  SfraakaahCpfuBg  la  d«r  kabrMlaakM  Uab«7a«iaaaKy  4«r 
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U     D 


A  Memorial  of  Anai  ("Esther")  Kantorowicz  (c.  1904-1944)  by 
Kaete  Ledermann,  1954  (photo  1942/3),  in  the 
Ernst  Kantorowicz  Collection,  Box  5,  folder  1,  Leo  Baeck 
Institute,  129  East  73  St.,  New  York,  NY  10021 
[The  ms  is  a  photocopy  of  a  typewritten  copy  (hard  to  read) . 
It  appears  to  me  that  Kaethe  Ledermann 's  manuscript  was 
typed  by  somebody  else.  Some  words  seem  to  have  been 
misread,  for  instance,  on  p.  5  where  it  should  read 
"Maechte"  instead  of  "Maedchen."  The  illegible  noun  in  front 
of  it  might  be  "Daimon"  or  "Daemon."  Clearly,  Ledermann 's 
text  was  not  revised.  Syntax  and  vocabulary  are 
idiosyncratic  and  may  show  Hebrew  and/or  English  influences. 
This  does  not  detract  from  the  powerful  and  moving  statement 
it  is.  Most  remarkable,  the  text  is  reminiscent  of  a 
medieval  hagiography.  G.  Roth] 

Esther  in  Freundschaft 

zu  ihrem  50.  Geburtstag  und 

20jaehrigem  im  Lande  sein. 

Ein  anderer  Mensch  haette  wohl  mal  gefragt,  wer  seine 
Eltern  seien.  Angi  hat  eigentlich  nie  sich  darum  gekuemmert 
und  die  Erklaerungen  glaeubig  hingenommen.  Ihre  Mutter, 
Kunsthistorikerin,  Dichterin,  nah  dem  Stefan  George  Kreis 
und  seinen  innigsten  Freunden  nah  befreundet,  Gundolf, 
Margarete  Susmann,  war  Studentin  des  Nationaloekonomen 
Professor  der  Universitaet  Georg  Simmel.  Spaeter  uebersetzte 
sie  Bergson  ins  Deutsche  und  arbeitete  auch  mit  Simmel 
gemeinsam.  Sie  war  ganz  jung,  als  sie  in  Posen,  wo  ihre 
Eltern  eine  grosse  Likoer-und  Schnapsbrauerei  hatten,  nach 
Berlin  kam:  es  war  wohl  fuer  damalige  Verhaeltnisse  etwas 
Aussergewoehnliches,  dass  ein  junges  Maedchen  allein  zum 
Studium  faehrt,  durch  ihre  ungeheure  geistige  Intensitaet 
und  Lebendigkeit  hat  sie  sich  sofort  den  Weg  gebahnt.  Nach 
seinen  Worten  hat  Simmel  "7  Jahre  um  sie  gedient  wie  Jaakov 
um  Rachel."  Die  Liebe  zwischen  beiden  war  sehr  gross,  so 
wenig  sie  es  nach  aussen  zeigen  durften,  sie  lief en  sich  im 
Sturm  entgegen,  wenn  sie  sich  nur  treffen  durften.  Spaeter 
hat  Angi's  Mutter,  als  Freundin  des  Hauses,  sie  auf  alien 
Reisen  begleitet,  war  mit  dem  Sohn  Hans  Simmel,  befreundet, 
und  wohl  kaum  ein  Mensch  wusste,  wie  innig  die  Liebe 
zwischen  den  beiden  war.  Als  sie  schwanger  war,  fuhr  sie 
nach  Italien,  etwas  fuer  sie  nichts  Aussergewoehnliches, 
eine  Kunstreise,  wie  sie  viele  machte,  zumal  sie  ein  Buch 
ueber  die  Sixtinische  Kapelle  schrieb.  Sie  sagte  Angi's 
Vater  nichts,  und  er  erfuhr  es  erst  im  letzten  Moment. 
Dieses  Geheimnis  allein  tragen  zu  muessen  und  die 
Verantwortung  fuer  das  Kind  und  den  Mann  war  wohl  das 
Schwerste,  was  sie  zu  bewaeltigen  hatte,  fuer  sie  war  es  nur 
moeglich,  auf  das  Kind  zu  verzichten,  das  heisst  von  Feme 
an  seiner  Entwicklung  teilzunehmen.  Sie  gebar  es  in  Bologna, 
nannte  es  Maria  Angela  Bolzana  und  liess  es  als  Findelkind 


/  /     J     J 
U     J    L 


einschreiben.  Nach  wenigen  Wochen,  nachdem  sie  das  Kind 
untergebracht  hatte,  fuhr  sie  zu  ihren  Eltern  in  die 
Schweiz,  ohne  auch  nur  das  Geringste  zu  verraten.  Spaeter 
brachte  sie  dann  Angi  nach  Belgien,  wo  sie  dann  fuenf  Jahre 
blieb.  Sie  war  bei  einer  katholischen  aelteren  Buergersf rau, 
die  sehr  einfach  war  und  Angi  ungeheuer  verwoehnte  und 
verzaertelte.  Sie  bekam  alles,  was  sie  nur  wollte,  und  wenn 
es  nicht  genau  nach  ihrem  Kopf  ging,  warf  sie  sich  auf  der 
Strasse  hin.  Einmal  im  Jahr  kam  die  Mutter  sie  besuchen,  sie 
nannte  sie  "marraine",  Patin,  im  Gegensatz  zu  ihrer  Tutta, 
der  Erzaehlerin;  einmal  sah  Angi  ein  Bild  an,  einen  Soldaten 
mit  dem  Schwert.  Da  sagte  sie,  sie  moechte  auch  so  sein,  und 
die  Tutta  erwiderte,  so  darfst  Du  nicht  sein,  Du  bist  ein 
kleine  Maedchen,  und  nur  Maenner  muessen  stark  und  tapfer 
sein.  Als  die  Mutter  diese  Erklaerung  hoerte,  beschloss  sie 
sofort,  das  Kind  von  dort  fortzunehmen,  wo  keine  heldenhafte 
Erziehung  dem  Kinde  zuteil  werden  konnte.  Das  war 
bezeichnend  fuer  die  Einstellung  der  Mutter;  das  Wichtigste: 
das  Heldentum  und  der  Adel .  Angi  wurde  bis  dahin  streng 
katholisch  erzogen,  brachte  immer  der  Mutter  Maria  weisse 
Rosen,  das  stoerte  die  unreligioese  Mutter  nicht. 

Sie  brachte  sie  nach  Marburg  zu  einer  Frau  Meren 
[Maren?].  Diese  Pflegemutter  hat  fuer  Angi's  Entwicklung  die 
groesste  Bedeutung,  ich  glaube,  es  war  fast  der  wichtigste 
und  von  ihr  geliebteste  Mensch.  Frau  Meren  war  Lehrerin, 
eine  sehr  schoene,  schlanke  Erscheinung,  fromm  christlich, 
sehr  gebildet  und  tolerant.  Als  junge  Lehrerin  war  sie 
Erzieherin  bei  den  Kindern  eines  Arztes  und  zwischen  beiden 
war  eine  grosse  Liebe.  Da  der  Arzt  sich  von  seiner  Frau 
nicht  trennen  wollte,  ging  sie  als  Hauslehrerin  nach  Japan 
auf  mehrere  Jahre  und  hat  dort  viel  Interessantes  gesehen. 
Als  sie  zurueck  kam,  war  inzwischen 
gestorben,  sie  heiratete  den  damals 
um  viele  Jahre  aelteren  Mann.  Sechs 
grossem  Glueck  mit  ihm,  gebar  einen 
dann  starb  der  Mann  und  sie  blieb  mit  dem 
Kind  zurueck.  Sie  wollte  ein  zweites  Kind 
Erziehung  mit  dem  eigenen  und  auch  um  sich 
etwas  zu  erleichtern. 

[S.  2]  Als  Angi  nach  Marburg  kam,  sprach  sie  nur 
franzoesisch,  war  sehr  verwoehnt  und  unendlich  traurig  und 
voller  Heimweh  nach  Belgien.  Den  ganzen  ersten  Monat  hoerte 
sie  nicht  auf  zu  weinen,  und  das  einzige  was  sie  ablenkte, 
waren  wunderschoene  Maerchen,  die  ihr  die  Pflegemutter 
stundenlang  erzaehlte.  Wenn  sie  eines  beendet  hatte,  sagte 
Angi:  encore  une  histoire,  und  dann  folgte  die  zweite. 

Allmaehlich  vergass  sie  die  belgische  Zeit  und 
befreundete  sich  mit  der  Pflegemutter  und  ihrem  Bruder.  Die 
ersten  zwei  Schuljahre  unterrichtete  die  Pflegemutter  sie 
selbst,  in  einer  kleinen  Gruppe  von  drei  Kindern.  Alles  was 
mit  der  Pflegemutter  in  Beruehrung  kam,  lebte  fuer  Angi  und 
war  eine  ruhige  stille  Freude.  Diese  Frau,  die  damals  wohl 
schon  grosse  Sorgen  hatte  und  ein  einsames  Leben  fuehrte, 
verstand  es,  jede  Minute,  die  sie  mit  den  Kindern 


die  Frau  des  Arztes 
schon  sehr  kranken  und 
lebte  sie  noch  in 
Ernst  Meren,  und 
fuenf jaehrigen 
zu  sich  nehmen  zur 
ihre  Situation 


Jahre 
Sohn, 


U     J     J 


verbrachte,  zu  einem  Fest  zu  gestalten.  Das  Einkaufen,  der 
Mutter  den  Korb  tragen  duerfen,  das  gemeinsame  Kochen  und 
Backen,  alles  waren  wichtige  Ereignisse  in  Angi's  Tag.  Die 
Stiitimung  am  Sonntag,  das  feierliche  in  die  Kirch  Gehen,  die 
herrlichen  Ausfluege  in  die  Dammmuehle,  die  einige  Stunden 
weit  von  Marburg  entfernt  war,  und  das  Pilzsuchen,  bei  denen 
sie  jedes  Pilzchen  unterscheiden  lernte.  Am  Abend,  wenn  die 
Sonne  unterging,  durfte  Angi  noch  lange  vor  dem  Hause 
spielen,  und  dann  war  sie  so  gluecklich  ueber  die 
Schoenheit,  dass  sie  ganz  laut  schreien  musste.  Mit  dem 
Pflegebruder  verband  sie  eine  eigene  Phantasiesprache  und 
grosse  Papierpuppen,  Robote,  die  ihr  eigenes  Leben  fuehrten. 
Aber  schoener  als  alle  Spiele  mit  Kindern  war  es  fuer  sie, 
wenn  ihr  die  Pflegemutter  von  ihrer  eigenen  Kindheit  und 
Jugend  erzaehlte  und  von  Japan.  Jedes  Wort  und  Gedicht  hat 
sie  sich  bewahrt  und  die  Zeit  der  frueheren  Jugend  ist  fuer 
Angi  die  Zeit  des  vollkommenen  Gluecklichseins  gewesen,  dies 
wonach  sie  immer  Sehnsucht  hatte,  wie  das  verlorene 
Paradies,  blieb  ihr  die  Marburger  Zeit  in  dem  sehr  einfachen 
Haus  Sinnbild  des  erfuellten  Lebens,  des  Reichtums  derer, 
die  sich  bescheiden  koennen.  Es  ist  also  auch  nicht 
verwunderlich,  dass  Angi  sich  nie  erkundigt  hat,  wer  ihre 
Eltern  waren,  sie  litt  zwar  sehr  unter  dem  fremdlaendischen 
Namen,  den  in  dem  kleinen  Staedtchen  niemand  verstand,  aber 
hatte  im  Grunde  nie  das  Gefuehl  der  Andersheit,  wie  es  viele 
juedische  Kinder  im  christlichen  Milieu  hatten,  sie  war 
voellig  zugehoerig  zu  diesem  Hause  und  glaubte  ohne  jeden 
Zweifel,  dass  beide  Eltern  bei  einem  Erdbeben  in  Italien 
umgekommen  seien  und  eine  Verwandte,  die  Mutter  (genannt 
Patin),  sich  um  ihre  Erziehung  kuemmerte. 
Angi's  Vater  starb  1917  [1918].  Die 
nach  Konstantinopel  als  Krankenpf legerin 
Grosses  geleistet.  Spaeter  arbeitete  sie 
Wohnungsfuersorge.  Sie  hatte  sich  im  Felde  mit  einer 
adeligen  Krankenpf legerin  innig  befreundet  und  beschloss 
spaeter,  ein  Haus  in  der  Naehe  von  Ulm  mit  ihr  zusammen  zu 
kaufen.  In  diesem  sehr  schoenen  Landhaus  in  Herrlingen  waren 
viele  bedeutende  Menschen  zu  Cast,  alles  Freunde  der  Mutter, 
ein  grosser  Kreis  sehr  kultivierter  und  gebildeter  Menschen. 
Als  die  Mutter  das  Haus  so  schoen  und  reich  eingerichtet 
hatte,  sehnte  sie  sich  doch  nach  ihrer  Tochter,  und  sie  lud 
sie  zu  den  grossen  Ferien  ein.  Angi  fuhr  ungern  fort  von 
Marburg  und  fuehlte  sich  auch  fremd  in  dieser  reichen 
buergerlich  gerichteten  Atmosphaere,  und  auch  die  sehr 
heftige,  intensive  Mutter  war  ihr  fremd.  Am  Ende  der  Ferien 
sagte  sie  ihr,  dass  Angi  nun  in  Herrlingen  bei  ihr  bleiben 
wuerde  und  in  Ulm  aufs  Gymnasium  gehen  [solle].  Das  war  ein 
grosser  Schlag  fuer  die  arme  Angi;  sie  war  furchtbar 
verzweifelt,  dass  sie  oft  Fluchtplaene  schmiedete  und  sehr 
an  der  Sehnsucht  nach  der  geliebten  Pflegemutter  litt.  Auch 
das  durchgeistigte  Milieu  war  ihr  fern.  Dazu  kam,  dass  sie 
von  Anfang  an  die  Freundin  der  Mutter,  die  schoene  Gudrun, 
nicht  leiden  konnte,  und  wenn  Angi  eine  Antipathie  einem 
Menschen  gegenueber  empfand,  dann  war  [S.  3]  sie  stark  und 


Mutter  ging  damals 

und  hat  dort 

in  Berlin  in  der 


U     J       I 


rueckhaltslos.  So  war  ihr  das  Zusammensein  mit  dieser  Frau 
unertraeglich. 

Die  Mutter  bereitete  sie  selbst  aufs  Gymnasium  vor,  sie 
hatte  sehr  viel  nachzuholen,  da  sie  vorher  in  ein  Lyzeum 
gegangen  war  und  musste  nun  auf  einmal  Latein  und 
Franzoesisch  und  Griechisch  anfangen.  Sie  holte  dann  in 
kuerzester  Zeit  die  Klasse  ein  und  war  dann  bis  zum  Abitur 
die  beste.  Die  Stunden  bei  der  Mutter  war [en]  aber  eine 
nicht  geringe  Qual,  sie  selbst  war  eine  aussergewoehnlich 
sprachbegabte  Frau  und  merkte  natuerlich  die  ebenso 
ungewoehnliche  Begabung  der  Tochter;  und  obwohl  sie  eine 
sehr  geduldige  Lehrerin  mit  fremden  Menschen  war,  war  sie 
doch  intolerant  und  verstaendnislos  Angi's  Fehlern 
gegenueber.  Gegen  ihre  Heftigkeit  war  Angi  voellig  wehrlos, 
und  als  sie  endlich  ins  Ulmer  Gymnasium  kam,  war  sie  sehr 
froh.  Angi  lernte  in  einer  Knabenschule,  in  der  ganzen 
Klasse  lernte  nur  noch  ein  Maedchen  ausser  ihr,  die  Schule 
war  unmodern,  in  der  den  Schuelern  auf  altmodische  Weise 
viel  beigebracht  wurde,  der  Geist  der  Schule  war  im  Ganzen 
nicht  schlecht,  eine  Richtung  hat  er  Angi  [aber]  nicht  geben 
koennen.  Die  bekam  sie  mehr  und  mehr  von  der  Mutter  und  der 
geistigen  Atmosphaere  im  Haus .  Die  Schule  war  fuer  die  sehr 
ehrgeizige  Angi  der  dauernde  Ansporn  des  Wettbewerb  und  die 
Kameradschaft  mit  den  Jungen.  Faecher,  fuer  die  sie  unbegabt 
war,  wie  Mathematik,  bewaeltigte  sie,  indem  sie  die 
Beweisfuehrungen  einfach  auswendig  lernte.  Ueberhaupt 
war [en]  ihr  Gedaechtnis  und  die  Moeglichkeit  auswendig  zu 
lernen  phaenomenal.  Die  Mutter  machte  sie  in  der  Zeit 
natuerlich  mit  ihrer  eigenen  Welt  bekannt,  las  mit  ihr  die 
Klassiker  und  erzaehlte  ihr  Maerchen.  Sie  konnte  wunderbar 
erzaehlen,  weil  sie  sich  ganz  dem  Stil  des  Erzaehlten 
anpasste  und  lange  Gedichte,  die  sie  selbst  aus  dem  Stegreif 
dichtete,  je  nach  Laune  einschob.  Als  Hauptsache  machte  sie 
sie  mit  der  griechischen  Sagenwelt  bekannt  und  mit  George 
Gedichten.  In  der  Zeit  lernte  Angi  viele,  viele  Gedichte 
auswendig,  die  sie  dann  ihr  Leben  lang  begleiteten.  Eine 
Zeit  lang  war  auch  sie  eine  George  Schuelerin  wie  die 
Mutter,  und  hat  den  Anspruch  an  wahren  Adel  und  Mass  nie 
wieder  aufgegeben.  Aber  spaeter  lehnte  sie  doch  die 
Verherrlichung  des  Fuehrers  als  goettlichen  Menschen  sehr 
ab,  aus  tiefem,  religioesen  Gefuehl,  dass  man  nicht  in 
unsere  kleine  menschliche  Welt  Goettliches  mischen  darf,  dem 
man  nur  aus  Gnade  teilhaftig  wird.  Die  Geformtheit  [von] 
Georges  Sprache  war  fuer  immer  ausschlaggebend  fuer  Angi's 
Stellung  zur  Dichtung  und  hat  ihren  eigenen  Stil  und  [ihre] 
Denkungsweise  sehr  beeinflusst,  wenn  sie  auch  spaeter  den 
Grundgedanken  des  auserwaehlten  Kreises,  der  wenigen,  die 
von  Geburt  und  Adel  dazu  bestimmt  sind,  das  Geheimnis  zu 
hueten,  sehr  abgelehnt  hat.  Und  doch  ist  dieses 
Bekanntwerden  und  Eingefuehrtwerden  in  die  Welt  der  Mutter 
von  groesster  Bedeutung. 

Trotzdem  bleibt  sie  ihren  alten  Marburger  Gewohnheiten 
treu,  es  quaelte  sie,  dass  sie  nicht  selbst  das  Haus 
aufwischen  konnte,  weil  sie  so  frueh  nach  Ulm  fahren  musste 


n    jf    c 

u    J    J 


und  es  ja  genug  Bediente  [sic]  gab,  so  stand  sie  sonntags 
frueh  auf,  und  wenn  alle  noch  schliefen,  hatte  sie  schon  die 
Treppen  gewischt.  Vom  Gaertner  lernte  sie  Blumenzucht  und 
von  den  Koechen  das  Kochen  der  feinen  Speisen.  Sie  war 
Mitglied  des  Dorf turnvereins,  bis  die  Mutter  zu  ihrem 
Entsetzen  einmal  sah,  dass  sie  groessere  Gewichte  stemmte 
als  die  staerksten  Bauernjungen,  und  es  ihr  fuer  spaeter 
untersagte.  Als  Angi  14  Jahre  war,  am  Heiligabend,  dh.  ein 
halbes  Jahr  nachdem  die  Mutter  sie  zu  sich  genommen  hatte, 
gebarte  [offenbarte]  sie  ihr  die  Geschichte  ihrer  Geburt.  Es 
war  ein  grosser  Schlag  fuer  Angi,  da  sie  doch  die 
Pf legemutter  viel  inniger  und  kindlicher  liebte,  und  das 
fremde  Gefuehl  des  Abstandes  der  Mutter  gegenueber  nie  ganz 
ueberwinden  konnte.  Sie  quaelte  sie  [sich]  dann  sehr  mit 
Gewissensbissen  und  viel  spaeter  wussste  sie  nicht  mehr  die 
beiden  Frauen  zu  vergleichen  und  jede  in  ihrer  besonderen 
Weise  zu  lieben. 

[S.  4]  In  einer  Winternacht  wurde  Angi  konfirmiert,  und 
obwohl  ja  die  Mutter  nicht  religioes  war,  und  auch  Angi  kaum 
noch,  war  doch  beiden  die  feste  Form  der  kirchlichen  Form 
selbstverstaendlich.  Ebenso  seltsam  vielleicht  mag  es  uns 
erscheinen,  dass  die  Mutter  Angi  gesetzlich  adoptierte,  dies 
war  fuer  beide  in  lustiges  Fest  und  von  da  an  hiess  Angi 
Kantorowicz.  In  der  Zeit  wurde  sie  auch  in  die  grosse 
Familie  der  Mutter  auf genommen,  zwischen  deren  Mitgliedern 
ein  besonders  herzliches,  liebevolles  Verhaeltnis  herrschte. 

Angi  war  immer  still  verschlossen,  ungeheuer 
hilfsbereit,  sie  sagte  sehr  selten  in  Gegenwart  der  Mutter 
ihre  Gedanken,  aber  in  ihrer  natuerlichen  Intensitaet  und  in 
der  Unbeirrbarkeit  des  eigenen  Ausdrucks  machte  sie  grossen 
Eindruck  auf  ihre  Verwandten,  und  es  bestand  vor  allem  ein 
herzliches  Verhaeltnis  zu  ihr. 

An  den  langen,  einsamen  Winterabenden  veranstaltete  die 
Mutter  Lese-und  Tanzabende,  zu  denen  einige  gleichaltrige 
Knaben  und  Maedchen  aus  dem  Dorf  eingeladen  wurden.  Darunter 
war  der  Sohn  des  Dorfkaufmanns,  der  musikalisch  Geige 
spielte  auch  bei  den  Zusammenkuenften.  Die  16[ 15? ] jaehrige 
Angi  verliebte  sich  in  den  Knaben  und  war  berauscht  von  dem 
neuen,  sehr  starken  Gefuehl  der  Liebe.  Schon  nach  kurzer 
Zeit  der  schoenen  Spaziergaenge  merkte  Angi's  Mutter,  wie 
stark  die  Bindung  fuer  beide  war  und  verbot  das  weitere 
Zusammentref fen.  Ein  Jahr  hielt  sich  Angi  an  das  Verbot,  ein 
Jahr  der  Pubertaet  gehorchte  sie  der  Mutter,  die  fuerchtete, 
dass  die  grosse  Leidenschaftlichkeit  des  Vaters  sie  zu  frueh 
binden  wuerde  und  spaeter,  wenn  Angi  laengst  der  Bindung 
entwachsen  sei,  sie  durch  das  Versprechen  der  Treue  fesseln 
wuerde.  Diese  Angst  war  natuerlich  berechtigt,  sie  hatte 
aber  zur  Folge,  dass  die  Liebe  zwischen  beiden  wuchs,  und 
sie  durch  heimliche  Zeichen  und  Brief e  [sich 
verstaendigten] ,  und  als  sie  nicht  mehr  gehorchen  konnten, 
durch  heimliche  Zeichen  die  Zusammentref fen  ausmachten.  Das 
war  ein  ganz  grosses  Netz  der  Luegen,  morgens  vor 
Sonnenaufgang,  wenn  Angi  ueber  das  Gartengitter  kletterte, 
um  mit  dem  Jungen  einen  schoenen  Waldspaziergang  zu  machen, 


U     J    U 


waehrend  die  Mutter  noch  schlief.  Jahrelang  hat  die  Angst, 
man  koennte  sie  entdecken,  Angi  in  den  Schlaf  hinein 
verfolgt.  Spaeter  merkte  die  Mutter,  dass  ihr  Verbot 
durchbrochen  wurde,  aber  sie  hielt  es  dennoch  aufrecht. 

Diese  erste  Beziehung  berauschte  Angi  vollkommen,  sie 
war  grenzenlos  in  ihrer  Hingabe,  und  in  der  Zeit  sind  wohl 
schon  die  ersten  Gedichte  entstanden.  Der  Knabe  hatte  das 
Gefuehl  des  grossen  Abstandes  zu  Angi's  Milieu  und  Ehrfurcht 
vor  ihrer  Begabung  und  fuehlte,  dass  die  Bindung  sich  loesen 
muesste,  und  gerade  seine  Furcht  veranlasste  Angi  zu 
Beteuerungen  der  Treue  und  Ausdauer.  In  diese  Zeit  faellt 
Angi's  Abitur,  ein  schoenes,  heiteres  Abschiedsf est ,  die 
erste  Reise  nach  Berlin,  in  die  grosse  Stadt,  die  dem 
Dorfkind  feierlich  [feindlich?]  und  unheimlich  steinern  und 
unpersoenlich  war.  Und  dann  die  Frage  nach  der  Zukunft.  Angi 
schwankte  zwischen  Medizin  und  Altphilologie,  und  waehlte 
schliesslich  unter  dem  Einfluss  der  Mutter  das  letzte.  Die 
Mutter  verlies  damals  auch  Herrlingen,  und  sie  gingen 
zusammen  nach  Freiburg.  Von  Angi's  erstem  Semester  weiss  ich 
wenig,  nur  dass  sie  mit  grossem  Fleiss  und  Eifer  zu  lernen 
anfing,  aber  sich  sehr  quaelte,  weil  sie  inzwischen  der 
Liebe  zu  dem  Herrlinger  Freunde  ganz  entwachsen  war,  und  nur 
noch  aus  Treue  an  ihm  hing,  um  ihm  nicht  weh  zu  tun.  Aber 
ihr  wurde  immer  klarer,  dass  da  ein  klarer  Trennungsstrich 
zu  Ziehen  sei.  Ende  des  Semesters  trennte  sie  sich  von  ihm. 

Die  Jahre  des  Studiums  fuehrten  Angi  zur  vollen 
Entwicklung  ihrer  Persoenlichkeit .  Um  den  ganzen  Reichtum 
dieser  Welt  zu  begreifen,  muessen  wir  verstehen,  dass 
Altphilologie  ein  Each  ist,  was  nur  wenige  damals  waehlten, 
und  besonders  in  Heidelberg,  [S.  5]  Goettingen  und  Kiel,  wo 
Angi  studierte,  waren  es  nicht  viele.  In  den  Seminaren  fuer 
Fortgeschrittene  waren  es  auserwaehlt  wenige,  die  sich 
schnell  kennen  lernten.  Das  Kolleg  verband  Professor  und 
Schuler  durch  Zwiegespraeche,  Seminarfeste  und  Ausfluege, 
die  gemeinsam  unternommen  wurden.  Fuer  diesen  Kreis  hatte 
die  antike  Welt  eine  ueberzeitliche  Bedeutung,  [sie  war]  die 
Grundlage  der  abendlaendischen  Kultur.  Der  homerische 
Mensch,  der  jugendlich  einfach  ist,  dabei  nicht  primitiv  und 
derb  Oder  ungebildet,  der  die  dunklen  Maechte  des  Lebens 
kennt  und  ihnen  selbst  die  Goetter  unterstellt,  hat  eine 
Feinheit  der  Umgangsformen,  den  Charm  der  Geste,  die  zarte 
Ruecksicht  den  Menschen  gegenueber,  die  vielleicht  kaum  eine 
andere  Zeit  kannte.  Er  ist  ein  Wesen  in  dieser  unendlich 
belebten  Welt,  wie  [der]  Kosmos  belebt  vom  Eros  und 
[Daimon?]  und  alien  diesen  [Maechten],  Gott  und  Mensch  und 
Element  sind  beieinander,  nichts  darueber  hinaus,  das 
Schickskal  ein  letztes  Unfassbares,  nach  dem  es  keine  Frage 
gibt,  weil  es  das  schlechthin  Notwendige  ist.  (Aus  Angi's 
Homerarbeit.  )  In  fuenf jaehriger  intensiver  Arbeit  macht[e] 
Angi  sich  diese  Welt  zu  eigen,  und  um  in  sie  einzudringen 
und  das  Ueberzeitlichgebundene  zu  erkennen,  bedurfte  es  der 
Kleinarbeit,  der  Textkritik  und  des  stumpfsinnigen 
Auswendiglernens.  Der  so  erdgeborenen  Angle  fiel  das  nicht 
leicht,  und  sie  suchte  fuer  ihre  grosse  Kraft  immer 


n    J 
u    J 


Budenfeste 
Kaf f eesatz 
Heiterkeit 
durch  ihre 


irgendwelche  Auswege.  So  arbeitete  sie  fast  inuner  bei  einem 
Gaertner  und  brachte  als  Entlohn  die  schoensten  Blimen  heim, 
and  konnte  die  vielen  nahen  Freunde  damit  beschenken.  Die 
und  die  Maskenbaelle,  auf  denen  Angi  aus  dem 
weissagte,  alles  dies  hat  den  Charakter  wahrer 
und  Frohsinns.  Angi  konnte  ein  Ziirmer  verwandeln 
Blumen  in  Schalen,  ein  Festessen  gestalten  mit 
phantastischen  Speisen.  Das  grosse  Glueck  dieser 
Studienjahre  war,  dass  sie  die  adeguaten  Freunde  fand,  mit 
denen  sie  dann  Zeit  ihres  Lebens  befreundet  blieb.  Alle 
politische  Beschaeftigung  blieb  diesein  Kreise  fremd,  die 
Theorien  des  Sozialisinus  sagten  Angi  nichts.  Soweit  sie  mit 
sozialem  Elend  zusammentraf ,  war  sie  an  dem  menschlichen 
Unglueck  daran  erschuettert  und  versuchte,  menschlich 
darauf  zu  erwidern.  So  hat  sie  in  jeder  Stadt,  in  der  sie 
studierte,  einige  arme  Familien  betreut,  die  sie  durch  die 
Wohlfahrt  zugewiesen  bekam.  Mit  21  war  sie  die  einzige 
Geburtshilfe  bei  einer  schwer  krebskranken  Frau,  spaeter  die 
Patin  des  Kindes.  Allen  diesen  Menschen  war  Angi  wie  ein 
guter  Engel  in  der  grossen  Hilf sbereitschaft  und  ohne 
jegliche  Bereicherung  des  Einsatzes  ihrer  Kraefte.  Sie  r.a::ie 
iininer  genug  Geld,  um  selbst  gut  leben  zu  koennen,  naehrte 
sich  aber  monatelang  von  Broedchen  und  getrockneten  Feigen, 
weil  sie  das  Geld  iiraner  noetig[er]  brauchte  fuer  andere,  die 
es  noetig  hatten.  So  hatte  sie  auch  nie  neue,  gekaufte 
Kleider,  sondern  erbte  iiraner  von  Freunden  und  Verwandten, 
genau  so,  wie  sie  dann  wieder  die  schoensten  an  andere 
weiter  verschenkte. 

Das  Entscheidenste  in  diesen  Jahren  war  die  sehr  enge 
Freundschaft  mit  einem  ihrer  Professoren,  der  im  Mittelpunkt 
ihrer  seelischen  und  geistigen  Welt  stand.  Aehnlich  dem 
Schicksal  ihrer  Mutter,  war  auch  sie  Freundin  des  Hauses, 
liebte  seine  Frau  von  Herzen  und  war  seinen  Kindern  Vorbild 
in  ihrer  Freundlichkeit  und  Haltung.  Fuer  die  so  sehr  junge 
temper amentvolle  Angi  war  die  Liebe  zu  dem  viel  aelteren 
Mann  verbunden  mit  vielen  Schmerzen  der  Entsagungen — aber  da 
gab  es  keine  Wahl .  Viel  spaeter  erst,  als  sie  das  Studium 
beendete,  verwandelte  sie  allmaehlich  diese  Liebe  in  ein 
nicht  weniger  starkes  Gefuehl  der  grossen  menschlichen 
Naehe.  Jede  freie  Stunde,  viele  Tage  und  Wochen  verlebte  sie 
in  diesem  Hause,  und  als  der  kleine,  geliebte  Sohn  starb, 
war  fuer  sie  der  Verlust  schmerzlich  wie  der  eines  eigenen 
Kindes . 

[S.  6]  Kurz  vor  dem  Abschluss  des  Studiums  war  Angi  das 
erste  Mai  wirklich  ernstlich  krank.  Ein  Aufzug  hatte  ihr  den 
Finger  geklemmt,  und  sie  lag  mit  schwerer  Blutvergiftung 
wochenlang  in  Lebensgefahr .  Dem  so  kraeftigen,  gesunden 
Menschen  war  das  Bekanntwerden  mit  Schmerzen  und  Schwaeche 
ein  richtiges  Erlebnis.  Spaeter  erholte  sie  sich  schnell  und 
bestand  das  Examen  sehr  gut  und  ohne  Zeitverlust. 

Der  Abschluss  des  Studiums  bedeutete  fuer  sie  mehr  als 
der  Uebergang  zur  praktischen  Lehrtaetigkeit .  Er  hiess  vor 
allem  Trennung  von  diesen  Freunden  und  dem  Kreis  der  ihr 
nahestehenden  Freunde,  Studenten  und  Professoren. 


n    J    u 
U    J    U 


e 


Das  erste  halbe  Jahr  der  Referendarzeit  verbrachte  Angi 
in  eineiTi  Landschulerziehungsheim  in  der  Nahe  von  Frankfurt 
a/Oder,  in  einer  Realschule,  in  der  sie  Latein  und  Deutsch 
unterrichtete.  Wie  iininer  an  neuen  Orten,  war  sie  auch  dort 
sehr  ungluecklich,  bis  sie  sich  mit  den  Kindern  befreundete 
und  auch  zwei  Lehrerinnen  recht  nahe  kaiti.  Dann  machte  es  ihr 
grossen  Spass ,  auch  im  Tagtaeglichen  mit  den  jungen  Menschen 
in  Beruehrung  zu  koiranen .  Eine  schoene  Fahrt  ins 
Riesengebirge  befestigte  die  Beziehung  von  vielen  Knaben  und 
Maedchen . 

Sie  fuhr  fast  jedes  Wochenende  nach  Berlin,  wo  damals 
eine  ihrer  nahen  Freundinnen  an  einem  Gymnasiuin 
unterrichtete,  und  an  den  Sonntagen  tauschte  sie  ihre 
Erfahrungen  aus.  Angi  lernte  Berlin  kennen,  die  Stadt  in 
ihrer  Schoenheit  und  Groesse.  Nach  einem  halben  Jahr  wurde 
auch  sie  nach  Berlin  versetzt,  an  dasselbe  Gymnasium  wie  die 
Freundin .  Dies  hatte  sie  sich  besonders  gewuenscht.  Die 
Schule  hatte  ein  ausserordentliches  Niveau — Lehrer ,  denen 
der  Beruf  Inhalt  des  Lebens  war  und  sehr  begabte 
Schuelerinnen,  wenige  in  jeder  Klasse.  In  den  hoeheren 
Jahrgaengen  war  die  Arbeit  mit  den  Seminaren  der 
Universitaet  vergleichbar .  Angi's  Stunden  in  Latein  und 
Griechisch  waren  sehr  spannend,  es  gelang  ihr  immer,  die 
Klasse  zu  fesseln,  den  Schuelerinnen  mehr  beizubringen , 
ihnen  mehr  als  das  rein  Lernmaessige  des  Stoffes,  ihnen  das 
Einmalige  des  Wesens  der  Antike  nahe  zu  bringen .  Dabei 
machte  ihre  Persoenlichkeit  in  ihrer  Frische  und 
Natuerlichkeit  grossen  Eindruck  tuf   die  Schueler  und  Lehrer. 
Sie  war  so  in  sich  sicher,  dass  sie  auch  die  schwierigste 
Klasse  sofort  fesselte.  Damals  befreundeten  wir  uns,  in 
unendlicher  Intensivitaet  machten  wir  uns  mit  unseren  Welten 
bekannt,  sie  verstaerkte  mir  das  Wesentliche  der  Antike. 
Gewiss  wie  Goethe  in  seiner  Groesse,  und  ich  erzaehlte  ihr 
zum  ersten  Mai  von  der  Problematik  des  Judentums.  Es  war 
Ende  des  Jahres  1931.  Von  aussen  bestand  noch  kein  Zwang, 
sich  zum  Judentum  zu  bekennen .  Keiner  von  Angi's  Freunden 
war  juedisch,  sie  leugnete  damals  nicht,  dass  sie  zur 
juedischen  Rasse  gehoerte,  aber  ohne  jede  Beziehung  zur 
geistigen  Welt  des  Judentums  erkannte  sie  die  Forderung  des 
Volkes  nicht  an.  Volk  und  Heimat  waren  ihr  Deutschland.  Es 
waren  harte  Kaempfe,  die  wir  fuehrten,  ich  dachte  damals 
noch,  man  koennte  Angi  durch  Logik  in  Diskussionen 
ueberzeugen,  bis  ich  merkte,  dass  das  ein  voellig 
unfruchtbares  Mittel  war.  Was  ihr  das  Herz  nicht  sagte, 
konnte  sie  nicht  annehmen,  da  half  keine  Logik. 
Entscheidungen  kamen  ploetzlich  von  innen  heraus ,  ohne 
Gruebeln  und  ohne  irgendwelche  Einfluesse  anderer.  So  hat 
sie  mir  auch  damals  in  nichts  beigepflichtet ,  nur  dass  sie 
durch  mich  mit  den  chassidischen  Geschichten  (von  Martin 
Buber  erzaehlt)  bekannt  wurde,  die  ihr  dann  fuer  immer 
wertvoll  blieben,  lange  Vorbild  des  Lebens. 

sie  lernte  auch  schon,  mir  zum  Gef alien,  hebraeisch, 
und  nach  kurzer  Zeit  lasen  wir  gemeinsam  Tanach[?]  und 
lernten  zusammen  Gedichte.  Angi  hatte  nie  Gelegenheit,  sich 


n    J    u 

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der  Jugendbewegung  anzuschliessen,  ihre  Kindheit  und  Jugend 
waren  viel  zu  erfuellt  gewesen,  als  dass  sie  ein  Beduerfnis 
nach  Freiheit  und  Gemeinschaft  erwecken  muesste.  Bevor  sie 
nach  Berlin  kam,  nahm  sie  an  einem  Arbeitslager 
sozialistischer  [S.  7]  Studenten  und  Arbeiter  teil,  ein 
Lager,  in  dem  Landarbeit  mit  gemeinsamein  Lernen  und  Singen 
verbunden  war,  und  dies  hat  ihr  sehr  gef alien.  Nun  lernte 
sie  durch  mich  die  juedische  Jugendbewegung  kennen .  Sie  nahm 
an  den  Gruppenabenden  der  Werkleute  teil ,  und  lernte  auch 
mit  Begeisterung  alle  Landsknechtslieder  von  mir,  aber  sehr 
schnell  lehnte  sie  jeden  gemeinsamen  Weg  fuer  sich  ab.  Sie 
konnte  nie  eine  Entscheidung  anerkennen,  die  nicht  in  ihr 
selbst  bis  aufs  letzte  gereift  war,  und  daher  waren  ihr  die 
Forderungen  dieser  engen  Lebensgemeinschaft  unertraeglich. 

Trotz  der  interessanten  Taetigkeit  an  der  Berliner 
Schule  und  der  neuen  Freundschaft ,  die  zu  dem  alien  sehr 
ihren  Tag  ausfuellten,  litt  sie  an  der  Grosstadt,  an  dem 
Gef uehl ,  in  dieser  Millionenstadt  ganz  unterzugehen,  ohne 
jemandem  eine  wahre  Hilfe  zu  sein.  Aus  diesem  Gef uehl  heraus 
wandte  sie  sich  an  die  Wohlfahrt,  und  man  uebermittelte  ihr 
die  Betreuung  einer  Frau,  einer  kranken  Schriftstellerin, 
die  mit  ihren  fuenf  kleinen  Kindern  in  einem  Keller  wohnte 
und  unter  der  Last  der  taeglichen  Sorgen  voellig 
zusammenbrach.  Angi  war  nach  kurzer  Zeit  Freundin  und 
Vertraute  der  Frau,  es  gab  nichts,  was  sie  ihr  je 
abgeschlagen  haette.  Sie  uebernahm  alle  schwere  Arbeit  im 
Haus ,  wusch  die  Kinderwaesche  bis  tief  in  die  Nacht  hinein, 
holte  aus  dem  naechsten  Krankenhaus  das  uebriggebliebene 
Essen  fuer  sie  und  sorgte  fuer  Kleider  und  verbrauchte 
ein [en]  Grossteil  ihres  Monatswechsels .  Sie  schickte  die 
Frau  in  kurzen  Abstaenden  zweimal  auf  ihre  Kosten  zur 
Erholung  und  blieb  (waehrend  ihres  Examens  in  der  Woche  der 
national-sozialistischen  Revolution)  mit  alien  fuenf  Kindern 
allein  und  musste  ohne  die  Frau  von  einem  Keller  in  den 
anderen  Ziehen,  sie  gab  ihr  auch  ihr  einziges  Paar  Schuhe, 
well  es  der  gesunden  Angi  ja  wenig  ausmachte,  wenn  sie  mit 
zerrissenen  Sohlen  ginge.  Oft,  wenn  die  kranke  Frau  zu  muede 
war,  uebernahm  sie  auch  die  schriftstellerische  Arbeit,  die 
Edierung  der  Ullsteinromane.  Diese  Hilfe  hat  bis  zu  Angi's 
Alijah  gedauert.  Angi  wanderte  erst  aus,  als  sie  die  Frau 
von  Berlin  fort  nach  Kiel  gebracht  hatte  und  ihr  eine 
schoene  Wohnung  und  ihren  eigenen  Freundeskreis  uebermittelt 
hatte,  und  den  aeltesten  Knaben,  desser  Vater  juedisch  war, 
in  das  Landschulheim  nach  Herrlingen  gebracht  hatte. 

Bald  stellten  sich  ihr  auch  noch  andere  Auf gaben .  Ein 
sehr  stilles,  verschlossenes  Maedchen,  die  sie  in  der  Schule 
in  Griechisch  unterrichtete,  fehlte  oefters  in  der  Klasse 
und  ging  in  ihren  Leistungen  merklich  zurueck.  Angi  sprach 
mit  ihr,  und  Maria,  die  sie  gluehend  verehrte,  vertraute  ihr 
[an],  dass  die  Mutter  sie  und  die  Geschwister  nicht  mehr 
ernaehren  konnte,  und  sie  selbst  gezwungen  war,  nachts  in 
einer  Fabrik  zu  arbeiten.  Da  sie  aber  nicht  aufs  Abitur 
verzichten  wollte,  bot  ihr  Angi  an,  sie  privet 
vorzubereiten .  Von  da  an  war  Maria  taeglich  nach  der 


U     I  I 
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10 


Fabrikarbeit  bei  uns  bis  tief  in  die  Nacht.  Wir  arbeiteten 
einen  richtigen  Stundenplan  aus,  und  wenn  sie  zu  muede  war, 
zahlte  ihr  Angi  den  Wochenlohn  und  sie  blieb  acht  Tage  lang 
ganz  bei  uns.  Es  ist  klar,  dass  nun  [nur?]  Angi's 
Freundschaft  und  Hilfe  Maria  rettete  und  half,  ihre  schwere 
Situation  zu  ertragen.   Oft  musste  sie,  um  noch  Geld  zu 
verdienen,  nachts  im  Variete  auftreten,  und  all  das  ertrug 
sie,  weil  Angi  ihr  eine  geistige  Welt  aufbaute,  frei  von 
alien  Schlagworten. 

So  vergingen  die  zwei  Jahre  in  Berlin  in  einem  intensiv 
ausgefuellten  Tag:  Angie  gewoehnte  sich  an  die  Grosstadt  und 
ihren  Laerm,  sie  hatte  kindliche  Freude  daran,  alle  Stadt- 
und  U-bahnstationen  auswendig  zu  lernen,  die  Nummern  und 
Linien  aller  Autobusse  zu  wissen,  und  wie  man  am  schnellsten 
von  einem  Platz  zum  anderen  kommt.  Sie  unterrichtete  in 
alien  drei  Maedchengymnasien ,  die  es  in  Berlin  gab  und 
ueberall  schloss  sie  Freundschaften ,  und  damit  alles  zu 
seinem  Recht  kam,  musste  sie  jede  Minute  ausnutzen,  schrieb 
die  schoensten  Brief e  im  Fahren,  lernte  und  bereitete  {S.  8] 
Stunden  vor  im  Warten  auf  Freunde  in  der  Stadtbahn  und  im 
Gehen .  Oft  traf  ich  mich  mir  ihr  under  der  Normaluhr  am 
Alexanderplatz,  und  Angi  stand,  die  Mappe  zwischen  den 
Fuessen,  und  las  seelenruhig  ein  philosophisches  Buch. 

Das  Lehrerexamen  fand  in  den  ersten  Tagen  des  April 
1933  statt.  Die  nationalsozialistische  Umwaelzung  hatte  Angi 
mit  einem  Schlag  von  alien  Zweifeln  befreit,  jetzt  spuerte 
sie  ihre  Zugehoerigkeit  zum  juedischen  Schicksal  und 
bekannte  sich  dazu.  Darueber  hinaus  rang  sie  um  den 
Anschluss  an  die  Tradition,  besuchte  Synagogen  und  nahm 
spaeter  regelmaessig  an  den  Schabbat-Abenden  in  der 
Grenadierstrasse  teil;  die  Heiligung  des  Schabbath  war 
Angi's  wertvollstes  neues  Gut,  ihre  starke  Beziehung  zur 
ueberlieferten  Form  verlangte  von  ihr  auch  in  der  neuen 
Religion  die  gesetzmaessige  Bindung.  So  trat  sie  nach 
herkoemmlichem  Brauch  zum  Judentum  ueber,  ohne  auch  nur 
irgendein  Gesetz  zu  vernachlaessigen.  Damals  aenderte  sie 
ihren  Namen,  waehlte  nach  dem  Gebet  aus  Schmuel  I  2  der 
Channah  den  Namen . 

Auch  die  Entscheidung  zur  Alija  kam  ganz  ploetzlich. 
Das  Gegebene  war  Angi's  erster  Plan,  sie  wollte  in 
Deutschland  oder  in  England  an  einem  juedischen 
Landerziehungsheim  nicht-arische  Kinder  unterrichten. 
Mehrere  Lehrer  baten  sie  um  ihre  Mitwirkung.   Ich  war  damals 
in  Frankreich,  Angi's  Mutter  in  der  Schweiz,  meine  Alija  war 
schon  bestimmt,  als  Angi  mich  besuchte,  um  sich  von  mir  zu 
verabschieden.  Ich  hatte  Bedenken  an  ihrem  Plan,  fand,  dass 
sie  ins  Land  kommen  muesste  als  Chalusch  [?}  und  ganz 
abbrechen  mit  allem  Frueheren,  da  gerade  Menschen  mit  dieser 
Arbeitskraft  gebraucht  werden.  Wie  immer,  wich  sie  nicht  von 
ihrem  Plan.  Erst  als  die  Mutter  sich  mit  uns  traf  und  in 
ihrer  grossen  Lebhaftigkeit  Angi's  Stellung  als  einzig 
moegliche  darstellte,  sagte  Angi  sehr  ruhig:  Und  natuerlich 
hat  die  Kaete  recht — ich  werde  nach  Palaestina  gehen.  Im 
Augenblick  war  die  Entscheidung  gef alien,  und  nie  wieder 


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11 


wurde  das  andere  erwogen.  Die  Vorbereitungen  dauerten  nicht 
lange,  in  der  Wartezeit  arbeitete  Angi  als  Fuehrerin  an  der 
ersten  Jugendalijah,  die  spaeter  nach  Ein  Charid  ging  und 
heute  in  Alenim  [?]  ist.  Im  November  [1934]  kam  sie  ins 
Land,  nachdem  sie  sich  von  den  verschiedensten  Freunden  in 
alien  Teilen  Deutschlands  verabschiedet  hatte.  Sie  bat  in 
der  Olej  [ ? ]-Germania,  dass  man  sie  in  einen  Kibbuz 
einteilte,  wo  nur  Hebraeisch  gesprochen  wird.  Bei  ihrer 
Fahrt  durchs  Land  hatte  sie  Beth  Sera  [?]  besucht  und  sich 
dort  sehr  wohl  gefuehlt,  nur  wurde  zu  wenig  Wert  auf  die 
Sprache  gelegt.  Deshalb  entschloss  sie  sich,  nach  einem 
anderen  Ort  ohne  Deutsche  zu  gehen.  Man  schickte  sie  nach 
Gewath  [?].  Damals  war  es  noch  eine  kleine  Kwuzah  [?],  alle 
waren  von  Kindheit  an  miteinander  bekannt,  alle  aus  Pinsk, 
und  Angi  die  erste  Deutsche.  Es  war  unendlich  schwer  fuer 
sie  und  fremd.  Ganz  allmaehlich  erst  befreundete  sie  sich 
mit  einigen  Familien.  Die  Arbeit  war  ihr  ein  grosser  Trost. 
Sie  hatte  ungeheures  Verlangen  nach  schwerer  Erdarbeit,  nach 
Pflanzen  und  Saeen.  Als  man  sie  zum  Kuechendienst  einteilte, 
wie  das  so  ueblich  ist,  ging  sie  in  den  freien  Stunden  in 
den  Gemuesegarten  arbeiten,  und  als  man  es  ihr  verbot,  weil 
ja  kein  Chawer  [?]  mehr  als  9  Stunden  arbeiten  soil,  war  sie 
sehr  betroffen.  Es  war  fuer  sie  wie  der  Verlust  der 
persoenlichen  Freiheit,  dass  man  ihr  untersagte,  ausser  der 
geforderten  Arbeit  der  geliebten  Beschaeftigung  nachzugehen, 
Blumen  und  Gemuese  zu  pflegen.  Schlimm  genug  war  es  schon, 
wenn  alle  mit  dem  Laeuten  Schluss  machten  und  das  auch  von 
ihr  verlangten.  Es  wurde  aus  diesen  Zusammenstoessen  immer 
klarer,  dass  dies  nicht  der  Weg  sei.  Im  ersten  Winter  zwang 
sie  sich,  trotz  grosser  Muedigkeit  an  den  Versammlungen 
teilzunehmen,  aber  ihr  war  die  Art  der  Diskussionen  und  das 
viele  Reden  an  sich  so  verhasst. 

Nach  einem  dreiviertel  Jahr  verliess  sie  Gewath,  um 
einige  Zeit  in  Jerusalem  zu  leben.  In  diesem  Winter  lernte 
sie  intensiv  hebraeisch.  Wir  veranstalteten  schoene 
Leseabende,  in  denen  wir  Shakespeare  gemeinsam  mit  Freunden 
lasen,  machten  [S.  9]  schoene  Ausfluege  und  Spaziergaenge  in 
die  Altstadt.  Angi  fuehlte  sich  in  Jerusalem  heimisch  und 
liebte  die  Stadt  in  ihrer  Landschaft  mit  reichlichem 
Heimatgefuehl,  und  immer  wieder  in  spaeteren  Jahren  zog  es 
sie  zu  ihr  hin  und  gab  ihr  Kraft,  in  anderen  Teilen  des 
Landes  zu  leben.  Nach  einem  halben  Jahr,  in  dem  sie  in  der 
Stadt  als  Koechin  arbeitete,  ging  sie  zurueck  aufs  Land, 
diesmal  nach  Ein  Chaj  [?]  ins  Seharen  [?],  um  sich  ganz 
intensiv  im  Gemuesebau  auszubilden.  Ich  hatte  damals  als 
Lehrerin  in  einer  Altstadtschule  Jerusalems  ein  kleines 
Maedchen  Nefa  zu  mir  genommen,  die  in  grenzenloser  Armut, 
verkommen  an  der  Klagemauer  bettelte,  kaum  sprechen  konnte, 
und  wie  eine  kleine  Wilde  herangewachsen  war.  Angi  nahm  das 
Kind  zu  sich  in  ihr  kleines  Stuebchen  nach  Ein  Chaj .  Sie 
verdiente  20  Grusch  [?]  pro  Tag  und  war  nach  ihren  Begriffen 
millionaerisch  reich.  Das  Kind  entwickelte  sich  gut  und 
wurde  allmaehlich  ein  kleiner  Mensch. 


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12 


Es  war  dies  ein  ruhiges,  glueckliches  Jahr,  die  meisten 
Schabbetet  verbrachten  wir  gemeinsam,  und  da  ich  mich  auf 
das  Lehrerexamen  vorbereitete,  lernte  Angi  alles  mit  mir 
mit,  die  schwierigen  Stellen  im  Tanach  und  der  Mischna  und 
alles,  was  ich  lernen  musste. 

Im  Fruehling  [1936?]  kam  Angi's  Mutter  zu  Besuch,  sie 
gingen  gemeinsam  nach  Mogged  [ ? ] ,  wo  Angi  f uer  ein  neues 
Landschulheim  den  Gemuesegarten  einrichtete.  Dann  entschloss 
sie  sich,  in  einem  Moschav  Ovdim  [?]  zu  arbeiten,  urn  die 
gemischte  Wirtschaft  kennen  zu  lernen,  weil  diese  Form  der 
privaten  und  doch  gemeinsamen  Wirtschaft  ihr  am  meisten 
zusagte.  Sie  ging  nach  dem  Sueden,  nach  Beer  Tuviah  [?], 
befreundete  sich  innig  mit  der  Familie,  bei  der  sie 
arbeitete,  und  fuehlte  sich  in  diesem  Dorfe  sehr  wohl .  Und 
doch  beschloss  sie  nach  Verlauf  eines  Jahres,  etwas  Eigenes 
zu  gruenden,  sie  sehnte  sich  sehr  nach  eigenem  Schaffen. 
Durch  Zufall  erfuhr  sie  von  einer  Gruppe,  die  auf  dem 
Carmel,  in  einer  Art  Cooperative  spaeter  ein  Moshav  Avedah 
[?]  sein  wollte,  am  Bau  der  dorthin  fuehrenden  Chaussee 
arbeiten  [wollte]  und  fuer  einen  Teil  des  Lohnes  Land 
bekamen .  Wir  fuhren  gemeinsam  herauf,  und  schon  auf  der 
Fahrt  dahin  schien  es  uns,  dass  dies  der  schoenste  Ort  im 
Lande  sei.  Als  wir  in  die  alte  Kreuzfahrerburg  kamen  und  die 
Berge  von  dort  aus  sahen,  war  der  Beschluss  fest  gefasst. 
Hier  sollte  Angi  ihr  Land  erwerben.   Dazu  die  besonders 
glueckliche  Zusammenstellung  der  Gruppe,  in  der  einige  nette 
Jungen  waren,  die  dem  Misrachi  [?]  angehoerend,  die 
Tradition  hielten,  etwas  wonach  sich  Angi  gesehnt  hatte.  In 
dem  Gedanken  an  dieses  Land,  sie  hatte  sogar  schon  gewaenlt, 
fuhr  sie  nach  Italien,  um  sich  in  Como  mit  der  geliebten 
Pflegemutter  zu  treffen.  Die  Reise  bedeute  fuer  sie  mehr  als 

seelischer  Kraefte.  Die  Begegnung  mit  vielen 
die  inzwischen  in  alle  Welt  zerstreut  waren, 
ihrem  Eigenen,  und  zeigte  ihr  noch  einmal 
Verbundenheit  mit  der  abendlaendischen 
wenige  Wochen  in  Florenz,  genoss  die  Museen 
und  die  Reproduktionen,  die  sie  heimbrachte,  waren 
taegliche  Freude.  In  Florenz  traf  sie  sich  mit 


ein  Auffrischen 
nahen  Freunden, 
staerkte  sie  in 
ganz  stark  ihre 
Kultur.  Sie  war 
taeglich, 
dann  ihre 


ihrer  Mutter  und  wohnte  bei  Verwandten.  Einmal  spielte  sie 
mit  den  Kindern  ihrer  Cousine  am  Strand,  und  ganz  in 
Gedanken  fing  sie  an,  ihnen  aus  Sand  einen  grossen  Meschek 
[?]  (farm)  zu  bauen .  "Hier  ist  der  Kuhstall,  hier  ist  das 
Haus,  der  Gemuesegarten,  die  Blumen  etc."  Zu  den  Kindern 
gesellten  sich  die  Erwachsenen,  als  Angi  von  ihrem  Plan  auf 
dem  Carmel  erzaehlte  und  von  Jaaroth  Hasarmel  [?]. Spaeter 
fragte  dann  ihre  Cousine,  wie  man  ihr  dazu  verhelfen 
koennte,  sie  nannte  eine  Summe  und  bekam  sie  versprochen.- 
In  groesster  Freude,  dass  sie  nun  ein  Eigenes  anfangen 
koennte,  fuhr  sie  nach  England,  um  auch  dort  noch  nahe 
Freunde  zu  besuchen.  Nach  dreimonatiger  Abwesenheit  kam  sie 
im  Winter  1937  zurueck  und  ging  nach  Jaaroth  Hasarmel. 
Zum  ersten  Mai  seit  sie  im  Lande  war,  lebte  sie  in  ihrem 
Eigenen,  sie  kaufte  sich  einen  winzigen  Lift,  und  richtete 
ihn  wie  ein  Puppenhaus  ein.  Um  ihn  [S.  10]  herum  pflanzte 


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13 


sie  Blumen  und  Ranken  und  bald  war  der  alte  Hof  voll  von 
Angi's  Blumen.  Ein  kleines  Stueck  Boden  richtete  sie  als 
Gemueseland  her,  machte  eine  Mauer  aus  grossen  Steinen 
darum,  ebnete  den  Boden,  und  urn  ihn  zu  pfluegen,  holte  sie 
Erde  dazu  und  grub  einige  Male  tief  urn.  Von  frueh  bis  spaet 
nach  Sonnenuntergang  rodete  Angi  und  bereitete  den  Boden  vor 
fuer  die  Obst-Baeumchen,  die  sie  darauf  pflanzen  wollte.  Urn 
zu  bewaessern,  musste  sie  das  Wasser  in  Pachim  (Tin)  weit 
den  Berg  herauftragen  aus  dem  Wadi  (Flusstal).  An  heissen 
Tagen  schleppte  sie  oft  30  Pachim  Wasser.  Die  Baeumchen 
standen  schoen  und  Mais  und  Gemuese  waren  gesaet,  aber  das 
Arbeiten  ganz  allein  im  Wadi  war  schon  gefaehrlich.  Angi 
kannte  kein  Gefuehl  der  Angst,  sie  erklaerte  es  aus  ihrer 
Phantasielosigkeit  heraus,  dass  sie  nur  der  Augenblick  der 
Handlung  interessierte,  nicht  Dinge,  die  ausserdem  geschehen 
koennten  eventuell.  Und  doch  wusste  sie  genau,  wie  wir  alle, 
dass  sie  an  einem  sehr  gefaehrdeten  Platz  allein  stand.  Bei 
dem  ersten  grossen  Angriff  auf  die  Arbeiter,  die  die 
Landstrasse  nach  Athlit  bauten,  hoerte  Angi  die  Schuesse 
nah  von  sich,  als  sie  allein  auf  ihrera  Land  arbeitete. 
Damals  fiel  Mordechai  Beer,  das  geistige  Haupt  der  Gruppe, 
mit  dem  Angi  oft  bis  tief  in  die  tiefe  Nacht  hinein  Tanach- 
Talmud  gelernt  hatte  und  der  bei  den  Festen  den  Ton  angab. 
Damit  erhielt  die  kleine  Gruppe  einen  gefaehrlichen  Stoss. 
Es  kamen  zwar  viele  Neue  heraus,  das  taegliche  Leben  war 
[jedoch]  eine  dauernde  Bedrohung. 

Nach  der  grossen  Spannung  der  Wachen  und 
Befestigungsarbeiten  erkrankte  Angi  sehr  schwer,  wochenlang 
in  hohem  Fieber  mit  grossen  Schmerzen,  bis  man  endlich 
Malaria  entdeckte.  Wochenlang  war  sie  in  Lebensgefahr ,  und 
schliesslich  ueberwand  sie  auch  diese,  wie  die  erste  grosse 
Krankheit  als  Studentin,  fast  zur  Verwunderung  der  Aerzte. 
In  der  Zeit  festigte  sich  ihre  Freundschaft  mit  einem  der 
Chaserim  (Kamerad)  Dow  immer  mehr.  Als  sie  das  erste  Mai 
wieder  spazieren  gehen  durfte,  besuchten  sie  die 
(militaerischen  Waechter)  Gafirim  von  Jaaroth  in  Haifa,  sie 
begleitete  sie  noch  zum  Auto  und  wollte  schon  selbst 
herauf stei^an  aus  ploetzlicher  Sehnsucht  nach  dem  Ort  und 
den  Menschen.  Dow  fand  es  zu  anstrengend  und  hielt  sie 
zurueck.  Auf  dieser  Autofahrt  von  Haifa  nach  Jaaroth  kamen 
von  den  13  Insassen  des  Auto  12  urn,  darunter  Dow.  (Die 
Araber  hatten  den  Weg  vermauert  und  dann  das  Auto 
angegrif fen. )  Dies  Unglueck  ist  ein  entscheidender 
Einschnitt  in  Angi's  Leben  gewesen.  Sie  sagte  mir  damals: 
Bis  jetzt  traf  es  immer  nur  andere,  dass  ihnen  der  geliebte 
Mensch  fiel,  diesmal  mich  selbst.  Ich  muss  auch  damit 
fertigwerden.  Sie  suchte  den  Platz,  der  damals  am  meisten 
gefaehrdet  war,  Ramat  Hakovesch  [?],  arbeitete  an  alien 
schweren  Arbeitsplaetzen,  und  trotz  ihrer  grossen  Einsamkeit 
fand  sich  auch  dort  allmaehlich  ein  kleiner  Freundeskreis  urn 
sie.  Am  Jahrestag  des  Ueberfalls  fuhr  sie  zur  Gedenkfeier, 
und  von  dort  an  trennte  sie  sich  nicht  mehr  von  ihrer 
Landschaft.  Sie  pflanzte  neue  Baeume,  die  alten  hatten  die 
Araber  umgehauen,  machte  sich  neues  Gemueseland  zurecht. 


/  /     U     U 

U       f       f 


14 


kaufte  sich  eine  Ziege  und  einen  Esel  und  fing  noch  einmal 
in  ihrem  Puppenhaus  dies  Leben  von  vorne  an.  Aber  wie  anders 
diesmal.  Es  war  keine  Gruppe  Gleichgesinnter  mit  ihr, 
zeitweise  war  der  Kibbuz  Beth  Oren  [ ? ]  am  selben  Platz,  und 
Angi  litt  unter  dem  Laerm  und  dem  ungewohnten  Getriebe.  Als 
sie  dann  fortgingen,  war  eine  grosse  Einsamkeit  am  Platze, 
nur  wenige  Familien,  zwischen  denen  zwar  f reundschaf tliche 
Nachbarbeziehungen  herrschten,  aber  doch  keine  Gemeinsamkeit 
der  Ideen  und  Ziele  wie  frueher. 

Von  Zeit  zu  Zeit  nun  stieg  Angi  von  ihrem  Berg 
herunter,  ihre  Freunde  zu  besuchen  und  neue  Kraft  zu 
sammeln,  die  menschliche  Einsamkeit  zu  tragen,  jedoch  nach 
kurzer  Zeit  trieb  es  sie  immer  wieder  zurueck,  sie  konnte 
sich  nicht  trennen,  sie  gehoerte  zu  ihrer  Erde  und 
Landschaft,  ihr  Gemuese  und  [ihre]  Blumen  forderten  sie 
zurueck.  So  lud  sie  alle  ihre  Freunde  zu  sich  ein,  nahm 
viele  Gaeste  auf,  um  sie  [S.  11]  an  der  Blumenfuelle  und 
Ruhe  der  Landschaft  teilnehraen  zu  lassen.  Sie  holte  die 
vielen  Fruechte,  die  dort  wild  wuchsen,  selbst  von  den 
Baeumen.  Jede  Mahlzeit,  die  Angi  bereitete,  war  ein  kleines 
Festessen. 

Vier  Jahre  lang  lebte  Angi  auf  ihrem  Berge;  vier  reiche 
Jahre,  riech  an  Erleben,  an  Leiden  und  an  Wachsen.  In  dieser 
Zeit  kam  sie  ganz  zu  ihrer  eigenen  geistigen  Welt  zurueck. 
Sie  las  sehr  wenig,  aber  in  den  wenigen  Dichtungen,  die  sie 
liebte,  fand  sie  den  Spiegel  ihres  eigenen  Erlebens.  So  war 
ihr  jede  Zeile  Rainer  Maria  Rilkes  wie  eine  Offenbarung, 
Gestaltung  ihres  eigenen  Gefuehls:  "Faenden  wir  auch  ein 
reines,  verhaltenes,  schmales  Menschliches,  einen  unserer 
Streifen  Fruchtlandes  zwischen  Strom  und  Gestein."  Diese 
Saetze  aus  den  Elegien  in  der  Geformtheit  der  dichterischen 
Sprache  enthielten  Angi's  Beziehung  zur  Erde  und  ihren 
Dienst  an  ihr.  Auch  fuer  die  feinsten  Schwingungen  ihres 
Erlebens  fand  sie  Ausdruck  in  seinen  Brief en  und  Gedichten. 
Immer  mehr  ersetzten  ihr  diese  Verse  eigenes  Sprechen. 

Die  andere  Quelle  ihrer  Kraefte,  zu  der  sie  mit  grosser 
Freude  sich  zurueckbekannte,  war  Homer.   Jeden  Abend  nach 
der  Arbeit  las  sie  200  Verse  und  empfand  wieder  das 
einzigartige  dieser  Welt,  das  auch  sie  mitgepraegt  hatte. 
Trotz  der  vielen  Jahre  des  scheinbar [en]  Versinkens  wurde 
ihr  immer  klarer,  dass  dies  der  wahre  Sinn  ihrer  geistigen 
Welt  war  und  juedisches  Wissen,  das  sie  mit  grossem  Fleiss 
und  Muehe  erworben  hatte,  doch  nicht  ihrem  Wesen  entsprach. 
Aber  sie  gab  den  Kampf  um  das  Juedische  nicht  auf.  Als  ihr 
klar  geworden  war,  dass  ihr  der  Talmud  und  die  hebraeischen 
Klassiker  eine  fremde  Welt  des  Caluth  [?]  darstellten, 
nichts  mehr  zu  sagen  hatten  und  ihr  nie  eigner  Ausdruck  sein 
konnten,  suchte  sie  eine  Synthese — die  Sprachschoepfung  in 
der  hebraeischen  Uebersetzung  der  von  ihr  geliebten  Dichter. 
Immer  mehr  beschaeftigte  sie  sich  mit 
Shakespeares,  Rilkes  und  Goethes.  Zum 
mit  eigenen  Kraeften  und  freute  sich, 
Gleichgesinnter  Anerkennung  fuer  Ihre 


Uebersetzungen 
Tail  versuchte  sie 
wenn  sie  im  Kreis 
Bemuehung  fand . 


es 


n   u    L 
u     f    J 


15 


Und  doch  draengte  sich  immer  wieder  die  Frage  auf,  ob 
sie  in  der  Zeit  des  Krieges  so  fern  von  allem  Geschehen  nur 
in  ihrer  eigenen  Welt  leben  duerfte,  ob  auch  sie  nicht 
verpflichtet  waere,  in  dem  Krieg  mitzuhelfen.  Schliesslich, 
im  Fruehjahr  1943  entschloss  sie  sich,  zum  Militaer  zu 
gehen .  Es  fiel  ihr  sehrs  chwer,  sich  von  ihrer  Freiheit  und 
Einsamkeit  zu  trennen,  aber  als  sie  sich  entschlossen  hatte, 
sah  sie  es  von  den  besten  Seiten  an,  fand  auch  in  Sarafand 
[?],  im  Vorbereitungslager  wieder  eine  wirkliche  Freundin. 
In  Aegypten,  in  der  Wueste,  arbeitete  sie  in  einem 
Krankenhaus  als  Schwester,  nach  einem  Monat  Tagdienst,  der 
ihr  zu  leicht  war,  als  Nachtschwester  zwei  Monate  lang,  und 
war  sehr  gluecklich,  dass  die  Patienten  sie  liebten,  und  sie 
durch  ihre  grosse  Fuersorge  ihnen  die  Schmerzen  etwas 
erleichtern  konnte.  Sehr  erfuellt  kam  sie  im  August  zurueck 
zum  Urlaub.  Die  Zeit  schien  ihr  zu  kurz,  so  viele  nahe 
Freunde  musste  sie  sehen  und  doch  auch  nach  dem  Land  und  den 
Baeumen  schauen .  Am  ersten  Abend,  als  sie  nach  Hause 
gekommen  war,  sie  hatte  gerade  die  Sachen  in  ihren  Lift 
gelebt  und  bei  den  Freunden  Tee  getrunken ,  lief  sie  schnell 
aufs  Land  hinunter,  und  als  sie  den  alten  Nussbaum  sah,  wie 
jedes  Jahr  voller  Wallnuesse,  stellte  sie  den  Spaten  zur 
Seite  und  kletterte,  wie  jedes  Jahr,  hinauf,  aus  dem  Vollen 
zu  pfluecken.  (Angi  war  von  Kindheit  an  gewohnt,  auf  die 
hoechsten  Baeume  zu  klettern  und  von  einem  Ast  auf  den 
anderen  zu  springen.)  Der  Ast  war  morsch  und  Angi  fiel  von 
fuenf  Meter  Hoehe  auf  das  Eisenrohr,  das  als  Bewaesserung  zu 
ihrem  Garten  fuehrte.  Sie  merkte  sofort,  dass  sie  gelaehmt 
war  und  dachte  auch,  dass  sie  gleich  sterben  muesste.  Der 
Gedanke,  so  oft  frueher  gedacht  und  nun  ganz  wirklich  und 
nah,  erschreckte  sie  [S  12]  nicht  im  geringsten.  Als  man  sie 
unter  grossen  Qualen  ins  Krankenhaus  brachte,  verlor  sie 
keine  Minute  die  Besinnung,  und  nach  alien  verbrachten 
Schmerzen  konnte  sie  es  noch  bedauern,  dass  ich  den  Unfall 
durch  die  Zeitung  erfahren  hatte  und  mich  sicher  erschreckt 
haette. 

Die  fuenfmonatige  Leidenszeit  bestand  Angi  in 
ungeheurem  Heldenmut.  Es  beglueckte  sie  in  der  Zeit 
besonders,  wie  viele  Menschen  an  ihrem  Schicksal  teilnahmen 
und  durch  Besuche  und  freundliche  Aufmerksamkeit  sie  ihre 
Naehe  fuehlen  liessen.  Dies  bestaerkte  sie  immer  wieder  in 
ihrer  Ansicht,  dass  die  Menschen  eigentlich  ja  nicht 
schlecht  seien,  denn  so  viel  Liebe  und  Freundschaft  haette 
sie  garnicht  verdient. 

Immer  blieb  sie  uns  alien  gegenueber  gleich  freundlich 
und  dankbar,  und  wenn  die  Schmerzen  nicht  voellig 
gedankenraubend  ueberhand  nahmen,  konnte  sie  sich  oft  ueber 
sie  hinweg  setzen,  lesen,  zuhoeren  und  an  fremden 
Schicksalen  teilnehmen. 

Von  der  Zukunft  sprach  sie  nicht  viel.  Sie  bat  uns, 
dass  wir  sie  nicht  zwingen  sollten,  leben  zu  bleiben,  wenn 
ihr  die  fruehre  Koerperkraft  fehlte.  Oft  machte  es  den 
Eindruck,  [als]  ob  sie  nur  uns  zu  Gefallen  an  die  Genesung 
glaubte,  oft  hatte  ich  den  Eindruck,  sie  taete  es  aus 


/  /    U     L 
U       I    U 


16 


grosser  Vitalitaet,  die  nur  ihr  zu  eigen  war.  Einmal  sagte 
sie  mir,  dass  sie  auch  dies  als  ganz  hereingefuegt  in  ihr 
Schicksal  empfaende  und  Hiobsaehnliches  Hadern  ihr  ganz 
fremd  waere.   Sie  war  bereit  zu  sterben,  ihr  Leben  war 
uebervoll  und  reich  gewesen . 


[S.  13]  Auszuege  aus  einigen  Brief en. 

1938.  Es  ist  fast  das  Einzige,  was  mich  von  mir  selbst 
losreist,  wenn  ich  anderen  helfen  kann,  dabei  fuehle  ich 
meine  Kraft  und  irgend  eine  besondere  Faehigkeit,  da  scheint 
es  mir,  waehrend  ich  zum  Geistigen  ja  keinen  Zugang  habe, 
ich  glaube,  das  wuerde  erst  wieder  kommen,  wenn  das 
persoenliche  Leben  richtig  erfuellt  waere. 

Neulich  musste  ich  den  Kwisch  (Weg)  zum  Bungalow 
reinigen,  der  Kibbuz  pfluegte  unten,  verbrannte  Kesim 
(Dornen)  und  ploetzlich  griff  das  Feuer  ueber  und  raste  den 
Berg  herauf,  ergriff  Straeucher  und  Baeume,  und  es  schien, 
als  wuerde  ein  grosser  Waldbrand  noch  alles  zerstoeren,  was 
damals  uebrig  geblieben  ist.  Es  war  schrecklich,  ich  stand 
und  kaempfte  wie  wahnsinning  um  jeden  Baum,  hackte  mit  der 
Tuna  [?}  (grosse  Hacke)  in  die 
Paar  grosse  Baeume  am  Hang,  nur 
bisschen  an.  Schliesslich  kamen 
und  es  gelang  uns  noch  gerade  zu 


Flammen  und  rettete  auch  ein 
unten  brannten  sie  ein 
sie  von  oben  mir  zur  Hilfe, 
loeschen,  bevor  es  an  die 


dichteren  Baeume  kam,  wo  es  dann  unrettbar  gewesen  waere. 
Noch  Glueck,  man  war  wie  erloest,  als  ueberall  das  Feuer  aus 
war. 


"MIt  einem  Tropfen  aus  dem  Becher  der  Liebe  haelt  sie 
fuer  ein  Leben  voll  Mueh  und  Noeten  schadlos . "  (Natur — 
Goethe) 

31.  12.  40. 

Mit  dem   .lien  Liebe  festhalten,  kann  man  freilich 
nicht,  aber  doch  Schwaechen  des  anderen  hinnehmen  und  nicht 
gleich  verurteilen  und  sich  abstossen  lassen  von  etwas,  was 
einem  fremd  ist  am  anderen  oder  nicht  gefaellt. 

Mir  geht  es  nicht  schlecht,  viel  besser  als  ich 
erwartete,  erstens  wohl  wegen  meiner  Stehaufmaennchennatur, 
dass  mich  Arbeit  im  Fruehling  und  Sturm  doch  wieder  freut 
und  mir  Lebensgeist  einf loesst--zweitens  well  ich  die 
Hoffnung  nicht  aufgeben  habe,  was  wohl  toericht  genug  ist, 
aber  ich  kann  nicht  anders. 

Neulich  traf  ich  mich  zufaellig  mit  X  (ich  war  mit  dem 
Esel  in  der  Stadt)  und  noch  stundenlang  sass  ich  mit  ihr 
allein;  sie  hat  mir  viel  und  sehr  offen  von  sich  erzaehlt, 
fuer  mich  so  erschuetternd,  wieder  einmal  ein  Blick  in  den 
Abgrund  menschlichen  Wesens  und  Schicksals — das  hilft  mir 
immer,  auch  mein  eigenes  mehr  einzuordnen  und  in  der  Reihe 


/     /  /     U 

I     U       I 


17 


der  vielen  zu  sehen.  Und  diese  Naehe  des  Wissens  zu  einem 
Menschen,  der  einem  so  gefaellt,  hat  etwas  Beglueckendes. 

Ja,  ich  hatte  eigentlich  keine  Zeit,  fand  es  aber 
gleich  und  das  Gespraech  wichtiger,  und  auf  diese  Weise  ritt 
ich  erst  urn  einhalb  fuenf  von  Achuzah  [?}  weg,  in  solchem 
Sturm,  dass  wir  uns  kaum  auf  den  Beinen  halten  konnten,  der 
Esel  die  komischsten  Verrenkungen  machte,  und  ich  fast 
erwartete,  wir  wuerden  mit  dem  Sturm  im  Grunde  landen,  oder 
es  wuerden  uns  Fluegel  wachsen  wie  in  1001  Nacht.  Hinter  der 
Chaibe  [?}  etwas  Regen,  dann  bald  Stockf insternis,  Stolpern 
ueber  jeden  Stein,  so  dass  ich  lieber  den  Esel  fuehrte,  da 
fiel  das  Gepaeck  mit  grossem  Schwung  runter,  und  der  Sattel 
ging  nicht  wieder  rauf  und  nichts  zu  sehen,  nur  schliesslich 
gings  doch  [S.  14]  noch,  ich  stieg  wieder  auf,  hielt  mich 
muehsam  auf  der  Seite  vom  Abgrund  fest,  den  ganzen  Weg  laut 
singend,  um  den  Esel  zu  ermuntern  und  mich  zu  erwaermen, 
alle   Landsknechtslieder  und  lustigen  Lieder,  die  ich  je  bei 
Dir  gelernt  hatte.  Das  ganze  war  sehr  lustig  und  machte  mir 
schrecklich  gute  Laune,  ich  kam  gegen  8  [?]  durchfroren  und 
durchgeblasen,  aber  durch  und  durch  erfrischt  nach  Haus. 

11.  3.  42. 

Heute  habe  ich  einen  Tag  frei,  habe  ein  Viertel 
[Dumen??}  Mais  gesaet  und  das  Land  hergerichtet . .  auch  viele 
Abatichim  [?]  (Wassermelonen)  fuer  die  Schakale.  Alles  macht 
mir  grosse  Freude,  Schabbat  habe  ich  die  erste  Haelfte 
meines  Griechenvortrags  gehalten,  fast  unvorbereitet,  nur 
mit  ein  paar  Stichworten.  Ich  hatte  Angst  wie  ein  kleines 
Schulmaedchen,  aber  dann  ging  alles  gut,  obwohl  ich  selbst 
nicht  zufrieden  war.  Es  ist  ja  kaum  moeglich,  Menschen,  die 
keine  Ahnung  haben,  von  dieser  Welt  einen  Begriff  zu  geben, 
jedenfalls  kann  ich  es  nicht. 

Und  doch  die  geistigen  Dinge  an  und  fuer  sich  haben  ihr 
Recht  auch  in  unserer  Zeit,  immer  mehr  sehe  ich  das 
Bleibende  und  Legitime,  nachdem  ich  jahrelang  versucht  habe, 
ganz  in  der  Realitaet  zu  leben.  Ich  meine,  es  gibt  so  viele 
Realitaeten,  nicht  gerade  diese  eine,  die  mir  manchmal  fast 
traumhaft  entgleitet. 

Der  letzte  Brief 

Es  geht  mir  in  der  grossen  Linie  gut,  die  Massage  ist 
fabelhaft,  und  die  Beine  werden  langsam  wieder  beweglich. 
Ich  habe  wieder  Blasenschmerzen  und  Zehjucken,  dass  ich 
nachts  nicht  schlafen  kann,  aber  es  ist  nicht  so  schlimm. 
Ich  lese  gerade  in  vielen  Sprachen,  "La  Chartreuse"  von 
Stendhal  auf  f ranzoesisch,  "Die  goettliche  Komoedie"  auf 
italienisch,  "The  Voyage"  auf  englisch,  eines  der  schoensten 
Buecher,  die  ich  seit  langem  gelesen  habe  und  wuensche,  wir 
koennten  es  zusammen  lesen. 


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#«/2ia*^<<3r 


Max  M.  Heller 
'j4Fontainet)leau  Dr. 
New  Orleans  L.A. 


November  19,  1941, 


Sehr  geehrte  i;'rau  3alz! 


cjch  erhalte  soeben  Jhren  w.  Brief  irnd  hat  mich  das  ISchicksal 
Jhrer  teueren  Cousine  nicht  unverhofft  getroflf en.Meine  l.jbltern  und 
meine  Schwester  in  Wien  sowie  mein  Schwager  mit  Familie  in  Prag  waren 
demselben  Schicksal  ausgelief ert,-  Heute  beKamen  wir  einen  Brief  von 
meinen  in  Berlin^  lebenden  Schwiegerelt em (Hammer  in  Halensee) 
datiert  v.  28.0ktober.  Hie   schreiben  u.a.  dass  die  Angele^^enheit 
g.s.d.  sicn  zum  Guten  gewendet  hat  und  nun  miissen  sie  wieder  alles 
einrauinen.bie  sind  in  der  wohniiiig  geblieben  u.s.w.x^iin  ist  die  schlim- 
mste  G-efahl?  voruber. 

Sie  konnen  sich  denken,  sehr  geehrte  i^rau  ialz,  dass  wir  alles 
versucht  haben  zu  helfen,  aber  leider  ohne  jeden  Erf olg.Fiir  uns  als 
i'remde  u.  Refugees  ist  es  doppelt  schwer.wir  sind  ja  erst  4  Monate 
im  Lande. 

^erm   wir  (xei-trud  Kantorowicz  helfen  kbnnten,  so  wtirden  wir  es 
mit  denselben  Kraften  tun,  wie  fiir  unsere  anderen  Lieben  die  uns 
nahe  am  Herzen  liegen.i'rau  ^^^antorowicz  war  und  ist  einm  Mensch  der 
selbst  immer  dort  geholfen  hat,  wo  die  Not  am  grbsaten  waro 

r.s  ist  sehr  leicht  mbglich,  dass  ich  in  Gertruds  ilreisen,  auch  Sie 
kennen  gelernt  habe,  Leider  kann  ich  mich  aber  nicht  mehr  entsinnen. 

Nun  kennen  wir  eine  iPrau  Pamilie  Mohr  und  diese  Uame  kennt  auch 
die  Goasine  von  Gertrud  in  Lissabon,  Frau  Sluzewski.  Jhren  durfte 
dann  diese  Cousine  ja  auch  bekannt  sein.  Frau  Mohr  hat  einen  iiJii«r 
einen  Schwager  und  heisst  Prof.  Landauer.  Mbglicherweise  kbnnte 
dieser  Herr  Prof.  Landauer  ftir  Jhre  Cousine  etwas  erreichen  und 
half  en. Die  Adresse  von  i?'rau  Mohr,  bitte  berufen  Sie  sich  auf  uns, 
ist:  Mrs.  Jlse  Mohr 

1912  Rose  Street 
Berkelev-glllCalif. 

Vi/ir  wcrden  auch  an  Prau  Mohr  schreiben  und  sie  bitten  bei  Jhrem 

Schwager  zu  erreichen,  was  nur  mbglich  ist. Wir  haben  i?'rau  Mohr  auf 

dem  Schiife  kennen  gelernt  dadurch,  dass  sie  uns  Griisse  von  i'rau 

Sluzewski  ausgerichtet  hat. 

Da  die  Verschleppiing  nach  Polen  bestimmt  gestoppt  worden  ist,  so 

hat  man  wenigstens  Zeit  in  Kuhe  fur  die  Lieben  im  Reich  zu  sorgen. 

Wie  mir  bekannt  ist,  so  ist  die  Aktion  deswegen  abgebrochen  worden, 

weil  Heerund  Jndustrie  dagegen  protestiert  hatten. 

Jn  dieser  t.oche  geht  noch  ein  Brief  ab  an  Jhre  Cousine  und  meine 

Schwiegereltern  werden  sich  cbenfalls  mit  ihr  in  Verbindung  setzen. 

Sobald  ich  etv/as  Naheres  erfahren  sollte,  lasse  ich  Jhnen  soffrt 

Nachricht  zukommen  und  bitte  Sie  dasselbe  zu  tun. 


Mit  den  herzl, 
1.  Frau,    Jhr 


Griissen  von  mir  vjrA  meiner 
ergeb. 


/  /    L      J 
U    U    L 


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Max  1*1.   Heller 

94  Pontainebleau  7) 

Nevv   Orleans   L.A. 


[this  side  OFCARD  igybRV^bPRESS  ) 


Mrs.    bophie   i^alz 
2804   Stratford  xvd. 
ColumlDus,    0, 


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November  IJ.    1941 

SeluF^eehrte  Frau  Salz!    Jch  habe   Jhre   ;5uchanzei£ 
im  Aufbau  gelesen  iind   telle   Jhnen  hofl.   rait,dass 
ich  I'rl.    Dr.   jxantorowicz,    Berlin,    Lutzowplatz  19 
sehr  gut   icenne  und   befreundet  war. Jch  habe   sie 
zuletzt   im  l.ionat  luai  lj41  tiSsprochen  und  verab- 
schiedet  und  blieb   aucii  weiter   in  correspond enz. 
Sollte   es   die   fragliche   i^ame   sein,    so   bin  ich 
gerne   bereit   Jhnen  mit   I\laherem  zu  dieuen  \ind   es 
v/iirde  mich   gleiciizeitig   sehr   intere&sieren  zu 
erfahxen,    urn  was   es    sich  handelt. 
Jhre  w.    Antwort    sehe   ich  mit   Jnteresse   ent^egen. 

Mit   vorzuglicher  Hochachtung. 


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in      III 

I    U      I    u 


2424     RIDGE     ROAD 

BERKELEY.    CALIFORNIA 

BERKELEY    2952W 

18.0kt.l941. 


V  ^'^ 


v 


'U 


Geliebtes  Soschachen,  wie  seltsam  nach  Jahr  und  Tag  und 
unerwartet  und  iiber  die  Sntfernung  weg  eine  immerhin  wohl- 
bekannte  Stimme  zu  hbren!  Dies  is  aber  auch  das  einzig  Po- 
sitive an  unserer  Unterhaltung  gewesen;  denn  auf  der  Debet 
seite  sind  die  Kosten  und  die  Resultatlosigkeit . 
Ich  habe  gestern  an  den  Silvio  I..;arkees  telegraphiert : 

Lacking  funds   Swiss  journey  almost  impossible,  but 
Visa  USA  perhaps  available  through  embassy.  Please 
incLuire  publisher  (Kupper)  and  cable  answer  whether 
mother  .Gertrud  (er  versieht  das)  affected  by  new  mea- 
sures. 

Indessen  wird  mir  eben  ein  Telegramn  aus  Zurich  gebracht: 

Gertrud  needs  garantee  20.000  Francs  at  Swissbank 
can  Lisel  Pietakowsky  ( ! )  procure  them  please  wire 
Zurich  GREIGTUSTR  22. 

Ich  habe  sofort  die  Lisel  angerufen,  die  das  Geld  nat^lich 

auch  nicht  hat,  aber  sofort  an  Barell  schreibt,  ob  e^^ie 

Garantie  iibernehrnen  kann.  Hingegen  war  sie  genau  so  ratios 

gegeniiber  dera  Absender.  Ein  Namen  ist  nicht  unterzeichnet 

und  GREIGTUSTR  ist  sicher  eine  Verstummelung.  Hast  Du  eine 

Eingebung,  was  es  heissen  kbnnte?  Lleine  RUckfrage  ist  vor- 

erst  erfolglos  geblieben  und  ich  kann  nicht s  anderes  tun 

als  2U  versuchen  and  Greigtustr.22  zu  telegraphieren: 

Are  doing  our  best. 
Ob  das  mit  Barell  gehen  v/ird,  ist  fraglich,  «veil  er  eben 
fiir  Lici  Jaffe  und  die  Sch.. ester  von  Evi  Pietr  in  Anspruch 
geno;nrr;en  vyird.  Ich  weiss  sonst  niemanden  dort;  aber  in 
einigen  Tagen  kommt  der  Beppo  hierher  d.h.  nach  San  Fran- 
cisco und  eventuell  wiirde  ich  ihn  fragen,  ob  er  garantie- 
ren   Kann  und  dazu  willens  ist. 

An  Felix  F.  habe  ich  geschrieben  und  ihn  ^efragt,  ob 
er  eine  Visumserteilung  durch  die  Botschaft  in  ijerlin  er- 
wirken  kann,  Anderes  kann  ich  da  nicht  tun;  schliesslich 
kenne  ich  ihn  kaum  und  anrufen  ist  unmbglich. 


U       I 


Die  etwas  iiber  400  Dollar  sind  deponiert  bei 

The  American  Jewish  Joint  Distribution  Committee,  Inc. , 
Transmigration  Bureau,  265  .Veat"~14th  Street,  N.Y.City. 

Die  Brief e  sind  gezeichnet  von  I.Edwin  Goldwasser  und 

Marco  F.Hellmann  und  Irwin  Rosen, 

Ilinsichtlich  Cuba's  besteht  die  Schwierigkeit ,  dass 
ich  nicht  weiss  wie  das  Geld  aufzubringen  ist,  vor  allem 
aber  die  500  Dollar  Kaution.  Die  Unkosten  sind  rund  500  ^, 
abgesehen  von  der  Passage,  die  bezahlt  ist  und  naturlich 
fur  jede  Passage  gut  ist.  Ich  weiss  niemanden,  der  die 
Kaution  stellen  konnte  -  hattet  Ihr  .lemanden?  Ilinsichtlich 
der  anderen  500  Dollar  ware  es  nur  so  zu  raachen,  dass  ich 
mich  beteiligte;  aufbringen  kann  ich  sie  nicht.  Ich  kann 
mir  200  Dollar  von  der  Bank  borgen,  weiss  aber  dann  nicht, 
wie  ich  Geld  fur  Llamas  Aufenthalt  in  Havana  tereitstellen 
konnte,  und  fur  die  wate  und  teuere  Reise  ab  Havana,  ./enn 
Ihr  300  Dollar  und  die  Kaution  zur  Verfugung  stellen  konn- 
tet,  so  wiire  eine  Loglichkeit  gegeben.  Aber  ich  bin  voll- 
koramen  am  Ende  meiner  Mbglichkeiten,  Vergiss  nicht,  dass 
ich,  ausser  in  diesen  letzten  :,;onaten,  durch  Jahr  und  Tag 
die  Baby  erhalten  musste,  resp,  miterhalten.  Ausserdem 
sieht  alles  so  unsicher  aus ,  dass  ich  nicht  ohne  eine  Re- 
serve sein  kann,  die  ich  z.Z.  nicht  habe  und  die  ich  in 
den  nachsten  Lonaten  aufsparen  wollte,  nachdem  ich  endlich 
die  400  Dollar  abgezahlt  habe.   Aber  wie  ^-esagt:  wenn  Ihr 
die  zuriickzahlbare  Kaution  aufbringt  und  500  Dollar,  so 
bin  ich  bereit  200  Dollar  gleichfalls  zur  Verfugung  zu 
stellen,  womit  die  1000  Dollar,  die  verlangt  werden,  bei- 
sammen  sind  (es  kostet  1065  resp,  915  Dollar,  j^jenn   das 
Depot  zur  Weiterreise  um  15  Dollar  abgelost  wird;  aber  ich 
halte  das  Depot  zur  V/eiterreise  in  Hdhe  von  150  Dollar 
fiir  angebracht,  damit  man  dann  die  3or£;en  nicht  hat). 

Von  der  ..^ama  selbst  hatte  ich  genau  die  gleichen  riit- 
selhaften  I^achrichten  v;ie  Ihr.  Auch  mir  schrieb  sie,  dass 
Passage  zum  14.-l6,0ktober  bereit  sei,  Ob  es  am  Visum 
Oder  an  der  Passage  hapert,  hat  auch  mir  die  Lama  trotz 
hundertfacher  Anfrage  nicht  mitgeteilt  und  offenbar  nicht 
mitteilen  kbnnen,  obwohl  ich  das  nicht  verstehe,  Indessen 
scheint  sich  diese  Moglichkeit  doch  wohl  zerschla^en  zu 


n      I    J 
U      I    L 


2424  RIDGE  ROAD 

BERKELEY,  CALIFORNIA 

BERKELEY  2952W 


haben,    sonst    /.'are   nicht   das   Tele^-racm  der  £jxxkju[   G-rtrud 
via   Zurich  a^ofgegeben  worden.    Da   es   sich,    necer.Dei,    um 
20000  Francs  handelt,    so   diirfte   das   fiir   aertrud  und  ^lama 
sein.     Zs   ist   eine   schauderhaf te  und  grasslich  veri'ahrene 
Angelegenheit    durch  die   Zuriickziehung   der   rlor.suln  aus 
iJeutschland. 

Uber  Judiths  lieirat   hor:e   ich  zusamn-.en  mit   Deiner 
IJachricht   uber  die   -^aby,    die  -ungefilhr   so  v.-ie  Du   zu  dem 
ganzen  Jragenkomplex  stehen  diirfte.    So  ;vie   die   Dinge    sind, 
ist    es  vermutlich  und  fur  den  ^ugenblick  die   beste   Losung 
einer  gleichfalls  verfahrenen  Angela  =;enheit.    ,Vir  hat  ten 
uns   beide   einen  anderen  Schwieger-Kefien  v/iinschen  diirfen, 
Fiir   einige   Zeit  v;ird   die   Judith   sicr.erlich  ganz  vergniigt 
sein  und  bis   sich  das  andert  v.-ird   sich  auch  in  der  V.elt 
so  vieles   gesndert   haben,    dass    es    schliesslich   einerlei 
ist,   v.^en  nan  zua  LCann  Oder   zur  i^rau  hat   und  ob  iiberl^upt. 
.rJ2erika  v/eiss   noch  nicht,   v.'ie   gleichgiiltig  alles   da^^e- 
geniiber  den  primitivsten  Bediirfnissen  sein  v/ird    -.nd  wie 
wenig  ein  Bauen  fur  die   Zukunft   usw.usw.   mit   den  iegeben- 
heiten  zu  vereinen   sein  wird.    Ich  bin  natiirlich   tief  pes- 
simistisch   in  Sezug  auf   die    jesamtlage.    Lie   Zeit   des   rus- 
s is Chen  Feldzuges   ist  von  ilngland   (und   insbesondere   Aaeri- 
ka! )   nicht   ausgenutzt  worden  und  konnte   es   nicht,   vveil 
ein  Englisches   Landungsheer,    selcst   v;enn  zunrichst   erfolg- 
reich,   nur  gefundenes  Fressen  fiir  Hitler  v;are  und  England 
selbst   geschv;acht   zuriickliesse,    V.asi^aner  England     getan 
hatte,   ware  wie   seit   J&hren  falsch  gewesen  d.h.   An^iff 
wie  nicht-rtn.gr iff   sind  unv/iedergutzumachende  Fehler,    Es 
ist   grauenhaft, 

Ich  freute  mich  sehr  iiber  Eannos   Studien  zu  horen, 
wirklich  sehr!      Ich  bin  gerade   jetzt   in  ein  paar  gehetzten 
Wochen,   weil   ich   einen  bestinziten  Leitrag  fur  Saxl  in 
12  Tagen  fertighaben  muss,   Daher  iiber  mich   irgendwann 
spater. 

Sei  umarmt ,    griiss   den  Hanno  und  Arthur   sehr  von  mir. 
Kun  sind   es   uber   zwei   Jahre   dass  v;ir  uns   nicht   gesehen 


ii.j  Vpn* 


^ti 


i/)  UicCvfi.      ^ 


n      I    J 
U      I    J 


Berkeley, 23.x. 41. 


Geliettes  Sosciiaciie: 


nach  unseren  Gresprj.ch  Jiafce  icn  mil  DorotJaee 


telephoniert .  Sie  sowoh.1  wie  ich  haben  die  Keise  3ertrud  durchkal- 
kruliert.  'Herrn  Ich  Dicb  richtig  verstand,  so  sirxd  die  ^.1200  eine 
Art  Garantie  fiir  Saratoga  Spririgs  d.h,  die  Summe  wiirde,  sobald  die 
3-ertrud  hier  ist,  wieder  frei  werden  resp.  an  Oertrud  bezahlt  werden 
die  dann  den  Saranten  das  3eld  ja  zuriickerstatten  kann  (d.h. 600  desi 
ilonsorti-um  in  Saratoga,  600  der  Dorothee).   Die  ^  fond  perdu  fiir 
G-ertrud  aiifzubr intend e  Suncrie  wiirde  sicii  demnach  auf  die  direkte 
Fahrt  Lerlin-Lissabon-Kew  Tork  resciiranken  d.h.  auf  rund  ^,600.  lie- 
se  wiirde  die  Lorothee  vermutlich  vorsciiiessen  d.h.  sie  hat  sich 
bereits  mit  L^ria  Glaser  (zu  erreichen  via  Colette  Larell,  Adams 
Hotel,  2  East  86th,  K.f.)  in  Verbindung  gesetzt.  Glasers  haben  Geld, 
ausserdem  ist  die  Lotte  in  Boston  una  die  Trautchen  in  Sudamerika. 
I/ie  drei  Schwe stern  werden  zwar  die  Else  L.:ilch  unterhalten  miissen, 
werden  aber  deniiOch  zusammen  wohl  ^  300  a^ofbringen  kbn:-ien,  so  dass 
fiir  Lorcthee  die  anderen  ^   300  iibrigblielen.  ;;ic  Dorothee  diese 
^  300  verschmerzen  wird,  ist  eine  Frage  fiir  sich.  Vorlaufig  kannst 
weder  Du  noch  ich  uns  an  dieser  Aktion  finanziell  beteiligen,  weil 
wir  alle  verfiigbaren  Mittel  fiir  die  kama  brauchen  werden,  und  ich 
bin  absolut  dafiir,  die  fiir  Dich  und  mich  verfiigbaren  Lit t el  nicht  zu 
zersplittern,  sondern  fiir  den  einen  Zv^eck  zu  verwenden,  der  nun  wirk 
lich  der  nachste  ist,  d.i-  die  ...ama.  rlinzukosct,  dass  an  Gertrud 
sehr  viel  mehr  Kenschen  interessiert  smd  ais,  be^jreif licher  Weise, 
an  der  Laiaa.   Ohne  das  "junctia"  der  Berthe  lelegrariae,  f5ie  incer 
von  "liama  und  Gertrud"  sprachen,  ware  es  auch  mit  Dorothee  nicht 
ge£ingen;  dessen  kanr.st  Du  sicher  sein.  Dass  auch  lEir  das  Kerkoaiien 
der  Gertrud,  objectiv,  als  wichtiger  erscheint  als  das  einer  Frau 
von  immerhin  BO  Jahren,  darfst  Du  mir  glauben.  Aber  bitte  behalte 
das  was  Du  hast  lediglich  fiir  die  L-Jima  zuriick.  Du  wirst  es  brau- 
chen, und  iiberlasse  es  dem  Konsortium  Dor  o  thee -liar  ia  Glaser  etc., 
wie  die  Keise  der  iertrud  finan^iert  werden  kann.   Zu  dies^  Zweck 
aber  schreibe  doch  gleich  der  Dorothee  genauestens,  wie  die  Dinge 
mit  Saratoga  gehandhalt  werden  sollen  {22^   The  Uplands,  Berkeley; 
Tel. Piedmont  3B8#). 


II       I     IJ 
U       I 


■  iij-i-  ^  ~.      X ux  uxu  I  ^;i]a  tuiu  ^uua  sind  ^t;i:t;  xuo?  i.'Oxxc.r  criora.er— 
^xci-.   Diese  v/iirde  die  Lorothee  vorsch ^essen.  Dave  an  sie 

sowieso  zuruck,  resp.  650,  w--;hrend  die  res-tlichen  ^OC  vou  ulx   und 
mir  £:emeinsam  aufzubringen  sein  v/erden.  Dieses  ist  keine 
eilige  Angelegenheit ,  da  wir  es  ratenweise  zuruckzahlen  kbnne.     - 
sichtlich  der  ;;iania  hat  also  die  Dorothee  keine  Verluste  zu  erwarten, 
sondern  stellt  lediglich  das  fliissige  G-eld  zur  Verfiigung. 

Erschvv'erend  ist  hierbei,  dass  ihr  Geld  noch  geblockt  ist,  weil 
Eie  mit  einero  Italiener  verheiratet  ist,  Sie  wird  es  freibekomrien, 
das  kann  aber  Wochen  oder  Tdonate  dauem,  Iiif  olgedessen  bii  tet  sie 
die  Colette,  ihr  jene  1065  fiir  die  i-lama  und  die  ca.l200  fiir  C-ertrud 
zu  borgen.  tiber  die  Handhabung  der  Sachen  Gertruds  (Saratoga  etc.) 
weass  ich  nicht  Bescheid,  Einsichtlich  der  T.iama  habe  ich  Dorothee 
gebeten,  Colette  mit  der  Leatchen  zusaamenzu'bringen,  da  diese  ja 
die  Culia-Angelegenheit  schor  zu  bearbeiten  angeiangen  hat,  ./eiter 
hat  die  Dorothee  irgendeinen  Spezialmann  fiir  Kuba  in  Isew  fork,  der 
dann  die  Sachen  eventuell  beschleunigen  kann. 

Die  Schweizer  >vktion  entfiele  fiir  die  ::^ertrud,  wenn  Saratoga 
gliickt,  Fiix  die  j'lama  sind  1000  FrarJren  erf orderlich,  Garantie  fiir 
die  Durchrcise  bis  zur  Beschaffung  der  frar^osischen,spanischen,uiad 
portugiesischen  Visa,  was  einige  Zeit  in  Anspruch  nirmt;  si,  bekonrtit 
Jedoch  offenbar  die  Er laubnis  zur  Durchreise,  werji  sie  schon  das 
kubanische  Visum  hat.   Inf olgedessen  muss  das  Beatchen,  werji  die 
1065  eingezahlt  sind,  unbedingt  darauf  dringer.,  dass  das  Ilubakonsula' 
Oder  die  Kubavertretung  in  New  York  an  das  einschlfigige  Kubakonsulat 
[in  der  Schweiz  (vermutlich  Oenf ! ,  nicht  Bern)kabelt,  ode^ wahrschein 
lich  Hwel'i  paolMiljftT  uaieih  Berlin,  dass  unter  Regierungsnuamer  das 
kubanische  Visum  erteilt  werden  soil.   Die  1000  Franken  Garantie 
kann  die  Lisel  Pietr  stellen,  evtl.  auch  2000  v;enn  die  Gertrud  die- 
sen  Weg  reist.   Fiir  Dich  und  mich  Lleiben  die  aj-iderer.  sehr  erheLli- 
chen  Kosten,  namlich  des  Aufenthaltes  in  der  Schweiz,  der  zwei  dona- 
te dauern  kann,  der  Visa  und  der  Beise  nach  Lissabon,  des  .-lUi'enthal- 
tes  in  Lissabon  und  des sen  in  Kuba,  vermutlich  auch  noch  eine  Erho- 
hung  der  Schiffsreise,  da  angeblich  di  ireise  in  der  Zwischenzeit 
gestiegen  sind.   Du  siehst,  dass  wir  dafUr  alles  getraucten  werder. , 
was  v/ir  fliissig  machen  kbnnen  und  fiir  anderes  nichts  iibrighabe.. 
werden. 


U       I     J 


Weiter:  dass  die  !.iama  durch  die  Kapag  telegraphierte ,  ist  in 
Ordnung,  Juden  kbnnen  lediglich  durch  die  Hapag  Telegramme  aufgeben 
und  empfangen.  Das  bedeutet  nicht,  dass  das  Geld  fiir  das  Schiffs- 
billet  anji  die  Hapag  iiberwiesen  ist.  Dieses  Geld  wird  wohl  garnicht 
uberwiesen,  sondern  lediglich  in  New  York  verrechnet.  Die  Hapag 
spielt  lediglich  die  Rolle  der  .Vestern  Union  fiir  Juden. 

Bitte  lass  mich  gleich  wissen,  worum  es  sich  bei  den  Formularen 
in  Washington  handelt,  Ffraer  in  '.Vash.  tut  nieraals  etwas  direkt,  son- 
dern immer  nur  durch  einen  anderen.  xT.ber  er  wird  vermutlich  Unter- 
lagen  brauchen,  die  ich  ihm  nicht  zur  Verfu^ung  stellea  konnte.  Und 
wahrscheinlich  wird  ein  Visum  durch  die  Botschaft  in  Berlin  garnicht 
erteilt  werden  konnen,  wie  ich  jetzt  horte. 

Das  ware  fiir  den  Augenblick  alles.  Griiss  die  beiden  lianner  und 
sei  umarmt. 


n      I    L 
U      I    U 


2424  RIDGE  ROAD 

BERKELEY,  CALIFORNIA 

BERKELEY  2952W 

Dienstag, 


/fy/ 


iTV  . 


Soschachen,  jetzt  habe  ich  genug  von  der  Telegraphiererei,  und  der 
Luft brief  braucht  auch  nicht  sehr  viel  langer. 

1)  Saratoga:   ich  bat  Dich,  die  Daten  und  Elnzelheiten  an  Dorothee 
d^irekt  zu  richten  (220  The  Uplands,  Berkeley,Cal. ;  Tel. Piedmont 
-58§4).   Sie  ist  bereit  die  350  Dollar  zur  Verfiigung  zu  stellen, 
weisB  ;jedoch  nicht  wem  und  in  welcher  Form.  Sie  schlagt  vor,  die 
Summe  hier  bei  der  "Bank  of  America"  zu  deponieren  und  den  Depot- 
schein  an  Saratoga  zu  geben;  doch  ist  ihr  jede  andere  Reglung  auch 
recht.  Bloss  muss  sie  wissen,  was  sie  tun  soil.  Also,  bitte  telle 
ihr  das  gleich  und  direkt  mit.   Diese  ganze  Angelegenheit  ist  an 
sioh  zwar  wichtig,  aber  doch  von  sekundarer  Bedeutung,  da  sie  ;}a 
doch  erst  nach  Cuba  muss.  Andererseits  mag  die  Anforderiing  durch 
Saratoga  die  Erteilung  des  Euba-Visums  erleichtern. 

2)  Die  Dorothee  ist  "entblockt".  Sie  braucht  also  nicht  Collette 
zu  bitten,  das  Geld  auszulegen  Oder  vorzustrecken. 

3)  Der  technisohe  Teil  der  Visa  wird  gemeinschaftlich  fur  Mama, 
Gertrud,  Lioi  in  New  York  bearbeitet  von  Barrell  resp.  Ernst  Asch 
und  Uaria  Milok.  Beatoken  habe  ioh  telegraphisch  zu  Barrell  hinbe- 
ordert,  damit  sie  die  Sache  kimform  mit  den  anderen  behandelt. 
Maria  Milch  ist  zu  erre ichen  iiber  Barrells:  Adams  Hotel,  2  East 
86th  St.,  N.Y.C.  Maria  gibt  200  Dollar  fiir  Gertruds  Passage,  den 
Rest  gibt  die  Dorothee.  Das  Geld  ist  in  New  York,  durch  Barrell 
resp.  die  Maria  Glaser,  jederzeit  verfugbar.   Doch  das  soil  Beat- 
chen  mit  den  anderen  zusammen  erledigen;  es  geht  Dich  wie  mich 
garnichts  mehr  an.  Am  besten  Du  setzt  Dich  mit  Beatchen  in  Ver- 
bindung  Oder  Maria  Milch  oder  Collette,  well  die  ;ja  an  der  Quelle 
sitzen  und  Bescheid  wissen,  wahrend  wir  hier  nichts  Uber  das  tech- 
nisohe Verfahren  wissen  kSnnen. 

4)  Von  Oboussier  kam  ein  Telegramm,  Dorothee  solle  9000  Franken 
Kaution  geben  und  die  Michelisbank  sei  damit  einverstanden.  Das 
ganze  Schweizprojekt  muss  aber  vorerst  zuriickgestellt  werden,  da 
vermutlich  der  Transport  direkt  Berlin-Lissabon  geht,  was  auch  sehr 
viel  billiger  ware.   FUr  die  Sckiffskarten  wird  man  Fritz  Marcuse 
nicht  bemUhen  mlissen,  da  Lisel  Pietr  dafur  die  einschlagigen  Lemte 
beim  "Joint"  in  N.York  wie  in  Lissabon  an  der  Hand  hat.   Uber  das 
Passagegeld  kann  dann  der  "Joint"  entsprechend  verfugen. 

Das  ist,  glaube  ick,  alles.  Der  Brief  von  Else  Milch  war  sehr 
schen.  Von  dem  Beutelchen,  das  auf  ihrer  Brust  baumelt  (es  wird 
nicht  das  einzige  sein) ,  wird  sie  sich  vorerst  nicht  einmal  tren- 
nen  mlissen,  wenn  es  ihr  nicht  ein  schbner  Cubaner  abnimmt.  Die  Ge- 
schichte  mit  Mamas  Freundin  und  Gertruds  wie  Elses  Mit-Hereinfall 
ist  grauenhaft.  Daraus  kannst  Du  entnehmen,  dass  Du  mit  80  nock 
genauso  sein  wirst  wie  heute!   Dieses  konstante  Element  in  der  Ma- 
ma ist  schon  zu  seltsam.  Und  stelle  Dir  vor,  wieviele  solcher 
hilfreichen  Begegnungen  ikr  auf  der  Reise  bevorstehen  werden!  Ein 
Gluck  sie  fahrt  mit  der  Lici  Jaff^;  denn  die  Gertrud  ist  im  Grunde 
genau  wie  die  Mama.  "Friedels  GlUck"  ob  der  Ehe  ist  gleichfalls 


U       I 


strano.  Was  ihr  Nachtisall  ist,  ist  uns  ungewbhnlich  Uul! 

In  ifanren  finde  ich  kein  besseres  Motto  fUr  alles,  was  unsere  sonat 
nioht  so  rege  Korrespondena  ausfullt,  als  Woldis  beriihnter  Au»- 
spruok: 

ZUSTANDE  SIND  B/iS  BEI  DEN  MORMONEN!  !  ! 

Alles  Lle>e  - 


n      I    o 
U      I    U 


1\ 


Berkeley, 3. JJez.    /  ?^' 


Geliebtes  boschachen,    ich  hatte  zwei  ubermassig  besetzte 
Wochen  und  konnte  nichts  von  all  dem  erledigen,  was  Du  mir 
in  Deinem  Brief  No.l  aufgetragen  hast.  Ich  bringe  es  im,^er 
"Tyeniger  fertig,  mich  mehreren  uingen  zugleich  zu  widmen, 
Tind  das,  was  zwischen  heut  und  morgen  getan  werden  muss, 
nimmt  so  sehr  den  Vorrang  ein,  dass  auch  Yifichtif<  s  liegen- 
bleiben  muss. 

Hier  der  Reihe  nach  Ueine  Anfragen: 

Wenn  Du  der  Dorothee  Geld  zuriickzahlen  willst,  so  an  ihr 
Konto  in  Berkeley  bei  der  Bank  of  America,  University 
Branch.  Sie  hat  vorerst  400  ^  gegeben,  jene  a  fond  perdu 
bumme;  die  650  ^  Plaution  werden  erst  gezahlt,  wenn  die  Wa- 
ma  unterwegs  ist  Oder  kurz  vor  der  Landung.  Zahlt  man  sie 
jetzt  und  es  kommt  etwas  dazwischen,  so  l.?.uft  man  Gefahr, 
diese  Summe  zu  verlieren,  Auf  i)ein  Konto  kommen  zunachst 
also  nur  ^,200.   Bevor  Du   jedoch  diese  ^,200  abschickst, 
lies  erst  diesen  Brief  hier  zu  Bnde.  Wir  werden  das  fur 
andere  Zwecke  gebrauchen. 

Fur   die  Gertrud  sind  vorerst  auch  lediglich  die  ^.400  be- 
zahlt.   Wie  sich  Dorothee  zu  den  ^inderen  Kosten  fiir  Gertrud 
stellt,  weiss  ich  nicht.   Es  ware  soviel  einfacher,  wenn 
Du  diese  Sachen  mit  ihr  direkt  behandeltest:  220  The  Up- 
lands.  Ich  sehe  sie  selten,  sie  wohnt  T'eilen  von  mir  ent- 


kein  Auto  und  so  sehr  wenig  Zeit,  und  tele- 
alles  zu  kompliziert.  Of fen  gestanden,  ver- 
mit  Deinem  Brief  auf  dem  Schreibtisch  neben 
Sachen  imner  noch  nicht.   Die  Saratoga- 
fur  das  Visum  wird  es  erst  dann  wichtig, 


fernt,  ich  habe 

fonisch  ist  das 

stehe  ich  sogar 

mir  liegend  die 

sache  hat  Zeit; 

wenn  die  Forsulare  B  und  C  (siehe  unten) 

kbnnen.  Hinsichtlich  der  Reisekosten  fur 

ganz  unorientiert .  7/ahrscheinlich  machst 

auch  direkt  mit  der  iv'aria  in  Ordnung.  Es 

in  TTew  York  erledi/^t  werden  und  durch  das 


ausgefiillt  werden 
Gertrud  bin  ich 
Du  das  am  besten 
kann  ja  alles  nur 


Californien  geht 


^^..   ..^^v.w..  ^..^  v^^^^.. Zick-Zack  liber 

ja  nur  Zeit  verloren.  V/ir  konnen  von  hier 
nichts  Praktisches  tun,  sondern  Dinge  nur 

Via  Dietrich  v.Bothmer,  der  die 


weitergeben. 


aus  iiberhaupt 

nach  New  York 

Nachricht  wiederum  vom  Ernst  Morwitz  hat,  horte  ich,  dass 

-  vermutlich  auf  Veranlassung  der  Barbara  -  V/alter  Kempner 

1500  Dollar  Kaution  fur  Gertrud  gestellt  hat.  Ob  es  richtig 

ist  weiss  ich  nicht,  will  auch  garnicht  nachf orschen,  da 

ich  mit  Kempner  nichts  zu  tun  habe. 

Wegen  der  B  und  C  Formulare  war  ich  bei  dem  Joint.  Ich  kann 
sie  erst  dann  bekoramen,  wenn  die  Mama  schon  in  Cuba  ist 
Oder  kurz  vor  ihrer  Ankunft,  sobald  ihre  genaue  Adresse 
dort  bekannt  ist.  Vorher  bekomme  ich  sie  nicht. 

Vom  Joint  erfuhr  ich,  dass  die  Cuba  Fahrkarte  ab  Lissabon 
450  ^  kostet  als  Kindestsumme.  Van   meinte  jedoch,  dass  im 
Falle  eine  bessere  Klasse  genommen  wird,  die  ca.600  und 
mehr  kostet,  die  Fahrt  nicht  nur  bequemer  sein  durfte, 
sondern  dass  auch  eher  ein  Platz  verfiigbar  sein  wurde. 
In  Anbetracht  dessen,  was  noch  dazukommen  diirfte,  wird  es 


n      I    u 

U       I       I 


jedoch  schwer 
schaf fen. 


sein,  der  Mama  diese  Erleichterunj  su  ver-  / 


i  zx 


Nein,  von  Markees  habe  ich  nichts  gehort.  Das  ist  ja  auch 


alles  ilberholt  und  TJIamas  viele 


Telegramme 


bewiesen  ja,  dass 


sie  noch  in  Berlin  ist.  Ausserdem  bat  ich  nur  um  Nachricht 
falls  sie  schon  verschickt  worden  ist  Oder  dazu  Gefahr  vor- 
liegt.  \'ienn   es  Dir  ein  Trost  ist:  ich  hatte  eine  Telefon- 
rechnung  von  liber  50  Dollar  und  habe  noch  fiir  we  it  ere  30 


m  bar  telegraphiert . 
Dauer  durchhalten. 


Ich  kann  das  so 


wenis 


wie  Ihr  auf  die 


Von  Ernst  Asch  erhielt  ich  folgenden  Brief: 

"Die  Drei  Visen  sind  erteilt,  die  drei  Damen  (r.lama,  Gert- 
rud  und  die  Schwester  von  Evi  Pietr)  sind  dariiber  infor- 
miert  (NB.  Ich  habe  daher  nicht  mehr  telegraphiert ;  der 
Ernst  hat  auch  fiir  die  Guttentags  die  Nummern  besorgt, 


so  dass 
hat). 


er  zusaranen  in  Sachen  der  fiinf  Personen  ;:ekabelt 


Hinsichtlich  der  Passage  schlagt  er  vor,  die  Billets  durch 
Marcuses  zu  besorgen.  Man  kann  jedoch  kein  Geld  nach  Spa- 
nien  schicken.  Er  riit,  es  via  Portugal  gehen  zu  lassen,  und 
zwar  liber  seinen  Vetter  Albert  Arons,  Pala90  Egyto,  Linha 
de  Caescaes,  Oeiras,  Portugal;  er  schreibt  dazu: 

"Ich  habe  mich  meiner  Schwester  wegen  mit  Albert  Arons 
in  Verbindung  gesetzt  und  ihn  gebeten,  das  Geld  zu  ver« 
auslagen,  worauf  ich  es  dann  hier  seinem  Bruder  Oder 
sonst  jeraandem  z^or  VerfUgung  gestellt  hatte.   In  der  ihm 
eignen  Grosszligigkeit  hat  er  sich  dann  bereit  erklart, 
das  Geld  welter  zu  befbrdern,  wenn  ich  es  vorher  bei  sei 
nem  hiesigen  Korrespondenten  eingezahlt  hatte. 
Der  fiir  Dich  richtige  7/eg  ware  folgender:  1)  durch  Marcu 
ses  feststellen,  wieviel  benotigt  wird;  2)  bei  Arons  an- 
fragen,  ob  er  die  Zahlung  vermitteln  will,  wenn  sie  vor- 
her an  seine  hiesige  Adresse  geleistet  wird;  3)  License 
fiir  solche  Zahlung  zu  beantragen." 

Ich  habe  diese  Sache  indessen  mit  dem  Joint  besprochen,  d.h. 
dem  Vertreter  in  San  Francisco,  und  mit  Dorothee.   Dorothee 
ist  mit  der  Leiterin  des  New  Yorker  Joint  befreundet  und 
hatte  ihr  schon  vor  V/ochen  in  der  ganzen  Angelegenheit  ge- 
schrieben,  worauf  sich  die  Dame  erbot  alles  zu  tun  was  sie 
kann,  sobald  die  Visen  erteilt  seien.  Dorothee  hat  daher 
ietzt  nochmals  an  die  Dame  geschrieben  und  ich  glaube,  dass 
dieses  der  geradeste  und  schnellste  Weg  sein  dlirfte.  Meine 
400  Dollar  sind  noch  dort;  sie  werden  aber  nicht  genligen,  da 
450  das  Minimum  ist  (siehe  oben) .  Ich  bin  jedoch  zweifelhaft 
geworden,  ob  es  fiir  die  Mama  nicht  das  Beste  ist,  mit  Gert- 
rud,  Guttentags  und  der  Schwetter  von  Evi  (Hirschf eld?)  zu- 
sammen  zu  reisen,  da  diese  vier  anderen  bestimmt  keine  hbhe- 
re  Klasse  als  die  450  ^  -tJberfahrt  werden  bestreiten  konnen. 
Mit  Otto  Guttentag  in  San  Francisco  habe  ich  mehrmals  tele- 
phoniert.  Er  kann  unmbglich  mehr  bezahlen  als  das  Minimum, 
und  auch  das  kaura.  Eitte  lass  mich  wissen  was  Du  denkst.Ich 
werde  jednfalls  dem  Joint  gleich  50  Dollar  schicken,  sobald 
ich  durch  Dorothee  weiss,  dass  es  dort  erledigt  wird. 


/    n    u    1 1 
I    u    u    u 


Der  Llama  werden  Ausreiseschwierigkeiten  wohl  kaum  gemacht 
werden,  da  sie  bereits  ihren  Pass  in  Ilanden  hat.  Dies  hat 
mir  Onkel  Felix  am  11.11.  geschrieben  unmittelbar  nach  Emp- 
fang  eines  Briefes  der  Mama.  'I^'enn   die  Mama  da  nicht  etwas 
durcheinandergebracht  hat,  so  wurde  das  wohl  auch  jenes 
Telegramm  erklaren  "sie  sei  reisefertig  und  ihr  Fall  solle 
gesondert  behandelt  werden". 


Gertrud  ist  ja  auch  uber  60,  so  wird  sie  kaum  Schv;ierigkei- 
ten  haben.   Die  Besorgung  ihres  Billets  wird  am  besten  auch 
iiber  den  Joint  gehen.  Wenn  Du  das  Geld  fiir  sie  bereit  haben 
solltest  (und  wenn  dies  nicht  solches  ist,  das  fiir  die  Mama 
benbtigt  wird,  d.h.  nicht  DEIN  personliches  Geld  ist),  so 
wird  es  das  einfachste  sein,  es  auch  an  den  Joint  zu  geben. 
Ich  lasse  Dich  das  wissen,  sobald  ich  selbst  Bescheid  weiss. 
Fur  Gertrud  wird  es  stets  leichter  sein.  Geld  zu  bekommen 
als  fiir  die  Mama.  Und  wir  werden  fiir  sie  noch  sehr  viel  ge- 
brauchen.  Also  bitte  engagiere  Dich  nicht  mit  Deinem  Geld  an 
der  Gertrud-Angelegenheit.  Cuba  und  Lissabon  und  die  Reise 
von  Cuba  -  alles  das  wird  noch  eine  Menge  Geld  kosten.  Ich 
bin  daher  dafiir,  dass  Du  der  Dorothee  noch  nicht  Deinen  An- 
teil  zuriickgibst ,  7/ir  werden  das  noch  brauchen.   Ich  werde 
vorerst  auch  noch  kein  Bankdarlehen  aufnehmen,  bis  ich  nicht 
weiss,  genau  weiss,  wieviel  ich  noch  fiir  die  Mama  notighaben 
werde.  Ich  will  dann  fiir  die  ganzen  Schulden  eine  An- 
leihe  machen  und  dann  in  Gottes  Namen  wieder  stottern.  Also 
halte  dies  fliissige  Geld  noch  zuriick  -  oder  wenn  es  Dir  vor 
Dir  selbst  "graust",  dann  Schick  es  an  die  Dorothee,  mit  der 
ich  dann  verabreden  werde,  dass  sie  es  fur  uns  fliissig  halt. 

Das  ware  glaube  ich  alles.  Ich  ware  froh,  wir  hatten  ein 
einziges  Mai  in  unserem  Leben  uns  iiber  angenehmere  Dl nge 
so  lange  Briefe  geschrieben.  Im  Grunde  fiihle  ich  mich  vollig 
in  die  Goldstein-Zeit  zuriickversetzt  mit  meinen  Briefen  an 
Ernst  Asch  usw.  und  iiber  lauter  Dinge,  die  nichts  als  schau- 
derhafit  sind,  Ubrigens  hat  Goldstein  in  sechs  '.Vochen  Todes- 
tag! 


Sei  umarmt ,  mein  Herzchen,  mitsamt  den 


beiden  Mannern. 
Dein 


/  /    O 

u  u 


/  /    U    J 

U    U    L 


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GVILELMI    11. 

I.VIPKRATORIS  GEKMANORViM  BORYSSIAK  REGIS 

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FHIILOSOPHIAE  DOCTORK  ET  ORDINIS  PHIL0S0PF10RUM   PROFESSORE  PVBL.  ORD. 


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data    dextra    iurisiurandi    loco    legibus    magistratibusque    academicis    fidem    oboedientiam    reverentiam    pollicitus 
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litteras  sigillo  Vniversitatis  munitas  at  Rectoris  maim  subscriplas  accepit 


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In  repljr  rafar  to 

7d  SIX. Ill  Kantorowiof .  Clara 


July  18,  19U1 


my  dear  Mr.  Bowars: 

Rafaranoa  is  mada  to  your  talagram  of  July  8,  I9U1. 

A*  ttntad  la  tha  Dapartmant '•  raply  tharato, 
authorisation  hat  not  hean  givan  by  tha  Department  for  tha 
issuanoa  of  an  inmi^ration  visa  to  31ara  Kantorovici.  Tou 
are  informad  that  there  !•  no  prarioua  racorc  in  tha 
Department'*  filaa  of  Mias  Efintorowioz 't  o&sa. 

In  Tiaw  of  the  closing  of  our  consular  astahlishments 
in  Oermany,  no  consular  action  aey  he  taken  on  the  cases  of 
intending  ionigrants  residing  in  that  country.  In  tha 
arent  Hiss  Xantorowlos  proceeds  to  a  territory  in  which  she 
■ay  appear  at  an  Anerioan  Consulate,  you  should  notify  tha 
Department  ionediately  in  order  that  appropriata  adTisa  nay 
be  given  regarding  further  procedure;  or,  If  you  hate  any 
definite  grounds  for  believing  that  Uiss  Kantorowiot  has 
raasonabla  expectation  of  being  able  to  proceed  at  any  early 
date  to  a  district  where  Americen  consular  visa  services  are 
available,  you  may  wish  to  cooiounicate  any  facts  in  this 
connection  for  the  consideration  of  the  depMrtnent. 


/  /    U     L 
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-  2  - 

In  the  ab»enc«  of  r«asonabl«  •jq^aotatlon  of  auoh  d«parttLr« 
by  UlBt  Kantorowicz,  It  !•  not  believed  that  any  u«eful  pui*pose 
will  be  Mrred  by  further  oorreapondenoe  in  the  matter. 

Sincerely  yours, 

(Signed)  ▲.  M.  Warren 
Chief,   Visa  DlTieion 


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I    1 1    1 1 

I    u    u 


r> ^ 

Class  of  Service 


This  Is  a  full-rate 
Telegram  or  Cable- 
cram  unless  its  de- 
terred charactet  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN 
UNION 


1201 


R.    B.   WHITE 
PRESIDENT 


NEWCOMB    CARLTON 
CHAIRMAN   OF  THE   OOARO 


J.    C.   WIULEVER 
FIRST    VICE-PRCSIDENT 


SYMBOLS 


DL-D«T  Letter 


NT  ■  Overnight  Tetecram 


LC  -Deferred  Cible 


NLT- Cable  Nl«ht  Letter 


Sliip  Radiogram      ^ 


The  filing  time  shown  in  the  date  line  on  telegrams  and  day  letters  is  STANDARD  TIME  at  point  of  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  of  destination 

Ha2c  8   NT=BERKELEY   CALIF    28   .'  ^   ,, 

3ALZ=. 

2804   STRATFORD   RD    COLUfvlBUS    0H{0  = 

CUBA    GOVERr^f^Era   f^UMBERS    HAVE  BEEf^    GRAfaED  MOTHER    GERTRUDE  = 
ERNEST.- 


THE    COMPAVT    WILL    APPREriATE    SUOOESTIONR    FHOM    ITS   PATKON^S   CONCBRNINd    ITa    SERVICS 


u      I 


J- 


Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN 
UNION 


'201 

(5 


Tl 


R.    B.    WHITE 
PTCCSIDENT 


NEWCOMB    CARUTON 
CHAIRMAN   OF  THE   BOARD 


J.    C.    WIL-LEVER 
FIRST    Vice-PRESIOENT 


SYMBOLS 


DL-D«T  Letter 


NT  ■  Overnight  Teletram 


LC-Deferrea  Cable 


NLT -Cable  Nl«ht  Letter 


Ship  Radiofram 


The  filing  time  shown  in  the  date  line  on  telegrams  and  day  letters  is  STANDARD  TIME  at  point  of  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  of  destination 


NA261    40/39    DL=NSH    NEWYORK    I^IY    10  214P 
3ALZ= 

2804  STRATFORD    ROAD   COLUMBJS    OHIO= 


IMINOV  10    PM   2    52 


MRS    A    WILLIiJG  COfURIB'JTE    AfJOTH£R    $150  UfJLESS    FORTHCOMING 
FROM    OTHER   SOURCES    WA.MTS    ME    DISCUSS    WHOLE    MATTER   WITH 
'ROSEMWALD    FOUNDATION    IMMEDIATELY    MAINTAINS    MUCH    MORE    MONEY 
REQUIRED    PLEASE    LET    ME   KNOW   TOMORROW   MORNING  AMOUNT    MONEY 
AVAILABLE    AMOUNT    STILL    REQUIRED    VA    DETAIL  = 
MAYER. 


<  ♦  ( 


A    $150* 


THE  COMPANY   WILL   APPRECIATE   SUOflESTIONS  FROM  ITS  PATRON'S  fOVCERNIXO  ITS  SERVICE 


I    1 1    J 

I    U    L 


Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
terred character  is  in- 
dicated by  a  suitable 
symbol  abovA  or  pre- 
ceding the  adlress. 

\_: —L ( 


WESTERN, 
UNION 


1201 


•    •    • 


R.   B.   WHITE 
FRESIOeNT 


NEWCOMB    CARLTON 
CHAIRMAN  OF  THE  BOARO 


J.   C.   WILLEVER 
FIRST   VICe-PReSIOKN-r 


r^ 

SYMBOLS 

■V 

DL 

-Day  Letter 

KT 

-Overnight  Telegti 

m 

LC 

-Deferred  Ctble 

NLT 

-Cble  Night  Letter 

^ 

Ship  R«dlogr«m 

r 

The  filing  time  shown  in  the  date  line  on  telegrams  an*  day  letters  is  STANDARD  TIME  at  point  of  origin.    Time  ol  receipt  ia  STANDARD  TIME  at  point  of  destinatioc 


NA?5fi      VIA    RCAsCD   ZUERICH    19    18 
NLT    PROFESSOR   SALZ   UNIVERSITY' 
COLUMBUS    lOHIO)s 


'5^  I  OCT  It     PM    7    46 


NEED   URGENTLY   CUBA    GARANTEt    FOR    GERTRUD    AND   MOTHER    PLEASE 
WIRE    ZUERICH   FREI6UTSTR   ??s 
OBOUSSIER^ 


^      n,c.^>J^   ^^^^^ 


pp. 


THB   COMPAI^   WILL   APPRECrATE   SHOOKSTIONS  FROM   ITS   PATRONS  CONCBRNTNO   ITS  SBRVICI 


n    ji 
u    J 


ClASi  UP  StRVICE 

This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERThI 
UNION 


R.   B.   WHITE 
PRESfOEIMT 


NEWCOMB    CARUTON 
CHArRMAN   OF  THE  BOARD 


J.  c.  wiL-LEven 

FtRST    VICE-RREaiOer4T 


SYMBOLS 


DL-DirUner 


KT-OvemifhtTeiegTjm 


LC-DtferredCtble 


NLT-Cabl.  Night  Utter 


Ship  Radiocram 


The  Qling  tin>e  «howa  in  the  d.te  line  on  telegr.au,  and  day  letUra  is  STANDARD  TIME  at  poiiT^rigiu.    Time  ot  receipt  i.  STANDARD  TIME  at  poinr^f^^^Ti^ 

NAJ44  VIA    RCA=CD    BERLIN    4?/4l    18 


NLT    RPi^.44    PROFESSOR    ARTHUR    SALZs  ISMIOCT 

?B04   STRAETFORTROAD   COLUMBUSlOH  I  0)s 


It     PM    7    47 


BEANTRAGT    ALLERSCHNELLSTENS   CUBA    TOURI STEN V ISUM    ANDERER 
WE6  UNMOEGLIC+^    EILIGSTE    BEARBEITUNG   DRINGENDST    GEBOTEM 
EINSETZET    ALLES    STOP    INFORMATION  EN    DURCH    HANS   LOEWENBERG 
DRAHTANSCHRIFT   HALOBER    HABANA    ODER   CO^ilTEE 
BEN ACH RIGHT  I  GET    ERNST    UNO    DRAHTANT^frORTE   WAS   UNTERNOMMEN 
AN    CLARA    KANTOROV^ICZ    HAPAGJ 


Dt^O 


Qitk\ 


IHIC   tOMPANT    WFLL    APPRErrATR   finOOBSTIONa    niOM    ITS   PATRONS  CONCKBffmO    ITS   8BRVTCB 


1 


»4 


/ 


/  /  J  'I 


o. 


o 


/  n  c 

'    u    J 


u. 


Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN  ■■ 
UNION  0- 


R.    B.    WHITE 


Tbe  Cling  time  shown  in 


n  Che  date  lino  on  leleeramE 


NEWCOMB    CARLTON 
CHAIRMAN    OF  THE    BOARD 


J.    C.    WILLEVER 
FIRST    VICE-PRESIDENT 


SYMBOLS 


DL-Dav  Lttter 


f»rr  ""Overnight  7  ele-jram 


LC -Deferred  Cable 


NLT-Cable  Night  Lett^. 


Ship  Radiograrii      ^ 


telegrams  and  day  letten  is  STANDARD  TIME  at  point  of  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  of  destination 


HAb:^2   O^NT=BERKELEY    CALIF   23  ,^  - 

SALZ=  '«'»CT2J,,  ,, 

pfKYdl^i 9/^28 04    STRATFORD    ROAD    COLULIBUS   OHIO  = 

DOROTHY    GUARANTEES   CUBA    SECURITY    LISEL   SWISS    STOP    HAVE 
CABLED    ACCORDINGLY    BERTHE    LETTER    ENROUTE= 
KANTOROWICA. 


4f 


f^ 


M^  5 


SALZ    CUBA    LISEL    SWISS   BERTHE    EfJROUTE    KANTOROWICA, 


THE  COMPANY  WILL   APPIIECIATE   8UGOESTIONS  TROM   ITS  PATRONS  CONCERNING  ITS  SERVICB 


/   n    L 
I    u    u 


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i;^ 


'.V     ' 


A^ 


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J >s 

Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN 
UNION 


R.    B.    WHITE 


NEWCOMB    CARLTON 
CHAIRMAN   OFTHE   BOARD 


1201 


J.    C.   Wll-LEVEU 
FIRST    VICE-PREaiD£r.T 


J — 

SYMBOLS 

v 

DL 

=  DiT  Letter 

NT 

-  Overnight  Teletri 

m 

LC 

-Deferred  Cable 

NLT 

-C«bU  Ni»ht  Uttei 

K 

Ship  Rtdlogrtm 

J 

The  filing  time  ■.h»wn  in  the  d»te  line  on  telegram:,  and  day  "tetters  i.  STANDARD  TIME  at  point  of  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  of  destination 


NAf3'8    CABLE=HAVANA    ?^    ?5 
NLT    SALZ--  ' 

r804    STPATFOBDROAD  COLUMBUS    (OHIO) 


OCi  25    PM    5     |q 


AGENT    BESPRECHUNG   MORGEN    fCH    D8AHTE    FALLS    POSITIVES    SANDTE 
BRIEFE    GLAS£R    BARKAN    OPPENHEIMER    WEGEN    BEFURVOPTUNG 
ANTVORTEN    DIREKT    COLUIViBUS    ERBE^TEN. 


f /4«-     '•^*-*^ 


t<X 


©Q  Q4  ■'^^   COMPAVT    WILL    APPRECIATE    STIOr,ESTinN-=    FUOM    ITS    PATIIONS   CONCERVINr,    ITS    SERVICE 


/   n    u 
I    u    u 


Class  of  Service 


TTiis  is  a  full-rate 
TeleBram  or  Cabl^ 
eram  unless  its  dr- 
ferred  character  is,  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  addreu. 


E 

UNION 


I20I 


:  ] 


R     e      WHITE 


cmairmai*j  of  xme  board 


J      C     WIL-i-EIVElK 


SYMBOLS 


DL-DnLnnr 


NT  "Ovemigfat  TcIscxmb 


LC-D«lerRdC«Ur 


NLT  -Cabk  Ntcht  Letter 


•V 


Ship  Radiogrsm 


Tht  aUnE  time  aiiowii  in  the  dmtf  line  on  tatoemmx  mnd  day  letters  is  STANDARD  TIME  at  point  of  oriem.    Time  of  raoaipt  tB  STAKDAB.D  TIICE  at  yoi&t  oi  destination 

NAII?    UsSARATOGASPRIivGS   NY    f8    1  C^^A 


Rj    COLUtvlBUS    OHiOs 


foi»4 


POSITION    FOR    GERTRUut    PRO^dAdLY    bcLUnLt   CALL    US   TOMbhT     \r 
POSSIBLE    BECAUSE    OF    NECESSARY   FORf>/^AL  I  TY  = 

Dnr3ARA. 


V^ 


^#^<r"    ntl^^  r^f^^^m^  ^^  f 


THE  OOMPANT  ■WILL    APPRECIATE   BnOGESTIONP   PBOM   ITS  PATRONS  CO^fC^!B^^^fO   1TB  BBRTICS 


I    II    u 

I    U       I 


Class  of  Service 


This  is  a  fullfate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated bv  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


ESTERN, 
UNION 


^) 


R.    B     WHITE 


IMEWCOMB    CARLTOrvj 
CHAIRMAIM    OFTHC   BOARD 


J    c    wh_l.e:vep 

FIRST    vrCE-RRESIDEK-* 


SYMBOLS 


DL-D«T  Letter 


hJT — Ovetnigh  t  Te  lacreoi 


LC-Deiemd  Cable 


NLT  -Cable  N*ht  Letter 


Shir  RedloffTvin 


The  fiUOK  time  sijowii  m  the  date  line  on  telegrams  and  day  lettans  is  STANUARD  TIME  at  point  of  origin.    Time  of  receipt  Ls  STANDARD  TIME  at  point  of  deatmation 

NA?86    VIA    RCAsCD    BERLIN    ^5/5-^    fp 
NLT    RPJbp.fQ    PROFESSOR    ARTHUR    SALZ=  q 

F804      STRAETFORDROAL    COLUWBUS    (OHIO)' 


25    PM    9    2 


KABELT    SOFORT    NACH    VISUMZUSAGE    AN    FRITZ    K-APCUSE    fZ   CALLE 

DEL   TAIviBOC   IViADRID   COLONNIA    DEL    VI  SO   ZV'ECKS    PASSAGEBUCHUN  Q 

STOP    ft/ARCUSF    ANFORDERT    SODAMN    PASSAGEBETH AG    BE  I    ERNST 

STOP   HILFSVEPEIN    KABELT    AN    JOINT    Z^ECKS   FREIGABE    BEREITS 

HINTERLEGTEKi    DEPOTS    AUSSER    DOLLAR   8?   REISE    UND 

AUFENTHALTSKOSTEN    VIA    SPAMEN    STOP    BEN  ACHRICHTI GT    ERNST* 
HAPA. 


BQAr86        RP.^3.?9    2:8  04    11   8  f .  Wom  itb  patron,  c 


CONCERN!  PiG    ITB    Rl!HT^cr 


I    n 
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Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
Bram  unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN 
UNION 


^(5lj 


R     B     WHITE 

^•RESIDENT 


NEVA/COMB    CARLTON 
CHAIRMAN    OF  THE    BOARD 


J.    C     WII_t_EVER 
FIRST    VICE-PRBSIDIDNT 


SYMBOLS 


DL-D«Tl-en« 


NT -Overalghi  TcUmn 


LC-Deferrad  Cable 


NLT-CJ)le  Nishe  Letter 


Ship  Radiofirftm 


The  mine  time  shown  iu  the  cUte  line  on  telegrams  and  day  l«tt«r«  is  STANDARD  TIME  »t  point  ot  origin.    Tine  of  receipt  ia  STANDARD  TIME  W  point  of  de8tiD«t. on 

HA2U    27«CD     NEWYORK    NY    29    T13'^A 
SAL7« 


m9Cr29   A"^  ,,    3^ 


304   STRATFORD    RD    COLUMBUS    OHIO* 


HAVE   CHEAPER    WAY    PERSON   400   TO  5  00  ALL    INCLUSIVE    STOP    OTHER 
METHOD    PERSON    1050    INCLUDING   DEPOSIT    65  0   STOP    JAFi=I    USES    1050 
WAY    SEND    MONEY    IMMEDIATELY    STRAUSS   STOPr 
^BEATE    AND    STRAUSS. 


y^/^;i:i^^    MRS  s 


GO 


1211P        MAILED 


400    5  00    105  0    650    105  0. 


THE   COMHAIVV    Wli>i.    A.-.  n,ErfATE;    BnOQESTIONB    FROM    ITB   PATRONH   CONCBRNIPrO   ITB   BBRVTCI 


Class  of  Service 


This  is  a  full-rate 
Trlegram  or  Cable- 
gram unless  its  dc 
ferred  character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WESTERN 
UNION 


1201 


R.   B.  WHITE 

PREBIDCNT 


NEWCOMB    CARLTON 

CHAIRMAN    OF  THE    BOARD 


J.    C.    WILUEVER 
FIRST    VICE-PRESIDENT 


SYMBOLS         ^ 

DL 

-D«T  Letter 

NT 

-Ovemiuht  Telegram 

LC 

-Deferred  Cable 

KLT- 

-Cable  Night  Letter 

^            Ship  lUdlognm      fA 

The  filing  time  shown  in  the  date  line  on  telegrams  and  day  letters  te  STANDARD  TIME  at  point  <rf  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  oi  destinaUon 

.     T    n) ':|r=BERKELEY   CALIF    31  \'^^\\m    I     m   5     18 

Si..L2  = 

2804  STR/.TFORD    RD    COLUtuBUS    OH  10= 

^Eru.LST   ASCH    <^1   BRO/,lw^.Y    ROOM    220^   HkS    FUi.BS    ,T    ;:|S    B|SfOS,,l= 


ERNEST, 


^%khi^ii  3^3  f  3 


SAL2    ^1    22C6, 


\. 


THE   COMl'ANT   WILL    Al'PKECIATE    SUGGESTIONS   FROM    ITS  PATRONS  OONTERN'ING   ITS   8KRVICK 


Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


T 


WE 
UNION 


1201 


R.   B     WHITE 
PRESIDENT 


NEWCOMB    CARLTON 
CHAIRMAN    OF  THE   BOARD 


J.    C.    WII-1-EveR 
FIRST    VICE-RR 


Even    I       t 


SYMBOLS 


DL  -  DaT  LmtT 


NT  "Overnight  Telegram 


LC- Deferred  Ctble 


NLT -Cable  Night  Letter 


Ship  Radiogrttm 


t»l~rr«m»  anil  cUv  letters  ia  STANDARD  TIME  at  point  of  origin.   Time  of  receipt  la  STANDARD  TIME  at  point  of  destination 


HA610    6r   DL=BERKELEY   CALIF    1    3^0P 
SLAZ= 

TQOA    STRATFORD   RD    COLUMBUS    OMIO= 


m*.  NOV    I     PM    7    3e 


HAPAG   CABLES    OCTOBER    31    CLARA    KANTOROV-' ICZ    VORDRINGLICH    DA 
AUSREISEFERTI3    STOP    EINSETZET    ALLES    DASS    HIESIGE 
GESANDTSCHAFT    BIS    DRITTEN    NOVEMBER     IM   3ESITZE    DER 
VISUMANV/EISUNG   DA    SONST    AUSREISE     INFRAGE    GESTELLT    STOP 
DRAHTET    NACH    HIER    NUMMER    DES  REGIERUNGSKA3ELS    WOR I N    HA3ANA 
HIESIGE    GESANDTSCHAFT    VISUM    ANV'EIST    STOP    GERTRUD    LICI 
GESONDERT    BEHANDELN.    HAVE    COMMUNICATED    WITH    ASCH    6l    BROADWAY 
AND    GLASER    STOP    WEEKEND    HAMPERS    ACTION    HAVE    CABLED 
ACCORDINGLY    TO    HAPAG= 


THB  iroMrAiN  r    »  i 


E    KAN  TOR OW ICZ. 


M    ITS   PATRONS   CONCERNING   ITS  SBRVtCS 


M^MiMiiMiaata 


iifO^    I^'^I^Ilu 


1,0 


/  ! 


fOh  K 


M^iMMAA     (fy^^r     f^'^      XT 


y        \y 


n. 


/, 


/ 


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U^ 


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Class  of  Service 


This  is  a  full-rate 
Telegram  or  Cable- 
gram unless  its  de- 
ferred character  is  in- 
dicated by  a  suitable 
symbol  above  or  pre- 
ceding the  address. 


WE  S  TE  RN 

UNION 


R.   B.   WHITE 

PReSIDENT 


NewCOMB    CARLTON 
CHAIRMAN   OF  THE   BOARD 


1201 


J.    C.    WIULEVER 
FIRST   VICE-PRESIOBNT 


SYMBOLS 


DL-DaTLenn 


NT  "Overnight  Telecrmm 


LC  -  Deferred  Cable 


NLT -Cable  Night  Utter 


Ship  Radiogram 


The  filing  time  shown  ia  the  date  line  on  telegrams  and  day  letters  is  aTAMrtATin  ttiltt- -i  ..  i..i     i  <■■  -  .    . 

.=15  ""yetters  IS  SIANUARD  TIME  at  point  of  origin.    Time  of  receipt  is  STANDARD  TIME  at  point  of  desti^ittoi 

HA24    41    NT=BERKELEY    CALIF    27  '941  OCT  2«    A"    5    45 

SALZ  = 

2804    STRAFORD    RD   COLUMBUS  OH  10  = 

PASSAGE    GERTRUD    AND   3i?0   SARATOGA    AVAILABLE    STOP   BEATE 
ARRANGES   WITH    BARRELL    TRAVELLING    JOINTLY    MOTHER   GERTRUD    LICI 
STOP    INSTIGATE    SARATOGA    DISPATCH    CERTIFIED    COPY    OF 
INVITATION    TO    BEATE    FOR    SUBMISSION    TO   CUBA    AUTHORITIES    STOP 
PASSAGE    BOOKING    MY    WORK    OTHERWISE    STOP    SWITZERLAND    PROBABLY 
SUPERANNUATED= 
ERNST. 


3^0    LICI    GERTRUD    GERTRUD.' 


m^  ut,MfA«r     WU.I.   A.-.K»,..A...   t,i/OOE8TIOK8   FROM   ITS   PATRONS   CONCERN'IVO    ITS   BERVICB 


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Carl  Mayer 

101  ROCKLAND  AVENUE 
YONKERS.  NEW  YORK 


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HERMAN  E.  COOPER 
MURRAY  K.  JOSEPHSON 
RHEA  JOSEPHSON 


Cooper  &  Josephson 

COUN8EI-ORS    AT    LAW 

32    BROADWAY 

NEW    YORK 


CABI.K    ADDRESS:    LAWHECOOF 
TCI.EPHONE  WHITEHALI.  3-e72a 


FOREioN  l_Aw  Consultants 
Dr.  Max  Strauss 
Prof.  Renzo  Rava 
On^ayiDo  COEN 


22.0ktober  1941, 


Herrn  Professor  Dr.  Arthur  Salz 
The  Ohio  State  University 
Department  of  Economics 
Columbus  ,  Ohio 


Sehr  geehrter  Herr  Professor: 

Die  .!nfrage  Ihres  Schreibens  vom  19.0ktober, 
ob  es  in  New  York  eine  Stelle  gibt ,  die  bereit  waere  , 
den  Transport  von  Frau  Clara  Kantorowicz  und  Dr.Gertrud 
Kantorov/icz  zu  finanzieren,  kann  ich  leider  nur  negativ 
be-.ntowrten,   Mir  ist  keine  solche  Stelle  bekannt. 
Soweit  ich  die  Praxis  der  in  New  York  bestehenden 
Co.Tiit^s  kenne  ,  werden  auch  diese  wohl  kaura  dazu  zu 
bringen  sein,  irn  vorliegenden  Fall  die  Kosten  der  Aus- 
wanderung  zu  uebernehraen  Oder  vorzustrecken.   Ich 
will  indessen  sehr  gern  mit  dem  Emergency  Rescue  Com- 
mittee in  Verbindung  treten ,  das,  wie  Sie  wissen,  die 
spezielle  Fuersorge  fuer  Schriftsteller ,  Gelehrte  und 
Kuenstler  uebernomriien  hat,  obwohl  ich  ueber  die  Aus- 
sichten  eines  solchen  Versuches  keineswegs  optimistisch 
denke. 


Mit  Frau  Lederer  bin  ich  in  Verbindung  getreten, 
Es  erscheint  nicht  ausgeschlossen ,  dass  Freunde  von 
Frau  Lederer  bei  der  Finanzierung  behilflich  sein  wer- 
den, obv/ohl  ich  auch  dies  nicht  als  sicher  zu  betrachten 
bitte. 


Seien  Sie  bitte  ueberzeugt,  dass  ich  in  der 
Sache  alles  tun  werde ,  was  mir  moeglich  ist.  Sobald 
ich  irgend  einen  positiven  Anhalt  habe  ,  werde  ich  Sie 
weiter  benachrichtigen. 

Mit  vorzueglicher  Hochachtung 
Ihr  sehr  ergebener/7 


:^ 


^  "C^PC^OL^Ct^ 


I    J    u 

I    L        I 


CABLE  ADDKESS.   EUKOPUNI   NEW^ORK 


TELEPHONE   CIRCLE  5-8634 


HYNER   M.  OPPENHEIMER 

1775     BROADWAY 

(SENERAL    t/CTORS   B^ILOINSI 

NEW    YORK.    N.    Y. 


Mis?  BeEte  Se.lz 
408  ?■  115th  Street 
New  YorV,  NY 


X 


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Fehr   geehrtes   enaediges  Frfie-dlein, 

V«ir  bestaetigen   Ihn€fn  ^onsere  heutige  Zusage,    csss   wir  bei 
i-rteilimg   des  Auftrags   zur  I>archfiiehrung   der  Wanderung  ^er 
remon  Kar.t'^r'^Trltz  nech  K^Jba  tins  ere  ^pbuehr  von  ?    ?80.-   auf 
c    *-Kn__    -^^    ..,.„^^^    ^--saesslgen. 

Vi'ir  bitten   Eie,   von  unser'=r  v^rF^nde-^ten  Adresse  Kermtnis 
zij  nehmen. 

Mit  v-irzueplicher  Hochechtung 


■^r     V, 


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OctibCT 


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petta 


?7,    1941 


Dure* 


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rti«    r»e-nrthiin,'en    so'ort    in   riie    richt 


£j,e:(ei.  t«n,feL»«r   ail  e-^ 
▼erurt«j  i.  ten     ^nfi 


ilt,  Wft' 


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1  ?*"t         ^f  X      .       .    d' 
^.o^r,el:  rtfc    e    '^  &Tt.u5 


m  exnerti    i  ieaer 


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•^un    TasE   mi-:;!',    ii 
uha-visiuwi   el'se   (^ir^Vte 


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liinii   h   ist.  jLiaiw. 


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ter     .rapa- 
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in      panien   Oder 
rtdae     "uta—  iBum    s    hiesaen    .ru 


enn   ci    a   eal?ln- 
va   nicht    sa  var— 


,fla   jfc   5e-iBPe       ^if^e    (T^l.^aia   d?   Ultdrid)    via   Cuba 


'JSA   gehen.JadT   h  w«ra   in   rtiaiser:      alia 


eln   ^ut   Tell   des 


■ 


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-Mr  tie-i      uba-Huie»jtf,ti it^->d^   ■         «    i  ilr   r.ae      uba- 
fti8   Hbtfin     setrnrfiB  v(?rloreri^.     -      -n  alao   sowleso 
Belrag   'Or   Cuba  erst   Mai    ',u   b.  s.haferi   l.at.ist 
vt-r-iUn   tl/r,Bif5h   noch   (las   wftitera    7,iel    dar   Aufbr 
12w0    I'oilar    r  Jr  flie     ,«hrtM''       -it    su   fptien   and 
gf/nze      a.    eraf^h^*»ren.      oh]  ^      -    i -.ii   ist   die   im?^.i 
Sinwf.ndeninf:   nach    USA   Pber   nooh   aua    ioltenbem    ; 
Hi4f^;eRchRitct.      ialbst    nnte^    rins.  halt  in«   der   be 
iini;en    braunht    die     irlarti  .^u'^!»<   eines    ^'--  ^  en    -all 
tE/rc   i^i      ashln,,t>on  2    bia   7      onate.       ■        .1   au^->- 
antbelrli  ;hen   Ouba-Viauran    oeutachland    entrormen 
G.    difj    oben   n-    -    '^bane    Wl-^ ob^nKeit    in    Spanien 
gal   «  marten.    _u-es   i«it    wiederua   untunii' h,weil 
ne   raan   lat.dasa   elnea   der     .binder  eine   8)    ian  -a 
Aufenthft  Itaerla  ibriia   artei.len   »r'lrde. 


l8URi»  ver- 

den  gMHzen 
ea  airbt 
Lngun^'r  von 

da'?it   dae 
stftlbare  4kh 

run  >•    .  raktitf/j 
sten    '^axleh- 
ea   h*»utj!u- 
iind    dea   un— 
,nnsata  alao 
o.^er      OT'tu- 

knnn   anza- 
wHhrenrte 


V         iORi-S'^^*-    -oigerung   iat    alaojaile    lamtlhim-^en      ilr 
ein      uba--vi3,jn  ,u,<j    f.-|,.   ©ine     'uba-?;-.Rflag«   ixn<^    Veine    ^ait- 
▼ersHu      ''  1   an   rich   unter  ander 

^'^▼C''  '.ahrtMti  Oceitl 


Verhrtltniseen  attraV- 


Ich   Bchicke      u'-nhBch    tt.^e   dieaf-e    Mriefes   nioht    nur 
an   die    vdrefBatin,';lfte      •'':♦.  sondarn   auoh   an      rft.joacha 
bala,'^olufnbnn,ohio    aowie   an    mat   >:ilnh    ^mi    In^c   ierunr 
von    Curt    Claoer  und   womtt-lich   Oottfried     ;:  iorton.    /i^e   mS^Pn 
neine    '  URf  ilh-tin  -,an    be.nit.a,  hten   unA    *all«    Ria   ai'ileu   ht'^nd 
und     :  ,1  >-f.^fv..:p'    sind,*  -ts   re.-.hand    .iana-h   handeln. 


geliv 
fe   deri 


-•fi    schraiba   in      ila  ?ind   hof^a   aelbat    mix   d  •  eaer 
eraet -ung   i.r   /-upenbJlck  ainan   nilt -lichen    Seitras 
t    r.u  haban.    i.  h    h^tte    jede'^-Hlis    -uioh   «u      de-n      p.a- 
•^tt   halten. 


rtl  >  *"■      •'r.t- 


ina   hen   and    he^    Li-.hp.-.      r  ^eaan 


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I  . 


OANT.„u,^^^^.    iv^«,  ^  ,,„.._  November  3,   19^1 

HOLLYWOOD.    Cai  .r 


Mrs.  Salz 

2804  Stratford  Road 

Columbus,  Ohio 


Sehr  verehrte 


fl^naedige 


Frau 


Auf  Veranlav^sung  melner  lieben  Freundin,  Else  Milch, 
sende  Ich  Ihnen  beillegende  Empfehlung  fuer  Gertrude  Kan- 
torowlcz.  Ich  hoffe  mit  ganzem  Herzen,  dasa  Sie  fuer  meine 
liebe  Kollegin  etwas  tun  werden  koennen. 

Mit  besten  G-ruessen, 

Ihr  sehr  ergebener 


Dr.    Franz  Oppenheliaer 


/r//v 


'^ 


\ 


i 


I    J    u 


I 


HERMAN  E.  COOPER 
MURRAY  K.  JOSEPHSON 
RHEA  JOSEPHSON 


FOBKioN  l_Aw  Consultant* 
Dr.  Max  Strauss 
Prof.  Rknzo  Rava 
Dm.  Guioo  COKN 


Cooper  &  Josephson 

COUNSELORS    AT    UAW 

32    BROADWAY 

NEW    YORK 


CABLC   ADDRESS:    LAWHECOOF 
TCUHPHONE  WHITEHALL  S-S7aa 


November  7,  1941, 


Professor  Dr.  Arthur  Salz 
The  Ohio  State  University 
Department  of  Economics 
Columbus  ,  Ohio 


Sehr  geehrter  Herr  Professor: 

Au.f  Ihr  Schreiben  vom  5,  November  erwidere 
ich,  dass  Qebuehren  bei  una  nicht  entstanden  sind. 
Unsere  Unkosten  fuer  ein  Telegramm  betragen  $1,20. 
Ich  bitte  Sie  ,  diesen  Betrag  gelegentlich  uns  zu 
uebersenden, 

Mit  vorzueglicher  Hochachtung 
Ihr  sehr  er^ebener 


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c)    At   Rb-oit    th^   S«ia^   tlirr,    t^-    licwnsr    frr  r«yiT^e    th*=   f*«---«ll 
•   f,'^r>..   wiT;    bf   *tt  hand   end   thesf  f    650.-   cm  hf  t 
CM\t^^,   ■  -!▼€    th'    n'^cfssrry    It    *       • " ' -»«    In   s 

T-_      :-^:    ■  '     ^  f   rrc-  ■.  -n^  <^" 

will  be  s€nt  Ir.fori  th«»  B  rim  -^  ' 

bfffT  mftdr.    ft   th'F   r  '^       -'    " 

▼  '"•t   Ijr   t^e   pt$^s-'-rt.    .  .    _.    

frntf^trnt  t-^  c?o»*  t-^  tt^  ^riin  -^^rtlTH     -  -s:;nfei  y. 

e)    Ae'^'or^-'ng  t'^   our  ^'xri^rl-nc*  of  thf  It^t  w*'^^*   enci   r -rv  r, 
j-rror"  ^raf   tc  htv*    thf    t-  '    ^    -      --   -»   ^it*^ 

Ifsr    tlin#  Br«f   Ft  '.oi:^**'^    -rice's. 


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^)   pv^  -'^   It  b*    iK'iosrlbl*^   t^   -^cy  th»   tl-ket  In  G  rntny,   r»  r*  cri«TT.ni- 
t  r  f^  bPT*  't  b^-^Vr-r-   z'^-^TP  tmyvvy ,  Tr   kIII   th*«i  V   irf-r 

by'citbl^   about   thr   ptaou'-ts    t      V   Bfj«"^   KTcllEblf    he-". 

Tr    r;  rr   th*"    tlckftP  hpv*    t"-   b*-  bo-^lTfK*  h^re,   »?th  bofctf      rerlng 
^  -    f    Short  tl-f,    Rbout  f    5(r.-      ■  '   ticket   vil^    h v-    t-.   W 

>«ic.   For  lit"^  flennrtur'^r,    th<?rf>  er*    T>o»^ibl-itl^^ 


..  ♦    «••'.•*-■» 


et  lor 


—Ices. 


TlcKPtf    cim,    is.  ren'^  b*    -  bti   n^ci 


b-  *T^ 


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iah'^e*   rlthln  thli^   tl»r.   Te,   of  course,    cmnot  fcrr5.=  fc  ho» 
nuc».  t-E*^    thlr   rll      ■      e. 


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^   !      ^L.    ^MKVr' •        *   t-  -nv.  Bat  *«•    ^oint  -ut  t.-.ft. 


wn6  ^^^^^^f^-^'   f';r!^^!^,.'''!,..'i.  UTin«   In  11/-   anc   Ir   this   c-..- , 


filing  t^  girt-  you  ^'f^r^^^c^n. 


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bT  of  ci'Ses   rnc^   i^lsc   .'r<^ 


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Cable  Address: 
JSHERZ,  TlEW  YORK 


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Telephone: 
LAckawanna  4-3453 
LAckawanna  4-3454 


SCHIFFSKARTEN 
tjtr 

GELDSENDUNGEN 

oir 

NOTARIAT 


NORTH  AMERICAN  TRAVEL  LEAGUE,  kc 

!7S(pr(iamerikani5che  Li'ga  /uer  T^ise  undi  IsdeXiverkehy 

I.  HERZ,  President 

Veher  50  ^ahrc  im  l^ise  ^  und.  '^inarvi'^^oesen  taetig 


LEBENSMITTEL-SENDUNGEN 
FINANZBERATUNG 


249  WEST  34th  STREET 

Opp.  Pennsylvania  R.  R.  Terminal 

NEW  YORK,  N.  Y. 


EINWANDERERBERATUNG 


September  I941. 


Die   Tore   Cubns   slnd  wjeder   geoffnet.    Wir 
konnen   Ibnon    lie   F:  nrei  L^eerlunbnl  s    in   kupzer  Zeit 
beschaffen.    Wenn    Sie   cjie   Abjjoht    haben,    Ihre   Ange« 
horigen   nach    duba    zu   bi»jnf>?ii,    ro   empfehlen  wir   Ihnen 
schuell    zu  handeln. 

Fiir   ein    cubanisclies    Landun^spermit   mussen 
folgende   Betr^ge    auf  g'ebrach  t   v.erdeii-t 

Laniunpsgeia   Depot    S500,00 

Weiterreise  Depot  150,00 

Ablo^ung'  des  Backkontos  in  Hohe 

von  S20C0.00  ...* 150.00 

Visumbesohaffung  265.00 

SIO65.OO 

Davon  bleiben  S65C.C0  Ihr  Ei?^entum,  so  dai3  die  Un  = 
kosten  nur  f415.QC  betpagen. 

Sie  k5nnen  aber  auch  ein  Bankkonto  von 
12000.00  zu  Gunsten  des  Reisenden  eroffnen.  Dann 
sparen  Sie  S15C.00  fiir  die  Ablosun^-  Wir  sind  fernep 
in  der  Lage,  in  einzelnan  Fallen  das  Depot  fiir  die 
Wei  terreise  von  S15C.00  gegen  Zahlun^-  von  S15.C0  ab= 
zulosen. 

Wir  weisen  darauf  hin,  da^^  Cuba-Visen  auch 
nach  Auflosung  der  cubanischen  Konsulate  in  Deutuch= 
land  und  ien  besetztea  Gebieten  ertoilt  werden. 

.Vir  besorg-en  die  Schi  f  f spansage  von  Eupopa 
nach  Cuba. 


/    U    L 
f       /    U 


Cable  Address: 
l^HERZ.  NEW  YORK 


Telephone! 
LAckawanna  4-3453 
LAckawanna  4-3454 


NORTH  AMERIGAN  TRAVEL  LEAGUE,  Inc. 

Individual  -  Escorted  Tours  -  Tickets 

Hotel  Reservations  Everyufhere 

Travelers  Cheques,  Foreign  Exchange 

249  WEST  34th  STREET 

Opp.  Pennsylvania  R.  R.  Terminal 

NEW  YORK,  N.  Y. 


I.  HERZ 

President 


October  22,    1941 


Mrs.      ophle   Salz 
2804   Skratford  Road 
ColumbTia,    Ohio 

Sehr  geehrte  Fran   Salz: 

In  Srledigung   Ihrer  Anfrage   vora 
20.    Oktober   teilen  wir  Ihnen  irit,    dass   rir  evtl. 
berelt    sind,    Ihnen   einen  Kredit   zu   geben,    wenn 
Sie  t  Buer^en  haben,    die    in  Nev;  York  wohnen   und 
deren  Einkominenaverhaeltniase    Resichert  sind. 

HochachtunRsvoll 

NORTtl   AMERICAN  TRAVEL  LEAGUE,     Inc 


DP,   Alfred  Kahn 


1 


AK:UA 


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JB'.iJi'ii'wf'i's  I ,  iiiiwiiiiii>iuwippiigijpii  jimnmm 


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IGO-QJ,",  ui30Tj:e:ii\rq':.j:o  '  uoa  ^'iTuii       umsiABqu;-)  sisp    (I 


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SAN     I>AZAl<t>    304,    ALTOS 
TKI.KK.      A5-224S 


riANS      r.OKWENBERG 

UABAXA,    CUBA 


CAHI.K    AI>URKSH: 
HALOUBK     HAVANA 


Herrn  Professor  Salz, 
Universitae t, 
Colambu8»  Ohio. 


d.  80"  Oktober  1941. 


Sehr  geehrter  Herr  Professor, 

Im  Bositze  Ihrer  gestrlgen  Kabelan- 
ftrage^  gestatte  ich  mlr,  Ihnec  in  der  Anlage  Einzelhelten  der 
Bedingungen  zur  Besohaffang  der  ■i'andungsgenehmigxmgen  und  Vlsen 
fuer  Clara  ujod  Gertrude  Kantorowioz,  Berlin,  zu  uebersenden,  - 
Die  Aktereditive  vpn  je  ^   2000, oo  kann  ioh  durch  elne  hiesige  Bank 
gegen  ^ahlung  von}*|  150, oo  sbloesen  lassen.  Die  Depots  von  |650,oo 
pro  Person  (f  600, oo  Immigrat ionsdepot  und  I  150, oo  Garantie  der 
Rueckfahrkarte)  sollten  eigentlloh  vor  Absendung  des  Viaumkabels 
an  die  kubanlsche  Gessndschaft  in  Berlin  mit  der  Anweistng  zur 
Visumerteilung  hier  deponiert  sein,  doch  ist  es  im  Moment  moeg- 
lioh,  die  Deponierung  der  besagten  I  650. oo  bis  spaetestens  zur 
Landung  in  Cuba  hinanszuschieben,  allerdings  gegen  eine  weitere 
Zahlung  von  |  50, oo  pro  $  650, oo.  -  Der  Ordnung  halber  moechte 
ich  bemerken,  daBs  die  genannten  Betraege  natuerlich  nicht  in 
m  e  1  n  e  Tasche  fliessen,  Der  Kostenbetrag  von  |  230, oo»  den 
Sie  in  der  Anlage  finden,  sohliosst  jedoch'eine  im  Rahmen  blei- 
bende  Verguetung  fuer  mioh  ein« 

Falls  Sie  mir  die  Angelegenheit  an- 
vertrauen  wollen^  bitte  ich  zunaeohst  um  Angaben  der  Perponalien 
der  Damen  Kantorowioz,  um  die  Antraege  zur  landungsgenehmlgung 
und  Visumerteilung  bereits  einreichen  zu  koenen  und  so  nicht  Zeit 
bis  zur  Lizenzerteilung  der  Federal  Reserve  Bank  zu  verlieren. 

In  der  Roffhung,  Ihnen  mit  meinen  In- 
formetionen  gedient  zu  ha ben,  zeiohne  ich,  stots  in  Srwartung 
Ihrer  sehr  gesoh,  Haohrichten, 

Ihr  sehr  ergebener 


^  C^ 


I    J    u 


SAN     I^AZAKt)    ;»04.    ALTOS 


IIAXS      I.OKWKNBKKli 

HABAXA,    CUBA 


CAKLK    AI>I>KKHH: 
HA1.0BKH     HAVANA 


Turis-ctnvistii  ±a»r  Cuba  mit   s«ciiSinonatig«;,:,\v«3^ifi«i'^6«rbfixtn  Aaftnt- 
iaitattOiit  iLO«mj«.    uiittr    to/lf^tiidti^,   gtsetzrion  vorg0sohri«b«n«n 


AngEDtn  d«r  Ptrsoi.alleij  d«s   Turisttn: 


:Jame,   2iunam«,    Gtburtsort,   Al- 


t«x,  ^uteats&iifceaoerii^i«it  od«r   ictiixt/ oiid   Jttztigt     ohnadr«ss«.   ^ti 
iamilltii  i^a«S8«ii  di«  ^ngabtri  ueber    j«d«s  Liitglitd  g»ii.iiont  wtrdtn, 

Brotffnang   tiiies   secnsmonatigor,,     .^widAxrufllohtL  BaiikaKkxtditivB 
I3ti   tixi«r  iii«sig9ii  aDieiiicaiiiscn«ii  Grossbanic   (Tia*   Ji'ias*    ..atioiial  Bank 
Tht  i^lationai  Uity  B&n&  of  Kew  York,    2ht  iioyel  iianic  of  Canaaa )    at-        * 
b«i    d«ii  B« trail  von  4  ^OOO.oo  pro  Parson  zu  Gunsttn  ats   Toristtn, 
a«r  g«nfcnnt«n  Bttrag  nacn  s«ii;er  Anlctuift  hier   ii;   s«ohs  gl«ion«n 
i.onatsrat«i.  ausb^zaiiit  eriiatit,   i)i«  Buhk  iii«r  laass  ang«wi«s«i.  wtr- 
(i«n,  cir  B«sta«tigaiig«n  in  dr«ifaontr  -txUsftrtigLUig  u.«b«r  di«  Aida-*- 
ditivtrotffnuag  aaszuhatndigci..   B«i  i'ainili«ii  muss   fu«r    Jed«s  L.it- 
glitd   a«b»r  io    J.    aas  ^itKreaitiv  gesteiit   w«rd«r, •   Ptrsoi  ti.  anttr 
16    ;•    braucnti.  k«  in  Akicrtditiv, 

#  &00.00  mutsstn  b«i  d«r   Inmigrationsbehoerdt   zu  Gunsttn  dts   Turi- 
Bt«n  ninltrlegt  warden   oiid  wardtn   bai  Ausraisa  von  niar   zuruaok- 
arstattat.   iJia  Hinteriegung  muss   fuar    jada  Person,   gaaz  gleioh 
wexcnan  liters,   geiaistet  warden.  3s   ampfiahlt   sioL,    aine  -.auk 
iiiai   luit   dar  jJaponiarung    uai   aer  j^eiioerde   za   batrauan, 

<f  150.00   L.uassen  pro  xorson   bei  oiner  Bank  axOi   t.±s  Garantia   dar 
fiuackfahrkarta  hintariegt  werdan  und  warden   bei  ^usreise   zurueck- 
gezahlt*   fuer  ii.inder   bis  zu  11   J.    btaaohen  nur  |>   75. oo  ninterlegt 
zu  werden* 

#  bSO.oo  islosten  fuer  Akten,  Anwaltsgebueiireii,   Xabelspesen  eto. 
Dieser  Betr&g,    ebenfalls  pro  rarson,   kann  entweder   an  mien  direkt 
gezaiilt  werden  Oder  an  eine  Bank  hier   ueberwiesen  werden,   mit  der 
Bestimmung  an   die  Bank,    ihx.  mir  gegen  Vorlegung  einer    fotostati- 
scnen  ADsonrift  der  i^andungsgenanniigung   dar    immigr&tionsbenoerda 
and  ainer  weitaren  fotostatiscnen  Absoiirift  des  offiziellen  iimts- 
kabels  des  ^ussenamts  an  den  kubaniscJien  i^onsul   in  iSuropa,   in 
aem  dieser   JPuxiktionaer   zur   Visumerteilung  aufgefordort  wird,    za 
aanlen.   -  Faor  iQnder   bis   zu  15   J,   iteine  kostea.    -  i^urohfuehrungs- 
^^^J^^  ^imi%tf9u  der  ^ankunteriagen  bis   zut  xibsendung  des  Amts- 
kabelsT^v   i'age.    -  .Uas  obcxi  erwaeniite   Bankakkreditiv   vox.  ^  2000. uo 
kanii  zur  Zeit  hiex    duroh  eino  Bank  ge»^en  k«ahlung  von  ^  ls6.oo   fl- 
nanzlert  warden >   eine  i^oegliciikeit ,    die   senr   viel   benutzt  wird.    - 

Die  ankommanden  Personen  werden  von  mir  und  einem  befrfupdeten  An- 
walt  Kosteiiios  vom  Sohiff  ahgenoit  und  in  alien  notwendigen  Dingen 
iiler  waenrend  ihres  ^ufenthalLes  von  mir   betreut, 

gransitvieent   Personalien  wie  oben*    Visum  naon   einem  anderen  Lande 
muss   vorxianaen  sain*    icein  BaniCFkicreditiv  notwoxidig*   x)epot   von  ^  500, oo 
wie   obeix:    Garaixtie   der  Vi/eiterf£hrtkerte   von  f  50. oo   -  100.00  wit 
oben*   iCostexi  pro  Person  wie  oben  4  230,00. 

Seit  ueber    7   J.   iiiar   ansaessig,    stene   ich  mit   vielen  Heferenzen  hier 
und  in  den  Stasten   zur   Verfuepunp. 


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I    CO 

'I      AISWANlJi,. 

(  durch  t. 

Fritz  Schwarzscii. 

ROSEN  TRAVEL 
AGENCY 

Stit    1920    offiziell    tutor.    Aitrnlur 

122  FIFTH  AVENUE 
CHtlsca   3-0650/1      New   York   Cily 


uie  Lease-Lfiiu 


CUBA 


TOURISTEN-  und 
TRANSIT-VISA  fiir  CUBA 
HENRY  M.  COHN  ;'ri""  ^"'••- '"""  R«»""nw.i. .. ». 


(Dr.  Heinz  Cohn) 


nb(r>t«r  fiir  jUd.  Auiwandcrcr  Btrlin) 
SO   Wcat  SSth   Street,  4lh   Floor 
Ntw  V«rk  City  Phone:  PLaii  ]F««* 


EINREISEN  nach 

CUBA 

noch  ofTen. 
EINWANDERUNG  n«ch 
MEXICO 

Fiir    Besitzer    anderer    m\» 

deuttcher     oder     itatlieni- 

scher  Paft»e: 

EINREISEN  nach 

PARAGUAY 


i 


SCHIFFSKARTEN 

fiir 

Amerikan.  Dampfer 

fiir   Passasiere  «.  d.  unbc!^.   Gebitten 
sowie 

Schiffskarten  u.  Cuba  Visen 

fiir  span.   u.   portugies.   Dampfer 

RIVERSIDE 
TRAVEL  SERVICE 

A.  W.  BI.OCH 

OfTi/iellc    HlM<<l'i^i('l  It'    AKPtiliir 
2(11)5    Rroadwav    (Corntr  7.1rd   Street) 
TKafaltar    7  (•K5  Nt»    Vcrk    City 


SCHIFFS- 
PASSAGEN 

ab  Lissabon  od.  Spanien 
nach  New  York,  Havana, 
Vera  Cruz  (Mexico)  od. 
Siidamerika  (Buenot  Aires) 
f.  Oktober  od.  November 

ATLANTIC  TOURS,  INC. 

155   West  42nd  Street,   N.  Y.  C.         Tel.    BR   9-1161 
An    den    beiden    hohen    Feiertagen    geschlossen. 
Vertretung    in    C  h  i  c  a  k  u  :     Max     latrsner,    919    W.    Carmen     Ai 


5U< 

11 


CUBA 

Visa  und  Schiffskarten 

ABFAHRTEN : 

I  Spanis«'he    Linic  I     Portug.    Linien: 
10.   Uktolier  Mille    Oktober 

1.   November      I     Mifte  November 

CUBA  VISEN   Al  CH   F(1R 

BKI.G1EN-H0LI.ANU   und  GURS 

NEW   YORK:    Export   Lines 

MEXICUl  ab  l.irsabon 

European&AmeriGdnTravelBureau 

'  5th  Ave.,  N.  Y.  C.     MU  2-7441 

7TE   AMERIKAMSCIIR 
VOI-l-KON/.'-'^-'SIONIEKrE    FIRM  A 


Schiffskarten  ^H^^HHHi^ii^HiaMH 

Cuba-Viseii  wieder  erhaltlich 

Wir  besorgen  schnell  und  gewissenhaft 

CUBA-VISEN  ^  ^*^>j 

sowie    Schiffskarten.    —   Nach   wie   vor 
geben  wir  Teilkredit  auf  Schiffskarten. 

r^.si  henkmark  Ifhcrn  eisiingen    na<h    Deutscbland    und    Oesterrei<-h.      ' 

NORTH  AMERICAN  TRAVEL  LEAGUE  iilc: 

■       249  West  34th  Street  •   New  York  City   •  Tel.:  LA  4-3453,  3454 


*T»m,  I.   Herz — 50  Juhre   l/iciist   am    Kunden 


■IPassagen  nach  Cuba  und  New  York  ■■ 

.SS  MarquesdeCiimillas  I  9.922  tons)     .'^S  Maxel  lanes  (9.689  tons) 

>h  Bilbao  u.  ViKo  iSpan.)  ca.^.  Okl.     ab  Bilbao  u. ViB0(. Span. )ia. 22. Sept. 


SS  Nyassa  |9.100  Ions) 


SK  Serpa  Pinto   (10,000  tons) 


jb  l.issabon  (Port.)  i.Okt.  u. 26. Nov.  |  ab  l.issabon  (Portugal)  ca.lO.  Okl. 

werden     fiir     Personen     in     deut- 

M-hen  (lebieten  innerhalb  kurzer 

Oder     narh     Li.ssabon     gesandl. 

beim   Dept.   of   State, 

•  Wash.,  kiinnen  v.  una 

ung   naih   Havana  gestellt  werden. 

A         kiinnen   durch    unsere   Hilfe 

•    •»»•     bier        legalisiert        werden. 


Cubanische  Visen 

Y.eit     ail     die     Cuba)  etc  alt  on,     Dcrlii 

Visumantriiffe  fiir  U.S.A 

fiir   Cubapassagiere    bei    Kii 

Touristen  in  I 
Auskiinfte 


ipt    und    unv<Tbindlich. 


PAUL  TAUSIG  &  SON,  INC. 


r.fyr.  1901 


29  West  46th  St.        New  York,  N    Y.        Tel.  BRyant  9-2525 


I     J    U 


t 


.laufi 
,d  fallt  in  Jugosla 
..  und  GriechicTiland  ein. 
^^,   '.'■•j\  uuetn-R'.mt  das  i'lotekti. 

rat  von  Greenland. 
Z'f.    N'.i^is  bosetzcn  Atheii. 

^;.    .. -;    bekannte  Kunslhistorike 
Dr.  Ern.st  Cohn-Wiener  stirl 
;         in  New  York. 

IS.  75,000  gricchische  Juden  unter 
Naziherr.schaft. 

15.  Dei-  National  Refugie*  Service 
voroffentlicht  cinen  Bericht 
u')>r  seine  Tatigkeit  in  1940: 
U.OOO  Fliiehtlinjre  mit  2  Mil- 
lijtwn  Dollar  unt«rstiitzt,  5113 
rMJttled,  4935  Anstellungen 
vjimittelt,  $172,550  Capital 
L>aii  Fund  Darlehcn. 

27,  Der  englische  General  Sir 
Wyndham  Deides  liel)t  die  mu- 
ii^i  Haltunjf  der  jiidisclien 
Bivilkerung  de»  Londoner 
Ei-it  Ends  -wahrend  der  Luft- 
ang;riffe  riihmend  hervor. 

29.  Deutsche  Fliichtlinge  bus  den 
lacernierunfjslajrern  im  unbe- 
aetzten  Fraiikreich  werden  zur 
Z-Ajngsarbcit  an  der  Trans- 
Sliliaia    Eisonbahn   verschickt. 

Mai  1941 

Kriegsverlaiif: 
I     4^,100  englische  Truppen  von 

CO, 000   in  Griechcnland  einge- 

si'.zten  evakuiert. 
5.    Haile    Selassie   zieht    in    Adis 

Ab«ba  ein. 
10.    R'iiolf  Hess  landct  in  Schott- 

lanj. 
24,    Nazis     versenken      englischen 

Kreuzer     "Hood",     Engender 

■"Bismarck". 
27.    Prasident     Roosevelt     prokla- 

miert  '•Unlimibed  State  of  Na- 
tional Emergency", 
31.    Eiiglander  besetzcn  Irak. 

1.  Bjrichts  schatzen  die  Zahl  der 
In  dem  von  Nazis  besetzten 
Till  von  Polen  urns  Leben  Ge- 
k'jmmenen  auf  40,000. 

6.  Der  friihere  Verleger  der 
Frankfurter  Zeitung  und  Mit- 
b^^iiinder  des  Palestine  Sym- 
pliony  Orchestra  in  Washing- 
ton ermordet. 

8.  Weitere  Massnahnien  der 
Viohy  Regierung  und  Zwangs- 


....    iiioiii    ge„ 

ohne  ea   in  Fiage  zu  stellen  ocre 
der  Veraniniiig:  preis'/.ugebcn. 

Der  Wille  und  die  Kraft  zur  To- 
talitiit  ist  charakteristisch  fiir  da? 
Judentum.    Einseitige  Entschcidiin- 
gen  in  den  grossen  Fragen  des  Da- 
sein*  wird  man  kaum  tindon.    An- 
gesichts    der    Zwie.spaltigkeit    und 
Polaritat      vieler      grundlegender 
Probleme     wird     das    "'Entwedor 
Oder"    oft    genug    zugunstcn    do 
"Sovvohl-als-auch"  zuriickgedrang 
Das    Diesseits   wirJ   niclit  um    d( 
Jenseits    willen    geschmaht,    ja    ( 
mochte    oft    genug    scheinen,    da 
die   autoritativsten    Urkunden    das 
Jenseits,    die    Ewigkeit    verhiillen, 
um   die   Zeitlichkeit   gebiihrend   zu 
ihreni    Recht    kommen    zu    lassen. 
Aber  es  ist  fraglos,  dass  das  -Ab- 
solute auch  fiir  die  jiidische  Reli- 
gion   das    EutsclieiJende    ist.     \ur 
vermied  es  ihre  piidagogische,Weis- 
heit  stets,  das  zu  akzentuieren.  Das 
liiitte  schnell,  wie  in  anderenSyste- 
men,    dem    Diesseits    seinen    Rang 
und  seine  Wiirde  geraubt.  In  einem 
kiililen     System     det     Erkenntnis 
kann  es  ja  nicht  ausbleiben,  dass 
das  Diesseits  versinkt  vor  der  Ge- 
walt  der  Ewigkeit.   Allcs  aber  kam 
der    jiidischen    I,ehre    darauf    an, 
dem  Irdischen  sein  Gewicht  lu  ret- 
ten.    Denn   ihm    1st   eine   wiclitigc 
und    wesontlicba    Rolle    zugedacbt, 
die    Bewahrung    des    Menschen   in 
Tat  und  Gedanke  —  nicht  aber  des 
Menschen  als  einer  monadenhaftcn 
Erscheinung,     sondern     als     eines 
GlieJes    einer    Gemein.schaft,    als 
eijies  Dieners  im  historischen  Pro- 
zess.    Das  sohliesst  die  Bedeutung 
von  Volk  und  Viiikern  ein  und  die 
eigenartige    Entwicklungslinie    der 
Kultur,   der   Sittliclikeit  und   aller 
der     Kollektivphanomene,     die    in 
Staat  und  Gesellschaft  ihren  jewci- 
lig>»n   besondertto,  in  (Jet   Gesamt- 
heit  des  Werdenj  ihren  allgemeinen 
j\usJruek  finden. 


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