CHARTERS

AND THE USE OF THE WRITTEN

WORD IN MEDIEVAL SOCIETY

Edited by
Karl Heidecker
 Towards a Reappraisal of Carolingian
Sovereign Charters

MARK MERSIOWSKY

The sovereign charters of the Carolingian period have been subject to

intensive study in the various fields of diplomatics. They are all avail-
able in modern editions, with one important exception, the diplomas of
Emperor Louis the Pious (814-840).' Nevertheless,the very fact of their avail-
ability in the volumes of the Monttmenta Gerntaniae Historica, the Chartes et
Diplomes relatifs i'histoire de France and the Fonti per la storia d'Italia
might suggestto historians that all of the basic problems have been solved and
that there is not much new to be found in these revered monuments.' Thus, it
might seemunnecessaryto addressthe topic at all. However, since I decided to
concentrate on precisely this topic in my Habilitation thesis which I am cur-
rently working on, I would like to present here some observations underlying
nA list of editions of Carolingian sovereign
charters can be found in R. -H. BAUTIER, "La
chancellerie et les actes royaux dans les royaumes carolingiens", BEC 142 (1984), pp. 5-80, esp.
pp. 76-80; cf. C. BRHL, "Gli atti sovrani", in: Font! medioevali a problematica storiografica:
Atli del congresso internazionale tenuto in occasione del 90' anniversario della fondazione
dell'Istitutostorico Italiano (1883-1973), Roma 22-2 7 ostobre 1973,1, Relazioni (Rome, 1976),
pp. 19-40, reprinted under the title: "Die Herrscherurkunden", in: C. BRHL, Aus Mittelalter and
Diplomatik: Gesammelte Aufstze, 2, Studien zurDiplonatik (Hildesheim, Munich and Zurich,
1989), pp. 526-549. To complete the list of editions, add Die Urkunden der Karolinger, 4, Die
Urkunden Ludwigs IL, ed. K. WANNER, (Munich, 1994: MGH DD Karolinonun 4). For the char-
ters of Louis the Pious, see M. MERSIOWSKY, "Zur Edition der Diplome Ludwigs des Frommen",
in: Manipulusflonan: Festschrift r PeterJohanekznn 60. Geburtstag, ed. E. WIDDER, M.
-Th.
LEUKER and M. MERSIOWSKY (Mnster, 2000), pp. 307-340 (in the press).
2E.g., R. MCKITTERICK,The Carolingians
and the Written Word (Cambridge, 1989), who
doesnot deal with sovereigndiplomas; the "Abbreviations", pp. XIv-Xvl, do not even list the edi-
tions.
16 MARK MERSIO\VSKY

my decision to take on this project. The title Towards a reappraisal of Carolin-

gian sovereign charters is in no way intended to be a caplatio benevolentiae,
rather it should be taken literally. In the framework of this volume, I wish to
presentsome fundamentalideasunderlying my presentwork, although I am not
yet able to present the complete results.
In 1633, an anonymous treatise appearedin Trier under the title Archie-
piscopatus et Electoratus Trevirensis, Per refractarios Monachos A1axini-
nianos, Aliosque, turbati. 3 It openeda protracted belhun diplonraticun between
the abbey of Saint Maximin and the archbishopric of Trier, and at the same
time an epoch in diplomatics, the period of the bella diplonratica. In these bella
diplonratica, interestedparties battled over the authenticity of the charters con-
cerning privileges they disputed.During the courseof thesebattles, which were
fought not only in the courts put also in public memoranda,an extensive body
of writing came into being. ' Of great importance in the history of diplomatics
was an authentication that was part of just such a dispute; in 1672 a charter of
Emperor Louis 1, Louis 1i or King Louis for the abbey of Lindau in 866 was
discussedby Hermann Conring, professorat Helmstedt andpolylistor. Conring
had already provided several authentications on essential charters. In his en-
dorsement, which was commissioned by the Lindau side, he systematically
developed essential methodical principles to determine the authenticity of a
charter by comparing it with other, incontestably genuine documents from the
same issuer.'
Diplomatics becamea scholarly discipline in the dispute between, on the
one side, JeanBolland and the Jesuit Bollandists, whose ideas were expressed
in the Acta Sanctorun:, and on the other side, the congregation of French Bene-
dictines, the Maurists, in their Acta Sanctorum ordinis sancti Benedicti. In
opposition to the positions formulated by the Jesuit Daniel Papebroich, who
maintained that the oldest charters of the abbey of St. Denis in particular were

3Archiepiscopatus et electoralus trevireusis, Per refractarios MattachosMaximinianos, Alios-

que, turbati (Trier, 1633).
"Th. SICKEL,Lehre von den Urkunden der erstenKarolinger (751-840) (Vienna, 1867: Acta
regunt et imperatonun Karolinonmt digesta ei enarrata: Die Urkunden der Karolinger, Erster
Theil: Urkundenlehre),pp. 30-33; C. BROHL,"Die Entwicklung der diplomatischen Methode im
Zusammenhangmit dem Erkennenvon Flschungen",in: Flschungenim Mittelalter: Intentatio-
naler Kongre der MGH, Mnchen, 16.-19. September 1986,3, Diplomatische Flschungen i
(Hannover, 1988: MGHSchriften 33.3), pp. 11-27, esp. pp. 20 ff.; J. BURKARDT,Die Histori-
schenHilfswissenschaftenin Marburg (17.-19. Jahrhundert) (Marburg, 1997:Elententa diplonta-
tica 7), p. 21 (with bibliographical data).
5H. CONRING,Censuradiplomatis quodLudovico imperatori fers accept
tun coenobiunt Lin-
daviense.Qua simul res imperii & regni Francontm ecclesiasticaeac civiles, seculi cumprintis
Carolovingici, illustrantur (Helmstedt, 1672).
Towards a Reappraisal 17

false," the Benedictine Jean Mabillon developed in his book De re diplomatica

libri sex a general, a comprehensive system of diplomatics, which was based on
an enormous amount of material. Mabillon created the methodical framework
for the Papebroich-Mabillon discrimen veri acfalsi in vetustis membranis. 7 The
eighteenth and early nineteenth centuries concentrated on fine-tuning the meth-
ods, examining new fields and applying a systematic approach to them, as we
see in the work of such diplomatics experts as Maffei, Bessel, Heumann,
Tassin, Toustain, Gatterer and Schnemann 8
If I have begun with an excursion into the history of our field, which seems
shamefully neglectedto me, especially for the eighteenth century, it is because
this development of the discipline has shaped research interests and research
areas,and influences them even today. The core of diplomatics was and is the
discrimen veri acfalsi in vetustis membranis. It was precisely the Carolingian
sovereigncharterswhich we are concernedwith here that Theodor Sickel used
in 1867 to develop the diplomatic method to its highest form. Comparison of
scribesand dictamen was the main methodical instrument. The central problem
for Sickel was always whether or not the charter was in keeping with the chan-
cery in question; German diplomatic uses the expression "kanzleigem".' It
would seem that Sickel in his edition of Ottonian charters in particular often

6 D. PAPEBROICH,"Ad tomum It Aprilis

propylaeum antiquarium circa veri ac falsi discrimen
in vetustis membranis", in: Acta Sanctonun aprilis collecia, digesta, illustrata,
a Godefrido HEN-
SCHENIO et Daniele PAPEBR0CFIIOe Societate lesu, tomus 11(Antwerp, 1675), pp. i-xxxi. Cf.
BRHL, "Die Entwicklung", pp. 18-20.
' J. MABILLON,De re diplonratica libri vi. In
quibus quidquid ad vetenun insinmtentonun an-
tiquitatem, inateriarn, scripturatn e1stilton; quidquid ad sigilla, monogratntnata, subscriptiones
ac notas chronologicas; quidquid findead antiquarians,historicam,forensemque disciplinain per-
linet, erplicatur et illustratur. Accedunt Casnnentarius de antiquis RegungFrancorunt Palatiis.
Vetertrmscripturannn varia specimina, tabulis LV comprelsensa.Nova ducentorum, at amplius
ntonumentonun collectio. Editio Secundaab ipso Auctore recognita, emendata at aucta (Paris,
1709),chap. I pp. 1-3; ID., Librorutn de re diplonratica supplementum.In quo archetypa in his li-
bris pro regulis proposita. ipsaequeregulae denuo confrrntantur, novisquespecintinibus
at argu-
mentis assenmlur ei illusirantur (Paris, 1704), cap. 1, pp. 1-5; PAPEBROICH, Propylaeum. Cf.
BRJHL, "Die Entwicklung", pp. 18-20.
sA concisesurvey of diplomatics for the seventeenththrough the
nineteenthcenturies is offer-
ed by: H. BRESSLAU,Handbuch der Urkundenlehre ur Deutschland und Italien, fifth edn., 2
vols. (Berlin, 1912;repr. Berlin, 1969), 1, pp. 33 ff. I am planning very shortly to presenta study
of diplomatics in the eighteenthcentury ("Abwege der Diplomatik? Die Urkundenlehre im deut-
schen SprachraumvorJ. F. Bhme").
9 SICKEL,Urkundenlehre,pp. 55-63,366-393; BRHL,"Die Herrscherurkunden",
pp. 536 ff.;
ID.,"Die Entwicklung", pp. 22-24; ID., "Die diplomatischen Editionsmethodenund die Regesten-
arbeit in Deutschland,vorwiegend im Zeitalter der Romantik", in: ID.,Aus Mittelalter und Diplo-
matik, 3, Studien zur Verfassungsgeschichteund Diplomatik (Hildesheim, Munich and Zurich,
1997), pp. 241-252, esp. pp. 251 f.
18 MARK MERSIOWSKY

overshot his target. He set such strict criteria that truly authentic charters, espe-
cially those produced by recipients, appeared to him unauthentic or forged.
Although of prime importance, this edition today is the weakest part of the
series of diplomatic volumes of the Monurntenta Germaniae Historica, and
urgently needs to be 10
re-done. The research of Paul Fridolin Kehr, and also that
of Hans-Walter Klewitz and Josef Fleckenstein has shown that Sickel unques-
tioningly projected nineteenth century ways of thinking back on to the Middle
Ages. Sickel's ideas about the Carolingian chancery reflected his own experi-
ence with the developed ministerial bureaucracy of the Donacanonarchie. " In
modern diplomatics we are more aware of the problems of the concept of the
chancery. 12
However, since Theodor Sickel, dealing with the chancery is the central
issue of any evaluation of sovereign charters. Thus, it is no surprise that the
reconstructionof the chancery,its organisationand its modus operandi were the
centre of editors' "
interest. Methodically well-founded, but more or lessuncon-
sciously, or without proper reflection, diplomatics concentratedin this way on
the level of the monarch; attention was focused on the monarch's "headquar-
ters". The masterful survey of Robert-Henri Bautier in 1984 presentedthe de-
velopment of the chanceriesand the various formal categoriesin a comparative
manner.Thesehe presentedrecently again in the proceedingsof the meeting of
Olomouc on the typology of royal charters.'a In so doing, Bautier also followed
researchtradition. Therefore, it did not come as a surprise when Hagen Keller

l" C. BROIU.,"Derzeitige Lage und knftige Aufgaben der Diplomatik", in: ID.,Aus Mittelalter
und Diplomatik, 2, pp. 463-473, esp. p. 466; ID., "Die Herrscherurkunden", pp. 536-538; Th.
KLZER,"Die ottonisch-salischeHerrscherurkunde",in: Tjpologie der Knigsurkunden: Kollo-
quium de la Comission Internationale de Diplonmtique in Obniltz 30.8.-3.9.1992, ed. J.
BISTaICKY(Olomouc, 1998), pp. 127-142,esp. pp. 127 ff.
" H. KLEWITZ, "Cancellaria: Ein Beitrag zur Geschichtedesgeistlichen Hofdienstes", DA
-W.
1 (1937), pp. 44-79. On the state of research,with appropriate references,cf. J. FLECKENSTEIN,
Die Hofkapelle der deutschenKnige, 1, Grundlegung: Die karolingische Hofkapelle (Stuttgart,
1959:MGH Schriften 16.1),pp. 74-79; M. MERSIOwsKY,"Regierungspraxis und Schriftlichkeit
ini Karolingerreich: Das Fallbeispiel der Mandate und Briefe", in: Schriftkultur und Reichsver-
waltung tinter den Karolingern: Referatedes Kolloquiunnsder Nordrhein- IVesflischen Akade-
mie tier LVissenschaften,17-18 Februar 1994 in Bonn, cd. R. SCHIEFFER (Opladen, 1996: Ab-
handlungen der Nordrhein-Westflischen Akademie der {Vissenschaften97), pp. 109-166, esp.
pp. 109 ff.
1ZO. GUYOTJEANNIN, J. PYCKEand B: M. TOCK,Diplomatique medievale (Turnhout, 1993:
L'atelier du medieviste 2), pp. 223-227.
13This is apparent in the titles of the most important secondary literature; cf. BAUTIER,"La
chancelleric", pp. 76-80.
14BAUTIER,"La chancelleric"; ID., "Les actes royaux de I'epoque carol ingienne", in:
Typologie der Knigsurkunden, pp. 23-41.
 )

Towards a Reappraisal 19

concluded in 1998 that "the charter activity of the king and his chancery was
normally portrayed as a business, in which the recording room, the `chancery'
"
played the main part". The perspective of classical diplomatics in dealing with
early medieval royal charters was and still is that of the monarch.
Another factor defines the present state of research in Carolingian diplo-
matics and other periods as well. For diplomatic experts from Harry Bresslau
to Carlrichard Brhl, from GeorgesTessier to Robert-Henri Bautier, editorial
practice was the epitome and also the essenceof diplomatics. 16This well-
founded and certainly justified position has had a small, but not insignificant
side-effect, however. As soon as the texts were established, the question of
authenticity solved and the edition published, diplomatics seemedto stop: char-
ta edila, causafinita. Other articles on Carolingian diplomatics appeared,of
course,but they always treatedthe sametopics: they presentedthe rare, newly
uncoveredcharters,or they carefully reconsideredcharters of doubtful authen-
ticity, often initiated by researchon regestaand regional or institutional charter
books. Another way in which many documents were examined anew was
through researchon forgery centres.My own interest in Carolingian diplomat-
ics stemsfrom an edition of the diplomas of Louis the Pious which I have been
working on for 12 years under the direction of Peter Johanek in Mnster.
Another characteristic of much research,both old and recent, is that the
interest of diplomatics specialists is not in authentic charters but in forgeries.
The originals are dealt with, of course; that is necessaryto ascertaincriteria for
authenticity. But the true glory of the researcheris in discovering falsifications
and their backgrounds. Here he can use historical, legal-historical, palaeo-
graphical and philological arguments, and in so doing prove his diplomatic
acumen.Once more, the emphasisis on the discrimen veri acfalsi.
Heinrich von Fichtenau, Herwig Wolfram and his students wanted to blaze
new paths. Their research on arengae, inlilulationes, narration es and dating
revealed important insights, both diplomatic as well as general historical. In the
field of Carolingian diplomatic it was recently most of all Wolfram's student,
Brigitte Merta, who carried out significant work. These Viennese scholars saw
themselves as different from traditional diplomatics researchers. " Fichtenau

' H. KELLER, "Zu den Siegeln der Karolinger und der Ottonen: Urkunden als
'Hoheitszeichen' in der Kommunikation des Knigs mit seinen Getreuen", FSt 32 (1998), pp.
400-441, at p. 425: "Die Benrrkundungsttigkeitdes Knigs und seiner Kanzlei wird gewhnlich
wie ein Geschftdargestellt, bei dem die Schreibstube,die 'Kanzlei', die wichtigste Rolle spielt".
16BRHL,"Die Herrscherurkunden", pp. 531 ff.
"For a survey of this research,cf. H. FICHTENAU, "Forschungen ber Urkundenformeln: Ein
Bericht", 1<1lG94 (1986), pp. 285-339. To complete this survey, seeH. FICHTENAU,"Dei gra-
tia' und Knigssalbung", in: Geschichteund ihre Quellen: Festschrift fr Friedrich Hausmann
20 MARK MERSIOWSKY

departure diplomatics "strict observance". "

called the traditional points of of
What they did was found something like a new Viennese school. Since they
were interested in knowledge that went far beyond classical diplomatics, we are
tempted to speakof metadiplomaticswhich is interested in the history of ideas,
in politics, in constitutional history and conceptsof sovereignty found in vari-
ous charter formulae. The main thrust is to grasp the concepts and self-image
of the early medieval monarch. Although this metadiplomatics has provided
important results for classical diplomatics as well as general history, it remains
on traditional grounds in its orientation towards the monarchical top, in spite of
innovative ideas about the royal charters.
Diplomatics specialistsare not alone in this approach.One example should
to
suffice prove my point. As a correction to older research, which had evalu-
ated Charlemagne mostly on the basis of normative sources, Franz J. Felten
went back to the charters and wrote chapters entitled The monastic politics of
Charlemagneas illustrated by his privileges and Themonasticpolitics of Louis
the Pious as illustrated by his privileges. After presenting the two fundamental
complexes of problems which he wanted to bring to our attention, he wrote,
partially quoting Friedrich Prinz, as follows: "Both approaches assume that the
will of the emperorplayed a decisive role in these questions and `that the dona-
tions and privileges of Charlemagne for churches and monasteries were not
granted according to accident or humour, but originated in certain political
plans of the sovereign'. i19 Charters, their distribution in time and space as
sources and metasources, served general historical research to elucidate mo-

70. Geburtstag, ed. R. HARTEL (Graz, 1987), pp. 25-35; Lttittdatio Ill.: Lateinische Herr-
zum
und Herrschertitulaturen vom 7. bis zunt 13. Jahrhundert, ed. H. WOLFRAM and A.
schertitel
SCHARER (Vienna, Cologne and Graz, 1988:MIG Ergnzungsband29); B. MERTA,"Politische
Theorie in den Knigsurkunden Pippins I.", MIOG 100 (1992), pp. 117-131; B. MERTA,"Recht
Propaganda in Narrationes karolingischer Herrscherdiplome", in: Historiographie intfriihen
und
Mittelalter, cd. A. SCHARERand G. SCHEIBELREITER, (Vienna and Munich, 1994: Verffentli-
des Ltstituts fr OsterreichischeGeschichtsforschung32), pp. 141-157; H. WOLFRAM,
chungen
"Politische Theorie und narrative Elementein Urkunden", in: Kanzleiwesenund Kanzleisprachen
im stlichen Europa, ed. C. HANNICK(Cologne, Weimar and Vienna, 1999:AJD, Beiheft 6), pp.
1-23.
18On the "strict observation", see H. FICHTENAU,"Zur Lage der Diplomatik in sterreich",
in: ID., Beitrge zur Medivistik: AusgewhlteAufstze,2, Urkundenforschung(Stuttgart, 1977),
pp. 1-17, at p. 5.
19F.J. FELTEN,bte und Laienbte int Frankenreich: Studiezum Verhltnis von Staat und Kir-
che int frheren Mittelalter (Stuttgart, 1980: Monographien zur Geschichte des Mittelalters 20),
174-279, at p. 176: "Beide Anstze gehen davon aus, da der Wille des Herrschers eine ent-
pp.
Rolle in diesen Fragen stellte und 'da die Schenkungen und Privilegien Karls [des
scheidende
Groen] fir Kirchen und Klster Wichlnach Zufall oder Laune erfolgten, sondern bestimmten
politischen Absichten des Herrschers entsprangen "'.
Towardsa Reappraisal 21

narchal policy, monarchal ambitions, monarchal ideas and monarchal prac-

tices20 Hagen Keller's criticism of the concentration of diplomatics on the
chancery did not signify a fundamental change of perspective. Even though he
the
changed main issue away from the chancery to the sovereign, his court, his
representationof sovereignty, symbolic communication and the ceremonial
framework of granting privileges, he did not solve the problem of an exclu-
sively centralized view of the situation.
Severalfactors have contributed to the fact that modem diplomatics (just as
general historical research) has not extensively and fundamentally occupied
itself with Carolingian sovereign charters. A number of recent researchareas
have proved stimulating though, and new problems have been formulated. I
mention here only the interdisciplinary researchinto the role of literacy in me-
dieval societies21and into conflict regulation22If you wish to inquire into the
function of legal, written assuranceand communication in the early Middle
Ages, then an approach which is limited to the sovereign level is insufficient.
Heinrich von Fichtenau undertook a regional study for Austria, albeit for a
few sovereign diplomas. 23
region with relatively
20For a typical example, see H: W. GOETz, "Der letzte `Karolinger'? Die Regierung Konrads
1. im Spiegel seiner Urkunden', AJD 26 (1980), pp. 56-125. We also think of the various studies
from the circle of Eckhard Mller-Mertens. A brief survey of his approach can be found in E.
MLLER-MERTENS, "Einleitung", in: MLLER-MERTENS and W. HUSCHNER,Reichsintegration
im Spiegel der Herrschaftsprav; isKaiserKonrads It. (Weimar, 1992: Forschungen zur mittelalter-
lichen Geschichte 35), pp. 9-17; to complete the picture, see E. MLLER-MERTENS, "Politische
Vororte des frhmittelalterlichen Reiches als Problem der Stadtgeschichtsforschung", in: Die
Frhgeschichte der europischen Stadt im 11. Jahrhundert, ed. J. JARNUT and P. JOHANEK (Col-
Weimar and Vienna, 1998: Stiidteforschu ng, Reihe A, Darstellungen 43), pp. 21-30. On im-
ogne,
conceptions and royal ideals, see the recent discussion by F: R. ERKENS, "Der Herrscher
perial
als Gotes Drtit: Zur Sakralitt des ungesalbten ostfrnkischen Knigs", Historisches Jahrbuch 118
(1998), pp. 1-39, esp. pp. 24-30, "die Karolingerurkunden". Cf. B. H. ROSENWEIN, Negotiating
Space: Power. Restraint and Privileges of Immunity in Early Medieval Europe (Manchester,
1999).
21We refer the reader to the comprehensivebibliography in M. MOSTERT,"A bibliography
of works on medieval communication", in: NelvApproaches to Medieval Commnication, ed. M.
MOSTERT(Turnhout, 1999: Utrecht Studies in Medieval Literacy 1), pp. 194-318.
22Cf. TheSettlementof Disputesin Medieval Europe, cd. W. DAVIESand P. FOURACRE (Cam-
bridge, New York and Oakleigh, 1986);K. HEIDECKER, "Communication by written texts in court
cases: Some charter evidence (ca. 800-ca. 1100)", in: New Approaches to Medieval Communica-
tion, pp. 101-126.
23H. FICHTENAU, Das Urkundenwesenin sterreich vom 8. bis --unifriihen 13. Jahrhundert
(Vienna, Cologne and Graz, 1971:,111GErgnzungsband23). For a list of the diplomas, seeB.
MERTA,"Diplome und Briefe der Karolinger fur den sterreichischenRaum", in: Die Geburt Mit-
teleuropas: Geschichte sterreichs vor seiner Entstehung 378-907, cd. H. WOLFRAM(Vienna
and Berlin, 1987), pp. *49-452. This list has been omitted from the revised version, H.
WOLFRAM,Grenzenund Rume: Geschichtesterreichs vor seiner Entstehung (Vienna, 1995:
22 MARK MERSIOWSKY

There is more. If you assume that granting privileges is a powerful expres-

sion of sovereign will or an essential act of symbolic communication, it comes
as a surprise to find how little Carolingian historians took it into account, with
the exception of an archivist-historian like Flodoard 24 Instead, you come upon
totally different things. I refer only to the collection of correspondence of Frot-
har, who, as Philippe Depreux recently demonstrated, was bishop of Toul from
814 on, and died in 849-85025 In a letter he requested Abbot Hilduin of Saint
Denis to help him obtain the return of dispossessed property for the church of
Toul. Frothar told his potential intercessor that he would send him copies of
testaments relative to the affair. Around 828, Abbot Wichard of Inden (Korneli-
mnster) sent Frothar copies of three imperial charters: a gift of property, a
dispensation of tolls and a charter of immunity. I tend to see the sending of
these copies in the framework of the attempts of Frothar to regain possession of
the charters of the church of Toul, which were burnt in 828; this action, accord-
ing to a testimony of the twelfth century still, represented a great service. 26
Beneficiaries are visible in charter production, namely through beneficiary
copies ("Empfngerausfertigungen").During the heyday of Carolingian charter
production under Louis the Pious and Charles the Bald, we find beneficiary
copies produced primarily by Saint Denis-they are easily recognizable from
their different line-usages;27in later days the use of beneficiary copies gained
28
more and more ground Lotharingian beneficiaries went so far as not to pro-
duce charters of the East Frankish type, rather leaning towards West Frankish
models to produce documentswhose layout reflected their regional traditions,
not that of the 29
chancery.

sterreichische Geschichte).
24M. STRATMANN, "Die Knigs- und Privaturkunden fr die Reimser Kirche bis gegen900",
DA 52 (1996), pp. 1-55.
25Ph. DEPREUX, Prosopographie de ! 'entouragede Louis le Pieux (781-840), with a preface
by P. JOHANEK,(Sigmaringen, 1997:Instnuuenta 1), pp. 204 ff.
26Frotharius, Letter No. 17,ed. in: Epistolae Karolini Aevi 3, ed. E. DOMMLER(Berlin, 1899:
MGH Epp 5) p. 287 ff.; Letter No. 30, ed. ibid., p. 296 if. On the lettersof Frothar, seeM. STRAT-
MANN,"Schriftlichkeit in der Verwaltung von Bistmern und Klstern", in: Schrifikultur und
Reichsverwaltungunter den Karolingern, pp. 85-108, esp.pp. 85-89; M. PARISSE, La correspon-
dance d'un dveguecarolingien: Frothaire de Toul (ca. 813-847) (Paris, 1998: Testesei docu-
ments d'histoire mddidvale 2).
27M. MERSIOWSKY, "Graphische Symbole in den Urkunden Ludwigs des Frommen", in: Gra-
phische Symbole in mittelalterlichen Urkunden: Beitrge zur diplomatischen Semiotik, ed. P.
RCK(Sigmaringen, 1996: Historische Hilfswissenschaften3), pp. 335-383, at p. 340.
28P. JOHANEK,"Die karolingischen Diplome der Francia orientalis", in: Typologie der
Knigsurkunden, pp. 115-125, esp. pp. 123-125.
29Th. SCHIEFFER, Die lothringische Kanzlei uni 900 (Cologne and Graz, 1958),pp. 21-23 (also
in: DA 14 (1958), pp. 17-148,at pp. 37-39). On the conceptof layout in diplomatics, seeP. ROCK,
Towards a Reappraisal 23

These briefly sketched examples show that beneficiaries were intensely

involved with the production of charters, and that their ideas even extended to
the layout of the charter. If the charter is really-as Hagen Keller proposes-a
central monument of sovereign representation, it amazesus at least to see the
extent of influence of the beneficiaries. I mention only in passing the research
of Hans-Henning Korttim, who attestedmassive influence of beneficiaries on
papal products. Certainly the self-preservation force of the Frankish sovereign
charter was stronger in the early Middle Ages than that of the papal charter;
still, the sovereign charterneedsto be reevaluatedmaking use of methods simi-
lar to those of Kortm. 30It was not just the will of the sovereign that was be-
hind a diploma; an agile beneficiary with good contacts at court could be be-
hind the production of a diploma. At least towards the end of the ninth century,
it was even possible for him to bring his own ideas about layout and language
into the sovereigncharter.Not so much bureaucratic action as personal connec-
tions allowed accessto the sovereign and to the productions of charters, as
researchby Philippe Depreux and myself have demonstrated.Interventions and
intercessorsmust be taken much more seriously than they have been.31
Thus, we find ourselvesconfronted with fundamental questions, for exam-
ple, should we really speakof beneficiaries.The notion implies, after all, a very
precise level of representation.In addition to the sovereign act of a monarch
who produces a charter, the interested beneficiary appears,who, for motives
that we need to question, desires a charter and in so doing, accepts the sover-
eignty. Charter reception as acceptance:more research from this perspective
might be of importance.
It would be exaggeratedto posit the thesis, in opposition to the traditional
point of view, that there were no sovereign intentions underlying the granting
of privileges. Even if research always feels the pressure to be original, we
should not throw out the baby with the bathwater.However, consistentresearch
which does not axiomatically assumea conscious policy to granting privilege
is legitimate and necessary.Generally speaking,what is required is a changeof

"Die Urkunde als Kunstwerk", in: Kaiserin Theophanu:Begegnungdes Ostensund Westensuni

die Wendedes ersten Jahrtausends: Gedenkschrift des Klner Schntgen-Museumszum 1000.
Todesjahrder Kaiserin, ed. A. VONEUw and P. SCHREINER, 2 vols. (Cologne, 1991), 2, pp. 311-
333.
30H: H. KORTt7At,Zur ppstlichen Urkundensprache im frhen Mittelalter: Die
ppstlichen
Privilegien 896-1046 (Sigmaringen, 1995:Beltrge zur GeschichteHund QuellenkundedesMittel-
alters 17); cf. the review by H. JAKOBS,DA 52 (1996), pp. 224-225, esp. p. 225. See also, for
methodological perspectives from the later Middle Ages: J. KRUISHEER,"Kanzleianfertigung,
Empfngeranfertigungund Anfertigung durch Dritte: Methodologische Anmerkungen anllich
einiger neuerer Untersuchungen", AID 25 (1979) pp. 256-300.
3' DEPREUX,Prosopographie,
pp. 41-64; MERSIOWSKY, "Regierungspraxis", pp. 127-135.
24 MARK MERSIOWSKY

perspective: Carolingian grants of privilege should consistently be seen from

the
, viewpoint of the beneficiary. This change of perspective does not mean we
should not take into account the political intentions that have been established
by scholarship.To the contrary, againstsuch a backdrop the acts of the emperor
appearperhapseven more meaningful.
I have been working on this type of research for two years in the frame-
work of my Habilitation thesis. Central in my researchare the following:

1. The question of the role of the sovereign's entourage for charter

production.
2. The questionof the interestof beneficiariesin diplomas. For that, we
need a more far-reaching content typology of sovereign charters. First of
all, the question arises as to alternative forms of legal written assurance.
The most important question is whether we will find motives to suggest
preference or rejection of certain legal forms of assurance,first of all of
sovereignprivilege granting. For this we need a comparative study of sov-
ereign as well as private charters, and research into the strategies for
achieving legal assuranceand also into contemporary forgeries.
3. Systematic researchon the question of the chancesof survival and
the chancesof loss of Carolingian charters.Certain charter types had better
chancesof surviving than others. My researchhas already produced clear
results for "mandates". The lack of graphic symbols providing legal proof,
as well as the content of these documents, led to great losses.These ques-
tions must also be asked for other types of charters32 Aside from the re-
marks of Peter Johanek on the formulae imperiales of the chancery of
Louis the Pious, theseproblems have been so far mostly left untouched 31
4. Systematic research into confirmations, their various forms and
goals. Researchinto theseproblems is offered for example by the volume
of pancartes monastiques,34which appeareda short time ago, and whose
results must be applied to the problem posited here.
5. Research into the formal changes of Carolingian sovereign charters.
Late Carolingian charter production is totally rooted in the traditions of the
early Carolingians. Under Charlemagne, the charter of the mayor of the

32MERSIOWSKY, "Graphische Symbole",

pp. 340 ff.; MERSIOWSKY, "Regierungspraxis", pp.
118-124. See also the contribution of Georges Declercq to this volume.
33P. JOHANEK,"Herrscherdiplom
und Empfngerkreis: Die Kanzlei Ludwigs des Frommen
in der Schriftlichkeit der Karolingerzeit", in: Schriftkultur und Reichstivenwaltung
unter den Karo-
lingern, pp. 167-188, esp. pp. 184-188.
34Pancartes monastiquesdesxf ei Xtf siecles: Table
ronde organiseepar ! ARTEM,6-7juillet
1994, Nancy, ed. M. PARISSE, P. PEGEOTand B: M. TOCK(Turnhout, 1998).
Towards a Reappraisal 25

palace, which was related to both the Merovingian royal charter and the
Frankish private charter, gradually developed into high Carolingian charter
production, which found its classical expression under Charlemagne's son,
Louis the Pious. It was gradually fine-tuned from the most ceremonial
bulled privileges to the letter-like simple mandate. In the West and East
Frankish realms, charters developed differently 35 The variation in external
presentation, the fine tuning from the most ceremonial privilege down to
the simple mandate was lost again. It should be researched whether changes
in the role of the diploma and mandate in government practice and literacy
are reflected in these differences.

All thesequestionsand many more can only be presentedat the moment as

a survey of the problems. But I hope to be able to conclude this researchto a
certain extent this year. Whether all of the questionscan be answered,whether
all of the paths of inquiry will bear fruit, I cannot yet say. But it is worth trying,
I believe."'

35Cf. the survey of the typology in BAUTIER,"Les

actes royaux"; JOHANEK,"Die Diplome".
I am planning a comprehensive treatment: "Carta edita, causa finita: Zur Diplomatik Kaiser
Amolfs", in: KaiserArnolf. Das ostfrnkisclreReich am Ende des 9. Jahrhunderts: Regensburger
Kolloquium 9.-11.12.1999, cd. F. Fuctis and P. SCHMID(Munich, forthcoming).
3' At the time this lecture was
prepared for publication, 1 had not yet been able to read P.
WORMALD,TheMaking of English Law: King Alfred to the Twelfth Century (Oxford, 1999).Esp.
pp. S1-92 are very important for the argument developed.