The Holy Roman Empire

Rise of the Holy Roman Empire

The Holy Roman Empire was a multi-ethnic complex of territories in central Europe that developed during the Early Middle Ages and continued until its dissolution in 1806. The largest territory of the empire after 962 was Eastern Francia, though it also came to include the Kingdom of Bohemia, the Kingdom of Burgundy, the Kingdom of Italy, and numerous other territories.

In 800, Pope Leo III crowned the Frankish king Charlemagne Emperor of the Romans, reviving the title in Western Europe after more than three centuries. The title continued in the Carolingian family until 888, and from 896 to 899, after which it was contested by the rulers of Italy in a series of civil wars until the death of the last Italian claimant, Berengar, in 924. The title was revived again in 962 when Otto I was crowned emperor, fashioning himself as the successor of Charlemagne and beginning a continuous existence of the empire for over eight centuries. Some historians refer to the coronation of Charlemagne as the origin of the empire, while others prefer the coronation of Otto I as its beginning. Scholars generally concur, however, in relating an evolution of the institutions and principles constituting the empire, describing a gradual assumption of the imperial title and role.

The Rise of the Empire

After Charlemagne died in 814, the imperial crown was disputed among the Carolingian rulers of Western Francia and Eastern Francia, with first the western king (Charles the Bald) and then the eastern (Charles the Fat) attaining the prize. After the death of Charles the Fat in 888, however, the Carolingian Empire broke apart, and was never restored. According to Regino of Prüm, the parts of the realm “spewed forth kinglets,” and each part elected a kinglet “from its own bowels.” After the death of Charles the Fat, those crowned emperor by the pope controlled only territories in Italy. The last such emperor was Berengar I of Italy, who died in 924.

A few decade earlier, around 900, autonomous stem duchies (Franconia, Bavaria, Swabia, Saxony, and Lotharingia) reemerged in East Francia. After the Carolingian king Louis the Child died without issue in 911, East Francia did not turn to the Carolingian ruler of West Francia to take over the realm, but instead elected one of the dukes, Conrad of Franconia, as Rex Francorum Orientalium. On his deathbed, Conrad yielded the crown to his main rival, Henry the Fowler of Saxony, who was elected king at the Diet of Fritzlar in 919. Henry reached a truce with the raiding Magyars, and in 933 he won a first victory against them in the Battle of Riade.

Otto I, Holy Roman Emperor

Henry the Fowler died in 936, but his descendants, the Liudolfing (or Ottonian) dynasty, would continue to rule the eastern kingdom for roughly a century. Upon Henry’s death, Otto I, his son and designated successor, was elected King in Aachen in 936. Otto continued his father’s work of unifying all German tribes into a single kingdom and greatly expanded the king’s powers at the expense of the aristocracy. Through strategic marriages and personal appointments, Otto installed members of his family in the kingdom’s most important duchies. This reduced the various dukes, who had previously been co-equals with the king, to royal subjects under his authority. Otto transformed the Roman Catholic Church in Germany to strengthen the royal office and subjected its clergy to his personal control.

After putting down a brief civil war among the rebellious duchies, Otto defeated the Magyars at the Battle of Lechfeld in 955, thus ending the Hungarian invasions of Western Europe. The victory against the pagan Magyars earned Otto a reputation as a savior of Christendom and secured his hold over the kingdom. In 951, Otto came to the aid of Adelaide, the widowed queen of Italy, defeating her enemies, marrying her, and taking control of Italy. By 961, Otto had conquered the Kingdom of Italy and extended his realm’s borders to the north, east, and south. Following the example of Charlemagne’s coronation as “Emperor of the Romans” in 800, Otto was crowned emperor in 962 by Pope John XII in Rome, thus intertwining the affairs of the German kingdom with those of Italy and the papacy. Otto’s coronation as emperor marked the German kings as successors to the empire of Charlemagne, which through the concept of translatio imperii also made them consider themselves successors to Ancient Rome.

Otto’s later years were marked by conflicts with the papacy and struggles to stabilize his rule over Italy. Reigning from Rome, Otto sought to improve relations with the Byzantine Empire, which opposed his claim to emperorship and his realm’s further expansion to the south. To resolve this conflict, the Byzantine princess Theophanu married Otto’s son, Otto II, in April 972. Otto finally returned to Germany in August 972 and died at Memleben in 973. Otto II succeeded him as Holy Roman Emperor.

Administration of the Empire

The Holy Roman Empire was divided into dozens—eventually hundreds—of individual entities governed by kings, dukes, counts, bishops, abbots, and other rulers, collectively known as princes, who governed their land independently from the emperor, whose power was severely restricted by these various local leaders.

The Holy Roman Empire was not a highly centralized state like most countries today. Instead, it was divided into dozens—eventually hundreds—of individual entities governed by kings, dukes, counts, bishops, abbots, and other rulers, collectively known as princes. There were also some areas ruled directly by the emperor. At no time could the emperor simply issue decrees and govern autonomously over the empire. His power was severely restricted by the various local leaders.

From the High Middle Ages onwards, the Holy Roman Empire was marked by an uneasy coexistence with the princes of the local territories who were struggling to take power away from it. To a greater extent than in other medieval kingdoms such as France and England, the Roman emperors were unable to gain much control over the lands that they formally owned. Instead, to secure their own position from the threat of being deposed, emperors were forced to grant more and more autonomy to local rulers, both nobles and bishops. This process began in the 11th century with the Investiture Controversy and was more or less concluded with the 1648 Peace of Westphalia. Several emperors attempted to reverse this steady dissemination of their authority, but were thwarted both by the papacy and by the princes of the empire.

The Emperor’s Loss of Centralized Authority

After the reign of Otto I, the centralized power of the emperor began to fade and local rulers, as well as the Catholic Church, gained more and more power in relation to the emperor. Eventually, the emperor held little authority over the empire and the territories began to function more like modern nation-states. The Hohenstaufen dynasty, which started in 1125, and especially Emperor Frederick I, represented both a final attempt at unified power and the beginning of the dissolution of that power.

Despite his imperial claims, Frederick’s rule was a major turning point towards the disintegration of central rule in the Holy Roman Empire. While concentrated on establishing a modern, centralized state in Sicily, he was mostly absent from Germany and issued far-reaching privileges to Germany’s secular and ecclesiastical princes. In the 1220 Confoederatio cum principibus ecclesiasticis, Frederick gave up a number of regalia in favor of the bishops, among them tariffs, coining, and fortification. The 1232 Statutum in favorem principum mostly extended these privileges to secular territories. Although many of these privileges had existed earlier, they were now granted globally, and once and for all, to allow the German princes to maintain order north of the Alps while Frederick concentrated on Italy. The 1232 document marked the first time that the German dukes were called domini terræ, owners of their lands, a remarkable change in terminology as well.

The shift in power away from the emperor is revealed in the way the post-Hohenstaufen kings attempted to sustain their power. Earlier, the empire’s strength (and finances) greatly relied on the empire’s own lands, the so-called Reichsgut, which always belonged to the king of the day and included many imperial cities. After the 13th century, the relevance of the Reichsgut faded, even though some parts of it did remain until the empire’s end in 1806. The Reichsgut was increasingly pawned to local dukes, sometimes to raise money for the empire, but more frequently to reward faithful duty or as an attempt to establish control over the dukes. The direct governance of the Reichsgut no longer matched the needs of either the king or the dukes.

The “constitution” of the empire still remained largely unsettled at the beginning of the 15th century. Although some procedures and institutions had been fixed, for example by the Golden Bull of 1356, the rules of how the king, the electors, and the other dukes should cooperate in the empire much depended on the personality of the respective king. It therefore proved somewhat damaging that Sigismund of Luxemburg (king 1410, emperor 1433–1437) and Frederick III of Habsburg (king 1440, emperor 1452–1493) neglected the old core lands of the empire and mostly resided in their own lands. Without the presence of the king, the old institution of the Hoftag, the assembly of the realm’s leading men, deteriorated. The Imperial Diet as a legislative organ of the empire did not exist at that time. The dukes often conducted feuds against each other—feuds that, more often than not, escalated into local wars. The medieval idea of unifying all Christendom into a single political entity, with the church and the empire as its leading institutions, began to decline.

Imperial Diet

The Imperial Diet (Reichstag) was the legislative body of the Holy Roman Empire and theoretically superior to the emperor himself. It was divided into three classes. The first class, the Council of Electors, consisted of the electors, or the princes who could vote for King of the Romans. The second class, the Council of Princes, consisted of the other princes, and was divided into two “benches,” one for secular rulers and one for ecclesiastical ones. Higher-ranking princes had individual votes, while lower-ranking princes were grouped into “colleges” by geography. Each college had one vote. The precise role and function of the Imperial Diet changed over the centuries, as did the empire itself, in that the estates and separate territories gained more and more control of their own affairs at the expense of imperial power.

King of the Romans

Another check on the emperor’s power was the fact that he was elected. A prospective emperor first had to be elected King of the Romans by the prince-electors, the highest office of the Imperial Diet. German kings had been elected since the 9th century; at that point they were chosen by the leaders of the five most important tribes (the Salian Franks of Lorraine, Ripuarian Franks of Franconia, Saxons, Bavarians, and Swabians). In the Holy Roman Empire, the main dukes and bishops of the kingdom elected the King of the Romans. In 1356, Emperor Charles IV issued the Golden Bull, which limited the electors to seven: the King of Bohemia, the Count Palatine of the Rhine, the Duke of Saxony, the Margrave of Brandenburg, and the archbishops of Cologne, Mainz, and Trier. During the Thirty Years’ War, the Duke of Bavaria and the Duke of Brunswick-Lüneburg were given the right to vote as the eighth and ninth electors, respectively. Additionally, the Napoleonic Wars resulted in several electorates being reallocated, but these new electors never voted before the empire’s dissolution. A candidate for election would be expected to offer concessions of land or money to the electors in order to secure their vote.

After being elected, the King of the Romans could theoretically claim the title of “Emperor” only after being crowned by the pope. In many cases, this took several years while the king was held up by other tasks; frequently he first had to resolve conflicts in rebellious northern Italy, or was quarreling with the pope himself.