Beruflich Dokumente
Kultur Dokumente
r i_ ka i_ ka
r r toutwn diakeimrnwn
te i t i i i ` i .
10
On nomads in Greek literature, F. Hartog, Le miroir dHrodote: Essai sur la reprsentation de
lautre (Paris, 1980); also H. Kothe, Der Skythenbegriff bei Herodot, Klio 51 (1969), pp. 1588
and W. Pohl, Die Rolle der Steppenvlker im frhmittelalterlichen Europa, in R. Zehetmayer
(ed.), Im Schnittpunkt frhmittelalterlicher Kulturen: Niedersterreich an der Wende vom 9. zum
10. Jahrhundert = Mitteilungen aus dem Niedersterreichischen Landesarchiv 13 (2008), pp.
92102. On the Scythians in Byzantine historiography: O. Pritsak, Scythians, in A. Kazhdan
(ed.), The Oxford Dictionary of Byzantium, 3 vols (Oxford and New York, 1991), III, pp. 18578;
and the entry H. Gckenjan, Skythen, Skythien, in Lexicon des Mittelalters 7 (1995), cols
19992000. Finally E. Malamut, Limage byzantine des Petchngues, BZ 88 (1995), pp.
10547; Gy. Moravcsik, Byzantinoturcica, Berliner Byzantinistische Arbeiten [hereafter BBA]
1011, 2nd edn, 2 vols (Berlin, 1983), II, pp. 27983. On Byzantine ethnography: M. Maas,
Ethnography, in G.W. Bowersock, P. Brown and O. Grabar (eds), Late Antiquity: A Guide to
the Post Classical World (Cambridge, MA and London, 1999), pp. 4356.
206 Francesco Borri
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
Azov);
11
and, according to Theophylactus and Maurice, the Avars were
also among them. In the Strategikon, moreover, Slav mildness was con-
trasted with the wildness of the Scythians, the empires most fearsome
enemies.
12
It is possible that Constantine Porphyrogenitus, following the
generally positive view of the Croats offered in the DAI, avoided men-
tioning their Scythian background, but it seems clear that, from the
Byzantine perspective, the Croats were indeed Scythians. John Scylitzes,
quoting the Life of Basil and the Book of the Ceremonies in the eleventh
century, described them as a minor Scythian group, deserving just a
few lines.
13
The DAI is the most important text for the study of early medieval
Dalmatia, offering us rich information about the earliest Croatian his-
tory.
14
The emperor dealt with Croatia contradictorily, principally in
Chapters 29 to 31, part of the unitary section (formed by Chapters 29
to 36) dedicated to the settlement of the Balkans. These chapters have
been the subject of great interest to scholars: they were edited separately
from the rest of the DAI and have been commented on numerous
times.
15
More generally, the text is vital to the study of south-eastern
11
Procopius of Cesarea, Bella VIII.56, ed. J. Haury and G. Wirth, Procopi Cesarensis Opera
Omnia, 4 vols (Suttgart, 19624), III, II, pp. 50315; Agathias, Historiae V.11, ed. J.D. Frendo,
CFHB 2 (Berlin and New York, 1975), pp. 1767.
12
Theophylactus Simocatta, Historia, ed. C. de Boor and P. Wirth (Stuttgart, 1972), passim, trans.
M. Whitby, The History of Theophylact Simocatta (Oxford, 1986). H.W. Haussig, Theophylak-
tos Exkurs ber die skythischen Vlker, Byzantion 22 (1953), pp. 275462. Maurice, Strategikon
IV.2, XI.2, ed. and [German] trans. G.T. Dennis and E. Gamillscheg, Das Strategikon des
Maurikios, CFHB 17 (Vienna, 1981), pp. 194, 3608, trans. G.T. Dennis, Maurices Strategikon:
Handbook of Byzantine Military Strategy (Philadephia, 1984). J. Wiita, The Ethnika in Byzantine
Military Treatises, Ph.D. thesis, University of Minnesota (1977).
13
John Scylitzes, Synopsis Historiarum, ed. I. Thurn, CFHB 5 (Berlin, 1973), pp. 1457, 222, 365.
14
On the legends of origin see: H. Wolfram, Gotische Studien: Volk und Herrschaft im frhen
Mittelalter (Munich, 2005), pp. 20724; H. Wolfram, W. Pohl, H.H. Anton, I. Wood and M.
Becher, Origo gentis, Reallexikon der Germanischen Altertumskunde [hereafter RGA] 22 (2003),
pp. 174210. Challenging the very existence of a literary genre called origo gentis, W. Goffart,
Two Notes on Germanic Antiquity Today, Traditio 50 (1995), pp. 930. More recently, A.
Plassmann, Origo gentis. Identitts- und Legitimittsstiftung in frh- und hochmittelalterlichen
Herkunftserzhlungen, Orbis mediaevalis, Vorstellungswelten des Mittelalters 7 (Berlin, 2006),
pp. 1135.
15
The most recent commentary is M. Eggers, Das De administrando imperio des Kaisers
Konstantinos VII. Porphyrogennetos und die historisch-politische Situation Sdosteuropas
im 9. und 10. Jahrhundert, Ostkirchliche Studien 56 (2007), pp. 15101; older ones are:
F. Dvornk in DAI II, pp. 93146 and A. Pavic, Cara Konstantina VII Porrogenita De
administrando imperio glave 2936 [The Chapters 2936 of the De Administrando Imperio of
Emperor Constantine Porphyrogenitus] (Zagreb, 1906). Chapters 29 to 36 have been also sepa-
rately edited: Documenta Historiae Chroaticae periodum antiquam illustrantia, ed. F. Racki,
Monumenta spectantia historia Slavorum Meridionalium 7 (Zagreb, 1877), pp. 264419;
The Early History of the Slavonic Settlements in Dalmatia, Croatia, and Serbia, ed. J.B. Bury,
Texts for Students 18 (London and New York, 1920). For a discussion of Constantine
Porphyrogenitus witness: N. Budak, Identities in Early Medieval Dalmatia (Seventh
Eleventh Centuries), in I. Garipzanov, P. Geary and P. Urbanczyk (eds), Franks,
Northmen and Slavs: Identities and State Formation in Early Medieval Europe, Cursor Mundi
White Croatia and the arrival of the Croats 207
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
Europe, being virtually the only source for many places and periods.
The signicance of the DAI is, nevertheless, comparable with its dif-
culty, and its nature is hard to describe. The DAI was a sort of user
manual for the empire, dedicated by Constantine Porphyrogenitus to
his son Romanus II (95963), describing the many neighbouring
peoples of Byzantium and the way to deal with them. The text contains
highly heterogeneous information (most likely coming from les and
dossiers lost to us), long quotations of other works, legendary elements,
and a work of interpretation and re-edition by the emperor himself.
Romily Jenkins thought that the composition of the DAI should be
understood in two periods, and, more recently, James Howard-
Johnston proposed that the text was commissioned by Leo VI (886
912) and that only later his porphyrogenite son brought it personally to
its nal form, because no imperial secretary or bureaucrat would have
dared to carry out the task of gathering and editing material so incom-
petently.
16
The treatise commissioned by Leo VI, was, supposedly,
more agile and focused, dealing with the diplomacy pertaining to four
fundamental areas for the empire: southern Italy, Armenia and western
Caucasus, the Pontic steppes, and the Balkans. It is striking that major
powers like the Bulgars or the Chazars were openly avoided, while the
principal concern was the many minor groups surrounding them.
17
Howard-Johnstons hypothesis is appealing: the greater part of the
information contained in the DAI ends indeed at the beginning of the
tenth century, but some of the witnesses concerning the Croats history
originate from a period closer to Constantines. Starting from Howard-
Johnstons ideas, therefore, I shall suggest that the information concerning
the Croats (or at least part of it) was an addition to an already existing
dossier compiled in the age of Leo. The idea is not completely new: already
John Bury proposed, on grounds of style and content, that Chapter 30,
introduced by an unusual opening line, was subsequent to the rst
redaction of the treatise, but this thesis did not receive universal agree-
ment.
18
Elements contained in all the chapters twenty-nine to thirty-one
5 (Turnhout, 2008), pp. 22341; J.V.A. Fine, Croats and Slavs: Theories about the Historical
Circumstances of the Croats Appearance in the Balkans, Byzantinische Forschungen 26
(2000), pp. 20518.
16
J. Howard-Johnston, The De administrando imperio: A Re-examination of the Text and a
Re-evaluation of its Evidence about the Rus, in M. Kazanski, A. Nercessian and C. Zuckerman
(eds), Les centres proto-urbains russes entre Scandinavie, Byzance et Orient, Ralits Byzantines 7
(Paris, 2000), pp. 30136, the quotation from p. 308. For Jenkinss ideas: DAI II, pp. 18. The
authorship of Constantine (and not of one of his employees) was already proposed by Bury,
The Treatise, pp. 51819.
17
Bury, The Treatise, p. 575; Howard-Johnston, The De administrando imperio, p. 307.
18
Bury, The Treatise, pp. 5235. For a critic: B. Grafenauer, Prilog kritici izvjetaja Konstantina
Porrogeneta o doseljenju Hrvata [Critical Contribution on Constantine Porphyrogenitus
208 Francesco Borri
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
are, however, later than Leo VIs reign, such as the mention of Otto I (who
became king in 936) in the description of White Croatia, or the attempted
Bulgar invasion of Dalmatia.
19
The witness concerning the Croats, or at
least a part of it, therefore, should be dated to Constantines reign.
The emperor collected two versions of the Croatian Wanderung for
which historiography has found two different origins: the rst was sup-
posedly an indigenous tribal saga, the second one the Byzantine interpre-
tatio of the same events. Chapter 30, where there is no Byzantine mediation
in the Croatian settlement of Dalmatia (and which Bury thought to be a
later interpolation), was read as a transcription of ancestral Croatian
traditions.
20
This legendary, but national character, was supposed to grant
major reliability to this short account owing to the lack of imperial
interpretation and interpolations: the story was believed the more trust-
worthy witness to the Croats earliest history and to their Landnahme.
21
The anthroponyms and the place names, surviving together with the
tradition of migration, were intended as traces of the ancestral memories
around which Croatian identity gathered, preserved by a Traditionskern
(the Croatian elite) surviving until Constantines day, to use the concepts
developed by Reinhard Wenskus.
22
Nevertheless, there are clear method-
ological limitations in believing one tradition to be true and dismissing
another as a literary creation, and it has not been sufciently considered
Witness on the Migration of the Croats], Historijski Zbornik 5 (1952), pp. 152, here pp. 1820,
who noted how the introduction Istron o is absent in many chapters of the DAI and not
just from the thirtieth as instead suggested by John Bury.
19
DAI, cc. 30, 32, pp. 142, 157.
20
Bury, The Treatise, pp. 5235; F. Curta, The Making of the Slavs: History and Archaeology of the
Lower Danube Region, c. 500700 (Cambridge, 2001), pp. 647. Curta, starting from Burys idea,
sees Chapter 30 as a much later interpolation, compiled by a different author after the emperors
death (959). The idea that Chapter 30 was not written by Constantine may also be found in M.
Loncar, O Porrogenetovoj Dalmaciji [Concerning Porphyrogenitus Dalmatia], Diadora 12
(1990), pp. 391400. For a summary of the debate see L. Margetic, Dolazak Hrvata. Ankunft der
Kroaten, Biblioteka Znanstvenih Djela 119 (Split, 2001) and M. Loncar, Porrogenetova seoba
Hrvata pred sudom novije literature [The Croat Migration of Porphyrogenitus in Recent
Literary Discussion], Diadora 14 (1992), pp. 375448.
21
Grafenauer, Prilog; Lj. Hauptmann, Seoba Hrvata i Srba [The Migration of the Serbs and the
Croats], Jugoslovenski istoriski c asopis 3 (1937), pp. 3061. For a discussion of the romantic and
nationalistic concept of Landnahme: R. Corradini, Landnahme, RGA 17 (2001), pp. 60211.
22
R. Wenskus, Stammesbildung und Verfassung: Das Werden der frhmittelalterlichen Gentes
(Cologn and Graz, 1961). On Reinhard Weskus see H. Wolfram, Terminologisches, in
Nomen et Fraternitas: Festschrift for Dieter Geuenich on his 65
th
Birthday, U. Ludwig and Th.
Schilp (eds), Ergnzungsbnde zum RGA 62 (Berlin and New York, 2008), pp. 787802; S.
Gasparri, Tardoantico e alto Medioevo: metodologie di ricerca e modelli interpretativi, in S.
Carocci (ed.), Il Medioevo (secoli VXV) VIII: Popoli, poteri, dinamiche (Rome, 2006), pp.
2761. For a critic of Wenskus, see A.C. Murray, Reinhard Wenskus on Ethnogenesis,
Ethnicity, and the Origin of the Franks, in A. Gillett (ed.), On Barbarian Identity: Critical
Approaches to Ethnicity in the Early Middle Ages, Studies in the Early Middle Ages 1 (Turn-
hout, 2002), pp. 3968, but also the response, W. Pohl, Ethnicity, Theory and Tradition:
A Response, in ibid., pp. 22140.
White Croatia and the arrival of the Croats 209
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
that the two traditions, although in manifest contradiction to one another,
were collected in the same text, apparently following a clear intention.
23
Chapter 29 has two narrative focuses: the conquest of Salona (today
Solin, a few kilometres north of Split) and the siege of Bari of 871.
Constantine wrote the earliest account of Salonas fall, while a second
one, richer, but largely different, survives in the chronicle of Thomas
Archdeacon of Split (120068).
24
The emperor described the vastness
of Dalmatia, extending as far as the Danube, a land populated by
`
r t agibaeia,
r r i 0 i l elocwbotoi. ia r o t r 0
,
j 0 i prnte, o te
i o Lbelo i o osrntzh i o
u i o wboto i 0 i duo, j o i j ougo, o
0
j i Delmatian, i u u katrconta j
toiauthn
. All the names not attested in the rest of the surviving evidence: P.M. Fraser and
E. Matthews (eds), A Lexicon of Greek Personal Names IV: Macedonia, Thrace, Northern Regions
of the Black Sea (Oxford, 2005); L. Zgusta, Die Personennamen griechischer Stdte
der nrdlichen Schwarzmeerkste: die ethnischen Verhltnisse, namentlich das Verhltnis
der Skythen und Sarmaten, im Lichte der Namenforschung, C
. Concerning this see the considerations of S.
Esders, Grenzen und Grenzberschreitung. Religion, Ethnizitt und politische Integration am
Rande des ostrmischen Imperium (4.7. Jh.), in W. Huschner and F. Rexroth (eds), Gestiftete
Zukunft im mittelalterlichen Europa. Festschrift fr Michael Borgolte zum 60. Geburtstag (Berlin,
2008), pp. 328, at 1825.
White Croatia and the arrival of the Croats 211
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
to their dogs, which is similar to the story recounted by Ammianus
Marcellinus about the Goths, in the prelude to the battle of Adrianopolis
(378), being forced to sell their children in order to buy dog meat from
the Franks.
29
Despite the texts many incongruities, we canestablishthat Constantine
described a Great Croatia (j megolh wbatia) or a White Croatia
(j 0 wbatia) as the place from which the Croats, led by seven
siblings or by the father of Porgas, began their journey, apparently in the
rst half of the seventh century. The idea of a migration from a so-called
land does not appear in the chronicles of Thomas Archdeacon or the Priest
of Duklja, who wrote many centuries after Constantine (between the
twelfth and the thirteenth centuries), but which are normally relied on as
sources for the earliest history of Dalmatia. Owing to the nature of the
DAI, Constantines witness was not known. The text was of a condential
character and survived only in four manuscripts, the oldest dating to the
end of the eleventh century (Parisinus graecus 2009, the other three copies
are from the sixteenth century). Although the texts tradition cannot, by
itself, prove poor diffusion, the DAI was practically unknown to the
authors writing after Constantine Porphyrogenitus, with the possible
exception of twelfth-century writers and of a copy circulating in fteenth-
century Dubrovnik/Ragusa.
30
The idea of a Croatian migration found its place in historical debate
only after the rst edition and Latin translation of the DAI in 1611, by
Johannes van Meurs.
31
Despite the many and great inconsistencies of the
DAI with the other sources we possess, Constantines narrative was, after
this date, considered the most reliable, bringing a re-discovery of the early
medieval past to the seventeenth century. From this time on the treatise
of the emperor enjoyed great popularity in Croatia, reaching its height
during the national debate at the end of the nineteenth century, when it
seemed to offer an early and prestigious origin for the Croatian people
able to challenge rising Hungarian nationalism.
32
29
On the Barbarians in disguise see DAI, cc. 29, 30, pp. 124, 1402; evcenko, Re-reading, p. 192.
On Franks feeding their dogs with Croatian children see DAI, c. 30, pp. 1402; Ammianus
Marcellinus, Res Gestae XXXI.5, VVIII.
30
B. Mondrain, La lecture du De administrando imperio Byzance au course des sicles,
Travaux & Mmoires 14 (2002), pp. 48598; Beaud, Le savoir et le monarque, pp. 5623; L.I.
Conrad, The Arabs and the Colossus, Journal of the Royal Asiatic Society 6 (1996), pp. 16787,
proposes that Cedrenus and Zonaras quoted the text; also Howard-Johnston, The De admin-
istrando imperio, p. 305, n. 10. On the DAI in Dubrovnik/Ragusa: T. ivkovic, Constantine
Porphyrogenitus and the Ragusan Author before 1611, Istorijski C
(the Hungars).
33
In Chapter 31 White
Croatia (j i 0 r r ) is also called Great (j
megolh wbatia) and is still heathen; it is often attacked by Pech-
enegs, Turks and Franks and is able to gather resources inferior to those
of Dalmatian Croatia, which could muster 60,000 mounted soldiers,
100,000 foot soldiers and a eet of 180 ships.
34
White Croatia, mean-
while, has no ships because it lies thirty days journey from the sea which
is called dark (skoteinj).
35
Those historians who have accepted the idea of a migration, whether
performed by an entire population or just by military elites, have also had
to accept the concept of a Croatian ancestral fatherland called White
Croatia. The existence of a land with this name, however, presents many
difculties; the main one is that it does not appear in any source other than
Constantine Porphyrogenitus, while White Croats are mentioned only
much later, in the twelfth-century Russian Primary Chronicle.
36
Although
the reference to White Croatia is isolated, names similar to Hrvat (which
means Croat in Serbo-Croatian, with H to be read as K) are reasonably
spread, in a large number of texts largely independent of one another,
written in Arabic, Old English and Latin (even if sometimes they seem to
be simple assonances, and it happens that an H or K together with an R
pp. 858. On the Hungarian situation: Gy. Dalos, Ungarn, in M. Flacke (ed.), Mythen der
Nationen: ein europisches Panorama (Munich and Berlin, 1998), pp. 52856.
33
DAI, c. 30, p. 142; J. Shepard, Byzantine Writers on the Hungarians in the Ninth and Tenth
Century, Annual of Medieval Studies at CEU 10 (2004), pp. 97123, here pp. 99100, 1046.
34
The numbers are clearly ctive, T. ivkovic, Contribution to the New Reading about the
Constantine Porphyrogenitus Statement of the Number of Croat Horsemen, Foot Soldiers and
Sailors in Early 10th Century, Byzantinoslavica 65 (2007), pp. 14351, who examining the
Codex Parisinus, theorized a transcription error, proposing instead that Constantine meant a
much smaller number of soldiers. For a broader overview: G. Halsall, Warfare and Society in the
BarbarianWest, 450900 (Abingdon and NewYork, 2003), pp. 11933, who proposes rather small
numbers. Different ideas are expressed by W. Treadgold, The Army in the Works of Constan-
tine Porphyrogenitus, Rivista di Studi Bizantini e Neoellenici 29 (1992), pp. 77162, but see also
the criticisms of C. Zuckerman, Learning from the Enemy and More: Studies in Dark
Centuries Byzantium, Millennium 2 (2005), pp. 79135.
35
DAI, c. 31, pp. 1502.
36
The Pove st vremennykh le t: An Interlinear Collation and Paradosis, ed. D. Ostrowski and D.J.
Birnbaum, Harvard Library of Early Ukrainian Literature, Texts 10 (Cambridge, MA, 2003), p.
23, trans. S. Hazzard Cross and O.P. Sherbowitz-Wetzor, The Russian Primary Chronicle:
Laurentian Text, The Medieval Academy of America 60 (Cambridge, MA, 1954). On the
chronicle: S. Franklin, Writing Society and Culture in Early Rus, c. 9501300 (Cambridge, 2002),
passim.
White Croatia and the arrival of the Croats 213
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
are enough to recall the name Hrvat to the historians mind).
37
Other
trustworthy sources, however, reported similar names: Thietmar described
a region called Chruvati reachable in one night from Merseburg, and a
place with a similar name was also mentioned in a diploma of Emperor
Otto I (93673) and in one issued by Henry III (103956) collected in the
Chronicle of the Czechs written by Cosmas of Prague.
38
The emperor also described a Pagan Serbia (j0 o Seblia),
neighbouring with White Croatia and populated by White Serbs
(Srblwn,
Sklobwn r _
r u , toutrstin ` l j cuan r '. H. Kunstmann, ber den
Namen der Kroaten, Welt der Slaven 27 (1982), pp. 1316, proposes a Greek origin. Suggestive
is Constantines explanation of the name Serbs, as servants: DAI, c. 32, p. 152. The etymology
is clearly false and created by the emperor (in Latin) to explain an unknown name. O.
Kronsteiner, Gab es unter den Alpenslawen eine kroatische ethnische Gruppe?, Wiener slaw-
istisches Jahrbuch 24 (1978), pp. 7999, proposed that the name Hrvat should be explained as
freier Kmpfer, but see contra A. Tietze, Kroaten ein trkisches Ethnonym?, Wiener slawistisches
Jahrbuch 25 (1979), p. 140, who maintained that this etymology could only be theorized by
relying on later Turkish loans from Arabic. On the many difculties in explaining this name see
H. Sundhaussen, Kroatien, in LzGS, pp. 38993. That the name Hrvati, according to its
diffusion, could have been linked to geographical characteristics (maybe the mountains) was
suggested by J. Bacic, Red Sea Black Russia: Prolegomena to the History of North Central Eurasia
in Antiquity and the Middle Ages, East European Monographs 171 (New York, 1995), pp. 945,
who gave the translation mountain-dweller, already proposed by H.H. Howorth, The Spread
of the Slaves I: The Croats, The Journal of the Anthropological Institute of Great Britain and
Ireland 7 (1878), pp. 32441, here p. 325: Croat therefore means merely an inhabitant of the
Carpathians. See also the many contributions contained in N. Budak (ed.), Etnogeneza Hrvata:
Ethnogeny of the Croats (Zagreb, 1995).
43
A.J. Bellamy, The Formation of Croatian National Identity: A Centuries-Old Dream? (Manchester
and New York, 2003), pp. 335; but also the criticism expressed in the review M. Young, Nation
and Nationalism 11 (2005), pp. 3202. The importance of the name Hrvat was recently stressed
by A. Pitea, The Slavs and the Early Croatian State, in D. Davison, V. Gaffney and E. Marin
(eds), Dalmatia: Research in the Roman Province 19702001, Papers in Honour of J.J. Wilkes, BAR
International Series 1576 (Oxford, 2006), pp. 193212, here pp. 1945; for a more critical reading
see Budak, Identities and Fine, Croats and Slavs. The theories of a non-Slavic origin for the
Croats follow the text H.H. Howorth, The Spread of the Slaves IV: The Bulgarians, The
Journal of the Anthropological Institute of Great Britain and Ireland 11 (1882), pp. 21967. This
vision was accepted by J.B. Bury, A History of the Later Roman Empire from Arcadius to Irene
(395 A.D. to 800), 2 vols (London, 1889; repr. Boston, 2005), II, p. 275, but initially the idea was
much more innocent than its later development in the rst half of the twentieth century. For
a discussion see H. Sundhaussen, Nationsbildung und Nationalismus im Donau-Balkan-
Raum, in H.-J. Torke (ed.), Forschungen zur Osteuropischen Geschichte, Osteuropa-Institut an
der Freien Universitt Berlin, Historische Verffentlichungen 48 (Berlin, 1993), pp. 23358; R.
Yeomans, Of Yugoslavian Barbarians and Croatian Gentlemen Scholars: National Ideology
and Racial Anthropology in Interwar Yugoslavia, in M. Turd and P.J. Weindling (eds), Blood
and Homeland: Eugenetics and Racial Nationalism in Central and Southeast Europe, 19001940
(Budapest, 2007), pp. 83122. A summary of the different theories is R. Katicic, The Origins
of the Croats, in I. Supicic (ed.), Croatia in Early Middle Ages: A Cultural Survey, Croatia and
Europe 1 (London and Zagreb, 1999), pp. 14967.
44
S. Brather, Archologie der westlichen Slawen: Siedlung, Wirtschaft und Gesellschaft im frh- und
hochmittelalterlichen Ostmitteleuropa, Ergnzungsbnde zum RGA 30 (Berlin and New York,
2001), pp. 567. P.M. Barford, The Early Slavs: Culture and Society in Early Medieval Eastern
White Croatia and the arrival of the Croats 215
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
attestations are evidence of the division of unique peoples, neither is there
any way to prove that the people described with the same name shared
something more than the name itself.
45
Of course the problem lies in the
witness of Constantine, who links the two names thanks to a migration,
but, as we will see, the emperors account was probably an interpretation
of this complex situation: in this case the witness should not be inter-
preted as independent to the great diffusion of the name Hrvat, but as a
consequence of the same. Examples of recurring place and ethnic names
without a clear relation are many: it is enough here to mention the
Bulgarian ethnonym or the name Vendi/Venethi, both to be found in
places and times very far from each other.
46
For a certain time the name
Hrvat must also have been striking and alluring, being adopted by or
used to describe different groups of peoples, appearing at least two times
in the Balkans. This was probably the origin of Constantine Porphyro-
genitus account, according to which the Croats coming from White
Croatia split between Dalmatia, Pannonia and Illyricum, a later expla-
nation to describe the presence in the Balkans of more than one group
called Croats.
47
Almost two centuries after Constantine, the Russian
Primary Chronicle mentioned Croats in many passages, in one of them
adding the adjective beli: here, as well, Croats are apparently different
groups settled in different regions.
48
Owing to this cascade of place names, White Croatia has been
located in various places. The most widespread theory has the
Belocroats settled around the north edges of the Carpathians in Galicja/
Galicia, in what is now southern Poland. This idea was already popular
at the beginning of scholarly research on the topic, nding a place in
the pages of Johannes Lucius, and being quoted after him by Giovanni
Cattalinich, Leopold Krause, Pavel afarik and Ernst Dmmler, to be
afterwards developed by Francis Dvornk (who theorized about a lost
empire of amazing extension and power) and reaching, through his
work, the most recent debate.
49
Conrmation of the idea that White
Europe (New York, 2001), p. 331, offers a map with the names appearing north and south of the
Carpathians. For an approach linking names to migration see Goldstein, Hrvatski, pp. 8792.
45
Pohl, Die Rolle der Steppenvlker, pp. 956.
46
D. Ziemann, Vom Wandervolk zur Gromacht: Die Entstehung Bulgariens im frhen Mittelalter
(7.9. Jh.), Klner Historische Abhandlungen 43 (Cologne, Weimar and Vienna, 2007),
pp. 328. On the name Venethi: F. Curta, Hiding Behind a Piece of Tapestry: Jordanes and the
Slavic Venethi, Jahrbcher fr Geschichte Osteuropas 47 (1999), pp. 321340 and G. Schramm,
Venedi, Antes, Sclaveni, Sclavi. Frhe Sammelbezeichnungen fr slawische Stmme und ihr
geschichtlicher Hintergrund, Jahrbcher fr Geschichte Osteuropas 43 (1995), pp. 161200.
47
DAI, c. 30, p. 142: ' r
wbotwn,
r r i_ ,
diecwisqh mro ti, i r o t ' i j Pannonian.
48
The Pove st vremennykh le t, pp. 166, 955. On this Barford, The Early Slavs, pp. 99100.
49
J. Lucius, De Regno Dalmatiae et Croatiae libri sex (Amsterdam, 1666), p. 41; G. Cattalinich,
Storia di Dalmazia (Zadar, 1834), pp. 745; H.L. Krause, Res Slavorum in Imperiorum
216 Francesco Borri
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
Croatia was in Galicia was found in the narrative of Thomas Archdea-
con, who described the Goths (and the Goths were somehow linked to
the Slavs between the twelfth and the thirteenth century) migrating
from Poland (de partibus Teutonie et Polonie exierunt) to Dalmatia;
moreover Krakw/Cracow was thought to be related to the ethnic
name Hrvat.
50
Constantines narrative, dating to the tenth century, was
therefore reinforced by Thomass work, written in the thirteenth, to
theorize a migration taking place in the seventh century from south
Poland to Dalmatia. This idea became so widespread that in recent
times Pope John Paul II (19782005), while born in Wadowice, still
claimed to be a neighbour of the White Croats.
51
A further theory placed White Croatia in Samos kingdom. Because
of the mention of Sorbs among the princes allies and the proximity of
White Serbs to White Croats, it has been thought that Samo may have
ruled in White Croatia.
52
In more recent years Heinrich Kunstmann
proposed that White Croatia should be located in Carinthia;
53
and
slightly different ideas were proposed by Ljudmil Hauptmann and
Henri Grgoire.
54
Even the date of the arrival of the Croats was subject
Occidentalis et Orientalis connio habitantium saeculo IX, Pars I (diss. Berlin, 1854), p. 1; P.
afarik, Slawische Altertmer, 2 vols (Leipzig, 18434), I, pp. 2428. E. Dmmler, ber die
lteste Geschichte der Slawen in Dalmatien (549928), Sitzungsberichte der Kaiserlichen Akad-
emie der Wissenschaften in Wien: Philosophisch-historische Klasse 20 (1856), pp. 353420, at pp.
3656; F. Dvornk, The Making of Central and Eastern Europe (London, 1949), pp. 268304.
50
Thomas Archdeacon, Historia Salonitana VII, ed. Peric, p. 34: Gothorum tempore, qui Totila
duce de partibus Teutonie et Polonie exierunt, dicitur Salona fuisse destructa. On the sources
linking Slavs and Goths see F. Kampfer, R. Stichel and K. Zernack (eds), Das Ethnikon Sclavi
in den lateinischen Quellen bis zum Jahr 900, Glossar zur frhmittelalterlichen Geschichte im
stlichen Europa 6 (Stuttgart, 1990), p. 34. F. Borri, Arrivano i Barbari a cavallo! Foundation
Myths and origines gentium in the Adriatic Arc, in W. Pohl and G. Heydemann (eds), Strategies
of Identication: Early Medieval Perspectives (Turnhout, forthcoming).
51
Homily of 30 May 1979 to the Croatian pilgrims: Vi ricordate della Croazia Bianca, vostra
terra dorigine che si trova proprio l dove si trova la mia patria?, <http://www.vatican.va/
holy_father/john_paul_ii/homilies/1979/documents/hf_jp-ii_hom_19790430_pell-naz-croato_
it.html>, accessed 26 May 2009. See also P.R. Magocsi, Galicia: A Historical Survey and
Bibliographic Guide, Canadian Institute of Ukrainian Studies, Harvard Ukrainian Research
Institute (Toronto, 1983), pp. 5660.
52
Fredegar, Chronicon IV.68, ed. B. Krusch, MGH SRM 2 (Hanover, 1888), pp. 1193, at p. 155,
etiam et Dervanus dux gente Surbiorum, qui ex genere Sclavinorum erant et ad regnum
Francorum iam olem aspecserant, se ad regnum Samonem cum suis tradedit; trans. J.M.
Wallace-Hadrill, The Fourth Book of the Chronicle of Fredegar (Oxford, 1960). See W. Pohl,
Samo, in RGA 26 (2004), pp. 4067; F. Curta, Slavs in Fredegar and Paul the Deacon:
Medieval gens or Scourge of God?, EME 6 (1997), pp. 14167.
53
H. Kunstmann, Wer waren die Weikroaten des byzantinischen Kaisers Konstantinos Porphy-
rogennetos?, Welt der Slawen 29 (1984), pp. 11122.
54
Lj. Hauptmann, Kroaten, Goten und Sarmaten, Germanoslavica 3 (1935), pp. 95127, 31553,
at pp. 3435, theorized that the original Croatian homeland was located in the Caucasus; the
idea was later spread by G. Verandsky, Ancient Russia, A History of Russia 1 (New Haven, 1943),
p. 321. Grgoire, LOrigine, pp. 94100, instead believed in a wide region between modern
Bohemia, Germany and Poland; see also idem, Lorigine et le nom des Croates et leur
prtendue patrie caucasienne, La nouvelle Clio 4 (1952), pp. 3223, and idem, Le prtendu
White Croatia and the arrival of the Croats 217
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
to debate and settled in a wide chronological frame, ranging from the
sixth century, as proposed by Lubor Niederle, up to the end of the
eighth (precisely, in the year 791) according to the researches of Lujo
Margetic and, after him, of Nada Klaic.
55
It is therefore clear that we are
moving in extremely difcult terrain, and it seems that the majority of
theories aiming to precisely locate White Croatia are extremely specu-
lative, and occasionally ideological. The only thing we can say with
some degree of certainty is that, according to Constantine Porphyro-
genitus, White Croatia was: somewhere in Central Europe near
Bavaria, beyond Hungary and next to the Frankish empire.
56
It was from these regions that the Croats, whether by previous agree-
ments with Heraclius or not, migrated to Dalmatia (and Pannonia).
Owing to the nature of our sources, every effort to apply the migration
theory or to frame Croatian settlement in the long debate on the accom-
modation of the Barbarians is apparently impossible, with the conse-
quence that the scholarship has focused mainly on more traditional issues
such as the year of the Wanderung or the location of their Urheimat,
sometimes without considering the ongoing international debate.
57
What
is assumed is that the Croats migrated to Dalmatia like foederati, and that
they lived in a relationship of semi-dependence to the empire until the
days of Constantine VII, obtaining greater autonomy between the reigns
of Michael II and Basil I.
58
There have also been dissident voices. As early as the end of
the nineteenth century, Jaroslav Jagic criticized the reliability of
habitat caucasien des Serbes et des Croates, La nouvelle Clio 5 (1953), pp. 4667, where
Hauptmanns ideas are criticized.
55
L. Niederle, Manuel de lantiquit slave, 2 vols (Paris, 1923), I, pp. 8990. On the migrations
date: L. Margetic, Konstantin Porrogenet i vrijeme dolaska Hrvata [Constantine Porphy-
rogenitus and the Arrival of the Croats], Zbornik historijskog zavoda JAZU [Jugoslavenske
akademije znanosti i umjetnosti] 8 (1977), pp. 588; N. Klaic, O problemima stare domo-
vine, dolaska i pokrtenja dalmatinskih Hrvata [On the Problem of the Old Fatherland and
the Christianization of the Croats of Dalmatia], Zgodovinsk C
o lo lrgousi r
r u r prmyai u o lo u ka,
o o o Djlioi i te i i 0 r 0 _
0 i i prmyai u r
0 prnte
u . The fact was already noted by M. Budimir, Porrogenit i naa narodna tradicija
[Porphyrogenitus and Our National History], Glasnik Srpska Akademija Nauka 1 (1949), pp.
2435, but criticized by Grafenauer, Prilog, pp. 389. On the Hyperboreans see H. Sonnabend,
Hyperborer, RGA 15 (2000), pp. 30810.
81
Herodotus, Historiae IV.10.i. DAI, c. 30, p. 64.
224 Francesco Borri
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
these narratives with earlier accounts, and we know that a man called
oulgoo was a literary creation. It is probable that Constantine
applied the same topos in order to describe the Croatian past.
82
Other narrative elements of the Croatian migration seem to be depen-
dent on the Bulgarian Wanderung described by Theophanes and Patriarch
Nicephorus. The events are reported inTheophanes Chronography for the
year 680 AD, the year 6171 from the worlds creation. The same anno
Mundi, possibly by coincidence, is mentioned in the DAI, although
Constantine does not quote it correctly, describing instead an episode
linked to Arab expansion.
83
Theophanes described a land north of the
Black Sea, extending between the Sea of Azov and the River Kouphis ( o
legmeno
paakeimrnwn
r
o
legomrna r o geneo), a Slavic confederation neighbouring Avar
lands to the west and the south.
84
Nicephorus Short History also describes a land called Great or Old
Bulgaria between the Meotis Moors and the River Kophis (i j
,
94
attested for the rst time (both in Greek and Latin)
and almost unknown to contemporary sources, with the exceptions of the
Dalmatian Romans already mentioned in the Royal Frankish Annals, and
in a more obscure form in the Chronicle of Salerno.
95
Another feature of
interest is the fact that the two historians wrote different histories which
diverged in many respects, having as the only element of similarity some
ethnonyms (unknown by other contemporary authors) and the anthro-
ponym ephmrh/Tibimr.
96
It is certain that John and Constantine
were using different models to describe a new social and ethnic reality
which did not catch the interest of other chroniclers. It is possible that a
common source existed, a source where the two historians were able to
89
Classic studies on the inuence of political authorities in the transformation of popular or outer
cultures are: M. Bloch, Les rois thaumaturges: Etude sur le caractere surnaturel attribue a la
puissance royale particulierement en France et en Angleterre (Paris, 1924); J. Goody and I. Watt,
The Consequences of Literacy, Comparative Studies in Society and History 5 (1963), pp. 30445,
repr. J. Goody, Literacy in Traditional Societies (Oxford, 1968), pp. 2768.
90
Pohl, Ethnicity, Theory and Tradition.
91
John the Deacon, Istoria Veneticorum, ed. L.A. Berto, Giovanni Diacono, Istoria Veneticorum,
Fonti per la storia medievale dItalia 2 (Bologna, 1999).
92
DAI, c. 29, pp. 124, 126; c. 36, p. 164; John the Deacon, Istoria Veneticorum III.40; IV.31, 40, 45,
49, ed. Berto, pp. 150, 1767, 184, 186, 190.
93
DAI, c. 13, p. 7; cc. 2936; c. 40, p. 178; c. 41, p. 180; John the Deacon, Istoria Veneticorum II.40,
46; III.16, 33; IV.6, 45, 49, 52, ed. Berto, pp. 120, 122, 138, 146, 158, 186, 190, 192.
94
DAI, cc. 2936; John the Deacon, Istoria Veneticorum IV.48, ed. Berto, p. 188.
95
Annales regni Francorum, s.a. 817, ed. F. Kurze, MGH SRG 6 (Hanover, 1895), p. 145. Chronicon
Salernitanum 88, ed. U. Westerbergh, Chronicon Salernitanum: A Critical Edition with Studies
on Literary and Historical Sources and on Language, Studia Latina Stockholmensia 3 (Stockholm,
1956), pp. 889. On the `
, was again
solved through the literary expedient of migration, this time taking
place between the third and fourth century. A move from Rome to
Dalmatia, however, does not puzzle us and it can be easily dismissed as
a narrative ction: we should consider the relationship between Croatia
and White Croatia along the same lines.
Constantine, therefore, framed the scanty information he possessed on
the Croatian past according to the models that previous authors deployed
to describe Scythian populations, in order to create a new history. Roman
imperial historiography shared similar attitudes, connecting populations
gathered around recent names with other, more ancient and prestigious
ones. A good example, though distant in time, is clearly Jordanes who
equated Goths and Gets, a population already mentioned by Hero-
dotus.
98
I believe that the information concerning Bulgars and Cutrigurs
was used in the writing of Chapter 30, since Constantine considered
them close to the Croats.
99
Even Constantines dating of the Croats
arrival during Heraclius reign could be linked to Nicephorus witness on
Koubratos being elevated to the dignity of patikio by the same
emperor. Similar motifs, like that of the brothers, one of them epony-
mous, are the same as those used by Herodotus in describing the Scythian
past. The narrative of Chapter 31 must also have been dependent on
further sources which, unfortunately, I have not been able to identify.
The absence of a clear Croatian origo gentis, transmitted from father to
son through generations from White Croatia or even further, is moreover
conrmed by the disparate and heterogeneous nature of the material that
Constantine was forced to use, and by the appearance in the DAI of two
divergent versions, only partially elaborated. Through a single clear
intent, the different traditions were simultaneously collected in the same
98
Cf. A. Sby Christensen, Cassiodorus, Jordanes and the History of the Goths: Studies in a Migration
Myth (Copenhagen, 2002).
99
On the Cutrigurs see Ziemann, Vom Wandervolk, pp. 95103, but also Gy. Moravcsik, Zur
Geschichte der Onoguren, Ungarische Jahrbcher 10 (1930), pp. 5390.
White Croatia and the arrival of the Croats 229
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
treatise in a way which we may judge to be uncritical, though apparently
the Konkurrenz der Ursprnge did not represent a contradiction for
Constantine Porphyrogenitus, nor perhaps for his audience either.
100
Who, therefore, were the Croats? At the moment this question is still
difcult to answer. Milo Barada suggested that the Croats were a group
formed at the edges of the Avar empire and Walter Pohl proposed the
Croats to be border guards of the Avar empire, developing in an ethnic
group only in the ninth century. I suggest that we should date this
process even later. Constantine wrote in the DAI about a Croatian
victory against the Bulgars:
101
does this event represent the formation of
a new elite on the Dalmatian edges of the Bulgar kingdom? Perhaps the
confrontation with the Bulgars was the rst attestation of this group of
men who were called Hrvati by their neighbours, or who chose the
name for themselves; a prestigious name also in other areas of central
and eastern Europe.
102
What we can afrm with a degree of certainty is that Constantine lent
importance to the Croats because he thought they might make good allies
against the Bulgars, and he wanted to bring this dynamic, recently
formed group to the attention of his successor. The emperor, however,
expressed this judgement in a text destined to have a very poor circula-
tion, dedicating to the Croats much less space in writings reaching a
wider audience. Moreover, Constantines predictions never came about,
and the Croats did not become a leading power in the Balkans. The same
emperor stated that the amazing military power of the Croats was in
decline at the time he was writing, which is perhaps a trace of the
difculties that the group was experiencing in afrming itself.
103
After the
death of Romanus II (963), the conquests of Emperor John (96976)
must have limited the importance of the Croats as an adversary of the
Bulgarians. Under Basil II (9761025), nally, both Byzantines and
Venetians further undermined the chances of this recently formed
100
Reimitz, Konkurrenz der Ursprnge.
101
There are two episodes mentioned by the DAI: one may be dated to the second half of the ninth
century, a second to the rst half of the tenth; Ziemann, Vom Wandervolk, p. 351. The second
battle, which the DAI reports as decisive, is also mentioned in the Life of John X contained in
the Liber Ponticalis surviving in the Korculanski Kodeks [Codex of Curzola] dating to the
twelfth century: V. Foretic, Korculanski kodeks 12. stoljeca i vijesti iz doba hrvatske narodne
dinastije u njemu [The Codex of Curzola of the Twelfth Century and the Witnesses on the
Croatian National Dynasty in It], Starine 46 (1956), pp. 2344, here p. 30: Johannes X. Sedit
annos XII, menses II, dies VI. Hic fecit pacem inter Bulgaros et Chroatos.
102
On the uidity of the ethnic process and on the interdependence of neighbouring identities,
F. Barth, Introduction, in idem (ed.), Ethnic Groups and Boundaries: The Social Organization of
Cultural Difference, 2nd edn (Long Grove, IL, 1998), pp. 938.
103
DAI, c. 31, p. 150.
230 Francesco Borri
Early Medieval Europe 2011 19 (2)
2011 Blackwell Publishing Ltd
group.
104
In later years the Croats were mentioned in the Greek world
almost only by authors who were quoting the Life of Basil or the Book
of Ceremonies.
In conclusion, we can assert that the Croatian migration did not take
place, but that Constantine Porphyrogenitus created it relying on the
literary models traditionally applied to describe the Landnahme of Scyth-
ian Barbarians. What instead happened is that, following their rise in the
military and political context of the Balkans, new elites took a visible
position in Dalmatia and, as recorded in the tenth century, were given the
name Croats, a name which was also found in other areas of central and
eastern Europe. Although it is still very difcult to explain how names
recur in sources independent of one another and in very distant places,
for reasons still unknown to us it is possible that the Dalmatian Croats
referred to other groups who shared their name, as Belocroats. The many
attestations of this ethnonym and place name reached Constantine Por-
phyrogenitus, who in order to explain this recurrence deployed the classic
model of migration, a model which many authors had used to explain
the ethnic geography of the surrounding world from the beginning of
historiography itself.
Institut fr Mittelalterforschung, sterreichische Akademie
der Wissenschaften
104
The Annals of Bari also mentioned Croatia in describing the actions of the Byzantine catepanus
of Italy. Lupus Protospatharius, Annales, s.a. 1024, ed. G.H. Pertz, MGH SS 5 (Hanover, 1844),
pp. 5163, p. 57: Et in hoc anno transfretavit Bugiano in Chorvatia. It is interesting that
Chorvatia seems to be a transliteration from Greek, indicating, perhaps, the nature of Lupus
sources. V. von Falkenhausen, Between Two Empires: Byzantine Italy in the Reign of Basil II,
in P. Magdalino (ed.), Byzantium in the Year 1000, The Medieval Mediterranean: Peoples,
Economies and Culture (4001500) 45 (Leiden, Boston and Cologne, 2003), pp. 13559, at pp.
14950; Curta, South-Eastern Europe, pp. 23747; C. Holmes, Basil II and the Governance of
Empire (9761025) (Oxford, 2005), pp. 392447; Stephenson, Byzantiums Balkan Frontier, pp.
6279. On the Venetian conquest of Dalmatia: P. tih, Der ostadriatische Raum um das Jahr
1000, in P. Urbanczyk (ed.), Europe around the Year 1000 (Warsaw, 2001), pp. 20519.
White Croatia and the arrival of the Croats 231
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2011 Blackwell Publishing Ltd
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