The merit of clearly establishing these distinctions belongs to Boretius. He has doubtless exaggerated the difference between the Capitula missorum and the Capitula per se scribenda; among the first are to be found provisions of a general and permanent nature, and among the second temporary measures are often included. But the idea of Boretius is none the less fruitful. In the capitularies there are usually permanent provisions and temporary provisions intermingled; and the observation of this fact has made it possible more clearly to understand certain institutions of Charlemagne, e.g. military service.
After the reign of Louis the Pious the capitularies became long and diffuse. Soon, from the 10th century onwards, no provision of general application emanates from the kings. Henceforth the kings only regulated private interests by charters; it was not until the reign of Philip Augustus that general provisions again appeared; but when they did so, they bore the name of ordinances (ordonnances).
There were also capitularies of the Lombards. These capitularies formed a continuation of the Lombard laws, and are printed as an appendix to these laws by Boretius in the folio edition of the Monumenta Germaniae, Leges, vol. iv.
Authorities.—-Boretius, Die Capitularien im Longobardenreich (Halle, 1864); and Beitrage zur Capitularienkritik (Leipzig, 1874); G. Seeliger, Die Kapitularien der Karolinger (Munich, 1893). See also the histories of institutions or of law by Waitz, Brunner, Fustel de Coulanges, Viollet, Esmein.
(C. Pf.)
CAPITULATION (Lat. capitulum, a little head or division; capitulare, to treat upon terms), an agreement in time of war for the surrender to a hostile armed force of a particular body of troops, a town or a territory. It is an ordinary incident of war, and therefore no previous instructions from the captor’s government are required before finally settling the conditions of capitulation. The most usual of such conditions are freedom of religion and security of private property on the one hand, and a promise not to bear arms within a certain period on the other. Such agreements may be rashly concluded with an inferior officer, on whose authority the enemy are not in the actual position of the war entitled to place reliance. When an agreement is made by an officer who has not the proper authority or who has exceeded the limits of his authority, it is termed a sponsion, and, to be binding, must be confirmed by express or tacit ratification. Article 35 of the Hague Convention (1899) on the laws and the customs of war lays down that “capitulations agreed on between the contracting parties must be in accordance with the rules of military honour. When once settled they must be observed by both the parties.”
In another sense, capitulation is the name given to an arrangement by which foreigners are withdrawn, for most civil and criminal purposes, from the jurisdiction of the state making the capitulation. Thus in Turkey arrangements termed capitulations (q.v.), and treaties confirmatory of them, have been made between the Porte and other states by which foreigners resident in Turkey are subject to the laws of their respective countries. The term is also applied by French writers to the oath which on his election the Holy Roman emperor used to make to the college of electors; this related chiefly to such matters as regalian rights, appeals from local jurisdictions, the rights of the pope, &c.
CAPITULATIONS (from Lat. caput, or its Low-Latin diminutive capitulum, as indicating the form in which these acts were set down in “chapters”; the Gr. equivalent cephaleosis, kephalaiosis, is occasionally used in works of the 17th century), treaties granted by a state and conferring the privilege of extra-territorial jurisdiction within its boundaries on the subjects of another state. Thus, in the 9th century, the caliph Harun-al-Rashid engaged to grant guarantees and commercial facilities to such Franks, subjects of the emperor Charlemagne, as should visit the East with the authorization of their emperor. After the break-up of the Frank empire, similar concessions were made to some of the practically independent Italian city states that grew up on its ruins. Thus, in 1098, the prince of Antioch granted a charter of this nature to the city of Genoa; the king of Jerusalem extended the same privilege to Venice in 1123 and to Marseilles in 1136. Salah-ud-din (Saladin), sultan of Babylon (Cairo), granted a charter to the town of Pisa in 1173. The Byzantine emperors followed this example, and Genoa, Pisa and Venice all obtained capitulations. The explanation of the practice is to be found in the fact that the sovereignty of the state was held in those ages to apply only to its subjects; foreigners were excluded from its rights and obligations. The privilege of citizenship was considered too precious to be extended to the alien, who was long practically an outlaw. But when the numbers, wealth and power of foreigners residing within the state became too great, it was found to be politic to subject them to some law, and it was held that this law should be their own. When the Turkish rule was substituted for that of the Byzantine emperors, the system already in existence was continued; the various non-Moslem peoples were allowed their semi-autonomy in matters affecting their personal status, and the Genoese of Galata were confirmed in their privileges. But the first capitulation concluded with a foreign state was that of 1535 granted to the French. Lest it should be imagined that this was a concession wrested by the victorious Christian monarch from the decadent Turk, it should be borne in mind that Turkey was then at the height of her power, and that Francis I. had shortly before sustained a disastrous defeat at Pavia. His only hope of assistance lay in Suleiman I., whose attack on Vienna had been checked by the victorious Charles V. The appeal to Suleiman on the ground of the common interest of France and Turkey in overcoming Charles V.’s overweening power was successful; the secret mission of Frangipani, an unofficial envoy who could be disowned in case of failure, paved the way for De la Forest’s embassy in 1534, and in 1536 the capitulations were signed.[1] They amounted to a treaty of commerce and a treaty allowing the establishment of Frenchmen in Turkey and fixing the jurisdiction to be exercised over them: individual and religious liberty is guaranteed to them, the king of France is empowered to appoint consuls in Turkey, the consuls are recognized as competent to judge the civil and criminal affairs of French subjects in Turkey according to French law, and the consuls may appeal to the officers of the sultan for their aid in the execution of their sentences. This, the first of the capitulations, is practically the prototype of its successors. Five years later, similar capitulations were concluded with Venice. The capitulations were at first held to be in force only during the lifetime of the sultan by whom they were granted; thus in 1569 Sultan Selim II. renewed the French capitulations granted by his predecessor. In 1583 England obtained her first capitulation, until which time France had been the official protector of all Europeans established in Turkey. Later on, England claimed to protect the subjects of other nations, a claim which is rejected in the French capitulations of 1597, 1604 and 1607, the last-named of which explicitly lays down that the subjects of all nations not represented at Constantinople by an ambassador shall be under French protection. In 1613 Holland obtained her first capitulation, with the assistance of the French ambassador, anxious to help a commercial rival of England. In 1673 the French, represented by the marquis de Nointel, succeeded in obtaining the renewal of the capitulations which, for various reasons, had remained unconfirmed since 1607. Louis XIV. had been anxious to secure the protectorate of all Catholics in Turkey, but was obliged to content himself with the recognition of his right to protect all Latins of non-Turkish nationality; his claims for the restoration to the Catholics of the Holy Places usurped by the Greeks was also rejected, the sultan only undertaking to promise to restore their churches to the Jesuit Capuchins. An important commercial gain was the reduction of the import duties from 5 to 3%; and all suits the value of which exceeded 4000 aspres in which French subjects sued, or were sued by, an Ottoman subject, were to be heard not by the ordinary tribunals but at the Porte itself. Later, France’s friendship secured for Turkey a successful negotiation of the peace of Belgrade in 1739, and the result was the capitulation of 1740; this is no longer limited in duration to the sultan’s lifetime but is made perpetual, and, moreover, declares that it cannot be modified without the assent of the French. It conferred on the French ambassador precedence over his colleagues. Austria had obtained capitulations in 1718, modified in 1784; Russia secured similar privileges in 1784. In the course of the 18th century nearly every European power had obtained these, and such newly-established countries as the United States of America, Belgium and Greece followed in the 19th century.