The Carolingians were an imperial dynasty who succeeded the Merovingians and assumed kingship over Frankish territory, beginning with Charles Martel in 718, and expanding under Charlemagne as the Holy Roman Empire by 800. The Umayyads were also an imperial dynasty who took the office of caliph after the death of the last Rashidun caliph ‘Ali in 681. Both dynasties employed religious rhetoric in Christianity and Islam to support their claims to power, adding sacredness to their titles. However, it was the secular practices of empire building that enabled these dynasties to grow and retain their power and to legitimize their authority within their respective societies.
Both the Carolingians and Umayyads were able to legitimize their authority by focusing on military control. As new dynasties, this ensures that they could maintain control over large territory, and justifies their authority over the military. Charles “the Hammer” Martel, the first Carolingian leader, won the Battle of Poitiers in 732 against the Umayyads. Success in war proves that the king is military capable and able to defend Francia against external enemies. Winning battles is an opportunity for the Carolingians to showcase their power and also sends a message to their subjects that they have control over the legitimate use of force in the empire. It also creates a continuation of the Frankish traditional role of warrior-kings under the Merovingians. The Umayyads were also able to use their military to consolidate power by eliminating external threats, especially during the First and Second Fitnas. Muawiya, as governor of Syria, was able to attack Caliph ‘Ali at the Battle of Siffin in 657, and his son Yazid won the Battle of Karbala in 680, by defeating Husayn and the Shia forces, the Umayyad clan held the ultimate authority in the caliphate. The Carolingians controlled the Frankish army, therefore they made the decisions of strategically placing their supporters in high ranking military positions. They also increase their power by monopolizing the ability to distribute plunder. The Umayyads also continue Muslim military campaigns and control the collection and distribution of war booty. Both use war gains to increase their power, the Umayyads by growing their treasury and building new imperial cities and garrison cities, while the Carolingians use plunder to fuel a gift economy. Both dynasties use the support of the army to gain internal authority and power over military ranks through the distribution of plunder.
The Carolingians and Umayyads add a sacred element to their secular titles to further justify their authority and power. The Carolingians adopted the ritual of anointment to legitimize themselves as kings of Francia. Charles’s son Pepin was able to take the title of king only after being anointed by Pope Stephen and the Frankish Bishops. Being appointed king by religious figures shows that the Church approves of the king, and gives religious legitimacy to the actions of the Carolingian kings. It also ensures that challenging a Carolingian king would also mean challenging the Church, since the king is backed by the head of the Church and Frankish bishops. Similarly, the Umayyads assumed the title of caliphs, ensuring a continuity from the Rashidun Caliphs as the successors to Prophet Muhammad as a political leader. The title of caliph gives the Umayyads’ authority over the Ummah and sole control of the territory that was conquered by the early Muslim army. However, the Umayyads do not have a sacred ritual when becoming a ruler like the Carolingians. One reason is that unlike in Christianity, the caliphates lacked a Muslim religious establishment with authority. Because the title of caliph held a legitimate importance in Sunni Muslim society, the Umayyads did not need to have a religious support base. On the other hand, the Carolingians continue to maintain relations with the bishop of Rome, beginning with the Donation of Pippin in 776, which results in the Carolingians also being recognised as the legitimate successors of the Roman empire and Charlemagne anointed Holy Roman Emperor by Pope Leo in 800.
Both dynasties use religion to extend their power in society through creating religious institutions as a base of power. The Carolingians, under Charlemagne, set up the Carolingian Church, setting up strong alliances with bishops around the empire. Charlemagne created monasteries as he journeyed through Frankish territory, and placed bishops and abbots related to himself, ensuring imperial control over religious establishments. Local monasteries and churches became part of urban and rural societies, similarly, the Umayyads built imperial mosques all over the caliphate, mainly in the urban centers. This also created a network linking all the local churches and mosques in different parts of the empire, creating an imperial religious uniformity. The clergy were loyal to the emperor, and because they had influence over their towns or cities, it became a channel for imperial ideology to reach local populations. For example, if a priest or imam publicly spoke in favour of the king’s war effort, people were more likely to support it. Because both dynasties ruled over a large territory, building religious institutions allowed them to reach into the lives of the common people, extending their power over society.
The Carolingians and Umayyads eventually have different power dynamics between state and church. In Admonitio Generalis, Charlemagne strengthens his authority by comparing himself to Josiah and outlining how bishops should act. This gives the Carolingians onwards the authority to enact church reform. On the other hand, the Umayyads couldn’t control the development of legal scholars in society and the formation of different schools of jurisprudence. The Palace at Aachen contains an elevated throne so that Charlemagne would sit above his subjects, reflecting the hierarchy of power and exuding an image of authority. The throne room also contains wall art of Jesus Christ sitting on a throne, which would mirror the king, creating a parallel between Charlemagne and Jesus. Carolingian art reflects the perception of kingly power in relation to the church. By the reign of Charles the Bald, images in Sacramentary and Biblical manuscripts from 845 introduce secular military and administrative figures drawn besides to Charles on the throne in contrast with the bishops who are in a further and lower position.
The Carolingians and Umayyads establish a state bureaucracy to legitimize their authority. Charlemagne introduces capitularies, formal lists, sent out by the Missi to the centers of the kingdom, which helps to centralize Carolingian power by implementing uniform rules around the kingdom. The Umayyads were effective in collecting taxes, especially dhimmi taxes, which encouraged some local conversions to Islam and grew the treasury. Although Charlemagne was a mobile king, he eventually built an imperial palace complex at Aachen in 795. The Umayyads also make Damascus the imperial capital and center of administration. The construction of a capital city with palaces and churches symbolises the successful centralization of the empires. The Umayyads also built a Grand Mosque like the chapel at Aachen, although it is not attached to the palace, instead madrasas and bazaars are later attached to the mosque by the Seljuks in the 13th century. Both dynasties made conversion to the state religion a prerequisite to become part of the administrative elite. The Frankish nobles’ conversion to Christianity facilitated assimilation into the imperial identity. The Umayyads, unlike the Abbasids, formed an elite that was explicitly Arab and Muslim, because during the early Muslim era, Arab society was still very tribal. While the Carolingians were successful in this policy, this eventually caused dissatisfaction in the Umayyad caliphate and led to their overthrow.
The Carolingians and Umayyads placed family members in important governing positions, creating a ruling class loyal to the imperial dynasty. The Umayyad “dynastic policy” was initiated by the third caliph Uthman, who was the first member of the Banu Umayya clan to become caliph (Berkey, 76). By placing members of the Umayyad clan into administrative positions around the caliphate, Uthman laid the foundations for the power base of the Umayyads. It gave Umayyad members such as Muawiya, appointed the governor of Syria, access to an army and control of local populations, and enabled them to forge relations with powerful tribes outside Arabia. This also enabled the Umayyads to become an imperial dynasty through hereditary succession, because positions of power within the caliphate were monopolized by the caliph’s relatives and offsprings. The Carolingian empire was also an expanding empire like the Umayyad caliphate, and when new regions came under Charlemagne’s authority, he made strategic marriage alliances and appointed nobles from one their native region of the empire to govern a new region. Both these policies ensured that nobles had less less regional and familial ties and instead created an identity around imperial membership.
From the 7th century onwards, the Umayyads and Carolingians rose to power and found themselves in control of large territory. The Carolingians ruled over Frankish territory in Central and Western Europe, while the Umayyads ruled over a caliphate stretching from Spain to Persia. Both dynasties evolved into empires, and it is this imperial identity that allowed them to legitimize their authority. They introduced a religious element in their positions, Caliph and Holy Roman Emperor, to legitimize their authority. The Carolingians and Umayyads mastered military activism, state bureaucracy and forming a loyal imperial elite, enabling them to centralize and administer their empires.