Governorship of the first Duke of Albany: 1406-1420

Abstract

Notwithstanding the largely favourable assessments of contemporary chroniclers, the first duke of Albany has attracted much criticism but very little serious attention from modern historians. This unhelpful predilection for subjective criticism as to the character and ambitions of Albany, serves to prejudice any meaningful examination of the political and constitutional significance of the appointment of Scotland's first governor.

The rationale of the thesis has been to redress this balance, and an in-depth analysis of the constitutional basis for the appointment of the duke of Albany as governor provides a fundamental reference point for all further chapters. With emphasis on the twin themes of continuity and context, parallels have been sought with the constitutional crisis which was occasioned by the death of Alexander III in 1286, as well as with the the more immediate periods of guardianship and lieutenancy during the reigns of Robert II and Robert III. Particular attention is paid to the role of the Three Estates and the political community as a whole and, in this way, both the relevance of constitutional principles to the governorship and the way in which they defined the governor's authority, have been elicited.

Drawing upon these conclusions, the primary obligation of the governor and his council to defend the realm is addressed in two separate chapters. Here the emphasis is on the constitutional paradox created by the settlement of 1406, when the same council that appointed the governor also recognised James as king, and made a statutory commitment to seek his return. This paradox was to have a direct bearing upon the extent to which the captivity of King James, and the latter's intrusion during the closing years of the Great Schism, compromised the sovereignty of the Scottish kingdom and the independence of its church. Both of these chapters are set firmly within the context of diplomatic relations with England and France, and the coincidence of the Hundred Years War.

Another legacy of the settlement of 1406 is explored in a further two chapters, and relates to the fact that the constitutional limitations imposed upon the governor had a paradoxical effect on his ability to maintain the balance of power amongst his peers in both the north and south of the kingdom. An assessment of the circumstances of the battle of Harlaw illustrates these limitations most readily, but also demonstrates the relevance of context to a conflict that was an inevitable conclusion to the policies of previous governments. Moreover, the governor's inability to dispense crown patronage and apply the ultimate sanction of forfeiture not only created difficulties in his relationship with the nobility, but also had repercussions at a local 'level, particularly with regard to the earl of Douglas who was, in reality, a lesser man than the 'overmighty subject', so commonly portrayed by modern historians. Modern impressions of the governor are also challenged in respect of the conflicting perceptions of contemporaries, who came to view the duke as a credible representative of the crown when it became increasingly unlikely that King James would ever return to his kingdom.

Thus, the ultimate intention of the thesis becomes its final paradox, with the establishment of the considerable achievements of the governorship within the broader continuum of Scotland's constitutional history, demonstrating its relevance to the survival of the very dynasty it is accused of undermining.