211 BCE-210 BCE: Qin Dynasty
202 BCE-9 CE: Western Han Dynasty
141 BCE-87 BCE: Reign of Emperor Wu
133 BCE-44 BCE: The Late Republic
44 BCE: Julius Caesar assassinated
31 BCE: Battle of Actium—Octavian gains sole control of Rome
27 BCE: Octavian given title Augustus
44 BCE-68 CE: Julio-Claudian Dynasty
9 CE-23 CE: Rule of Wang Mang
25 CE-220 CE: Eastern Han Dynasty
69 CE: Year of the Four Emperors
69 CE-96 CE: Flavian Dynasty
96 CE-180 CE: Reign of the Five Good Emperors
Crossing from BCE to CE, you’ll notice a change in where the “action” takes place in Afro-Eurasia. So far in this history of the world, the cultural, political, and economic activities and innovations had been centered on what we might roughly consider “the middle”—Mesopotamia and Egypt. Following Alexander’s destruction of the Persian Empire, things began to change.
As we saw in Chapter 6, Alexander’s empire didn’t really last beyond his death. The states that emerged from his conquests were fractured and contentious. In the heartland of what was once the Persian Empire, the Parthian Empire emerged, supplanting the Seleucid Empire. While the Parthians were militarily powerful and economically prosperous, they—and the entire region—now functioned as more of a crossroad than anything. The centers of economic, military, and political innovation had largely moved to the margins of Afro-Eurasia; to the Roman Empire in the west and Han Dynasty China in the east.
This chapter focuses on those two powers. As you read, pay attention to the similarities and differences in how each of these major states governed their territory and expanded their possessions. What qualities did they value? What strengths and weaknesses did each possess?
Questions to Guide Your Reading
- Why was the Qin Dynasty so important to the history of China? What did the First Emperor of Qin accomplish?
- Describe prominent features of Han Dynasty society and governing.
- What were the key civic con icts and civil wars of the Roman Republic? What did each of these conflicts demonstrate about the changing nature of Roman politics?
- When and why did the Roman Republic fall? What were some key differences between the Roman Republic and the Age of Augustus?
- Eastern Han
- Emperor Wu
- First Emperor of Qin
- The Gracchi (or, Gracchus brothers)
- Imperial Confucianism
- Julius Caesar
- Liu Bang
- Octavian/Augustus Caesar
- Pax Romana
- Shang Yang
- Wang Mang
- Western Han
The Qin Dynasty and the Transition from Ancient to Imperial China
In 219 BCE, while touring his realm, the First Emperor of Qin [cheen] (259 – 210 BCE) erected a stone tablet atop a mountain with an inscription proclaiming:
They [the Qin ministers] recall and contemplate the times of chaos: When [regional lords] apportioned the land, established their states, And thus unfolded the pattern of struggle.
Attacks and campaigns were daily waged;
They shed their blood in the open countryside. . . .
Now today, the August Emperor has unified All-under-Heaven into one family— Warfare will not arise again!
Disaster and harm are exterminated and erased,
The black-headed people live in peace and stability, benefits and blessings are lasting and enduring.Indeed, just two years prior, in 221 BCE, the First Emperor had brought the Warring States Period to a close by defeating the last remaining state. Hence, he had realized the aspirations held by the many rulers he subjugated, that is, to unify the known world under one powerful monarch and, by so do- ing, to initiate an age of peace and prosperity, one rooted in obedience to a sagely ruler.
The title “First Emperor of Qin,” however, was assumed by this conqueror only in the wake of his final victory, and it made sense. Having crushed the many warring kingdoms, the First Emperor did indeed create something new and more significant: an immense territorial state centrally administered from his capital, by a monarch with unchallenged sovereignty . So how did his state–the Qin kingdom–prevail?
The Qin Empire in 210 BCE | The capital was located along the Wei River Valley at Xianyang.
Author: User “Itsmine”
Source: Wikimedia Commons
License: CC BY-SA 3.0
When the First Emperor inherited the Qin throne at the age of 13 in 246 BCE, he became King Zheng [jung], young ruler of the most powerful of the seven remaining Warring States. Looking back, he would understand that he had inherited a state whose origins dated back to the Western Zhou Period, when land to the west of the Zhou kings was granted as a fief to his chieftain forbears. The Qin star first rose when a Qin lord assisted King Ping in relocating to the eastern capital during the transition from the Western to the Eastern Zhou Period (c. 770 BCE). At that time, the old Zhou heartland was granted to him, and he was elevated to the status of a regional lord, the Duke of Qin.
The Dukes of Qin were important players throughout the centuries of warfare and alliances so characteristic of the Eastern Zhou, and especially after the reforms of Duke Xiao [she-ow] (r. 361 – 338). These reforms were based on the advice of his chancellor Shang Yang [shawng yawng], an individual famed for being one of the founders of another major intellectual tradition that developed during the Warring States Period: Legalism. The legalists were in tune with the efforts rulers were putting forth to strengthen their states. Their goal was to devise the best techniques for organizing a state’s territory and people so as to maximize a ruler’s power and control in times of both war and peace. Legalists believed that the best way to do so was to concentrate authority in one central administration governed by an absolute monarch. Shang Yang was not the only Legalist thinker of the period—Han Feizi was another whose writings influenced Qin policy.
Warring States & Qin Conquest | This map shows states that yet remained at the end of the Warring States Period, when the state of Qin was unifying China through massive military campaigns. Dates for the fall of each state are indicated, the last being the state of Qi in 221 BCE
Author: Ian Mladjov
Source: Original Work
License: © Ian Mladjov. Used with permission.
To these ends, Shang Yang introduced many measures, laying the foundations for future Qin greatness. He believed that the basis for state power lay with an obedient and disciplined farming population, because that was the principal source of revenue and conscripts for the army. So he organized villages across the land into units of five families each, and made the members of each unit responsible for each other. Every member would be rewarded based on the amount of grain the unit produced or the number of severed heads returned from the battle eld. For meritorious service to the state, a unit could advance along a system of ranks, each of which bestowed certain privileges. But should any member commit a crime, everyone would be severely punished. To make this more effective, the Qin state developed a legal code with clear lists of penalties for specific crimes, made it publicly available, and applied it uniformly to people regardless of their social status. Also, the Qin was among the most effective in establishing a civil service and county system to administer the law. Qin subjects lived under a regime with a transparent set of expectations, and also a system of rewards and punishments. Such rationality in matters of efficiently organizing a state through the uniform application of laws and regularizing administration, as implemented by Shang Yang, were a mark of legalist thinkers’ methods.
After Duke Xiao’s and Shang Yang’s time, Qin rulers assumed the title of king and engaged in numerous battles, destroying several neighboring states. Some of these were major engagements. According to one account, after the Qin kingdom defeated the state of Zhao, a Qin general ordered 400,000 captured soldiers buried alive. Also, the Qin put an end to the Zhou royal line after conquering their territory in 256 BCE. Hence, King Zheng was heir to a kingdom whose success in battle derived in part from legalist reforms. In line with that tradition, he too employed a legalist advisor.
As of 230 BCE, only six other Warring States remained. Over the next decade, King Zheng led a series of massive campaigns each of which entailed both sides fielding over one hundred thousand soldiers. This was a bloody time, as one state after another fell. By 221 BCE, the Chinese realm was unified under Qin rule.
Although the Qin Dynasty (221 – 207 BCE) was brief-lived, it had a lasting effect on China because of the stable administrative foundation it laid. The First Emperor of Qin and his advisors invented the title used by all subsequent rulers. They made newly conquered territory a part of their centralized bureaucracy. From his royal court and central administration, the emperor governed a land organized into a hierarchical system of commanderies (provinces that began as military outposts) and counties. His regime standardized currency and the system of writing, and issued regulations for uniform weights and measures.
The emperor was also a great builder. Over 6800 kilometers of road were laid to connect the capital at Xianyang to each province and the northern border. Walls built by former northern states to protect against non-Chinese nomads to their north were linked together in an earlier version of the Great Wall. All of these measures served to facilitate communication and commerce across the land and, therefore, political stability and cultural uni cation. As a symbol of his power, the First Emperor also constructed an imposing palace and mausoleum (see Introduction). For all these reasons, historians mark Qin unification as the beginning of China’s imperial era.
The Han Dynasty (202 BCE-220 CE)
After the First Emperor died in 210 BCE, the Qin Empire rapidly disintegrated. Historians debate causes but highlight weak successors manipulated by the intrigues of a high minister and court eunuch; excessive demands on the population for building projects, tax revenue, and military conscription; and a climate of fear created by the harshly punitive legal system. Regardless, by 207 BCE revolts were breaking out across the land, as rebels accrued armies, seized territory, and even declared themselves kings. China then fell into a state of civil war for five years until the intervention of Liu Bang [lee-oh bawng] (d. 195 BCE). A former farmer and village headman who rebelled and built an army and kingdom through his military acumen and charisma, Liu Bang defeated his adversaries and declared himself emperor of a new dynasty.
Government and Society during the Han Dynasty
The Han Dynasty, ruled by 24 successive emperors from the Liu imperial family, is normally divided into a Western Han (202 – 8 BCE) and Eastern Han (25 – 220 CE) because for a brief time an imperial in-law usurped the throne and established his own short-lived dynasty. This brief interregnum aside, the Han Dynasty lasted 400 years, making it second in length only to the Zhou Dynasty. So important was the Han to establishing a pattern in Chinese civilization distinguishing people belonging to it from those around them that Chinese people today refer to their ethnic group as Han Chinese. Also, after adopting the foundations laid by the Qin Dynasty, the Han further strengthened them, cementing an imperial pattern that persisted in China until the fall of the last dynasty (Qing) in 1911.
Map of the Han Dynasty in 2 CE | During the Western Han, the capital was located at Chang’an, while during the Eastern Han, it was located at Luoyang. Note the location of the Xiongnu confederation of nomadic pastoralists living on the steppe lands to the north of China. Han China also extended control far into Central Asia in order to secure the Silk Road trade routes. Most of the dependent states and tributary cities indicated by green and orange dots were brought under the control of China during the reign of Emperor Wu.
Author: Yeu Ninje
Source: Wikimedia Commons
License: CC BY-SA 3.0
As opposed to studying a chronology of important events during these centuries, let’s consider the general picture for the political system and society of the Han Empire. The majority of people– as much as 90 percent of the population–were farmers, living out their lives in villages of a dozen to over 100 households. Some were independent farmers who owned small farms; some, tenants who leased land from owners of larger farms; and some, local magnates with large estates. The government relied heavily on the rst group for revenue and conscription and therefore tried to keep these owner-farmers in business with low taxes, relief in times of hardship, and improvement in their agricultural methods. Unfortunately, over the course of the dynasty, many farmers fell on hard times and were forced to sell their land to powerful landlords, thus becoming their tenants or even slaves. Landlordism thus became a major social and political problem, as local great families dominated ever more dependent poor, undermining the central government’s revenue base.
The remaining ten percent of the population lived in urban areas–the towns and cities of Han China–as artisans and traders or o cials and garrison soldiers. By some estimates, the total population during these centuries hovered at 60 million, which means about six million were urban residents. Many cities, such as the capitals of both the Western and Eastern Han, had over 100,000 residents. The first imperial capital, Chang’an [chawng-an] (“Forever Peace”), was a walled city with twelve gates, watchtowers, market places, residential wards, administrative buildings and, of course, the imperial palace. Some of the agricultural produce, manufactured goods, and raw materials filling up the marketplaces testify to what artisans and traders were busy making, buying, and selling: cooked meats, pickled vegetables, fish, and grains; utensils and tools made of wood, brass, and iron; lacquer ware, jade, and furs; and textiles fashioned from silk and hemp. Imperial highways and lesser byways, and canals and other waterways, provided the routes for moving these goods both within and beyond China. Ever suspicious of the profit motive and believing in the foundational importance of the farmer, government officials supervised city markets and established agencies to regulate the most important industries.
These commoner classes–farmers, artisans, and traders–were governed by a highly organized state and its corps of educated, professional civil servants. For administrative purposes, the empire was eventually divided into roughly 100 commanderies and 1300 counties. 130,000 officials constituted the bureaucracy. At the lowest level, working with village and town leaders, county magistrates handled such matters as tax collection, population registration, conscription for military service, law and order, and public works. They submitted reports to, and took orders from, commandery level military and civil officials, who then did the same with the nine ministries of the central government. These ministries handled such matters as revenue, justice, and foreign relations. The heads of each of these ministries, as well as two chancellors, routinely held audiences with the emperor to decide all policy matters. An independent branch of government, the censorate, audited the rest and reported directly to the emperor. From the outset, the Han Dynasty inherited the Qin legalist system of government, with its emphasis on rational and e cient methods of administration and use of systems of rewards and punishments to promote order. However, early in the Han, Confucian scholars criticized Qin governing for lacking humaneness, and Han rulers increasingly saw the benefit of Confucian ideas to governing. This change was particularly the case with Emperor Wu [woo] (r. 141 – 87 BCE). During his reign, Confucius’s ideas were molded into an ideology that legitimated monarchy and a hierarchical social order. This ideology is called Imperial Confucianism. As an ideology, it simply provided a blueprint for how the political and social order should function.
Rulers saw the benefit in having officials who were highly educated, loyal, of good character, and who understood the formalities of ritual and etiquette. An Imperial Academy was founded at the capital in 124 so that students could be educated in classical Confucian texts, including the Analects. Across the country, these students were nominated by local officials based on their learnedness and virtuous conduct. Successful graduates went on to serve as officials, and, because that conferred the highest prestige and status on an individual in Han China, Confucian values penetrated society. Texts were compiled explaining good etiquette, conduct, and ritual requirements for each family member and members of society based on their superior or subordinate status. Filial piety was celebrated in both art and texts, and law codes reinforced social norms by, for example, supporting the authority of the family patriarch, division of property among sons, and arranged marriages.
Painting depicting paragons of filial piety on a box excavated from a Han Dynasty tomb
During the Han Dynasty, Confucian values penetrated society, especially the idea that a child should actively demonstrate their reverence and respect for parents.
Author: User “PericlesofAthens”
Source: Wikimedia Commons
License: Public Domain
In brief, over the course of the Han Dynasty, Chinese increasingly identified themselves as defenders of a Confucian civilization.
The emperor was at the pinnacle of both Han society and the political system, while the imperial family and in-laws constituted a privileged aristocracy. The emperor’s authority derived in theory from his having received the mandate of Heaven, his virtue, and his role as mediator between the celestial realms and human world; as such, he could expect his subjects’ obedience and loyalty. He resided within the walls of the imperial palace at the capital city, attended by eunuchs who handled his personal needs, palace administration, and the imperial harem. Emperors had numerous consorts but also a principal wife–the empress–who held a special status and was quite influential, usually because she bore the heir to the throne, but also because she and her in-laws were an intimate part of the emperor’s palace life. Often, the imperial family, imperial in-laws, eunuchs, and high o cials broke apart into squabbling factions fighting for power and influence; this contention had deleterious consequences for the smooth functioning of the political system.
China and the Outer World during the Han Dynasty
Strengthened by its ever more confident political system and society, Han China also became an expansive empire, occupying and colonizing territory all along its borders. Sometimes this process was gradual: as migrants and merchants moved into neighboring areas, the government followed by setting up garrisons to protect them and eventually counties with civil servants to govern them. In other cases, armies were sent to subdue unstable borders or to secure trade routes. Regardless, as the dominant power in the region, China’s actions profoundly influenced and shaped the history of peoples and states in neighboring areas of Central and East Asia.
Traditionally, the biggest threats to the settled agricultural population of China came from non-Chinese nomadic pastoralists scattered about the steppe lands along the northern border, as discussed in Chapter 6. These skilled horsemen and hunters tended their herds from horseback, resided in mobile campsites made up of yurts, and organized as tribes. These tribes usually selected the most skilled male warriors as their chieftains and also periodically organized into confederations so as to raid Chinese villages and towns. During the Han, the most threatening confederation was knit together by Xiongnu [she-ong-new]. The founding emperor, Liu Bang, sought to subdue them with his armies but was defeated and forced to pay tribute and offer imperial princesses in marriage to their chieftains. Emperor Wu, however, enjoying a stronger government, sent massive armies of over 100,000 soldiers campaigning deep into Xiongnu territory, breaking up their confederation and forcing them to relocate. Although his armies suffered great losses, Emperor Wu established garrisons across the northern border to consolidate his gains and protect China.
As Emperor Wu brought the Xiongnu under control, he became curious about Central Asian territories lying to the west of China. Interested in nding allies that might support him in his e orts to control nomad confederations, he sent envoys on exploratory missions. They returned with news of trade routes extending from oasis city-states ringing the forbidding deserts of the Taklamakan Desert to countries lying beyond the Pamir Mountains. What they were speaking of were the earliest Silk Roads. Merchants had been using camels to carry such goods as silk from China to distant civilizations while bringing back gold, horses, and various handicrafts and foodstuffs.
Map of the Silk Road trade routes during the Han Dynasty
Author: Wikimedia Commons User “Алый Король” and Leo Timm Source: Wikimedia Commons and The Epoch Times
License: CC BY-SA 4.0
For that reason, beginning in 104 BCE, Emperor Wu dispatched armies to subdue the region as far as the Pamir Mountains, making the Han Dynasty overlords to Central Asian states, which were now obligated to send tribute and hostages. A frontier network of walls and watchtowers was then extended partway into the region. The Silk Roads were thus secured, and, because it could be conducted more safely, the volume of traffic grew. During the Han Dynasty, China demonstrated its intention of being a dominant player in Central Asia.
The End of the Han Dynasty
Despite the economic prosperity of Han China, rising concerns about land distribution and wealth inequity led to unrest. In 9 CE, Wang Mang, a Han official, seized control of the government, declaring himself emperor and temporarily ending the Han Dynasty. His reforms included land redistribution programs, attempted to control the prices of food and cloth, enacted numerous new taxes, and introduced a new (and very confusing monetary system). Corruption, a lack of confidence among his allies, and continued rebellions and uprisings spelled doom for Wang Mang’s regime. Mang died in battle in 23 CE, and Han power was restored 25 CE.
The “Eastern” Han era would continue to see economic inequalities rise, as tax exemptions for the wealthy and well-connected became the norm. Rebellions would continue and increase in intensity and frequency. The Han rulers, gradually, lost control of their extensive holdings and power became increasingly decentralized.
These are some of the outstanding features of the Han Empire, and ones that can also be compared to other empires that existed at this time in other parts of the world, such as Mauryan Empire in India, Persian Empire in the Middle East, or Roman Empire. Each empire conferred a special status on rulers, had an organized imperial administration with an educated civil service, maintained a large army to defend an expanding and increasingly well-defined territory, and developed an ideology and legal codes that justified authority and reinforced social order. Confident in the superiority of their organized governments, powerful militaries, and worldview, each of these empires proceeded to extend control over neighboring states and peoples.
While the Han Dynasty was born out of the ruins and chaos of the short-lived Qin Dynasty, there was continuity between the two regimes. The standardization, organization of commanderies, and goals of unification and expansion survived the transition from Qin to Han. At the other end of Eurasia, a similar transition took place, as the Roman Republic declined, fell, and then arose as the Roman Empire.
The Fall of the Roman Republic
The victory over Carthage in the Second Punic War allowed Rome to “close” the circle of the Mediterranean almost completely, acquiring control over all territories that had previously belonged to Carthage. The destruction of Carthage in the Third Punic War, while largely a symbolic gesture, further cemented Rome’s control over the entire Mediterranean. The late Republican historian Sallust, though, grimly saw the Roman victory in the Punic Wars as the beginning of the end of the Republic. As Sallust and some other conservative politicians of his day believed, this victory corrupted the noble Roman character, traditionally steeled by privation. More importantly, the abundance of resources that flowed in following the victories over Carthage raised the question of distribution of this new wealth and land. The disagreements over this question dominated the politics of the Late Republic, creating two new political factions: the Populares, or those who protected the interests of the people, and the Optimates, or those who protected the interests of the best element of the populace—namely, themselves.
The Gracchi and the Beginning of Political Violence
It is striking to consider that political violence was minimal in the Roman Republic until 133 BCE. Indeed, if the legends are true, even the expulsion of the kings in 510 BCE was a bloodless event. Starting with 133 BCE, however, the final century of the Roman Republic was defined by political violence and civil wars.
In 133 BCE, Tiberius Sempronius Gracchus, a scion on his mother’s side of one of the oldest and most respected families in Rome, the Cornelii Scipiones, was one of the ten annually elected plebeian tribunes. Alarmed that the lands acquired through recent Roman conquests had largely been taken over by rich landowners at the expense of poorer Romans, Gracchus proposed a land distribution law, known as the Lex Sempronia Agraria. Gracchus argued that the advantages of such land redistribution would have benefited the state, since land-ownership was a pre-requisite for military service (see Chapter 6). Aware that the Senate’s Optimates faction opposed his proposal, Gracchus took his law directly to the Plebeian Council, which passed it. This measure resulted in escalating conflict between Gracchus and the rest of the Senate. At a meeting of the Senate, the pontifex maximus, who was Tiberius Gracchus’ own cousin Publius Cornelius Scipio Nasica, ultimately argued that Gracchus had attempted to make himself king; thus, he had to be stopped. Since weapons were banned inside the Senate building, enraged Senators grabbed whatever was on hand, including chair and table legs, and clubbed Gracchus to death. As the biographer Plutarch states, this was the first instance of civic strife of this kind in ancient Rome.
The death of Tiberius Gracchus also meant the death of his proposed law. Ten years later, however, Gracchus’ proposed reforms gained a second life in the hands of his younger brother, Gaius Gracchus, who was elected plebeian tribune in 123 BCE and served a second term in that office in 122 BCE. Gaius Gracchus’ revived agrarian reform proposal was even more ambitious than his brother’s a decade earlier. Especially controversial was Gaius Gracchus’ proposal of granting full Roman citizenship to Rome’s Italian allies. Finally, in 121 BCE, alarmed at Gaius Gracchus’ popularity with the people, the consul Lucius Opimius proposed a new measure in the Senate: a senatus consultum ultimum, or the final decree of the Senate, which amounted to allowing the consuls to do whatever was necessary to safeguard the state. Realizing that the passing of this law amounted to his death sentence, Gaius Gracchus committed suicide.
The proposed reforms of Gaius Gracchus were overturned after his death, but the legacy of the Gracchi for the remainder of the history of the Roman Republic cannot be underestimated. First, their proposed laws showed the growing conflict between the rich and the poor in the Roman state. Second, the willingness on the part of prominent Senators to resort to violence to resolve matters set a dangerous precedent for the remainder of the Republic and fundamentally changed the nature of Roman politics. Finally, the support that the Gracchi received from the Roman people, as well as the residents of Italian cities who were not full citizens, showed that the causes that the Gracchi adopted were not going to go away permanently after their death. Indeed, Rome’s Italian allies went to war against Rome in 90 – 88 BCE; the result of this Social War, after “socii,” meaning “allies,” was the grant of full Roman citizenship rights to Italians.
The Civil war of Marius and Sulla and the Conspiracy of Catalina
The affair of the Gracchi was the first clear instance of violent conflict between the Populares and Optimates in the late Republic. Forty years later, a conflict between two politicians, representing different sides in this debate, resulted in a full-fledged civil war.
In 107 BCE, impatient over the prolonged and challenging war against the Numidian king Jugurtha, the Romans elected as consul Gaius Marius. While Marius had already enjoyed a distinguished military career, he was a novus homo, or “new man,” a term the Romans used to refer to newcomers to Roman politics, meaning individuals who have not had any family members elected to political office. Even more shockingly, Marius was not even from Rome proper, but from the town of Arpinum, located sixty miles south of Rome. Marius bene ted from the sense of frustration in Rome over the length of the war and the perceived corruption of the aristocratic leaders abroad. Once elected, he took over the command in the war and passed the most comprehensive reforms to the Roman military since the Romans switched to the manipular legion.
Bust of Gaius Marius
Author: User “Direktor” Source: Wikimedia Commons License: Public Domain
First, Marius abolished the property requirement for military service, allowing landless Romans to serve in the army for the first time in Roman history. A second and related change was the new commitment on the part of the Roman state to arm its troops and also pay them for service. Henceforth, the military became a profession, rather than a seasonal occupation for farmers. Finally, Marius changed the tactics of the legionary organization on the battle field, changing the legion of maniples into a legion of cohorts.
Marius’ reforms, while controversial, proved immensely successful, and he swiftly was able to defeat Jugurtha, ending the war in 104 BCE. As a result of his victories, Marius had gained unprecedented popularity in Rome and was elected to five more successive consulships in 104 – 100 BCE. While a law existed requiring ten years between successive consulships, Marius’ popularity and military success, in conjunction with the Romans’ fear of ongoing foreign wars, elevated him above the law. While Marius began his military career fighting for Rome, though, he ended it by causing the worst civil war Rome had seen to that point.
In 88 BCE, the Roman Senate was facing a war against Mithridates, king of Pontus, who had long been a thorn in Rome’s side in the Eastern provinces of the empire. Sensing that Marius was too old to undertake the war, the Senate appointed instead Lucius Cornelius Sulla, a distinguished general who had started his career as Marius’ quaestor in the Jugurthine War and was now a consul himself. Marius, however, had another trick up his sleeve. Summoning the Plebeian Council, Marius overturned the decision of the Senate and drove Sulla out of Rome. Instead of going lightly into exile, however, Sulla gathered an army and marched on Rome—the first time in Roman history that a Roman general led a Roman army against Rome!
Bust of Lucius Cornelius Sulla (with missing nose)
Author: User “Direktor”
Source: Wikimedia Commons License: Public Domain
Sulla took over Rome, swiftly had himself declared commander of the war on Mithridates, and departed for the Black Sea. In 86 BCE, Marius was elected consul for the seventh and final time in his career then promptly died of natural causes, just seventeen days after taking office. The civil war that he started with Sulla, though, was still far from over.
In 83 BCE, victorious over Mithridates but facing a hostile reception from the Senate, Sulla marched on Rome for the second time. This time, he truly meant business. Declaring himself dictator for reforming the Roman constitution, Sulla ruled Rome as a dictator for the next three years. His reforms aimed to prevent the rise of another Marius so significantly curtailed the powers of the plebeian tribunes. In addition, he established the proscriptions—a list of enemies of the state, whom anyone could kill on sight, and whose property was confiscated. Incidentally, one name on Sulla’s list was the young Julius Caesar, whose aunt had been married to Gaius Marius. While Caesar obviously survived the proscription, and went on to become a prominent politician himself, the confiscation of his property by Sulla ensured that he remained painfully strapped financially and in debt for the rest of his life.
After enacting his reforms, Sulla just as suddenly resigned from politics, retiring to a family estate outside of Rome in 79 BCE, where he appears to have drunk himself into an early grave— based on Plutarch’s description of his death, the symptoms appear to t with cirrhosis of the liver. Over the next several decades, some of Sulla’s reforms were overturned, such as those pertaining to the plebeian tribunes. Most historians of the Republic agree, however, that the Republican constitution never afterward reverted to its old state. The Republic after Sulla was a different Republic than before him.
The civil war of Marius and Sulla showed the increasingly greater degree of competition in the Republic as well as the lengths to which some Roman politicians were willing to go to get power and hold on to it. Furthermore, it demonstrated one dangerous side effect of Marius’ military reforms: before Marius, Roman farmer-soldiers did not feel a personal affinity for their generals. After Marius’ reforms, however, because soldiers were paid by their generals, their loyalty was to their generals, as much or more than to the Roman state. Finally, Marius’ incredible political success—election to a record-setting and law-breaking seven consulships over the course of his life—showed that military ability had somewhat leveled the playing eld between old patrician families such as Sulla’s—that had dominated the consulship for centuries—and the newcomers to Roman politics. This challenge by the newcomers to the old Roman political families was an especially bitter pill to swallow for some.
In 63 BCE, Lucius Sergius Catilina, a patrician who had unsuccessfully run for consulship and who was defeated that very year by another newcomer from Arpinum, Marcus Tullius Cicero, banded with other frustrated Senators to plan a conspiracy to assassinate the consuls and take over the state. Catilina’s conspiracy failed, and modern historians can read Cicero’s own reports to the Senate and the people about how he discovered and stopped this conspiracy. Catilina’s frustration, just like that of Sulla twenty years earlier, nevertheless shows how difficult it was for Roman “old-school” political families to accept that their competition for the consulship now was not just against each other. Catilina’s plan to resort to violence to achieve power also shows just how quickly political violence became the “normal” solution to problems in Roman Republican politics after the Gracchi.
The First Triumvirate and the Civil War of Caesar and Pompey
The political careers of Marius and Sulla, as well as Catilina, show the increased level of competition in the late Republic and the ruthlessness with which some Roman politicians in the period attempted to gain the consulship. In 60 BCE, however, a group of three politicians tried to achieve its goals by doing something atypical of Roman politicians who had largely only looked out for themselves: the three formed an alliance in order to help each other. Spectacularly, their alliance even transcended the usual division of Populares and Optimates, showing that, for these three men at least, the thirst for political power was more important than any other personal convictions.
Marcus Licinius Crassus was the wealthiest man in Rome, son of a consul, and consul himself in 70 BCE. His colleague in the consulship in 70 BCE, Gnaeus Pompey, achieved military fame in his youth, earning him the nickname “Magnus,” or “the Great,” from Sulla himself. By 60 BCE, however, both Crassus and Pompey felt frustrated with their political careers so joined forces with a relative newcomer to the world of politics, Gaius Julius Caesar. The three men formed their alliance, secret at first, an alliance which Cicero later dubbed the Triumvirate. To cement the alliance, Caesar’s daughter, Julia, married Pompey. Together, they lobbied to help each other rise again to the consulship and achieve desirable military commands.
The alliance paid immediate dividends for Caesar, who was promptly elected consul for 59 BCE and was then awarded Gaul as his province for five years after the consulship. Crassus and Pompey, in the meanwhile, were re-elected consuls for 55 BCE, and, in the same year, Caesar’s command in Gaul was renewed for another five years. One modern historian has called it “the worst piece of legislation in Roman history,” since the renewal did not specify whether the five-year clock started afresh in 55 BCE—in which case, Caesar’s command was to end in 50 BCE—or if the five years were added to the original ve-year term—in which case, Caesar’s command would have ended in 48 BCE.
A talented writer, as well as skilled general, Caesar made sure to publish an account of his Gallic campaigns in installments during his time in Gaul. As a result, Romans were continually aware of Caesar’s successes, and his popularity actually grew in his absence. His rising popularity was a source of frustration for the other two triumvirs. Finally, the already uneasy alliance disintegrated in 53 BCE. First, Julia died in childbirth, and her baby died with her. In the same year, Crassus was killed at the Battle of Carrhae, fighting the Parthians. With the death of both Julia and Crassus, no links were left connecting Caesar and Pompey; the two former family relations, albeit by marriage, swiftly became official enemies.
Bust of Pompey the Great | Pompey the Great with Alexander the Great’s Hairstyle
Author: User “Robbot”
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License: Public Domain
Late in 50 BCE, the Senate, under the leadership of Pompey, informed Caesar that his command had expired and demanded that he surrender his army. Caesar, however, refused to return to Rome as a private citizen, demanding to be allowed to stand for the consulship in absentia. When his demands were refused, on January 10th of 49 BCE, Caesar and his army crossed the Rubicon, a river which marked the border of his province. By leaving his province with his army against the wishes of the Senate, Caesar committed an act of treason, as defined in Roman law; the civil war began.
While most of the Senate was on Pompey’s side, Caesar started the war with a distinct advantage: his troops had just spent a larger part of a decade fighting with him in Gaul; many of Pompey’s army, on the other hand, was disorganized. As a result, for much of 49 BCE, Pompey retreated to the south of Italy, with Caesar in pursuit. Finally, in late 48 BCE, the two fought a decisive battle at Pharsalus in northern Greece. There, Caesar’s army managed to defeat Pompey’s much larger forces. After the defeat, Pompey fled to Egypt, where he was assassinated by order of Ptolemy XIII, who had hoped to win Caesar’s favor by this action. When he arrived in Egypt in pursuit of Pompey, Caesar, however, sided with Ptolemy’s sister Cleopatra VII and appears to have fathered a son with her, Caesarion.
Map of Caesar’s Campaigns in Gaul
Author: User “Semhur” Source: Wikimedia Commons License: CC BY-SA 3.0
Map of Caesar’s Final Campaigns During the Civil War
Author: User “historicair”
Source: Wikimedia Commons
License: CC BY-SA 3.0
With Pompey’s death, the civil war was largely over, although Caesar still fought a number of battles across the Roman world with the remnants of the senatorial army. It is indeed striking to look at a map of Caesar’s military career. While his military actions on behalf of Rome were largely limited to Gaul, with a couple of forays into Britain, his civil war against Pompey and his allies took Caesar all over the Roman world from 49 to 45 BCE.
The Aftermath of the Civil War, the Second Triumvirate, and the Age of Augustus
Victorious in the civil war against Pompey and his supporters, Caesar was faced with the challenging question of what to do next. Clearly, he was planning to hold on to power in some way. Based on previous history, there were two options available to him: the Marius model of rule, meaning election to successive consulships, and the Sulla model, meaning dictatorship. Initially, Caesar followed the first model, holding the consulship first with a colleague in 47 BCE and 46 BCE then serving as sole consul in 45 BCE. By early 44 BCE, however, Caesar appears to have decided to adopt the Sulla model instead. In February of 44 BCE, he took the title of dictator perpetuo, or “dictator for life,” and had coins minted with his image and new title. His was the first instance in Roman history of a living individual’s placing his likeness on coinage.
Coin of Caesar from 44 BCE | Note Caesar’s Image on One Side, and Venus on the reverse. Author: User “Medium69”
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License: CC BY-SA 3.0
This new title appears to have been the final straw for a group of about sixty senators who feared that Caesar aimed to make himself a king. On the Ides of March (March 15) of 44 BCE, the conspirators rushed Caesar during a Senate meeting and stabbed him to death. But if the conspirators had thought that by assassinating Caesar they were going to restore the Republic, they turned out to be sorely mistaken.
Caesar’s will, in which he left money to each resident of the city of Rome and donated his gardens for use by the public, only further increased his popularity among the people, and popular rioting ensued throughout the city. Since Caesar did not have legitimate sons who could inherit— Caesarion, his son with Cleopatra, was illegitimate—he adopted an heir in his will, a common Roman practice. The heir in question was his grand-nephew Gaius Octavius, whose name after the adoption became Gaius Julius Caesar Octavianus (or Octavian, in English). It is interesting to note that Caesar’s will also named a back-up heir, in case the main heir would have died before inheriting. The back-up heir was none other than Brutus, one of Caesar’s assassins.
At the time of his adoption as Caesar’s heir, Octavian was nineteen years old; thus, he was too young to have had much military or political experience. Quickly, though, he showed political acumen, initially using an alliance with two much more experienced former allies of Caesar: Marcus Antonius and Marcus Aemilius Lepidus. Forming what became known as the Second Triumvirate, the three men renewed the proscriptions in 43 BCE, aggressively pursuing the enemies of Caesar and also ghting a small-scale civil war with Caesar’s assassins. The triumvirs defeated Caesar’s assassins at the Battle of Philippi in northern Greece in 42 BCE; they then carved out the Roman world into regions to be ruled by each. Marcus Antonius, who claimed Egypt, although it was not yet a Roman province, proceeded to marry Cleopatra and rule Egypt with her over the following decade. Ultimately, however, another civil war resulted between Antonius and Octavian, with the latter winning a decisive victory in the Battle of Actium in 31 BCE. From that moment until his death in 14 CE, Octavian—soon to be named Augustus in 27 BCE, the name he subsequently used—ruled what henceforth was known as the Roman Empire, and is considered by modern historians of Rome to have been the first emperor.
While modern historians refer to Augustus as the first emperor of Rome, that is not the title that he himself had, nor would he have said that he was inaugurating a new form of government in Rome. Rather, throughout his time in power, Augustus claimed to have restored the Roman Republic, and, with the exception of a few elected offices, he did not have any official position. How did he manage to rule the Roman Empire for over forty years without any official position? Some answers can be found in the Res Gestae Divi Augusti, an autobiography that Augustus himself composed in the year before he died and which he ordered to be posted on his Mausoleum in Rome, with copies also posted in all major cities throughout the Empire. Reflecting on his forty-year rule in this document, Augustus described himself as the first citizen, or princeps, of the Roman state, superior to others in his auctoritas. In addition, he was especially proud of the title of “Pater Patriae,” or “Father of the Fatherland,” voted to him by the Senate and reflecting his status as the patron of all citizens. It is striking to consider that other than these honorary titles and positions, Augustus did not have an official position as a ruler. Indeed, having learned from Caesar’s example, he avoided accepting any titles that might have smacked of a desire for kingship. Instead, he brilliantly created for himself new titles and powers, thoroughly grounded in previous, Republican tradition. In addition, he proved to be a master diplomat, who shared power with the Senate in a way beneficial to himself, and by all of these actions seamlessly married the entire Republican political structure with one-man rule. The question remains: when did the Roman Republic actually fall? Different historians have proposed several possible answers. One minority position is that the Republic had fallen with the dictatorship of Sulla, since it fundamentally altered the nature of the Republican government and permanently destabilized it. Another possible answer is the assassination of Caesar in 44 BCE, since afterwards, the Republic was never quite the same as it had been before the civil war of Pompey and Caesar. Another possible answer is 27 BCE, when the Senate granted Octavian the title of Augustus, recognizing his unofficial consolidation of power. Finally, yet another possible answer is the death of Augustus in 14 CE. Overall, all of these possible dates and events show the instability of the Roman state in the late first century BCE.
Roman Culture of the Late Republic and the Augustine Age
While the political structure of the Roman Republic in its final century of existence was becoming increasingly unstable, the period from the end of the Second Punic War on was actually one of increasing flourishing of entertainment culture and literary arts in Rome. Although much of Roman literary culture was based on Greek literature, the Romans adapted what they borrowed to make it distinctly their own. Thus, while adapting Greek tragedies and comedies and, in some cases, apparently translating them wholesale, Romans still injected Roman values into them, thus making them relatable to Roman Republican audiences. For example, in one fragment from a Roman tragedy, Iphigenia at Aulis, adapted by the Roman poet Ennius from the Greek tragedian Euripides’ play by the same name, the chorus of frustrated Greek soldiers debates the merits of otium, or leisure, and negotium, or business (a specifically Roman concept). Similarly, while Roman philosophy and rhetoric of the Republic were heavily based on their Greek counterparts, their writers thoroughly Romanized the concepts discussed, as well as the presentation. For instance, Cicero, a preeminent rhetorician and philosopher of the late Republic, adapted the model of the Socratic dialogue in several of his philosophical treatises to make dialogues between prominent Romans of the Middle Republic. His De Republica, a work expressly modeled on Plato’s Republic, features Scipio Aemilianus, the victor over Carthage in the Third Punic War.
While the late Republic was a period of growth for Roman literary arts, with much of the writing done by politicians, the age of Augustus saw an even greater flourishing of Roman literature. This increase was due in large part to Augustus’ own investment in sponsoring prominent poets to write about the greatness of Rome. The three most prominent poets of the Augustan age, Virgil, Horace, and Ovid, all wrote poetry glorifying Augustan Rome. Virgil’s Aeneid, finished in 19 BCE, aimed to be the Roman national epic and indeed achieved that goal. The epic, intended to be the Roman version of Homer’s Iliad and Odyssey combined, told about the travels of the Trojan prince Aeneas who, by will of the gods, became the founder of Rome. Clearly connecting the Roman to the Greek heroic tradition, the epic also includes a myth explaining the origins of the Punic Wars: during his travels, before he arrived in Italy, Aeneas was ship-wrecked and landed in Carthage. Dido, the queen of Carthage, fell in love with him and wanted him to stay with her, but the gods ordered Aeneas to sail on to Italy. After Aeneas abandoned her, Dido committed suicide and cursed the future Romans to be at war with her people.
The works of Horace and Ovid were more humorous at times, but they still included significant elements from early Roman myths. They thus served to showcase the pax deorum that caused Rome to flourish in the past and, again now, in the age of Augustus. Ovid appears to have pushed the envelope beyond acceptable limits, whether in his poetry or in his personal conduct. Therefore, Augustus exiled him in 8 CE to the city of Tomis on the Black Sea, where Ovid spent the remainder of his life writing mournful poetry and begging unsuccessfully to be recalled back to Rome.
In addition to sponsoring literature, the age of Augustus was a time of building and rebuilding around Rome. In his Res Gestae, Augustus includes a very long list of temples that he had restored or built. Among some new building projects that he undertook to stand as symbols of renewal and prosperity ordained by the gods themselves, none is as famous as the Ara Pacis, or Altar of Peace, in Rome. The altar features a number of mythological scenes and processions of gods; it also integrates scenes of the imperial family, including Augustus himself making a sacrifice to the gods, while flanked by his grandsons Gaius and Lucius.
The Ara Pacis
Author: User “Manfred Heyde” Source: Wikimedia Commons License: CC BY-SA 3.0
The message of these building projects, as well as the other arts that Augustus sponsored is, overall, simple: Augustus wanted to show that his rule was a new Golden Age of Roman history, a time when peace was restored and Rome flourished, truly blessed by the gods.
The Early Roman Empire
The period from the consolidation of power by Augustus in 27 BCE to the death of the emperor Marcus Aurelius in 180 CE was one of relative peace and prosperity throughout the Roman Empire. For this reason, the Romans themselves referred to this time as the Pax Romana, or Roman peace. During this period, the Empire became increasingly more of a smoothly run bureaucratic machine when commerce prospered, and the overall territory grew to its largest extent in the early second century CE. Of course, some of the Roman subjects did not feel quite as happy with this peace and what it brought to them. The Roman historian Tacitus narrates a speech of a British tribal rebel leader, Calgacus, to his men before they fought—and were defeated by—the Romans in 85 CE: “they (the Romans) make a desert, and call it peace.” Other evidence from the territories in the periphery of the Empire also shows that Romanization was not absolute, as some remote rural areas in provinces far from Italy did not really feel the impact of the Empire. Finally, the period of the early Empire witnessed the rise of a new religion, Christianity. This new religion did not have a profound impact on the state yet at this point, but the seeds planted in this period allowed for fundamental changes to occur centuries later, as we will see in Chapter 8. This is, after all, one of the marvels of history. It can take centuries to see the long-term impact of events that seem so small and insignificant at first.
The Julio-Claudian Dynasty
The historian Tacitus describes in detail the emotions in the Roman Senate upon the death of Augustus. Some Senators were hoping for the return of the Republic, while others assumed that Augustus’ stepson would inherit his nebulous yet amazingly powerful position. The scales were heavily weighed in favor of the latter option: as Tacitus points out, most Senators by 14 CE—fifty years after Caesar’s assassination—had never lived under a Republic; thus, they did not really know what a true Republic looked like. Still, the question that all were pondering in 14 CE was: how do you pass on something that does not exist? After all, Augustus did not have any official position. The first succession was a test case to see if the imperial system of government would become the new normal for Rome or if Augustus would prove to have been an exception.
Augustus himself seems to have been worried about appointing a successor for his entire time in power. Because of untimely deaths of all other possible candidates, Augustus eventually settled on adopting his stepson Tiberius Claudius Nero (not to be confused with the later emperor Nero), son of his wife Livia from her first marriage. Over the nal years of his life, Augustus gradually shared more of his unofficial powers with Tiberius, in order to smooth the process of succession. Augustus’ plan appears to have worked, as after a brief conversation in the Senate, as Tacitus reports, the Senators conferred upon Tiberius all of Augustus’ previous powers. Tiberius’ succession is the reason for which historians refer to the first Roman imperial dynasty as the Julio-Claudians.
Tiberius, a decorated military general in his youth, appears in our sources as a sullen and possibly cruel individual, whose temperament made Augustus himself feel sorry for the Romans for leaving such a ruler in his stead—or so Suetonius tells us.
He also appears to have been a rather reluctant emperor, who much preferred life out of the public eye. Finally, in 26 CE, Tiberius retired to Capri for the final eleven years of his rule. It is a testament to the spectacular bureaucratic system that was the Roman Empire that the eleven-year absence of the emperor was hardly felt, one exception being a foiled plot against Tiberius by his chief trusted advisor in Rome, Sejanus.
Similarly to Augustus, Tiberius had a difficult time selecting a successor, as repeatedly, each relative who was identified as a candidate died an untimely death. Ultimately, Tiberius adopted as his successor his grandnephew Gaius Caligula, or “little boot,” son of the popular military hero Germanicus, who died young.
While Caligula began his power with full support of both the people and the Senate, and with an unprecedented degree of popularity, he swiftly proved to be mentally unstable and bankrupted the state in his short rule of just under four years. In 41 CE, he was assassinated by three disgruntled officers in the Praetorian Guard, which ironically was the body formed by Augustus in order to protect the emperor. Caligula’s assassination left Rome in disarray. The biographer Suetonius reports that, while the confused Senate was meeting and planning to declare the restoration of the Roman Republic, the Praetorian Guard proclaimed as the next emperor Claudius, uncle of Caligula and the brother of Germanicus.
While Claudius was a member of the imperial family, he was never considered a candidate for succession before. He had a speech impediment; as a result, Augustus considered him an embarrassment to the imperial family. Claudius proved to be a productive emperor, but his downfall appears to have been pretty women of bad character, as he repeatedly weathered plots against his life by first one wife and then the next. Finally, in 54 CE, Claudius died and was widely believed to have been poisoned by his wife, Agrippina the Younger. Since the cause, as Suetonius tells us, was mushrooms, a popular joke thereafter in Rome was that mushrooms were the food of the gods—a reference to the deification of most emperors after their death.
Although Claudius had a biological son from an earlier marriage, that son was poisoned soon after his death. His successor instead became Nero, his stepson, who was only sixteen years old when he gained power.
Showing the danger of inexperience for an emperor, Nero gradually alienated the Senate, the people, and the army over the course of his fourteen-year rule. He destroyed his own reputation by performing on stage—behavior that was considered disgraceful in Roman society. Furthermore, Nero is believed in 64 CE to have caused the great fire of Rome in order to free up space in the middle of the city for his ambitious new palace, the Domus Aurea, or Golden House.
The last years of Nero’s reign seem to have been characterized by provincial rebellions, as a revolt broke out in Judea in 66 CE, and then the governor of Gaul, Gaius Julius Vindex, also rebelled against Nero. The revolt of Vindex ultimately proved to be the end of Nero, since Vindex convinced the governor of Spain, Servius Sulpicius Galba, to join the rebellion and, furthermore, proclaim himself emperor. While the rebellion of Vindex was quickly squashed, and Vindex himself committed suicide, popular support for Galba grew just as quickly. Finally, terri ed by rumors of Galba marching to Rome, Nero committed suicide in June of 68 CE. His death marked the end of the Julio-Claudian dynasty.
The Year of the Four Emperors, the Flavian Dynasty, and the Five Good Emperors
The year and a half after Nero’s death saw more civil war and instability throughout the empire than any other period since the late Republic. In particular, the year 69 CE became known as the year of the four emperors, as four emperors in succession came to power: Galba, Otho, Vitellius, and Vespasian. Each challenged his predecessor to a civil war, and each was as swiftly defeated by the next challenger.
Map of the Roman Empire 68-69 CE | Year of the Four Emperors Author: User “Fulvio314”
Source: Wikimedia Commons
License: CC BY-SA 3.0
In the process, as the historian Tacitus later noted, the year of the four emperors revealed two key secrets that continued to be a factor in subsequent history of the Empire. First, emperors could now be made outside of Rome, as seen, for example, with Galba’s proclamation as emperor in Spain. Second, the army could make emperors; indeed, each of the four emperors in 69 CE was proclaimed emperor by his troops. These two arcana imperii, or “secrets of empire,” as Tacitus dubbed them, continued to play a strong role in subsequent history of the Roman Empire. Their unveiling showed the declining importance of Rome as the center of political power and the concomitant decline in the importance of the Senate, once an advisory body to the entire empire, but now increasingly confined in its authority to Rome proper alone.
Several reasons caused Vespasian, a mere son of a tax-collector, to be the only successful emperor of 69 CE and the founder of the Flavian dynasty. First, a talented military commander, Vespasian proved to be already in command of a major military force in 69 CE, since he had been working on subduing the Jewish Revolt since 67 CE. Ironically, Nero had originally appointed him to command the Jewish War because of Vespasian’s humble family origins—which to Nero meant that he was not a political threat. Second, Vespasian was the only one of the four emperors of 69 CE who had grown sons, and thus obvious successors. Furthermore, his older son, Titus, was already a popular military commander in his own right and cemented his reputation even further by his conquest of Jerusalem in 70 CE.
The Flavian dynasty did not last long, however, as it ended in 96 CE with the assassination of Emperor Domitian, Vespasian’s younger son. The period from 96 CE to 180 CE saw a different experiment in determining imperial succession, instead of establishing traditional dynasties in which sons succeeded their fathers. Known as the period of the “Five Good Emperors,” the trend in the second century CE was for each emperor to adopt a talented leader with potential as his successor. The result was what Edward Gibbon, the nineteenth-century British historian of Rome, called “the happiest age” of mankind. But was life everywhere in the Roman Empire in the second century equally happy for all? The evidence suggests that while Rome and other major urban centers ourished, life in the periphery could be a very different experience.
Center verus Periphery in the Roman Empire: The Evidence of Pliny and Apuleius
Much of extant evidence from the Roman Empire comes from Rome and Italy. As is so often the case with empires, though, life in Rome was not representative of everyday life in the empire. The problems with which residents of Rome had to contend were a far cry from those with which residents of distant provinces had to deal. Careful examination of two sources from the second century CE reveals that the relationship of the Roman Empire to the provinces in the periphery was often uneasy. Writing about two different provinces within a half-century of each other, the two sources, Pliny the Younger and Apuleius, show the complicated blessings of living in a province far away from Rome that was yet under Roman rule.
It is shocking to consider today that most Roman governors setting out for the job received just one type of personnel to assist them with their duties: a flute-player, whose job was to play during sacrifice ceremonies. Since military forces were expensive to maintain and needed for emergencies in those areas of the Empire considered to be the most at risk for rebellion or outside attack, most governors did not have a legion stationed in their province. Compare this to the extensive, relatively consistent bureaucracy of Han Dynasty China. While of similar sizes and populations, the Roman Empire was, in many ways, severely understaffed. So how did governors resolve problems, and what resources did they find when they arrived? The single best sources of information about Roman provincial government is the prolific letter-writer Pliny the Younger, who served as governor of the province of Bithynia on the shore of the Black Sea in 111 – 113 CE. Pliny was a cautious and conscientious governor, and thus believed in consulting the emperor Trajan on every single issue that he encountered in his province. Luckily for us, their correspondence survives.
Pliny’s letters reveal a myriad of problems that the governor was expected to solve: staffing personnel for prisons (is it acceptable to use slaves as prison guards?), building repairs and water supply, abandoned infants and their legal status (should they be considered slave-born or free?), fire brigades (are they a potential security risk to the Empire?) and, most famously, what to do with Christians in the province. The emperor Trajan patiently responded to each letter that he received from Pliny and appears to have placed stability and peace in the province foremost in his concerns. Thus, for instance, with regard to the issue of Christians in Bithynia, Trajan recommends that Pliny not worry about tracking down Christians in his province, as they were not a threat.
Another perspective from the periphery comes from the novel Metamorphoses or Golden Ass, written by the North African intellectual Apuleius sometime in the later part of the second century CE. The protagonist of the novel, Lucius, is a curious intellectual who is traveling through Greece and, through a magic experiment gone wrong, accidentally is turned into a donkey. For the remainder of the novel, Lucius, in his donkey form, is repeatedly stolen, traded, beaten, and abused, until nally being rescued at the end of the novel by the Egyptian goddess Isis, whose service he then enters as a priest. Throughout his travels, though, Lucius’ observations reveal the limits of Romanization in the remote parts of Greece. Law and order are largely absent, highway robbery is simply a normal part of life, and on the one occasion when a poor farmer runs into a Roman soldier on the road, the soldier forcibly requisitions the farmer’s sole possession: his donkey. Overall, the picture that Apuleius paints reveals the dark side of the Pax Romana. Yes, the Empire was at peace, and few attacks were happening on the frontiers. Yet life in the provinces was anything but truly peaceful.
Works Consulted and Further Reading
Champlin, Edward. Nero. Cambridge, MA: Belknap Press, 2005.
Flower, Harriet. Ancestor Masks and Aristocratic Power in Roman Culture. Oxford: Clarendon Press, 1996.
Galinsky, Karl. Augustan Culture. Princeton: Princeton University Press, 1998.
Gruen, Erich. The Last Generation of the Roman Republic. Berkeley: University of California Press, 1995.
Morgan, Gwyn. 69 AD: The Year of Four Emperors. Oxford: Oxford University Press, 2005.
Scullard, H. H. From the Gracchi to Nero: A History of Rome from 133 BC to AD 68. New York: Routledge, 1982.
Qin and Han China
Hardy, Grant and Anne Behnke Kinney. The Establishment of the Han Empire and Imperial China. Westport, CT: Greenwood Press, 2005.
Pines, Yuri et al. eds. Birth of an Empire: The State of Qin Revisited. Berkeley: University of California Press, 2014.
Links to Primary Sources
Appian, Selections from Civil Wars on the Gracchi Augustus, Res Gestae Divi Augusti Caesar, Gallic Wars and Civil War Cicero, First Oration Against Catiline Pliny, Letters Sallust, The Conspiracy of Catiline
Qin and Han China
From Berger, Eugene; Israel, George; Miller, Charlotte; Parkinson, Brian; Reeves, Andrew; and Williams, Nadejda, “World History: Cultures, States, and Societies to 1500″ (2016). History Open Textbooks. Book 2. http://oer.galileo.usg.edu/history-textbooks/2
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