PART III

THE PRINc.i.p.aTE OR EARLY EMPIRE: 27 B. C.285 A. D.

[Ill.u.s.tration: The Roman Empire from 31 B. C. to 300 A. D.]

CHAPTER XVI

THE ESTABLISHMENT OF THE PRINc.i.p.aTE: 27 B. C.14 A. D.

I. THE PRINCEPS

*The settlement of 27 B. C.* During his sixth and seventh consulships, in the years 28 and 27 B. C., Octavian surrendered the extraordinary powers which he had exercised during the war against Antony and Cleopatra and, as he later expressed it, placed the commonwealth at the disposal of the Senate and the Roman people. But this step did not imply that the old machinery of government was to be restored without modifications and restrictions or that Octavian intended to abdicate his position as arbiter of the fate of the Roman world. Nor would he have been justified in so doing, for such a course of action would have led to a repet.i.tion of the anarchy which followed the retirement and death of Sulla, and, in disposing of his rivals, Octavian had a.s.sumed the obligation of giving to the Roman world a stable form of government. Public sentiment demanded a strong administration, even if this could only be attained at the expense of the old republican inst.i.tutions.

But while ambition and duty alike forbade him to relinquish his hold upon the helm of state, Octavian shrank from realizing the ideal of Julius Caesar and establishing a monarchical form of government. From this he was deterred both by the fate of his adoptive father and his own cautious, conservative character which gave him such a shrewd understanding of Roman temperament. His solution of the problem was to retain the old Roman const.i.tution as far as was practicable, while securing for himself such powers as would enable him to uphold the const.i.tution and prevent a renewal of the disorders of the preceding century. What powers were necessary to this end, Octavian determined on the basis of practical experience between 27 and 18 B. C. And so his restoration of the commonwealth signified the end of a regime of force and paved the way for his reception of new authority legally conferred upon him.

*The imperium.* Nothing had contributed more directly to the failure of the republican form of government than the growth of the professional army and the inability of the Senate to control its commanders. Therefore, it was absolutely necessary for the guardian of peace and of the const.i.tution to concentrate the supreme military authority in his own hands.

Consequently on 13 January, 27 B. C., the birthday of the new order, Octavian, by vote of the a.s.sembly and Senate, received for a period of ten years the command and administration of the provinces of Hither Spain, Gaul and Syria, that is, the chief provinces in which peace was not yet firmly established and which consequently required the presence of the bulk of the Roman armies. Egypt, over which he had ruled as the successor of the Ptolemies since 30 B. C., remained directly subject to his authority. As long as he continued to hold the consulship, the _imperium_ of Octavian was senior (_maius_) to that of the governors of the other provinces which remained under the control of the Senate. In effect, his solution of the military problem was to have conferred upon himself an extraordinary command which found its precedents in those of Lucullus, Pompey and Caesar, but which was of such scope and duration that it made him the commander-in-chief of the forces of the empire.

*The t.i.tles Augustus and Imperator.* On 16 January of the same year the Senate conferred upon Octavian the t.i.tle of Augustus (Greek, _Sebastos_) by which he was henceforth regularly designated. It was a term which implied no definite powers, but, being an epithet equally applicable to G.o.ds or men, was well adapted to express the exalted position of its bearer. A second t.i.tle was that of Imperator. Following the republican custom, this had been conferred upon Augustus by his army and the Senate after his victory at Mutina in 43 B. C., and in imitation of Julius Caesar he converted this temporary t.i.tle of honor into a permanent one. Finally, in 38 B. C., he placed it first among his personal names (as a _praenomen_). After 27 B. C. Augustus made a two-fold use of the term; as a permanent _praenomen_, and as a t.i.tle of honor a.s.sumed upon the occasion of victories won by his officers. From this time the _praenomen_ Imperator was a prerogative of the Roman commander-in-chief. However, during his princ.i.p.ate Augustus did not stress its use, since he did not wish to emphasize the military basis of his power. But in the Greek-speaking provinces, where his power rested exclusively upon his military authority, the t.i.tle Imperator was seized upon as the expression of his unlimited _imperium_ and was translated in that sense by _autocrator_. From the _praenomen_ imperator is derived the term emperor, commonly used in modern times to designate Augustus and his successors.

*The tribunicia potestas, 23 B. C.* From 27 to 23 B. C. the authority of Augustus rested upon his annual tenure of the consulship and his provincial command. But in the summer of 23 B. C. he resigned the consulship and received from the Senate and people the tribunician authority (_tribunicia potestas_) for life. As early as 36 B. C. he had been granted the personal inviolability of the tribunes, and in 30 B. C.

their right of giving aid (_auxilium_). To these privileges there must now have been added the right of intercession and of summoning the _comitia_ (_jus agendi c.u.m populo_).(15) In this way Augustus acquired a control over comitial and senatorial legislation and openly a.s.sumed the position of protector of the interests of the city plebs. He was moreover amply compensated for the loss of civil power which his resignation of the consulship involved, and at the same time he got rid of an office which must be shared with a colleague of equal rank and the perpetual tenure of which was a violation of const.i.tutional tradition. The tribunician authority was regarded as being held for successive annual periods, which Augustus reckoned from 23 B. C.

*Special powers and honors.* At the time of the conferment of the tribunician authority, a series of senatorial decrees added or gave greater precision to the powers of Augustus. He received the right to introduce the first topic for consideration at each meeting of the Senate, his military _imperium_ was made valid within the _pomerium_, but, in view of his resignation of the consulship, became proconsular in the provinces.

It was probably in 23 B. C. also that Augustus received the unrestricted right of making war or peace, upon the occasion of the coming of an emba.s.sy from the king of the Parthians. In the next year he was granted the right to call meetings of the Senate. Three years later he was accorded the consular insignia, with twelve lictors, and the privilege of taking his seat on a curule chair between the consuls in office. These marks of honor gave him upon official occasions the precedence among the magistrates which his authority warranted. On the other hand, in 22 B. C.

Augustus refused the dictatorship or the perpetual consulship, which were conferred upon him at the insistence of the city populace; and in the same spirit he declined to accept a general censorship of laws and morals (_cura legum et morum_) which was proffered to him in 19 B. C.

*The princ.i.p.ate.* It was by the gradual acquisition of the above powers that the position which Augustus was to hold in the state was finally determined. This position may be defined as that of a magistrate, whose province was a combination of various powers conferred upon him by the Senate and the Roman people, and who differed from the other magistrates of the state in the immensely wider scope of his functions and the greater length of his official term. But these various powers were separately conferred upon him and for each he could urge const.i.tutional precedents.

It was in this spirit of deference to const.i.tutional traditions that Augustus did not create for himself one new office which would have given him the same authority nor accept any position that would have clothed him with autocratic power. Therefore, as he held no definite office, Augustus had no definite official t.i.tle. But the reception of such wide powers caused him to surpa.s.s all other Romans in dignity; hence he came to be designated as the _princeps_, i. e. the first of the Roman citizens (_princeps civium Romanorum_). From this arose the term princ.i.p.ate to designate the tenure of office of the princeps; a term which we now apply also to the system of government that Augustus established for the Roman Empire. The crowning honor of his career was received by Augustus in 2 A. D., when the senate, upon the motion of one who had fought under Brutus at Philippi, conferred upon him the t.i.tle of "Father of His Country"

(_pater patriae_), thus marking the reconciliation between the bulk of the old aristocracy and the new regime.

*Renewal of the imperium.* His _imperium_, which lapsed in 18 B. C., Augustus caused to be reconferred upon himself for successive periods of five or ten years, thus preserving the continuity of his power until his death in 14 A. D.

II. THE SENATE, THE EQUESTRIANS AND THE PLEBS

*The three orders.* The social cla.s.sification of the Romans into the senatorial, equestrian and plebeian orders pa.s.sed, with sharper definitions, from the republic into the princ.i.p.ate. For each cla.s.s a distinct field of opportunity and public service was opened; for senators, the magistracies and the chief military posts; for the _equites_ a new career in the civil and military service of the princeps, and for the plebs service as privates and subaltern officers in the professional army.

However, these orders were by no means closed castes; the way lay open to able and successful men for advancement from the lower to the higher grades, and for the consequent infusion of fresh vitality into the ranks of the latter.

*The Senate and the senatorial order.* The senatorial order was composed of the members of the Senate and their families. Its distinctive emblem was the broad purple stripe worn on the toga. Sons of senators a.s.sumed this badge of the order by right of birth; equestrians, by grant of the princeps. However, of the former those who failed to qualify for the Senate were reduced to the rank of equestrians. The possession of property valued at 1,000,000 sesterces ($50,000) was made a requirement for admission to the Senate.

The prospective senator was obliged to fill one of the minor city magistracies known as the board of twenty (_viginti-virate_), next to serve as a legionary tribune and then, at the age of twenty-five, to become a candidate for the quaestorship, which gave admission to the Senate. From the quaestorship the official career of the senator led through the regular magistracies, the aedileship or tribunate, and the praetorship, to the consulship. As an ex-praetor and ex-consul a senator might be appointed a promagistrate to govern a senatorial province; a legate to command a legion or administer an imperial province; or a curator in charge of some administrative commission in Rome or Italy.

During the republic the Senate had been the actual center of the administration and Augustus intended that it should continue to be so for the greater part of the empire. Through the ordinary magistrates it should govern Rome and Italy, and through the promagistrates the senatorial provinces. Furthermore, the state treasury, the _aerarium saturni_, supported by the revenues from Italy and the Senate's provinces, remained under the authority of that body. However, to render it capable of fulfilling its task and to reestablish its prestige, the Senate which now numbered over one thousand had to be purged of many undesirable members who had been admitted to its roll during the recent civil wars. Therefore, in 28 B. C., Augustus in his consular capacity supervised a revision of the senatorial list whereby two hundred unworthy persons were excluded. On that occasion his name was placed at the head of the new roll as the _princeps senatus_. A second recension ten years later reduced the total membership to six hundred. A third, in 4 A. D., commenced through a specially chosen committee of three with the object of further reducing their number was not carried out. The Senate was automatically recruited by the annual admission of the twenty quaestors, but in addition the princeps enjoyed the right of appointing new members who might be entered upon the roll of the Senate among the past holders of any magistracy. In this way many prominent equestrians were admitted to the senatorial order.

*The equestrian order.* For the conduct of his share of the public administration the princeps required a great number of a.s.sistants in his personal employ. For his legates to command the legions or his provinces with delegated military authority Augustus could draw upon the senators, but both custom and the prestige of the Senate forbade their entering his service in other capacities. On the other hand, freedmen and slaves, who might well be employed in a clerical position, obviously could not be made the sole civil servants of the princeps. Therefore, Augustus drew into his service the equestrian order whose business interests and traditional connection with the public finances seemed to mark them out as peculiarly fitted to be his agents in the financial administration of the provinces.

The equestrian order in general was open to all Roman citizens in Italy and the provinces who were eighteen years of age, of free birth and good character, and possessed a census rating of 400,000 sesterces ($20,000).

Admission to the order was in the control of the princeps, and carried the right to wear a narrow purple stripe on the toga and to receive a public horse, the possession of which qualified an equestrian for the imperial civil and military service. With the bestowal of the public horse Augustus revived the long neglected annual parade and inspection of the _equites_.

Like the career of the senators, that of the equestrians included both military and civil appointments. At the outset of his _cursus honorum_ the equestrian held several military appointments, which somewhat later came regularly to include a prefecture of a corps of auxiliary infantry, a tribunate of a legionary cohort, and a prefecture of an auxiliary cavalry corps. Thereupon he was eligible for a procuratorship, that is, a post in the imperial civil service, usually in connection with the administration of the finances. After filling several of these procuratorships, of which there were a great number of varying importance, an equestrian might finally attain one of the great prefectures, as commander of the city watch, administrator of the corn supply of Rome, commander of the imperial guards, or governor of Egypt. At the end of his equestrian career he might be enrolled in the senatorial order. Thus through the imperial service the equestrian order was bound closely to the princeps and from its ranks there gradually developed a n.o.bility thoroughly loyal to the new regime.

*The Comitia and the plebs.* The _comitia_, which had so long voiced the will of the sovereign Roman people was not abolished, although it could no longer claim to speak in the name of the Roman citizens as a whole. It still kept up the form of electing magistrates and enacting legislation, but its action was largely determined by the recommendations of the princeps and his tribunician authority.

While the city plebs, accustomed to receive its free distributions of grain, and to be entertained at costly public spectacles, was a heavy drain upon the resources of the state, the vigorous third estate in the Italian munic.i.p.alities supplied the subaltern officers of the legions.

These were the centurions, who were the mainstay of the discipline and efficiency of the troops, and from whose ranks many advanced to an equestrian career.

III. THE MILITARY ESTABLISHMENT

*Reorganization of the army.* Upon his return to Italy in 30 B. C., Augustus found himself at the head of an army of about 500,000 men. Of these he released more than 300,000 from service and settled them in colonies or in their native munic.i.p.alities upon lands which it was his boast to have purchased and not confiscated. This done, he proceeded to reorganize the military establishment. Accepting the lessons of the civil wars, he maintained a permanent, professional army, recruited as far as possible by voluntary enlistment. This army comprised two main categories of troops, the legionaries and the auxiliaries.

*The legions and auxilia.* The legionaries were recruited from Roman citizens or from provincials who received Roman citizenship upon their enlistment. Their units of organization, the legions, comprised nearly 6000 men, of whom 120 were cavalry and the rest infantry. The number of legions was at first eighteen, but was later raised to twenty-five, giving a total of about 150,000 men. The auxiliaries, who took the place of the contingents of Italian allies of earlier days, were recruited from among the most warlike subject peoples of the empire and their numbers were approximately equal to the legionaries. They were organized in small infantry and cavalry corps (cohorts and _alae_), each 480 or 960 strong.

At the expiration of their term of service the auxiliaries were granted the reward of Roman citizenship.

*The praetorians.* A third category of troops, which, although greatly inferior in number to the legions and auxiliaries, played an exceptionally influential role in the history of the princ.i.p.ate, was the praetorian guard. This was the imperial bodyguard which attended Augustus in his capacity of commander-in-chief of the Roman armies. It owed its influence to the fact that it was stationed in the vicinity of Rome while the other troops were stationed in the provinces. Under Augustus the praetorian guard comprised nine cohorts, each 1000 strong, under the command of two praetorian prefects of equestrian rank. The praetorians were recruited exclusively from the Italian peninsula, and enjoyed a shorter term of service and higher pay than the other corps.

*Conditions of service.* It was not until 6 A. D. that the term of enlistment and the conditions of discharge were definitely fixed. From that date service in the praetorian guard was for sixteen years, in the legions for twenty and in the _auxilia_ for twenty-five. At their discharge the praetorians received a bonus of 5000 denarii ($1000), while the legionaries were given 3000 denarii ($600) in addition to an a.s.signment of land. The discharged legionaries were regularly settled in colonies throughout the provinces. To meet this increased expense Augustus was obliged to establish a military treasury (the _aerarium militare_), endowed out of his private patrimony, and supported by the revenue derived from two newly imposed taxes, a five per cent inheritance tax (_vincesima hereditatium_) which affected all Roman citizens, and a one per cent tax on all goods publicly sold (_centesima rerum venalium_).

*The fleets.* For the policing of the coast of Italy and the adjacent seas Augustus created a permanent fleet with stations at Ravenna and Misenum.

Conforming to the comparative unimportance of the Roman naval, in contrast to their military establishment, the personnel of this fleet was recruited in large measure from imperial freedmen and slaves. Only after Augustus were these squadrons and other similar ones in the provinces placed under equestrian prefects.

The military system of Augustus strongly emphasized and guaranteed the supremacy of Italy and the Italians over the provincials. Both the officers and the elite troops were drawn almost exclusively from Italy or the latinized parts of the western provinces. In like manner the reservation of the higher grades of the civil administration, the second prop of Roman rule, for Roman senators and equestrians, as well as the exclusion of the provincial imperial cult from Italian soil, marked clearly the distinction between the conquering and the subject races of the empire. Yet it was Augustus himself who pointed the way to the ultimate romanization of the provincials by the bestowal of citizenship as one of the rewards for military service and by the settlement of colonies of veterans in the provinces.

IV. THE REVIVAL OF RELIGION AND MORALITY

*The ideals of Augustus.* A counterpart to the governmental reorganization effected by Augustus was his attempt to revive the old time Roman virtues which had fallen into contempt during the last centuries of the republic.

This moral regeneration of the Roman people he regarded as the absolutely essential basis for a new era of peace and prosperity. And the reawakening of morality was necessarily preceded by a revival of the religious rites and ceremonies that in recent times had pa.s.sed into oblivion through the attraction of new cults, the growth of skepticism, or the general disorder into which the public administration had fallen as a result of civil strife.

*The revival of public religion.* One step in this direction was the reestablishment of the ancient priestly colleges devoted to the performance of particular rites or the cult of particular deities. To provide these colleges with the required number of patrician members Augustus created new patrician families. He himself was enrolled in each of these colleges and, at the death of Lepidus in 12 B. C., was elected chief pontiff, the head of the state religion. A second measure was the repair of temples and shrines which had lapsed into decay. The temple of Jupiter Capitolinus, those of Quirinus and the Magna Mater, besides eighty-two other shrines of lesser fame, were repaired or restored by him.

One of his generals, Munatius Plancus, renewed the temple of Saturn in the forum. A new temple was erected by Augustus to Mars the Avenger on the forum begun by Julius Caesar, another to the deified Julius himself on the old forum, and a third on the Palatine hill to Apollo, to whom he rendered thanks for the victory at Actium.