Provincial Takeover: 'The Third-Century Crisis and the Late Antique World

Integration, however, meant that the imperial system gradually became inde­pendent of its base in Italy, and as in the underlying comparison with the Muslim caliphate or empire, eventually provincials simply took it over (see further Marsham in chap.

The early emperors had, little by little, begun to co-opt prominent and wealthy aristocratic families from the provinces in the process that required the constant replenishment of the imperial court elite. By the end of the first century, enough provincials had made it into the senate that one of them might be adopted as heir to the throne by the childless and aging emperor Nerva in an effort to shore up his shaky reign. Southern Spain led the way, followed by southern France, Greece, Asia Minor, central North Africa, and Syria; the provincials arrived in cohorts, united by patronage and marriage alliances. A century later, Italy was beginning to lose its majority among the families with a seat in the senate.^[735] Emperors and nobles of provincial origin, however, were only riding the crest of a much bigger wave. As the legions became permanently stationed in the provinces, recruit­ment was drastically changed. Instead of Italian peasants, the vast majority of new soldiers were drawn from catchment areas in proximity to the camps.^[736] Along the Rhine and the Danube, where most of the army contingents were stationed like pearls on a string—following the vital supply lines offered by river transport, which alone made possible their inland provision—a military society was slowly taking shape.

Fiscal Crisis, Epidemic Disease, and the Return of Civil War

The implications were to be profound. The policy of restraint in taxation pursued by the emperors from Augustus onward may be visible in a mild trend to reduce the contents of precious metal used to strike the imperial silver coinage. This was an easy and barely detectable method to make up for a shortage in income. It is one of the ironies of history that it may have been under the reign of the emperor Antoninus Pius (under whom Gibbon in a celebrated passage declared humanity to have been “most happy and prosperous”^[737]) that this fiscal stratagem slowly began to spiral out of control. A reduction from around 80 percent to 70 percent silver in the denarius was not in itself alarming. When Nero, a century before, had lowered the silver content to 80 percent, it had brought a century of stability. In the following decades, both Marcus Aurelius and his son, Commodus, attempted to return the silver coin to the previous standard, ultimately in vain. Not only did these restora­tive efforts have to be abandoned, but further, even sharper reductions soon proved inevitable. When Commodus was assassinated in 192, the successors found the coffers empty and the new dynasty, the Severans, almost immediately had to lower the silver content drastically in order to foot the military’s bill—all to little avail. Over the next decades, the act was repeated again and again, until by the 250s ce the denarius had been almost completely depleted, receiving only the thinnest of silver coatings after having been struck in base metal.^[738]

The fiscal balance proved impossible to re-establish. By the second half of the second century, the empire seems to have passed a tipping point that rendered the long-established economic equilibria that underwrote the political order unsus­tainable. New data on climate suggest the Roman world was moving into a cooler period. This may have caused the agricultural base of the imperial economy to shrink along the margins and make conditions less favorable for empire-builders— but only in the very long term.^[739] Another development was far more important to the onset of the crisis.

Eventually the stability of the monarchy broke down, as the dormant mili­tary beast was woken from its Augustan slumber.

Reconsolidated Monarchy: Bureaucracy and Law

The imperial apparatus that came out of the efforts at reconstitution gives the im­pression of a more tightly centralized and bureaucratic state.^[745] Still, the late Roman Empire was far from a unitary and homogeneous entity, it remained an empire. If late or mature Muslim imperialism can be laid out on a spectrum between the Mughals and the Ottomans, the former presiding over a more loosely structured and decentralized order, then the Roman Empire of the Principate, with its light court establishment of great nobles hovering above the many hundreds of city­states of the realm, was closer to the Mughal pole.

Imperial Monotheism: The Rise of Christianity

Consolidation of law was only one aspect of a broader trend toward the unifica­tion of truth.^[749] Religion became the main arena for these forces. The religious universe of the ancient Mediterranean was characterized by polytheism; it was a world “full of gods” whose cults were mainly anchored in local ritual contexts, commonly organized by the manifold city-states.^[750] A few temples had been able to rise to more than regional status and attract worshippers from afar, most famously the oracle of Apollo at Delphi, whose sanctuary over the centuries accumulated vo­tive gifts and monuments from all across the Greek world and beyond.

There was nothing inevitable about the eventual triumph within the empire of the Christian faith. Rather, the sect seemed poised to insert itself as one seam within the layered fabric of imperial civilization. Many other prophets were on offer who promised access to divine truth.^[754] One such figure was Apollonius of Tyana, who inspired a long novel written by one of the most prominent third-century writers in Greek. On the pages of Philostratus' work, Apollonius is portrayed as a model philosopher, traversing the world in Hellenic cosmopolitan and imperial fashion, and with immediate divinatory access to a single all-encompassing godly truth that lay behind innumerable local cultic instantiations across the earth.^[755] To an outside observer, it might even have seemed far more plausible that a faith of his type would have won out, embedded as it was in Greek philosophy and the existing polytheistic universe.^[756] Indeed, the followers of Jesus had sometimes attracted the suspicions of the imperial authorities and occasionally been targeted as anti-social for their stubborn rejection of gods other than their own and avoidance of the cult activities of the wider community. But all of this changed when the emperor Constantine be­came attracted to Christianity and threw the weight of imperial sponsorship behind it. Just as he had reunited the realm, he wanted a divine faith to reflect the accom­plishment. Barely had he defeated the last of his opponents than he called a council of bishops in 325 ce, to unify the character of Christian belief: a Catholic Church for a Universal Empire—one god in heaven and one emperor on earth to mirror one other.^[757]

Enjoying the support of the imperial dynasty, the good tidings of the Church quickly began to resonate with the elites of the empire, and a wave of conversions followed over the next couple of centuries.^[758] By the 380s, the new faith had consolidated its position as sole state religion, while the ancient cults of the empire's many civic deities, starved of funds and their ritual sacrifices outlawed, began to transmute into worship of local Christian saints. The Church elbowed its way to the center of civic life, and its bishops stepped up next to the nobles as leaders of their communities.^[759] To match his codification of Roman Law, Justinian had the largest cathedral in the Christian world erected in what is now Istanbul, but was then Constantinople. The Hagia Sophia, with its wide dome and golden mosaics, became a point of reference in religious architecture. Much later, it would serve as a model for the mosques of the Ottoman padshahs after they had conquered the city, claimed the succession from Rome, and set about turning it into a Muslim landscape.^[760]

Prior to this, however, the monumental church served as the proud and am­bitious proclamation of a Christian world order, an order that significantly was projected from the city that Constantine had (re)founded on the Bosporus as his new seat of government. Rome had ceased to be the political center of the impe­rial ecumene. The grand city still held symbolical prestige, to be sure, but the em­pire could no longer be governed from the Tiber Valley.^[761] Nor could it be held together, for the most part, as a single entity. The unity achieved by Diocletian and Constantine was a tenuous one. Barely had the bishops agreed to a single creed for the Christian communities than theological controversies over the unity of God took new flight. Minute differences of belief electrified competing regional networks of power, influence, and connection to produce division within the uni­versal Church. Rival factions vied for the support of the ruler and the law courts in order to flesh out, with the firm backing of government, a distinction between right-minded orthodoxy and—on the side of the losers—heresies, whose members had to be condemned, expunged, and excluded from society.^[762]

The Rise of Provincial Elites and the Fragmentation of Power

As Christianity was immediately beset by schism, so the monarchy tended to break up into regional courts of co-rulers who competed as much as they collaborated with one other.^[763] The expanded administration that the emperors had developed, in their desperate efforts to recapture their revenue-base, provision the armies, and pay the salaries of the soldiers, was not merely an impersonal bureaucratic machine of humble civil servants. Sociologically, the administrative corps of vast pre-colonial empires may be characterized as patrimonial or personal bureaucracies; they remained an integral part of the system of privileges and honors that helped repro­duce noble status.^[764] The emperors continued to rule as the leaders of an aristocratic society. As the final arbiter of rank and right, they responded, much as before, to requests and petitions from the leaders of largely self-organizing communities.^[765] To achieve their goals, the emperors had to allow the entry of leading families of the pro­vincial cities into the growing number of official government positions. Some even settled for a mere title and entered the books among the so-called supernumerarii, serving in no real function, but claiming the status and privilege only. This process used to be discussed in terms of the weakening and decline of city councils; it was, instead, the final triumph of provincial aristocratic landowners. The leading families of the cities had muscled their way upward to obtain imperial rank.^[766] Out of the reconsolidated imperial state there emerged a strengthened provincial aristocracy that was able to fortify its position and build up its portfolio of properties and landed estates. The share of agricultural revenues claimed by this class imposed clear limits on the amount of taxes that the emperors were able to command.^[767] Centralization had produced its own countervailing centrifugal forces.^[768] The parallel with Muslim imperial statecraft is, again, instructive. The deeper penetration of society and attempt of central government to strengthen its hold on the agricultural revenues that has been observed by historians for the Ottoman and Mughal empires in the eighteenth century saw a rise of similar forces in provincial society, producing decentralization in the former case, fragmentation in the latter.^[769] In the Roman instance, the out­come was division, followed, in part, by fragmentation.

By the turn of the fourth century ce, the reins of the empire had been split be­tween a Western and an Eastern court, located in Milan and Constantinople, respec­tively. No one would have been able to predict that, less than a century later, only the Eastern court would remain. But division increased vulnerability. As part of their efforts to shore up the fiscally challenged military might of the realm, the emperors had recourse to hiring so-called barbarian troops from beyond the borders of tax­paying provincial lands. These “barbarian” federates were good soldiers, expend­able and cheaper than the regular units raised from the provincial population. To avoid conscription of their peasants, landowners in the provinces were even, on occasion, willing to pay an extra tax to enable the court to hire mercenaries in­stead. There was nothing new about the use of such troops. Augustus himself had a bodyguard of Germanic origin.^[770] But the intensified mobilization of “barbarian” regiments by a cash-strapped court had unforeseen consequences. The military so­ciety that had developed along the frontiers of the Rhine and the Danube experi­enced an enormous pull toward the empire. Stirrings among the nomadic warriors on the distant central Asian steppe may be speculated to have sparked some of the movement in a knock-on effect. However, the attraction and dynamics of imperial society were much the stronger force.^[771]

Not entirely unlike their republican predecessors, the “barbarian” federates hoped to receive lands or proceeds from these. Sometimes the courts gave their sanction to these ambitions, at other times they were forced to accept that the soldiers had helped themselves, either because of lacking payment or simply because they could. In the Western part of the empire, things spiraled out of control. Over the span of a generation, the provinces of Gaul, Spain, and Africa were hollowed out from within, taken over by a mushrooming number of “barbarian” warrior groups. Goths, Bur­gundians, Franks, Vandals, and Huns, a sprawling patchwork of ethnicities were born—on the march, so to speak—as communities of soldiers were engaged, and to some extent even given their names, by the Roman courts.^[772] The division of labor that lay at the heart of the imperial peace began to unravel. Now settled on their own territories, this class of federate soldier had less need for the fiscal mediation of the court, since they now had direct access to agricultural revenues. To make things worse, provincial aristocratic landowners, faced with the well-armed and warlike newcomers, often preferred to reach an accommodation directly with the so-called Germanic warlords who had settled in their midst, rather than hope for the protec­tion of a distant ruler whose coffers were running increasingly empty. The Western court was trapped in a suffocating stranglehold from which it could not break free. Occasionally, help was sent from its Eastern twin. In the long run, however, assis­tance was no substitute for the ability, which had been lost with the empire's division, to rely on the rich taxes of the East to help stabilize the tottering finances of the West. With revenue streams gradually dwindling, the Western court withered away until a Germanic warlord simply returned the imperial insignia to the Eastern emperor in 476.^[773]

Constantinople, however, still stood tall and proud. As the undisputed, sole seat of Roman power, perched on the border between Asia and Europe, the sparkling capital presided over an imperial ecumene, with the Eastern provinces mostly in­tact and an orbit of Western Romano-Germanic successor kingdoms that remained under the diplomatic, financial, and military influence of the universal ruler of Christendom. By the 530s, Justinian felt strong enough to embark on a campaign of reconquest. Africa, southern Spain, and Italy were taken back. The brilliant trail of campaigns is narrated in the histories of Procopios, a contemporary observer. Yet, the triumphantly conquering ruler was also served a rabidly vitriolic denounce­ment by his chronicler. In the so-called Secret History, Justinian and his empress were branded with all the vilest stereotypes of tyranny. Just as the empire seemed re­surgent, it was hit by another plague, this time bubonic, a pandemic so severe that it would not be surpassed again before the arrival of the Black Death in the fourteenth century. Suddenly, the program so gloriously conceived by Justinian had become too ambitious and therefore unsustainable.^[774] The great loss of human life seriously dented the tax base of the empire, straining government finances to the breaking point. The demands made on the peasantry and the landowners became more on­erous, and complaints of the emperor's capriciousness multiplied.^[775]

Transfer of Empire: Arab Conquests and the Muslim Caliphate

Among the imperial powers of the day, it was not only Rome that suffered. Sasanian Persia was hit equally hard.^[776] In fact, the entire order of the ancient Mediterranean and Near East seems to have been thrown out of balance. Over the next genera­tions, the Romans and Persians clashed in increasingly desperate wars against each other. Massive campaigns of conquest were followed by equally grand counter­strikes. The two monarchies took turns to be the one hanging in the ropes. When, finally, the emperor Heraclius seemed to have defeated his Sasanian opponent and restored Roman power, it provided only a short relief. Roman or Sasanian, both were a spent force.

A strong power, however, had developed in the space between them—nurtured not least through its auxiliary service to both of the larger empires in the course of their wars. Rallying around the revelations of Muhammad and spurred on by the need to sustain the flow of pay and plunder that undergirded their political hierarchy, a coalition of Arab tribal warriors broke in on the Roman and Sasanian world.^[777] In less than a decade (633-642), Syria, Egypt, and most of the Sasanian Empire fell. Over the next decades, a mopping-up operation followed that took the power of the caliphs all the way to southern Spain, Afghanistan, and North India. The established universal monarchies of Western Eurasian antiquity had been eclipsed by the Islamic Empire and its new politico-divine dispensation.^[778] Roman historians have for some time debated whether the Germanic federates of the fifth century were settled on the land and allowed to collect the yield di­rectly, or whether they merely received rights to imperial revenue. In reality, it may well have been a mixture of the two. In comparison to the practice of the Arab conquerors, however, the method of taxation gave way to direct occupation of the land by warriors, more often as landlords than cultivators, both in the Western successor kingdoms and even in the rump Roman state that remained after the cat­astrophic loss of its Levantine and South Mediterranean provinces.^[779] The mantle of empire, with its supporting division of labor, had passed to the caliphs, who proudly proclaimed their Pax Islamica. With the construction of the Dome of the Rock on the old temple mount in Jerusalem, the message was made clear. Once a Jewish and Christian location, it was the followers of Muhammad who now held the succession of empire and could build a new order on the foundations of the old. As for Rome, its story, then, may be summarized in three concentric waves of conquest. First, Romano-Italian armies united the greater Mediterranean. Then the provincials took over the empire. Finally, most of the realm was captured by groups emerging on its militarized frontiers.^[780]

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