I recently had the pleasure of reading Rubicon: The Triumph and Tragedy of the Roman Republic, by Tom Holland, which maps one of the most impactful periods of Western history, namely, the end of the Roman Republic and its replacement with the non-republican regime of Emperor Augustus. It was in this period that some of history’s most fascinating characters emerged in the human pageant, such as Julius Caesar, whose image continues to reverberate to the present day, as a symbol of excess or heroism; many common English expressions, such as “the die has been cast” or “crossing the Rubicon,” come directly from his exploits over 2000 years ago. The text under discussion, therefore, extensively discusses Caesar, and in so doing gives readers scintillating details of this larger-than-life figure who evokes fascination, admiration, but also, in some instances, horror. Another important contribution of Rubicon that this blogpost will elaborate on is its account of Roman institutions such as citizenship and slavery. Contemporary readers know, of course, that they were two defining characteristics of ancient Rome, but often they remain theoretical abstractions given the gap between contemporary and ancient sensibilities and experiences. After reading the text, I had a somewhat better sense of these institutions as embodied, lived, and concrete realities, and consequently felt I could better understand what it was like to be alive during that time.
Institutions: Citizenship and Slavery
Citizenship is a very basic concept that, in contemporary terms, denotes legal membership to an internationally recognized sovereign state. But beyond this simple definition, there are many other layers of meaning that reflect distinct historical experiences and civilizations. The etymology is Greek, and as is well known, the practice and conceptualization emerged from ancient Greek city-states. But, of course, different polities had different rules of membership. Romans did not have a blood-based conception of citizenship, and boundaries were more permeable. For example, in Greece, citizenship was transmitted via both parents, while in Rome, conquered people and slaves could attain that desired status. In contemporary terms, we might define these differences as civic and ethnic, or jus jus soli and sanguinis. Citizenship regimes also greatly differ in terms of the conferred rights and responsibilities. Often it meant the right to vote for representatives or for laws, or the obligation to serve in the army. In Rome, only some citizens could run for office, for any number of reasons (gender, lineage, social class, etc).
At its peak, there were 1 million inhabitants of Rome, and tens of millions across the empire, and this would have required a rather large and complex legal and administrative infrastructure to identify and categorize the different classes of citizens. How, one wonders, was this possible in an era that did not have paper or databases? How could officials determine whether a random person they encountered was a citizen?
Rubicon helps to provide answers to these questions. In the text, we learn for example, about the Villa Publica, where every 5 years Roman men were obligated to present themselves and declare all their possessions, including slaves, and the names and details of their wives and children. Modern notions of privacy did not exist; the “public” in republic was taken quite literally, and hence the state had the right to document and practice surveillance on the most intimate details of citizens’ lives. This information, accumulated over centuries, was written on papyrus using ink pens, none of which survive because of their fragility. Most likely, they burned in one of the fires that periodically inflamed the city, or they just decayed and were thrown out. At the time, however, these piles of documents were an essential part of the republic’s nervous system and were used to make major policy decisions on war, taxation, or public investment. After reading Rubicon, I could develop an image of this complex in Villa Publica, with many rooms where bureaucrats would be sitting down documenting information, and perhaps large storage rooms with shelves or cabinets which contained the piles of documents, perhaps divided into different sections: year, location of citizens (i.e., Rome, provinces, etc). When citizenship was extended beyond the confines of Italy, it would have been impossible for the vast majority to travel to Rome for this purpose, and so most likely, the information was gathered by governors of the provinces, who then had it transported back to the capital for record-keeping.
Another core institution of Rome was slavery. This institution, of course, was not unique to Rome, but like citizenship, it had different features in different civilizations and epochs. The image that most contemporary readers have derives from the race-based slavery of the modern period, when Africans were transported to the Americas. In ancient China, slavery was a legally recognized and practiced social institution, but unlike modern slavery, it was not predicated on irreducible racial differences, as many slaves came from the dominant Han ethnic group, while others were from surrounding regions and hence Asian, that is, not significantly different. Ancient Greece also had slaves, and here too, many were either Greek in origin or from polities not too far away, and consequently, ethnically similar. Rome displays the same pattern of non-race-based slavery, in part because they did not have modern notions of race in their imaginary or vocabulary, even though they observed and described physical differences between, for example, Germans, Romans, and Africans. But there were some peculiarities in the institution that were distinctly Roman. One was the relative ease and frequency with which slaves could become freemen and citizens, as their masters could purchase their freedom, or they could gain it via rewards for excellent service, or their master’s will. Foreigners who travelled to Rome were often taken aback by this relative ease with which slaves could become citizens. This more fluid and permeable categorization meant that social mobility was much higher in Rome than elsewhere, and many prominent Romans actually had slave ancestry.
Another feature was the ethnic diversity of slaves, which reflected the vastness of the empire; Greeks, British, Gauls, Syrians, Germans, and other defeated peoples often entered slave markets. In Rubicon, the reader discovers the ethnic stereotypes about different slaves; the Gauls were the best herders, the British were best at manual labour, and the Greeks did the intellectual work. Readers of Rubicon will be surprised to learn that some slaves of wealthy Romans were actually medical doctors. It was Greek slaves who had the skills to perform this task, and the same was true for other intellectual work, such as editing or accounting. Readers will also be surprised to discover that some of the poorest Roman citizens had slaves, even though the wealthy possessed them in larger numbers. There is no evidence that this state of affairs was ever questioned; there were slave revolts, like the famous revolt of Spartacus and 130 thousand slaves in 73 BC for their abominable treatment, but they were demanding the rights of their masters, not the end of slavery as an institution. For various reasons too complex to address in this blogpost, it was only in 18th-century England that there emerged a movement to end the practice, which gradually led to its universal prohibition.
Civil Wars
The period covered in Rubicon is mainly the second and first centuries BC, when the empire was vast in terms of territorial and wealth accumulation, which led to class conflicts over the distribution of the spoils. These would eventually generate civil conflicts, which would culminate in the end of the republic, but the process would take over a century and a half to materialize.
Throughout Rome’s history, beneath the surface of republican institutions, class conflicts were always simmering and threatening to explode, but a lid was kept on them because the elite was willing to gradually expand the rights of the plebs. And it is perhaps no coincidence that Rome’s greatest expansions occurred as the plebs’ rights increased, since their enfranchisement led to the democratization of the demand for glory, a core feature of Roman identity. This demand for glory could be satisfied in the Colosseum’s gladiatorial fights, in the Senate or courts, and through military conquest, which perhaps also allowed some of the pressures from the class conflicts to be externalized to other pursuits. But by the middle of the second century BC, it seemed as if these conflicts and the underlying inequalities that generated them had become incorrigibly acute, as evidenced by the economic transformation; whereas previously Roman citizens owned and tended their own farms, as inequality rose, the wealthy purchased large tracts of land and purchased large numbers of slaves to work on them. Plebs and other lower-class citizens were displaced, and many became homeless. They could voice their grievances via the plebian assemblies, which represented their interests, and populists emerged to satisfy their demands for fairness.
The Gracchus brothers represent the first wave of this populist backlash against Rome’s corrupt elite, which reached the highest echelons of the state and set in motion the train of events that would lead to the clashes that ended the Republic. Gaius Gracchus’s demands were mainly for the Senate to redistribute land to the plebs; this would have involved confiscating land from wealthy land owners, many of whom were either Senators themselves or had client-patron relations with them, and so the Senate’s veto was assured. Gaius persisted and even was willing to engage in extra- or anti-constitutional measures to enact his agenda. For this, he was killed by a mob of senators and their supporters, but this did not put an end to the underlying class conflict. His brother, Tiberius, was an even more radical populist reformer, and not only demanded the redistribution of land, but also measures to end corruption, and the provision of grain and maize to those in need. He, too, was unceremoniously taken out by those acting on behalf of the interests of the Senate (and, therefore, the beneficiaries of existing arrangements).
The Senate was mistaken if it believed that eliminating the Gracchus brothers would restore the pre-populist status quo; the underlying class conflict would subsequently manifest in the civil wars between the Marius and Sulla factions. Sulla would ultimately prevail and would neutralize the plebeian assembly by removing their veto power.
Julius Caesar would turn out to be the most glamorous and consequential populist leader to enter the scene, and his qualities as a scholar, soldier, politician, lover, and adventurer have dazzled generations of historians and thinkers ever since. For these reasons, the pages of Rubicon, including the title, devote much attention to his exploits and legacy. He was born into a noble family, the Julio-Claudian dynasty, who believed they were descended from the Trojan hero Aeneus, and from Venus, the god of love. From an early age, he held a number of important political offices, including the “aedile”, which, to my knowledge, has no modern equivalent and was responsible for the management of the games and public spaces. He also held the prestigious and powerful office of pontifex maximus, or chief priest, who was the intermediary between the people and the gods. Caesar was also governor of Spain, a periodically rebellious province which he successfully subdued. The conquest of Gaul, or modern-day France, was one of Caesar’s most documented adventures in part because of how bloody they were, in part because Gaul was Rome’s ancient foe and its absorption into the Roman empire would not only permanently eliminate the threat, it would also create the civilization of France. The Gauls’ resistance, led by the famous Vercingetorix, was fierce. Caesar himself participated in the battles, and his courage, fighting ability, strategizing, plus his willingness to share in the hardships of his men led to soldiers’ unwavering love and loyalty to their leader.
At the time, executive power over Rome's affairs was being shared with Pompey, and disputes arose between the Senate and Caesar over the legality of the Gallic wars. A message was sent to Caesar ordering him to disband his army and return to Rome, a decision with which he strongly disagreed, and this was when the moment of truth arrived. Disobedience would mean a resumption of the civil conflict that had destabilized Rome during the clashes between the Gracchus brothers and the Senate, and between Marius and Sulla. When the decision was made, Caesar uttered the phrase—the die has been cast—which would reverberate through the ages, and the moment he crossed the Rubicon, he not only would permanently change history, but he also gave posterity a new vocabulary to describe momentous decisions from which there was no possibility of turning back.
Pompey was Caesar’s existential foe in this battle, and on the surface, their disputes were over the exercise of political power. But as Rubicon helpfully reminds readers, there was also the underlying class conflict mentioned above; while the Senate and its wealthy patrons supported Pompey, the plebeian and lower-class faction supported Caesar. There were both economic and cultural reasons for this. Caesar’s policies entailed substantial redistribution of resources towards the lower class. And in a classic populist fashion, he was also very charismatic, spoke with a lower-class accent, and had a very frugal lifestyle despite all the comforts and riches that his position afforded him.
When he entered Rome with his soldiers—an illegal and unconstitutional act—he discovered that many of his enemies, including Pompey, had fled. And so the fighting between the factions would occur far from the capital. Pompey was ultimately captured and beheaded; now, Caesar had no serious rivals, and as is well known, he abused his power. When the Senate voted to make Caesar dictator for life, his fate was sealed, and on the fateful Ides of March, he was killed by a group, right beside a statue of Pompey, who had wanted to restore the Republic. The plebs who provided the backbone of Caesar’s support were outraged and rioted, destroying the homes of the attackers and several government buildings.
Caesar’s chosen successor was his nephew Octavius, who shared power with Mark Antony and Lepidus. To restore order, the three held executive power without reference to the Senate. This martial law, they believed, would be temporary, and constitutional rule would return after stability was restored. As it turns out, Mark Antony and Octavius had a falling out when the former went to Egypt, began a love affair with Cleopatra, who not only seduced him physically, but he also developed an affinity for Eastern ideas of universal and divine monarchy. The disputes between Octavius and Mark Antony could not be resolved peacefully, and the latter was ultimately defeated in the battle of Actium.
Now, Octavius became the unrivalled emperor and was given the name, Augustus, the Holy One, through which he is known by posterity. For many historians, this was the definitive end of the republic and the beginning of the imperial period. But a little probing reveals that this reflects an attempt to neatly divide historical periods rather than an actual reflection of a messy reality. For one, Rome was an empire well before Augustus assumed power. Meanwhile, republican institutions arguably stopped operating effectively during the clash between the Gracchus and the senate 150 years prior. The meaning of “republic” is a polity where citizens are equal and are represented irrespective of class or other categories, and yet as inequality increased, the Senate became more and more corrupt, while the plebian assemblies could no longer effectively represent the interests of the lower class majority; under these conditions, it would be stretch to call this “republic” or “democracy” even if they continued to be enshrined in formal constitutional rules.
The picture is further muddied by the fact that the available evidence suggests Augustus was very popular and supported by the majority of plebs. The reason is that he ended the civil wars, and by restoring peace, established the conditions for a new golden age. Moreover, much of this wealth was distributed to the plebs in the form of pensions, or land, or free food. Thus, a strong case can be made that he enjoyed popular legitimacy because of the outcomes—peace and prosperity, without which liberty is not possible—of his successful governance. In the contemporary political science literature, this has a technical term—output legitimacy—and is extensively documented as a viable alternative to input legitimacy, namely, the consent which derives from elections. A related question is whether, in the absence of elections, there was any process to hold Augustus accountable in the event of failure. A short answer is yes, because Roman citizens could and did participate in riots or violent protests, while Roman emperors could and would be killed for their failures. From these reflections, I conclude that Augustus does not fall neatly into any familiar categories, such as dictator or autocrat; he was the emperor, resembled a monarch,, but evidently supported by the majority, and this popular mandate depended on his keeping the end of the bargain, namely, governing in a way that ensured the people’s desire for peace, prosperity, and liberty were satisfied.