6.5.2 From Republic to Principate

Octavian was only eighteen when Caesar was killed, but as Caesar’s adopted son and heir he enjoyed the loyalty and political support of Caesar’s military veterans. In 43 BCE, Octavian joined forces with two seasoned generals and politicians, Marc Antony and Lepidus, who both had been loyal supporters of Caesar. Marc Antony had been particularly close to him, as evidenced by the fact that Caesar left his legions under Antony’s command in his will. Together these three shared the power of dictator in Rome in a political arrangement known as the Second Triumvirate. Unlike the First Triumvirate, which was effectively a conspiracy, the Second Triumvirate was formally recognized by the Senate. In 42 BCE, the army of the Second Triumvirate, under the command of Antony, defeated the forces of Julius Caesar’s assassins Brutus and Cassius at the Battle of Philippi in northern Greece. The Second Triumvirate also ordered the execution of thousands of their political opponents.

After crushing the remnants of the optimates, the three men divided the Roman Empire between them: Octavian took Italy, Hispania, and Gaul; Lepidus Africa; and Antony Macedon, Greece, and Asia Minor. Soon they quarreled, however, and civil war erupted once again. Having greater support from Caesar’s troops than his two opponents, in 36 BCE Octavian forced Lepidus into retirement. Antony countered by forming an alliance with Cleopatra VII, the Macedonian queen of Egypt, whom he married. Cleopatra was at that time co-ruler with Ptolemy XV, her son by Julius Caesar. With her financial support, Antony raised an army and fleet. In 31 BCE, in the naval Battle of Actium off the coast of northern Greece, Octavian defeated the forces of Antony and Cleopatra. When he afterwards invaded Egypt, the pair died by suicide (Figure 6.36), and Octavian installed himself as the new Egyptian pharaoh after executing Ptolemy XV. Octavian used the wealth of his kingdom in Egypt to finance his restructuring of the Roman state.

One of Octavian’s primary tasks after 31 BCE was to consolidate his position in order to preserve the peace and stability he had created. To avoid the fate of his adopted father, he successfully maintained a façade that the Roman Republic was alive and well, assuming titles and powers traditionally associated with it. After stacking the Senate with his supporters, in 27 BCE Octavian officially stepped down as dictator and “restored” the Republic.

The Senate immediately appointed him proconsul or governor of all Roman frontier provinces, which made him effectively the commander of the entire Roman army. The Senate also recognized him as the Princeps Senatus, or “leader of the Senate,” meaning the senator who enjoyed the most prestige and authority due to his service to the Republic. (The name of this political order, the principate, derives from this title.) Finally, the Senate voted to honor Octavian with the title of Augustus or “revered one,” used to describe gods and great heroes of the past. As these honors and titles suggest, Octavian, traditionally referred to as Augustus after 27 BCE, had assumed enormous power. Despite his claim that he had restored the Republic, he had in fact inaugurated the Empire, with himself as emperor possessing almost godlike authority (Figure 6.37).

After 27 BCE, Augustus held elected office as one of the two consuls, so he could sit in the Senate, oversee the law courts, and introduce legislation to the Centuriate Assembly, but the senators disliked this arrangement because it closed the opportunity for one of them to hold this prestigious office instead. In 23 BCE, therefore, the Senate gave Augustus several powers of a tribune. He could now veto any action taken by government officials, the Senate, and the assemblies, and he could introduce laws to the Plebeian Assembly. He could wield political and military power based on the traditional constitution of the Republic.

As emperor, Augustus successfully tackled problems that had plagued Rome for at least a century. He reduced the standing army from 600,000 to 200,000 and provided land for thousands of discharged veterans in recently conquered areas such as in Gaul and Hispania. He also created new taxes specifically to fund land and cash bonuses for future veterans. To encourage native peoples in the provinces to adopt Roman culture, he granted them citizenship after twenty-five years of service in the army. Indigenous cities built in the Roman style and adopting its political system were designated municipia, which gave all elected officials Roman citizenship. Through these “Romanization” policies, Augustus advanced Roman culture across the empire.

Augustus also finally brought order and prosperity to the city of Rome. He began a vast building program that provided jobs for poor Romans in the city and reportedly boasted that he had transformed Rome from a city of brick to a city of marble. To win over the masses, he also provided free grain (courtesy of his control of fertile Egypt) and free entertainment (gladiator combats and chariot races), making Rome famous for its bounty of “bread and circuses.” He also established a permanent police force in the city, the Praetorian Guard, which he recruited from the Roman army. He even created a fire department.

Augustus provided wealthy Romans outside the ranks of the Senate with new opportunities for advancement via key positions he reserved for them, such as prefect (commander/governor) of the Praetorian Guard and prefect of Egypt. These officials could join the Senate and become members of the senatorial elite. Augustus thus created an effective new bureaucracy to govern the Roman Empire. Emperors who followed him continued these practices.

Augustus was keenly aware that the peace and prosperity he had created was largely built upon his image and power, and he feared what might happen when he died. As a result, the last few decades of his life were spent arranging for a political successor. This was a complicated matter since there was neither an official position of emperor nor a republican tradition of hereditary rule. Augustus had no son of his own, and his attempts to groom others to take control were repeatedly frustrated when his proposed successors died before him. Before his own death in 14 CE, Augustus arranged for his stepson Tiberius to receive from the Senate the power of a proconsul and a tribune. While not his first choice, Tiberius was an accomplished military leader with senatorial support.

Despite the smooth transition to Tiberius in 14 CE, problems with imperial inheritance remained. There were always risks that a hereditary ruler might prove incompetent. Tiberius himself became dangerously paranoid late in his reign. And he was succeeded by his grandnephew and adopted son Gaius, known as Caligula, who after a severe illness became insane. The prefect of the Praetorian Guard assassinated Caligula in 40 CE, and the guard replaced him with his uncle Claudius (40–54 CE). The Roman Senate agreed to this step only out of fear of the army. Claudius was an effective emperor, however, and under his reign the province of Britain (modern England and Wales) was added to the empire.

The government of Claudius’s successor, his grandnephew Nero (54–68 CE), was excellent as long as Nero’s mother Agrippina was the power behind the throne. After ordering her murder, however, Nero proved a vicious despot who used the Praetorian Guard to intimidate and execute his critics in the Senate. By the end of his reign, Roman armies in Gaul and Hispania were mutinying. The Senate declared him an enemy of state, and he died by suicide. During the year after his death, 68–69 CE, four different generals assumed power, thus earning it the name “Year of the Four Emperors.”

Of the four, Vespasian (69–79 CE) survived the civil war and adopted the name Caesar and the title Augustus, even though he was not related to the family of Augustus or their descendants (the Julio-Claudian dynasty). On Nero’s death, he had been in command of Roman armies suppressing the revolt of Judea (Roman armies eventually crushed this revolt and sacked Jerusalem in 70 CE). In his administration, Vespasian followed the precedents established by Augustus. For example, he ordered the construction of the Colosseum as a venue for the gladiator shows he provided as entertainment for the Roman masses, and he arranged for his two sons, Titus (79–81 CE) and Domitian (81–96 CE), to succeed him as emperor. Domitian, like Nero, was an insecure ruler and highly suspicious of the Senate; he employed the Praetorian Guard to arrest and execute his critics in that body. In 96 CE, his wife Domitia worked with members of the Senate to arrange for his assassination. Thus the flaws of the principate continued to haunt the Roman state long after its founder was gone.