Principate
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The Principate was the form of imperial government of the
Roman Empire The Roman Empire ruled the Mediterranean and much of Europe, Western Asia and North Africa. The Roman people, Romans conquered most of this during the Roman Republic, Republic, and it was ruled by emperors following Octavian's assumption of ...
from the beginning of the reign of Augustus in 27 BC to the end of the
Crisis of the Third Century The Crisis of the Third Century, also known as the Military Anarchy or the Imperial Crisis, was a period in History of Rome, Roman history during which the Roman Empire nearly collapsed under the combined pressure of repeated Barbarian invasions ...
in AD 284, after which it evolved into the
Dominate The Dominate is a periodisation of the Roman Empire during late antiquity Late antiquity marks the period that comes after the end of classical antiquity and stretches into the onset of the Early Middle Ages. Late antiquity as a period was p ...
. The principate was characterized by the reign of a single emperor (''princeps'') and an effort on the part of the early emperors, at least, to preserve the illusion of the formal continuance, in some aspects, of the
Roman Republic The Roman Republic ( ) was the era of Ancient Rome, classical Roman civilisation beginning with Overthrow of the Roman monarchy, the overthrow of the Roman Kingdom (traditionally dated to 509 BC) and ending in 27 BC with the establis ...
.


Etymology and anticipations

'Principate' is etymologically derived from the
Latin Latin ( or ) is a classical language belonging to the Italic languages, Italic branch of the Indo-European languages. Latin was originally spoken by the Latins (Italic tribe), Latins in Latium (now known as Lazio), the lower Tiber area aroun ...
word '' princeps'', meaning ''chief'' or ''first'', and therefore represents the political regime dominated by such a political leader, whether or not he is formally
head of state A head of state is the public persona of a sovereign state.#Foakes, Foakes, pp. 110–11 " he head of statebeing an embodiment of the State itself or representative of its international persona." The name given to the office of head of sta ...
or
head of government In the Executive (government), executive branch, the head of government is the highest or the second-highest official of a sovereign state, a federated state, or a self-governing colony, autonomous region, or other government who often presid ...
. This reflects the principate emperors' assertion that they were merely " first among equals" among the citizens of Rome. Under the Republic, the '' princeps senatus'', traditionally the oldest or most honored member of the Senate, had the right to be heard first on any debate. Scipio Aemilianus and his circle had fostered the (quasi-Platonic) idea that authority should be invested in the worthiest citizen (''princeps''), who would beneficently guide his peers, an ideal of the patriot statesman later taken up by Cicero.


Duration

In a more limited and precise chronological sense, the term Principate is applied either to the entire Empire (in the sense of the post-Republican Roman state), or specifically to the earlier of the two phases of Imperial government in the ancient
Roman Empire The Roman Empire ruled the Mediterranean and much of Europe, Western Asia and North Africa. The Roman people, Romans conquered most of this during the Roman Republic, Republic, and it was ruled by emperors following Octavian's assumption of ...
before Rome's military collapse in the West ( fall of Rome) in 476 left the
Byzantine Empire The Byzantine Empire, also known as the Eastern Roman Empire, was the continuation of the Roman Empire centred on Constantinople during late antiquity and the Middle Ages. Having survived History of the Roman Empire, the events that caused the ...
as sole heir. This early Principate phase began when Augustus claimed '' auctoritas'' for himself as ''princeps'', and continued (depending on the source) up to the rule of Commodus, of Maximinus Thrax, or of Diocletian.


History

The title, in full, of ''princeps senatus'' / ''princeps civitatis'' ("first amongst the senators" / "first amongst the citizens") was first adopted by Octavian Caesar Augustus (27 BC–AD 14), the first Roman "emperor," who chose not to reintroduce a legal
monarchy A monarchy is a form of government in which a person, the monarch, reigns as head of state for the rest of their life, or until abdication. The extent of the authority of the monarch may vary from restricted and largely symbolic (constitutio ...
. Augustus likely intended to establish political stability desperately needed after the exhausting civil wars by a ''de facto'' dictatorial regime within the constitutional framework of the
Roman Republic The Roman Republic ( ) was the era of Ancient Rome, classical Roman civilisation beginning with Overthrow of the Roman monarchy, the overthrow of the Roman Kingdom (traditionally dated to 509 BC) and ending in 27 BC with the establis ...
– what Gibbon called "an absolute monarchy disguised by the forms of a commonwealth" – as a more acceptable alternative to, for example, the early Roman Kingdom. Although dynastic pretenses crept in from the start, formalizing this in a monarchic style remained politically perilous; and Octavian was undoubtedly correct to work through established Republican forms to consolidate his power. He began with the powers of a Roman consul, combined with those of a Tribune of the plebs; later added the role of the censor and finally became '' pontifex maximus'' as well. In addition to these legal powers, the principate was also characterized by the emperor being the " ultimate source of patronage". This was due in part to their immense wealth, being named '' Pater Patriae'' or "father of the country''"','' and by having a monopoly on political power. To this, emperors would satisfy the senatorial class with appointments to the high offices and to the provinces, effectively removing threats to their power in
Rome Rome (Italian language, Italian and , ) is the capital city and most populated (municipality) of Italy. It is also the administrative centre of the Lazio Regions of Italy, region and of the Metropolitan City of Rome. A special named with 2, ...
. As such, emperors went to great lengths to control and satisfy the needs of the army (their ultimate source of power) by proving gracious donatives to the troops upon their ascension and for special events; limiting senatorial control over the legions by way of controlling military provinces through "extraordinary military commands"; and using oaths to bind the military to the emperor personally. Tiberius, like Augustus, also acquired his powers piecemeal, and was proud to emphasize his place as first citizen: "a good and healthful ''princeps'', whom you have invested with such great discretionary power, ought to be the servant of the Senate, and often of the whole citizen body". Thereafter, however, the role of princeps became more institutionalized: as Dio Cassius puts it, Caligula "took in one day all the honours which Augustus had with difficulty been induced to accept". Nevertheless, under this "Principate ''stricto sensu''", the political reality of autocratic rule by the
Emperor The word ''emperor'' (from , via ) can mean the male ruler of an empire. ''Empress'', the female equivalent, may indicate an emperor's wife (empress consort), mother/grandmother (empress dowager/grand empress dowager), or a woman who rules ...
was still scrupulously masked by forms and conventions of oligarchic self-rule inherited from the political period of the 'uncrowned'
Roman Republic The Roman Republic ( ) was the era of Ancient Rome, classical Roman civilisation beginning with Overthrow of the Roman monarchy, the overthrow of the Roman Kingdom (traditionally dated to 509 BC) and ending in 27 BC with the establis ...
(509 BC–27 BC) under the motto ("The Senate and people of Rome") or ''
SPQR SPQR or S.P.Q.R., an initialism for (; ), is an emblematic phrase referring to the government of the Roman Republic. It appears on documents made public by an inscription in stone or metal, in dedications of monuments and public works, and on ...
''. Initially, the theory implied the 'first citizen' had to earn his extraordinary position (''de facto'' evolving to nearly absolute monarchy) by merit in the style that Augustus himself had gained the position of '' auctoritas''. Imperial propaganda developed a paternalistic
ideology An ideology is a set of beliefs or values attributed to a person or group of persons, especially those held for reasons that are not purely about belief in certain knowledge, in which "practical elements are as prominent as theoretical ones". Form ...
, presenting the ''princeps'' as the very incarnation of all virtues attributed to the ideal ruler (much like a Greek '' tyrannos'' earlier), such as clemency and justice, and military leadership, obliging the ''princeps'' to play this designated role within Roman society, as his political insurance as well as a moral duty. What specifically was expected of the ''princeps'' seems to have varied according to the times, and the observers: Tiberius, who amassed a huge surplus for the city of
Rome Rome (Italian language, Italian and , ) is the capital city and most populated (municipality) of Italy. It is also the administrative centre of the Lazio Regions of Italy, region and of the Metropolitan City of Rome. A special named with 2, ...
, was criticized as a miser, while his successor Caligula was criticized for his lavish spending on games and spectacles. Generally speaking, it was expected of the Emperor to be generous but not frivolous, not just as a good ruler but also with his personal fortune (as in the proverbial "bread and circuses" – '' panem et circenses'') providing occasional public games, gladiators, chariot races and artistic shows. Large distributions of food for the public and charitable institutions also served as popularity boosters, while the construction of public works provided paid employment for the poor.


Redefinition under Vespasian

With the fall of the Julio-Claudian dynasty in AD 68, the ''principate'' became more formalized under the Emperor
Vespasian Vespasian (; ; 17 November AD 9 – 23 June 79) was Roman emperor from 69 to 79. The last emperor to reign in the Year of the Four Emperors, he founded the Flavian dynasty, which ruled the Empire for 27 years. His fiscal reforms and consolida ...
from AD 69 onwards. The position of ''princeps'' became a distinct entity within the broader – formally still republican – Roman constitution. While many of the same cultural and political expectations remained, the civilian aspect of the Augustan ideal of the ''princeps'' gradually gave way to the military role of the imperator. Rule was no longer a position (even notionally) extended on the basis of merit, or '' auctoritas'', but on a firmer basis, allowing Vespasian and future emperors to designate their own heir without those heirs having to earn the position through years of success and public favor.


Under the Antonines

Under the Antonine dynasty, it was standard for the Emperor to appoint a successful and politically promising individual as his successor. Though later scholars would often cite this as an ideal system in which succession to the position of princeps was determined on the basis of ability rather than heredity, that this was the intention of the emperors themselves has generally been rejected by modern scholarship. This period saw several firsts for the imperial office, including the first recognised period of rule by two emperors during the co-rule of
Marcus Aurelius Marcus Aurelius Antoninus ( ; ; 26 April 121 – 17 March 180) was Roman emperor from 161 to 180 and a Stoicism, Stoic philosopher. He was a member of the Nerva–Antonine dynasty, the last of the rulers later known as the Five Good Emperors ...
and Lucius Verus from their accession in 161 AD until the latter's death in 169 AD, and the succession of Commodus marking the first transfer of power to a son born to a sitting emperor. Often ranked amongst the worst Roman emperors, Commodus's 12-year reign was followed by a civil war between rival generals and the final dynasty of the Principate, the Severan dynasty.


Tetrarchy

The autocratic elements in the Principate tended to increase over time. It was after the
Crisis of the Third Century The Crisis of the Third Century, also known as the Military Anarchy or the Imperial Crisis, was a period in History of Rome, Roman history during which the Roman Empire nearly collapsed under the combined pressure of repeated Barbarian invasions ...
, which almost resulted in the Roman Empire's political collapse, that Diocletian firmly consolidated the trend to autocracy. He replaced the one-headed ''principate'' with the Tetrarchy (, two '' Augusti'' ranking above two '' Caesares''), in which the vestigial pretense of the old republican forms was largely abandoned. The title of ''princeps'' disappeared, together with the concept of only one emperor. New forms of pomp and awe were deliberately used in an attempt to insulate the emperor(s) and the civil authority from the unbridled and mutinous soldiery of the mid-century. The political role of the Senate went into final eclipse, no more being heard of the division by the Augustan Principate of the provinces between imperial provinces and senatorial provinces. Lawyers developed a theory of the total delegation of authority into the hands of the emperor.H M Gwatkin ed., ''The Cambridge Medieval History Vol I'' (1924) p. 28


See also

* Constitution of the late Roman Empire * Constitutional reforms of Augustus * Roman emperor


References


Sources

* Alston, Richard. 1998. ''Aspects of Roman History. AD 14–117.'' London: Routledge. * Aparicio Pérez, Antonio. 2009. “Taxation in Times of the Principate.” ''Gerión'' 27:1: 207–217. * Bleicken, J. (2015). ''Augustus'' (A. Bell, Trans.; pp. 496–503). Penguin UK. * Cassius Dio, Cary, E., & Herbert Baldwin Foster. (1924). ''Dio’s Roman History''. Harvard University Press; London. * Flaig, Egon. 2011. “The Transition from Republic to Principate: Loss of Legitimacy, Revolution, and Acceptance.” In The Roman Empire in Context: Historical and Comparative Perspectives, Edited by Jóhann Páll Arnason and Kurt A. Raaflaub. Ancient World, 67–84. Chichester: Wiley-Blackwell. * Gallia, Andrew B. 2012. ''Remembering the Roman Republic: Culture, Politics and History under the Principate.'' Cambridge; New York: Cambridge University Press. * Gibson, A. G. G., ed. 2013. ''The Julio-Claudian Succession: Reality and Perception of the Augustan model.'' Mnemosyne. Supplements; 349. Leiden: Brill. * Goldsworthy, A. (2014). ''Augustus : first emperor of Rome''. Yale University Press. * Goldsworthy, A. (2010). ''How Rome Fell Death of a Superpower.'' Yale Univ Pr. * Harlow, Mary and Laurence, Ray. 2017. “Augustus Senex: Old Age and the Remaking of the Principate.” ''Greece and Rome'' 64.2: 115–131. * Kousser, Rachel Meredith. 2005. “From Conquest to Civilization: The Rhetoric of Imperialism in the Early Principate.” In ''A Tall Order: Writing the Social History of the Ancient World: Essays in Honor of William V. Harris,'' Edited by Jean-Jacques Aubert and Zsuzsanna Várhelyi. Beiträge zur Altertumskunde; 216, 185–202. München: Saur. * Melounová, Markéta. 2012. “Trials with Religious and Political Charges from the Principate to the Dominate.” ''Series archaeologica et classica'' 17.2: 117–130. * Raaflaub, Kurt A, Mark Toher, and G. W Bowersock. 1990. ''Between Republic and Empire: Interpretations of Augustus and His Principate.'' Berkeley: University of California Press. * Gaius Tranquillus Suetonius, Graves, R., & Grant, M. (2006). ''The Twelve Caesars''. Penguin. * Williams, Kathryn Frances. 2009. “Tacitus' Germanicus and the Principate.” ''Latomus'' 68.1: 117–130.


External links

{{Authority control Government of the Roman Empire