Principate
Encyclopedia
The Principate is the first period of the Roman Empire
, extending from the beginning of the reign of Caesar Augustus to the Crisis of the Third Century
, after which it was replaced with the Dominate
. The Principate is characterized by a concerted effort on the part of the Emperors to preserve the illusion of the formal continuance of the Roman Republic
. It is etymologically derived from the Latin
word princeps
, meaning chief or first, the political regime dominated by such a political leader, whether or not he is formally head of state
and/or head of government
; this reflects the Principate Emperors' assertion that they were merely "first among equals
" among the citizens of Rome. In practice, the Principate was a period of enlightened absolutism
, with occasional forays into quasi-constitutional monarchy
; Emperors tended not to flaunt their power and usually respected the rights of citizens (although they never let this fact bind them).
'Emperor', who chose – like the assassinated dictator
Julius Caesar
– not to reintroduce a legal monarchy
. The purpose was to establish the political stability desperately needed after the exhausting civil wars
by a de facto dictatorial regime within the constitutional
framework of the Roman Republic
as an alternative to the hated early Roman Kingdom
.
The title itself derived from the position of the princeps senatus, traditionally the oldest member of the Senate
who had the right to be heard first on any debate. Although dynastic pretenses crept in from the start, formalizing this in a monarchic style remained politically unthinkable.
Often, in a more limited and precise chronological sense, the term is applied either to the Empire (in the sense of the post-Republican Roman state) or specifically the earlier of the two phases of 'Imperial' government in the ancient Roman Empire
, extending from when Augustus claimed auctoritas
for himself as princeps until Rome's military collapse in the West (fall of Rome) in 476, leaving the Byzantine Empire
sole heir, or, depending on the source, up to the rule of Commodus
, of Maximinus Thrax
or of Diocletian
. Afterwards, Imperial rule in the Empire is designated as the Dominate
, which is subjectively more like an (absolute) monarchy
while the earlier Principate is still more 'Republican'.
Under this 'Principate stricto sensu, the political reality of autocratic rule by the Emperor
was still scrupulously masked by forms and conventions of oligarchic
self-rule inherited from the political period of the 'uncrowned' Roman Republic
(509 BC-27 BC) under the motto Senatus Populus Que Romanus or SPQR
. 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
, 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 in turn placing the impetus upon 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; Tiberius
, who amassed a huge surplus for the city of Rome
, was criticized as a miser, while Caligula
was criticized for his lavish spending on games and spectacles. Generally speaking it was the duty of the Emperor to be seen as generous, not just as a good ruler but also with his personal fortune (as in the proverbial "bread and circuses" – panem et circenses – meaning various public games, not just gladiators and horse races, but also artistic, as well as distributions of food), charitable institutions, de facto public works, et cetera, as popularity boosters, in the way of the Greek leitourgia (called munera in Latin
) and the republican election campaigns.
With the fall of the Julio-Claudian dynasty
, the Principate was redefined in formal terms under the Emperor Vespasian
. The position of Princeps became a distinct entity within the broader - formally still republican - Roman constitution
. While many of the cultural and political expectations remained, the Princeps was no longer a position 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 Antonine dynasty, it was the norm for the Emperor to appoint a successful and politically promising general as his successor. In modern historical analysis this is treated by many authors as an "ideal" situation; the individual who was most capable was promoted to the position of Princeps. Of the Antonine dynasty, Edward Gibbon
famously wrote that this was the happiest and most productive period in human history
, and credited the system of succession as the key factor. Other historian
s have pointed out that the generals appointed to the Principate during the Antonine dynasty were largely made heirs because they would have constituted the greatest threat to the Emperor as well as his eventual heir, had he chosen someone different. Additionally, the promotion of individuals to the position of Princeps based mainly on their military prowess is seen by many as contributing directly to the downfall of the Principate, the chaos of the third century and the rise of the militaristic Dominate
.
This first phase was to be followed by, or rather evolved into, the so-called Dominate
. Starting with the Emperor Diocletian
, oriental type of styles like dominus ('Lord, Master', suggesting the citizens became servi, servants or slaves) became current, though not legal, but there could by definition never be a clear, constitutional turning point, so this appreciation remains subjective. The reality is gradual development. This process is also said to be established by the Emperor Septimus Severus; while the Severan dynasty
initially began the terminology of the Dominate in reference to the emperor, the various emperors and their usurpers throughout the third century appealed to the people as both military dominus and political princeps.
After the Crisis of the Third Century
almost resulted in the Roman Empire's political collapse, the Emperor Diocletian
replaced the one-headed Principate with the tetrarchy
(circa 300 AD, two Augusti ranking above two Caesares), in which the remaining pretense of the old Republic
an forms was largely abandoned. The title of princeps was abandoned - like the territorial unity of the Empire -, in favor of dominus, and the position of the Emperor(s), especially in the Western Roman Empire
, was entirely dependent on his control of the armed forces. The Dominate developed more and more, especially in the Byzantine Empire
, along the lines of an oriental absolute monarchy
, where the subjects, and even diplomatic allies, could be termed servus or doulos 'servant/slave' to express the exalted position of the Emperor as second only to God
, and on earth to none.
Roman Empire
The Roman Empire was the post-Republican period of the ancient Roman civilization, characterised by an autocratic form of government and large territorial holdings in Europe and around the Mediterranean....
, extending from the beginning of the reign of Caesar Augustus to the Crisis of the Third Century
Crisis of the Third Century
The Crisis of the Third Century was a period in which the Roman Empire nearly collapsed under the combined pressures of invasion, civil war, plague, and economic depression...
, after which it was replaced with the Dominate
Dominate
The Dominate was the "despotic" latter phase of government in the ancient Roman Empire from the conclusion of the Third Century Crisis of 235–284 until the formal date of the collapse of the Western Empire in AD 476. It followed the period known as the Principate...
. The Principate is characterized by a concerted effort on the part of the Emperors to preserve the illusion of the formal continuance of the Roman Republic
Roman Republic
The Roman Republic was the period of the ancient Roman civilization where the government operated as a republic. It began with the overthrow of the Roman monarchy, traditionally dated around 508 BC, and its replacement by a government headed by two consuls, elected annually by the citizens and...
. It is etymologically derived from the Latin
Latin
Latin is an Italic language originally spoken in Latium and Ancient Rome. It, along with most European languages, is a descendant of the ancient Proto-Indo-European language. Although it is considered a dead language, a number of scholars and members of the Christian clergy speak it fluently, and...
word princeps
Princeps
Princeps is a Latin word meaning "first in time or order; the first, chief, the most eminent, distinguished, or noble; the first man, first person."...
, meaning chief or first, the political regime dominated by such a political leader, whether or not he is formally head of state
Head of State
A head of state is the individual that serves as the chief public representative of a monarchy, republic, federation, commonwealth or other kind of state. His or her role generally includes legitimizing the state and exercising the political powers, functions, and duties granted to the head of...
and/or head of government
Head of government
Head of government is the chief officer of the executive branch of a government, often presiding over a cabinet. In a parliamentary system, the head of government is often styled prime minister, chief minister, premier, etc...
; this reflects the Principate Emperors' assertion that they were merely "first among equals
Primus inter pares
Primus inter pares is Latin phrase describing the most senior person of a group sharing the same rank or office.When not used in reference to a specific title, it may indicate that the person so described is formally equal, but looked upon as an authority of special importance by their peers...
" among the citizens of Rome. In practice, the Principate was a period of enlightened absolutism
Enlightened absolutism
Enlightened absolutism is a form of absolute monarchy or despotism in which rulers were influenced by the Enlightenment. Enlightened monarchs embraced the principles of the Enlightenment, especially its emphasis upon rationality, and applied them to their territories...
, with occasional forays into quasi-constitutional monarchy
Constitutional monarchy
Constitutional monarchy is a form of government in which a monarch acts as head of state within the parameters of a constitution, whether it be a written, uncodified or blended constitution...
; Emperors tended not to flaunt their power and usually respected the rights of citizens (although they never let this fact bind them).
History
The title, in full, princeps senatus / princeps civitatis (first amongst the senators, viz., amongst the citizens), was first adopted by Octavian Caesar Augustus (27 BC-AD 14), the first RomanAncient Rome
Ancient Rome was a thriving civilization that grew on the Italian Peninsula as early as the 8th century BC. Located along the Mediterranean Sea and centered on the city of Rome, it expanded to one of the largest empires in the ancient world....
'Emperor', who chose – like the assassinated dictator
Roman dictator
In the Roman Republic, the dictator , was an extraordinary magistrate with the absolute authority to perform tasks beyond the authority of the ordinary magistrate . The office of dictator was a legal innovation originally named Magister Populi , i.e...
Julius Caesar
Julius Caesar
Gaius Julius Caesar was a Roman general and statesman and a distinguished writer of Latin prose. He played a critical role in the gradual transformation of the Roman Republic into the Roman Empire....
– not to reintroduce a legal monarchy
Monarchy
A monarchy is a form of government in which the office of head of state is usually held until death or abdication and is often hereditary and includes a royal house. In some cases, the monarch is elected...
. The purpose was to establish the political stability desperately needed after the exhausting civil wars
Roman civil wars
There were several Roman civil wars, especially during the late Republic. The most famous of these are the war in the 40s BC between Julius Caesar and the optimate faction of the senatorial elite initially led by Pompey and the subsequent war between Caesar's successors, Octavian and Mark Antony in...
by a de facto dictatorial regime within the constitutional
Constitution
A constitution is a set of fundamental principles or established precedents according to which a state or other organization is governed. These rules together make up, i.e. constitute, what the entity is...
framework of the Roman Republic
Roman Republic
The Roman Republic was the period of the ancient Roman civilization where the government operated as a republic. It began with the overthrow of the Roman monarchy, traditionally dated around 508 BC, and its replacement by a government headed by two consuls, elected annually by the citizens and...
as an alternative to the hated early Roman Kingdom
Roman Kingdom
The Roman Kingdom was the period of the ancient Roman civilization characterized by a monarchical form of government of the city of Rome and its territories....
.
The title itself derived from the position of the princeps senatus, traditionally the oldest member of the Senate
Senate
A senate is a deliberative assembly, often the upper house or chamber of a legislature or parliament. There have been many such bodies in history, since senate means the assembly of the eldest and wiser members of the society and ruling class...
who had the right to be heard first on any debate. Although dynastic pretenses crept in from the start, formalizing this in a monarchic style remained politically unthinkable.
Often, in a more limited and precise chronological sense, the term is applied either to the Empire (in the sense of the post-Republican Roman state) or specifically the earlier of the two phases of 'Imperial' government in the ancient Roman Empire
Roman Empire
The Roman Empire was the post-Republican period of the ancient Roman civilization, characterised by an autocratic form of government and large territorial holdings in Europe and around the Mediterranean....
, extending from when Augustus claimed auctoritas
Auctoritas
Auctoritas is a Latin word and is the origin of English "authority." While historically its use in English was restricted to discussions of the political history of Rome, the beginning of phenomenological philosophy in the twentieth century expanded the use of the word.In ancient Rome, Auctoritas...
for himself as princeps until Rome's military collapse in the West (fall of Rome) in 476, leaving the Byzantine Empire
Byzantine Empire
The Byzantine Empire was the Eastern Roman Empire during the periods of Late Antiquity and the Middle Ages, centred on the capital of Constantinople. Known simply as the Roman Empire or Romania to its inhabitants and neighbours, the Empire was the direct continuation of the Ancient Roman State...
sole heir, or, depending on the source, up to the rule of Commodus
Commodus
Commodus , was Roman Emperor from 180 to 192. He also ruled as co-emperor with his father Marcus Aurelius from 177 until his father's death in 180. His name changed throughout his reign; see changes of name for earlier and later forms. His accession as emperor was the first time a son had succeeded...
, of Maximinus Thrax
Maximinus Thrax
Maximinus Thrax , also known as Maximinus I, was Roman Emperor from 235 to 238.Maximinus is described by several ancient sources, though none are contemporary except Herodian's Roman History. Maximinus was the first emperor never to set foot in Rome...
or of Diocletian
Diocletian
Diocletian |latinized]] upon his accession to Diocletian . c. 22 December 244 – 3 December 311), was a Roman Emperor from 284 to 305....
. Afterwards, Imperial rule in the Empire is designated as the Dominate
Dominate
The Dominate was the "despotic" latter phase of government in the ancient Roman Empire from the conclusion of the Third Century Crisis of 235–284 until the formal date of the collapse of the Western Empire in AD 476. It followed the period known as the Principate...
, which is subjectively more like an (absolute) monarchy
Monarchy
A monarchy is a form of government in which the office of head of state is usually held until death or abdication and is often hereditary and includes a royal house. In some cases, the monarch is elected...
while the earlier Principate is still more 'Republican'.
Under this 'Principate stricto sensu, the political reality of autocratic rule by the Emperor
Roman Emperor (Principate)
The office of Roman Emperor went through a complex evolution over the centuries of its existence. During its earliest phase, the Principate, the reality of autocratic rule was masked behind the forms and conventions of oligarchic self-government inherited from the Roman Republic...
was still scrupulously masked by forms and conventions of oligarchic
Oligarchy
Oligarchy is a form of power structure in which power effectively rests with an elite class distinguished by royalty, wealth, family ties, commercial, and/or military legitimacy...
self-rule inherited from the political period of the 'uncrowned' Roman Republic
Roman Republic
The Roman Republic was the period of the ancient Roman civilization where the government operated as a republic. It began with the overthrow of the Roman monarchy, traditionally dated around 508 BC, and its replacement by a government headed by two consuls, elected annually by the citizens and...
(509 BC-27 BC) under the motto Senatus Populus Que Romanus or SPQR
SPQR
SPQR is an initialism from a Latin phrase, Senatus Populusque Romanus , referring to the government of the ancient Roman Republic, and used as an official emblem of the modern day comune of Rome...
. Initially, the theory implied the 'first citizen' had to earn his extraordinary position (de facto evolving to nearly absolute monarchy
Monarchy
A monarchy is a form of government in which the office of head of state is usually held until death or abdication and is often hereditary and includes a royal house. In some cases, the monarch is elected...
) by merit in the style that Augustus himself had gained the position of auctoritas. Imperial propaganda
Propaganda
Propaganda is a form of communication that is aimed at influencing the attitude of a community toward some cause or position so as to benefit oneself or one's group....
developed a 'paternalistic' ideology
Ideology
An ideology is a set of ideas that constitutes one's goals, expectations, and actions. An ideology can be thought of as a comprehensive vision, as a way of looking at things , as in common sense and several philosophical tendencies , or a set of ideas proposed by the dominant class of a society to...
, 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 in turn placing the impetus upon the Princeps to play this designated role within Roman
Ancient Rome
Ancient Rome was a thriving civilization that grew on the Italian Peninsula as early as the 8th century BC. Located along the Mediterranean Sea and centered on the city of Rome, it expanded to one of the largest empires in the ancient world....
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; Tiberius
Tiberius
Tiberius , was Roman Emperor from 14 AD to 37 AD. Tiberius was by birth a Claudian, son of Tiberius Claudius Nero and Livia Drusilla. His mother divorced Nero and married Augustus in 39 BC, making him a step-son of Octavian...
, who amassed a huge surplus for the city of Rome
Rome
Rome is the capital of Italy and the country's largest and most populated city and comune, with over 2.7 million residents in . The city is located in the central-western portion of the Italian Peninsula, on the Tiber River within the Lazio region of Italy.Rome's history spans two and a half...
, was criticized as a miser, while Caligula
Caligula
Caligula , also known as Gaius, was Roman Emperor from 37 AD to 41 AD. Caligula was a member of the house of rulers conventionally known as the Julio-Claudian dynasty. Caligula's father Germanicus, the nephew and adopted son of Emperor Tiberius, was a very successful general and one of Rome's most...
was criticized for his lavish spending on games and spectacles. Generally speaking it was the duty of the Emperor to be seen as generous, not just as a good ruler but also with his personal fortune (as in the proverbial "bread and circuses" – panem et circenses – meaning various public games, not just gladiators and horse races, but also artistic, as well as distributions of food), charitable institutions, de facto public works, et cetera, as popularity boosters, in the way of the Greek leitourgia (called munera in Latin
Latin
Latin is an Italic language originally spoken in Latium and Ancient Rome. It, along with most European languages, is a descendant of the ancient Proto-Indo-European language. Although it is considered a dead language, a number of scholars and members of the Christian clergy speak it fluently, and...
) and the republican election campaigns.
With the fall of the Julio-Claudian dynasty
Julio-Claudian Dynasty
The Julio-Claudian dynasty normally refers to the first five Roman Emperors: Augustus, Tiberius, Caligula , Claudius, and Nero, or the family to which they belonged; they ruled the Roman Empire from its formation, in the second half of the 1st century BC, until AD 68, when the last of the line,...
, the Principate was redefined in formal terms under the Emperor Vespasian
Vespasian
Vespasian , was Roman Emperor from 69 AD to 79 AD. Vespasian was the founder of the Flavian dynasty, which ruled the Empire for a quarter century. Vespasian was descended from a family of equestrians, who rose into the senatorial rank under the Emperors of the Julio-Claudian dynasty...
. The position of Princeps became a distinct entity within the broader - formally still republican - Roman constitution
Constitution
A constitution is a set of fundamental principles or established precedents according to which a state or other organization is governed. These rules together make up, i.e. constitute, what the entity is...
. While many of the cultural and political expectations remained, the Princeps was no longer a position 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 Antonine dynasty, it was the norm for the Emperor to appoint a successful and politically promising general as his successor. In modern historical analysis this is treated by many authors as an "ideal" situation; the individual who was most capable was promoted to the position of Princeps. Of the Antonine dynasty, Edward Gibbon
Edward Gibbon
Edward Gibbon was an English historian and Member of Parliament...
famously wrote that this was the happiest and most productive period in human history
History
History is the discovery, collection, organization, and presentation of information about past events. History can also mean the period of time after writing was invented. Scholars who write about history are called historians...
, and credited the system of succession as the key factor. Other historian
Historian
A historian is a person who studies and writes about the past and is regarded as an authority on it. Historians are concerned with the continuous, methodical narrative and research of past events as relating to the human race; as well as the study of all history in time. If the individual is...
s have pointed out that the generals appointed to the Principate during the Antonine dynasty were largely made heirs because they would have constituted the greatest threat to the Emperor as well as his eventual heir, had he chosen someone different. Additionally, the promotion of individuals to the position of Princeps based mainly on their military prowess is seen by many as contributing directly to the downfall of the Principate, the chaos of the third century and the rise of the militaristic Dominate
Dominate
The Dominate was the "despotic" latter phase of government in the ancient Roman Empire from the conclusion of the Third Century Crisis of 235–284 until the formal date of the collapse of the Western Empire in AD 476. It followed the period known as the Principate...
.
This first phase was to be followed by, or rather evolved into, the so-called Dominate
Dominate
The Dominate was the "despotic" latter phase of government in the ancient Roman Empire from the conclusion of the Third Century Crisis of 235–284 until the formal date of the collapse of the Western Empire in AD 476. It followed the period known as the Principate...
. Starting with the Emperor Diocletian
Diocletian
Diocletian |latinized]] upon his accession to Diocletian . c. 22 December 244 – 3 December 311), was a Roman Emperor from 284 to 305....
, oriental type of styles like dominus ('Lord, Master', suggesting the citizens became servi, servants or slaves) became current, though not legal, but there could by definition never be a clear, constitutional turning point, so this appreciation remains subjective. The reality is gradual development. This process is also said to be established by the Emperor Septimus Severus; while the Severan dynasty
Severan dynasty
The Severan dynasty was a Roman imperial dynasty, which ruled the Roman Empire between 193 and 235. The dynasty was founded by the Roman general Septimius Severus, who rose to power during the civil war of 193, known as the Year of the Five Emperors....
initially began the terminology of the Dominate in reference to the emperor, the various emperors and their usurpers throughout the third century appealed to the people as both military dominus and political princeps.
After the Crisis of the Third Century
Crisis of the Third Century
The Crisis of the Third Century was a period in which the Roman Empire nearly collapsed under the combined pressures of invasion, civil war, plague, and economic depression...
almost resulted in the Roman Empire's political collapse, the Emperor Diocletian
Diocletian
Diocletian |latinized]] upon his accession to Diocletian . c. 22 December 244 – 3 December 311), was a Roman Emperor from 284 to 305....
replaced the one-headed Principate with the tetrarchy
Tetrarchy
The term Tetrarchy describes any system of government where power is divided among four individuals, but usually refers to the tetrarchy instituted by Roman Emperor Diocletian in 293, marking the end of the Crisis of the Third Century and the recovery of the Roman Empire...
(circa 300 AD, two Augusti ranking above two Caesares), in which the remaining pretense of the old Republic
Republic
A republic is a form of government in which the people, or some significant portion of them, have supreme control over the government and where offices of state are elected or chosen by elected people. In modern times, a common simplified definition of a republic is a government where the head of...
an forms was largely abandoned. The title of princeps was abandoned - like the territorial unity of the Empire -, in favor of dominus, and the position of the Emperor(s), especially in the Western Roman Empire
Western Roman Empire
The Western Roman Empire was the western half of the Roman Empire after its division by Diocletian in 285; the other half of the Roman Empire was the Eastern Roman Empire, commonly referred to today as the Byzantine Empire....
, was entirely dependent on his control of the armed forces. The Dominate developed more and more, especially in the Byzantine Empire
Byzantine Empire
The Byzantine Empire was the Eastern Roman Empire during the periods of Late Antiquity and the Middle Ages, centred on the capital of Constantinople. Known simply as the Roman Empire or Romania to its inhabitants and neighbours, the Empire was the direct continuation of the Ancient Roman State...
, along the lines of an oriental absolute monarchy
Monarchy
A monarchy is a form of government in which the office of head of state is usually held until death or abdication and is often hereditary and includes a royal house. In some cases, the monarch is elected...
, where the subjects, and even diplomatic allies, could be termed servus or doulos 'servant/slave' to express the exalted position of the Emperor as second only to God
God
God is the English name given to a singular being in theistic and deistic religions who is either the sole deity in monotheism, or a single deity in polytheism....
, and on earth to none.