Stoicism and the Roman Empire
Stoicism as a historical force in antiquity
Scope
This guide covers a topic that was
until recent years overlooked by academia: the philosophy of Stoicism’s impact
on antiquity, and the philosophy’s role as a historical force. While Stoicism is typically studied on the
periphery of ancient philosophy and classics, it rarely receives historical
coverage. Curious, as Stoicism was essentially the state religion of the Nerva-Antontine dynasty, and featured heavily in Roman
political thought from at least 2nd century BCE. In reality Stoicism
was as influential a force in antiquity as was the Christianity that followed
it, and this guide aims to introduce the reader to the various key concepts,
primary documents and contemporary pieces of research which will lend to an
investigation of the topic: Stoicism and the Roman Empire and Stoicism as a
historical force.
An Introduction to Stoicism
Stoicism is the philosophy that contemporary
man has more or less forgotten but ironically was the most influential European
philosophy from the time of Alexander of Macedon well into the early modern
era, profoundly influencing New Testament ethics (most noticeably the writings
of Paul), notions of social justice and aristocratic culture.[1]
While Stoicism is a fully developed philosophical system, including disciplines
of physics, logic and ethics, for the purposes of this guide we will focus on
the latter, as that field informs the behavior of historical actors.
Stoicism was founded in the early third
century B.C.E. by Zeno of Citium. Zeno lectured on a
colonnaded porch (Stoa) in Athens and this is
seemingly how the philosophy came to be named. The earliest Stoic writings are
unknown to us except in a few outstanding fragments and in references mentioned
from other period philosophers and historians, complete Stoic works come much
later, well into the Common Era[2][3].
While the philosophy evolved over its formative period to be less severe,
shedding qualities of self-denial and extreme austerity inherited from
Cynicism, it remained from its conception to the days of Marcus Aurelius
fundamentally the same.
The Stoic ethical system begins with the claim
that much of the pain and suffering in the world is the result of faulty
judgment, as the untrained man too readily clings to things outside of his
control, and so is disturbed when they are taken from him.[4][5]
The Stoics argued that the virtuous individual, having cultivated a will in
accord with nature (prohairesis), would free himself
of such grief.[6][7]
Nature, as defined by the Stoics, refers to the Logos, the universal reason
binding together all of humanity, all people being equal and sharing in bonds
of fellowship.[8]
Living in accordance with reason and virtue, the Stoics held that in order to
live properly one must recognize this common reason and the essential value of
all people, treating others with fairness and magnanimity.[9]
The Stoics held that action and choice were extensions of virtue, and sought to
behave constantly in a fashion consistent with those goods; they sought to
build a self-sacrificing and tempered character, and so wielded the knowledge
necessary to rule others and to be ruled by deferring to those with greater
shares of wisdom.[10]
The ultimate goal of the Stoic philosopher is to become a “sage,” an individual
unperturbed by external misfortune by the wielding of an aegis of virtue.[11]
The sage is immune to misfortune; his happiness determined not by riches and
the capricious happenings of fate but by “virtue…in a will which is in
agreement with Nature”, a love of goodness, beauty and fairness, satisfied in
his purity of character and judgment.[12]
The Logos (nature) grants to human beings an
appreciation of beauty, truth and love, classically referred to as the “three
treasures.” It is upon this appreciation that virtue is founded, as originally
postulated through the Platonic tradition.[13]
The Stoic virtues are temperance (decorum/sophrosyne),
justice (lawfulness/dikaiosyne), fortitude (courage/andreia) and wisdom (prudence/sophia).
As all share the same nature, the same Logos (in the Christian sense: we are
all God’s children), all must be treated fairly, with magnanimity and
impartially through the cultivation of justice.[14]
As we naturally appreciate beauty, we must restrain ourselves from ugliness and
destructive behaviors and so cultivate temperance, restraining ourselves from
unnatural, vicious indulgences and abandonment. Similarly we must love
ourselves to assert ourselves in the world; hence Stoics cultivate courage, to
endure “the slings and arrows of outrageous fortune,” to act with spirited
expedience when duties call. Finally, the virtue of wisdom is the appreciation
and questing after of truth, the prudent tempering of our character and the
rational pursuit of an examined life, a search for and application of the
knowledge of what is within and outside of human control. Ultimately wisdom is
the virtue responsible for informing our opinions of nature correctly by means
of the rational process, as misinformed opinions of the nature of the world
(i.e. expecting people to drive correctly or hurricanes not to destroy
property) often results in agony when events inevitably turn out differently.[15]
Stoicism rose to become an influential
philosophy by the time that Alexander’s great empire was being divided up
amongst the Hellenistic successor kings. Stoicism is a philosophy of selfless
endurance, of striving toward godliness. The early Stoics used myths such as
the story of Heracles, a tale in which the hero had
soldiered through a laborious life of service to humanity and in the end became
a god, as allegories to explain the tenets of Stoicism. Chrysippus
of Soli argued that Homer and Hesiod were in fact Stoics, using a form of
allegorical interpretation to delineate Stoic themes in the classical texts.[16]
These examples were immediately intelligible to the Greek mindset so much so
that “nearly all the successors of Alexander – … all the principal kings in
existence following Zeno – professed themselves Stoic.”[17]
By the middle of the 2nd century
B.C.E. Stoicism had influenced the aristocracy of the Hellenistic world but had
not yet expanded west of Greece proper in any significant way. While studying
at the Stoic school in Athens, Panaetius of Rhodes had
a chance encounter with Scipio Africanus, who was
himself also a student. A friendship soon developed and in 146 B.C.E. the
former traveled to Rome after finishing his education to join Scipio’s circle
of intellectuals, thinkers and advisors who were then tasked with modernizing
the commonwealth.[18]
The Stoic philosopher remained in service of Rome for the next fifteen years,
disseminating notions of Stoic service, ethics and duty at the highest level of
the Roman aristocracy, and profoundly influenced the intellectual culture of
the period. Panaetius focused on presenting the
ethics of Stoicism while in Rome, inspiring contemporary Roman philosophers
such as Musonius Rufus, Seneca, Marcus Aurelius and
Epictetus to do likewise; his presentation of the philosophy to the Roman
aristocracy greatly influenced the philosophical practice as a lifestyle for
the Roman statesmen.[19]
The philosophy was naturally intelligible to
the Roman statesmen, as it was to the Greeks. In the early history of the
Republic the Roman citizen valued virtue and selfless duty to the republic
before all else. The people of Rome venerated the semi-mythical figure of
Cincinnatus who unflinchingly abandoned his farm and family to repel the Gauls as the ideal role model and found the incorruptible
and austere Cato the Younger who dared to resist the tyranny of Gaius Julius
for sake of upholding his duty to the republic as a living example of the
embodiment of their national pride, so inspiring his compatriots to virtue and
integrity.[20][21]
Both men embodied the Stoic virtues of temperance, prudence, justice and
courage and were interpreted by Livy and Plutarch respectively as being ideal
Romans: men who heroically served the community of the republic with no
compromise and held loyalty not to individuals or to gods but the idea of what
Rome could become, who laid down their lives in dutiful service, with no
complaints. Polybian Roman soldiers fielded their own
equipment and received no pay, offering their service to war not for a reward
but for love of the country and its people.[22]
The Roman social structure, mythology (itself borrowing heavily from the Greek
tradition), patron-client relationship, and its system of laws were also
compatible with Stoic conceptions of social justice.
The Roman aristocracy in the years following
the advisement of Panaetius began to hire Stoic
tutors for their children and the philosophy became ingrained as knowledge of
the examined and good life.[23]
As it had been with the Hellenistic successors, by early antiquity Stoicism had
become the philosophy of the imperial life, prevalent not only in the education
of equestrian senators but also at the highest level of power: the emperorship
itself. Early exercises in Stoic kingship were abortive and premature, as was
the case with Nero Claudius Caesar Augustus Germanicus
(who ordered the suicide of his tutor Seneca), but by the reign of the first of
the “Five Good Emperors” in 96 C.E. Stoic wisdom reached an apex, affording to
the Roman citizenry rulers who ensured a lengthy period of prosperity, justice
and harmony even in the face of mounting external and internal disaster and
misfortune, including the devastating “Antonine
Plague” and barbarian adventurism.
While Stoicism may have persisted to be
influential in the education of the Roman aristocracy, after the death of
Emperor and Stoic philosopher Marcus Aurelius (180 C.E.), there is no evidence
to suggest that it was still prevalent as a political culture, or that it had
any influence on the behavior of the transitory emperors to follow in the third
century, who left no writings which have survived and judging from their
recorded actions alone seem to have had no higher principles in mind.[24]
As Christianity became more popular Stoicism appeared in a state of flux,
respected by the early Church fathers but falling into disuse as a way of life
and a political philosophy. In 529 C.E. Emperor Justinian closed the philosophy
schools, judging the pagan character of the Hellenistic philosophies to be at
odds with the Christian society he envisioned ministering.[25]
Subsequently, Stoicism became a more academic philosophy, the writings of
Stoics such as Seneca praised for technical usage of Latin rather than for
moral guidance. While the ethical content of the philosophy was still praised in
theory, its moral merits were often attributed to the subtle influence of the
Christian God by contemporary apologists, the latter of which went so far as to
claim that several key Stoic philosophers were in fact Christians all along.[26]
Ancient Philosophy and What It Meant to the
Ancients
Pierre Hadot
introduced the importance of the “spiritual exercise” in ancient philosophy,
defining such as "practices which could be physical, as in dietary
regimes, or discursive, as in dialogue and mediation, or intuitive, as in
contemplation, but which were all intended to effect a modification and a
transformation in the subject who practice them. The philosophy teacher's
discourse could be presented in such a way that the disciple, as auditor,
reader, or interlocutor, could make spiritual progress and transform himself
within."[27] Hadot,
encountering contemporary analytical criticisms of seemingly incoherent and
contradictory ancient philosophical works, revolutionized the study of the
discipline by arguing that such works were not systematic treatises as the
moderns had erroneously assumed, but rather served as dialectical exercises
intended to mold the character of the student.[28]
In this fashion the ancient philosophical
teachings were not intended to transmit information (as modern philosophical
texts are) but rather “to produce a certain psychic effect in the reader or
listener” so that disciples could more wisely “orient themselves in thought, in
the life of the city, or in the world.”[29] These dialectical exercises “aimed at
realizing a transformation of one’s vision of the world and a metamorphosis of
one’s personality.”[30] Philosophy in the ancient tradition was not
simply an abstract knowledge that one could detach him or herself from, but
rather required the perpetual attention of the will “[kept] ready at hand at
each instant [of] life,” practiced on a constant basis to achieve serenity and
the healthy operation and direction of the soul; philosophy was a sublime
knowledge at the core of the student’s existence, informing one’s behavior and
thoughts. The ancient philosophical schools did not attempt to “procure a total
and exhaustive explanation of reality, but to link, in an unshakable way, a
small group of principles, vigorously articulated together,” the discourse
serving as didactic meditation on the nature of the world in order to provide
“the means [for students] to maintain their psychic equilibrium.”[31] While ancient philosophical thought was
often divided into separate domains of study (i.e. logic/dialectic, physics and
ethics) for pedagogic purposes, it was not interpreted as lacking unity in
practice; philosophy was practiced as “a single act, renewed at every instant,
that one can describe, without breaking its unity, as being the exercise of
logic as well as of physics or of ethics, according to the directions in which
it is exercised.”[32] In this fashion philosophy constituted a
single, unified act, a way of being and of identity, constantly in mind and of
gross influence in the disposition of the character; there existed no division
between theoretical and practical, philosophy was a way of life. In the case of the Stoics, the practice of
premeditation of possible future misfortune served to inform the character of
students on the basis of prescribed principles, and so tempered mental habits
with virtue by means of the rational process.[33]
Finally it must be stressed that ancient
philosophy was not only tasked with transforming the mental inclinations,
desires and judgments of its students but also their actions so that “the
animated words of the philosopher are at the service of the philosopher’s way
of life.”[34] One of the most striking examples of this
maxim is demonstrated in Xenophon. Socrates, having been cornered to provide an
explanation of the nature of justice in argument by the sophist Hippias,
responds with a typically Stoic sentiment: “Instead of speaking of it, I make
it understood by my acts.”[35] Epictetus would expand upon this logic in
his framing of the Roman brand of Stoicism which became prevalent during the
reign of the Five Good Emperors, summarizing it aphoristically in the Enchiridion:
Never call yourself a philosopher, nor talk a
great deal among the unlearned about theorems, but act conformably to them.
Thus, at an entertainment, don't talk how persons ought to eat, but eat as you
ought. For remember that in this manner Socrates also universally avoided all
ostentation. And when persons came to him and desired to be recommended by him
to philosophers, he took and recommended them, so well did he bear being
overlooked. So that if ever any talk should happen among the unlearned concerning
philosophic theorems, be you, for the most part,
silent. For there is great danger in immediately throwing out what you have not
digested. And, if anyone tells you that you know
nothing, and you are not nettled at it, then you may be sure that you have begun
your business. For sheep don't throw up the grass to show the shepherds how
much they have eaten; but, inwardly digesting their food, they outwardly
produce wool and milk. Thus, therefore, do you likewise not show theorems to
the unlearned, but the actions produced by them after they have been digested.[36]
Simplicius,
writing contemporaneously to Epictetus, confirmed the Stoic philosopher’s
doctrine and disdain for ostentatious study, claiming in this commentary of the
philosophical manual that “the real essence of man is his rational soul, which
makes use of the body, as its instrument of action.”[37] Action in accordance with underlying
principles is the final form of an instruction in ancient philosophy.[38]
A New Historiography
Because
Stoicism can be shown to have been both prevalent and religiously observed in
the lives of the Roman aristocracy, most clearly during the reign of the Nerva-Antontine Dynasty (Five Good Emperors), it can
clearly be explored as a historical force. Contemporary understandings of
philosophy should not be imposed into ancient accounts; clearly practice of
philosophy, which can be clearly demonstrated by Roman aristocrats of the
period, was synonymous with what we consider religion rather than mere intellectual
contemplation. Accordingly, the behavior of historical actors might very well
have been influenced by Stoicism.
One key way in which Stoicism can be
interpreted as a historical force is in the decline of the Roman Empire. While
Roman statesmen publicly espoused Stoics values (such as charity, universal
human rights, the equality of man and a well ordered, lawful government) and
concurrently experienced a period of flourishing, the military men to follow
during the Crisis of the Third Century, to whom we have no evidence suggesting
they studied or applied philosophy, contributed a barbaric age which fatally
splintered the Empire. This topic is explored in the section to follow entitled
“Sources in Historiography of the Decline of the Roman Empire and Stoicism.”
While we might not conclude with
this point, it must at least be acknowledged that Stoicism was a historical
force of notable power. The reader is invited to consider the following sources
for an exploration into this new and compelling historiography.
Reference Works
Algra, K.A. Polyhistor: Studies in the History and Historiography of Ancient Philosophy : Presented to Jaap Mansfeld on His Sixtieth Birthday (Philosophia
Antiqua). Edited by Pieter Willem Van Der Horst and David
Runia. Boston: Brill Academic Publishers, 1996.
This work
concentrates on the Presocratics, Hellenistic
Philosophy, the sources of our knowledge of ancient philosophy (esp. doxography) and the history of scholarship. The 22
contributors include M. Baltes, J. Barnes, J. Brunschwig, W.M. Calder III, J. Dillon, P.L. Donini, J. Glucker, A.A. Long,
L.M. de Rijk, D. Sedley, P.
Schrijvers, and M. Vegetti.
The volume concludes with a complete bibliography of Jaap
Mansfeld's scholarly work thus far.
Algra, K. A., Barnes, J., Mansfeld,
J. and Schofield, M. The
Cambridge History of Hellenistic Philosophy. Cambridge: CUP,
2000.
A full account of the philosophy of the Greek
and Roman worlds from the last days of Aristotle (c. 320 BC) until 100 BC. The History is organized by subject, rather
than chronologically or by philosophical school, with sections on logic,
epistemology, physics and metaphysics, ethics and politics. It has been written
by specialists but is intended to be a source of reference for any student of
ancient philosophy, for students of classical antiquity and for students of the
philosophy of later periods. Greek and Latin are used sparingly and always
translated in the main text.
Gibbon,
Edward. The Decline and Fall of the Roman Empire. Edited by J.B. Bury.
Rockville, MD: Wildside Press, 2004.
Gibbon’s
work was the first general history that covered the decline and fall of the
Roman Empire (starting at the reign of the “Age of the Antonines"),
and in many regards is still a keystone work to this day; all subsequent
investigations into the field compare against Gibbon. Although now hundreds of
years old, Gibbon’s history is remarkably exhaustive and well cited and
introduces the reader to all the major forces and sources applicable to the
study. While many contemporary historians have held issue with Gibbon’s final
interpretations and conclusions, as a general history work The Decline and Fall
of the Roman Empire is nearly unparalleled, meticulously
surveying the ancient sources and the contemporary scholarship of his time. It
also must be mentioned that Gibbon’s work is a pleasure to read!
Inwood, Brad. The
Cambridge Companion to the Stoics (Cambridge Companions to Philosophy).
Cambridge: CUP, 2003.
This volume
offers an exploration through the ideas of the Stoics in three ways: through
the historical trajectory of the school itself and its influence; the recovery
of the history of Stoic thought; and finally, the ongoing confrontation with
Stoicism.
Long, A.A. Epictetus: A Stoic and Socratic Guide to
Life. Oxford: Oxford University Press, 2004.
One of the
definitive textbooks and general reference works on the philosophy of Stoicism.
Most useful for purposes of this research, Long provides an examination of Stoicism
as a philosophy of life and not merely an academic philosophy, which is key to
understanding the Roman Stoics during the decline of the empire. Long’s volume
is a key reference work for tracing the history of Stoicism and Stoic thought
well into the modern times and contains an exhaustive bibliography and
linguistic guide.
Remes, Paulina. Neoplatonism (Ancient Philosophies).
Berkeley: University of California Press, 2008.
Platonism
and neoplatonism are married
to the development of Stoicism: both philosophies greatly influenced each other
and the students and statesmen that studied them. Accordingly Remes’ work is an appropriate reference. This book is
exceptional in that it synergies new findings in the field to create a cutting
edge textbook and general overview of Neoplatonism.
It performs exceptionally as a general introduction and as a reference
source. Using an accessible, thematic
approach, the author explores the ideas of leading Neoplatonists
such as Porphyry, Iamblichus, Proclus, Simplicius and Damascius, as well
as less well-known thinkers. She situates their ideas alongside classical
Platonism, Stoicism, and the neo-Pythagoreans as well as other intellectual
movements of the time, including Gnosticism, Judaism, and Christianity.
Sedley, David. The Cambridge Companion to Greek and Roman
Philosophy. Cambridge: CUP, 2003.
The Cambridge Companion to Greek and Roman
Philosophy is a wide-ranging introduction to the study of philosophy in the
ancient world. A team of leading specialists surveys the developments of the
period and evaluates a comprehensive series of major thinkers, ranging from
Pythagoras to Epicurus. There are also separate chapters on how philosophy in
the ancient world interacted with religion, literature and science, and a final
chapter traces the seminal influence of Greek and Roman philosophy down to the
seventeenth century.
Sellars, John. Stoicism (Ancient Philosophies).
Berkeley: University of California Press,
2006.
A general
guide to the ancient philosophy of Stoicim, Sellars provides an amazing portrait of the intellectual
culture of the period. Stoicism is
notable for its outstanding rigor, comprehensive coverage and scope, as well as
its ability to provide answers to specific reference queries regarding the
philosophy. A special attention is paid to the historical development of
Stoicism. Stoicism is considered to
be one of the keystone general guides on the
philosophy for which it is named.
Strange,
Steven and Jack Zupko. Stoicism:
traditions and transformations. Cambridge:
CUP, 2004.
An essential
reader, including essays by various experts in the field of Stoic studies
including Lawrence Becker, this volume focuses on the topic of influence of the
Stoicism on historical action. A special emphasis is placed upon the impact
that Stoicism has had on historical periods and contemporaneous
commentators. Stoicism: traditions and transformations also provides
articles which provide close coverage of Stoic philosophical concepts ranging
from passion, to duty and to public service. This reader offers a critical
understanding of the relationship Stoicism played within history, a major area
of research often neglected until recent years; the volume serves as a primer
in the general study of this domain.
Zalta, Edward N. Stanford Encyclopedia of Philosophy. Cambridge.
While the Stanford Encyclopedia of Philosophy is a
general reference work in philosophy, it provides extremely useful, thorough
entries on various topics relating to the historiography of ancient history,
philosophy and Stoicism. Most applicable to the researcher are the articles
tracing the history of ideas in ancient philosophy. It is a treasure in its
online form, capable of answering reference queries about the general domain of
ancient philosophy in the same way Sellar’s book does
for the specific study of Stoicism.
Primary Sources
Betty Radice, trans. The Letters of the Younger
Pliny (New York: Penguin
Classics, 1963).
Pliny
includes a conversation with Hadrian (10.97) which is very revealing as a
portrait of the Emperor’s psychology and rationales for action. In this letter
Hadrian argues for universal law, justice and liberality, Stoic notions of the
day.
David Magie, trans. Historia Augusta (Cambridge:
Loeb Classical Library, 1921).
The Augustan
History is a late Roman collection of biographies, in Latin, of the Roman
Emperors, their junior colleagues and usurpers of the period 117 to 284. It
presents itself as a compilation of works by six different authors
(collectively known as the Scriptores Historiae Augustae), written
in the reigns of Diocletian and Constantine I, but the true authorship of the
work, its actual date, and its purpose, have long been matters for controversy.
The Augustan History is problematic but nonetheless invaluable and its often
fantastic claims can be checked against more rigorous accounts such as Dio and Herodian. The volume pays
special attention to the character and personal behavior of the Roman emperors
and is thus an aid to understanding the period, even if the precision of fact
is often lacking.
Earnest Cary
and Herbert B. Foster, trans., Dio Cassius: Roman
History (Cambridge: Loeb Classical Library, 1924).
Dio’s history is the best and most complete source and portrait of the
life and time of the Stoic emperors, and places the period into the context of
the greater history of the Roman polity. Dio’s
thoughtful and often philosophical tone is an aid to a thematic understanding
of the period. Roman History
ultimately provides the bulwark of essential fact and historical coverage which
underlies the guide.
Edward C.
Echols, trans. Herodian of Antioch's History of the Roman Empire
(Berkeley: University of California Press, 1961)
While Dio offers complete historical coverage of the rise and
apex of the Empire, Herodian pays special coverage to
the decline and corruption following the reign of Marcus Aurelius, a
dysfunction which is central to the argument laid to bear. Eight books cover
the period of 180-238, from the death of Marcus Aurelius to the reign of
Gordian III. Specifically Herodian covers the
beginnings of the “Crisis of the Third Century” and the endemic failings of a
Roman polity without proper respect of tradition or principled rule. A moral
account, Herodian’s work is nonetheless extremely
important for understanding the turbulent death throes of the Empire.
Elizabeth Carter, trans. Moral discourses ; Enchiridion and fragments (Charleston: Nabu Press, 2010).
The works of
Epictetus were the essential teachings for Stoics during the reign of the Five
Good Emperors, either through direct dissemination or by adaption of allied
schools. An understanding of Epictetus is essential to understanding the
psychology of Roman Stoics, as is demonstrated by Pierre Hadot.
Gregory
Hays, trans., Meditations (New York: Modern Library, 2003).
The
philosophical journal of Marcus Aurelius offers a unique insight into
Hellenistic and Roman perceptions of Stoicism, cosmology, civic responsibility,
philosophical thought and tenets of leadership. This is perhaps the most
important record for the work, as it clearly reveals a Roman emperor who is
also a philosopher whose actions are heavily influenced, almost religiously by
Stoicism. The Gregory Hays translation of the Koine
Greek is the best available. While the George Long translation is considered
often considered authoritative, it’s stubborn insistence on using Victorian and
formal English is not compatible with the researcher’s perception of hypomnema, or contemporaneous translations of similar
writings.
H.W. Bird, trans. Aurelius
Victor: De Caesaribus (Liverpool: Liverpool University Press, 1994).
Aurelius Victor’s work is another contemporaneous account of the same
dubiousness as the Historia Augusta. Nevertheless, this colorful
history covers the “Five Good Emperor” period and the subsequent decline in the
morals and values of the Roman polity. De
Caesaribus pays special coverage to the reign of Nerva, which is essential to understanding the concept of
adoptive rule.
John E. Hill, trans. Through the
Jade Gate to Rome: A Study of the Silk Routes during the Later Han Dynasty,
First to Second Centuries CE (Booksurge, 2009).
Hill’s work includes a translation of The Western Regions according to the Hou Hanshu from Book 88 of Hou Hanshu, the history of the late Han.
This Chinese account is critical for an understanding of the cosmopolitan
auspices of both the Roman and Chinese polities, and respective philosophical
interpretations of their place in nature.
John Jackson, trans. Tacitus: The
Annals (Cambridge: Loeb
Classical Library, 1937).
The
Histories of Tacitus, written c. 100–110, covers the Year of Four Emperors
following the downfall of Nero, the rise of Vespasian, and the rule of the Flavian Dynasty (69–96) up to the death of Domitian. It is
an essential record of the time before the Five Good Emperors, and naturally
ends where his contemporaries initiate coverage.
John Dryden,
trans. Plutarch's Lives (New York:
Modern Library, 2001).
Plutarch's
Lives, written at the beginning of the second century A.D., is a brilliant
social history of the ancient world by one of the greatest biographers and
moralists of all time. In what is by far his most famous and influential work,
Plutarch reveals the character and personality of his subjects and how they led
ultimately to tragedy or victory. Richly anecdotal and full of detail, Plutarch
helps to depict the character which underlies historical action prior to the
period of Five Good Emperors, and is thus invaluable for purposes of the guide.
Joseph D. Frendo, trans. Agathias: The Histories (Corpus Fontium
Historiae Byzantinae)
(Berlin: Walter de Gruyter, 1975).
Agathias is a principal source for late Roman history and covering the
origins and operation of the Byzantine politic. His focus, like many historians
of antiquity, is on the manners, behaviors and morals of great leaders, and is
thus excellent for purposes of this guide. While Agathias’
histories are lacking in precision of fact, they are nonetheless important for
understanding the terminal period of the Roman Empire, when powerful forces
were shearing the west from east expanses, many of which were coming from
within. Agathias
is most notable as one of the only sources on the reign of Justinian and the
foundation of the Byzantine domain. In this sense Agathias
is useful for examining the broader theme of decline with an earlier age.
Kirsopp Lake, John Ernest Leonard Oulton and Hugh Jackson Lawlor, trans. The
ecclesiastical history (Cambridge: Harvard University Press, 1980).
The church
history of Eusebius is an excellent insight into the thought of the post-Stoic
Roman society and the progression of the Logos from Stoic cosmology to Church
doctrine.
P.G. Walsh,
trans. Livy: Ab
urbe condita (London: Duckworth Publishers,
2008).
Livy’s
monumental history of Rome since its founding up until 9 B.C. is an essential
companion to the various other primary sources which cover the period of
interest, as it was used extensively by contemporaneous writers as a basis of
historical understanding.
Robert Graves and Michael Grant, trans. The Twelve Caesars (New
York: Penguin Classics,
1957).
The Twelve Caesars, is a set of twelve biographies of Julius Caesar and
the first 11 emperors of the Roman Empire written by Gaius Suetonius Tranquillus. The work, written in AD 121 during the reign
of the emperor Hadrian, was the most popular work of Suetonius, at that time
Hadrian's personal secretary, and is the largest among his surviving writings.
The book offers similar coverage to Tacitus and can be considered a companion
for cross reference and verification.
Robin
Campbell, trans. Letters from a Stoic (New
York: Penguin Books, 1969).
This volume includes the epistles of Seneca
the Younger, a foundational work in Roman Stoic philosophy. Included
as an aid to comprehension of the Roman Stoic.
Tad Brennan
and Charles Brittain, trans. Simplicius:
On Epictetus (Ithaca, New York: Cornell
University Press, 2002).
The essential Roman commentary on the most
influential Stoic philosopher of the period. Through Simplicius
we come to understand the Roman interpretation and adoption of Epictetus’
doctrines.
Sources in Historiography of the Decline of
the Roman Empire and Stoicism
Brown, Peter. The World of Late Antiquity: AD 150-750. New York: W. W. Norton,
1989.
Explores Pirenne by
interpreting the decline of the Empire as a period of widespread cultural
innovation, rejecting Gibbon. Crucially,
Brown proposes a world ultimately divided into three spheres of culture:
Catholic Europe, Byzantium and Islam. The book is divided into two sections,
the first half focusing on the power of religion and changing culture (‘The
Late Roman Revolution’) and its role in transforming the traditional notions of
Empire and imperial allegiance, paying special attention to Christianity’s role
in decentralizing power. In Divergent Legacies, the second half, Brown
reinterprets the fall of Rome as a creative process, synthesizing new European
cultures and creating the foundation of medieval Europe.
Bury, John Bagnell. The World of
Late Antiquity: AD 150-750. New York: Courier Dover Publications, 1958.
Bury proposes that it was not a grand and
fatal failing which culminated in the decline of the empire but rather a
combination of factors, all working in contingent concert, which brewed a
perfect storm over the Empire, ultimately leading to atrophy and collapse. The
historian presents and surveys such elements as a reliance on Goth auxiliaries,
the treachery of Stilicho, the assassination of Aetius
and the subsequent power vacuum, economic weakness and inflation, German
encroachment and decline of discipline and standards in the military, as
factors contributing to decline. Most importantly, Bury suggests that the
events contributing to the Empire’s waning were not predestined or fatal but
contingent, capable of being remedied through serious labor.
Diamond,
Jared. Collapse: How Societies Choose to
Fail or Succeed. New York: Viking Adult, 2004.
The author argues that artificial
deforestation and grazing contributed to desertification while excessive
irrigation lead to salinization. These activities perpetuated
by the Roman citizenry eventually resulted in the land becoming nonproductive,
forcing farmers to relocate in overpopulating cities, escalating disease and
resource shortage. Diamond uses modern scientific theory to come to his
conclusions.
de Coulanges, Fustel.
Histoire des
Institutions Politiques de l’Ancienne
France Cinquieme Edition. Paris: HACHETTE
FRENCH, 1934.
Proposed that the Empire did not in fact fall
outright but instead was gradually transformed to come under the influence of
Germanic peoples, who in turn contributed to administrating matters of state. De Coulanges
argues that the Germanic peoples did not conquer the Empire but instead entered
into civic life, transforming the nature of the Roman politic.
Ferill, Arther. Fall of the Roman Empire. London: Thames & Hudson, 1988.
Reiterates Vegetius
and argues that the Empire declined as a result of increased Germanization of the military, that the Latins
and Greeks who once comprised the army and who were more-or-less faithful to
the Emperor and the Roman civic system, were eventually replaced by foreigners
who held their loyalty to particular generals who could win them loot on
campaign. Overviews the military history of the late empire (second century on)
and comes to the conclusion that poor strategic planning and degradation of the
military lead to decline and fall.
Gibbon,
Edward. The Decline and Fall of the Roman Empire. Edited by J.B. Bury. Rockville,
MD: Wildside Press, 2004.
Gibbon proposes that it was the loss of civic
virtue in late antiquity brought about by an increasingly popular Christian
religion which inspired the Roman citizens to remain apathetic to imperial
matters in such a fashion that they were unwilling to defend the Empire from
external threats. The author argues that the people increasingly devoted
themselves to delusions of an afterlife and the prospect of a better tomorrow
rather than devoting the service needed to repel the barbarian incursions of
the late fourth and early fifth century. Serves as a rigorous general survey of
late antiquity as well as proposing the famous argument in its later chapters.
Goldsworthy,
Adrian. The Complete
Roman Army. London: Thames
& Hudson, 2003.
Goldsworthy argues that the Empire fell apart
as a result of an endless process of civil war between military factions vying
for power over the Empire. The army and government structure, argues
Goldsworthy, was weakened as a result and was increasingly unable to defend
itself against the growing number of enemies perched at the Empire’s borders.
As civil war diminished central authority and seeded serious economic and
social problems, the Empire was eventually unable to confront the foreign foes,
who would overcome and conquer them. As with the other modern historians post-Gibbon, Goldsworthy relies on archeological
evidence to form the basis of his argument. The Complete Roman Army also serves
as an excellent and systematic treatise on the evolution of the Roman military,
from the time of Polybius to late antiquity, featuring an especially noteworthy
overview of the Parthian campaign.
Hadot, Pierre. The Inner Citadel:
The Meditations of Marcus Aurelius. Harvard: Harvard University Press,
2001.
Hadot offers a systematic deconstruction of the
Meditations of Marcus Aurelius, focusing on the psychological and civic impact
of the philosophy of Stoicism on the emperor, as well as stressing the impact
that philosophy had in the second century aristocracy. The author offers his authoritative opinion on
how Marcus interpreted, utilized and contributed to the practice of Stoicism. Hadot also offers a succinct and compelling overview of the
works of Epictetus. The author also offers a philological analysis of the Stoic
Emperor’s works.
Hadot, Pierre. Philosophy as a
Way of Life: Spiritual Exercises from Socrates to Foucault. Boston:
Wiley-Blackwell, 1995.
In this seminal work Hadot
interprets ancient philosophy as a civic vocation rather than frivolous
academic pursuit and bridges the philosophy of Stoicism to the behaviors of
ancient Roman statesmen. Philosophy as a Way of Life also serves as an
excellent primer on ancient philosophic practice and offers an exhaustive study
of context, providing a vivid picture of the historical backdrop and its
interactions with the philosophies involved.
Heather,
Peter. The Fall
of the Roman Empire: A New History of Rome and the Barbarians. Oxford:
Oxford University Press, 2005.
The historian argues that foreign
encroachment did in fact play a significant role in the decline of the Empire,
not by virtue of its own effect, but by the economic duress initiated by it.
Heather argued that it was not the adventurism of the classical enemy of Rome,
the Germanians, which ultimately signaled the death
knell for the Empire’s fortunes but rather a reemerged enemy in the east which
had devoured the Parthian Empire in the third century of the Common Era: the
Sassanid Persians. Uses modern archaeological evidence to reinforce Bury and
proposes that the movement of distant barbarian peoples forced tribes adjacent
to the Empire’s borders to advance on Rome, signaling the end.
Jones, Arnold Hugh Martin. The
Later Roman Empire, 284-602: A Social, Economic and Administrative Survey.
Norman: University of Oklahoma Press, 1964.
Considered by many to be the authoritative source
on a narrative history of late Roman antiquity, Jones’ magnum opus is the
ultimate reference, rigorously cited, for in depth general information about
the decline period. While Jones relies heavily on primary source documents, as
modern archaeology was only just in infancy when the volume was written, The
Later Roman Empire is still considered the definitive work on the topic.
Liebeschuetz, John Hugo Wolfgang Gideon. Decline and Change in Late Antiquity.
London: Ashgate Publishing, 2006.
A collection of essays on topics of ethical
monotheism, the cultures of the barbarians and ethnogenesis. Liebeschuetz
argues that an important factor in the decline of the Roman Empire was that
Roman citizenship became devalued and meaningless by the late antiquity (a
product of emerging and transformative cultural and social conventions),
furthering ethnic division between barbarians and Romans and leading autonomy
and power to the foederati. The author further argues that the modern
trend of history writing, which tends to avoid classifying the decline of the
Roman Empire as a decline, is a product of the ideology of multiculturalism and
not congruous with the evidence. For purposes of this guide, Liebeschuetz offers an excellent study of the evolution of
Pagan virtues, Stoicism and civic philosophy against the emergent monotheism of
late antiquity.
Long,
Anthony A. Epictetus: A Stoic and
Socratic Guide to Life. Oxford: Oxford University Press, 2004.
The authoritative expert on Stoicism offers
an exhaustive deconstruction of the philosophy of Roman-era Stoicism. This
volume serves as an ideal reference for interpreting the nuances of the Roman
civic philosophy. Long pays special attention to philology
and interpretation of the primary documents.
Lot,
Ferdinand. End of the Ancient World and
the Beginnings of the Middle Ages. New York:
HarperCollins, 2000.
Lot offers a compelling view of the Crisis of
the Third Century and its impact on the ancient Mediterranean economy, arguing
that the endless civil war and war changed the cosmopolitan and economically
interdependent landscape of the Empire (ref: Moss, The Birth of the Middle
Ages) by promoting manorialism and local autonomy.
The Roman trade network, which relied upon safe land and sea routes, was
fatally disrupted by the Crisis which made intra-Empire trade difficult, and as
a result local economies soon developed in order to ensure the survival of the
people.
McNeil, William H. Plagues and Peoples. New York:
Anchor, 1977.
Explores economic failings of the late Empire
further, arguing that the devastating plagues of the late second century which
ultimately destroyed half of the Empire’s population was responsible for
creating an imbalance between state services and taxation, ultimately leading
to collapse.
Musset,
Lucien. Les Invasions :
les vagues germaniques.
Paris: University of France Press, 1994.
Musset expands upon the popular Pirenne Thesis, arguing that a “clash of civilizations”
between the Greco-Roman and Germanic world culminated in a synthesis
responsible for the creation of the Medieval era.
Rather than interpret the fifth century as a decline and collapse of the
Empire, Musset interprets it as a creative process in which German peoples
transformed the pre-existing institutions to adapt to their culture while
emulating the culture of Imperial Rome.
Pirenne, Henri. Medieval Cities:
Their Origins and the Revival of Trade. Princeton: Princeton University
Press, 1969.
Henri Pirenne
expands upon de Coulanges by proposing his “Pirenne Thesis,” which argued that the Empire did not cease
to exist with the captures of Rome in the fifth century, but existed in a
different form up until the Muslim incursions of the seventh century, at which
time Mediterranean trade was disrupted to such a degree as to paralyze the
Empire. This economic torpor, argues Pirenne, was
fundamental in the decline of the Empire and lead to the consequent rise and
flourishing of the Frankish kingdom, a polity which the author claims was a
rightful heir to the Imperial title.
Richta, Radovan. Civilization
at the Crossroads. White Plains, NY: International Arts and Sciences
Press, 1968.
Richta argues that as the barbarians became better
equipped to battle the Roman armies on the field, and as they discovered the
tools to make heavier armors and the horseshoe, they eventually overcame their
imperial foes and were capable of seizing the Empire. Richta
infers that the Romans were capable of defeating the barbarians in the field
prior to the fifth century due to a distinct advantage in arms, training and
logistical technologies, and as the external foes eventually adapted these
advantages, the playing field was evened. Features a
historical survey of technology and its supposed impact on events.
Rostovtzeff, Michael. The Social and Economic History of the Roman
Empire. Cheshire, CT: Biblo-Moser, 1926.
Rostovtzeff argues that third century debasement led to
inflation and the Imperial office began to levy price controls on the economy
which resulted in forcing merchants to sell goods below their market value so
as to keep the Empire operational. These artificially low prices lead to a
deficient supply of food and ultimately disrupted the economic life of urban
citizens, reliant upon trade, forcing them to relocate to rural areas to focus
on subsistence agriculture, depopulating the cities. Combined with excessive
taxation, this lead to a faltering economy, which ultimately was unable to
support the immense demand of the Empire’s operation. Serves
as an excellent and definitive empirical survey of the economy of the late
Roman Empire.
Stephens,
William O. Stoic Ethics: Epictetus and
Happiness as Freedom. London: Continuum, 2007.
Stephens offers a psychological portrait of
the Stoic devotee, as defined by the philosopher Epictetus, whose writings had
a profound influence on Marcus Aurelius and the Stoic-influenced Roman aristrocracy during the 2nd century CE. The author pays
special attention to Stoic reactions to stress, misfortune and duress, crucial
areas of discipline for Emperors being besieged by civil war and barbarian
incursion.
Tainter, Joseph. The
Collapse of Complex Societies (New Studies in Archaeology). Cambridge: Cambridge University
Press, 1990.
Tainter looks to the historical record and
interprets the history of civilization as a history of complexity in that
societies become more complex as they encounter problems, establishing new
layers of government to address the issues involved. Tainter
extrapolates this thesis to the history of late antiquity, a time in which
Roman agricultural production was decreasing as population was increasing,
resulting in a shortage of resources. Ultimately Tainter
argues, by examining the archaeological evidence, that Roman solutions to these
problems resulted in runaway expense, contributing to a fatal cycle.
Critically, Tainter also proposes that the “fall” may
have been preferred by local peoples, who may have been exhausted by the heavy
taxation and tyranny of the Imperial office.
Toynbee, Arnold J. A Study of History. Oxford: Oxford University Press, 1987.
A massive ten volume work which surveys the
entire global history of civilization and is not centered on the topic of the
decline of the Empire. The author proposes his “plunder economy” thesis for the
collapse of the Roman Empire within, calling into doubt previous models which
interpreted the Decline as a chain of events. Without a proper budgetary system
or means of creating revenue due to lack of exportable goods, argues Toynbee,
Rome was only capable of maintaining the façade of flourishing by virtue of its
constant expansion. Toynbee argues that the Empire finally ended when the title
of Emperor became an irrelevant honor and which yielded no effective power save
pomp and formality.
Ward-Perkins,
Bryan. The Fall
of Rome: And the End of Civilization. Oxford: Oxford University Press,
2005.
Ward-Perkins posits a new web of factors, in
consideration of contemporary archaeological evidence, including political
strife, external threats and increasingly devalued taxation. The author further
contends that the external invasions caused irrevocable damage to the
provincial economies and taxation systems, paralyzing the ability of the
Emperor to equip and pay the legions, leading to both decreased national
security as well as dissension among the ranks, and a diminished military
quality, inspiring revolts by the foederati and
pretender emperors.
Digital Resources
Digital
resources become useful for studying this topic in two capacities: general
reference research and viewing primary source documents.
Livius
Hundreds of
quality articles concerning ancient history. A special emphasis is placed on
Roman antiquity, which his most useful for purposes of this guide. The articles
rely heavily on primary sources.
The Internet Classics Archive
http://classics.mit.edu/index.html
This website courtesy of MIT provides
full text copies of various primary sources from the classics, including Marcus
Aurelius, Epictetus and Seneca the Younger.
LacusCurtius
http://penelope.uchicago.edu/Thayer/E/Roman/home.html
Perhaps the most invaluable
classics and antiquity website on the internet – Bill Thayer (University of
Chicago) offers dozens of primary sources from antiquity, many of which he
himself translated into English. Latin and Greek versions are available as
well. Most of the primary sources listed in this guide are available here, if
not at the Internet Classics Archive.
Materials for the Construction of
SHAKESPEARE'S MORALS: The Stoic Legacy to the Renaissance
http://www.stoics.com/index.html
While this website is most
useful for examining the Stoic legacy to the Renaissance, as the title implies,
it is also an invaluable source reader for Cicero, Plutarch and Seneca. One of
the most useful and unique features is an index of subject terms which can be
interactively traced to the text. The website is edited and maintained by Ben
R. Schneider, Jr. of Lawrence University.
Ancient philosophy at the Internet Encyclopedia of Philosophy
http://www.iep.utm.edu/category/history/ancient/
A useful set of peer-reviewed articles on
ancient philosophy from Anaximander onward. Peer-reviewed and very rigorous, these
articles present as excellent reference sources in research and for general
understanding of the ancient mind. Be sure to check out the article “Stoic
Philosophy of Mind.”
Internet Ancient History Sourcebook
http://www.fordham.edu/halsall/ancient/asbook.html
A subject organized repository
of primary sources for ancient history. The subject organization is perhaps the
most useful and powerful feature of Fordham’s Internet Ancient History Sourcebook. The highly interactive format
of the website allows the reader to select a period of ancient history of
interest and then examine various aspects of that age ranging from food to
gender and sexuality, to kingship. The Hellenistic History and Rome sections offer
essential sources and perspectives on Stoicism.
Other Sources
This topic receives little coverage in
academic databases. Modern study of Stoicism included it as a footnote between
Platonism and Medieval philosophy and traditionally glossed over the Hellenistic
philosophies in general; many academics in philosophy considered such
philosophies to be unworthy of serious study. There has been a huge resurgence
in Stoicism in the last decade, spurred at least in part by Hollywood’s 2000
epic Gladiator which featured a Stoic
emperor and a Stoic-minded protagonist. Regardless, contemporary Stoic studies
tend to focus on “New Stoicism” and Stoicism as a contributor and laboratory of
psychology rather than as a historical force.
Clearly interpreting Stoicism as a historical
force is a concept married to philosophy and history, a grey area many
academics do not tend to tread. Contemporary exports may contend that Stoicism
had a marked impact on contemporary religious thought and how we interpret
psychology of mind, yet few have considered Stoicism as a factor along with
religion, economics and politics. Accordingly the reader is advised to consider
monographs primarily for research, although the journals do offer compelling
insights capable of buttressing and enriching foundational research.
Credits
This guide was created by Chris
Krause of San Jose State University. He has a degree in history from St.
Joseph’s College and wrote extensively on Stoicism as an undergraduate. He is
also a member of the New Stoa, a digital community of
modern practicing Stoics. He can be reached at Krause@krauselabs.net