Rome's Gothic Wars: From the Third Century to Alaric (Key Conflicts of Classical Antiquity)
Key Conflicts of Classical Antiquity
This series is composed of introductory-level texts that provide an essential foundation for the study of important wars and conflicts of classical antiquity. Each volume provides a synopsis of the main events and key characters, the consequences of the conflict, and its reception over time. An important feature is the critical overview of the textual and archaeological sources for the conflict, which is designed to teach both historiography and the methods that historians use to reconstruct events of the past. Each volume includes an assortment of pedagogical devices that students can use to further their knowledge and inquiry of the topics.
Rome’s Gothic Wars
From the Third Century to Alaric
Michael Kulikowski
University of Tennessee-Knoxville
CAMBRIDGE UNIVERSITY PRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo
Cambridge University Press
32 Avenue of the Americas, New York, NY 10013-2473, USA
www.cambridge.org
Information on this title: www.cambridge.org/9780521846332
© Cambridge University Press 2007
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without
the written permission of Cambridge University Press.
First published in print format 2007
ISBN-13 978-0-511-25126-9 mobipocket
ISBN-10 0-511-25126-2 mobipocket
ISBN-13 978-0-521-84633-2 hardback
ISBN-10 0-521-84633-1 hardback
Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or third-party Internet Web sites referred to in this publication and does not guarantee that any content on such Web sites is, or will remain, accurate or appropriate.
For T. D. Barnes and Walter Goffart
Contents
Maps
Acknowledgements
Before the Gates of Rome
1 The Goths Before Constantine
2 The Roman Empire and Barbarian Society
3 The Search for Gothic Origins
4 Imperial Politics and the Rise of Gothic Power
5 Goths and Romans, 332–376
6 The Battle of Adrianople
7 Theodosius and the Goths
8 Alaric and the Sack of Rome
The Aftermath of Alaric
Glossary of Ancient Sources
Biographical Glossary
Further Reading
Notes
Index
Maps
1 The Italian peninsula
2 The Roman Empire at the time of Septimius Severus
3 The Roman Empire of Diocletian
4 Asia Minor, the Balkans and the Black Sea region, showing Roman cities and Sântana-de-Mureş/Černjachov sites mentioned in the text
Acknowledgements
To quote with approval Geoffrey Elton at the beginning of the twenty-first century may seem perverse, even lunatic. Yet for all that Elton was (to borrow a phrase from Averil Cameron) a ‘dinosaur of English positivism’, his Practice of History got one thing absolutely right: the historian has a duty to make history intelligible and, however complex the past may have been, there is nothing in it that cannot be explained to any audience if only we choose the right words. This book aims to do no more than that, to make the first two centuries of Romano-Gothic relations comprehensible to everyone – student, scholar, and aficionado alike – and to explain why, for the specialist at least, Gothic history remains a subject of painful controversy. As an aid to readers for whom this material is unfamiliar, I have included glossaries of persons named in the book and of ancient authors used, and while specialists may find that my citations of primary sources are insufficiently abbreviated, I hope it will help those who are just beginning the advanced study of late antiquity to easily locate the texts I have used.
Even in a book so short, one incurs debts of gratitude to family, friends, and colleagues. I have long relied on my father and my wife for first reactions to my work, and both have read this text, parts of it repeatedly. Andrew Gillett read the whole book in draft; Guy Halsall, Andy Merrills, and Philipp von Rummel each read several chapters; all saved me from error and gave me much food for thought. Sebastian Brather, Florin Curta, and Noel Lenski advised on points of detail and Dr. Alexandru Popa provided me with a copy of his invaluable – but in North America inaccessible – work on the stone architecture of the barbaricum. Beatrice Rehl offered sympathetic editorial guidance throughout. Final work on the volume took place while I held a Solmsen Fellowship at the Institute for Research in the Humanities at the University of Wisconsin, Madison. The maps were drawn by the Cartographic Services Laboratory at the University of Tennessee, under the direction of Will Fontanez, and I am grateful to the Department of History for the subvention which allowed them to be produced at short notice.
I owe my interest in this topic to the Gothic and Roman halves of my education. Tim Barnes and Walter Goffart taught me different things about studying late antiquity, but without them I would neither have wanted, nor been able, to write the volume which I now dedicate to them.
Before the Gates of Rome
Late in August 410, a large troop of soldiers bore down on the city of Rome. At their head rode the general Alaric, in the full insignia of a magister militum. It was the highest command in the Roman army, won after years of politicking and military success. But Alaric was more than a Roman general. He was also a Gothic chieftain, some might have said a king. As far as contemporaries were concerned, the soldiers who followed him were Goths. Sometimes, to be sure, Alaric had put his followers at the service of the Roman emperor. When he did so, they became a unit in the Roman army. But their loyalty was to Alaric, not to the emperor or the empire, and everyone knew it. Alaric might be a Roman general, but no one ever mistook his followers for Roman soldiers. They were the Goths, and Alaric had led them against regular imperial armies more than once. In the early fifth century, the line between Roman regiment and barbarian horde was a fine one, and Alaric straddled it as best he could. But no one was quite taken in by appearances, and Alaric never succeeded in turning himself into the legitimate Roman commander he so desperately wanted to be.
But he had come very close, to within a hair’s breadth of achieving everything a barbarian commander could hope for: a place in the empire’s military hierarchy for himself, permanent employment for his followers, food and land and security for their wives and children. Yet each time he had been on the verge of grasping everything he wanted, something had gone terribly wrong, negotiations had broken down, someone he had relied on had betrayed him. For fifteen years he had led his men, and for fifteen years most had remained loyal, through the ups and downs of constant negotiation and occasional battle, through the endless marching from the Balkans to Italy, from Italy to the Balkans, and back again. All that was over now. Alaric could contemplate no further delay, no further negotiation. He was in a fury, his patience finally at an end. It was true that he had never been a patient man. As he himself had recognized at least once, his failures were not always someone else’s fault: at times his rage had got the better of him, and he had stormed away from the negotiating table too soon, when a little forebearance might have carried the day. This time, though, it had not been his fault. He had bargai
ned in good faith with the emperor and he had gone all the way to Ravenna to do so, instead of insisting on meeting at Rimini, in between Rome and Ravenna, as he had done in the past. He had, in fact, done everything that was asked of him. And it had made no difference. He and his men had been attacked, a surprise assault, with no warning and no quarter.
With that, Alaric decided, the emperor had proven once and for all that he could not be trusted. The emperor’s name was Honorius, but he had honoured few of the agreements he made with Alaric. Besides, he was a weakling and an incompetent, rumoured to be a half-wit even by those who wished him well. Holed up in the coastal town of Ravenna, safe behind marshes and causeways and readily supplied by sea, he was unreachable and the workings of his court inscrutable. Indeed, for the past two years, it had been impossible for anyone, least of all Alaric, to be certain which of Honorius’ many courtiers really controlled him, which could really deliver on the promises made in his name. It had not always been thus, for while Honorius’ father-in-law, the patrician Stilicho, was alive and in charge, Alaric had a negotiating partner he could trust, more or less. But Stilicho had been dead for two years, murdered, and the cabal of treacherous bureaucrats that replaced him had never spoken with a single voice.
Map 1. The Italian peninsula.
Even so, Alaric had kept trying to make his peace with the court at Ravenna. Simple-minded he may have been, but Honorius was the legitimate emperor, the son of the great Theodosius. Alaric, like anyone born and raised inside the imperial frontiers, shared the Roman reverence for dynasticism, the seal of legitimacy that inherited power conferred. Even when he challenged Honorius, even when he threatened his very hold on the throne, Alaric could still not suppress the residual loyalty he felt to the imperial purple into which Honorius had been born. That was the only reason it had taken so long for his patience to run out. He had it in his power to deliver the killing blow, to seize the city of Rome itself: the eternal city, no longer an imperial residence, no longer the capital of the world, but still the symbolic heart of empire. Enemies had long believed him capable of such an enormity. The greatest Latin poet of the century, an Egyptian named Claudian, accused Alaric of having a malign destiny to pierce the walls of the immortal Urbs, ‘the city’, as Rome was called. Three times he had threatened, three times he had held back. To make good on his threat, after all, would be the end of all his ambitions, all his hopes: an irrevocable move that would make any future negotiation impossible and place Alaric beyond the bounds of civilized politics forever. He did not want that, had never wanted that, and for two long years he had hesitated.
But his options had now run out. Negotiation was fruitless, and as the recent surprise attack had shown, it could even prove life-threatening. However ambivalent he might be, the time to make good on all his threats had probably arrived. It remained a bitter choice, but after two years of failure, it was becoming easier to make. Alaric got back to the outskirts of Rome some time around August 20th. Nothing he saw there can have made him very happy. For two years, since just after the death of Stilicho, his followers had been camped there, spread out along the banks of the Tiber river that fed the city of Rome. Alaric himself had been on the move quite a lot over the preceding two years, riding back and forth across the Appenines and up the coast road to Rimini and Ravenna. Most of his followers had not. Each time he rode out to negotiate with the imperial government, only picked troops had gone with him. Their dependents, and the larger part of the fighting men necessary to defend them, remained behind in the vicinity of Rome. It was more than just a matter of protecting the women and children. They were needed as a reserve, and as a threat, a visible reminder that at any time he wanted, Alaric could seal Rome off from the outside world. His soldiers were, ultimately, the basis of his power, and their value as a threat increased with their proximity to Rome.
The government in Ravenna was afraid of the threat, but that had done Alaric and his followers little enough good. Years had passed since they had fought a proper battle: the massacre of a small imperial force sent from Dalmatia in 409 hardly counted, and Alaric had failed to deliver what all ancient armies, barbarian or Roman, demanded of their leaders: victory, wealth, security. That his men still followed him despite that was perhaps a testament to magnetic leadership. More likely it was because they had no choice, because he was the only link they had with an imperial government that might eventually give them enough to retire in peace and put an end to their endless, fruitless traveling. Now, though, inactivity and boredom were a menace. Alaric had commanded troops in the field for nearly two decades and he knew full well the limits of military discipline. Every time he had stayed stationary for long, bits of his following had melted away. He had always been able to find new followers in the aftermath of later triumphs, but now he’d seen little success for two years. As the hope of negotiation with Ravenna grew more and more distant, he could not afford to lose a single man capable of bearing arms. Worse still was the haunting prospect of mutiny. Better commanders than he had gone down beneath the blows of their own troops. Kept occupied, soldiers had no chance to wonder whether a change of leader might not improve their own prospects. Sitting idle, even loyal troops might get worrying ideas, and recently Alaric’s men had been given far too much leisure to contemplate his failings.
The environment was not helping. Rome in August is a sultry and oppressive place, the air a blanket of heat and stench. To this day as many Romans as can manage it leave the city for the month. In antiquity, it was not just uncomfortable but positively unhealthy. The Tiber and its trade sustained the city’s life, but its banks bred death in the shape of mosquitoes and the malaria they carried. Malaria is endemic to central Latium and even native Romans suffered. Foreigners suffered worse and the disease could cripple whole armies; until the nineteenth century, the city was a pestilential graveyard for the many northerners who tried to conquer it. Alaric’s followers were mostly children of the Balkans and the Danube. Their tolerance for Roman conditions cannot have been very high. Immobility weakened them further, as the waste of men and horses piled up and bred diseases and the spectre of food shortage loomed ever larger.
Alaric’s Goths were neither a proper garrison, reliably housed and fed by the state, nor the proprietors of their own farmlands from which they might perhaps extract a living. Halfway between a besieging army and a band of refugees, they would have had a hard time anywhere in Italy, but the suburbs of Rome imposed difficulties uniquely their own. Rome was a huge city, its population numbered in the hundreds of thousands. Its own urban territory could not begin to feed it, and the mass of the city’s people were totally dependent on the import of grain from Africa, which arrived at Portus, the city’s main harbour, some fifteen kilometres down the Tiber on the Tyrrhenian coast. Some of this grain belonged to the Roman state and was distributed for free, but much of it belonged to the senatorial owners of vast African estates who sold it on the open market. If the grain ships failed to arrive, the city began to starve and the senators, their rich houses and their grain warehouses, suffered first from the anger of the urban mob. Alaric monitored Portus even more closely than he did Rome itself, and twice already he had brought Rome to its knees by cutting off the steady stream of shipping up the Tiber from the sea.
But by 410, even when Alaric let the citizens of Rome eat, there might not be enough food to go around. He and his followers had to feed themselves from the same sources as did the rest of the city. The highest official in Africa was loyal to Ravenna and had held back the grain ships for much of the year, while after two years of Gothic residency near Rome, any stored surplus had been depleted. The suburbs could never produce enough food to feed the city, and now they could no longer feed the Goths either. Even worse, foraging further afield, out into the more distant corners of Latium and north into Etruria, could only make up so much of the difference. The whole region had been blighted by two years of periodic siege and the Gothic occupation. Roman soldiers were proverbially voracious, de
structive of the very provincials they were supposed to be defending. But provincial Romans were at least used to such rapacity and viewed the half-random, half-legal, expropriation of their crops in the same way they did the weather, as one of the many miseries that unkind fate showered upon them. The farmers of central Italy – unlike those of frontier provinces that frequently experienced the misery of soldiers and barbarian raiders on the doorstep – had little experience of soldiers and still less of barbarians. The Gothic occupation was a novel blow, and one they sustained with difficulty. For the first time in decades, there was an army at the doorstep likely to eat up the crop without payment, and robbing the farmer of any incentive to grow a surplus for market.
In a similar way, the landlords who might have lined their pockets selling food to the quartermasters of a regular imperial regiment were suspicious of Alaric’s Goths. To be sure, Alaric could wave his imperial commission about and claim that he and his followers were entitled to the same supplies as any other unit of the Roman army; yet everyone knew that his relations with the emperor might change at any minute, and with them his status as a legitimately constituted member of the military hierarchy. Who would pay for the food his Goths ate, if the Roman state ceased to take responsibility for them? Far better to hide it or not to grow it at all than to give it away for free. And so those fields that had not been ruined by marching feet, those farms that had not had their seed grain eaten by hungry mouths, lay fallow, their intricate irrigation systems falling into decay. The rich loam of northern Europe might sustain that sort of neglect, but Italian soil was thin and poor, barren if not lovingly tended: even seven years later, a Gallic poet named Rutilius Namatianus, bent as he was on trumpeting the imperial recovery after the dark night of Gothic terror had passed, had to admit that central Italy lay desolate, a wasteland where crops should have sprouted. The modern scholar should have no more illusions than Alaric had at the time: hungry soldiers are angry soldiers, and Alaric’s room for manoeuvre was shrinking to almost nothing at all.