Peregrini, Barbari, and Cives Romani: Concepts of citizenship and the legal identity of Barbarians in the later Roman Empire

American Historical Review

Volumn 111, Issue 4, 2006, Pages 1011-1040

  Mathisen, Ralph W ^a  

^a UNIVERSITY OF ILLINOIS AT URBANA CHAMPAIGN   (United States)

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[No Author keywords available]

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EID: 33751555616     PISSN: 00028762     EISSN: None     Source Type: Journal    
DOI: 10.1086/ahr.111.4.1011     Document Type: Article

References (399)

1. E.g., Ellie Vasta, ed., Citizenship, Community, and Democracy (Basingstoke, 2000), vii: "The notion of citizenship is currently under scrutiny both in terms of its theoretical significance as well as its practical application."
2. Paul J. Weithman, Religion and the Obligations of Citizenship (Cambridge, 2002);
3. Vasta, Citizenship, Community, and Democracy, vii;
4. Martha Nussbaum, "Kant and Stoic Cosmopolitanism," Journal of Political Philosophy 9, no. 1 (1997): 1-25.
5. Riva Kastoryano, Negotiating Identities (Princeton, N.J., 2002);
6. Alastair Davidson, "Fractured Identities: Citizenship in a Global World," in Vasta, Citizenship, Community, and Democracy, 3-21, 8.
7. http://www.number10.gov.uk/output/Page8041.asp (accessed August 5, 2005).
8. Nussbaum, "Kant and Stoic Cosmopolitanism," 6.
9. Vasta, Citizenship, Community, and Democracy, vii;
10. David Miller, Citizenship and National Identity (Cambridge, 2000), 1;
11. T. Alexander Aleinikoff, Citizenship Today: Global Perspectives and Practices (Washington, D.C., 2001), vii;
12. Peter Herrmann, ed., Citizenship Revisited: Threats or Opportunities of Shifting Boundaries (New York, 2004).
13. Vassoodeven Vuddamalay, "Research on Immigration, Islam and Citizenship in Western Europe," in Rémy Leveau, Khadija Mohsen-Finan, and Catherine Wihtol de Wenden, eds., New European Identity and Citizenship (Aldershot, 2002), 1-35;
14. Aleinikoff, Citizenship Today, vii.
15. Dana Villa, Socratic Citizenship (Princeton, N.J., 2001), ix.
16. Nussbaum, "Kant and Stoic Cosmopolitanism," 2, 11.
17. April Carter, The Political Theory of Global Citizenship (London, 2001), 1;
18. also Catherine Wihtol de Wenden, "European Citizenship and Migration," in Leveau, Mohsen-Finan, and de Wenden, New European Identity, 79-89;
19. Will Kymlicka, Multicultural Citizenship (Oxford, 1995).
20. Aleinikoff, Citizenship Today, vii.
21. Diogenes Laertius, Vitae philosophorum 6.63;
22. see Derek Heater, World Citizenship and Government: Cosmopolitan Ideas in the History of Western Political Thought (Basingstoke, 1996).
23. Diog.Laer. Vit.phil. 7;
24. see Malcolm Schofield, The Stoic Idea of the City (Cambridge, 1991), 24;
25. Anthony Pagden, Stoicism, Cosmopolitanism, and the Legacy of European Imperialism (London, 2000);
26. Clifford Ando, Imperial Ideology and Provincial Loyalty in the Roman Empire (Berkeley, Calif., 2000), 341;
27. Nussbaum, "Kant and Stoic Cosmopolitanism."
28. Epictetus, Discourses 2.10.1, cf. 1.9.20.
29. Marcus Aurelius, Meditations 12.36, trans. Charles R. Haines (Cambridge, Mass., 1953), 341;
30. also Greg R. Stanton, "The Cosmopolitan Ideas of Epictetus and Marcus Aurelius," Phronesis 13 (1968): 83-95.
31. See Nussbaum, "Kant and Stoic Cosmopolitanism," 5-7: "the term is at best metaphorical... global citizenship is an oxymoron";
32. also David Miller, "Bounded Citizenship," in Kimberly Hutchings and Roland Dannreuther, eds., Cosmopolitan Citizenship (New York, 1999), 60.
33. http://news.bbc.co.uk/1/hi/world/europe/2371715.stm (accessed August 5, 2005).
34. For a counterproposal, see Tony Honoré, Ulpian: Pioneer of Human Rights, 2nd ed. (London, 2002), ix, 80;
35. on which see review by Ralph Mathisen, Journal of Roman Studies 94 (2004): 279-280.
36. For Roman citizenship, see Adrian N. Sherwin-White, The Roman Citizenship, 2nd ed. (Oxford, 1979);
37. Claude Nicolet, The World of the Citizen in Republican Rome, trans. Paul S. Falla (London, 1980);
38. Nicolet, Le métier de citoyen dans la Rome républicaine, 2nd ed. (Paris, 1989);
39. Paulo Donati Giacomini and Gabrielle Poma, eds., Cittadini e non cittadini nel Mondo Romano: Guida ai testi e ai documenti (Bologna, 1996);
40. Jane F. Gardner, Being a Roman Citizen (London, 1993);
41. David Noy, Foreigners at Rome: Citizens and Strangers (London, 2000);
42. Geoffrey E. M. de Ste-Croix, Class Struggle in the Ancient Greek World (Ithaca, N.Y., 1981), 453-461;
43. Max Kaser, Das römische Privatrecht: Erster Abschnitt: Das altrömische, das vorklassische, und klassische Recht, 2nd ed., 2 vols. (Munich, 1971), 1: 279-282.
44. Aelius Aristides, "To Rome" 59-60;
45. translation based on J. H. Oliver, The Ruling Power (Philadelphia, Pa., 1953), 901.
46. See Peter Garnsey, "Roman Citizenship and Roman Law in the Later Empire," in Simon Swain and Mark Edwards, eds., Approaching Late Antiquity: The Transformation from Early to Later Empire (Oxford, 2004), 133-155, 137: "the spread of citizenship held the key to the prodigious success of Rome";
47. also Sherwin-White, The Roman Citizenship, 222-223;
48. and Ando, Imperial Ideology and Provincial Loyalty.
49. See Arnold H. M. Jones, The Later Roman Empire, 284-602: A Social, Economic and Administrative Survey (Oxford, 1964; repr., Baltimore, Md., 1986), 16;
50. Fergus Millar, The Emperor in the Roman World (31BC-AD 337) (Ithaca, N.Y., 1977), 481;
51. and John P. V. D. Balsdon, Romans and Aliens (Chapel Hill, N.C., 1979), 95.
52. See Christoph Sasse, Die Constitutio Antoniniana: Eine Untersuchung über den Umfang der Bürgerrechtsverleihung auf Grund von Papyrus Gissensis 401 (Wiesbaden, 1958);
53. Adam Lukaszewicz, "Zum Papyrus Gissensis 401 9 ('Constitutio Antoniniana')," The Journal of Juristic Papyrology 20 (1990): 93-101;
54. and Garnsey, "Roman Citizenship and Roman Law," an expanded version of a section on "Citizens and Aliens," in Peter Garnsey and Caroline Humfress. eds., The Evolution of the Late Antique World (Cambridge, 2001), 88-91.
55. for the text, see Salvatore Riccobono, ed., Fontes luris Romani Antejustiniani, vol. 1: Leges (Florence, 1968), no. 88, 445-449;
56. and Fritz M. Heichelheim, "The Text of the Constitutio Antoniniana," Journal of Egyptian Archaeology 26 (1940): 10-22.
57. the dediticii are discussed below.
58. Sherwin-White, The Roman Citizenship, 444: it "introduced no material alteration";
59. Garnsey, "Roman Citizenship and Roman Law," dismisses it as "an accident of history" (133), a "whim" that "came out of the blue" (135, 137);
60. W. Williams, "Caracalla and the Authorship of Imperial Edicts," Latomus 38 (1979): 67-89, 69-72, deems it an "impulsive measure."
61. Peter Brown, Power and Persuasion in Late Antiquity: Towards a Christian Empire (Madison, Wis., 1992), 154.
62. Note also, e.g., Wolfgang Kunkel, An Introduction to Roman Legal and Constitutional History, trans. J. M. Kelley, 2nd ed. (Oxford, 1973), 79ff.;
63. Alfred Sollner, Einführung in die römische Rechtsgeschichte (Munich, 1980), 97;
64. Giacomini and Poma, Cittadini e non cittadini, 165;
65. Gardner, Being a Roman Citizen, 187;
66. and Sherwin-White, The Roman Citizenship, 445.
67. Garnsey, "Roman Citizenship and Roman Law," 140 (reprising Garnsey, "Citizens and Aliens," 88).
68. E.g., Giacomini and Poma, Cittadini e non cittadini, 165.
69. See, e.g., Walter Pohl and Helmut Reimitz, eds., Strategies of Distinction: The Construction of Ethnic Communities, 300-800 (Leiden, 1998);
70. Stephen Mitchell and Geoffrey Greatrex, eds., Ethnicity and Culture in Late Antiquity (London, 2000);
71. Patrick Amory, People and Identity in Ostrogothic Italy, 489-554 (Cambridge, 1997);
72. and Antti J. Arjava, Women and Law in Late Antiquity (Oxford, 1996).
73. Pace Wolf Liebeschuetz, "Citizen Status and Law in the Roman Empire and the Visigothic Kingdom," in Pohl and Reimitz, Strategies of Distinction, 131-152, 134-137.
74. New citizens and their descendants can be identified by their nomen (family name) "Aurelius" (from Caracalla's official name, "Aurelius Antoninus"): Sherwin-White, The Roman Citizenship, 56;
75. Millar, The Emperor in the Roman World, 481;
76. Garnsey, "Roman Citizenship and Roman Law," 143;
77. and Arnold H. M. Jones, John R. Martindale, and John Morris, eds., The Prosopography of the Later Roman Empire, 3 vols., Volume 1: AD 260-395 (Cambridge, 1971), 130-138.
78. See Jones, The Later Roman Empire, 17;
79. Rolf Rilinger, Humiliores-Honestiores: Zu einer sozialen Dichotomie im Strafrecht der römischen Kaiserzeit (Munich, 1988);
80. and Peter Garnsey, Social Status and Legal Privilege in the Roman Empire (Oxford, 1970), 118.
81. See Jean-Michel Carrié, "Developments in Provincial and Local Administrations," in The Cambridge Ancient History, 2nd ed., 20 vols., vol. 12: The Crisis of Empire, AD 193-337 (Cambridge, 2005), 274: the grant entailed "a compulsory adaptation of local laws to Roman juridical principles";
82. also Henriette Pavis d'Escurac, "Affranchis et citoyenneté: Les effets juridiques de l'affranchissement sous le Haut-Empire," Ktema 6 (1981): 181-192.
83. For administrative streamlining, see Millar, The Emperor in the Roman World, 481;
84. and for the legal "simplification that common citizenship would bring," see Honoré, Ulpian, 85.
85. As seen throughout Justinian's Digest; contrary to the assumption that ius civile applied only to "free peoples" (Honoré, Ulpian, 80).
86. Ulpian, Regulae 1.5;
87. see Andrew T. Fear, "Cives Latini, servi publici and the lex Irnitana," Revue internationale des droits de l'antiquité 37 (1990): 149-166;
88. Paul Weaver, "Where Have All the Junian Latins Gone? Nomenclature and Status in the Roman Empire," Chiron 20 (1990): 275-305. The dediticii are discussed below.
89. See Garnsey, "Roman Citizenship and Roman Law," 143, for "geographically, ethnically, and culturally marginal people allowed to slip through the net."
90. See Govaert C. J. J. van den Bergh, "Legal Pluralism in Roman Law," in Csaba Varga, ed., Comparative Legal Cultures (New York, 1992), 338-350.
91. Garnsey, "Roman Citizenship and Roman Law," 137: "local citizenships were tolerated."
92. See also Mostafa A. H. El-Abbadi, "The Alexandrian Citizenship," Journal of Egyptian Archaeology 49 (1962): 106-123.
93. See Arnold H. M. Jones "The dediticii and the Constitutio Antoniniana," in Jones, ed., Studies in Roman Government and Law (Oxford, 1968), 129-140, 136.
94. For cives of cities, see the Theodosian Code [hereafter CTh]: Teodor Mommsen, Paul M. Meyer, and Paul Krüger, eds., Theodosiani libri XVI (Berlin, 1902), 1.10.4 (391), 11.16.6 (346), 12.1.17 (329), 12.1.53 (362), 15.5.3 (409), 15.5.4 (424);
95. and Ammianus Marcellinus, Res gestae 19.2.14, 27.3.
96. Ausonius, Carmina 11.20.40-41: "Diligo Burdigalam, Romam colo; civis in hac sum / consul in ambabus."
97. Amm.Marc. Res gestae 27.9.9;
98. also Novella Valentiniani 5 (440).
99. Alexander Riese, ed., Das rheinische Germanien in den antiken Inschriften (Berlin, 1914), 3.1176 132;
100. see Sherwin-White, The Roman Citizenship, 388.
101. Corpus inscriptionum Latinarum [hereafter CIL] 3.3505, 7533, 14214;
102. Année épigraphique (1924), nos. 142-148 (pp. 237-246);
103. see Sherwin-White, The Roman Citizenship, 56, 210, 269, 387, 269.
104. See Charlotte Roueché, "Asia Minor and Cyprus," in The Cambridge Ancient History, vol. 14: Late Antiquity: Empire and Successors, AD 425-600 (Cambridge, 2001), 572: "Many people chose to describe themselves as inhabitants of their province... rather than as citizens of particular towns."
105. Just. Digest 50.1.1.2.
106. CTh 1.34.1 (400): "cives... provinciae." Popular usage: Gregory of Tours, Gloria confessorum 69.1;
107. Hydatius, Chronicon 217, s.a. 462;
108. and Vita Eugendi 2:
109. F. Martine, ed., Vie des pères du Jura (Paris, 1968), 364-435.
110. For example, CTh 1.5.1, 1.16.6-7, 2.26.3, 2.30.1, 7.4.26, 7.9.1, 7.13.7-8, 7.13.16, 7.20.8, and throughout; also 8.10.2, 11.8.3.1.
111. CTh 1.16.2 (317), 12.12.12.1 (392), 11.20.4.3 (392), 12.12.13 (392), 12.12.14 (408);
112. see Jakob A.O. Larsen, "The Position of Provincial Assemblies in the Government and Society of the Late Roman Empire," Classical Philology 29 (1934): 209-220. Multi-provincial diocesan councils also existed: CTh 12.12.9;
113. Larsen, "The Position of Provincial Assemblies," 213;
114. and Joseph Zeller, "Das Concilium der Septem Provinciae in Arelate," Westdeutsche Zeitschrift für Geschichte und Kunst 24 (1905): 1-19.
115. CTh 4.13.5 (358), 3.1.8 (399), 7.4.26 (401), 7.4.1 (325), 3.1.8 (399), 6.29.5 (359), 8.2.5 (401), 8.12.3 (316), 8.12.8 (415), 11.30.63 (405), 12.12.11 (386), 1.16.2 (317).
116. Larsen, "The Position of Provincial Assemblies";
117. Ando, Imperial Ideology and Provincial Loyalty, 359-361.
118. E.g., Novella Theodosii 3.7 (438);
119. see Carolina Lo Nero, "Christiana dignitas: New Christian Criteria for Citizenship in the Later Roman Empire," Medieval Encounters 1 (2001): 146-164;
120. and Noel Q. King, The Emperor Theodosius and the Establishment of Christianity (London, 1961), 95.
121. Aurelius Augustinus, De civitate dei 22.17;
122. also Paul, Ephesians 2.19: "citizens of sainthood and domestics of God."
123. See Garnsey, "Roman Citizenship and Roman Law," 150-155;
124. and Michel Clévenot, "La double citoyenneté: Situation des chrétiens dans l'empire romain," in Marie-Madeleine Mactoux and Geny Évelyne, eds., Mélanges Pierre Lévêque, vol. 1: Religion (Paris, 1988), 107-115.
125. For law other than ius civile after 212, see Ernst Levy, "The Vulgarization of Roman Law in the Early Middle Ages," Mediaevalia et Humanistica 1 (1943): 14-40
126. and Levy, Weströmisches Vulgarrecht: Das Obligationenrecht (Weimar, 1956);
127. Gudrun Stühff, Vulgarrecht im Kaiserrecht (Weimar, 1966);
128. A. J. Boudewijn Sirks, "Shifting Frontiers in the Law: Romans, Provincials, and Barbarians," in Ralph Mathisen and Hagith Sivan, eds., Shifting Frontiers in Late Antiquity (Aldershot, 1996), 146-157, 150 ("Roman and indigenous law still coexisted");
129. Carrié, "Developments in Provincial and Local Administrations," 274 ("Roman power preserved for local laws the same place that they occupied... within provincial law");
130. Kunkel, An Introduction, 79;
131. Garnsey, "Roman Citizenship and Roman Law," 138-141, 146.
132. For a dissenting opinion, see Honoré, Ulpian, 80: after 212, "the contrast between the civil law and common custom was now of purely historical interest."
133. See, e.g., Jean Gaudemet, Les sources du droit de l'église en occident du Ile au Vie siècle (Paris, 1985).
134. E.g., Garnsey, "Roman Citizenship and Roman Law," 136-137.
135. CTh 6.37.1 (364).
136. CTh 1.34.1 (400).
137. Nov.Theod. 3.6 (438).
138. A point missed, e.g., by Liebeschuetz, "Citizen Status and Law," 135.
139. CTh 8.13.1 (349).
140. Nov. Val. 25 (447).
141. E.g., CTh 9.21.2.1 (321), 4.7.1 (321).
142. See Garnsey, "Roman Citizenship and Roman Law," 144-145.
143. CTh 3.30.4 (331);
144. Nov. Val. 35.2 (452).
145. See CTh 2.9.3, 3.18.2, 9.10.4, 9.14.3, 9.39.2, 14.9.3, 15.14.11;
146. Nov. Val. 23.4; infamia did not necessarily entail complete loss of citizenship (pace Garnsey, "Citizens and Aliens," 89
147. and "Roman Citizenship and Roman Law," 144-145;
148. see Gardner, Being a Roman Citizen, 110-154).
149. CTh 4.6.3 (336);
150. also CTh 16.5.36 (399).
151. CTh 16.5.7 (381).
152. CTh 2.22.1 (326); for Junian Latins, see n. 36 above.
153. CTh 1.32.1 (333).
154. Just. Digest 50.7.18, 49.15, 32.1.2; CTh, Title 5.7;
155. also Maria Virginia Sanna, Nuove ricerche in tema di postliminium e redemptio ab hostibus (Cagliari, 2001).
156. Codex Justinianus [hereafter CJ] 6.7.2.1 (326).
157. Jones, "The dediticii and the Constitutio Antoniniana";
158. Sherwin-White, The Roman Citizenship, 380-398.
159. See Thomas Burns, Rome and the Barbarians, 100 B.C.-A.D. 400 (Baltimore, Md., 2003), 246-247;
160. Sasse, Die Constitutio Antoniniana, 70-104, 111-119;
161. Heichelheim, "The Text," 16;
162. and Kaser, Das römische Privatrecht, 1: 282.
163. Gaius, Institutionum 1.13-14;
164. see Sasse, Die Constitutio Antoniniana, 104-110.
165. Pace Jones, "The dediticii and the Constitutio Antoniniana," 135, that after 212, "no distinction between peregrini and dediticii... was... made."
166. E.g., Ste-Croix, Class Struggle, 455: the distinction between cives and peregrini became "unnecessary and irrelevant";
167. Jean Gaudemet, "L'étranger au bas-empire," in L'étranger, I, Recueils de la Société Jean Bodin 9 (Brussels, 1958): 209-235, 211: the term peregrinus is seen "perdre toute signification juridique précise";
168. also Jones, The Later Roman Empire, 16.
169. Garnsey, "Roman Citizenship and Roman Law," 143-145
170. (cf. "Citizens and Aliens," 89).
171. Provincial: CTh 1.34.1 (400), 8.1.9 (365), 12.1.161 (399);
172. municipal: CTh 6.37.1 (361), 13.11.13 (412);
173. also, Noy, Foreigners at Rome, 25;
174. and Liebeschuetz, "Citizen Status and Law," 138.
175. Sidonius Apollinaris, Epistulae 1.6.3, cf. 2.1.2.;
176. see Sherwin-White, The Roman Citizenship, 387;
177. Otto Karlowa, Römische Rechtsgeschichte, 2 vols. (Leipzig, 1885-1901), 1: 929-930.
178. Corippus, Iohannide 4.1213-1215, cf. 4.439-442, 6.624-625, 7.497-499.
179. Gaius, Institutionum 1.93;
180. see Fernand de Visscher, "La condition des pérégrins à Rome jusqu'à la Constitution Antonine de l'an 212," in L'étranger, I, 195-208;
181. also Sherwin-White, The Roman Citizenship, 310: "barbarian peasantry secured [citizenship] by long service in the provincial militia."
182. In addition to bibliography cited herein, note Gerhart B. Ladner, "On Roman Attitudes toward Barbarians in Late Antiquity," Viator 7 (1976): 1-25;
183. Yves A. Dauge, Le barbare: Recherches sur la conception romaine de la barbarie et de la civilisation (Brussels, 1981);
184. and Dennis B. Saddington, "Roman Attitudes to the externae gentes of the North," Acta classica 4 (1961): 90-102.
185. Note, in particular, Emilienne Demougeot, "Restrictions à l'expansion du droit de cité dans la seconde moitié du IVe siècle," Ktema 6 (1981): 381-393
186. and Demougeot, "Le 'conubium' et la citoyenneté conféré aux soldats barbares du Bas-Empire," in Sodalitas: Scritti in onore di Antonio Guarino, 5 vols. (Naples, 1984), 4: 1633-1643, 1638ff.;
187. Liebeschuetz, "Citizen Status and Law";
188. and Garnsey, "Citizens and Aliens" and "Roman Citizenship and Roman Law."
189. Even Romans belonged to a gens: e.g., CJ4.42.2 (457/465); CTh 7.16.3 = CJ 12.44.1 (420); CTh 8.5.57 = CJ 12.50.16 (397); CTh 5.6.3 (409); CJ 4.41.2 (455/7), 1.17.2 (533).
190. E.g., Julian, Oratio 5.11, where an officer "exhorted his troops, both peregrines and citizens";
191. see Garnsey, "Roman Citizenship and Roman Law," 144.
192. See Martin Bang, Die Germanen im römischen Dienst bis zum Regierungsantritt Constantins I. (Berlin, 1906);
193. Manfred Waas, Germanen im römischen Dienst in 4. Jahrhundert nach Christus (Bonn. 1971);
194. and Klaus-Peter Johne, "Germanen im römischen Dienst," Das Altertum 34 (1988): 5-13.
195. E.g., Dietrich Hoffmann, "Die spätrömischen Soldatengrabschriften von Concordia," Museum Helveticum 20 (1963): 22-57, for twenty-seven epitaphs from a military cemetery near Aquileia, with barbarian names such as Fl. Fandigildis and Fl. Sindila.
196. E.g., Sherwin-White, The Roman Citizenship, 380ff.;
197. Rosario Soraci, Richerche sui conubia tra Romani e Germani nei secoli I-VI (Catania, 1965; rev. ed. 1974);
198. Roger C. Blockley, "Roman-Barbarian Marriages in the Later Empire," Florilegium 4 (1982): 63-79;
199. Demougeot, "Restrictions," 387;
200. Peter Heather, Goths and Romans, 332-489 (Oxford, 1991), 164-165;
201. and Liebeschuetz, "Citizen Status and Law," 1.38.
202. But Sirks, "Shifting Frontiers," 149, states simply, "they did not become Roman citizens."
203. Arguing by assertion, with much use of "assurément," "implicitement," "indéniable," " vraisemblablement," and "sans doute": Demougeot, "Restrictions," 384-387.
204. Demougeot, "Restrictions," 383
205. and "Le 'conubium,'" 1637;
206. Garnsey, "Roman Citizenship and Roman Law," 144;
207. also Millar, The Emperor in the Roman World, 481.
208. See András Mocsy, "Der Name Flavius als Rangbezeichnung in der Spätantike," in Akte des IV. internationalen Kongresses für griechisches und lateinisches Epigraphie (Vienna, 1964), 257-263;
209. also James G. Keenan, "The Names Flavius and Aurelius as Status Designations in Later Roman Egypt," Zeitschrift für Papyrologie und Epigraphik 11 (1973): 33-63
210. and James G. Keenan, Zeitschrift für Papyrologie und Epigraphik 12 (1974): 283-304.
211. For its later use by barbarian kings, see Herwig Wolfram, Intitulatio, vol. 1: Lateinische Königs- und Fürstentitel bis zum Ende des 8. Jahrhunderts (Graz, 1967), 56-76.
212. Demougeot, "Le 'conubium,'" 1637-1641;
213. also "Restrictions," 384.
214. Demougeot, "Restrictions," 388.
215. Heather, Goths and Romans, 164-165
216. citing David Braund, Rome and the Friendly King: The Character of Client Kingship (London, 1984), 39.
217. Garnsey. "Roman Citizenship and Roman Law," 144.
218. Catalogued in Jones, Martindale, and Morris, The Prosopography, 1: 350-361
219. and J. R. Martindale, The Prosopography of the Later Roman Empire, Volume 2: AD 395-527 (Cambridge, 1980), 474-476.
220. See Garnsey, "Roman Citizenship and Roman Law," 144.
221. Themistius, Orationes 167.211-212;
222. Pacatus, Pan.Lat. 2/12.36.4, "iussisti esse Romanam."
223. Claudian, De consulatu Stilichonis 3.152-153: "civesque vocavit / quos domuit."
224. Corip. Iohannide 8.461-462: "cives putat esse latinos."
225. Synesius, De regno 21/25C: 50, 13-14;
226. Nicola Terzaghi, ed., Synesii Cyrenensis opuscula (Rome, 1944), 50, ll.13-14.
227. Liebeschuetz, "Citizen Status and Law," 135, suggests that here "politeia" "has acquired a new meaning," being applied to "non-naturalized barbarians who had acquired the right to live within the empire." The normal meaning of "citizenship," however, fits the context perfectly well.
228. Claud. De cons.Stil. 3.180-181: "Roma... gaudebat... / quod te... meruisset... civem."
229. Stilicho's ancestry: De Cons.Stil. ibid. 1.35-39;
230. Orosius, Historia adversus paganos 7.38.1;
231. Johannes Antiochenus, fr. 187; Jerome, Epistulae 123.16;
232. Jones, Martindale, and Morris, The Prosopography, 1: 853.
233. See, e.g., Evangelos Chrysos, "Legal Concepts and Patterns for the Barbarian's Settlement on Roman Soil," in Chrysos and Andreas Schwarcz, eds., Das Reich und die Barbaren (Vienna, 1989), 13-23;
234. Dietrich Claude, "Zur Ansiedlung barbarischer Föderalen in der ersten Hälfte des 5. Jahrhunderts," in Herwig Wolfram and Andreas Schwarcz, eds., Anerkennung und Integration: Zu den wirtschaftlichen Grundlagen der Völkenwanderungszeit 400-600 (Vienna, 1988), 13-16;
235. Ramsay MacMullen, "Barbarian Enclaves in the Northern Roman Empire," Antiquité classique 32 (1963): 552-561;
236. Lawrence Okamura, "Roman Withdrawals from Three Transfluvial Frontiers," in Mathisen and Sivan, Shifting Frontiers, 11-19;
237. and, with a comprehensive list, Ste-Croix, Class Struggle, 245-249, 509-518.
238. Strabo 7.303;
239. Eutropius, Breviarium 7.9;
240. Hermann Dessau, ed., Inscriptions Latinae selectae, 2nd ed., 5 vols. (Berlin, 1954-1955), 1: no. 986.
241. Dio Cassius, Historiae 71.11.4-5, 71.12.1-3, 71.16.2, 71.31;
242. Historia Augusta [hereute HA] Marcus Aurelius, Meditations 22.2, 24.3.
243. HA Claudius 9.4;
244. also HA Aurelian 48.2 for the settlement of "captive families" in northern Italy for the creation of a viticulture industry.
245. Pacat. Pan.Lat. 8/5.9.3:
246. Charles E. V. Nixon and Barbara Saylor Rodgers, eds., In Praise of Later Roman Emperors (Berkeley, Calif., 1994), 121-122.
247. Pierre Bastien, Le médaillon de plomb de Lyon, appended to Bastien, Michel Amandry, and Georges Gautier, eds., Le monnayage de l'atelier de Lyon (274-413), Supplément (Wetteren, 1989);
248. SteCroix, Class Struggle, 513. The possibility that this scene represents repatriated Roman captives is belied by the depiction of barbarian deditio (surrender). (See Figure 1.)
249. Pacat. Pan.Lat. 7/6.6.
250. Anonymus Valesianus 32;
251. Amm.Marc. Res gestae 19.11.6: tributarius was another name for colonus: CTh 5.11.9 (364/5), 10.12.2 (368/373), 11.7.2 (319), 12.6.21 (368);
252. Ausonius, Mosella 9.
253. Amm.Marc. Res gestae 20.4.1, 28.5.15, 31.9.4.
254. Consularia Constantipolitana s.a. 386: Monumenta Germaniae historica [hereafter MGH], Auctores antiquissimi 9.214.
255. CTh 5.6.3 (409): "They have been received by no other right than that of the colonate."
256. E.g., Heather, Goths and Romans, 113, suggests that groups from beyond the frontier submitted "not as full citizens but as dependent subjects."
257. For coloni as Roman citizens, see Liebeschuetz, "Citizen Status and Law," 136.
258. For laeti, see CIL 13.6592;
259. Pacat. Pan.Lat. 8/5.21.1;
260. Amm.Marc. Res gestae 20.4.1, 20.8.13, 24.1.15;
261. CTh 7.20.10 (369), 7.20.12 (400), 13.11.10 (399);
262. Novella Seven 2.1 (465);
263. also Emilienne Demougeot, "A propos des lètes gaulois du IVe siècle," in Festschrift für Franz Altheim (Berlin, 1970), 101-113;
264. C. J. Simpson, "Laeti in thé Notitia Dignitatum: Regular Soldiers vs. Soldier Farmers," Revue belge de philologie et d'histoire 66 (1988): 80-85.
265. Pacat. Pan.Lat. 8/5.21.1;
266. Nixon-Rodgers, In Praise of Later Roman Emperors, 105.
267. See Demougeot, "Letes," 104;
268. Nixon-Rodgers, In Praise of Later Roman Emperors, 143 n. 76.
269. CTh 7.15.1 (409). Similarities to laeti: Notitia dignitatum occidentalium 42.
270. Such as Ellebichus, Master of Soldiers 383-388:
271. Libanius, Epistulae 898;
272. Areobindus, Master of Soldiers 434-449;
273. Theodoret, Epistulae 18.23;
274. and FI. Valila qui et Theodobius (discussed below). See Blockley, "Roman-Barbarian Marriages."
275. For barbarian taxpayers, see also Themist. Orat. 167.211-212.
276. E.g., CTh 7.20.3 (320), 7.20.4 (325), 7.20.8 (364), 7.20.11 (373).
277. CTh 7.20.12 (400).
278. CTh 5.11.7 (365). Because the following four constitutions dealt with deserted land, this one probably also did.
279. See Ralph W. Mathisen, "Violent Behavior and the Construction of Barbarian Identity in Late Antiquity," in Harold Drake, ed., Violence in Late Antiquity (Aldershot, 2006), 27-35.
280. CTh 13.11.10 (399).
281. See Ralph Mathisen, "Adnotatio and petitio: The Emperor's Favor and Special Exceptions in Early Byzantine Law," in Denis Feissel, ed., La pétition à Byzance (Paris, 2004), 23-32.
282. Zosimus, Historia nova 2.54;
283. Aurelius Victor, Caesares 41.25;
284. see Jones, Martindale, and Morris, The Prosopography, 1: 532.
285. CTh 3.14.1 (365/373);
286. see Hagith S. Sivan, "Why Not Marry a Barbarian? Marital Frontiers in Late Antiquity (The Example of CTh 3.14.1)," in Mathisen and Sivan, Shifting Frontiers, 136-145;
287. also Alexander Demandt, "The Osmosis of Late Roman and Germanic Aristocracies," in Chrysos and Schwarcz, Das Reich und die Barbaren, 75-86;
288. Blockley, "Roman-Barbarian Marriages," 53ff.;
289. and Soraci, Richerche sui conubia, 81-108 (for earlier bibliography).
290. See Demandt, "Osmosis";
291. Soraci, Richerche sui conubia;
292. Blockley, "Roman-Barbarian Marriages";
293. and Maria Bianchini, "Ancora in tema di unioni fra barbari e Romani," Atti dell' Accademia romanistica constantiana 1 (1988): 225-249.
294. For a similar distinction, compare CTh 3.4.1 (374), "non solum in barbaris, sed etiam in provincialibus servis."
295. Military gentiles are attested in Africa in legal sources (CTh 7.15.1 [409], 12.12.5 [364], 11.30.62 [405]), and in Italy and Gaul in Not.dig.occ. 42.
296. As assumed, e.g., by Gaudemet, "L'étranger," 223;
297. Demougeot, "Le 'conubium' "
298. Bianchini, "Ancora in tema di unioni," 225, 249.
299. CTh 3.7.3 (428).
300. E.g., CTh 3.7.2 = 9.7.5, 3.12.1 (342), 3.12.3 (422);
301. see Judith Evans-Grubbs, Law and Family in Late Antiquity: The Emperor Constantine's Marriage Legislation (Oxford, 1995).
302. Sivan, "Why Not Marry a Barbarian?" connects the law to North Africa;
303. Soraci, Richerche sui conubia
304. and Bianchini, "Ancora in tema di unioni," to Gaul.
305. The barbarian general Fravitta needed special permission from the emperor to marry a Roman ca. 400 (Eunapius, fr. 59) probably not because of his barbarian ethnicity but because he was a pagan (see n. 144 below).
306. See Sara Elise Phang, The Marriage of Roman Soldiers (13 B.C. - A.D. 235); Law and Family in the Imperial Army (Leiden, 2001).
307. Nov.Sev. 2 (465).
308. Contra Symmachum 2.598-614.
309. CTh 3.4.1 = CJ 4.58.5 (386); CTh 13.4.4 (374); CJ 4.42.2 (457/465).
310. CTh 11.30.62 (405). Pace Sirks, "Shifting Frontiers," 149, "Barbarians were not subjected to Roman courts."
311. Yves Modéran, Les Maures et l'Afrique romaine (Rome, 2003), 500 (cf. 348, 510),
312. however, suggests that these gentiles already were citizens; contra: Ste-Croix, Class Struggle, 515.
313. Eunapius, fr. 82;
314. Jones, Martindale, and Morris, The Prosopography, 1: 372-373.
315. CTh 16.5.42 (408);
316. Zos. Hist.nov. 5.46: James J. Buchanan and Harold T. Davis, trans., Zosimus: Historia nova - The Decline of Rome (San Antonio, Tex., 1967), 243-244.
317. Zos. Hist.nov. 5.46.2-4;
318. Martindale, The Prosopography, 2: 500-501.
319. Pacat. Pan.Lat. 8/5.21.1;
320. Nixon-Rodgers, In Praise of Later Roman Emperors, 105.
321. HA Tacitus 15.2: "sub Romanis legibus."
322. Zos.Hist.nov. 3.30.4;
323. discussed by Ando,Imperial Ideology and Provincial Loyalty, 341;
324. cf. Sidonius Apollinaris, Carmina 7.495-496, 510-511.
325. Nov.Theod. 16 (439).
326. CJ 1.3.28.3 (468). Significantly, this law was included in two barbarian law codes, the Visigothic Breviarium and the "Roman Law of the Burgundians" (45.2).
327. Municipality: CTh 6.4.21.4, 8.12.3, 12.1.98, 12.1.119, 12.1.146, 12.18.2, 14.9.1, 15.1.42: Empire: CTh 9.37.2, 10.10.25.
328. CTh 7.20.8: "quam volunt patriam damus."
329. De regno 19/23C.
330. Zos. Hist.nov. 5.13.1.
331. John Malalas, Chronicon 371;
332. Chronicon paschak s.a. 467.
333. U. di Gianlorenzo, "I barbari nel senato romano al sesto secolo," Studi e documenti di storia e diritto 20 (1899): 127-191.
334. Chronicon paschale s.a. 459. My thanks to one of the referees for this example.
335. Dessau, Inscriptiones Latinae selectae, no. 1294.
336. Carta Cornutiana: Louis Duchesne, ed., Liber pontificalis, 2 vols. (Paris, 1886-1892), 1: Icxlvii.
337. See Martindale, The Prosopography, 2:1147;
338. and Helmut Castritius, "Zur Sozialgeschichte der Heermeister des Westreichs nach der Mitte des 5. Jh.: Flavius Valila qui et Theodovius," Ancient Society 3 (1972): 233-243.
339. Malchus, fr, 2: Lia Raffaella Cresci, ed., Malco di Filadelfia: Frammenti (Naples, 1982).
340. Liber pontificalis 49: Duchesne 250.
341. Note, e.g., the families of Arbogast and Richomer, Stilicho, Aspar, and Ricimer (Jones, Martindale, and Morris, The Prosopography, 1: 95-97, 765-766, 853-858;
342. Martindale, The Prosopography, 2: 1310, 1312).
343. E.g., Amm.Marc. Res gestae 21.4.3, 29.6.5, 18.2.17;
344. see A. D. Lee, Information and Frontiers: Roman Foreign Relations in Late Antiquity (Cambridge, 1993), 71.
345. CTh 2.1.10 (398).
346. "non cunctamur... ciuitatem Romanam salvo iure gentis dare": Tabula Banasitana (ca, 161/169):
347. Nadine Labory, ed., Inscriptions antiques du Maroc II: Inscriptions latines (Paris, 1982), n. 94, 76-91.
348. See A. N. Sherwin-White, "The Tabula of Banasa and the Constitutio Antoniniana," Journal of Roman Studies 63 (1973): 86-98.
349. For dual citizenship: Honoré, Ulpian, 24;
350. and Braund, Rome and the Friendly King, 39ff.: "Gothic leaders easily could have held dual citizenship."
351. For the laws of barbarian gentes, see Sirks, "Shifting Frontiers," 153-155.
352. Military: Vegetius 2.5; provinces: n. 53 above.
353. CIL 11.1731 (423).
354. Sid.Apoll. Epist. 7.6.2-3.
355. CIL 11.3576 (Aquincum, near Budapest).
356. Except for a few early examples of bureaucratic inertia; see Herodian, History 8.4.2,
357. and Sherwin-White, The Roman Citizenship, 388.
358. And to hold the office of Consul certainly implied that one had the ius honorum, the right of Roman citizens to hold office.
359. E.g., Epict. Disc. 3.41: "those who falsely claim Roman citizenship are severely punished";
360. see Meyer Reinhold, "Usurpation of Status and Status Symbols in the Roman Empire," Historia 20 (1971): 275-302.
361. A point made by Ando, Imperial Ideology and Provincial Loyalty, 352, for the pre-212 period.
362. Just. Digest 50.1.33. For this concept, see Yan Thomas, L'origine de la commune patrie: Etude de droit public romain (89 av. J.-C.-212 ap. J.-C.) (Paris, 1996).
363. HA Probus 18.4-5.
364. For Roman rule of the "orbis terrarum" ("circle of the lands"), see Ando, Imperial Ideology and Provincial Loyalty, 278.
365. E.g., Cassiodorus, Variarum 1.1, to the Byzantine emperor Anastasius, "Regnum nostrum imitatio vestra est."
366. For the Ostrogothic "Edict of Theoderic,"
367. see Sirks, "Shifting Frontiers," 153;
368. and G. Vismara, Edictum Theodorici (Milan, 1967).
369. For the Visigothic "Code of Euric,"
370. see Mommsen, Meyer, and Krüger, Theodosiani libri XVI, 1: cccvii-cccxxi; for Visigothic use of Roman law,
371. see John Matthews, "Roman Law and Barbarian Identity in the Late Roman West," in Mitchell and Greatrex, Ethnicity and Culture, 31-44.
372. For the Burgundian laws, see Katherine Fischer Drew, trans., The Burgundian Code Book of Constitutions or Law of Gundobad: Additional Enactments (Philadelphia, Pa., 1949).
373. And for the Franks, see Drew, The Laws of the Salian Franks (Philadelphia, Pa., 1991). Applicability: Liebeschuetz, "Citizen Status and Law," 142-147.
374. Cass. Var. 7.3.1.
375. CTh 2.1.10 = Breviarium Alarici 2.1.10 (506).
376. Visigoths: CTh 4.7.1 = Brev.Alar. 4.7.1 (506).
377. Burgundians: Lex Romana Burgundionum 3.
378. Nov.Val. 25, interpretatio) (506).
379. Lex Romana Burgundionum 45.2 (derived from Nov.Theod. 16, also included in the Visigothic Breviarium), 45.4.
380. Gregory the Great, Regularum 6.12 (595): "vos... liberos... civesque romanos efficimus";
381. Lex Visigothorum 12.2.13-14.
382. Formulae Arvernenses 27: MGH, Formulae 30, cf. 141, 172, 182, 246, 257-258, 311-313, 518, and throughout.
383. For Gaul, see Gregory of Tours, Historiae 7.31, 8.20, 10.31, 9.6, 2.11, 4.16, 9.13, 6.13;
384. CTh 1.29.6 = Brev.Alar. 1.10.1 interpretatio; for Italy,
385. see, e.g., Cass. Var. 1.21.1, 2.37.1, 3.44.1, 6.23, 7.8, 7.11-12, 7.29, 7.44, 8.30.3, 8.31, 9.2.4-6, 9.5.1, 9.14.2, 11.12, 12.13.1, 12.15.6;
386. special attention was given to the citizens and Senate of Rome: e.g., Cass. Var. 1.41, 2.32, 3.10, 9.17, 10.13.
387. Cass. Var. 6.11.1, 7.37.1; cf. 4.16.1, 6.1.1-4, 11.13.3, 11.5.4.
388. Lex Visigothorum (= Liber iudiciorum) 1.3.
389. Sid.Apoll. Epist. 8.9.3.
390. See Paul S. Barnwell, Emperors, Prefects and Kings: The Roman West, 395-565 (Chapel Hill, N.C., 1992).
391. See William Blackstone, Commentaries on the Laws of England, 4 vols. (Oxford, 1765-1769), 1: 354: "The first and most obvious division of the people is into aliens and natural-born subjects."
392. Note also Gaines Post, "Philosophy and Citizenship in the Thirteenth Century: Laicisation, the Two Laws, and Aristotle," in William C. Jordan, Bruce McNab, and Teofilo R. Ruiz, eds., Order and Innovation in the Middle Ages: Essays in Honor of Joseph R. Strayer (Princeton, N.J., 1976), 401-408.
393. Most discussions of Roman law in the Middle Ages do not even mention citizenship; e.g., Paul Vinogradoff, Roman Law in Medieval Europe (Oxford, 1929).
394. See Martha C. Howell, "Citizenship and Gender: Women's Political Status in Northern Medieval Cities," in Mary Erler and Maryanne Kowaleski, eds., Women and Power in the Middle Ages (Athens, Ga., 1988), 37-60.
395. See Nussbaum, "Kant and Stoic Cosmopolitanism," 9;
396. and Immanuel Kant, Anthropology from a Pragmatic Point of View, trans. Mary J. Gregor (The Hague, 1974), 4.
397. In general, Bertrand Lançon, "La modernité du bas empire romain," in Roger-Pol Droit, ed., Les Grecs, Les Romains et nous: L'Antiquité est-elle moderne? (Le Mans, 1991), 332-345;
398. Christian Bruschi, "Le droit de cité dans l'Antiquité: Un questionnement pour la citoyenneté d'aujourd'hui," in C. Wihtol de Wenden, ed., La citoyenneté et les changements de structures sociale et nationale dans la population française (Paris, 1988), 126-153;
399. and C. Nicolet, "Citoyenneté française et citoyenneté romaine: Essai de mise en perspective," in La nozione di "romano " tra cittadinanza e universalità (Rome, 1984), 145-173.