The Problem of the Principate

After the assassination of the dictator Gaius Julius Caesar in March 44 BC, turmoil resumed in the Roman Republic, lasting until 30 BC. Both Caesar's supporters—Mark Antony, Marcus Aemilius Lepidus, the dictator's adopted son and heir Gaius Octavius Thurinus—and pardoned republicans—Marcus Junius Brutus, Gaius Cassius Longinus, and Marcus Tullius Cicero who joined them—raised their heads. The winner of this "royal battle" of antiquity was Gaius Octavius Thurinus, who adopted the name Gaius Julius Caesar Octavian. In 31 BC, in the Battle of Actium off the coast of modern Greece, his fleet, commanded by the general Marcus Vipsanius Agrippa, defeated the last competitors—Mark Antony and his wife, the Queen of Egypt Cleopatra VII. Pursued by Octavian in Alexandria, Egypt, the couple committed suicide, and Caesar's adopted son became the sole ruler of the Republic.

At that time, Octavian had enormous support in the army, popularity among the people, and officially held the position of triumvir—effectively, dictator. The victor faced the question of how to properly manage this power: to restore the Republic or establish a monarchy? The historian of the 3rd century AD, Cassius Dio, conveys the burdens of choice and the mood in the elite in a scene of conversation between Octavian and his friends—Agrippa and Gaius Cilnius Maecenas. While Agrippa insisted on returning to the republican system, Maecenas proposed establishing a covert monarchy:

"Consider the wisdom of these and other pieces of advice I have given you, listen to me, and do not betray the fortune that has chosen you and raised you above all. If, in fact, you acknowledge the monarchy but fear bearing the hated title of king, renounce it and be content with becoming the sole ruler under the name of Caesar. If you still desire other titles, you will be called emperor, as your father was; some solemn epithet will be added to your name, and you will enjoy all the advantages of a king's power without needing its base name."

[Cassius, Roman History, LII, 40]

Octavian faced four examples:

• The senatorial dictator Sulla, popular among the Roman nobility but leaving a bad memory due to large-scale repressions;
• The merciful dictator and adoptive father Caesar, popular among the common people but assassinated in a noble conspiracy;
• The Princeps of the Senate Cicero, who united the senatorial nobility but lost to his more popular rivals in the army and among the people;
• The overly xenophilic and eccentric triumvir Antony, tempted by the East and defeated by Octavian himself.

In all these examples, Octavian saw their weaknesses and, in the end, came to a compromise solution—the principate.

The regime of the principate developed gradually. In 29 BC, Octavian received censorial powers from the Senate and conducted a purge of undesirable persons, appointing himself as princeps—the person first on the list of senators and speaking the first word. Soon, the word "princeps" acquired the meaning of "first among equals" for the Romans throughout the Republic.

In January 27 BC, Octavian publicly renounced dictatorial powers and announced the return of power to the Senate and the people of Rome, the "restoration of the Republic." The senators, not expecting such a move, in response endowed him with supreme power ("imperium," from which the words "emperor" and "empire" derive) in the provinces of Gaul, Spain, and Syria, where almost all the legions were concentrated, and the newly annexed Egypt became Octavian's personal possession. Thus, the emperor effectively secured control over the army. The remaining provinces remained under the Senate's jurisdiction.

Simultaneously, Octavian retained the annually held position of consul—the highest official in Rome. At the same time, at the Senate's suggestion, he took the name "Augustus" ("sacred"), which already had a religious character. Initially, the princeps was offered to take the name Romulus, but according to historian Ya. Yu. Mezheritsky, he refused due to associations with the murder of Remus and royal power, which was unacceptable for the "savior of the Republic."

Further developments followed. By 23 BC, the princeps officially received immunity from prosecution, the right to intervene in the administration of senatorial provinces ("imperium maius"), and the powers of a people's tribune—i.e., the right to veto Senate legislative initiatives and promote his own legislative initiatives. To "sweeten the pill," Augustus renounced the annual consulship, considering the powers he had sufficient to control the Republic.

Thus, the princeps concentrated in his hands a vast number of powers of republican officials—consuls, proconsuls, people's tribunes, censors, and others, but refused the discredited dictatorship. He gained supreme power over a significant part of the provinces and officially gained control over the army. At the same time, Augustus did not abolish the Republic, did not cancel the election of officials, did not prohibit popular assemblies, did not dissolve the Senate—all these institutions continued to function but under the control of the princeps.

The inseparability of the Republic and the Empire was written about by Theodor Mommsen. From the example of his predecessors, Octavian saw that open dictatorship did not coexist in Rome, royal power was repugnant to him on an existential level, but he still did not want to part with supreme power. The system of the principate became a compromise solution, reconciling sole power with the republican consciousness of the masses and elites—the princeps retained control but left room for political maneuvering. It can be said that, in the end, Augustus followed Maecenas's advice rather than Agrippa's.

Who Will Replace the Princeps?

No one is eternal. Augustus was well aware of his mortality and the problem of power transition in the new political reality. He could not openly appoint an heir, as the Republic could not be transferred like a possession and was considered the property of the entire Roman people, not just one princeps. There was no institution of imperial power as a separate inheritable position. The regime was in a state of suspension, as it lacked firm legal grounds. There was only Augustus, who personally concentrated in his hands a number of powers and positions that different people had previously held. The emperor remembered the efforts it took to seize the power bequeathed to him by his adoptive father. The regime was tied to his personality and enormous authority, so the choice of heir and stable transition depended on Rome's further political fate. The Eternal City and the entire Mediterranean stood at a historical crossroads.

Augustus had a large family, and he had many to choose from. The first in the line of heirs was Marcus Claudius Marcellus—the son of his elder sister Octavia Minor and the consul of 50 BC, Gaius Claudius Marcellus. Marcellus was born in 42 BC and throughout his life enjoyed his uncle's favor, who paid much attention to his nephew: he accompanied Octavian at the triumph of 29 BC in honor of the victory in the civil war, the princeps involved him in state affairs, military campaigns, organizing games, and religious service. In general, he allowed him to prove himself. And the young man did not disappoint—in the position of military tribune, he successfully participated in the Cantabrian War, and as an aedile, he organized magnificent games. Augustus even married him to his daughter Julia the Elder. Marcellus was getting a taste of power and began to conflict with Agrippa. However, fatefully, he died in 23 BC at the age of 19 from a sudden illness, and he was not destined to take the reins of Rome.

The next successor was Augustus's best general, the aforementioned Marcus Vipsanius Agrippa. Agrippa, along with Maecenas, were Octavian's closest friends, whose opinions he valued and whose undeniable talents he appreciated. Agrippa was born in 63 BC into a plebeian family of Lucius Vipsanius. He was a man who rose to the heights of Roman politics thanks to his great talents as an administrator and military leader, as well as his close and long friendship with the princeps. Agrippa took on all matters related to war—he victoriously commanded legions in Spain, the Balkans, and Gaul, annexing many territories to the empire. But most importantly, he won the most crucial battle of Octavian's life—the Battle of Actium. In fact, it was to Agrippa that Augustus owed his rise to power.

The princeps accorded his best friend appropriate honors and trust. He enjoyed the position of the second person in the Republic, and in Augustus's absence from Rome, he took on state affairs. In 23 BC, when the princeps fell seriously ill, it was to Agrippa that he handed his ring, which many interpreted as the appointment of a successor, as Augustus considered the still-living Marcellus insufficiently mature. After his recovery and Marcellus's death, the princeps married his best friend to his daughter and the widow of the deceased—Julia the Elder. Augustus was so confident in his friend that he even appointed him co-ruler—Agrippa shared with him the power of the people's tribune and imperium over the provinces, periodically being elected consul. The princeps surpassed Agrippa only in authority; legally, they were equal. Agrippa's external modesty and humility were also attractive—he always refused the triumphs repeatedly awarded to him, responsibly handled all assigned tasks, and did not go against his friend.

But here we come to a very delicate moment—the republican worldview of Agrippa. Cassius Dio tells us that he, contrary to Maecenas, proposed restoring full republican rule, although many modern historians, such as Ya. Yu. Mezheritsky and A. L. Smyshlyaev, doubt the authenticity of this speech. However, Agrippa's external modesty, responsibility, and diligence perfectly matched the image of old republican virtues. Perhaps, had Agrippa succeeded Augustus, the Romans would have received, if not a true restorer of the Republic, then at least a just and mild ruler like the later Emperor Trajan. However, Agrippa died in 12 BC, returning from a military campaign in Pannonia. The princeps lost a loyal friend, the best general, and a probable heir.

Augustus had a beloved stepson, Nero Claudius Drusus, the son of his third and last wife Livia. Drusus was born in 38 BC to Livia's previous husband, Tiberius Claudius Nero. However, the hastily concluded marriage of Octavian with Livia aroused suspicion among the Romans that Drusus was the illegitimate child of the emperor himself. Putting aside these rumors, it should be noted that Drusus indeed enjoyed great love and respect from his stepfather, who actively involved him in state and military affairs. In the latter, Drusus especially excelled. Together with his brother Tiberius, he actively fought against the Germans and Raetians, annexing significant territories in Germany and the province of Raetia to the empire. In 9 BC, Drusus reached the Elbe, where the army proclaimed him emperor. However, in the same year, on the way back, he fell from his horse and died from his injuries.

According to Suetonius, Drusus, like Agrippa, also held republican views and even tried to persuade his stepfather to restore genuine republican rule. The princeps tolerated his views, and likely saw him as a possible heir, placing him above his elder brother Tiberius.

After Drusus's death, Augustus's choice fell on Agrippa's children by Julia the Elder—Gaius and Lucius, who took the names Gaius Julius Caesar Vipsanianus and Lucius Julius Caesar Vipsanianus, born in 20 and 17 BC, respectively. The princeps paid great attention to the boys' upbringing, hiring the best teacher of his time for them—the freedman Marcus Verrius Flaccus. Augustus tried to involve them in state affairs, but here too he was unsuccessful. Lucius set out for Spain for inspection but died on the way in Massalia in 2 AD. Gaius, whom the princeps called his "dear little donkey" and loved dearly, died in 4 AD on the way back from a diplomatic mission in Armenia.

Complex Tiberius

After a series of heavy losses, Augustus was left with only one candidate for the role of heir—Tiberius Claudius Nero. With the elder son of Livia, the princeps had the most complex relationship compared to all his previous successors.

Tiberius was born from Livia's first marriage to Tiberius Claudius Nero in 42 BC. After his parents' divorce, the boy grew up in his father's house, but in 33 BC, he died, and Livia's children began living in their stepfather's house. It cannot be said that Augustus was cold towards his stepsons—he undoubtedly loved Drusus and at least respected Tiberius. This difference in attitude can be explained by the fact that at the time of Octavian's acquaintance with Livia, Tiberius was already 4 years old, while Drusus was observed by his stepfather from infancy. The brothers were also very close to each other.

As with Drusus, Tiberius was actively involved by Augustus in state and military affairs. Together with his brother and Marcellus, he accompanied Octavian at the triumph of 29 BC and was also considered among potential heirs. Augustus found Tiberius a wife—Vipsania Agrippina, the elder daughter of his best friend Agrippa. Tiberius was happy in this marriage, and he even had a son, whom he named after his beloved brother Nero Claudius Drusus. Like his brother, Tiberius achieved success in commanding troops. He successfully negotiated with Parthia for Armenia's neutral status and the return of legionary eagles lost in the Battle of Carrhae in 53 BC. He then commanded in Gaul and on the Danube and held the consulship in 13 and 7 BC.

After the deaths of Marcellus and Agrippa, Tiberius's "stock" as a possible successor rose. Augustus intervened in his stepson's personal life and forced him to divorce his beloved wife to marry Julia the Elder—the princeps's daughter and widow of the two previous heirs, who by that time was not known for particular chastity and openly despised her new husband. Soon, Tiberius returned to the legions and, together with Drusus, took part in the war against the Germans.

The next blow for Tiberius was the death of his brother in 9 BC, who died in his arms. At the same time, their child with Julia also died. The forced divorce, the contempt of his new wife, the death of his brother and son broke Tiberius, and in 6 BC, he withdrew from Rome to the island of Rhodes. Such behavior deeply offended Augustus, and Tiberius was stripped of most of his titles.

However, the death of Agrippa's grandsons forced the princeps to reconsider his attitude and make concessions to Tiberius—he was granted a divorce from his unloved wife. Moreover, Augustus, citing his own law on marital infidelity, exiled Julia from Rome to the island of Pandateria. In 4 AD, the princeps officially adopted Tiberius, and Tiberius adopted Drusus's son—Germanicus. Tiberius became Augustus's de facto co-ruler, endowed with imperium over the provinces, consular power, and tribunician powers—in this, his position was entirely identical to Agrippa's. Stepfather and stepson had mutual respect for each other, and in the last years of joint rule, their relationship warmed. Nevertheless, all past dramas and isolation on Rhodes affected Tiberius's character. Suetonius and modern researchers note the misanthropy and general depression of the heir.

A Crossroads in Mediterranean History

Augustus is difficult to call a good family man. Being a talented politician, extremely sensitive to public sentiments, he seemed blind in matters of relations with his close ones. His behavior with his own household and friends can even be called despotic. The princeps unceremoniously interfered in the personal lives of his daughter, best friend, and stepson. He outlived almost all his heirs, but still, despite the problems he created for himself, he managed to raise a capable and experienced successor. After the death of the 76-year-old Augustus in 14 AD, the 55-year-old depressive misanthrope Tiberius became the ruler, who resolutely continued the policy of strengthening the personal power of emperors against the republican opposition in the Senate.

From the example of a long line of potential successors, we see that such a result was not predetermined. At least two of Augustus's probable heirs were suspected of republican views. What would have happened if Agrippa or Drusus had inherited power? Or if the princeps had been succeeded by minor grandsons? The history of the entire Mediterranean could have taken a different path if the polis republican model of governance had been preserved. The republican opposition preserved by Augustus had the opportunity to restore a truly republican system in the event of favorable circumstances, which never came.

Augustus left behind a constitutionally undefined Republic without a clearly defined process of power transition. As a result, the rule of his successors from the Julio-Claudian dynasty would turn into a series of constitutional crises and the civil war of 68–69 AD. The confrontation between emperors and the Senate would only be ended by Diocletian, establishing a new regime of the Dominate—absolute monarchy—at the end of the 3rd century AD.