The Dark Ages Collection. David Hume
which were probably very small, were under the control of the Master of Soldiers in Italy.61 There was no independent naval command. In the east we find no mention of fleets or naval stations62 with the exception of the small flotillas which patrolled the Lower Danube under the direction of military commanders on that frontier. For centuries the Mediterranean had been a Roman lake, and it was natural that the navy should come to be held as an almost negligible instrument of war. In the third century it had been neglected so far as even to be inadequate to the duty of policing the waters and protecting the coasts against piracy. An amazing episode in the reign of Probus illustrates its inefficiency.63 A party of Franks, settled on the shores of the Black Sea, seized some vessels, sailed through the Propontis, plundered Carthage, Syracuse, and other cities, and then passing into the Atlantic safely reached the mouths of the Rhine. Yet in the contest between Constantine and Licinius navies played a decisive part, and the two adversaries seemed to have found many useful vessels in the ports of Greece, Syria, Egypt, and Asia Minor. The fleet of Licinius numbered 350 ships and that of Constantine 200, some of which he built for the occasion. It is not clear what the status of these ships was. In the fifth century the Empire was to feel the want of an efficient navy, when the Mediterranean ceased to be an entirely Roman sea and a new German power in Africa contested the supremacy of its waters. But the failures and defeats which marked the struggle with the vandals did not impress the government of Constantinople with the need of building up a strong navy. The sea forces continued to be regarded as subsidiary, and in overseas expeditions the fleets which convoyed the transports were never placed under an independent naval command. Not until the seventh century, when the Empire had to fight for its very existence with an enemy more formidable than the Vandals, was a naval establishment effectively organised and an independent Ministry of Marine created.
§ 3. The Financial System
There are three things which it is important to know about the finances of the Empire. The first is, the sources of revenue, and how they were collected; the second is the total amount of the revenue; the third is the total amount of the normal expenditure. As to the first we are fairly well informed; we know a good deal, from first-hand sources, about the system of taxation and the financial machinery. As to the second and third we are in the dark. No official figures as to the annual budget at any period of the later Roman Empire have been preserved, and all attempts to calculate the total of either income or outgoings are guess work, and are based on assumptions which may or may not be true. The utmost that can be done is to fix a minimum.
The financial, like every other department of administration under the autocracy, differed in its leading features from that of the Principate. In raising the revenue the ideal aimed at was equalisation and uniformity; to treat the whole Empire alike, to abolish privileges and immunities. Italy, which had always been free from the burdens borne by the provinces, was largely deprived of this favoured position by the policy of Diocletian.64 The ideal was not entirely attained; some anomalies and differences survived; but on the whole, uniformity in taxation is the striking characteristic of the new system in contrast with the old. Another capital difference had been gradually brought about. The device of committing the collection of the revenue to middlemen, the publicans, who realised profits altogether disproportionate to their services, was superseded partly by the direct collection of the taxes by Imperial officials, partly through the agency of the local magistracies of the towns. Moreover, when we survey the sources of revenue at the end of the fourth century, we find that many of the old imposts of the Principate have disappeared, that new taxes have taken their place, and that the modes of assessment have been changed.
The most important and productive source of revenue was the tax on land and agricultural labour. This tax consisted of two distinct parts, the ground tax proper, which represented the old tributum imposed on conquered territories, and the annona. The tribute was paid only by those communities and in those districts which had always been liable; it was not extended to those which had been exempted under the Principate. It was paid in coin. The annona which was paid in kind was universal, and was a much heavier burden; no land was exempt; the Imperial estates and the domains of ecclesiastical communities had to pay it as well as the lands of private persons.
Originally the annona65 was an exceptional tax imposed on certain provinces in emergencies, especially to supply Rome with corn in case of a famine, or to feed the army in case of a war. The amount of this extraordinary burden, and its distribution among the communities which were affected by it, were fixed by a special order of the Emperor, known as an indiction. During the civil wars of the third century indictions became frequent. The scarcity of the precious metals and the depreciation of the coinage led to a change in the method of paying the soldiers. They no longer received their wages in coin. Money donations were bestowed on them from time to time, but their regular salary consisted in allowances of food. This practice was systematically organised by Diocletian. The supply of provisions,— consisting of corn, oil, wine, salt, pork, mutton — necessary to feed a soldier for a year, was calculated, and was called an annona.66 In the course of the fourth century the principle was extended and civil officials received salaries in kind.
This new method of paying the army was the chief consideration which determined the special character of Diocletian’s reform in taxation. He made the annona a regular instead of an extraordinary tax, and he imposed, as was perfectly fair, on all parts of the Empire. But he did not fix it at a permanent amount. It was still imposed by an indiction; only an indiction was declared every year. Thus it could be constantly modified and varied, according to the needs of the government or the circumstances of the provinces; and it was intended that it should be revised from time to time by a new land survey.67
The valuation of the land was the basis of the new system. All the territory of the Empire was surveyed, and landed property was taxed not according to its mere acreage but with reference to its value in producing corn or wine or oil. Thus there was a unit (iugum) of arable land, and the number of acres in the unit might vary in different places according to the fertility of the soil; there were units for vineyards and for olives; and the tax was calculated on these units.68 The unit was supposed to represent the portion of land which one able-bodied peasant (caput) could cultivate and live on. Thus a property of a hundred iuga meant a property of a hundred labourers or capita, human heads.69
Apart from Imperial estates, the greater part of the soil of the Empire belonged to large proprietors (possessores). In country districts they were generally of the senatorial class; in the neighbourhood of the towns they were probably more often simple curials, members of the local municipal senate. Their lands were parcelled out among tenants who paid a rent to the proprietor and defrayed the land tax. The tenants were known as coloni and, as we shall see later, were practically serfs. Their names and descriptions were entered in the public registers of the land tax, and hence they were called adscriptitii.70 As a rule, the proprietor would reserve some part of his estate as a domain for himself, to be cultivated by slaves, and for the tax on the iuga of this domain he would, of course, be directly liable.
Besides the large proprietors there were also small peasants who owned and cultivated their own land, and were distinguished from the serfs on the great estates by the name of plebeians. The tax which they paid was known as the capitatio plebeia. The meaning of this term has been much debated, but there seems little doubt that it is simply the land tax, assessed on the free peasant proprietors on the same principles as it was assessed on large estates.71
The Imperial domains and the private estates of the Emperors, let on leases whether perpetual or temporary, and their cultivators, were liable to the universal annona or capitation, and it was the same with lands held by monastic communities. As to the amount of the land taxes we have hardly any information.72
The ground-tax proper, or tribute, which was a trifle compared with the annona, seems to have been always paid in money, except in Africa and Egypt, which were the granaries of Rome and Constantinople. It was fixed on the basis of the same survey and was entered in the same book as the annona, but, as we have seen, it was not paid in the privileged territories which had always been exempt. As the currency gradually became established,