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I
In 1984, an exasperated Moses Finley was driven to write:
The mere presence of trade over long distances is of course a necessary condition for interdependence but it is not a sufficient condition.
After all, long-distance trade has existed ever since the Stone Age.
That trade of itself does not warrant such jargon as a large unified
economic space . . . A large unified economic space is no more than
a fancy way of saying that goods were exchanged within that area, and
then I see no reason for not including China, Ceylon and Malaysia in
the same economic space as Rome because the latter received its silks
and much of its spices from eastern Asia.1
* I would like to thank the editors of the Journal of World History, Peter Brennan,
Robert Fitzsimons, Ralph Schlomowitz, and the Flinders History Seminar Group for their
valuable comments on earlier drafts of this article.
1
M. I. Finley, The Ancient Economy, 2nd ed. (Berkeley: University of California Press,
1985), pp. 177178.
Journal of World History, Vol. 22, No. 1
2011 by University of Hawaii Press
27
28
His aim was to point to the absurdity of the idea of Rome, India, and
China all belonging to the same economic space and to pour scorn on
the notion of an ancient world market,2 which he saw as being as
fanciful as the idea of ancient economics.3
Despite Finleys attempts to separate trade from economics and both
from Roman imperialism, it seems sensible to treat seriously not only the
commercial endeavors of antiquity as a form of economics, but also to
value their own reflections on these, in order that the economic interaction between Rome, India, Africa, Arabia, the Malay peninsula, and
China might properly be seen as a classical form of globalization that,
in the Roman case, helped shape their economic and military trajectory. That this might be done without employing anachronistic modern
schematics is a result of not only the valuable guide to Roman trade that
is the Periplus Maris Erythraei,4 but also other forms of archaeological and
textual evidence which attest to the economic and strategic importance
of the trading centers emanating from the Indian Ocean littoral. Given
that the effects of this Eastern trade on imperial economics, politics,
and warfare were well documented by ancient writers, the notion of an
expansive classical world economy is not one that should be dismissed
simply because it does not conform to historical meta-narratives that
posit epochal stages of economic development that privilege the recent
history of Europe over that of other eras and regions.5
Finleys portrait of a primitive classical economy has been a controversial one, sparking numerous studies into the nature of Roman commerce.6 It is fair to say that even scholars sympathetic to its argumenta-
Ibid., p. 34.
Ibid., pp. 2223. For a more recent understanding of the intricacies of Roman economics, see P. Temin, A Market Economy in the Early Roman Empire, Journal of Roman
Studies 91 (2001): 160181. See also E. Lo Cascio, The Role of the State in the Roman
Economy: Making Use of the New Institutional Economics, in Ancient Economies, Mod
ern Methodologies: Archaeology, Comparative History, Models and Institutions, ed. P. F. Bang,
M. Ikeguchi, and H. G. Ziche (Bari: Edipuglia, 2006), pp. 215234.
4
L. Casson, ed., The Periplus Maris Erythraei. Text with Introduction, Translation and
Commentary (Princeton, N.J.: Princeton University Press, 1989). Following Roberta
Tomber, Roman trade here refers to private sector trade emanating from the zone where
political and military power stemmed from the apparatus of the Roman Empire, rather than
trade undertaken exclusively by people from the city of Rome. R. Tomber, Indo-Roman
Trade: From Pots to Pepper (London: Duckworth, 2008), p. 152.
5
Early attempts at refuting Finley-esque or Wallersteinian chronologies of economic
development include A. G. Frank and B. K. Gills, The World System: Five Hundred Years or
Five Thousand? (London: Routledge, 1993); J. L. Abu-Lughod, Before European Hegemony:
The World System AD 12501350 (New York: Oxford University Press, 1989).
6
It is beyond the scope of this article to enter into a detailed discussion of the mechanics of the primitivist/modernist debate about the Roman economy. For this, see the intro2
3
29
tive trajectory, such as Peter Fibiger Bang, have had to modify Finleys
argument substantially, coming to speak less guardedly of the role of
market mechanisms within the Roman Empire.7 However, at bottom,
such recastings of the primitivist argument continue to underplay the
extent to which we are justified in referring, as Michael Rostovtzeff
did, to the economic unity of the civilised world. Rostovtzeff correctly
presented Romes coming to the pre-existing trade-based Indian Ocean
oikumene as dating back to the Hellenistic period and charted its growth
until the period when even those parts of the ancient world which
politically and culturally stood outside itChina and India, parts of
Germany, the Iranians of the Northeasttook part in it.8 Although
Rostovtzeffs anachronistic determination to find classical capitalists operating as if they were Adam Smiths modern bourgeois homo
oeconomicus remains problematic,9 his geographically expansive and
inclusive approach and emphasis on market mechanisms have been
vindicated by successive waves of scholarship on classical trade, which
have filled in many blanks about the depth and intensity of Romes
trade with the East and the extent of its commercial networks.10 The
research is now at a point where it is difficult to contest Jean-Franois
duction to W. Scheidel, I. Morris, and I. P. Saller, eds., The Cambridge Economic History of the
Greco-Roman World (Cambridge: Cambridge University Press, 2007), pp. 112.
7
P. F. Bang, The Roman Bazaar (Cambridge: Cambridge University Press, 2008); P. F.
Bang, Trade and EmpireIn Search of Organising Concepts for the Roman Economy,
Past and Present 195 (2007): 354.
8
M. I. Rostovtzeff, The Hellenistic World and Its Economic Development, American
Historical Review 41, no. 2 (1936): 248249. Emphasis in the original. See also M. I. Rostovtzeff, The Social and Economic History of the Roman Empire, 2nd ed. (Oxford: Clarendon
Press, 1963), 2:576577.
9
Rostovtzeff, Hellenistic World, p. 250.
10
See in particular M. G. Raschke, New Studies in Roman Commerce with the East,
Aufstieg und Niedergang der Rmischen Welt II, 9.2, 1978; S. E. Sidebotham, Roman Eco
nomic Policy in the Erythra Thalassa, 30 b.c.a.d. 217 (Leiden: Brill, 1986); J. Thorley, The
Roman Empire and the Kushans, Greece and Rome 26, no. 2 (1979); J. Thorley, The Silk
Trade between China and the Roman Empire at Its Height, circa A.D. 90130, Greece and
Rome 18, no. 1 (1987); J. I. Miller, The Spice Trade of the Roman Empire, 29 B.C.A.D. 641
(Oxford: Clarendon Press, 1969); F. de Romanis and A. Tchernia, Crossings: Early Mediter
ranean Contacts with India (New Delhi: Manohar, 1997); W. Scheidel, ed., Rome and China:
Comparative Perspectives on Ancient World Empires (Oxford: Oxford University Press, 2009);
G. K. Young, Romes Eastern Trade: International Commerce and Imperial Policy, 31 BCAD
305 (London: Routledge, 2001); V. Begley and R. D. De Puma, Rome and India: The Ancient
Sea Trade (Madison: University of Wisconsin Press, 1991); Tomber, Indo-Roman Trade; G.
Woolf, World-Systems Analysis and the Roman Empire, Journal of Roman Archaeology 3
(1990): 53. On Roman literary approaches to the geography of this zone, see G. W. Bowersock, The East-West Orientation of Mediterranean Studies and the Meaning of North
and South in Antiquity, in Rethinking the Mediterranean, ed. W. V. Harris (Oxford: Oxford
University Press, 2005), pp. 167178.
30
11
J. F. Salles, paraphrasing David Whitehouse, Review: Rome and India, Journal of
Interdisciplinary History 25, no. 1 (1994): 106.
12
Young, Romes Eastern Trade, p. 219. Young here echoes Raschkes judgement that
commercial motives were alien to the spirit of Roman government. Raschke, New
Studies in Roman Commerce with the East, pp. 646650.
13
J. Paterson, Trade and Traders in the Roman World: Scale, Structure, and Organisation, in Trade, Traders and the Ancient City, ed. H. Parkins and C. H. Smith (London:
Routledge, 1998), pp. 157158.
14
Ibid., p. 150.
31
15
Casson, Periplus Maris Erythraei, p. 11. This chronology antedates by some five hundred years John Hobsons argument that the West and East have been . . . interlinked
through globalisation ever since 500 ce. J. M. Hobson, The Eastern Origins of Western Civili
sation (Cambridge: Cambridge University Press, 2004).
16
Pliny the Elder, Natural Histories, XII:84. Raschke has characterized Plinys figures
as the snare of the gullible and innocent; however, his scepticism is not what it seems.
Raschke continues it is not my intention to deny that Rome had an adverse balance of
trade with India. See Raschke, New Studies in Roman Commerce with the East, pp.
634637. Richard Duncan-Jones argues that Romes trade deficit was serviced with gold and
other precious metals mined in Romes provinces. See R. Duncan-Jones, Money and Govern
ment in the Roman Empire (Cambridge: Cambridge University Press, 1994), pp. 103105.
17
P. Temin, Estimating GDP in the Early Roman Republic, in Innovazione technica e
progresso economico nel mondo Romano, ed. E. Lo Cascio (Rome: Edipuglia, 2007), pp. 3154.
18
See, for example, N. K. Rauh, Merchants, Sailors and Pirates in the Roman World
(Stroud: Tempus, 2003), p. 101. Young, Romes Eastern Trade, p. 25; P. Veyne, Rome
devant la prtendue fuite de lor: mercantilisme ou politique disciplinaire? Annales 34, no.
2 (1979): 211244.
32
19
For the classic statement of Stoicisms aversion to luxury, see Seneca, Epistles, 87. For
Plinys Stoicism, see Mary Beagons introduction to The Elder Pliny on the Human Animal:
Natural History Book 7 (Oxford: Oxford University Press, 2005), p. 15. On Strabos links to
Stoicism, see D. Dueck, Strabo of Amasia: A Greek Man of Letters in Augustan Rome (New
York: Routledge, 2000), pp. 62ff.
20
Seneca, De Vita Beata, 20, 22. For a pithy discussion of this, see A. L. Motto, Seneca
on Trial: The Case of the Opulent Stoic, Classical Journal 61, no. 6 (1966): 254258.
33
34
pearls, and diamonds obviously did.26 That Eastern trade appears in the
sources as a luxury trade in a few elite, feminine commodities has to do
with the preoccupations of sources situated within a Stoic philosophical tradition rather than the actual nature of foreign trade and its role
in Roman politics and economics.
The Roman economy was uniquely well equipped to deal with some
externalizing of its revenues through trade, given that it continually
appropriated the wealth of the Mediterranean basin in its own treasury and citizenry through the mechanism of empire.27 Conquests were
obviously profitable, with the massive influx of gold and silver after the
Punic Wars; the conquests of Spain and Greece; and the conquests of
Egypt, Jerusalem, Parthia, and Dacia producing astronomical inflows
of gold and silver that profoundly affected the Roman economy.28 It
has been estimated that the treasure that Augustus brought back from
Egypt saw interest rates drop 60 percent, and Caesars plunder from
Gaul resulted in a sharp slump in the price of gold.29 Key assets such
as gold and silver mines throughout the empire were also crucial here,
directly contributing to the income of the Roman state.30 This was the
income that not only enabled Roman military and infrastructure expenditure within the empire,31 but also allowed Rome to service its external trade deficit in perpetuity. Well-bred Romans may have averted
their eyes from the vulgar topic of financial gain through empire, but
it was impossible for the imperial aristocracy of Rome to have ignored
the extent to which major wars and previous imperial conquest had
resulted in major inward flows of precious metals and commodities into
the Roman economy, as well as a stable source of taxation and trade
26
M. G. Raschke, Papyrological Evidence for Ptolemaic and Roman Trade with
India, Proceedings of the XIV International Congress of Papyrologists (Oxford: British Academy, 1974), p. 245.
27
As Keith Hopkins and Peter Temin have shown, this wealth did not simply lay idle,
but became part of a complex financial web between Rome and the provinces. K. Hopkins,
Taxes and Trade in the Roman Empire (200 BCAD 400), Journal of Roman Studies 70
(1980): 101125; P. Temin, Financial Intermediaries in the Early Roman Empire, Journal
of Economic History 64 (2004): 726727.
28
C. Howgego, The Supply and Use of Money in the Roman World, 200 BCAD
300, Journal of Roman Studies 82 (1992): 45.
29
Duncan-Jones, Money and Government in the Roman Empire, p. 21. Walter Scheidel
offers the best figures on the relative purity of Roman coinage during different periods. W.
Scheidel, The Monetary Systems of the Han and Roman Empires, in Scheidel, Rome and
China, pp. 170ff.
30
Duncan-Jones, Money and Government in the Roman Empire, pp. 103105; Scheidel,
Monetary Systems of the Han and Roman Empires, p. 179.
31
Hopkins, Taxes and Trade in the Roman Empire.
35
32
Ryan Geraghty argues that even in the period immediately prior to Augustus, senators generated 200 times more income than a peasants subsistence wages, which he
explicitly links to economic opportunities presented by imperial expansion. See R. M. Geraghty, The Impact of Globalization in the Roman Empire, 200 BCAD 100, Journal of
Economic History 67, no. 4 (2007): 10511052.
33
Raschke, New Studies in Roman Commerce with the East, pp. 646647.
34
Livy, Histories, XXI.63.
35
Plutarch, Cato the Elder, XXI:5-6, W. V. Harris, On War and Greed in the Second
Century BC, American Historical Review 76, no. 5 (1971): 1379.
36
M. W. Frederiksen, Caesar, Cicero and the Problem of Debt, Journal of Roman Stud
ies 56 (1966): 128131. Frederiksen coyly suggested that financial indebtedness and the
whole complex of credit and loan which accompanied many a senatorial career, must have
sometimes compromised a political position and tempered ideal convictions.
36
37
Cicero, Pro Lege Manilia, VII:19. See also S. E. Smethurst, Cicero and Roman Imperial Policy, Transactions and Proceedings of the American Philological Association 84 (1953):
216226.
38
J. DArms, Commerce and Social Standing in Ancient Rome (Cambridge, Mass.: Harvard University Press, 1981).
39
Virgil, Aeneid, VIII:685ff. James Zetzel (in Saidian terms) describes this part of the
shield as depicting the victory of the West over the East, of order over disorder, of civilization over barbarism; however, a far more straightforward material reading of this scene is
equally plausible. See J. E. G. Zetzel, Natural Law and Poetic Justice: A Carneadean Debate
in Cicero and Virgil, Classical Philology 91, no. 4 (1996): 309.
40
Virgil, Aeneid, VI:792. On the other Augustan writers and a desire for Eastern expansion, see Sidebotham, Roman Economic Policy, pp. 139ff.
41
Cassius Dio, Histories, L:1; Plutarch, Antony, 5455
42
Cassius Dio, Histories, L:16; Plutarch, Antony, 61.
37
rus specifically linked this naval wealth to the Sabaeans and Arabia.43
Prior to Actium and his Parthian expedition, Antony was also said to
have used the flimsiest of pretexts to plunder Palmyra on account of the
citys enormous wealth garnered from Indian and Arabian trade.44 After
Actium, the arterial trade routes and centers of Arabia and Africa were
the target of renewed Roman attention, as the campaign for Axumite
Africa by Cornelius Gallus, Sabaean Yemen by Aelius Gallus, and the
movement into the Gulf of Aqaba by Gaius Caesar all demonstrate.45 It
is worth pondering whether there might be a connection between the
plans and attempts to subdue Parthia, Egypt, Africa, and Arabia, the
major gateways to Eastern trade, within a short period, or whether they
were simply victims of a Schumpeterian war machine that ostensibly
had no guiding principle beyond objectless expansionism.46
A major factor in this Eastern intervention was the interrelationship, not to say enormous overlap, between Romes political and economic elites.47 By the time of Tiberius, Tacitus records, not only was
every senator a usurious moneylender, but the pecuniary interests of
senators were more important to them than the public good. When
the practice of senatorial moneylending was halted briefly by Tiberius,
the Roman economy suffered a massive liquidity crisis and almost collapsedeven after the emperor had given the Senate an eighteenmonth amnesty to get their financial affairs in order.48 The liquidity
43
Florus, Abridgement of all the Wars over 1200 Years, II:21:7, in Cleopatra: A Sourcebook,
P. J. Jones (Norman: University of Oklahoma Press, 2006), pp. 163164.
44
Appian, Civil Wars, V:9.
45
Pliny, Natural Histories, VI:141, VI:160. For Cornelius Gallus, see F. Hoffman, M.
Minas-Nerpal, and S. Pfeiffer, Die dreisprachige Stela des C. Cornelius Gallus (Berlin: Walter
de Gruyter, 2009), pp. 5ff. On Aelius Gallus in Arabia, see G. W. Bowersocks judgment
that it is quite clear that Augustus had some kind of expansionist interest at that stage in
controlling the rich trade in spices and perfumes. G. W. Bowersock, A Report on Arabia
Provincia, Journal of Roman Studies 61 (1971): 227.
46
J. Schumpeter, Imperialism and Social Classes, trans. H. Norden (New York: August
M. Kelley, 1951), pp. 83ff. On the application of Schumpeter to Roman imperialism, see W.
V. Harris, War and Imperialism in Republican Rome, 32770 BC (Oxford: Oxford University
Press, 1979).
47
Raschke, New Studies in Roman Commerce with the East, pp. 646650. Raschke
contended that although Roman aristocratic elites were heavily involved in trade, this did
not affect their political or military decision making. See esp. p. 648 n. 927.
48
Tacitus, Annals, VI:1617. Maria Jaczynowska has attempted to quarantine this usury
to a subsection of the senatorial class (the piscinarii) that she says founded their riches on
the profits from the provinces and different sources of income like money-speculation. At
least for the imperial period, Tacitus is unequivocal that the practice is far more widespread.
M. Jacznowska, The Economic Differentiation of the Roman Nobility at the End of the
Republic, Historia: Zeitschrift fr Alte Geschichte 11 (1962): 494.
38
39
to conquer this rich kingdom that straddled the Euphrates trade route
and bordered Romes military and commercial rival, Parthia.53 That
Antiochus was not paraded through Rome in chains by Vespasian but
rather was allowed a quiet retirement in Sparta with his family heightens the sense that the rumors of Antiochuss treachery covered motives
more aligned with Tacituss material explanation of Vespasians consolidation of the region. With regard to infrastructure projects, Fergus
Millars argument that it was Vespasian who authorized the canalization of the Orontes so that it was accessible from Antioch and Seleucia
also suggests the type of infrastructure work necessary not merely for
military control, but for the invigoration of trade.54
With Trajan, efforts to control the major trade networks of the East
reached something of a peak. With more of a whimper than a bang, the
Nabataean trading kingdom was acquired (rather than conquered) by
Trajan after the death of the Nabataean client king Rabbel II in 106
c.e. This saw not only the historical mercantile center of Petra fall
under complete Roman control, but, more importantly now that Eastern trade routes were beginning to run farther north, the increasingly
important commercial center of Bostra was also capturedat a time
when it was threatening to reinvigorate the Nabataean economy.55
This enabled Trajan to complete the important new Eastern trade
and military artery, the Via Nova Traiana, that linked Bostra and Petra
with the Gulf of Aqaba. This piece of trade and military infrastructure served as a useful precursor to Trajans Parthian campaigns, which
pushed Roman control over the Eastern markets and trade routes of the
Parthians to an extent that would not be duplicated until the time of
Emperor Septimius Severus.56 Having reached the Persian Gulf in his
conquest of Parthia and the trading networks of Mesopotamia, a wistful Trajan is said to have wished to follow merchant vessels from the
40
41
ies, that is banks, such as that of the Sulpicii of Puteoli who profited
through the deposits of elite wealth left with them on a fixed term by
loaning that wealth to Roman traders with interest, underwriting the
risk of the loan themselves.64 Similarly, numerous wealthy aristocratic
Roman families are known to have been involved in financing trade
and transport in Egypts eastern desert and port regions.65
Irrespective of whether elite Roman wealth was loaned through
direct business contacts, financial institutions, or even the shares in
societates publicanorum that Cato the Elder had preferred as a means
of spreading risk through diversified interests,66 the Roman senatorial
elite consistently supported policy decisions that safeguarded their personal investments in trade alongside the states taxation interestsboth
of which were sensitive to the volume and velocity of external trade.
When Nero briefly considered abolishing the lucrative trade excises
early in his reign, the 25 percent portorium was retained through the
intervention of more business-savvy senators who instead arranged for
merchant ships to be exempt from the assessment of property tax.67 In
this way, state revenues from customs were retained while the costs of
overseas trade to merchants were reducedthereby facilitating the volume and velocity of trade, and generating more customs revenue and
more personal wealth for those involved in trade and its financing. In
earlier instances too, by suppressing piracy under Pompey,68 upgrading
trading and military infrastructure in Egypt after Actium,69 sending the
right general to fight Mithridates in the East (Pompey again), or seeking
imperial control over the entry points of Eastern goods (such as Palmyra,
Petra, and Egypt), Rome consistently followed an Eastern policy that
64
Ibid., p. 723, contra Richard Duncan-Jones, who imputes an overwhelming prejudice against trade and traders under the Principate. R. Duncan-Jones, Structure and Scale in
the Roman Economy (Cambridge: Cambridge University Press, 2002), pp. 4647.
65
C. Adams, Land Transport in Roman Egypt: A Study of Economics and Administration in
a Roman Province (Oxford: Oxford University Press, 2007), pp. 232234.
66
Temin, Financial Intermediaries in the Early Roman Empire, p. 728. Temin suggests
that their role in shipping outlasted their role in taxation in the post-Republican period.
67
Tacitus, Annals, XIII:50. See also Bang, Trade and Empire, p. 30. For the 25 percent
import duty, see Periplus, 19. I follow Raschkes argument that this section of the Periplus
refers to a Roman garrison protecting its customs monopoly rather than Cassons argument
for a Nabataean tax outpost at Lueke Kome. See Raschke, New Studies in Roman Commerce with the East, pp. 663664; Casson, Periplus Maris Erythraei, p. 145.
68
Manuel Trster makes clear the importance of the grain route in the decision to
suppress piracy, and that the corn prices tumbled simply with the naming of Pompey as the
leader of the expedition. M. Trster, Roman Hegemony and Non-State Violence: A Fresh
Look at Pompeys Campaign against the Pirates, Greece and Rome 56, no. 1 (2009): 22ff.
69
Adams, Land Transport in Roman Egypt, pp. 233234.
42
43
Mediterranean world in the West through to China in the East.70 IndoRoman trade very easily fits into this picture. Some commodities were
arriving in the Roman Empire from the trans-Eurasian Silk Roads, via
Bactria and Parthia71 (a significant factor in the perpetual struggle over
Armenia with the Parthians), with Chinese sources suggesting that this
was one of the routes west for their commodities, although not the most
favored one.72 The largest amount of East-West exchange flowed not
via the difficult and often dangerous trans-Eurasian overland route, but
rather via the comparatively fast and safe oceanic trade route, as Fergus
Millars detailed work has made clear.73 Most Eastern goods arriving in
Palmyra, that is, were making their way from the northwestern Indian
coastline to Parthia and Mesopotamia, via the Persian Gulf, rather
than from Bactria toward the Caspian Sea and thence south.74
According to Chinese sources, the east-west trade route between
China and Bactria dated back to the second century b.c.e., although
this dating relies upon the dubious Shi ji tale of the Han imperial envoy
Zhang Qian coming across Chinese commodities in todays Afghanistan,75 a tale that has been credibly disputed.76 That Zhang Qian sent
initial envoys to Bactria, India, the Indo-Scythians, and Parthia with
the co-operation of the Wusun, prior to courtly contact between the
Han and these Western states in the late second century b.c.e., seems
more plausible,77 although this does not preclude the possibility of
70
See, for example, A. G. Frank, ReOrient: Global Economy in the Asian Age (Berkeley:
University of California Press, 1998); Abu-Lughod, Before European Hegemony; D. Christian, Silk Roads or Steppe Roads? The Silk Roads in World History, Journal of World
History 11, no. 1 (2000): 126. More recently, see Philippe Beaujard, From Three Possible
Iron-Age World-Systems to a Single Afro-Eurasian World-System, Journal of World History
21, no. 1 (2010): 143.
71
Christian, Silk Roads or Steppe Roads?
72
Yu Huan, The Peoples of the West, from the Weilue, trans. J. E. Hill, http://depts
.washington.edu/silkroad/texts/weilue/weilue.html (last viewed 20 December 2010).
73
F. Millar, Looking East from the Classical World: Colonialism, Culture, and Trade
from Alexander the Great to Shapur I, International History Review 20, no. 3 (1998): 507
531. F. Millar, Caravan Cities: The Roman Near East and Long Distance Trade by Land, in
Modus Operandi: Essays in Honour of Geoffrey Rickman, ed. M. Austin et al. (London, 1998).
See also V. Begley, Introduction, in Begley and De Puma, Rome and India, p. 3.
74
Thorley, Silk Trade between China and the Roman Empire, pp. 7180; I. A. Richmond, Palmyra under the Aegis of Rome, Journal of Roman Studies 53 (1963): 43.
75
Sima Qian, Records of the Grand Historian: Han Dynasty II, trans. B. Watson (Hong
Kong: Columbia University Press, 1993), pp. 235236. C. F. Schwitter and C. F. Cheng,
Bactrian Nickel and Chinese Bamboo, American Journal of Archaeology 66, no. 1 (1962):
8792.
76
S. Cammann, On the Attempts to Revive the Bactrian Nickel Theory, American
Journal of Archaeology 66, no. 1 (1962): 9294.
77
Sima Qian, Records of the Grand Historian, pp. 239240.
44
frontier trade prior to this. For the first century c.e., the sources mention two possible bridges between China and India, and consequently
Rome. The first was via the ports of Parthia (Chinese Anxivia the
Persian Gulf) and the pre- and early Kushan period port cities of the
Indus Valley (Chinese Tianzhu),78 which linked the southwestern Chinese overland trade routes with Indias rivers, thereby assisting with the
transportation of Chinese commodities to the series of Indian entrepts
that serviced Arab and Roman trading vessels. The Hou Han-shu testifies to Indian envoys and traders using this route in the first century
c.e., with the commodity of silk mentioned in relation to the famous
Parthian desire to keep Han China and Rome apart so as to maintain
their trade advantage. The third-century c.e. Chinese source, the Wei
lue by Yu Huan also refers to not one but three first-century trade roads
west, with the first terminating in the territory of the Kushans, while
the others hugged a more northerly trajectory to arrive in Xinjiang,
and thence onward to the Pamir Mountains in present day Tajikistan,
thence through Kapisa (Alexandria of the Caucasus, Bagram), before
joining up with the route south to Parthia.79 This east-west route has
been verified archaeologically with finds of Indian, Chinese, and Mediterranean goods at Kapisa.80
A more bustling route, however, was the Indian Ocean trade route
that played the key role in sustaining the unified economic space that
stretched from the Roman world in the West through to Han China in
the East, enabling economic exchanges between the terminal metropoles of the Mediterranean and the Pacific, as well as the significant trading regions in between. Europe, Africa, Arabia, India, and East Asia
were linked by a network that saw the Indian subcontinent in the pivotal role of the linchpin of the classical world economy, connecting the
otherwise disparate economies of the Mediterranean and East Asia.81
Romes main supply of Eastern commodities via the Red Sea route to
India (described in the Periplus) was connected to an equally extensive
78
J. E. Hill, trans., The Western Regions according to the Hou Hanshu, 2nd ed.,
http://depts.washington.edu/silkroad/texts/hhshu/hou_han_shu.html (last viewed 20
December 2010). For this dating, see Thorley, Roman Empire and the Kushans, p. 183.
79
Yu, The Peoples of the West.
80
Rauh, Merchants, Sailors and Pirates, p. 96.
81
This is consistent with Schaffers understanding of the later role of India in global
trade. See L. Schaffer, Southernization, Journal of World History 5, no. 1 (1994): 121.
45
route traveling east from India, as Pliny suggests.82 Crucially, the Chinese Hou Han-shu also confirms the existence of this maritime route for
Sino-Indian (and indirectly Sino-Roman) tradea route which was
oceanic and largely aimed at avoiding the increasing Parthian control over the overland routes. According to Ying-shih Y, the maritime trade of Han China included not only important Western ports
in Burma and on the island of Sri Lanka, as well as southeastern and
southwestern India, but also Sumatra, Korea, and Japan, all prior to
Romes Principate period. The role of commodities from these regions
within the commerce of the broader Indian Ocean oikumene remains
underexplored.83 The Sung Shu and Liang Shu also confirm that the
major means by which trade was conducted between China and India
was via the maritime routes to southern India, with Westerners who
might be identified as originating from the Roman Empire reputed to
have traveled to Cambodia and Annam during the Han period.84
The Periplus offers perhaps the most thorough insight into how
the Roman economy interlocked with antiquitys broader economic
network. The document itself was produced, it is generally accepted,
between 40 and 70 c.e., as Romes trade in the Indian Ocean was nearing its peak.85 Interestingly, this places it firmly within the window
suggested by the world system theorists Andre Gunder Frank and Barry
Gills for an A phase in global economic cycles, when trade linkages
between various regions within the Indian Ocean oikumene were at
their peak.86 While their B phase, beginning in the third century
82
See Pliny, Natural History, VI:88. On the question of the balance of overland and
sea trade, I. A. Richmond suggests that Palmyran silk came both overland from Bactria and
via the oceanic route. Richmond, Palmyra under the Aegis of Rome, pp. 5253. Any
other heavier commodity may have been difficult to transport across Eurasia in profitable
quantities.
83
Y. S. Y, Trade and Expansion in Han China: A Study in the Structure of Sino-Barbarian
Economic Relations (Berkeley: University of California Press, 1967), pp. 173ff. One important study that has taken the commodities seriously is J. I. Miller, The Spice Trade of the
Roman Empire, see esp. chap. 3.
84
Y, Trade and Expansion in Han China, p. 175.
85
Casson, Periplus Maris Erythraei, pp. 67; C. Robin, The Date of the Periplus of
the Erythraean Sea in the Light of South Arabian Evidence, in de Romanis and Tchernia,
Crossings: Early Mediterranean Contacts with India, pp. 4165.
86
B. K. Gills and A. G. Frank, World System Cycles, Crises, and Hegemonic Shifts,
1700 bc to 1700 ad, in Frank and Gills, World System, pp. 164167. Greg Woolf, following
Immanuel Wallerstein, has declared it remains to be proven that world-economies were at
all significant in their effect before the 15th c. AD. Woolf, World-Systems Analysis and
the Roman Empire, p. 54. Given Wallersteins work is hardwired with Polanyis and Fin-
46
c.e., coincides with the hitherto assumed date of the dwindling use of
the Indian Ocean artery by Roman traders linked to the disruption to
Sino-Indian trade triggered by the warfare occasioning the end of the
Han Empire in the early third century, recent archaeological evidence
has suggested that Roman trade continued, albeit at a reduced level,
into the sixth century.87
In a pithy but thorough fashion, the Periplus elucidates how the
east coast of Africa, the southern coast of the Arabian peninsular, the
Persian Gulf, and the Indian subcontinent as far as Sri Lanka were
navigated by merchants setting out from Roman Egypt, as well as
describing what commodities might be traded en route and the cultural
hallmarks of the various peoples living in the region described. Along
the east coast of Africa, the works guidance reaches as far south as the
ivory and tortoise shell trading town of Rhapta (presently considered
to be on the coast of todays Tanzania88), a tribute-paying subject of the
Arabian merchant town of Muza.89 Rhapta, it was reported, was not as
important as a trade center as the port of Adulis, which was the closest port to the main East African ivory entrept of Axum, some eight
days travel inland. It was largely via the port of Adulis (rather than
across the Sahara) that Roman trade with the interlinking economies
of Africa occurred.90 This Egypt-African trade route was accessible for
leys understanding of antique economics, it is perhaps not surprising that Wallersteins and
subsequently Woolfs sense of a world system does not fit the Roman case. See Woolf, p. 47.
87
X. Liu, Ancient India and Ancient China: Trade and Religious Exchanges AD 1600
(Delhi: Oxford University Press, 1994), p. 31. Although Gills and Frank read these A
and B phases as part of an overarching world system that continues over five thousand
years, it is more likely that Janet Abu-Lughod is correct in viewing the Red Sea trade of the
era of the Periplus as constituting in and of itself a discrete world system, one that was not
renewed through successive cycles of A and B phases but replaced by later world systems.
See Gills and Frank, World System Cycles, pp. 167174; Abu-Lughod, Before European
Hegemony, p. 43. On the persistence of Roman trade with India, see R. Tomber, Rome and
MesopotamiaImporters into India in the First Millenium AD, Antiquity 81 (2007): 979.
88
F. Chami, Roman Beads from the Rufiji Delta, Tanzania: First Incontrovertible
Archaeological Link with the Periplus, Current Anthropology 40, no. 2 (1999): 237241.
89
Periplus, 16.
90
For representative positions on the question of trans-Saharan trade, see the enthusiastic R. C. C. Law, The Garamantes and Trans-Saharan Enterprise in Classical Times,
Journal of African History 8, no. 2 (1967): 181200; Pekka Masonens Trans-Saharan Trade
and the West African Discovery of the Mediterranean, in Ethnic Encounter and Culture
Change, ed. M. Sabour and K. S. Vikr (London: Hurst, 1997), pp. 116142; and the more
skeptical J. T. Swanson, The Myth of Trans-Saharan Trade during the Roman Era, Inter
national Journal of African Historical Studies 8, no. 4 (1975): 582600; T. F. Garrard, Myth
and Metrology: The Early Trans-Saharan Gold Trade, Journal of African History 23, no. 4
(1982): 443461.
47
48
98
The best versions of this hermetically sealed Roman economy model include Hopkins, Taxes and Trade in the Roman Empire, pp. 101125; and Geraghty, Impact of
Globalization in the Roman Empire.
99
Pliny, Natural History, VI:89.
100
Augustus, Res Gestae, 31; Dio Chrysostom, Discourses, 32.40; Xenophon Ephesus,
Ephesian Tales, III:11.
101
Periplus, 26. J. Whitewright, Roman Rigging Material from the Red Sea Port of
Myos Hormos, International Journal of Nautical Archaeology 36, no. 2 (2007): 290.
102
Raschke, Papyrological Evidence, pp. 241243, contra R. Salomon, Epigraphic
Remains of Indian Traders in Egypt, Journal of the American Oriental Society 111, no. 4
(1991): 731736. R. Tomber, Indo-Roman Trade: The Ceramic Evidence from Egypt,
Antiquity 74 (2000): 630. Whitewright, Roman Rigging Material, pp. 290291.
49
103
S. E. Sidebotham, M. Hense, and H. M. Nouwens, The Red Land: The Illustrated
Archaeology of Egypts Eastern Desert (Cairo: American University in Cairo Press, 2008), pp.
189192. Raschke, New Studies in Roman Commerce with the East, p. 645.
104
Thapar, The Image of the Barbarian in Early India, Comparative Studies in Society
and History 13, no. 4 (1971): 419420. K. V. Zvelebil, The Smile of Murugan (Leiden, 1973),
p. 35; Rauh, Merchants, Sailors and Pirates, p. 101.
105
Kanakasabai, cited in Vickers, Nabataea, India, Gaul, and Carthage, pp. 242243.
106
F. de Romanis, Rome and the Ntia of India: Relations between Rome and Southern India from 30 BC to the Flavian Period, in de Romanis and Tchernia, Crossings: Early
Mediterranean Contacts with India, pp. 107108.
107
V. Begley, Arikamedu Reconsidered, American Journal of Archaeology 87, no. 4
(1983): 479480, 481. See also L. Gorelick and A. J. Gwinnet, Diamonds from India to
Rome and Beyond, American Journal of Archaeology 92, no. 4 (1988): 547552.
50
108
Sidebotham, Hense, and Nouwens, The Red Land, pp. 178182. See also W. Z.
Wendrich, R. S. Tomber, S. E. Sidebotham, J. A. Harrell, R. T. J. Cappers, and R. S. Bagnall,
Berenike Crossroads: The Integration of Information, Journal of the Economic and Social
History of the Orient 46, no. 1 (2003): 5962. See also Sidebotham and Wendrichs sixvolume edited series Berenike (Los Angeles: Cotsen Institute of Archaeology Publications,
2007; Leiden: CNWS Special Series, 1995, 1996, 1998, 1999, 2001).
109
K. P. Shajan, P. J. Cherian, R. Tomber, and V. Selvakumar, The External Connections of Early Historic Pattanam, India: The Ceramic Evidence, Antiquity 82, no. 315
(2008), Project Gallery, http://antiquity.ac.uk/projgall/tomber/index.html (last viewed 20
December 2010). See also P. J. Cherian, G. V. R. Prasad, K. Dutta, D. K. Ray, V. Selvakumar, and K. P. Shajan, Chronology of Pattanam: A Multicultural Port Site on the Malabar
Coast, Current Science 97, no. 2 (2009): 236240. A. S. Gaur, Sundaresh, and S. Triparti,
Evidence for Indo-Roman Trade from Bet Dwarka Waters, West Coast of India, Interna
tional Journal of Nautical Archaeology 35, no. 1 (2006): 120.
110
Exceptions to this include yellow peridot and the mineral realgar used for paint pigment and medicine. See Wendrich et al., Berenike Crossroads, pp. 5356.
111
Periplus, 16. See also D. Whitehouse, Epilogue: Roman Trade in Perspective, in
Begley and De Puma, Rome and India, p. 216.
112
Periplus, 21.
51
mite Africa, and Barigaza and Limurika in India, operated as the ocean
outlet for an interior commercial center in Arabia, namely Saphar.
Underlining the importance of the Arabian peninsular in the first
century is the timing of Romes attempted military conquest of Arabia25/24 b.c.e.in the post-Actium decade, after the Egyptian campaigns had created an opportunity for Rome to become directly commercially active in the Indian Ocean. Augustuss impulse, it appears,
was to establish a firm hold on the Red Sea commercial bottleneck
by conquering its African and Arabian shores. As Strabo relates, economic considerations were of utmost importance:
The expedition of the Romans against the Arabians, under the command of Aelius Gallus, has given us much information about the
region. Augustus Caesar sent this general to investigate these places
and their inhabitants, as well as those of Ethiopia . . . . It was his [Galluss] intention either to make peace with or conquer the Arabians. He
was also influenced by the very longstanding reputation that they were
very wealthy, and exchanged their aromatics and precious stones for
silver and gold, but never spent with foreigners any part of what they
received in exchange. He hoped to gain either opulent friends, or to
overcome opulent enemies.113
113
Strabo, Geography, XVI:4:22. For details of the expedition see G. W. Bowersock,
Roman Arabia (Cambridge, Mass.: Harvard University Press, 1996), pp. 47ff.
114
Young, Romes Eastern Trade, p. 17.
115
Pliny, Natural Histories, 12:41. See also Young, Romes Eastern Trade, pp. 1617.
Contra Pliny, Young correctly argues that incense should not be considered a luxury item,
as it was not prohibitively expensive in small quantities to many Romans, who would have
considered it a necessity for religious observance.
116
G. F. Hourani, Did Roman Commercial Competition Ruin South Arabia? Journal
of Near Eastern Studies 11, no. 4 (1952): 291295.
117
Strabo, Geography, II:5:12.
52
Periplus, 26. On the controversy over this, see Casson, Periplus Maris Erythraei, p.
118
160.
53
could not get enough of it.125 Yet, as with Arabian incense, Indian
spices, or Chinese silk, the trade in African ivory was one that Rome
could only tax, not control through direct military or political means,
despite the efforts of Cornelius Gallus.
IV
While Rome was an important terminus for commodities along one
arm of the world trade network that spanned across Africa, Arabia,
India, and Asia, the story of the classical world economy does not
reflect the contention that Rome came to monopolise the western
end of the East-West trade routes, if the term monopolise has any
reference to the ability to regulate the scope, direction, and conditions
pertaining to the flow of commodities, or indeed if it refers to an ability
to financially benefit from the extraction of surplus from other regions
via trade. Rome at no point controlled Indian Ocean trade, even if
its demand for Eastern commodities provided a massive stimulus to
it.126 While encouraging the vigorous economic activity throughout
the Indian Ocean oikumene by its voracious appetite for Eastern commodities and its seemingly endless capacity to export precious metals,
these resources were available to Rome only because they had been
won through conquest or redistributed from its imperial peripheries.127 Rome was able to continuously service its appetite for Eastern
commodities by using the gold and silver spoils of empire that flowed
through its economy.
Romes trade deficit and lack of control over Eastern trade conditions impacted most heavily on the imperial aristocracy, which both
consumed a disproportionate share of these commodities and were the
predominant source of the capital required for the Eastern trade that
secured them. This trade pulled the imperial aristocracy in two seemingly mutually exclusive directions. On the one hand, there was the
Stoic aversion to Oriental luxuria and a moderate concern over the
54
terms of trade. On the other hand, there were the heightened pecuniary possibilities that came from expanding investment in trade, as well
as the potential imperial benefits stemming from any future control of
the trade emporia of the Red Sea and beyond. This contradiction found
its resolution in the maintenance of a discursive animosity toward the
Orient and the values ostensibly represented by eastern commodities,
at the same time as the material processes of imperial expansion and
private economic endeavor moved inexorably closer to the sources of
this trade. This explains not only the gendering and regular disavowals
of Eastern commodities in the sources, but also Romes eastern strivings in the pre- and post-Actium era. It even explains some of the more
bellicose suggestions of Horace and other Augustans that India was a
potential target for Romes future military attentions.
This relocation of the Roman economy within the trading network
of the Indian Ocean oikumene problematizes previous modeling of
Roman economics that presume a hermetically sealed Roman economy.128 It is also a reminder of the need to abandon Polybiuss rhetorical positioning of Roman history as the focal point of the forces of a
universal history.129 Polybius was half correct, insofar as he recognized
that events in Italy and Africa are interwoven with those in Asia
and Greece; however, his attempt to see events converging towards
one end, namely universal Roman hegemony, simply overemphasized
Romes place in the classical world system.130 Irrespective of its position as a Western political and military hegemon, a percentage of the
surplus that Rome had garnered from its Mediterranean empire was
consistently transferred to Arabia, India, and to a lesser extent Africa
in the first and second centuries c.e.131 This extraction of surplus from
the Mediterranean world and the depositing of a proportion of it in
the economies of the extra-Roman world was only one strand in an
Indian Ocean exchange network that provided Rome with not only
slightly tastier food and silky clothes, but also an impetus and object for
imperial action, and a handsome return on the investments of Tacituss
usurious senators.
128
See Hopkins, Taxes and Trade in the Roman Empire, and Geraghty, Impact of
Globalization in the Roman Empire.
129
W. Schmitthenner, Rome and India: Aspects of Universal History during the Principate, Journal of Roman Studies 69 (1979).
130
Polybius I:3 cited in Schmitthenner, Rome and India, p. 90.
131
Salles acutely points out that examples such as the Phoenicians demonstrate that
geopolitical power and economic preponderance were not necessarily interrelated. See
Salles, Review: Rome and India, p. 104 n. 2.
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