A Comparative Study of Southwest Germany and Transylvania in the Mid-Third Century AD Volume I of II: Text
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Terrae amissae: A comparative study of Southwest Germany and Transylvania in the mid-third century AD Volume I of II: Text Evan Sterling Scherer Thesis submitted for the requirement of Doctor of Philosophy in Archaeology School of History, Classics, and Archaeology Newcastle University January 2020 Abstract This thesis is an exercise in archaeological interpretation of the abandonment of frontier areas of the Roman Empire during the mid-third century AD. The regions of Southwest Germany and Transylvania are chosen due to four critical factors. Both are frontier zones beyond the traditional river boundaries of the Empire. They not only had a large military presence, but also urban and rural settlements, providing a diverse assemblage of sites to examine. Furthermore, both regions were ceded by Roman authority during this period. Consequently, this has led to circular argumentation in interpretation of the latest Roman phases of occupation. Similarities of these regions has warranted brief discussion in the past. However, this is the first study to exhaustively work through the data both in German and Romanian. This period of history is crucial in the transition of the Roman World into Late Antiquity, but there is little that can be proven in the archaeological narrative. In general, there is a paucity of literary sources, yet these have led the narrative not only for these regions, but for the Empire as a whole. This thesis seeks to examine published material in a forensic manner, documenting evidence for activity and abandonment during the period, highlighting what is known and what is implied across multiple languages and academic traditions. Additionally, the period numismatic and epigraphic assemblages for each region are set against their respective general trends. The result is a thorough assessment of the limits of our understanding of this crucial period based on the archaeological evidence as it exists rather than an interpretation of the archaeological material via the literary sources. The overarching aim is to highlight the historical and methodological pitfalls that have distorted discussion of both areas to show how further studies of this period might better utilize the physical evidence. i ii In memory of Bernard Louis Scherer (19/1/1927 – 19/5/2014), Dylan Martin Sterling (5/4/1992 - 15/5/2014), and Atom Harley Lisi (17/12/1982 - 25/12/2017) Sit vobis terra levis iii iv Acknowledgements The tenure of this thesis has seen research span across two continents, four countries, three deaths, and two surgeries. Without the kindness and friendship of many individuals, it would not have been possible to bring it to completion. First and foremost, I would like to thank my supervisors Ian Haynes and James Gerrard, for their enduring support and guidance through the entire process. Their support has been critical, encouraging me to continue when I was overwhelmed by the sheer amount of data. They saw the potential in this project and myself even when I was stuck in the deepest periods of tunnel vision and self-doubt. I would also like to thank my undergraduate advisors, Lynne Lancaster and Tom Carpenter at Ohio University. They sparked the interest in the Ancient World and encouraged me to take the leap to uproot my life and move to a foreign country to further develop my scholarly interests. Without them, none of this would have been remotely fathomable. My friends and family have been a constant source of support, notably my father, Robert Scherer, not least of all his guidance and advice through the process, and his partner Jennifer Alexander for giving me a place to recover during and after surgery, as well as my mother, Susan Sterling, my aunt, Sheryl Sterling, and my aunt and uncle Sally Sterling and Randy Dold.. My grandfather, Bernie Scherer, subconsciously instilled my interest in Romania, and subsequently, Transylvania, as a small child with stories of his family before they emigrated from Romania after the First World War. Mikeal VanCleave, from Athens, Ohio, Max Caldwell, Jake and Leigh DeRouen, Josh Hatfield, Adam Boehm, and Jake Kohn from Columbus, Ohio, Nathan Snell from Nashville, Tennessee, and Owen Wolfe from New York City have been there through the entire process and long before. Likewise, I would like to thank Dave and Denise Heslop of Whitley Bay, Hannah Flint of Shiremoor, Doug Carr, Don O’Meara, Lauren and Aidan Pratt, Frances and John Roberts-Wood of Newcastle upon Tyne, Bill and Tandy Pickering of Burnopfield, Andrew and Barbara Birley of Brampton, Iwan and Laurice Peverett of Lockerbie, Andy Martin of London, Ferdinand Heimerl and Stephanie Metz of Trier, and Stefan, Michael, and Adriana Wagner of Cluj for their friendship, support, and advice during the tenure of my doctoral studies. Research would not have been possible without two extended trips to Romania and Germany. I am grateful to The Institut de Arheologie Sistemică “Iuliu Paul” at Universitatea “1 Decembrie 1918”, and the Muzeu Național al Unirii at Alba Iulia for use of their libraries and facilitating research. I would also like to thank the Institut für Vor- und Frühgeschichtliche und Provinzialrömische Archäologie at Ludwig-Maximilians-Universität, Munich for facilitating a visiting research fellowship, as well as the DAAD for funding it. Scholars in v both regions helped immensely in obtaining access to collections and libraries and for extended discussions over the archaeological narrative. In Romania, I would like to thank Doru Bogdan, Alpár Dobos, Mariana Egri, Cristian Găzdac, Silvia Mustață, Szilamér Pánczél, Dávid Petruț, and Lóránt Vass of Cluj and Florin Ciulavu, Mihai Gligor, Manuela Kadar, Ioan Oprea, Radu Ota, Cristian Ioan Popa, and Gabriel Rustoiu of Alba Iulia. In Germany I would like to thank Regina Franke, Sophie Hüdepohl, Ken Massy, Michael Mackensen, Martina Pauli, and Johannes Schießl. There are certainly others who I have forgotten to add, but I am nonetheless thankful for all the support I have received over the years. vi vii viii Table of Contents Abstract ........................................................................................................................................ i Acknowledgements .................................................................................................................... v Table of Contents ...................................................................................................................... ix List of figures ......................................................................................................................... xvii List of Tables ............................................................................................................................ xx Abbreviations .......................................................................................................................... xxi Part One: Framing the Study ...................................................................................................... 1 1. Introduction ............................................................................................................................ 2 1.1 Third century problems ..................................................................................................... 2 1.2 Different Chronologies, different regions, similar problems ............................................ 4 1.3 Aims and objectives .......................................................................................................... 5 1.5 Thesis structure ................................................................................................................. 7 2. Historiography ...................................................................................................................... 10 2.1 Introduction ..................................................................................................................... 10 2.2 Southwest Germany in the mid-third century ................................................................. 12 2.2.1 Literary evidence for Southwest Germany in the mid-third century ....................... 12 2.2.2 Archaeological evidence for Southwest Germany in the mid-third century ............ 16 2.3 Transylvania in the mid-third century ............................................................................ 22 2.3.1 Literary evidence for Transylvania in the mid-third century ................................... 23 2.3.2 Archaeological evidence for Transylvania in the mid-third century........................ 26 2.4 Previous comparative study between Southwest Germany and Transylvania................ 32 2.5 Conclusion ...................................................................................................................... 33 3. Sources and Methods ............................................................................................................ 35 3.1 Introduction ..................................................................................................................... 35 3.2 Ceramics ......................................................................................................................... 36 3.2.1 Fine wares and the mid-third century: Rheinzabern ................................................ 37 3.2.2 Ceramics in Southwest Germany ............................................................................. 39 3.2.3 Ceramics in Transylvania ........................................................................................