Ethnicity, Identity and the Development of the Roman Frontier in Central Europe. By Andrew J. Frith Thesis submitted in accordance with the requirements of the University of Liverpool for the degree of Doctor in Philosophy. July 2018 Acknowledgements Many thanks go to my supervisor Doctor Philip Freeman for both, giving constant guidance and support during this project, and being a calm and rational voice in times of stress. Thanks is also due to Doctor Fiona Hobden and Doctor Louise Revell, whose honest critiques and helpful suggestions have strengthened the thesis immensely. In addition I would like to thank all those working and volunteering at the Garstang Museum of Archaeology (Liverpool University). Especially Daniel Potter and Hannah Godfrey, for their comradery through the PhD process. To my friends Anton King, Greg Hamilton, Katherine Brown and Jamie Stevens for listening to far too many angry rants about research. Thanks goes to my family for not only listening with bemused faces at my excitement and frustration, but for supporting me completely in all my endeavours while at Liverpool. Finally the biggest thanks of all goes to my fiancé Louise Beddow, who both was a supportive shoulder at all time and an effective proof reader of this thesis. Table of Contents List of Figures …………………………………...…………………………………... 1 Abstract ………………..…………………………………………………………….. 2 Chapter 1: Introduction ………………........…………………………..…………….. 4 Chapter 2: Greek and Roman Ideas of Ethnicity ………………………………........ 14 2.1 Self-identity, naming and language ………………..……………………….. 22 2.2 A shared territory …………………………………..………………………. 34 2.3 A shared history and common descent …………………………..…………. 42 2.4 Culture and religion ………………………………………………………… 49 2.5 Conclusion ………………………………………………………………….. 59 Chapter 3: Perceptions of Gallic and Germanic Ethnicity in Ancient Literature …... 63 3.1 The Etic Ethnicity of the Gauls ………………………………………...…... 64 3.1.1. The Second Century BC ………………….....................…… 65 3.1.2. The Late Republican Period (60-30 BC) ……………….…... 73 3.1.3. The Early Principate (30 BC–AD 70) …………….…...…… 93 3.1.4. The Etic Ethnicity of the Gauls: Conclusion ……………..… 99 3.2 The Etic Ethnicity of the Germans …………………………………..……. 102 3.2.1. The Late Republic (60–30 BC) ………………..………….. 102 3.2.2. The Early Principate (30 BC–AD 70) …………..………… 111 3.2.3. The Late First Century AD ……………………………...… 114 3.2.4. The Etic identity of the Germans: Conclusion ……….…… 122 3.3 Perceptions of Gallic and Germanic Ethnicity: Conclusion ……....………. 124 Chapter 4: An Ethnic Frontier ………………………………………......………… 128 4.1 The Roman Understanding of Frontiers and Empire ……………..………. 129 4.1.1 An Ethnic View of a World Empire ……………...……….. 130 4.1.2 Decision Making on the Frontier …………………………. 134 4.1.3 How Borders were Chosen ………………………………... 143 4.2 Interactions across the Frontier Zone …………...………………..………. 154 4.2.1 Trade and Commerce …………………..………...……….. 155 4.2.2 Diplomacy …………………………………………....…… 158 4.2.3 Social and Cultural Change …………………………..…… 163 4.3 Conclusion …………....…………………………….……………..………. 166 Chapter 6: Conclusions …………………………………………………………… 170 Bibliography …………………………………………………….………………… 177 List of Figures Figure 1: Attalid Dying Gaul (Antmoose. 2013, Available at: https://commons.wikimedia.org/wiki/File:Dying_gaul.jpg) .................................................. 87 Figure 2: Augustan Triumphal Arch of Orange (Raddato, C. 2014, Available at: https://commons.wikimedia.org/wiki/File:Triumphal_Arch_of _Orange_built_during_the_regin_of_Augustus_on_the_Via_Aggripa_to_Lyon_Arausio_ (14827022832).jpg) ………...…………………………………………..……………...….... 97 Figure 3: Image of RRC 468/1 (© Trustees of the British Museum) ……..…………....…... 98 Figure 4: Image of RRC 503/1 (© Trustees of the British Museum) …………………….… 98 Figure 5: Map of the Lower German limes (Austin & Rankov, 1995, pp. 248; reproduced by permission of the publishers) …………………………………………………....…...…… 146 Figure 6: Map of the Upper German limes. (Austin & Rankov, 1995, pp. 249; reproduced by permission of the publishers) ………………………………………….....……………….. 147 Page | 1 Abstract Ethnicity, Identity and the development of the Roman Frontier in Central Europe by Andrew J. Frith The purpose of this thesis is to identify and examine the degree to which ethnicity, specifically the etic Roman ethnicity of Gallic and Germanic tribes, affected the development of the Roman frontier in Central Europe from around the 1st century BC through to the 1st century AD. Of primary concern is the etic ethnic identities Roman society created around the Gallic and Germanic tribal groups. Analysis of textual and archaeological evidence from the period shows that there was a consistent discourse surrounding these tribal groups; and that this discourse, while fluctuating and changing in response to changing political and military events, presented a number of recurring ethnic traits. Taking these key Gallic and Germanic etic ethnic traits, the thesis discusses the influence such identities had on the development of the Rhine Frontier. Firstly, through a consideration of the Roman conceptualization of their empire and frontier and its evolution between the 1st century BC through to the 1st century AD. Followed by an assessment of the Roman state’s ability to gather objective information regarding the frontier zone and then its capability in translating this information into effective strategic decision making concerning Frontier policy. Thirdly, their ability to choose strategic frontier positions with a particular focus on the causes and justifications given by Julius Caesar for the establishment of the Rhine as the frontier in Central Europe. The thesis includes a consideration of the interactions across the frontier between Roman and native groups, which directly affected the development of the frontier over time. In particular, economic and diplomatic interactions, and the role such interactions played in mitigating some of the ethnic traits, identified earlier in the thesis. The discussion also addresses the nature of the social and culture changes experienced by tribal groups as a result of these interactions, and how the ethnic perceptions of the Roman state directly influenced these changes, and therefore the development of the frontier as a whole. Page | 2 This thesis demonstrates that the etic Roman ethnic identity of Gallic and Germanic tribal groups was a significant factor in the nature and development of the frontier in Central Europe. Direct influence from ideas regarding ethnicity can be identified in the Roman concepts of empire and frontier, how frontier locations were chosen and established, and the nature and consequences of interaction between the Roman state and native communities. The importance of ethnicity to the understanding of the Roman frontier in Central Europe should therefore be considered a foundational issue for future study. Page | 3 Chapter 1 Introduction "When Mexico sends its people, they’re not sending their best. They’re not sending you. They’re not sending you. They’re sending people that have lots of problems, and they’re bringing those problems with them. They’re bringing drugs. They’re bringing crime. They’re rapists. And some, I assume, are good people."(Neate 2015) On the 16th of June 2015, Donald Trump announced his candidacy for presidency of the United States of America. The quote above comes from some of the opening lines of this speech. In it, he argued that the Mexican state was directly involved in the systematic emigration of Mexican criminals, drug dealers and rapists to the United States of America. Donald Trump used a number of perceived stereotypes regarding Mexican people, such as criminality, illegal narcotics and aggressive immigration, in his speech to justify his policy regarding the construction of a large dividing wall along the Mexican-American boarder. A policy which would eventually be turned into the slogan "Build the Wall" chanted by many of his supporters during the political campaign. The obvious response to such rhetoric is to criticize it as misinformed and inaccurate. However, this ignores the nature of the American discourse around Mexican ethnicity that Donald Trump was drawing from. The speech framed the presentation of the Mexican people in terms of immigration with its inference that these people were crossing over into the United States. It then introduced facets of an etic Mexican ethnicity constructed by an American audience. The Mexican people were presented as "other" suggested by the speech inferring that problems such as drugs and crime are being brought to America from Mexico. These specific themes had been carefully chosen from the wider discourse to provoke a particular reaction. In this case, the reaction in question was political support for Donald trump and his boarder policy. As clearly manipulative as the rhetoric in this speech was, it served as an example of the influence the ethnic discourse had not just on the perception of an external group, but on the nature of a frontier was to take and the manner in which interactions across it could occur. Page | 4 Some of the fundamental issues that form the modern discussion on Roman frontiers include the Roman conceptualisation of their frontiers, such as their purpose; and the process by which frontiers developed and changed over time. Just as with the likely response to Donald Trump's speech, modern scholars have tended towards identifying the Roman perception of foreign groups and critiquing the accuracy of such etic ethnic