The open sea

The cultural and temporal boundaries usually drawn between the civilizations of the ancient Near East and the classical world have been too sharply drawn at times This reification of the

Alexandrina Antiquities Museum/Photo by Mohamed Aly

Rise of Rome

J G M a n ning Princeton University Press

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Published by Princeton University Press

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1 3 5 7 9 10 8 6 4 2

ofKarl W Butzer(1934– 2016)

&Mark Pagani(1960– 2016)

List of Illustrations ix

Part I History & Theory

Introduction History, Theory, and Institutions:

Chapter 1 New Directions and Broader Contexts in the

Chapter 2 Ancient Economies: Taking Stock from Phoenician

Chapter 3 Bronze, Iron, and Silver: Time, Space, and Geography

Part II Environment & Institutions

Chapter 5 The Boundaries of Premodern Economies: Ecology,

Chapter 6 The Birth of “Economic Man”: Demography,

Chapter 7 The Evolution of Economic Thought in the Ancient

Figures

Figure 6 Model “palace economy” for Crete, mid- second

millennium BCE 42Figure 7 Greco- Bactrian silver coin of Demetrius I,

ca 200– 180 BCE 66Figure 8 Crocodile mummies from Tebtunis (Fayyum), Egypt,

Figure 10 Totals of dated documentary texts from Egypt,

8th century BCE– 8th century CE 70

Figure 12 Unity or diversity? Rainfall amounts and

Figure 15 Moisture transport vectors of the annual flood

Figure 16 Annual fluctuations of the “natural” flow

in the Nile at Aswan for the years 1872– 1972 CE 96

Figure 21 The irrigation networks reconstructed from

Figure 22 P Lille 1 recto and verso (schematic plan and a labor

budget for new land development in the 3d century BCE

Figure 24 Factors determining crop productivity and carrying

Figure 25 A model of climate variability, human responses,

Figure 26 Living minerals (cross- section of a speleothem

Figure 27 The pattern of drought variability in the ancient

Figure 28 Eurasia and Africa end of third, early second

millennium BCE 152

Figure 30 Political and environmental setting of the Hellenistic

Figure 31 Volcanic forcing in W / m2 163Figure 32 The new full volcanic reconstruction with a composite

Figure 33 NEEM ice- core (Greenland) volcanic SO4 deposition

levels, 350 to 1 BCE 165

Figure 34 P Edfu 8 166Figure 35 Coupled natural- human system model for Ptolemaic

Egypt (320– 30 BCE) 170

Figure 39 The coupled demographic dynamics of structural

Figure 43 Stacked multiproxy record of the 4.2 ka climate

anomaly 272Figure 44 Stacked multiproxy record of the 3.2 ka climate

Tables

Table 1 Percentage Probability of Crop Failure in Larisa, Athens,

Table 2 Comparison of Changes in Settlement Patterns in the

Table 3 A Crop Report from the Fayyum, Egypt, January 235 BCE 121

Table 5 Basic Chronology of Nile River Flow in the First

Millennium BCE 155

A few years ago, I began to think about writing a “small book on a large subject,” to quote one of the great economists of the 20th century.1 The end result is larger and a little different than I had originally thought, but I have managed, I think, to write a reasonably sized volume on what is now a gigantic topic It surveys, and I emphasize surveys, the major economic sys-tems of the first- millennium BCE Mediterranean world from the beginning

of the Iron Age down to the end of the Second Punic War (ca 201 BCE), when a shift in political and military power marked the beginning of the process of Roman domination of the entire Mediterranean basin I am tak-ing on a larger scale of analysis, roughly eight hundred years of complex his-tory, which is not the norm, and many historians might quibble about the lack of detail For some topics such as household management I go even fur-ther back to illustrate some of the important structural continuities The

“meso- scale” that eight hundred years provide brings the many ties of ancient history to the same table to ask: How can we understand the great changes seen throughout the Mediterranean world in these centuries? Moses Finley’s influential book The Ancient Economy (1973), built a model

subspecial-for classical economies covering fifteen hundred years, from the beginning

of Greek civilization to the end of the Roman Empire

I, in contrast, do not tell a single story in these pages Rather, I want to terweave several different stories that lead up to the unification of the Medi-terranean under Rome While Finley’s temporal scale was about right, he left out altogether the early Iron Age expansion, western Asia, Egypt, and the Hellenistic period in general The first millennium BCE was a transforma-tional period in the economic history of the Mediterranean world There was

in-no “capitalist takeoff,” as Finley would have been quick to assert.2 But to view ancient economies from this perspective is to anticipate the Industrial Revolu-tion Instead what I am interested in here is the economic world before Rome, the achievements of these civilizations, how problems were solved, and the ways in which cross- cultural exchange deeply affected economic change

I have two main aims The first is to explore recent developments and trends in the study of first- millennium BCE Mediterranean economies Sec-ondly, while comprehensive coverage would be sheer folly, I hope that this book provides a broad account and an introduction to the material of the lived human experience in the Mediterranean basin in those centuries I cannot hope to pursue all the themes or topics treated here as thoroughly as

I would like, and I place some emphasis on Egypt, the Near East, and the eastern half of the sea Each of my chapters requires book- length treatment

by a team of specialists What I want to do instead is to give the reader a sense of how exciting the study of premodern economies is at the moment, and what I think will be some of the important ideas to pursue in the years ahead

At the heart of this book is an effort to understand economic ment during the first millennium BCE, a period of momentous political, economic, and social change in many parts of the world I depart from most prior work on premodern economies by understanding Iron Age Mediter-ranean civilizations not as separate but as interconnected cultural entities within particular environmental and geographic niches The economics lit-erature that explains how and why institutions matter is now enormous What premodern history contributes to it is to show how institutions are historically contingent and culturally determined Climatic change and human adaptation to it, migration, demography, and cross- cultural exchange pat-terns were all important factors in moving societies, and in shifting political equilibriums The cultural and temporal boundaries usually drawn between the civilizations of the ancient Near East and the classical world have been too sharply drawn at times This reification of the “classical,” “ancient Near East,” and “Egyptian” worlds has obscured cross- cultural exchange within what was the large region of western Asia/eastern Mediterranean, the “west-ern core.”3

develop-The conflation of “ancient” with “classical civilization” ipso facto misses much in terms of longer- run development, interaction, and change To be sure, the differential impacts of climate change, and the strong rainfall/ irrigation gradient between core Mediterranean territories and the Nile and Tigris/Euphrates River valleys played important roles in developmental pathways Yet a broader Iron Age perspective modifies our understanding of institutional change and also sets in better relief the achievements of the

“Greco- Roman” world Rome did end up dominating the Mediterranean by similar processes that led to the later European divergence because of its more rapid evolution in adaptive competitiveness and in military technol-ogy, something Herodotus also noted for the Greeks.4 But we must view these competitive advantages within a longer “Iron Age economics” perspective The “minidivergence” in the first millennium BCE can be explained by the combination of military and fiscal innovation of the Greeks and, later, the Ro-mans But there were other important factors, including resource endow-ments (e.g., silver, noted by Xenophon writing in the 4th century BCE as a

“gift of divine providence” to the Greeks) and environmental differences rigation versus dry farming), that played a role.5

(ir-The competitive advantages imply two- way feedback mechanisms, and I argue throughout, therefore, that we must understand premodern societies

as complex adaptive systems with positive and negative feedbacks A eration of the coevolution of “natural and human processes via an array of positive and negative feedback loops” is something that has up to now been almost entirely absent in the study of premodern economies.6 We can see feedback mechanisms, for example, operate in the development of demo-cratic institutions, in the scaling up of large empires, and in societal re-sponses to climatic changes.7 Periods of economic expansion were driven not purely by politics but by a combination of factors that include favorable cli-matic conditions, population growth, and institutions among which are legal institutions that protected property rights Above all else, I argue for

consid-an evolutionary adaptive framework for understconsid-anding first- millennium BCE economies This was a period when political and market integration grew stronger, and many important economic ideas (coinage, legal codes) spread far and wide.8 Military power and empire building were crucial fac-tors in political change, but many other things must be brought in to under-stand economic performance One of my interests, then, is to highlight the constraints as well as the enabling conditions in premodern economies im-posed both by institutions and by environments that account for differences

in performance

The study of premodern economies has become a very large and very ing field in the last forty years, as my bibliography, concentrating in works in English and by no means comprehensive, attests.9 But the discussion has been dominated by studies of the Greek and Roman imperial economies Indeed quite often “ancient Mediterranean” stands in for “Roman,” and all too often “ancient economy” is simply a cipher for the early European econ-omy.10 In recent years, however, studies of ancient Egyptian and ancient Near Eastern economies have been catching up and are producing different understandings of the relationship between the Near East, Egypt, and clas-sical economies We can see much more clearly now that cross- cultural ex-change was a vital part of Mediterranean economies throughout the first millennium BCE Global history has become popular Comparisons with early Chinese history are becoming more common So too is the study of long- distance trade and the origins of the silk roads traffic especially.11 Work

excit-on New World societies can provide entirely new perspectives excit-on ranean economies We need not focus, for example, just on price- setting markets The Aztec economy, “without wage labor, private property, formal currencies, credit and lending institutions, and efficient forms of transporta-tion,” was “among the most sophisticated market systems ever to appear in the ancient world.”12

Mediter-That leads me to suggest that an open and interactive Mediterranean in which humans made connections, not only from point to point within the sea but also between the sea and a wide catchment in Eurasia, is the best framework for the first millennium BCE It is this that made Eurasia the

“most active” region in world history.13 Open means not necessarily nected” and not necessarily “fragmented,” two key themes in recent work on the premodern Mediterranean as I discuss in chapter 3, but open in the sense

“con-of a historically contingent “shared” world, as Molly Greene has described the early modern Mediterranean.14 Several forces drove cultural and economic exchange, and in the first millennium BCE we must treat the northern Med-iterranean as politically and economically linked to western Asia, North Africa, and Egypt

There is a second sense of the word “open” that I want to pursue in this book, and that is in the sense that future research in premodern economies will of necessity have to be more open, more permeable across many differ-ent academic enterprises Not just in humanistic fields where the boundaries are mainly ancient languages, but embracing the full array of the social sci-ences, and the physical and biological sciences as well Karl Butzer’s plea for true interdisciplinary work between humanists and social, natural, and physical scientists should be the guiding principle, and I join Robert Mc-Cormick Adams in saying let “the boundaries dissolve.”15 By “interdisciplin-ary” I do not mean that classicists and Near Eastern scholars should have pleasant conversations with each other over coffee (although that is perfectly fine) Rather, I suggest that we should think about research the way biolo-gists think about convergence.16 Historians must pay much better attention

to archaeology, and specialized teams should be built around solving particular problems The study of ancient societies now requires not only philological and close reading skills, but wide reading in archaeological and scientific fields as well Premodern historians should now read Nature, Science, and Cell as well as the standard historical and social science journals Cultural

evolutionary theory, genetics, paleobiology, and paleoclimatology are just four among a large number of scientific fields that will play important roles

in understanding historical change in the premodern world.17 Building more complex models of human behavior and identifying causal relationships in feedback loops demand that historians understand the potential contribu-tions of the social, biological, and physical sciences Not all historians will accept the idea that we should be aware of work in the biological or geo-physical sciences, but if progress is going to made it is something that I be-lieve we must do The implication is that at least some of our work should be organized in flexible teams around answering questions and solving prob-lems, rather than continuing to labor alone in our studies

Since “history is a stimulus to the economic imagination,” premodern economies provide rich and important information about how human soci-eties were organized in the past and how problems were solved Most impor-tantly, the study of premodern economic behavior serves as a laboratory for understanding institutional change.18 A broad and deep understanding of premodern economies is, therefore, an important, and an often ignored, part

of understanding our own world But history is nonlinear, and it was not a steady, progressive march from antiquity to the Industrial Revolution What

we can do with ancient material, though, is to understand historical cesses over the long run All three words in the phrase “the ancient economy”

pro-are problematic There was no such thing as the ancient economy; the word ancient is too vague in terms of time and location, and the word economy car-

ries with it many modern assumptions, and theory, that cannot simply be applied to phenomena of the ancient world not least because of the overlap-ping networks of social power that make it impossible to isolate economic behavior and institutions from religious, military, and political ones.19 In-deed it is also not possible to isolate economic behavior as a separate sphere

of human activity in the contemporary world either Here ancient history might inform the contemporary world

I bring several assumptions to this book These include the following: (1) a broad study of ancient economic structures and institutions is important

to the wider field of economic history; (2) we need not worry about Ranke’s urge to tell “how it really was.” Our main task should be to explain not only change over time but also persistence, or continuity, in institutions; (3) we must move well beyond ontological debates To do that we need an evolu-tionary framework on larger timescales in which to understand short- term change; and (4) the heterogeneous and fragmentary nature of our sources demands a broad theoretical framework in which to understand change and continuity.20 Explaining change is what historians do best, but this can be lost under the imposed burden of “legalistic” evidence collection, language specialization, and the tendency toward elegant prose narratives or unitary focus on narrow corpuses of material.21 History matters; so does economic analysis, and so does culture These need not nor should not be mutually exclusive, although cultural history, a dominant framework in classics, can obscure objective facts.22 Evidence derived from many fields, including natu-ral sciences, but also the core disciplines of philology, paleography, archaeol-ogy, and numismatics, must be sorted and analyzed together

A somewhat unusual academic background informs my general approach

to the premodern world Three things have influenced me greatly The first was a summer I spent in Kampsville, Illinois, while I was in high school This very small river town was the hub of major regional excavations

throughout the Illinois River valley, coordinated by the Center for can Archaeology and its summer school directed by Stuart Streuver and his team of “New Archeologists” (that was the preferred spelling at the time) who were rewriting the early history of indigenous populations in the Mis-sissippi and Illinois River valleys.23 You could feel their excitement every day

Ameri-I still remember the small car ferry that took you across the Ameri-Illinois River to this tiny town (population in 2010: 328) teeming with scientific inquiry, and

to this day I get goose bumps every time I cross the Mississippi just to the north of that ferry and look at the mighty river, and the smoky vistas of green Illinois farmland stretching out as far as the eye can see

I worked on a small seasonal occupation site dated to the Early land Period, ca 200 BCE (ironically the date that is a focus of my research and also the terminus for this book), and, at night, in the Soil Resistivity Survey lab George Beadle gave a memorable lecture on the crop genetics of maize to a packed hall one hot and humid evening I learned so much that summer about how science was contributing in various ways to reconstruct-ing the past I became a materialist that summer, something, I confess, that

Wood-I have not shaken Wood-I almost became a New World archaeologist but decided

to pursue a childhood interest in Egyptology after college I did my graduate training at the Oriental Institute in the University of Chicago It was a rig-orous degree, with emphasis on the historical linguistics of the Egyptian language and the reading of the various cursive scripts It was an unabash-edly traditional, formal, and long training In my first week of graduate school I read Karl Butzer’s Early Hydraulic Civilization in Egypt It left an

indelible impression on me In fact I still remember the night on the fifth floor of the Regenstein Library when I first read it My very first seminar at Chicago, in the spring and in considerable contrast to the language training, was offered by Arnaldo Momigliano (one of his last I think) and Lawrence Stager, entitled Economic and Religious Models of the Ancient World The seminar was filled with advanced students and faculty, and, if I remember correctly, there were two of us first- year graduate students— who did not know exactly what we had signed up for!— taking the course for credit I did not know what a “model” was, or how I was supposed to put together a coherent paper— how did I go from textual sources to a model? Or was it the other way around? The crowded seminar room was abuzz each week, ener-gized with ideas, differing perspectives, and a few bitter disagreements The course, as with Butzer’s work, made an enormous impact on me, and in ways that I only much later understood.24

I gradually turned with a good deal of fascination to the later phases of Egypt’s ancient history and to demotic Egyptian documentary papyri in particular There was a strong future there, I thought, and they contained

utterly fascinating data about individuals and families like nowhere else in the ancient world After my fourth- year comprehensive PhD qualifying exams, which I somehow survived, I had an opportunity to go to Cambridge University arranged by John Ray, an extraordinary scholar of demotic Egyp-tian and a fellow at Selwyn College, and I jumped at it I arrived two weeks after the death of Moses Finley There I had the good fortune, indeed the privilege, of sitting in on seminars on the ancient economy by Keith Hop-kins and Peter Garnsey, and on Greek law with Paul Cartledge I worked with John Ray on demotic texts, and with Dorothy Thompson With her I read through the first half of a large corpus of Ptolemaic Greek documents from the impressive Urkunden der Ptolemäerzeit, volume 1, at a time when

she was working on what would become Memphis under the Ptolemies, now

out in a second edition I still have the notes I took I also audited a ful course on the Greek of the book of Galatians at the Divinity School I had the wondrous good fortune to meet an energetic group of advanced graduate students and young junior fellows Talking to them regularly I soon realized, mainly sitting in a college pub after a stimulating seminar, that I was at the center of cutting- edge work in ancient history The conversations were sophis-ticated, comparative, and broad I discovered that first- millennium BCE Egypt could be similarly situated My eyes were opened to a new world of possibilities that year

wonder-The more I read, the more I was struck by the fact that Egypt had often been and still is left out of general discussions about ancient economies But how, I wondered, could a civilization whose language was spoken for two- thirds of recorded human history and cast such a shadow over the eastern Mediterranean be left out? How could I bring the exciting later Egyptian material into dialogue with other regions? Linguistic boundaries tend to de-fine academic disciplines in the humanities: classics, Egyptology, Assyriol-ogy, early China, and so on are each dedicated to one set of languages and scripts This virtually guarantees that treatments of economic phenomena are written from endogenous points of view of textual and archaeological material, and from a particular place and time It tends to produce narrow and truncated kinds of histories and can miss the larger forces of cross- cultural interaction, the impact of climatic change across larger geographic space, the diffusion of technological change, and so on

I have had the benefit of superb colleagues at Stanford, from each of whom I have learned a good deal There were very stimulating series of work-shops, seminars, and conferences sponsored or cosponsored by Steve Haber’s Social Science History Institute initiative in the 2000s I sat in on more eco-nomics workshops and seminars than I can count and had the good fortune

to audit a survey course on economic sociology taught by Mark Granovetter,

and the History of American Law course taught by the doyen of that field, Lawrence Friedman at Stanford Law School I got to know Douglass North very well, and Avner Greif, Barry Weingast and Gavin Wright too My for-mer ancient history colleagues Ian Morris, Josiah Ober, and Walter Scheidel have all shaped my work I remain especially grateful to Morris It was largely under his pen that we coauthored a short survey piece on the economic soci-ology of the ancient Mediterranean world that is the origin of some of my macro thinking about ancient history.25 Ian and I hosted a meeting to which

we invited not only specialists in various ancient societies but also social entists, economists, economic historians, political scientists, and economic sociologists to respond to the specialized papers We produced a small volume

sci-in 2005, paysci-ing homage to two of Moses Fsci-inley’s books, wheresci-in Morris and I tried to set out some sort of agenda, including the challenge of integrating,

or at least discussing, the ancient Near East and Egypt in the context of broader treatments of “the ancient economy.” I think we both had in the back of our minds the famous “City Invincible” meeting at Chicago in 1958 that brought such an impressively broad group of scholars around the table.26 Morris’s inspirational Why the West Rules— for Now (2010) is

echoed throughout this book

I moved to Yale in 2008, where I once again struck gold in the colleagues who surrounded me My home base, as it were, is the very active economic history group, José Espin- Sanchez, Tim Guinnane, Naomi Lamoreaux, Noel Lenski, Francesca Trivellato, and the ancient history group, Noel Len-ski, Andrew Johnston, and Jessica Lamont, wonderful colleagues all, and all

of them were gracious enough at various points to offer suggestions or to read my work and critique what I had said, or had failed to say I must also thank my friend and colleague Harvey Weiss, for teaching me much about paleoclimatology, and Ray Bradley at U Mass– Amherst, for being extraor-dinarily helpful in this regard as well I list other friends and colleagues who have provided material or criticism of earlier drafts in the acknowledgments

I have also learned an enormous amount from my friend Peter Turchin at the University of Connecticut, over our monthly dinners and by having the pleasure of working with the Seshat global history project team, several of whom have also been generous with their comments.27

At one point a few years ago, I thought that the study of ancient mies had reached a peak; research and writing was slowing down, and not much interesting was happening So I thought Then I taught an undergrad-uate survey course at Yale Collecting some recent work around a few themes dramatically changed my mind Not only was there much going on in the field, but things were moving forward, and coevolving with other disciplines

econo-in very excitecono-ing ways The literature was econo-in fact explodecono-ing with new material,

new ideas, and new approaches I soon realized that I could easily write a book just summarizing summaries of “the ancient economy” that have ap-peared only in the last decade or so, let alone the last four decades.

What I want to do instead is to give the reader a sense of what is happening, and where at least some future work will go There are two specific areas that will shape future work in important ways The first will be more detailed work in explaining change with dynamic models I think that evolutionary theories are very promising here Secondly, and reflecting my own interest at the mo-ment, there will be a better understanding of how climate and climatic change triggered societal responses and constrained premodern Mediterra-nean societies

To paraphrase Frederick Jackson Turner, the great historian of the ican frontier, not only does each generation of historians write their own histories, but there are now, as never before, an enormous variety of modes of historical writing, from microhistory to global history, now very much in vogue.28 So too with economic theory; each generation, or each economic crisis at least, from Adam Smith up to today, seems also to create its own theories and interpretations “Mega” or “deep” histories that seek evolution-ary perspectives on human history and on human institutions are popular at the moment, from the point of view of not only longer- term history but global history as well, and even the history of the entire cosmos.29 Microhis-torical approaches, often not stated as such and with only a passing reference

Amer-to the very large literature or the debates in the field, are common.30 They are the natural by- product of the kinds of archival evidence that has come down to

us from the ancient world.31 But there is often no way of knowing if a ticular case study is representative

par-We live in a complex, messy world But the premodern, or preindustrial, world was also complex, and in some ways even more complex than the mod-ern world It was certainly no less messy.32 Even though there were far fewer humans on the planet, it was also a more fragile world Considering this, it is all the more remarkable that political equilibriums could be established across enormous and complex territory for centuries at a time Social scien-tists tend to build models of the world against which data can be tested, and the models recursively improved Humanities- oriented historians tend to revel in the complexity of the society and the sources they study The two don’t often meet.33

It is the premise of this book that understanding and taking account of the historical and cultural developments of the early first millennium BCE are a fundamentally important part in understanding the increasing Mediterranean- wide economic integration of the Mediterranean world dur-ing the Hellenistic and Roman periods (i.e., after ca 300 BCE) That is to say,

the long economic development of Mediterranean civilizations was driven

by cross- cultural exchange, by the experience of empire formation, by erogeneous institutional responses seen in local legal traditions, and by the use of money and coinage, of credit instruments, and of banks This persis-tence of institutions must be understood in conjunction, of course, with new cultural features brought about by the movement of people, by migra-tion, war, climate change, and by new opportunity We should no longer be motivated by debates about whether ancient economies were “primitive” or

het-“modern,” or by narrow considerations of classical economies as being fined, over fifteen hundred years, just by elite status behavior That approach reinforces the idea that premodern societies were static Long timescales are indeed a crucial aspect of studying change But equally important are broader accounts of cross- cultural exchange patterns of both goods and ideas Even more important, I think, is to consider how premodern societies interacted with the natural world This requires a coupled human- natural systems ap-proach, which I explore in chapter 5

de-I divide the book into two parts de-In part 1, “History and Theory,” de-I begin

in the introduction by looking back at the debate about the nature of “the ancient economy” as it coevolved with the field of economics Here Moses Finley’s The Ancient Economy looms large, but it stands at the endpoint of a

long fruitless debate, and the bulk of current work operates within very ferent frameworks In chapter 1, I highlight some of the important themes and new directions that studies of premodern economies are taking Chapter

dif-2, “Ancient Economies: Taking Stock from Phoenician Traders to the Rise

of the Roman Empire,” provides a historical survey of first- millennium BCE history and a brief overview of our sources for understanding economies of the Mediterranean In chapter 3, “Time, Space, and Geography and Ancient Mediterranean Economies,” I turn to one of the most difficult aspects of studying ancient economies, what I call time/space boundary identification problems In part 2, “Environment and Institutions,” I turn to an examina-tion of key institutions in the economies of the Mediterranean and discuss the coupled dynamics between environment and economic institutions and the evolutionary forces that drove institutional change Agriculture and labor, the topic of chapter 4, form the basis of all premodern economies, and a brief comparative study contained here shows that there were a wide variety

of institutional solutions in the organization of agricultural production In large part these solutions depended on the heterogeneous environmental en-dowments and climatic conditions of the Mediterranean basin I explore these conditions further in chapter 5, “The Boundaries of Premodern Econ-omies: Ecology, Climate, and Climate Change.” Here I discuss the relation-ship between the physical boundaries of the Mediterranean world, climate

and climate change and demography and their relationship to political economies of the ancient world, and the role of climate change as a forcing mechanism of social change I consider the chapter to be experimental, using preliminary data and making some suggestions The topic will not appeal greatly to many historians, but I would plead that we are only beginning to understand climate change and human responses in ancient history, and that there is a lot of work to be done Paleoclimate data is difficult and dif-fuse The analysis of changes on the ground caused by climatic change on several scales is challenging to say the least, and the use of paleoclimate data requires quite a lot of reading and thinking in a new area for historians Chapter 6 explores individuals and households as economic actors I also discuss, briefly, demography, and the relationship between them and the

“state,” which had a great variety of sizes and political institutional solutions Chapter 7, “The Evolution of Economic Thought in the Ancient World: Money, Law, and Legal Institutions,” explores how changes in the concept

of money and the legal order evolved with increasing cross- cultural exchange patterns Chapter 8, the last substantive chapter, “Growth, Innovation, Mar-kets, and Trade,” discusses the key areas of ancient economies that have been both central to their understanding and have been, and continue to be, controversial and much debated Each chapter is meant to be freestanding There is, then, some overlap in coverage between the chapters

One of the greatest pleasures of a book- writing project is to thank those who have helped in some way By doing so, one is also reminded, if one needs to be reminded, of the great friends and selfless colleagues who have read, critiqued, sent along forthcoming work, prodded, cajoled, soothed, or otherwise gave advice I am very grateful to Gojko Barjamovic, Peter Bedford, Manfred Bietak, John Brooke, Alain Bresson, Ari Bryen, Bruce Campbell, Willy Clarysse, John Collins, Mark Depauw, Paul Erdkamp, Christelle Fischer- Bovet, Tim Guinnane, Kyle Harper, Eric Hilt, Phil Hoffman, Dan Hoyer, Alexander Jones, Michael Jursa, Jessica Lamont, Naomi Lamoreaux, Noel Lenski, Colin Macaffrey, Andrew Monson, Juan Carlos Moreno García, Gra-ham Oliver, Karen Radner, Jared Rubin, David Skelly, Dorothy Thompson, Gary Tomlinson, Dan Tompkins, Matt Toohey, Francesca Trevellato, Peter Turchin, Katelijn Vandorpe, Koen Verboven, and Harvey Weiss Craig John (International Mountain Guides), Scott Tribby (Ranfone Training Systems), and Avi Szapiro (Roia Restaurant) kept my body and soul together François Gerardin and Andy Hogan, my two senior and very fine graduate students, have provided remarkable assistance and support all along I’m looking for-ward to seeing how their careers unfold in the coming years.

I owe a special debt to my friend Francis Ludlow at Trinity College lin It was a fateful evening a couple of years ago, over a third glass of wine after a Climate/History group dinner, when I asked if he knew of any cli-mate data that could help my understanding of the connection between Nile river flow and social unrest in the Ptolemaic period When he got out his enormous laptop, heavy with global climate data of every kind, and showed me ice- core data that was about to be published, the trajectory of my research changed in an instant He has been incredibly helpful and generous

Dub-in many ways, Dub-includDub-ing offerDub-ing me his skill at data representation that you will see in this book He has been instrumental especially in chapter 5, and

in helping me build a great team of climatological expertise We have worked closely now for more than two years on very exciting work that seeks to inte-grate climate and human archives I am also grateful to our partners in this project, Bill Boos, Jennifer Marlon, Michael Sigl, Jim Stagge, Zan Stine, and Trude Storelvmo

Joe McConnell of the Desert Research Institute in Reno warmly comed me for a week into his home and his ice core research lab in Reno, Nevada Working in his lab and learning about how climate data from ice

wel-cores are generated, from preparing the ice wel-cores in the cold room to seeing the output from the inductively coupled plasma mass spectrometers, was a truly remarkable experience I am grateful also to Monica Arienzo and Roger Kreidberg for teaching me much about their work and the incredible facilities at DRI.

Invitations by Taco Terpstra to speak in the Economic History shop at Northwestern University, by Christelle Fischer- Bovet of USC, by John Haldon at Princeton, and by Greg Woolf to speak in the Ancient His-tory Seminar at University College London jointly with Frank Ludlow al-lowed me to test very preliminary work, and I thank audiences in these places for rigorous questions and good suggestions

Work-Two anonymous reviewers, the unsung heroes of academic publishing, gave me a great deal to reconsider Both improved the final results in very important ways, and I am grateful for the care they took in reading and in commenting on an earlier, incomplete manuscript I am also grateful to BG for editorial assistance

Finally, it is a pleasure to thank once again Rob Tempio at Princeton University Press for much sage advice and guidance Emily Bakemeier of the provost’s office, and Tamar Gendler, the dean of the faculty of arts and sci-ences, have both been extraordinary in their support since I arrived at Yale, and it has made a big difference in my work I am constantly reminded, by the support of the administration, and by my colleagues and the superb stu-dents, what a joy and privilege it is to teach at this wonderful place

I dedicate this book to two great scholars, Karl Butzer, whose work greatly influenced me as a young graduate student, and Mark Pagani, who warmly welcomed me into his paleoclimate world and supported my work at Yale in various ways His untimely passing was a serious blow to both Yale and the paleoclimate community

Skaftafellsjökull, Iceland

Southwest Asia

Neo- Babylonian Empire 625– 539 BCE

Egypt

Third Intermediate Period 1069– 664 BCE (politically fragmented)

Achaemenid imperial control 525– 359 BCE (imperial province)

404– 343 BCE (local control)Achaemenid imperial control 343– 332 BCE (imperial province)Ptolemaic dynasty 332– 30 BCE (centralized state)

Phoenicia

History

&

Theory

History, Theory, and Institutions Approaching the Ancient Economy

I said at the beginning that I would not be giving economic history a narrow interpretation I hope that I have carried out that promise I have tried to

exhibit economic history, in the way that the great eighteenth- century

writers did, as part of a social evolution much more widely considered.

— Hicks (1969:167)

Off the coast of the small Mediterranean island of Antikythera in the spring of 1900, the year in which Arthur Evans was beginning to excavate the palace of Knossos on Crete and the Boxer Rebellion raged in China, sponge divers came across an ancient shipwreck at about fifty- meter depth The ship was apparently a ship of booty, perhaps bound for Rome Among the items pulled from the wreck, dated ca 60 BCE, were bronze statues, hundreds of other ancient objects, including storage jars, lamps, jewelry, and

a small, mysterious lump of metal The booty is now housed at the National Archaeological Museum in Athens Excavations continue Recently, human skeletal remains were found on the wreck, a very promising discovery since DNA analysis might reveal much.1

At first not much was made of the mysterious clump of metal But over the years, and now with modern photographic, x- ray, and computed tomography techniques, this mysterious object has gradually begun to reveal its secrets This

“clump” turns out to be an astonishing mechanical calendar It shows us the brilliance of both scientific knowledge and manufacturing capability of the ancient Mediterranean world Probably dating to the 2d century BCE, it also demonstrates a keen knowledge of differential gears and incorporates many centuries of astronomical observation The device was probably used to synchronize lunar and solar cycles in a nineteen- year cycle known as the me-tonic cycle The accumulated knowledge of astronomical cycles culled from centuries of observations shows the influence of Babylonian astronomy As we now know, it is a sophisticated timepiece, capturing the motion of the moon, sun, and five of the planets in “epicyclic motion through the zodiac, perhaps used on astrological calculations, extremely popular in the Hellenistic period.”2 The device continues to catch people unaware of the sophistication of the an-cient world There is nothing comparable in Europe until the 15th century.3

I begin with the Antikythera mechanism because it is a good proxy to think about the “ancient economy.” It is also a good case study of the nature

of ancient evidence The machine is a single item and without context Was

it common or unique? Who owned it? Who invented it? The last question, I think it is safe to say, can be answered This machine was not “invented.” Rather, it was very likely the product of centuries of knowledge creation born of deep cross- cultural interaction in the Mediterranean The machine itself appears modern, but its social context tells us that it belongs to a differ-ent world And that is the key problem in trying to understand economic behavior and describing ancient economic phenomena

The Antikythera mechanism (figure 1), as it is usually called, is a highly sophisticated, well- engineered machine Of course Swiss watchmakers would now be able to produce a better and smaller version of this (in fact Hublot, who also sponsors current work on the underwater archaeological site where the machine was discovered, has done so, with a price tag of a cool

$272,000), but this is a case of imitation being a sincere form of flattery.4 It stands among the best evidence we have that the Mediterranean world of the late first millennium BCE was more advanced than once thought The mechanism solved a particular problem in a spectacular way But it was un-productive, that is, it was not used to increase labor productivity, or to im-prove overall economic conditions It was deployed, perhaps, to calculate the timing of religious festivals, or as a teaching device, and as a prestige item to display knowledge and wealth.5 We can hardly call this machine, or the stunning dog mosaic recently discovered at Alexandria (frontispiece), or for that matter the Great Pyramid at Giza, built more than two millennia be-fore the mosaic, or the civilizations that produced these, “primitive.” This presented a paradox to scholars such as Marx, who was aware of the cultural achievements of Greece but yet thought of its economy as underdeveloped.6

Of course all these things were made for the elite, in the latter two cases two

of the most powerful rulers in antiquity A good deal of work on the ancient world, of course, concerns elite behavior, consumption, and tastes, and that

is not insignificant given elites’ role in driving change (as well as keeping efficient institutions in place) What about nonelites? Studying farmers, the vast majority of all premodern populations, nomadic peoples, and mer-chants, has always been much more challenging But they have left their mark, and we have gotten much better at seeing them

in-Why does any of this matter? Because understanding the structure of premodern economic behavior is an important window into ancient life more broadly But it is also one of the main sources of debate about what we can and cannot know about the ancient world Indeed scholars looking at precisely the same evidence can conclude radically different things about

what the evidence means for economic behavior or performance To say that understanding the “ancient economy” has been a “battleground” for a century

is an understatement.7 The battle lines have been drawn in binary opposition: either/or, primitivism/modernism, substantivism/formalism, pessimists/opti-mists, use- value/exchange- value, status/contract, rational/ irrational, oikos/ polis (household/city), private/public, market/non- market, classical/Near

Eastern, West/East, ancient/modern, sort of like us/not like us at all.This kind of manichean framing, as I will argue below, is too simplistic, and to reduce historical investigation to opposed pairs in order to make ar-guments, usually directed to the other camp, and almost always to score points, makes little sense In the end, classifying premodern economies as one type or another leads to “debates about nothing.”8 This conceptual pov-erty in both thought and language belies the ancient Mediterranean world’s richness, complexity, diversity, and development over four thousand years Neither third- millennium BCE Sumeria nor the Roman Empire of Hadrian can be characterized as a world of hunter- gatherers or of Silicon Valley ven-ture capitalists The very real problem is how best to describe ancient econo-mies and their institutions Sensitivity to language was something that Max Weber (1864– 1920) already suggested was a problem in analyzing economic institutions of the premodern world, and we would do well to pay better at-tention to the language we use to describe the social realities of this world.9 Modern categories like “market” and “private property,” even seemingly obvious ones like “democracy” and “authoritarian rule,” must be thought

Figure 1 The Antikythera mechanism Courtesy of the German Archaeological Institute, Athens DAI-Neg.-No Photographer 1 D-DAI-ATH-Emile 827 Photo by Émile Seraf.

through very carefully in their ancient contexts because there was able change over time and important regional and cultural differences in what “market” or “private property” entailed.10 The real challenge, in my view, is to find the right “analytic narrative,” combining deep knowledge of the society with the explanatory power of theory at different scales of analy-sis It is a field I call analytical humanities, and I believe that there are rich

consider-opportunities to further develop this approach.11

Cultural differences, as Joel Mokyr has elegantly shown in his study of the Industrial Revolution, as well as structural ones, must always be in the front of one’s mind when comparing premodern to modern economies.12 Nevertheless, the shifts in scale, the pulses in populations, and the techno-logical changes of the ancient world show human creativity and ingenuity at every turn But these differences, on the other hand, and the vocabulary used to describe them, have driven the fierce debates about the overall na-ture of “the ancient economy” as well as the nature of specific institutions Being aware that the premodern Mediterranean was substantially different from our own world, we must also fight against the risk, to quote Barry Kemp, of “unnecessarily isolating the past and impoverishing the discussion.” Ancient economic institutions were not “static entities devoid of mecha-nisms of adjustment to changing circumstances.”13

My aim in this book is to set premodern Mediterranean economies in their social and environmental context The first millennium BCE was a transformational period in the premodern history of the Mediterranean Karl Jaspers developed a theory that some societies developed entire new ways of thinking about the relationships between politics, religion, and phi-losophy in this period Throughout Eurasia after the Bronze Age collapse, between roughly 1000 and 200 BCE, large complex empires emerged at the same time as the “microstate” world of the Greek city- states came into being Whether one follows Jaspers’s “Axial Age” theory as he laid it out or not, the first millennium BCE was certainly a period of major global transformation

of both political structures and economies.14 Not all first- millennium Mediterranean societies appeared to show the Axial Age move toward more egalitarianism, but all major state- based societies underwent economic transformation.15

The literature on every subject that I touch on here is enormous, and ting larger every day As I write this sentence, I am certain that another book, and several articles, have appeared on a subject relating to some aspect

get-of economic life in the ancient Mediterranean world.16 While this book lacks comprehensive coverage, I hope what it does is to give the reader a sense

of how large, how dynamic, how rich and varied, and how deeply interesting the study of ancient economies has become since the appearance of an

important review of Moses Finley’s The Ancient Economy.17 Unlike most recent

studies, I also hope that there is value in discussing Near Eastern and Egyptian developments together with classical economies during the first millennium BCE The origins of the classical economies, I argue, lie deep in a heteroge-neous past connected by cross- cultural exchange patterns By widening the discussion we can begin to develop new ideas about how the interconnected-ness and the institutional heterogeneity of the premodern Mediterranean world shaped later economic history

This book, then, proposes a different way of thinking about premodern

or preindustrial economies Movement and mobility, through cross- cultural exchange, through trade networks, through migration and resettlement and nomadic contact with settled populations, were important drivers of change Just to give two examples, the Greek colonization of southern Italy (called Magna Graecia, “Greater Greece”) was an important force in the economic development of Italy Greek migration into Egypt beginning in the 7th cen-tury BCE changed the institutional basis of the Ptolemaic dynasty in the 3d century BCE In other words, the classical economies existed alongside of others and interacted with them.18 For Moses Finley the “ancient economy” was, au fond, static The central role of social status within the classical

Greek (Athenian) and Roman economies was sufficient to explain the core

of economic life for fifteen hundred years Without denying the importance

of social status within all premodern economies, there is much that Finley’s emphasis on status disregarded, not the least of which is the amount of so-cial change and the huge variety of lifeways in and outside of the classical world

“The ancient economy” was established as a subject of study in the 19th

century It was reaffirmed and enshrined by Finley, according to whom “the ancient economy” was a single entity, with unifying “Greco- Roman” charac-teristics Much recent work has concentrated on regional and local econo-mies, trying to understand how they fit into larger geographic and cultural frameworks of exchange.19

This scholarly trend, seeking out specific, contingent, and local stories, suits the kinds of evidence that we generally have from the premodern Med-iterranean world There has been a trend in recent years to speak in plural terms, of ancient economies in other words, and to focus on analytical units

beneath the level of the state, on “super- regions,” or microregions, with an emphasis on the heterogeneity of institutions.20 A reemphasis has been placed on the political economy of ancient states, and the variety of state types that existed in the ancient world Scholars of Egypt and the ancient Near East have begun to enter debates on how these places fit into premod-ern Mediterranean economic history

This heterogeneity now raises important issues about physical and poral boundaries as well as comparisons to other ancient societies Scholars

tem-of the classical Mediterranean world have in the past monopolized “ancient history” and the study of the “ancient economy.” There are, however, other claims to the “ancient” world that cover human civilization from ca 3100 BCE to the rise of Islam in the 7th century CE by other cultures too Perhaps

a better break would be to study all “organic” economies, that is, all mies that use land as the “source of food” and “all of the material products of use to man” up to the 16th century Dutch republic, “the first modern econ-omy.”21 Pride of place, in the study of ancient economies, and of ancient his-tory more generally, has been classical Roman history, and therefore the Roman economy has been dominant here, if for no other reason than it is a much larger and better- documented field than Greek economies outside of Athens The Roman evidence is less disputed and more abundant But over the last decade or two, other fields (e.g., among which are Assyriology, Egyptol-ogy, biblical studies) have made significant contributions and, importantly, have demonstrated just how diverse ancient economies were.22

econo-This short list of other disciplines covers a lot of ground in “premodern” history, but as I will suggest throughout this book, it is not only wider views that are changing the study of premodern economies, but scientific fields that offer us entirely new kinds of archives that will be especially important for understanding performance In recent years the physical and biologi-cal sciences have made vital contributions in genetics, osteology, soil sci-ences, hydrology, climate change, remote sensing techniques, and many more fields A generation or two ago the careful reading and interpretation of texts dominated most areas of ancient studies But now, the rapid advance of sci-ence provides critical information related to historic change and demands that historians work within multidisciplinary teams across many fields that did not exist forty years ago.23

The “Ancient Economy”

In the preface to his highly influential The Ancient Economy, Moses Finley

began:

The title of this volume is precise Although change and variation are constant preoccupations, and there are many chronological indications,

it is not a book one would call an ‘economic history’.”24

This overlooked passage is, at first sight, as startling as it is telling Why would a book about “the ancient economy” not be a part of economic his-tory? Because Finley, the most influential scholar of classical economies in

the second half of the 20th century, and many who came after him, thought that one could not write about the premodern world’s economic history in the same manner as one could about the 17th century Dutch or the 19th century German economies A barrier between premodern econo-mies and economies of the last five hundred years was created both by con-ceptual and analytical concerns Conceptually, it was argued, the ancient world, broadly defined, did not have a separate “economic sphere,” no con-ception of the economic, and no vocabulary by which to understand it Economic activity was “embedded” in other social activity; there was little technical innovation, no concept of investment, and no sustained real eco-nomic growth.25

Analytically, Finley insisted, economics could be of no help for standing the premodern world He was following in the footsteps of Weber cited in the epigraph to chapter 2 Markets were much thinner, states domi-nated activity, especially from the point of view of war and taxation, and the two were intimately connected in the premodern world Since the majority

under-of people were primary agricultural producers who lived on the margins under-of subsistence, the behavior of elites and their concerns about status, and non-market activity— euergetism, gift- giving, and the economic activity of pri-vate associations— were more important.26 To be sure, there were unique cases, such as Greek city- states like Athens But in general terms, Finley’s focus

on elite representation in literary texts, it was argued, was enough to capture how ancient, that is classical, economies worked No amount of archaeo-logical data, or evidence of private economic activity recovered in the pa-pyri from Egypt, on cuneiform tablets from Babylonia, or in coin hoards from Spain, altered the picture very much Finley’s general model of the “an-cient world” neatly explained what needed to be explained

While the study of ancient history has been a shifting set of disciplines, economics has likewise undergone much change in its orientation Critiques about the moral basis of capitalism, and the behavior of capital markets, have been a major part of economics especially in light of the economic events of 2008– 9.27 Economics itself has evolved considerably, not just in the wake of the most recent global financial crisis, but over the last “three or more decades” during which “key assumptions of perfect rationality, equi-librium, diminishing returns, and of independent agents always facing well- defined problems are somehow not trustworthy, too restrictive, somehow forced.”28 Living in the post- 2008 world, assumptions about markets and market behavior, and the role governments should play in regulation, has created something of a major intellectual reaction, most stridently against Friedrich Hayek and Milton Friedman, but more broadly against what eco-nomics could and could not explain This has brought Polanyi’s work back

into fashion at least in so far as it might force some reconsideration of his work and along with it a reemphasis on the origins and function of markets.The reification of economies along timeless “national” boundaries, for ex-ample, “the ancient Greek economy,” the “ancient Near Eastern” or the “an-cient Egyptian,” economy, and so on, fosters static description of evidence and can give the impression that certain kinds of institutions such as property rights or markets were unique to that place The same tendency exists in the study of ancient legal systems Fritz Pringsheim, for example, wrote a compel-ling and important study called The Greek Law of Sale (1950) But it covered

nearly a millennium of Greek language- based legal documentation from across the Mediterranean, from Greek city- states to Ptolemaic and Roman Egypt.29 Such a compilation of law obscures significant social, cultural, and economic change Were there differences, for example, between contracts written in the Greek language and contracts that were written in the light of Greek law? The closest thing to real unity in the premodern Mediterranean world were the economies of the Persian and Roman Empires Before then there are many boundary issues caused by a misalignment between geography and historical sources, for example describing the “Greek economy” with evi-dence limited to a few sites I discuss these problems in the next two chapters.Fifth/fourth- century BCE Athenian and the Roman imperial evidence generally, has dominated discussion, both about the use of economic theory and of the nature of premodern economies, almost exclusively The econo-mies of Egypt and of the ancient Near East have been treated in isolation and have rarely been part of larger discussions of understanding ancient eco-nomic behavior or development Things have begun to change, but still con-tributions by economists to ancient economic studies, and discussions of the theory of Polanyi and others, have barely mentioned economic evidence out-side of these classical economies In general the classical economies of Greece and Rome have been treated together, while Mesopotamia and Egypt have been treated apart and separate from these

Moses I Finley (1912– 86)

Moses I Finley, born Moses Finkelstein, was a child prodigy, matriculating

at Syracuse University at the age of twelve.30 He took an MA degree in public law at Columbia and then proceeded, remarkably, to study ancient history without prior knowledge of either Greek of Latin.31 As a graduate student at Columbia, he was involved in Polanyi’s research project there He wrote for the Zeitschrift für Sozialforschung during the 1940s and for the Encyclopedia

of Social Sciences He was a contributor to the Columbia seminar, taught at

CUNY 1934– 42, and during WWII worked in relief efforts.32 He then

taught at Rutgers 1948– 52, got caught up in the

postwar communist hysteria led by Joseph

Mc-Carthy that led to his refusal to cooperate with

the McCarren Committee Ironically Karl

Witt-fogel, a former communist, who had left Germany

and eventually became professor of Chinese

his-tory at the University of Washington (1947– 66),

had befriended Finley Wittfogel (figure 2) is

most famous for his anticommunist jeremiad

Ori-ental Despotism: A Study in Total Power in 1957, a

major comparative study of irrigation or

“hydrau-lic” societies, but less well known is the more

per-sonal side of his politics In 1951 he reported on

Finley’s sympathies to the McCarran

Commit-tee.33 Ancient history can be a brutal, bare-

knuckled world; it’s an important reminder that political ideologies are ficult to separate from interpretive frameworks

dif-He was expelled from Rutgers and worked in Polanyi’s seminar for a year before leaving for England and a fellowship at Cambridge University Finley went on to serve Cambridge with great distinction, becoming the professor

of ancient history from 1970 until 1979 and master of Darwin College from

1976 to 1982.34 Like Polanyi, Finley’s views about the proper framework for ancient history evolved At first Eduard Meyer and Michael Rostovtzeff ’s approaches were admired, but he later preferred Weber, Hasebroek, and Po-lanyi as his guides, and a more generalized social theoretical framework.35His work continues to receive a great deal of attention and is still widely read and admired He had an unusual career, but then so did so many of the great scholars of antiquity in the 20th century

Like many great scholars, Finley’s thought evolved.36 Finley’s own nal contradictions, and indeed this can be extended to others, suggests that one of the problems in summarizing his thought has been overbroad charac-terizations for the purposes of locating one’s own intellectual stance.37 His first major work was a publication of his PhD thesis on the horoi inscrip-

inter-tions, “Studies in Land and Credit in Ancient Athens, 500– 200 BC,” 1952, which shows that he could do very careful philological work.38 As a thesis it was typical of the genre, a careful, text- based analysis of one type of text It presents a very different style than his later general writing and critiques.39

He gained much knowledge in the social sciences through his work on the encyclopedia and by writing reviews for the Zeitschrift.40 He revived the

“great debate” while taking head on the traditional approach of text- based historians in the tradition of Eduard Meyer Meyer indeed comes in for

Figure 2 Karl Wittfogel (1896– 1988).