A. J. Carlyle, A History of Mediæval Political Theory in the West, Vol. I: A History of Political Theory From the Roman Lawyers of the Second Century to the Political Writers of the Ninth (1903; archive; kindle)
Concise Overview of the Book
“A History of Medieval Political Theory in the West, Volume I: The Second Century to the Ninth” by A.J. Carlyle (published 1903) argues for the continuity of political thought from ancient to modern times, challenging the notion of a sharp break after the fall of ancient civilizations. Carlyle posits that medieval political theory evolved from Roman philosophical and legal traditions, integrated with Christian ideas and Teutonic customs, rather than emerging abruptly in the Renaissance. Drawing on sources like Cicero, Seneca, Roman jurists (e.g., from Justinian’s Digest and Institutes), the New Testament, Church Fathers (e.g., Augustine, Ambrose, Isidore), and ninth-century Frankish writers, the book examines key concepts: natural law as the foundation of justice; human equality and its tension with institutions like slavery and coercive government; the origins of property and authority; the divine basis of rulership balanced by justice; and the evolving relationship between church and state. Structured in four parts—introduction via Cicero and Seneca, Roman legal theory, New Testament and patristic ideas, and ninth-century developments—Carlyle emphasizes that these ideas, rooted in Stoic philosophy and Christian theology, laid the groundwork for later medieval thought. Justice is central to legitimate governance, and natural equality counters hierarchical institutions. Acknowledging gaps (e.g., post-Aristotelian Greek philosophy), the work highlights how medieval theory adapted ancient principles, influencing liberty, consent, and ecclesiastical independence. This volume sets the stage for later ones covering up to the 17th century, underscoring the organic development of political ideas amid empire, church, and barbarian influences.
Chapter-by-Chapter Summary
PART I: INTRODUCTION
Chapter I: The Political Theory of Cicero
Cicero, a pivotal figure of the late Roman Republic, encapsulates the political thought of his era, heavily influenced by Stoic philosophy, which profoundly shaped medieval theory. He defines the commonwealth (res publica) as a community united by common law and shared well-being, asserting that justice is its essential foundation—without it, no true state exists. Cicero’s conception of justice is rooted in natural law, an eternal, universal principle akin to divine reason, unchanging across time and place, which he contrasts with skeptics like Carneades, who viewed laws as variable products of utility. This natural law commands duty and prohibits deceit, providing the moral and legal basis for all legitimate human laws, with unjust statutes lacking true legal character.
A cornerstone of Cicero’s theory is the natural equality of human nature, a stark departure from Aristotle’s belief in inherent inequality. He argues that all humans share reason and the capacity for virtue, regardless of race or education, a view shaped by the cosmopolitanism of the Hellenistic and Roman worlds, where cultural exchanges demonstrated universal human potential. This equality underpins his critique of social hierarchies and informs his view of the state as a natural outgrowth of human sociability, evolving organically from family units rather than through artificial contracts. Cicero sees the creation of a state as humanity’s greatest achievement, aimed at fostering justice and liberty, which he defines as participation in governance, not mere freedom from restraint.
On government, Cicero critiques the instability of pure forms—monarchy risks tyranny, aristocracy risks oligarchy, and democracy risks anarchy—advocating a mixed constitution balancing these elements to ensure stability and liberty. He acknowledges human corruption as a source of societal flaws but maintains that just governance aligns with natural law. While Cicero’s eclectic philosophy lacks deep originality, his synthesis of Stoic ideas, particularly justice, equality, and organic state development, provides a bridge to medieval thought, influencing Roman jurists and Christian Fathers. His emphasis on liberty as shared power and justice as the state’s essence prefigures key medieval debates on authority and governance.
Chapter II: The Political Theory of Seneca
Seneca, a Stoic philosopher under the early Roman Empire, builds on Cicero’s ideas while emphasizing nature as both the ideal perfection and primitive simplicity of human existence. He asserts the natural equality of all humans, sharing a rational essence that transcends social distinctions like slavery, which he deems an artificial convention contrary to nature. Slaves, Seneca argues, are of the same nature as masters, deserving humane treatment, and masters should recognize their own vulnerability to fortune’s shifts. This view aligns with Stoic cosmopolitanism, emphasizing a universal human bond that influenced later Christian and medieval ideas of equality.
Seneca’s concept of the “Golden Age” introduces a state-of-nature theory: a primitive era without coercive government, property, or vice, where humans lived in harmony under natural law. Corruption through avarice and ambition caused a fall from this state, necessitating remedial institutions like laws and rulers to curb human flaws. Unlike Cicero’s organic state growth, Seneca sees conventional society as a response to degeneration, yet he insists that wise individuals, achieving internal liberty through virtue, should serve the universal commonwealth, even if barred from public office. This balance between self-sufficiency and social duty counters Epicurean isolationism, aligning with Stoic and later Christian ethics.
Regarding government, Seneca’s conception of liberty varies—sometimes internal freedom from passions, sometimes political conditions fostering virtue. He warns against tyranny’s corruption but views the emperor as a paternal figure embodying divine reason, a precursor to Christian divine-right theories. Authority derives from divine order, but its exercise must align with virtue to avoid abuse. Seneca’s ideas—equality, remedial governance, and the tension between ideal nature and corrupt convention—bridge philosophy and theology, influencing Roman jurists and Christian Fathers, particularly in their views on slavery, property, and the moral obligations of rulers.
PART II: THE POLITICAL THEORY OF THE ROMAN LAWYERS
Chapter III: The Theory of the Law of Nature
The Roman jurists, whose writings from the second to sixth centuries are preserved in Justinian’s Digest and Institutes, form a critical foundation for medieval political theory by blending Stoic philosophy with practical jurisprudence. Gaius, an early jurist, equates jus gentium (law of nations) with natural reason, applicable to all humanity, reflecting Cicero’s universal law without sharply distinguishing it from jus naturale. This view sees law as rooted in rational equity, common across civilizations, and focused on justice and utility. Ulpian and later jurists introduce a distinction: jus naturale as eternal, divine equity (what is always just) versus jus gentium as human conventions arising from societal needs, such as slavery or war. This distinction implies a primitive state of equality disrupted by social developments, a concept that resonates with Seneca’s Golden Age.
Later jurists like Hermogenianus and the Institutes formalize this framework, aligning jus gentium with post-primitive conventions, suggesting a state of nature where equality prevailed before societal institutions emerged. The ambiguity in defining nature—ideal versus empirical—creates tension but enriches medieval thought by providing a framework to critique positive laws against universal justice. This legal theory, emphasizing natural law as divine and equitable, influenced Christian thinkers, particularly through Isidore, who integrated it into ecclesiastical frameworks. The jurists’ focus on law as an application of universal reason to diverse contexts laid the groundwork for medieval debates on the legitimacy of laws and institutions.
Chapter IV: Slavery and Property
Roman jurists assert the natural equality and liberty of all humans under jus naturale, with slavery arising as a convention of jus gentium, typically through war or birth to slaves. Ulpian and Florentinus emphasize that men are equal and free by nature, with civil law treating slaves as “pro nullis” (non-persons), yet natural equity imposes limits on masters’ powers, prohibiting cruelty or forced prostitution. Emperors like Hadrian and Antoninus further restricted abuses, reflecting Stoic influences and contributing to slavery’s gradual mitigation and eventual decline in the West, partly under Christian influence. The jurists’ recognition of slavery’s artificiality aligns with philosophical critiques, setting a precedent for medieval debates on human dignity.
On property, the jurists view its origins in occupation or capture under jus gentium, considered natural yet not primitive, as early communal use gave way to private ownership. Hermogenianus’s position is ambiguous, but the consensus holds that property is a conventional institution, balancing utility with equitable limits. This perspective influenced medieval thought, particularly in Christian critiques of property as non-natural but lawful when used justly. The jurists’ theories thus bridge ancient philosophy and medieval theology, emphasizing equality and equity as checks on social institutions.
Chapter V: The Theory of the Civil Law
Civil law, according to jurists like Gaius and Marcianus, applies general principles of justice to specific societal contexts, drawing on Stoic ideas from Chrysippus that laws are set by the wise and agreed upon by the state. Ulpian defines jurisprudence as the knowledge of divine and human affairs, aiming to discern just from unjust, though his ambiguous phrasing suggests civil laws may sometimes deviate from natural justice. Paulus’s distinction—that jus naturale is always just, while civil law is useful—implies a need for amendment to align with equity. This Stoic-Ciceronian view posits true law as embodying reason and justice, not mere command, contrasting Epicurean utility-based theories.
The jurists’ emphasis on civil law as an adaptive expression of natural justice provided medieval thinkers with a model for evaluating laws against universal principles. Their framework, balancing practical governance with ideal equity, influenced Christian and secular theories of law as a tool for the common good, shaping medieval legal and political discourse.
Chapter VI: The Source of Political Authority
The jurists assert that political authority derives from the people through the lex regia, a legal act transferring sovereignty to the emperor, as seen in Ulpian, Gaius, and Pomponius. This contractual element, where custom and legislation reflect communal consent, persists through Justinian, who also invokes divine sanction, blending popular and divine sources of authority. Later emperors like Theodosius and Valentinian reinforce that rulers are bound by law, contrasting pure divine-right absolutism. This dual framework—authority from the people yet divinely ordained—influenced medieval theories of governance, particularly the balance between consent and divine legitimacy.
Chapter VII: The Political Theory of Justinian’s Institutes
The Institutes synthesize earlier juristic views, defining jus naturale as divine, equitable law, and jus gentium as conventions like slavery and property arising from human needs. Civil law adapts these principles, with authority stemming from the people via the lex regia but sanctified by divine will. The Institutes emphasize natural equality, justice as the state’s foundation, and remedial institutions as responses to human corruption, aligning with Stoic and Ciceronian principles. These ideas—equality, justice, and consensual authority—provided a robust framework for medieval political theory, influencing Christian and secular thought on governance and law.
PART III: THE POLITICAL THEORY OF THE NEW TESTAMENT AND THE FATHERS
Chapter VIII: The Political Theory of the New Testament
The New Testament introduces a political theory rooted in universalism, with natural law implied through Paul’s references to conscience, aligning with Cicero’s rational law. It emphasizes human equality before God, transcending distinctions like Jew/Gentile or slave/free, though it tolerates slavery as lawful, urging mutual justice between masters and slaves. Government is divinely ordained to promote justice, but early Christians exhibit anarchic tendencies, prioritizing spiritual over worldly authority, as seen in their resistance to Roman governance. Property involves communal sharing, particularly in early Jerusalem, but not absolute communism, balancing community needs with individual rights. These ideas—equality, divine governance, and moderated property—set the stage for patristic elaborations, influencing medieval views on justice and authority.
Chapter IX: Natural Law
The Church Fathers, such as Ambrose and Augustine, equate natural law with divine law, drawing on Paul’s writings to argue that it reflects God’s eternal will. Isidore of Seville introduces the jurists’ tripartite division (jus naturale, gentium, civile) into Christian thought, defining naturale as common equity across nations, distinct from human conventions. This integration, emphasizing natural law as divine and universal, influenced medieval canon law, providing a framework to evaluate secular laws against divine justice. The Fathers’ synthesis of scriptural and legal traditions shaped medieval political theology, reinforcing the idea that true law aligns with divine reason.
Chapter X: Natural Equality and Slavery
The Fathers assert that humans are naturally equal and free, with slavery resulting from sin as a remedial discipline. While the Church sanctions slavery as lawful, it mitigates its hardships, urging masters to care for slaves’ spiritual welfare and encouraging manumission as a pious act. This view, rooted in Stoic and New Testament ideas, balances recognition of equality with practical acceptance of social hierarchies, influencing medieval efforts to humanize slavery while maintaining its legal status.
Chapter XI: Natural Equality and Government
The Fathers view humans as naturally sociable, but coercive government arises post-Fall as a divine remedy for sin, not an innate condition. This perspective, aligning with Seneca’s state-of-nature theory, sees governance as a necessary response to human corruption, divinely instituted to maintain order and justice. The concept influenced medieval theories of government as both divine and remedial, shaping debates on authority’s purpose.
Chapter XII: The Theory of Property
Early Fathers idealize communal goods, but later ones, like Augustine, affirm private property as lawful yet not natural, limited by justice—almsgiving is a duty, not charity. Isidore’s ambiguous statement that communal possession belongs to natural law influenced medieval interpretations, often aligning with Stoic views of property as conventional. This tension between communal ideals and practical property rights shaped medieval economic ethics, emphasizing equitable use over absolute ownership.
Chapter XIII: The Sacred Authority of the Ruler
The Fathers, particularly Ambrose and Gregory, view rulers as God’s representatives, even if unjust, countering early Christian anarchism amid imperial patronage post-Constantine. This divine-right theory, influenced by Old Testament ideas of the “Lord’s anointed,” posits rulers as vicars of God, responsible for justice, yet subjects must obey regardless of the ruler’s character. This framework influenced medieval kingship, balancing divine authority with moral accountability.
Chapter XIV: Authority and Justice
The normal patristic view holds justice as the state’s end, distinguishing true kings from tyrants. Ambrose and Isidore emphasize rulers’ obligation to uphold law and justice, aligning with Cicero. Augustine’s exception—omitting justice from his state definition—focuses on order, but his view had limited medieval influence. The emphasis on justice as essential counteracted divine-right absolutism, shaping medieval governance theories.
Chapter XV: The Theory of the Relation of Church and State
The relationship between church and state becomes critical post-Constantine, with the Fathers, particularly Gelasius I, defining them as coordinate divine powers, each independent in its sphere yet subject to the other’s authority. Secular rulers lack jurisdiction over spiritual matters and are subject to church discipline, as seen in Ambrose’s excommunication of Theodosius. However, persecution sometimes forced church reliance on state arbitration, creating ambiguity, as in Optatus’s phrases. Gelasius’s dualism—church and state as distinct yet interdependent—set a precedent for medieval theory, balancing ecclesiastical autonomy with secular responsibility for justice, influencing ninth-century dynamics.
PART IV: THE POLITICAL THEORY OF THE NINTH CENTURY
Chapter XVI: Natural Equality and Slavery
Ninth-century thinkers, influenced by the Fathers, maintain human equality as natural, with slavery a consequence of sin, lawful yet remedial. The Church sanctions slavery, but its conditions are mitigated through ecclesiastical oversight, with masters urged to treat slaves justly. Figures like Smaragdus Abbas, though rare, advocate abolition, reflecting tensions between equality and hierarchy. This continuity of patristic ideas, tempered by Teutonic customs, shaped medieval social ethics, balancing legal acceptance with moral critique.
Chapter XVII: The Divine Authority of the King
Government is seen as a divine remedy for sin, with kings as God’s vicars, a view reinforced by Hincmar of Rheims and others. Rebellion is sinful, as kingship, whether just or unjust, derives from divine will. This divine-right theory, rooted in patristic thought, emphasizes the sacred nature of rulership, influencing Frankish governance amid the Carolingian Empire’s consolidation.
Chapter XVIII: The Theory of the King and Justice
Justice defines true kingship, distinguishing it from tyranny, per Isidore’s influential definitions. Ninth-century writers like Hincmar and Sedulius Scotus stress rulers’ duty to uphold justice, drawing on patristic and legal traditions. This emphasis reflects practical concerns in a fragmented empire, reinforcing the moral foundation of governance.
Chapter XIX: The King and the Law
Kings are bound by national law, made with the consent of bishops and nobles, contrasting Roman imperial absolutism. Hincmar views law as a communal product, with the king as its servant, not sole source. This consensual model, rooted in Teutonic traditions, shaped medieval constitutionalism, emphasizing mutual obligations.
Chapter XX: The Theory of the Source and Conditions of Authority in the State
Kingship is elective, with mutual oaths between king and subjects implying a contractual relationship. Deposition for tyranny, as in Lewis the Pious’s case, is legitimate, reflecting a practical balance between divine authority and accountability to justice and consent.
Chapter XXI: The Relation of the Authorities of Church and State
Gelasius’s dualism persists, with church and state as independent yet interdependent powers. Kings oversee church order but submit to ecclesiastical jurisdiction, including papal coronations, as seen in Charlemagne’s crowning. Hincmar and others navigate this complexity, with bishops as God’s vicars holding authority over rulers, particularly in excommunication or deposition, while the “Donation of Constantine” bolsters papal claims, shaping medieval church-state dynamics.
