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2013 Energy Consuption in The Roman World - Paolo Malanima PDF

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© © All Rights Reserved
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You are on page 1/ 76

The Ancient Mediterranean

Environment between Science


and History

Edited by
W.V. Harris

LEIDEN • BOSTON
2013

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
CONTENTS

List of Tables and Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii


Notes on Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix

What Kind of Environmental History for Antiquity? . . . . . . . . . . . . . . . . . . . 1


W.V. Harris

PART ONE
FRAMEWORKS

Energy Consumption in the Roman World . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13


Paolo Malanima
Fuelling Ancient Mediterranean Cities: A Framework for Charcoal
Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Robyn Veal

PART TWO
CLIMATE

What Climate Science, Ausonius, Nile Floods, Rye, and Thatch Tell Us
about the Environmental History of the Roman Empire . . . . . . . . . . . 61
Michael McCormick
Megadroughts, ENSO, and the Invasion of Late-Roman Europe by the
Huns and Avars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Edward R. Cook
The Roman World and Climate: Context, Relevance of Climate
Change, and Some Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Sturt Manning

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
vi contents

PART THREE
WOODLANDS

Defining and Detecting Mediterranean Deforestation, 800 bce to


700ce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
W.V. Harris

PART FOUR
AREA REPORTS

Problems of Relating Environmental History and Human Settlement


in the Classical and Late Classical Periods: The Example of
Southern Jordan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Paula Kouki
Human-Environment Interactions in the Southern Tyrrhenian
Coastal Area: Hypotheses from Neapolis and Elea-Velia . . . . . . . . . . . 213
Elda Russo Ermolli, Paola Romano, and Maria Rosaria Ruello
Large-Scale Water Management Projects in Roman Central-Southern
Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
Duncan Keenan-Jones

PART FIVE
FINALE

The Mediterranean Environment in Ancient History: Perspectives


and Prospects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Andrew Wilson

Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
ENERGY CONSUMPTION IN THE ROMAN WORLD*

Paolo Malanima

Economic development has been supported, over the last two centuries, by
a technical revolution in the use of power and energy. The introduction of
modern machines, able to deliver huge quantities of work per unit of time
on the one hand, and the availability of cheap fossil energy sources on the
other, have enormously increased productive capacity. Both changes were
the necessary although not sufficient conditions for the notable discontinu-
ity in the economic history of the human populations and were the main
determinants of a huge increase of output. The scarce availability both of
mechanical power and energy set a limit to the growth potential of pre-
vious agricultural economies from the 5th millennium bc until the start
of modern growth two centuries ago, and was the direct determinant of
phases of decline or collapse. We cannot but agree with the view presented
by E.A. Wrigley on pre-modern agricultural or ‘organic’ societies. His opin-
ion is that ‘societies before the Industrial Revolution were dependent on the
annual cycle of plant photosynthesis for both heat and mechanical energy.
The quantity of energy available each year was therefore limited, and eco-
nomic growth was necessarily constrained’.1 This was the main reason why
decreasing returns to labour prevailed in past agricultural civilisations, as
the English classical economists maintained.
The topic of energy consumption as a whole has been only marginally
investigated in the case of the Roman world (though there has been some
attention to particular energy sources such as wood). Previous attempts
to quantify energy consumption do not allow one to understand the pro-
cedures followed.2 It is obviously impossible to present definite figures of
energy consumption, since local conditions and the relations between
human beings and the environment differed so much within the Roman

* I thank Elio Lo Cascio for his comments on a previous draft of this paper. I also

thank the participants in the conference ‘Growth and Factors of Growth in the Ancient
Economy’, January 28–29, 2011, held in Chicago (with the support of the Federal Reserve Bank
of Chicago), and particularly Alain Bresson and Joel Mokyr, for their comments.
1 Wrigley 2013, 1. See also Wrigley 2010 on the same topic.
2 See the Appendix.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
14 paolo malanima

Empire. It is possible, however, to present plausible data and plausible con-


fidence intervals around the figures. This is a first step towards a comparison
of energy consumption within past societies and between past societies and
the present world.
The purpose of the present work is to focus on energy consumption in the
early Roman Empire; and, in particular, to identify the energy sources (§ 1),
to quantify their exploitation (§2–3), and their constraints to the growth
potential (§4–5). The last section (§6) will be devoted to the dynamics of the
ancient energy systems, that is the innovations in the technical exploitation
of energy and its availability. The Appendix will present the procedure
followed in the quantification of energy consumption in the Roman Empire
and discuss alternative estimates.

1. The Input of Energy

Often it is not completely clear what actually were the sources of energy
in past agrarian civilizations.3 The consequence is that any quantification
becomes imprecise or, indeed, quite impossible. Although certainty is unat-
tainable on the subject, a plausible order of magnitude is not out of reach.4
There were three main inputs of energy in pre-modern agrarian civiliza-
tions from about 5000bc until 1800ad: food, firewood and fodder for working
animals.5
Food has been the primary source of energy since the beginning of the
human species. A second source, firewood, began to be exploited as fuel
between 1,000,000 and 500,000 years ago. From then until the Industrial Rev-
olution it was the main provider of heat.6 The third source, fodder for draft
animals, began to supply mechanical work in the agricultural civilizations
between 5000 and 4000bc, that is since the exploitation of animal power
on a wide scale in agriculture and transportation. These were still the main

3 Here I refer to the energy sources with a cost (often an opportunity cost). Solar light

is important for our survival, but is free and then excluded from our calculations. The same
holds true for the vegetation of a forest, when not exploited by the humans. Water and wind
power, when exploited through mills and sails (expensive to build), is included, while it is
excluded when not exploited for some productive activity. See, however, the Appendix for
more information on the subject.
4 I have discussed this topic in greater depth in Malanima (forthcoming). See the follow-

ing Appendix on the quantification of energy consumption in the early Roman Empire.
5 I have examined the transitions among energy systems in greater depth in Malanima

2010.
6 Perlès 1977; Goudsblom 1992.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 15

energy carriers of ancient Mediterranean civilization. The discovery of fire


on the one hand and the exploitation of draft animals on the other, marked
two main changes in the history of technology. The most recent change has
been the spread of thermal machines over the last two centuries. In the
long period between the first exploitation of animal power in agriculture
and the steam engine, so for almost seven millennia, no radical change, or
macroinvention,7 occurred in the exploitation of energy, although several
minor changes took place.
Food consumption has not changed so very much during the long his-
tory of mankind, at least in term of calories. Even in the case of ancient
Greek and Roman civilizations, we can assume a daily average consump-
tion of 2–3,000 calories;8 as recent estimates indicate. In particular, ‘the diet
of the Mediterranean region with its high population density was probably
marked by much lower overall meat consumption’.9 Pork meat ‘was a promi-
nent food of the urban high-income strata of society, whereas the poorer
ancient Roman population consumed primarily vegetarian food’.10 Although
within a wide geographic area such as the Roman Empire differences in diet
were remarkable, the intake of calories was necessarily similar.11
Regional variations in firewood consumption were much wider and de-
pended on two main variables: temperature and industrial demand. In
Mediterranean civilizations the amount of 1kg. of wood (that is about 3,000
kcal.) per head per day can be assumed as the lower margin of a likely range,
given the relatively high temperature in this area of the world. Calculations
of industrial consumption by metallurgy and other industries (such as pot-
tery, glass and tile production) and services (such as baths) suggest that
another half kg. could be added to this daily amount, at least in regions
with widespread industrial activity. This half kg. more is, however, a rela-
tively high estimate, based on what we know on early Modern Europe.12
For the early Roman Empire only rough estimates on wood consumption
by metallurgy are possible.13 Differences in firewood consumption certainly
existed within the Roman world and derived from the regional differences

7 I use here the word ‘macroinvention’ following Mokyr 1990.


8 Here I use the terms of kilocalorie (kcal.) or calorie as synonyms, although they are not.
Actually, a kilocalorie (the correct unit of measure when we speak of food or heat) is 1,000
calories.
9 Koepke and Baten 2008, 132.
10 Koepke and Baten 2008, 142.
11 See Jongman 2007b.
12 Kander et al. 2013.
13 See the Appendix.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
16 paolo malanima

in temperature and industrial development. A range between 1 and 2 kg.,


that is between 3,000 and 6,000 calories per head per day, seems plausi-
ble.14 According to a calculation of biofuels consumption on a world scale
about 1850, that is when wood was still the main fuel, the per capita aver-
age was 2.3kg. and this average was far lower in the South.15 When taking
into account the high temperatures in the Southern Mediterranean and the
existence of regions with poor industrial activity, a lower estimate of fire-
wood consumption of about 3,000 kcal. per head per day, that is 1 kg., seems
plausible for the Roman Empire. A consumption of 6,000 kcal, equivalent
to 2kg. of wood, could however have been reached in cold regions, in the
mountains, or in areas with relatively high industrial activity.16
As to the contribution by draft animals to the energy balance, an estimate
can be based on the ratio between their consumption of fodder (expressed
in some energy measure) and population. We follow, in this case, the same
procedure we use today to establish the average consumption of oil in a
country: that is, dividing the oil consumed among the population. The only
difference being that in pre-modern agrarian civilizations, we are mainly
dealing with biological converters and that their fuel is food intake. From
the available information on the size of ancient working animals17 and the
draft animals-population ratio,18 we then estimate how much energy was
consumed per head dividing the calories of fodder intake by the population.
The range of a plausible consumption is 1,000–2,000 kcal. per head per day.
The only energy carriers not provided by the land through photosynthe-
sis in ancient agricultural civilizations were wind, used to drive sailing ships,
and water, exploited for mills as from the 3rd century bc.19 An estimate of
the consumption of the energy of wind and water is difficult.20 We know,
however, for the early Modern Age, that their contribution to the energy bal-
ance hardly represented more than 1 percent of the total energy consumed.
It seems plausible to assume that watermills and sailing ships were not more
numerous in the Roman Empire than in medieval and early modern Europe.

14
The article by Harris 2011a is important for the quantification of firewood consumption.
15
Fernandes et al. 2007 (see the auxiliary material for the article in http://onlinelibrary
.wiley.com/doi/10.1029/2006GB002836/suppinfo). The consumption of biofuels in the Medi-
terranean regions was lower than the average.
16 See the lower energy consumption proposed by Smil 2010, reported in the Appendix to

this paper.
17 On the topic see in particular Kron 2000, 2002, and 2004. See also Ward-Perkins 2005,

Ch. VII and Fig. 7.3.


18 This ratio is hard to establish for ancient economies. See, however, the Appendix.
19 Wilson 2002a and 2008b and Lo Cascio and Malanima 2008.
20 But see the Appendix.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 17

In mere quantitative terms, the role of wind and water in pre-modern agrar-
ian societies was negligible, although they were very important from the
technological viewpoint. Actually, sailing ships and watermills were the
only engines whose mechanical work did not derive from the metabolism
of food.21 Together these engines provided 100 percent of the mechanical
energy by non-biological converters.

2. A Quantification

Table 1 presents a likely consumption range for the ancient Mediterranean


in the age of the early Roman Empire, that is the 1st century and the first half
of the 2nd, up until the Antonine Plague. As we see, energy consumption
is comprised between 6,000 and 11,000 kcal. per capita per day (or 9.2–18.4
Gigajoules per year). We see also that half of consumption consisted of food
for humans and draft animals, the other half of firewood.

Table 1. Energy consumption in the early Roman Empire (in Gj. per capita per year
and kcal. per capita per day).

Gj/year Kcal/day %
Sources of energy Min. Max. Min. Max. Min. Max.
Food for humans 3.1 4.6 2,000 3,000 33 27
Fuel 4.6 9.2 3,000 6,000 50 55
Fodder for animals 1.5 3.0 1,000 2,000 17 18
Total 9.2 16.8 6,000 11,000 100 100
Sources: see text and Appendix.

Today World energy consumption is 50,000 kcal. per capita per day or 76.5
gigajoules (Gj.) per year. In Europe it is notably higher: 100,000 kcal. per day
(153 Gj. per year). At the beginning of modern growth, in the early decades
of the 19th century, World average consumption per capita was 7–10,000
kcal. per day (10–15 Gj. per year) and the European 15,000 kcal. per day
(23 Gj. per year).22 Around 1850, consumption per head of the three main
sources of energy (food, firewood and fodder) in Northern Mediterranean

21 Technical change in maritime technology was continuous and certainly contributed to

enhance the exploitation of wind power, although, in mere quantitative terms, the energy
consumed by sailing ships remained modest. See now, on changes in maritime technology,
Harris and Iara 2011.
22 Malanima 1996 and 2010.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
18 paolo malanima

countries (Portugal, Spain, France, Italy) ranged between 11,500 and 13,500
kcal. per day.23 A Mediterranean average including Northern Africa and
the Near East (for which we have no data until 1970) would certainly be
lower.24 Thus, a plausible result is that per capita energy consumption in
the ancient Roman world was 5–6 times less than the World average in
2000 and 10 times less than the European average at the same date. It was
also a little lower than that of the Northern Mediterranean countries at the
beginning of industrialisation. The Roman Empire included many Southern
regions, where the consumption of firewood was certainly lower than in the
Mediterranean countries of Europe at the start of industrialisation.
It is hard to specify the impact of the production of energy on the envi-
ronment in the early Roman Empire. If we assume that food production
required half a hectare per capita,25 firewood half a hectare of forest and fod-
der for draft animals another half hectare, then per capita requirement was
1.5 hectares. This estimate is nothing but a plausible average (based mainly
on late medieval-early modern European examples, where the productivity
of fields, meadows and forests was quite similar to that in Roman antiq-
uity).
In around 165ad, the Roman Empire measured 3,800,000 km2.26 Accept-
ing the previous calculations regarding consumption and soil per head, to
provide energy for the 70 million inhabitants living in the Empire 1,050,000
km2 were necessary, which is 25–30 percent of the total. If we assume a pop-
ulation of 100 million, plausible as well for the middle of the 2nd century ad,
the need of soil to support energy production becomes 1,500,000 km2, which
is 40 percent of the Empire. If we exclude the mountains (lands more than
600 metres high), which in the Mediterranean regions cover 20–25 percent
of the total area and were hard to exploit, the extent of the agrarian soil
in the Roman Empire becomes about 3,000,000 km2. In this case, accord-
ing to the two previous population estimates, the share covered by fields,
exploitable woods and meadows becomes respectively 33 and 50 percent of
the total area. These shares naturally rise if we subtract from the total extent
not only the mountains, but also hilly lands hard to cultivate, marshes, lakes
and urban areas.

23
Kander et al. 2013.
24
For these countries the series elaborated by IEA (International Energy Agency) start
only from the 1970s.
25 Fallow land is not included.
26 I take both the extent of the Empire and the inhabitants from Scheidel 2007, 48.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 19

3. Efficiency and Energy Intensity

Only a part of energy input is actually transformed into useful energy (or
energy services, that is mechanical work, light and useful heat). How great
this share is depends on the efficiency of the converters of energy, that is
labour (L) and capital goods (K ). The thermodynamic efficiency (η) of the
system of energy can be represented through the following ratio between
the energy services (Eu) and the total input of energy (Ei):

η=
Eu
Ei

Today, in our developed economies, this ratio is about 0.35; that is 35 percent
of the input of energy becomes actual mechanical work, light or useful heat.
In past agricultural civilizations, the efficiency was much lower. A plausi-
ble calculation is easier for the past, when biological converters prevailed,
than for the present. Today, in fact, the variety of machines, with diverse
yields, make any estimate hard. The ratio between useful mechanical work
and input of energy into biological converters, such as humans and working
animals, is around 15–20 percent.27 Part of the intake of energy in the form of
food is not digested and is expelled as waste, whilst the main part is utilized
as metabolic energy in order to repair the cells, digest and preserve body
heat. A human being or animal consumes even when inactive. The use of
firewood is even less efficient. The greater part of the heat is dispersed with-
out any benefit for those who burn the wood. Its yield is about 5–10 percent.
Overall, the efficiency of a vegetable energy system based on biological con-
verters, such as that of ancient civilizations, was around 15 per cent at the
most: that is 1,000–1,500 kcal. were transformed into useful mechanical work
or heat; the rest was lost. Thermal machines are much more efficient than
biological converters such as animals and humans.
Another measure of efficiency in the use of energy is the ratio between
the energy input and output, that is GDP. It represents the energy intensity,
or the quantity of energy we need to produce a unit of output (Y ):

i=
Ei
Y

27 See the useful Herman 2007.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
20 paolo malanima

This ratio depends on the efficiency of the converters, but, contrary to


the previous ratio, it also depends on the structure of production, that
is the relative importance of the different sectors and subsectors within
the economy. Some sectors (e.g. industry and especially heavy industry)
consume much more energy per unit of output than others (e.g. some
services). If there is a change in the relative importance of any specific
sector, energy intensity changes as well, even without any change in the
thermodynamic efficiency of the converters. It is apparent that the impact
of energy use on the environment depends both on the amount of energy
exploitation and on energy intensity; higher intensity implying a higher
impact on the environment. In past agricultural civilizations, for any unit
of GDP (e.g. 1 dollar), the expense of energy was higher than today. Around
2000, in Western Europe, energy intensity was 7–8 Megajoules per dollar.28
In past agrarian economies it was at least twice as much, since mechanical
converters of energy are more efficient than biological converters. In 1800
Western Europe, that is before the start of industrialization, it was 12–14
Megajoules per dollar. Assuming that in the early Roman Empire energy
intensity was the same as in pre-modern European societies, the level of per
capita GDP would be about 1,000 dollars (1990 intern. $ Purchasing Parity
Power).29

4. The Energy Constraints

Vegetable energy carriers, such as those exploited in past pre-modern civ-


ilizations, are reproducible. The sun’s energy enables a continuous flow of
exploitable phytomass and the circulation of water and wind. Although the
availability of these carriers was and is endless,30 and the energy system
based on them was and is sustainable, their increase was hard and time-
consuming. A large part of working time in pre-modern economies was
aimed at providing energy. All in all, the expense31 for energy (food, firewood
and fodder) could represent 60–70 percent of the average income. In pre-
modern economies consumption represented, at least, 80 percent of GDP.32

28International 1990 Geary-Khamis dollars Purchasing Parity Power.


29See on the topic Lo Cascio and Malanima 2009; forthcoming.
30 Actually, it is not endless, but the Sun’s light will still reach the Earth for 5 billion years.
31 Including the opportunity cost when a source of energy is provided directly by the

consumer himself.
32 Malanima 2009, chap. VII.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 21

Although this 80 percent was not devoted completely to providing energy,


the expense for food and firewood was remarkable.
Since all sources of energy came from the soil and soil is not endless, the
consequence during epochs of demographic rise was a fall in soil per worker
and then decreasing returns to labour. The main change taking place from
the start of modern growth has been the elimination of the dependence
of the energy system on the soil’s constraint. When demand increases, it
is much easier to provide coal, oil or natural gas, than the vegetable carri-
ers utilized in past agrarian economies. Since in pre-modern organic veg-
etable energy systems, the transformation of the Sun’s radiation by plants
into phytomass, thanks to photosynthesis, was central and climatic condi-
tions can heavily influence the output of energy, climatic phases marked
the past history of mankind. Short-term deviations from the average tem-
perature or precipitations resulted in dramatic increases or falls in energy
availability: the well-known years of plenty and the frequent famines of the
agricultural economies. Long-run changes were much less felt or were even
unnoticed, although they influenced agricultural production, thus the over-
all availability of energy, and, consequently, total output and population
trends.
The second important constraint of all pre-modern energy systems was
the low power of the converters, which resulted in a low working capacity
per unit of time. The high standard of living of modern societies is the result
of the higher output per unit of time or higher labour productivity. The
power of a man in everyday work is the same as a 40-watt lamp, or 0.05–0.07
Horse Power (HP). The power of a horse is 15–20 times higher. In pre-modern
civilizations, the most powerful engines were watermills, whose power was
about 3 HP, and sailing ships, which could even reach 50 HP.33 To clarify
this central point about the differences between past and modern energy
systems, we must remember that the power of an average car (80 kilowatts)
is equal to the power of 2,000 people and that the power of a big generating
electric station (800 megawatts) is the same as that of 20 million people. The
electric power of a medium sized nation such as Italy in 2000 equals 80,000
megawatts, which is the same power as that of 2 billion people. Today, a
nuclear plant or a nuclear bomb can concentrate millions of HP, or the work
of many generations of humans and draft animals, into a small space and a
fraction of time.

33 I neglect here the employment of power for military purposes. A catapult was an

ingenious concentration of power.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
22 paolo malanima

While the adoption of new energy carriers in the past two centuries has
greatly expanded the quantity of energy at our disposal, an equally key
development has been new technology (machinery) able to concentrate
large amounts of work in particular locations in order to carry out specific
tasks. This concentration of work allows humans to accomplish tasks that
were barely imaginable just a few lifetimes ago. It was the first step toward
a new control of the natural forces at a level inconceivable in past agrarian
civilizations.

5. Innovations

The progress of technology in the ancient Mediterranean world did not


reveal interruptions or declines:34 ‘the use of machines was more widespread
in ancient Greece and Rome, together with ancient China, than in any other
civilization until certainly the 12th or perhaps the 14th century A.D. in West-
ern Europe’.35 On the other hand, looking at the problem of technical inno-
vation from the viewpoint of energy, Roman technology consisted primarily,
as J-P. Vernant wrote, ‘in the application of the human and animal force
through a variety of tools, and not in the utilisation of the forces of nature
through the use of machines’.36 The introduction of new tools, that is micro-
inventions, was continuous. In a sense this flow of innovations made human
work more efficient, although this increase in efficiency, from the specific
viewpoint of energy and power, was modest indeed.
As suggested by A. Bresson, in the 1st century ad,37 Hero’s work demon-
strates the knowledge of all the main elements for constructing a steam
engine, such as the conversion from rotatory to alternating movement, the
cylinder and piston, non-return valves and gearings: ‘the main technical
elements embodied in the Newcomen engine were, if not in function at
least well known in the Hellenistic age’.38 We can wonder, however, how
widespread this knowledge actually was. With the exception of Hero’s work,
no other mention of the use of steam is available in ancient literary texts or
archaeological remains.
We know that in England coal began to be used on a wide scale from
the 1st century ad both for domestic usage and for the melting of metals.

34 Greene 2000; Schneider 2007.


35 Wilson 2008b, 362.
36 Vernant 1957, 207.
37 Described in Pneumatica 2.11.
38 Bresson 2006, 72.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 23

Fig. 1. Dated remains of coal in England 1–500ad (% of the total dated remains every
50 years). Source: based on data in Smith 1997.

Coal has been recovered from 70 archaeological sites in England and Wales.
Its chemical analysis has allowed these remains to be dated (Figure 1).39
Although we cannot quantify the level of consumption, we can specify the
chronology of its exploitation. When the Romans conquered England, coal
was already exploited. Its utilization spread and attained a maximum level
from the 2nd until the 4th century. At least until the 5th century ad, coal
continued to be used on a wide scale. Later it almost disappeared.
Coal, however, is very unevenly distributed across the globe, and, apart
from Australia, is almost entirely found in a few parts of the Northern
hemisphere, that is, North America, North-Western and Eastern Europe,
Russia and China. The centres of ancient civilizations and especially the
Mediterranean regions are not comprised in the geography of coal. The high
price of firewood on the one hand and the lack of coal on the other did
not allow the transition towards a new energy system in a Mediterranean
civilization.40

39 The decline of the curve in Figure 2 coincides with economic decline in Britain. See the

trend of the British economy described by Ward-Perkins 2005, Ch.V.


40 Bresson 2006, 77.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
24 paolo malanima

6. An Energy Crisis?

It is still hard to quantify the rise in population during the millennium


spanned by ancient Mediterranean civilizations. While historians do not
agree on the figures, they do agree, on the trend of population. In 800 bc,
some 20 million people lived around the Mediterranean Sea, whereas in
150ad the population of the Roman Empire numbered 70 million,41 although
the estimate of 100 million could be equally plausible, given the uncertainty
of any estimate for that period. Such a level of population was again attained
by the European continent (without Russia), only in the early modern cen-
turies. Although a calculation of the carrying capacity of the Mediterranean
world is risky, the estimates proposed above regarding the extent of land
necessary to support the population in energy sources do suggest that the
rising population put pressure on resources. Data on decreasing returns to
labour are, however, scanty and uncertain.
It has been suggested that body size diminished in Western Europe from
150ad, after a period of rise.42 On the topic, however, there is no certainty at
all. Koepke and Baten write that ‘during Roman times we have more or less
stagnating heights’.43 If stature actually diminished, probably it diminished
later in Central and Northern Europe (e.g. Germany) than in the Mediter-
ranean regions.44
A wider knowledge begins to be available on climate and we can start to
speculate on the possible influence of climatic changes on the availability
of energy sources. On this topic as well, the evidence is still contradictory,
however.
For a long time the rising pressure of population was supported by rising
temperatures in the Mediterranean and the whole of the Northern hemi-
sphere, during the Ancient Climatic Optimum.45 Historians agree on the exis-
tence of a Roman Warm Period.46 Research on ice carrots from Greenland
ice core and the ratio of two oxygen isotopes (18O/16O) provides a record
of ancient water temperature and then climatic oscillations. On this basis
changes in temperature have been reconstructed over several million years.
Annual changes from the 1st century bc are represented in Figure 2.

41 Scheidel 2007, 47.


42 This is the opinion expressed by Jongman 2007a, based on data collection by Geertje
M. Klein Goldewijk. See also Kron 2005 and 2008.
43 Koepke and Baten 2008, 150.
44 Koepke n.d.
45 Haas 2006, 147–150.
46 Sallares 2007, 19. See also the long-term view in Blender et al. 2006.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
energy consumption in the roman world 25

Fig. 2. Oxygen isotopes in the ice carrot GISP2 (Greenland glacier ice core) 60bc–
350ad. Source: Rossignol 2012, 97.

We can see that the two centuries bc were favourable from a climatic
viewpoint. Temperatures were high during that period and remained so
until the middle of the 2nd century ad. Some historians suggest that, after
150ad temperatures diminished remarkably, as the curve in Figure 2 shows.
Very little, however, is known about the evolution of climate in the Mediter-
ranean.
Rossignol has claimed that ‘a remarkable worsening of the climatic condi-
tions’ occurred from about 150ad. The middle of the 2nd century ‘witnesses
the end of a warm period during which the ratio of the oxygen isotopes
had attained levels which would only be reached again in the 20th cen-
tury’.47 The presence in the ice carrots of sulphuric acid, dated between 153
and 162, reveals the influence of volcanic eruptions on the fall in tempera-
tures.48 Higher temperatures mean that the season for harvesting vegetables
is longer; that land can be cultivated at higher altitudes and further North.49
Soil per worker rises when temperatures are milder.
The opinion expressed by S.W. Manning is more cautious: ‘A range of
records indicate that a stable and reasonably positive (warm, and in a num-
ber of areas or cases also mainly moist) climate regime was in place for the
period from about the 2nd century bc through the 2nd century ad. This

47 Rossignol 2012, 96. See also Manning this volume, Fig. 8.


48 Rossignol and Durost 2007.
49 See also Weinstein 2009.

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26 paolo malanima

Fig. 3. Intensity of precipitations between 400bc and ad400 (and range of error)
(mm. per year). Source: Büntgen et al. 2011, 581.

unusual status, reducing some of the typical variability, uncertainty and


risks of the Mediterranean climate regime for farming, would have been con-
ducive to the growth of the Roman world. It was also an especially favourable
time (warm, moist) for both agricultural and demographic expansion in
central and northern Europe’.50 According to Manning, ‘the stability of the
previous several centuries ended; agricultural uncertainty and bad years
would have increased’. It is hard, however, to specify the turning point
towards decreasing temperatures. The 2nd century does not reveal, in his
opinion, a clear declining trend.
Precipitation has been reconstructed for the region of Israel51 and for
Germany and Switzerland.52 We know that it diminished and the climate
became drier when the temperature was falling (Figure 3). In Central Eu-
rope, precipitation peaked in 100bc, but from then on diminished, reaching
a minimum in ad300 (100 millimetres less than in the second century bc).
The climate became ‘increasingly dry’.53 According to Manning, ‘the 2nd to

50 Manning this volume.


51 Orland et al. 2009.
52 Büntgen et al. 2011, 581.
53 Schmidt and Gruhle 2003a and 2003b.

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energy consumption in the roman world 27

5th or 6th centuries ad seem to be relatively arid in several areas of the


eastern Roman empire, and the indications of less favourable climate condi-
tions further East into central Asia may have been one of the forcings behind
the movements of populations that led to invasions/migrations into the late
Roman world’.54
The pressure of population on the energy resources both to provide food
(and then widen the arables) and firewood resulted in a decline of the
forested areas.55 ‘By the end of the Republic, most of the areas of Italy that
were accessible to Rome had lost most of their stands of tall trees, but except
for some metal-working centres, most places had stabilized their fuel sup-
plies. Patches of eroded land continued to multiply, however, all the way
through the high-imperial period of prosperity’.56 In Spain, ‘climate dete-
rioration’ would have hampered ‘vegetation recovery after fire and exacer-
bate[d] human impact (deforestation) in general’.57 In such cases, because of
the need to meet the inelastic demand for food, the livestock and meadows
diminish (although for the ancient world nothing certain can be said on the
matter). Intensification occurred in agriculture and convertible husbandry
spread to support the demographic rise at least in Italy.58 For a comparison,
in Europe, between 1500 and 1700, the 40 percent rise in population, from
80 to 120 million,59 resulted in a 20 percent decrease in agricultural product
per capita (that is energy, since the greater part of energy came from the
fields).60
Population pressure on the energy sources diminished certainly after the
Antonine Plague, that spread between 160 and 170ad,61 as archaeological
wood remains from Central Europe seem to suggest (Figure 4).
By themselves, neither population rise nor climatic changes are necessar-
ily connected to phases of economic decline. Their coincidence can, how-
ever, deeply influence the economy and provoke destructuration and finally
collapse.

54 Manning this volume.


55 See, however, the reconstruction by Kaplan et al. 2009. See also Ruddiman and Ellis
2009.
56 Harris 2011a, 139.
57 Kaal et al. 2011, 172.
58 Forni and Marcone 2002.
59 Russia is included in these estimates of population.
60 Kander et al. 2013.
61 See especially Lo Cascio 2012.

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28 paolo malanima

Fig. 4. Estimates of forest clearance in Central Europe (Germany, North-Eastern


France) from archaeological wood remains 200bc–400ad (decadal data; any point
of the diagram represents the intensity of the felling). Source: Büntgen et al. 2011,
580.

Conclusion

The energy system of ancient Mediterranean civilizations was the same


as that of all agrarian societies. Despite the increase in useful knowledge
and the extensive development of the agrarian energy basis, supported by
a favourable climatic phase, this system was finally unable to support the
increasing needs of the rising population (as always in agrarian civilisa-
tions). If we follow the economic approach by the classical economists,
rephrased by E.A. Wrigley with particular reference to energy, an increasing
pressure on the resources by the rising population would have been followed
by decreasing returns and then diminishing energy availability, after some
centuries of rising population. Data showing a clear economic trend for the
first centuries of the Empire are almost entirely lacking, but an unfavourable
climatic phase, beginning probably, but not certainly, in the second half of
the 2nd century ad, contributed to a decline.
Much later, during the Little Ice Age, in the early modern centuries, the
reaction to a similar crisis was a much wider use of coal.62 This main change
developed in England since the 16th century. Then, in the 18th century, the
steam engine began to interact with the new, rising input of energy. This

62 The topic is discussed in Malanima 2010 and 2011.

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energy consumption in the roman world 29

interaction initially began to involve the Central and Northern European


regions and subsequently also the regions far from the centre of the great
change then in progress. The combination of changes in power and energy
was the basis of modern growth. Just as in many other pre-modern societies,
the structure of the energy system prevented ancient Mediterranean civi-
lizations from following a similar path. Ancient growth found in its energy
basis a main constraint to its further economic progress.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
30 paolo malanima

Appendix

Estimates of Energy Consumption in the Early Roman Empire


A wider analysis of per capita energy consumption in the early Roman
Empire is presented in Malanima (forthcoming). The topic of energy con-
sumption in pre-modern economies is also discussed in Malanima 1996,
2006, 2009, 2010, 2011 (www.paolomalanima.it).
As seen above (§1–2), sources of energy of pre-modern, agricultural econ-
omies are the following:
1. food;
2. fuel (almost always firewood);
3. fodder for working animals;
4. water and wind power.

1. Food
Food consumption has always been the most stable energy carrier ever
exploited since the beginning of the human species. In the following dia-
gram (Figure 5), I report the series presented by Jongman (2007b, 599), on
calorie consumption in present day populations. Taking into account the
age structure in Roman antiquity, with more young people than today, the
range of 2–3,000 calories seems plausible. Considering yields per hectare,
to cover the needs of a family of 5 people, about 5 hectares were necessary,
including fallow lands. Thus a family needed between 2.5–3.3 hectares of
cultivated land (excluding fallows): i.e. from half to two-thirds of a hectare
per person (for data on yields, and soil per capita necessary to satisfy food
demand, see Forni and Marcone 2002, on agriculture in Roman Italy).

2. Firewood
As said in §1, firewood consumption depends on temperature and industrial
use. One kg. of wood can be seen as the lowest possible level of consumption
(as also stated by Harris 2011a; see also data in Pireddu 1990, 27). Although
hard to quantify, firewood consumption was low where temperatures were
high and high where temperatures were low (see, for instance, data in Warde
2006, referring to early modern Europe). If, to simplify, we assume that
in a Mediterranean climate, each individual consumed 1 cubic metre of
wood per year, that is 625kg., including industrial uses as fuel (1.7 kg. per
day), this amount of wood could be provided by the yearly growth of half
a hectare of forest (Chierici 1911, 232–233). Assuming that the population
of the Roman Empire in around 165ad was 70 million inhabitants for an

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energy consumption in the roman world 31

Fig. 5. Food consumption by modern populations according to age (kcal.) Source:


Jongman 2007b, 599.

area of 3,800,000km2, and that every inhabitant consumed 1 cubic metre


of firewood (including wood from prunings), then the total requirement
was 70 million cubic metres. It could be provided by a wooded area of
350,000km2, or 9–10 percent of the total inhabited surface of the Empire.
With a population of 100 million inhabitants, the wooded area rises to
500,000km2, or about 13 percent of the total. A city such as Rome, with 1
million inhabitants in the age of Augustus, needed 50 km2 of forest to cover
its needs.
As to industrial consumption, we can only provide some calculations
from what we know about the output of metallurgy. Let us assume that iron
production was between 80,000 and 160,000 tons per year (cf. Harris 2011a)
and, at the lowest, a consumption level of 30kg of firewood (transformed
into charcoal) per kg. of iron (Smil 1994, 144–156). Charcoal, known in Egypt
as early as the 3rd millennium bc, was widely used in Greek-Roman antiq-
uity (Wikander 2008, 138). For the production of 80,000 tons of iron, the
quantity of firewood would thus be 2,400,000 tons (converted into charcoal).
In cubic metres, the requirement was 3,840,000 (assuming 625kg. per cubic
metre, and then dividing 2,400 million kg. by 625). With a yearly productiv-
ity of half a cubic metre per hectare of forest, in order to produce 3,840,000
cubic metres, 1,920,000 hectares or 19,200km2 were necessary. Assuming iron
output being twice as high, the need amounts to 38,400 km2 of forest. This

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32 paolo malanima

area is only 5–10 percent of the total forest required by the population for
heating and cooking. As said before (§1), other industries (such as pottery,
glass and tile production) and services (such as baths) exploited wood. An
estimate is, in this case, impossible. Fuels different from firewood repre-
sented a negligible share of the total. Thus, our estimate for a Southern,
Mediterranean civilization such as the Roman Empire is between 1 and 2 kg.
of wood, that is 3,000–6,000 calories per capita per day.

3. Fodder
The estimate of fodder consumed by draft animals is more complex. From
the viewpoint of energy, an ox or some other working animal is like a
machine. It metabolizes vegetables to accomplish a task. In order to estab-
lish the average consumption in energy sources per head, the input of energy
by a draft animal must be divided by the family members that exploit it.
We know that improved fodder management and nutrition determined a
remarkable increase in the size of animals during Graeco-Roman antiquity.
Ley farming and meadows supplied animals with better fodder than in the
late Middle Ages and early modern times (Kron 2000). Oxen were taller and
heavier than in Medieval and early modern Europe: about 400 kg instead of
2–300 (Kron 2002 and 2004).
We can establish a ratio between working animals and population in
ancient Mediterranean civilizations from the technical relationship sug-
gested by ancient agronomists between land and working animals. In the 1st
century bc, Varro recalls the opinions of Cato and Saserna about the need
of a yoke for every 80–100 iugera (20–25 hectares) (On agriculture 1.21–22).
Since a yoke is composed of two oxen, the relationship is therefore a work-
ing animal per 10–12.5 hectares. A century later, Columella tells of two yokes
of oxen for a farm of 200 iugera (or 50 hectares) (On agriculture 2.12.1–7).
Again we find a ratio similar to that suggested by Varro and relatively close
to the animal-land ratio found in early Modern Europe. Since a peasant fam-
ily required a farm of about 3–5 hectares to support its living (as shown in
§1 of this App.), we could divide among the 10–15 members of two average
families endowed with a farm of 3–5 hectares each, the calories from fodder
consumed by oxen (25–30,000 kcal per animal per day) and we would obtain
the result of 1,700–3,000 kcal. per head. We would have to add to this esti-
mate horses (on which see Vigneron 1968), mules, donkeys and camels, and
we would also have to include urban inhabitants (excluded from the previ-
ous draft animals-peasant families ratio) in the denominator of our ratio. All
things considered, a range of 1,000–2,000 calories per day per capita seems
plausible.

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energy consumption in the roman world 33

4. Wind and Water


The only possibility of estimating the consumption of water and wind power
is to start from power (work done per unit of time -1 second-). In the case of
a large sailing ship, with a carrying capacity of 400 tons, a rare example in
the ancient world, where the majority of sailing ships were below 100 tons
(Greene 1986, 26), a relationship existed between tonnage and power. The
power of such a ship (400 tons) was about 50 HP (Malanima 2006). Assuming
(absurdly!) that this power was exploited fully for 24 hours and 365 days per
year, energy per year would be 438,000 HPh (Horse Power hour is a measure
of energy), that is, 770,000 kcal. per day. We would now need a plausible
ratio between ships and boats on one hand and population on the other.
Even assuming the ratio existing in early modern Europe to be correct, the
result would be less than 1 percent of the entire energy consumption per
capita.
The watermill was the most powerful engine existing on land. Generally
its power did not exceed 2–3 HP, although examples of big mills (Munro
2003) or the combination of several mills in powerful sets of engines are not
lacking (Brun 2006; Wikander 1979, 2000 and 2008). The mechanical work
produced by a watermill endowed with the power of 2 HP is about 64,749
kj. (15,000 kcal.) per day, and since a man consumes 2,550–3,000 kcal. per
day as food, consumption of gravitational energy by a watermill is 6 times
the energy consumption of food per capita. In late medieval and early mod-
ern Europe, a ratio existed between watermills and population: 1 watermill
every 250 people. Otherwise stated, any small village of 50 families had its
own mill (on the topic Makkai 1981 is important). If we divide a mill’s energy
consumption by 250, the result is 60 kcal. Certainly, the use of mechanical
energy to grind cereals was a remarkable achievement of ancient civiliza-
tion. Its contribution to the energy balance was, however, modest in mere
quantitative terms. Although we do not know the inhabitant-watermill ratio
in the ancient world, and even allowing for the existence of the same late
medieval ratio, which seems too high for antiquity, as early as the first
centuries of the Roman Empire, the result is that the contribution to the
energy balance was indeed modest (Reynolds 1983; Lo Cascio and Malan-
ima 2008).
Let us consider that previous calculations on mills and ships assume
full-time work (24 hours per day), which is implausible. Contributions to
the energy balance assuming more realistic working time imply a reduction
of the available energy per head.

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34 paolo malanima

The Estimates by Ian Morris


Different estimates of energy consumption have been provided by Ian Mor-
ris (2010a and 2010b). According to Morris (2010a, 28), the sources to be taken
into account for a calculation of energy consumption (including the ones
used in modern economies) are the following:
Food (whether consumed directly, given to animals that provide labour, or
given to animals that are subsequently eaten);
Fuel (whether for cooking, heating, cooling, firing kilns and furnaces, or
powering machines, and including wind and waterpower as well as wood,
coal, oil, gas, and nuclear power);
Raw materials (whether for construction, metalwork, pot making, clothing or
any other purpose).
We can see that there is a similarity between this list and the sources taken
into account in this paper. However: 1. I do not include feed ‘given to ani-
mals that are subsequently eaten’, since it is already included in the 2–3,000
kcal. of food for humans (and it would be a duplication of the same source
in our calculations). These animals certainly put a high pressure on carrying
capacity. If agricultural produce is not consumed directly by the population,
but consumed by animals which are then eaten by the humans, the pres-
sure on land is higher. In any case those animals are only used as food and
are not exploited in agriculture or transport. They are part of human food;
which enters the energy balance. As a consequence, I include only feed for
working animals; 2. it is not clear how Morris computes the contribution by
wind and water power; 3. raw materials cannot be considered as energy car-
riers and are not included in my estimates (or in those of the International
Energy Agency or the US Energy Information Administration). Morris fol-
lows, however, Cook 1971, who includes ‘vegetable fiber’, which brings ‘solar
energy into the economy through photosynthesis’ (134). See also Cook 1976,
51 and 135. Raw materials, however, are not used as providers of energy. Fire-
wood, is also generated by photosynthesis, hence when used as an energy
carrier I include it in my calculations. When timber is used as raw material
for construction, it is not included, despite being produced by photosynthe-
sis. It is not an energy carrier in this case.
The results by Morris are quite different from those presented in the
previous pages. In the following Table 2 some data are reported from two
series presented by Morris (2010b, 628).

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energy consumption in the roman world 35

Table 2. Energy consumption in advanced regions of the West and East according
to I. Morris. 8000bc–2000ad (thousands of kcal. per capita per day).
West East
(000) (000)
2000 230 104
1900 92 49
1800 38 36
1700 32 33
1500 27 30
1000 26 29.5
200ad 30 26
1ad 31 27
200bc 27 24
8000 6 5
Source: Morris 2010b, 628.

Around 2000, the average world energy consumption was 50,000 calories per
day. According to Morris’ estimate, in 200bc some parts of the World already
exceeded this level even without fossil fuels.
In both works by Morris (2010a and 2010b), previous data (reported in
Table 2) for the year 2000 actually refer to the most advanced countries
in the West (USA) and in the East (Japan). In addition, data for previous
years refer to ‘the most developed core within the West’ (Morris 2010b, 42),
whose borders, however, are not clearly defined. In any case, Morris’ results
are too high. In 1800, according to recent research, energy consumption in
Western Europe (a highly developed part of the globe) was not 38,000 kcal.
(as maintained by Morris), but about 15,000 (average for Sweden, Norway,
The Netherlands, Germany, France, Spain, Portugal and Italy) (Kander et al.
2013 and data published in Gales et al. 2007). In 1900, for the same countries
of Western Europe, the average was 41,500 kcal. per day per capita, and not
92,000 (as in the previous Table 2). In England it was 95,000. Morris’ estimate
for 1900 is only plausible if by ‘West’ we refer only to England. As we see, data
for the Roman Empire are also quite different from ours. Even if we take the
most advanced part of the Roman Empire, Italy, in 1861, that is, the year of
the Unification of the country, energy consumption per capita was 11–12,000
calories (Malanima 2006), less than half the estimate proposed by Morris for
the West (31,000) in 1ad.
Energy intensity represents the ratio between energy consumption and
GDP. In Western Europe from 1800–1820 it was 12–15 Megajoules per 1 dollar
(1990 international Gery-Khamis dollars), when per capita GDP was 1,200

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36 paolo malanima

dollars (according to the series by Maddison 2007, in 1990 international


Geary-Khamis dollars PPP). If we assume the very high estimate of 1,500
dollars for Roman Italy (taking into account that recent estimates hardly
exceed 1,000 dollars, as shown in Lo Cascio and Malanima 2009 and forth-
coming), the resulting estimate of energy intensity, taking Morris’ estimate
of 31,000 kcal. per head per day (and then 11,315,000 kcal. per year, or 47,342
Gigajoules), is 32 Mj. per dollar, and thus more than twice that ascertained in
1800 for Western Europe. With a GDP per capita of 1,000 dollars in the early
Roman Empire, the implied energy intensity becomes 47 Mj. per dollar. For
a comparison, in 2000, World energy intensity was 11.5 Mj. per dollar (1990
Geary-Khamis int. dollars) and in Europe it was 5.5 Mj. per dollar.
Vaclav Smil (2010, 107–113) proposed estimates of energy consumption in
ancient Rome that are far lower than those by Morris. Here is the comment
by Morris on Smil’s views: ‘Roman total energy capture would be some-
where between 4,600 and 7,700 kcal/cap/day [according, that is, to Smil’s
calculations]; if we assume that roughly 2,000 kcal/cap/day of this was food
(which means ignoring the archaeological evidence for relatively high levels
of expensive calories from meat, oil, and wine), that leaves just 2,600–5,700
kcal/cap/day to cover all other energy consumption’. To justify this estimate,
Smil suggests that Roman fuel use was just 180–200 kg. of wood equivalent
per capita per year, or ‘roughly 1,750–2,000 kcal/cap/day’. Smil’s estimate
of firewood consumption certainly seems too low. On the whole, however,
Smil’s estimates are closer to mine than are those by Morris.

© 2013 The Trustees of Columbia University in the City of New York ISBN 978 90 04 25343 8
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