Foundations of the Modern Japanese Daimyo Author(s): John Whitney Hall Reviewed work(s): Source: The Journal of Asian Studies, Vol. 20, No. 3 (May, 1961), pp. 317-329 Published by: Association for Asian Studies Stable URL: http://www.jstor.org/stable/2050818 . Accessed: 25/11/2012 05:38 Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp . JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected]. . Association for Asian Studies is collaborating with JSTOR to digitize, preserve and extend access to The Journal of Asian Studies. http://www.jstor.org This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions Foundationsof theModern JapaneseDaimyo JOHN WHITNEY HALL T HE institutional foundations of the Tokugawadaimyohave been obscured by thelack of insightwhichhistorians havetraditionally shownintothe historyof theAshikagaperiodand,in particular, intothelateAshikaga,or Sengoku, age.LiketheDarkAgesin Europe,thischapter ofJapanese history hasbeenaccepted in historiography as a darkand formless eraof warand trouble. Japanese historians havedismissed theSengokuperiodas a timeof ge-koku-io whenthepoliticalorder was capriciously turnedupsidedownby unworthy leaders.The colorfulWestern historian, JamesMurdoch,has heapedhis mostcausticinvectives upon the main in Ashikagahistory. figures Of thefounder of theAshikagashogunate he claimed, "Takaujimayindeedhavebeenthegreatest manof histime,butthatis notsaying verymuch,forthemiddleofthefourteenth in Japanwasthegoldenage,not century butof mediocrities."' merelyof turncoats, To MurdochtheSengokuperiodwas a "vile"age whentheJapanese peopleshowed,as he putit,a "lustforwarand slaughter. . . utterly beyondhumancontrol," and onlythetimelyarrivalof the "great trio"of daimyo,Nobunaga,Hideyoshi, and Ieyasu,savedthe day forJapan.2 WalterDening,Hideyoshi's is evenmoreeloquentin depicting biographer, the contrast betweentheSengokuage and thepeacewhichHideyoshibrought. "The ofthistime,"he wrote, "is a history history ofsuccessful usurpation age afterage.... was a sceneof desolation The wholecountry in Japanese unprecedented annals.By the genius,indomitable of one man,the wholeaspectof courage,and resolution To historians was transformed."3 suchas Murdochand Deningthedaimyo affairs of thelateSengokuage wereheroeswho brought to a chaotic peace and stability world. But not all writers have drawnthe pre-Tokugawa centuries so darklynorthe EvenMurdochrecognized someredeeming daimyoso brightly. in theAshifeatures a brighter sideto thisdarkage has beenfoundby Japanese kaga period.Recently todevelopthisnewview,andsubsequently NakamuraKichijiwasthefirst historians. The Sengokuperiodwas a timeofhopeit hasbeenincludedin Western literature.4 oflightfooted fulsigns,we aretold,characterized bytheemergence peasantswho,as of freecities;by ashigaru,vaultedintotheranksof thesamurai;bytheemergence an expandedforeign "anti-feudal" tendencies. trade;and manyotherpurportedly The authoris Professorof Historyand Directorof the Centerfor JapaneseStudies at the Universityof Michigan. 1 JamesMurdoch,Historyof Japan (3 vols.,K6be and London, 1903-1926), I, 580. 2 Murdoch,I, 636. 3 WalterDening, The Life of ToyotomiHideyoshi(I536-98) (K6be, 1930), pp. 6-7. 4Nakamura Kichiji, H6kensei saihenseishi [History of the Re-establishment of the Feudal System] (Tokyo,1939). 317 This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions 318 JOHNW. HALL to thehistorian. Justified or not,thispictureof theSengokuage is paradoxical hopefulor "progresFor,in proportion to theemphasis placeduponthesupposedly and "greattrio"is minimized sive"signsin Sengokusociety, theworkofMurdoch's afterhis thatHideyoshi, the daimyoare less admired.For whenit is discovered putsit, unification ofJapan,did notcomplete thesetrends, and,as one recentwriter did not"respondwitha planof integration whichwouldhaveplacedJapanon the of progressas a modernstateand worldpower,"'the questionarises threshold "Whynot?" The answermostfrequently of congivenis thatHideyoshiwas a spokesman servative slamming of feudalinterests. Nobunaga'sreduction of Sakai,Hideyoshi's thedoorin thefaceofthosewhowouldhavefollowed himoutofthepeasantry, and have been held against Ieyasu'spurported returnto outgrown feudalinstitutions Murdoch's heroes.Japanese SuzukiRyoichihas called historians havegonefurther. thesocialsettlement bya victorious coaliunderHideyoshia "betrayal" perpetrated tionoffeudalgroupsagainstthestruggling nomin.In hiswords,"The newabsolute feudal hegemony. . . suppressedthe furtheranti-feudalstruggleof the peasantry thatthe"great .... "6 Whatarewe tobelieve:thatthedarkagesweredarkorbright, trio"wereheroesor traitors? The answerto thisquestionliesin thestudyof thedaimyowhoemergedas the newpolitical masters ofJapanandofthemethods bywhichtheygainedandgoverned theirdomains.Of all theinstitutional products of theAshikagaperiod,thedaimyo werewithoutquestionthemostsignificant. A studyof theAshikagaperiodin the figures of Japanese local lightof theevolution of thedaimyoas therepresentative and nationalgovernment, ratherthan as individualheroes,can illuminatethis or of enigmatic chapterof Japanese history, divorcedfromthelabelsof ge-koku-j0 it is only as we tracethe institutional originsof the hero-worship. Conversely, as themoldersof daimyobackintotheAshikagaperiodthattheirtruesignificance in TokugawaJapancan be understood. localgovernment Toyoda In recent years, Japanese historians suchas NagaharaKeiji,Sat6Shin'ichi, seriousattention to the Takeshi,It6Tasaburo,andNakamuraKichiji,havedirected institutional originsof thedaimyo.Althoughthesescholarshavenotalwaysagreed oftheirdata,theirstudieshavegivenus a usefulperiodizaupontheinterpretation forthisfieldofstudy.Basically, tionand nomenclature whatthesemenhavedoneis to makea seriesof cross-sectional of Japanese localadminanalysesof thestructure century istration at fourpointsin timefrom,roughly, themiddleof thefourteenth This admittedly to theendoftheseventeenth artificial segmentation of the century. of socialchangehas providedthedata forthepostulation continuum of fourideal of theprevious, and daimyotypes,each buildingsuccessively upontheinstitutions areasofhegemony. eachembracing Theyare: (i) theshugolargerandmoreeffective theperiodfrommid-fourteenth century tosomewhat daimyotypewhichcharacterize untilthe 1490's, (2) thesengoku-daimyo type beyondtheOninwars,approximately intothe1560's and 1570's, (3) theshokuh5before1500 andcontinued whichemerged 5 RyusakuTsunoda, Wm. Theodore de Bary,Donald Keene, comp., Sources of the JapaneseTradition (New York, 1958), p. 322. 6 Suzuki Ry6ichi,"Shokuh6-seikenron" ["On the Shokuh6 Political Structure"],RekishigakuKen- Nihonrekishikdza [Lectureson Japanese History](8 vols.,Tokyo, and NihonshiKenkyfikai, kyfikai 1952), IV, 86. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESE DAIMYO 319 daimyotypewhichcameintobeingunderNobunagaand Hideyoshi and lasteduntil theearlyseventeenth century, and (4) thekinsei-daimyo typewhichbecamedominant duringtheTokugawaperiodand maturedby theend of theseventeenth century.7 Each of thesetypesexhibited certaindistinctive patterns of socialand politicalorganizationwithinseverallevelsof government: (i) thelevelof ultimate authority and sanction fortheexercise oflegalor administrative powers,(2) thelevelofpower betweenlocal organization amongthelocalelite,and (3) thelevelof relationships powerholdersand thevarioussubordinate groupsoflocalinhabitants. The possibility thatthemilitary confusion of theSengokuperiodmaskedmany fundamental andevenrevolutionary socialandpolitical changeshasnotbeenignored completely byhistorians. The traditional emphasisuponthe"reunification" ofJapan has impliedtheadoptionof certain new practices of military and politicalorganization.G. B. Sansomhaslaidconsiderable stress on theshiftin socialorganization from clan to familyand on thechangingnatureof feudallaw.8K. Asakawahas studied theevolving oflandtenureandfiscaladministration.9 patterns Whathasbeenlacking has beena recognition ofthefullmagnitude and variety of theinstitutional changes whichaccompanied theemergence ofthemoderndaimyoand thecapacity to describe A structural thesechangescomprehensively. studyofthedaimyodomainprovides the materials forsuchan integrated treatment. It maybe argued,ofcourse,thata singlepattern ofdaimyoevolution cannotpossiblyemergefromthediverselocalhistories ofthescattered regionsofJapan.And it is unquestionably truethat,in terms oftimingandpattern, socialchangein Japanhas shownconsiderable regionalvariation. On theotherhand,enoughworkhas been donebyJapanese historians toshowthatthereis a "mainstream" ofdaimyoevolution illustrated bytheprogression of thefouridealtypesdescribed above.The following of theinstitutional amplification originsof themoderndaimyocombines thisrecent workofJapanese historians withdatatakenfromthecasestudyof a singlelocality: the provinceof Bizen,whichoccupiestodaythe southeasterni thirdof Okayama The history Prefecture. of theriseof the moderndaimyoin Bizen followsrather withthe closelythemainstreamof daimyodevelopment. it contrasts Admittedly, patternin someof thefringeareasof theJapanese islands,as thosefamiliarwith Asakawa'sworkon Satsumawillrecognize.10 ButtheBizencaseis closeto thenorm see: NagaharaKeiji, of themoreaccessible and generalized writings of thesehistorians 7 Fora selection of theShugoDomain"],Shakaikeizaishigaku, "Shugory5kokusei no tenkai"["The ChangingStructure Structure ofthe "Shugory6kokusei no tenkai"["The Changing XVII (Feb. 1951), 103-104; SatoShin'ichi, taikei[NewSerieson Japanese History](6 vols.,Tokyo,1952-1954), ShugoDomain"],ShinNihonrekishi of the SengokuDaimyo no keisei"["The Structure IIJ,81-I27; ToyodaTakeshi,"Sengoku-daimyo-ry6 ToyodaTakeshi,"Shokuh6seiken"["The Shokuho Domain"],ShinNihonrekishitaikei,III, I97-223; kenkyui josetsu"["InPolitical Structure"], Nihonrekishi kOza,III, I85-208; It6Tasabur6,"Kinseidaimyd troduction to theStudyof theModernDaimyo"],Shigakuzasshi,LV, nos.9 and iI (Sept., Nov. 1944); NakamuraKichiji,"Kokudakaseidoto h6kensei-Bakuhan taiseino seikaku-" ["The kokudakaSystem System-"],Shigakuzasshi,LXLX,nos.7-8 (July, and Feudalism-TheNatureof theShogunal-Daimyo Aug.I960). 8 GeorgeB. Sansom,Japan-AShortCultural History(rev.ed.,New York,1943), pp. 362-365. 9 AsakawaKan'ichi,tr.and ed.,The Documents of theFeudd ofIriki,Illustrative oftheDevelopment Institutions ofJapan(New Haven,1929). ' 0Satsuma, thesceneof theAsakawa'sstudyoftheIrikihousedocuments, is one of thefewregions in as a of Kamakuraorigin,theShimazu,managedto retainitspowerand continue whicha shugofamily daimyoundertheTokugawahegemony. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions 320 JOHN W. HALL centralJapan,and it was thisarea which of theprocessas it unfoldedthroughout bothin socialchangeand politicalunification. providedleadership had a in theeighthcentury, established Bizen,one of theoriginal66 provinces withstrongtiesto thecenterof courtinstableadministration of relatively history a populaan areaofabout670squaremiles,itsupported at Kyoto.Comprising fluence Duringthe century. personsbytheendoftheseventeenth tionofjustunder400,000 bythedaimyoof Okayama,hereditarily dominated Tokugawaperiod,it w.s totally assignedto thehouseofIkeda.AlthoughBizendid notprovidethebaseof support gave powerduringtheearlyAshikagaperiod,it eventually fora majorshugo-daimyo theUkida,whichgainednationalprominence daimyofamily, riseto an indigenous bytheIkedaduringthe The Ukidaweresucceeded underNobunagaandHideyoshi. and it was thelatterhousewhichperfected earlyyearsoftheTokugawahegemony, of themoderndaimyoin Bizen. theinstitutions The shugo-daimyo witnessed century duringthelasthalfofthefourteenth The warsofthedynasties bearingthetitleof shugoand localfamilies of a groupof powerful theemergence military by theAshikagashogun.These shugowereessentially givenappointment exerand of the shogun subordinates military the as both they served for governors, governors.11 of the formerimperialprovincial civilfunctions cisedthe remaining of the later forerunners the institutional were,in effect, governors These military suchas theShimazu,Otomo,or Date, did daimyo,althoughin onlyrareinstances, theirpowerto becomedaimyoat a laterage. manageto perpetuate shugofamilies wereprovinces and appointment The unitsof shugojurisdiction (kuni) suchas legal powersvestedin themby the Bizen,over whichtheyexercisedprescribed In mostprovinces, in principle fromtheemperor. whoderivedhisauthority shogun, of the authority existedbetweenthe jurisdictional a sizeablediscrepancy however, system The imperialbureaucratic authority. shugoand theareaof theirenforceable had notyetfully and controls allegiances ofmilitary was nearlydead,butthesystem takenitsplace.This,in essence,was theweaknessof theAshikagapolicy,and not and mediocrities. turncoats Murdoch's Bizen,duringtheearlyAshikagaperiod,was dividedintosomeI05 shoenunits, Of and absenteeproprietorships. welterof resident undera confusing administered located 26 court by 4 by families, centrally family, these,4 wereheldbytheimperial and I2 by the Hosokawafamilywhosehead servedas deputy templesor shrines, underresident shogun(kanrei).Thirtyor moresmallshoen wereheld,probably mostofthemformer families, bymilitary jit3.'2One ofthesehouses, proprietorships, 11 It6 Tasaburo, Nihon h6kenseidoshi [Historyof Feudal Institutions in Japan] (Tokyo, I95I), p. 142; Yoshimura Shigeki, Kokushi-seidoh6kai ni kansuru kenkyfi[A Study of the Decline of the System of ProvincialGovernorships](Tokyo, 1957). For a case studyof a shugo familyin the vicinityof Okayama see: Matsuoka Hisato, "'Ouchi-shino hattento sono ry6kokushihai" ["The Emergenceof the Ouchi House to i6kamachi [Daimyo Terriand its Systemof TerritorialControl"], in Uozumi S6gor6,Daimy&-rydkoku toriesand castle towns] (Kyoto, 1957). 12These figureswere compiled by Madoka Kanai from the following sources: Nagayama Usabur6, OkayamaKen nochishi[Historyof AgriculturalLand in OkayamaPrefecture](Okayama, 1952), 394-452; Nakamura Naokatsu, Sho5enno kenkysi [Studies on shkoen](Tokyo, I939), 60I-643; Takeuchi Rizo, Nishioka ToranoJiryosh6en no kenkysi[Studies on Temple Shken] (Tokyo, 1942), 63-64, 77, 471-472; III, 882-886; Shimizu suke, Sh6enshino kenkyd[Studies on Skden History] (3 vols., Toky6, I956-I957), Masatake,Sh6en shiryo[Documentson Sh6en] (2 vols., Toky6, 1933), 1121 ff. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESEDAIMYO 321 of shugo of Bizen,butlostthetitleto a heldtheappointment theMatsuda,briefly provinceof Harima.The Akapower,theAkamatsuof the neighboring stronger matsuservedas shugo ofBizenformostoftheyearsfromI364 to I522.13 In Fromalmostanypointof viewthebasisof Akamatsupowerwas precarious. andotherholdofcompleteness, degrees heldI2 shoenin varying Harima,thefamily theAkamatsumay In itshomeprovince over6 otherprovinces. ingswerescattered of thebushi familiesas a tenthof thelandand counteda majority havecontrolled were proprietors ofabsentee courtandreligious theiralliesorvassals.Buttheinterests In BizentheAkamatsuheldbuttwoof theI05 shoen, stillevidentin theprovince. of the submission on the uncertain restedalmostentirely so thattheirauthority oftheUrakami, Matsudahousewhichdominated Bizenandon theservices western holdovereastern fora precarious who,as jitOofoneoftheAkamatsush6en,fought Bizen.To bothofthesehouses,theAkamatsuassignedtitlesas deputy-military-governors(shugodai). and thatoflegal authority theareaofenforceable ofa gap between The existence in theshugo placedupontheirparticipation accounts fortheimportance jurisdiction and thereliancetheyplacedupontheshogun's theaffairs oftheAshikagashogunate thatthisreliance irony,however, It is an historic supportin theirown localaffairs. upon centralratherthanlocal sourcesof powerwas to be theirundoing.The andthecourtinvolved oftheshogunate theshugo feltforthelegalauthority necessity turned of thecapital.But as theshugo families themmoreand morein theaffairs and holdingtheirterritheirattention to Ky6to,theyfoundthetaskof organizing vassals and trusted of relatives toriesincreasingly beyondtheirmeans.The network and dividedin loyaltiesand interests. on whomtheydependedbecamescattered basedon primogeniNeithertheforceoftheoathof allegiance norfamily solidarity on thenationalstagedrewtheshugo and turehad beenperfected."4 Competition losttheirholdover theirarmiesawayfromtheirpowerbases,so thattheygradually in theprovinces began Real initiative thelowerechelonsof theirown subordinates. veryoftento theshugodai who had been to passto anotherlevelof localfamilies, rootsin thelocalsoil.In theOninwar,theshugo families ableto putdownstronger or became opposingeachother,so thatnearlyall disappeared themselves exhausted jurisvassals.BetweenI467 and theI530's, thefar-flung thepuppetsoftheirstronger and a secondwaveoffamilies oftheshugo brokeintofragments, dictional territories thepieces. of localorigininherited The sengoku-daimy6 thetwo In Bizen,thecollapseof theAkamatsubetweenI483 and I522 brought theMatsudaand Urakami,to thefore.Theirswas nota simple shugodaifamilies, however. The territories controlled bythese fromtheAkamatsu, caseof inheritance 13Mizuno Kyoichiro,"Shugo Akamatsu-shino ry6kokushihai to Kakitsu no hen" [The Territorial of the shugo AkamatsuHouse and the Kakitsu Incident], Shirin,42 (I959), Administration 254-28I. "For an analysis of the institutionalweaknesses of a shugo house similar to the Akamatsu see: Koyamada Yoshio, "Muromachijidai no Mori-shini tsuite" ["On the Mri House during the Muromachi Period"] Rekishi byciku, 7.8 (I959), 24-26; Fukui Sakuji, "Mori-shi no daimy6 ryoshuseino hatten" ["The Developmentby theM6riHouse-ofitsSystemof Daimyo TerritorialControl"], Geibichihoshikenkyd, V-VI (I954), I7-24. Sugiyama Hiroshi,Shoen kaitai katei no kenkyu [(Studieson the Dissolusionof the . Sh6en] (Toky6, I959), I38-192 This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions 322 JOHNW. HALL emerging wereof a new and moreruggedtype.In them,thegap sengoku-daimy65 it had controlhad beenwipedaway,or,morecorrectly, betweenlegaland effective by actual unsupported authority to lay claimto jurisdictional becomeimpossible military force. In theregionof Bizentoday,theremainsof over200 smallhilltopfortifications, ofa newkindofpolitical-military datingfromtheSengokuperiod,standas evidence At thebottomof Bizenelitesomilitary basedon entrenched organization power.15 in theirimmediateneighborthemselves asserting ciety,smallbushilandowners, of a fortand unitseach consisting consolidated hoods,builtup smallbut strongly of thefortthemanymyosha,or withintheprotection unifying surrounding fiefs, of a Thesewerethebuildingblocksofthepowerstructure cultivators, ofthesefiefs. or ki. leaderof whichwas themountedfighter, theindividual newwarnngsociety, organizedintolargervalley-wide Such leaderswere graduallyand systematically of theformer undertheleadership hierarchies of loyalties shugodaiduringthewars coercionthatthe upon military of the Sengokuera. But whileit was primarily theyutilizedas welltheresidue hegemony, shugodaireliedfortheirregional former official titles. fromtheirprevious whichremained and legalauthority ofprestige ledbythe powercameintoexistence ofmilitary centers In Bizen,twocompeting thempowershad entrenched Matsudaand Urakami.'6Each of theselongstanding fromwhichtheycouldextendcontroloverthelesser fastnesses selvesin mountain The Matsuda,conregions. geographical military houseswithinsmallbutdefensible Bizen,counted350 kiamongtheirvassals trolling theAsahiRivervalleyof western or,rather, Theirdomain, 5000 menin emergency. in theI490's andcouldmuster including20 major fluidboundaries was an area of relatively sphereof influence, fortsand manysmallerones.The Urakamisphereof powerwhich tributary-valley untiltheI550's. Bizendidnotreachfullmaturity embraced theYoshiiRiverofeastern heldby 59 major of somei72 separatefiefs(chi'gydchi) By thattimeit consisted and fewheldlessthanwhatwas later directly, vassals.'7Each vassalwas enfeoffed ofthese59 vassalsas Of500 koku.Thus we can visualizethemajority theequivalent of long his own followers and land-holdings each possessing pettycastle-holders, leaders suchas theUrakamiand Matsuda,werein effect standing. Sengoku-daimyd, mostof referred to as kokujin), coalitions oflocalfamilies (generally of separate hadbeen theshoensystem as jito.Thesecoalitions whichhadgrownup within overa longperiod oftimeandwerecharacterized bya heavyrelidrawntogether and in addition to bondsof vassalage andmarriage relationships anceon kinship trueoftheMatsuda, forpurposes ofsolidarity. Thiswasparticularly enfeoffment wereheadsofbranch families orwerelinked tothe ofwhosesupporters themajority ties.18 Matsuda marriage bydirect oftheSengoku period Asa general I530 orso,thedaimyo rule,atleastuntilafter overterritories whichapproached in sizethoseofthe didnotacquirejurisdiction (2 vols.,Okayama, Prefecture] ofOkayama History Kentsushi[Survey Nagayama Usaburo,Okayama II, 987-I011. 16 Okayama Shiyakusho,OkayamaShi shi [History of OkayamaCity](6 vols., Okayama, I938), II, on Kibi,Volume da sanshui(Senkibu) [Collected Writing shuisei f. Tanaka Seiichi,ed., Kibigunsho II95 15 I930), (Tokyo,1921). Chronicles)] 3, (Military Archives],UrakamiUkida ry5kebugenchc[House Rolls of the 17 Ikeda-kemonjo [Ikeda-house Urakamiand Ukida],doc. Zatsu, 717. 18 OkayamaShishi,II, I325. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESEDAIMYO 323 shugo.But theirgripwas moresecureand complete. Theirholdingsand thoseof theirfollowers werecloselycompacted intocontiguous domainswhich,in mostinstances, hadbeenwonordefended in battle.ITus thedistinction between boundaries of legaljurisdiction and outright controlhad beenlargelyobliterated. Withinthis area,thecomplexdivisionofrightswhichcharacterized theshoensystem had given way to theholdingof land in fief.By now the absenteeinterests of courtiers or distanttempleshad beenalmostentirely squeezedout.In otherwords,thevertical linesofauthority and control had beenpulledshortand taut.Verylittleadministrativeand almostno fiscalcontactexistedbetweentheprovinces and Kyoto.The individualdaimyodomainswereessentially independent. Withinthemthepowerand authority relationships consisted of a hierarchically structured system of allegiances in whichmilitary servicewas exchanged forgrantsoffief.Furthermore, theexercise ofthefunctions ofgovernment, coincided withthoserelationships. It is thissituation whichcan be compared mostcloselywiththemodelof decentralized in feudalism Europe. The shokuhJ-daimya In Bizen as elsewhere, no soonerhad the new local powersconsolidated the domainsfromwhichtheycoulddrawextensive than military and economicsupport, theybeganto contest forterritory amongthemselves. Beginning duringthe I530's and reachinga crescendo afterI560, the struggle ragedforlocal and, eventually, nationalhegemony. In most locales-and this was true of Bizen-the original sengoku-daimyd did notsurvivethedevastating warsof theI530's to I560's. Again theywerereplacedbya newgroupoffamilies whichshowedstillgreater capacities forleadership and organization This underthestrenuous of warfare. requirements was theheydayofge-koku-j6, when,according to thetraditional view,military uptheirlegitimate starts displaced howsuperiors In actuality, bytreachery and trickery. ever,it is clearthatthesenew leaders,who inherited the domainsof theirformer lordsand proceeded to carveout evenlargerterritories, builttheirsuccessesupon certain clearly defined institutional advances. The basicweaknessofthedaimyooftheearlySengokuperiodwas that,as time wenton, theirvassalsbecameincreasingly The new powerfuland insubordinate. daimyoofthelateSengokuperiodwereableto imposea sufficiently control effective overthefighting menandtheresources oftheirdomains, a specialcapacity thatkept themrelatively freeof suchcentrifugal in forces. This capacitywas wellillustrated thegrowingconcentrations of military and economicmightwhichthenewdaimyo in thegreatcastleheadquarters assembled of theirdomains. In Bizen,thisnew stageof organization was achievedby the military leader UkidaNaoie.YThe history ofUkida'sriseis remarkably tothatofthebettersimilar knownmilitary ofthisage,suchas Oda Nobunaga,ToyotomiHideyoshi, figures or tookoverBizen.In I545, Ukida Naoie, a minor Ikeda Terumasa,who eventually vassalof theUrakami,was givencommandof a smallforton Bizen'ssea frontier. He was assigned30 menforitsdefenseand a smallfiefnearby.Here werethein19 The UkidaHousehas leftbehindonlya veryfewdocuments to itsriseas thefirstgreat relating due to itsviolent daimyoofBizen,perhaps demisein i6oo. The availablerecords arefairly wellassembled in OkayamaShi shi,II, 1403 f. A fewhouserollsrecovered fromthearchives of the6oka familyare foundin theOkayamaKenritsu Toshokan(OkayamaPrefectural Library). This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions JOHNW. HALL 324 to takeoverall of Bizen whichwas eventually of a new powerstructure gredients in auinnovations Thereweretwo important provinces. and partsof neighboring of his 30 men.In thecommander Ukida Naoie was in effect relationships. thority thewordsoftheday,he was theiryorioya(parent)and theyhisyoriko(children). from fundamentally differing Betweenthemwas a chainof commandrelationship thesemenweremaintained or oathofvassalagetie.Secondly, marriage theprevious on Naoie'sfief.Theylivedin hiscastleandlivedoffhislandwhichadjoinedit.Thus betweenthesemenand theirleaderwas morecomplete. thedegreeof dependence theirwayoutofthecornerof Bizen,he addedto As Naoie and hismenfought of outlying his fiefsand beganto setout someof his own yorikoas commanders castles.Abouthalfof his originalband becameunitcommanders (kumigashira) within theirown vassals,and fiveof thesebecamemajorcastleholders possessing involvedcertainriskswhicha The grantingof such privileges Naoie's territory. In a sense,it meanta returnto theolder leaderlikeNaoie musthaverecognized. because necessary status.Butitwas unquestionably lord-vassal formoflessdependent controloverhis excentralized Naoie had notyetdevelopeda sufficiently effective overhis hisdominance As it was,Naoie workedhardto maintain pandingterritory. pullingbackhis majorvassals commands and periodically frequently, men,rotating a largeforceoftroopsunder he maintained Moreover, tohisowncastleheadquarters. of his holdingswas centerof gravity so thatthemilitary hisown directcommand, to succlearlylocatedin hismaincastle.Thus Naoie movedhis own headquarters Okayamacastle,newlybuiltto house cessively largercastlesuntilin I573 he entered fromIo,ooo to By thistimeNaoie was mustering his swellingcorpsof fighters. campaigns.His fiefsextendedovernearlya tenthof 15,000 men in his frequent stillvassalto thehead of theUrakamihouse, Bizen.20Althoughhe was nominally to haveambitions ofhisown. he was beginning whilelocalleaderssuchas UkidaNaoie century, Afterthemiddleofthesixteenth centralized withintheirown terrimilitary organizations wereperfecting strongly heldtotheirsystems theolderregional lords,suchas theMatsudaorUrakami, tories, coalitions of independently to relyon the enfeoffed vassals.Continuing of extended of theirmountain theycameto dependmoreand castles, invulnerability presumed to do theirfighting. theywere rhoreupontheirownsubordinates As a consequence, theirvassalsa dangerous rateofgrowthand freedom. Duringthe obligedto permit I56o's and theI570's, themanykokujinvassalsoftheUrakamiwereshowingsigns It was now increasingly possibleforsuchlocalfamiliesto makealof restlessness. powerssuchas theM6rito thewest,the liancesoutsideof Bizenwithneighboring orevenwithOda Nobunaga,whohadbegunto pushwestward Amagotothenorth, thehead of theUrakamihousecouldonlydefromKy6to.By thistime,however, vassalsin line.WhileUrakamiMunekage penduponUkidaNaoietokeephisrestless theUkidareduced, citadelofTenjinyama, one afteranother, the satin hismountain reasons.One by one, tributary-valley powersoftheUrakamivassalsfordisciplinary thesmallhilltopcastlesofthisareawereputto thetorch.In I568, theMatsudawere Whilethiswas goingon,theUrakami, wipedoutunderUkidaNaoie'sgeneralship. oftheUkidaand otherclosevassals,failedto expandtheir on theloyalty depending to keep pace withthe processof consolidation. resources By landedand military 20 UrakamiUkidary6kebugencho. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESE DAIMYO 325 Naoie movedintoOkayamacastle,he,notUrakamiMunekage, I573, whenUJkida forces, and his castleat Okayamawas themajority of Bizen'smilitary commanded of a succession In I577, Naoie, usingthe pretext largerthanthatof his overlord. Tenjinyamaand displacedhis lord.Bizen disputein theUrakamihouse,stormed of small the network was now unifiedunderhis command.Withina generation, enfeoffed hilltopcasdeswhichhad stoodforthe independently kokulinhad been bytheUkida at Okayama. domaincommanded bytheconsolidated superseded on Okayama,was typicalof thosebroughtunder The Ukida domain,centering of military notonlyon a generation It rested, byNobunagaand Hideyoshi. control oftenures. oflandrightsand simplification redistribution buton extensive conquest, measto a uniform andconverted surveyed landwasbeingsystematically Productive orhousemen ure(kokudaka).Naoieheldsome400,000 koku.His retainers, (kashin), ofofficer A bandofsomeI400 retainers fashion. inchainofcommand wereorganized statuswereorganizedinto I4 groups(or kumi) each headedby a trustedcomcastleholdersguardingthefronSevenoftheseweresetup as subsidiary mander.2' to Okayama.Each held lands producingover tiersof Bizen and the approaches daimyo.Buttheywereobligedto io,000koku.In otherwords,theywereembryonic of lesserstatuswere residein Okayama.The unit commanders (kumi-gashira) an basis.This was essentially theirmenon a yorioya-yoriko officers whocommanded of familyto in whichtherewas a minimumidentity armytypeof organization sourceof the localityor dependenceupon familyties for loyalty.A significant was thebalancebetweendaimyo'slandsand thoseof daimyo'spowerin thissystem was nowheld In theUkida domain,some25 percentoftheterritory his retainers. of standing This madethemaintenance directly by thedaimyoas chokkatsuchi.22 divisionscontrolled by the daimyo(the daimyo'sown kumi) possible mercenary paid,notin if needed.Suchtroopswerefrequently and useableto maintainloyalty butin ricestipends. fiefs, developin Bizen,two significant Fromthepointof viewof localgovernment of theUkida domain.Firstof all, despitethe mentsaccompanied theconsolidation overBizen authority and administrative proprietary of complete Ukida acquisition of by theacquisition on thebasisof conquest, thisconquestwas cappedeventually was acquired,first In Bizen,thislegal authority fromhigherauthority. legitimacy then as shugofromtheAshikagashogun, fromtheM6riwhohadsecuredlegitimacy ofthecapitalandofthepowersoftheshogunate fromOda Nobunagawhosecontrol WhenUkida Naoie died in I580, his gave himde factoif notde jure legitimacy. Nobunaga'sred seal son securedconfirmation of his statusin Bizen by receiving overBizenunderthenew legaljurisdiction certificate (shuinjo),a tokenofcomplete in Ky6to.23 The use oftheshuinjaas thecapstone ofsovereignty structure emerging extended byHideyoshi. ofa newnationalpoliticalorderwas further ofsociety. relatedto themoregeneralstructure development The otherimportant 21See 6oka-kemonjo[6oka HouseArchives], UkidaChu7nagon HideicKyo kashichigyocho [Rollof Lord UkidaHideie],OkayamaKenritsu doc. Toshokan, FielsoftheHousemenof theMiddleCounsellor, 692.8/132. 22 Taniguchi oftheBizenDomainAdSumio,"Bizenhanseino kakuritsu katei,"["The Establishment [CollectedResearchPapersfromthe ministration"], kenkyashfiroku OkayamaDaigakuKy6ikugakubu II (I956), I-3. SchoolofEducation, OkayamaUniversity], 23 Okayama Shi shi,1I, I492, I504. The significance of theshuinj6is discussedin OkunoTakahiro, Nobunagato Hideyoshi [Nobunagaand Hideyoshi](Tokyo, I955), 6I-63. But the technicalstudyof the This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions 326 JOHNW. HALL of thedecentralized of theshoen and theweakening Becauseof thedisappearance ofthe commonto findtheinhabitants it becameincreasingly system ofenfeoffment, groupsand classes.The treatedas functional domain,bothsamuraiand commoners, enfeoffed ofindividually as we haveseen,was nota cluster Ukidabandofretainers, pattern forthesengoktvassals,thetypicalorganizational and locallyindependent intokumiwithinwhichthedaimyo'smenwereassigned daimyo.It was organized rankand functo military according differentiated whichwerecommonly statuses of vassalclassification-cadets categories Thus thefamily-based tion.24 (kamon),or rankterminology-generals than military vassals(fudai)-becameless important officers unitcommanders (bangashira), (kara), groupcommanders (kumigashira), was officers (heishi),petty (kachi),orfootsoldiers(ashigaru).Status,onceachieved, becauseofthe partly mobility, buttherewas alsoconsiderable stilllargely inheritable, at the military defeatof daimyoand theirretainers through constant displacement evacuatedabovethem. top and theneed forthosebelowto fillout the positions interto thedaimyothrough of retainers theloyalty The kumimethodof securing ofa transition ofas something maybe thought groupleaders(kumigashira) mediary enfeoffment, practice ofindependent oftheprevious Retaining somefeatures system. ofthedaimyo. to thedirectinterference it nonetheless yieldedincreasingly relationWithinthedomainat large,also,theverticalchainof fiscalor loyalty cultivator (myashu),were enfeoffed (jito) and subordinate proprietor shipsbetween classrelationships structured, functional to givewayto large,horizontally beginning and merchants, betweenthe"daimyo'smen"(kashin)and groupssuchas farmers, relianceon classorgroup artisans.25 This changewas accompanied bytheincreasing to andciviladministration methods ofmilitary andtheuseofbureaucratic legislation social and kinshipties.Hideyoshi's replacetheolderrelianceon personalallegiances by taking of thesetrends.In particular, policywas to a largeextentan extension he laid thefoundain carrying reassessment, cadastral out a nation-wide leadership and taxation. It is to thesenewtechtionfora new system of ruraladministration thesuccessof the thatwe can attribute organization niquesofpoliticaland military and in buildingand mainin recruiting armiesoftensofthousands shokuh6-daimy6 ofa greatcastleat size.Bizensaw notonlytheerection tainingcitadelsofgrandiose of ofthelandand an accompanying reordering resurvey Okayamabutan intensive undertheUkida.28 theagricultural population to the"redseal" of fromtheAshikagaShogun'sconsent in thetransfer of authority legalissuesinvolved hasyettobe made. NobunagaandHideyoshi Hideie of theUkidahouserolls.See especially: 24This is revealedin thestructure UkidaCheZnagon Kyo kashichigy6ch6. as more the resulting condition shouldbe interpreted overwhether the controversy 25Disregarding studieshavc agrecdupon the importance of ccrtain Japanesc "feudalistic" thanthe previoussituation, no See ShimizuMitsuo,Nihonchu-sei of ruraland urbancommunities. basicchangesin theorganization Taikdkenchiron [On the sonraku[The MedievalVillagein Japan](Tokyo,I942); MiyagawaMitsuru, no Gakkai,H6ken ryoshusei CadastralSurveyof Hideyoshi](2 vols.,Tokyo,1957); Shakaikeizaishi of FeudalProprietorship-Various kenchiwo megurushomondai[The Establishment kakuritsu-Taik6 Relatedto theHideyoshiCadastralSurvey](Tokyo,I957); ArakiMoriaki,"Taik6 kenchino Problems oftheHideyoshi Survey"], Foundations Cadastral rekishiteki zentei"["The Historical Rekishigaku keny^i, I63 and I67 (1954). 26 Forstudies ofthelandsystem undertheUkidaseeKanaiMadoka, ofthereorganization oftheeffects XLII (I59), 9-20; "Shokuho6-ki ni okeruBizen"["BizenduringtheShokuhoPeriod"],Chihoshi kenkygi, and Hideyoshi's Cadastral ShibataHajime,"Sengokudogos5toTaik6kenchi"["The SengokuLocalGentry VI,No. 8 (I958), 5263. Survey"], Rekishiky5iku, This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESE DAIMYO 327 The kinsei-daimy6 organizaand military ofpolitical in technique Despitethemarkedimprovement hegemony, underHideyoshi's to a standstill tionevolvedbythedaimyowhofought forthemorestableage whichfolwereto proveinsufficient thesenew techniques betweenthedaimyoof theShokuho lowed.Thus,despitetheoutwardresemblance lay betweenthem. differences age and thoseof theTokugawa,manyinstitutional ofthedaimyodomainswas evolution ofinternal Betweeni6ooand I700,theprocess ofdaimyofromlocaleto locale,and shifting thefrequent bytwofactors: accelerated of peace.Bizen was typicalof mostJapanin thisreatmosphere thepredominant Bizen in short daimyohousesgoverned afteri6oo,fivedifferent spect.Immediately movingto Okayamafrom succession. It was notuntilI632 thatIkeda Mitsumasa, untili871.27These changes,it shouldbe Tottori,setup the linewhichcontinued forBizen,butbyorder weremade,notas a resultoflocalwarsorbattles emphasized, was,for to peacefulconditions of theTokugawashogun.The periodof adjustment ceased,thethreat For,oncethefighting experience. mostpartsofJapan,a traumatic of harshmilitary fortheexercise justification of war,whichhad actedas a powerful ofgovernto devisenewtheories ceasedto exist.It nowbecamenecessary discipline, and to practices, of power,to clarifyadministrative mentbasedon new sanctions ofthepeople. security workforthesocialand economic withtheirnew-won commensurate ofgovernment In theirsearchfora newtheory thekinsei-daimyo, as is wellknown,adopteda numberof Confucian-based powers, In Bizen,thisadoptionawaitedthe of sovereignty and socialmorality. principles as an of thedaimyo'sposition whoseenunciation pioneerworkof IkedaMitsumasa, in a agentof heavenundertheguidanceof theshogun,placedthedaimyosecurely whichhe ruled.28 thesocialstructure orderandjustified political "naturally ordained" on of administration theirmethods to improve Afteri6oo,thedaimyocontinued theirlegalcodesin the process.Withinthe a morebureaucratic basis,amplifying and overhis retainers powerof thedaimyowas increased domain,thecentralizing while,at thesametime,he becamelessa personaldespotand morea legal subjects, all subsidiary castleshad century, symbol.In Bizen,by theend of theseventeenth ofhighranking was ofdirectenfeoffment retainers beeneliminated, andthepractice in all butnameonly.The daimyo'smen displacedbythestipend(h6roku)system localadhis officers (kashin).Withinthedomaina uniform werenow considered was placedovertheurban staffed officers, ministrative bythedaimyo's organization, werenowstrictly ordered to retainers according alike.The daimyo's andruralsectors orderfromashigaruto karo.Although in ascending 12 ranks(kakyaor kakushiki) werestillgroupedintokumi,theirrealrelatheseretainers fordisciplinary purposes and to thedaimyowas on thebasisof servicein rankwithinthemilitary tionship remnants of feudalpractice, suchas civilbureaucracy. Thoughcertainceremonial stillremained, theirimportance diminished. Oaths of audiencesand investitures, Withinthesamuraiclassin Bizen, werenowtiedto postsin thebureaucracy. loyalty rewarded was giving byenfeoffment then,a shiftfrompersonalvassalageprivately 27 For an analytical of theBizendomainundertheIkedasee Taniguchi, of thestabilization treatnent "Bizenhansei,"pp. 4-14. 28 See J. W. Hall, "The Confucian F. Teacherin TokugawaJapan,"David S. Nivisonand Arthur I959), pp. 272-277. Confucianismin Acion (Stanford, Wright, This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions 328 JOHN W. HALL way to a systemof militarystatuseswhich led to a civil and militarybureaucracy. Loyaltywas becominga principleratherthan a privatecommitment.29 the lowerlevelsof societyin Bizen. Under the Changesof a similarsortaffected by class or funcimpactof Confuciantheory,the people (tami) were distinguished tion and placed under broad legal codes.30For the farmersespecially,the change frompersonalindentureto membershipin the village as taxpayingtenantsof the daimyowas a majorchange.Afteri6oo in Bizen,firstthe directhold of the samurai, thenof the shoya or villageheads,overthe villagerswas replacedby a bureaucratic It has been claimed that the strictclass structure systemof local government.31 a "refeudalization" by theTokugawa constituted perfected adoptedbyHideyoshiand of Japanesesociety.Somewhatthe reverseis probablycloserto the truth.For the of legallydefinedstatuses(mibun) freedmanysectorsof Japanesesoestablishment based on and morepersonallyconceivedrelationships cietyfromthe morerestrictive charThese trendswere not,of course,uniformly privatevassalageor indenture.32 however,the dominantpatternof the instiacteristic of all Japan.They constituted, tutionalchange which accompaniedthe rise of the daimyo of Tokugawa times. carriedout in most Moreover,theyinvolvedchangesnot easilymade nor successfully of Japanuntilwell into the Tokugawa age. In fact,the Tokugawa daimyodid not untilat leastI700. matureinstitutionally socialchangein Japan,but not The Sengokuage was indeeda timeof significant simplyof the capriciouskind impliedby the phrasege-toku-jd. Bizen saw not only the riseand fall of a processionof militaryhouses,but also a radicalchange in the whichjoined govof relationships and in the structure methodsof local government and products. ernmentand society.In thisthe daimyowerebothparticipants that whichprovidedthe sanci. At the highestlevel of politicalorganization, tionsfor exerciseof power,Bizen passed fromthe shakyjurisdictionalauthority restingon uncertainmilitarysupportand a weak legacyfrom of theshugo-daimyJ, vestedin the daimyoby virtue to a nearlyabsoluteauthority theimperialtradition, of the shogunalcharter(shuinjo), the imperialconsent,and Confucianprinciples of morallyexercisedauthority. of power,Bizen passed fromthe systemof 2. At the level of the organization to the Sengokusystem utilizedbytheshugo-daimy&, extendedfamilyrelationships, to the (kumi) systemof the direct military group decentralized enfeoffment, of 29 TaniguchiSumio, "Han kashindanno keiseito koz6-Okayama-hanno baai" ["The Structure and Houseband-The Case of Okayama"],Shigakuzasshi,LXVI, No. 6 (JuneI957), Organizationof the hAan 594-6I5. 0 See Hampo Kenkyuikai, ed., Hamposhui,I, Okayama-han[Collectedhan laws, i, Okayama-han] (2 vols.,Tokyo, I959-I960); OkayamaShishi,vols. III and IV, forthe mostextensivepublishedsources on Okayamalegislation. 31 Hamp6 Kenkyiikai, op. cit.,I, i86, 263; Kanai Madoka, "Ojoya no gy6sekikuiki ni tsuite-Bizenof theo3joya-The Case of Bizen-han"],Shigakuzasshi, Jurisdiction han no baai" ["On theAdministrative LXII, No. i (Jan.,1953), 66-71. 32NakamuraKichiji,in his article"Kokudaka seido to h6kensei"(cited in note 7) has recentlyreversedthe dominantacademictrendin Japanled by Arakiand Miyagawawho have takenthe standthat the finalatrepresents the Tokugawaperiodbroughta trueserfdomto the Japanesepeasantand therefore of feudalismin Japan.Nakamurahas emphasizedthemany"non-feudal"aspectsof theTokugawa tainment politicaland socialstructure. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions MODERN JAPANESE DAIMYO 329 Shokuhoperiod,to therank(kakya)or status(nzibun)structure utilizedbythe daimyoof theTokugawaperiod. 3. At thelevelof thecommoninhabitants of Bizen,thereoccurred a gradual shiftfroma conditioncharacterized predominantly by vertically structured perto one based increasingly sonalrelationships on administrative and class-defined relations betweengovernment and individual. Largesegments of Japanese society weredeveloping new horizontal relationships withinthe boundaries definedby suchsocialconcepts as rankand status. To returnto our questionof interpretation regarding Japan'sdarkages,it is that obviousthatone ofthecommonfallacies ofhistorians has beentheassumption thedaimyoandthesystem oflocalcontrol he represented remained constant throughestabouttheseveralcenturies preceding I700. Changesin thenatureof thedaimyo in factrepresented lishment a dynamic theSengokuand themewhichranthrough of warfare earlyTokugawaperiods.Thesechangesunderlay condition theconfused duringthe Sengokuera and continued to affect Japanesegovernment and society evenafterthesupposedfreezing ofsociety byTokugawaIeyasu.Hindsight criticism has beenheapeduponHideyoshiand Ieyasufortheirfailureto unifyJapancompletelyand fortheir"return"to a restrictive, status-bound societycut offfrom A moreaccurateanalysisofthestateof localgovernment contact. foreign and social organization showsthatJapanunderwent manymajorinternal changesafteri59o and thatthesechangescan byno meansbe characterized as retrogressive. This content downloaded by the authorized user from 192.168.52.61 on Sun, 25 Nov 2012 05:38:29 AM All use subject to JSTOR Terms and Conditions
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