The Cambridge History of Japan, Vol. 3: Medieval Japan
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SELECTED BIBLIOGRAPHY
39
Major political events and de-
velopments
0
' *•
d
Major sociocultural and eco-
nomic developments
0
' *•
J
Major international events
and developments
0
-
1
'
1531 Ikko ikki flare up in
Kaga
1543 Portuguese arrive near
Kyushu; guns are intro-
duced P
1549 Francis Xavier lands in
Kagoshima and begins to
proselytize
1562 Nobunaga concludes alli-
ance with Ieyasu
1568 Oda Nobunaga captures
Kyoto
1573 Nobunaga expels Sho-
gun Yoshiakira from Kyoto
1588 Exiled shogun resigns
1540 Major nationwide
famine
1550 Ukiyoe appears
1568 Nobunaga issues
rakuichi-rakuza decree in
Kano and orders all toll gates
in provinces abolished
1569 Nobunaga issues erizeni
decrees
[1522 Magellan's crew com-
pletes circumnavigation of
world]
1547 Last tally ship is dis-
patched to China
Mid 16C Trade with Ryukyus
collapses
1565 Sweet potatoes are intro-
duced to England; to Japan in
1605
[1571 Spain occupies
Philippines]
"Centuries are abbreviated, as e.g., 16C, for the sixteenth century.
*
Boldface numerals in parentheses refer readers to chapters in this volume for further informa-
tion, e.g. (4) refers to the fourth chapter, by John W. Hall.
' Developments in brackets [ ] occurred in the West and are given for reference.
''The letters P, E, C, and I following an entry denote that it was also of political, economic,
cultural, or international significance, in addition to the category in which it is listed.
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Cambridge Histories Online © Cambridge University Press, 2008
CHAPTER
1
THE KAMAKURA BAKUFU
The establishment of Japan's first warrior government, the Kama-
kura bakufu, represented both a culmination and a beginning. Since
the tenth century, an increasingly professionalized class of mounted
fighting men had served in local areas as estate administrators and
policemen and as officials attached to the organs of provincial gover-
nance. By the twelfth century, warriors had come to exercise a domi-
nant share of the total volume of local government, but even after
two hundred years they remained politically immature. The most
exalted warriors were still only middle-level figures in hierarchies
dominated by courtiers and religious institutions in and near the
capital. The bakufu's founding in the 1180s thus represented an
initial breakthrough to power on the part of elite fighting men, but
the fledgling regime was scarcely in a position to assume unitary
control over the entire country. What evolved was a system of govern-
ment approximating a dyarchy. During the Kamakura period, Japan
had two capitals and two interconnected loci of authority. The poten-
tial of warrior power was clear enough to those who cared to envision
it, but the legacy of the past prevented more than a slow progress
into the future.
Until quite recently, studies of Kamakura Japan have tended to
overstate the warriors' achievement, by equating the creation of
a
new
form of government with the simultaneous destruction of the old. As
is now clear, not only was the Heian system of imperial-aristocratic
rule still vigorous during the twelfth century, but also it remained the
essential framework within which the bakufu, during its lifetime, was
obliged to operate. In this sense, the Heian pattern of government
survived into the fourteenth century - to be destroyed with the Kama-
kura bakufu rather than
by
it. The events of the 1180s were revolution-
ary insofar as they witnessed the emergence of Japan's first noncentral
locus of authority and Japan's first government composed of men not
of the most exalted social ranks. But the bakufu, as we shall see, was a
military regime dedicated to keeping warriors away from the battle-
46
Cambridge Histories Online © Cambridge University Press, 2008
THE BACKGROUND TO THE GEMPEI WAR 47
field and also to finding judicial answers to the feuds and disputes that
were plaguing society .
THE BACKGROUND TO THE GEMPEI WAR
Despite its aversion to fighting, the bakufu was created by war, the
Gempei (Genji versus Heishi, or Minamoto versus Taira) conflict of
1180-5.
This was a much more complex upheaveal than its name
implies. Far from being a dispute between two great warrior clans, as
it is so often depicted, the Gempei conflict was a national civil war
involving substantial intraclan fighting and also pitting local against
central interests.
1
Indeed, the character of the violence was responsi-
ble for the type of regime that was created. Likewise, the backdrop to
the conflict was a product of society's tensions and is therefore integral
to the history of the Kamakura bakufu.
To understand the limitations of both the warrior victory and the
resulting government, we need to trace the rise of the warrior class in
the Heian period as well as the ascendancy of the Taira in the years just
before the Gempei War. The original blueprint for imperial govern-
ment in Japan did not envision a military aristocracy as the mainstay of
administration over the countryside. Yet as the courtiers in the capital
became more confident of their superiority, they began to loosen their
grip over the provinces, exchanging governance over a public realm
for proprietorship over its component pieces. The country was divided
into public and private estates (the provincial lands known as koku-
garyo,
and the estates known as shorn), under the authority of gover-
nors and estate holders, respectively, who themselves made up the
courtier and religious elite. The owners of land at the topmost propri-
etary level were thus exclusively nobles and clerics. The purpose of
this privatization of land was to secure a flow of revenue that exceeded
what was provided by the holding of bureaucratic office. In turn, this
permitted an increasingly extravagant life-style in the capital. The
division of the country was predicated in this way on the desire of
shoen
owners to be absentee landlords. Yet it was equally dependent on
those owners' ability to draft into service a class of willing and obedi-
ent administrators.
1 See Jeffrey P. Mass, "The Emergence of the Kamakura Bakufu," in John Whitney Hall and
Jeffrey P. Mass, eds., Medieval Japan: Essays in Institutional History (New Haven, Conn.: Yale
University Press, 1974) (hereafter cited as Mass, "The Emergence"). The older view, which
underemphasizes the social implications of the war, is ably treated by Minoru Shinoda, The
Founding of the Kamakura Shogunate (New York: Columbia University Press, i960).
Cambridge Histories Online © Cambridge University Press, 2008
48 THE KAMAKURA BAKUFU
This loosening of control from above also loosened the cement that
bound the provinces to the capital. A degree of local instability en-
sued, which caused the lower ranks to look to one another for mutual
support and protection. Leadership fell to persons of distinction
whose principal source of prestige was an ancestry traceable to the
capital. Thus, unlike the invaders who promoted the feudalization of
Europe, local leaders in Japan were men with long pedigrees. They
also retained their central connections, which meant that the develop-
ing class of provincial administrators were less members of local war
bands than members of groups that were forming to secure the peace.
This did not preclude outbreaks of lawlessness. But courtiers could
always brand such outbursts as rebellion and enroll others as their
provincial agents. In this way, at any rate, local and central remained
essentially joined for the duration of the Heian period.
The warriors who were becoming the true captains of local society
were called
zaichokanjin,
or resident officials attached to provincial
government headquarters
(kokuga).
Although the governorships them-
selves continued to rotate among courtiers in Kyoto, positions within
the kokuga became hereditary. Later, during the early stages of the
Gempei War, the developing cleavage of interests here was exploited
by the founder of the Kamakura bakufu, Minamoto Yoritomo. How-
ever, during the two centuries preceding 1180, patrons in the capital
were able to channel the energies of provincial subordinates towards
mutually beneficial ends. On the one hand, the locals were given
extensive powers in the areas of
tax
collecting and policing. But on the
other hand, these same locals were obliged to work through their
superiors to secure new appointments or confirmations of old ones
2
or
to secure justice in the frequent legal battles between kin and nonkin
rivals.
Neither the local chieftain nor the clan head (if this was a
different person) was empowered to provide these services on his own
authority; he too was dependent on the support of a central patron.
The result was that ownership and administration, authority and
power, became separable, with little risk to the capital-resident propri-
etor. So ingrained was the psychology of a hierarchy in which the
center dominated the periphery that in the absence of
some
regionally
based patronage source such as the bakufu, courtiers in the capital, no
2 Titles became hereditary and subject to disposition by testament. But wills, in order to be
recognized, required probate by the governor. For details, see Jeffrey P. Mass, "Patterns of
Provincial Inheritance in Late Heian Japan," Journal of Japanese Studies 9 (Winter 1983): 67-
95-
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