FIELDS AND ARMOR: A COMPARATIVE ANALYSIS OF ENGLISH FEUDALISM AND JAPANESE HOKENSEI Arthur Thomas Garrison Thesis Prepared for the Degree of MASTER OF ARTS UNIVERSITY OF NORTH TEXAS December 2011 APPROVED: Harold M. Tanner, Major Professor Andrew R. Hall, Committee Member Walter E. Roberts, Committee Member Richard B. McCaslin, Chair of the Department of History James D. Meernik, Acting Dean of the Toulouse Graduate School Garrison, Arthur Thomas. Fields and Armor: A Comparative Analysis of English Feudalism and Japanese Hokensei. Master of Arts (History), December, 2011, 130 pp., 1 illustration, references, 80 titles. Fields and Armor is a comparative study of English feudalism from the Norman Conquest until the reign of King Henry II (1154-1189) and Japan’s first military government, the Kamakura Bakufu (1185- 1333). This thesis was designed to examine the validity of a European-Japanese comparison. Such comparisons have been attempted in the past. However, many historians on both sides of the equation have levied some serious criticism against these endeavors. In light, of these valid criticisms, this thesis has been a comparison of medieval English government and that of the Kamakura-Samurai, because of a variety of geographic, cultural and social similarities that existed in both regions. These similarities include similar military organizations and parallel developments, which resulted in the formation of two of most centralized military governments in either Western Europe or East Asia, and finally, the presence and real enforcement of two forms of unitary inheritance in both locales. Copyright 2011 by Arthur Thomas Garrison ii ACKNOWLEDGEMENTS This thesis would not have been possible without the help of many people. I also feel that simply expressing my thanks and gratitude to them is only small thing, when I am overwhelmed by the outpouring of assistance I received in the past four years. First of all, I would like to express my greatest appreciation to Ms. Martha E. Brown and Mr. Frank H. Elmore III who instilled a love and respect for past in me from an early age. I would also like to extend my deepest gratitude to my parents, Paul and Rebecca, as well as to my siblings, Eric and Katy. Although my friends and family have been of the greatest help to me through the entirety of this endeavor, my committee, as well as numerous members of the history department faculty has also provided me with the tools and support, which allowed me to become the historian that I am. Dr. Harold M. Tanner and Dr. Andrew R. Hall have been the best mentors that I could have ever hoped for, helping me to improve my arguments and writing style by leaps and bounds. Dr. Walter Roberts has also approached this bizarre topic with an open mind, and an interesting view, which has helped me to become a better student, researcher, and presenter. Lastly, I would also like to thank Dr. Laura I. Stern who has taught me everything that I know about English feudal law. Lastly, I would like to thank the Department of Foreign Languages, especially Professors Peggy Hardt, Takeuchi Yayoi, Chen Bei, Grace Li, and Wang Wei. These teachers certainly do deserve the honor and respect that is ascribed to the titles of 先生 and 老师. They have worked tirelessly, teaching me how to read, write, speak, and understand two of the most difficult languages in the world. Without their much appreciated assistance, this project would not have come to fruition. To all of you, I say thank you again. iii TABLE OF CONTENTS Page ACKNOWLEDGEMENTS .......................................................................................................... iii CHAPTER 1 INTRODUCTION .................................................................................................... 1 Historiography .................................................................................................................... 1 Problems in European-Japanese Comparative Studies ....................................................... 3 Geographical, Cultural, and Social Similarities .................................................................. 5 CHAPTER 2 THE INADEQUACY OF THE ANGLO-SAXON AND HEIAN REGIMES ........ 8 The Loss of Central Control Over Land ............................................................................. 8 The Rise of Local Notables and Warriors ......................................................................... 12 Failure of the Fyrd and the Imperial Army on the Field................................................... 15 Conclusion ........................................................................................................................ 21 CHAPTER 3 THE KNIGHT, SAMURAI, CASTLES, AND FEUDAL ARMIES .................... 23 Recruitment in Feudal Armies .......................................................................................... 23 Technology and Tactics, the Creation of Professional Shock-Troops .............................. 33 Siege Architecture: the Castle and the Jo ......................................................................... 40 Conclusion ........................................................................................................................ 44 CHAPTER 4 ANGLO-NORMAN AND KAMAKURA CENTRALIZATION ........................ 46 Early Warrior-Government: An Amalgamation of the Old and the New ......................... 47 Disputes over Succession .................................................................................................. 57 Private Government, the Fatal Disconnect Between Central and Local Authorities ........ 63 Conclusion ........................................................................................................................ 68 CHAPTER 5 THE DEVELOPMENT OF CENTRALIZED RULE (1154-1189) AND (1221- 1333) ............................................................................................................................................. 71 The Establishment of Central Authority, A Work in Progress ......................................... 72 Central Administration and Conciliatory Rule ................................................................. 76 Councils and Central Government .................................................................................... 79 Legal Procedure and Stationary Administrative Offices .................................................. 82 Permanent Access and Oversight...................................................................................... 89 Conclusion ........................................................................................................................ 96 iv CHAPTER 6 UNITARY INHERITANCE AND ITS ENFORCEMENT ...................................99 Primogeniture: a Definition and Its Establishment Under Feudalism ............................ 101 Primogeniture in Operation............................................................................................. 104 Benefits of Primogeniture ............................................................................................... 107 Protection for Primogeniture in England and Japan ....................................................... 110 Customary Forms of Impartible Inheritance ................................................................... 113 Conclusion ...................................................................................................................... 115 CHAPTER 7 CONCLUSION.................................................................................................... 118 Summary of the Problem ................................................................................................ 118 Supporting Evidence ....................................................................................................... 122 Closing Statements.......................................................................................................... 124 BIBLIOGRAPHY ....................................................................................................................... 125 Sources on Medieval England ........................................................................................ 125 Primary Sources in Translation (English) ....................................................................... 127 Sources on Japan ............................................................................................................. 127 Primary Sources in Translation (Japanese) ..................................................................... 129 Sources on Military Theory ............................................................................................ 129 Dictionaries and Other Reference Materials ................................................................... 130 v CHAPTER 1 INTRODUCTION “Feudalism” is an obscure term that appears in the historians’ lexicon in both Western Europe and Japan. The use of this single word to describe all aspects of society that existed to in Western Europe from the eleventh until the fifteenth century is highly problematic, because there is no standard definition for this term. Likewise, the same term, “feudalism” has been used to describe Japanese society as it existed from the twelfth century until the mid-nineteenth century. Furthermore, Japanese medievalists also encounter the same problems as their European counterparts due to this loaded term’s lack of a widely accepted definition. Historiography Reginald Allen Brown, John Beeler, and Philippe Contamine have described Western European feudal society as a purely military system where an agrarian economy supported a class of professional cavalrymen, who held their lands from high-ranking lords and kings in exchange for service on the battlefield. These high-ranking soldiers enjoyed both political power and wealth, because of their social status, which was based on their family lineage. These warrior-nobles fortified their holdings using residential fortifications known as castles.1 Others such as Susan Reynolds, Marc Bloch, and F.L. Ganshof have described feudalism as a socio- political organization governed by a complex hierarchy of personal relationships that also entailed various degrees of dependence at all levels of society.2 Frederick William Maitland, 1 R.A Brown, Origins of English Feudalism, London, England: George Allen & Unwin LTD. 1973, 21 – 23 See also, John Beeler, Feudal Warfare in Europe 750 – 1200, Ithaca, New York: Cornell University Press, 1988, 1, and Philippe Contamine, Michael Jones (trans.), War in the Middle Ages, Oxford, England: Basil Blackwell, LTD, 1990, 30-32. 2 Susan Reynolds, Fiefs and Vassals, The Medieval Evidence Reinterpreted, Oxford, England: Oxford University Press, 1994, 17 -46 See also, Marc Bloch, L.A. Manyon (trans.), Feudal society, volume 1: The Growth of Ties the 1 George Caspar Homans, and Bryce Lyon have viewed feudalism through judicial and legal lenses, highlighting the large institutions of both land tenure and feudal justice that have been observed in Western European feudalism and its Anglo-Norman counterpart.3 Historians of medieval Japan can also be divided into similar groups based on this flexible definition of the term, “feudalism.” Karl F. Friday, Thomas D. Conlan, and William Wayne Farris have examined medieval Japanese society from a purely military perspective, citing the existence of landed professional cavalry and the eventual development of residential fortifications, which are similar to European castles in the 17th century, within the Samurai's military organization.4 Ikegami Eiko and Paul Varley have discussed the personal relationships the governed the Japanese ie or “warrior-house.”5 Lastly Jeffrey P. Mass, Carl Steenstrup, and Mikael S. Adolphson have focused their efforts on discussions pertaining to the political and legal developments of Samurai society, placing special emphasis on judicial procedure, land tenure, and the ruling classes.6 Dependence, Chicago, Illinois: University of Chicago Press, 1961, 59-72, and F.L. Ganshof, Philip Greirson (trans.), Feudalism, New York, New York: Harper& Row Publishers, 1964, 16-20. 3 See Frederick William Maitland, Domesday Book and Beyond, Three Essays in the Early History of England, Cambridge, England: Cambridge University Press, 1987, 150-172 and 168-170 See also, George Caspar Homans, English villagers of the Thirteenth Century, Cambridge, Massachusetts: Harvard University Press, 1942, 109-121, and Bryce Lyon, A Constitutional and Legal History of England, New York, New York: Harper & Brothers Publishers, 1960. 4 Karl F. Friday, Hired Swords, the Rise of Private Warrior power in Early Japan, Stanford, California: Stanford University Press, 1992, 70-121, Thomas D. Conlan, Weapons and Fighting Techniques of the Samurai Warrior 1200-1877 A.D., New York, New York: Metro Books , 2008, 26-58 See also, Thomas D. Conlan, State of War, The Violent Order of Fourteenth- Century Japan, Ann Arbor, Michigan: University of Michigan Press, 2003, 4-8 and, Heavenly Warriors: the evolution of Japan's military, 500-1300, Cambridge, Massachusetts: Harvard University Press, 1995 , 204-241. 5 Ikegami, Eiko, The Taming of the Samurai, Honorific individualism and the Making of Modern Japan, Cambridge, Massachusetts: Harvard University Press, 1995, 81-94 Varley, Warriors of Japan as Portrayed in the War-Tales, Honolulu, Hawaii: University of Hawaii Press, 1994, 19. 6 Please see, Jeffrey P. Mass, The Early Development of Kamakura Rule, 1180-1250, Stanford, California: Stanford University Press, 1979 and Jeffrey P. Mass, Lordship and Inheritance in Early Medieval Japan, A Study of the Kamakura Soryo System, Stanford, California: Stanford University Press, 1989. See also, Carl Steenstrup, A History of Japanese Law until 1868, New York, New York: E.J. Brill, 1996 and Carl Steenstrup, Hojo Shigetoki (1198 - 1261) and His Political and Ethical Ideas in Japan, London, England: Curzon Press LTD., 1979 See also Mikael S. 2 Problems in European-Japanese Comparative Studies While the majority of medievalists can agree on the military nature of feudal societies based on the various similarities previously discussed, comparative studies based on Western European and Japanese warrior-societies have generated copious amounts of controversy.7 Some historians have greeted these comparisons with an open mind, and are more than willing to take part in these cross-cultural dialogues, not all historians have received these comparisons quite so graciously. For example, John Whitney Hall has accused comparative historians, who have sought to compare medieval Europe with Samurai Japan, of being far too general in the characteristics of the societies that are examined in each of these comparative endeavors.8 Although many would cite the vast amount of cultural diversity throughout the world as a major obstacle that diminishes the utility of these sorts of studies to the academic community, the major problem, which confronts comparative medieval historians who engage in these cross- cultural endeavors, is the lack of a standard definition for the term “feudalism.” This is the largest problem that Japanese medievalists such as John Whitney Hall find in these comparisons. While Hall has chastised the comparative historians for taking an approach which is, in his view, either far too broad or far too narrow to be of any real utility to either the Japanese medievalists or his counterparts in the West, his major problem with European-Japanese comparative studies are the use of the supposedly indefinable word “feudalism” within European, Aldolphson, The Gates of Power, Monks, Courtiers, and Warriors in Premodern Japan, Honolulu, Hawaii, University of Hawaii Press, 2000. 7 please see, Ganshof, Feudalism, xvi and Marc Bloch, Feudal society, volume 1: The Growth of Ties the Dependence, 211 – 213 See also, Peter Duus, Feudalism in Japan, New York, New York: McGraw-Hill INC. 1993, 9-16, and Varley, Warriors of Japan as Portrayed in the War-Tales, 19. 8 John Whitney Hall, “Feudalism in Japan: A Reassessment” in Comparative Studies in Society and History, Vol. 5, no. 1 (October, 1962), 20-25. 3 American, and Japanese historical circles.9 Hall has levied some valid criticisms against those historians who wish to illuminate the universality of feudalism as a worldwide societal phenomenon and stage of societal development. Historians, particularly those who ascribe to the Marxist view of history, are at fault here. At the same time, he has also asked a very valuable and pertinent question to another group of comparative historians who also wish to make comparisons between medieval Europe and its Japanese counterpart. That question is, “has Japanese society at any time in its history exemplified a pattern of social development, which along with that of Europe may be properly labeled as “feudal”?”10 It is this question that has motivated the creation of this thesis. However, previous studies that have grappled with this question have one major flaw in their methodologies. The problem is that these previous comparisons have attempted to enumerate similarities between the nation of Japan and the whole of Western Europe. Although European medievalists use the words “feudal” and “feudalism” to describe an overarching societal concept that was assigned the Middle Ages by 18th-century historians, this is a far too simplistic view. Western Europe is a conglomerate of many different countries, and each country has been influenced by its own linguistic, legal and cultural traditions. These influences also were at work on the European continent during medieval times. Therefore, to compare the entirety of Europe to the islands of Japan at any time, medieval or otherwise is to deny these locales their own unique cultural identities. Although, it has been previously stated that the purpose of this comparative study is to test the validity of applying the term “feudal” to the realm of Japan, by making comparisons between military, legal, and judicial structures present in European warrior governments and its 9 Hall, “Feudalism in Japan: A Reassessment,” 16-20. 10 Hall, “Feudalism in Japan: A Reassessment,” 20. 4