ASPECTS OF MODERNIZATION IN JAPAN:

THE ADAPTIVE AND TRANSFORMATION PROCESSES OF

LATE TOKUGAWA SOCIETY

by

KOJI VICTOR UJIMOTO

B. Sc., Royal M i l i t a r y C o l l e g e of Canada

B. Sc., U n i v e r s i t y of B r i t i s h Columbia

A THESIS SUBMITTED IN PARTIAL FULFILMENT OF

THE REQUIREMENTS FOR THE DEGREE OF

MASTER OF ARTS

i n the Departments

of

ASIAN STUDIES
ANTHROPOLOGY AND SOCIOLOGY

We accept t h i s t h e s i s as conforming to the

r e q u i r e d standard

THE UNIVERSITY OF BRITISH COLUMBIA

A p r i l , 1969
In p r e s e n t i n g this thesis in p a r t i a l f u l f i l m e n t of the requirements for

an advanced degree at the University of British Columbia, I agree that

the Library shall make i t f r e e l y available for r e f e r e n c e and Study.

I further agree that permission for extensive copying of this thesis

for s c h o l a r l y p u r p o s e s may be g r a n t e d by the Head o f my Department or

by his representatives. It i s understood that copying or publication

of this thesis for financial gain shall not be allowed without my

written permission.

Asian Studies
Departmentsof Anthropology and Sociology

The U n i v e r s i t y o f B r i t i s h Columbia
V a n c o u v e r 8, Canada

Date April 9» * 969

 ABSTRACT

The main task of t h i s study was to examine the p r o -

p o s i t i o n that the modernization processes of Japan had

commenced d u r i n g the l a t e Tokugawa p e r i o d (1804-1867) and

that the impetus to s o c i a l change was not concentrated solely

i n the p o s t - M e i j i R e s t o r a t i o n (1868) p e r i o d .

A survey of contemporary l i t e r a t u r e on modernization

enabled us to s e l e c t a s u i t a b l e working d e f i n i t i o n of modern-

ization. For a n a l y t i c a l purposes, modernization was defined

i n terms of the adaptive and r e f o r m i n g e f f o r t s by the late

Tokugawa i d e o l o g u e s . The d e f i n i t i o n i m p l i e d nothing specific

about the component processes i n v o l v e d and t h i s p e r m i t t e d us

to be f r e e i n s e l e c t i n g the component a c t i o n s w i t h i n the

modernization process.

The study of the adaptive and t r a n s f o r m a t i o n processes

c o n s i s t e d of an a n a l y s i s of f i v e b i o g r a p h i e s w r i t t e n i n

Japanese and r e p r e s e n t a t i v e of the ideologues of the late

Tokugawa p e r i o d . For our i n v e s t i g a t i o n , the method of content

a n a l y s i s was employed. T h i s allowed the e x t r a c t i o n of d e s i r e d

data a c c o r d i n g to e x p l i c i t l y formulated and systematic rules.

The coding scheme employed to analyze the b i o g r a p h i c a l mate-

r i a l was designed t a k i n g i n t o account our b a s i c p r o p o s i t i o n .

The process of a s s i g n i n g e x t r a c t e d data i n t o the a p p r o p r i a t e

c a t e g o r i e s c o n s i s t e d of a d i c h o t o m i z a t i o n process whereby the

data was recorded i n mutually e x c l u s i v e c a t e g o r i e s . The

i n t e r p r e t a t i v e c a t e g o r i e s s e l e c t e d f o r content a n a l y s i s were

not based on a s p e c i f i c theory p u r p o r t i n g to e x p l a i n c e r t a i n

aspects of s o c i a l change but i t suggested a model which l e n t

c l a r i t y to the study of the l i n k a g e between c a u s a l f o r c e s

( s o c i e t a l c o n d i t i o n s and formative f a c t o r s ) and the i d e o l o g u e 1

s t r u c t u r e s of a c t i v i t i e s . In t h i s model, the u n d e r l y i n g as-

sumption was that the c a u s a l f o r c e s were l i n k e d to the observ-

able v a r i a t i o n s by the ideologue's a t t i t u d e s , orientations,

and concepts. T h i s assumption was supported by the data and

the s t r u c t u r e of a c t i v i t i e s gave r i s e to p a t t e r n s which tended

to be s i m i l a r although the s t r u c t u r a l processes themselves

v a r i e d from ideologue to i d e o l o g u e .

On the b a s i s of our i n v e s t i g a t i o n , we concluded t h a t

the data obtained from the content a n a l y s i s of f i v e b i o g r a p h i e

supported our p r o p o s i t i o n that the adaptive and t r a n s f o r m a t i o n

processes of modern Japan e s t a b l i s h e d t h e i r r o o t s d u r i n g the

l a t e Tokugawa p e r i o d and that the impetus to s o c i a l change was

not concentrated s o l e l y i n the post M e i j i R e s t o r a t i o n p e r i o d .

 TABLE OF CONTENTS

Page

ABSTRACT i

LIST OF FIGURES v

ACKNOWLEDGEMENT vi

CHAPTER

I. ASPECTS OF MODERNIZATION IN JAPAN 1

1. Toward a D e f i n i t i o n of " M o d e r n i z a t i o n " 3

2. The Modernizing E l i t e s 7

II. THE CONCEPTUAL FRAMEWORK 16

1. Tokugawa Ideology and Feudal C o n t r o l . . 18

2. Reform P r o p o s a l s and the Rise of

Nationalism 22

3. Tokugawa System of Government 30

4. Post R e s t o r a t i o n E l i t e s . . . . . . . . 35

5. M e i j i System of Government 39

III. METHODOLOGY 43

1. Content A n a l y s i s . . . . . . 45

2. Coding Content Data . . . . . . . . . . 46

3. M e t h o d o l o g i c a l Problems 50

IV. STUDY SAMPLE: FORERUNNERS OF THE TRANSFORMATION

PROCESS 53

1 . Formative I n f l u e n c e s 54
 i v

2. Subject's A t t i t u d e s , O r i e n t a t i o n s , and
Concepts 72
3. A c t i v i t i e s Supportive of S u b j e c t s
Orientation 99

V. EVALUATION: DATA ANALYSIS AND THE THEORETICAL

SCHEMA 115

VI. SUMMARY AND CONCLUSION 121

BIBLIOGRAPHY 123

APPENDICES

A. Principal Bakufu O f f i c i a l s 128

B-l . Coding Rules f o r Category I 129

B-2. Coding Rules f o r Category I I 130

B-3. Coding Rules f o r Category I I I 131

B-k. Coding Rules f o r Category IV 132

B-5. Coding Rules f o r Category V 133

B-6. Coding Rules f o r Category VI . 13^

C. L i n k Between Ideologues 135

 V

LIST OF FIGURES

Page

F i g u r e 1. Conceptual Framework Employed to Study

the M o d e r n i z a t i o n Process of Japan . .17

Figure 2 . Tokugawa Government S t r u c t u r e . . . . . . 31

F i g u r e 3» Content Data C a t e g o r i e s 48

Figure 4 . Causal Forces-Observable V a r i a t i o n s

Linkage Model ..115
 vi

ACKNOWLEDGEMENT

An i n t e r d i s c i p l i n a r y undertaking of t h i s nature neces-

s a r i l y i n v o l v e s the advice and a s s i s t a n c e of numerous people.

I wish to express p a r t i c u l a r g r a t i t u d e to P r o f e s s o r John F.

Howes, Department of A s i a n S t u d i e s , and P r o f e s s o r E r n e s t Landauer,

Department of Anthropology, the t h e s i s a d v i s o r s , f o r t h e i r time

spent i n c o n s u l t a t i o n and f o r the v a l u a b l e suggestions put f o r -

ward throughout the r e s e a r c h and w r i t i n g of t h i s t h e s i s . I would

a l s o l i k e to express a p p r e c i a t i o n t o P r o f e s s o r s W i l l i a m L. H o l l a n d

and Kazuko Tsurumi, now a t S e i k e i U n i v e r s i t y , Tokyo, to whom I

owe my o r i g i n a l i n t e r e s t i n the modernization processes of Japan,

and to P r o f e s s o r S h u i c h i Kato f o r s u g g e s t i n g the l i n e of i n v e s t i -

g a t i o n employed i n t h i s study.

I am indebted to the U n i v e r s i t y of B r i t i s h Columbia for

the graduate f e l l o w s h i p s which allowed me to continue my s t u d i e s .

I am a l s o indebted to Mr. H a r o l d S. C o l l i e of Canadian Pacific

Airlines for financial assistance. I am very g r a t e f u l both to

Mrs. Margaret Fukuyama of the A s i a n S t u d i e s L i b r a r y , U n i v e r s i t y

of B r i t i s h Columbia and to Mr. Makoto F u j i t a of World U n i v e r s i t y

S e r v i c e , Tokyo, f o r t h e i r very generous a s s i s t a n c e and f o r keeping

a l i v e my i n t e r e s t i n the F a r E a s t . Monica Lindeman read the

manuscript throughout and made suggestions which have been i n c o r -

porated i n the t h e s i s . F i n a l l y , I wish t o thank my wife Mutsuko

who has been a t a l l times the source of encouragement.

 CHAPTER I

ASPECTS OF MODERNIZATION I N JAPAN

One of the f i r s t attempts t o d e v e l o p an agreement on

t h e m e a n i n g o f t h e t e r m " m o d e r n i z a t i o n " by W e s t e r n and

Japanese scholars together resulted from the Conference on

Modern J a p a n w h i c h was held i n Hakone, J a p a n , i n i 9 6 0 . Ever

since the M e i j i Restoration, Japanese s c h o l a r s have tended

to r e f e r t o t h e p r o c e s s e s o f m o d e r n i z a t i o n i n terms of western-

ization, t h e most common y a r d s t i c k b e i n g w e s t e r n technological

development. Tadao Y a n a i h a r a ' s d e s c r i p t i o n of the "problems

of m o d e r n i z a t i o n " i s worth noting:

The p r o b l e m o f m o d e r n i z a t i o n i n J a p a n i s t o i m p o r t
and a b s o r b w e s t e r n t e c h n i q u e s and c u l t u r e . In short, i t
i s w e s t e r n i z a t i o n o f J a p a n e s e s o c i e t y and J a p a n e s e c u l t u r e .
B u t t h e J a p a n e s e p e o p l e have t o o l o n g and s o l i d a p a s t t o
l e t t h e i r c o u n t r y become o n l y an i m i t a t i o n o f w e s t e r n
countries. A l s o , complete w e s t e r n i z a t i o n of Japanese
s o c i e t y would not b e n e f i t the w o r l d , f o r w o r l d c u l t u r e can
be e n r i c h e d o n l y by d i f f e r e n c e s o f c h a r a c t e r i s t i c s among
nations. B u t , i f Japan wants t o u n d e r t a k e a m i s s i o n o f
f u s i o n o f e a s t e r n and w e s t e r n c i v i l i z a t i o n s w h i c h she
e n t e r t a i n s as h e r n a t i o n a l i d e a l s , she must n o t be c o n t e n t
merely to import the e x t e r n a l s of western c i v i l i z a t i o n ;
she must l e a r n and a b s o r b i t s e s s e n c e and i t s f u n d a m e n t a l
spirit. I f i t may be assumed t h a t t h i s e s s e n c e o f modern
w e s t e r n c i v i l i z a t i o n i s d e m o c r a c y , t h e n i t c a n be s a i d
t h a t the b a s i s f o r m o d e r n i z a t i o n of Japan i s d e m o c r a t i -
zation. 1

Tadao Y a n a i h a r a , "A S h o r t H i s t o r y o f Modern J a p a n , " i n

S e i i c h i T o b a t a ( e d . ) , The M o d e r n i z a t i o n o f J a p a n ( T o k y o : The
I n s t i t u t e o f A s i a n E c o n o m i c A f f a i r s , I 9 6 5 T , V o l . 1, p . 5 .
 2

F o r men l i k e Yanaihara "modernization" and "westernization"

were synonymous and consequently, r e l a t i v e l y simple indicies

were u s e d t o measure t h i s importation of western technology.

They i n c l u d e d m i l e s of r a i l r o a d or telephone wires, or harbor

2
facilities. Westernization was not just limited t o the im-

portation of t e c h n o l o g y , but i t encompassed s o c i e t y and culture

as w e l l .

Initial efforts by western s c h o l a r s to conceptualize

the m o d e r n i z a t i o n process merely r e s u l t e d i n the enumeration

of t h e many e l e m e n t s o f c o n t e m p o r a r y N o r t h A m e r i c a n and

European s o c i e t a l conditions. As a result, i n certain respects

t h e r e was very little d i f f e r e n t i a t i o n with the Japanese under-

standing of m o d e r n i z a t i o n as w e s t e r n i z a t i o n e x c e p t that the

w e s t e r n s c h o l a r s were b e t t e r a b l e to c a t e g o r i z e the v a s t number

of characteristics identifying the "modern c o n d i t i o n . " Concep-

tual f o r m u l a t i o n b a s e d upon s e l e c t e d c l a s s i f i c a t i o n o f trans-

formation processes will no doubt emphasize the elements of

the contemporary "modern c o n d i t i o n . " S u c h an a p p r o a c h may be

useful i n presenting the s t a t i c a s p e c t s - ' o f what we wish to

J o h n W. H a l l , " C h a n g i n g C o n c e p t i o n s o f the M o d e r n i z a -
t i o n o f J a p a n , " i n M a r i u s B. J a n s e n ( e d . ) , C h a n g i n g J a p a n e s e
A t t i t u d e s Toward M o d e r n i z a t i o n ( P r i n c e t o n : P r i n c e t o n U n i v e r s i t y
P r e s s , 1965)» p . 9*
3
R o b e r t E . Ward and Dankwart A. Rustow ( e d s . ) , P o l i t i c a l
M o d e r n i z a t i o n i n J a p a n and Turkey ( P r i n c e t o n : P r i n c e t o n U n i v e r -
s i t y P r e s s , 19"o¥), p . 10.
 3

describe as "modern," b u t i t h a s l e s s relevance to the develop-

k
mental dimension or t o the dynamics of the transformation

process.

1. Toward a Definition of "Modernization"

If we survey the vast sources of contemporary literature

currently available on t h e p r o c e s s of modernization, we c a n

readily o b t a i n an i n v e n t o r y of various d e f i n i t i o n s and concepts

but i twill soon become e v i d e n t that much disagreement exists

among the c r i t i c s over the exact meaning they attach to the

expression. Various s c h o l a r s have used the term "moderniza-

tion" to describe the c h a r a c t e r i s t i c s common to the countries

with changing structural processes or transformation. However,

the meaning attached to "modernization" as a g e n e r a l word has

varied from author to author. Some a u t h o r s have never attempted

to define the term and they have assumed that the reader has

some understanding of the expression used.

One inadvertent result of describing the modernization

process by enumerating the various criteria selected as essen-

tial f o r applying the modernization label i s that such an

approach has i s o l a t e d the various processes o f change into a

disjointed account of history. Though the c r i t e r i a selected

may be v a l i d f o r modern society, t h e same criteria cannot be

Ibid., p . 11
applied to d e s c r i b e c o n d i t i o n s at s p e c i f i c p e r i o d s i n the

p a s t , because each criterion s e l e c t e d by p r e s e n t - d a y scholars

may h a v e h a d no p a r a l l e l at that p a r t i c u l a r p e r i o d i n h i s t o r y .

A relatively minor s o c i e t a l change may have c o n t r i b u t e d t h e

necessary impetus to i n i t i a t e further t r a n s f o r m a t i o n s and t h e

latter s i m p l y w o u l d n o t have o c c u r r e d w i t h o u t the former. It

is thus essential to consider a l l facets of the t r a n s f o r m a t i o n

process i n historical p e r s p e c t i v e and t o r e l a t e pertinent

facts to each o t h e r i f we w i s h to form an o v e r a l l p i c t u r e o f

the m o d e r n i z a t i o n process.

The term " m o d e r n i z a t i o n " h a s b e e n d e f i n e d i n numerous

ways. Myron W e i n e r n o t e s that:

E a c h o f t h e s o c i a l s c i e n c e d i s c i p l i n e s h a s f o c u s e d on
d i f f e r e n t elements of the m o d e r n i z a t i o n p r o c e s s . Econo-
m i s t s s e e m o d e r n i z a t i o n p r i m a r i l y i n terms o f man's
a p p l i c a t i o n of t e c h n o l o g i e s to the c o n t r o l of nature's
r e s o u r c e s i n o r d e r t o b r i n g a b o u t a marked i n c r e a s e i n
the growth o f output p e r head o f p o p u l a t i o n . Sociologists
and s o c i a l a n t h r o p o l o g i s t s h a v e b e e n p r i m a r i l y c o n c e r n e d
with the process of d i f f e r e n t i a t i o n that c h a r a c t e r i z e s
modern s o c i e t i e s . T h e y h a v e e x p l o r e d t h e way i n w h i c h new
s t r u c t u r e s a r i s e t o assume new f u n c t i o n s o r t o t a k e on
f u n c t i o n s once p e r f o r m e d by o t h e r s t r u c t u r e s , and t h e y
give a t t e n t i o n t o the d i f f e r e n t i a t i o n s o c c u r i n g w i t h i n
s o c i a l s t r u c t u r e s as new o c c u p a t i o n s emerge, complex e d u -
c a t i o n a l i n s t i t u t i o n s d e v e l o p , and new t y p e s o f c o m m u n i t i e s
appear. S o c i o l o g i s t s a l s o s t u d y some o f t h e d i s r u p t i v e
f e a t u r e s of the m o d e r n i z a t i o n p r o c e s s : r i s i n g tensions,
mental i l l n e s s e s , v i o l e n c e , d i v o r c e , j u v e n i l e delinquency,
and r a c i a l , r e l i g i o u s , and c l a s s c o n f l i c t . 5

Myron W e i n e r ( e d . ) , M o d e r n i z a t i o n : The Dynamics o f

Growth (New Y o r k : B a s i c B o o k s , I n c . , I 9 6 6 ) , p . 3.
 Recent methodological development concerning the

a n a l y s i s of the t r a n s f o r m a t i o n processes of s o c i e t y has f o -

cused on the socio-demographic and s t r u c t u r a l characteristics.^

The term " s o c i a l m o b i l i z a t i o n " has been d e r i v e d by K a r l Deutsch

to denote the "process i n which c l u s t e r s of o l d s o c i a l , economic

and p s y c h o l o g i c a l commitments are eroded and broken and people

become a v a i l a b l e f o r new p a t t e r n s of s o c i a l i z a t i o n and behavior.

T h i s d e f i n i t i o n i s i l l u s t r a t e d by an enumeration of the "socio-

demographic i n d i c i e s " of modernization.

Perhaps the best d e f i n i t i o n of the term "modernization"

i s that g i v e n by C. E. B l a c k . He d e f i n e s "modernization" as:

. . . the process by which h i s t o r i c a l l y evolved i n s t i -

t u t i o n s are adapted to the r a p i d l y changing f u n c t i o n s that
r e f l e c t the unprecedented i n c r e a s e i n man's knowledge,
p e r m i t t i n g c o n t r o l over h i s environment, that accompanied
the s c i e n t i f i c r e v o l u t i o n .

T h i s l a t t e r d e f i n i t i o n by Black appears to be the most appro-

p r i a t e d e f i n i t i o n to keep i n mind as we attempt to study the

modernization process of Japan.

S. N. E i s e n s t a d t , M o d e r n i z a t i o n : Growth and D i v e r s i t y
(The Carnegie F a c u l t y Seminar on P o l i t i c a l and A d m i n i s t r a t i v e
Development Paper), p. 1.
7
K. Deutsch, " S o c i a l M o b i l i z a t i o n and P o l i t i c a l Devel-
opment," American P o l i t i c a l Science Review, IV, September, 1961,
p. 463.
Q
C. E. B l a c k , The Dynamics of M o d e r n i z a t i o n : A Study
i n Comparative H i s t o r y (New York: Harper and Row, P u b l i s h e r s .
1^66) , p. 7. '
 6

In c o n t r a s t to B l a c k ' s d e f i n i t i o n of modernization as

an adaptive p r o c e s s , Dore d e s c r i b e s modernization i n terms of

the r e f o r m i n g e f f o r t s by the p o l i t i c a l l e a d e r s and intellectuals.

Dore a s s e r t s that i t i s u s e f u l to speak of r e f o r m i n g efforts

u s i n g s e l e c t e d c o u n t r i e s as models of attempts to modernize:

C l e a r l y , wholesale and r a p i d "modernization" i n t h i s

sense i s a neat e p i t o m i s a t i o n of the p o l i c y aim of the
M e i j i l e a d e r s of Japan i n the 1 8 7 0 ' s or Kemal A t a t u r k i n
Turkey i n the t w e n t i e s , or of c o u n t l e s s other p o l i t i c a l
l e a d e r s s i n c e . T h i s sense of "modernization" may be
paraphrased as f o l l o w s : The t r a n s f o r m a t i o n of the economic,
p o l i t i c a l , l e g a l , s o c i a l or c u l t u r a l l i f e of a n a t i o n i n
accordance w i t h models d e r i v e d from other contemporary
s o c i e t i e s thought to be more "advanced."9

The d e f i n i t i o n s advanced by both Black and Dore imply

n o t h i n g s p e c i f i c about the component processes i n v o l v e d and

consequently these d e f i n i t i o n s a l l o w us to be f r e e i n s e l e c t i n g

the component a c t i o n s w i t h i n the modernization p r o c e s s . Within

the framework of the d e f i n i t i o n s p r o v i d e d by Black and Dore,

our study w i l l be concerned mainly w i t h those i n d i v i d u a l s i n

Japanese h i s t o r y , who were e i t h e r d i r e c t l y or i n d i r e c t l y respon-

s i b l e f o r the i n i t i a t i o n of the adaptive and r e f o r m i n g processes

which we have subsumed under the r u b r i c of m o d e r n i z a t i o n . As

f a r as i t w i l l be p o s s i b l e , an attempt w i l l be made to r e l a t e

the s i g n i f i c a n t dimensions of the t r a n s f o r m a t i o n process to

the i n s t i t u t i o n a l aspects of Japanese s o c i e t y . Here the term

R. P. Dore, "On the P o s s i b i l i t y and D e s i r a b i l i t y of a

Theory of M o d e r n i z a t i o n " (paper presented i n A s i a n S t u d i e s 3 3 0
Seminar, U n i v e r s i t y of B r i t i s h Columbia, August 1 6 , 1 9 6 7 ) .
" i n s t i t u t i o n a l " r e f e r s a f t e r Levy to those normative p a t t e r n s

or those p a t t e r n s to which general conformity i s expected

1 0

with s a n c t i o n s imposed upon those who f a i l to conform.

Stated i n s o c i o l o g i c a l terms, those who f a i l to conform to

the e x i s t i n g s o c i a l norms of the time can be c l a s s i f i e d as

deviants. However, we much e x e r c i s e extreme c a u t i o n when

a p p l y i n g such terms to a b e h a v i o r a l c o n d i t i o n . A normative

p a t t e r n being a temporal q u a l i t y can only be considered as

normative with s p e c i f i c r e f e r e n c e to the time dimension and

consequently, deviance d e f i n e d i n terms of the e x i s t i n g social

order cannot be used as a measuring instrument when d i s c u s s i n g

h i s t o r i c a l data. Deviance i s a u s e f u l term to designate those

who are engaged i n a c t i v i t i e s considered as an infringement of

the e x i s t i n g s o c i a l values.
2 . The Modernizing Elites

From the o u t s e t , we can make a very simple generaliza-

t i o n about any s o c i e t y : that there are two c l a s s e s o f people,

11

the c l a s s that governs and the c l a s s that i s governed. Re-

g a r d l e s s of t h i s d i f f e r e n t i a t i o n , there w i l l appear from e i t h e r

l0
M. J . Levy, The S t r u c t u r e of S o c i e t y ( P r i n c e t o n :
P r i n c e t o n U n i v e r s i t y P r e s s , 1 9 5 2 ) , p. 1 0 2 .

11
T. B. Bottomore, E l i t e s and S o c i e t y (Middlesex: Penguin
Books L t d . , 1 9 6 6 ) , p. 2 4 .
 8

class certain individuals who are i n a p o s i t i o n to influence

their f e l l o w men. T h o s e i n d i v i d u a l s who are able to e x e r t

or e x e r c i s e such i n f l u e n c e w i l l be referred t o as elites.

F o r example, t h o s e i n d i v i d u a l s i n the p o l i t i c a l sphere who

are o r who become i n f l u e n t i a l by v i r t u e o f the political

power t h e y p o s s e s s c a n be called the p o l i t i c a l elite. Simi-

larly, t h o s e i n d i v i d u a l s who are i n f l u e n t i a l because of the

vast r e s o u r c e s of knowledge w h i c h t h e y p o s s e s s and are at

t h e same t i m e capable of a r t i c u l a t i n g their i d e a s c a n be called

the i n t e l l e c t u a l elite. To d e s c r i b e those individuals who are

regarded as i n f l u e n t i a l f o r w h a t e v e r t h e r e a s o n , and regard-

less of t h e i r sphere of a c t i v i t y , we shall use the simple term

"elite." At this j u n c t u r e , we are not concerned with any

theoretical concept of e l i t e s b u t we are only i n t e r e s t e d in a

general term which w i l l e n a b l e us to devise a simple coding

o r c a t e g o r i z a t i o n scheme whereby we are able to s e l e c t from a

system of s t r a t i f i c a t i o n t h o s e i n d i v i d u a l s who are either

directly or i n d i r e c t l y r e s p o n s i b l e f o r the i n i t i a t i o n of the

adaptive and reforming processes. It will be noted that con-

t i n g e n t upon t h e s e p r o c e s s e s o f m o d e r n i z a t i o n , t h e existing

social stratification structure itself will be subject to

change l e a d i n g t o some d e g r e e of d i s s o c i a t i o n not o n l y amongst

12
the e l i t e s themselves but a l s o from other groups.

S. N. E i s e n s t a d t , M o d e r n i z a t i o n : P r o t e s t and Change
(Englewood C l i f f s : P r e n t i c e - H a l l I n c . , 1 9 6 6 ) , p . 9 .
 9

I f we are to s e l e c t the modernizing e l i t e s associated

with the adaptive and t r a n s f o r m a t i o n processes of Japan, the

l a t e Tokugawa ideologues are perhaps our best examples* Their

members i n c l u d e d a v a r i e t y of types c h a r a c t e r i z e d by the v a s t

scope of t h e i r a c t i v i t i e s as w e l l as by the m u l t i - f a c e t e d

c h a r a c t e r of the i n d i v i d u a l * B a s i c a l l y , the ideologues called

f o r a t r a n s f o r m a t i o n i n t r a d i t i o n a l Confucian morals and social

values and a r e s t r u c t u r i n g of p e r s o n a l r e l a t i o n s h i p between

the I m p e r i a l Court, Shogunal government, and the individual.

Although there i s l i t t l e evidence of cohesion among the late

Tokugawa i d e o l o g u e s , there i s , however, an i n d i c a t i o n of a

shared sense of m o t i v a t i o n . They were the i n t e l l e c t u a l s who

acknowledged the evident s u p e r i o r i t y of western technology

and who were i n t e n s e l y aware of the n e c e s s i t y f o r Japan to

adapt to the changing c o n d i t i o n s of the times i f she were to

escape the t r a g i c f a t e of I n d i a and China.

The modernizing e l i t e s who e v e n t u a l l y became the f o r e -

runners of the M e i j i R e s t o r a t i o n were p o l i t i c a l l y o r i e n t e d as

evinced by the emphasis which they p l a c e d on the political

s e c t o r of Tokugawa s o c i e t y . They were the i n t e l l e c t u a l s who

a r t i c u l a t e d the s o c i o - p o l i t i c a l demands and t h e o r i e s advo-

c a t i n g the r e s t r u c t u r i n g of the Tokugawa p o l i t i c a l o r d e r . In

the attempt to break away from the framework of the e s t a b l i s h e d

p o l i t i c a l order, the ideologues were confronted by the problems

of f o r m u l a t i n g new concepts which would accommodate both the

 10

traditional Confucian s o c i a l values and the new t e c h n o l o g i c a l

knowledge from the V e s t . As w i l l be i n d i c a t e d l a t e r , a few

of the i n t e l l e c t u a l e l i t e s were s u c c e s s f u l i n producing new

political concepts. Others f a i l e d to accommodate the i d e a of

change and the i n t r o d u c t i o n of western learning into the

Confucian or Neo-Confucian framework of v a l u e s . This eventu-

a l l y r e s u l t e d i n the complete abandonment of the l a t t e r i n the

f o r m u l a t i o n of the new policies. The intellectual conversion

to western i d e a s by a few of the l a t e Tokugawa ideologues

i n d i c a t e s t h a t they were completely committed to the socio-

political t r a n s f o r m a t i o n of Japan even i f i t meant they had

to sever t h e i r t i e s w i t h the Confucian system of v a l u e s .

Another f a c e t of the i n t e l l e c t u a l t r a n s f o r m a t i o n which

occurred d u r i n g t h i s p e r i o d can be i l l u s t r a t e d by the shifts

i n the p a t t e r n of p r i o r i t i e s i n s e l e c t i n g the new l e a d e r s h i p .

C o n s i s t e n t w i t h the s u b o r d i n a t i o n of t r a d i t i o n a l social and

moral v a l u e s , the main emphasis was now p l a c e d upon j i t s u g a k u

or p r a c t i c a l learning. I t was important f o r the governing

elite to be f a m i l i a r w i t h the ever changing international

scene and to possess some knowledge of the supposedly s u p e r i o r

western science. Despite the observable change i n emphasis

f o r a new l e a d e r s h i p demanded by the i d e o l o g u e s , formidable

o b s t a c l e s were present which gave r i s e to a d i s p a r i t y between

the s t a t e d g o a l and the l i k e l i h o o d of i t s r e a l i z a t i o n . As

H.D. Harootunian p o i n t e d out:

 11

Two h u n d r e d y e a r s o f Tokugawa r u l e , e s s e n t i a l l y b a s e d
upon t h e p r i n c i p l e of h e r e d i t a r y r e c r u i t m e n t o f o f f i c i a l s ,
made i m p o s s i b l e any e f f o r t t o r e s t o r e a j i n s e i s t a f f e d by
a b l e a d m i n i s t r a t o r s w i t h i n the framework o f e s t a b l i s h e d
political practice. Nor c o u l d l a t e Tokugawa w r i t e r s r e a -
s o n a b l y s u p p o s e t h a t i t was any more p o s s i b l e t o r e t a i n
the t r a d i t i o n a l meaning o f j i t s u g a k u , e s p e c i a l l y when
c i r c u m s t a n c e s were o b l i g i n g men t o e q u a t e u t i l i t y w i t h
W e s t e r n t e c h n o l o g i c a l competence.* 3

The gradual shift in priorities by the ideologues away

f r o m the culturally defined goals of the Tokugawa shogunate

meant t h a t the ideologues were now engaging i n non-conforming

c o n d u c t and were c o n s e q u e n t l y subject to r e s t r a i n t s imposed

by the Tokugawa b u r e a u c r a c y . The important point to note here

is that the restrictive measures employed to discourage those

non-prescribed activities were open t o a c e r t a i n d e g r e e of

flexibility. As a r e s u l t i t took c o n s i d e r a b l e time before

the government a c t u a l l y c a r r i e d out the ultimate penalty of

beheading.

An analysis of the elite patterns within the Tokugawa

social structure leads to a c l o s e p a r a l l e l with Pareto s f

model

of e l i t e s . In h i s theory of the elites, Pareto asserted that

society can be divided i n t o e i t h e r the lower stratum, the non-

14
elite, or the superior stratum, the elite. The latter

H a r r y D. H a r o o t u n i a n , " J i n s e i , J i n z a i , and Jitsugaku:

S o c i a l V a l u e s and L e a d e r s h i p i n L a t e Tokugawa T h o u g h t , " i n B.
S i l b e r m a n and H. D. H a r o o t u n i a n ( e d s . ) , Modern J a p a n e s e L e a d e r
s h i p ( T u c s o n : The U n i v e r s i t y o f A r i z o n a P r e s s , 1966), p . 85.

14
V i l f r e d o Pareto, S o c i o l o g i c a l Writings (New York:
Frederick A. P r a e g e r , 1966), p . 51.
 12

category was f u r t h e r s u b - d i v i d e d i n t o the governing e l i t e and

the non-governing elite. The l a t e Tokugawa ideologues can be

subsumed under the category of the non-governing elite since

they had no d i r e c t r o l e i n the shogunate. A p o i n t of departure

from Pareto's e l i t e conceptual scheme occurs i n the case of the

non-governing e l i t e i n Tokugawa Japan i n that the "circulation

of e l i t e s " phenomena was absent. Pareto's concept of e l i t e

c i r c u l a t i o n accounted f o r the changes i n governing e l i t e member-

s h i p e i t h e r through the r e c r u i t m e n t of new members from the

lower stratum or through the establishment of the counter elite

t a k i n g over p o l i t i c a l command. The Tokugawa system of s o c i a l

c o n t r o l s p r o v i d e d f o r checks and balances which prevented the

f o r m a t i o n of an aggregate counter f o r c e . W i t h i n the governing

e l i t e s , however, the c i r c u l a t i o n of e l i t e s o c c u r r e d through

the development of a power s t r u c t u r e which Totman d e s c r i b e s as

follows:

In the bakufu, as i n seventeenth-century England, there

was no conceptual d i s t i n c t i o n between a d m i n i s t r a t o r s and
p o l i t i c i a n s , and the growth of an e l a b o r a t e bureaucracy at
Edo was accompanied by the development of an i n f o r m a l power
s t r u c t u r e , the v e r t i c a l c l i q u e , which accommodated s h i f t s
i n the locus of power and enabled a s i n g l e group of men to
c o n t r o l both p o l i t i c a l and a d m i n i s t r a t i v e f u n c t i o n s . The
r e s u l t a n t c l i q u e system of p o l i t i c s gave the bakufu enough
f l e x i b i l i t y to meet very adequately the p o l i t i c a l needs of
the Tokugawa house w i t h i n the framework of the Edo p e r i o d
s e c l u s i o n and c l a s s s t r u c t u r e . At the same time, however,
t h i s c l i q u e system encouraged bakufu o f f i c i a l s to l o s e s i g h t
of the u n d e r l y i n g p o l i t i c a l s t r u c t u r e of the bakufu system. 5 1

Conrad D. Totman, P o l i t i c s i n the Tokugawa Bakufu

(Cambridge: Harvard U n i v e r s i t y P r e s s , 1967), p. 256.
 13

The governing e l i t e s functioned within the political

and s o c i a l framework b a s e d on t r a d i t i o n a l l y established

Confucian values, and i t s o o n became e v i d e n t that structural

r e f o r m was necessary. The growing a w a r e n e s s by the m o d e r n i z i n g

elites o f the i n a b i l i t y of the C o n f u c i a n e l i t e s to deal with

the changing w o r l d p o l i t i c a l c l i m a t e was brought to the fore-

front of i n t e l l e c t u a l debate as a r e s u l t o f t h e Opium War in

18k0. The penetration o f C h i n a by w e s t e r n powers f o r m u l a t e d

the b a s i s f o r a l l future international relations i n the F a r

East and i t d i d n o t t a k e v e r y l o n g f o r t h e Tokugawa intellec-

tuals to r e a l i z e that Japan could no l o n g e r remain indifferent

to the r a p i d l y changing i n t e r n a t i o n a l situation. In contrast

to the dynamics of e x t e r n a l affairs, t h e Tokugawa shogunate

was bound by t h e s t a t i c a s p e c t s of Neo-Confucian doctrines.

As the c r i s i s f a c i n g J a p a n became more a c u t e , t h e o n l y action

t a k e n t o c o u n t e r t h e f o r e i g n f o r c e s was an e n d e a v o r t o empha-

size the main d i f f e r e n c e s between C h i n a and the "barbarian 0

countries, the r a t i o n a l e b e i n g based on t r a d i t i o n a l Confucian

moral obligations and doctrines.

From t h e t i m e t h a t H a y a s h i R a z a n (1583-1657) established

the Neo-Confucian s c h o o l i n Japan, the Hayashi f a m i l y succeeded

in their aim to maintain Neo-Confucianism from g e n e r a t i o n to

g e n e r a t i o n as t h e o f f i c i a l p h i l o s o p h y o f t h e Tokugawa shogunate.

Neo-Confucianism was specially authorized by the shogunate as

the s e i g a k u , or t r u e subject f o r s t u d y , and i t s profound influ-

ence on the l e a d i n g t h i n k e r s of the l a t e Tokugawa p e r i o d was

evident i n t h e i r p o l i t i c a l concepts. The Neo-Confucian s t r e s s

16
on fundamental r a t i o n a l i s m d i r e c t e d the i n t e l l e c t u a l s to

examine u n d e r l y i n g reasons or p r i n c i p l e s . The b a s i c frame of

r e f e r e n c e was Chu H s i and the Great L e a r n i n g which contained

the e t h i c a l teachings of Confucianism. An important aspect

of Chu H s i ' s thought was h i s d i s t i n c t i o n between l e g i t i m a c y

17
and i l l e g i t i m a c y of r u l e r s which had without doubt g r e a t l y

i n f l u e n c e d the a t t i t u d e s of the f o r e r u n n e r s to the M e i j i

Restoration. One other aspect of Chu H s i ' s p h i l o s o p h y which

served as a b a s i s f o r i d e o l o g i c a l growth was the emphasis

p l a c e d on moral o b l i g a t i o n s and human l o y a l t i e s . These char-

a c t e r i s t i c s examined i n c o n j u n c t i o n w i t h the exhaustive study

of h i s t o r y p r o v i d e d the f o u n d a t i o n f o r the f o r m u l a t i o n of new

p h i l o s o p h i c a l and p o l i t i c a l concepts as w e l l as a new sense of

d i r e c t i o n f o r the i d e o l o g u e s .

The adaptive and reforming processes of t r a d i t i o n a l

Japanese s o c i e t y d i d not commence w i t h the M e i j i R e s t o r a t i o n

of 1868 as we are sometimes l e d t o b e l i e v e , but these processes

were a l r e a d y e s t a b l i s h e d i n the v a r i o u s s e c t o r s of s o c i e t y

d u r i n g the l a t t e r p a r t of the Tokugawa e r a . The foundations

W. T. de Bary ( e d . ) , Sources of Japanese T r a d i t i o n ,

Vol. I (New York: Columbia U n i v e r s i t y P r e s s , 1 9 6 4 ) , p. 3 4 2 .

17
I b i d . , p. 3 4 3 .
 15

being gradually prepared, the m o d e r n i z i n g elites of the Meiji

e r a were a b l e to take advantage of the p r e - c o n d i t i o n s t o pave

t h e way for further societal transformations.

 CHAPTER I I

THE CONCEPTUAL FRAMEWORK

The g e n e r a l framework w i t h i n which we w i l l examine the

adaptive and t r a n s f o r m a t i o n processes of Japan i s best illus-

t r a t e d by a diagram l i k e F i g u r e 1 on the f o l l o w i n g page. In

t h i s scheme, the v e r t i c a l a x i s r e p r e s e n t s the d i v i d i n g line

between the Tokugawa and M e i j i p e r i o d s . This turning point

i n Japanese h i s t o r y i s o f f i c i a l l y documented as January 3»

1868. The h o r i z o n t a l a x i s i s merely a l i n e i n d i c a t i n g a d i v i -

s i o n with the i d e o l o g i e s of the time on one s i d e and the

e x i s t i n g system of government on the other. These are r e p r e -

sented by the symbols 1 and s r e s p e c t i v e l y . With r e f e r e n c e to

these datum l i n e s we s h a l l d i r e c t our a t t e n t i o n to the r e l a t i o n -

s h i p between the i d e o l o g i e s and the r u l i n g government structure

d u r i n g the l a t e Tokugawa and e a r l y M e i j i p e r i o d s . These are

s y m b o l i c a l l y represented as i l l u s t r a t e d i n F i g u r e 1.

With the g e n e r a l framework of the component elements of

s o c i e t a l change as i l l u s t r a t e d i n F i g u r e 1 i n mind, we will

s t a t e the f o l l o w i n g p r o p o s i t i o n and l a t e r examine h i s t o r i c a l

data to see what the s u p p o r t i n g evidences a r e . The p r o p o s i t i o n

The conceptual framework was formed d u r i n g the A s i a n

Studies 513 Seminar (Problems of Japanese I n t e l l e c t u a l H i s t o r y )
g i v e n at the U n i v e r s i t y of B r i t i s h Columbia d u r i n g I967-I968.
I am indebted to P r o f e s s o r ShGichi KatS f o r h i s suggestions
and c r i t i c a l comments.
 17

Pre 1868 Post

1 1,

2 2

1^ - Tokugawa Ideology

lg - Reform, Emperor Support, Nationalism

Ij - L o y a l t y to T r a d i t i o n a l Feudal Order

I 2 - New N a t i o n a l i s m

s - Tokugawa System of Government

S - M e i j i System of Government

Figure 1

CONCEPTUAL FRAMEWORK EMPLOYED TO STUDY THE

MODERNIZATION PROCESS OF JAPAN
 18

i s that the adaptive and transformation processes of modern

Japan had t h e i r roots f i r m l y established during the l a t e Tokugawa

period (1804-1867) and that the impetus to s o c i a l change was

not concentrated s o l e l y i n the p o s t - M e i j i R e s t o r a t i o n period.

For t h i s study, an accurate sampling procedure i n order to

o b t a i n r e p r e s e n t a t i v e h i s t o r i c a l data f o r a n a l y z i n g the ide-

o l o g i e s as w e l l as the i n d i v i d u a l s of the l a t e Tokugawa p e r i o d

i s the f i r s t problem which we encounter. The methodology

employed f o r t h i s study w i l l be e x p l a i n e d later.

1. Tokugawa Ideology and Feudal C o n t r o l

Under 1^, we have subsumed not only the Tokugawa i d e o l o g y

but a l s o those o r g a n i z a t i o n s or i n s t i t u t i o n s s p e c i a l l y insti-

tuted to perpetuate the f e u d a l order of Tokugawa Japan. When

we r e f e r to Tokugawa i d e o l o g y , we are not d i r e c t l y concerned

with the problem of how the bakufu o f f i c i a l s thought. Instead,

we are mainly i n t e r e s t e d i n the body of ideas employed as

g u i d e l i n e s by the bakufu f o r the execution of c e r t a i n p a t t e r n s

of behavior and i n "the c r e a t i o n of a cohesive group out of

3
more or l e s s d i v e r s e elements." The emergence of the political

philosophy based on Confucian e t h i c s , m o r a l i t y and loyalty

The dates represent the p e r i o d i n h i s t o r y i n which the

ideologues s e l e c t e d f o r t h i s study l i v e d .
3
Reinhard Bendix, Work and A u t h o r i t y i n Industry (New
York and Evanston: Harper and Row P u b l i s h e r s , Inc., 1 9 6 3 ) , p. 199.
 19

resulted as an a f t e r m a t h o f t h e p e r i o d of the Warring States

at which time Ieyasu sought t o r e s t o r e peace t o the n a t i o n *

At t h e same t i m e , I e y a s u established a highly centralized

social and p o l i t i c a l structure based on t h e C o n f u c i a n i d e a o f

a graded social order which enabled c o n t i n u e d Tokugawa rule

for o v e r two h u n d r e d and s i x t y five years. The d e v e l o p m e n t

of p o l i t i c a l thought d u r i n g t h e e a r l y d a y s o f t h e Tokugawa

period very c l o s e l y p a r a l l e l e d Mannheim s f

concept of ideology

in that i t was b o r n as a r e s u l t of p o l i t i c a l conflict and t h a t

"the r u l i n g group became so i n t e n s i v e l y interest-bound to a

situation that t h e y were no l o n g e r a b l e t o s e e c e r t a i n facts

k
which would undermine t h e i r sense of domination."

The guiding principles o f t h e Tokugawa s h o g u n a t e o r

c e n t r a l g o v e r n m e n t subsumed u n d e r l j c o n s i s t e d o f an accumu-

lation o f C o n f u c i a n p h i l o s o p h y as w e l l as a m i x t u r e of B u d d h i s t

and T a o i s t doctrines. The p h i l o s o p h y o f Chu H s i w h i c h came t o

be known as S h u s h i g a k u or Neo-Confucianism i n Japan provided

Ieyasu w i t h the b a s i c framework f o r e x e c u t i n g h i s a d m i n i s t r a t i v e

policies. David E a r l has noted that the p r i n c i p l e s o f t h e Chu

Hsi s c h o o l of Confucianism responded ideally t o t h e demands o f

t h e Tokugawa s t r a t i f i c a t i o n system. He d e s c r i b e s them i n t h e

following terms:

k
K a r l Mannheim, I d e o l o g y and U t o p i a (London: Routledge
and Kegan P a u l L t d . , 1954), p . 36.
 20

In h i s w r i t i n g s , Chu H s i s i n g l e d out f o r p a r t i c u l a r
a t t e n t i o n the p r i n c i p l e of f u l f i l l i n g one's duty or
o b l i g a t i o n . His argument r e v o l v e d around the nature of
righteousness which appeared among both the F i v e R e l a t i o n -
s h i p and the F i v e V i r t u e s . Righteousness between s o v e r e i g n
and s u b j e c t , from the viewpoint of the s u b j e c t , became Duty
or the o b l i g a t i o n of r e n d e r i n g l o y a l s e r v i c e to the sover-
eign. I t a l s o demanded, as a p r e r e q u i s i t e to t h i s , r e c -
o g n i t i o n of one's proper s t a t i o n or rank and a complete
d e d i c a t i o n to meeting the requirements connected with i t .
T h i s combination--knowing one's p l a c e and f u l f i l l i n g one's
o b l i g a t i o n to h i s s o v e r e i g n lord—summed up the e n t i r e
duty, or great Way, to be f o l l o w e d by a l l s u b j e c t s . 5

These p r i n c i p l e s were a l l i n c o r p o r a t e d i n the expression taigi

meibun, "the h i g h e s t duty of a l l " or "the h i g h e s t of a l l o b l i -

gations, that to the s o v e r e i g n " ^ and p a r a d o x i c a l l y , as we shall

see l a t e r , i t became the main d o c t r i n e f o r the r e s t r u c t u r i n g

of the Tokugawa system of values which e v e n t u a l l y l e d to the

R e s t o r a t i o n movement i n i t i a t e d by the i n t e l l e c t u a l s of the

Mito school and t h e i r s h i f t i n l o y a l t y from the shogun to the

Emperor.

The Tokugawa concept of l o y a l t y extended throughout the

h i e r a r c h i c a l s t r u c t u r e and was e s t a b l i s h e d to i n c u l c a t e l o y a l t y

to the shogunate. The patterned r e l a t i o n s h i p between the daimyo

and the shogun, the samurai to the daimyo or the v a s s a l s to the

l o r d , a l l demonstrated v a r i o u s forms of o b l i g a t i o n s one owed

to one's s u p e r i o r by v i r t u e of one's s o c i a l p o s i t i o n on the

Tokugawa s t a t u s s c a l e . Each person had an appointed p l a c e in

David M. E a r l , Emperor and Nation i n Japan: P o l i t i c a l

Thinkers of the Tokugawa P e r i o d ( S e a t t l e : U n i v e r s i t y of Washington
P r e s s , 19V*), p. 6.

6
Ibid.
 21

s o c i e t y , a h e r e d i t a r y p o s i t i o n i n the h i e r a r c h i c a l s t r u c t u r e

determined by one's b i r t h . The patterned r u l e s of conduct

became r i t u a l i z e d over time thereby s e c u r i n g s o c i a l stability

and ensuring the permanence of the e s t a b l i s h e d r u l e . Alternate

range of behaviors was s e v e r e l y l i m i t e d by l e g i s l a t i o n designed

to guard against the formation of c o n f l i c t i n g f o r c e s and also

7

by the s t r a t e g i c d i s p o s i t i o n of the daimyos. The strict ad-

herence to the r i t u a l i z e d p a t t e r n s of behavior prevented the

exchange of ideas between the v a r i o u s s t a t u s groups and as

such i t served as an e f f e c t i v e c o n t r o l mechanism to r e i n f o r c e

the f e u d a l i s t i c Tokugawa a d m i n i s t r a t i o n .

Another form of h i g h l y r i t u a l i z e d behavior and one which

was i n s t i t u t e d by the Tokugawa shogunate to act s p e c i f i c a l l y as

a political c o n t r o l device was the sankin k o t a i or system of

8

a l t e r n a t e attendance i n Edo. Under t h i s system, the daimyos

were r e q u i r e d to d i v i d e t h e i r time between the c a p i t a l and

The daimyos were c a t e g o r i z e d i n t o three c l a s s e s depend-

i n g on t h e i r r e l a t i o n to the main Tokugawa house. The shimpan
daimyos represented the branch han of the Tokugawa house and
c o n s i s t e d of f a m i l i e s r e l a t e d by blood. The tozama daimyos
comprised those l o r d s whose f a m i l i e s became l o y a l to the Tokugawa
house at the time of the B a t t l e of Sekigahara. The f u d a i daimyos
c o n s i s t e d those l o r d s whose ancestors were c l o s e l y a s s o c i a t e d
w i t h the bakufu, i n other words, the h e r e d i t a r y v a s s a l s . Quite
n a t u r a l l y , the f u d a i daimyos s t a f f e d the important p o s i t i o n s of
the shogunate. The f u d a i daimyo f i e f s were s t r a t e g i c a l l y i n t e r -
spersed among the tozama han.
8
Toshio G. T s u k a h i r a , Feudal C o n t r o l i n Tokugawa Japan:
The Sankin K o t a i System (Cambridge: Harvard U n i v e r s i t y P r e s s ,
1 9 6 6 ) , p. 1.
 22

t h e i r f i e f s a c c o r d i n g to a f i x e d schedule d e v i s e d by the shogun.

I t was r e q u i r e d by shogunal order that each daimyo e s t a b l i s h a

permanent r e s i d e n c e at the c a p i t a l f o r h i s wife and children.

The s t a t e p o l i c y f u r t h e r r e q u i r e d t h a t the wife and children

9
serve as s u r e t i e s while the daimyo r e t u r n e d to h i s f i e f . The

daimyos were thus burdened by the expense of t r a v e l l i n g between

t h e i r domain and c a p i t a l , the expense of m a i n t a i n i n g two resi-

dences, and furthermore, by the expenses i n c u r r e d i n m a i n t a i n i n g

formal r e l a t i o n s w i t h the bakufu, f o r example, the exchange and

p r e s e n t a t i o n of g i f t s and s p e c i a l p e r i o d i c o f f e r i n g s which was

c a r r i e d out a c c o r d i n g to a p r e s c r i b e d procedure. The obliga-

t i o n s imposed upon the daimyo by the shogunate p l a c e d an ex-

tremely heavy f i n a n c i a l burden on the daimyo and h i s han and

consequently served as an e f f e c t i v e c o n t r o l device to prevent

the daimyo from becoming a t h r e a t to the e s t a b l i s h e d order.

The r u l e s and r e g u l a t i o n s f o r proper conduct by the daimyos

were contained i n the Buke shohatto or "Regulations f o r the
10
M i l i t a r y Houses."

2. Reform Proposals and the Rise of N a t i o n a l i s m

With the p a s s i n g of time, c e r t a i n i n d i v i d u a l s w i t h i n

Tokugawa s o c i e t y came to q u e s t i o n the e x i s t i n g f e u d a l order.

7
I b i d . , p. 49.

10
R. P. Dore, Education i n Tokugawa Japan (Berkeley and
Los Angeles: U n i v e r s i t y of C a l i f o r n i a P r e s s , 1965), p. 9.
 23

The i d e o l o g u e s , t h e i r a c t i v i t i e s and new ideas are contained

under 1 g of our conceptual schema represented i n F i g u r e 1 .

T h i s phase of our i n v e s t i g a t i o n w i l l commence with the reform

p r o p o s a l s advanced by the c r i t i c s of the sankin k o t a i system.

The f i n a n c i a l burden p l a c e d upon the daimyo and h i s

11

f i e f by the sankin k o t a i system spread throughout the n a t i o n

and i t s adverse economic e f f e c t s became a matter of urgent

concern f o r the Tokugawa a u t h o r i t i e s . The leading i n t e l l e c t u a l s

of the Tokugawa p e r i o d , f o r example, Kumazawa Banzan (I6IO-I69I),

Ogyu S o r a i ( 1 6 6 6 - 1 7 2 8 ) , Muro Kyuso ( 1 6 5 8 - 1 7 3 * ) , Nakai Chikuzan

(1730-1829), and Matsudaira Sadanobu ( 1 7 5 8 - 1 8 2 9 ) were a l l out-

standing c r i t i c s of the sankin k o t a i system. Because they felt

t h e . f e u d a l r u l i n g c l a s s was becoming i n c r e a s i n g l y weaker, they

submitted numerous p r o p o s a l s f o r reform to the shogunate i n

order to r e v i t a l i z e the v a r i o u s s e c t o r s of the Tokugawa s o c i e t y .

As one example of suggested p o l i c i e s , Kumazawa*s p r o p o s a l s called

for the r e t u r n of the w a r r i o r c l a s s to the a g r i c u l t u r a l s e c t o r

and looked to the shogunal model of the Kamakura p e r i o d (1192-

1 2

1333) as a p r a c t i c a l s o l u t i o n . Furthermore, Kumazawa suggested

that the i n f l e x i b l e sankin k 5 t a i system be s l i g h t l y m o d i f i e d .

Kumazawa wanted to r e l a x the sankin k o t a i system as p a r t
of an o v e r a l l program which aimed at n o t h i n g l e s s than the

Edwin 0. Reischauer and John K. F a i r b a n k , East A s i a :

The Great T r a d i t i o n (Tokyo: Charles E. T u t t l e Company, I 9 6 2 ) ,
p. 608.
12
T s u k a h i r a , Feudal C o n t r o l i n Tokugawa Japan, p. 10k.
 2k

c o m p l e t e r e v o l u t i o n i z i n g o f t h e c u r r e n t s o c i a l and p o l i t i -
cal organization. I t was not enough, he b e l i e v e d , m e r e l y
t o r e d u c e the p e r i o d o f a t t e n d a n c e a t the c a p i t a l . Nothing
w o u l d be g a i n e d i f t h e daimyo and t h e i r r e t a i n e r s were
s i m p l y r e t u r n e d t o t h e p r o v i n c e s t o i n d u l g e i n i d l e n e s s and
extravagant l i v i n g . The w a r r i o r s s h o u l d be s e t t l e d on t h e
l a n d and r e s t o r e d t o t h e i r f o r m e r p o s i t i o n as f a r m e r -
soldiers (nohei). The economy o f the r u r a l a r e a s s h o u l d be
r e v i t a l i z e d by a l a n d p r o g r a m w h i c h w o u l d r e d i s t r i b u t e and
equalize peasant h o l d i n g s . The p u b l i c a u t h o r i t i e s — t h e
b a k u f u and the d a i m y o — s h o u l d use t h e i r r e s o u r c e s t o pay
o f f the d e b t s and m o r t g a g e s o f t h e p e a s a n t s . F i e l d s which
had b e e n s o l d s h o u l d be r e t u r n e d t o t h e i r o r i g i n a l owners,
i f t h e s e l l e r h a d l e s s l a n d t h a n the b u y e r . T h i s done, t h e
n e x t s t e p w o u l d be t o s e t t l e t h e w a r r i o r c l a s s on the l a n d
among t h e p e o p l e t h e y r u l e d , i n s t e a d o f k e e p i n g them s e g r e -
gated i n c a s t l e towns. 3 1

Needless to say, Kumazawa's r e c o m m e n d a t i o n s were i g n o r e d by the

shogunate t h o u g h t h e y d i d have a p r o f o u n d impact on the reform

formulations advanced l a t e r by Ogyu" S o r a i and Yokoi Shonan.

The social r e f o r m p r o g r a m o u t l i n e d by Ogyu c l o s e l y r e s e m b l e d

those p o l i c i e s a d v a n c e d by Kumazawa. Ogyu, i n h i s r o l e as a

scholar and advisor to the shogunate, a l s o recommended t h a t the

warrior c l a s s be returned to the land.

In contrast t o Kumazawa and Ogyu*s scheme t o m o d i f y the

existing sankin k5tai system, Muro Kyuso a d v i s e d his Shogun

Yoshimune not t o make any adjustment to the established proce-

dure of a l t e r n a t e attendance to the capital. The reason given

by Muro was that the sankin k o t a i had become a s y s t e m o f highly

ritualized b e h a v i o r and a symbol of a u t h o r i t y that any change

w o u l d have s e r i o u s e f f e c t s on the Tokugawa o r d e r . In this

1 3

I b i d . , p. 106.
i n s t a n c e a l s o , the shogun d i s r e g a r d e d the recommendations and

proceeded to modify the sankin k o t a i schedule. The policies

advocated by the other reformers were a l l considered to be too

r a d i c a l f o r immediate i m p l i m e n t a t i o n and were consequently

suppressed by the bakufu.

A concomitant development with the i n c r e a s i n g concern

with the problems of daimyo and han f i n a n c e s and the widespread

nature of g e n e r a l economic d i s c o n t e n t was that the bakufu was

confronted by e x t e r n a l p r e s s u r e s to open the country to f o r e i g n

intercourse. The i n a b i l i t y of the Tokugawa shogunate to f u l -

fill the requirements of s o c i e t y produced a group of i n t e l l e c -

t u a l s who advocated a systematic f o r m u l a t i o n f o r the r e s t o r a t i o n

of the I m p e r i a l regime. T h i s c o l l e c t i v i t y which came to be

known as the sonno-joi or "Revere the Emperor, Repel the F o r -

e i g n e r s " f a c t i o n c o n s i s t e d of the s c h o l a r s of the Mito s c h o o l

such as F u j i t a Yukoku (1773-1826), h i s son F u j i t a Toko (1806-

1855), Aizawa S e i s h i s a i (1782-1863), and Lord N a r i a k i (1800-

1860). The Mito s c h o o l philosophy s t r e s s e d the "emperor-directed

lk

aspect of p a t r i o t i s m " and even advocated the use of m i l i t a r y

f o r c e to oppose the f o r e i g n t h r e a t . Aizawa S e i s h i s a i "succeeded

i n i n t e g r a t i n g the Mito viewpoint on Confucianism, Shinto, t a i g i

meibun, and the e s s e n t i a l s of p a t r i o t i s m " * -* and h i s book Shinron

E a r l , Emperor and Nation i n Japan, p. 88.

15
Ibid.
 26

(A New P r o p o s a l ) became t h e t e x t r e p r e s e n t i n g the M i t o politi-

cal philosophy. Aizawa emphasized the r o l e o f t h e Emperor and

asserted that t h e Emperor must regain control of the leadership

t o w h i c h he was entitled.

A point of view c o n t r a r y t o the M i t o s c h o o l p h i l o s o p h y

described i n t h e f o r e g o i n g h a s been a d v a n c e d by A l b e r t Craig.

I t h a s been documented by C r a i g t h a t the Mito concept of kokutai

or n a t i o n a l p o l i t y affirmed the h i e r a c h i c a l social order of

Tokugawa s o c i e t y but t h a t the Mito school f a i l e d to specify

whether the primacy of l o y a l t y s h o u l d be d i r e c t e d to the daimyo

or to the Emperor:

. . . t h e M i t o s c h o o l n e v e r made c l e a r w h i c h l o y a l t y was
p r i m a r y o r what s h o u l d be done i f t h e d i f f e r e n t c l a i m s were
to c o n f l i c t . T h i s l a c k o f c l a r i t y was o f c r u c i a l i m p o r t a n c e .
Had t h e daimyo*s c l a i m t o l o y a l t y been p r i m a r y , t h e n t h e
s t r u g g l e s o f , and w i t h i n , t h e h a n , w h i c h c o n s t i t u t e d t h e
sonno movement, w o u l d h a v e l a c k e d a l e g i t i m a t i n g p r i n c i p l e ,
and t h e i r outcome w o u l d n o t have b e e n a c c e p t e d by t h e n a t i o n
at l a r g e . On t h e o t h e r h a n d , h a d l o y a l t y t o t h e Emperor
b e e n p r i m a r y , t h e M i t o s y n t h e s i s w o u l d have b e e n r e j e c t e d
outright.

T h i s ambiguity i n the Mito p h i l o s o p h y c o n c e r n i n g the

c e n t r a l v a l u e o f t h e Tokugawa e t h i c e n a b l e d g r o u p s w i t h
r a d i c a l l y d i f f e r e n t o r i e n t a t i o n s to accept v a r i a t i o n s of the
same i d e o l o g y . I n t h e c o u r s e o f t h e Bakumatsu p e r i o d t h i s
p r o v e d t o be v e r y u s e f u l t o t h e a n t i - B a k u f u han. ** 1

These statements indeed i l l u s t r a t e the ambiguity i n the Mito

p h i l o s o p h y ; however, i t must be n o t e d that t h e new p h i l o s o p h y of

A l b e r t M. C r a i g , ChSshn i n t h e M e i j i R e s t o r a t i o n
( C a m b r i d g e : H a r v a r d U n i v e r s i t y P r e s s , 1961), p p . 152-53.
 27
the l a t e r Mito s c h o o l , as evidenced i n the w r i t i n g s of Aizawa

S e i s h i s a i f o r example, l e f t little doubt that l o y a l t y and fil-

i a l p i e t y were both o r i e n t e d i n the d i r e c t i o n of the Emperor.

In h i s Shinron, Aizawa e l a b o r a t e d on the theory of k o k u t a i

a c c o r d i n g to which a l l the Japanese people were r e l a t e d to the

head or the i m p e r i a l household. With the Emperor p l a c e d i n

the s a c r e d p o s i t i o n as head of the f a m i l y , he became the s u -

preme o b j e c t and r e c e p t o r of l o y a l t y and f i l i a l piety.

T h i s s h i f t i n emphasis of l o y a l t y and f i l i a l piety from

the daimyo to the Emperor r e s u l t e d i n p a r t from a re-examina-

t i o n of the t a i g i meibun concept. Another f a c t o r was that

d u r i n g the l a t e Tokugawa p e r i o d , the concept of l o y a l t y became

much more impersonal than i n p r e v i o u s p e r i o d s , and consequently

the p r a c t i c e of l o y a l t y and f i l i a l p i e t y became n o t h i n g more

than a r i t u a l .

C r a i g has noted that l o y a l t y to the daimyo became " l o y -

a l t y to a s t a t u s r a t h e r than p e r s o n a l l o y a l t y to an i n d i v i d u a l " *

and that i t was t h i s d i s t i n c t i v e aspect which allowed f o r the

s h i f t i n loyalty pattern.

Another c o l l e c t i v i t y of i n t e l l e c t u a l s which we have sub-

sumed under l g c o n s i s t s of the supporters of the kobu g a t t a i ,

a concept which c a l l e d f o r the u n i f i c a t i o n of the c i v i l author-

ity represented by the I m p e r i a l Court and the m i l i t a r y authority

I b i d . , p. 148.
 28
18
represented by the Tokugawa shogunate. The reform p o l i c i e s

of t h i s group were more moderate than those advanced by the

sonno-joi scholars. A very seldom noted c h a r a c t e r i s t i c of the

kobu g a t t a i group was that i t s advocates c o n s i s t e d of two

factions:

... those who aimed at the p r e s e r v a t i o n and f a c e -

s a v i n g of the Bakufu and were hoping to broaden i t s base;
and those who d e s i r e d to r e s t o r e the power of the emperor,
but were w i l l i n g that the Bakufu should continue i f i t
proved i t s l o y a l t y . ^

I t i s of some s i g n i f i c a n c e to note that the l e a d i n g spokesman

f a v o r i n g the union of c i v i l and m i l i t a r y a u t h o r i t i e s was Sakuma

Shozan f o r i t was Sakuma who saw the c o m p a t i b i l i t y of the

Confucian e t h i c s and Western technology i n order to s o l v e the

economic and m i l i t a r y weaknesses of the country. His political

philosophy was summed up i n h i s famous slogan "Toyo no dotoku,

20

Seiyo* no G e i j u t s u " ("Eastern e t h i c s and Western s c i e n c e " ) .

I f we list a few of Sakuma's d i s c i p l e s who became the leading

i n t e l l e c t u a l s of the l a t e Tokugawa and M e i j i p e r i o d s , we have

Kato H i r o y u k i , Katsu Kaishu, Nishimura S h i g e k i , Tsuda Masamichi,

and Yoshida Shoin.

H e r s c h e l Webb, The Japanese I m p e r i a l I n s t i t u t i o n i n

the Tokugawa P e r i o d (New York: Columbia U n i v e r s i t y P r e s s , 1968),
P. 259.
19
E a r l , ©£. c i t . , p. 194.
20
T h i s e x p r e s s i o n has been t r a n s l a t e d i n numerous ways.
Dotoku can be t r a n s l a t e d as m o r a l i t y , morals, or moral p r i n c i p l e s .
G e i j u t s u l i t e r a l l y means a r t , or the a r t s . Gakugei meaning a r t s
and s c i e n c e has been used i n s t e a d of g e i j u t s u i n some t e x t s .
 29

The f i n a l group of l a t e Tokugawa ideologues to be sub-

sumed under l g of our c a t e g o r i z a t i o n scheme c o n s i s t s of those

i n t e l l e c t u a l s who advocated the complete a b s o r p t i o n of Western

c i v i l i z a t i o n i n order to e n r i c h and strengthen t h e i r n a t i o n .

These s c h o l a r s of Western c u l t u r e were not content w i t h the

mere adoption of Western technology and c a l l e d f o r p r a c t i c a l

s o l u t i o n s to the economic and p o l i t i c a l problems through West-

ern s t u d i e s . T h e i r emphasis on r e s e a r c h p r o v i d e d the stimulus

to e s t a b l i s h a system of education based on rangaku or Dutch

21 _
studies. S c h o l a r s such as Maeno Ryotaku, S u g i t a Genpaku, and

Takano Choei r e p r e s e n t e d t h i s p h i l o s o p h y d u r i n g the Tokugawa

p e r i o d while Fukuzawa Y u k i c h i became i t s p r i n c i p a l advocate

d u r i n g the M e i j i p e r i o d .

The consciousness of n a t i o n a l i s m grew along w i t h the

s h i f t i n l o y a l t y from the bakufu to the Emperor as demonstrated

by the s o n n o - j o i movement. T h i s development i n n a t i o n a l i s m was

c h a l l e n g e d by the s c h o l a r s of the kobu g a t t a i theory and fol-

lowers of Dutch s t u d i e s . However, the f i n a l outcome was that

as f o r e i g n p r e s s u r e i n c r e a s e d , so d i d the f e e l i n g of n a t i o n a l
22

consciousness. Those i n t e l l e c t u a l s who t r i e d to s o l v e the

n a t i o n a l problems through Western l e a r n i n g f a i l e d m i s e r a b l y ,

Japanese N a t i o n a l Commission f o r UNESCO, 3>he Role of

E d u c a t i o n i n the S o c i a l and Economic Development of Japan
(Tokyo: I n s t i t u t e f o r Democratic E d u c a t i o n , 1 9 6 6 ) , p. 3 2 8 .
22
I b i d . , p. 3 3 0 .
 30
e i t h e r ending up i n p r i s o n or d i e d . The most s i g n i f i c a n t

r e s u l t of the i n t e l l e c t u a l movements of the l a t e Tokugawa

p e r i o d was that they had profound i n f l u e n c e on the s c h o l a s t i c ,

i n t e l l e c t u a l , and p o l i t i c a l l e a d e r s of the subsequent generation.

As John Whitney H a l l has observed:

In the f i n a l a n a l y s i s , i t may w e l l have been the growth

of n a t i o n a l i s m d u r i n g the Tokugawa p e r i o d which, more than
any other f a c t o r , was to account f o r Japan's s u c c e s s f u l
t r a n s f o r m a t i o n i n t o a powerful modern s t a t e . ^ 2

3. The Tokugawa System of Government

The component elements c o n s t i t u t i n g the Tokugawa system

of government have been represented by the symbol s i n F i g u r e 1.

F i g u r e 2 on the f o l l o w i n g page p o r t r a y s t h i s f e u d a l administra-

t i o n system. At the apex of the h i e r a r c h y was the Emperor and

h i s Imperial Court which served as a symbol which l e g i t i m i z e d

the vast powers of a u t h o r i t y e x e r c i s e d by the shogun. The

bakufu proper was composed of a h i e r a r c h i c a l s t r u c t u r e c o n s i s t -

i n g of the shogun and the p r i n c i p a l bakufu o f f i c i a l s . I t has

been r e p o r t e d by Totman that there were some two hundred and

s e v e n t y - f i v e d i f f e r e n t o f f i c i a l p o s i t i o n s i n the bakufu bureauc-

Zk

racy and that these o f f i c e s were mainly s t a f f e d by the v a s s a l

daimyo and l i e g e v a s s a l s . Membership to the two p o l i c y making

23
John Whitney H a l l , Tanuma Okitsugu (1719-1788): F o r e -
runner of Modern Japan (Cambridge: Harvard Unxversxty P r e s s ,
1955), P. 12.
Zk
Totman, P o l i t i c s i n the Tokugawa Bakufu, p. ko.
 31

E?MPEROR

I m p e r i a l Court

Envoys t o the bakufu

(buke denso)

Kyoto Deputy (KySto s h o s h i d a i )

Envoys t o the Court (kinrizuki)

Daimyo of Takamatsu

Masters of Court Ceremony (koke)

SHOGUN

( P r i n c i p a l bakufu officials)

Shogunal Liege Fudai Shimpan Tozama

household vassals daimyo daimyo daimyo
members

FIGURE 2
29
TOKUGAWA GOVERNMENT STRUCTURE

29
Totman, P o l i t i c s i n the Tokugawa Bakufu, pp. "}k & 38.
bodies c o n s i s t i n g of the r o j u (Senior C o u n c i l o r s ) and waka-

doshiyori ( J u n i o r C o u n c i l o r s ) was by appointment. Only the

25
heads of the shimpan and f u d a i houses were e l i g i b l e . The

most important bakufu o f f i c e s are l i s t e d i n Appendix A.

The maintenance of formal l i n k a g e between the I m p e r i a l

Court and the bakufu was a c l e v e r l y d i s g u i s e d yet extremely

important aspect of the Tokugawa a d m i n i s t r a t i o n i n the p e r -

formance of i t s l e g i t i m i z i n g f u n c t i o n . The t r a n s m i s s i o n of

information, o f f i c i a l r e q u e s t s , and r i t u a l g r e e t i n g s was

conducted through a number of e s t a b l i s h e d channels such as

26
the buke denso or envoys to the bakufu, the Kyoto s h o s h i d a i
or the bakufu o f f i c i a l i n Kyoto, the k i n r i z u k i or envoys to
the Court, the daimyo of Takamatsu who "had the t r a d i t i o n a l

f u n c t i o n of j o u r n e y i n g to Kyoto, a f t e r court appointment of a

27
new shogun, to express Tokugawa g r a t i t u d e , " and the masters

of Court ceremony who "handled r i t u a l shogunal p i l g r i m a g e s to

Kyoto or other p l a c e s of i m p e r i a l consequence, r e c e i v e d the

i m p e r i a l envoys to the bakufu, and handled other ceremonies

at Edo." 2 8

At the f o l l o w i n g l e v e l of Tokugawa a d m i n i s t r a t i o n , we

have the s t r u c t u r e of the han government. Here the daimyo was

l o c a t e d at the apex of the h i e r a r c h i c a l framework f o l l o w e d by

the toyaku or gyosho (Accompanying E l d e r ) , kahanyaku or karoshu

25
Dore, E d u c a t i o n i n Tokugawa Japan, p. 9.
26 27 28

Totman, op_. c i t . , p. 38. ' I b i d . , p. 39. Ibid.

 33
(Council o f E l d e r s ) , and the toshoku or kokusho (Han Adminis-

trative Elder), a l l located at approximately the same level

30
o f power. Under these offices were t h e Edo Administrative

Offices and the Han Administrative Offices. The Council of

E l d e r s a t f i r s t d e a l t w i t h a l l o f t h e han p r o b l e m s t h o u g h by
the end o f the Tokugawa p e r i o d i t s f u n c t i o n had become l i m i t e d
to advice alone. At the same t i m e , t h e Han Administrative

Elder "came t o i n c l u d e virtually a l l of the officials continu-

31
ously i n residence i n the han" and consequently the position

became more p o w e r f u l than that of the A c c o m p a n y i n g E l d e r , which

as the title i n d i c a t e s , "accompanied the daimyo, whether i n Edo

32

o r i n the han."

A n o t h e r component of the Tokugawa s y s t e m o f government

consisted of the liege vassals. According t o Totman, the

bakufu o f f i c i a l s were m o s t l y l i e g e v a s s a l s and they occupied

"all but the top s i x t y o r so p o s i t i o n s , a b o u t 17,000 o f them

p e r f o r m i n g the government*s m i l i t a r y , a d m i n i s t r a t i v e , ceremonial,

33
and attendant function." Very l i t t l e information is avail-

able concerning the r e l a t i o n s h i p of the liege vassals to the

bakufu though the f o l l o w i n g d e s c r i p t i o n of the liege vassals

may be h30e l p f u l i n _
our u n d e r s t a n d i n g o f t h e t e r m .
C r a x g , Choshu i n the M e i j i R e s t o r a t i o n , p . 109.
31 .,TU 32
J
Ibid. J
Ibid.
33
Totman, P o l i t i c s i n the Tokugawa B a k u f u , p . 131
 3*
U s u a l l y l i e g e v a s s a l s are i d e n t i f i e d as bannermen
(hatamoto) and housemen (gokenin), but d u r i n g the l a t e r
Edo p e r i o d n e i t h e r the meaning nor relevance of these
t i t l e s was c l e a r even to bakufu o f f i c i a l s . The p r e f e r r e d
d e f i n i t i o n i n d i c a t e d that l i e g e v a s s a l s w i t h a s t r i c t l y
t h e o r e t i c a l (and f u n c t i o n a l l y i r r e l e v a n t ) " r i g h t of
shogunal audience" (omemie) were bannermen, whereas others
were the i n f e r i o r housemen. Another d e f i n i t i o n i n d i c a t e d
that bannermen were l i e g e v a s s a l s w i t h a r i g h t t o e n r o l l -
ment i n the f i v e e l i t e guard u n i t s (ban), whereas housemen
were those without t h i s right.-' ' 4

Totman i n another p l a c e very c a u t i o u s l y i n d i c a t e s that much of

his d e s c r i p t i v e study i s s u b j e c t t o m o d i f i c a t i o n as more i n f o r -

mation becomes a v a i l a b l e . F o r our purposes, i t w i l l suffice

to note that the l i e g e v a s s a l s i n the bakufu c o n s i s t e d of "two

fundamental c a t e g o r i e s , those w i t h bakufu o f f i c e and those

without." 3 5

The remaining sub-component of the Tokugawa adminis-

t r a t i v e system contained under s of our conceptual schema

indicated i n Figure 1 i s the shogunal household which c o n s i s t e d

of a s t r u c t u r a l o r g a n i z a t i o n of lady o f f i c i a l s . The house-

hold provided the means of access t o the shogun because i t was

"composed of l a d i e s drawn from the court a r i s t o c r a c y and from

f a m i l i e s i n every major w a r r i o r group ( l i e g e v a s s a l and v a s s a l ,

37
r e l a t e d and outside daimyo)."

The various o f f i c e s c o n s t i t u t i n g the bakufu and han

administrative s t r u c t u r e as d e s c r i b e d b r i e f l y i n the f o r e g o i n g

3
* * I b i d . , pp. 131-32. 3 5
I b i d . , p. 132,
36 37
I b i d . , p. 37. Ibid.
 35
came t o be known as t h e bakuhan s y s t e m . These offices were

vertically linked through a system of h i g h l y ritualized prac-

tices based on N e o - C o n f u c i a n principles.

4. P o s t R e s t o r a t i o n E l i t e s .

With r e f e r e n c e to F i g u r e 1, we have t h r e e components

represented by 1^, 1^, and S i n t h e p o s t M e i j i Restoration

phase o f o u r c o n c e p t u a l schema. F o r the purposes of this

s t u d y , we need not e l a b o r a t e on t h e d i m e n s i o n s of I j which

represents t h o s e s u b j e c t s who still m a i n t a i n e d some d e g r e e of

loyalty to the t r a d i t i o n a l feudal o r d e r as t h e s e p e o p l e were

now e x t r e m e l y few i n number and rendered p r a c t i c a l l y impotent

by t h e d y n a m i c s of the M e i j i Restoration. Consequently, we

are primarily interested i n the I 2 and S components w h i c h rep-

resents the p o s t M e i j i intellectuals and t h e modern s y s t e m o f

government respectively.

C a t e g o r y I g c o m p r i s e d two groups of i n t e l l e c t u a l s , the

practical intellectual e l i t e s who were m a i n l y c o n c e r n e d w i t h

the political p r o c e s s o f t h e new Meiji b u r e a u c r a c y and the

literary intellectual e l i t e s who were a c t i v e i n the enlighten-

ment movements s u c h as t h e M e i r o k u s h a . The f o r m e r g r o u p made

an a t t e m p t to r e s t r u c t u r e the p o l i t i c a l , economic, and social

framework by i n c o r p o r a t i n g new i d e a s based on t h e i r knowledge

of W e s t e r n institutions. These p r a c t i c a l intellectuals imme-

diately realized the n e c e s s i t y t o d e v e l o p t h e home i n d u s t r y and

 36
to r a i s e the economy of the n a t i o n . The recommended course to

f o l l o w was the complete adoption of Western technology and the

r e s t r u c t u r i n g of s o c i e t y by r e p l a c i n g the f e u d a l regulations

and han system with the more c e n t r a l i z e d p r e f e c t u r a l form of

government. Initial steps i n t h i s d i r e c t i o n toward a more

c e n t r a l i z e d form of a d m i n i s t r a t i o n occurred on June 11, 1868

w i t h the promulgation of the S e i t a i s h o which o u t l i n e d Japan's

first systematic p l a n f o r government. In a d d i t i o n to spec-

i f y i n g l o c a l administrative procedures to be adhered to by the

daimyS, the Seitaisho

... o b l i g e d the daimyo to accept r e s t r i c t i o n s on

t h e i r freedom of a c t i o n by v i r t u e of the f a c t that they
now e x i s t e d under a c o n s t i t u t i o n a l document promulgated
by the emperor. Moreover, t h i s document f o r the f i r s t
time c l a r i f i e d i n l e g a l terminology the daimyo's l o c a l
powers and a u t h o r i t i e s , and made p r o v i s i o n f o r the cen-
t r a l government to i n t e r f e r e i n the a f f a i r s of the daimyo
domain, p r i m a r i l y i n f i s c a l matters. In other words, the
l o c a l t e r r i t o r i e s were now t r e a t e d as though they were
u n i t s of a c e n t r a l a d m i n i s t r a t i o n . 39

I t was not u n t i l August 29, 1871, however, that the f i n a l step

of the haihan chiken or "the a b o l i t i o n of the han and estab-

ko

lishment of p r e f e c t u r e s " was achieved. T h i s achievement was

r e a l i z e d l a r g e l y through the l e a d e r s h i p p r o v i d e d by Okubo

O Q
J
John W. H a l l , "From Tokugawa to M e i j i i n Japanese
L o c a l A d m i n i s t r a t i o n , " i n J . W. H a l l and Marius B. Jansen ( e d s . ) ,
Studies i n the I n s t i t u t i o n a l H i s t o r y of E a r l y Modern Japan
( P r i n c e t o n : P r i n c e t o n U n i v e r s i t y Press, 1968), p. 381.
3 9
Ibid.
ko
Masakazu Iwata, Okubo T o s h i m i c h i , The Bismarck of Japan
(Berkeley and Los Angeles: U n i v e r s i t y of C a l i f o r n i a P r e s s , 1 9 6 k ) ,
p. 1*3.
 37
Toshimichi and Kido Koin who were able to convince Saigo

Takamori and h i s b r o t h e r . Tsugumichi, Oyama Iwao, Yamagata

41

Aritomo, and Inoue Kaoru that the haihan chiken and the new

political s t r u c t u r e with c e n t r a l i z e d government c o n t r o l o f f e r e d

the best s o l u t i o n to d e a l with the han economic s i t u a t i o n . It

should be noted that the members present at the haihan chiken

d e l i b e r a t i o n s c o n s i s t e d mainly of the R e s t o r a t i o n l e a d e r s who

were able to i n f l u e n c e the events of the time. A further

i n d i c a t i o n of the c a l i b e r of these l e a d e r s can be seen i n the

composition of the Iwakura m i s s i o n of December 21, 1871 that

l e f t f o r the U n i t e d S t a t e s and Europe on t r e a t y matters. It

was headed by J u n i o r Prime M i n i s t e r Iwakura Tomomi, Finance

M i n i s t e r Okubo T o s h i m i c h i , State C o u n c i l o r Kido K o i n , Vice

M i n i s t e r of P u b l i c Works I t o Hirobumi, and V i c e M i n i s t e r of

k2

F o r e i g n A f f a i r s Yamaguchi Naoyoshi.

I t i s beyond the scope of t h i s chapter to comment on

the c o n t r i b u t i o n s made by a l l of the M e i j i p o l i t i c a l l e a d e r s

who formulated and e x e r c i s e d v a r i o u s p o l i c i e s . I f we l i s t a
few of the more prominent p o l i t i c a l e l i t e s subsumed under Igt
we have the e l e c t e d members of the Sanshoku or the three offices
43

of government J
composed of a nucleus of ten members. This

o l i g a r c h y which was conceived by Okubo i n an e f f o r t to concen-

t r a t e the powers of a u t h o r i t y i n a s m a l l e r more workable group

^ I b i d . , pp.
1
144-45. * * I b i d . , p. 154.
2
* * I b i d . , p.
3
130,
 38
kk

than the S e i t a i s h o government c o n s i s t e d of the following:

Sanjo Sanetomi, Iwakura Tomomi, T o k u d a i j i Sanenori, Nabeshima

Naomasa, Higashikuze M i c h i t o m i , Kido Koin, Goto S h o j i r o ,

Soejiraa Taneomi, I t a g a k i T a i s u k e , and Skubo Toshimichi.

The second group of i n t e l l e c t u a l s of the post M e i j i

R e s t o r a t i o n p e r i o d c o n s i s t e d of the l i t e r a r y intellectual

e l i t e s who were i n s t r u m e n t a l i n the formation of the Meirokusha

45

or the " S i x t h Year of M e i j i S o c i e t y , " J

a literary association

which encouraged Western s t u d i e s through l e c t u r e s and p u b l i -

c a t i o n s such as the Meiroku Zasshi ( M e i j i Six J o u r n a l ) * This

group comprised those i n f l u e n t i a l and p r o g r e s s i v e scholars

such as Fukuzawa Y u k i c h i , Kato H i r o y u k i , Mori A r i n o r i , Tsuda

Masamichi, N i s h i Amane, Nishimura S h i g e k i , and Nakamura Masanao

Although t h i s group c o n s i s t e d of p r o l i f i c w r i t e r s and was best

known as a l i t e r a r y s o c i e t y , i t i s perhaps more a p p r o p r i a t e to

describe t h e i r c o l l e c t i v i t y of s c h o l a r s f o l l o w i n g Irwin

Scheiner as "a s o c i e t y of i n t e l l e c t u a l s i n t e r e s t e d i n Western-

ization . . . to study Western knowledge i n a l l i t s forms i n

46
order to see how a p p l i c a b l e i t was f o r Japan."
44
Ibid.
45
John K. F a i r b a n k , Edwin 0. Reischauer, A l b e r t M. C r a i g
East A s i a : The Modern T r a n s f o r m a t i o n (Tokyo: Charles E. T u t t l e
Co., 19o"5), p. 273.
46
Irwin Scheiner, " C h r i s t i a n Samurai and Samurai Values,
i n B. S. Silberman and H. D. Harootunian ( e d s . ) , Modern Japanes
Leadership, p. 177.
 39

5 . M e i j i System of Government

The Tokugawa system of government was officially abol-

i s h e d on January 3» 1 8 6 8 and i n i t s p l a c e the Sanshoku or the

47

three o f f i c e s of the c e n t r a l government was established i n

Kyoto. I t was a p r o v i s i o n a l government headed by the Sosai or

President and a s s i s t e d by the G i j o or Senior C o u n c i l o r s , and

Sanyo or J u n i o r C o u n c i l o r s . P r i n c e Arisugawa f i l l e d the p o s i -

t i o n of Sosai and the G i j o p o s i t i o n s were f i l l e d by the l e a d i n g

48
daimyos of A k i , E c h i z e n , Owari, Satsuma, and Tosa. The Sanyo
was composed of the R e s t o r a t i o n l e a d e r s Iwakura Tomomi, Okubo
— — 49

Toshimichi, Saigo Takamori, and Goto S h o j i r o . The afore-

mentioned members formed the f i r s t government.

On A p r i l 6 , 1 8 6 8 , the l e a d e r s of the new M e i j i govern-

ment o u t l i n e d t h e i r fundamental p o l i c i e s i n the Gokajo no

Goseimon or Charter Oath. I t was f i r s t d r a f t e d by Y u r i Kimimasa,

- 50
c o r r e c t e d by Fukuoka K o t e i and l a t e r r e - d r a f t e d by Kido Koin.

47
W. W. McLaren ( e d . ) , "Japanese Government Documents,"
T r a n s a c t i o n s of the A s i a t i c S o c i e t y of Japan, V o l . X L I I , Part 1
(Tokyo: The A s i a t i c S o c i e t y of Japan, 1 9 1 4 ) , p. x x x i i i .
48
I b i d . , p. xxxiv.

49
Iwata, Okubo T o s h i m i c h i , p. 112.
50
Joseph P i t t a u , P o l i t i c a l Thought i n E a r l y M e i j i Japan
1868-1889 (Cambridge: Harvard U n i v e r s i t y Press, I 9 6 7 ) , pp. 1 2 - 1 3 .
 ko

The p o l i t i c a l l e a d e r s were g r e a t l y i n f l u e n c e d by the works

of the Meirokusha i n t e l l e c t u a l s , f o r example, N i s h i Amane's

Bankoku Koho ( I n t e r n a t i o n a l Law), Tsuda Masamichi's T a i s e i

Kokuhgron ( P u b l i c Law i n the West), and Fukuzawa Yukichi's

Seiyo J i j o (Conditions of the West). The p a r l i a m e n t a r y

concept of the executive and l e g i s l a t i v e f u n c t i o n s was a l r e a d y

f a m i l i a r to the Meirokusha i n t e l l e c t u a l s and N i s h i Amane f o r

one had proposed the f o l l o w i n g i n h i s d r a f t c o n s t i t u t i o n :

He proposed a t h r e e f o l d d i v i s i o n of power i n t o what he

c a l l e d the r i g h t s of the c o u r t , the r i g h t s of the bakufu,
and the r i g h t s of the daimyo. L e g i s l a t i v e power was vested
i n two h o u s e s — a n upper house composed of l e a d i n g daimyo
and a lower house made up of samurai from each han. Leg-
i s l a t i o n would be submitted to the bakufu which would
r e t a i n "executive power over the whole country." The
bakufu would present laws to the court f o r s a n c t i o n , but
the court would not have the power t o v e t o . I n t h i s way,
a f t e r r e t u r n i n g the government to the emperor through the
p r i n c i p l e of the s e p a r a t i o n of powers, the bakufu could
protect i t s real authority.^ 2

The S e i t a i s h o which was p r o c l a i m e d on June 11, 1868

o u t l i n e d the b a s i c s t r u c t u r e of the second o r g a n i z a t i o n of the

government. The S e i t a i s h o e s t a b l i s h e d the Dajokan or C o u n c i l

of State which was d i v i d e d i n t o seven departments comprising

the D e l i b e r a t i v e Assembly which was d i v i d e d i n t o an Upper and a

Lower House, O f f i c e of the Lords, P r e s i d e n t of the C o u n c i l , and

the Departments of Shinto R e l i g i o n , F i n a n c e , War, F o r e i g n Affairs,

53
and J u s t i c e . The Upper House of the D e l i b e r a t i v e Assembly was

51 52
I b i d . , p. 15. Ibid.
53
McLaren, "Japanese Government Documents," pp. 7-15*
 kl

composed o f the G i j o and Sanyo o f the f o r m e r Sanshoku and i t

possessed the powers t o e s t a b l i s h o r t o amend the laws, to

appoint i n d i v i d u a l s to high office, to conclude treaties, and

5k

to e x c e r c i s e judicial authority. The Lower House constituted

the representatives of the feudal clans.

The a c t u a l f u n c t i o n i n g of the new government b a s e d on

the formal s t r u c t u r e and policies as p r o m u l g a t e d i n the

S e i t a i s h o d i d not meet t h e administrative requirements of a

responsible government as e n v i s a g e d by Okubo T o s h i m i c h i . Con-

sequently, on June 22, 1869, Okubo managed t o p a s s a law in

order to e l e c t the various officials and at the same t i m e

succeeded i n reducing the number o f members c o m p r i s i n g the

55

Seitaisho government. J J
I n t h i s way, Okubo was able to obtain

a more c a p a b l e and responsible administration. The next major

change i n t h e political s t r u c t u r e of the government occurred in

1871 with the announcement of the haihan chiken on A u g u s t 29

which converted the f e u d a l han s t r u c t u r e i n t o a modern prefec-

tural system. ^ 5
I t i s not important to l i s t the major reshuf-

fling which occurred i n the government p o s t s at this time though

it should be noted that other reforms d i d take p l a c e in the

government organization:
Kb,
J
I b i d . , p. xxxvi.

" ^ I w a t a , Okubo T o s h i m i c h i , p. 130.

5 6
Ibid., p. lkk.
 42

On September 24, the Dajokan, or C o u n c i l of State

system, was m o d i f i e d f o r more e f f e c t i v e a d m i n i s t r a t i o n .
I t became the S e i i n , or C e n t r a l Board, composed of Sanjo
as the D a j o d a i j i n , or F i r s t M i n i s t e r ; the S a d a i j i n , or
M i n i s t e r of the L e f t , l e f t vacant at t h i s time, Iwakura
as U d a i j i n , or M i n i s t e r of the Right; Saigo, Kido, I t a g a k i ,
and Okuma as s a n g i ; a l l of whom formed the c o u n c i l of the
Emperor. T h i s c o u n c i l and the c h i e f s of the v a r i o u s
departments met as the U i n , or the Board of the R i g h t .
The S a i n , or Board of the L e f t , was composed of members
nominated by the Emperor and served as a p r i v y c o u n c i l .
Soejima r e p l a c e d Iwakura i n the Gaimusho, or the F o r e i g n

The changes which occurred i n the c e n t r a l p o l i t i c a l structure

of the government d u r i n g the f i r s t three years a f t e r the Meiji

R e s t o r a t i o n i s i n d i c a t i v e of the r a p i d t r a n s f o r m a t i o n processes

i n a l l s e c t o r s of e a r l y M e i j i s o c i e t y . Further s t r u c t u r a l

changes occurred throughout t h i s p e r i o d u n t i l the promulgation

of the M e i j i C o n s t i t u t i o n on February 11, 1889.

I b i d . , pp. 146-47
 CHAPTER I I I

METHODOLOGY

The u n i v e r s e from which our sample of l a t e Tokugawa

l e a d e r s has been s e l e c t e d i s the A s a h i Janaru's Nihon no

Shisoka (Thinkers of Japan) which l i s t s s i x t y - s e v e n of the

s c h o l a r s and statesmen of the Tokugawa and M e i j i p e r i o d s

considered by the e d i t o r s of the A s a h i Janaru as the intel-

l e c t u a l e l i t e of that e r a . The e d i t o r s of the A s a h i Janaru

have not s p e c i f i e d the s e l e c t i o n c r i t e r i a i n choosing the

sixty-seven i n d i v i d u a l s . Repeated i n q u i r i e s have f a i l e d to

produce any response from them. Consequently i t had to be

assumed that the data f o r t h i s study d i d i n f a c t c o n t a i n a

r e p r e s e n t a t i v e sample of the i n t e l l e c t u a l e l i t e s . With this

assumption then, the data c a t e g o r i z a t i o n procedure employed

f o r t h i s study was as f o l l o w s . I n i t i a l l y a dichotomous deci-

s i o n made by the coder separated the s u b j e c t s i n t o e i t h e r the

p r e - or p o s t - M e i j i R e s t o r a t i o n dimensions as shown i n F i g u r e 1.

The i n h e r e n t danger i n such a simple coding scheme w i l l become

r e a d i l y apparent when we c o n s i d e r that we are not r e a l l y

F o l l o w i n g Kaplan's d e f i n i t i o n of "methodology," we are

concerned w i t h "the d e s c r i p t i o n , the e x p l a n a t i o n , and the j u s -
t i f i c a t i o n of methods, and not the methods themselves." See
Abraham Kaplan, The Conduct of I n q u i r y , Methodology f o r Behav-
i o r a l Science (San F r a n c i s c o : Chandler P u b l i s h i n g Company,
1964), p. 18.
 44

i n t e r e s t e d i n simply whether our s u b j e c t was born before 1868.

T h i s study i s p r i m a r i l y concerned with h i s a c t i v i t i e s which

may have c o n t r i b u t e d to the l a t e r adaptive and t r a n s f o r m a t i o n

processes of M e i j i Japan.

The second step i n s e l e c t i n g the a p p r o p r i a t e sample

s u b j e c t was to decrease the sample s i z e by e l i m i n a t i n g those

s u b j e c t s whose main a c t i v i t i e s were concentrated i n the p o s t -

Meiji Restoration period. The t h i r d step i n our c a t e g o r i z a -

t i o n procedure separated the r e s i d u e s u b j e c t s i n t o sub-category

lj, which represented those s u p p o r t i n g the p o l i c i e s of the

Tokugawa bakufu, or i n t o sub-category l g , which represented

those who supported the Emperor and those who advocated reform.

To produce the r e p r e s e n t a t i v e sample of i n t e l l e c t u a l e l i t e s was

a r e l a t i v e l y simple matter because of the convenient cut-off

p o i n t p r o v i d e d i n the Nihon no Shisoka b i o g r a p h i c a l l i s t i n g

between Sakamoto Ryoma (1835-1867) and Fukuzawa Y u k i c h i (1835-

1901). Sakamoto Ryoma was a s s a s s i n a t e d on December 10, 1867

but had he l i v e d , he might have emerged as one of the strategic

l e a d e r s of the new M e i j i government along with Okubo, Kido,

Saigo, and Goto. In c o n t r a s t , Fukuzawa Y u k i c h i * s fame commenced

with h i s a c t i v i t i e s as a member of the Meirokusha. In the final

a n a l y s i s , the sample of i n t e l l e c t u a l e l i t e s c o n s i s t e d of the

f i r s t f i v e of those members l i s t e d i n the Nihon no ShisSka,

Takano Choei (1804-1850), Sakuma Shozan (1811-1864), Yokoi Shonan

(1809-1869), Yoshida Shoin (1830-1859), and Sakamoto Ryoma (1835-

I867). The data f o r t h i s study w i l l be d e r i v e d from the

 k5

biographical material provided i n N i h o n no S h i s o k a by utilizing

the method o f content analysis.

1. Content Analysis

The research procedure employed i n t h i s study to extract

the desired d a t a from the biographical material relies on ex^

plicitly formulated and systematic rules. This procedure for

assessing and e x t r a c t i n g data from w r i t t e n material to which

the term content analysis i s a p p l i e d has a number o f character-

istics. Ole R. H o l s t i has s p e c i f i e d these c h a r a c t e r i s t i c s as

follows: 2

Objectivity: O b j e c t i v i t y s t i p u l a t e s t h a t the a n a l y s i s
must be c a r r i e d out on the b a s i s o f ex-
p l i c i t l y f o r m u l a t e d r u l e s f r o m t h e same
documents.

Systematict S y s t e m a t i c means t h a t t h e i n c l u s i o n and

e x c l u s i o n o f c o n t e n t o r c a t e g o r i e s i s done
according to c o n s i s t e n t l y a p p l i e d c r i t e r i a
of s e l e c t i o n . T h i s r e q u i r e m e n t e l i m i n a t e s
a n a l y s i s i n which only m a t e r i a l s support-
i n g the i n v e s t i g a t o r ' s h y p o t h e s i s are
examined.

Generality; G e n e r a l i t y r e q u i r e s t h a t the f i n d i n g s must

have t h e o r e t i c a l r e l e v a n c e . Purely de-
s c r i p t i v e i n f o r m a t i o n about c o n t e n t , un-
r e l a t e d to o t h e r a t t r i b u t e s of content or
t o t h e c h a r a c t e r i s t i c s o f t h e s e n d e r or
r e c i p i e n t o f the m e s s a g e , i s o f l i t t l e
s c i e n t i f i c value.

O l e R. H o l s t i , " C o n t e n t A n a l y s i s " ( V a n c o u v e r : D e p a r t -
ment o f P o l i t i c a l S c i e n c e , U n i v e r s i t y o f B r i t i s h C o l u m b i a , I 9 6 6 ) ,
p . 3« (Mimeographed.)
 46

The content analysis requirements of o b j e c t i v i t y , s y s t e m , and

generality a r e t h e t h r e e main c h a r a c t e r i s t i c s important to

this study. The q u a n t i t a t i v e aspects of content analysis,

that i s , the non-frequency or frequency of occurrence of c e r t a i n

key sentences, have been o m i t t e d entirely. The m a i n r e a s o n f o r

this omission i s that this study i s not d i r e c t l y concerned i n

determining the exact degree of g e n e r a l i z a t i o n .

In examining the b i o g r a p h i e s u s i n g content analysis

techniques, t h e r e a r e a few a d v a n t a g e s w h i c h s h o u l d be noted.

Because the d a t a selection criteria employed i n t h e a n a l y s i s

are a l r e a d y e x p l i c i t l y specified i n the coding r u l e s , other

investigators can r e p l i c a t e the study. M o r e o v e r , when t h e

examination o f w r i t t e n m a t e r i a l r e q u i r e s a team o f i n v e s t i -

gators, the r e l i a n c e upon e x p l i c i t l y formulated rules and w e l l

defined coding categories w i l l decrease the margin of e r r o r i n

drawing i n f e r e n c e s from t h e sample m a t e r i a l . When standard

data a c q u i s i t i o n procedures such as c o n d u c t i n g i n t e r v i e w s and

p r o c e s s i n g q u e s t i o n n a i r e s cannot be employed e i t h e r because of

physical distance or h i s t o r i c a l s e p a r a t i o n i n time, content

analysis allows one t o make an e x a m i n a t i o n of w r i t t e n sources

such as b i o g r a p h i e s , l e t t e r s , and d i a r i e s .

2. C o d i n g Content Data

The c o d i n g scheme employed to analyze the b i o g r a p h i c a l

m a t e r i a l was d e s i g n e d taking into account the b a s i c p r o p o s i t i o n

that the adaptive and t r a n s f o r m a t i o n p r o c e s s e s o f modern J a p a n

 47
had t h e i r r o o t s f i r m l y e s t a b l i s h e d d u r i n g the l a t e Tokugawa

p e r i o d and that the impetus to s o c i a l change was not solely

concentrated i n the p o s t - M e i j i R e s t o r a t i o n p e r i o d . The recording

u n i t used throughout the data c a t e g o r i z a t i o n process has been

the sentence. T h i s has meant that from the vast c o l l e c t i o n of

d e s c r i p t i v e data a v a i l a b l e from the b i o g r a p h i c a l sources, each

sentence c o n t a i n i n g the d e s i r e d i n f o r m a t i o n as s p e c i f i e d by the

coding r u l e s was e x t r a c t e d and assigned into pre-selected cate-

gories. The coding r u l e s f o r each category are g i v e n i n

Appendix B.

The process of a s s i g n i n g the e x t r a c t e d data i n t o the

appropriate c a t e g o r i e s c o n s i s t e d of a d i c h o t o m i z a t i o n process

whereby the data was recorded i n e i t h e r Category I or i n Cate-

gory I I . Category I contained a l l those sentences p e r t a i n i n g

to s o c i e t a l c o n d i t i o n s a f f e c t i n g s o c i e t y as a whole whereas

Category I I contained those sentences s p e c i f i c a l l y r e l a t e d to

the s o c i e t a l c o n d i t i o n s a f f e c t i n g the s u b j e c t only. These cate-

g o r i e s are mutually e x c l u s i v e so t h a t each sentence cannot be

assigned more than once w i t h i n a g i v e n c a t e g o r y - s e t . This

procedure of a s s i g n i n g data i n t o one or the other category does

not p l a c e a very heavy burden on the d e c i s i o n maker and thus

s i m p l i f i e s data categorization. Thus the coding procedure

becomes a mechanical process whereby the e x t r a c t e d information

i s r e l a t e d to the c o n s t r u c t s being d e a l t with i n r e l a t i o n to

the b a s i c p r o p o s i t i o n . The o v e r a l l c a t e g o r i z a t i o n scheme em-

ployed i n t h i s study i s i l l u s t r a t e d i n F i g u r e 3 on the f o l l o w i n g

page.
 48

Subject

Category I Category I I

Societal Conditions Societal Conditions

affecting society affecting subject

as a whole in particular

Category I I I Category IV

Formative Subject*s a t t i t u d e s ,

i n f l u e n c e s on o r i e n t a t i o n s and

subject basic concepts

Category V Category VI

Action taken Action taken

by "subject and by s u b j e c t and

r e a l i zed partially

realized

FIGURE 3

CONTENT DATA CATEGORIES

I n the second stage of the c a t e g o r i z a t i o n p r o c e d u r e , the data

obtained from the i n i t i a l d i c h o t o m i z a t i o n p r o c e s s was subject

to f u r t h e r analysis* Data from Category I I were separated

into two sub-divisions, Category I I I and Category IV. Category

III i n c l u d e d those sentences which contained i n f o r m a t i o n l i n k e d

to or a s s o c i a t e d w i t h the f o r m a t i v e i n f l u e n c e s on our s u b j e c t ' s

actions, attitudes, and orientations as w e l l as t h e s u b j e c t ' s

basic concepts, guiding principles, and p h i l o s o p h y . At this

stage of t h e i n v e s t i g a t i o n , information related to the dis-

tribution of the i n d i v i d u a l ' s m a n i f e s t b e h a v i o r under a g i v e n

set of c i r c u m s t a n c e s can be determined.

The final dichotomization procedure produced Category V

and Category VI. Category V i n c l u d e d those sentences which

represented the course of a c t i o n t a k e n by t h e s u b j e c t and which

was directly implimented or r e a l i z e d d u r i n g the modernization

period. In c o n t r a s t , Category VI i n c l u d e d those a c t i o n s taken

by t h e s u b j e c t and only p a r t i a l l y realized. Here, i t can be

determined whether or not t h e a c t i o n t a k e n by the subject can

be attributed t o any given choice i n a l t e r n a t i v e s available to

the i n d i v i d u a l . From t h e content a n a l y s i s as s p e c i f i e d by the

coding r u l e s , the c r i t e r i a used by the s u b j e c t i n t a k i n g the

individual course of a c t i o n as i n d i c a t e d i n the b i o g r a p h i e s

c a n be obtained.

The dichotomous-decision t e c h n i q u e w h i c h has been em-

p l o y e d i n c o d i n g the e x t r a c t e d d a t a p r o v i d e s s e v e r a l advan-
 50
3
tages. The first advantage i s that i t s i m p l i f i e s data cate-

g o r i z a t i o n because i t allows the coder to focus h i s a t t e n t i o n

on a s i n g l e d e c i s i o n before proceeding to the f o l l o w i n g c a t e -

gory . At each category l e v e l , only a s i n g l e d e c i s i o n i s

required. The second advantage occurs i n the case where

s e v e r a l processes of c a t e g o r i z a t i o n r e q u i r e more than one

judgement. Such a case can be g i v e n f o r example i f the i n v e s -

t i g a t o r i s i n t e r e s t e d i n say, the i n f o r m a t i o n e x t r a c t e d i n

Category I I , Category IV, and Category VI of F i g u r e 3. The

l o g i c a l p r o g r e s s i o n i n d e c i s i o n making g r e a t l y a s s i s t s the

coder i n v i s u a l i z i n g the r e s u l t i n g p a t t e r n of i n f o r m a t i o n .

The t h i r d advantage i s that i n the event that a disagreement

should a r i s e between data coders d u r i n g the coding p r o c e s s , i t

i s p o s s i b l e to p i n - p o i n t the p r e c i s e l o c a t i o n of the coding

breakdown, thus p e r m i t t i n g an immediate r e d e f i n i t i o n of c a t e -

g o r i e s or a m o d i f i c a t i o n of coding r u l e s . T h i s i s a very im-

portant c o n s i d e r a t i o n e s p e c i a l l y i f the study i s to be rep-

licated.

3. M e t h o d o l o g i c a l Problems

I t has been s t a t e d p r e v i o u s l y that the u n i v e r s e from .

which our sample of late-Tokugawa l e a d e r s has been s e l e c t e d was

I b i d . , p. 81
 51

not d e r i v e d from a s p e c i f i e d source and that the s e l e c t i o n

c r i t e r i a was not made e x p l i c i t . F o r these reasons, the ex-

t r a c t i o n of raw data from b i o g r a p h i c a l sources f o r t h i s study-

was c a r r i e d out with the u n d e r l y i n g assumption that the b i o -

graphical material s e l e c t e d f o r the content a n a l y s i s was

representative of the p r e - M e i j i e l i t e s and t h a t the i n f o r m a t i o n

d e r i v e d was an accurate representation o f , or at l e a s t r e l a t e d

i n some way t o , the o r i e n t a t i o n s and a t t r i b u t e s of the s u b j e c t

under examination. The r e l a t i o n s h i p between the e x t r a c t e d data

and the a c t u a l s i t u a t i o n a l context cannot be a c c u r a t e l y estab-

lished.

Instead of r e l y i n g on a p r e - s e l e c t e d biographical list-

ing f o r which not even the s e l e c t i o n c r i t e r i a i s available, a

much more acceptable procedure would have been to examine both

b i o g r a p h i c a l and i n s t i t u t i o n a l m a t e r i a l s to produce a s p e c i f i e d

population from which a random sample c o u l d be s e l e c t e d . Bio-

g r a p h i c a l data can be d e r i v e d from a v a r i e t y of sources such

4

as those compiled by Silberman. I n s t i t u t i o n a l materials such

as the l i s t i n g of government o f f i c i a l s , p o l i t i c a l f i g u r e s , and

o f f i c e s h e l d can a l s o be obtained from the p e r i o d i c a l t a b u l a -

t i o n of government offices.

Bernard S. Silberman, Japan and Korea: A C r i t i c a l

B i b l i o g r a p h y (Tucson: The U n i v e r s i t y of A r i z o n a P r e s s , 1962),
Pp. 18-20.

5
, M i n i s t e r s of M o d e r n i z a t i o n (Tucson:
The U n i v e r s i t y of A r i z o n a Press, 196*4), pp. 1 2 7 - 1 3 5 .
 52
The i n t e r p r e t a t i v e categories s e l e c t e d f o r content

a n a l y s i s were not based on a s p e c i f i c theory p u r p o r t i n g to

e x p l a i n c e r t a i n aspects of s o c i a l change as i n d i c a t e d i n our

biographical reference material. Although c e r t a i n h y p o t h e s i s

can be suggested from the h i s t o r i c a l data, a c t u a l t e s t i n g of

the h y p o t h e s i s would be d i f f i c u l t , i f not impossible. In

analyzing biographical material a v a i l a b l e i n Japanese, an

a d d i t i o n a l problem encountered was that of t r a n s l a t i n g the

Japanese source m a t e r i a l into English. The t r a n s l a t i o n problem

encountered was one of t r a n s l a t i n g a c c o r d i n g to the overall

context of each paragraph of the b i o g r a p h i c a l material or of

t r a n s l a t i n g each Japanese kan j i or c h a r a c t e r literally into

English. In t h i s study, the main o b j e c t i v e i n t r a n s l a t i n g the

monographs a v a i l a b l e i n Japanese f o r the s e l e c t e d sample of

f i v e subjects has been to reproduce as a c c u r a t e l y as possible

the o r i g i n a l sense and style.

 CHAPTER IV

STUDY SAMELE: FORERUNNERS OF THE TRANSFORMATION PROCESS

With the frequent arrival of f o r e i g n ships to Japan

between 1 8 0 4 and 1 8 5 3 * , t h e b a k u f u was forced to re-examine

its= sakoku (isolation) and kokubg ( n a t i o n a l defence) poli-

cies. A concomitant development was that a s m a l l group of

intellectuals who h a d been limited i n their activities

because of the r i g i d Japanese social structure challenged the

issues confronting the n a t i o n . T h e r e i s no other period i n

modern J a p a n e s e h i s t o r y like the l a t e Tokugawa p e r i o d i n which

2
i d e a s were r e l a t e d to consequent a c t i o n . This fact i s borne

out i n t h i s c h a p t e r by t h e d a t a e x t r a c t e d from the biographies

according to the coding r u l e s specified i n Appendix B. The

d a t a o b t a i n e d under Coding Category I I I presents the formative

f a c t o r s which i n f l u e n c e d the i d e o l o g u e s . Data from Coding C a t e -

g o r y IV p r o v i d e s the m a t e r i a l f o r the i d e o l o g u e ' s attitudes,

orientations, and c o n c e p t s , and d a t a f r o m C o d i n g C a t e g o r y V

examines the s t r u c t u r e s of a c t i v i t i e s supportive of the ideol-

ogue's o r i e n t a t i o n . The p u r p o s e of t h i s chapter i s to present

1
W. G. B e a s l e y , The Modern H i s t o r y o f J a p a n (London:
W e i d e n f e l d and N i c o l s o n , 1 9 6 3 ) , pp. 3 9 - 4 7 .
2
Our s t u d y c o n c e r n s t h e r e l a t i o n between o r i e n t a t i o n and
behavior. The Tokugawa s h o g u n a t e a s s e r t s t h a t o r i e n t a t i o n and
b e h a v i o r a r e e s s e n t i a l l y t h e same. The 1 ideologues challenged
2

t h i s n o t i o n and d e m o n s t r a t e d t h a t o r i e n t a t i o n and b e h a v i o r a r e
positively related.
 54

the d i s t i l l a t i o n of the important d e s c r i p t i v e statements from

the t r a n s l a t e d b i o g r a p h i e s and leaves out some i n f o r m a t i o n

u s u a l l y found i n biographies. I t i s important to keep i n mind

that t h i s chapter does not represent an attempt to w r i t e s h o r t

b i o g r a p h i e s of the f i v e ideologues selected f o r this study.

The sample s u b j e c t s s e l e c t e d f o r the content a n a l y s i s

as r e p r e s e n t a t i v e of the l g p r o g r e s s i v e i n t e l l e c t u a l s c o n s i s t s

of Takano Choei, Sakuma Shozan, Yokoi Shonan, Yoshida Shoin,

and Sakamoto Ryoma. These ideologues can be subsumed under

two generational categories. The f i r s t g e n e r a t i o n c o n s i s t s of

those ideologues who were a f f e c t e d i n some way by the Opium

War (1839-1842). Takano Choei, Sakuma Shozan, and Yokoi Shonan

belong to t h i s group. The second g e n e r a t i o n c o n s i s t s of those

ideologues who were i n f l u e n c e d by the events a s s o c i a t e d with

the a r r i v a l of the B l a c k Ships i n Japan (1853) and those who

p l a y e d an a c t i v e r o l e at a time when Japan was t r a n s f o r m i n g

i n t o a modern n a t i o n . Yoshida Shoin and Sakamoto Ryoma f a l l

i n t h i s l a t t e r category and to g i v e another example, the a c t i v e

members of the Meirokusha can a l s o be i n c l u d e d . Those who

belonged to the f i r s t g e n e r a t i o n paved the way f o r the i n t e l -

l e c t u a l s of the f o l l o w i n g e r a and thus i t can be s a i d that they

were the f o r e r u n n e r s who i n f l u e n c e d the i n t e l l e c t u a l s of the

f u t u r e both d i r e c t l y and i n d i r e c t l y .

1. Formative Influences

The formative f a c t o r s a f f e c t i n g our s u b j e c t as evinced

 55

in the content data f a l l into four classifications:

1) I n d i v i d u a l s w i t h whom t h e subject made contact.

Here the p e r s o n i n f l u e n c i n g the subject acts as a

transmitter of values.

2) Associational institutions, f o r example, family,

schools, study groups.

3) Religious ideals, political ideals.

Generally, ideas may be associated with events or

may not be specifically l i n k e d to events. Those

ideas arising because of c e r t a i n events can be

further categorized into issues ideas or i d e n t i t y

ideas.

4) Dominantly mentioned s o c i a l structure or the subject's

social position in relation to others, for example,

the subject's overlord.

General s o c i e t a l conditions may be included as the fifth

classification and c o n t e n t d a t a subsumed u n d e r C o d i n g Category

I I may lend support. However, l a c k i n g t h e means t o correlate

e n v i r o n m e n t a l f a c t o r s t o the formative influences, such infor-

mation w i l l be utilized only i f mentioned s p e c i f i c a l l y by the

b i o g r a p h e r as a d e f i n i t e contributing formative factor. The

forerunners of the transformation process selected for this

s t u d y were a l l i n f l u e n c e d i n one way or a n o t h e r e i t h e r through

a s i n g l e f a c t o r or through a combination of f o r m a t i v e factors

which w i l l now be described.

The relaxation i n feudal b a r r i e r s and the circulation

 56

of merchandise opened up new t r a n s p o r t a t i o n routes between the

c a p i t a l and the o u t l y i n g f i e f s which p r o v i d e d these areas with

i n f o r m a t i o n concerning f o r e i g n p e n e t r a t i o n i n t o A s i a . Dis-

r e g a r d i n g h i s f a t h e r ' s o b j e c t i o n , Takano Choei who was born i n

1804 i n a f a m i l y of p h y s i c i a n s decided to proceed to Edo f o r

Dutch s t u d i e s and he soon became a student and servant to

Yoshida Choshuku, a d o c t o r to the Kaga han who was w e l l known

at t h i s time f o r Dutch i n t e r n a l medicine. During the f o l l o w i n g

three y e a r s , u n t i l h i s death i n 1824, Yoshida imparted to Choei

the f o u n d a t i o n f o r h i s l a t e r Dutch studies.

In 1825, the twenty-two year o l d ChSei moved to Nagasaki

and entered the Meiryu Juku, a s c h o o l a d m i n i s t e r e d by the

famous Dutch s c h o l a r , Franz von S i e b o l d . Meiryu Juku became

the c e n t r a l meeting p l a c e f o r those Japanese students who ex-

pressed i n t e r e s t i n the a r t s and s c i e n c e s of Europe. I t was

from here that Western s c i e n t i f i c knowledge r a d i a t e d through-

out Japan. Able young men between twenty and t h i r t y were drawn

to S i e b o l d * s s c h o o l where they were able to a c q u i r e knowledge

of European medicine and medical p r a c t i c e s , botany, zoology,

physiography, ethnology, and mathematics.

A f t e r a few years of s t u d i e s a t Meiryu Juku, Takano

Choei and h i s f e l l o w students were able to e s t a b l i s h friendly

contacts with educated Europeans. T h i s enabled the Meiryu Juku

students to broaden their p o l i t i c a l outlook and made them

r e a l i z e f o r the f i r s t time the narrow mindedness of the Japanese

government. T h i s was v i v i d l y i l l u s t r a t e d by the s o - c a l l e d

 57

Siebold a f f a i r (1828) which occurred i n the t h i r d year after

Choei e n r o l l e d . The i n c i d e n t arose when a s e t of maps of

Japan based on an a c t u a l survey conducted by Ino Chukei was

loaned to S i e b o l d . S i e b o l d and the astronomer Takahashi

Kageyasu made arrangements to p r i n t these maps i n H o l l a n d but

the bakufu i n t e r v e n e d and e v e n t u a l l y banished S i e b o l d without

g i v i n g any forethought to the f a c t that Japan could have made

a great c o n t r i b u t i o n to i n t e r n a t i o n a l s c i e n t i f i c r e s e a r c h .

The bakufu proceeded to a r r e s t those teachers and students who

had been a s s o c i a t e d w i t h S i e b o l d . ChSei, b e l i e v i n g that he too

might be a r r e s t e d , went to l i v e with H i r o s e Tanso i n 1829*

By November, 1830, Choei had r e t u r n e d to Edo where he

opened h i s own school at K o j i m a c h i , K a i z a k a . I t i s believed

that Choei came to know the c h i e f r e t a i n e r of Tahara han,

Watanabe Noboru (Kazan) i n 1832 and they were probably intro-

duced to each other by Ozeki Sanei, a f e l l o w student a t Yoshida

3 -

Juku and Meiryu Juku. Choei, Kazan, and Sanei met f r e q u e n t l y

f o r d i s c u s s i o n s and c o n s u l t a t i o n s and g r a d u a l l y the group came

to c o n s i s t of people with s i m i l a r p o i n t s of view. Because of

the bakufu oppression, the group met under the p r e t e x t of p a y i n g

respect to the o l d people c a l l i n g i t the S h o s h i k a i ("The Old

Men's C l u b " ) . L a t e r , a formal o r g a n i z a t i o n of the same name was

^ S h i n i c h i Takahashi, "Takano Choei," A s a h i Janaru (eds.

i n

Nihon no Shisoka, V o l . 1 (Tokyo: Asahi Shimbun P u b l i s h i n g Co.,

1962), p. 11.
 58

formed f o r the purpose of s c i e n t i f i c research and p r a c t i c a l

experiment.

The Shoshikai was made up o f i n t e l l e c t u a l s who h a d

interest i n the everyday c i v i l a d m i n i s t r a t i o n of the bakufu

and v a r i o u s hans, i n p a r t i c u l a r t h e medium- and s m a l l - s i z e d

hans. These i n t e l l e c t u a l s who d i d n o t l i m i t t h e m s e l v e s t o

the study of medicine o n l y were known a s t h e Yamanote-ha.

T h e y were u n l i k e t h e D u t c h s c h o l a r s c a l l e d the Shitamachi-ha

who were i n c l i n e d t o be a b s o r b e d i n t h e s p e c i a l f i e l d of

medicine only. The d i r e c t i o n of Shoshikai activities i s

clearly i n d i c a t e d i n Choei*s Tori no Nakune (A Song o f a B i r d )

w h i c h he w r o t e l a t e r w h i l e i n prison.

The p r e s e n t f a m i n e h a s c o n t i n u e d f o r a l o n g t i m e a n d t h e
people's hearts are f i l l e d with panic. T h o s e who a r e r i c h
g e t r i c h e r and t h e p o o r g e t p o o r e r . The p o o r p e o p l e a r e
r i o t i n g h e r e a n d t h e r e , a n d t h e r e i s no s e c u r i t y f o r a n y -
body i n t h i s w o r l d . I deplore t h i s situation.*

Between 1833 and I 8 3 6 , t h e f a r m e r s * r i o t s were a t t h e i r height

and i t became v i r t u a l l y i m p o s s i b l e f o r t h e s m a l l e r h a n s t o cope

with t h e economic c o n d i t i o n s . Choei*s contribution to a l l e v i a t e

the p l i g h t of the farmers was t o b o l s t e r t h e a g r i c u l t u r a l sector

of t h e economy. He p u b l i s h e d Kyuko N i b u t s u Ko* (Two A r t i c l e s f o r

A v e r t i n g D i s t r e s s ) e x p l a i n i n g the c u l t i v a t i o n , p r e s e r v a t i o n and

cooking of potatoes and buckwheat. Choei also published Hieki

Y5h5 (Means R e q u i s i t e f o r A v e r t i n g E p i d e m i c s ) w h i c h d e a l t with

Ibid
 59
the prevention of epidemics. Choei*s s t u d i e s and activities

were c l e a r l y o r i e n t e d toward the farmers.

There i s no i n d i c a t i o n of r e l i g i o u s philosophy playing

a p a r t i n Takano Choei•s thoughts. In c o n t r a s t , Sakuma Shozan

s t u d i e d Confucianism and he deeply b e l i e v e d i n Neo-Confucianism.

Ever s i n c e Hayashi Razan had e s t a b l i s h e d the Neo-Confucian school

i n Japan, the Hayashi f a m i l y had succeeded i n m a i n t a i n i n g Neo-

Confucianism from g e n e r a t i o n to g e n e r a t i o n as the official

subject of study (Seigaku) approved by the Tokugawa shogunate.

E a r l y i n h i s youth, Sakuma l e f t f o r Edo to study and became a

d i s c i p l e of Sato I s s a i , the p r i n c i p a l at the Hayashi School,

and a noted C o n f u c i a n i s t and literary stylist. Because of h i s

p o s i t i o n as the p r i n c i p a l of the Hayashi School, Sato was unable

to c r i t i c i z e Neo-Confucianism but he came to b e l i e v e i n the

Vang Yang-ming p h i l o s o p h y ^ and began to expound i t s d o c t r i n e .

In s p i t e of Sato*s t e a c h i n g , Shozan considered himself a true

Neo-Confucianist and s t e a d f a s t l y b e l i e v e d i n h i s c o n v i c t i o n that

Chu H s i philosophy was the only true s u b j e c t to study.

In 1838, Oshio H e i h a c h i r o who was a f o l l o w e r of the Wang

Yang-ming philosophy staged a r e b e l l i o n and Sakuma thought that

-*Earl notes that Wang Yang-ming (1472-1529) was a Neo-

C o n f u c i a n i s t of the e a r l y Ming p e r i o d and that "Wang Yang-ming's
viewpoint d i f f e r e d from that of Chu H s i i n s e v e r a l p a r t i c u l a r s ,
c h i e f l y i n p l a c i n g more emphasis on a c t i o n and i n t u i t i o n , l e s s
on pure s c h o l a r s h i p . These teachings, c a l l e d Yomeigaku i n
Tokugawa Japan, were considered h e r e t i c a l from the standpoint of
orthodox Shushigaku.» See David M. E a r l , Emperor and Nation
i n Japan, p. 23.
 6 o

t h i s demonstrated the e v i l of the Wang Yang-ming d o c t r i n e s .

A f t e r t h i s time, Sakuma redoubled h i s e f f o r t s to r e v i v e Neo-

Confucianism. With great c o n f i d e n c e , he c h a l l e n g e d eminent

s c h o l a r s to debates and took p r i d e i n r e f u t i n g t h e i r arguments.

Consequently, Sakuma h e l d a s u p e r i o r and d i s r e s p e c t f u l attitude

toward h i s teacher Sato, arguing that there i s no master or

servant i n f e n c i n g and s i m i l a r i l y there should be no teacher

and student r e l a t i o n s h i p when d i s c u s s i n g the t r u t h . Sakuma

debated w i t h Sato f r e q u e n t l y without y i e l d i n g at a l l . In the

end, Sakuma stopped a t t e n d i n g Sato's l e c t u r e s on Confucianism.

The f o l l o w i n g was w r i t t e n by Sakuma i n 1 8 3 9 to h i s

friend: "Ever s i n c e I came to Edo, I have searched f o r noted

s c h o l a r s i n order to r e v i v e Seigakii ( o f f i c i a l s t u d i e s ) but I

still cannot f i n d anyone whom I can admire even i n t h i s great

capital. ^ M
T h i s was one of the problems encountered by Sakuma,

the s p i r i t e d young N e o - C o n f u c i a n i s t , but f o r the true b e l i e v e r

of Neo-Confucianism, a very shocking event was about to take

place. I t was rumored that China, the country of " e t i q u e t t e

and music" was going to surrender under E n g l i s h g u n f i r e . I t was

the news of the Opium War which had reached Sakuma. I n October

1842, Sakuma expressed h i s shock i n a l e t t e r to h i s f r i e n d

Kato Hyoya:

Sannosuke Matsumoto, "Sakuma Shozan," i n Asahi Janaru

( e d s . ) , Nihon no Shisoka, V o l . 1 (Tokyo: Asahi Shimbun P u b l i s h i n g
Co., 1 9 6 2 ) , p. 2 3 .
 61

I n c i d e n t a l l y , have you heard the rumour about the war

between China and England? I t cannot be s a i d that i t i s
a b s o l u t e l y true but a c c o r d i n g to recent news, i t appears
to be a very s e r i o u s s i t u a t i o n . Depending on the circum-
s t a n c e s , t h i s country of e t i q u e t t e and music ever s i n c e
the Tang dynasty may have to surrender to the b a r b a r i a n
c o u n t r i e s of Europe which of course i s a d e p l o r a b l e t h i n g .
I f by chance a s e r i o u s t r a n s f o r m a t i o n should occur i n
China, our n a t i o n , being separated only by a narrow sea
lane, w i l l a l s o be a f f e c t e d . Even now E n g l i s h s h i p s
approach our e a s t e r n coast from time to time. Although
t h i s f a c t i s not r e p o r t e d to the shogunate by the people
along the e a s t e r n coast, there i s no mistake about i t
. . . i n any event, i t w i l l soon become our own c r i s i s .

With the news of the n e i g h b o r i n g country under E n g l i s h

m i l i t a r y p r e s s u r e , Sakuma became s e r i o u s l y aware of the im-

pending c r i s i s . Ever s i n c e f o r e i g n s h i p s had been r e p o r t e d

at v a r i o u s l o c a t i o n s o f f Japan, the i n t e l l e c t u a l s of the nation

had g r a d u a l l y become aware of the f o r e i g n t h r e a t . The feudal

l o r d Sanada who was a C o u n c i l o r i n the shogunate was appointed

the Sea Defence O f f i c e r and consequently, Sakuma was chosen as

an a d v i s o r to Sanada. Sakuma was w e l l aware of the n e c e s s i t y

to know the a c t u a l s i t u a t i o n abroad. Sakuma had the good

f o r t u n e to meet the noted gunnery expert Egawa Tarozaemon and

as a r e s u l t Sakuma e n r o l l e d i n Egawa*s gunnery school where he

was f a s c i n a t e d by the knowledge of Western f i r e a r m s . This was

i n d i c a t e d i n a l e t t e r to Kaneko Josuke i n which he compared

Western and Japanese gunnery technique:

Western gunnery i s v a s t l y d i f f e r e n t from that i n our

country. T h i s i s probably because our gunnery technique

I b i d . , p. 2k.
 62
was improved g r a d u a l l y d u r i n g a p e r i o d of peace and
r e l a t i v e t r a n q u i l i t y . As a n a t i o n a l c h a r a c t e r i s t i c ,
Western people are very s k i l l f u l i n i n v e n t i n g t h i n g s .
Furthermore, t h e i r gunnery technique was improved through
the hands of many heroes d u r i n g past wars. T h e r e f o r e , i f
one compares gunnery based on p r a c t i c a l use, our gunnery
technique which has r e c e i v e d abundant p r a i s e i n Japan i s
nothing more than mere c h i l d ' s p l a y . ^

I t should be noted that Sakuma pursued the study of new gun-

nery techniques p r i n c i p a l l y from u t i l i t a r i a n considerations.

I t was t h i s p r a c t i c a l outlook which was the prime f a c t o r i n

initiating the t r a n s f o r m a t i o n p r o c e s s of the l a t e Tokugawa

period. I t was a p o i n t of view which d i s r e g a r d e d the moral

o b l i g a t i o n s , t r a d i t i o n s , and customs of the c o n s e r v a t i v e

feudal society. Because of h i s p r a c t i c a l outlook, Sakuma was

able to understand the c o n d i t i o n s brought about by the Opium

War.

From the content data, the f o l l o w i n g c o n t r a s t i n g f e a -

tures emerge between Sakuma Shozan and Yokoi Shonan. Sakuma

had commenced h i s Dutch language s t u d i e s when he was thirty-

f o u r years o l d , a prime age when he was a l r e a d y known as a

great C o n f u c i a n i s t . Sakuma had encouraged many young samurai

to take up Dutch s t u d i e s and he l i t e r a l l y became a forerunner.

In c o n t r a s t , Yokoi Shonan s knowledge of the West was gained

1

only through h i s ears or through t r a n s l a t i o n s , that i s , through

secondary sources. Sakuma*s ideas were based on h i s t h i n k i n g

8
I b i d . , p. 25
 63
as a m i l i t a r y s c h o l a r . Yokoi*s concepts were the products

of h i s own p o l i t i c a l consciousness. From the p o i n t of view

of p o l i t i c a l a d m i n i s t r a t i o n , Yokoi q u e s t i o n e d why Neo-

Conf ucianism was not compatible w i t h contemporary society,

a s o c i e t y which was capable of d e v e l o p i n g i n d u s t r i e s as w e l l

as coping w i t h such problems as ocean n a v i g a t i o n . Consequently,

he by-passed Neo-Confucianism a l t o g e t h e r and formed h i s own

philosophy. I t should be noted t h a t the s p e c i a l c h a r a c t e r of

Y o k o i s p h i l o s o p h y i s found i n h i s p o l i t i c a l
1
outlook. He tried

to accept Western i d e o l o g y and c u l t u r e by deepening h i s under-

s t a n d i n g of Confucianism, by a l t e r i n g the p o l i t i c a l , economic,

and moral aspects of Confucian p h i l o s o p h y . Yokoi*s i d e o l o g y

was formed under continued s e l f - e x a m i n a t i o n i n order t o s o l v e

those problems which occurred w i t h changing conditions. The

scope of these problems a l s o enlarged w i t h Yokoi*s i n c r e a s e d

knowledge of the West and the r e s u l t i n g wider p o i n t of view.

U n t i l Yokoi was t h i r t y - o n e , he s t u d i e d Confucianism at

Jishukan, the han school e s t a b l i s h e d by the l o r d of Kumamoto

han, Hosokawa Shigekata. The Jishukan was noted f o r i t s very

h i g h academic standards but the s c h o o l g r a d u a l l y reduced itself

to the r e s e a r c h of t r i v i a l matters such that comic tanka were

written:

Jishukan was b u i l t i n a t i n y p l a c e
and the students are t r y i n g to study minute d e t a i l s .
 6k

The v i n e l e a v e s have so covered Jishukan „

There i s no room f o r the T h i r t e e n Chinese Classics.

Under the i n f l u e n c e of Akiyama Gyokuzan, who had c o n t r i b u t e d

g r e a t l y to the establishment of Jishukan and who was a noted

w r i t e r , the s c h o o l p l a c e d more emphasis on p o e t r y and l i t e r a t u r e

than on Confucianism. Yokoi was opposed t o t h i s t r e n d and he

made every e f f o r t to study h i s t o r y i n s t e a d . At the same time

Yokoi attempted t o r e v i v e the academic t r a d i t i o n s of Otsuka

T a i y a who was i n f l u e n c e d by Y i T'oe-Ge, a Korean C o n f u c i a n i s t .

Otsuka*s s c h o o l was very s i m i l a r t o Yamasaki A n s a i ' s Sakiraon

school. L a t e r , Yokoi was a t t r a c t e d to the s p i r i t u a l f e a t u r e s

of the l a t e r Mito s c h o o l . I n 1839 while Yokoi was s t u d y i n g i n

_ 10

Edo, he met F u j i t a Toko and they soon became very good f r i e n d s ,

a r e l a t i o n s h i p which was t o l a s t d u r i n g t h e i r lifetime.

Ever s i n c e the establishment of the han s c h o o l , going to

Edo t o study was a s p e c i a l p r e r o g a t i v e a v a i l a b l e to only a few

students. Although Yokoi r e c e i v e d t h i s honor, he became an

a l c o h o l i c and e v e n t u a l l y r e t u r n e d home a very d i s a p p o i n t e d man.

Yokoi, who was once recommended t o take up a post a t Shogun

N a r i a k i ' s o f f i c e because of h i s e x t r a o r d i n a r y t a l e n t , was now

Ryoen Minamoto, "Yokoi Shonan," i n A s a h i Janaru ( e d s . ) ,

Nihon no S h i s o k a . V o l . 1 (Tokyo: A s a h i Shimbun P u b l i s h i n g Co.,
1962) , p.~k~T.

F u j i t a Toko and Aizawa S e i s h i s a i were the two most

eloquent spokesmen f o r the l a t e r Mito s c h o o l advocates of
"Revere the Emperor, Repel the B a r b a r i a n s " group.
 65
c o n f i n e d to a very small six-mat room and was financially

dependent on h i s b r o t h e r . Yokoi meditated f o r three years,

and s c r i b b l e d on the l a n t e r n s , paper screens, and sliding

doors, passages w r i t t e n by Ch'eng Ming Tao.

The r e s u l t a n t p h i l o s o p h i c a l o r i e n t a t i o n s and concepts

w i l l be d i s c u s s e d l a t e r as the main concern here i s the for-

mative f a c t o r s . It will s u f f i c e to note only that when Yokoi

re-examined h i s t h e o r i e s , he came across a book t i t l e d Kaikoku

Zushi which g r e a t l y s t i m u l a t e d h i s outlook. T h i s book was

a

o r i g i n a l l y w r i t t e n by an American named Bridgeman and i t was

t i t l e d Bankoku C h i r i s h o ("World Geography"). I t was trans-

l a t e d i n t o Chinese under L i n Tse-hsu*s o r d e r . 1 1

This trans-

l a t i o n p l u s other c o l l e c t i o n s were e d i t e d and p u b l i s h e d i n

1842 by Wei Yuan, a Chinese s c h o l a r . I t underwent r e v i s i o n

i n 1847 and i n Japan, the s c h o l a r of Western l e a r n i n g M i z u k u r i

Genpo and the Chinese s c h o l a r Shionoya Taiun p u b l i s h e d this

revised version. I t was probably t h i s v e r s i o n of the Kaikoku

Zushi which Yokoi obtained.

A f t e r the Kaikoku Zushi came i n t o Yokoi*s possession,

he d i s c u s s e d i t s e n t i r e contents w i t h h i s student Naito

Y a s u k i c h i , a s e s s i o n which l a s t e d over one hundred days. Yokoi

made a c r i t i c a l examination of h i s p o l i t i c a l viewpoint and i n

H
L i n Tse-hsu was the I m p e r i a l Commissioner at Canton,
a man who possessed great power d u r i n g the Opium War.
 66

the end, he changed h i s mind to become a staunch supporter of

the "opening the country" theory. Osatake Takeshi w r i t e s i n

his book I s h i n Zengo n i okeru Rikken Shiso (Constitutional

Ideas at the time of the M e i j i R e s t o r a t i o n ) that i t was not

only Yokoi Shonan who was g r e a t l y i n f l u e n c e d by the Kaikoku

Zushi but a l s o Sakuma Shozan, Yoshida Shoin, Hashimoto Sanai,

12

and Y a s u i Sokken. I t i s i n t e r e s t i n g to note that M i z u k u r i

Genpo p u b l i s h e d Kaikoku Zushi as one of h i s e x t r a - c u r r i c u l a r

a c t i v i t i e s but at the same time he was able to p l a y an extremely

important r o l e i n the course of the M e i j i R e s t o r a t i o n ,

It has been mentioned e a r l i e r that the ideologues s e l e c t e d

for t h i s study can be subsumed under two g e n e r a t i o n a l c a t e g o r i e s .

The i n t e r - g e n e r a t i o n a l l i n k a g e between the f i r s t and second

g e n e r a t i o n i d e o l o g u e s can now be demonstrated $n the case of

Yoshida Shoin and Sakamoto Ryoma. Although Yoshida r e p r e s e n t e d

a new g e n e r a t i o n of i n t e l l e c t u a l s , the e d u c a t i o n which he r e -

c e i v e d was still based on the t r a d i t i o n a l system of memorization.

When Yoshida Shoin was still a c h i l d , he became the adopted son

of Yoshida Kenryo, a master of m i l i t a r y s c i e n c e to the daimyo

Mori. Yoshida was g i v e n a g e n e r a l knowledge of Confucianism

and the a p p r o p r i a t e m i l i t a r y s u b j e c t s i n order to prepare him

to become a t e a c h e r . L e a r n i n g at t h i s time was not f o r under-

s t a n d i n g but only to r e c i t e whatever was taught. As a r e s u l t ,

12
Minamoto, "Yokoi Shonan," p. 4 8 .
 6
?
when Yoshida was eleven years o l d , he was able to ''lecture' 1

i n f r o n t of h i s daimyo the three a r t s of warfare as e x p l a i n e d

i n the Bukyo Zensho (Book on M i l i t a r y A f f a i r s ) without making

any mistake. Naramoto Tatsuya notes that both the Zokusen n i

Yozuru no Setsu (Boarding the B a r b a r i a n Ship) which was w r i t t e n

by Yoshida when he was eighteen years o l d , and the Senpo Rongi

( D i s c u s s i o n on M i l i t a r y S t r a t e g y ) which was w r i t t e n when he

was n i n e t e e n l a c k e d o r i g i n a l o p i n i o n . Naramoto thus concludes

that the method of study based on memorization probably con-

13

t i n u e d throughout Yoshida*s youth.

G r a d u a l l y Yoshida took note of the v a r i o u s world con-

d i t i o n s and he d i s c e r n e d the dimensions of c r i s i s i n the E a s t .

I n d i a was a l r e a d y a colony of the advancing powers of western

Europe and China was threatened. The f a c t that the country

which gave b i r t h to Confucius and Mencius now s u f f e r e d from

the e f f e c t s of the Opium War presented a grave problem to those

s c h o l a r s such as Yoshida who l e c t u r e d on the teachings of these

two great men. As l o n g as Yoshida stayed i n Hagi, the under-

s t a n d i n g of the world s i t u a t i o n amounted to n o t h i n g more than

a simple f e a r w i t h no c l e a r i d e o l o g i c a l understanding of the

events t a k i n g p l a c e . Consequently, when Yoshida was twenty-one,

he obtained the daimyo*s p e r m i s s i o n to v i s i t Hayama Sanai and

Yamaga Bansuke i n H i r a d o . From t h e r e , Yoshida proceeded to

Tatsuya Naramoto, "Yoshida Sho"in** i n A s a h i Janaru ( e d s . ) ,

Nihon n_o Shisoka, V o l . 1 (Tokyo: A s a h i Shimbun P u b l i s h i n g Co.,
1962) , p.~6*n
 68
Nagasaki and Amakusa l e a r n i n g many t h i n g s along the way. For

the f i r s t time i n h i s l i f e , he saw s h i p s from H o l l a n d . Also,

he was able to study and observe Takashima Shuhan's gun car-

riage. T h i s was a m i l i t a r y weapon which was so new that i t

was not even mentioned i n the Bukyo Zensho (Book on M i l i t a r y

A f f a i r s ) nor was i t mentioned i n the Yamaga Ryu Gungaku

(Yamaga School M i l i t a r y Manual). I t was a l s o at t h i s time

that Yoshida managed to read the Ahen Ibun (The C o l l e c t e d Works

on the Opium War) from which he was able to grasp a more au-

t h e n t i c knowledge of the Opium War.

From what Yoshida had observed and heard i n Nagasaki,

the f o r e i g n c o u n t r i e s must have appeared to be much more ad-

vanced than he had ever imagined. Now Yoshida q u e s t i o n e d the

value of the Yamaga s c h o o l m i l i t a r y s t u d i e s which he had taught

for twenty y e a r s . He began to read Western books on gunnery

and a l s o those books which p r o v i d e d him w i t h a b e t t e r knowledge

of the r e s t of the world. Furthermore, Yoshida became i n t e r -

ested i n Japanese h i s t o r y and p o l i t i c s . He read Aizawa S e i s h i s a i ' s

Shinron (A New Proposal) and was g r e a t l y i n f l u e n c e d by i t as

indicated l a t e r i n h i s p o l i t i c a l philosophy. For the very

first time i n h i s l i f e , Yoshida was not f o r c e d to memorize and

The Shinron presented the new Mito p o l i t i c a l p h i l o s o p h y

which pioneered the work on the k o k u t a i t h e o r y . I t o u t l i n e d the
program f o r u n i f y i n g and s t r e n g t h e n i n g the n a t i o n as w e l l as
u r g i n g the Emperor to a s s e r t more a u t h o r i t y and c o n t r o l over
national a f f a i r s .
 69
he read v a r i o u s books p u r e l y because of h i s own interest.

Soon a f t e r h i s t r i p to Kyushu, Yoshida requested h i s daimyo

to permit him to study i n Edo i n the c o n v i c t i o n that there

were true s c h o l a r s i n the c a p i t a l . Because Yoshida wanted to

s t a r t h i s study a l l over again, he e n r o l l e d as a student at

Sakuma Shozan*s s c h o o l . Yoshida and Sakuma d i f f e r e d greatly.

While Sakuma always posed as a great man, Yoshida presented

h i m s e l f as a mere student. Sakuma was rather ostentatious

and Yoshida very u n s o p h i s t i c a t e d . S t r a n g e l y enough, Yoshida

was q u i t e fond of Sakuma and was f i r m l y convinced t h a t there

could not be a b e t t e r teacher f o r him than Sakuma. Sakuma*s

teachings had vast i n f l u e n c e on the f o r m a t i o n of Yoshida*s

p h i l o s o p h y but the content data does not give a very good

i n d i c a t i o n of e i t h e r the degree or the extent of Sakuma*s

i n f l u e n c e on Yoshida.

In the case of Sakamoto Ryoma, the content analysis

data p o r t r a y s a man which d i f f e r s g r e a t l y from Yoshida Shoin.

In 1853 when Sakamoto was nineteen years o l d and j u s t three

months before the a r r i v a l of P e r r y * s s h i p s at Uraga Bay, he

went to Edo f o r the f i r s t time and e n r o l l e d at the Hokushin

I t t o s a i fencing school. The f o l l o w i n g year, Sakamoto r e t u r n e d

to Kochi and a f t e r spending two years t h e r e , went up to Edo

again where as before he continued the a r t of f e n c i n g . He

became acquainted with Takechi Zuizan who l a t e r became the

o r g a n i z e r of the Tosa L o y a l i s t P a r t y . In 1858, Sakamoto r e -

turned to Tosa and had numerous d i s c u s s i o n s with f e l l o w

 70
countrymen l i k e Zuizan. G r a d u a l l y , Sakamoto became i n t e r e s t e d

in politics.

In March I860, T a i r o I i Naosuke was a s s a s s i n a t e d o u t s i d e

the Sakuradamon Gate by the Mito and Satsuma r o n i n s and t h i s news

reached Sakamoto i n K o c h i . The u n c o n d i t i o n a l l o y a l t y to the

f e u d a l a u t h o r i t i e s began to crumble g r a d u a l l y . Furthermore,

i n March of the f o l l o w i n g year, an u p p e r - c l a s s samurai killed

a l o w e r - c l a s s samurai j u s t o u t s i d e the Kochi C a s t l e . This

r e s u l t e d i n a d i r e c t c o n f r o n t a t i o n which had been brewing

between the two c l a s s e s of samurai f o r many y e a r s . Sakamoto

became one of the c e n t r a l f i g u r e s among the l o w e r - c l a s s samurai.

He immediately began to r e v o l t a g a i n s t the system of c l a s s

status. S h o r t l y t h e r e a f t e r i n response to Takechi Zulzan's

address, Sakamoto j o i n e d a group of l o y a l i s t s s u p p o r t i n g the

sonno-joi (Revere the Emperor, Repel the Barbarians) movement

along w i t h many other townsmen such as Nakaoka S h i n t a r o . After-

wards, Sakamoto became Takechi Zuizan's t r u s t e d r e p o r t e r and

consequently, Sakamoto t r a v e l l e d to Choshu and the Keihan areas

to f e e l out the s i t u a t i o n i n these areas.

In the meantime, the han government began to e x e r t

p r e s s u r e on the j o i (Repel the Barbarians) f a c t i o n . Sakamoto

antagonized h i s han government and i n March 1862 l e f t the han.

Now Sakamoto was f r e e from the f e u d a l r e s t r a i n t s of the han

and he became an independent loyalist. But f o r Sakamoto, the

slogan "Repel the B a r b a r i a n s " was s t i l l not beyond simple anti-

f o r e i g n i s m and furthermore, "Revere the Emperor" was n o t h i n g

 71

more than an a b s t r a c t theory i n d i c a t i n g the true r e l a t i o n s h i p

between s o v e r e i g n and s u b j e c t . I t was however, a reform

i d e o l o g y which sprang out of the e x i s t i n g f e u d a l system which

governed the bakufu and han.

Sakamoto's i d e o l o g y developed r a p i d l y . Soon a f t e r he

ran away from the han, a coup d ' e t a t was s u c c e s s f u l l y accom-

p l i s h e d i n Tosa by the l o y a l i s t s and t h i s marked the h i g h e s t

peak f o r l o y a l i s t a c t i v i t i e s throughout the country. Only a

few months a f t e r Sakamoto had abandoned h i s han to pursue h i s

own p h i l o s o p h y , he became an e n t h u s i a s t i c admirer of Katsu

Kaishu who was the l e a d i n g advocate of the kaikoku (opening

the country to f o r e i g n i n t e r c o u r s e ) p a r t y and a l s o an e x e c u t i v e

of the bakufu navy. Sakamoto became Katsu*s most f a i t h f u l and

t a l e n t e d f o l l o w e r and a s s i s t a n t . Sakamoto f i r s t met Katsu when

he went to k i l l Katsu. I n s t e a d of k i l l i n g him, Sakamoto came

away very much impressed by Katsu's t h e o r i e s on ocean n a v i g a -

t i o n and on the navy. While s t i l l i n Tosa, Sakamoto had a l r e a d y

r e a l i z e d the need f o r sea trade and commerce from the artist

Kawade Shoryu who was knowledgeable on overseas conditions.

Sakamoto had been under Katsu's guidance f o r about two years

when Katsu*s n a v a l t r a i n i n g s c h o o l was ordered to c l o s e by the

shogunate. During t h i s time Sakamoto came i n t o acquaintance

with many great men of the day such as Saigo Takamori, Kido

K o i n , and Yokoi Shonan with whom Sakamoto was able to p a r t i c i p a t e

in lengthy d i s c u s s i o n s which enabled him to i n c r e a s e h i s knowl-

edge of p o l i t i c s .
 72
2. Subject's A t t i t u d e s , O r i e n t a t i o n s , and Concepts

One way of viewing the a t t i t u d e s , o r i e n t a t i o n s , and

concepts advanced by the f o r e r u n n e r s of the t r a n s f o r m a t i o n i s

that they serve as a d i r e c t l i n k a g e between the g e n e r a l soci-

etal' c o n d i t i o n s and the l a t e r a c t i o n or a c t i v i t y undertaken by

the f o r e r u n n e r . From the content data, an i n v e n t o r y of the

o b j e c t s of o r i e n t a t i o n can be made and common determinants of

o r i e n t a t i o n be found f o r the f i v e ideologues selected for this

study. These are i n d i c a t e d as f o l l o w s :

1) O r i e n t a t i o n s to s o c i a l e n t i t i e s , f o r example, the

concern f o r the country, domestic, economic, and

p o l i t i c a l problems.

2) O r i e n t a t i o n s to ideas and i d e o l o g y , f o r example, the

q u e s t i o n of a c h i e v i n g a c e r t a i n i d e o l o g i c a l o b j e c t i v e

considered e i t h e r i n terms of an immediate t r a n s f o r -

mation or i n terms of a long-range transformation.

3) O r i e n t a t i o n s toward p e r s o n a l c o n d i t i o n s , f o r example,

p e r s o n a l m o t i v a t i o n as a f a c t o r i n making statements

to persuade others to a p e r s o n a l s t a t e of a f f a i r s .
15
The c a t e g o r i z a t i o n scheme employed by Marion Levy t o observe

the v a r i o u s types of o r i e n t a t i o n was not used i n t h i s study

The c a t e g o r i e s employed by Marion Levy are C o g n i t i v e ,

Normative, Predominant, Goal, and A f f e c t i v e O r i e n t a t i o n s . See
M. J . Levy, The S t r u c t u r e of S o c i e t y ( P r i n c e t o n : P r i n c e t o n
U n i v e r s i t y P r e s s , 1952), pp. 168-173, 175-77, 183-86, 193-97,
and 338-40.
 73

because of the d i f f i c u l t y i n a l l o c a t i n g the content analyzed

data i n t o the a p p r o p r i a t e categories due to the l a c k of s p e c i -

f i c i t y i n d e f i n i n g the v a r i o u s categories. The c o n s t i t u e n t

i n d i c a t o r s of a t t i t u d e and o r i e n t a t i o n d e s c r i b e d i n this study

are a s s e r t i o n s as o r i g i n a l l y s p e c i f i e d by the ideologues and

a l s o d e s c r i p t i v e statements expressed by the b i o g r a p h e r . With

the e x c e p t i o n of the Takano Choei biography, the content data

reveals sub-orientations embedded i n the major o r i e n t a t i o n .

The major o r i e n t a t i o n i n each i n s t a n c e i s the main cause of an

a c t i v i t y and the s u b - o r i e n t a t i o n s are the s u p p o r t i v e orienta-

t i o n s r e i n f o r c i n g the a c t i v i t y . The a t t i t u d e s , orientations,

and concepts of the f i v e ideologues w i l l now be described.

In a d d i t i o n to the s p e c i a l i z e d p r o f e s s i o n a l training

received by S i e b o l d ' s students, they a l s o learned the importance

of the s p i r i t of humanism. I n Takano Choei's case, Siebold's

concern f o r the w e l f a r e of human beings had s u b s t a n t i a l impact

on the f o r m a t i o n of Takano's o r i e n t a t i o n and a t t i t u d e toward

foreigners. T h i s was manifested i n 1825 when the bakufu p r o -

mulgated the s o - c a l l e d Muninen U c h i h a r a i R e i (Repel the Barba-

r i a n s without any second thought). In a l e t t e r informing h i s

birthplace of the a r r i v a l of the B r i t i s h s h i p Phaeton, there

was no i n d i c a t i o n of a f e e l i n g of h o s t i l i t y . On the c o n t r a r y ,

the l e t t e r i n d i c a t e s that Takano administered to the needs of

the B r i t i s h seamen by s u p p l y i n g food and water. Furthermore,

Takano was able to t r e a t and cure those people who suffered

 74

from scurvy and beriberi. Takano administered to the needs

of the "barbarians" with a true spirit of international friend-

ship. This may be attributed to two factors. First, Takano

was brought up i n an environment of doctors and druggists.

Second, Takano was greatly i n f l u e n c e d by Siebold's humanitarian

outlook. This concern f o r the welfare of fellowmen is evident

in the direction and attitude taken later by Takano concerning

the Morrison incident which resulted i n the Bansha no G-oku

(Imprisonment of the people i n v o l v e d i n Western affairs). It

should also be noted that while many of the students at the

Siebold school concentrated on medical examinations and lectures,

Takano administered to the needs of the common people.

Immediately after the Siebold affair of 1828, Takano went

to live with Hirose Tanso to escape from bakufu oppression. At

this time Takano became q u i t e conscious of the national problems

and while on a clinical and lecture tour of Hiroshima, Osaka,

and Kyoto, Takano decided to sever his ties to the Takano family

and Mizusawa han. He even allowed his fiancee Chigoshi to take

another husband. In a letter to his relatives, Takano explained

that although he had retired from h i s han, he had no intention

16
to enter the service of another daimyo.

The r e a s o n s f o r b r e a k i n g away f r o m t h e h a n a r e n o t spec-

i f i e d i n the content a n a l y z e d m a t e r i a l ; however, the b i o g r a p h e r
s u g g e s t s t h a t t h e m a i n r e a s o n f o r g i v i n g u p t h e f a m i l y d u t i e s was
to a l l o w Takano g r e a t e r freedom i n h i s a c t i v i t i e s . T h i s c a n be
s u b s t a n t i a t e d i n p a r t by e x a m i n i n g T a k a n o ' s l a t e r a c t i v i t i e s such
as e s t a b l i s h i n g a s c h o o l a t K o j i m a c h i as w e l l as w r i t i n g and
t r a n s l a t i n g numerous books.
 75

Ten years l a t e r , at an assembly of the Shoshikai i n

the autumn of 1838, i t was announced by Haga I c h i s a b u r o the

r e c o r d i n g s e c r e t a r y that a c c o r d i n g to recent Dutch r e p o r t s ,

the "Morrison" was expected to b r i n g Japanese stowaways back

to Japan. Haga r e p o r t e d that the bakufu was f u l l y aware of

the Dutch r e p o r t and that a f t e r a c o n s u l t a t i v e meeting h e l d

by the bakufu, i t was decided to ward o f f the f o r e i g n e r s as

promulgated i n the Muninen U c h i h a r a i Rei. Watanabe Kazan and

Takano Choei were much d i s t u r b e d by such s t a t e of a f f a i r s .

They had made an i n c o r r e c t judgement and had assumed that the

M o r r i s o n mentioned was the d i s t i n g u i s h e d Chinese s c h o l a r of the

time, Robert M o r r i s o n . Watanabe and Takano were deeply troubled

by the f a c t that i f Morrison's a r r i v a l was greeted by g u n f i r e

i t might b r i n g d i s c r e d i t upon Japan. The bakufu had a l s o com-

mitted an e r r o r i n r e p o r t i n g that the M o r r i s o n was a B r i t i s h

s h i p when i n f a c t i t was an American s h i p . Although they had

mistaken the name of a s h i p with that of a person, Watanabe and

Takano's a b i l i t y to a s s o c i a t e j u s t the name "Morrison" to the

E n g l i s h missionary i n China i s a very good i n d i c a t i o n of the

extent of t h e i r knowledge and consciousness i n i n t e r n a t i o n a l

affairs.

I t was a very s e r i o u s offense to comment on bakufu poli-

c i e s but Watanabe wrote i n secrecy the S h i n k i r o n which criti-

c i z e d the narrow mindedness of the bakufu. I n c o n t r a s t to

Watanabe's s e c r e t n e s s , Takano d i s c l o s e d h i s c r i t i c a l views i n

h i s Yumemonogatari (A Dream), a dreamlike account of c o n d i t i o n s

 76

i n England:

In Western c o u n t r i e s , the common people are r e s p e c t e d .

I f a human l i f e i s saved, i t i s a great v i r t u e . Now i f
Morrison and the stowaways are turned away from our country,
the whole world w i l l look upon us as a h e a r t l e s s country.
I f I may be allowed to express my humble o p i n i o n , I b e l i e v e
our n a t i o n may s u f f e r l o s s i n p r e s t i g e . 7
1

When the Confucian teacher Hayashi J u s s a i read the Yume

Monogatari, he commented that anyone who w r i t e s such a book

should be executed. H i s second son, T o r i i Yozo l e d the i n v e s -

t i g a t i o n to determine the author of the book. Takano was ar-

r e s t e d and a f t e r a short t r i a l , he was sentenced to l i f e

imprisonment. The proceedings of the t r i a l g i v e some i n d i c a t i o n

of the c o o l manner i n which Takano conducted h i m s e l f :

Judge: The book Yume Monogatari, which i s a d e s c r i p t i o n of

c o n d i t i o n s i n England and E n g l i s h customs, i s f u l l
of minute d e t a i l s . Have you ever stowed away to
England?

Takano: Japan has a law which p r o h i b i t s going abroad. How

could I go?

Judge: Then the d e s c r i p t i o n which i s g i v e n i n the book i s

a f a b r i c a t i o n which you have thought out by y o u r s e l f
j u s t to f o o l the p e o p l e .

Takano: We have not heard of anyone ever going to heaven,

yet there are many astronomers. We have not heard
of anyone who has gone down i n t o the e a r t h but there
are g e o l o g i s t s . Furthermore, England and Japan are
both under the same heaven and we are both on the
same e a r t h . Thus i t i s not reasonable to say that
one does not know a n y t h i n g about England j u s t because
one has not been t h e r e . T h i s i s something that can
not be seen by the naked eyes of the common p e o p l e .
I f one has p e n e t r a t i n g eyes, i t i s p o s s i b l e to see

17 -
Takahashi, "Takano Choei," p. Ik.
 77

things thousands of m i l e s away, j u s t as c l e a r l y as the

f i n g e r p r i n t s of one's hands . ..

Takano was not q u i t e f i n i s h e d when he was a n g r i l y s i l e n c e d and

condemned.

From the content data, there i s no i n d i c a t i o n that

Takano was engaged i n promoting a s p e c i f i c concept or p h i l o -

s o p h i c a l outlook which could have been adopted l a t e r by Meiji

society. In c o n t r a s t , Sakuma Shozan's advocacy i n adopting

Western c u l t u r e became the g u i d i n g p r i n c i p l e of Japan d u r i n g

the M e i j i p e r i o d . He was one of the great t h i n k e r s of the day,

one of the f o r e r u n n e r s of the t r a n s i t i o n p e r i o d who not only

advanced new concepts but a l s o took the i n i t i a t i v e to put those

new ideas i n t o p r a c t i c e . As was q u i t e common f o r the ideologues

of t h i s t r a n s i t i o n p e r i o d , Sakuma formed new concepts while he

fought with the c o n t r a d i c t i o n s , compromises, and other diffi-

c u l t i e s which r e s u l t e d from the c l a s h between the o l d and new

ideas.

Sakuma Shozan's formula was " E t h i c s of the E a s t , Science

of the West." He a s s e r t e d that by absorbing the best of both

the East and West, the independence of Japan and the fulfillment

of n a t i o n a l power could be achieved. " E t h i c s of the E a s t , sci-

ence of the West" was o f t e n quoted because i t i n d i c a t e d the way

i n which Sakuma and modern Japan acknowledged and absorbed

Western c u l t u r e .

I b i d . , pp. 15-16.
 78
One p r e v a l e n t p o i n t of view a t t h i s time was that Japan

was able to achieve n a t i o n a l power q u i c k l y as w e l l as to reach

a h i g h l e v e l of i n d u s t r i a l i z a t i o n through the i n t r o d u c t i o n of

Western technology only, that i s , without the morals and e t h i c s

of modern Western s o c i e t y which gave r i s e to modern Western

culture. Opposed to t h i s p o i n t of view were those who criti-

c i z e d the i n t r o d u c t i o n of Western technology o n l y . The c r i t i c s

argued that the p r e s e r v a t i o n of t r a d i t i o n a l e t h i c s made the

Japanese people very weak when c o n f r o n t e d by those i n a u t h o r i t y .

I t was f u r t h e r c r i t i c i z e d that the modernization of Japan was

l i t e r a l l y i n e x t e r n a l appearance o n l y . These c r i t i c i s m s cer-

t a i n l y c o n t a i n some element of t r u t h when one looks back a t the

t r a n s f o r m a t i o n processes of Japan s i n c e the M e i j i e r a .

The route to modernization taken by Japan was perhaps

f o r e s e e n by the f o r e r u n n e r s as the most n a t u r a l route to proceed

ever s i n c e Japan made h e r i n i t i a l contact w i t h modern Western

culture. Sakuma d i f f e r e n t i a t e d the c u l t u r e of the E a s t and the

West as "the e t h i c s of the E a s t , the s c i e n c e of the West" and

acknowledged Western c u l t u r e only i n terms of technology. The

f o l l o w i n g i d e a s advanced by Sakuma are c o n s i d e r e d to be most

significant: that Western technology can be l e a r n e d without

d e s t r o y i n g the Confucian i d e o l o g i c a l system, that to study

Western l e a r n i n g d i d not mean that one went over to the s i d e of

the b a r b a r i a n s but such study supplemented Confucian t e a c h i n g s .

Sakuma proved t h i s h i m s e l f and encouraged many samurai who l i v e d

amidst the "Confucian ethos" t o study Western l e a r n i n g without

 79
fear. His motto, " E t h i c s of the E a s t , Science of the West"

i n d i c a t e d h i s a t t i t u d e toward Western c u l t u r e . Sakuma was

convinced that the p r i n c i p l e l i of Neo-Confucianism which

formed the g e n e r a l framework of h i s i d e o l o g y can be l i n k e d to

the g o r i s e i ( r a t i o n a l i t y ) of n a t u r a l s c i e n c e . T h i s formed the

t h e o r e t i c a l b a s i s f o r Sakuma s study of s c i e n t i f i c
1
technology.

Some of the f a u l t s i n Sakuma's i d e o l o g y were l a t e r criticized

by N i s h i Amane but r e g a r d l e s s of whether Sakuma was right or

wrong i n h i s theory, the g r e a t e s t h i s t o r i c a l s i g n i f i c a n c e was

that h i s way of t h i n k i n g opened up a new road to Western sci-

ence without l o s i n g confidence i n the Japanese cultural and

ideological system.

Sakuma s t a t e d that " t o l e a r n about the enemy's weapon

and then to employ i t f o r our own use has been the f i r s t con-
19
s i d e r a t i o n i n m i l i t a r y t a c t i c s ever s i n c e a n c i e n t times."

True to h i s own words, Sakuma s t u d i e d Dutch, t r i e d to r e p r i n t

Harma's d i c t i o n a r y , conducted chemical experiments, and made

firearms. He a l s o encouraged Yoshida Shoin to go abroad. "To

overcome the West, we must know the exact s i t u a t i o n i n the

West" was one of the r e g u l a t i o n s which Sakuma e x t r a c t e d from

a t a c t i c s book w r i t t e n by Sonshi.

The f a c t that China succumbed to B r i t a i n was an unbear-

ably shocking event f o r those people who cherished t r a d i t i o n a l

Minamoto, "Yokoi Shonan," p. kO.

 80

Confucian ideals. But Sakuma was able to acknowledge t h i s

outcome as an i n e v i t a b l e r e s u l t of i m p r a c t i c a l ideas on paper

s u b m i t t i n g to p r a c t i c a l i d e a s . Sakuma was guided by a p o i n t

of view which d i s r e g a r d e d moral o b l i g a t i o n s and customs of the

t r a d i t i o n a l s o c i e t y , and consequently he was able to sever h i s

t i e s from Confucianism. F o r Sakuma who was p r e v i o u s l y convinced

that Neo-Confucianism was the only true s u b j e c t f o r study ( S e i -

gaku,, a new world opened up before him. In a l e t t e r to h i s

f r i e n d Kato Hyoya i n October 1842, Sakuma wrote t h a t :

To d i s c u s s m i l i t a r y t a c t i c s i s a p a r t of a s c h o l a r ' s
work and of course Confucian d o c t r i n e deals with m i l i t a r y
s u b j e c t s . However, i f there i s no p o s s i b i l i t y f o r a s c h o l a r
to become a General or a Commander, there i s a b s o l u t e l y Ino
use f o r Seigaku a f t e r a l l . 1 , 2 0

Sakuma's academic i n t e r e s t was now c o n d i t i o n e d by u t i l i t y .

He b e l i e v e d that r e s e a r c h and a b s o r p t i o n of Western technology

and the establishment of an e f f e c t i v e n a t i o n a l defence p o l i c y

must be c o n s i d e r e d . In t h i s way, " E t h i c s of the E a s t , Science

of the West" became the b a s i s f o r Sakuma*s academic theory.

As mentioned p r e v i o u s l y , the year 1842 became the t u r n i n g

p o i n t f o r Sakuma*s new p h i l o s o p h y . T h i s r e s u l t e d mainly from

his keen awareness of the impending c r i s i s caused by the Opium

War. The change from Neo-Confucianism to Western l e a r n i n g d i d

not mean a complete negation of Confucian m o r a l i t y i t s e l f but

Sakuma had hoped f o r the c o - e x i s t e n c e of both E a s t e r n e t h i c s

Matsumoto, "Sakuma Shozan," p. 2 6 .

 81

and Western s c i e n c e . Sakuma*s b a s i c p r i n c i p l e was to i n s t r u c t

his d i s c i p l e s i n both gunnery techniques and Confucianism. For

Sakuma, enlightenment i n Western s c i e n c e meant enlightenment i n

the p o l i t i c a l world as w e l l which was h e r e t o f o r e unknown to him.

P r e v i o u s l y , Sakuma c l a r i f i e d a l l problems i n terms of moral

o b l i g a t i o n s based on Neo-Confucian p h i l o s o p h y which he had r e -

garded as the most e s s e n t i a l element i n p o l i t i c s . The existing

Tokugawa d i s c i p l i n a r y order based on r i g i d class differentia-

t i o n p l a c e d severe r e s t r i c t i o n s on one's conduct, choice of

words i n c o n v e r s a t i o n , and i n the e x p r e s s i o n of one's innermost

thoughts. Neo-Confucian i n f l u e n c e s were even m a n i f e s t e d when

d e a l i n g w i t h p o l i t i c a l matters. Political outlook i n f l u e n c e d

by Neo-Confucianism was h e l d not only by Sakuma but by a l l the

people, a phenomena which e x i s t e d f o r over two hundred years

d u r i n g the shogunal system of government. As a r e s u l t of China's

defeat i n the Opium War, Sakuma was able to l e a r n the importance

of power p o l i t i c s . H i s new p o l i t i c a l outlook c e n t e r e d around

his d e v o t i o n to Western s c i e n c e and he p a i d p a r t i c u l a r atten-

t i o n to i t s u t i l i t a r i a n aspects. Sakuma's outlook on political

power was one necessary step toward the advancement of modern

political theory. Through h i s understanding of power politics,

Sakuma was able to s t a y away from both the p r i n c i p l e of e x c l u -

s i o n i s m which was advocated by the r a d i c a l L o y a l i s t group and

the "open the country" group (kaikoku-ha) supported by the

shogunate which had n e i t h e r the f o r e s i g h t nor the independence

i n making d e c i s i o n s .
 82

In 1857 Sakuma was implicated i n a stowaway i n c i d e n t

attempted by one of h i s d i s c i p l e s , Y o s h i d a Sh<5in. As a result,

Sakuma was confined to house a r r e s t i n M a t s u s h i r o f o r nine

years. J u s t p r i o r to h i s r e l e a s e , Sakuma e x p r e s s e d h i s views

on changing c o n d i t i o n s in a letter to h i s f e u d a l lord;

The a r t s and s c i e n c e s as w e l l as t h e t e c h n i c a l s k i l l s
o f t h e w h o l e w o r l d a r e g r a d u a l l y d e v e l o p i n g and e a c h n a t i o n
i s c h a n g i n g i t s m i l i t a r y f o r c e s and p o l i c i e s i n a c c o r d a n c e
w i t h new c o n d i t i o n s . T h i s s h o u l d be c o n s i d e r e d the w i l l o f
heaven. How does J a p a n i n t e n d t o cope w i t h the c h a n g i n g
situation? The p o l i c y o f c l o s i n g the c o u n t r y t o f o r e i g n
i n t e r c o u r s e c a n n o t be i m p o s e d when l a c k i n g n a t i o n a l s t r e n g t h
as w e l l as the c a p a c i t y t o e n f o r c e s u c h a p o l i c y . The a r t s
and s c i e n c e s and t e c h n o l o g y w i l l d e v e l o p m u t u a l l y r e i n f o r c i n g
one a n o t h e r . C o n s e q u e n t l y , i f our c o u n t r y i s c o m p l e t e l y
c l o s e d t o f o r e i g n i n t e r c o u r s e , o u r n a t i o n a l power w i l l d e -
c r e a s e as w e l l as our a b i l i t y b e c o m i n g i n f e r i o r t o o t h e r
countries. Such b e i n g the s i t u a t i o n , i t seems d i f f i c u l t
t o f u l f i l l the o r i g i n a l i n t e n t o f t h e i s o l a t i o n p o l i c y . * 2

Sakuma's comments were b a s e d on the sakoku-joi (closing the

c o u n t r y and a n t i - f o r e i g n ) p o l i c y , but i n e s s e n c e he advocated

foreign intercourse.

I n an earlier letter submitted to h i s f e u d a l lord (1842),

Sakuma commented on the barbaric nature of the foreigners:

O r i g i n a l l y , the b a r b a r i a n s d i d n o t c o n s i d e r s u c h t h i n g s
as m o r a l i t y , h u m a n i t y , and j u s t i c e and were q u i c k t o t a k e
a d v a n t a g e o f any s i t u a t i o n . Thus once t h e y a r e m i l i t a r i l y
armed and f i n d t h a t t h e y a r e a t an a d v a n t a g e a t any given
t i m e , t h e y w i l l a t t a c k us e v e n t h o u g h t h e y b e a r no g r u d g e
a g a i n s t us.22

Sakuma's p r i m a r y aim was not to c r i t i c i z e foreign countries in

terms o f their lack of m o r a l i t y . He wanted h i s lord t o be aware

2 1
Ibid., p. 29. 2 2
I b i d . , p. 30,
 83

of the true nature of i n t e r n a t i o n a l p o l i t i c s . Sakuma con-

s i d e r e d i t very rude to r e f e r to f o r e i g n c o u n t r i e s as b a r b a r i c

and i n a memorial presented to the shogunate i n September 1862,

he wrote t h a t :

I f we r e f e r to Korea or to the Loochoos as b a r b a r i c ,

even they would not l e t such i n s u l t s go unchallenged, not
to mention the g r e a t e r n a t i o n s of the West. R e f e r r i n g to
f o r e i g n c o u n t r i e s as b a r b a r i c would only i n d i c a t e our
rudeness toward them.^3

I t i s evident Sakuma was not a mere supporter of the a n t i - f o r e i g n

exclusion p o l i c y . Sakuma had a l r e a d y understood the c o l d

r e a l i t i e s of i n t e r n a t i o n a l p o l i t i c s ten years p r i o r to the

a c t u a l c o n f r o n t a t i o n w i t h a f o r e i g n power i n 1853* In a

memorial t i t l e d Kanno ko n i n o b o r i t e Tenka Tokon no Yomu jo

Chinzu ( P e t i t i o n to the Lord concerning important a f f a i r s of

the day f o r our country) which was submitted to h i s f e u d a l

l o r d i n November 18*4-2, Sakuma made an attempt to i n t r o d u c e

modern p o l i t i c a l thought and procedures to Japan. He o u t l i n e d

the v a r i o u s steps to cope with the a n t i c i p a t e d demands by the

great powers t o open up the country to f o r e i g n i n t e r c o u r s e .

The important p o i n t to note here i s that Sakuma developed h i s

political theory b o l d l y based on kokka r i s e i (national reasoning)

and broke away from the s t r i c t adherence to Confucian p h i l o s o p h y .

Sakuma Shozan was convinced that Japan*s n a t i o n a l defence

system r e q u i r e d immediate r e i n f o r c e m e n t . He thought that t h i s

could be achieved by producing f i r e a r m s , b u i l d i n g s h i p s , and

2 3
Ibid
 84
by t r a i n i n g a navy, a l l based on Western technology. The con-

s t r u c t i o n of l a r g e Western s t y l e ships had always been p r o h i -

b i t e d by the shogunal government's sakoku ( c l o s e d country)

policy. Sakuma's views concerning t h i s were as follows:

We cannot f o l l o w the r u l e s s t r i c t l y when the whole

n a t i o n i s faced by a c r i s i s . Our predecessors enforced
such a s t r i c t law because they thought so much about the
moral o b l i g a t i o n s f o r the coming g e n e r a t i o n . We cannot
a l t e r the r e s t r i c t i v e r u l e s merely because we f e e l l i k e
changing them. These r e g u l a t i o n s were o r i g i n a l l y drawn
with the nation's f u t u r e i n mind. However, i f we are to
amend a law because of f u t u r e c o n s i d e r a t i o n s f o r our
country, we need not h e s i t a t e at a l l i n doing so. We w i l l
obey the e x i s t i n g laws d u r i n g normal times but we must
f o l l o w a s p e c i a l law d u r i n g times of n a t i o n a l emergency.
Such f l e x i b i l i t y i n t h i n k i n g has been e x h i b i t e d i n both
China and Japan s i n c e ancient times.24

Sakuma's dynamic way of t h i n k i n g had great impact on h i s fol-

lowers and produced a new breed of l e a d e r s who adapted to

changing c o n d i t i o n s and formulated new laws.

Although both Sakuma Shozan and Yokoi Shonan emphasized

that Japan be opened to f o r e i g n i n t e r c o u r s e , the d i f f e r e n c e i n

the f o r m u l a t i o n of t h e i r p h i l o s o p h i c a l concept n a t u r a l l y r e s u l t e d

i n an i d e o l o g y of d i f f e r e n t content. The ultimate objective of

Sakuma's "opening the country" theory was that " i n the end, the

f i v e continents will a l l become p a r t of the Japanese empire.

25
Japan w i l l become the supreme r u l e r of the world." In order

to match the great powers of the West, Sakuma had hoped that

Japan would soon come to possess equal powers and eventually

surpass the Western nations.

24
I b i d . , p. 31.
25
Minamoto, "Yokoi ShSnan," p>. 4 l .
 85
On the c o n t r a r y , although Yokoi f u l l y r e c o g n i z e d the

n e c e s s i t y of p o s s e s s i n g m i l i t a r y s t r e n g t h , he q u e s t i o n e d why

Japan should remain i d l e as a wealthy and powerful country.

Yokoi's u l t i m a t e o b j e c t i v e was to uphold the cause of j u s t i c e

and humanity a l l over the world and he was convinced that this

was the most important p o l i t i c a l p r i n c i p l e to be c o n s i d e r e d .

In one of h i s essays, he c r i t i c i z e d the advocates of the

Yamato damashii ( S p i r i t of Japan) as f o l l o w s :

They are i l l i t e r a t e and r e s o u r c e l e s s . Such a s p i r i t

only makes the people s e l f i s h . . . . Ah, how d e p l o r a b l e
l i m i t e d t h i n k i n g has l e d the n a t i o n and her people to
proceed i n the wrong d i r e c t i o n . ^ 6

Furthermore, Yokoi c r i t i c i z e d the great Western powers f o r

their self-interest only and s t a t e d :

Japan should e q u a l l y love and be generous to a l l coun-

t r i e s and by f o l l o w i n g the law of heaven and e a r t h , Japan
w i l l e v e n t u a l l y change the other n a t i o n s ' s e l f - c e n t e r e d
way of t h i n k i n g . We must show the world that we can co-
exist peacefully. ? 2

He s t r e s s e d that Japan as an example of v i r t u e should take the

initiative to achieve u n i v e r s a l brotherhood. Yokoi subordinated

the s e l f - c e n t e r e d p r i n c i p l e of n a t i o n b u i l d i n g and sought to

e s t a b l i s h a n a t i o n based on a u n i v e r s a l p r i n c i p l e through which

he hoped to achieve l a s t i n g i n t e r n a t i o n a l peace.

Yokoi's kaikoku-ron (opening the country theory) origi-

nated i n p a r t from h i s thoughts concerning economics. He

27
I b i d . , p. 42. Ibid.
 86

asserted:

The people's business cannot be conducted without trade

and because communication means had been c l o s e d throughout
the country f o r a l o n g time, Japan had become a very poor
country. To r a i s e the people's standard of l i v i n g and to
make them happy, Japan must end i t s i s o l a t i o n p o l i c y , r e -
form the f e u d a l system of s e c t i o n a l a u t h o r i t y , u n i f y the
n a t i o n , and encourage trade with other great powers.

Concerning domestic p o l i t i c s , Sakuma and Yokoi were

both opposed to l i n g e r i n g i n t e r n a l c o n f l i c t s and they supported

the kobu g a t t a i ( u n i f i c a t i o n of I m p e r i a l Court and the shogunal

government) theory. Sakuma c a l l e d f o r a more r e i n f o r c e d sho-

gunal a u t h o r i t y . Yokoi's views on the kobu g a t t a i theory was

based on the premise that the bakufu c o u l d be r e o r g a n i z e d i n t o

a more s u i t a b l e form of government f o r Japan. Yokoi criticized

the Tokugawa bureaucracy:

Tokugat*a government p o l i c i e s were made f o r t h e i r own

conveniences and f o r a p r i v a t e form of government. They
never endeavored to make Japan a p e a c e f u l n a t i o n and they
never c o n s i d e r e d the w e l f a r e of the people. There were
n e i t h e r p o l i t i c a l nor r e l i g i o u s aspects i n c o r p o r a t e d i n
their p o l i c i e s . 2 9

In 1862, Yokoi made a s u g g e s t i o n to the shogunate that

i n order to s o l v e the n a t i o n a l defence c r i s i s , the shogun should

go to the c a p i t a l i n Kyoto and p e r s o n a l l y a p o l o g i z e to the

I m p e r i a l household f o r a l l the d i s c o u r t e s i e s of the p a s t . Yokoi

was a l r e a d y aware that domestic problems had to be s o l v e d f i r s t

and n a t i o n a l u n i t y achieved p r i o r to s o l v i n g i n t e r n a t i o n a l prob-

lems. He b e l i e v e d that there was no other way to change the

28 29
Ibid. * I b i d . , p. 43.
 87

f e e l i n g of a n t i - f o r e i g n i s m h e l d by the L o y a l i s t s . Yokoi

f u r t h e r suggested that the shogunate a b o l i s h some of the con-

t r o l p o l i c i e s such as the sankin k S t a i system (alternate attend-

ance at the c a p i t a l ) which was e s t a b l i s h e d to prevent the daimyo

from becoming too p o w e r f u l , and to channel the money thus saved

i n t o the n a t i o n a l defence budget. To a c e r t a i n e x t e n t , Yokoi

met w i t h some p o s i t i v e r e s u l t s . But Sakuma a s s e r t e d that there

was an u n w r i t t e n law concerning c l a s s s t a t u s which had to be

observed and he opposed reforms which c a l l e d f o r r e l a x e d daimyo"

controls. He s t r e s s e d that to govern the n a t i o n with supreme

a u t h o r i t y was the best way to comply with the t r u e s p i r i t of

30

Raikx. Sakuma's a u t h o r i t a r i a n way of t h i n k i n g c o u l d not have

e a s i l y produced the concept of democratic p o l i t i c s . In con-

t r a s t , Yokoi adopted the p a r l i a m e n t a r y system and advocated a

r e p r e s e n t a t i v e type of government. The f o u n d a t i o n f o r Yokoi•s

p o l i t i c a l i d e a s was based on the p r i n c i p l e that p o l i t i c s should

be everyone's concern.

In the Kaigun Mondosho (Questions and Answers concerning

the Navy) which Yokoi wrote at the request of Katsu Kaishu,

Yokoi emphasized t h a t :
As one's t r a i n i n g advances, do not appoint o f f i c e r s from
other p o s i t i o n s or from l e s s q u a l i f i e d p e r s o n n e l to super-
v i s e the t r a i n e e s . The t r a i n e e s should be a s s i g n e d to
v a r i o u s tasks on the warship and they should be appointed
to h i g h e r p o s i t i o n s depending on t h e i r t a l e n t and a b i l i t y .
Even a man of humble o r i g i n should be appointed as a C a p t a i n
of a warship or as a General of the army. T h i s means that

C o l l e c t i o n of essays on e t i q u e t t e , one of the f i v e

Chinese classics.
 88

even a man of noble b i r t h cannot be promoted i f he has no

ability. Thus we must d i s c o n t i n u e a l l of our d u l l con-
s e r v a t i v e customs concerning c l a s s s t a t u s . 3 *

Yokoi's ideas were put i n t o p r a c t i c e at the Kobe Naval Training

Center which was s u p e r v i s e d by Katsu Kaishu, and had c o n s i d e r -

able i n f l u e n c e i n forming the p e r s o n a l i t y of important Meiji

R e s t o r a t i o n f o r e r u n n e r s such as Sakamoto Ryoma. Yokoi was

f u l l y aware that Japan's domestic problems stemmed from the

f a c t that the hans were concerned only about themselves which

r e s u l t e d i n a l o s s of a u n i f i e d p u b l i c f e e l i n g f o r the n a t i o n .

Without a u n i f i e d n a t i o n a l o p i n i o n , i t was i m p o s s i b l e f o r Japan

to become i n v o l v e d i n i n t e r n a t i o n a l matters. The concepts

advanced by Yokoi were very s i m i l a r to Sakamoto Ryoma s p l a n 1

for a u n i f i e d n a t i o n (Zenkoku godo no k e i k a k u ) . Yokoi Shonan

was the i n t e l l e c t u a l l e a d e r of the kaikaku-ha (Reform Party)

which was composed of such people as Matsudaira Shungaku, Katsu

Kaishu, Okubo I c h i o , and Sakamoto Ryoma. The M e i j i R e s t o r a t i o n ,

a f t e r much s t r u g g l e , f i n a l l y occurred along the l i n e s of an

u n i f i e d n a t i o n f a v o r e d by Y o k o i .

Yokoi's t h e o r i e s concerning s o n n o - j o i (Revere the Emperor,

Repel the B a r b a r i a n s ) and h i s economic theory based on Confucian

political ideas corresponded to the concepts of the l a t e Mito

school. He was very c a r e f u l to maintain h i s d i s t a n c e from the

spiritual f e a t u r e s of the Mito s c h o o l which he found to be

r a t h e r vague. Rather than to oppose the p o l i t i c a l i d e o l o g y of

Minamoto, "Yokoi Shonan," p. kk.

 89

the Mito s c h o o l , Yokoi managed to strengthen the Confucian

political elements of the Mito s c h o o l . By 1855» Yokoi*s

i d e o l o g i c a l standpoint was f i r m l y e s t a b l i s h e d and f o r t h i s

reason, he decided to p a r t company from Nagaoka Kenmotsu who

had been h i s c o l l e a g u e f o r a very long time.

Shogun Yoshinobu and h i s a d m i n i s t r a t i o n wanted to

appoint Yokoi to a post i n the shogunal government and an o f f e r

was made to Yokoi i n 1862. T h i s was the f i r s t time f o r the

shogunate to i n v i t e a tozama-han w a r r i o r to a government post

which was u s u a l l y shrouded i n deep s e c r e c y . But Yokoi r e f u s e d

the o f f e r and remained c r i t i c a l of the Tokugawa p o l i t i c a l sys-

tem. The main i d e o l o g i c a l problem which confronted Yokoi was

how to m a i n t a i n the independence of Japan without l o s i n g the

spirit of Confucianism. T h i s i n d i c a t e s t h a t although Yokoi

possessed many modern i d e a s , he was unable to escape from the

i n f l u e n c e of Confucian p o l i t i c a l ideology. To cope w i t h this

problem, Yokoi was f o r c e d to enlarge h i s p o l i t i c a l outlook and

he r e t u r n e d to the p o l i t i c a l p h i l o s o p h y of Yao and Shun. Yokoi

did not mean to r e v i v e the i d e o l o g y of a n c i e n t times. He merely

commented that i f Yao and Shun were a l i v e today, they would not

h e s i t a t e to i n t r o d u c e Western guns, warships, machinery, and

technology to Japan. Yokoi b e l i e v e d that the p o l i t i c a l ideas

of the Yao-Shun e r a could be adapted to e s t a b l i s h a government

o r g a n i z a t i o n to cope with c u r r e n t needs.

To Yokoi, man was j u s t a l i t t l e s t a r i n a vast universe

and man's main duty was to serve the w i l l of heaven. He b e l i e v e d

 90

that men w i l l be able to understand each other only i f s i n c e r -

ity prevailed. Yokoi p e r s o n i f i e d heaven the "Heavenly Emperor"

and consequently, h i s deep i n t e r e s t i n C h r i s t i a n i t y was c r e a t e d .

Many of h i s d i s c i p l e s l i k e the students from the Kumamoto West-

ern Studies School l a t e r became C h r i s t i a n s . Yokoi's comments

on peace, h i s program f o r an u n i f i e d n a t i o n , and h i s a n x i e t y

concerning the d i s r u p t i o n of u n i t y w i t h i n the han, were a l l

based on h i s view of l i f e which emphasized that people must

l i v e together i n harmony.

The s o - c a l l e d s p i r i t of humanism was noted i n both

Takano Choei and Yokoi Shonan. Takano was concerned w i t h the

welfare of f e l l o w human beings and he a d m i n i s t e r e d to t h e i r

needs at the l o c a l l e v e l . T h i s d i d not r e q u i r e any i n t e n s e

i d e o l o g i c a l or p h i l o s o p h i c a l e x e r c i s e whereas i n Yokoi's case

he sought answers to n a t i o n a l and i n t e r n a t i o n a l problems. His

suggestions and comments were very o f t e n i n terms of p h i l o -

sophical formulations. The p o l i t i c a l concepts advanced by

Yokoi r e f l e c t e d h i s s i n c e r e f a i t h i n fellowmen to l i v e i n

harmony.

In Yoshida Shoin, the humanitarian c h a r a c t e r i s t i c s mani-

f e s t e d i n Takano Choei and Yokoi Shonan are a l s o brought to

one's a t t e n t i o n by the content d a t a . The data i n d i c a t e d that

while i n p r i s o n , Yoshida was encouraged by h i s s i s t e r Chiyo to

read the Kannonkyo (Sutra of A v a l o k i t e s v a r a ) but he wrote back

to h i s s i s t e r s a y i n g that i t was first necessary to f i r m l y

e s t a b l i s h one's own mind. He presented h i s own views on

 9 1

Buddhism and e x p l a i n e d the Buddhist d o c t r i n e t o Chiyo using

f a m i l i a r examples. T h i s i n d i c a t e d Yoshida*s love and concern

for his s i s t e r . More g e n e r a l l y , Yoshida was a l s o concerned

with the s t a t u s of women. I n c o n t r a s t , Sakuma Shozan completely

d i s r e g a r d e d the humanistic aspects of women and regarded them

as d e s i r a b l e t o produce descendents f o r great men such as him-

self. Sakuma's views are r e v e a l e d i n h i s Jokun (Don'ts f o r

Women) as w e l l as i n h i s l e t t e r s . To take another example,

Yanagawa Seigan d i d not even allow h i s wife t o approach h i s

death bed s a y i n g the "brave men do not d i e i n the hands of

32
women and c h i l d r e n . " Yoshida*s outlook toward women gained

prominence because of the harsh o p i n i o n s expressed by o t h e r s .

In a d d i t i o n to the problems a s s o c i a t e d with the s t a t u s

of women, there was another s o c i a l s t a t u s problem T h i s con-

33

cerned the e t a and h i n i n . Both the e t a and h i n i n were con-

s i d e r e d as non-people and were s o c i a l l y p o s i t i o n e d o u t s i d e the

f o u r designated social classes. They h e l d the most despised

occupations and were f i r m l y anchored a t the bottom of s o c i e t y .

Yoshida viewed the problems a s s o c i a t e d with the s t a t u s of women

and the e t a and h i n i n s o c i a l s t a t u s q u e s t i o n as e s s e n t i a l l y I t h e

same problem. He maintained very c l o s e contact with the s o c i a l l y

32
Naramoto, "Yoshida Shoin," p. 57«
33
The term " e t a " i s g e n e r a l l y used t o mean " o u t c a s t e " .
The term " h i n i n " which l i t e r a l l y means "non-people" was a l s o
used d u r i n g Tokugawa times t o designate a s p e c i a l outcaste
s t a t u s . See George DeVos and H i r o s h i Wagatsuma, Japan's I n v i s -
i b l e Race (Berkley and Los Angeles: U n i v e r s i t y of C a l i f o r n i a
P r e s s , I 9 6 6 ) , p. k.
 92

d e p r i v e d people and advanced numerous p r o p o s a l s to overcome

some of t h e i r difficulties.

Yoshida's attempt to go abroad f a i l e d and he ended up

i n Noyama P r i s o n i n H a g i . While i n p r i s o n , Yoshida demon-

strated his special a b i l i t y to teach. He met many p r i s o n e r s

who had been imprisoned f o r over f o r t y years and who had prac-

t i c a l l y no hope f o r the f u t u r e . Yoshida organized the Mencius

r e a d i n g c i r c l e , Haiku c l u b , and c a l i g r a p h y groups. These p r i s -

oners who were knowledgeable i n h a i k u or those who were skilled

i n c a l i g r a p h y became the t e a c h e r s . Yoshida h i m s e l f became a

student i n these c l a s s e s and the v i r t u e s of man which he em-

p h a s i z e d were r e f i n e d . Those who were i n g r e a t d e s p a i r g r a d u a l l y

began to r e g a i n t h e i r s e l f - c o n f i d e n c e and Yoshida b e l i e v e d that

i f he were to s t a y i n p r i s o n f o r a few more y e a r s , he might be

able to produce a few g r e a t men.

To analyze Yoshida's p o l i t i c a l p h i l o s o p h y , h i s fundamen-

t a l i d e o l o g i c a l a t t i t u d e must be c o n s i d e r e d . F o r Yoshida, h i s

i d e o l o g y was n e i t h e r a mere p r e t e n t i o n nor the means to make

his name known to the world. The p o l i t i c a l concepts advanced

by Yoshida had to have p r a c t i c a l value and e v e n t u a l l y he came

to q u e s t i o n the value of the Yamaga s c h o o l m i l i t a r y s t u d i e s .

He made a s u g g e s t i o n to h i s daimyo s t r e s s i n g that the country

must not b l i n d l y f o l l o w the m i l i t a r y s t u d i e s of one particular

school. Yoshida emphasized the need to examine the m i l i t a r y

technology of the West and a l s o the need to know more about

foreign countries i n general. While a student at the Sakuma

 93
Shozan s c h o o l i n Edo, Yoshida began to take g r e a t e r i n t e r e s t

i n Confucian p h i l o s o p h y . In one of h i s w r i t i n g s , Yoshida

asserted that:

Those who pursue m i l i t a r y s t u d i e s should a l s o have an

understanding of Confucian morals because m i l i t a r y s t u d i e s
i t s e l f i s a weapon and v i o l a t e s the p r i n c i p l e of Confucian
morals. Thus i f one d e s i r e s to have an element of humanity
and j u s t i c e i n the m i l i t a r y , one must have some knowledge
of Confucianism.™

Yoshida made a thorough review of h i s s t u d i e s and he

r e a l i z e d the s u p e r f i c i a l i t y of h i s e d u c a t i o n . Yoshida"s r e -

examination of Confucianism confused him f u r t h e r because i t

c o n f l i c t e d w i t h the m i l i t a r y p r i n c i p l e s of the Yamaga s c h o o l .

With the a r r i v a l of P e r r y ' s s h i p s i n 1853> Yoshida became com-

p l e t e l y absorbed i n the study of E n g l i s h and i n Western a f f a i r s

H i s great d e t e r m i n a t i o n to study about the West r e s u l t e d i n an

u n s u c c e s s f u l attempt to go abroad and he ended up i n Noyama

Prison.

While i n p r i s o n , Yoshida s h i f t e d h i s i n t e r e s t s once agai

and he began to concentrate on domestic p o l i t i c s . The central

aspects of Yoshida*s p o l i t i c a l thought encompassed the t r u e

r e l a t i o n s h i p between the s o v e r e i g n and s u b j e c t s , a p o l i t i c a l

p h i l o s o p h y based on the Mito s c h o o l . In a d i s c u s s i o n w i t h the

Confucian s c h o l a r Yamagata T a i k a , Yoshida s t a t e d that h i s r e a l

aim i n l i f e was M
t o revere the Emperor, to r e p e l the b a r b a r i a n s

Naramoto, "Yoshida ShSin," pp. 63-64.

to respect the n a t i o n a l p o l i t y , to encourage l o y a l t y , and to
35

support men of t a l e n t . " Yoshida examined the p o l i t i c a l prob-

lems of the f e u d a l system and he came to f a v o r a governing body

composed of both r o y a l t y and samurai. He d i d not attempt t o

subordinate or negate statements concerning e a r l y Japanese my-

thology as d i d the N e o - C o n f u c i a n i s t s . Yoshida d e c l a r e d t h a t :

I t i s not good t o argue about Japanese mythology. To
doubt i t i s not p e r m i s s i b l e . Every road i n the Empire has
continued on s i n c e the time of God. Thus a l l s e r v a n t s to
the Emperor should b e l i e v e i n i t . 3 6
Yoshida c o n s i d e r e d the s o v e r e i g n t y of the I m p e r i a l Court i n

Kyoto as d i v i n e a u t h o r i t y and the p o l i t i c a l powers of the bakufu

as a b s o l u t e . In other words, Yoshida advocated a s t r o n g , cen-

t r a l i z e d , a u t h o r i t a r i a n government with the Tokugawa bakufu as

the nucleus.

P r i o r t o Perry's a r r i v a l , Yoshida's n a t i o n a l i s t i c ori-

e n t a t i o n s c o n s i s t e d of two opposing thoughts, the p o l i t i c a l

p h i l o s o p h y of the Tokugawa bakufu, and the r e l i g i o u s p h i l o s o p h y

of the I m p e r i a l Court. T h i s o c c u r r e d because Yoshida d i d not

have the time t o d i f f e r e n t i a t e between the two ideas before the

e x e r t i o n of f o r e i g n p r e s s u r e s . When Yoshida met Utsunomiya

37
Mokurin i n 1 8 5 5 , Yoshida s t i l l supported a u n i f i e d form of

35
Noyama P r i s o n Manuscript, quoted by Naramoto, op_. c i t . ,
p. 6 6 .
36 _ _
Komo Yowa ( A d d i t i o n a l Remarks on L e c t u r e s on Mencius),
Ibid.
37
I t was Mokurin who e v e n t u a l l y convinced Yoshida that
l o y a l t y to the Emperor was the supreme duty. E a r l notes that
Mokurin's " c o n t r i b u t i o n t o Shoin»s thought went beyond mere
 95
government and he v i o l e n t l y c r i t i c i z e d Mokurin's theory which

advocated the overthrow of the shogunate. But by 1857, with

the defeat of the H i t o t s u b a s h i K e i k i f a c t i o n i n the i s s u e con-

c e r n i n g the shogun's s u c c e s s o r , Yoshida's p o l i t i c a l p h i l o s o p h y

changed and he became a s t r o n g supporter of the "overthrow the

shogunate" f a c t i o n . T h i s sudden change occurred because Yoshida

experienced shock and disappointment when the bakufu arbitrarily

signed the commercial t r e a t i e s with the U n i t e d S t a t e s . Yoshida

wrote a l e t t e r to h i s c l o s e f r i e n d Gessho", a Buddhist p r i e s t ,

as f o l l o w s :

R e c e n t l y , I have completely stopped my p a t r i o t i c lamen-

t a t i o n and have not commented on c u r r e n t a f f a i r s . There-
f o r e , I have r e c e i v e d your d i s p l e a s u r e . Looking at r e c e n t
happenings, however, I cannot remain s i l e n t any longer and
now I do not care at a l l f o r e i t h e r l i f e or death, p r a i s e
or censure, and I w i l l d e d i c a t e myself to the Empire.38

Yoshida d i s c a r d e d the i d e a s which he h e l d u n t i l t h i s time and

searched f o r new p o l i t i c a l concepts with h i s f o l l o w e r s such

as Takasugi Shinsaku, Kusaka Genzui, and Sayo Hachijuro" (Maebara

Issei).

S h i f t s i n p o l i t i c a l o r i e n t a t i o n and a t t i t u d e have been

demonstrated by the content data f o r Sakuma Shozan, Yokoi Shonan,

support or encouragement, and e f f e c t e d a fundamental change i n

a t t i t u d e toward the Emperor, which f i x e d ShSin's course f o r the
remaining years of h i s l i f e . " See David E a r l , Emperor and
Nation i n Japan, pp. 128-29.

38
Naramoto, op_. c i t . , p. 67.
 96
and Yoshida Shoin. Similar shifts i n p o l i t i c a l i d e o l o g y were

a l s o manifested by Sakamoto Ryoma. Sakamoto*s i d e o l o g i c a l

stand can be viewed as f o l l o w s . First, as d e f i n i t e l y f e u d a l -

istic, then a s l i g h t change which advocated the "Revere the

Emperor, Repel the B a r b a r i a n s " theory, and f i n a l l y the abandon-

ment of the "Repel the B a r b a r i a n " slogan and the search f o r an

ideology f o r a p o l i t i c a l reformation. Sakamoto's r e a l i z a t i o n

that Japan must communicate and trade with other n a t i o n s oc-

c u r r e d d i r e c t l y as a r e s u l t of Katsu Kaishu's influence. For

Sakamoto, "To be l o y a l to the Emperor" was no longer an a b s t r a c t

f e u d a l theory of true r e l a t i o n s h i p between s o v e r e i g n and s u b j e c t .

Sakamoto advocated the t r a n s f e r of p o l i t i c a l a u t h o r i t y from the

bakufu to the I m p e r i a l Court and the establishment of a new

form of government. H i s new political concepts were known as

the Senend Hassaku ( E i g h t P o i n t P l a n ) . The SenchQ Hassaku d i d

not advocate the r e s t o r a t i o n of the I m p e r i a l regime based on

the t a i g i meibun (highest duty of a l l ) s l o g a n . It differred

from the f e u d a l i s t i c bakuhan system and became the f i r s t step

of a g e n e r a l p l a n which recommended the establishment of an

u n i f i e d n a t i o n under a c e n t r a l i z e d p o l i t i c a l a u t h o r i t y .

At t h i s time, the g e n e r a l o p i n i o n among the intellectual

e l i t e s f a v o r e d the r e s t o r a t i o n of the I m p e r i a l regime. Further-

more, the v a r i o u s forms of c o n s t i t u t i o n a l government i n the

Western c o u n t r i e s had been known. I t was not s u r p r i s i n g , t h e r e -

f o r e , that the f o r e r u n n e r s of the t r a n s f o r m a t i o n made an attempt

to e s t a b l i s h a p o l i t i c a l system based on p u b l i c o p i n i o n and to

 97

i n s t i t u t e some form of a d e l i b e r a t i v e organ. I t was also

emphasized that m i l i t a r y p r e p a r a t i o n s f o r the army and navy

should be expanded. A few f o r e r u n n e r s l i k e Sakamoto even

suggested that sea trade and commerce should be encouraged.

For the f i r s t time, the v a r i o u s i d e a s and suggestions were

drawn up to form a g e n e r a l p l a n f o r the a c t u a l r e a l i z a t i o n of

the t r a n s f o r m a t i o n p r o c e s s and not as mere t h e o r i e s or recom-

mendations.

Sakamoto's aim was to u n i f y the n a t i o n i n a way com-

p l e t e l y d i f f e r e n t from the e x i s t i n g bakufu and han system.

I f i t became necessary to overthrow the bakufu through the

use of f o r c e to achieve the main o b j e c t i v e , Sakamoto d i d not

mind i n the l e a s t but he wanted to proceed as p e a c e f u l l y as

possible. To i n s t i t u t e a s u i t a b l e p l a n f o r the r e s t o r a t i o n of

I m p e r i a l power, Sakamoto worked w i t h both Goto S h o j i r o and the

buryoku tSbaku (overthrow the bakufu w i t h arms) f a c t i o n . In

observing Goto's support f o r the K a i e n t a i and Sakamoto's co-

o p e r a t i o n w i t h Goto, the tobaku f a c t i o n of Tosa b e l i e v e d that

Sakamoto was being deceived by the c r a f t y Goto and that Sakamoto

h i m s e l f had betrayed h i s f r i e n d s . Even Sakamoto's own sister

Tomeko b e l i e v e d so. In response to h i s s i s t e r ' s reproaches,

Sakamoto s t a t e d :

I t w i l l be much b e t t e r to serve the country w i t h the

power of 24000 koku r a t h e r than by merely l e a d i n g f i v e
or seven hundred men commanded by myself o n l y . Most
humbly, I should t h i n k that you are unable to c o n s i d e r
such matters i n depth.^"

Inoue, "Sakamoto Ryoma," pp. 81-82.

 98

T h i s was Sakamoto's t r u e p h i l o s o p h y , not t o be an idealist

who adhered t o t h e o r y o n l y , but t o be the p r a c t i c a l politician

who adapted h i m s e l f t o circumstances.

 99

3. A c t i v i t i e s Supportive of S u b j e c t ' s O r i e n t a t i o n

The content data categorization scheme p r o d u c e d state-

ments o f s o c i e t a l c o n d i t i o n s and statements of a t t i t u d e s and

o r i e n t a t i o n s w h i c h s e r v e d as a l i n k between t h e g e n e r a l so-

cietal c o n d i t i o n s and the ideologue's activities. Activities

in response to s o c i e t a l conditions affected not o n l y the ide-

ologue h i m s e l f but t h e whole s o c i e t y . For this study, the

content data statements which r e f e r r e d to a c t i v i t i e s were

limited only to those a c t s as s p e c i f i e d by the biographer.

The sequence of a c t i o n statements were a n a l y z e d w i t h special

reference to the statements of s o c i e t a l c o n d i t i o n s .

From t h e i n v e n t o r y of a c t i v i t i e s undertaken by the fore-

runners of the t r a n s f o r m a t i o n , the content data revealed that

the i d e o l o g u e s were o r i g i n a l l y persuaders who advocated reform

and change and not violators of the existing rule and order.

W i t h the gradual s h i f t i n orientation from the p r e s e n t situa-

tional orientation t o an i n n o v a t i v e o r i e n t a t i o n which occurred

with the i n t e n s i f i c a t i o n in societal conditions, a concomitant

shift i n the sphere of a c t i v i t i e s occurred. Those activities

w h i c h stemmed f r o m the i d e o l o g u e ' s orientation and shifts in

orientation w i l l now be described.

Takano C h o e i ' s interest i n academic matters covered a

variety of s u b j e c t s . His treatises i n c l u d e d Miyako Meisho

Guruma, K y o t o no S h a j i Annai no Honyaku (A Review o f Famous

P l a c e s i n the Capital; Translation of a Guide to Kyoto Shrines

 100

and Temples), Nanto-shi (The Southern Islands), a description

o f t h e Ryukyu I s l a n d b a s e d on A r a l H a k u s e k i » s N a n t o - s h i , Hana

ya Eda jo T a k u m i n i B i n n i Sasu H5 (How to p l a c e f l o w e r s and

branches i n a v a s e ) , K u j i r a oyobi Hogei n i t s u i t e (Whales and

Whaling), and Taisei Jishin Setsu (Western T h e o r i e s concerning

Earthquakes). With the i n t e n s i f i c a t i o n i n societal conditions,

Takano s h i f t e d h i s a c t i v i t i e s t o d e a l w i t h more r e l e v a n t

matters•

The financial b u r d e n p l a c e d on t h e daimyos d u r i n g the

mid n i n e t e e n t h c e n t u r y by the sankin kotai s y s t e m f o r c e d them

t o go i n t o deeper debt. At the same t i m e the t a x a t i o n scheme

based on han rice p r o d u c t i o n d i d not cope w i t h the inflationary

ko
trend mainly because of the poor r i c e h a r v e s t s of 1832-1833«

The plight of the impoverished daimyos a f f e c t e d the samurai,

a r t i s a n s , m e r c h a n t s , and farmers. T a k a n o C h o e i was one of the

few s c h o l a r s of the time who d i r e c t e d h i s s t u d i e s and research

activities t o s o l v e some o f t h e agricultural problems. He

realized the urgent need t o r e i n f o r c e the agricultural sector

o f t h e economy and consequently, i n h i s Kyuko N i b u t s u Ko,

Takano e x p l a i n e d i n d e t a i l the c u l t i v a t i o n , p r e s e r v a t i o n , and

c o o k i n g o f p o t a t o e s and b u c k w h e a t .

It m i g h t be m i s l e a d i n g t o g i v e t h e impression t h a t Takano

was interested only i n a g r i c u l t u r a l problems. B e c a u s e he was

a Dutch s c h o l a r of v a r i o u s i n t e r e s t s , i t i s extremely difficult

I w a t a , Okubo T o s h i m i c h i , p . 18.
 101

to s p e c i f i c a l l y i n d i c a t e a c t i v i t i e s s u p p o r t i v e of any one p a r -

ticular orientation. Takano*s r e a l i z a t i o n f o r the need to

i n t r o d u c e modern Western p h i l o s o p h y was expressed i n h i s Kenbun

Manroku and h i s p o l i t i c a l views were d i s g u i s e d i n h i s Yume

Monogatari (A Dream). I t was the Yume Monogatari which r e s u l t e d

i n Takano*s imprisonment f o r l i f e a t Demma-cho P r i s o n . When

appointed head of p r i s o n e r s , Takano made an attempt to form a

movement to seek h i s own r e l e a s e but i t ended i n f a i l u r e . On

June 30, 1844, a f i r e broke out i n p r i s o n and d u r i n g the evac-

u a t i o n , Takano escaped.

The content data d i d not i n d i c a t e any l a r g e collectivity

of people who a s s i s t e d Takano while he was a f u g i t i v e . Takano

t r a v e l l e d throughout the country but he e v e n t u a l l y made h i s way

back to Edo. Takano went i n t o h i d i n g a t h i s f r i e n d doctor's

home and o f t e n a s s i s t e d i n medical d u t i e s . At t h i s time, Takano

even managed to teach a l i t t l e pharmacy. L a t e r Takano moved to

Uwajima and a t Date Muneshiro's s u g g e s t i o n , Takano changed h i s

name to I t o Z u i k e i . With a young attendant, two s e r v a n t s , and

a maid a t h i s d i s p o s a l , Takano devoted h i s u n d i v i d e d attention

to Dutch t e a c h i n g and t r a n s l a t i o n .

Takano*s Dutch t r a n s l a t i o n s were mainly concerned w i t h

European m i l i t a r y s t r a t e g i e s and t a c t i c s . He designed and o f -

f e r e d i n s t r u c t i o n s i n the c o n s t r u c t i o n of a m i l i t a r y fortress

at Fukaura, Goshokura Daiba,but r e g a r d l e s s of the comparative

success which Takano achieved a t Uwajima, he was unable to f i n d

s a t i s f a c t i o n i n h i s work. Takano moved from p l a c e to p l a c e and

 102

f i n a l l y r e t u r n e d to Edo once a g a i n . Takano used a c i d t o d i s -

f i g u r e h i s forehead t o d i s g u i s e h i s f a c i a l f e a t u r e s and he

changed h i s name to Sawa Sanpaku. He l i v e d i n d i s g u i s e f o r

s i x years and continued h i s medical care and t r a n s l a t i o n activ-

ities. I n the end, Takano committed s u i c i d e when c o n f r o n t e d by

p o l i c e o f f i c e r s and Takano k i l l e d one of them d u r i n g the ensuing

attack. Takano was f o r t y - s e v e n years o l d a t the time.

As p r e v i o u s l y noted, the content data d i d not r e v e a l that

Takano Choei promoted a s p e c i f i c p o l i t i c a l or economic concept.

Consequently, the biography l a c k e d data which r e f e r r e d t o a c t i v -

i t i e s i n the p o l i t i c a l and economic spheres. I n Sakuma Shozan's

i n s t a n c e , there i s s u p p o r t i v e evidence that Sakuma d i d h i s best

to absorb Western c u l t u r e and technology. Sakuma s t u d i e d Dutch,

t r i e d t o r e p r i n t Harma's d i c t i o n a r y , conducted chemical e x p e r i -

ments, experimented w i t h f i r e a r m s , and even encouraged one of

h i s students t o go abroad i n d i r e c t v i o l a t i o n of bakufu o r d e r s .

Sakuma*s b e l i e f i n the s u p e r i o r i t y of Western m i l i t a r y

technology l e d him t o adopt Western s c i e n c e and t o i n s t r u c t a l l

h i s students i n Western gunnery techniques. I n an memorial

t i t l e d Kanno" k o n i n o b o r i t e Tenka Tokon no Y5mu £ chinzu (Peti-

t i o n t o the Lord concerning important a f f a i r s of the day f o r

our c o u n t r y ) , Sakuma expressed h i s concern f o r a n a t i o n a l defence

system. The content data d i d not g i v e any i n d i c a t i o n of con-

sequent a c t i v i t i e s a s s o c i a t e d w i t h the memorial.

Sakuma Shozan and Yokoi Shonan both a s s e r t e d that Japan

should be opened t o f o r e i g n i n t e r c o u r s e but the d i f f e r e n c e i n

 103

in the f o r m u l a t i o n of t h e i r p h i l o s o p h i c a l concept naturally

r e s u l t e d i n an i d e o l o g y of d i f f e r e n t content and consequently,

diverse a c t i v i t i e s . In 1841, Yokoi Shonan organized a study

group c a l l e d J i t s u g a k u ( p r a c t i c a l s t u d i e s ) which c o n s i s t e d of

Nagaoka Kenmotsu, Shimotsu Kyuya, Hagi Masakuni, and Motoda

Eifu. These s c h o l a r s were c r i t i c a l of the e x i s t i n g e d u c a t i o n a l

system which was devoted to t r i v i a l matters. Two years later,

Yokoi opened h i s own p r i v a t e s c h o o l and named i t the Shonan-D5.

The f i r s t student to e n r o l was Tokutomi Soho*s f a t h e r . Many

of the students were sons of wealthy farmers such as Tokutomi,

Yashima, and T a k e z a k i .

A f t e r Yokoi became an advocate of the kaikoku-ron (Open

the country theory) and f i r m l y e s t a b l i s h e d h i s i d e o l o g i c a l

s t a n d p o i n t , he p a r t e d company w i t h Nagaoka Kenmotsu. Yokoi's

emphasis on the f u n c t i o n a l and p r a c t i c a l aspects of h i s k a i k o k u -

ron and k e i z a i - r o n (economic theory) gained the a t t e n t i o n of the

han a u t h o r i t i e s and he was appointed to l e c t u r e at Meidokan, the

E c h i z e n (Fukui) han s c h o o l . Yokoi p a r t i c i p a t e d i n other impor-

tant han d u t i e s between 1859 and I860 which enabled him to make

p r a c t i c a l use of h i s economic theory concerning p r o d u c t i o n and

trade. T h i s was c a r r i e d out i n c o - o p e r a t i o n with h i s d i s c i p l e

Mitsuoka Hachiro ( l a t e r known as Y u r i Kimimasa). When Matsudaira

Shungaku took o f f i c e i n 1862 as the f i r s t p r e s i d e n t of p o l i t i c a l

a f f a i r s i n the shogunal government, Yokoi became h i s a d v i s o r and

consequently, had some of h i s p o l i t i c a l and economic reform

suggestions accepted. Yokoi was so h i g h l y a p p r e c i a t e d by the

 104

Shogun Yoshinobu and h i s a d m i n i s t r a t i o n that the shogunal au-

t h o r i t i e s wanted to appoint Yokoi to a p o s i t i o n of t r u s t i n

the government, but he d i d not accept the o f f e r .

In December 1862, Yokoi was a t t a c k e d by an a s s a s s i n .

He managed to escape but the i n c i d e n t r e s u l t e d i n h i s r e c a l l

back to Higo han which f o r c e d him to abandon h i s p o l i t i c a l p l a n s .

For Yokoi, the o p p o r t u n i t y to r e a l i z e h i s p o l i t i c a l ambition

e x i s t e d f o r a s h o r t time o n l y . I n I 8 6 3 , Yokoi l o s t h i s s t i p e n d

and samurai rank a f t e r he was charged w i t h n e g l e c t i n g the samurai

code. Confined to h i s home i n Nuyamazu v i l l a g e from 1864 to

I 8 6 7 , Yokoi missed the most important p e r i o d f o r the p r e p a r a t i o n

of the M e i j i R e s t o r a t i o n . During t h i s p e r i o d Yokoi ShSnan the

p h i l o s o p h e r was born and he made an e f f o r t to compile h i s p h i l -

o s o p h i c a l concepts i n a book t i t l e d Tengen (Heavenly Words) but

t h i s never m a t e r i a l i z e d .

L i k e the other i n t e l l e c t u a l e l i t e s examined i n t h i s study,

Yoshida Shoin expressed h i s p o l i t i c a l and p h i l o s o p h i c a l views

i n the form of t r e a t i s e s and memorials. In h i s Tozoku Shimatsu

(A S t o r y of Revenge), Yoshida r e v e a l e d h i s concern f o r the s o -

c i a l l y deprived. L a t e r he i n f l u e n c e d one of h i s d i s c i p l e s to

form an o r g a n i z a t i o n c a l l e d the T o y u t a i (group of courageous

p e o p l e ) , an a s s o c i a t i o n composed of oppressed people. Yoshida's

Komo Yowa demonstrated h i s i n t e r e s t i n a v a r i e t y of s u b j e c t s

r e l a t e d to n a t i o n a l a f f a i r s . Other famous essays were the

Noyama Goku Bunko (Noyama P r i s o n M a n u s c r i p t s ) , J i g i Ryakuron

( B r i e f D i s c u s s i o n of the Duty of the Times), and J i s e i r o n

(On the c o n d i t i o n s of the Times).

 105

Vast p o l i t i c a l changes o c c u r r e d throughout the world

d u r i n g the 1 8 5 0 ' s . To keep abreast of the times, Yoshida ob-

t a i n e d the daimyo's p e r m i s s i o n to v i s i t Hirado where he p l a n -

4l

ned to study. In Hirado Yoshida met Hayama Sanai who made

h i s c o l l e c t i o n of Western books a v a i l a b l e to Yoshida. Yoshida*s

i n t e r e s t i n Western a f f a i r s dated from t h i s time and he became

absorbed i n books such as S e i y o j i n Nihon K i j i (Japan as seen by

a f o r e i g n e r ) , Oranda K i r y a k u ( B r i e f Report on H o l l a n d ) , A n g e r i a -

j i n Seijo-shi (Character of the B r i t i s h p e o p l e ) , and Taisei

Rokuwa ( S t o r i e s of the West).

Soon a f t e r h i s t r i p to Kyushu, Yoshida proceeded to Edo

42

for further studies but d i s s a t i s f a c t i o n w i t h h i s s t u d i e s

e v e n t u a l l y f o r c e d Yoshida to seek r e l i e f from the traditional

ways of study. With a f r i e n d Miyabe T e i z o , Yoshida decided to

make a t r i p to the Tohoku area. As Yoshida d i d not have the

daimyo's p r i o r a p p r o v a l , he was charged with v i o l a t i n g the han

43
law and d e p r i v e d of h i s s t i p e n d .
41
E a r l , op_. c i t . , p. 114.
42
The content analyzed data e x t r a c t e d from Naramoto*s
biography i n d i c a t e s that Yoshida obtained the daimyo's p e r m i s s i o n
to proceed to Edo to study and that he had e n r o l l e d as a student
at Sakuma ShSzan's s c h o o l . E a r l ' s biography i n d i c a t e s t h a t " i t
was decided (by the hanshu) that Shoin should spend some time i n
Edo" and Yoshida became a p u p i l of Yamaga Sosui f i r s t and then .
two months l a t e r , Sakuma's p u p i l as w e l l . See E a r l , Emperor and
N a t i o n i n Japan, pp. 115-16.
43
Naramoto's biography simply s t a t e s that Yoshida and
Miyabe made a t r i p to the Tohoku a r e a . A very d e t a i l e d account
of t h i s same t r i p i s g i v e n by E a r l . A p p a r e n t l y the TBhoku t r i p
was under c o n s i d e r a t i o n f o r s e v e r a l months by Yoshida Sh<5in,
 1 0 6

Commodore P e r r y ' s a r r i v a l i n Japan i n 1 8 5 3 greatly stim-

u l a t e d Yoshida and he became completely absorbed i n the study

of E n g l i s h * Yoshida decided that he must make an attempt to

go abroad to study. He proceeded to Nagasaki w i t h the hope of

boarding one of the R u s s i a n warships which had entered Nagasaki

harbor, but by the time Yoshida a r r i v e d , the s h i p s had departed.

Yoshida r e t u r n e d to Edo and h i s second attempt to go abroad was

made with Kaneko Shigenosuke. T h e i r e f f o r t s to board P e r r y ' s

s h i p anchored i n Uraga Bay ended i n f a i l u r e and r e s u l t e d i n a

s h o r t p e r i o d of confinement i n Demma-ch5 P r i s o n i n Edo. Yoshida

was sentenced to house a r r e s t and p l a c e d under the s u r v e i l l a n c e

of h i s han government. The ChSshu han a d m i n i s t r a t i o n r e v e r s e d

the i n i t i a l sentence and Yoshida was c o n f i n e d to Noyama P r i s o n .

Although Yoshida»s attempt to go abroad has not been

adequately documented i n the biography s e l e c t e d f o r t h i s study,

abundant d e t a i l concerning Yoshida*s p r i s o n a c t i v i t i e s i s a v a i l -

able. A c t i v i t i e s such as the Mencius reading c i r c l e , haiku

a s s o c i a t i o n s , and c a l i g r a p h y groups were a l l q u i t e d i v e r s e i n

scope and d i d not appear to be s u p p o r t i v e of a c t i v i t i e s associ-

ated with any p a r t i c u l a r o r i e n t a t i o n except that they d i d i n d i -

Miyabe T e i z < 5 , and Ebata Goro. Yoshida and Miyabe were " i n t e r -
ested p r i m a r i l y i n broadening t h e i r knowledge of Japan" and a
date was s e t f o r the t r i p . Yoshida*s w r i t t e n p e r m i s s i o n to
t r a v e l was not r e c e i v e d i n time but he decided to keep h i s prom-
i s e to h i s f r i e n d s , d i s r e g a r d i n g the e x i s t i n g law. E a r l s t a t e s
that "ShOin f o r the f i r s t time took the b o l d step he was to r e -
peat more than once and i n more s e r i o u s c o n t e x t s : that of p l a c i n g
p e r s o n a l duty above law." See E a r l , op_. c-it., pp. 1 1 6 - 1 7 .
 107

cate Yoshida*s concern f o r h i s f e l l o w p r i s o n e r s . When Y o s h i d a

was r e l e a s e d f r o m p r i s o n , so were t h e other p r i s o n e r s . Among

them was T o m i n a g a Y u r i n who later became a s u b s t i t u t e l e c t u r e r

a t Y o s h i d a * s ShSka S o n j u k u . These a c t i v i t i e s illustrate the

effectiveness of Yoshida*s p r i s o n e d u c a t i o n and his humanitarian

attitude t o l o o k f o r some v i r t u e i n a l l k i n d s of people.

Y o s h i d a was held i n Noyama P r i s o n f o r a p p r o x i m a t e l y one

year. A f t e r h i s r e l e a s e , Y o s h i d a was confined to house a r r e s t

for a period of t h r e e years d u r i n g w h i c h t i m e he became i n -

creasingly aware o f n a t i o n a l p r o b l e m s . Yoshida's a s s o c i a t i o n

with M o k u r i n and Umeda Umpin and the shogun*s c o n t i n u e d dis-

regard f o r t h e Emperor f i r n a l l y aroused Yoshida*s anti-bakufu

sentiment. Y o s h i d a d i d not mind r e s o r t i n g t o v i o l e n c e when i t

became n e c e s s a r y . When he heard t h a t the Mito samurai were

planning to a s s a s s i n a t e I i Naosuke, Y o s h i d a d e c l a r e d , "Then

The f o l l o w i n g a c c o u n t o f t h e Shoka S o n j u k u i s g i v e n by
Earl. Shoka S o n j u k u was a s m a l l s c h o o l e s t a b l i s h e d i n 1856 by
Y o s h i d a ' s u n c l e Kubo G-orozaemon. A b o u t a y e a r l a t e r , Y o s h i d a
was g i v e n the e n t i r e t e a c h i n g r e s p o n s i b i l i t y and t h e s c h o o l
operated under h i s s u p e r v i s i o n . The s c h o o l b u r r i c u l u m c o n s i s t e d
o f Yamaga s c h o o l c o u r s e s i n c l u d i n g m i l i t a r y d r i l l and g u n n e r y
exercises. Y o s h i d a ' s t e a c h i n g method c o n s i s t e d o f b o t h f o r m a l
and i n f o r m a l l e c t u r e s . H i s g r a d u a t e s f r o m ShOka S o n j u k u c o n -
s i s t e d o f many M e i j i R e s t o r a t i o n p o l i t i c a l e l i t e s i n c l u d i n g
two p r i m e m i n i s t e r s , P r i n c e I t o H i r o b u m i and P r i n c e Yamagata
A r i t o m o ; a c o u n c i l l o r , K i d o K o i n ; and c a b i n e t m i n i s t e r s and
a m b a s s a d o r s , s u c h as Count Yamada A k i y o s h i , V i s c o u n t S h i n a g a w a
Y a j i r o , and V i s c o u n t Nomura Y a s u s h i . See E a r l , op_. c i t . ,
pp. 130-32.
 108

I myself w i l l k i l l Manabe A k i k a t s u . " J

Yoshida*s views became

so v i o l e n t that even h i s most devoted d i s c i p l e s could not f o l -

low him.

A c t i v i t i e s i n d i c a t i v e of Sakamoto Ryoma s p o l i t i c a l
1

o r i e n t a t i o n s w i l l now be d e s c r i b e d . Sakamoto's r e a l i z a t i o n

that Japan might be strenghtened through the u t i l i z a t i o n of

Western techniques moved him to become Katsu's d i s c i p l e . More-

over, Sakamoto r e c r u i t e d many s i m i l a r l y o r i e n t e d people from

Tosa to Katsu's n a v a l t r a i n i n g school i n Kobe. Former a c q u a i n t -

ances whom Sakamoto had e n l i s t e d f o r Katsu's s e r v i c e were a l l

poor but t a l e n t e d men of common s t a t u s such as Nagaoka K e n k i c h i ,

a d o c t o r t r a i n e d i n Western medicine, Shingu Umanosuke, a t i n n e r ,

and Kondo C h o j i r o , a baker. Sakamoto served under Katsu's g u i d -

ance f o r about two years u n t i l October 1864, when the shogunate

ordered Katsu's s c h o o l closed.

When Katsu was d i s m i s s e d from h i s post as Naval Commis-

s i o n e r i n 1864, he made adequate p r o v i s i o n s f o r h i s former

45
Naramoto, op_. c i t . , p. 68. Manabe was a member of the
shogun*s C o u n c i l of E l d e r s and he was sent to Kyoto to stop
loyalist activities. H i s e f f o r t s r e s u l t e d i n the imprisonment
of Yoshida*s f r i e n d Umeda Umpin and other a n t i - b a k u f u supporters,
46
E a r l * s account d i f f e r s from that g i v e n by Naramoto.
E a r l a s s e r t s that numerous p l o t s to a s s a s s i n a t e bakufu o f f i c i a l s
were d i s c u s s e d and when Yoshida l e a r n e d t h a t the Mito samurai
were p l a n n i n g to a s s a s s i n a t e the T a i r o ( c h i e f m i n i s t e r of the
shogun) I i Naosuke, Yoshida d e c i d e d that the Choshu w a r r i o r s
should s e l e c t as t h e i r v i c t i m Manabe A k i k a t s u . E a r l concludes
by n o t i n g that Yoshida*s request f o r han a s s i s t a n c e to c a r r y out
t h i s p l o t r e s u l t e d i n h i s f i n a l imprisonment and e x e c u t i o n .
See E a r l , op_. c i t . , pp. 134-36.
 109

employees t o f i n d employment elsewhere. Sakamoto's knowledge

of s a i l i n g ships e n a b l e d him t o h e a d an organization called the

Shachu ("the company") w h i c h was assisted financially by Satsuma

han. The members o f the Shachu i n c l u d e d Nagaoka K e n k i c h i , Kondo

ChBjirB, and Mutsu Munemitsu.

The ShachO w h i c h was l a t e r known as the Kaientai (Naval

A u x i l i a r y Force) rented ships f r o m S a t s u m a , C h o s h u , and Tosa

hans f o r n a v a l t r a i n i n g purposes. I t also functioned as a

school f o r the study o f i n t e r n a t i o n a l p u b l i c law and general

conditions abroad. The Kaientai operated similarly to a marine

transportation organization and i t acted as an intermediary in

trade between the han and f o r e i g n merchants. The Kaientai also

had plans to develop Hokkaido. One other Kaientai activity

occurred i n 1866. The steamship "Shachu" under Sakamoto's

command went t o the assistance of the Choshu f o r c e s engaged i n

the sea b a t t l e against the bakufu f o r c e s i n the Shimonoseki

Straits.

Sakamoto managed t h e Kaientai and i t s associated activities

all by h i m s e l f but r e q u i r e d Nakaoka S h i n t a r o ' s assistance to

establish the Satsuma-Choshu a l l i a n c e . Sakamoto a l s o took an

active r o l e i n g u i d i n g p u b l i c o p i n i o n w i t h i n T o s a han to overthrow

the bakufu. Yet, w i t h o u t h e s i t a t i o n , Sakamoto a l l i e d himself

with Goto S h o j i r o the bakufu u n d e r s e c r e t a r y and tried t o have the

bakufu t r a n s f e r i t s power o f a u t h o r i t y t o the Imperial Court. At

this t i m e , G o t o was a target of g r e a t hatred by Sakamoto's rSnin

companions and t h e y named Goto as the c h i e f i n s t i g a t o r who sup-

 110

pressed the L o y a l i s t Party i n Tosa. Goto was a l s o blamed

f o r condemning Takechi Zuizan to death.

In a d d i t i o n to a l l these a c t i v i t i e s , Sakamoto made

arrangements to o b t a i n p r i n t i n g - t y p e s i n order to p u b l i s h

Bankoku Koho ( I n t e r n a t i o n a l Law). Furthermore, Sakamoto p a r -

t i c i p a t e d i n the d i f f i c u l t n e g o t i a t i o n s w i t h the s t a f f members

of the B r i t i s h M i n i s t r y i n Japan t o c l e a r up the s u s p i c i o n

that a member of the K a i e n t a i had k i l l e d two E n g l i s h sailors

i n Nagasaki. When the K a i e n t a i s h i p c o l l i d e d w i t h a K i i han

steamer, Sakamoto had to draw on every p o s s i b l e source of

knowledge concerning modern sea t r a f f i c r e g u l a t i o n s t o p l a c e

the r e s p o n s i b i l i t y of the a c c i d e n t on the K i i v e s s e l .

Sakamoto's p l a n t o t r a n s f e r the p o l i t i c a l authority

from the bakufu to the Imperial Court and to form a new u n i f i e d

n a t i o n were i n c o r p o r a t e d i n the Senchu Hassaku (Eight P o i n t

k7
Plan). He d i s c u s s e d h i s p l a n w i t h Goto S h o j i r o and others
i n June I867 while on board a steamship between Nagasaki and
48
Osaka. The Senchu Hassaku recommended t h a t :

K i y o s h i Inoue notes that the Senchu Hassaku r e s u l t e d

from d i s c u s s i o n s h e l d by Sakamoto and others and was f o r m a l l y
w r i t t e n up by Nagaoka the K a i e n t a i s e c r e t a r y . T h i s i l l u s t r a t e s
that Sakamoto's p o l i t i c a l i d e o l o g y reached f r u i t i o n through the
wisdom of many p e o p l e . Sakamoto c o u l d not read Western books
i n the o r i g i n a l language but the members of the K a i e n t a i i n t e r -
p r e t e d them f o r Sakamoto. Thus Sakamoto came to understand the
g e n e r a l p r i n c i p l e s of modern democratic p o l i t i c s . See Inoue,
"Sakamoto Ryoma," p. 86.

The Senchu Hassaku t r a n s l a t i o n i s taken from Marius

B. Jansen's Sakamoto RySma and the M e i j i R e s t o r a t i o n ( P r i n c e t o n :
P r i n c e t o n U n i v e r s i t y P r e s s , I96I), pp. 295-96.
 Ill

1. P o l i t i c a l power of the e n t i r e country should be r e -

turned to the I m p e r i a l Court, and a l l decrees should
come from the Court.

2. Two l e g i s l a t i v e b o d i e s , an Upper and a Lower house,

should be e s t a b l i s h e d , and a l l government measures
should be decided on the b a s i s of g e n e r a l o p i n i o n .

3. Men of a b i l i t y , among the l o r d s , nobles, and people

at l a r g e should be employed as c o u n c i l l o r s , and
t r a d i t i o n a l o f f i c e s of the past which have l o s t t h e i r
purpose should be a b o l i s h e d .

k. F o r e i g n a f f a i r s should be c a r r i e d on a c c o r d i n g to
a p p r o p r i a t e r e g u l a t i o n s worked out on the b a s i s of
general opinion.

5. The l e g i s l a t i o n and r e g u l a t i o n s of e a r l i e r times

should be s e t aside and a new and adequate code
should be s e l e c t e d .

6. The navy should be e n l a r g e d .

7. An I m p e r i a l Guard should be s e t up to defend the

capital.

8. The value of goods and s i l v e r should be brought i n t o

l i n e with that of f o r e i g n l a n d s .

I n view of the s t a t e of the n a t i o n i n these days, i t

i s v i t a l l y important to announce these e i g h t p o i n t s
to the c o u n t r i e s of the world. I f these p o l i c i e s
are c a r r i e d out the f o r t u n e s of the I m p e r i a l Country
w i l l change f o r the b e t t e r , n a t i o n a l s t r e n g t h w i l l
i n c r e a s e , and i t w i l l not be d i f f i c u l t to achieve
e q u a l i t y w i t h other c o u n t r i e s . I t i s our p r a y e r that
we may base o u r s e l v e s on the path of enlightenment
and v i r t u e and that the l a n d may be renewed w i t h
great r e s o l u t i o n

During the l a t t e r p a r t of September 1867, Sakamoto made

k
e l a b o r a t e arrangements w i t h Kido Koin the l e a d e r of Choshulhan

I4.Q _ _
In Choshu, g e n e r a l p u b l i c o p i n i o n c a l l e d f o r the over-
throw of the bakufu by use of f o r c e . See Inoue, "Sakamoto
Ryoma," p. 80.
 112

to remove Goto from the f o r e f r o n t of s t a t e a f f a i r s . Further-

more, Sakamoto maintained c l o s e l i a i s o n with I t a g a k i Taisuke

the l e a d e r of the buryoku tobaku f a c t i o n of Tosa han and i n

preparation to overthrow the bakufu, Sakamoto purchased

t h i r t e e n hundred r i f l e s and had them d e l i v e r e d to Tosa by the

Kaientai,

A f t e r the r e s t o r a t i o n of the a d m i n i s t r a t i v e powers to

the throne, at l e a s t i n name only, Sakamoto immediately pre-

pared v a r i o u s d r a f t s f o r the new government o r g a n i z a t i o n with

such people as Toda Uta ( l a t e r known as Ozaki S a n r y o ) . ^ 5

For

the new government, Sakamoto f a v o r e d a regime composed o f :

Kanpaku (the c h i e f a d v i s e r to the Emperor): to c o n s i s t

of one person to head the n a t i o n a l adminis-
tration,

Giso (the o f f i c e r s who served the Emperor and who

r e l a y e d the Emperor's orders to the noblemen
and o t h e r s ) : to c o n s i s t of s e v e r a l persons to
head the v a r i o u s m i n i s t r i e s of the government.

Sanyo (Cabinet C o n s u l t a n t s ) : to c o n s i s t of s e v e r a l
persons to' occupy p o s i t i o n s next to heads of
the m i n i s t r i e s .

Sakamoto's p l a n i n d i c a t e d that the kanpaku should be chosen

from among the noblemen and i t i m p l i e d the s e l e c t i o n of Sanjo

Sanetomi. The g i s o members were to be s e l e c t e d from among

Imperial P r i n c e s , nobles, and barons, and the sanyo members

from the t a l e n t e d nobles, daimyos, and common people. To f i l l

^ Toda Uta was a v a s s a l to Sanjo Sanetomi the l e a d e r of

the noblemen f a c t i o n to overthrow the bakufu.
 113

these p o s t s , Sakamoto had a number of people i n mind. For

the g i s o p o s i t i o n s , Sakamoto thought of the f e u d a l l o r d s and

nobles of Satsuma, Choshu, and Tosa and f o r the sanyo p o s i -

t i o n s , such w e l l known f i g u r e s as Saigo Takamori, Okubo

T o s h i m i c h i , Kido Koin, Goto S h o j i r o , and Yokoi Shonan. Mem-

bers of the Tokugawa f a m i l y and bakufu o f f i c i a l s were not

indicated.

The three system p r o p o s a l c o n s i s t i n g of the kanpaku,

giso*, and sanyo took form as the s o s a i , g i j o , and sanyo of the

f i r s t government a f t e r the s u c c e s s f u l coup d'etat which a b o l -

i s h e d the shogunate. The appointments were made almost ac-

c o r d i n g to Sakamoto's o r i g i n a l p l a n .

With the r e a l i z a t i o n of the new government i n sight,

Sakamoto v i s i t e d Y u r i Kimimasa i n E c h i z e n on November 2 6 , 1 8 6 7 «

Sakamoto wanted Y u r i who was a w e l l known expert on f i n a n c i a l

matters to formulate a f i n a n c i a l p o l i c y f o r the new government.

Before a s k i n g Y u r i , Sakamoto had suggested to Goto" that i f they

move the k i n z a and g i n z a (Edo mint) to Kyoto and d e p r i v e the

bakufu of the r i g h t to mint new c o i n s , then the bakufu might be

f o r c e d to surrender even without f i g h t i n g . 5 1

Sakamoto's p a i n s -

t a k i n g e f f o r t to formulate a f i n a n c i a l p o l i c y f o r the new

A s l i g h t l y d i f f e r e n t i n t e r p r e t a t i o n of t h i s passage
i s rendered by Jansen which i s as f o l l o w s : " I f , " he suggested,
"we move the Edo mint to Kyoto and c o n t r o l the c u r r e n c y , then
even though the o f f i c e of shogun remains the same i n name i t
w i l l a c t u a l l y be nothing we need to f e a r . " See Jansen, Sakamoto
Ryoma and the M e i j i R e s t o r a t i o n , p. 328.
 1 1 4

government i n d i c a t e d how hard Sakamoto t r i e d to enable the

I m p e r i a l Court to become the c e n t r a l a u t h o r i t y both i n name

and i n r e a l i t y .
 CHAPTER V

EVALUATION: DATA ANALYSIS AND THE THEORETICAL SCHEMA

The method of content a n a l y s i s aided us i n the e s t a b -

lishment of c a t e g o r i e s f o r the a n a l y s i s of b i o g r a p h i c a l material.

The s e l e c t i o n of v a r i o u s dimensions such as coding Category I I I

(formative i n f l u e n c e s ) , Category IV ( a t t i t u d e s , o r i e n t a t i o n s ,

and c o n c e p t s ) , and Category V ( s t r u c t u r e s of a c t i v i t i e s ) sug-

gested the model shown i n F i g u r e k- to study the l i n k a g e between

i
the causal f o r c e s and the observable v a r i a t i o n s .

Causal Forces Linkage Observable

Variations
= s o c i e t a l conditions » = attitudes, •*
+ orientations, = s t r u c t u r e of
formative i n f l u e n c e s concepts activities

Phenomena
-Feedback ( s o c i a l , economic,
political)

FIGURE k

CAUSAL FORCES-OBSERVABLE VARIATIONS

LINKAGE MODEL

In t h i s model, the u n d e r l y i n g assumption i s that the

l i n k between the observable v a r i a t i o n s and the causal forces i s

the ideologue's a t t i t u d e s , o r i e n t a t i o n s , and concepts. This

I am indebted to P r o f e s s o r Earnest Landauer f o r p o i n t i n g

out the g e n e r a l s i g n i f i c a n c e of t h i s type of a n a l y s i s .
assumption i s supported by the evidence obtained i n t h i s study.
2

The method enabled us to study the degree of feedback from the

s t r u c t u r e of a c t i v i t i e s to s o c i e t a l c o n d i t i o n s which to some

degree changed those s o c i e t a l c o n d i t i o n s . By feedback, we mean

those a c t i v i t i e s which r e s u l t e d i n some change i n e i t h e r the

c a u s a l f o r c e s or i n the l i n k a g e mechanism. In terms of our data

feedback r e f e r s to the i d e o l o g u e ' s a c t i v i t i e s which r e s u l t e d i n

some change i n e i t h e r the s o c i e t a l c o n d i t i o n s or i n the i d e o l o -

gue's a t t i t u d e s , o r i e n t a t i o n s , or concepts.

The c a u s a l d i r e c t i o n and feedback suggested by the model

i s i l l u s t r a t e d by the geographic m o b i l i t y p a t t e r n s of the

ideologues. Those p a t t e r n s were c h a r a c t e r i z e d by the movement

of i n d i v i d u a l s and not of c o l l e c t i v i t i e s through the social

structure. In Takano Choei's case, the establishment of new

t r a n s p o r t a t i o n routes between the c a p i t a l and o u t l y i n g fiefs

gave Takano the o p p o r t u n i t y to leave h i s home town of Mizusawa,

Mutsu, to study Dutch i n Edo. Because of h i s s t u d i e s i n Edo

and l a t e r t r i p to Nagasaki, Takano became concerned f o r s o c i a l

and economic i n e q u a l i t i e s and commenced h i s w r i t i n g s on agri-

cultural improvement.

Sakuma Shozan p r e s e n t e d a geographic m o b i l i t y p a t t e r n

s i m i l a r to Takano*s. Sakuma l e f t h i s b i r t h p l a c e of Shinshu

Matsushiro and s t u d i e d Neo-Confucianism i n Edo. As an eloquent

For a d e t a i l e d treatment of the concept of feedback,

see Walter Buckley, S o c i o l o g y and Modern Systems Theory
(Englewood C l i f f s : P r e n t i c e - H a l l , Inc., 1967), pp. 52-58.
spokesman f o r Neo-Confucianism, he t r i e d to account f o r the

s o c i a l and economic problems i n terms of Neo-Confucian philoso-

phy. Sakuma's r e a p p r a i s a l of Neo-Confucianism l e d to new

concepts which combined the " E t h i c s of the E a s t " and the "Science

of the West." H i s academic i n t e r e s t was now c o n d i t i o n e d by

utility: whether g i v e n f i e l d s of endeavor h e l d out any p r a c t i c a l

solutions.

The c a u s a l d i r e c t i o n i n d i c a t e d by the data on s o c i e t a l

c o n d i t i o n s which r e s u l t e d i n Yokoi's p o l i t i c a l o r i e n t a t i o n s and

p o l i t i c a l p h i l o s o p h y a l s o i l l u s t r a t e s the u t i l i t y of our method

and subsequent model. Yokoi's concepts took form as a r e s u l t

of h i s own p o l i t i c a l consciousness. H i s attempt to accept

Western i d e o l o g y and c u l t u r e through a b e t t e r understanding of

Confucianism e v e n t u a l l y f o r c e d him to become a supporter of the

"opening the country" theory. Yokoi*s i d e a s i n f l u e n c e d h i s

f o l l o w e r s who performed important f u n c t i o n s i n the course of the

Meiji Restoration. One of the more p o s i t i v e examples of f e e d -

back i s i l l u s t r a t e d by the concepts advanced by Yokoi and l a t e r

adopted by Katsu Kaishu at the Kobe Naval T r a i n i n g Center.

An example of c a u s a l d i r e c t i o n and feedback i n terms of

the forward or i n t e r - g e n e r a t i o n a l l i n k a g e i s p r o v i d e d by the

t e a c h e r - d i s c i p l e p a t t e r n of Sakuma Shozan and Yoshida Shoin.

Yoshida*s movements from Hagi to H i r a d o , Nagasaki, and Amakusa

r e f l e c t even s t r o n g e r geographic m o b i l i t y . His resultant shift

i n o r i e n t a t i o n l e d Yoshida to o b t a i n the daimyo*s p e r m i s s i o n to

study i n Edo where he e n r o l l e d i n Sakuma Shozan's s c h o o l . As

 118

evidenced by our data, Sakuma*s dynamic way of t h i n k i n g had a

profound impact on h i s f o l l o w e r s l i k e Yoshida Shoin. Yoshida

took g r e a t e r i n t e r e s t i n p h i l o s o p h y , and he q u e s t i o n e d the m i l -

i t a r y p r i n c i p l e s of the Yamaga s c h o o l . T h i s l e d him to the

study of E n g l i s h and Western a f f a i r s and h i s u n s u c c e s s f u l a t -

tempt to go abroad.

A f u r t h e r example of forward l i n k a g e i s p r o v i d e d by the

t e a c h e r - d i s c i p l e r e l a t i o n s h i p of Yokoi Shonan, Katsu Kaishu,

and Sakamoto Ryoma. I t has been i n d i c a t e d that the concepts

advanced by Yokoi were adopted by Katsu at the Kobe Naval T r a i n -

ing Center. Sakamoto became Katsu*s d i s c i p l e , and our data

r e v e a l s both Katsu's and Yokoi's i n f l u e n c e s on Sakamoto. Yokoi

was aware that domestic problems had to be s o l v e d f i r s t and

n a t i o n a l u n i t y achieved p r i o r to s o l v i n g i n t e r n a t i o n a l problems.

Sakamoto a l s o h e l d s i m i l a r views as i n d i c a t e d i n h i s p l a n f o r a

u n i f i e d n a t i o n (Zenkoku godo no k e i k a k u ) . Yokoi suggested that

the shogun should proceed to Kyoto and p e r s o n a l l y a p o l o g i z e to

the I m p e r i a l household f o r the past d i s c o u r t e s i e s . T h i s was

the most l o g i c a l f i r s t step to be taken to achieve n a t i o n a l

unity. In c o n t r a s t , Sakamoto took a s t r o n g e r stand. He advo-

cated the t r a n s f e r of p o l i t i c a l a u t h o r i t y from the bakufu to the

I m p e r i a l Court and he c a l l e d f o r the establishment of a new form

of government. T h i s i l l u s t r a t e s the important r o l e p l a y e d by

the f i r s t g e n e r a t i o n ideologues who more or l e s s paved the way

for the second g e n e r a t i o n ideologues to advance much b o l d e r con-

cepts. The i n t e r - g e n e r a t i o n a l l i n k a l s o supports the theory

advanced by Stinchcombe that " . . . i n s o f a r as institutions

have e f f e c t s , and i n s o f a r as they are s o c i a l phenomena them-

selves, these processes g i v e r i s e to i n f i n i t e self-replicating

causal loops."

The c a u s a l s t r u c t u r e as evidenced by the data s u p p o r t i n g

the r e l a t i o n s h i p between the c a u s a l f o r c e s (societal conditions,

formative i n f l u e n c e s ) and observable variations (structure of

activities) gave r i s e to p a t t e r n s which tended to be s i m i l a r

although the s t r u c t u r a l processes themselves v a r i e d from ideo-

logue to i d e o l o g u e . These p a t t e r n s were c h a r a c t e r i z e d i n each

instance by the presence of s u p p o r t i v e data which r e f l e c t e d the

i d e o l o g u e ' s concern with domestic conditions and by the em-

p h a s i s p l a c e d on the need to know more about Western s c i e n c e

and technology. The p a t t e r n s were f u r t h e r c h a r a c t e r i z e d , with

the exception of the Takano Choei d a t a , by data which i n d i c a t e d

the importance of n a t i o n a l u n i t y . Yokoi Shonan and Sakuma Shozan

both advocated a c o a l i t i o n form of government consisting of the

members of the I m p e r i a l household and the shogunate. At one

time, Yoshida Shoin a l s o favored a c o a l i t i o n to p r o v i d e a s t r o n g ,

c e n t r a l i z e d government centered around the Tokugawa bakufu; later

he supported the overthrow of the shogunate. In h i s Senchu

Hassaku Sakamoto Ryoma supported a p l a n which c a l l e d f o r a u n i -

f i e d n a t i o n under a c e n t r a l i z e d p o l i t i c a l a u t h o r i t y . The

^Arthur JL. Stinchcombe, C o n s t r u c t i n g S o c i a l T h e o r i e s

(New York: H a r c o u r t , Brace and World, I n c . , 1968), p . 111.
 120

r e s u l t i n g p a t t e r n s a l l manifested s h i f t s i n p o l i t i c a l o r i e n -

t a t i o n s and a t t i t u d e s . The degree of s h i f t became more

pronounced w i t h each new g e n e r a t i o n of ideologues as r e f l e c t

by the much b o l d e r concepts they advanced and implimented.

 CHAPTER VI

SUMMARY AND CONCLUSION

The data obtained from the content a n a l y s i s of f i v e

biographies supported our p r o p o s i t i o n that the adaptive and

transformation processes of modern Japan e s t a b l i s h e d their

roots d u r i n g the l a t e Tokugawa p e r i o d and that the impetus to

s o c i a l change was not concentrated s o l e l y i n the p o s t - M e i j i

Restoration period. The research design employed f o r t h i s

study turned out to be much b e t t e r than the m a t e r i a l a v a i l a b l e :

f o r the content a n a l y s i s . I t s methods r e v e a l e d certain i n -

stances of the biographers* b i a s e s and a l s o the l a c k of p e r t i -

nent i n f o r m a t i o n to support statements made by the biographers.

In such i n s t a n c e s , I have made f o o t n o t e references so that the

reader may make the necessary comparative study w i t h the r e f -

erences c i t e d .

The method of content a n a l y s i s allowed us to make sub-

s t a n t i v e statements concerning the l i n k between the c a u s a l

f o r c e s and the ideologue*s s t r u c t u r e s of a c t i v i t i e s . Our data

revealed that geographic m o b i l i t y gave r i s e to s o c i a l m o b i l i t y

which i n t u r n r e s u l t e d i n s h i f t s i n a t t i t u d e s and o r i e n t a t i o n s .

Dore notes that "There i s l i t t l e b a s i s f o r q u a n t i t a t i v e

assessments of the p a t t e r n of m o b i l i t y d u r i n g the i n i t i a l t r a n -
s i t i o n from the f e u d a l to the new o c c u p a t i o n a l h i e r a r c h y . " See
R. P. Dore, " M o b i l i t y E q u a l i t y , and I n d i v i d u a t i o n i n Modern
Japan," i n R. P. Dore ( e d . ) , Aspects of S o c i a l Change i n Modern
Japan ( P r i n c e t o n : P r i n c e t o n U n i v e r s i t y P r e s s , 1967), p. 114.
I am indebted to P r o f e s s o r Dore f o r making the manuscript of the
book a v a i l a b l e t o me before p u b l i c a t i o n .
The method a l s o suggested a model which i l l u s t r a t e d both c a u s a l

d i r e c t i o n and feedback and supported Stinchcombe's theory of

s e l f - r e p l i c a t i n g loops. T h i s was evidenced by the dynamic

impact which the l a t e Tokugawa ideologues had on t h e i r f o l l o w e r s

F u r t h e r proof can be obtained by examining s u p p o r t i v e data a v a i l

able i n l a t e r M e i j i b i o g r a p h i e s . Examples of the l i n k between

the ideologues s e l e c t e d f o r t h i s study and other i d e o l o g u e s

r e s p o n s i b l e f o r the modernization processes of Japan are g i v e n

i n Appendix C.

T h i s t h e s i s was mainly concerned with only one component

element, 1^, of the conceptual framework i l l u s t r a t e d i n F i g u r e 1

of Chapter I I . Although we were unable to examine which of the

two opposing i d e o l o g i e s , l j or l g , had the g r e a t e s t impact on

the f o r m a t i o n of the modernization processes of M e i j i Japan to

which the c h a r a c t e r i s t i c s of modern Japan are u s u a l l y attributed

the data on hand suggested the f o l l o w i n g p r o p o s i t i o n : that i t

was l g more than 1^ which formed the b a s i s f o r a r a p i d trans-

f o r m a t i o n of Japanese society. I t remains f o r a f u t u r e study

to examine t h i s p r o p o s i t i o n .
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 128
APPENDIX A

1
PRINCIPAL BAKUFU OFFICIALS

V a s s a l daimyo Liege vassal

officials officials

•—Shogun—I

Regent - Great c o u n c i l l o r Edo c i t y m a g i s t r a t e s

(hosa) (tairo) (Edo machi bugyo)

- Senior c o u n c i l l o r s Superintendents of f i n a n c e
(roju) (kanjo bugyo)

- Kyoto deputy Finance personnel

(Kyoto s h o s h i d a i ) (kanjo shu)

- Keeper of Osaka Intendants

_ castle (daikan)
(Osaka jBdai)

- Superintendents - Comptrollers
of temples (kanjo gimmiyaku)
and s h r i n e s
( j i s h a bugyo) - Inspectors general
(ometsuke)

- Major o f f i c i a l s i n other
cities
(ongoku bugyo)

- Grand chamberlain - Envoys to the court

(sobayonin) (kinrizuki)

- Masters of court ceremony

(koke)

- Chamberlains (sobashu)

Junior councillors - C h i e f s of the pages and

(wakadoshiyori) attendants (koshS t o d o r i ;
konando t o d o r i )

Masters of shogunal - Inspectors (metsuke)

ceremony
(soshaban) - Captains of the Bodyguard,
Inner Guard, New Guard
(shoinban g a s h i r a ; koshogumi
ban g a s h i r a ; shimban g a s h i r a )

Totman, P o l i t i c s i n the Tokugawa Bakufu, p. 41.

 1 2 9

APPENDIX B - l

Coding Rules f o r Category I

S o c i e t a l C o n d i t i o n s a f f e c t i n g s o c i e t y as a whole

For purposes of our a n a l y s i s , the r e c o r d i n g u n i t will

be the sentence. The f o l l o w i n g sentences w i l l be

recorded under Category I :

- a l l sentences r e f e r r i n g to g e n e r a l s o c i e t a l c o n d i t i o n s
a f f e c t i n g Tokugawa s o c i e t y as a whole:

all sentences r e f e r r i n g to c l a s s s t r u c t u r e s .

all sentences r e f e r r i n g to a u t h o r i t y structures.

all sentences r e f e r r i n g to a d m i n i s t r a t i v e structures.

- any statement of s o c i e t a l c o n d i t i o n g i v e n as the cause

f o r some present or f u t u r e event.

- any statement, f a c t , or reason g i v e n as the cause

( i m p l i c i t or e x p l i c i t ) f o r a p r e s e n t or f u t u r e s o c i e t a l
c o n d i t i o n or event.

- any statement which mentions s c h o l a r s or other i n d i v i d u a l s

who had some impact upon the g e n e r a l f e e l i n g s of the
people at l a r g e .
 1 3 0

APPENDIX B-2

Coding Rules f o r Category I I

nmnan—aSH——*itfi«*HB—M——immH—• a——*MM*—J—,t MHipiiiaMMih—

S o c i e t a l Conditions a f f e c t i n g subject i n p a r t i c u l a r

For purposes of our a n a l y s i s , the r e c o r d i n g u n i t will

be the sentence. The f o l l o w i n g sentences w i l l be

recorded under Category I I :

- any sentence c o n t a i n i n g i n f o r m a t i o n r e l a t e d to our

s u b j e c t . T h i s means that a l l sentences c o n t a i n i n g the
s u b j e c t w i l l be recorded under Category I I .

- any sentence w i t h pronoun r e f e r e n c e to our s u b j e c t

w i l l a l s o be recorded under Category I I .

- any statement g i v e n by the biographer concerning the

s u b j e c t ' s a c t i o n s , a t t i t u d e s , or o r i e n t a t i o n s , p a s t ,
present or f u t u r e .

- any sentence r e f e r r i n g to those f a c t o r s which may have

had some i n f l u e n c e on our s u b j e c t ' s a c t i o n s , a t t i t u d e s ,
or o r i e n t a t i o n s , p a s t , present or f u t u r e .

- I n the event that a short sentence d e s c r i b i n g s o c i e t y

as a whole precedes a sentence d i r e c t l y a s s o c i a t e d
with our s u b j e c t , that p r e c e d i n g sentence w i l l be coded
i n both Category I and I I . When coded i n Category I I ,
i t w i l l be immediately f o l l o w e d by the sentence c o n t a i n -
i n g our s u b j e c t . Otherwise such short d e s c r i p t i v e
sentences w i l l be meaningless i f i t i s p l a c e d i n Category
I alone and the f o l l o w - u p sentence i n Category I I .

- any i n f o r m a t i o n p r e v i o u s l y g i v e n i n the biography w i l l

not be coded the second time.
 131

APPENDIX B-3

Coding Rules f o r Category I I I

Formative I n f l u e n c e s on s u b j e c t

Data e x t r a c t e d f o r Category I I w i l l be s u b j e c t to

f u r t h e r content analysis. As b e f o r e , the recording

u n i t w i l l be the sentence. Data from Category I I w i l l

be a l l o c a t e d i n t o e i t h e r Category I I I or Category IV

depending on the f o l l o w i n g s e l e c t i o n c r i t e r i a :

- any sentence c o n t a i n i n g i n f o r m a t i o n l i n k e d to or
a s s o c i a t e d with the formative i n f l u e n c e s on our
s u b j e c t ' s a c t i o n s , a t t i t u d e s , or o r i e n t a t i o n , p a s t ,
present or f u t u r e .

- any sentence i n d i c a t i n g the s u b j e c t ' s past g e n e r a l

frame of r e f e r e n c e , f o r example, c l a s s i c a l s t u d i e s ,
Confucianism or Buddhism.

- any sentence i n d i c a t i n g the s u b j e c t ' s exposure to

c e r t a i n past experiences which may be r e l a t e d to the
s u b j e c t ' s present or f u t u r e i d e o l o g y or p h i l o s o p h y .
 132
APPENDIX B-k

Coding Rules f o r Category IV

The f o l l o w i n g sentences w i l l be coded under Category IV'«

- any sentence concerning the s u b j e c t ' s a c t i o n s and

o r i e n t a t i o n s , present or f u t u r e ,

- any sentence o u t l i n i n g the s u b j e c t ' s b a s i c concepts,

g u i d i n g p r i n c i p l e s , or p h i l o s o p h y .

- any sentence e x p r e s s i n g the s u b j e c t ' s a t t i t u d e toward

the n a t i o n , Emperor, present and f u t u r e government,
and the f u t u r e course of a c t i o n to be taken.

- any sentence i n d i c a t i n g the s u b j e c t ' s approach or p l a n

of a c t i o n i n adopting western c u l t u r e and technology.

- any sentence i n d i c a t i n g the s u b j e c t ' s p r i o r i t i e s i n

the f u t u r e course of a c t i o n to be taken.

- any sentence g i v i n g the s u b j e c t ' s students and

disciples.

- any sentence i n d i c a t i n g f u t u r e course of a c t i o n taken

by the s u b j e c t ' s students or d i s c i p l e s which may be
l i n k e d to our s u b j e c t .

- any sentence i n d i c a t i n g the s u b j e c t ' s i n f l u e n c e on

other persons or on f u t u r e events.

- any sentence i n d i c a t i n g our s u b j e c t ' s i n t e r a c t i o n w i t h

other persons ( v e r b a l , non-verbal, c o n f l i c t i n i n t e r e s t s ) .
 1 3 3

APPENDIX B-5

Coding Rules f o r Category V

A c t i o n taken by s u b j e c t and r e a l i z e d

Data e x t r a c t e d from Category IV w i l l be s u b j e c t to

f u r t h e r content a n a l y s i s . As b e f o r e , the r e c o r d i n g u n i t

w i l l be the sentence. Data from Category IV w i l l be

a l l o c a t e d i n t o e i t h e r Category V or Category VI depending

on the f o l l o w i n g s e l e c t i o n c r i t e r i a .

- any sentence i n d i c a t i n g the course of a c t i o n taken by

the s u b j e c t and d i r e c t l y implimented or r e a l i z e d .

- any sentence i n d i c a t i n g the s u b j e c t ' s g u i d i n g p r i n c i p l e s

or concepts immediately accepted without m o d i f i c a t i o n
by the government.
 13*

APPENDIX B-6

Coding Rules f o r Category VI

A c t i o n taken by s u b j e c t and p a r t i a l l y realized

The f o l l o w i n g sentences w i l l be coded under Category V i s

- any sentence i n d i c a t i n g a course of a c t i o n taken by

the s u b j e c t but not immediately r e a l i z e d .

- any sentence i n d i c a t i n g a course of a c t i o n proposed

by the s u b j e c t and r e a l i z e d l a t e r , e i t h e r i n m o d i f i e d
or unmodified form.

- any sentence i n d i c a t i n g the course of a c t i o n proposed

by the s u b j e c t and r e a l i z e d l a t e r mainly through the
e f f o r t s of the s u b j e c t ' s students or d i s c i p l e s .

- any sentence i n d i c a t i n g the g u i d i n g p r i n c i p l e s or

concepts accepted l a t e r i n m o d i f i e d form.

- any sentence i n d i c a t i n g the s u b j e c t ' s eminent f o l l o w e r s

who l a t e r c o n t r i b u t e d to the adaptive and t r a n s f o r m a t i o n
processes of Japan.
 135
APPENDIX C

L i n k betnreen Ideologues

Examples of the l i n k between the ideologues s e l e c t e d f o r t h i s

study and other ideologues r e s p o n s i b l e f o r the modernization
processes of Japan,

Takano Choei - Egawa Tarozaemon

- Sakuma Shozan
- Takashima Shuhan
- Watanabe Kazan

Sakuma Shozan - Egawa Tarozaemon

- Kato H i r o y u k i
- Katsu Kaishu
- Nishimura S h i g e k i
- Okuma Shigenobu
- Tsuda Masamichi
- Yoshida Shoin

Yokoi Shonan - Katsu Kaishu

- Motoda E i f u
- Sakamoto Ryoma
- Shimotsu Kyuya

Yoshida Shoin - Inoue Kaoru

- I t o Hirobumi
- Kido Koin (Katsura KogorO")
- Kusaka Genzui
- Sayo H a c h i j u r o (Maebara I s s e i )
- Takasugi Shinsaku
- Yamagata Aritomo

Sakamoto Ryoma - Goto S h o j i r o

- I t a g a k i Taisuke
- I t o Hirobumi
- Iwakura Tomomi
- Katsu Kaishu
- Kido Koin
- Okubo T o s h i m i c h i
- Saigo Takamori
- Yokoi Shonan
- Y u r i Kimimasa