THE LAST MAN STANDING: CAUSES OF DAIMYO SURVNAL IN SIXTEENTH CENTURY JAPAN A THESIS SUBMITTED TO THE GRADUATE DIVISION OF THE UNIVERSITY OF HAW AI'I IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN mSTORY MAY 2008 By John E. Bender Thesis Committee: William Wayne Farris, Chairperson Mark McNally Edward Davis ii We certify that we have read this thesis and that, in our opinion, it is satisfactory in scope and quality as a thesis for the degree of Master of Arts in History. THESIS COMMITTEE VIIJ)Vl ~ ~rperson iii ABSTRACT The Warring States period is often characterized as random and chaotic - an incomprehensible series of battles from which a victor finally emerged. While there was a degree of unpredictability in Warring States conflict, this thesis argues that the period followed a fundamentally comprehensible course. Emphasizing the chaos of battle obscures underlying factors which set the course of Warring States conflict, politics, and economics. By systematically examining geographic, political, economic, and military factors it can be shown that the Warring States period proceeded more logically than has been assumed. This research identifies patterns in Warring States Japan and seeks to answer the question, "why did some daimyo survive while others did not" I argue that survival during the Warring States period was more heavily influenced by geographic and political factors than by military and economic factors. Though touted as powerful warlords who controlled their own destiny, in reality, factors largely beyond the daimyo's control were most responsible for his survival or e1imination. iv TABLE OF CONTENTS Abstract ..................................................................................................i List of Tables .......................................................................................... v List of Figures .......................................................................................... vi Introduction: Daimyo Domains and Sixteenth Century Conflict ................................ 1 Chapter 1: The Physical Component ofDairnyo Rule: Regions and Survival (location, location, location) ................................................ 9 General Characteristics by Region .......................................................... 14 Examining Survival Rates .................................................................... 20 Hypothesis on Unification ................................................................... 30 Conclusion ..................................................................................... 33 Chapter 2: Domainal Econotnics: Resource Extraction and Logistical Support ............... 35 Increasing Revenues - The Survey ......................................................... 38 Maximizing Production ...................................................................... 43 Markets and Merchants .......................................................................47 Non-agricultural Income ..................................................................... 50 Econotnics and Survival ..................................................................... 52 Conclusion ..................................................................................... 54 Chapter 3: Military Factors ........................................................................... 57 New Tactics, New Technology .............................................................. 58 Econotnic Warfare ............................................................................ 65 Field Commanders and Tactics ..............................................................67 Conclusion ..................................................................................... 72 Chapter 4: Daimyo and Sixteenth Century Politics ................................................ 74 Establishing Daimyo Authority ............................................................. 76 Judicial Authority and Domainal Law Codes ............................................. 82 The Treasure of Loyal Retainers ............................................................ 86 Politics with Rival Daimyo .................................................................. 91 Knowing When to Fight ...................................................................... 99 Conclusion ..................................................................................... 101 Conclusion .............................................................................................. 103 Appendix ................................................................................................ 107 List of Daimyo ................................................................................. 107 List of Daimyo Cited in Figure 2.2 ......................................................... 109 Bibliography ............................................................................................ 110 v LIST OF TABLES 1.1: Survival Rates ..................................................................................... 18 2.1: Increases in Tax Revenues Resulting From Cadastral Survey in the Go-Hojo Domain ........................................................................................... 41 2.2: Survival rates for large and small daimyo ..................................................... 54 vi LIST OF FIGURES Figure ~ x.I: Relationship among key components of daimyo domains .................................. 4 1.1: The Six Main Regions of Warring States Japan .............................................. 13 1.2: Summary Data. .. .. .. .. .. .. .. .. .... .. .. .. .. 14 1.3: "Survivability" Estimate ......................................................................... 15 1.4: Graph of Survival Rates .......................................................................... 18 Introduction: Daimyo Domains and Sixteenth Century Confliet In 1467, Kyoto was plunged into the most destructive war in its premodern history. Bands of warriors fought almost continuously in the streets for ten years. When the conflict finally abated, the city was reduced to a shadow of its former self.· Like its capital, the Muromachi shogunate was dealt a serious blow, one from which it would never recover. The years following the Onin War (1467 - 1477) witnessed a near complete collapse of central authority. The rise of local power which had been taking place for roughly a century accelerated, and Japan quickly lost virtually all semblance of central government. Regional magnates, or daimyo, came to dominate the political landscape of Japan, each controlling territory on their own authority. These military strongmen established control over local warriors and cultivators and then began to challenge one another for supremacy. The result was a period of protracted civil war lasting for almost 150 years. Despite the disruptions caused by warfare, these years witnessed important developments at all levels of society.2 The rise and maturation of daimyo authority was one of these developments and had far-reaching consequences affecting every aspect of society. The formation of daimyo domains stimulated economic growth and prompted social change. Political reorganization set the stage for the significant economic and demographic growth over the next century and a half from 1550 to 1700. Governmental techniques pioneered by Warring States daimyo, such as cadastral surveys, taxation of I Mmy Elizabeth Beny, The Culture a/Civil War in Kyo/a, (Los Angeles: University ofCalifomia Press, 1994),20. 2 William Wayne Farris, Japan's Medieval Population: Famine, Fertility, and Warfare in a Trans/onnative Age, (Honolulu: University of Hawaii Press, 2006), 189. 2 village units, and the relocation of vassals, endured as fundamental institutions of the Tokugawa system. Domains were effective enough as administrative units that they remained the basis of Japan's government for some 300 years. Daimyo strove to make their domains self-sufficient In the process, they created a geographically, politically, and economically integrated territory that acted in many ways as a small, independent "country." As conflict intensified in the mid- and latter half of the sixteenth century, daimyo domains became increasingly organized for war. All daimyo fought simply to survive, but many sought greater power and engaged in expansion. The maintenance of control within the domain and of an effective army abroad thus required the maximization of the domain's military potential. This need was the driving force behind measures that consolidated and solidified daimyo power. Over the course of the Warring States period, hundreds of daimyo were eliminated. Competition was fierce, especially among the most powerful lords. Domain formation was no easy task, and the maintenance of control was even more difficult. Diverse groups, from Muromachi officials, to local warrior bands, to armed Buddhist monks, to peasant religious sects vied for power when central authority collapsed. Powerful warriors emerged from the struggle as the new lords of Japan, but only after long periods of fighting. Amidst this struggle. the fortunes of some rose dramatically while those of others plummeted to the wastelands of extinction. All daimyo faced the same fundamental challenges, yet some were able to negotiate the dangers of Warring States Japan more effectively than others. How and why were they able to do so? How did some daimyo survive the Warring States era, while others were