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Aspects of modernization in Japan : the adaptive and transformation processes of late Tokugawa society Ujimoto, Koji Victor 1969-12-31

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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 College of Canada B. Sc., University 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 thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA A p r i l , 1969 In p r e s e n t i n g t h i s t h e s i s i n p a r t i a l f u l f i l m e n t o f the r e q u i r e m e n t s f o r an advanced degree a t the U n i v e r s i t y of B r i t i s h C o lumbia, I a g r e e t h a t the L i b r a r y s h a l l make i t f r e e l y a v a i l a b l e f o r r e f e r e n c e and Study. I f u r t h e r agree t h a t p e r m i s s i o n f o r e x t e n s i v e c o p y i n g o f t h i s t h e s i s f o r s c h o l a r l y purposes may be g r a n t e d by the Head o f my Department o r by h i s r e p r e s e n t a t i v e s . I t i s u n d e r s t o o d t h a t c o p y i n g o r p u b l i c a t i o n o f t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l not be a l l o w e d w i t h o u t my w r i t t e n p e r m i s s i o n . 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 Vancouver 8, Canada Date A p r i l 9» * 969 ABSTRACT The main task of this study was to examine the pro position that the modernization processes of Japan had commenced during the late 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 post-Meiji Restoration (1868) period. A survey of contemporary l i t e r a t u r e on modernization enabled us to select a suitable working d e f i n i t i o n of modern i z a t i o n . For a n a l y t i c a l purposes, modernization was defined i n terms of the adaptive and reforming e f f o r t s by the late Tokugawa ideologues. The d e f i n i t i o n implied nothing s p e c i f i c about the component processes involved and t h i s permitted us to be free i n se l e c t i n g the component actions within the modernization process. The study of the adaptive and transformation processes consisted of an analysis of f i v e biographies written i n Japanese and representative of the ideologues of the late Tokugawa period. For our in v e s t i g a t i o n , the method of content analysis was employed. This allowed the extraction of desired data according to e x p l i c i t l y formulated and systematic rules. The coding scheme employed to analyze the biographical mate r i a l was designed taking into account our basic proposition. The process of assigning extracted data into the appropriate categories consisted of a dichotomization process whereby the data was recorded i n mutually exclusive categories. The interpretative categories selected for content analysis were not based on a s p e c i f i c theory purporting to explain certain aspects of s o c i a l change but i t suggested a model which lent c l a r i t y to the study of the linkage between causal forces (soc i e t a l conditions and formative factors) and the ideologue 1 structures of a c t i v i t i e s . In t h i s model, the underlying as sumption was that the causal forces were linked to the observ able variations by the ideologue's attitudes, orientations, and concepts. This assumption was supported by the data and the structure of a c t i v i t i e s gave r i s e to patterns which tended to be similar although the st r u c t u r a l processes themselves varied from ideologue to ideologue. On the basis of our in v e s t i g a t i o n , we concluded that the data obtained from the content analysis of f i v e biographie supported our proposition that the adaptive and transformation processes of modern Japan established t h e i r roots during the late Tokugawa period 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 Restoration period. TABLE OF CONTENTS Page ABSTRACT i LIST OF FIGURES v ACKNOWLEDGEMENT v i CHAPTER I. ASPECTS OF MODERNIZATION IN JAPAN 1 1. Toward a D e f i n i t i o n of "Modernization" 3 2. The Modernizing E l i t e s 7 I I . THE CONCEPTUAL FRAMEWORK 16 1. Tokugawa Ideology and Feudal Control . . 18 2. Reform Proposals and the Rise of Nationalism 22 3. Tokugawa System of Government 30 4. Post Restoration E l i t e s . . . . . . . . 35 5. Meiji System of Government 39 I I I . METHODOLOGY 43 1. Content Analysis . . . . . . 45 2. Coding Content Data . . . . . . . . . . 46 3. Methodological Problems 50 IV. STUDY SAMPLE: FORERUNNERS OF THE TRANSFORMATION PROCESS 53 1 . Formative Influences 54 i v 2. Subject's Attitudes, Orientations, 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. P r i n c i p a l Bakufu O f f i c i a l s 128 B-l . Coding Rules for Category I 129 B-2. Coding Rules for Category II 130 B-3. Coding Rules for Category III 131 B-k. Coding Rules for Category IV 132 B-5. Coding Rules for Category V 133 B-6. Coding Rules for Category VI . 13^ C. Link Between Ideologues 135 V LIST OF FIGURES Page Figure 1. Conceptual Framework Employed to Study the Modernization Process of Japan . . 1 7 Figure 2 . Tokugawa Government Structure . . . . . . 31 Figure 3» Content Data Categories 4 8 Figure 4 . Causal Forces-Observable Variations Linkage Model . . 1 1 5 v i ACKNOWLEDGEMENT An i n t e r d i s c i p l i n a r y undertaking of this nature neces s a r i l y involves the advice and assistance of numerous people. I wish to express p a r t i c u l a r gratitude to Professor John F. Howes, Department of Asian Studies, and Professor Ernest Landauer, Department of Anthropology, the thesis advisors, for th e i r time spent i n consultation and for the valuable suggestions put f o r  ward throughout the research and writing of this thesis. I would also l i k e to express appreciation to Professors William L. Holland and Kazuko Tsurumi, now at Seikei University, 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 Professor Shuichi Kato f o r suggesting the l i n e of i n v e s t i  gation employed i n this study. I am indebted to the University of B r i t i s h Columbia f o r the graduate fellowships which allowed me to continue my studies. I am also indebted to Mr. Harold S. C o l l i e of Canadian P a c i f i c A i r l i n e s for f i n a n c i a l assistance. I am very grateful both to Mrs. Margaret Fukuyama of the Asian Studies Library, University of B r i t i s h Columbia and to Mr. Makoto F u j i t a of World University Service, Tokyo, for t h e i r very generous assistance and for keeping aliv e my intere s t i n the Far East. Monica Lindeman read the manuscript throughout and made suggestions which have been incor porated i n the thesis. F i n a l l y , I wish to thank my wife Mutsuko who has been at a l l times the source of encouragement. CHAPTER I ASPECTS OF MODERNIZATION IN JAPAN One of the f i r s t attempts to develop an agreement on the meaning of the term "modernization" by Western and Japanese s c h o l a r s t ogether r e s u l t e d from the Conference on Modern Japan which was h e l d i n Hakone, Japan, i n i 9 6 0 . Ever s i n c e the M e i j i R e s t o r a t i o n , Japanese s c h o l a r s have tended to r e f e r to the processes of m o d e r n i z a t i o n i n terms of western i z a t i o n , the most common y a r d s t i c k b e i n g western t e c h n o l o g i c a l development. Tadao Yanaihara's d e s c r i p t i o n of the "problems of m odernization" i s worth n o t i n g : The problem of modernization i n Japan i s to import and absorb western techniques and c u l t u r e . In s h o r t , i t i s w e s t e r n i z a t i o n of Japanese s o c i e t y and Japanese c u l t u r e . But the Japanese people have too l o n g and s o l i d a p a s t to l e t t h e i r country become only an i m i t a t i o n of western c o u n t r i e s . 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 world, f o r world c u l t u r e can be e n r i c h e d only by d i f f e r e n c e s of c h a r a c t e r i s t i c s among n a t i o n s . But, i f Japan wants to undertake a m i s s i o n of f u s i o n of e a s t e r n and western c i v i l i z a t i o n s which she e n t e r t a i n s as her n a t i o n a l i d e a l s , she must not be content 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 absorb i t s essence and i t s fundamental s p i r i t . I f i t may be assumed t h a t t h i s essence of modern western c i v i l i z a t i o n i s democracy, then i t can 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 democrati z a t i o n . 1 Tadao Yanaihara, "A Short H i s t o r y of Modern Japan," i n S e i i c h i Tobata ( e d . ) , The M o d e r n i z a t i o n of Japan (Tokyo: The I n s t i t u t e of A s i a n Economic A f f a i r s , I 9 6 5 T , V o l . 1, p. 5 . 2 For men l i k e Yanaihara "modernization" and " w e s t e r n i z a t i o n " were synonymous and consequently, r e l a t i v e l y simple i n d i c i e s were used to measure t h i s i m p o r t a t i o n 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 w i r e s , or harbor 2 f a c i l i t i e s . W e s t e r n i z a t i o n was not j u s t l i m i t e d to the im p o r t a t i o n of technology, but i t encompassed s o c i e t y and c u l t u r e as w e l l . I n i t i a l e f f o r t s by western s c h o l a r s to c o n c e p t u a l i z e the modernization process merely r e s u l t e d i n the enumeration of the many elements of contemporary North American and European s o c i e t a l c o n d i t i o n s . As a r e s u l t , i n c e r t a i n r e s p e c t s there was very l i t t l e d i f f e r e n t i a t i o n w i t h the Japanese under s t a n d i n g of modernization as w e s t e r n i z a t i o n except that the western s c h o l a r s were b e t t e r able to c a t e g o r i z e the v a s t number of c h a r a c t e r i s t i c s i d e n t i f y i n g the "modern c o n d i t i o n . " Concep t u a l f o r m u l a t i o n based upon s e l e c t e d c l a s s i f i c a t i o n of t r a n s  f o r m a t i o n processes w i l l no doubt emphasize the elements of the contemporary "modern c o n d i t i o n . " Such an approach may be u s e f u l i n p r e s e n t i n g the s t a t i c aspects-' of what we wish to John W. H a l l , "Changing Conceptions of the Moderniza t i o n of Japan," i n Marius B. Jansen ( e d . ) , Changing Japanese  A t t i t u d e s Toward Mo 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 Robert 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 Japan 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 d e s c r i b e as "modern," b u t i t h a s l e s s r e l e v a n c e t o t h e d e v e l o p - k m e n t a l d i m e n s i o n o r t o t h e d y n a m i c s o f t h e t r a n s f o r m a t i o n p r o c e s s . 1. Toward a D e f i n i t i o n o f " M o d e r n i z a t i o n " I f we s u r v e y t h e v a s t s o u r c e s o f c o n t e m p o r a r y l i t e r a t u r e c u r r e n t l y a v a i l a b l e on t h e p r o c e s s o f m o d e r n i z a t i o n , we c a n r e a d i l y o b t a i n an i n v e n t o r y o f v a r i o u s d e f i n i t i o n s and c o n c e p t s b u t i t w i l l s o o n become e v i d e n t t h a t much d i s a g r e e m e n t e x i s t s among t h e c r i t i c s o v e r t h e e x a c t m eaning t h e y a t t a c h t o t h e e x p r e s s i o n . V a r i o u s s c h o l a r s have u s e d t h e t e r m " m o d e r n i z a  t i o n " t o d e s c r i b e t h e c h a r a c t e r i s t i c s common t o t h e c o u n t r i e s w i t h c h a n g i n g s t r u c t u r a l p r o c e s s e s o r t r a n s f o r m a t i o n . However, t h e m eaning a t t a c h e d t o " m o d e r n i z a t i o n " as a g e n e r a l word h a s v a r i e d f r o m a u t h o r t o a u t h o r . Some a u t h o r s have n e v e r a t t e m p t e d t o d e f i n e t h e t e r m and t h e y h a v e assumed t h a t t h e r e a d e r has some u n d e r s t a n d i n g o f t h e e x p r e s s i o n u s e d . One i n a d v e r t e n t r e s u l t o f d e s c r i b i n g t h e m o d e r n i z a t i o n p r o c e s s by e n u m e r a t i n g t h e v a r i o u s c r i t e r i a s e l e c t e d as e s s e n  t i a l f o r a p p l y i n g t h e m o d e r n i z a t i o n l a b e l i s t h a t s u c h an a p p r o a c h h a s i s o l a t e d t h e v a r i o u s p r o c e s s e s o f change i n t o a d i s j o i n t e d a c c o u n t o f h i s t o r y . Though t h e c r i t e r i a s e l e c t e d may be v a l i d f o r modern s o c i e t y , t h e same c r i t e r i a c a n n o t be I b i d . , p . 11 a p p l i e d 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 pa s t , because each c r i t e r i o n s e l e c t e d by present-day s c h o l a r s may have had 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 r e l a t i v e l y minor s o c i e t a l change may have c o n t r i b u t e d the necessary impetus to i n i t i a t e f u r t h e r t r a n s f o r m a t i o n s and the l a t t e r simply would not have occurred without the former. I t i s thus e s s e n t i a l to c o n s i d e r a l l f a c e t s of the t r a n s f o r m a t i o n process i n h i s t o r i c a l p e r s p e c t i v e and to r e l a t e p e r t i n e n t f a c t s to each other i f we wish to form an o v e r a l l p i c t u r e of the modernization p r o c e s s . The term "modernization" has been d e f i n e d i n numerous ways. Myron Weiner notes t h a t : Each of the s o c i a l s c i e n c e d i s c i p l i n e s has focused on d i f f e r e n t elements of the modernization p r o c e s s . Econo mists see modernization p r i m a r i l y i n terms of 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 resources i n order to b r i n g about a marked i n c r e a s e i n the growth of output per head of p o p u l a t i o n . S o c i o l o g i s t s and s o c i a l a n t h r o p o l o g i s t s have been p r i m a r i l y concerned w i t h 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 . They have exp l o r e d the way i n which new s t r u c t u r e s a r i s e to assume new f u n c t i o n s or to take on f u n c t i o n s once performed by other s t r u c t u r e s , and they g i v e a t t e n t i o n to 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 occupations emerge, complex edu c a t i o n a l i n s t i t u t i o n s develop, and new types of communities appear. S o c i o l o g i s t s a l s o study some of the d i s r u p t i v e f e a t u r e s of the modernization p r o c e s s : r i s i n g t e n s i o n s , 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 Weiner ( e d . ) , M o d e r n i z a t i o n : The Dynamics of  Growth (New York: B a s i c Books, Inc., I966), p. 3. Recent methodological development concerning the analysis of the transformation processes of society has f o  cused on the socio-demographic and s t r u c t u r a l c h a r a c t e r i s t i c s . ^ The term " s o c i a l mobilization" has been derived by Karl Deutsch to denote the "process i n which clusters of old s o c i a l , economic and psychological commitments are eroded and broken and people become available for new patterns of s o c i a l i z a t i o n and behavior. This 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 given by C. E. Black. He defines "modernization" as: . . . the process by which h i s t o r i c a l l y evolved i n s t i  tutions are adapted to the rapidly changing functions that r e f l e c t the unprecedented increase i n man's knowledge, permitting control over h i s environment, that accompanied the s c i e n t i f i c revolution. This l a t t e r d e f i n i t i o n by Black appears to be the most appro priate 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. Eisenstadt, Modernization: Growth and Div e r s i t y (The Carnegie Faculty Seminar on P o l i t i c a l and Administrative Development Paper), p. 1. 7 K. Deutsch, "Social Mobilization 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. Black, The Dynamics of Modernization: A Study i n Comparative History (New York: Harper and Row, Publishers. 1^ 66) , p. 7. ' 6 In contrast to Black's d e f i n i t i o n of modernization as an adaptive process, Dore describes modernization i n terms of the reforming e f f o r t s by the p o l i t i c a l leaders and i n t e l l e c t u a l s . Dore asserts that i t i s useful to speak of reforming e f f o r t s using selected countries as models of attempts to modernize: Clearly, wholesale and rapid "modernization" i n this sense i s a neat epitomisation of the p o l i c y aim of the M e i j i leaders of Japan i n the 1 8 7 0 ' s or Kemal Ataturk i n Turkey i n the twenties, or of countless other p o l i t i c a l leaders since. This sense of "modernization" may be paraphrased as follows: The transformation 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 nation i n accordance with models derived from other contemporary soc 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 nothing s p e c i f i c about the component processes involved and consequently these d e f i n i t i o n s allow us to be free i n se l e c t i n g the component actions within the modernization process. Within the framework of the d e f i n i t i o n s provided by Black and Dore, our study w i l l be concerned mainly with those individuals i n Japanese hi s t o r y , who were either 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 reforming processes which we have subsumed under the rubric of modernization. As f a r as i t w i l l be possible, an attempt w i l l be made to relate the s i g n i f i c a n t dimensions of the transformation process to the i n s t i t u t i o n a l aspects of Japanese society. Here the term 9 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 Modernization" (paper presented i n Asian Studies 3 3 0 Seminar, University 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 " refers af t e r Levy to those normative patterns or those patterns to which general conformity i s expected 1 0 with sanctions 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 exi 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 exercise extreme caution when applying such terms to a behavioral condition. A normative pattern 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 reference to the time dimension and consequently, deviance defined i n terms of the ex i s t i n g s o c i a l order cannot be used as a measuring instrument when discussing h i s t o r i c a l data. Deviance i s a useful 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 exi s t i n g s o c i a l values. 2 . The Modernizing E l i t e s From the outset, we can make a very simple generaliza tion about any society: that there are two classes of people, 1 1 the class that governs and the class that i s governed. Re gardless of this d i f f e r e n t i a t i o n , there w i l l appear from either l 0M. J . Levy, The Structure of Society (Princeton: Princeton University Press, 1 9 5 2 ) , p. 1 0 2 . 1 1 T. B. Bottomore, E l i t e s and Society (Middlesex: Penguin Books Ltd., 1 9 6 6 ) , p. 2 4 . 8 c l a s s c e r t a i n i n d i v i d u a l s who are i n a p o s i t i o n to i n f l u e n c e t h e i r f e l l o w men. Those 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 r e f e r r e d to as e l i t e s . F o r example, those 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 or who become i n f l u e n t i a l by v i r t u e of the p o l i t i c a l power they possess can be c a l l e d the p o l i t i c a l e l i t e . S i m i  l a r l y , those 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 v a s t resources of knowledge which they possess and are at the same time capable of a r t i c u l a t i n g t h e i r i d e a s can be c a l l e d the i n t e l l e c t u a l e l i t e . To d e s c r i b e those i n d i v i d u a l s who are regarded as i n f l u e n t i a l f o r whatever the reason, and r e g a r d  l e s s of t h e i r sphere of a c t i v i t y , we s h a l l use the simple term " e l i t e . " At t h i s j u n c t u r e , we are not concerned w i t h any t h e o r e t i c a l concept of e l i t e s but we are only i n t e r e s t e d i n a g e n e r a l term which w i l l enable us to d e v i s e a simple coding or 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 those i n d i v i d u a l s who are 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 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 r e f o r m i n g p r o c e s s e s . I t w i l l be noted that con t i n g e n t upon these processes of modernization, the e x i s t i n g s o c i a l s t r a t i f i c a t i o n s t r u c t u r e i t s e l f w i l l be s u b j e c t to change l e a d i n g to some degree of d i s s o c i a t i o n not only amongst 1 2 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 Inc., 1 9 6 6 ) , p. 9 . 9 I f we are to select the modernizing e l i t e s associated with the adaptive and transformation processes of Japan, the late Tokugawa ideologues are perhaps our best examples* Their members included a variety of types characterized by the vast scope of t h e i r a c t i v i t i e s as well as by the multi-faceted character of the i n d i v i d u a l * B a s i c a l l y , the ideologues c a l l e d f o r a transformation i n t r a d i t i o n a l Confucian morals and s o c i a l values and a restructuring of personal r e l a t i o n s h i p between the Imperial Court, Shogunal government, and the i n d i v i d u a l . Although there i s l i t t l e evidence of cohesion among the late Tokugawa ideologues, there i s , however, an i n d i c a t i o n of a shared sense of motivation. They were the i n t e l l e c t u a l s who acknowledged the evident superiority of western technology and who were intensely aware of the necessity f o r Japan to adapt to the changing conditions of the times i f she were to escape the tragic fate of India and China. The modernizing e l i t e s who eventually became the f o r e  runners of the M e i j i Restoration were p o l i t i c a l l y oriented as evinced by the emphasis which they placed on the p o l i t i c a l sector of Tokugawa society. 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 theories advo cating the restructuring of the Tokugawa p o l i t i c a l order. In the attempt to break away from the framework of the established p o l i t i c a l order, the ideologues were confronted by the problems of formulating new concepts which would accommodate both the 10 t r a d i t i o n a l Confucian s o c i a l values and the new technological knowledge from the Vest. As w i l l be indicated 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 successful i n producing new p o l i t i c a l concepts. Others f a i l e d to accommodate the idea of change and the introduction of western learning into the Confucian or Neo-Confucian framework of values. This eventu a l l y resulted i n the complete abandonment of the l a t t e r i n the formulation of the new p o l i c i e s . The i n t e l l e c t u a l conversion to western ideas by a few of the late Tokugawa ideologues indicates that they were completely committed to the socio p o l i t i c a l transformation of Japan even i f i t meant they had to sever t h e i r t i e s with the Confucian system of values. Another facet of the i n t e l l e c t u a l transformation which occurred during this period can be i l l u s t r a t e d by the s h i f t s i n the pattern of p r i o r i t i e s i n s e l e c t i n g the new leadership. Consistent with the subordination of t r a d i t i o n a l s o c i a l and moral values, the main emphasis was now placed upon jitsugaku or p r a c t i c a l learning. I t was important f o r the governing e l i t e to be f a m i l i a r with the ever changing international scene and to possess some knowledge of the supposedly superior western science. Despite the observable change i n emphasis for a new leadership demanded by the ideologues, formidable obstacles were present which gave r i s e to a d i s p a r i t y between the stated goal 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 pointed out: 11 Two hundred years of Tokugawa r u l e , e s s e n t i a l l y based upon the 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 of o f f i c i a l s , made im p o s s i b l e any e f f o r t to r e s t o r e a j i n s e i s t a f f e d by able a d m i n i s t r a t o r s w i t h i n the framework of e s t a b l i s h e d p o l i t i c a l p r a c t i c e . Nor c o u l d l a t e Tokugawa w r i t e r s r e a  sonably suppose that i t was any more p o s s i b l e to r e t a i n the t r a d i t i o n a l meaning of j i t s u g a k u , e s p e c i a l l y when circumstances were o b l i g i n g men to equate u t i l i t y w ith Western t e c h n o l o g i c a l competence.* 3 The gradual s h i f t i n p r i o r i t i e s by the ideologues away from the c u l t u r a l l y d e f i n e d goals of the Tokugawa shogunate meant that the ideologues were now engaging i n non-conforming conduct and were consequently s u b j e c t to r e s t r a i n t s imposed by the Tokugawa bureaucracy. The important p o i n t to note here i s that the r e s t r i c t i v e measures employed to discourage those non-prescribed a c t i v i t i e s were open to a c e r t a i n degree of f l e x i b i l i t y . 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 u l t i m a t e p e n a l t y of beheading. An a n a l y s i s of the e l i t e p a t t e r n s w i t h i n the Tokugawa s o c i a l s t r u c t u r e leads to a c l o s e p a r a l l e l w i t h P a r e t o f s model of e l i t e s . In h i s theory of the e l i t e s , Pareto a s s e r t e d that s o c i e t y can be d i v i d e d i n t o e i t h e r the lower stratum, the non- 14 e l i t e , or the s u p e r i o r stratum, the e l i t e . The l a t t e r Harry D. Harootunian, " J i n s e i , J i n z a i , and J i t s u g a k u : S o c i a l Values and L e a d e r s h i p i n Late Tokugawa Thought," i n B. Silberman and H. D. Harootunian ( e d s . ) , Modern Japanese Leader  s h i p (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 , 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 W r i t i n g s (New York: F r e d e r i c k A. Praeger, 1966), p. 51. 12 category was further sub-divided into the governing e l i t e and the non-governing e l i t e . The late Tokugawa ideologues can be subsumed under the category of the non-governing e l i t e since they had no d i r e c t role i n the shogunate. A point 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 " c i r c u l a t i o n 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 ship either through the recruitment of new members from the lower stratum or through the establishment of the counter e l i t e taking over p o l i t i c a l command. The Tokugawa system of s o c i a l controls provided f o r checks and balances which prevented the formation of an aggregate counter force. Within 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 occurred through the development of a power structure which Totman describes 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 administrators and p o l i t i c i a n s , and the growth of an elaborate bureaucracy at Edo was accompanied by the development of an informal power structure, the v e r t i c a l clique, which accommodated s h i f t s i n the locus of power and enabled a single group of men to control both p o l i t i c a l and administrative functions. The resultant clique 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 within the framework of the Edo period seclusion and class structure. At the same time, however, this clique system encouraged bakufu o f f i c i a l s to lose sight of the underlying p o l i t i c a l structure of the bakufu system. 15 Conrad D. Totman, P o l i t i c s i n the Tokugawa Bakufu (Cambridge: Harvard University Press, 1967), p. 256. 13 The governing e l i t e s f u n c t i o n e d w i t h i n the p o l i t i c a l and s o c i a l framework based on t r a d i t i o n a l l y e s t a b l i s h e d Confucian v a l u e s , and i t soon became evident that s t r u c t u r a l reform was necessary. The growing awareness by the modernizing e l i t e s of the i n a b i l i t y of the Confucian e l i t e s to d e a l with the changing world p o l i t i c a l c l i m a t e was brought to the f o r e  f r o n t of i n t e l l e c t u a l debate as a r e s u l t of the Opium War i n 18k0. The p e n e t r a t i o n of China by western powers formulated the b a s i s f o r a l l f u t u r e i n t e r n a t i o n a l r e l a t i o n s i n the F a r East and i t d i d not take very l o n g f o r the Tokugawa i n t e l l e c  t u a l s to r e a l i z e t h at Japan could no longer remain i n d i f f e r e n t to the r a p i d l y changing i n t e r n a t i o n a l s i t u a t i o n . In c o n t r a s t to the dynamics of e x t e r n a l a f f a i r s , the Tokugawa shogunate was bound by the s t a t i c aspects of Neo-Confucian d o c t r i n e s . As the c r i s i s f a c i n g Japan became more acute, the only a c t i o n taken to counter the f o r e i g n f o r c e s was an endeavor to empha s i z e the main d i f f e r e n c e s between China and the " b a r b a r i a n 0 c o u n t r i e s , 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 o b l i g a t i o n s and d o c t r i n e s . From the time t h a t Hayashi Razan ( 1583-1657) e s t a b l i s h e d the Neo-Confucian s c h o o l i n Japan, the Hayashi f a m i l y succeeded i n t h e i r aim to m a i n t a i n 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 o f f i c i a l p h i l o s o p h y of the Tokugawa shogunate. Neo-Confucianism was s p e c i a l l y a u t h o r i z e d by the shogunate as the s eigaku, or true s u b j e c t f o r study, and i t s profound i n f l u -ence on the leading thinkers of the late Tokugawa period was evident i n th e i r p o l i t i c a l concepts. The Neo-Confucian stress 16 on fundamental rationalism directed the i n t e l l e c t u a l s to examine underlying reasons or p r i n c i p l e s . The basic frame of reference was Chu Hsi and the Great Learning which contained the e t h i c a l teachings of Confucianism. An important aspect of Chu Hsi's thought was his d i s t i n c t i o n between legitimacy 1 7 and i l l e g i t i m a c y of rulers which had without doubt greatly influenced the attitudes of the forerunners to the M e i j i Restoration. One other aspect of Chu Hsi's philosophy which served as a basis for id e o l o g i c a l growth was the emphasis placed on moral obligations 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 conjunction with the exhaustive study of history provided the foundation f o r the formulation of new philosophical and p o l i t i c a l concepts as well as a new sense of di r e c t i o n f o r the ideologues. The adaptive and reforming processes of t r a d i t i o n a l Japanese society did not commence with the M e i j i Restoration of 1868 as we are sometimes led to believe, but these processes were already established i n the various sectors of society during the l a t t e r part of the Tokugawa era. The foundations W. T. de Bary (ed.), Sources of Japanese T r a d i t i o n , Vol. I (New York: Columbia University Press, 1 9 6 4 ) , p. 3 4 2 . 17 I b i d . , p. 3 4 3 . 15 being g r a d u a l l y prepared, the modernizing e l i t e s of the M e i j i e r a were able to take advantage of the p r e - c o n d i t i o n s to pave the way f o r f u r t h e r s o c i e t a l t r a n s f o r m a t i o n s . CHAPTER II THE CONCEPTUAL FRAMEWORK The general framework within which we w i l l examine the adaptive and transformation processes of Japan i s best i l l u s  trated by a diagram l i k e Figure 1 on the following page. In this scheme, the v e r t i c a l axis represents the d i v i d i n g l i n e between the Tokugawa and M e i j i periods. This turning point i n Japanese history i s o f f i c i a l l y documented as January 3» 1868. The horizontal axis i s merely a l i n e i n d i c a t i n g a d i v i  sion with the ideologies of the time on one side and the ex i s t i n g system of government on the other. These are repre sented by the symbols 1 and s respectively. With reference to these datum l i n e s we s h a l l d i r e c t our attention to the r e l a t i o n  ship between the ideologies and the r u l i n g government structure during the late Tokugawa and early M e i j i periods. These are symbolically represented as i l l u s t r a t e d i n Figure 1. With the general 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 Figure 1 i n mind, we w i l l state the following proposition and l a t e r examine h i s t o r i c a l data to see what the supporting evidences are. The proposition The conceptual framework was formed during the Asian Studies 513 Seminar (Problems of Japanese I n t e l l e c t u a l History) given at the University of B r i t i s h Columbia during I967-I968. I am indebted to Professor ShGichi KatS f o r his suggestions and c r i t i c a l comments. 17 Pre 1868 Post 1 2 1, 2 s 1^  - Tokugawa Ideology l g - Reform, Emperor Support, Nationalism Ij - Loyalty to T r a d i t i o n a l Feudal Order I 2 - New Nationalism 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 firmly established during the late 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 post-Meiji Restoration period. For this study, an accurate sampling procedure i n order to obtain representative h i s t o r i c a l data f o r analyzing the ide ologies as well as the individuals of the late Tokugawa period i s the f i r s t problem which we encounter. The methodology employed fo r this study w i l l be explained l a t e r . 1. Tokugawa Ideology and Feudal Control Under 1^, we have subsumed not only the Tokugawa ideology but also those organizations or i n s t i t u t i o n s s p e c i a l l y i n s t i  tuted to perpetuate the feudal order of Tokugawa Japan. When we refer to Tokugawa ideology, 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 interested i n the body of ideas employed as guidelines by the bakufu f o r the execution of certain patterns of behavior and i n "the creation of a cohesive group out of 3 more or less diverse elements." The emergence of the p o l i t i c a l philosophy based on Confucian ethics, morality and l o y a l t y The dates represent the period i n history i n which the ideologues selected f o r t h i s study l i v e d . 3 Reinhard Bendix, Work and Authority i n Industry (New York and Evanston: Harper and Row Publishers, Inc., 1 9 6 3 ) , p. 1 9 9 . 19 r e s u l t e d as an aftermath of the p e r i o d of the Warring S t a t e s at which time Ieyasu sought to r e s t o r e peace to the n a t i o n * At the same time, Ieyasu e s t a b l i s h e d a h i g h l y c e n t r a l i z e d s o c i a l and p o l i t i c a l s t r u c t u r e based on the Confucian i d e a of a graded s o c i a l order which enabled continued Tokugawa r u l e f o r over two hundred and s i x t y f i v e y e a r s . The development of p o l i t i c a l thought d u r i n g the e a r l y days of the Tokugawa p e r i o d very c l o s e l y p a r a l l e l e d Mannheim fs concept of i d e o l o g y i n t h a t i t was born as a r e s u l t of p o l i t i c a l c o n f l i c t and that "the r u l i n g group became so i n t e n s i v e l y i n t e r e s t - b o u n d to a s i t u a t i o n that they were no longer able to see c e r t a i n f a c t s k which would undermine t h e i r sense of domination." The g u i d i n g p r i n c i p l e s of the Tokugawa shogunate or c e n t r a l government subsumed under l j c o n s i s t e d of an accumu l a t i o n of Confucian p h i l o s o p h y as w e l l as a mixture of Buddhist and T a o i s t d o c t r i n e s . The p h i l o s o p h y of Chu H s i which came to be known as Shushigaku or Neo-Confucianism i n Japan p r o v i d e d 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 p o l i c i e s . David E a r l has noted that the p r i n c i p l e s of the Chu H s i s c h o o l of Confucianism responded i d e a l l y to the demands of the 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 the f o l l o w i n g terms: k K a r l Mannheim, Ideology and U t o p i a (London: Routledge and Kegan Paul L t d . , 1954), p. 36. 20 In his writings, Chu Hsi singled out f o r p a r t i c u l a r attention 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 obligation. His argument revolved around the nature of righteousness which appeared among both the Five Relation ship and the Five Virtues. Righteousness between sovereign and subject, from the viewpoint of the subject, became Duty or the obligation of rendering l o y a l service to the sover eign. I t also demanded, as a prerequisite to t h i s , rec ognition of one's proper station or rank and a complete dedication to meeting the requirements connected with i t . This combination--knowing one's place and f u l f i l l i n g one's obligation to his sovereign lord—summed up the entire duty, or great Way, to be followed by a l l subjects.5 These p r i n c i p l e s were a l l incorporated i n the expression t a i g i  meibun, "the highest duty of a l l " or "the highest of a l l o b l i  gations, that to the sovereign"^ and paradoxically, as we s h a l l see l a t e r , i t became the main doctrine f o r the restructuring of the Tokugawa system of values which eventually led to the Restoration 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 structure and was established to inculcate l o y a l t y to the shogunate. The patterned relationship between the daimyo and the shogun, the samurai to the daimyo or the vassals to the l o r d , a l l demonstrated various forms of obligations one owed to one's superior by virtue of one's s o c i a l p o s i t i o n on the Tokugawa status scale. Each person had an appointed place i n 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 Period (Seattle: University of Washington Press, 19V*), p. 6. 6 Ibid. 21 society, a hereditary p o s i t i o n i n the h i e r a r c h i c a l structure determined by one's b i r t h . The patterned rules of conduct became r i t u a l i z e d over time thereby securing s o c i a l s t a b i l i t y and ensuring the permanence of the established r u l e . Alternate range of behaviors was severely limited 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 forces and also 7 by the strategic d i s p o s i t i o n of the daimyos. The s t r i c t ad herence to the r i t u a l i z e d patterns of behavior prevented the exchange of ideas between the various status groups and as such i t served as an e f f e c t i v e control mechanism to reinforce the f e u d a l i s t i c Tokugawa administration. Another form of highly 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 p o l i t i c a l control device was the sankin kotai or system of 8 alternate attendance i n Edo. Under this system, the daimyos were required to divide t h e i r time between the c a p i t a l and The daimyos were categorized into three classes depend ing 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 consisted of families related by blood. The tozama daimyos comprised those lords whose families became lo y a l to the Tokugawa house at the time of the Battle of Sekigahara. The fudai daimyos consisted those lords whose ancestors were closely associated with the bakufu, i n other words, the hereditary vassals. Quite naturally, the fudai daimyos staffed the important positions of the shogunate. The fudai 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. Tsukahira, Feudal Control i n Tokugawa Japan: The Sankin Kotai System (Cambridge: Harvard University Press, 1966), p. 1 . 22 their f i e f s according to a f i x e d schedule devised by the shogun. It was required by shogunal order that each daimyo establish a permanent residence at the c a p i t a l for his wife and children. The state p o l i c y further required that the wife and children 9 serve as sureties while the daimyo returned to his f i e f . The daimyos were thus burdened by the expense of t r a v e l l i n g between th e i r domain and c a p i t a l , the expense of maintaining two r e s i  dences, and furthermore, by the expenses incurred i n maintaining formal relations with the bakufu, f o r example, the exchange and presentation of g i f t s and special periodic offerings which was carried out according to a prescribed procedure. The obliga tions imposed upon the daimyo by the shogunate placed an ex tremely heavy f i n a n c i a l burden on the daimyo and his han and consequently served as an e f f e c t i v e control device to prevent the daimyo from becoming a threat to the established order. The rules and regulations 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 Nationalism With the passing of time, certain individuals within Tokugawa society came to question the e x i s t i n g feudal order. 7 I b i d . , p. 49. 10 R. P. Dore, Education i n Tokugawa Japan (Berkeley and Los Angeles: University of C a l i f o r n i a Press, 1965), p. 9. 23 The ideologues, 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 Figure 1. This phase of our investigation w i l l commence with the reform proposals advanced by the c r i t i c s of the sankin kotai system. The f i n a n c i a l burden placed upon the daimyo and his 11 f i e f by the sankin kotai system spread throughout the nation and i t s adverse economic effects became a matter of urgent concern f o r the Tokugawa au 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 period, f o r example, Kumazawa Banzan ( I 6 I O - I 6 9 I ) , Ogyu Sorai ( 1 6 6 6-1728), Muro Kyuso ( 1 6 5 8 - 1 7 3 * ) , Nakai Chikuzan (1730-18 2 9 ) , 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 kotai system. Because they f e l t the.feudal r u l i n g class was becoming increasingly weaker, they submitted numerous proposals for reform to the shogunate i n order to r e v i t a l i z e the various sectors of the Tokugawa society. As one example of suggested p o l i c i e s , Kumazawa*s proposals c a l l e d for the return of the warrior class to the a g r i c u l t u r a l sector and looked to the shogunal model of the Kamakura period ( 1 1 9 2 - 1 2 1333) as a p r a c t i c a l solution. 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 modified. Kumazawa wanted to relax the sankin kotai system as part of an overa l l program which aimed at nothing less than the Edwin 0. Reischauer and John K. Fairbank, East Asia: The Great T r a d i t i o n (Tokyo: Charles E. Tuttle Company, I962), p. 608. 12 Tsukahira, Feudal Control i n Tokugawa Japan, p. 10k. 2k complete r e v o l u t i o n i z i n g of the c u r r e n t s o c i a l and p o l i t i  c a l o r g a n i z a t i o n . I t was not enough, he b e l i e v e d , merely to reduce the p e r i o d of attendance at the c a p i t a l . Nothing would be gained i f the daimyo and t h e i r r e t a i n e r s were simply r e t u r n e d to the p r o v i n c e s to 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 should be s e t t l e d on the l a n d and r e s t o r e d to t h e i r former p o s i t i o n as farmer- s o l d i e r s ( n o h e i ) . The economy of the r u r a l areas should be r e v i t a l i z e d by a l a n d program which would r e d i s t r i b u t e and e q u a l i z e 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 bakufu and the d a i m y o — s h o u l d use t h e i r resources to pay o f f the debts and mortgages of the peasants. F i e l d s which had been s o l d should be r e t u r n e d to t h e i r o r i g i n a l owners, i f the s e l l e r had l e s s l a n d than the buyer. T h i s done, the next step would be to s e t t l e the w a r r i o r c l a s s on the l a n d among the people they r u l e d , i n s t e a d of keeping them segre gated i n c a s t l e towns. 13 Needless to say, Kumazawa's recommendations were ign o r e d by the shogunate though they d i d have a profound impact on the reform f o r m u l a t i o n s advanced l a t e r by Ogyu" S o r a i and Yokoi Shonan. The s o c i a l reform program o u t l i n e d by Ogyu c l o s e l y resembled those p o l i c i e s advanced by Kumazawa. Ogyu, i n h i s r o l e as a s c h o l a r and a d v i s o r to the shogunate, a l s o recommended that the w a r r i o r c l a s s be r e t u r n e d to the l a n d . In c o n t r a s t to Kumazawa and Ogyu*s scheme to modify the e x i s t i n g s a n k i n k 5 t a i system, Muro Kyuso advised h i s Shogun Yoshimune not to make any adjustment to the e s t a b l i s h e d p r o c e  dure of a l t e r n a t e attendance to the c a p i t a l . The reason g i v e n by Muro was that the s a n k i n k o t a i had become a system of h i g h l y r i t u a l i z e d behavior and a symbol of a u t h o r i t y that any change would have s e r i o u s e f f e c t s on the Tokugawa order. In t h i s 1 3 I b i d . , p. 1 0 6 . instance also, the shogun disregarded the recommendations and proceeded to modify the sankin kotai schedule. The p o l i c i e s advocated by the other reformers were a l l considered to be too r a d i c a l f o r immediate implimentation and were consequently suppressed by the bakufu. A concomitant development with the increasing concern with the problems of daimyo and han finances and the widespread nature of general economic discontent was that the bakufu was confronted by external pressures to open the country to foreign intercourse. The i n a b i l i t y of the Tokugawa shogunate to f u l  f i l l the requirements of society produced a group of i n t e l l e c  tuals who advocated a systematic formulation for the restoration of the Imperial regime. This 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 For eigners" f a c t i o n consisted of the scholars of the Mito school such as F u j i t a Yukoku (1773-1826), his son F u j i t a Toko (1806- 1855), Aizawa S e i s h i s a i (1782-1863), and Lord Nariaki (1800- 1860). The Mito school philosophy stressed the "emperor-directed lk aspect of patriotism" and even advocated the use of m i l i t a r y force to oppose the foreign threat. Aizawa S e i s h i s a i "succeeded i n integrating the Mito viewpoint on Confucianism, Shinto, t a i g i  meibun, and the essentials of patriotism"* -* and his book Shinron E a r l , Emperor and Nation i n Japan, p. 88. 15 Ibid. 26 (A New Proposal) became the t e x t r e p r e s e n t i n g the Mito p o l i t i  c a l p h i l o s o p h y . Aizawa emphasized the r o l e of the Emperor and a s s e r t e d t h a t the Emperor must r e g a i n c o n t r o l of the l e a d e r s h i p to which he was e n t i t l e d . A p o i n t of view c o n t r a r y to the Mito s c h o o l p h i l o s o p h y d e s c r i b e d i n the f o r e g o i n g has been advanced by A l b e r t C r a i g . I t has been documented by C r a i g t h a t the Mito concept of k o k u t a i or n a t i o n a l p o l i t y a f f i r m e d the h i e r a c h i c a l s o c i a l order of Tokugawa s o c i e t y but that the Mito s c h o o l f a i l e d to s p e c i f y whether the primacy of l o y a l t y should be d i r e c t e d to the daimyo or to the Emperor: . . . the Mito s c h o o l never made c l e a r which l o y a l t y was primary or what should be done i f the d i f f e r e n t claims were to c o n f l i c t . T h i s l a c k of c l a r i t y was of c r u c i a l importance. Had the daimyo*s c l a i m to l o y a l t y been primary, then the s t r u g g l e s o f , and w i t h i n , the han, which c o n s t i t u t e d the sonno movement, would have 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 would not have been accepted by the n a t i o n at l a r g e . On the other hand, had l o y a l t y to the Emperor been primary, the Mito s y n t h e s i s would have been r e j e c t e d o u t r i g h t . T h i s ambiguity i n the Mito p h i l o s o p h y concerning the c e n t r a l value of the Tokugawa e t h i c enabled groups 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 . In the course of the Bakumatsu p e r i o d t h i s proved to be very u s e f u l to the an 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 noted that the 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 the M e i j i R e s t o r a t i o n (Cambridge: Harvard U n i v e r s i t y P r e s s , 1961), pp. 152-53. 27 the l a t e r Mito school, as evidenced i n the writings of Aizawa Se i s h i s a i f o r example, l e f t l i t t l e doubt that l o y a l t y and f i l  i a l piety were both oriented i n the d i r e c t i o n of the Emperor. In his Shinron, Aizawa elaborated on the theory of kokutai according to which a l l the Japanese people were related to the head or the imperial household. With the Emperor placed i n the sacred po s i t i o n as head of the family, he became the su preme object and receptor of l o y a l t y and f i l i a l p iety. This 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 resulted i n part from a re-examina tion of the t a i g i meibun concept. Another factor was that during the late Tokugawa period, the concept of l o y a l t y became much more impersonal than i n previous periods, and consequently the practice of l o y a l t y and f i l i a l piety became nothing more than a r i t u a l . Craig has noted that l o y a l t y to the daimyo became "loy a l t y to a status rather than personal l o y a l t y to an i n d i v i d u a l " * and that i t was this 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 l o y a l t y 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 consists of the supporters of the kobu g a t t a i , a concept which c a l l e d for the u n i f i c a t i o n of the c i v i l author i t y represented by the Imperial Court and the m i l i t a r y authority Ibid., p. 148. 28 1 8 represented by the Tokugawa shogunate. The reform p o l i c i e s of this 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 gattai group was that i t s advocates consisted of two f a c t i o n s : . . . those who aimed at the preservation and face- saving of the Bakufu and were hoping to broaden i t s base; and those who desired to restore 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 . ^ It i s of some significance to note that the leading spokesman favoring the union of c i v i l and m i l i t a r y authorities was Sakuma Shozan for i t was Sakuma who saw the compatibility of the Confucian ethics and Western technology i n order to solve the economic and m i l i t a r y weaknesses of the country. His p o l i t i c a l philosophy was summed up i n his famous slogan "Toyo no dotoku, 20 Seiyo* no Geijutsu" ("Eastern ethics and Western science"). I f we l i s t 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 late Tokugawa and M e i j i periods, we have Kato Hiroyuki, Katsu Kaishu, Nishimura Shigeki, Tsuda Masamichi, and Yoshida Shoin. Herschel Webb, The Japanese Imperial I n s t i t u t i o n i n the Tokugawa Period (New York: Columbia University Press, 1968), P. 259. 1 9 E a r l , ©£. c i t . , p. 194. 20 This expression has been translated i n numerous ways. Dotoku can be translated as morality, morals, or moral p r i n c i p l e s . Geijutsu l i t e r a l l y means a r t , or the a r t s . Gakugei meaning arts and science has been used instead of geijutsu i n some texts. 29 The f i n a l group of late Tokugawa ideologues to be sub sumed under l g of our categorization scheme consists of those i n t e l l e c t u a l s who advocated the complete absorption of Western c i v i l i z a t i o n i n order to enrich and strengthen th e i r nation. These scholars of Western culture were not content with the mere adoption of Western technology and c a l l e d for p r a c t i c a l solutions to the economic and p o l i t i c a l problems through West ern studies. Their emphasis on research provided the stimulus to establish a system of education based on rangaku or Dutch 21 _ studies. Scholars such as Maeno Ryotaku, Sugita Genpaku, and Takano Choei represented this philosophy during the Tokugawa period while Fukuzawa Yukichi became i t s p r i n c i p a l advocate during the M e i j i period. The consciousness of nationalism grew along with 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 sonno-joi movement. This development i n nationalism was challenged by the scholars of the kobu gat t a i theory and f o l  lowers of Dutch studies. However, the f i n a l outcome was that as foreign pressure increased, so did the f e e l i n g of national 22 consciousness. Those i n t e l l e c t u a l s who t r i e d to solve the national problems through Western learning f a i l e d miserably, Japanese National Commission f o r UNESCO, 3>he Role of  Education i n the Social and Economic Development of Japan (Tokyo: I n s t i t u t e f o r Democratic Education, 1 9 6 6 ) , p. 328. 22 Ibid., p. 330. 30 either ending up i n prison or died. 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 late Tokugawa period was that they had profound influence 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 leaders of the subsequent generation. As John Whitney H a l l has observed: In the f i n a l analysis, i t may well have been the growth of nationalism during the Tokugawa period which, more than any other f a c t o r , was to account f o r Japan's successful transformation into a powerful modern s t a t e . 2 ^ 3. The Tokugawa System of Government The component elements constituting the Tokugawa system of government have been represented by the symbol s i n Figure 1. Figure 2 on the following page portrays t h i s feudal administra tion system. At the apex of the hierarchy was the Emperor and his Imperial Court which served as a symbol which legitimized the vast powers of authority exercised by the shogun. The bakufu proper was composed of a h i e r a r c h i c a l structure consist ing 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 reported by Totman that there were some two hundred and seventy-five d i f f e r e n t o f f i c i a l positions i n the bakufu bureauc- Zk racy and that these o f f i c e s were mainly staffed by the vassal daimyo and liege vassals. Membership to the two p o l i c y making 23 John Whitney H a l l , Tanuma Okitsugu (1719-1788): Fore  runner of Modern Japan (Cambridge: Harvard Unxversxty Press, 1955), P. 12. Zk Totman, P o l i t i c s i n the Tokugawa Bakufu, p. ko. 31 Shogunal household members E?MPEROR Imperial Court Envoys to the bakufu (buke denso) Kyoto Deputy (KySto shoshidai) Envoys to the Court (kinrizuki) Daimyo of Takamatsu Masters of Court Ceremony (koke) SHOGUN (Princ i p a l bakufu o f f i c i a l s ) Liege vassals Fudai daimyo Shimpan daimyo Tozama daimyo FIGURE 2 TOKUGAWA GOVERNMENT STRUCTURE 29 29 Totman, P o l i t i c s i n the Tokugawa Bakufu, pp. "}k & 38. bodies consisting of the roju (Senior Councilors) and waka- doshiyori (Junior Councilors) was by appointment. Only the 25 heads of the shimpan and fudai 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 linkage between the Imperial Court and the bakufu was a clever l y disguised yet extremely important aspect of the Tokugawa administration i n the per formance of i t s l e g i t i m i z i n g function. The transmission of information, o f f i c i a l requests, and r i t u a l greetings was conducted through a number of established channels such as 26 the buke denso or envoys to the bakufu, the Kyoto shoshidai 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 function of journeying to Kyoto, after court appointment of a 27 new shogun, to express Tokugawa gratitude," and the masters of Court ceremony who "handled r i t u a l shogunal pilgrimages to Kyoto or other places of imperial consequence, received the imperial envoys to the bakufu, and handled other ceremonies at Edo." 2 8 At the following l e v e l of Tokugawa administration, we have the structure of the han government. Here the daimyo was located at the apex of the h i e r a r c h i c a l framework followed by the toyaku or gyosho (Accompanying E l d e r ) , kahanyaku or karoshu 25 Dore, Education i n Tokugawa Japan, p. 9. 26 2 7 28 Totman, op_. c i t . , p. 38. ' I b i d . , p. 39. Ibid. 33 ( C o u n c i l of E l d e r s ) , and the toshoku or kokusho (Han Adminis t r a t i v e E l d e r ) , a l l l o c a t e d at approximately the same l e v e l 30 of power. Under these o f f i c e s were the Edo A d m i n i s t r a t i v e O f f i c e s and the Han A d m i n i s t r a t i v e O f f i c e s . The C o u n c i l of E l d e r s at f i r s t d e a l t w i t h a l l of the han problems though by the end of 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 time, the Han A d m i n i s t r a t i v e E l d e r "came to i n c l u d e v i r t u a l l y a l l of the o f f i c i a l s c o n t i n u - 31 o u s l y i n r e s i d e n c e i n the han" and consequently the p o s i t i o n became more powerful than that of the Accompanying E l d e r , which as the t i t l e i n d i c a t e s , "accompanied the daimyo, whether i n Edo 32 or i n the han." Another component of the Tokugawa system of government c o n s i s t e d of the l i e g e v a s s a l s . A c c o r d i n g to Totman, the bakufu o f f i c i a l s were mostly l i e g e v a s s a l s and they occupied " a l l but the top s i x t y or so p o s i t i o n s , about 17,000 of them performing 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 f u n c t i o n . " Very l i t t l e i n f o r m a t i o n i s a v a i l  able concerning the r e l a t i o n s h i p of the l i e g e v a s s a l s 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 l i e g e v a s s a l s may be h e l p f u l i n our understanding of the term. 30 _ Craxg, Choshu i n the M e i j i R e s t o r a t i o n , p. 109. 31 T U., 32 J I b i d . J I b i d . 33 Totman, P o l i t i c s i n the Tokugawa Bakufu, p. 131 3* Usually liege vassals are i d e n t i f i e d as bannermen (hatamoto) and housemen (gokenin), but during the l a t e r Edo period neither the meaning nor relevance of these t i t l e s was clear even to bakufu o f f i c i a l s . The preferred d e f i n i t i o n indicated that liege vassals with a s t r i c t l y t h e o r e t i c a l (and fu n c t i o n a l l y irrelevant) "right 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 indicated that bannermen were liege vassals with a right to e n r o l l  ment i n the f i v e e l i t e guard units (ban), whereas housemen were those without this right.-' 4' Totman i n another place very cautiously indicates that much of his descriptive study i s subject to modification as more i n f o r  mation becomes available. For our purposes, i t w i l l s u f f i c e to note that the liege vassals i n the bakufu consisted of "two fundamental categories, those with 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 consisted of a st r u c t u r a l organization of lady o f f i c i a l s . The house hold provided the means of access to the shogun because i t was "composed of ladies drawn from the court aristocracy and from families i n every major warrior group (liege vassal and vassal, 37 related and outside daimyo)." The various o f f i c e s constituting the bakufu and han administrative structure as described b r i e f l y i n the foregoing 3**Ibid., pp. 131-32. 3 5 I b i d . , p. 132, 36 37 Ibid., p. 37. Ibid. 35 came to be known as the bakuhan system. These o f f i c e s were v e r t i c a l l y l i n k e d through a system of h i g h l y r i t u a l i z e d p r a c  t i c e s based on Neo-Confucian p r i n c i p l e s . 4. Post 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 three components represented by 1^, 1^, and S i n the post M e i j i R e s t o r a t i o n phase of our conceptual schema. For the purposes of t h i s study, we need not e l a b o r a t e on the dimensions of I j which r e p r e s e n t s those s u b j e c t s who s t i l l maintained some degree of l o y a l t y to the t r a d i t i o n a l f e u d a l order as these people were now extremely few i n number and rendered p r a c t i c a l l y impotent by the dynamics of the M e i j i R e s t o r a t i o n . Consequently, we are p r i m a r i l y i n t e r e s t e d i n the I 2 and S components which r e p  r e s e n t s the post M e i j i i n t e l l e c t u a l s and the modern system of government r e s p e c t i v e l y . Category Ig comprised two groups of i n t e l l e c t u a l s , the p r a c t i c a l i n t e l l e c t u a l e l i t e s who were mainly concerned with the p o l i t i c a l process of the new M e i j i bureaucracy and the l i t e r a r y i n t e l l e c t u a l e l i t e s who were a c t i v e i n the e n l i g h t e n  ment movements such as the Meirokusha. The former group made an attempt to r e s t r u c t u r e the p o l i t i c a l , economic, and s o c i a l framework by i n c o r p o r a t i n g new ide a s based on t h e i r knowledge of Western i n s t i t u t i o n s . These p r a c t i c a l i n t e l l e c t u a l s imme d i a t e l y r e a l i z e d the n e c e s s i t y to develop the home i n d u s t r y and 36 to raise the economy of the nation. The recommended course to follow was the complete adoption of Western technology and the restructuring of society by replacing the feudal regulations and han system with the more centralized prefectural form of government. I n i t i a l steps i n this d i r e c t i o n toward a more centralized form of administration occurred on June 11, 1868 with the promulgation of the Seitaisho which outlined Japan's f i r s t systematic plan f o r government. In addition to spec i f y i n g l o c a l administrative procedures to be adhered to by the daimyS, the Seitaisho . . . obliged the daimyo to accept r e s t r i c t i o n s on their freedom of action by virtue of the fact that they now existed 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 fo 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 provision 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, primarily 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 treated as though they were units of a central administration. 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 prefectures" was achieved. This achievement was r e a l i z e d l a r g e l y through the leadership provided by Okubo O Q J John W. H a l l , "From Tokugawa to M e i j i i n Japanese Local Administration," i n J. W. H a l l and Marius B. Jansen (eds.), Studies i n the I n s t i t u t i o n a l History of Early Modern Japan (Princeton: Princeton University Press, 1968), p. 381. 3 9 I b i d . ko Masakazu Iwata, Okubo Toshimichi, The Bismarck of Japan (Berkeley and Los Angeles: University of C a l i f o r n i a Press, 19 6 k ) , p. 1*3. 37 Toshimichi and Kido Koin who were able to convince Saigo Takamori and his brother. Tsugumichi, Oyama Iwao, Yamagata 41 Aritomo, and Inoue Kaoru that the haihan chiken and the new p o l i t i c a l structure with centralized government control offered the best solution to deal with the han economic s i t u a t i o n . I t should be noted that the members present at the haihan chiken deliberations consisted mainly of the Restoration leaders who were able to influence 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 leaders can be seen i n the composition of the Iwakura mission of December 21, 1871 that l e f t for the United States and Europe on treaty matters. I t was headed by Junior Prime Minister Iwakura Tomomi, Finance Minister Okubo Toshimichi, State Councilor Kido Koin, Vice Minister of Public Works Ito Hirobumi, and Vice Minister of k2 Foreign A f f a i r s Yamaguchi Naoyoshi. It i s beyond the scope of this chapter to comment on the contributions made by a l l of the M e i j i p o l i t i c a l leaders who formulated and exercised various 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 elected members of the Sanshoku or the three o f f i c e s 43 of government J composed of a nucleus of ten members. This oligarchy which was conceived by Okubo i n an e f f o r t to concen trate the powers of authority i n a smaller more workable group ^ 1 I b i d . , pp. 144-45. ** 2Ibid., p. 154. ** 3Ibid., p. 130, 38 kk than the Seitaisho government consisted of the following: Sanjo Sanetomi, Iwakura Tomomi, Tokudaiji Sanenori, Nabeshima Naomasa, Higashikuze Michitomi, Kido Koin, Goto Shojiro, Soejiraa Taneomi, Itagaki Taisuke, 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 Restoration period consisted of the l i t e r a r y i n t e l l e c t u a l e l i t e s who were instrumental i n the formation of the Meirokusha 45 or the "Sixth Year of M e i j i Society," J a l i t e r a r y association which encouraged Western studies through lectures and p u b l i  cations such as the Meiroku Zasshi (Meiji Six Journal)* This group comprised those i n f l u e n t i a l and progressive scholars such as Fukuzawa Yukichi, Kato Hiroyuki, Mori A r i n o r i , Tsuda Masamichi, Nishi Amane, Nishimura Shigeki, and Nakamura Masanao Although this group consisted of p r o l i f i c writers and was best known as a l i t e r a r y society, i t i s perhaps more appropriate to describe t h e i r c o l l e c t i v i t y of scholars following Irwin Scheiner as "a society of i n t e l l e c t u a l s interested i n Western i z a t i o n . . . to study Western knowledge i n a l l i t s forms i n 46 order to see how applicable i t was f o r Japan." 44 Ibid . 45 John K. Fairbank, Edwin 0. Reischauer, Albert M. Craig East Asia: The Modern Transformation (Tokyo: Charles E. Tuttle 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 (eds.), Modern Japanes  Leadership, p. 177. 3 9 5 . M e i j i System of Government The Tokugawa system of government was o f f i c i a l l y abol ished on January 3» 1 868 and i n i t s place the Sanshoku or the 47 three o f f i c e s of the central government was established i n Kyoto. It was a provisional government headed by the Sosai or President and assisted by the Gijo or Senior Councilors, and Sanyo or Junior Councilors. Prince Arisugawa f i l l e d the p o s i  tion of Sosai and the Gijo positions were f i l l e d by the leading 48 daimyos of Aki, Echizen, Owari, Satsuma, and Tosa. The Sanyo was composed of the Restoration leaders Iwakura Tomomi, Okubo — — 49 Toshimichi, Saigo Takamori, and Goto Shojiro. The afore mentioned members formed the f i r s t government. On A p r i l 6 , 1 8 6 8 , the leaders of the new M e i j i govern ment outlined t h e i r fundamental p o l i c i e s i n the Gokajo no Goseimon or Charter Oath. It was f i r s t drafted by Yuri Kimimasa, - 50 corrected by Fukuoka Kotei and l a t e r re-drafted by Kido Koin. 4 7 W. W. McLaren (ed.), "Japanese Government Documents," Transactions of the A s i a t i c Society of Japan, Vol. XLII, Part 1 (Tokyo: The A s i a t i c Society of Japan, 1 9 1 4 ) , p. x x x i i i . 4 8 Ibid., p. xxxiv. 4 9 Iwata, Okubo Toshimichi, p. 1 1 2 . 50 Joseph P i t t a u , P o l i t i c a l Thought i n Early M e i j i Japan  1 8 6 8 - 1 8 8 9 (Cambridge: Harvard University Press, I 9 6 7 ) , pp. 1 2 - 1 3 . ko The p o l i t i c a l leaders were greatly influenced by the works of the Meirokusha i n t e l l e c t u a l s , f o r example, Nishi Amane's Bankoku Koho (International Law), Tsuda Masamichi's T a i s e i Kokuhgron (Public Law i n the West), and Fukuzawa Yukichi's Seiyo J i j o (Conditions of the West). The parliamentary concept of the executive and l e g i s l a t i v e functions was already 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 Nishi Amane f o r one had proposed the following i n hi s draft c o n s t i t u t i o n : He proposed a threefold d i v i s i o n of power into what he call e d the rights of the court, the rights of the bakufu, and the rights of the daimyo. L e g i s l a t i v e power was vested i n two houses—an upper house composed of leading 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 sanction, but the court would not have the power to veto. In th i s way, after returning the government to the emperor through the p r i n c i p l e of the separation of powers, the bakufu could protect i t s re a l a u t h o r i t y . ^ 2 The Seitaisho which was proclaimed on June 11, 1868 outlined the basic structure of the second organization of the government. The Seitaisho established the Dajokan or Council of State which was divided into seven departments comprising the Deliberative Assembly which was divided into an Upper and a Lower House, Office of the Lords, President of the Council, and the Departments of Shinto Religion, Finance, War, Foreign A f f a i r s , 53 and Ju s t i c e . The Upper House of the Deliberative Assembly was 51 52 I b i d . , p. 15. Ibid. 53 McLaren, "Japanese Government Documents," pp. 7-15* kl composed of the G i j o and Sanyo of the former Sanshoku and i t possessed the powers to e s t a b l i s h or to amend the laws, to appoint i n d i v i d u a l s to h i g h o f f i c e , to conclude t r e a t i e s , and 5k to e x c e r c i s e j u d i c i a l a u t h o r i t y . The Lower House c o n s t i t u t e d the r e p r e s e n t a t i v e s of the f e u d a l c l a n s . The a c t u a l f u n c t i o n i n g of the new government based on the formal s t r u c t u r e and p o l i c i e s as promulgated i n the S e i t a i s h o d i d not meet the a d m i n i s t r a t i v e requirements of a r e s p o n s i b l e government as envisaged by Okubo T o s h i m i c h i . Con sequently, on June 22, 1869, Okubo managed to pass a law i n order to e l e c t the v a r i o u s o f f i c i a l s and at the same time succeeded i n r e d u c i n g the number of members comprising the 55 S e i t a i s h o government. J J In t h i s way, Okubo was able to o b t a i n a more capable and r e s p o n s i b l e a d m i n i s t r a t i o n . The next major change i n the p o l i t i c a l s t r u c t u r e of the government occurred i n 1871 with the announcement of the haihan chiken on August 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 p r e f e c - t u r a l system. 5^ I t i s not important to l i s t the major r e s h u f  f l i n g which occurred i n the government p o s t s at t h i s time though i t should be noted t h a t other reforms d i d take p l a c e i n the government o r g a n i z a t i o n : Kb, J I b i d . , p. x x x v i . "^Iwata, Okubo T o s h i m i c h i , p. 1 3 0 . 5 6 I b i d . , p. lkk. 42 On September 24, the Dajokan, or Council of State system, was modified f o r more e f f e c t i v e administration. I t became the S e i i n , or Central Board, composed of Sanjo as the Dajodaijin, or F i r s t Minister; the Sadaijin, or Minister of the L e f t , l e f t vacant at this time, Iwakura as Udaijin, or Minister of the Right; Saigo, Kido, Itagaki, and Okuma as sangi; a l l of whom formed the council of the Emperor. This council and the chiefs of the various departments met as the Uin, or the Board of the Right. The Sain, or Board of the L e f t , was composed of members nominated by the Emperor and served as a privy council. Soejima replaced Iwakura i n the Gaimusho, or the Foreign The changes which occurred i n the central p o l i t i c a l structure of the government during the f i r s t three years a f t e r the M e i j i Restoration i s i n d i c a t i v e of the rapid transformation processes i n a l l sectors of early Meiji society. Further s t r u c t u r a l changes occurred throughout this period u n t i l the promulgation of the M e i j i Constitution on February 11, 1889. Ibid., pp. 146-47 CHAPTER III METHODOLOGY The universe from which our sample of late Tokugawa leaders has been selected i s the Asahi Janaru's Nihon no  Shisoka (Thinkers of Japan) which l i s t s sixty-seven of the scholars and statesmen of the Tokugawa and M e i j i periods considered by the editors of the Asahi Janaru as the i n t e l  l e c t u a l e l i t e of that era. The editors of the Asahi Janaru have not s p e c i f i e d the se 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 this study did i n fact contain a representative sample of the i n t e l l e c t u a l e l i t e s . With th i s assumption then, the data categorization procedure employed for this study was as follows. I n i t i a l l y a dichotomous d e c i  sion made by the coder separated the subjects into either the pre- or post-Meiji Restoration dimensions as shown i n Figure 1. The inherent danger i n such a simple coding scheme w i l l become readil y apparent when we consider that we are not r e a l l y Following Kaplan's d e f i n i t i o n of "methodology," we are concerned with "the description, the explanation, and the jus t i f i c a t i o n of methods, and not the methods themselves." See Abraham Kaplan, The Conduct of Inquiry, Methodology f o r Behav i o r a l Science (San Francisco: Chandler Publishing Company, 1964), p. 18. 44 interested i n simply whether our subject was born before 1868. This study i s primarily concerned with his a c t i v i t i e s which may have contributed to the l a t e r adaptive and transformation processes of M e i j i Japan. The second step i n selecting the appropriate sample subject was to decrease the sample size by eliminating those subjects whose main a c t i v i t i e s were concentrated i n the post- Me i j i Restoration period. The t h i r d step i n our categoriza tion procedure separated the residue subjects into sub-category l j , which represented those supporting the p o l i c i e s of the Tokugawa bakufu, or into sub-category l g , which represented those who supported the Emperor and those who advocated reform. To produce the representative 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 point provided i n the Nihon no Shisoka biographical l i s t i n g between Sakamoto Ryoma (1835-1867) and Fukuzawa Yukichi (1835- 1901). Sakamoto Ryoma was assassinated on December 10, 1867 but had he l i v e d , he might have emerged as one of the st r a t e g i c leaders of the new M e i j i government along with Okubo, Kido, Saigo, and Goto. In contrast, Fukuzawa Yukichi*s fame commenced with his a c t i v i t i e s as a member of the Meirokusha. In the f i n a l analysis, the sample of i n t e l l e c t u a l e l i t e s consisted 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 for this study w i l l be derived from the k5 b i o g r a p h i c a l m a t e r i a l p r o v i d e d i n Nihon no Shisoka by u t i l i z i n g the method of content a n a l y s i s . 1. Content A n a l y s i s The r e s e a r c h procedure employed i n t h i s study to e x t r a c t the d e s i r e d data from the b i o g r a p h i c a l m a t e r i a l r e l i e s on ex^ p l i c i t l y f ormulated and s y s t e m a t i c r u l e s . T h i s procedure f o r a s s e s s i n g and e x t r a c t i n g data from w r i t t e n m a t e r i a l to which the term content a n a l y s i s i s a p p l i e d has a number of c h a r a c t e r  i s t i c s . 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 f o l l o w s : 2 O b j e c t i v i t y : O b j e c t i v i t y s t i p u l a t e s that 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 of ex p l i c i t l y formulated r u l e s from the same documents. Systematict Systematic means that the i n c l u s i o n and e x c l u s i o n of content or c a t e g o r i e s i s done a c c o r d i n g 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 requirement 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 s upport 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. G e n e r a l i t y ; 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 . P u r e l y de s c r i p t i v e i n f o r m a t i o n about content, un r e l a t e d to other a t t r i b u t e s of content or to the c h a r a c t e r i s t i c s of the sender or r e c i p i e n t of the message, i s of l i t t l e s c i e n t i f i c v a l u e . Ole R. H o l s t i , "Content A n a l y s i s " (Vancouver: Depart ment of 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 of B r i t i s h Columbia, I 9 6 6 ) , p. 3« (Mimeographed.) 46 The content a n a l y s i s requirements of o b j e c t i v i t y , system, and g e n e r a l i t y are the three main c h a r a c t e r i s t i c s important to t h i s study. The q u a n t i t a t i v e aspects of content a n a l y s i s , t h at i s , the non-frequency or frequency of occurrence of c e r t a i n key sentences, have been omitted e n t i r e l y . The main reason f o r t h i s omission i s that t h i s 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 a n a l y s i s techniques, there are a few advantages which should be noted. Because the data s e l e c t i o n c r i t e r i a employed i n the 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 s p e c i f i e d i n the coding r u l e s , other i n v e s t i g a t o r s can r e p l i c a t e the study. Moreover, when the examination of 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 of i n v e s t i  g a t o r s , the r e l i a n c e upon e x p l i c i t l y formulated r u l e s and w e l l d e f i n e d coding c a t e g o r i e s 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 the 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 conducting 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 p h y s i c a l d i s t a n c e 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 a n a l y s i s allows one to make an examination 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. Coding Content Data The coding 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 designed t a k i n g i n t o account the b a s i c p r o p o s i t i o n t h a t the adaptive and t r a n s f o r m a t i o n processes of modern Japan 47 had t h e i r roots firmly established during the late Tokugawa period and that the impetus to s o c i a l change was not s o l e l y concentrated i n the post-Meiji Restoration period. The recording unit used throughout the data categorization process has been the sentence. This has meant that from the vast c o l l e c t i o n of descriptive data available from the biographical sources, each sentence containing the desired information as s p e c i f i e d by the coding rules was extracted and assigned into pre-selected cate gories. The coding rules f o r each category are given i n Appendix B. The process of assigning the extracted data into the appropriate categories consisted of a dichotomization process whereby the data was recorded i n either Category I or i n Cate gory I I . Category I contained a l l those sentences pertaining to s o c i e t a l conditions a f f e c t i n g society as a whole whereas Category II contained those sentences s p e c i f i c a l l y related to the s o c i e t a l conditions a f f e c t i n g the subject only. These cate gories are mutually exclusive so that each sentence cannot be assigned more than once within a given category-set. This procedure of assigning data into one or the other category does not place a very heavy burden on the decision 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 extracted information i s related to the constructs being dealt with i n r e l a t i o n to the basic proposition. The overall categorization scheme em ployed i n this study i s i l l u s t r a t e d i n Figure 3 on the following page. 48 Subject Category I Societal Conditions a f f e c t i n g society as a whole Category II Societal Conditions a f f e c t i n g subject i n p a r t i c u l a r Category III Formative influences on subject Category IV Subject*s attitudes, orientations and basic concepts Category V Action taken by "subject and r e a l i zed Category VI Action taken by subject and p a r t i a l l y r e a l i z e d FIGURE 3 CONTENT DATA CATEGORIES In the second stage of the c a t e g o r i z a t i o n procedure, 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 process was s u b j e c t to f u r t h e r a n a l y s i s * Data from Category I I were separated i n t o two s u b - d i v i s i o n s , Category I I I and Category IV. Category I I I 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 with 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 a c t i o n s , a t t i t u d e s , and o r i e n t a t i o n s as w e l l as 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 , and p h i l o s o p h y . At t h i s stage of the i n v e s t i g a t i o n , i n f o r m a t i o n r e l a t e d to the d i s  t r i b u t i o n of the i n d i v i d u a l ' s manifest behavior under a g i v e n s e t of circumstances can be determined. The f i n a l d i c h o t o m i z a t i o n procedure produced Category V and Category VI. Category V i n c l u d e d those sentences which rep r e s e n t e d the course of a c t i o n taken by the s u b j e c t and which was d i r e c t l y implimented or r e a l i z e d d u r i n g the modernization p e r i o d . I n 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 the s u b j e c t and only p a r t i a l l y r e a l i z e d . Here, i t can be determined whether or not the a c t i o n taken by the s u b j e c t can be a t t r i b u t e d to any g i v e n choice i n a l t e r n a t i v e s a v a i l a b l e to the i n d i v i d u a l . From the 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 i n d i v i d u a l 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 can be obtained. The dichotomous-decision technique which has been em p l o y e d i n coding the e x t r a c t e d data p r o v i d e s s e v e r a l advan-50 3 tages. The f i r s t advantage i s that i t s i m p l i f i e s data cate gorization because i t allows the coder to focus h i s attention on a single decision before proceeding to the following cate gory . At each category l e v e l , only a single decision i s required. The second advantage occurs i n the case where several processes of categorization require more than one judgement. Such a case can be given for example i f the inves tig a t o r i s interested i n say, the information extracted i n Category I I , Category IV, and Category VI of Figure 3. The l o g i c a l progression i n decision making greatly 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 pattern of information. The t h i r d advantage i s that i n the event that a disagreement should arise between data coders during the coding process, i t i s possible to pin-point the precise location of the coding breakdown, thus permitting an immediate r e d e f i n i t i o n of cate gories or a modification of coding rules. This i s a very im portant consideration e s p e c i a l l y i f the study i s to be rep l i c a t e d . 3. Methodological Problems It has been stated previously that the universe from . which our sample of late-Tokugawa leaders has been selected was Ibid., p. 81 51 not derived from a s p e c i f i e d source and that the sel 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 . For these reasons, the ex trac t i o n of raw data from biographical sources f o r this study- was carried out with the underlying assumption that the bio graphical material selected f o r the content analysis was representative of the pre-Meiji e l i t e s and that the information derived was an accurate representation of, or at least related i n some way to, the orientations and attributes of the subject under examination. The relat i o n s h i p between the extracted data and the actual s i t u a t i o n a l context cannot be accurately estab l i s h e d . Instead of r e l y i n g on a pre-selected biographical l i s t  ing f o r which not even the selection c r i t e r i a i s available, a much more acceptable procedure would have been to examine both biographical and i n s t i t u t i o n a l materials to produce a sp e c i f i e d population from which a random sample could be selected. Bio graphical data can be derived from a variety 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 of f i c e s held can also be obtained from the p e r i o d i c a l tabula tion of government o f f i c e s . Bernard S. Silberman, Japan and Korea: A C r i t i c a l  Bibliography (Tucson: The University of Arizona Press, 1962), Pp. 18-20. 5 , Ministers of Modernization (Tucson: The University of Arizona Press, 196*4), pp. 127-135. 52 The interpretative categories selected f o r content analysis were not based on a s p e c i f i c theory purporting to explain certain aspects of s o c i a l change as indicated i n our biographical reference material. Although certain hypothesis can be suggested from the h i s t o r i c a l data, actual t e s t i n g of the hypothesis would be d i f f i c u l t , i f not impossible. In analyzing biographical material available i n Japanese, an additional problem encountered was that of t r a n s l a t i n g the Japanese source material 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 according to the o v e r a l l context of each paragraph of the biographical material or of t r a n s l a t i n g each Japanese kan j i or character l i t e r a l l y into English. In this study, the main objective i n t r a n s l a t i n g the monographs available i n Japanese fo r the selected sample of f i v e subjects has been to reproduce as accurately as possible the o r i g i n a l sense and s t y l e . CHAPTER IV STUDY SAMELE: FORERUNNERS OF THE TRANSFORMATION PROCESS With the frequent a r r i v a l of f o r e i g n s h i p s to Japan between 1 8 0 4 and 1 8 5 3 * , the bakufu was f o r c e d to re-examine its= sakoku ( i s o l a t i o n ) and kokubg ( n a t i o n a l defence) p o l i  c i e s . A concomitant development was that a s m a l l group of i n t e l l e c t u a l s who had been l i m i t e d i n t h e i r a c t i v i t i e s because of the r i g i d Japanese s o c i a l s t r u c t u r e c h a l l e n g e d the i s s u e s c o n f r o n t i n g the n a t i o n . There i s no other p e r i o d i n modern Japanese h i s t o r y l i k e 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 . T h i s f a c t i s borne out i n t h i s chapter by the data e x t r a c t e d from the b i o g r a p h i e s a c c o r d i n g to the coding r u l e s s p e c i f i e d i n Appendix B. The data obtained under Coding Category I I I p r e s e n t s the f o r m a t i v e 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 Cate gory IV p r o v i d e s the m a t e r i a l f o r 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, and data from Coding Category V examines the s t r u c t u r e s of a c t i v i t i e s s u p p o r t i v e of the i d e o l  ogue's o r i e n t a t i o n . The purpose of t h i s chapter i s to present 1 W. G. Beasley, The Modern H i s t o r y of Japan (London: Weidenfeld and N i c o l s o n , 1 9 6 3 ) , pp. 3 9 - 4 7 . 2 Our study concerns the r e l a t i o n between o r i e n t a t i o n and behavior. The Tokugawa shogunate a s s e r t s that o r i e n t a t i o n and behavior are e s s e n t i a l l y the same. The 1 2 ideologues c h a l l e n g e d t h i s n o t i o n and demonstrated that o r i e n t a t i o n and behavior are p o s i t i v e l y r e l a t e d . 54 the d i s t i l l a t i o n of the important descriptive statements from the translated biographies and leaves out some information usually found i n biographies. It i s important to keep i n mind that this chapter does not represent an attempt to write short biographies of the f i v e ideologues selected f o r this study. The sample subjects selected for the content analysis as representative of the l g progressive i n t e l l e c t u a l s consists 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 generation consists of those ideologues who were affected i n some way by the Opium War (1839-1842). Takano Choei, Sakuma Shozan, and Yokoi Shonan belong to this group. The second generation consists of those ideologues who were influenced by the events associated with the a r r i v a l of the Black Ships i n Japan (1853) and those who played an active role at a time when Japan was transforming into a modern nation. Yoshida Shoin and Sakamoto Ryoma f a l l i n this l a t t e r category and to give another example, the active members of the Meirokusha can also be included. Those who belonged to the f i r s t generation paved the way f o r the i n t e l  l ectuals of the following era and thus i t can be said that they were the forerunners who influenced the i n t e l l e c t u a l s of the future 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 factors a f f e c t i n g our subject as evinced 55 i n the content data f a l l i n t o f o u r c l a s s i f i c a t i o n s : 1) I n d i v i d u a l s with whom the s u b j e c t made c o n t a c t . Here the person i n f l u e n c i n g the s u b j e c t a c t s as a t r a n s m i t t e r of v a l u e s . 2) A s s o c i a t i o n a l i n s t i t u t i o n s , f o r example, f a m i l y , s c h o o l s , study groups. 3) R e l i g i o u s i d e a l s , p o l i t i c a l i d e a l s . G e n e r a l l y , ideas may be a s s o c i a t e d with events or may not be s p e c i f i c a l l y l i n k e d to events. Those ideas a r i s i n g because of c e r t a i n events can be f u r t h e r c a t e g o r i z e d i n t o i s s u e s ideas or i d e n t i t y i d e a s . 4) Dominantly mentioned s o c i a l s t r u c t u r e or the s u b j e c t ' s s o c i a l p o s i t i o n i n r e l a t i o n to o t h e r s , f o r example, the s u b j e c t ' s o v e r l o r d . General s o c i e t a l c o n d i t i o n s may be i n c l u d e d as the f i f t h c l a s s i f i c a t i o n and content data subsumed under Coding Category I I may l e n d support. However, l a c k i n g the means to c o r r e l a t e environmental f a c t o r s to the formative i n f l u e n c e s , such i n f o r  mation w i l l be u t i l i z e d only i f mentioned s p e c i f i c a l l y by the biographer as a d e f i n i t e c o n t r i b u t i n g f o r m a t i v e f a c t o r . 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 process s e l e c t e d f o r t h i s study were a l l i n f l u e n c e d i n one way or another 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 f a c t o r s which w i l l now be d e s c r i b e d . The r e l a x a t i o n i n f e u d a l b a r r i e r s and the c i r c u l a t i o n 56 of merchandise opened up new transportation routes between the ca p i t a l and the outlying f i e f s which provided these areas with information concerning foreign penetration into Asia. Dis regarding his father's objection, Takano Choei who was born i n 1804 i n a family of physicians decided to proceed to Edo for Dutch studies and he soon became a student and servant to Yoshida Choshuku, a doctor to the Kaga han who was well known at t h i s time f o r Dutch i n t e r n a l medicine. During the following three years, u n t i l h i s death i n 1824, Yoshida imparted to Choei the foundation f o r h i s l a t e r Dutch studies. In 1825, the twenty-two year old ChSei moved to Nagasaki and entered the Meiryu Juku, a school administered by the famous Dutch scholar, Franz von Siebold. Meiryu Juku became the central meeting place for those Japanese students who ex pressed inte r e s t i n the arts and sciences of Europe. It was from here that Western s c i e n t i f i c knowledge radiated through out Japan. Able young men between twenty and t h i r t y were drawn to Siebold*s school where they were able to acquire knowledge of European medicine and medical practices, botany, zoology, physiography, ethnology, and mathematics. After a few years of studies at Meiryu Juku, Takano Choei and his fellow students were able to est a b l i s h f r i e n d l y contacts with educated Europeans. This enabled the Meiryu Juku students to broaden t h e i r p o l i t i c a l outlook and made them re a l i z e f o r the f i r s t time the narrow mindedness of the Japanese government. This was v i v i d l y i l l u s t r a t e d by the so-called 57 Siebold a f f a i r (1828) which occurred i n the t h i r d year after Choei enrolled. The incident arose when a set of maps of Japan based on an actual survey conducted by Ino Chukei was loaned to Siebold. Siebold and the astronomer Takahashi Kageyasu made arrangements to pr i n t these maps i n Holland but the bakufu intervened and eventually banished Siebold without giving any forethought to the fact that Japan could have made a great contribution to international s c i e n t i f i c research. The bakufu proceeded to arrest those teachers and students who had been associated with Siebold. ChSei, believing that he too might be arrested, went to l i v e with Hirose Tanso i n 1829* By November, 1830, Choei had returned to Edo where he opened his own school at Kojimachi, Kaizaka. It i s believed that Choei came to know the chief retainer of Tahara han, Watanabe Noboru (Kazan) i n 1832 and they were probably i n t r o  duced to each other by Ozeki Sanei, a fellow student at Yoshida 3 - Juku and Meiryu Juku. Choei, Kazan, and Sanei met frequently for discussions and consultations and gradually the group came to consist of people with s i m i l a r points of view. Because of the bakufu oppression, the group met under the pretext of paying respect to the old people c a l l i n g i t the Shoshikai ("The Old Men's Club"). Later, a formal organization of the same name was ^Shinichi Takahashi, "Takano Choei," i n Asahi Janaru (eds. Nihon no Shisoka, Vol. 1 (Tokyo: Asahi Shimbun Publishing Co., 1962), p. 11. 58 formed f o r the purpose of s c i e n t i f i c r e s e a r c h and p r a c t i c a l experiment. The S h o s h i k a i was made up of i n t e l l e c t u a l s who had i n t e r e s t 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 the 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 not l i m i t themselves to the study of medicine only were known as the Yamanote-ha. They were u n l i k e the Dutch 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 to be absorbed i n the 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 S h o s h i k a i a c t i v i t i e s i s c l e a r l y i n d i c a t e d i n Choei*s T o r i no Nakune (A Song of a B i r d ) which he wrote l a t e r while i n p r i s o n . The present famine has continued f o r a l o n g time and the people's h e a r t s are f i l l e d w ith p a n i c . Those who are r i c h get r i c h e r and the poor get poorer. The poor people are r i o t i n g here and th e r e , and there i s no s e c u r i t y f o r any body i n t h i s world. I deplore t h i s s i t u a t i o n . * Between 1833 and I836, the farmers* r i o t s were at t h e i r h e i g h t 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 the s m a l l e r hans to cope wit h the economic c o n d i t i o n s . Choei*s c o n t r i b u t i o n to a l l e v i a t e the p l i g h t of the farmers was to b o l s t e r the a g r i c u l t u r a l s e c t o r of the economy. He p u b l i s h e d Kyuko Nibutsu 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 a l s o p u b l i s h e d H i e k i Y5h5 (Means R e q u i s i t e f o r A v e r t i n g Epidemics) which d e a l t with I b i d 59 the prevention of epidemics. Choei*s studies and a c t i v i t i e s were c l e a r l y oriented 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 part i n Takano Choei•s thoughts. In contrast, Sakuma Shozan studied Confucianism and he deeply believed i n Neo-Confucianism. Ever since Hayashi Razan had established the Neo-Confucian school i n Japan, the Hayashi family had succeeded i n maintaining Neo- Confucianism from generation to generation as the o f f i c i a l subject of study (Seigaku) approved by the Tokugawa shogunate. Early i n his 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 Confucianist and l i t e r a r y s t y l i s t . Because of his 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 believe i n the Vang Yang-ming philosophy^ and began to expound i t s doctrine. In spite of Sato*s teaching, Shozan considered himself a true Neo-Confucianist and steadfastly believed i n his conviction that Chu Hsi philosophy was the only true subject to study. In 1838, Oshio Heihachiro who was a follower 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- Confucianist of the early Ming period and that "Wang Yang-ming's viewpoint d i f f e r e d from that of Chu Hsi i n several p a r t i c u l a r s , c h i e f l y i n placing more emphasis on action and i n t u i t i o n , less on pure scholarship. 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 this demonstrated the e v i l of the Wang Yang-ming doctrines. After this time, Sakuma redoubled his e f f o r t s to revive Neo- Confucianism. With great confidence, he challenged eminent scholars to debates and took pride i n refuting t h e i r arguments. Consequently, Sakuma held a superior and disres p e c t f u l attitude toward his teacher Sato, arguing that there i s no master or servant i n fencing and s i m i l a r i l y there should be no teacher and student relationship when discussing the truth. Sakuma debated with Sato frequently without y i e l d i n g at a l l . In the end, Sakuma stopped attending Sato's lectures on Confucianism. The following was written by Sakuma i n 1 8 3 9 to his f r i e n d : "Ever since I came to Edo, I have searched f o r noted scholars i n order to revive Seigakii ( o f f i c i a l studies) but I s t i l l cannot f i n d anyone whom I can admire even i n thi s great c a p i t a l . M ^ This was one of the problems encountered by Sakuma, the s p i r i t e d young Neo-Confucianist, but for the true believer of Neo-Confucianism, a very shocking event was about to take place. I t was rumored that China, the country of "etiquette and music" was going to surrender under English gunfire. It was the news of the Opium War which had reached Sakuma. In October 1 8 4 2 , Sakuma expressed his shock i n a l e t t e r to his f r i e n d Kato Hyoya: Sannosuke Matsumoto, "Sakuma Shozan," i n Asahi Janaru (eds.), Nihon no Shisoka, Vol. 1 (Tokyo: Asahi Shimbun Publishing Co., 1 9 6 2 ) , p. 2 3 . 61 Incidentally, have you heard the rumour about the war between China and England? It cannot be said that i t i s absolutely true but according to recent news, i t appears to be a very serious s i t u a t i o n . Depending on the circum stances, this country of etiquette and music ever since the Tang dynasty may have to surrender to the barbarian countries of Europe which of course i s a deplorable thing. If by chance a serious transformation should occur i n China, our nation, being separated only by a narrow sea lane, w i l l also be affected. Even now English ships approach our eastern coast from time to time. Although this fact i s not reported to the shogunate by the people along the eastern 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 neighboring country under English m i l i t a r y pressure, Sakuma became seriously aware of the im pending c r i s i s . Ever since foreign ships had been reported at various locations off Japan, the i n t e l l e c t u a l s of the nation had gradually become aware of the foreign threat. The feudal lord Sanada who was a Councilor i n the shogunate was appointed the Sea Defence O f f i c e r and consequently, Sakuma was chosen as an advisor to Sanada. Sakuma was well aware of the necessity to know the actual s i t u a t i o n abroad. Sakuma had the good fortune to meet the noted gunnery expert Egawa Tarozaemon and as a result Sakuma enrolled i n Egawa*s gunnery school where he was fascinated by the knowledge of Western firearms. This was indicated 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 vastly d i f f e r e n t from that i n our country. This i s probably because our gunnery technique Ibid . , p. 2k. 62 was improved gradually during a period of peace and re l a t i v e t r a n q u i l i t y . As a national 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 inventing things. Furthermore, t h e i r gunnery technique was improved through the hands of many heroes during past wars. Therefore, i f one compares gunnery based on p r a c t i c a l use, our gunnery technique which has received abundant praise i n Japan i s nothing more than mere child's play.^ 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 this p r a c t i c a l outlook which was the prime factor i n i n i t i a t i n g the transformation process of the late Tokugawa period. I t was a point of view which disregarded the moral obligations, t r a d i t i o n s , and customs of the conservative feudal society. Because of h i s p r a c t i c a l outlook, Sakuma was able to understand the conditions brought about by the Opium War. From the content data, the following contrasting fea tures emerge between Sakuma Shozan and Yokoi Shonan. Sakuma had commenced h i s Dutch language studies when he was t h i r t y - four years old, a prime age when he was already known as a great Confucianist. Sakuma had encouraged many young samurai to take up Dutch studies and he l i t e r a l l y became a forerunner. In contrast, Yokoi Shonan 1s knowledge of the West was gained only through h i s ears or through translations, that i s , through secondary sources. Sakuma*s ideas were based on h i s thinking 8 Ibid., p. 25 63 as a m i l i t a r y scholar. Yokoi*s concepts were the products of his own p o l i t i c a l consciousness. From the point of view of p o l i t i c a l administration, Yokoi questioned why Neo- Conf ucianism was not compatible with contemporary society, a society which was capable of developing industries as well as coping with such problems as ocean navigation. Consequently, he by-passed Neo-Confucianism altogether and formed his own philosophy. It should be noted that the special character of Yokoi 1s philosophy i s found i n his p o l i t i c a l outlook. He t r i e d to accept Western ideology and culture by deepening his under standing 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 philosophy. Yokoi*s ideology was formed under continued self-examination i n order to solve those problems which occurred with changing conditions. The scope of these problems also enlarged with Yokoi*s increased knowledge of the West and the r e s u l t i n g wider point of view. U n t i l Yokoi was thirty-one, he studied Confucianism at Jishukan, the han school established by the lord of Kumamoto han, Hosokawa Shigekata. The Jishukan was noted for i t s very high academic standards but the school gradually reduced i t s e l f to the research 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 tiny place and the students are tr y i n g to study minute d e t a i l s . 6k The vine leaves have so covered Jishukan „ There i s no room fo r the Thirteen Chinese C l a s s i c s . Under the influence of Akiyama Gyokuzan, who had contributed greatly to the establishment of Jishukan and who was a noted writer, the school placed more emphasis on poetry and l i t e r a t u r e than on Confucianism. Yokoi was opposed to thi s trend and he made every e f f o r t to study hi s t o r y instead. At the same time Yokoi attempted to revive the academic t r a d i t i o n s of Otsuka Taiya who was influenced by Yi T'oe-Ge, a Korean Confucianist. Otsuka*s school was very si m i l a r to Yamasaki Ansai's Sakiraon school. Later, Yokoi was attracted to the s p i r i t u a l features of the l a t e r Mito school. In 1839 while Yokoi was studying i n _ 10 Edo, he met F u j i t a Toko and they soon became very good fr i e n d s , a re l a t i o n s h i p which was to l a s t during t h e i r l i f e t i m e . Ever since the establishment of the han school, going to Edo to study was a special prerogative available to only a few students. Although Yokoi received t h i s honor, he became an alcoh o l i c and eventually returned home a very disappointed man. Yokoi, who was once recommended to take up a post at Shogun Nariaki's o f f i c e because of his extraordinary talent, was now Ryoen Minamoto, "Yokoi Shonan," i n Asahi Janaru (eds.), Nihon no Shisoka. Vol. 1 (Tokyo: Asahi Shimbun Publishing 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 fo r the l a t e r Mito school advocates of "Revere the Emperor, Repel the Barbarians" group. 65 confined to a very small six-mat room and was f i n a n c i a l l y dependent on his brother. Yokoi meditated for three years, and scribbled on the lanterns, paper screens, and s l i d i n g doors, passages written by Ch'eng Ming Tao. The resultant philosophical orientations and concepts w i l l be discussed l a t e r as the main concern here i s the f o r  mative f a c t o r s . I t w i l l s u f f i c e to note only that when Yokoi re-examined his theories, he came across a book t i t l e d Kaikoku  Zushi which greatly stimulated his outlook. This book was a o r i g i n a l l y written by an American named Bridgeman and i t was t i t l e d Bankoku Chirisho ("World Geography"). I t was trans lated into Chinese under L i n Tse-hsu*s ord e r . 1 1 This trans l a t i o n plus other c o l l e c t i o n s were edited and published i n 1842 by Wei Yuan, a Chinese scholar. I t underwent r e v i s i o n i n 1847 and i n Japan, the scholar of Western learning Mizukuri Genpo and the Chinese scholar Shionoya Taiun published t h i s revised version. I t was probably this version of the Kaikoku  Zushi which Yokoi obtained. After the Kaikoku Zushi came into Yokoi*s possession, he discussed i t s entire contents with his student Naito Yasukichi, a session which lasted 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 Imperial Commissioner at Canton, a man who possessed great power during the Opium War. 66 the end, he changed his mind to become a staunch supporter of the "opening the country" theory. Osatake Takeshi writes i n his book Ishin Zengo ni okeru Rikken Shiso (Constitutional Ideas at the time of the M e i j i Restoration) that i t was not only Yokoi Shonan who was greatly influenced by the Kaikoku Zushi but also Sakuma Shozan, Yoshida Shoin, Hashimoto Sanai, 1 2 and Yasui Sokken. I t i s i n t e r e s t i n g to note that Mizukuri Genpo published Kaikoku Zushi as one of his extra-curricular a c t i v i t i e s but at the same time he was able to play an extremely important role i n the course of the M e i j i Restoration, It has been mentioned e a r l i e r that the ideologues selected for t his study can be subsumed under two generational categories. The inter-generational linkage between the f i r s t and second generation ideologues can now be demonstrated $n the case of Yoshida Shoin and Sakamoto Ryoma. Although Yoshida represented a new generation of i n t e l l e c t u a l s , the education which he re ceived was s t i l l based on the t r a d i t i o n a l system of memorization. When Yoshida Shoin was s t i l l 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 science to the daimyo Mori. Yoshida was given a general knowledge of Confucianism and the appropriate m i l i t a r y subjects i n order to prepare him to become a teacher. Learning at t h i s time was not f o r under standing but only to r e c i t e whatever was taught. As a r e s u l t , 1 2 Minamoto, "Yokoi Shonan," p. 4 8 . 6 ? when Yoshida was eleven years old, he was able to ''lecture'1 i n front of his daimyo the three arts of warfare as explained 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 Barbarian Ship) which was written by Yoshida when he was eighteen years old, and the Senpo Rongi (Discussion on M i l i t a r y Strategy) which was written when he was nineteen lacked o r i g i n a l opinion. Naramoto thus concludes that the method of study based on memorization probably con- 13 tinued throughout Yoshida*s youth. Gradually Yoshida took note of the various world con diti o n s and he discerned the dimensions of c r i s i s i n the East. India was already a colony of the advancing powers of western Europe and China was threatened. The fac t that the country which gave b i r t h to Confucius and Mencius now suffered from the effects of the Opium War presented a grave problem to those scholars such as Yoshida who lectured on the teachings of these two great men. As long as Yoshida stayed i n Hagi, the under standing of the world s i t u a t i o n amounted to nothing more than a simple fear with no clear i d e o l o g i c a l understanding of the events taking place. Consequently, when Yoshida was twenty-one, he obtained the daimyo*s permission to v i s i t Hayama Sanai and Yamaga Bansuke i n Hirado. From there, Yoshida proceeded to Tatsuya Naramoto, "Yoshida Sho"in** i n Asahi Janaru (eds.), Nihon n_o Shisoka, Vol. 1 (Tokyo: Asahi Shimbun Publishing Co., 1 9 6 2 ) , p . ~ 6 * n 68 Nagasaki and Amakusa learning many things along the way. For the f i r s t time i n h i s l i f e , he saw ships from Holland. Also, he was able to study and observe Takashima Shuhan's gun car riage. This 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 also at t h i s time that Yoshida managed to read the Ahen Ibun (The Collected Works on the Opium War) from which he was able to grasp a more au thentic knowledge of the Opium War. From what Yoshida had observed and heard i n Nagasaki, the foreign countries must have appeared to be much more ad vanced than he had ever imagined. Now Yoshida questioned the value of the Yamaga school m i l i t a r y studies which he had taught fo r twenty years. He began to read Western books on gunnery and also those books which provided him with a better knowledge of the rest 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 Se i s h i s a i ' s Shinron (A New Proposal) and was greatly influenced by i t as indicated l a t e r i n his p o l i t i c a l philosophy. For the very f i r s t time i n his l i f e , Yoshida was not forced to memorize and The Shinron presented the new Mito p o l i t i c a l philosophy which pioneered the work on the kokutai theory. I t outlined the program f o r unifying and strengthening the nation as well as urging the Emperor to assert more authority and control over national a f f a i r s . 69 he read various books purely because of h i s own i n t e r e s t . Soon after his t r i p to Kyushu, Yoshida requested his daimyo to permit him to study i n Edo i n the conviction that there were true scholars i n the c a p i t a l . Because Yoshida wanted to sta r t his study a l l over again, he enrolled as a student at Sakuma Shozan*s school. Yoshida and Sakuma d i f f e r e d greatly. While Sakuma always posed as a great man, Yoshida presented himself as a mere student. Sakuma was rather ostentatious and Yoshida very unsophisticated. Strangely enough, Yoshida was quite fond of Sakuma and was firmly convinced that there could not be a better teacher for him than Sakuma. Sakuma*s teachings had vast influence on the formation of Yoshida*s philosophy but the content data does not give a very good i n d i c a t i o n of either the degree or the extent of Sakuma*s influence on Yoshida. In the case of Sakamoto Ryoma, the content analysis data portrays a man which d i f f e r s greatly from Yoshida Shoin. In 1853 when Sakamoto was nineteen years old and just three months before the a r r i v a l of Perry*s ships at Uraga Bay, he went to Edo f o r the f i r s t time and enrolled at the Hokushin I t t o s a i fencing school. The following year, Sakamoto returned to Kochi and aft e r spending two years there, went up to Edo again where as before he continued the art of fencing. He became acquainted with Takechi Zuizan who l a t e r became the organizer of the Tosa L o y a l i s t Party. In 1858, Sakamoto re turned to Tosa and had numerous discussions with fellow 70 countrymen l i k e Zuizan. Gradually, Sakamoto became interested i n p o l i t i c s . In March I 8 6 0 , Tairo I i Naosuke was assassinated outside the Sakuradamon Gate by the Mito and Satsuma ronins and th i s news reached Sakamoto i n Kochi. The unconditional l o y a l t y to the feudal authorities began to crumble gradually. Furthermore, i n March of the following year, an upper-class samurai k i l l e d a lower-class samurai just outside the Kochi Castle. This resulted i n a di r e c t confrontation which had been brewing between the two classes of samurai f o r many years. Sakamoto became one of the central figures among the lower-class samurai. He immediately began to revolt against the system of class status. Shortly thereafter i n response to Takechi Zulzan's address, Sakamoto joined a group of l o y a l i s t s supporting the sonno-joi (Revere the Emperor, Repel the Barbarians) movement along with many other townsmen such as Nakaoka Shintaro. A f t e r  wards, Sakamoto became Takechi Zuizan's trusted reporter 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 exert pressure on the j o i (Repel the Barbarians) f a c t i o n . Sakamoto antagonized his han government and i n March 1862 l e f t the han. Now Sakamoto was free from the feudal r e s t r a i n t s of the han and he became an independent l o y a l i s t . But f o r Sakamoto, the slogan "Repel the Barbarians" was s t i l l not beyond simple a n t i - foreignism and furthermore, "Revere the Emperor" was nothing 71 more than an abstract theory i n d i c a t i n g the true rela t i o n s h i p between sovereign and subject. I t was however, a reform ideology which sprang out of the e x i s t i n g feudal system which governed the bakufu and han. Sakamoto's ideology developed rapi d l y . Soon afte r he ran away from the han, a coup d'etat was successfully accom plished i n Tosa by the l o y a l i s t s and t h i s marked the highest 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 after Sakamoto had abandoned h i s han to pursue h i s own philosophy, he became an enthusiastic admirer of Katsu Kaishu who was the leading advocate of the kaikoku (opening the country to foreign intercourse) party and also an executive of the bakufu navy. Sakamoto became Katsu*s most f a i t h f u l and talented follower and assistant. Sakamoto f i r s t met Katsu when he went to k i l l Katsu. Instead of k i l l i n g him, Sakamoto came away very much impressed by Katsu's theories on ocean naviga tion and on the navy. While s t i l l i n Tosa, Sakamoto had already re a l i z e d the need f o r sea trade and commerce from the a r t i s t Kawade Shoryu who was knowledgeable on overseas conditions. Sakamoto had been under Katsu's guidance f o r about two years when Katsu*s naval t r a i n i n g school was ordered to close by the shogunate. During this time Sakamoto came into acquaintance with many great men of the day such as Saigo Takamori, Kido Koin, and Yokoi Shonan with whom Sakamoto was able to p a r t i c i p a t e i n lengthy discussions which enabled him to increase h i s knowl edge of p o l i t i c s . 72 2. Subject's Attitudes, Orientations, and Concepts One way of viewing the attitudes, orientations, and concepts advanced by the forerunners of the transformation i s that they serve as a direc t linkage between the general s o c i  etal' conditions and the l a t e r action or a c t i v i t y undertaken by the forerunner. From the content data, an inventory of the objects of orientation can be made and common determinants of orientation be found f o r the f i v e ideologues selected f o r t h i s study. These are indicated as follows: 1) Orientations 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) Orientations to ideas and ideology, f o r example, the question of achieving a certain i d e o l o g i c a l objective considered either i n terms of an immediate transfor mation or i n terms of a long-range transformation. 3) Orientations toward personal conditions, f o r example, personal motivation as a factor i n making statements to persuade others to a personal state of a f f a i r s . 15 The categorization scheme employed by Marion Levy to observe the various types of orientation was not used i n thi s study The categories employed by Marion Levy are Cognitive, Normative, Predominant, Goal, and Aff e c t i v e Orientations. See M. J. Levy, The Structure of Society (Princeton: Princeton University Press, 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 into the appropriate categories due to the lack of speci f i c i t y i n defining the various categories. The constituent indicators of attitude and orientation described i n this study are assertions as o r i g i n a l l y s p e c i f i e d by the ideologues and also descriptive statements expressed by the biographer. With the exception of the Takano Choei biography, the content data reveals sub-orientations embedded i n the major orientation. The major orientation i n each instance i s the main cause of an a c t i v i t y and the sub-orientations are the supportive orienta tions r e i n f o r c i n g the a c t i v i t y . The attitudes, orientations, and concepts of the f i v e ideologues w i l l now be described. In addition to the specia l i z e d professional t r a i n i n g received by Siebold's students, they also learned the importance of the s p i r i t of humanism. In Takano Choei's case, Siebold's concern f o r the welfare of human beings had substantial impact on the formation of Takano's orientation and attitude toward foreigners. This was manifested i n 1825 when the bakufu pro mulgated the so-called Muninen Uchiharai Rei (Repel the Barba rians 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 ship 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 contrary, the l e t t e r indicates that Takano administered to the needs of the B r i t i s h seamen by supplying food and water. Furthermore, Takano was able to treat and cure those people who suffered 74 f r o m s c u r v y and b e r i b e r i . Takano a d m i n i s t e r e d t o t h e needs o f t h e " b a r b a r i a n s " w i t h a t r u e s p i r i t o f i n t e r n a t i o n a l f r i e n d  s h i p . T h i s may be a t t r i b u t e d t o two f a c t o r s . F i r s t , T a k a no was b r o u g h t up i n an e n v i r o n m e n t o f d o c t o r s and d r u g g i s t s . S e c o n d , Takano was g r e a t l y i n f l u e n c e d by S i e b o l d ' s h u m a n i t a r i a n o u t l o o k . T h i s c o n c e r n f o r t h e w e l f a r e o f f e l l o w m e n i s e v i d e n t i n t h e d i r e c t i o n and a t t i t u d e t a k e n l a t e r by Takano c o n c e r n i n g t h e M o r r i s o n i n c i d e n t w h i c h r e s u l t e d i n t h e B a n s h a no G-oku ( I m p r i s o n m e n t o f t h e p e o p l e i n v o l v e d i n W e s t e r n a f f a i r s ) . I t s h o u l d a l s o be n o t e d t h a t w h i l e many of t h e s t u d e n t s a t t h e S i e b o l d s c h o o l c o n c e n t r a t e d on m e d i c a l e x a m i n a t i o n s and l e c t u r e s , Takano a d m i n i s t e r e d t o t h e needs o f t h e common p e o p l e . I m m e d i a t e l y a f t e r t h e S i e b o l d a f f a i r o f 1828, Takano went t o l i v e w i t h H i r o s e T a n s o t o e s c a p e f r o m b a k u f u o p p r e s s i o n . A t t h i s t i m e Takano became q u i t e c o n s c i o u s o f t h e n a t i o n a l p r o b l e m s and w h i l e on a c l i n i c a l and l e c t u r e t o u r o f H i r o s h i m a , O s a k a , and K y o t o , Takano d e c i d e d t o s e v e r h i s t i e s t o t h e Takano f a m i l y and Mizusawa h a n . He e v e n a l l o w e d h i s f i a n c e e C h i g o s h i t o t a k e a n o t h e r h u s b a n d . I n a l e t t e r t o h i s r e l a t i v e s , Takano e x p l a i n e d t h a t a l t h o u g h he had r e t i r e d f r o m h i s han, he h a d no i n t e n t i o n 16 t o e n t e r t h e s e r v i c e o f a n o t h e r 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 han a r e n o t s p e c  i f i e d i n t h e c o n t e n t a n a l y z e d m a t e r i a l ; however, t h e 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 main r e a s o n f o r g i v i n g up t h e f a m i l y d u t i e s was t o a l l o w Takano g r e a t e r f r e e d o m 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 s u c h 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 b o o k s . 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 Ichisaburo the recording secretary that according to recent Dutch reports, the "Morrison" was expected to bring Japanese stowaways back to Japan. Haga reported that the bakufu was f u l l y aware of the Dutch report and that a f t e r a consultative meeting held by the bakufu, i t was decided to ward off the foreigners as promulgated i n the Muninen Uchiharai Rei. Watanabe Kazan and Takano Choei were much disturbed by such state of a f f a i r s . They had made an incorrect judgement and had assumed that the Morrison mentioned was the distinguished Chinese scholar of the time, Robert Morrison. Watanabe and Takano were deeply troubled by the fact that i f Morrison's a r r i v a l was greeted by gunfire i t might bring d i s c r e d i t upon Japan. The bakufu had also com mitted an error i n reporting that the Morrison was a B r i t i s h ship when i n fact i t was an American ship. Although they had mistaken the name of a ship with that of a person, Watanabe and Takano's a b i l i t y to associate just the name "Morrison" to the English 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 international a f f a i r s . It was a very serious offense to comment on bakufu p o l i  cies but Watanabe wrote i n secrecy the Shinkiron which c r i t i  cized the narrow mindedness of the bakufu. In contrast to Watanabe's secretness, Takano disclosed his c r i t i c a l views i n his Yumemonogatari (A Dream), a dreamlike account of conditions 76 i n England: In Western countries, the common people are respected. If 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 heartless country. I f I may be allowed to express my humble opinion, I believe our nation may suffer loss i n prestige. 17 When the Confucian teacher Hayashi Jussai read the Yume  Monogatari, he commented that anyone who writes such a book should be executed. His second son, T o r i i Yozo led the inves t i g a t i o n to determine the author of the book. Takano was ar rested and after 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 give some i n d i c a t i o n of the cool manner i n which Takano conducted himself: Judge: The book Yume Monogatari, which i s a description of conditions i n England and English 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 prohibits going abroad. How could I go? Judge: Then the description which i s given i n the book i s a f a b r i c a t i o n which you have thought out by yourself just to f o o l the people. 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 into the earth but there are geologists. Furthermore, England and Japan are both under the same heaven and we are both on the same earth. Thus i t i s not reasonable to say that one does not know anything about England just because one has not been there. This i s something that can not be seen by the naked eyes of the common people. I f one has penetrating eyes, i t i s possible to see 17 - Takahashi, "Takano Choei," p. Ik. 77 things thousands of miles away, just as c l e a r l y as the fingerprints of one's hands . .. Takano was not quite f i n i s h e d when he was angrily silenced 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  sophical outlook which could have been adopted l a t e r by M e i j i society. In contrast, Sakuma Shozan's advocacy i n adopting Western culture became the guiding p r i n c i p l e of Japan during the M e i j i period. He was one of the great thinkers of the day, one of the forerunners of the t r a n s i t i o n period who not only advanced new concepts but also took the i n i t i a t i v e to put those new ideas into p r a c t i c e . As was quite common for the ideologues of this t r a n s i t i o n period, Sakuma formed new concepts while he fought with the contradictions, compromises, and other d i f f i  c u l t i e s which resulted from the clash between the old and new ideas. Sakuma Shozan's formula was "Ethics of the East, Science of the West." He asserted that by absorbing the best of both the East and West, the independence of Japan and the f u l f i l l m e n t of national power could be achieved. "Ethics of the East, s c i  ence of the West" was often quoted because i t indicated the way i n which Sakuma and modern Japan acknowledged and absorbed Western culture. Ibid . , pp. 1 5 - 1 6 . 78 One prevalent point of view at thi s time was that Japan was able to achieve national power quickly as well as to reach a high 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 introduction of Western technology only, that i s , without the morals and ethics of modern Western society which gave r i s e to modern Western culture. Opposed to thi s point of view were those who c r i t i  cized the introduction of Western technology only. The c r i t i c s argued that the preservation of t r a d i t i o n a l ethics made the Japanese people very weak when confronted by those i n authority. I t was further 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 external appearance only. These c r i t i c i s m s cer t a i n l y contain some element of truth when one looks back at the transformation processes of Japan since the M e i j i era. The route to modernization taken by Japan was perhaps foreseen by the forerunners as the most natural route to proceed ever since Japan made her i n i t i a l contact with modern Western culture. Sakuma d i f f e r e n t i a t e d the culture of the East and the West as "the ethics of the East, the science of the West" and acknowledged Western culture only i n terms of technology. The following ideas advanced by Sakuma are considered to be most s i g n i f i c a n t : that Western technology can be learned without destroying the Confucian i d e o l o g i c a l system, that to study Western learning did not mean that one went over to the side of the barbarians but such study supplemented Confucian teachings. Sakuma proved t h i s himself and encouraged many samurai who l i v e d amidst the "Confucian ethos" to study Western learning without 79 fear. His motto, "Ethics of the East, Science of the West" indicated his attitude toward Western culture. Sakuma was convinced that the p r i n c i p l e l i of Neo-Confucianism which formed the general framework of his ideology can be linked to the g o r i s e i ( r a t i o n a l i t y ) of natural science. This formed the the o r e t i c a l basis for Sakuma1s study of s c i e n t i f i c technology. Some of the f a u l t s i n Sakuma's ideology were l a t e r c r i t i c i z e d by Nishi Amane but regardless of whether Sakuma was right or wrong i n his theory, the greatest h i s t o r i c a l significance was that his way of thinking opened up a new road to Western s c i  ence without l o s i n g confidence i n the Japanese c u l t u r a l and id e o l o g i c a l system. Sakuma stated that "to learn 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- 1 9 sideration i n m i l i t a r y t a c t i c s ever since ancient times." True to his own words, Sakuma studied Dutch, t r i e d to reprint Harma's dictionary, conducted chemical experiments, and made firearms. He also 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 regulations which Sakuma extracted from a t a c t i c s book written by Sonshi. The fact that China succumbed to B r i t a i n was an unbear ably shocking event for those people who cherished t r a d i t i o n a l Minamoto, "Yokoi Shonan," p. kO. 80 Confucian i d e a l s . But Sakuma was able to acknowledge this outcome as an inevitable r e s u l t of impractical ideas on paper submitting to p r a c t i c a l ideas. Sakuma was guided by a point of view which disregarded moral obligations and customs of the t r a d i t i o n a l society, and consequently he was able to sever his t i e s from Confucianism. For Sakuma who was previously convinced that Neo-Confucianism was the only true subject f o r study ( S e i - gaku,, a new world opened up before him. In a l e t t e r to his fri e n d Kato Hyoya i n October 1842, Sakuma wrote that: To discuss m i l i t a r y t a c t i c s i s a part of a scholar's work and of course Confucian doctrine deals with m i l i t a r y subjects. However, i f there i s no p o s s i b i l i t y f o r a scholar to become a General or a Commander, there i s absolutely Ino use for Seigaku a f t e r a l l . 1 , 2 0 Sakuma's academic inter e s t was now conditioned by u t i l i t y . He believed that research and absorption of Western technology and the establishment of an ef f e c t i v e national defence p o l i c y must be considered. In this way, "Ethics of the East, Science of the West" became the basis f o r Sakuma*s academic theory. As mentioned previously, the year 1842 became the turning point f o r Sakuma*s new philosophy. This resulted 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 learning did not mean a complete negation of Confucian morality i t s e l f but Sakuma had hoped f o r the co-existence of both Eastern ethics Matsumoto, "Sakuma Shozan," p. 2 6 . 81 and Western science. Sakuma*s basic 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 science meant enlightenment i n the p o l i t i c a l world as well which was heretofore unknown to him. Previously, Sakuma c l a r i f i e d a l l problems i n terms of moral obligations based on Neo-Confucian philosophy which he had re garded as the most essential element i n p o l i t i c s . The e x i s t i n g Tokugawa d i s c i p l i n a r y order based on r i g i d class d i f f e r e n t i a  tion placed severe r e s t r i c t i o n s on one's conduct, choice of words i n conversation, and i n the expression of one's innermost thoughts. Neo-Confucian influences were even manifested when dealing with p o l i t i c a l matters. P o l i t i c a l outlook influenced by Neo-Confucianism was held not only by Sakuma but by a l l the people, a phenomena which existed f o r over two hundred years during the shogunal system of government. As a res u l t of China's defeat i n the Opium War, Sakuma was able to learn the importance of power p o l i t i c s . His new p o l i t i c a l outlook centered around his devotion to Western science and he paid p a r t i c u l a r atten tion to i t s u t i l i t a r i a n aspects. Sakuma's outlook on p o l i t i c a l power was one necessary step toward the advancement of modern p o l i t i c a l theory. Through his understanding of power p o l i t i c s , Sakuma was able to stay away from both the p r i n c i p l e of exclu- sionism 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 neither the foresight nor the independence i n making decisions. 82 In 1857 Sakuma was i m p l i c a t e d 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 , Yoshida Sh<5in. As a r e s u l t , Sakuma was c o n f i n e d to house a r r e s t i n Matsushiro f o r nine y e a r s . J u s t p r i o r to h i s r e l e a s e , Sakuma expressed h i s views on changing c o n d i t i o n s i n a l e t t e r to h i s f e u d a l l o r d ; The a r t s and s c i e n c e s as w e l l as the t e c h n i c a l s k i l l s of the whole world are g r a d u a l l y d e v e l o p i n g and each n a t i o n i s changing 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 accordance with new c o n d i t i o n s . T h i s should be c o n s i d e r e d the w i l l of heaven. How does Japan i n t e n d to cope w i t h the changing s i t u a t i o n ? The p o l i c y of c l o s i n g the country to f o r e i g n i n t e r c o u r s e cannot be imposed 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 to enforce such a p o l i c y . The a r t s and s c i e n c e s and technology w i l l develop mutually r e i n f o r c i n g one another. Consequently, i f our country i s completely c l o s e d to f o r e i g n i n t e r c o u r s e , our n a t i o n a l power w i l l de crease as w e l l as our a b i l i t y becoming i n f e r i o r to other c o u n t r i e s . Such being the s i t u a t i o n , i t seems d i f f i c u l t to f u l f i l l the o r i g i n a l i n t e n t of the i s o l a t i o n p o l i c y . 2 * Sakuma's comments were based on the s a k o k u - j o i ( c l o s i n g the country and a n t i - f o r e i g n ) p o l i c y , but i n essence he advocated f o r e i g n i n t e r c o u r s e . In an e a r l i e r l e t t e r submitted to h i s f e u d a l l o r d (1842), Sakuma commented on the b a r b a r i c nature of the f o r e i g n e r s : O r i g i n a l l y , the b a r b a r i a n s d i d not c o n s i d e r such t h i n g s as m o r a l i t y , humanity, and j u s t i c e and were q u i c k to take advantage of any s i t u a t i o n . Thus once they are m i l i t a r i l y armed and f i n d t h a t they are at an advantage at any g i v e n time, they w i l l a t t a c k us even though they bear no grudge a g a i n s t us.22 Sakuma's primary aim was not to c r i t i c i z e f o r e i g n c o u n t r i e s i n terms of t h e i r l a c k of m o r a l i t y . He wanted h i s l o r d to be aware 2 1 I b i d . , p. 29. 2 2 I b i d . , p. 30, 83 of the true nature of international p o l i t i c s . Sakuma con sidered i t very rude to refer to foreign countries as barbaric and i n a memorial presented to the shogunate i n September 1862, he wrote that: If we refer to Korea or to the Loochoos as barbaric, even they would not l e t such i n s u l t s go unchallenged, not to mention the greater nations of the West. Referring to foreign countries as barbaric would only indicate our rudeness toward them.^3 It i s evident Sakuma was not a mere supporter of the anti-foreign exclusion p o l i c y . Sakuma had already understood the cold r e a l i t i e s of international p o l i t i c s ten years p r i o r to the actual confrontation with a foreign power i n 1853* In a memorial t i t l e d Kanno ko ni noborite Tenka Tokon no Yomu jo Chinzu (Pe t i t i o n to the Lord concerning important a f f a i r s of the day for our country) which was submitted to his feudal lord i n November 18*4-2, Sakuma made an attempt to introduce modern p o l i t i c a l thought and procedures to Japan. He outlined the various steps to cope with the anticipated demands by the great powers to open up the country to foreign intercourse. The important point to note here i s that Sakuma developed his p o l i t i c a l theory boldly based on kokka r i s e i (national reasoning) and broke away from the s t r i c t adherence to Confucian philosophy. Sakuma Shozan was convinced that Japan*s national defence system required immediate reinforcement. He thought that this could be achieved by producing firearms, building ships, and 2 3 I b i d 84 by t r a i n i n g a navy, a l l based on Western technology. The con struction of large Western style ships had always been prohi bited by the shogunal government's sakoku (closed country) p o l i c y . Sakuma's views concerning this were as follows: We cannot follow the rules s t r i c t l y when the whole nation 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 obligations for the coming generation. We cannot a l t e r the r e s t r i c t i v e rules merely because we f e e l l i k e changing them. These regulations were o r i g i n a l l y drawn with the nation's future i n mind. However, i f we are to amend a law because of future considerations for our country, we need not hesitate at a l l i n doing so. We w i l l obey the e x i s t i n g laws during normal times but we must follow a special law during times of national emergency. Such f l e x i b i l i t y i n thinking has been exhibited i n both China and Japan since ancient times.24 Sakuma's dynamic way of thinking had great impact on his f o l  lowers and produced a new breed of leaders who adapted to changing conditions and formulated new laws. Although both Sakuma Shozan and Yokoi Shonan emphasized that Japan be opened to foreign intercourse, the difference i n the formulation of t h e i r philosophical concept naturally resulted i n an ideology 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 w i l l a l l become part 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 Ibid., p. 3 1 . 25 Minamoto, "Yokoi ShSnan," p>. 4 l . 85 On the contrary, although Yokoi f u l l y recognized the necessity of possessing m i l i t a r y strength, he questioned why Japan should remain i d l e as a wealthy and powerful country. Yokoi's ultimate objective was to uphold the cause of ju 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 considered. In one of his 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 follows: They are i l l i t e r a t e and resourceless. Such a s p i r i t only makes the people s e l f i s h . . . . Ah, how deplorable limited thinking has led the nation and her people to proceed i n the wrong direction.^6 Furthermore, Yokoi c r i t i c i z e d the great Western powers for th e i r s e l f - i n t e r e s t only and stated: Japan should equally love and be generous to a l l coun t r i e s and by following the law of heaven and earth, Japan w i l l eventually change the other nations' self-centered way of thinking. We must show the world that we can co exist p e a c e f u l l y . 2 ? He stressed that Japan as an example of virtue should take the i n i t i a t i v e to achieve universal brotherhood. Yokoi subordinated the self-centered p r i n c i p l e of nation building and sought to establish a nation based on a universal p r i n c i p l e through which he hoped to achieve l a s t i n g international peace. Yokoi's kaikoku-ron (opening the country theory) o r i g i  nated i n part from his thoughts concerning economics. He Ibid., p. 42. 27 Ibid. 86 asserted: The people's business cannot be conducted without trade and because communication means had been closed throughout the country for a long time, Japan had become a very poor country. To raise 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 , re form the feudal system of sectional authority, unify the nation, 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 gattai ( u n i f i c a t i o n of Imperial Court and the shogunal government) theory. Sakuma c a l l e d f o r a more reinforced sho gunal authority. Yokoi's views on the kobu gattai theory was based on the premise that the bakufu could be reorganized into a more suitable form of government f o r Japan. Yokoi c r i t i c i z e d the Tokugawa bureaucracy: Tokugat*a government p o l i c i e s were made for t h e i r own conveniences and f o r a private form of government. They never endeavored to make Japan a peaceful nation and they never considered the welfare of the people. There were neither p o l i t i c a l nor r e l i g i o u s aspects incorporated i n t h e i r p o l i c i e s . 2 9 In 1862, Yokoi made a suggestion to the shogunate that i n order to solve the national defence c r i s i s , the shogun should go to the c a p i t a l i n Kyoto and personally apologize to the Imperial household f o r a l l the discourtesies of the past. Yokoi was already aware that domestic problems had to be solved f i r s t and national unity achieved p r i o r to solving international prob- lems. He believed that there was no other way to change the 28 2 9 Ibid. *Ibid., p. 43. 87 f e e l i n g of anti-foreignism held by the L o y a l i s t s . Yokoi further suggested that the shogunate abolish some of the con t r o l p o l i c i e s such as the sankin kStai system (alternate attend ance at the capital) which was established to prevent the daimyo from becoming too powerful, and to channel the money thus saved into the national defence budget. To a certain extent, Yokoi met with some pos i t i v e r e s u l t s . But Sakuma asserted that there was an unwritten law concerning class status which had to be observed and he opposed reforms which c a l l e d f o r relaxed daimyo" controls. He stressed that to govern the nation with supreme authority was the best way to comply with the true s p i r i t of 30 Raikx. Sakuma's authoritarian way of thinking could 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 parliamentary system and advocated a representative type of government. The foundation f o r Yokoi•s p o l i t i c a l ideas 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 that: 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 positions or from less q u a l i f i e d personnel to super vise the trainees. The trainees should be assigned to various tasks on the warship and they should be appointed to higher positions depending on t h e i r talent and a b i l i t y . Even a man of humble o r i g i n should be appointed as a Captain of a warship or as a General of the army. This means that C o l l e c t i o n of essays on etiquette, one of the f i v e Chinese c l a s s i c s . 88 even a man of noble b i r t h cannot be promoted i f he has no a b i l i t y . Thus we must discontinue a l l of our d u l l con servative customs concerning class status.3* Yokoi's ideas were put into practice at the Kobe Naval Training Center which was supervised by Katsu Kaishu, and had consider able influence i n forming the personality of important M e i j i Restoration forerunners such as Sakamoto Ryoma. Yokoi was f u l l y aware that Japan's domestic problems stemmed from the fact that the hans were concerned only about themselves which resulted i n a loss of a u n i f i e d public f e e l i n g f o r the nation. Without a u n i f i e d national opinion, i t was impossible for Japan to become involved i n international matters. The concepts advanced by Yokoi were very si m i l a r to Sakamoto Ryoma1s plan for a u n i f i e d nation (Zenkoku godo no keikaku). Yokoi Shonan was the i n t e l l e c t u a l leader of the kaikaku-ha (Reform Party) which was composed of such people as Matsudaira Shungaku, Katsu Kaishu, Okubo Ichio, and Sakamoto Ryoma. The M e i j i Restoration, afte r much struggle, f i n a l l y occurred along the l i n e s of an u n i f i e d nation favored by Yokoi. Yokoi's theories concerning sonno-joi (Revere the Emperor, Repel the Barbarians) and his economic theory based on Confucian p o l i t i c a l ideas corresponded to the concepts of the late Mito school. He was very careful to maintain his distance from the s p i r i t u a l features of the Mito school which he found to be rather vague. Rather than to oppose the p o l i t i c a l ideology of Minamoto, "Yokoi Shonan," p. kk. 89 the Mito school, Yokoi managed to strengthen the Confucian p o l i t i c a l elements of the Mito school. By 1855» Yokoi*s id e o l o g i c a l standpoint was firml y established and for t h i s reason, he decided to part company from Nagaoka Kenmotsu who had been his colleague f o r a very long time. Shogun Yoshinobu and hi s administration wanted to appoint Yokoi to a post i n the shogunal government and an offer was made to Yokoi i n 1862. This was the f i r s t time for the shogunate to i n v i t e a tozama-han warrior to a government post which was usually shrouded i n deep secrecy. But Yokoi refused the offer 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 maintain the independence of Japan without l o s i n g the s p i r i t of Confucianism. This indicates that although Yokoi possessed many modern ideas, he was unable to escape from the influence of Confucian p o l i t i c a l ideology. To cope with t h i s problem, Yokoi was forced to enlarge his p o l i t i c a l outlook and he returned to the p o l i t i c a l philosophy of Yao and Shun. Yokoi did not mean to revive the ideology of ancient times. He merely commented that i f Yao and Shun were a l i v e today, they would not hesitate to introduce Western guns, warships, machinery, and technology to Japan. Yokoi believed that the p o l i t i c a l ideas of the Yao-Shun era could be adapted to establish a government organization to cope with current needs. To Yokoi, man was just a l i t t l e star i n a vast universe and man's main duty was to serve the w i l l of heaven. He believed 90 that men w i l l be able to understand each other only i f sincer i t y prevailed. Yokoi personified heaven the "Heavenly Emperor" and consequently, his deep interest i n C h r i s t i a n i t y was created. Many of his 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 Christians. Yokoi's comments on peace, his program f o r an u n i f i e d nation, and his anxiety concerning the disruption of unity within the han, were a l l based on his view of l i f e which emphasized that people must l i v e together i n harmony. The so-called s p i r i t of humanism was noted i n both Takano Choei and Yokoi Shonan. Takano was concerned with the welfare of fellow human beings and he administered to t h e i r needs at the l o c a l l e v e l . This did not require any intense id e o l o g i c a l or philosophical exercise whereas i n Yokoi's case he sought answers to national and international problems. His suggestions and comments were very often 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 his sincere 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 fested i n Takano Choei and Yokoi Shonan are also brought to one's attention by the content data. The data indicated that while i n prison, Yoshida was encouraged by h i s s i s t e r Chiyo to read the Kannonkyo (Sutra of Avalokitesvara) but he wrote back to his s i s t e r saying that i t was f i r s t necessary to firmly establish one's own mind. He presented his own views on 9 1 Buddhism and explained the Buddhist doctrine to Chiyo using f a m i l i a r examples. This indicated Yoshida*s love and concern for h i s s i s t e r . More generally, Yoshida was also concerned with the status of women. In contrast, Sakuma Shozan completely disregarded the humanistic aspects of women and regarded them as desirable to produce descendents for great men such as him s e l f . Sakuma's views are revealed i n h i s Jokun (Don'ts f o r Women) as well as i n h i s l e t t e r s . To take another example, Yanagawa Seigan did not even allow h i s wife to approach his death bed saying the "brave men do not die i n the hands of 32 women and children." Yoshida*s outlook toward women gained prominence because of the harsh opinions expressed by others. In addition to the problems associated with the status of women, there was another s o c i a l status problem This con- 33 cerned the eta and h i n i n . Both the eta and h i n i n were con sidered as non-people and were s o c i a l l y positioned outside the four designated s o c i a l classes. They held the most despised occupations and were fi r m l y anchored at the bottom of society. Yoshida viewed the problems associated with the status of women and the eta and h i n i n s o c i a l status question as essentiallyIthe same problem. He maintained very close contact with the s o c i a l l y 32 Naramoto, "Yoshida Shoin," p. 57« 33 The term "eta" i s generally used to mean "outcaste". The term " h i n i n " which l i t e r a l l y means "non-people" was also used during Tokugawa times to designate a special outcaste status. See George DeVos and Hiroshi Wagatsuma, Japan's I n v i s   i b l e Race (Berkley and Los Angeles: University of C a l i f o r n i a Press, I966), p. k. 92 deprived people and advanced numerous proposals to overcome some of their d i f f i c u l t i e s . Yoshida's attempt to go abroad f a i l e d and he ended up i n Noyama Prison i n Hagi. While i n prison, Yoshida demon strated his special a b i l i t y to teach. He met many prisoners who had been imprisoned f o r over fo r t y years and who had prac t i c a l l y no hope for the future. Yoshida organized the Mencius reading c i r c l e , Haiku club, and caligraphy groups. These p r i s  oners who were knowledgeable i n haiku or those who were s k i l l e d i n caligraphy became the teachers. Yoshida himself became a student i n these classes and the virtues of man which he em phasized were refined. Those who were i n great despair gradually began to regain th e i r self-confidence and Yoshida believed that i f he were to stay i n prison for a few more years, he might be able to produce a few great men. To analyze Yoshida's p o l i t i c a l philosophy, his fundamen t a l i d e o l o g i c a l attitude must be considered. For Yoshida, his ideology was neither a mere pretention 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 eventually he came to question the value of the Yamaga school m i l i t a r y studies. He made a suggestion to his daimyo stressing that the country must not b l i n d l y follow the m i l i t a r y studies of one p a r t i c u l a r school. Yoshida emphasized the need to examine the m i l i t a r y technology of the West and also the need to know more about foreign countries i n general. While a student at the Sakuma 93 Shozan school i n Edo, Yoshida began to take greater inter e s t i n Confucian philosophy. In one of his writings, Yoshida asserted that: Those who pursue m i l i t a r y studies should also have an understanding of Confucian morals because m i l i t a r y studies i t s e l f i s a weapon and violates the p r i n c i p l e of Confucian morals. Thus i f one desires to have an element of humanity and justice i n the m i l i t a r y , one must have some knowledge of Confucianism.™ Yoshida made a thorough review of his studies and he rea l i z e d the s u p e r f i c i a l i t y of h i s education. Yoshida"s re examination of Confucianism confused him further because i t c o n f l i c t e d with the m i l i t a r y p r i n c i p l e s of the Yamaga school. With the a r r i v a l of Perry's ships i n 1853> Yoshida became com p l e t e l y absorbed i n the study of English and i n Western a f f a i r s His great determination to study about the West resulted i n an unsuccessful attempt to go abroad and he ended up i n Noyama Prison. While i n prison, Yoshida s h i f t e d h i s int 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 true relationship between the sovereign and subjects, a p o l i t i c a l philosophy based on the Mito school. In a discussion with the Confucian scholar Yamagata Taika, Yoshida stated that h i s r e a l aim i n l i f e was M t o revere the Emperor, to repel the barbarians Naramoto, "Yoshida ShSin," pp. 63-64. to respect the national p o l i t y , to encourage l o y a l t y , and to 35 support men of talent." Yoshida examined the p o l i t i c a l prob lems of the feudal system and he came to favor a governing body composed of both royalty and samurai. He did not attempt to subordinate or negate statements concerning early Japanese my thology as did the Neo-Confucianists. Yoshida declared that: It i s not good to argue about Japanese mythology. To doubt i t i s not permissible. Every road i n the Empire has continued on since the time of God. Thus a l l servants to the Emperor should believe i n i t . 36 Yoshida considered the sovereignty of the Imperial Court i n Kyoto as divine authority and the p o l i t i c a l powers of the bakufu as absolute. In other words, Yoshida advocated a strong, cen t r a l i z e d , authoritarian government with the Tokugawa bakufu as the nucleus. Prior to Perry's a r r i v a l , Yoshida's n a t i o n a l i s t i c o r i  entations consisted of two opposing thoughts, the p o l i t i c a l philosophy of the Tokugawa bakufu, and the r e l i g i o u s philosophy of the Imperial Court. This occurred because Yoshida did not have the time to d i f f e r e n t i a t e between the two ideas before the exertion of foreign pressures. When Yoshida met Utsunomiya 37 Mokurin i n 1855, Yoshida s t i l l supported a un i f i e d form of 35 Noyama Prison Manuscript, quoted by Naramoto, op_. c i t . , p. 66. 36 _ _ Komo Yowa (Additional Remarks on Lectures on Mencius), Ibid. 37 It was Mokurin who eventually 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 "contribution to 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 Hitotsubashi Keiki f a c t i o n i n the issue con cerning the shogun's successor, Yoshida's p o l i t i c a l philosophy changed and he became a strong supporter of the "overthrow the shogunate" f a c t i o n . This sudden change occurred because Yoshida experienced shock and disappointment when the bakufu a r b i t r a r i l y signed the commercial t r e a t i e s with the United States. Yoshida wrote a l e t t e r to h i s close f r i e n d Gessho", a Buddhist p r i e s t , as follows: Recently, I have completely stopped my p a t r i o t i c lamen tation and have not commented on current a f f a i r s . There fore, I have received your displeasure. Looking at recent 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 either l i f e or death, praise or censure, and I w i l l dedicate myself to the Empire.38 Yoshida discarded the ideas which he held u n t i l this time and searched for new p o l i t i c a l concepts with h i s followers such as Takasugi Shinsaku, Kusaka Genzui, and Sayo Hachijuro" (Maebara I s s e i ) . S h i f t s i n p o l i t i c a l orientation and attitude have been demonstrated by the content data for Sakuma Shozan, Yokoi Shonan, support or encouragement, and effected a fundamental change i n attitude toward the Emperor, which fixed 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 s h i f t s i n p o l i t i c a l ideology were also manifested by Sakamoto Ryoma. Sakamoto*s i d e o l o g i c a l stand can be viewed as follows. F i r s t , as d e f i n i t e l y feudal- i s t i c , then a s l i g h t change which advocated the "Revere the Emperor, Repel the Barbarians" theory, and f i n a l l y the abandon ment of the "Repel the Barbarian" 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 nations oc curred d i r e c t l y as a re 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 abstract feudal theory of true rel a t i o n s h i p between sovereign and subject. Sakamoto advocated the transfer of p o l i t i c a l authority from the bakufu to the Imperial Court and the establishment of a new form of government. His new p o l i t i c a l concepts were known as the Senend Hassaku (Eight Point Plan). The SenchQ Hassaku did not advocate the restoration of the Imperial regime based on the t a i g i meibun (highest duty of a l l ) slogan. I t d i f f e r r e d 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 general plan which recommended the establishment of an u n i f i e d nation under a centralized p o l i t i c a l authority. At this time, the general opinion among the i n t e l l e c t u a l e l i t e s favored the restoration of the Imperial regime. Further more, the various forms of cons t i t u t i o n a l government i n the Western countries had been known. I t was not surp r i s i n g , there fore, that the forerunners of the transformation made an attempt to establish a p o l i t i c a l system based on public opinion and to 97 i n s t i t u t e some form of a deliberative organ. I t was also emphasized that m i l i t a r y preparations for the army and navy should be expanded. A few forerunners l i k e Sakamoto even suggested that sea trade and commerce should be encouraged. For the f i r s t time, the various ideas and suggestions were drawn up to form a general plan for the actual r e a l i z a t i o n of the transformation process and not as mere theories or recom mendations. Sakamoto's aim was to unify the nation i n a way com pl 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 force to achieve the main objective, Sakamoto did not mind i n the least but he wanted to proceed as peacefully as possible. To i n s t i t u t e a suitable plan f o r the restoration of Imperial power, Sakamoto worked with both Goto Shojiro and the buryoku tSbaku (overthrow the bakufu with arms) f a c t i o n . In observing Goto's support for the Kaientai and Sakamoto's co operation with Goto, the tobaku f a c t i o n of Tosa believed that Sakamoto was being deceived by the crafty Goto and that Sakamoto himself had betrayed his friends. Even Sakamoto's own s i s t e r Tomeko believed so. In response to his s i s t e r ' s reproaches, Sakamoto stated: I t w i l l be much better to serve the country with the power of 24000 koku rather than by merely leading f i v e or seven hundred men commanded by myself only. Most humbly, I should think that you are unable to consider such matters i n depth.^" Inoue, "Sakamoto Ryoma," pp. 81-82. 98 This was Sakamoto's true philosophy, not to be an i d e a l i s t who adhered to theory only, but to be the p r a c t i c a l p o l i t i c i a n who adapted himself to circumstances. 99 3. A c t i v i t i e s Supportive of Subject's O r i e n t a t i o n The content data c a t e g o r i z a t i o n scheme produced s t a t e  ments of 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 which served as a l i n k between the g e n e r a l so c i e t a l c o n d i t i o n s and the ideologue's a c t i v i t i e s . A c t i v i t i e s i n response 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 e d not only the i d e  ologue h i m s e l f but the whole s o c i e t y . For t h i s 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 l i m i t e d 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 analyzed w i t h s p e c i a l r e f e r e n c e to the statements of s o c i e t a l c o n d i t i o n s . From the i n v e n t o r y of a c t i v i t i e s undertaken by the f o r e  runners of the t r a n s f o r m a t i o n , the content data r e v e a l e d that the ideologues were o r i g i n a l l y persuaders who advocated reform and change and not v i o l a t o r s of the e x i s t i n g r u l e and order. With the gradual s h i f t i n o r i e n t a t i o n from the present s i t u a  t i o n a l o r i e n t a t i o n to 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 i n s o c i e t a l c o n d i t i o n s , a concomitant s h i f t i n the sphere of a c t i v i t i e s o c c u r r e d . Those a c t i v i t i e s which stemmed from the ideologue's o r i e n t a t i o n and s h i f t s i n o r i e n t a t i o n w i l l now be d e s c r i b e d . Takano Choei's i n t e r e s t i n academic matters covered a v a r i e t y of s u b j e c t s . H i s t r e a t i s e s i n c l u d e d Miyako Meisho  Guruma, Kyoto no S h a j i Annai no Honyaku (A Review of Famous Pla c e s i n the C a p i t a l ; T r a n s l a t i o n of a Guide to Kyoto Shrines 100 and Temples), Nanto-shi (The Southern I s l a n d s ) , a d e s c r i p t i o n of the Ryukyu I s l a n d based on A r a l Hakuseki»s Nanto-shi, Hana  ya Eda jo Takumini 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 T a i s e i J i s h i n 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 s o c i e t a l c o n d i t i o n s , Takano s h i f t e d h i s a c t i v i t i e s to d e a l w i t h more r e l e v a n t matters• The f i n a n c i a l burden p l a c e d on the daimyos d u r i n g the mid n i n e t e e n t h century by the s a n k i n k o t a i system f o r c e d them to go i n t o deeper debt. At the same time the t a x a t i o n scheme based on han r i c e p r o d u c t i o n d i d not cope w i t h the i n f l a t i o n a r y ko t r e n d mainly because of the poor r i c e h a r v e s t s of 1832-1833« The p l i g h t of the impoverished daimyos a f f e c t e d the samurai, a r t i s a n s , merchants, and farmers. Takano Choei 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 r e s e a r c h a c t i v i t i e s to s o l v e some of the a g r i c u l t u r a l problems. He r e a l i z e d the urgent need to r e i n f o r c e the a g r i c u l t u r a l s e c t o r of the economy and consequently, i n h i s Kyuko Nibutsu 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 cooking of potatoes and buckwheat. I t might be m i s l e a d i n g to g i v e the impression that Takano was i n t e r e s t e d only i n a g r i c u l t u r a l problems. Because 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 d i f f i c u l t Iwata, 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 indicate a c t i v i t i e s supportive of any one par t i c u l a r orientation. Takano*s r e a l i z a t i o n for the need to introduce modern Western philosophy was expressed i n hi s Kenbun  Manroku and his p o l i t i c a l views were disguised i n his Yume  Monogatari (A Dream). I t was the Yume Monogatari which resulted i n Takano*s imprisonment for l i f e at Demma-cho Prison. When appointed head of prisoners, Takano made an attempt to form a movement to seek his own release 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 prison and during the evac uation, Takano escaped. The content data did not indicate any large c o l l e c t i v i t y of people who assisted Takano while he was a f u g i t i v e . Takano tr a v e l l e d throughout the country but he eventually made his way back to Edo. Takano went into hiding at hi s f r i e n d doctor's home and often assisted i n medical duties. At thi s time, Takano even managed to teach a l i t t l e pharmacy. Later Takano moved to Uwajima and at Date Muneshiro's suggestion, Takano changed his name to Ito Zuikei. With a young attendant, two servants, and a maid at hi s disposal, Takano devoted his undivided attention to Dutch teaching and tr a n s l a t i o n . Takano*s Dutch translations were mainly concerned with European m i l i t a r y strategies and t a c t i c s . He designed and of fered instructions i n the construction of a m i l i t a r y f o r t r e s s at Fukaura, Goshokura Daiba,but regardless of the comparative success which Takano achieved at Uwajima, he was unable to f i n d s a t i s f a c t i o n i n his work. Takano moved from place to place and 102 f i n a l l y returned to Edo once again. Takano used acid to d i s  figure his forehead to disguise his f a c i a l features and he changed his name to Sawa Sanpaku. He l i v e d i n disguise f o r six years and continued his medical care and tr a n s l a t i o n a c t i v  i t i e s . In the end, Takano committed suicide when confronted by police o f f i c e r s and Takano k i l l e d one of them during the ensuing attack. Takano was forty-seven years old at the time. As previously noted, the content data did not reveal 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 lacked data which referred to 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. In Sakuma Shozan's instance, there i s supportive evidence that Sakuma did his best to absorb Western culture and technology. Sakuma studied Dutch, t r i e d to reprint Harma's dictionary, conducted chemical experi ments, experimented with firearms, and even encouraged one of his students to go abroad i n d i r e c t v i o l a t i o n of bakufu orders. Sakuma*s b e l i e f i n the supe r i o r i t y of Western m i l i t a r y technology led him to adopt Western science and to i n s t r u c t a l l his students i n Western gunnery techniques. In an memorial t i t l e d Kanno" koni noborite Tenka Tokon no Y5mu £ chinzu ( P e t i  tion to the Lord concerning important a f f a i r s of the day for our country), Sakuma expressed his concern for a national defence system. The content data did not give any i n d i c a t i o n of con sequent a c t i v i t i e s associated with the memorial. Sakuma Shozan and Yokoi Shonan both asserted that Japan should be opened to foreign intercourse but the difference i n 103 i n the formulation of t h e i r philosophical concept naturally resulted i n an ideology 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 ca l l e d Jitsugaku ( p r a c t i c a l studies) which consisted of Nagaoka Kenmotsu, Shimotsu Kyuya, Hagi Masakuni, and Motoda E i f u . These scholars were c r i t i c a l of the e x i s t i n g educational system which was devoted to t r i v i a l matters. Two years l a t e r , Yokoi opened his own private school and named i t the Shonan-D5. The f i r s t student to enrol was Tokutomi Soho*s father. Many of the students were sons of wealthy farmers such as Tokutomi, Yashima, and Takezaki. After Yokoi became an advocate of the kaikoku-ron (Open the country theory) and firm l y established his i d e o l o g i c a l standpoint, he parted company with Nagaoka Kenmotsu. Yokoi's emphasis on the functional and p r a c t i c a l aspects of his kaikoku- ron and keizai-ron (economic theory) gained the attention of the han authorities and he was appointed to lecture at Meidokan, the Echizen (Fukui) han school. Yokoi pa r t i c i p a t e d i n other impor tant han duties between 1859 and I860 which enabled him to make p r a c t i c a l use of his economic theory concerning production and trade. This was carried out i n co-operation with his d i s c i p l e Mitsuoka Hachiro ( l a t e r known as Yuri Kimimasa). When Matsudaira Shungaku took o f f i c e i n 1862 as the f i r s t president of p o l i t i c a l a f f a i r s i n the shogunal government, Yokoi became his advisor and consequently, had some of his p o l i t i c a l and economic reform suggestions accepted. Yokoi was so highly appreciated by the 104 Shogun Yoshinobu and hi s administration that the shogunal au t h o r i t i e s wanted to appoint Yokoi to a po s i t i o n of trust i n the government, but he did not accept the o f f e r . In December 1862, Yokoi was attacked by an assassin. He managed to escape but the incident resulted i n hi s r e c a l l back to Higo han which forced him to abandon his p o l i t i c a l plans. For Yokoi, the opportunity to r e a l i z e his p o l i t i c a l ambition existed f o r a short time only. In I863, Yokoi l o s t h i s stipend and samurai rank after he was charged with neglecting the samurai code. Confined to hi s home i n Nuyamazu v i l l a g e from 1864 to I867, Yokoi missed the most important period f o r the preparation of the Meiji Restoration. During this period Yokoi ShSnan the philosopher was born and he made an e f f o r t to compile his p h i l  osophical concepts i n a book t i t l e d Tengen (Heavenly Words) but this never materialized. Like the other i n t e l l e c t u a l e l i t e s examined i n this study, Yoshida Shoin expressed his p o l i t i c a l and philosophical views i n the form of treatises and memorials. In his Tozoku Shimatsu (A Story of Revenge), Yoshida revealed his concern f o r the so c i a l l y deprived. Later he influenced one of his d i s c i p l e s to form an organization c a l l e d the Toyutai (group of courageous people), an association composed of oppressed people. Yoshida's Komo Yowa demonstrated his inter e s t i n a variety of subjects related to national a f f a i r s . Other famous essays were the Noyama Goku Bunko (Noyama Prison Manuscripts), J i g i Ryakuron (Brief Discussion of the Duty of the Times), and J i s e i r o n (On the conditions of the Times). 1 0 5 Vast p o l i t i c a l changes occurred throughout the world during the 1 8 5 0's. To keep abreast of the times, Yoshida ob tained the daimyo's permission to v i s i t Hirado where he plan- 4 l ned to study. In Hirado Yoshida met Hayama Sanai who made his c o l l e c t i o n of Western books available to Yoshida. Yoshida*s inter e s t i n Western a f f a i r s dated from this time and he became absorbed i n books such as Seiyojin Nihon K i j i (Japan as seen by a foreigner), Oranda Kiryaku (Brief Report on Holland), Angeria- j i n Seijo-shi (Character of the B r i t i s h people), and T a i s e i  Rokuwa (Stories of the West). Soon afte r his t r i p to Kyushu, Yoshida proceeded to Edo 4 2 f o r further studies but d i s s a t i s f a c t i o n with his studies eventually forced Yoshida to seek r e l i e f from the t r a d i t i o n a l ways of study. With a f r i e n d Miyabe Teizo, Yoshida decided to make a t r i p to the Tohoku area. As Yoshida did not have the daimyo's p r i o r approval, he was charged with v i o l a t i n g the han 4 3 law and deprived of his stipend. 41 E a r l , op_. c i t . , p. 114. 42 The content analyzed data extracted from Naramoto*s biography indicates that Yoshida obtained the daimyo's permission to proceed to Edo to study and that he had enrolled as a student at Sakuma ShSzan's school. Earl's biography indicates that " i t was decided (by the hanshu) that Shoin should spend some time i n Edo" and Yoshida became a pupi l of Yamaga Sosui f i r s t and then . two months l a t e r , Sakuma's pupil as well. See E a r l , Emperor and  Nation i n Japan, pp. 115-16. 43 Naramoto's biography simply states that Yoshida and Miyabe made a t r i p to the Tohoku area. A very detailed account of this same t r i p i s given by E a r l . Apparently the TBhoku t r i p was under consideration f o r several months by Yoshida Sh<5in, 1 0 6 Commodore Perry's a r r i v a l i n Japan i n 1 8 5 3 greatly stim ulated Yoshida and he became completely absorbed i n the study of English* Yoshida decided that he must make an attempt to go abroad to study. He proceeded to Nagasaki with the hope of boarding one of the Russian warships which had entered Nagasaki harbor, but by the time Yoshida arrived, the ships had departed. Yoshida returned to Edo and his second attempt to go abroad was made with Kaneko Shigenosuke. Their e f f o r t s to board Perry's ship anchored i n Uraga Bay ended i n f a i l u r e and resulted i n a short period of confinement i n Demma-ch5 Prison i n Edo. Yoshida was sentenced to house arrest and placed under the surveillance of his han government. The ChSshu han administration reversed the i n i t i a l sentence and Yoshida was confined to Noyama Prison. Although Yoshida»s attempt to go abroad has not been adequately documented i n the biography selected f o r t h i s study, abundant d e t a i l concerning Yoshida*s prison 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 associations, and caligraphy groups were a l l quite diverse i n scope and did not appear to be supportive of a c t i v i t i e s a s s oci ated with any p a r t i c u l a r orientation except that they did i n d i - Miyabe Teiz<5, and Ebata Goro. Yoshida and Miyabe were " i n t e r  ested primarily i n broadening t h e i r knowledge of Japan" and a date was set for the t r i p . Yoshida*s written permission to tr a v e l was not received i n time but he decided to keep h i s prom ise to his friends, disregarding the e x i s t i n g law. E a r l states that "ShOin for the f i r s t time took the bold step he was to re peat more than once and i n more serious contexts: that of placing personal 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 Yoshida was r e l e a s e d from p r i s o n , so were the other p r i s o n e r s . Among them was Tominaga Y u r i n who l a t e r became a s u b s t i t u t e l e c t u r e r at Yoshida*s ShSka Sonjuku. These a c t i v i t i e s i l l u s t r a t e the e f f e c t i v e n e s s of Yoshida*s p r i s o n e d u c a t i o n and h i s humanitarian a t t i t u d e to look f o r some v i r t u e i n a l l k i n d s of people. Yoshida was h e l d i n Noyama P r i s o n f o r approximately one year. A f t e r h i s r e l e a s e , Yoshida was c o n f i n e d to house a r r e s t f o r a p e r i o d of three years d u r i n g which time he became i n  c r e a s i n g l y aware of n a t i o n a l problems. Yoshida's a s s o c i a t i o n with Mokurin and Umeda Umpin and the shogun*s continued d i s  r e g a rd f o r the Emperor f i r n a l l y aroused Yoshida*s a n t i - b a k u f u sentiment. Yoshida d i d not mind r e s o r t i n g to v i o l e n c e when i t became necessary. When he heard 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 I i Naosuke, Yoshida d e c l a r e d , "Then The f o l l o w i n g account of the Shoka Sonjuku i s g i v e n by E a r l . Shoka Sonjuku was a s m a l l school e s t a b l i s h e d i n 1856 by Yoshida's un c l e Kubo G-orozaemon. About a year l a t e r , Yoshida 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 the 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 of Yamaga sch o o l courses i n c l u d i n g m i l i t a r y d r i l l and gunnery e x e r c i s e s . Yoshida's t e a c h i n g method c o n s i s t e d of both formal and i n f o r m a l l e c t u r e s . H i s graduates from ShOka Sonjuku con s i s t e d of 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 prime m i n i s t e r s , P r i n c e I t o Hirobumi and P r i n c e Yamagata Aritomo; a c o u n c i l l o r , Kido Koin; and c a b i n e t m i n i s t e r s and ambassadors, such as Count Yamada A k i y o s h i , V i s c o u n t Shinagawa Y a j i r o , and V i s c o u n t Nomura Ya 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 Akikatsu." J Yoshida*s views became so violent that even his 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 Ryoma1s p o l i t i c a l orientations w i l l now be described. 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 recruited many s i m i l a r l y oriented people from Tosa to Katsu's naval t r a i n i n g school i n Kobe. Former acquaint ances whom Sakamoto had en l i s t e d f o r Katsu's service were a l l poor but talented men of common status such as Nagaoka Kenkichi, a doctor trained i n Western medicine, Shingu Umanosuke, a tinner, and Kondo Chojiro, a baker. Sakamoto served under Katsu's guid ance for about two years u n t i l October 1864, when the shogunate ordered Katsu's school closed. When Katsu was dismissed from h i s post as Naval Commis sioner i n 1864, he made adequate provisions f o r his former 45 Naramoto, op_. c i t . , p. 68. Manabe was a member of the shogun*s Council of Elders and he was sent to Kyoto to stop l o y a l i s t a c t i v i t i e s . His e f f o r t s resulted i n the imprisonment of Yoshida*s f r i e n d Umeda Umpin and other anti-bakufu supporters, 46 Earl*s account d i f f e r s from that given by Naramoto. E a r l asserts that numerous plots to assassinate bakufu o f f i c i a l s were discussed and when Yoshida learned that the Mito samurai were planning to assassinate the Tairo (chief minister of the shogun) I i Naosuke, Yoshida decided that the Choshu warriors should select as t h e i r victim Manabe Akikatsu. E a r l concludes by noting that Yoshida*s request f o r han assistance to carry out thi s plot resulted i n his f i n a l imprisonment and execution. See E a r l , op_. c i t . , pp. 134-36. 109 employees to f i n d employment elsewhere. Sakamoto's knowledge of s a i l i n g s h i p s enabled him to head an o r g a n i z a t i o n c a l l e d the Shachu ("the company") which was a s s i s t e d f i n a n c i a l l y by Satsuma han. The members of the Shachu i n c l u d e d Nagaoka K e n k i c h i , Kondo Ch B j i r B , and Mutsu Munemitsu. The ShachO which was l a t e r known as the K a i e n t a i (Naval A u x i l i a r y Force) rented s h i p s from Satsuma, Choshu, and Tosa hans f o r naval t r a i n i n g purposes. I t a l s o f u n c t i o n e d as a school f o r the study of i n t e r n a t i o n a l p u b l i c law and g e n e r a l c o n d i t i o n s abroad. The K a i e n t a i operated s i m i l a r l y to a marine t r a n s p o r t a t i o n o r g a n i z a t i o n and i t acted as an i n t e r m e d i a r y i n trade between the han and f o r e i g n merchants. The K a i e n t a i a l s o had plans to develop Hokkaido. One other K a i e n t a i a c t i v i t y o ccurred i n 1866. The steamship "Shachu" under Sakamoto's command went to the a s s i s t a n c e of the Choshu f o r c e s engaged i n the sea b a t t l e a g a i n s t the bakufu f o r c e s i n the Shimonoseki S t r a i t s . Sakamoto managed the K a i e n t a i and i t s a s s o c i a t e d a c t i v i t i e s a l l 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 a s s i s t a n c e to e s t a b l i s h the Satsuma-Choshu a l l i a n c e . Sakamoto a l s o took an a c t i v e 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 Tosa han to overthrow the bakufu. Yet, without h e s i t a t i o n , Sakamoto a l l i e d h i m s e l f 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 t r i e d to have the bakufu t r a n s f e r i t s power of a u t h o r i t y to the I m p e r i a l Court. At t h i s time, Goto was a t a r g e t of g r e a t h a t r e d by Sakamoto's r S n i n companions and they 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 also blamed for condemning Takechi Zuizan to death. In addition to a l l these a c t i v i t i e s , Sakamoto made arrangements to obtain printing-types i n order to publish Bankoku Koho (International Law). Furthermore, Sakamoto par t i c i p a t e d i n the d i f f i c u l t negotiations with the s t a f f members of the B r i t i s h Ministry i n Japan to clear up the suspicion that a member of the Kaientai had k i l l e d two English s a i l o r s i n Nagasaki. When the Kaientai ship c o l l i d e d with a K i i han steamer, Sakamoto had to draw on every possible source of knowledge concerning modern sea t r a f f i c regulations to place the r e s p o n s i b i l i t y of the accident on the K i i vessel. Sakamoto's plan to transfer 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 nation were incorporated i n the Senchu Hassaku (Eight Point k7 Plan). He discussed his plan with Goto Shojiro and others i n June I867 while on board a steamship between Nagasaki and 48 Osaka. The Senchu Hassaku recommended that: Kiyoshi Inoue notes that the Senchu Hassaku resulted from discussions held by Sakamoto and others and was formally written up by Nagaoka the Kaientai secretary. This i l l u s t r a t e s that Sakamoto's p o l i t i c a l ideology reached f r u i t i o n through the wisdom of many people. Sakamoto could not read Western books i n the o r i g i n a l language but the members of the Kaientai i n t e r  preted them fo r Sakamoto. Thus Sakamoto came to understand the general 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 Mei j i Restoration (Princeton: Princeton University Press, I96I), pp. 295-96. I l l 1. P o l i t i c a l power of the entire country should be re turned to the Imperial Court, and a l l decrees should come from the Court. 2. Two l e g i s l a t i v e bodies, an Upper and a Lower house, should be established, and a l l government measures should be decided on the basis of general opinion. 3. Men of ability, among the lords, nobles, and people at large should be employed as co 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 abolished. k. Foreign a f f a i r s should be carried on according to appropriate regulations worked out on the basis of general opinion. 5. The l e g i s l a t i o n and regulations of e a r l i e r times should be set aside and a new and adequate code should be selected. 6. The navy should be enlarged. 7. An Imperial Guard should be set up to defend the c a p i t a l . 8. The value of goods and s i l v e r should be brought into l i n e with that of foreign lands. In view of the state of the nation i n these days, i t i s v i t a l l y important to announce these eight points to the countries of the world. I f these p o l i c i e s are carried out the fortunes of the Imperial Country w i l l change f o r the better, national strength w i l l increase, and i t w i l l not be d i f f i c u l t to achieve equality with other countries. I t i s our prayer that we may base ourselves on the path of enlightenment and virtue and that the land may be renewed with great resolution During the l a t t e r part of September 1867, Sakamoto made k elaborate arrangements with Kido Koin the leader of Choshulhan I4.Q _ _ In Choshu, general public opinion c a l l e d f o r the over throw of the bakufu by use of force. See Inoue, "Sakamoto Ryoma," p. 80. 112 to remove Goto from the forefront of state a f f a i r s . Further more, Sakamoto maintained close l i a i s o n with Itagaki Taisuke the leader of the buryoku tobaku f a c t i o n of Tosa han and i n preparation to overthrow the bakufu, Sakamoto purchased thirteen hundred r i f l e s and had them delivered to Tosa by the Kaientai, After the restoration of the administrative powers to the throne, at least i n name only, Sakamoto immediately pre pared various drafts for the new government organization with such people as Toda Uta (l a t e r known as Ozaki Sanryo). 5^ For the new government, Sakamoto favored a regime composed of: Kanpaku (the chief adviser to the Emperor): to consist of one person to head the national adminis t r a t i o n , Giso (the o f f i c e r s who served the Emperor and who relayed the Emperor's orders to the noblemen and others): to consist of several persons to head the various ministries of the government. Sanyo (Cabinet Consultants): to consist of several persons to' occupy positions next to heads of the m i n i s t r i e s . Sakamoto's plan indicated that the kanpaku should be chosen from among the noblemen and i t implied the selection of Sanjo Sanetomi. The giso members were to be selected from among Imperial Princes, nobles, and barons, and the sanyo members from the talented nobles, daimyos, and common people. To f i l l ^ Toda Uta was a vassal to Sanjo Sanetomi the leader of the noblemen f a c t i o n to overthrow the bakufu. 1 1 3 these posts, Sakamoto had a number of people i n mind. For the giso positions, Sakamoto thought of the feudal lords and nobles of Satsuma, Choshu, and Tosa and f o r the sanyo p o s i  tions, such well known figures as Saigo Takamori, Okubo Toshimichi, Kido Koin, Goto Shojiro, and Yokoi Shonan. Mem bers of the Tokugawa family and bakufu o f f i c i a l s were not indicated. The three system proposal consisting of the kanpaku, giso*, and sanyo took form as the sosai, g i j o , and sanyo of the f i r s t government afte r the successful coup d'etat which abol ished the shogunate. The appointments were made almost ac cording to Sakamoto's o r i g i n a l plan. 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 Yuri Kimimasa i n Echizen on November 2 6 , 1867« Sakamoto wanted Yuri who was a well 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 asking Yuri, Sakamoto had suggested to Goto" that i f they move the kinza and ginza (Edo mint) to Kyoto and deprive the bakufu of the right to mint new coins, then the bakufu might be forced to surrender even without f i g h t i n g . 5 1 Sakamoto's pains taking 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 this passage i s rendered by Jansen which i s as follows: " I f , " he suggested, "we move the Edo mint to Kyoto and control the currency, 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 ually be nothing we need to fear." See Jansen, Sakamoto  Ryoma and the M e i j i Restoration, p. 328. 1 1 4 government indicated how hard Sakamoto t r i e d to enable the Imperial Court to become the central authority 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 analysis aided us i n the estab lishment of categories f o r the analysis of biographical material. The selection of various dimensions such as coding Category III (formative influences), Category IV (attitudes, orientations, and concepts), and Category V (structures of a c t i v i t i e s ) sug gested the model shown i n Figure k- to study the linkage between i the causal forces 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, = structure of formative influences concepts a c t i v i t i e s -Feedback Phenomena ( s o c i a l , economic, p o l i t i c a l ) FIGURE k CAUSAL FORCES-OBSERVABLE VARIATIONS LINKAGE MODEL In t h i s model, the underlying assumption i s that the l i n k between the observable variations and the causal forces i s the ideologue's attitudes, orientations, and concepts. This I am indebted to Professor Earnest Landauer for pointing out the general significance of th i s type of analysis. assumption i s supported by the evidence obtained i n this study. 2 The method enabled us to study the degree of feedback from the structure of a c t i v i t i e s to s o c i e t a l conditions which to some degree changed those s o c i e t a l conditions. By feedback, we mean those a c t i v i t i e s which resulted i n some change i n either the causal forces or i n the linkage mechanism. In terms of our data feedback refers to the ideologue's a c t i v i t i e s which resulted i n some change i n either the s o c i e t a l conditions or i n the ideolo gue's attitudes, orientations, or concepts. The causal 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 mobility patterns of the ideologues. Those patterns were characterized by the movement of individuals and not of c o l l e c t i v i t i e s through the s o c i a l structure. In Takano Choei's case, the establishment of new transportation routes between the c a p i t a l and outlying f i e f s gave Takano the opportunity to leave his home town of Mizusawa, Mutsu, to study Dutch i n Edo. Because of h i s studies 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 his writings on a g r i  c u l t u r a l improvement. Sakuma Shozan presented a geographic mobility pattern sim i l a r to Takano*s. Sakuma l e f t h i s birthplace of Shinshu Matsushiro and studied Neo-Confucianism i n Edo. As an eloquent For a detailed treatment of the concept of feedback, see Walter Buckley, Sociology and Modern Systems Theory (Englewood C l i f f s : Prentice-Hall, Inc., 1967), pp. 52-58. spokesman f o r Neo-Confucianism, he t r i e d to account for the s o c i a l and economic problems i n terms of Neo-Confucian philoso phy. Sakuma's reappraisal of Neo-Confucianism led to new concepts which combined the "Ethics of the East" and the "Science of the West." His academic inter e s t was now conditioned by u t i l i t y : whether given f i e l d s of endeavor held out any p r a c t i c a l solutions. The causal d i r e c t i o n indicated by the data on s o c i e t a l conditions which resulted i n Yokoi's p o l i t i c a l orientations and p o l i t i c a l philosophy also 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 re s u l t of his own p o l i t i c a l consciousness. His attempt to accept Western ideology and culture through a better understanding of Confucianism eventually forced him to become a supporter of the "opening the country" theory. Yokoi*s ideas influenced his followers who performed important functions i n the course of the Me i j i Restoration. One of the more po s i t i v e examples of feed 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 Training Center. An example of causal d i r e c t i o n and feedback i n terms of the forward or inter-generational linkage i s provided by the teacher-disciple pattern of Sakuma Shozan and Yoshida Shoin. Yoshida*s movements from Hagi to Hirado, Nagasaki, and Amakusa r e f l e c t even stronger geographic mobility. His resultant s h i f t i n orientation led Yoshida to obtain the daimyo*s permission to study i n Edo where he enrolled i n Sakuma Shozan's school. As 118 evidenced by our data, Sakuma*s dynamic way of thinking had a profound impact on his followers l i k e Yoshida Shoin. Yoshida took greater interest i n philosophy, and he questioned the m i l  i t a r y p r i n c i p l e s of the Yamaga school. This led him to the study of English and Western a f f a i r s and his unsuccessful at tempt to go abroad. A further example of forward linkage i s provided by the teacher-disciple relationship of Yokoi Shonan, Katsu Kaishu, and Sakamoto Ryoma. It has been indicated 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 reveals both Katsu's and Yokoi's influences on Sakamoto. Yokoi was aware that domestic problems had to be solved f i r s t and national unity achieved p r i o r to solving international problems. Sakamoto also held s i m i l a r views as indicated i n h i s plan for a u n i f i e d nation (Zenkoku godo no keikaku). Yokoi suggested that the shogun should proceed to Kyoto and personally apologize to the Imperial household f o r the past discourtesies. This was the most l o g i c a l f i r s t step to be taken to achieve national unity. In contrast, Sakamoto took a stronger stand. He advo cated the transfer of p o l i t i c a l authority from the bakufu to the Imperial Court and he c a l l e d for the establishment of a new form of government. This i l l u s t r a t e s the important role played by the f i r s t generation ideologues who more or less paved the way for the second generation ideologues to advance much bolder con cepts. The inter-generational l i n k also supports the theory advanced by Stinchcombe that " . . . insofar as i n s t i t u t i o n s have e f f ec t s , and insofar as they are s o c i a l phenomena them se lves , these processes give r i s e to i n f i n i t e s e l f - r e p l i c a t i n g 3 causal loops." The causal s tructure as evidenced by the data supporting the re la t i onsh ip between the causal forces ( soc i e ta l condi t ions , formative influences) and observable var ia t ions (structure of a c t i v i t i e s ) gave r i s e to patterns 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 var ied from ideo logue to ideologue. These patterns were character ized i n each instance by the presence of supportive data which re f l ec ted the ideologue's concern with domestic condit ions and by the em phasis placed on the need to know more about Western science and technology. The patterns were further character ized , with the exception of the Takano Choei data, by data which ind icated the importance of nat ional 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 cons i s t ing of the members of the Imperial household and the shogunate. At one time, Yoshida Shoin also favored a c o a l i t i o n to provide a s trong, centra l i zed government centered around the Tokugawa bakufu; l a t e r he supported the overthrow of the shogunate. In h i s Senchu  Hassaku Sakamoto Ryoma supported a plan which c a l l e d for a u n i  f i e d nation under a centra l i zed p o l i t i c a l author i ty . The ^Arthur JL. Stinchcombe, Construct ing Soc ia l Theories (New York: Harcourt , Brace and World, I n c . , 1968), p . 111. 120 res u l t i n g patterns a l l manifested s h i f t s i n p o l i t i c a l orien tations and attitudes. The degree of s h i f t became more pronounced with each new generation of ideologues as r e f l e c t by the much bolder concepts they advanced and implimented. CHAPTER VI SUMMARY AND CONCLUSION The data obtained from the content analysis of f i v e biographies supported our proposition that the adaptive and transformation processes of modern Japan established t h e i r roots during the late Tokugawa period 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-Meiji Restoration period. The research design employed fo r this study turned out to be much better than the material a v a i l a b l e : f o r the content analysis. Its methods revealed certain i n  stances of the biographers* biases and also the lack of p e r t i  nent information to support statements made by the biographers. In such instances, I have made footnote references so that the reader may make the necessary comparative study with the r e f  erences c i t e d . The method of content analysis allowed us to make sub stantive statements concerning the l i n k between the causal forces and the ideologue*s structures of a c t i v i t i e s . Our data revealed that geographic mobility gave r i s e to s o c i a l mobility which i n turn resulted i n s h i f t s i n attitudes and orientations. Dore notes that "There i s l i t t l e basis f o r quantitative assessments of the pattern of mobility during the i n i t i a l tran s i t i o n from the feudal to the new occupational hierarchy." See R. P. Dore, "Mobility Equality, and Individuation i n Modern Japan," i n R. P. Dore (ed.), Aspects of Social Change i n Modern  Japan (Princeton: Princeton University Press, 1967), p. 114. I am indebted to Professor Dore f o r making the manuscript of the book available to me before publication. The method also suggested a model which i l l u s t r a t e d both causal 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. This was evidenced by the dynamic impact which the late Tokugawa ideologues had on t h e i r followers Further proof can be obtained by examining supportive data a v a i l able i n l a t e r M e i j i biographies. Examples of the l i n k between the ideologues selected f o r t h i s study and other ideologues responsible for the modernization processes of Japan are given i n Appendix C. This thesis 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 Figure 1 of Chapter I I . Although we were unable to examine which of the two opposing ideologies, l j or l g , had the greatest impact on the formation 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 usually attributed the data on hand suggested the following proposition: that i t was l g more than 1^  which formed the basis f o r a rapid trans formation of Japanese society. I t remains f o r a future study to examine t h i s proposition. BIBLIOGRAPHY English-Language Sources Beasley, W. G. The Modern History of Japan* London; Weidenfeld and Nicolson, I 9 6 3 . Bendix, Reinhard. Work and Authority i n Industry. New York: Harper & Row P u b l i s h e r s , 1 ^ 6 % Black, C. E. The Dynamics of Modernization: A Study i n Comparative History. New York: Harper & Row, Publishers, 1966. Bottomore, T. B. E l i t e s and Society. Middlesex: Penguin Books Ltd., I9Z6". Buckley, Walter. Sociology and Modern Systems Theory. Engle- wood C l i f f s : Prentice-Hall, Inc., 1967. Craig, Albert M. Choshu i n the Me i j i Restoration. ("Harvard H i s t o r i c a l Monographs," XLVIll Cambridge: Harvard Univer s i t y Press, 1961. de Bary, Wm. Theodore (ed.). Sources of Japanese Tr a d i t i o n . Vol. 1. New York: Columbia University Press, 1964. Deutsch, K. "Social Mobilization and P o l i t i c a l Development," American P o l i t i c a l Science Review, IV (September, I96I), pp. 463-515. De Vos, G., and Wagatsuma, Hiroshi. Japan*s I n v i s i b l e Race. Berkeley and Los Angeles: University of C a l i f o r n i a Press, 1966. Dore, R. P. Education i n Tokugawa Japan. Berkeley and Los Angeles: University of C a l i f o r n i a Press, I 9 6 5 . ' . "Mobility, Equality, and Individuation i n Modern Japan," Aspects of Social Change i n Modern Japan, ed. R. P. Dore. Princeton: Princeton University Press, 1967. pp. 113-1 50. . "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 Modernization." Paper presented at Asian Studies 330 Seminar, University of B r i t i s h Columbia, Vancouver, B.C. August 16, 1967. 124 E a r l , David Magarey. Emperor and Nation i n Japan: P o l i t i c a l  Thinkers of the Tokugawa Period. Seattle: University of Washington Press, 1964. Eisenstadt, S. N. Modernization: Growth and D i v e r s i t y . Bloomington: Indiana University, 1963* (The Carnegie Faculty Seminar on P o l i t i c a l and Administrative Develop ment Paper). . Moderni zat ion: Protest and Change. Engle wood C l i f f s : Prentice-Hall, Inc., 1966. Fairbank, John K., Reischauer, Edwin 0., and Craig, Albert M. East Asia: The Modern Transformation. Tokyo: Charles E. Tuttle Co., 1965. H a l l , John Whitney. "Changing Conceptions of the Moderniza tion of Japan," Changing Japanese Attitudes Toward Modern- i z a t i o n , ed. Marius B. Jansen. Princeton: Princeton University Press, I965. pp. 7-41. . "From Tokugawa to Me i j i i n Japanese Local Administration," Studies i n the I n s t i t u t i o n a l History of  Early Modern Japan, eds. John W. H a l l and Marius B. Jansen. Princeton: Princeton University Press, 1968. pp. 375-386. . Tanuma Okitsugu, 1719-1788: Forerunner of Modern Japan. ("Harvard-Yenching In s t i t u t e Monograph Series," XIV) Cambridge: Harvard University Press, 1955» Harootunian, Harry D. " J i n s e i , J i n z a i , and Jitsugaku: Social Values and Leadership i n Late Tokugawa Thought," Modern  Japanese Leadership: Transition and Change, eds. Bernard S. Silberman and H. D. Harootunian. Tucson: The University of Arizona Press, I966. pp. 83-119. H o l s t i , Ole R. "Content Analysis." Vancouver: Department of P o l i t i c a l Science, University of B r i t i s h Columbia, I 9 6 6 . (Mimeographed.) Iwata, Masakazu. Okubo Toshimichi: The Bismarck of Japan. Berkeley and Los Angeles: University of C a l i f o r n i a Press, 1964. Jansen, Marius B. Sakamoto Ryoma and the Me i j i Restoration. Princeton: Princeton University Press, I96I. 125 Japanese National Commission for UNESCO. The Role of Education i n the Social and Economic Development of Japan. Tokyo: Institute f o r Democratic Education, I966T Kaplan, Abraham. The Conduct of Inquiry: Methodology for Behavioral Science. San Francisco: Chandler Publishing Company, 1964. Levy, Marion J . The Structure of Society. Princeton: Princeton University Press, 1952. Mannheim, Karl. Ideology and Utopia. London: Routledge and Kegan Paul Ltd., 1954. McLaren, W. ¥. (ed.). "Japanese Government Documents," Trans  actions of the A s i a t i c Society of Japan, Vol. XLII, Part 1. Tokyo: The A s i a t i c Society of Japan, 1914. Pareto, V i l f r e d o . Sociological Writings. New York: Frederick A. Praeger, I96ZZ P i t t a u , Joseph. P o l i t i c a l Thought In Early M e i j i Japan 1868- 1889* Cambridge: Harvard University Press, 19&7* Reischauer, Edwin O., and Fairbank, John K. East Asia: The  Great T r a d i t i o n . Tokyo: Charles E. Tuttle Company, 1962. Scheiner, Irwin. "Christian Samurai and Samurai Values," Modern Japanese Leadership, eds. Bernard S. Silberman and H. D. Harootunian. Tucson: The University of Arizona Press, I966. pp. 171-194. Silberman, Bernard S. Japan and Korea: A C r i t i c a l Bibliography. Tucson: The University of Arizona PresTj 1962. . Ministers of Modernization. Tucson: The University of Arizona Press, I9SWI Stinchcombe, Arthur L. Constructing Social Theories. New York: Harcourt, Brace and World, Inc., 1968. Totman, Conrad D. P o l i t i c s i n the Tokugawa Bakufu 1600-1843» Cambridge: Harvard University Press, 19&7* Tsukahira, Toshio G. Feudal Control i n Tokugawa Japan; The Sankin Kotai System. Cambridge: Harvard University Press, 1966. 126 Ward, Robert E., and Rustow, Dankwart A. (eds.). P o l i t i c a l  Modernization i n Japan and Turkey. Princeton: Princeton University Press, 1 9 6 4 . Webb, Herschel. The Japanese Imperial I n s t i t u t i o n i n the Tokugawa Period. New York: Columbia University Press, 1 9 6 8 . Weiner, Myron (ed.). Modernization: The Dynamics of Growth. New York: Basic Books, Inc., 1 9 6 6 . Yanaihara, Tadao. "A Short History of Modern Japan," The Modernization of Japan, ed. S e i i c h i Tobata. The In s t i t u t e of Asian Economic A f f a i r s Series, Vol. 1. Tokyo: The Ins t i t u t e of Asian Economic A f f a i r s , 1 9 6 6 . pp. 3 - 4 6 . Japanese-Language Sources Asahi Janaru (ed.). Nihon no Shisoka (Thinkers of Japan). 3 vols. Tokyo: Asahi Shimbun Publishing Co., 1 9 6 2 . Inoue, Kiyoshi. Nihon no Kindaika to Gunkoku Shugi (Modern!- zation and M i l i t a r i s m i n Japan). Tokyo: Shin Nihon Shuppansha, I966. Reischauer, Edwin 0. Nihon Kindai no A t a r a s h i i Mikata (A New Way of Looking at the Modernization of Japan"H Tokyo: Kodansha Co., I967. 127 BIBLIOGRAPHY General Apter, David E. The P o l i t i c s of Modernization. Chicago: The University of Chicago Press, 1965• Bellah, Robert N. Tokugawa Religion: The Values of Pre- Indu s t r i a l Japan. Glencoe: The Free Press, 1957» Eisenstadt, S. N. (ed.). The Protestant Ethic and Moderni zation: A Comparative View. New York: Basic Books Inc., 1968. Hirschmeier, Johannes. The Origins of Entrepreneurship i n M e i j i Japan. ("Harvard East Asian Series," 17) Cambridge: Harvard University Press, 1964. International Christian University, Asian Cultural Studies 3« Studies on Modernization of Japan by Western Scholars. Tokyo: International Christian University, 1962. Maruyama, Masao. Thought and Behaviour i n Modern Japanese  P o l i t i c s . London: Oxford University Press, 1963. Norman, E. H. Japan 1s Ernergence as a Modern State: P o l i t i c a l  and Economic Problems of the Me i j i Period. ("I. P. R. Inquiry Series") New York: International Secretariat, In s t i t u t e of P a c i f i c Relations, 1940. Sansom, G. B. The Western World and Japan: A Study i n the  Interaction of European and A s i a t i c Cultures. New York: Al f r e d A. Knopf, 1962. Smelser, Neil J . , and Lipset, Seymour Martin (eds.). Social  Structure and Mobility i n Economic Development. 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APPENDIX A 128 PRINCIPAL BAKUFU OFFICIALS 1 Vassal daimyo o f f i c i a l s Liege vassal o f f i c i a l s •—Shogun—I Regent (hosa) - Great cou n c i l l o r (tairo) - Senior councillors (roju) - Kyoto deputy (Kyoto shoshidai) - Keeper of Osaka _ castle (Osaka jBdai) - Superintendents of temples and shrines ( j i s h a bugyo) - Grand chamberlain (sobayonin) Junior councillors (wakadoshiyori) Masters of shogunal ceremony (soshaban) Edo c i t y magistrates (Edo machi bugyo) Superintendents of finance (kanjo bugyo) Finance personnel (kanjo shu) Intendants (daikan) - Comptrollers (kanjo gimmiyaku) - Inspectors general (ometsuke) - Major o f f i c i a l s i n other c i t i e s (ongoku bugyo) - Envoys to the court (kinrizuki) - Masters of court ceremony (koke) - Chamberlains (sobashu) - Chiefs of the pages and attendants (koshS todori; konando todori) - Inspectors (metsuke) - Captains of the Bodyguard, Inner Guard, New Guard (shoinban gashira; koshogumi ban gashira; shimban gashira) Totman, P o l i t i c s i n the Tokugawa Bakufu, p. 41. 1 2 9 APPENDIX B-l Coding Rules for Category I Societal Conditions a f f e c t i n g society as a whole For purposes of our analysis, the recording unit w i l l be the sentence. The following sentences w i l l be recorded under Category I: - a l l sentences r e f e r r i n g to general s o c i e t a l conditions a f f e c t i n g Tokugawa society as a whole: a l l sentences r e f e r r i n g to class structures. a l l sentences r e f e r r i n g to authority structures. a l l sentences r e f e r r i n g to administrative structures. - any statement of s o c i e t a l condition given as the cause for some present or future event. - any statement, f a c t , or reason given as the cause ( i m p l i c i t or e x p l i c i t ) f o r a present or future s o c i e t a l condition or event. - any statement which mentions scholars or other individuals who had some impact upon the general feelings of the people at large. 1 3 0 APPENDIX B-2 Coding Rules f o r Category II nmnan—aSH——*itfi«*HB—M——immH—• a——*MM*—J—,t MHipiiiaMMih— Societal 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 analysis, the recording unit w i l l be the sentence. The following sentences w i l l be recorded under Category I I : - any sentence containing information related to our subject. This means that a l l sentences containing the subject w i l l be recorded under Category I I . - any sentence with pronoun reference to our subject w i l l also be recorded under Category I I . - any statement given by the biographer concerning the subject's actions, attitudes, or orientations, past, present or future. - any sentence r e f e r r i n g to those factors which may have had some influence on our subject's actions, attitudes, or orientations, past, present or future. - In the event that a short sentence describing society as a whole precedes a sentence d i r e c t l y associated with our subject, that preceding 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 followed by the sentence contain ing our subject. Otherwise such short descriptive sentences w i l l be meaningless i f i t i s placed i n Category I alone and the follow-up sentence i n Category I I . - any information previously given 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 Influences on subject Data extracted f o r Category II w i l l be subject to further content analysis. As before, the recording unit w i l l be the sentence. Data from Category II w i l l be allocated into either Category I I I or Category IV depending on the following selection c r i t e r i a : - any sentence containing information linked to or associated with the formative influences on our subject's actions, attitudes, or orientation, past, present or future. - any sentence i n d i c a t i n g the subject's past general frame of reference, for example, c l a s s i c a l studies, Confucianism or Buddhism. - any sentence i n d i c a t i n g the subject's exposure to certain past experiences which may be related to the subject's present or future ideology or philosophy. 132 APPENDIX B-k Coding Rules for Category IV The following sentences w i l l be coded under Category IV'« - any sentence concerning the subject's actions and orientations, present or future, - any sentence o u t l i n i n g the subject's basic concepts, guiding p r i n c i p l e s , or philosophy. - any sentence expressing the subject's attitude toward the nation, Emperor, present and future government, and the future course of action to be taken. - any sentence i n d i c a t i n g the subject's approach or plan of action i n adopting western culture and technology. - any sentence i n d i c a t i n g the subject's p r i o r i t i e s i n the future course of action to be taken. - any sentence giving the subject's students and d i s c i p l e s . - any sentence i n d i c a t i n g future course of action taken by the subject's students or d i s c i p l e s which may be linked to our subject. - any sentence i n d i c a t i n g the subject's influence on other persons or on future events. - any sentence i n d i c a t i n g our subject's i n t e r a c t i o n with other persons (verbal, non-verbal, c o n f l i c t i n i n t e r e s t s ) . APPENDIX B-5 1 3 3 Coding Rules for Category V Action taken by subject and r e a l i z e d Data extracted from Category IV w i l l be subject to further content analysis. As before, the recording unit w i l l be the sentence. Data from Category IV w i l l be allocated into either Category V or Category VI depending on the following 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 action taken by the subject 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 subject's guiding p r i n c i p l e s or concepts immediately accepted without modification by the government. 1 3 * APPENDIX B-6 Coding Rules f o r Category VI Action taken by subject and p a r t i a l l y r e a l i z e d The following sentences w i l l be coded under Category Vis - any sentence i n d i c a t i n g a course of action taken by the subject 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 action proposed by the subject and re a l i z e d l a t e r , either i n modified or unmodified form. - any sentence i n d i c a t i n g the course of action proposed by the subject 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 subject'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 guiding p r i n c i p l e s or concepts accepted l a t e r i n modified form. - any sentence i n d i c a t i n g the subject's eminent followers who l a t e r contributed to the adaptive and transformation processes of Japan. 135 APPENDIX C Link betnreen Ideologues Examples of the l i n k between the ideologues selected f o r th i s study and other ideologues responsible f o r the modernization processes of Japan, Takano Choei - Egawa Tarozaemon - Sakuma Shozan - Takashima Shuhan - Watanabe Kazan Sakuma Shozan - Egawa Tarozaemon - Kato Hiroyuki - Katsu Kaishu - Nishimura Shigeki - Okuma Shigenobu - Tsuda Masamichi - Yoshida Shoin Yokoi Shonan - Katsu Kaishu - Motoda E i f u - Sakamoto Ryoma - Shimotsu Kyuya Yoshida Shoin - Inoue Kaoru - Ito Hirobumi - Kido Koin (Katsura KogorO") - Kusaka Genzui - Sayo Hachijuro (Maebara Issei) - Takasugi Shinsaku - Yamagata Aritomo Sakamoto Ryoma - Goto Shojiro - Itagaki Taisuke - Ito Hirobumi - Iwakura Tomomi - Katsu Kaishu - Kido Koin - Okubo Toshimichi - Saigo Takamori - Yokoi Shonan - Yuri Kimimasa 

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