The Society for Japanese Studies The Decline of the Ritsuryo System: Hypotheses on Economic and Institutional Change Author(s): Kozo Yamamura Source: Journal of Japanese Studies, Vol. 1, No. 1 (Autumn, 1974), pp. 3-37 Published by: The Society for Japanese Studies Stable URL: http://www.jstor.org/stable/133435 Accessed: 25/12/2009 07:51 Your use of the JSTOR archive indicates your acceptance of JSTOR's Terms and Conditions of Use, available at http://www.jstor.org/page/info/about/policies/terms.jsp. JSTOR's Terms and Conditions of Use provides, in part, that unless you have obtained prior permission, you may not download an entire issue of a journal or multiple copies of articles, and you may use content in the JSTOR archive only for your personal, non-commercial use. Please contact the publisher regarding any further use of this work. Publisher contact information may be obtained at http://www.jstor.org/action/showPublisher?publisherCode=sjs. Each copy of any part of a JSTOR transmission must contain the same copyright notice that appears on the screen or printed page of such transmission. JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected]. The Society for Japanese Studies is collaborating with JSTOR to digitize, preserve and extend access to Journal of Japanese Studies. http://www.jstor.org KOZO YAMAMURA The Decline of the Ritsury6 System: on Economic and Institutional Hypotheses Change This essay is an economic historian's attempt to analyze the Ritsuryo economy-the economy of the period between the Taika Reform of the mid-seventh century and the beginning of the tenth century.' This analysis differs in several crucial ways from those made by Japanese scholars because of the difference in analytical framework; the Japa- nese scholars have a basically Marxist and institutionalist framework in contrast to the analytical framework of this essay which is essen- tially modem economic theory.2 1. This follows the periodization usually adopted by Japanese economic historians. Though it does not affect our analysis, there is an ongoing debate among Japanese specialists concerning the specific dates when the ritsu (penal codes) and ryo (administrative codes) were written. Several scholars even argue that the Taika Reform was a later fabrication (the so-called Taika Kaishin kyoko-ron). For an excellent analysis of this debate, see Nomura Tadao, Kenkyishi: Taika Kaishin (Yoshikawa K6bunkan, 1973) which also contains an up-to-date bibliography on the Ritsury6 period. The beginning of the tenth century is chosen to mark the end of the Ritsury6 period because the number of shoen began to increase visibly during the tenth century. 2. The basic analytical framework adopted in this essay is the theory of institutional change which is based on modern (as opposed to Marxist) eco- nomic theory. For the analytical basis of the theory and its application to the economic history of medieval Europe and the United States, see Davis, L. E. and North, D. C., InstitutionalC hange and American Economic Growth (Cambridge: Cambridge University Press, 1971); North, D. C. and Thomas, R. P., The Rise of the Western World (Cambridge: Cambridge University Press, 1973); Cheung, Steven N. S., "Private Property Rights and Share- cropping," The Journal of Political Economy, Vol. 76, No. 6 (November/ December, 1968); Cheung, Steven N. S., "The Structure of Contract and the Theory of Non-Exclusive Resources," The Journal of Law and Economics, Vol. 13, No. 1 (April 1970); Demsetz, Harold, "The Exchange and Enforce- ment of Property Rights," Journal of Law and Economics, Vol. 9 (October 1966). 3 4 Journal of Japanese Studies Because the available English books on Japanese history provide only limited descriptions of economic aspects of the period,3 a sub- stantial part of this essay is devoted to a description of the Ritsury6 economy and the political changes which are pertinent in under- standing the changes in the economy and economic institutions. Both these descriptions and the explicit theoretical analyses on several aspects of the economy and economic institutions attempt to show that: (i) The Ritsury6 economic system was an outcome of the desire of the political-military leaders to maintain a political equilibrium and to assure that their economic base would be either enlarged or at least maintained. (ii) The Ritsury6 economic system was inherently unstable and it was gradually eroded because it was advantageous to those who dominated the system. (iii) Various economic changes including the disappearance of slaves and semi-free skilled labor, the contractual arrangements adopted between the landholders and the cultivators, and the methods of taxation were all "rational," i.e., the best among the economic alternatives as judged within the framework of modern economic theory.4 (iii) will be presented in an Appendix. 3. English books containing useful descriptions of the economic aspects of this period are: Duus, Peter, Feudalism in Japan (New York: Alfred A. Knopf Publishing Co., 1969); Hall, John W., Government and Local Power in Japan (Princeton: Princeton University Press, 1966); Hall, J. W., Japan: From Prehistory to Modern Times (New York: Dell Publishing Co., 1971); Hall, J. W. and Mass, J. P., eds., Medieval Japan: Essays in Institutional History (New Haven: Yale University Press, 1974); Sansom, George, A History of Japan to 1334 (Stanford: Stanford University Press, 1958); and Toyoda Takeshi, A History of Pre-Meiji Commerce in Japan (Kokusai Bunka Shin- kokai, 1969). 4. Among the Japanese sources examined, the following were the most useful: Egashira Tsuneharu, Nihon shoen keizaishi-ron (Yfihikaku, 1932); Fujiki Kunihiko, Kodai 2, Nihon zenshi 3 (Tokyo University Press, 1971); Harashima Reiji, Nihon kodai shakai no kiso kozo (Mirai-sha, 1969); Horie Yasuzo, Nihon keizaishi gaiyo (Hirano Shob6, 1956); Hosokawa Kameichi, Nihon jiin keizaishi-ron (Keimei-sha, 1930); Imamiya Shin, Handen shauju-sei no kenkyu (Ryfigin-sha, 1944); Inoue Mitsusada et al., Iwanami koza-Nihon rekishi 3: Kodai 3 (Iwanami Shoten, 1962); Ishimoda Sho, Chusei-teki sekai no keisei (Tokyo University Press, 1957); lyanaga Teiz6, Narajidai no gozoku to n6min (Shibun-do, 1956); Iyanaga Teizo, ed., Nihon keizaishi taikei I- Kodai (Tokyo University Press, 1965); Kawane Yoshiyasu, Chusei hoken-sei seiritsu shiron (Tokyo University Press, 1971); Kikuchi Yasuaki, Nihon kodai tochi shoyu no kenkyi (Tokyo University Press, 1970); Murai Yasuhiko, Kodai kokka kaitai katei no kenkyu (Iwanami Shoten, 1965); Murao Jir6, Ritsuryo zaisei-shi no kenkyt (Yoshikawa Kobunkan, 1962); Noaki K6jiro, Narach6 jidaishi no shomondai (Hanawa Shob6, 1968); Osaka Rekishi Gakkai, ed., Ritsuryo kokka no kiso kozo (Yoshikawa K6bunkan, 1961); Sakamoto Taro, Yamamura: Ritsury6S ystem 5 The Ritsuryo System as OriginallyA dopted During the early decades of the seventh century the throne (or, more accurately,t he leading Yamato uji)5 was under strong pressure to act if it was to maintaint he hegemonyi n what in fact was a con- federation of uji. Disequilibratingp ressures which threatened the hegemony were mounting because of the rising economic-hence military-power of contending uji. Forced retreat from Korea had weakened the position of the throne, and implicit in the rising of T'ang China on the continent was a possible threat to the emerging nation state.6T he choice of a course of action for the throne, how- ever, was severelyl imited by two major constraints:( 1) Any action adoptedb y the throne must not be so detrimentalt o the interests of the uji as to tempt them to challenge the hegemony of the throne. The uji could be expectedt o pay the price for continuedp eace only if the price did not exceed the cost of establishinga new equilibrium. (2) Duringt his period Japan was activelyi mportingC hinesec ulture and emulatingt he model of T'ang China, then at the height of its political strength.I t was, therefore,t o be expected that the only ad- vanced model availablet o the Japanesew ould be adopted, changed only as was necessaryt o maintaint he political equilibrium. The declared goals of the Taika Reform, which initiated the Ritsuryo system, were ambitious,a nd the most far-reachinga mong them was the policy to change the landholdings ystem. The imperial Kodai I, Nihon zenshi 2 (Tokyo University Press, 1970); Shimabara Reiji, Kodai Nihon shakai no kiso k6oz (Mirai-sha, 1968); Shimizu Mitsuo, Jodai no tochi kankei (Ito Shoten, 1944); Shiozawa Kimio, Kodai sensei kokka no kozo (Ochanomizu Shobo, 1962); Takeuchi Riz6, Jiryo shoen no kenkyi (Unebi Shob6, 1942); Takeuchi Riz6, Nihon hoken-sei seiritsu no kenkyfi (Yoshikawa Kobunkan, 1955); Takeuchi Riz6 and Mori Katsumi, Nihonshi gaisetsu (Hanawa Shob6, 1970); Takigawa Seijir6, Nihon dorei keizaishi (Toko Shoin, 1957); Takigawa Seijiro, Ritsuryo jidai no nomin seikatsu (Tok6 Shoin, 1969); Takigawa Seijir6, Ritsury6 jidai no nomin seikatsu (T6ko Shoin, 1969); Torao Toshiya, Handen Shuijuho no kenkyu (Yoshikawa K6bunkan, 1962); Yagi Atsuru, Ritsuryo kokka seiritsu katei no kenkyu (Hanawa Shob6, 1968); and Yasuda Motohisa, Nihon shoen-shi gaisetsu (Yamakawa Shuppansha, 1957). Also useful are Vols. 2, 3, and 4 of Nihon no rekishi published by Chiuo Koronsha, i.e., Naoki K6jir6, Kodai kokka no seiritsu (1965); Aoki Kazuo, Nara no miyako (1970); and Kitayama Shigeo, Heian-kyo (1970). 5. Uji could be translated into "lineage group" or "family," provided we remain aware of the differences in uji and these possible translations. See Hall, Government and Local Power, pp. 34-44. 6. A succinct discussion elaborating the observations made in this para- graph is found in Nagahara Keiji, Nihon keizai-shi (Yuhikaku, 1970), pp. 24-26. 6 Journal of Japanese Studies government declared that all rice land, both that already under culti- vation and potentially arable land, now belonged to the central govern- ment.7 The rights to cultivate the rice land were granted on the following basis: A free male was granted two tan (about 0.3 acres) at six years of age, an allotment which belonged to him as long as he lived. Free females were allotted two-thirds of the amount given free males (0.2 acres), and male and female slaves were granted two- thirds of the amounts which free males and females received.8 The conditions for receiving and returning the land were the same for slaves and free women as for free males. The people in each house- hold then pooled their land for the purpose of cultivation. Rice land could not be bought or sold, although it was possible with special permission of appropriate government officials to rent land out on an annual basis or exchange it for the convenience of cultivation.9 The law governing these practices was called Handen-shiju-ho, i.e., the Land Allotment Law, and the plot given to each individual under the law was called kubunden, literally, "mouth-share field." To carry out the intent of the law, the government conducted censuses of all households and surveyed all current and potential paddy land. The surveys were carried out using the jori system whereby the land was divided into squares of approximately half-a- mile on each side, and then each side was further divided into six equal widths to create 36 sub-blocks. A sub-block became one cho and equaled ten tan. Land used for residential and upland (non-rice) cultivation did not fall within the province of the law. The only constraint imposed on residential land was that it could not be bought or sold. The use of upland was granted on a once-and-for-all basis with no regard to 7. This did not mean that the state claimed ownership of land, but that the government declared its intention to have administrativec ontrol over and rights to tax the revenues from the land. This view contrasts the view held by Imamiya and Terao, both cited in footnote 4 above, who hold that the land belonged to the government. Questions concerning theoretical ownership are not pursued in this essay as they are not directly relevant to our economic analysis. See Nakata Kaoru, "Ritsury6j idai no tochi shiyuiken,"K okka gakkai zasshi, Vol. 42, (October 1928); Cornelius J. Kiley, "Property and Political Authority in Early Medieval Japan," unpublished Ph.D. thesis, Harvard University, 1970; and Akamatsu Toshihide, Chusei-kodai shakai keizaishi kenkya (Heirakuji Shoten, 1972), pp. 3-19 for a critical review of the views expressed by leading scholars on this subject. 8. Slaves will be discussed in the Appendix. A good source on the origins and legal definition of slaves is Yagi, pp. 274-302. 9. For further details concerning the legal conditions, see Imamiya, pp. 84-85. Yamamura: Ritsuryo System 7 the composition or social status of a household. No mention of the size of upland fields allotted to each household can be found in the extant records other than that the size held by households tended to differ from region to region. Upland could not be traded either, al- though it could be rented out on an annual basis if permission was obtained from appropriate government officials. In regions where the climate permitted, the government either required or encouraged the planting of mulberry and sumac trees on uplands. Given that land could not be freely alienated, neither residential land nor upland can be considered to have been bona fide private property.l0 Regulations pertaining to taxation were much more detailed. Taxes were paid in rice, in kind (mostly in cloth), and in labor (corvee for military service and a variety of other purposes). The tax paid in rice (the tax on kubunden) was two sheaves (tsuka) and two hands (tawari) per tan, that is, 2.2 sheaves. Since the median yield per tan was estimated to have been about 40 sheaves, the tax rate was approximately five per cent of the total yield. For more productive land, some of which yielded as much as 50 sheaves, the tax rate was closer to two to three per cent. Lower taxes were allowed for persons with fields located in hills and valleys or with exceptionally unproductive land. Because tax reductions were allowed for poor land and because the land initially allotted was of better quality than that allotted later, most Japanese scholars assess the average tax burden at the beginning of the Ritsury6 period as about three per cent.'1 The tax in kind was usually paid in cloth, a principal medium of exchange during this period. The annual rate was one j] of course silk per tan and 1.2 j] of coarse cloth per household. Although Japa- nese scholars do not agree on the precise nature of the cloth or the measurements, one can assume that "coarse silk" referred to higher- quality cloth woven from the fiber of paper mulberry trees, and "coarse cloth" referred to lower-quality cloth woven from inferior plant fibers. We also know that one jo equaled ten shaku and one shaku was roughly 30 square centimeters or about 12 square inches.12 Weaving this cloth became the task of women.13 10. The best source on the observations contained in this and the preceding paragraph is lyanaga Teiz6, "Ritsury6-sei-teki tochi-shoyu" in Inoue et al., cited in footnote 4, pp. 33-78. 11. Takigawa, Ritsuryo jidai, pp. 267-269. 12. An excellent source for further discussion of taxes in kind and corvee is Aoki Kazuo, "Ritsuryo zaisei" in Inoue et al., pp. 115-146. 13. Women were not free of corvee. They too were conscripted on an ad 8 Journal of Japanese Studies Corvee,t he heaviest of the tax burdens,w as levied at the rate of 60 days per year on all able-bodiedm ales between 20 and 59 years of age. Corvee labor was assigned to any task the prefectural governors deemed necessary. Ten additional days of corvee were levied, but this could be paid off at the rate of 2.6 shaku of coarse silk per day. No such substitutionw as allowed for the 30 days of corveer equiredf or publicw orks and transportationo f taxes (rice and cloth) to the capital.T he usual corveeb urdeno n males thus addedu p to 100 days annually. Another type of corvee was military service. One out of every three or four able-bodied males was selected for military training which took one month a year for two to three years. Then, upon completion of training, these men were assigneda s eji (soldiers defendingt he capital), sekimori (defenderso f northernK yushu), or soldierst o serve in the campaignso n the northernf ront. In addition, two males per 50 householdsw ere draftedf or an indefinitep eriod of time to work in governmentb ureaus or in some militaryc apacity.14 Elaboratec entrala nd local administrativae pparatusesw ere estab- lished to administert he detailed provisionsc oncerningl andholdings and taxation. Among the numerouso ffices created, the most impor- tant in terms of an economic analysis of the Ritsuryo system were those of kokuji (prefecturalg overnors) and gunji (district magis- trates). The prefecturalg overnors,w ho numbered6 6 by the end of the seventh century,w ere appointedb y the central governmentf or a tenure of six years. The district magistrates,w ho numbered5 92 at the end of the seventh century, were selected by the prefectural governorsa nd served, at least in theory, at the pleasureo f the pre- fectural governors.A lthough a few qualificationse xisted for district magistratest, he prefecturalg overnorsw ere allowed a wide latitudei n selectingt heir subordinates. The Backgroundf or the Erosion of the System From the beginning,t he Ritsuryos ystem as it functionedi n Japan differedf rom what it was supposedt o have been in theory. In order to carry out the Ritsury6 codes to the letter, the powerful uji and potentiallyt roublesomeb ranchf amilies of the imperiall ineage would have had to place all of theirl andholdings( tadokoro) and cultivators hoc basis to serve as ladies-in-waitingo r to perform manual labor required by the government. Hall, Japan, p. 58. 14. The source cited in footnote 12 and the same author's Nara no miyako, pp. 212-229. Yamamura: Ritsuryo System 9 (be) at the disposal of the central government. Few uji leaders would have accepted such a demand and, being fully aware of this fact, the imperial government did not attempt to enforce the Ritsuryo laws strictly. To ensure the support of potential rivals, the throne established an elaborate official ranking system within which uji leaders were accorded high ranks, and the politically stronger among them were also appointed to high positions within the newly created bureaucracy. As both the ranking system and administrative positions carried with them large stipends, given in the form of rice land and of labor to cultivate the land, it was unlikely that any of the major uji leaders or members of the branch families of the imperial lineage suffered any economic loss due to the adoption of the new system. Although there is little historical evidence, it is unlikely that the land and the culti- vators belonging to the major uji leaders were claimed by the throne for purposes of redistribution. Also, for those uji leaders located in regions distant from the capital, i.e., in the regions over which the power of the throne did not reach or to which it extended only weakly, the effect of the Ritsuryo system was only nominal at best and perhaps nil. At this time the imperial forces yet had many campaigns to wage before they could claim even two-thirds of what is present-day Japan.15 For insight into the magnitude of the economic concessions which the throne made to the uji leaders and the members of the branch families of the imperial lineage, let us examine the stipends officially granted for rank and office as codified in 701. The leaders (princes) of the imperial branch families were ranked from first to fourth class according to the theoretical order of the succession to the throne. The 15. While there is historical evidence indicating that much of the land formerly held by the imperial lineage came under the administration of the provincial governors, there is no historical record stating that the land belonging to other leading uji was relinquished to the Ritsuryo government. Surviving evidence shows that the tadokoro of the pre-Taika Reform continued to exist after the Reform. For the historical evidence, see Takeuchi Rizo, ed., Tochi seido-shi, 1 (Yamakawa Shuppansha, 1973), pp. 39-42. Takeuchi, despite the evidence which he presents, argues that the tadokoro were handed over to the Ritsury6 government during the fifty years following the Reform. Not to believe that this was the case, Takeuchi argues, is "to agree with those who believe that no Taika Reform took place," p. 42. There, however, is no reason to equate the relinquishing of the tadokoro with the Taika Reform itself. Furthermore, given what we know of the ascending power of the leading uji within the Ritsury6 system, it is highly unlikely that they gave up their land during the latter half of the seventh century. 10 Journal of Japanese Studies princes of the first class received,b y virtue of their rank, 80 cho of the best quality rice paddy, 800 householdst o cultivatet he paddies, a total of 100 servantsa nd guards,a nd annuals tipendsi n cloth and iron plows. Thought he stipendsd eclineda s rank fell, even a fourth- rankedp rincer eceived4 0 cho of rice paddy, 300 households,a nd 40 servantsa nd guards.I f we remembert hat each free male receivedt wo tan of kubunden,8 0 cho of rice land would have been sufficientt o distributet o 400 males. In addition,a s most householdsw ere extended rather than nuclear, 800 households would have contained at least 5,000 individualsa nd thus severalt housande ffectivec ultivators.N ot only was the land granted tax-exempt, but each of the household membersg iven to the princesr eceivedh is share of kubundena ccord- ing to the establisheds chedule. The head and the leadingm emberso f uji receivedr anks ranging from those carryings tipendso f 80 cho of rice paddy, 300 households (increasedt o 600 in 706), and 100 servantsa nd guards,t o the lower ranks coming with less of each type of stipend.W hile it was possible to obtain the lucrativeh igh rankingsb y passing prescribede xamina- tions, these were in fact held by personsb oastingl ineagesf rom one of the major uji. To assure that the highest ranks were monopolizedb y the major uji, a system known as the on'i (literally, a system of "shadowr anks") was put into effect.H oweveri ncompetenta son or a grandsono f a high-rankingp erson was, he was assuredo f beginning his climb up the bureaucraticla dderf rom a relativelyh igh rank, one which he would have found difficultt o attaini f here were to compete by examinationo r achievementT. ypically,t he son of a man possessing first-ranks tatusw ould begin his climb at the fifth rank and the grand- son of such a man would begin at the sixth rank.S imilarlyt he starting rank of sons and grandsonsw as correspondinglylo wer if their fathers or grandfatherps ossessedr anksb elow the first.16 There also were handsome stipends accompanyingo ffices, al- thougho nly a small minorityo f personsi n the higherr anks and some princes benefited from them. The position of the First Minister (Dajo-Daijin) carrieda stipendo f 40 cho of rice land, 3,000 house- holds, and 300 guardsa nd servants;a nd the positionso f the Ministers of the Right and the Left each carried 30 cho of rice land, 2,000 households,a nd 200 servantsa nd guards.T he stipendsf or the Privy Councillors (Dainagon) were lower, but were still substantialw ith 20 cho of rice land, 800 households,a nd 100 servantsa nd guards.A ll 16. For a table specifying the relationships between the rank held by grandfather,f ather, and son within the on'i system, see Aoki, Nara no miyako, p. 142. Yamamura: RitsuryoS ystem 11 income of princesa nd nobles in the first three ranksw as tax-exempt; in addition, lesser nobles received exemptions from corv6e and a partialr eductioni n other taxes. In brief, the throne'sc oncessionst o the nobles consisted of eco- nomic rewardsi n the forms of various stipends,t ax exemptions,a nd other privilegess uch as the "shadowr ank" system, preferentialc on- siderationi n the grantingo f promotions,a nd even a speciall egal status wherebyn obles received little or no penalty in the event they com- mitteda minorc rime.A nd while it was not mentionedi n the Ritsury6 codes, the rice land grantedt o the princesa nd the nobles was the best the throneh ad to offer. The memberso f the imperiall ineage and the leaders of the major uji undoubtedlyw ere de facto nobles in the pre- Taika period, but they now became de jure nobles whose economic rewardsw ere sanctionedb y the system which they helped to create and maintain. At the other end of the economic and social spectrum,t he life of the kubundenc ultivatorsw as extremelyd ifficult.T his can be shown easily by the following calculation. On the basis of extant census records and other official tax registers, we know that the modal household size was around ten persons. A typical household con- sisted of three adult males, five adult females (adult in this case meaning over six years of age, i.e., entitled to kubunden), and two infants.T he total kubundenr eceivedb y such a householdw ould have been 122/3 tan. The total expected rice yield from this amount of paddy would be 398 sheaves if we assume that superior, medium, inferior,a nd poor rice paddies, respectivelyy ielding 50, 40, 30, and 15 sheaves, were distributedi n the ratio of 1:2:2:2, as stipulatedi n the Ritsuryoc odes. Of the total yield of 398 sheaves, 25.33 sheavesm ust be deducted from the disposablei ncome of the cultivatorsb ecause, accordingt o several extant records,a bout two sheaves were requiredt o seed each tan for the next planting. This left the household with an amount equivalentt o about 18.6 koku of semi-polishedr ice. Since one koku in Ritsuryom easurementw as equivalentt o .404 koku in Tokugawa measurementt, his was roughlye quivalentt o 7.528 Tokugawak oku, or 37.36 bushels. Even if we ignore the three to five per cent tax, this amount was, as Takigawa has shown by using records of the minimumr equiremento n a per diem basis for convicts, conscripted soldiers, and governmento fficials, sufficientt o "keep hunger away from the household for only three-fifths of the year."17 17. For the observationsc ontainedi n this and precedingp aragraphss, ee TakigawaR, itsuryoj idai, pp. 77-80. The quotationi s from p. 79.