【简译】中世纪日本的封建制度

Feudalism in medieval Japan (1185-1603 CE) describes the relationship between lords and vassals where land ownership and its use was exchanged for military service and loyalty. Although present earlier to some degree, the feudal system in Japan was really established from the beginning of the Kamakura Period in the late 12th century CE when shoguns or military dictators replaced the emperor and imperial court as the country's main source of government. The shogunates distributed land to loyal followers and these estates (shoen) were then supervised by officials such as the jito (stewards) and shugo (constables). Unlike in European feudalism, these often-hereditary officials, at least initially, did not own land themselves. However, over time, the jito and shugo, operating far from the central government, gained more and more powers with many of them becoming large landowners (daimyo) in their own right and, with their own private armies, they challenged the authority of the shogunate governments. Feudalism as a nation-wide system thus broke down, even if the lord-vassal relationship did continue after the medieval period in the form of samurai offering their services to estate owners.

          中世纪日本（公元1185-1603年）的封建制度展现了领主与附庸之间的关系，在这种关系中，土地所有权及其使用权是以军事服务和忠诚来交换的。尽管在某种程度上，这种关系早已存在，但日本的封建制度真正确立于公元12世纪末的镰仓时代，当时幕府将军（或军事独裁者）取代天皇和朝廷成为国家的主宰。幕府将土地分配给忠诚的追随者，然后这些庄园（shoen）由诸如管家（jito，字面意思是“土地头”）和警卫（shugo，“（军）知事”、“保护者”或“警官”）等官员监管。与欧洲的封建制度不同，这些官员往往是世袭的。最初，他们并不拥有属于自己的土地；然而，随着时间的推移，远离中央政府的管家和警卫获得了越来越多的权力，他们中的许多人成为大地主（大名，daimyōs），并以自己的私人军队挑战幕府政府的权威。封建制度作为一个全国性的体系因此而瓦解，即使在中世纪之后，领主与附庸的关系确实以武士向庄园主提供服务的形式继续存在。

起 源 与 结 构

Feudalism (hoken seido), that is the arrangement between lords and vassals where the former gave favour or on (e.g. land, titles, or prestigious offices) in exchange for military service (giri) from the latter, began to be widespread in Japan from the beginning of the Kamakura Period (1185-1333 CE). The main instigator was Minamoto no Yoritomo (1147-1199 CE) who had established himself as the military dictator or shogun of Japan in 1192 CE. Replacing the dominance of the Japanese Emperor and the imperial court, the new system saw Yoritomo distribute land (which was often confiscated from defeated rivals) to his loyal followers and allies in return for their military service and continued support. Yoritomo was particularly adept at enticing members of the rival Taira clan to his, the Minamoto cause by offering them land and positions if they agreed to be his vassals in the new order.

          封建制度（hoken seido），即领主和附庸之间的安排，前者给予宠爱或回报（如土地、头衔或职位），以换取后者的军事服务（giri），从镰仓时代（公元1185-1333）开始在日本广泛流行。主要代表者是源赖朝（公元1147-1199年），他在公元1192年成为日本的军事独裁者（或幕府将军）。在新的制度下，源赖朝取代了日本天皇和朝廷的统治地位，将土地（通常是从被打败的对手那里没收的）分配给他忠实的追随者和盟友，以回报他们的军事服务和持续支持。源赖朝特别善于吸引敌对的平氏家族成员加入他和源氏的事业，如果对方同意成为他在新秩序中的附庸，就向他们提供土地和职位。

Unlike in Europe, the feudal system of Japan was less contractually based and a much more personal affair between lords and vassals with a strong paternalistic influence coming from the former, who were often referred to as oya or 'parent.' This 'family' feel was further strengthened by the fact that many lord-vassal relationships were inherited. The system allowed the shogun to have direct control of most of his territory, but the lack of formal institutions of government would be a lasting weakness of the shogunates as personal loyalties were rarely passed on to successive generations.

          与欧洲不同的是，日本的封建制度较少以契约为基础，而是领主和附庸之间的个人事务，前者具有强烈的家长式影响，他们经常被称为"大屋"或"家长"。这种"家庭"的感觉因许多领主与附庸的关系是继承这一事实而得到进一步加强。这种制度让幕府将军能直接控制其大部分领土，但缺乏正式的政府机构则是幕府一个持久性的弱点，因为个人的忠诚度很少传给下一代。

Jito

Some of the loyal followers of the shogun received many estates (shoen), which were often geographically disparate or distant from their traditional family homes, and so, rather than manage them directly themselves, they employed the services of an appointed steward (jito) for that purpose. Jito (and shugo - see below) was not a new position but had been used on a smaller scale in the Heian Period (794-1185 CE) and, appointed by the shogunate government, they became a useful tool for managing land, taxes and produce far from the capital. Here, too, is another difference with European feudalism as stewards never (officially) owned land themselves, that is until the wheels started to come off the feudal system.

          幕府将军的一些忠实追随者得到了许多地产（shoen），这些地产通常在地理上是分散的，或者离他们传统的家庭住宅很远，因此，他们不是自己直接管理这些地产，而是雇用了一个指定的管家（jito）来代管。Jito（和shugo--见下文）并不是一个新的职位，但在平安时代（公元794-1185年）就已经在较小的范围内使用了，他们由幕府政府任命，成为管理远离首都的土地、税收和产品的工具人。这里也是与欧洲封建制度的另一个区别，因为管家自己从未（正式）拥有过土地，也就是说，直到封建制度的车轮开始脱落时也是如此。

Jito literally means 'head of the land', and the position was open to men and women in the early medieval period. Their principal responsibility was to manage the peasants who worked their employer's land and collect the relevant local taxes. The steward was entitled to fees (about 10% of the land's produce) and tenure but was often bound by local customs and also held accountable to such national law codes as the Goseibai Shikimoku (1232 CE). In addition, aggrieved landowners and vassals could, from 1184 CE, turn to the Monchujo (Board of Inquiry) which looked after all legal matters including lawsuits, appeals, and disputes over land rights and loans. In 1249 CE a High Court, the Hikitsukeshu, was formed which was especially concerned with any disputes related to land and taxes.

          Jito的字面意思是 "土地的负责人"，在中世纪早期，这个职位对男性和女性都是开放的。他们的主要职责是管理在其雇主的土地上工作的农民，并收取相关的地方税。管家有权获得费用（约为土地产出的10%）和使用权，但往往受到当地习俗的约束，同时也要对《御成败式目》（公元1232年）等国家法律规范负责。此外，从公元1184年起，受侵害的土地所有者和附庸可以向调查委员会求助，该委员会负责处理所有法律事务，包括诉讼、上诉以及土地权利和贷款方面的纠纷。公元1249年，建立了高级法院Hikitsukeshu，它特别关注与土地和税收有关的任何争端。

Many jito eventually became powerful in their own right, and their descendants became daimyo or influential feudal landowners from the 14th century CE onwards. These daimyo ruled with a large degree of autonomy, even if they did have to follow certain rules laid down by the government such as where to build a castle.

          从公元14世纪起，许多jito最终成为有权势的人，他们的后代成为大名或有影响力的封建地主。这些大名的统治有很大程度的自主权，即使他们必须遵守政府规定的某些规则，如在哪里建造城堡。

Shugo

Another layer of estate managers was the shugo or military governor or constable who had policing and administrative responsibilities in their particular province. In the 14th century CE, there were 57 such provinces and so a shugo was involved in several estates at once, unlike the jito who only had one to worry about one. A shugo, literally meaning 'protector', made decisions according to local customs and military laws and, like the jito, they collected regular taxes in kind for the shogunate government, a portion of which they were entitled to keep for themselves. They were also charged with collecting special taxes (tansen) for one-off events like coronations and temple-building projects and organising labour for state projects like building roads and guesthouses along the routes. Other responsibilities included capturing pirates, punishing traitors, and calling up warriors for use by the state - not only in wartime but also as part of the regular rotation system where provinces supplied guards for the capital Heiankyo (Kyoto).

          庄园管理者的另一个职位是shugo或军事总督或警卫，他们在其特定的省份负有治安和行政责任。公元14世纪，有57个省份，因此，一个shugo同时参与几个庄园的管理，而不像jito那样只负责一个庄园的管理。shugo，字面意思是 "保护者"，根据当地的习俗和军事法律作出决定，并且像jito一样，他们为幕府政府征收定期实物税，其中一部分他们有权为自己保留。他们还负责为加冕仪式和寺庙建设等一次性活动征收特别税，并为国家项目组织劳工，如在沿线修建道路和客栈。其他职责包括抓捕海盗，惩罚叛徒，以及召集战士供国家使用——不仅在战时，而且作为定期轮换制度的一部分，各省为首都平安京（京都）提供守卫。  

Over time the position of shugo became, in effect, one of a regional governor. The shugo became ever more powerful, with taxes being directed into their own pockets and such rights as collecting the tansen often being given to subordinates as a way to create an alternative lord-vassal relationship without any land exchange being involved. The giving out of titles and organising private arrangements with samurai also allowed the shugo to build up their own personal armies. Following the failed Mongol invasions of Japan in 1274 and 1281 CE, shugo were legally obliged to reside in the province which they administered for greater state security, but whether this was always carried out in practice is unclear. By the 14th century CE, the shugo had also assumed the responsibilities of those jito who had not become daimyo, and by the 15th century CE, most shugo inherited the position.

          随着时间的推移，shugo的地位实际上变成了一个地区的总督。Shugo势力变得越来越强大，税收被直接纳入他们自己的口袋，诸如收缴田赋等权利经常交给他们的下属，作为另一种领主-附庸关系的方式，而不涉及任何土地交换。发放爵位和组织与武士的私人安排，也使shugo能够建立自己的私人军队。在公元1274年和1281年蒙古人入侵日本失败后，为了加强国家安全，法律规定shugo必须居住在他们所管理的省份，但在实践中是否是这样做并不清楚。到了公元14世纪，shugo也承担了那些没有成为大名的jito的责任，到了公元15世纪，大多数shugo都继承了这个职位。  

系 统 的 缺 陷

One of the problems for the jito and shugo was that their authority out in the provinces, far from the central government, often relied on the goodwill of the locals, and when the shogunate government was weak - as it often was - samurai warriors and ambitious landowners often ignored demands for taxes or even took matters into their own hands and overturned the established arrangements of lord and vassal to increase their own power and wealth.

          对jito和shugo来说，他们面临的问题之一是其在外省的权力。他们远离中央政府，往往依赖于当地人，而当幕府政府软弱无力时，通常情况下，武士和野心勃勃的地主往往无视税收要求，甚至自作主张，推翻既定的领主和附庸的安排，以增加自己的权力和财富。

An additional weakness in the system was that jito and shugo depended entirely on local sources for their income, not the central government and this meant that they often made entirely self-interested arrangements. Thus, the shogunate itself became a largely irrelevant and invisible institution at a local level. Farmers often made private deals with officials, giving, for example, a small parcel of land in exchange for a delay in payment of taxes or a negotiated percentage in order to pay their expected fees annually. As a consequence, the whole setup of land ownership in Japan became very complex indeed with multiple possible landowners for any stretch of land: private individuals (vassal and non-vassals), government officials, religious institutions, the shogunate, and the Crown.

          这个系统的另一个弱点是，jito和shugo的收入完全依赖于地方，而不是中央政府，这意味着他们经常做出完全有利于自己的安排。因此，幕府本身在地方上成了一个基本不相干的、看不见的机构。农民经常与官员进行私人交易，例如，以一小块土地换取延迟缴税，或以协商的百分比来支付每年的预期费用。因此，日本土地所有权的整个设置确实变得非常复杂，任何一片土地都可能有多个土地所有者：私人（诸侯和非诸侯）、政府官员、宗教机构、幕府和皇室。

Yet another problem was that when jito inherited from their fathers there was often not enough money to make a living if the rights of income had to be distributed amongst several siblings. This situation led to many jito getting into debt as they mortgaged their right of income from a given estate. There were additional weaknesses to the feudal system as time wore on, too, namely the difficulty in finding new land and titles to award vassals in an era of stable government.

          另一个问题是，当jito继承父亲的遗产时，如果收入权必须在几个兄弟姐妹之间分配，他们往往没有足够的钱来维持生计。这种情况导致许多jito负债累累，因为他们把自己从特定遗产中获得的收入权抵押出去了。随着时间的推移，封建制度也有更多的弱点，即在一个政府稳定的时代，很难找到新的土地和所有权来授予诸侯。

In the Sengoku Period or Warring States Period (1467-1568 CE) Japan suffered from constant civil wars between the rival daimyo warlords with their own private armies who knew they could ignore the shugo and other officials of the government which was now impotent to enforce its will in the provinces. Land was also ending up in fewer and fewer hands as the daimyo with most military might swallowed up their smaller rivals. By the Edo Period (1603-1868 CE) there would be a mere 250 daimyo across the whole of Japan. The phenomenon of new rulers overthrowing the established order and of branch families taking the estates of the traditional major clans became known as gekokujo or 'those below overthrowing those above.'

          在战国时期（公元1467-1568年），日本饱受敌对的大名军阀之间不断的内战，他们拥有自己的私人军队，可以无视shugo和政府的其他官员，而政府现在已经无力在各省执行其意志了。随着拥有最强大军事力量的大名吞并他们弱小的对手，土地也越来越少地落入政府手中。到了江户时代（公元1603-1868年），整个日本有250个大名。新的统治者推翻了既定的秩序，分支家族夺取了传统大族的财产，这种现象被称为gekokujo或 "下面的人推翻了上面的人"。

The consequence of this social and administrative upheaval was that Japan was no longer a unified state but had become a patchwork of feudal estates centred around individual castles and fortified mansions as loyalties became highly localised. Villages and small towns, largely abandoned by the government, were obliged to form their own councils (so) and leagues of mutual assistance (ikki). Not until Oda Nobunaga (1534-1582 CE), who defeated his rival warlords in the central part of the archipelago in the 1560s CE, did Japan begin to look like a unified country again.

          这种社会和行政动荡的后果是，日本不再是一个统一的国家，而是变成了一个以个别城堡和坚固的宅邸为中心的封建庄园的组合，因为忠诚度变得高度地方化。村庄和小城镇在很大程度上被政府遗弃，他们不得不组建自己的委员会（so）和互助联盟（ikki）。直到织田信长（公元1534-1582年）在公元1560年击败了群岛中部的敌对军阀，日本才又开始像一个统一的国家。

With the arrival of the much stronger Tokugawa Shogunate (1603-1868 CE) the daimyo were finally put in their place and severe restrictions imposed on them. These included a ban on moving their troops outside of their area and not being able to make political alliances in their own name, build more than one castle, or marry without the shogun's approval. The feudal system did, nevertheless, continue in the guise of samurai swearing loyalty to their particular daimyo up to the Meiji Period (1868-1912 CE), even if there was now a prolonged period of relative peace and military service was less needed than in medieval times.

          随着更强大的德川幕府（公元1603-1868年）的到来，大名们的势力范围终于被固定下来，幕府对他们施加了严格的限制。这些限制包括禁止将他们的军队调出他们的地区，不能以自己的名义结成政治联盟，不能建造一个以上的城堡，也不能在未经幕府将军批准的情况下结婚。尽管如此，封建制度仍然以武士对其特定大名宣誓效忠的名义继续存在，直到明治时期（公元1868-1912年），即使现在有一个长期的相对和平时期，而且与中世纪相比，对军事服务的需求也减少了。

From the 17th century CE, then, the Japanese feudal system was, instead of being a nation-wide pyramid structure of land distribution, largely one of local samurai warriors offering their services to a large estate owner or warlord in exchange for use of land, rice, or cash. It is for this reason that the bushido or samurai warrior code was developed which aimed to ensure samurai remained disciplined and loyal to their employers. Meanwhile, increasing urbanisation as people moved from rural life into the cities with their greater employment opportunities, and the ever-rising number of those involved in trade and commerce meant that the old feudal system was applicable to fewer and fewer people as Japan moved into the modern era.

          从公元17世纪开始，日本的封建制度不再是一个全国性的土地分配的金字塔结构，而主要是由当地武士向大庄园主或军阀提供服务，以换取土地、大米或现金的使用。正是这个原因，武士道或武士守则得以发展，其目的是确保武士纪律和对其雇主的忠诚。同时，随着人们从农村生活转移到就业机会更多的城市，城市化程度不断提高，参与贸易和商业的人数不断增加，这意味着随着日本进入近现代，旧的封建制度逐渐消逝。

参考书目：

Beasley, W.G. The Japanese Experience. University of California Press, 2000.

Deal, W.E. Handbook To Life In Medieval And Early Modern Japan. Facts on File, 2005.

Ebrey, P.B. Pre-Modern East Asia. Cengage Learning, 2013.

Henshall, K. Historical Dictionary of Japan to 1945. Scarecrow Press, 2013.

Huffman, J.L. Japan in World History. Oxford University Press, 2010.

Mason, R.H.P. A History of Japan. Tuttle Publishing, 1997.

Sansom, G. A History of Japan to 1334. Stanford University Press, 1958.

Yamamura, K. (ed). The Cambridge History of Japan, Vol. 3. Cambridge University Press, 2001.

原文作者：Mark Cartwright

          驻意大利的历史作家。他的主要兴趣包括陶瓷、建筑、世界神话和发现所有文明的共同思想。他拥有政治哲学硕士学位，是《世界历史百科全书》的出版总监。

原文网址：

https://www.worldhistory.org/article/1438/feudalism-in-medieval-japan/