[Excerpted from Japan: A Country Study. Ronald E. Dolan and Robert L. Worden, eds. Washington, DC: Federal Research Division of the Library of Congress, 1994]

Chapter 1. Historical Setting

"NOTHING SIMILAR MAY be found in foreign lands," wrote Kitabatake Chikafusa when he described Japan in his fourteenth century Jinno sh t ki (Chronicle of the Direct Descent of the Divine Sovereigns). Although Japan's culture developed late in Asian terms and was much influenced by China and later the West, its history, like its art and literature, is special among world civilizations. As some scholars have argued, these outside influences may have "corrupted" Japanese traditions, yet once absorbed they also enriched and strengthened the nation, forming part of a vibrant and unique culture.

Early in Japan's history, society was controlled by a ruling elite of powerful clans. The most powerful emerged as a kingly line and later as the imperial family in Yamato (modern Nara Prefecture or possibly in northern Kyushu) in the third century A.D., claiming descent from the gods who created Japan. An imperial court and government, shaped by Chinese political and social institutions, was established. Often, powerful court families effected a hereditary regency, having established control over the emperor. The highly developed culture attained between the eighth and the twelfth centuries was followed by a long period of anarchy and civil war, and a feudal society developed in which military overlords ran the government on behalf of the emperor, his court, and the regent. Although the Yamato court continued control of the throne, in practice a succession of dynastic military regimes ruled the now-decentralized country. In the late sixteenth century, Japan began a process of reunification followed by a period of great stability and peace, in which contact with the outside world was limited and tightly controlled by the government.

Confronted by the West--inopportunely during the economically troubled late eighteenth and early nineteenth centuries--Japan emerged gradually as a modern, industrial power, exhibiting some democratic institutions by the end of World War I. Beginning in the mid-nineteenth century, phenomenal social upheaval, accompanied by political, military, and economic successes, led to an overabundance of nationalist pride and extremist solutions, and to even faster modernization. Representative government was finally replaced by increasingly authoritarian regimes, which propelled Japan into World War II. After the cataclysm of nuclear war, Japan rebuilt itself based on a new and earnest desire for peaceful development, becoming an economic superpower in the second half of the twentieth century.


Mythological Origins

The literature of Shinto employs much mythology to describe the supposed historical origins of Japan. According to the creation story found in the Kojiki (Record of Ancient Matters, dating from A.D. 712) and the Nihongi or Nihon shoki (Chronicle of Japan, from A.D. 720), the Japanese islands were created by the gods, two of whom--the male Izanagi and the female Izanami--descended from heaven to carry out the task. They also brought into being other kami (deities or supernatural forces), such as those influencing the sea, rivers, wind, woods, and mountains. Two of these deities, the Sun Goddess, Amaterasu Omikami, and her brother, the Storm God, Susano-o, warred against each other, with Amaterasu emerging victorious.

Subsequently Amaterasu sent her grandson, Ninigi, to rule over the sacred islands. Ninigi took with him what became the three imperial regalia--a curved jewel (magatama), a mirror, and a "sword of gathered clouds"--and ruled over the island of Kyushu. Ninigi's great-grandson, Jimmu, recognized as the first human emperor of Japan, set out to conquer Yamato. On the main island of Honshu, according to tradition he established the unbroken line of imperial descent from the Sun Goddess and founded the Land of the Rising Sun in 660 B.C.

Ancient Cultures

On the basis of archaeological finds, it has been postulated that hominid activity in Japan may date as early as 200,000 B.C., when the islands were connected to the Asian mainland. Although some scholars doubt this early date for habitation, most agree that by around 40,000 B.C. glaciation had reconnected the islands with the mainland. Based on archaeological evidence, they also agree that by between 35,000 and 30,000 B.C. Homo sapiens had migrated to the islands from eastern and southeastern Asia and had well-established patterns of hunting and gathering and stone toolmaking . Stone tools, inhabitation sites, and human fossils from this period have been found throughout all the islands of Japan.

More stable living patterns gave rise by around 10,000 B.C. to a Neolithic or, as some scholars argue, Mesolithic culture. Possibly distant ancestors of the Ainu aboriginal people of modern Japan, members of the heterogeneous Jomon culture (ca. 10,000-300 B.C.) left the clearest archaeological record. By 3,000 B.C., the Jomon people were making clay figures and vessels decorated with patterns made by impressing the wet clay with braided or unbraided cord and sticks (jomon means "patterns of plaited cord") with a growing sophistication. These people also used chipped stone tools, traps, and bows and were hunters, gatherers, and skillful coastal and deep-water fishermen. They practiced a rudimentary form of agriculture and lived in caves and later in groups of either temporary shallow pit dwellings or above-ground houses, leaving rich kitchen middens for modern anthropological study.

By the late Jomon period, a dramatic shift had taken place according to archaeological studies. Incipient cultivation had evolved into sophisticated rice-paddy farming and government control. Many other elements of Japanese culture also may date from this period and reflect a mingled migration from the northern Asian continent and the southern Pacific areas. Among these elements are Shinto mythology, marriage customs, architectural styles, and technological developments, such as lacquerware, textiles, metalworking, and glass making.

The next cultural period, the Yayoi (named after the section of Tokyo where archaeological investigations uncovered its traces) flourished between about 300 B.C. and A.D. 250 from southern Kyushu to northern Honshu. The earliest of these people, who are thought to have migrated from Korea to northern Kyushu and intermixed with the Jomon, also used chipped stone tools. Although the pottery of the Yayoi was more technologically advanced--produced on a potter's wheel--it was more simply decorated than Jomon ware. The Yayoi made bronze ceremonial nonfunctional bells, mirrors, and weapons and, by the first century A.D., iron agricultural tools and weapons. As the population increased and society became more complex, they wove cloth, lived in permanent farming villages, constructed buildings of wood and stone, accumulated wealth through landownership and the storage of grain, and developed distinct social classes. Their irrigated, wet-rice culture was similar to that of central and south China, requiring heavy inputs of human labor, which led to the development and eventual growth of a highly sedentary, agrarian society. Unlike China, which had to undertake massive public works and water-control projects, leading to a highly centralized government, Japan had abundant water. In Japan, then, local political and social developments were relatively more important than the activities of the central authority and a stratified society.

The earliest written records about Japan are from Chinese sources from this period. Wa (the Japanese pronunciation of an early Chinese name for Japan) was first mentioned in A.D. 57. Early Chinese historians described Wa as a land of hundreds of scattered tribal communities, not the unified land with a 700-year tradition as laid out in the Nihongi, which puts the foundation of Japan at 660 B.C. Third-century Chinese sources reported that the Wa people lived on raw vegetables, rice, and fish served on bamboo and wooden trays, had vassal-master relations, collected taxes, had provincial granaries and markets, clapped their hands in worship (something still done in Shinto shrines), had violent succession struggles, built earthen grave mounds, and observed mourning. Himiko, a female ruler of an early political federation known as Yamatai, flourished during the third century. While Himiko reigned as spiritual leader, her younger brother carried out affairs of state, which included diplomatic relations with the court of the Chinese Wei Dynasty (A.D. 220-65).


The Kofun period (ca. A.D. 250-ca. 600) takes its name, which means old tomb (kofun) from the culture's rich funerary rituals and distinctive earthen mounds. The mounds contained large stone burial chambers, many of which were shaped like keyholes and some of which were surrounded by moats. By the late Kofun period, the distinctive burial chambers, originally used by the ruling elite, also were built for commoners.

During the Kofun period, a highly aristocratic society with militaristic rulers developed. Its horse-riding warriors wore armor, carried swords and other weapons, and used advanced military methods like those of Northeast Asia. Evidence of these advances is seen in funerary figures (called haniwa; literally, clay rings), found in thousands of kofun scattered throughout Japan. The most important of the haniwa were found in southern Honshu--especially the Kinai Region around Nara--and northern Kyushu. Haniwa grave offerings were made in numerous forms, such as horses, chickens, birds, fans, fish, houses, weapons, shields, sunshades, pillows, and male and female humans. Another funerary piece, the magatama, became one of the symbols of the power of the imperial house.

The Kofun period was a critical stage in Japan's evolution toward a more cohesive and recognized state. This society was most developed in the Kinai Region and the easternmost part of the Inland Sea (Seto Naikai), and its armies established a foothold on the southern tip of Korea. Japan's rulers of the time even petitioned the Chinese court for confirmation of royal titles; the Chinese, in turn, recognized Japanese military control over parts of the Korean Peninsula.

The Yamato polity, which emerged by the late fifth century, was distinguished by powerful great clans or extended families, including their dependents. Each clan was headed by a patriarch who performed sacred rites to the clan's kami to ensure the long-term welfare of the clan. Clan members were the aristocracy, and the kingly line that controlled the Yamato court was at its pinnacle.

More exchange occurred between Japan and the continent of Asia late in the Kofun period. Buddhism was introduced from Korea, probably in A.D. 538, exposing Japan to a new body of religious doctrine. The Soga, a Japanese court family that rose to prominence with the accession of the Emperor Kimmei about A.D. 531, favored the adoption of Buddhism and of governmental and cultural models based on Chinese Confucianism. But some at the Yamato court--such as the Nakatomi family, which was responsible for performing Shinto rituals at court, and the Mononobe, a military clan--were set on maintaining their prerogatives and resisted the alien religious influence of Buddhism. The Soga introduced Chinese-modeled fiscal policies, established the first national treasury, and considered the Korean Peninsula a trade route rather than an object of territorial expansion. Acrimony continued between the Soga and the Nakatomi and Mononobe clans for more than a century, during which the Soga temporarily emerged ascendant.

The Kofun period is seen as ending by around A.D. 600, when the use of elaborate kofun by the Yamato and other elite fell out of use because of prevailing new Buddhist beliefs, which put greater emphasis on the transience of human life. Commoners and the elite in outlying regions, however, continued to use kofun until the late seventh century, and simpler but distinctive tombs continued in use throughout the following period.

The Yamato state evolved still further during the Asuka period, which is named after the Asuka region, south of modern Nara, the site of numerous temporary imperial capitals established during the period. The Asuka period is known for its significant artistic, social, and political transformations, which had their origins in the late Kofun period.

The Yamato court, concentrated in the Asuka region, exercised power over clans in Kyushu and Honshu, bestowing titles, some hereditary, on clan chieftains. The Yamato name became synonymous with all of Japan as the Yamato rulers suppressed the clans and acquired agricultural lands. Based on Chinese models (including the adoption of the Chinese written language), they developed a central administration and an imperial court attended by subordinate clan chieftains but with no permanent capital. By the mid-seventh century, the agricultural lands had grown to a substantial public domain, subject to central policy. The basic administrative unit was the county, and society was organized into occupation groups. Most people were farmers; other were fishers, weavers, potters, artisans, armorers, and ritual specialists.

The Soga had intermarried with the imperial family, and by A.D. 587 Soga Umako, the Soga chieftain, was powerful enough to install his nephew as emperor and later to assassinate him and replace him with the Empress Suiko (r. A.D. 593-628). Suiko, the first of eight sovereign empresses, was merely a figurehead for Umako and Prince Regent Shotoku Taishi (A.D. 574-622). Shotoku, recognized as a great intellectual of this period of reform, was a devout Buddhist, well read in Chinese literature. He was influenced by Confucian principles, including the Mandate of Heaven, which suggested that the sovereign ruled at the will of a supreme force. Under Shotoku's direction, Confucian models of rank and etiquette were adopted, and his Seventeen Article Constitution (Kenpo jushichiju) prescribed ways to bring harmony to a society chaotic in Confucian terms. In addition, Shotoku adopted the Chinese calendar, developed a system of highways, built numerous Buddhist temples, had court chronicles compiled, sent students to China to study Buddhism and Confucianism, and established formal diplomatic relations with China.

Numerous official missions of envoys, priests, and students were sent to China in the seventh century. Some remained twenty years or more; many of those who returned became prominent reformers. In a move greatly resented by the Chinese, Shotoku sought equality with the Chinese emperor by sending official correspondence addressed "From the Son of Heaven in the Land of the Rising Sun to the Son of Heaven of the Land of the Setting Sun." Shotoku's bold step set a precedent: Japan never again accepted a subordinate status in its relations with China. Although the missions continued the transformation of Japan through Chinese influences, the Korean influence on Japan declined despite the close connections that had existed during the early Kofun period.

About twenty years after the deaths of Shotoku (in A.D. 622), Soga Umako (in A.D. 626), and Empress Suiko (in A.D. 628), court intrigues over succession and the threat of a Chinese invasion led to a palace coup against the Soga oppression in A.D. 645. The revolt was led by Prince Naka and Nakatomi Kamatari, who seized control of the court from the Soga family and introduced the Taika Reform.

Although it did not constitute a legal code, the Taika Reform (Taika means great change) mandated a series of reforms that established the ritsuryo system of social, fiscal, and administrative mechanisms of the seventh to tenth centuries. Ritsu was a code of penal laws, while ry was an administrative code. Combined, the two terms came to describe a system of patrimonial rule based on an elaborate legal code that emerged from the Taika Reform.

The Taika Reform, influenced by Chinese practices, started with land redistribution, aimed at ending the existing landholding system of the great clans and their control over domains and occupational groups. What were once called "private lands and private people" became "public lands and public people," as the court now sought to assert its control over all of Japan and to make the people direct subjects of the throne. Land was no longer hereditary but reverted to the state at the death of the owner. Taxes were levied on harvests and on silk, cotton, cloth, thread, and other products. A corvée (labor) tax was established for military conscription and building public works. The hereditary titles of clan chieftains were abolished, and three ministries were established to advise the throne (the minister of the left, the minister of the right, and the minister of the center, or the chancellor). The country was divided into provinces headed by governors appointed by the court, and the provinces were further divided into districts and villages.

Naka assumed the position of minister of the center, and Kamatari was granted a new family name--Fujiwara--in recognition of his great service to the imperial family. Fujiwara Kamatari became the first in a long line of court aristocrats. Another, long- lasting change was the use of the name Nihon, or sometimes Dai Nippon (Great Japan) in diplomatic documents and chronicles. Following the reigns of Naka's uncle and mother, Naka assumed the throne as Emperor Tenji in 662, taking the additional title tenno (heavenly sovereign). This new title was intended to improve the Yamato clan's image and to emphasize the divine origins of the imperial family in the hope of keeping it above political frays, such as those precipitated by the Soga clan. Within the imperial family, however, power struggles continued as the emperor's brother and son vied for the throne. The brother, who later reigned as Emperor Temmu, consolidated Tenji's reforms and state power in the imperial court.

The ritsuryo system was codified in several stages. The mi Code, named after the provincial site of Emperor Tenji's court, was completed in about A.D. 668. Further codification took place with the promulgation by Empress Jito in 689 of the Asuka- Kiyomihara Code, named for the location of the late Emperor Temmu's court. The ritsuryo system was further consolidated and codified in 701 under the Taiho Ritsuryo (Great Treasure Code or Taiho Code), which, except for a few modifications and being relegated to primarily ceremonial functions, remained in force until 1868. The Taiho Code provided for Confucian-model penal provisions (light rather than harsh punishments) and Chinese-style central administration through the Department of Rites, which was devoted to Shinto and court rituals, and the Department of State, with its eight ministries (for central administration, ceremonies, civil affairs, the imperial household, justice, military affairs, people's affairs, and the treasury). A Chinese-style civil service examination system based on the Confucian classics was also adopted. Tradition circumvented the system, however, as aristocratic birth continued to be the main qualification for higher position. The Taiho Code did not address the selection of the sovereign. Several empresses reigned from the fifth to the eighth centuries, but after 770 succession was restricted to males, usually from father to son, although sometimes from ruler to brother or uncle.


Economic, Social, and Administrative Developments

Before the Taiho Code was established, the capital was customarily moved after the death of an emperor because of the ancient belief that a place of death was polluted. Reforms and bureaucratization of government led to the establishment of a permanent imperial capital at Heijokyo, or Nara, in A.D. 710. The capital at Nara, which gave its name to the new period (710-94), was styled after the grand Chinese Tang Dynasty (618-907) capital at Chang'an and was the first truly urban center in Japan. It soon had a population of 200,000, representing nearly 4 percent of the country's population, and some 10,000 people worked in government jobs.

Economic and administrative activity increased during the Nara period. Roads linked Nara to provincial capitals, and taxes were collected more efficiently and routinely. Coins were minted, if not widely used. Outside the Nara area, however, there was little commercial activity, and in the provinces the old Shotoku land reform systems declined. By the mid-eighth century, shoen (landed estates), one of the most important economic institutions in medieval Japan, began to rise as a result of the search for a more manageable form of landholding. Local administration gradually became more self-sufficient, while the breakdown of the old land distribution system and the rise of taxes led to the loss or abandonment of land by many people who became the "wave people," or ronin . Some of these formerly "public people" were privately employed by large landholders, and "public lands" increasingly reverted to the shoen.

Factional fighting at the imperial court continued throughout the Nara period. Imperial family members, leading court families, such as the Fujiwara, and Buddhist priests all contended for influence. In the late Nara period, financial burdens on the state increased, and the court began dismissing nonessential officials. In 792 universal conscription was abandoned, and district heads were allowed to establish private militia forces for local police work. Decentralization of authority became the rule despite the reforms of the Nara period. Eventually, to return control to imperial hands, the capital was moved in 784 to Nagaoka and in 794 to Heiankyo (Capital of Peace and Tranquillity), or Heian, about twenty-six kilometers north of Nara. By the late eleventh century, the city was popularly called Kyoto (Capital City), the name it has had every since.

Cultural Developments and the Establishment of Buddhism

Some of Japan's literary monuments were written during the Nara period, including the Kojiki and Nihongi, the first national histories compiled in 712 and 720, respectively; the Man'yoshu (Collection of Ten Thousand Leaves), an anthology of poems; and the Kaifuso (Fond Recollections of Poetry), an anthology written in Chinese by Japanese emperors and princes. Another major cultural development of the era was the permanent establishment of Buddhism in Japan. Buddhism had been introduced in the sixth century but had a mixed reception until the Nara period, when it was heartily embraced by Emperor Shomu. Shomu and his Fujiwara consort were fervent Buddhists and actively promoted the spread of Buddhism, making it the "guardian of the state" and strengthening Japanese institutions through still further Chinese acculturation. During Shomu's reign, the Todaiji (Great East Temple) was built, and within it was placed the Buddha Dainichi (Great Sun Buddha), a sixteen-meter-high, gilt-bronze statue. This Buddha was identified with the Sun Goddess, and from this point on, a gradual syncretism of Buddhism and Shinto ensued. Shomu declared himself the "Servant of the Three Treasures" of Buddhism: the Buddha, the law or teachings of Buddhism, and the Buddhist community.

Although these efforts stopped short of making Buddhism the state religion, Nara Buddhism heightened the status of the imperial family. Buddhist influence at court increased under the two reigns of Shomu's daughter. As Empress Koken (r. 749-58) she brought many Buddhist priests into court. Koken abdicated in 758 on the advice of her cousin, Fujiwara Nakamaro. When the retired empress came to favor a Buddhist faith healer named Dokyo, Nakamaro rose up in arms in 764 but was quickly crushed. Koken charged the ruling emperor with colluding with Nakamaro and had him deposed. Koken reascended the throne as Empress Shotoku (r. 764-770). The empress commissioned the printing of 1 million prayer charms--the Hyakumanto dharani--many examples of which survive. The small scrolls, dating from 770, are among the earliest printed works in the world. Shotoku had the charms printed to placate the Buddhist clergy. She may even have wanted to make Dokyo emperor, but she died before she could act. Her actions shocked Nara society and led to the exclusion of women from imperial succession and the removal of Buddhist priests from positions of political authority.

Despite such machinations, Buddhism began to spread throughout Japan during the ensuing Heian period (794-1185), primarily through two major esoteric sects, Tendai (Heavenly Terrace) and Shingon (True Word). Tendai originated in China and is based on the Lotus Sutra, one of the most important sutras of Mahayana Buddhism. Shingon is an indigenous sect with close affiliations to original Indian, Tibetan, and Chinese Buddhist thought founded by Kukai (also called Kobo Daishi). Kukai greatly impressed the emperors who succeeded Emperor Kammu (782-806), and also generations of Japanese, not only with his holiness but also with his poetry, calligraphy, painting, and sculpture. Kammu himself was a notable patron of the otherworldly Tendai sect, which rose to great power over the ensuing centuries. A close relationship developed between the Tendai monastery complex on Mount Hiei and the imperial court in its new capital at the foot of the mountain. As a result, Tendai emphasized great reverence for the emperor and the nation.

The Fujiwara Regency

When Kammu moved the capital to Heian (Kyoto), which remained the imperial capital for the next 1,000 years, he did so not only to strengthen imperial authority but also to improve his seat of government geopolitically. Kyoto had good river access to the sea and could be reached by land routes from the eastern provinces. The early Heian period (794-967) continued Nara culture; the Heian capital was patterned on the Chinese capital at Chang'an, as was Nara, but on a larger scale. Despite the decline of the Taika-Taih reforms, imperial government was vigorous during the early Heian period. Indeed, Kammu's avoidance of drastic reform decreased the intensity of political struggles, and he became recognized as one of Japan's most forceful emperors.

Although Kammu had abandoned universal conscription in 792, he still waged major military offensives to subjugate the Emishi, possible descendants of the displaced Jomon, living in northern and eastern Japan. After making temporary gains in 794, in 797 Kammu appointed a new commander under the title seii taishogun (barbarian-subduing generalissimo; often referred to as shogun). By 801 the shogun had defeated the Emishi and had extended the imperial domains to the eastern end of Honshu. Imperial control over the provinces was tenuous at best, however. In the ninth and tenth centuries, much authority was lost to the great families, who disregarded the Chinese-style land and tax systems imposed by the government in Kyoto. Stability came to Heian Japan, but, even though succession was ensured for the imperial family through heredity, power again concentrated in the hands of one noble family, the Fujiwara.

Following Kammu's death in 806 and a succession struggle among his sons, two new offices were established in an effort to adjust the Taika-Taiho administrative structure. Through the new Emperor's Private Office, the emperor could issue administrative edicts more directly and with more self-assurance than before. The new Metropolitan Police Board replaced the largely ceremonial imperial guard units. While these two offices strengthened the emperor's position temporarily, soon they and other Chinese-style structures were bypassed in the developing state. Chinese influence effectively ended with the last imperial-sanctioned mission to China in 838. Tang China was in a state of decline, and Chinese Buddhists were severely persecuted, undermining Japanese respect for Chinese institutions. Japan began to turn inward.

As the Soga had taken control of the throne in the sixth century, the Fujiwara by the ninth century had intermarried with the imperial family, and one of their members was the first head of the Emperor's Private Office. Another Fujiwara became regent for his grandson, then a minor emperor, and yet another was appointed kanpaku (regent for an adult emperor). Toward the end of the ninth century, several emperors tried, but failed, to check the Fujiwara. For a time, however, during the reign of Emperor Daigo (897-930), the Fujiwara regency was suspended as he ruled directly.

Nevertheless, the Fujiwara were not demoted by Daigo but actually became stronger during his reign. Central control of Japan had continued to decline, and the Fujiwara, along with other great families and religious foundations, acquired ever larger shoen and greater wealth during the early tenth century. By the early Heian period, the shoen had obtained legal status, and the large religious establishments sought clear titles in perpetuity, waiver of taxes, and immunity from government inspection of the shoen they held. Those people who worked the land found it advantageous to transfer title to shoen holders in return for a share of the harvest. People and lands were increasingly beyond central control and taxation, a de facto return to conditions before the Taika Reform.

Within decades of Daigo's death, the Fujiwara had absolute control over the court. By the year 1000, Fujiwara Michinaga was able to enthrone and dethrone emperors at will. Little authority was left for traditional officialdom, and government affairs were handled through the Fujiwara family's private administration. The Fujiwara had become what historian George B. Sansom has called "hereditary dictators."

Despite their usurpation of imperial authority, the Fujiwara presided over a period of cultural and artistic flowering at the imperial court and among the aristocracy. There was great interest in graceful poetry and vernacular literature. Japanese writing had long depended on Chinese ideograms (kanji), but these were now supplemented by kana, two types of phonetic Japanese script: katakana, a mnemonic device using parts of Chinese ideograms; and hiragana, a cursive form of katakana writing and an art form in itself. Hiragana gave written expression to the spoken word and, with it, to the rise in Japan's famous vernacular literature, much of it written by court women who had not been trained in Chinese as had their male counterparts. Three late tenth-century and early eleventh-century women presented their views of life and romance at the Heian court in Kagero nikki (The Gossamer Years) by "the mother of Michitsuna," Makura no soshi (The Pillow Book) by Sei Shonagon, and Genji monogatari (Tale of Genji)--the world's first novel--by Murasaki Shikibu. Indigenous art also flourished under the Fujiwara after centuries of imitating Chinese forms. Vividly colored yamato-e (Japanese style) paintings of court life and stories about temples and shrines became common in the mid- and late Heian periods, setting patterns for Japanese art to this day.

As culture flourished, so did decentralization. Whereas the first phase of shoen development in the early Heian period had seen the opening of new lands and the granting of the use of lands to aristocrats and religious institutions, the second phase saw the growth of patrimonial "house governments," as in the old clan system. (In fact, the form of the old clan system had remained largely intact within the great old centralized government.) New institutions were now needed in the face of social, economic, and political changes. The Taiho Code lapsed, its institutions relegated to ceremonial functions. Family administrations now became public institutions. As the most powerful family, the Fujiwara governed Japan and determined the general affairs of state, such as succession to the throne. Family and state affairs were thoroughly intermixed, a pattern followed among other families, monasteries, and even the imperial family. Land management became the primary occupation of the aristocracy, not so much because direct control by the imperial family or central government had declined but more from strong family solidarity and a lack of a sense of Japan as a single nation.

The Rise of the Military Class

Under the early courts, when military conscription had been centrally controlled, military affairs had been taken out of the hands of the provincial aristocracy. But as the system broke down after 792, local power holders again became the primary source of military strength. Shoen holders had access to manpower and, as they obtained improved military technology (such as new training methods, more powerful bows, armor, horses, and superior swords) and faced worsening local conditions in the ninth century, military service became part of shoen life. Not only the shoen but also civil and religious institutions formed private guard units to protect themselves. Gradually, the provincial upper class was transformed into a new military elite based on the ideals of the bushi (warrior) or samurai.

Bushi interests were diverse, cutting across old power structures to form new associations in the tenth century. Mutual interests, family connections, and kinship were consolidated in military groups that became part of family administration. In time, large regional military families formed around members of the court aristocracy who had become prominent provincial figures. These military families gained prestige from connections to the imperial court and court-granted military titles and access to manpower. The Fujiwara, Taira, and Minamoto were among the most prominent families supported by the new military class.

Decline in food production, growth of the population, and competition for resources among the great families all led to the gradual decline of Fujiwara power and gave rise to military disturbances in the mid-tenth and eleventh centuries. Members of the Fujiwara, Taira, and Minamoto families--all of whom had descended from the imperial family--attacked one another, claimed control over vast tracts of conquered land, set up rival regimes, and generally broke the peace of the Land of the Rising Sun.

The Fujiwara controlled the throne until the reign of Emperor Go-Sanjo (1068-73), the first emperor not born of a Fujiwara mother since the ninth century. Go-Sanjo, determined to restore imperial control through strong personal rule, implemented reforms to curb Fujiwara influence. He also established an office to compile and validate estate records with the aim of reasserting central control. Many shoen were not properly certified, and large landholders, like the Fujiwara, felt threatened with the loss of their lands. Go-Sanjo also established the Incho, or Office of the Cloistered Emperor, which was held by a succession of emperors who abdicated to devote themselves to behind-the-scenes governance, or insei (cloistered government).

The Incho filled the void left by the decline of Fujiwara power. Rather than being banished, the Fujiwara were mostly retained in their old positions of civil dictator and minister of the center while being bypassed in decision making. In time, many of the Fujiwara were replaced, mostly by members of the rising Minamoto family. While the Fujiwara fell into disputes among themselves and formed northern and southern factions, the insei system allowed the paternal line of the imperial family to gain influence over the throne. The period from 1086 to 1156 was the age of supremacy of the Incho and of the rise of the military class throughout the country. Military might rather than civil authority dominated the government.

A struggle for succession in the mid-twelfth century gave the Fujiwara an opportunity to regain their former power. Fujiwara Yorinaga sided with the retired emperor in a violent battle in 1158 against the heir apparent, who was supported by the Taira and Minamoto. In the end, the Fujiwara were destroyed, the old system of government supplanted, and the insei system left powerless as bushi took control of court affairs, marking a turning point in Japanese history. Within a year, the Taira and Minamoto clashed, and a twenty-year period of Taira ascendancy began. The Taira were seduced by court life and ignored problems in the provinces. Finally, Minamoto Yoritomo (1147-99) rose from his headquarters at Kamakura (in the Kanto region, southwest of modern Tokyo) to defeat the Taira, and with them the child emperor they controlled, in the Genpei War (1180-85).


The Bakufu and the Hojo Regency

The Kamakura period (1185-1333) marks the transition to the Japanese "medieval" era, a nearly 700-year period in which the emperor, the court, and the traditional central government were left intact but were largely relegated to ceremonial functions. Civil, military, and judicial matters were controlled by the bushi class, the most powerful of whom was the de facto national ruler. The term feudalism is generally used to describe this period, being accepted by scholars as applicable to medieval Japan as well as to medieval Europe. Both had land-based economies, vestiges of a previously centralized state, and a concentration of advanced military technologies in the hands of a specialized fighting class. Lords required the loyal services of vassals, who were rewarded with fiefs of their own. The fief holders exercised local military rule and public power related to the holding of land. This period in Japan differed from the old shoen system in its pervasive military emphasis.

Once Minamoto Yoritomo had consolidated his power, he established a new government at his family home in Kamakura. He called his government a bakufu (tent government), but because he was given the title seii taishogun by the emperor, the government is often referred to in Western literature as the shogunate. Yoritomo followed the Fujiwara form of house government and had an administrative board, a board of retainers, and a board of inquiry. After confiscating Taira estates in central and western Japan, he had the imperial court appoint stewards for the estates and constables for the provinces. As shogun, Yoritomo was both the steward and the constable general. The Kamakura bakufu was not a national regime, however, and although it controlled large tracts of land, there was strong resistance to the stewards. The regime continued warfare against the Fujiwara in the north, but never brought either the north or the west under complete military control. The old court resided in Kyoto, continuing to hold the land over which it had jurisdiction, while newly organized military families were attracted to Kamakura.

Despite a strong beginning, Yoritomo failed to consolidate the leadership of his family on a lasting basis. Intrafamily contention had long existed within the Minamoto, although Yoritomo had eliminated most serious challengers to his authority. When he died suddenly in 1199, his son Yoriie became shogun and nominal head of the Minamoto, but Yoriie was unable to control the other eastern bushi families. By the early thirteenth century, a regency had been established for the shogun by his maternal grandparents-- members of the Hojo family, a branch of the Taira that had allied itself with the Minamoto in 1180. Under the Hojo, the bakufu became powerless, and the shogun, often a member of the Fujiwara family or even an imperial prince, was merely a figurehead.

With the protector of the emperor a figurehead himself, strains emerged between Kyoto and Kamakura, and in 1221 a war--the Jokyu Incident--broke out between the cloistered emperor and the H j regent. The Hojo forces easily won the war, and the imperial court was brought under direct bakufu control. The shogun's constables gained greater civil powers, and the court was obliged to seek Kamakura's approval for all of its actions. Although deprived of political power, the court was allowed to retain extensive estates with which to sustain the imperial splendor the bakufu needed to help sanction its rule.

Several significant administrative achievements were made during the Hojo regency. In 1225 the Council of State was established, providing opportunities for other military lords to exercise judicial and legislative authority at Kamakura. The Hojo regent presided over the council, which was a successful form of collective leadership. The adoption of Japan's first military code of law--the Joei Code--in 1232 reflected the profound transition from court to militarized society. While legal practices in Kyoto were still based on 500-year-old Confucian principles, the Joei Code was a highly legalistic document that stressed the duties of stewards and constables, provided means for settling land disputes, and established rules governing inheritances. It was clear and concise, stipulated punishments for violators of its conditions, and remained in effect for the next 635 years.

As might be expected, the literature of the time reflected the unsettled nature of the period. The Hojoki (An Account of My Hut) describes the turmoil of the period in terms of the Buddhist concepts of impermanence and the vanity of human projects. The Heike monogatari (Tale of the Heike) narrated the rise and fall of the Taira (also known as the Heike), replete with tales of wars and samurai deeds. A second literary mainstream was the continuation of anthologies of poetry in the Shin kokinshu wakashu (New Collection of Ancient and Modern Times), of which twenty volumes were produced between 1201 and 1205.

The Flourishing of Buddhism

In the time of disunity and violence, deepening pessimism increased the appeal of the search for salvation. Kamakura was the age of the great popularization of Buddhism. Two new sects, Jodo (Pure Land) and Zen (Meditation), dominated the period. The old Heian sects had been quite esoteric and appealed more to the intellectuals than to the masses. The Mount Hiei monasteries had become politically powerful but appealed primarily to those capable of systematic study of the sect's teachings. This situation gave rise to the Jodo sect, based on unconditional faith and devotion and prayer to Amida Buddha. Zen rejected all temporal and scriptural authority, stressing moral character rather than intellectual attainments, an emphasis that appealed to the military class. Growing numbers of the military class turned to Zen masters, regarded as embodiments of truth.

Mongol Invasions

The repulsions of two Mongol invasions were momentous events in Japanese history. Japanese relations with China had been terminated in the mid-ninth century after the deterioration of late Tang China and the turning inward of the Heian court. Some commercial contacts were maintained with southern China in later centuries, but Japanese pirates made the open seas dangerous. At a time when the bakufu had little interest in foreign affairs and ignored communications from China and Koryo (as Korea was then known), news arrived in 1268 of a new Mongol regime in Beijing. Its leader, Khubilai Khan (grandson of Ghengas Khan), demanded that the Japanese pay tribute to the new Yuan Dynasty (1279-1368) and threatened reprisals if they failed to do so. Unused to such threats, Kyoto raised the diplomatic counter of Japan's divine origin, rejected the Mongol demands, dismissed the Korean messengers, and started defensive preparations. After further unsuccessful entreaties, the first Mongol invasion took place in 1274. More than 600 ships carried a combined Mongol, Chinese, and Korean force of 23,000 troops armed with catapults, combustible missiles, and bows and arrows. In fighting, these soldiers grouped in close cavalry formations against samurai, who were accustomed to one-on-one combat. Local Japanese forces at Hakata, on northern Kyushu, defended against the superior mainland force, which, after one day of fighting was decimated by the onslaught of a sudden typhoon. Khubilai realized that nature, not military incompetence, had been the cause of his forces' failure so, in 1281, he launched a second invasion. Seven weeks of fighting took place in northwestern Kyushu before another typhoon struck, again destroying the Mongol fleet.

Although Shinto priests attributed the two defeats of the Mongols to a "divine wind" (kamikaze), a sign of heaven's special protection of Japan, the invasion left a deep impression on the bakufu leaders. Long-standing fears of the Chinese threat to Japan were reinforced, and the Korean Peninsula became regarded as "an arrow pointed at the heart of Japan." The Japanese victory, however, gave the bushi a sense of fighting superiority that remained with Japan's soldiers until 1945. The victory also convinced the bushi of the value of the bakufu form of government.

The Mongol war had been a drain on the economy, and new taxes had to be levied to maintain defensive preparations for the future. The invasions also caused disaffection among those who expected recompense for their help in defeating the Mongols. There were no lands or other rewards to be given, however, and such disaffection, combined with overextension and the increasing defense costs, led to a decline of the Kamakura bakufu. Additionally, inheritances had divided family properties, and landowners increasingly had to turn to moneylenders for support. Roving bands of ronin further threatened the stability of the bakufu.

Civil War

The Hojo reacted to the ensuing chaos by trying to place more power among the various great family clans. To further weaken the Kyoto court, the bakufu decided to allow two contending imperial lines--known as the Southern Court or junior line and the Northern Court or senior line--to alternate on the throne. The method worked for several successions until a member of the Southern Court ascended to the throne as Emperor Go-Daigo (r. 1318- 39). Go-Daigo wanted to overthrow the bakufu, and he openly defied Kamakura by naming his own son his heir. In 1331 the bakufu exiled Go-Daigo, but loyalist forces rebelled. They were aided by Ashikaga Takauji (1305-58), a constable who turned against Kamakura when dispatched to put down Go-Daigo's rebellion. At the same time, another eastern chieftain rebelled against the bakufu, which quickly disintegrated, and the Hojo were defeated.

In the swell of victory, Go-Daigo endeavored to restore imperial authority and tenth-century Confucian practices. This period of reform, known as the Kemmu Restoration (1333-36), aimed at strengthening the position of the emperor and reasserting the primacy of the court nobles over the bushi. The reality, however, was that the forces who had arisen against Kamakura had been set on defeating the Hojo, not on supporting the emperor. Ashikaga Takauji finally sided with the Northern Court in a civil war against the Southern Court represented by Go-Daigo. The long War Between the Courts lasted from 1336 to 1392. Early in the conflict, Go-Daigo was driven from Kyoto, and the Northern Court contender was installed by Ashikaga, who became the new shogun.

Ashikaga Bakufu

The ensuing period of Ashikaga rule (1336-1573) was called Muromachi for the district in which its headquarters were in Kyoto after 1378. What distinguished the Ashikaga bakufu from that of Kamakura was that, whereas Kamakura had existed in equilibrium with the Kyoto court, Ashikaga took over the remnants of the imperial government. Nevertheless, the Ashikaga bakufu was not as strong as the Kamakura had been and was greatly preoccupied by the civil war. Not until the rule of Ashikaga Yoshimitsu (as third shogun, 1368-94, and chancellor, 1394-1408) did a semblance of order emerge.

Yoshimitsu allowed the constables, who had had limited powers during the Kamakura period, to become strong regional rulers, later called daimyo (from dai, meaning great, and myoden, meanng named lands). In time, a balance of power evolved between the shogun and the daimyo; the three most prominent daimyo families rotated as deputies to the shogun at Kyoto. Yoshimitsu was finally successful in reunifying the Northern Court and the Southern Court in 1392, but, despite his promise of greater balance between the imperial lines, the Northern Court maintained control over the throne thereafter. The line of shoguns gradually weakened after Yoshimitsu and increasingly lost power to the daimyo and other regional strongmen. The shogun's decisions about imperial succession became meaningless, and the daimyo backed their own candidates. In time, the Ashikaga family had its own succession problems, resulting finally in the Onin War (1467-77), which left Kyoto devastated and effectively ended the national authority of the bakufu. The power vacuum that ensued launched a century of anarchy.


Between 1560 and 1600, powerful military leaders arose to defeat the warring daimyo and unify Japan. Three major figures dominated the period in succession: Oda Nobunaga (1534-82), Toyotomi Hideyoshi (1536-98), and Tokugawa Ieyasu (1542-1616), each of whom emerged as a major overlord with large military forces under his command. As their power increased, they looked to the imperial court in Kyoto for sanction. In 1568 Nobunaga, who had defeated another overlord's attempt to attack Kyoto in 1560, marched on the capital, gained the support of the emperor, and installed his own candidate in the succession struggle for shogun. Backed by military force, Nobunaga was able to control the bakufu.

Initial resistance to Nobunaga in the Kyoto region came from the Buddhist monks, rival daimyo, and hostile merchants. Surrounded by his enemies, Nobunaga struck first at the secular power of the militant Tendai Buddhists, destroying their monastic center at Mount Hiei near Kyoto and killing thousands of monks in 1571. By 1573 he had defeated the local daimyo, banished the last Ashikaga shogun, and ushered in what historians call the Azuchi-Momoyama period (1573-1600), named after the castles of Nobunaga and Hideyoshi. Having taken these major steps toward reunification, Nobunaga then built a seven-story castle surrounded by stone walls at Azuchi on the shore of Lake Biwa. The castle was able to withstand firearms and became a symbol of the age of reunification. Nobunaga's power increased as he enfeoffed the conquered daimyo, broke down the barriers to free commerce, and drew the humbled religious communities and merchants into his military structure. He secured control of about one-third of the provinces through the use of large-scale warfare, and he institutionalized administrative practices, such as systematic village organization, tax collection, and standardized measurements. At the same time, other daimyo, both those that Nobunaga had conquered and those beyond his control, built their own heavily fortified castles and modernized their garrisons. In 1577 Nobunaga dispatched his chief general, Hideyoshi, to conquer twelve western Honshu provinces. The war was a protracted affair, and in 1582, when Nobunaga led an army to assist Hideyoshi, he was assassinated.

After destroying the forces responsible for Nobunaga's death, Hideyoshi was rewarded with a joint guardianship of Nobunaga's heir, who was a minor. By 1584 Hideyoshi had eliminated the three other guardians, taken complete control of Kyoto, and become the undisputed successor of his late overlord. A commoner by birth and without a surname, Hideyoshi was adopted by the Fujiwara family, given the surname Toyotomi, and granted the title kanpaku, representing civil and military control of all Japan. By the following year, he had secured alliances with three of the nine major daimyo coalitions and continued the war of reunification in Shikoku and northern Kyushu. In 1590, with an army of 200,000 troops, Hideyoshi defeated his last formidable rival, who controlled the Kanto region of eastern Honshu. The remaining contending daimyo capitulated, and the military reunification of Japan was complete.

All of Japan was controlled by the dictatorial Hideyoshi either directly or through his sworn vassals, and a new national government structure had evolved: a country unified under one daimyo alliance but still decentralized. The basis of the power structure was again the distribution of territory. A new unit of land measurement and assessment--the koku--was instituted. One koku was equivalent to about 180 liters of rice; daimyo were by definition those who held lands capable of producing 10,000 koku or more of rice. Hideyoshi personally controlled 2 million of the 18.5 million koku total national assessment (taken in 1598). Tokugawa Ieyasu, a powerful central Honshu daimyo (not completely under Hideyoshi's control), held 2.5 million koku.

Despite Hideyoshi's tremendous strength and the fear in which he was held, his position was far from secure. He attempted to rearrange the daimyo holdings to his advantage by, for example, reassigning the Tokugawa family to the conquered Kanto region and surrounding their new territory with more trusted vassals. He also adopted a hostage system for daimyo wives and heirs at his castle town at Osaka and used marriage alliances to enforce feudal bonds. He imposed the koku system and land surveys to reassess the entire nation. In 1590 Hideyoshi declared an end to any further class mobility or change in social status, reinforcing the class distinctions between cultivators and bushi (only the latter could bear arms). He provided for an orderly succession in 1591 by taking the title taiko, or retired kanpaku, turning the regency over to his son Hideyori. Only toward the end of his life did Hideyoshi try to formalize the balance of power by establishing certain administrative bodies: the five-member Board of Regents (one of them Ieyasu), sworn to keep peace and support the Toyotomi, the five-member Board of House Administrators for routine policy and administrative matters, and the three-member Board of Mediators, who were charged with keeping peace between the first two boards.

Momoyama art (1573-1615), named after the hill on which Hideyoshi built his castle at Fushima, south of Kyoto, flourished during this period. It was a period of interest in the outside world, the development of large urban centers, and the rise of the merchant and leisure classes. Ornate castle architecture and interiors adorned with painted screens embellished with gold leaf reflected daimyo power and wealth. Depictions of the "southern barbarians"--Europeans--were exotic and popular.

In 1577 Hideyoshi had seized Nagasaki, Japan's major point of contact with the outside world. He took control of the various trade associations and tried to regulate all overseas activities. Although China rebuffed his efforts to secure trade concessions, Hideyoshi succeeded in sending commercial missions to present-day Malaysia, the Philippines, and Thailand. He was suspicious of Christianity, however, as potentially subversive to daimyo loyalties and he had some missionaries crucified.

Hideyoshi's major ambition was to conquer China, and in 1592, with an army of 200,000 troops, he invaded Korea, then a Chinese vassal state. His armies quickly overran the peninsula before losing momentum in the face of a combined Korean-Chinese force. During peace talks, Hideyoshi demanded a division of Korea, freetrade status, and a Chinese princess as consort for the emperor. The equality with China sought by Japan was rebuffed by the Chinese, and peace efforts ended. In 1597 a second invasion was begun, but it abruptly ended with Hideyoshi's death in 1598.


Rule of Shogun and Daimyo

An evolution had taken place in the centuries from the time of the Kamakura bakufu, which existed in equilibrium with the imperial court, to the Tokugawa, when the bushi became the unchallenged rulers in what historian Edwin O. Reischauer called a "centralized feudal" form of government. Instrumental in the rise of the new bakufu was Tokugawa Ieyasu, the main beneficiary of the achievements of Nobunaga and Hideyoshi. Already powerful, Ieyasu profited by his transfer to the rich Kanto area. He maintained 2.5 million koku of land, had a new headquarters at Edo, a strategically situated castle town (the future Tokyo), and had an additional 2 million koku of land and thirtyeight vassals under his control. After Hideyoshi's death, Ieyasu moved quickly to seize control from the Toyotomi family.

Ieyasu's victory over the western daimyo at the Battle of Sekigahara (1600) gave him virtual control of all Japan. He rapidly abolished numerous enemy daimyo houses, reduced others, such as that of the Toyotomi, and redistributed the spoils of war to his family and allies. Ieyasu still failed to achieve complete control of the western daimyo, but his assumption of the title of shogun helped consolidate the alliance system. After further strengthening his power base, Ieyasu was confident enough to install his son Hidetada (1579-1632) as shogun and himself as retired shogun in 1605. The Toyotomi were still a significant threat, and Ieyasu devoted the next decade to their eradication. In 1615 the Toyotomi stronghold at Osaka was destroyed by the Tokugawa army.

The Tokugawa (or Edo) period brought 200 years of stability to Japan. The political system evolved into what historians call bakuhan, a combination of the terms bakufu and han (domains) to describe the government and society of the period. In the bakuhan, the shogun had national authority and the daimyo had regional authority, a new unity in the feudal structure, which had an increasingly large bureaucracy to administer the mixture of centralized and decentralized authorities. The Tokugawa became more powerful during their first century of rule: land redistribution gave them nearly 7 million koku, control of the most important cities, and a land assessment system reaping great revenues.

The feudal hierarchy was completed by the various classes of daimyo. Closest to the Tokugawa house were the shinpan, or "related houses." They were twenty-three daimyo on the borders of Tokugawa lands, daimyo all directly related to Ieyasu. The shinpan held mostly honorary titles and advisory posts in the bakufu. The second class of the hierarchy were the fudai, or "house daimyo," rewarded with lands close to the Tokugawa holdings for their faithful service. By the eighteenth century, 145 fudai controlled such smaller han, the greatest assessed at 250,000 koku. Members of the fudai class staffed most of the major bakufu offices. Ninety-seven han formed the third group, the tozama (outside vassals), former opponents or new allies. The tozama were located mostly on the peripheries of the archipelago and collectively controlled nearly 10 million koku of productive land. Because the tozama were least trusted of the daimyo, they were the most cautiously managed and generously treated, although they were excluded from central government positions.

The Tokugawa not only consolidated their control over a reunified Japan, they also had unprecedented power over the emperor, the court, all daimyo, and the religious orders. The emperor was held up as the ultimate source of political sanction for the shogun, who ostensibly was the vassal of the imperial family. The Tokugawa helped the imperial family recapture its old glory by rebuilding its palaces and granting it new lands. To ensure a close tie between the imperial clan and the Tokugawa family, Ieyasu's granddaughter was made an imperial consort in 1619.

A code of laws was established to regulate the daimyo houses. The code encompassed private conduct, marriage, dress, and types of weapons and numbers of troops allowed; required alternateyear residence at Edo; prohibited the construction of ocean-going ships; proscribed Christianity; and stipulated that bakufu regulations were the national law. Although the daimyo were not taxed per se, they were regularly levied for contributions for military and logistical support and for such public works projects as castles, roads, bridges, and palaces. The various regulations and levies not only strengthened the Tokugawa but also depleted the wealth of the daimyo, thus weakening their threat to the central administration. The han, once military-centered domains, became mere local administrative units. The daimyo did have full administrative control over their territory and their complex systems of retainers, bureaucrats, and commoners. Loyalty was exacted from religious foundations, already greatly weakened by Nobunaga and Hideyoshi, through a variety of control mechanisms.

Seclusion and Social Control

Like Hideyoshi, Ieyasu encouraged foreign trade but also was suspicious of outsiders. He wanted to make Edo a major port, but once he learned that the Europeans favored ports in Kyushu and that China had rejected his plans for official trade, he moved to control existing trade and allowed only certain ports to handle specific kinds of commodities.

The "Christian problem" was, in effect, a problem controlling both the Christian daimyo in Kyushu and trade with the Europeans. By 1612 the shogun's retainers and residents of Tokugawa lands had been ordered to foreswear Christianity. More restrictions came in 1616 (the restriction of foreign trade to Nagasaki and Hirado, an island northwest of Kyushu), 1622 (the execution of 120 missionaries and converts), 1624 (the expulsion of the Spanish), and 1629 (the execution of thousands of Christians). Finally, in 1635 an edict prohibited any Japanese from traveling outside Japan or, if someone left, from ever returning. In 1636 the Portuguese were restricted to Deshima, a man-made islet--and thus, not true Japanese soil--in Nagasaki's harbor.

The Shimabara Rebellion of 1637-38, in which discontented Christian samurai and peasants rebelled against the bakufu-- and Edo called in Dutch ships to bombard the rebel stronghold-- marked the end of the Christian movement. Soon thereafter, the Portuguese were permanently expelled, members of the Portuguese diplomatic mission were executed, all subjects were ordered to register at a Buddhist or Shinto temple, and the Dutch and Chinese were restricted, respectively, to Deshima and to a special quarter in Nagasaki. Besides small trade of some outer daimyo with Korea and the Ryukyu Islands, to the southwest of Japan's main islands, by 1641 foreign contacts were limited to Nagasaki.

Japanese society of the Tokugawa period was influenced by Confucian principles of social order. At the top of the hierarchy, but removed from political power, were the imperial court families at Kyoto. The real political power holders were the samurai, followed by the rest of society. In descending hierarchical order, they consisted of farmers, who were organized into villages, artisans, and merchants. Urban dwellers, often well-to-do merchants, were known as chonin (townspeople) and were confined to special districts. The individual had no legal rights in Tokugawa Japan. The family was the smallest legal entity, and the maintenance of family status and privileges was of great importance at all levels of society.

Economic Development

Economic development during the Tokugawa period included urbanization, more shipping of commodities, a significant expansion of domestic and, initially, foreign commerce, and a diffusion of trade and handicraft industries. By the mid-eighteenth century, Edo had a population of more than 1 million and Osaka and Kyoto each had more than 400,000 inhabitants. Many other castle towns grew as well. Osaka and Kyoto became busy trading and handicraft production centers, while Edo was the center for the supply of food and essential urban consumer goods. The construction trades flourished, along with banking facilities and merchant associations. Increasingly, han authorities oversaw the rising agricultural production and the spread of rural handicrafts.

Intellectual Trends

The flourishing of neo-Confucianism was the major intellectual development of the Tokugawa period. Confucian studies had long been kept active in Japan by Buddhist clerics, but during the Tokugawa period, Confucianism emerged from Buddhist religious control. This system of thought increased attention to a secular view of man and society. The ethical humanism, rationalism, and historical perspective of neo-Confucian doctrine appealed to the official class. By the mid-seventeenth century, neo-Confucianism was Japan's dominant legal philosophy and contributed directly to the development of the kokugaku (national learning) school of thought.

Advanced studies and growing applications of neo-Confucianism contributed to the transition of the social and political order from feudal norms to class- and large-group-oriented practices. The rule of the people or Confucian man was gradually replaced by the rule of law. New laws were developed, and new administrative devices were instituted. A new theory of government and a new vision of society emerged as a means of justifying more comprehensive governance by the bakufu. Each person had a distinct place in society and was expected to work to fulfill his or her mission in life. The people were to be ruled with benevolence by those whose assigned duty it was to rule. Government was all-powerful but responsible and humane. Although the class system was influenced by neo-Confucianism, it was not identical to it. Whereas soldiers and clergy were at the bottom of the hierarchy in the Chinese model, in Japan some members of these classes constituted the ruling elite.

Members of the samurai class adhered to bushi traditions with a renewed interest in Japanese history and in cultivation of the ways of Confucian scholar-administrators, resulting in the development of the concept of bushido (the way of the warrior--see Glossary). Another special way of life-- chonindo--also emerged. Chonindo (the way of the townspeople) was a distinct culture that arose in cities such as Osaka, Kyoto, and Edo. It encouraged aspiration to bushido qualities--diligence, honesty, honor, loyalty, and frugality--while blending Shinto, neo-Confucian, and Buddhist beliefs. Study of mathematics, astronomy, cartography, engineering, and medicine were also encouraged. Emphasis was placed on quality of workmanship, especially in the arts. For the first time, urban populations had the means and leisure time to support a new mass culture. Their search for enjoyment became known as ukiyo (the floating world), an ideal world of fashion and popular entertainment. Professional female entertainers (geisha), music, popular stories, Kabuki and bunraku (puppet) theater, poetry, a rich literature, and art, exemplified by beautiful woodblock prints (known as ukiyo-e), were all part of this flowering of culture. 3). Literature also flourished with the talented examples of the playwright Chikamatsu Monzaemon (1653- 1724) and the poet, essayist, and travel writer Matsuo Basho (1644- 94).

Buddhism and Shinto were both still important in Tokugawa Japan. Buddhism, combined with neo-Confucianism, provided standards of social behavior. Although not as powerful politically as it had been in the past, Buddhism was espoused by the upper classes. Proscriptions against Christianity benefited Buddhism in 1640 when the bakufu ordered everyone to register at a temple. The rigid separation of Tokugawa society into han, villages, wards, and households helped reaffirm local Shinto attachments. Shinto provided spiritual support to the political order and was an important tie between the individual and the community. Shinto also helped preserve a sense of national identity.

Shinto eventually assumed an intellectual form as shaped by neo-Confucian rationalism and materialism. The kokugaku movement emerged from the interactions of these two beliefs systems. Kokugaku contributed to the emperor-centered nationalism of modern Japan and the revival of Shinto as a national creed in the eighteenth and nineteenth centuries. The Kojiki, Nihongi, and Man'yoshu were all studied anew in the search for the Japanese spirit. Some purists in the kokugaku movement even criticized the Confucian and Buddhist influences--in effect, foreign ones--for contaminating Japan's ancient ways. Japan was the land of the kami and, as such, had a special destiny.

Knowledge of the West during the early Tokugawa periiod was restricted to a tiny school of thought known as Rangaku (Dutch Learning). Its adherents were mostly in Nagasaki, where the Dutch outpost was located on Deshima.

Decline of the Tokugawa

The Tokugawa did not eventually collapse simply because of intrinsic failures. Foreign intrusions helped to precipitate a complex political struggle between the bakufu and a coalition of its critics. The continuity of the anti-bakufu movement in the mid-nineteenth century would finally bring down the Tokugawa. From the outset, the Tokugawa attempted to restrict families' accumulation of wealth and fostered a "back to the soil" policy, in which the farmer, the ultimate producer, was the ideal person in society. Despite these efforts to restrict wealth, and partly because of the extraordinary period of peace, the standard of living for urban and rural dwellers alike grew significantly during the Tokugawa period. Better means of crop production, transportation, housing, food, and entertainment were all available, as was more leisure time, at least for urban dwellers. The literacy rate was high for a preindustrial society, and cultural values were redefined and widely imparted throughout the samurai and chonin classes. Despite the reappearance of guilds, economic activities went well beyond the restrictive nature of the guilds, and commerce spread and a money economy developed. Although government heavily restricted the merchants and viewed them as unproductive and usurious members of society, the samurai, who gradually became separated from their rural ties, depended greatly on the merchants and artisans for consumer goods, artistic interests, and loans. In this way, a subtle subversion of the warrior class by the chonin took place.

A struggle arose in the face of political limitations that the shogun imposed on the entrepreneurial class. The government ideal of an agrarian society failed to square with the reality of commercial distribution. A huge government bureaucracy had evolved, which now stagnated because of its discrepancy with a new and evolving social order. Compounding the situation, the population increased significantly during the first half of the Tokugawa period. Although the magnitude and growth rates are uncertain, there were at least 26 million commoners and about 4 million members of samurai families and their attendants when the first nationwide census was taken in 1721. Drought, followed by crop shortages and starvation, resulted in twenty great famines between 1675 and 1837. Peasant unrest grew, and by the late eighteenth century, mass protests over taxes and food shortages had become commonplace. Newly landless families became tenant farmers, while the displaced rural poor moved into the cities. As the fortunes of previously well-to-do families declined, others moved in to accumulate land, and a new, wealthy farming class emerged. Those people who benefited were able to diversify production and to hire laborers, while others were left discontented. Many samurai fell on hard times and were forced into handicraft production and wage jobs for merchants.

Western intrusions were on the increase in the early nineteenth century. Russian warships and traders encroached on Karafuto (called Sakhalin under Russian and Soviet control) and on the Kuril Islands, the southernmost of which are considered by the Japanese as the northern islands of Hokkaido. A British warship entered Nagasaki Harbor searching for enemy Dutch ships in 1808, and other warships and whalers were seen in Japanese waters with increasing frequency in the 1810s and 1820s. Whalers and trading ships from the United States also arrived on Japan's shores. Although the Japanese made some minor concessions and allowed some landings, they largely attempted to keep all foreigners out, sometimes using force. Rangaku became crucial not only in understanding the foreign "barbarians" but also in using the knowledge gained from the West to fend them off.

By the 1830s, there was a general sense of crisis. Famines and natural disasters hit hard, and unrest led to a peasant uprising against officials and merchants in Osaka in 1837. Although it lasted only a day, the uprising made a dramatic impression. Remedies came in the form of traditional solutions that sought to reform moral decay rather than address institutional problems. The shogun's advisers pushed for a return to the martial spirit, more restrictions on foreign trade and contacts, suppression of Rangaku, censorship of literature, and elimination of "luxury" in the government and samurai class. Others sought the overthrow of the Tokugawa and espoused the political doctrine of sonno-joi (revere the emperor, expel the barbarians), which called for unity under imperial rule and opposed foreign intrusions. The bakufu persevered for the time being amidst growing concerns over Western successes in establishing colonial enclaves in China following the Opium War of 1839-42. More reforms were ordered, especially in the economic sector, to strengthen Japan against the Western threat.

Japan turned down a demand from the United States, which was greatly expanding its own presence in the Asia-Pacific region, to establish diplomatic relations when Commodore James Biddle appeared in Edo Bay with two warships in July 1846. However, when Commodore Matthew C. Perry's four-ship squadron appeared in Edo Bay in July 1853, the bakufu was thrown into turmoil. The chairman of the senior councillors, Abe Masahiro (1819-57), was responsible for dealing with the Americans. Having no precedent to manage this threat to national security, Abe tried to balance the desires of the senior councillors to compromise with the foreigners, of the emperor who wanted to keep the foreigners out, and of the daimyo who wanted to go to war. Lacking consensus, Abe decided to compromise by accepting Perry's demands for opening Japan to foreign trade while also making military preparations. In March 1854, the Treaty of Peace and Amity (or Treaty of Kanagawa) opened two ports to American ships seeking provisions, guaranteed good treatment to shipwrecked American sailors, and allowed a United States consul to take up residence in Shimoda, a seaport on the Izu Peninsula, southwest of Edo. A commercial treaty, opening still more areas to American trade, was forced on the bakufu five years later.

The resulting damage to the bakufu was significant. Debate over government policy was unusual and had engendered public criticism of the bakufu. In the hope of enlisting the support of new allies, Abe, to the consternation of the fudai, had consulted with the shinpan and tozama daimyo, further undermining the already weakened bakufu. In the Ansei Reform (1854-56), Abe then tried to strengthen the regime by ordering Dutch warships and armaments from the Netherlands and building new port defenses. In 1855 a naval training school with Dutch instructors was set up at Nagasaki, and a Western-style military school was established at Edo; by the next year, the government was translating Western books. Opposition to Abe increased within fudai circles, which opposed opening bakufu councils to tozama daimyo, and he was replaced in 1855 as chairman of the senior councillors by Hotta Masayoshi (1810-64).

At the head of the dissident faction was Tokugawa Nariaki, who had long embraced a militant loyalty to the emperor along with antiforeign sentiments, and who had been put in charge of national defense in 1854. The Mito school--based on neo-Confucian and Shinto principles--had as its goal the restoration of the imperial institution, the turning back of the West, and the founding of a world empire under the divine Yamato Dynasty.

In the final years of the Tokugawa, foreign contacts increased as more concessions were granted. The new treaty with the United States in 1859 allowed more ports to be opened to diplomatic representatives, unsupervised trade at four additional ports, and foreign residences in Osaka and Edo. It also embodied the concept of extraterritoriality (foreigners were subject to the laws of their own countries but not to Japanese law). Hotta lost the support of key daimyo, and when Tokugawa Nariaki opposed the new treaty, Hotta sought imperial sanction. The court officials, perceiving the weakness of the bakufu, rejected Hotta's request and thus suddenly embroiled Kyoto and the emperor in Japan's internal politics for the first time in many centuries. When the shogun died without an heir, Nariaki appealed to the court for support of his own son, Tokugawa Yoshinobu (or Keiki), for shogun, a candidate favored by the shinpan and tozama daimyo. The fudai won the power struggle, however, installing Tokugawa Yoshitomi, arresting Nariaki and Keiki, executing Yoshida Shoin (1830-59, a leading sonno-joi intellectual who had opposed the American treaty and plotted a revolution against the bakufu), and signing treaties with the United States and five other nations, thus ending more than 200 years of exclusion.

The strong measures the bakufu took to reassert its dominance were not enough. Revering the emperor as a symbol of unity, extremists wrought violence and death against the bakufu and han authorities and foreigners. Foreign naval retaliation led to still another concessionary commercial treaty in 1865, but Yoshitomi was unable to enforce the Western treaties. A bakufu army was defeated when it was sent to crush dissent in Satsuma and Choshu han in 1866. Finally, in 1867, the emperor died and was succeeded by his minor son Mutsuhito; Keiki reluctantly became head of the Tokugawa house and shogun. He tried to reorganize the government under the emperor while preserving the shogun's leadership role. Fearing the growing power of the Satsuma and Choshu daimyo, other daimyo called for returning the shogun's political power to the emperor and a council of daimyo chaired by the former Tokugawa shogun. Keiki accepted the plan in late 1867 and resigned, announcing an "imperial restoration." The Satsuma, Choshu, and other han leaders and radical courtiers, however, rebelled, seized the imperial palace, and announced their own restoration on January 3, 1868. The bakufu was abolished, Keiki was reduced to the ranks of the common daimyo, and the Tokugawa army gave up without a fight (although other Tokugawa forces fought until November 1868, and bakufu naval forces continued to hold out for another six months).

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