[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 fourteenthcentury 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, 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.