Asuka and Nara periods

A Kofun period helmet, gilt copper, 5th century, Ise Province

Following the death of Prince Shōtoku and the victory against the Soga clan, Japan underwent widespread reform. One of the most important was that of the Taika Reform, issued by Emperor Kōtoku in 645. This edict allowed the Japanese aristocracy to adopt the Tang dynasty political structure, bureaucracy, culture, religion, and philosophy.^[15] As part of the Taihō Code of 702, and the later Yōrō Code,^[16] the population was required to report regularly for the census, a precursor for national conscription. With an understanding of how the population was distributed, Emperor Monmu introduced a law whereby 1 in 3–4 adult males were drafted into the national military. These soldiers were required to supply their own weapons, and in return were exempted from duties and taxes.^[15] This was one of the first attempts by the imperial government to form an organized army modeled after the Chinese system. It was called "Gundan-Sei" (ja:軍団制) by later historians and is believed to have been short-lived.

The Taihō Code classified most of the Imperial bureaucrats into 12 ranks, each divided into two sub-ranks, 1st rank being the highest adviser to the emperor. Those of 6th rank and below were referred to as "samurai" and dealt with day-to-day affairs and were initially civilian public servants, in keeping with the original derivation of this word from saburau, a verb meaning 'to serve'.^{[17][18][19][20]} Military men, however, would not be referred to as "samurai" for many more centuries.

Heian period

In the noh drama Sanjō Kokaji, the 10th-century blacksmith Munechika, aided by a kitsune (fox spirit), forges the tachi (samurai sword) Ko-Gitsune Maru.

In the early Heian period, during the late 8th and early 9th centuries, Emperor Kanmu sought to consolidate and expand his rule in northern Honshū and made military campaigns against the Emishi, who resisted the governance of the Kyoto-based imperial court. Emperor Kanmu introduced the title of sei'i-taishōgun (征夷大将軍), or shōgun, and began to rely on the powerful regional clans to conquer the Emishi. Skilled in mounted combat and archery (kyūjutsu), these clan warriors became the emperor's preferred tool for putting down rebellions; the most well-known of which was Sakanoue no Tamuramaro. Though this is the first known use of the title shōgun, it was a temporary title and was not imbued with political power until the 13th century. At this time (the 7th to 9th centuries), officials considered them to be merely a military section under the control of the Imperial Court.

Ultimately, Emperor Kanmu disbanded his army. From this time, the emperor's power gradually declined. While the emperor was still the ruler, powerful clans around Kyoto assumed positions as ministers, and their relatives bought positions as magistrates. To amass wealth and repay their debts, magistrates often imposed heavy taxes, resulting in many farmers becoming landless. Through protective agreements and political marriages, the aristocrats accumulated political power, eventually surpassing the traditional aristocracy.^[21]

Some clans were originally formed by farmers who had taken up arms to protect themselves from the imperial magistrates sent to govern their lands and collect taxes. These clans formed alliances to protect themselves against more powerful clans.

The Heian period saw the appearance of distinctive Japanese armor and weapons. Typical examples are the tachi (long sword) and naginata (halberd) used in close combat, and the ō-yoroi and dō-maru styles of armor. High-ranking samurai equipped with yumi (bows) and who fought on horseback wore ō-yoroi, while lower-ranking samurai equipped with naginata and who fought on foot wore dō-maru.^[22]

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  The Gosannen War in the 11th century
• 
  Samurai on horseback, wearing ō-yoroi armor, carrying a bow (yumi) and arrows in an yebira quiver
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  Heiji rebellion in 1159

Late Heian Period, Kamakura shogunate, and the rise of samurai

Samurai ō-yoroi armor, Kamakura period. Tokyo National Museum.

The Kamakura period (1185–1333) saw the rise of the samurai under shogun rule as they were "entrusted with the security of the estates" and were symbols of the ideal warrior and citizen.^[23] Originally, the emperor and non-warrior nobility employed these warrior nobles. In time they amassed enough manpower, resources and political backing, in the form of alliances with one another, to establish the first samurai-dominated government. As the power of these regional clans grew, their chief was typically a distant relative of the emperor and a lesser member of either the Fujiwara, Minamoto, or Taira clan.

From the Kamakura period onwards, emphasis was put on training samurai from childhood in using "the bow and sword".^[24]

Though originally sent to provincial areas for fixed four-year terms as magistrates, the toryo declined to return to the capital when their terms ended, and their sons inherited their positions and continued to lead the clans in putting down rebellions throughout Japan during the middle- and later-Heian period. Because of their rising military and economic power, the warriors ultimately became a new force in the politics of the imperial court. Their involvement in the Hōgen Rebellion in the late Heian period consolidated their power, which later pitted the rivalry of Minamoto and Taira clans against each other in the Heiji Rebellion of 1160.

The victor, Taira no Kiyomori, became an imperial advisor and was the first warrior to attain such a position. He eventually seized control of the central government, establishing the first samurai-dominated government and relegating the emperor to figurehead status. However, the Taira clan was still very conservative when compared to its eventual successor, the Minamoto, and instead of expanding or strengthening its military might, the clan had its women marry emperors and exercise control through the emperor.

16th century illustration samurai raiding the house of Yoshitsune.

The Taira and the Minamoto clashed again in 1180, beginning the Genpei War, which ended in 1185. Samurai fought at the naval battle of Dan-no-ura, at the Shimonoseki Strait which separates Honshu and Kyūshū in 1185. The victorious Minamoto no Yoritomo established the superiority of the samurai over the aristocracy. In 1190 he visited Kyoto and in 1192 became Sei'i Taishōgun, establishing the Kamakura shogunate, or Kamakura bakufu. Instead of ruling from Kyoto, he set up the shogunate in Kamakura, near his base of power. "Bakufu" means "tent government", taken from the encampments the soldiers would live in, in accordance with the Bakufu's status as a military government.^[25]

After the Genpei war, Yoritomo obtained the right to appoint shugo and jitō, and was allowed to organize soldiers and police, and to collect a certain amount of tax. Initially, their responsibility was restricted to arresting rebels and collecting needed army provisions and they were forbidden from interfering with Kokushi officials, but their responsibility gradually expanded. Thus, the samurai class became the political ruling power in Japan.

In the late Kamakura period, even the most senior samurai began to wear dō-maru, as the heavy and elegant ō-yoroi were no longer respected. Until then, the body was the only part of the dō-maru that was protected, but for higher-ranking samurai, the dō-maru also came with a kabuto (helmet) and shoulder guards.^[22] For lower-ranked samurai, the haraate was introduced, the simplest style of armor that protected only the front of the torso and the sides of the abdomen. In the late Kamakura period, a new type of armor called haramaki appeared, in which the two ends of the haraate were extended to the back to provide greater protection.^[26]

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  Samurai of the Shōni clan gather to defend against Kublai Khan's Mongolian army during the first Mongol Invasion of Japan, 1274.
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  Battle of Yashima folding screens

Kamakura shogunate and the Mongol invasions

Various samurai clans struggled for power during the Kamakura and Ashikaga shogunates. Zen Buddhism spread among the samurai in the 13th century and helped to shape their standards of conduct, particularly overcoming the fear of death and killing, but among the general populace Pure Land Buddhism was favored.

In 1274, the Mongol-founded Yuan dynasty in China sent a force of some 40,000 men and 900 ships to invade Japan in northern Kyūshū. Japan mustered a mere 10,000 samurai to meet this threat. The invading army was harassed by major thunderstorms throughout the invasion, which aided the defenders by inflicting heavy casualties. The Yuan army was eventually recalled, and the invasion was called off. The Mongol invaders used small bombs, which was likely the first appearance of bombs and gunpowder in Japan.

Samurai Takezaki Suenaga of the Hōjō clan (right) assaults the Mongolian and Korean invasion army (left) at the Battle of Torikai-Gata, 1274.

The Japanese defenders recognized the possibility of a renewed invasion and began construction of a great stone barrier around Hakata Bay in 1276. Completed in 1277, this wall stretched for 20 kilometers around the border of the bay. It would later serve as a strong defensive point against the Mongols. The Mongols attempted to settle matters in a diplomatic way from 1275 to 1279, but every envoy sent to Japan was executed.

Leading up to the second Mongolian invasion, Kublai Khan continued to send emissaries to Japan, with five diplomats sent in September 1275 to Kyūshū. Hōjō Tokimune, the shikken of the Kamakura shogun, responded by having the Mongolian diplomats brought to Kamakura and then beheading them.^[27] The graves of the five executed Mongol emissaries exist to this day in Kamakura at Tatsunokuchi.^[28] On 29 July 1279, five more emissaries were sent by the Mongol empire, and again beheaded, this time in Hakata. This continued defiance of the Mongol emperor set the stage for one of the most famous engagements in Japanese history.

In 1281, a Yuan army of 140,000 men with 5,000 ships was mustered for another invasion of Japan. Northern Kyūshū was defended by a Japanese army of 40,000 men. The Mongol army was still on its ships preparing for the landing operation when a typhoon hit north Kyūshū island. The casualties and damage inflicted by the typhoon, followed by the Japanese defense of the Hakata Bay barrier, resulted in the Mongols again being defeated.

Samurai and defensive wall at Hakata defending against the Second Mongolian Invasion. Moko Shurai Ekotoba, (蒙古襲来絵詞) c. 1293

Samurai boarding ships of the Second Mongolian invasion fleet, killing the Mongolian soldiers aboard, 1281

The thunderstorms of 1274 and the typhoon of 1281 helped the samurai defenders of Japan repel the Mongol invaders despite being vastly outnumbered. These winds became known as kami-no-Kaze, which literally translates as "wind of the gods".^[29] This is often given a simplified translation as "divine wind". The kami-no-Kaze lent credence to the Japanese belief that their lands were indeed divine and under supernatural protection.

During this period, the tradition of Japanese swordsmithing developed using laminated or piled steel, a technique dating back over 2,000 years in the Mediterranean and Europe of combining layers of soft and hard steel to produce a blade with a very hard (but brittle) edge, capable of being highly sharpened, supported by a softer, tougher, more flexible spine. The Japanese swordsmiths refined this technique by using multiple layers of steel of varying composition, together with differential heat treatment, or tempering, of the finished blade, achieved by protecting part of it with a layer of clay while quenching (as explained in the article on Japanese swordsmithing). The craft was perfected in the 14th century by the great swordsmith Masamune. The Japanese sword (tachi and katana) became renowned around the world for its sharpness and resistance to breaking.

Nanboku-chō and Muromachi period

In 1336, Ashikaga Takauji, who opposed Emperor Godaigo, established the Ashikaga Shogunate with Emperor Kōgon. As a result, the southern court, descended from Emperor Godaigo, and the northern court, descended from Emperor Kogon, were established side by side. This period of coexistence of the two dynasties is called the Nanboku-chō period, which corresponds to the beginning of the Muromachi period. The Northern Court, supported by the Ashikaga Shogunate, had six emperors, and in 1392 the Imperial Court was reunited by absorbing the Southern Court, although the modern Imperial Household Agency considers the Southern Court to be the legitimate emperor.^[30] The de facto rule of Japan by the Ashikaga Shogunate lasted until the Onin War, which broke out in 1467.

Ōdachi forged by Sadaie, 14th century, Nanboku-chō period, Important Sword.

The innovations of Sōshū swordsmiths in the late Kamakura period allowed them to produce Japanese swords with tougher blades than before, and during the Nanboku-chō period, ōdachi (large/great sword) were at their peak as weapons for the samurai.^[31]

Until the Mongol invasion in the late Kamakura period, the main battle was fought by small groups of warriors using yumi (bows) from horseback, and close combat was a secondary battle. From the Nanboku-chō period to the Muromachi period, large groups of infantrymen became more active in battle, close combat became more important, and the naginata and tachi, which had been used since the Heian period, were used more. The yari (spear) was not yet a major weapon in this period.^[32][33]

During the Nanboku-chō period, many lower-class foot soldiers called ashigaru began to participate in battles, and the popularity of haramaki increased. During the Nanboku-chō and Muromachi periods, dō-maru and haramaki became the norm, and senior samurai also began to wear haramaki by adding kabuto (helmet), men-yoroi (face armor), and gauntlet.^[34]

Issues of inheritance caused family strife as primogeniture became common, in contrast to the division of succession designated by law before the 14th century. Invasions of neighboring samurai territories became common to avoid infighting, and bickering among samurai was a constant problem for the Kamakura and Ashikaga shogunates.

Sengoku period

The outbreak of the Onin War, which began in 1467 and lasted about 10 years, devastated Kyoto and brought down the power of the Ashikaga Shogunate. This plunged the country into the Sengoku Period ("warring states period"), in which daimyo (feudal lords) from different regions fought each other. This period corresponds to the late Muromachi period. There are about nine theories about the end of the Sengoku Period, the earliest being the year 1568, when Oda Nobunaga marched on Kyoto, and the latest being the suppression of the Shimabara Rebellion in 1638. Thus, the Sengoku Period overlaps with the Muromachi, Azuchi–Momoyama, and Edo periods, depending on the theory. In any case, the Sengoku period was a time of large-scale civil wars throughout Japan.^[35][36]

By the end of the Sengoku period, allegiances between warriors vassals, also known as military retainers, and lords were solidified.^[37] Vassals would serve lords in exchange for material and intangible advantages, in keeping with Confucian ideas brought from China between the seventh and ninth centuries.^[37] These independent vassals who held land were subordinate to their superiors, who may be local lords or, in the Edo period, the shogun.^[37] A vassal or samurai could expect monetary benefits, including land or money, from lords in exchange for their military services.^[37]

Tanegashima (Matchlock)

Large numbers of ashigaru (foot soldiers) in close formation began to use yari (spears) and tanegashima (gun), changing battlefield tactics and the equipment of the samurai class.

From this time on, infantrymen called ashigaru, who were mobilized from the peasantry, were mobilized in even greater numbers than before, and the importance of the infantry, which had begun in the Nanboku-chō period, increased even more.^[32] When ｍatchlock were introduced from Portugal in 1543, Japanese swordsmiths immediately began to improve and mass produce them. The Japanese ｍatchlock was named tanegashima after the Tanegashima island, which is believed to be the place where it was first introduced to Japan. By the end of the Sengoku Period, there were hundreds of thousands of rifles in Japan and a large army of nearly 100,000 men clashing with each other.^[38]

On the battlefield, ashigaru began to fight in close formation, using yari (spear) and tanegashima. As a result, yari, yumi (bow), and tanegashima became the primary weapons on the battlefield. The naginata, which was difficult to maneuver in close formation, and the long, heavy tachi fell into disuse and were replaced by the nagamaki, which could be held short, and the short, light katana, which appeared in the Nanboku-cho period and gradually became more common. The tachi was often cut off from the hilt and shortened to make a katana. The tachi, which had become inconvenient for use on the battlefield, was transformed into a symbol of authority carried by high-ranking samurai.^{[39][40][41][32]} Although the ōdachi had become even more obsolete, some daimyo dared to organize assault and kinsmen units composed entirely of large men equipped with ōdachi to demonstrate the bravery of their armies.^[42]

These changes in the aspect of the battlefield during the Sengoku period led to the emergence of the tosei-gusoku style of armor, which improved the productivity and durability of armor. In the history of Japanese armor, this was the most significant change since the introduction of the ō-yoroi and dō-mal in the Heian period. In this style, the number of parts was reduced, and instead armor with eccentric designs became popular.^[43]

The Sengoku Period was marked by the loosening of samurai culture, with people born into other social strata sometimes making a name for themselves as warriors and thus becoming de facto samurai.

Azuchi–Momoyama period

Between 1601 and 1609, Ikeda Terumasa extensively renovated Himeji Castle to give it its present appearance.

There are several theories as to when the Azuchi–Momoyama period began: 1568, when Oda Nobunaga entered Kyoto in support of Ashikaga Yoshiaki; 1573, when Oda Nobunaga expelled Ashikaga Yoshiaki from Kyoto; and 1576, when the construction of Azuchi Castle began. In any case, the beginning of the Azuchii–Momoyama period marked the complete end of the rule of the Ashikaga shogunate, which had been disrupted by the Onin War; in other words, it marked the end of the Muromachi period.

Oda, Toyotomi, and Tokugawa

The three unifiers of Japan: from left to right: Oda Nobunaga, Toyotomi Hideyoshi and Tokugawa Ieyasu

Oda Nobunaga was the well-known lord of the Nagoya area (once called Owari Province) and an exceptional example of a samurai of the Sengoku period.^[44] He came within a few years of, and laid down the path for his successors to follow, the reunification of Japan under a new bakufu (shogunate).

Oda Nobunaga made innovations in the fields of organization and war tactics, made heavy use of arquebuses, developed commerce and industry, and treasured innovation. Consecutive victories enabled him to realize the termination of the Ashikaga Bakufu and the disarmament of the military powers of the Buddhist monks, which had inflamed futile struggles among the populace for centuries. Attacking from the "sanctuary" of Buddhist temples, they were constant headaches to any warlord and even the emperor who tried to control their actions. He died in 1582 when one of his generals, Akechi Mitsuhide, turned upon him with his army.

The Battle of Nagashino (1575)

Toyotomi Hideyoshi and Tokugawa Ieyasu, who founded the Tokugawa shogunate, were loyal followers of Nobunaga. Hideyoshi began as a peasant and became one of Nobunaga's top generals, and Ieyasu had shared his childhood with Nobunaga. Hideyoshi defeated Mitsuhide within a month and was regarded as the rightful successor of Nobunaga by avenging the treachery of Mitsuhide. These two were able to use Nobunaga's previous achievements on which build a unified Japan and there was a saying: "The reunification is a rice cake; Oda made it. Hashiba shaped it. In the end, only Ieyasu tastes it."^[45] (Hashiba is the family name that Toyotomi Hideyoshi used while he was a follower of Nobunaga.)

Toyotomi Hideyoshi, who became a grand minister in 1586, created a law that non-samurai were not allowed to carry weapons, which the samurai caste codified as permanent and hereditary, thereby ending the social mobility of Japan, which lasted until the dissolution of the Edo shogunate by the Meiji revolutionaries.

The distinction between samurai and non-samurai was so obscure that during the 16th century, most male adults in any social class (even small farmers) belonged to at least one military organization of their own and served in wars before and during Hideyoshi's rule. It can be said that an "all against all" situation continued for a century. The authorized samurai families after the 17th century were those that chose to follow Nobunaga, Hideyoshi and Ieyasu. Large battles occurred during the change between regimes, and a number of defeated samurai were destroyed, went rōnin or were absorbed into the general populace.

Invasions of Korea

See also: Japanese invasions of Korea (1592–1598)

Korean and Chinese soldiers assault the Japanese-built fortress at Ulsan during the Japanese invasions of Korea, 1597.

In 1592 and again in 1597, Toyotomi Hideyoshi, aiming to invade China through Korea, mobilized an army of 160,000 peasants and samurai and deployed them to Korea in one of the largest military endeavors in Eastern Asia until the late 19th century.^[46][47] Taking advantage of arquebus mastery and extensive wartime experience from the Sengoku period, Japanese samurai armies made major gains in most of Korea. A few of the famous samurai generals of this war were Katō Kiyomasa, Konishi Yukinaga, and Shimazu Yoshihiro. Katō Kiyomasa advanced to Orangkai territory (present-day Manchuria) bordering Korea to the northeast and crossed the border into northern China.

Kiyomasa withdrew back to Korea after retaliatory counterattacks from the Jurchens in the area, whose castles his forces had raided.^[48] Shimazu Yoshihiro led some 7,000 samurai into battle, and despite being heavily outnumbered, defeated a host of allied Ming and Korean forces at the Battle of Sacheon in 1598. Yoshihiro was feared as Oni-Shimazu ("Shimazu ogre") and his nickname spread across Korea and into China.

Toyotomi Hideyoshi, who later commanded the invasion of Korea, leads a small group assaulting the castle on Mount Inaba. Print by Tsukioka Yoshitoshi.

In spite of the superiority of Japanese land forces, the two expeditions ultimately failed after Hideyoshi's death,^[49] though the invasions did devastate the Korean peninsula. The causes of the failure included Korean naval superiority (which, led by Admiral Yi Sun-sin, harassed Japanese supply lines continuously throughout the wars, resulting in supply shortages on land), the commitment of sizable Ming forces to Korea, Korean guerrilla actions, wavering Japanese commitment to the campaigns as the wars dragged on, and the underestimation of resistance by Japanese commanders.

In the first campaign of 1592, Korean defenses on land were caught unprepared, under-trained, and under-armed. They were rapidly overrun, with only a limited number of successfully resistant engagements against the more experienced and battle-hardened Japanese forces. During the second campaign in 1597, Korean and Ming forces proved far more resilient and with the support of continued Korean naval superiority, managed to limit Japanese gains to parts of southeastern Korea. The final death blow to the Japanese campaigns in Korea came with Hideyoshi's death in late 1598 and the recall of all Japanese forces in Korea by the Council of Five Elders, established by Hideyoshi to oversee the transition from his regency to that of his son Hideyori.

Battle of Sekigahara

The Battle of Sekigahara, known as "Japan's decisive battle" (天下分け目の戦い, Tenka wakeme no tatakai)

Many samurai forces that were active throughout this period were not deployed to Korea; most importantly, the daimyōs Tokugawa Ieyasu carefully kept forces under his command out of the Korean campaigns, and other samurai commanders who were opposed to Hideyoshi's domination of Japan either mulled Hideyoshi's call to invade Korea or contributed a small token force.

Most commanders who opposed or otherwise resisted or resented Hideyoshi ended up as part of the so-called Eastern Army, while commanders loyal to Hideyoshi and his son (a notable exception to this trend was Katō Kiyomasa, who deployed with Tokugawa and the Eastern Army) were largely committed to the Western Army; the two opposing sides (so named for the relative geographical locations of their respective commanders' domains) later clashed, most notably at the Battle of Sekigahara which was won by Tokugawa Ieyasu and the Eastern Forces, paving the way for the establishment of the Tokugawa shogunate.

Social mobility was high, as the ancient regime collapsed and emerging samurai needed to maintain a large military and administrative organizations in their areas of influence. Most of the samurai families that survived to the 19th century originated in this era, declaring themselves to be the blood of one of the four ancient noble clans: Minamoto, Taira, Fujiwara and Tachibana. In most cases, however, it is difficult to prove these claims.

Tokugawa shogunate

Samurai were the ruling class during the Tokugawa shogunate.

After the Battle of Sekigahara, when the Tokugawa shogunate defeated the Toyotomi clan at summer campaign of the Siege of Osaka in 1615, the long war period ended. During the Tokugawa shogunate, samurai increasingly became courtiers, bureaucrats, and administrators rather than warriors. With no warfare since the early 17th century, samurai gradually lost their military function during the Tokugawa era (also called the Edo period).

By the end of the Tokugawa era, samurai were aristocratic bureaucrats for the daimyōs, with their daishō, the paired long and short swords of the samurai (cf. katana and wakizashi) becoming more of a symbolic emblem of power rather than a weapon used in daily life. They still had the legal right to cut down any commoner who did not show proper respect kiri-sute gomen (斬り捨て御免), but to what extent this right was used is unknown. When the central government forced daimyōs to cut the size of their armies, unemployed rōnin became a social problem.

Theoretical obligations between a samurai and his lord (usually a daimyō) increased from the Genpei era to the Edo era. They were strongly emphasized by the teachings of Confucius and Mencius, which were required reading for the educated samurai class. The leading figures who introduced Confucianism in Japan in the early Tokugawa period were Fujiwara Seika (1561–1619), Hayashi Razan (1583–1657), and Matsunaga Sekigo (1592–1657).

The conduct of samurai served as role model behavior for the other social classes.^[50] With time on their hands, samurai spent more time in pursuit of other interests such as becoming scholars.After the Edo period, it came to cover all of society, and although the shogunate sometimes invited monks as advisors, the nobility was excluded from the government. As a result, samurai began to assume all civilian roles, and from the Edo period onwards, samurai shifted their activities from military to political administration. In addition, those who were newly promoted to the shogunate or domain in recognition of talents unrelated to martial arts, such as literature and scholarship, were also given the status of samurai. It can be said that the difference between a samurai and a military officer appears in such a place. In the Edo Shogunate, samurai equivalent to civil servants and administrative officers were called "officials" Samurai were given an honorific title and were called 'Obuke-sama'.

Edo, 1865 or 1866. Photochrom print. Five albumen prints joined to form a panorama. Photographer: Felice Beato.

Modernization

Kamei Koremi, a samurai and daimyō in the bakumatsu period

The relative peace of the Tokugawa era was shattered with the arrival of Commodore Matthew Perry's massive U.S. Navy steamships in 1853. Perry used his superior firepower to force Japan to open its borders to trade. Prior to that only a few harbor towns, under strict control from the shogunate, were allowed to participate in Western trade, and even then, it was based largely on the idea of playing the Franciscans and Dominicans against one another (in exchange for the crucial arquebus technology, which in turn was a major contributor to the downfall of the classical samurai).

From 1854, the samurai army and the navy were modernized. A naval training school was established in Nagasaki in 1855. Naval students were sent to study in Western naval schools for several years, starting a tradition of foreign-educated future leaders, such as Admiral Enomoto. French naval engineers were hired to build naval arsenals, such as Yokosuka and Nagasaki. By the end of the Tokugawa shogunate in 1867, the Japanese navy of the shōgun already possessed eight western-style steam warships around the flagship Kaiyō Maru, which were used against pro-imperial forces during the Boshin War, under the command of Admiral Enomoto Takeaki. A French Military Mission to Japan (1867) was established to help modernize the armies of the Bakufu.

A studio photograph of a samurai, taken by Italian–British photographer Felice Beato, c. 1860

The last showing of the original samurai was in 1867 when samurai from Chōshū and Satsuma provinces defeated the shogunate forces in favor of the rule of the emperor in the Boshin War. The two provinces were the lands of the daimyōs that submitted to Ieyasu after the Battle of Sekigahara in 1600.

Dissolution

Iinuma Sadakichi, a Japanese samurai of the Aizu domain. He was the sole survivor of the famous group of young Byakkotai soldiers who committed suicide on Iimori Hill during the Battle of Aizu.

In the 1870s, samurai comprised five percent of the population, or 400,000 families with about 1.9 million members. They came under direct national jurisdiction in 1869, and of all the classes during the Meiji revolution they were the most affected.^[51] Although many lesser samurai had been active in the Meiji restoration, the older ones represented an obsolete feudal institution that had a practical monopoly of military force, and to a large extent of education as well. A priority of the Meiji government was to gradually abolish the entire class of samurai and integrate them into the Japanese professional, military and business classes.^[52]

Their traditional guaranteed salaries were very expensive, and in 1873 the government started taxing the stipends and began to transform them into interest-bearing government bonds; the process was completed in 1879. The main goal was to provide enough financial liquidity to enable former samurai to invest in land and industry. A military force capable of contesting not just China but the imperial powers required a large conscript army that closely followed Western standards. The notion of very strict obedience to chain of command was incompatible with the individual authority of the samurai. Samurai now became Shizoku (士族; this status was abolished in 1947). The right to wear a katana in public was abolished, along with the right to execute commoners who paid them disrespect. In 1877, there was a localized samurai rebellion that was quickly crushed.^[53]

Younger samurai often became exchange students because they were ambitious, literate and well-educated. On return, some started private schools for higher education, while many samurai became reporters and writers and set up newspaper companies.^[54] Others entered governmental service.^[55] In the 1880s, 23 percent of prominent Japanese businessmen were from the samurai class; by the 1920s the number had grown to 35 percent.^[56]

Religious influences

The philosophies of Confucianism,^[37] Buddhism and Zen, and to a lesser extent Shinto, influenced the samurai culture. Zen meditation became an important teaching because it offered a process to calm one's mind. The Buddhist concept of reincarnation and rebirth led samurai to abandon torture and needless killing, while some samurai even gave up violence altogether and became Buddhist monks after coming to believe that their killings were fruitless. Some were killed as they came to terms with these conclusions in the battlefield. The most defining role that Confucianism played in samurai philosophy was to stress the importance of the lord-retainer relationship—the loyalty that a samurai was required to show his lord.

Literature on the subject of bushido such as Hagakure ("Hidden in Leaves") by Yamamoto Tsunetomo and Gorin no Sho ("Book of the Five Rings") by Miyamoto Musashi, both written in the Edo period, contributed to the development of bushidō and Zen philosophy.

According to Robert Sharf, "The notion that Zen is somehow related to Japanese culture in general, and bushidō in particular, is familiar to Western students of Zen through the writings of D. T. Suzuki, no doubt the single most important figure in the spread of Zen in the West."^[57] In a 16th century account of Japan sent to Father Ignatius Loyola at Rome, drawn from the statements of Anger (Han-Siro's western name), Xavier describes the importance of honor to the Japanese (Letter preserved at College of Coimbra):

In the first place, the nation with which we have had to do here surpasses in goodness any of the nations lately discovered. I really think that among barbarous nations there can be none that has more natural goodness than the Japanese. They are of a kindly disposition, not at all given to cheating, wonderfully desirous of honour and rank. Honour with them is placed above everything else. There are a great many poor among them, but poverty is not a disgrace to any one. There is one thing among them of which I hardly know whether it is practised anywhere among Christians. The nobles, however poor they may be, receive the same honour from the rest as if they were rich.^[58]

Doctrine

A samurai holding a severed head. After a battle, the heads of enemies were presented to the daimyo.

In the 13th century, Hōjō Shigetoki wrote: "When one is serving officially or in the master's court, he should not think of a hundred or a thousand people, but should consider only the importance of the master."^[59] Carl Steenstrup notes that 13th- and 14th-century warrior writings (gunki) "portrayed the bushi in their natural element, war, eulogizing such virtues as reckless bravery, fierce family pride, and selfless, at times senseless devotion of master and man".^[60]

Feudal lords such as Shiba Yoshimasa (1350–1410) stated that a warrior looked forward to a glorious death in the service of a military leader or the emperor:

It is a matter of regret to let the moment when one should die pass by ... First, a man whose profession is the use of arms should think and then act upon not only his own fame, but also that of his descendants. He should not scandalize his name forever by holding his one and only life too dear ... One's main purpose in throwing away his life is to do so either for the sake of the Emperor or in some great undertaking of a military general. It is that exactly that will be the great fame of one's descendants.^[61]

General Akashi Gidayu preparing to perform Seppuku after losing a battle for his master in 1582. He had just written his death poem.

In 1412, Imagawa Sadayo wrote a letter of admonishment to his brother stressing the importance of duty to one's master. Imagawa was admired for his balance of military and administrative skills during his lifetime, and his writings became widespread. The letters became central to Tokugawa-era laws and became required study material for traditional Japanese until World War II:^[62]

First of all, a samurai who dislikes battle and has not put his heart in the right place even though he has been born in the house of the warrior, should not be reckoned among one's retainers ... It is forbidden to forget the great debt of kindness one owes to his master and ancestors and thereby make light of the virtues of loyalty and filial piety ... It is forbidden that one should ... attach little importance to his duties to his master ... There is a primary need to distinguish loyalty from disloyalty and to establish rewards and punishments.^[63]

Similarly, the feudal lord Takeda Nobushige (1525–1561) stated:

In matters both great and small, one should not turn his back on his master's commands ... One should not ask for gifts or enfiefments from the master ... No matter how unreasonably the master may treat a man, he should not feel disgruntled ... An underling does not pass judgments on a superior.^[64]

Nobushige's brother Takeda Shingen (1521–1573) also made similar observations:

One who was born in the house of a warrior, regardless of his rank or class, first acquaints himself with a man of military feats and achievements in loyalty ... Everyone knows that if a man doesn't hold filial piety toward his own parents he would also neglect his duties toward his lord. Such a neglect means a disloyalty toward humanity. Therefore such a man doesn't deserve to be called 'samurai'.^[65]

The feudal lord Asakura Yoshikage (1428–1481) wrote: "In the fief of the Asakura, one should not determine hereditary chief retainers. A man should be assigned according to his ability and loyalty." Asakura also observed that the successes of his father were obtained by the kind treatment of the warriors and common people living in domain. By his civility, "all were willing to sacrifice their lives for him and become his allies."^[66]

Katō Kiyomasa was one of the most powerful and well-known lords of the Sengoku period. He commanded most of Japan's major clans during the invasion of Korea. In a handbook he addressed to "all samurai, regardless of rank", he told his followers that a warrior's only duty in life was to "grasp the long and the short swords and to die". He also ordered his followers to put forth great effort in studying the military classics, especially those related to loyalty and filial piety. He is best known for his quote:^[67] "If a man does not investigate into the matter of Bushido daily, it will be difficult for him to die a brave and manly death. Thus it is essential to engrave this business of the warrior into one's mind well."

A painting of Ōishi Yoshio performing seppuku, 1703

Nabeshima Naoshige (1538–1618 AD) was another Sengoku daimyō who fought alongside Kato Kiyomasa in Korea. He stated that it was shameful for any man to have not risked his life at least once in the line of duty, regardless of his rank. Nabeshima's sayings were passed down to his son and grandson and became the basis for Tsunetomo Yamamoto's Hagakure. He is best known for his saying, "The way of the samurai is in desperateness. Ten men or more cannot kill such a man."^[68][69]

Torii Mototada (1539–1600) was a feudal lord in the service of Tokugawa Ieyasu. On the eve of the battle of Sekigahara, he volunteered to remain behind in the doomed Fushimi Castle while his lord advanced to the east. Torii and Tokugawa both agreed that the castle was indefensible. In an act of loyalty to his lord, Torii chose to remain behind, pledging that he and his men would fight to the finish. As was custom, Torii vowed that he would not be taken alive. In a dramatic last stand, the garrison of 2,000 men held out against overwhelming odds for ten days against the massive army of Ishida Mitsunari's 40,000 warriors. In a moving last statement to his son Tadamasa, he wrote:^[70][71]

It is not the Way of the Warrior [i.e., bushidō] to be shamed and avoid death even under circumstances that are not particularly important. It goes without saying that to sacrifice one's life for the sake of his master is an unchanging principle. That I should be able to go ahead of all the other warriors of this country and lay down my life for the sake of my master's benevolence is an honor to my family and has been my most fervent desire for many years.

It is said that both men cried when they parted ways, because they knew they would never see each other again. Torii's father and grandfather had served the Tokugawa before him, and his own brother had already been killed in battle. Torii's actions changed the course of Japanese history. Ieyasu Tokugawa successfully raised an army and won at Sekigahara.

The translator of Hagakure, William Scott Wilson, observed examples of warrior emphasis on death in clans other than Yamamoto's: "he (Takeda Shingen) was a strict disciplinarian as a warrior, and there is an exemplary story in the Hagakure relating his execution of two brawlers, not because they had fought, but because they had not fought to the death".^[72][73]

The rival of Takeda Shingen (1521–1573) was Uesugi Kenshin (1530–1578), a legendary Sengoku warlord well versed in the Chinese military classics and who advocated the "way of the warrior as death". Japanese historian Daisetz Teitaro Suzuki describes Uesugi's beliefs as:

Those who are reluctant to give up their lives and embrace death are not true warriors ... Go to the battlefield firmly confident of victory, and you will come home with no wounds whatever. Engage in combat fully determined to die and you will be alive; wish to survive in the battle and you will surely meet death. When you leave the house determined not to see it again you will come home safely; when you have any thought of returning you will not return. You may not be in the wrong to think that the world is always subject to change, but the warrior must not entertain this way of thinking, for his fate is always determined.^[74]

Families such as the Imagawa were influential in the development of warrior ethics and were widely quoted by other lords during their lifetime. The writings of Imagawa Sadayo were highly respected and sought out by Tokugawa Ieyasu as the source of Japanese feudal law.

An Edo-period screen depicting the Battle of Sekigahara. It began on 21 October 1600 with a total of 160,000 men facing each other.

Historian H. Paul Varley notes the description of Japan given by Jesuit leader St. Francis Xavier: "There is no nation in the world which fears death less." Xavier further describes the honour and manners of the people: "I fancy that there are no people in the world more punctilious about their honour than the Japanese, for they will not put up with a single insult or even a word spoken in anger." Xavier spent 1549 to 1551 converting Japanese to Christianity. He also observed: "The Japanese are much braver and more warlike than the people of China, Korea, Ternate and all of the other nations around the Philippines."^[75]

Education

Kōan Ogata, a samurai, physician and rangaku scholar in late Edo period Japan, noted for establishing an academy which later developed into Osaka University

In general, samurai, aristocrats, and priests had a very high literacy rate in kanji. Recent studies have shown that literacy in kanji among other groups in society was somewhat higher than previously understood. For example, court documents, birth and death records and marriage records from the Kamakura period, submitted by farmers, were prepared in Kanji. Both the kanji literacy rate and skills in math improved toward the end of Kamakura period.^[77]

Some samurai had buke bunko, or "warrior library", a personal library that held texts on strategy, the science of warfare, and other documents that would have proved useful during the warring era of feudal Japan. One such library held 20,000 volumes. The upper class had Kuge bunko, or "family libraries", that held classics, Buddhist sacred texts, and family histories, as well as genealogical records.^[83]

Literacy was generally high among the warriors and the common classes as well. The feudal lord Asakura Norikage (1474–1555 AD) noted the great loyalty given to his father, due to his polite letters, not just to fellow samurai, but also to the farmers and townspeople:

There were to Lord Eirin's character many high points difficult to measure, but according to the elders the foremost of these was the way he governed the province by his civility. It goes without saying that he acted this way toward those in the samurai class, but he was also polite in writing letters to the farmers and townspeople, and even in addressing these letters he was gracious beyond normal practice. In this way, all were willing to sacrifice their lives for him and become his allies.^[84]

In a letter dated 29 January 1552, St Francis Xavier observed the ease of which the Japanese understood prayers due to the high level of literacy in Japan at that time:

There are two kinds of writing in Japan, one used by men and the other by women; and for the most part both men and women, especially of the nobility and the commercial class, have a literary education. The bonzes, or bonzesses, in their monasteries teach letters to the girls and boys, though rich and noble persons entrust the education of their children to private tutors.
Most of them can read, and this is a great help to them for the easy understanding of our usual prayers and the chief points of our holy religion.^[85]

In a letter to Father Ignatius Loyola at Rome, Xavier further noted the education of the upper classes:

The Nobles send their sons to monasteries to be educated as soon as they are 8 years old, and they remain there until they are 19 or 20, learning reading, writing and religion; as soon as they come out, they marry and apply themselves to politics. They are discreet, magnanimous and lovers of virtue and letters, honouring learned men very much.

In a letter dated 11 November 1549, Xavier described a multi-tiered educational system in Japan consisting of "universities", "colleges", "academies" and hundreds of monasteries that served as a principal center for learning by the populace:

But now we must give you an account of our stay at Cagoxima. We put into that port because the wind was adverse to our sailing to Meaco, which is the largest city in Japan, and most famous as the residence of the King and the Princes. It is said that after four months are passed the favourable season for a voyage to Meaco will return, and then with the good help of God we shall sail thither. The distance from Cagoxima is three hundred leagues. We hear wonderful stories about the size of Meaco: they say that it consists of more than ninety thousand dwellings. There is a very famous University there, as well as five chief colleges of students, and more than two hundred monasteries of bonzes, and of others who are like coenobites, called Legioxi, as well as of women of the same kind, who are called Hamacutis. Besides this of Meaco, there are in Japan five other principal academies, at Coya, at Negu, at Fisso, and at Homia. These are situated round Meaco, with short distances between them, and each is frequented by about three thousand five hundred scholars. Besides these there is the Academy at Bandou, much the largest and most famous in all Japan, and at a great distance from Meaco. Bandou is a large territory, ruled by six minor princes, one of whom is more powerful than the others and is obeyed by them, being himself subject to the King of Japan, who is called the Great King of Meaco. The things that are given out as to the greatness and celebrity of these universities and cities are so wonderful as to make us think of seeing them first with our own eyes and ascertaining the truth, and then when we have discovered and know how things really are, of writing an account of them to you. They say that there are several lesser academies besides those which we have mentioned.

Names

A samurai was usually named by combining one kanji from his father or grandfather and one new kanji. Samurai normally used only a small part of their total name.

For example, the full name of Oda Nobunaga was "Oda Kazusanosuke Saburo Nobunaga" (織田上総介三郎信長), in which "Oda" is a clan or family name, "Kazusanosuke" is a title of vice-governor of Kazusa province, "Saburo" is a formal nickname (yobina), and "Nobunaga" is an adult name (nanori) given at genpuku, the coming of age ceremony. A man was addressed by his family name and his title, or by his yobina if he did not have a title. However, the nanori was a private name that could be used by only a very few, including the emperor. Samurai could choose their own nanori and frequently changed their names to reflect their allegiances.

Samurai were given the privilege of carrying two swords and using 'samurai surnames' to identify themselves from the common people.^[86]

Marriage

Toyotomi Hideyoshi with his wives and concubines

Samurai had arranged marriages, which were arranged by a go-between of the same or higher rank. While for those samurai in the upper ranks this was a necessity (as most had few opportunities to meet women), this was a formality for lower-ranked samurai. Most samurai married women from a samurai family, but for lower-ranked samurai, marriages with commoners were permitted. In these marriages a dowry was brought by the woman and was used to set up the couple's new household.

A samurai could take concubines, but their backgrounds were checked by higher-ranked samurai. In many cases, taking a concubine was akin to a marriage. Kidnapping a concubine, although common in fiction, would have been shameful, if not criminal. If the concubine was a commoner, a messenger was sent with betrothal money or a note for exemption of tax to ask for her parents' acceptance. Even though the woman would not be a legal wife, a situation normally considered a demotion, many wealthy merchants believed that being the concubine of a samurai was superior to being the legal wife of a commoner. When a merchant's daughter married a samurai, her family's money erased the samurai's debts, and the samurai's social status improved the standing of the merchant family. If a samurai's commoner concubine gave birth to a son, the son could inherit his father's social status.

A samurai could divorce his wife for a variety of reasons with approval from a superior, but divorce was, while not entirely nonexistent, a rare event. A wife's failure to produce a son was cause for divorce, but adoption of a male heir was considered an acceptable alternative to divorce. A samurai could divorce for personal reasons, even if he simply did not like his wife, but this was generally avoided as it would embarrass the person who had arranged the marriage. A woman could also arrange a divorce, although it would generally take the form of the samurai divorcing her. After a divorce, samurai had to return the betrothal money, which often prevented divorces.

Culture of the Iga and Koga clans

The leaders of the Iga and Koga clan shinobi were samurai,^[87] and cultivated ideas about secretive tactics for centuries to become leaders of mercenaries for nobles to pay and use.

Head collection

Kamakura samurai beheading (head collection)

Cutting off the head of a worthy rival on the battlefield was a source of great pride and recognition. There was a whole ritual to beautify the severed heads: first they were washed and combed,^[118] and once this was done, the teeth were blackened by applying a dye called ohaguro.^[119] The reason for blackening the teeth was that white teeth was a sign of distinction, so applying a dye to darken them was a desecration.^[119] The heads were carefully arranged on a table for exposure.^[118]

In 1600, Kani Saizō participated in the Battle of Sekigahara as the forerunner of Fukushima Masanori's army.^[120] In the outpost battle of Gifu Castle, he took the heads of 17 enemy soldiers, and was greatly praised by Tokugawa Ieyasu.^[120] He fought with a bamboo stalk on his back and would mark the heads of his defeated enemies by putting bamboo leaves in their cut necks or mouths, since he couldn't carry every head.^[120] Thus he gained the nickname Bamboo Saizo.^[120]

During Toyotomi Hideyoshi's invasions of Korea, the number of severed heads of the enemies to be sent to Japan was such that for logistical reasons only the noses were sent. These were covered with salt and shipped in wooden barrels. These barrels were buried in a burial mound near the "Great Buddha" of Hideyoshi, where they remain today under the wrong name of mimizuka or "ear mound."^[121]

Military formations

During the Azuchi-Momoyama period and thanks to the introduction of firearms, combat tactics changed dramatically. The military formations adopted had poetic names, among which are:^[122]

Name	Description	Image
Ganko (birds in flight)	A very flexible formation that allowed the troops to adapt depending on the movements of the opponent. The commander was located at the rear, but near the center to avoid communication problems.
Hoshi (arrowhead)	An aggressive formation in which the samurai took advantage of the casualties caused by the shooting of the ashigaru. The signaling elements were close to the major generals of the commander.
Saku (lock)	Considered the best defense against the Hoshi,[123] since two rows of arcabuceros and two archers were in position to receive the attack.
Kakuyoku (crane wings)	Recurrent formation with the purpose of surrounding the enemy. The archers and arcabuceros diminished the enemy troops before the melee attack of the samurai while the second company surrounded them.
Koyaku (yoke)	Owes its name to the yokes used for oxen. It was used to neutralize the "crane wings" and "arrowhead" attack and its purpose was for the vanguard to absorb the first attack and allow time for the enemy to reveal his next move to which the second company could react in time.
Gyōrin (fish scales)	Frequently used to deal with much more numerous armies. Its purpose was to attack a single sector to break the enemy ranks.
Engetsu (half moon)	Used when the army was not yet defeated but an orderly withdrawal to the castle was needed. While the rearguard receded, the vanguard could still be organized according to the circumstances.