Saigō Takamori (seated, in Western uniform), surrounded by his officers, in samurai attire, during the 1877 Satsuma rebellion. News article in Le Monde Illustré, 1877.
Samurai (侍?) were the military nobility and officer caste of medieval and early-modern Japan.
In Japanese, they are usually referred to as bushi (武士?, [bu.ɕi]) or buke (武家?). According to translator William Scott Wilson: “In Chinese, the character 侍 was originally a verb meaning “to wait upon” or “accompany persons” in the upper ranks of society, and this is also true of the original term in Japanese, saburau. In both countries the terms were nominalized to mean “those who serve in close attendance to the nobility”, the pronunciation in Japanese changing to saburai. According to Wilson, an early reference to the word “samurai” appears in the Kokin Wakashū (905–914), the first imperial anthology of poems, completed in the first part of the 10th century.[1]
By the end of the 12th century, samurai became almost entirely synonymous with bushi, and the word was closely associated with the middle and upper echelons of the warrior class. The samurai were usually associated with a clan and their lord, were trained as officers in military tactics and grand strategy. While the samurai numbered less than 10% of then Japan’s population,[2] their teachings can still be found today in both everyday life and in modern Japanese martial arts.
Contents
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1History
1.1Asuka and Nara periods
1.2Heian period
1.3Late Heian Period, Kamakura Bakufu, and the rise of samurai
1.4Ashikaga Shogunate
1.5Sengoku period
1.6Azuchi–Momoyama period
1.6.1Oda, Toyotomi and Tokugawa
1.7Tokugawa Shogunate
1.8Modernization
1.9Decline
2Philosophy
2.1Religious influences
2.2Doctrine
3Arts
4Culture
4.1Education
4.2Names
4.3Marriage
5Women
6Western samurai
7Weapons
8Armour
9Myth and reality
10Popular culture
11Famous samurai
12See also
13References
14Bibliography
14.1Primary sources
15External links
History
Asuka and Nara periods
Iron helmet and armor with gilt bronze decoration, Kofun era, 5th century. Tokyo National Museum.
Following the Battle of Hakusukinoe against Tang China and Silla in 663 AD, which led to a retreat from Korean affairs, Japan underwent widespread reform. One of the most important was that of the Taika Reform, issued by Prince Naka-no-Ōe (Emperor Tenji) in 646 AD. This edict allowed the Japanese aristocracy to adopt the Tang dynasty political structure, bureaucracy, culture, religion, and philosophy.[3] As part of the Taihō Code of 702 AD, and the later Yōrō Code,[4] the population was required to report regularly for 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 was drafted into the national military. These soldiers were required to supply their own weapons, and in-return were exempted from duties and taxes.[3] 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.[citation needed]
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. Although these “samurai” were civilian public servants, the modern word is believed[by whom?] to have derived from this term. Military men, however, would not be referred to as “samurai” for many more centuries.[citation needed]
Heian period
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 sent military campaigns against the Emishi, who resisted the governance of the Kyoto-based imperial court. Emperor Kammu introduced the title of sei’i-taishōgun (征夷大将軍), or Shogun, and began to rely on the powerful regional clans to conquer the Emishi. Skilled in mounted combat and archery (kyūdō), 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 “Shogun” title, it was a temporary title, and was not imbued with political power until the 13th century. At this time (the 7th to 9th century), the Imperial Court officials considered them to be merely a military section under the control of the Imperial Court.
Samurai on horseback, wearing ō-yoroi armour, carrying bow (yumi) and arrows in a yebira quiver
Ultimately, Emperor Kammu 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.[citation needed] Through protective agreements and political marriages, they accumulated, or gathered, political power, eventually surpassing the traditional aristocracy.[citation needed]
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, and by the mid-Heian period they had adopted characteristic Japanese armor and weapons.
Late Heian Period, Kamakura Bakufu, and the rise of samurai
Samurai ō-yoroi armour, Kamakura period. Tokyo National Museum.
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 clans. Though originally sent to provincial areas for a fixed four-year term as a magistrate, 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.
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 Kyushu 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.[5]
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 appeared as the political ruling power in Japan.
Ashikaga Shogunate
The Samurai Suenaga facing Mongols, during the Mongol invasions of Japan. Mōko Shūrai Ekotoba (蒙古襲来絵詞), circa 1293
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 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.
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. This 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. This 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 recalling their armies.
Samurai and defensive wall at Hakata. Moko Shurai Ekotoba, (蒙古襲来絵詞) c.1293
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”. 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.
In the 14th century, a blacksmith called Masamune developed a two-layer structure of soft and hard steel for use in swords. This structure gave much improved cutting power and endurance, and the production technique led to Japanese swords (katana) being recognized as some of the most potent hand weapons of pre-industrial East Asia. Many swords made using this technique were exported across the East China Sea, a few making their way as far as India.
Samurai on horse back wearing ō-yoroi, 16th century
Issues of inheritance caused family strife as primogeniture became common, in contrast to the division of succession designated by law before the 14th century. To avoid infighting, invasions of neighboring samurai territories became common and bickering among samurai was a constant problem for the Kamakura and Ashikaga shogunates.
Sengoku period
The Sengoku jidai (“warring-states period”) was marked by the loosening of samurai culture with people born into other social strata sometimes making names for themselves as warriors and thus becoming de facto samurai.
Japanese war tactics and technologies improved rapidly in the 15th and 16th century. Use of large numbers of infantry called ashigaru (“light-foot”, due to their light armor), formed of humble warriors or ordinary people with nagayari (a long lance) or (naginata), was introduced and combined with cavalry in maneuvers. The number of people mobilized in warfare ranged from thousands to hundreds of thousands.
Nanban (Western)-style samurai cuirass, 16th century
The arquebus, a matchlock gun, was introduced by the Portuguese via a Chinese pirate ship in 1543 and the Japanese succeeded in assimilating it within a decade. Groups of mercenaries with mass-produced arquebuses began playing a critical role. By the end of the Sengoku period, several hundred thousand firearms existed in Japan and massive armies numbering over 100,000 clashed in battles.
Azuchi–Momoyama period
In 1592, and again in 1597, Toyotomi Hideyoshi, aiming to invade China (唐入り) through Korea, mobilized an army of 160,000 peasants and samurai and deployed them to Korea. (See Hideyoshi’s invasions of Korea, Chōsen-seibatsu (朝鮮征伐?). Taking advantage of arquebus mastery and extensive wartime experience from the Sengoku period, Japanese samurai armies made major gains in most of Korea. Katō Kiyomasa advanced to Orangkai territory (present-day Manchuria) bordering Korea to the northeast and crossed the border into Manchuria, but withdrew after retaliatory attacks from the Jurchens there, as it was clear he had outpaced the rest of the Japanese invasion force. A few of the more famous samurai generals of this war were Katō Kiyomasa, Konishi Yukinaga, and Shimazu Yoshihiro. Shimazu Yoshihiro led some 7,000 samurai and, despite being heavily outnumbered, defeated a host of allied Ming and Korean forces at the Battle of Sacheon in 1598, near the conclusion of the campaigns. Yoshihiro was feared as Oni-Shimazu (“Shimazu ogre”) and his nickname spread across not only Korea but to Ming Dynasty China. In spite of the superiority of Japanese land forces, ultimately the two expeditions failed (though they did devastate the Korean landmass) from factors such as 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 sizeable Ming forces to Korea, Korean guerrilla actions, 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 – in the second campaign of 1597, Korean and Ming forces proved to be a far more difficult challenge and, with the support of continued Korean naval superiority, limited Japanese gains to parts southeastern Korea), and wavering Japanese commitment to the campaigns as the wars dragged on. 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).
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 did 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) would later clash, 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 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 hard to prove these claims.
Oda, Toyotomi and Tokugawa
The Samurai Hasekura Tsunenaga in Rome in 1615, Coll. Borghese, Rome.
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.[6] 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, heavily used 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.
Importantly, Toyotomi Hideyoshi (see below) 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. At last, only Ieyasu tastes it.”[citation needed] (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, himself the son of a poor peasant family, created a law that the samurai caste became codified as permanent and hereditary, and that non-samurai were forbidden to carry weapons, thereby ending the social mobility of Japan up until that point, which lasted until the dissolution of the Edo Shogunate by the Meiji revolutionaries.
It is important to note that 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.
Tokugawa Shogunate
Samurai were the ruling class during the Tokugawa shogunate.
Miyamoto Musashi, Self-portrait, Ronin, writer and artist, c. 1640
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 (ca 550 BC), which were required reading for the educated samurai class.
The conduct of samurai served as role model behavior for the other social classes. With time on their hands, samurai spent more time in pursuit of other interests such as becoming scholars.
Modernization
Main article: Late Tokugawa shogunate
Shogunal samurai troops in 1864 (Illustrated London News)
Samurai with sword, ca. 1860
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 off 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 shogun 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. A French Military Mission to Japan (1867) was established to help modernize the armies of the Bakufu.
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 (1868–1869). The two provinces were the lands of the daimyō that submitted to Ieyasu after the Battle of Sekigahara (1600).
Decline
Matsudaira Katamori (1836–93), photographed on the day of a cavalcade before Emperor Kōmei
Samurai of the Satsuma clan, during the Boshin War period, circa 1867. Hand-colored Photograph by Felice Beato
Saigō Takamori (upper right, in Western uniform) directing his troops, some of them in traditional samurai armor, at the Battle of Shiroyama.
Emperor Meiji abolished the samurai’s right to be the only armed force in favor of a more modern, western-style, conscripted army in 1873. Samurai became Shizoku (士族) who retained some of their salaries, but the right to wear a katana in public was eventually abolished along with the right to execute commoners who paid them disrespect. The samurai finally came to an end after hundreds of years of enjoyment of their status, their powers, and their ability to shape the government of Japan. However, the rule of the state by the military class was not yet over. In defining how a modern Japan should be, members of the Meiji government decided to follow the footsteps of the United Kingdom and Germany, basing the country on the concept of noblesse oblige. Samurai were not a political force under the new order. With the Meiji reforms in the late 19th century, the samurai class was abolished, and a western-style national army was established. The Imperial Japanese Armies were conscripted, but many samurai volunteered as soldiers, and many advanced to be trained as officers. Much of the Imperial Army officer class was of samurai origin, and were highly motivated, disciplined, and exceptionally trained.
The last samurai conflict was arguably in 1877, during the Satsuma Rebellion in the Battle of Shiroyama. This conflict had its genesis in the previous uprising to defeat the Tokugawa Shogunate, leading to the Meiji Restoration. The newly formed government instituted radical changes, aimed at reducing the power of the feudal domains, including Satsuma, and the dissolution of samurai status. This led to the ultimately premature uprising, led by Saigō Takamori.
Samurai were many of the early exchange students, not directly because they were samurai, but because many samurai were literate and well-educated scholars. Some of these exchange students started private schools for higher educations, while many samurai took pens instead of guns and became reporters and writers, setting up newspaper companies, and others entered governmental service. Some samurai became businessmen. For example, Iwasaki Yatarō, who was the great-grandson of a samurai, established Mitsubishi.
Only the name Shizoku existed after that. After Japan lost World War II, the name Shizoku disappeared under the law on 1 January 1947.
Philosophy
Religious influences
The philosophies of Buddhism and Zen, and to a lesser extent Confucianism and Shinto