Medieval Japan, 900-1600 (Military History)

Introduction

Famine, drought, disease, pestilence, and dirty politics forced total civil war on the Japanese people from 900 CE to 1600 CE. The imperial court established military reforms placing higher responsibilities on the provincial governments, eventually weakening the court. Mercenary groups of samurai were bought and sold as private armies; with the right deal, even changing sides mid-battle was common. The situation forced peasants into supporting these armies with goods and services above their own needs. The imperial court (based on the Confucian model) and the emperor (believed to be divine) after a short time became a figurehead. Maintaining law and order, day-to-day governing, and collecting taxes were delegated to mid-level samurai aristocrats with their private mercenary armies at the provincial level. Ethics were not always practiced among the samurai. Daimyo verbally laid down ethics codes, and a few even had them written down. As military needs grew, the legitimate laws called the Taiho Code also began to decay. Stimulated by natural disasters, by 1185 daimyo were in a constant battle for productive farmlands. Fleeting samurai honor lead to treachery, espionage, subterfuge, etc. In 1192, the northern Kanto provinces far from the capitol began to rebel. The imperial court/regent was forced to establish a local military-led shadow government (bakufu) to keep the peace. Leadership was a samurai general (shogun) and a retired emperor for a perceived legitimacy. In 1274 the Mongol Kubilai Khan unsuccessfully attempted an invasion; in 1281 he tried again, unsuccessfully after a relatively short war of attrition. The economic and loyalty problems continued. By 1477, family alliances across Japan were in constant flux. In 1543 the Portuguese arrived, complicating matters by bringing Christianity and trade with the West. They also introduced finely made handheld firearms and cannons. These firearms changed the face of Japanese warfare and eventually allowed a resourceful samurai to unify Japan into a nation. The constant warfare brought religion (a syncretism of Buddhism and Shinto) to the forefront, becoming a means of emotional survival for both commoners and aristocrats alike. Some saw the new Christianity as a means of solace, while others saw it as a way to get better trade deals with the Portuguese Jesuits. In 1571, Oda Nobunaga joined with the Toyotomi and Tokugawa samurai families, intending to unify Japan through the triumvirate. A long thirty-year war ensued. Nobunaga was killed in 1583, allowing Toyotomi Hideyoshi to finally unify Japan in 1590. Hideyoshi, seeing the Japanese as a superior race, decided to unify and rule East Asia as well, and in 1592, he invaded Korea with plans to use it as a platform to overtake China. The war, popularly known as the Imjin War, ended in 1598 with Japan retreating home, followed by the death of Hideyoshi. His heir-apparent was too young to rule. The triumvirate agreement had Tokugawa Ieyasu ruling until Hideyoshi’s heir was of age and mopping up the last traditional strongholds, ending with the Battle of Sekigahara in 1600. Soon after, Tokugawa had Hideyoshi’s heir assassinated, took over and became shogun, and brought a new order of civility to Japan and nearly three hundred years of peace.

General Overviews

The history of Japan during the period from 900 to 1600 CE “is” a military history. The “total war” atmosphere that spanned this eight-hundred-year period forced the entire population into participating. In order for a researcher to grasp the Japanese propensity for war, it is important to understand the origins of the Japanese people and the mental and physical environment they experienced. The complexity of the Japanese culture can make it difficult to focus on one historical topic without over stepping into others. Readers not familiar with Japan prior to 900 CE should reference the appropriate Oxford Bibliographies article Military History of Japan (origin to 900 AD), or for a quick, light/easy reference, read Morton and Olenik 2005; it is brief, well organized by timeline, and briefly covers the periods of origin leading up to the early 21st century in accurate but simple terms. It provides the general public with a place to start a more comprehensive project. The publications listed in this section are a mix of comprehensive chronologic and lighter-side overviews of Japan suited for both serious researchers and casual curiosity. Throughout this section and the article as a whole, the historiography varies. Much of the information comes from ancient Chinese texts translated into Japanese and then into English, or directly into English as well. Both the casual reader and the serious researcher can have difficulty understanding the texts. It is recommended that the reader, especially the serious researcher, try and do comparative reading to get two or more sources rather than settle on one source. The historiographies of the selections included in this section are considered the main stream, as they are the basic overview of the period. The selections included throughout the rest of the article are more detailed, focusing on a specific topic and as intended, lean more toward the individuals’ perceptions of the interpretation of one or more primary and/or secondary source. The reader, therefore, should not be surprised if there are what appear to be slight contradictions in facts among particular interpretations.

Morton, W. Scott, and J. Kenneth Olenik. Japan: Its History and Culture. 4th ed. New York: McGraw-Hill, 2005.
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Good for a quick, easy-to-read reference for chronology and background; not a lot of detail and written at a general education level.
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Full Reference Texts

There is one included publication needing specific mentioning, though it does not belong to the era of this article, the Nihongi: Chronicles of Japan from the Earliest Times to 697. The work is a chronicle from the beginnings of Japan to 697 CE. It is an actual translation by W. G. Aston, formatted like a journal or logbook covering the early history of Japan, and written by the people that lived it. It is one of the best compilations of personal experiences describing the mind and foundations of the Japanese culture. The other texts included here are in either encyclopedia or textbook format; they cover a wide range of topics prior to, within, and beyond the time period of this article. Each is included to provide a range of perspectives giving several topic options to the researcher. Deal 2006 is a college-level textbook on the era from 1185 to the Meiji Restoration in 1868, giving a smooth read through the era. The detail is not very deep, but it paints a nice picture of the times. De Bary 2001 is an excellent critique of medieval Japan by post–World War II Japanese scholars. Kleinschmidt 2007 is a collection of essays on the social context of war and the military culture. Totman 2005 is part of the Blackwell History of the World series. The researcher emphasizes the human element by describing the interaction of art, religion, politics, and socioeconomics, and their play in the evolution of the Japanese Confucian model and influence on the military. The Cambridge volumes (Shively and McCullough 1999 and Yamamura 1990) come from a six-volume set on Japan; they illustrate a comprehensive history that emphasizes the Chinese influences, primarily in culture, government, and religion, and its evolution into what becomes Japan. Sansom 1961a and Sansom 1961b are part of a three-volume set, with these first two volumes covering the origins through the era of this article. Sansom compares Japanese culture with various other cultures and social relationships in a political setting, helping the Westerner to understand the Japanese thought process. The beginning student of Japanese early or medieval history of any discipline, as mentioned, should read the Nihongi: Chronicles of Japan from the Earliest Times to 697 for a cultural introduction; also read Hall 1983 and Yanaga 1939 (both cited under General Overviews: Articles and Short Works) first, if possible, as they will help with understanding the interpretation difficulties between the “old” to “modern” Japanese, and then to English and/or American, and they will also help in explaining the importance of primary sources.

de Bary, William Theodore, ed. Sources of Japanese Tradition. Vol. 1, From Earliest Times to 1600. 2d ed. Introduction to Asian Civilizations. New York: Columbia University Press, 2001.
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Retranslation of a 1958 first edition; an unusual collection of works by Japanese historians about what they think of their own Japanese culture during this period. The authors not only critique the popular history of the evolution of Japan’s culture but also each other. Graduate level.
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Deal, William E. Handbook to Life in Medieval and Early Modern Japan. New York: Oxford University Press, 2006.
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Briefly and broadly covers most aspects of life in Japan from the Kamakura (1185 CE) through the Tokugawa period, to the beginning of the Meiji (1867). It is in a college textbook format, well organized, and has an excellent bibliography as a place to start selecting topics for further research.
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Kleinschmidt, Harald, ed. Warfare in Japan. New ed. International Library of Essays on Military History. Aldershot, UK: Ashgate, 2007.
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A collection of university-level articles by top-notch authors covering the span of the samurai period; focuses on social context of war and military organization, referencing other relevant topics. Somewhat pricy for a private purchase; however, full of solid information on the topic. Suggested to find it in a library.
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Nihongi: Chronicles of Japan from the Earliest Times to 697. Translated by William G. Aston. Boston: Tuttle, 1972.
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A word of caution—originally handwritten chronicles can be easily edited throughout time to make certain things look favorable. An important read for any student of Japanese history, regardless of discipline or era of study; compiled from original journals; an excellent job anglicizing the ancient Chinese and Japanese texts.
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Sansom, George. A History of Japan: To 1334. Vol. 1. Stanford, CA: Stanford University Press, 1961a.
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Part of a three-volume set, this volume this is the first. Emphasizes the origins of Japan as a people and its evolution of culture and sociology; the author was one of the most knowledgeable Western Japanese historians thus far; very easy to read and understand.
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Sansom, George. A History of Japan: 1334–1615. Vol. 2. Stanford, CA: Stanford University Press, 1961b.
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The author was one of the most knowledgeable and known Western Japanese historians. Reads almost like a novel; all disciplines of history integrated into one story; emphasizes the “people” detail on several military campaigns and battles.
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Shively, Donald H., and William H. McCullough, eds. The Cambridge History of Japan. Vol. 2, Heian Japan. New York: Cambridge University Press, 1999.
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This volume covers primarily the Heian period and emphasizes the imperial court. It is an excellent reference for both undergraduate and graduate study, very comprehensive and heavy in detail, yet easy to read. It includes excellent bibliographies and extensive works cited to expand research capabilities.
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Totman, Conrad. A History of Japan. 2d ed. Blackwell History of the World. Malden, MA: Blackwell, 2005.
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Excellent reference, very comprehensive, heavy in detail. In some places the author gets wordy and hard to read; recommended more for graduate study than undergraduate; excellent reference on Japanese general socioeconomics related to war in the period. The appendixes are very helpful for continuing your research.
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Yamamura, Kozo, ed. The Cambridge History of Japan. Vol. 3, Medieval Japan. New York: Cambridge University Press, 1990.
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This volume emphasizes the medieval period from a political and cultural economic perspective surrounding the bakufu system. Excellent reference for both undergraduate and graduate study, very comprehensive and heavy in detail, yet easy to read. It includes excellent bibliographies and extensive works cited to expand research capabilities.
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Articles and Short Works

These must-read articles are excellent primers into the study of medieval Japan. Hall 1983 should be read first; it explains the difficult evolution of translation from ancient Eastern languages into modern English, to progressing into a viable interpretation. Though Yanaga 1939 appears dated, it explains the relevancy of primary sources; though the example concentrates on the Kamakura period, the explanations are relevant regardless of period.

Hall, John Whitney. “Terms and Concepts in Japanese Medieval History: An Inquiry into the Problems of Translation.” Journal of Japanese Studies 9.1 (Winter 1983): 1–32.
DOI: 10.2307/132259Save Citation »Export Citation »E-mail Citation »
This article is an explanation and description of the difficulties of not only translating but also interpreting ancient Japanese commonly written in a Japanese version of Chinese, and its evolution into modern Japanese language and eventually into an understandable modern English. The article’s linguistic concepts are essential for understanding ancient and medieval Japanese research.
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Yanaga, Chitoshi. “Source Material in Japanese History: The Kamakura Period, 1192–1333.” Journal of the American Oriental Society 59.1 (1939): 38–55.
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A listing, description, and relevancy of primary-source material, in other words, “check these out first,” relating to government and feudalism during the Kamakura period; excellent for readers just breaking into the era.
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The Samurai

The samurai is arguably the most influential character of the era. In the early 21st century, the samurai warrior has quite a pop/cult following around the world. This popularity has expanded into many media formats from serious study to comic books/graphic novels and cartoons, to video games and full-length motion pictures, though many of the nonacademic depictions are false and/or exaggerated. From 900 to 1600 CE, the samurai caste was the center of the Japanese culture and provided the catalyst that activated everything Japanese to date. There were two and even three different governments coexisting at once in Japan for the majority of the seven centuries of this article. The emperors of the period were primarily figureheads. Occasionally, rebellious emperors, such as Emperor Go-Daigo for example, were a bit stronger than others. They were consistently unsuccessful or only lasted a few years in attempting to regain control from the samurai. For the most part, a samurai was behind anything that appeared to come from an emperor until the 1868 restoration. The second, a “shadow” government, was the bakufu. The bakufu was a military government that actually controlled all aspects of the government from economics and foreign trade to social morays and religion, and beyond. The bakufu oversaw the day-to-day workings and protection of Japan. There were several versions of bakufu depending on the clan in power: the Kamakura, Muromachi, and Tokugawa being the most famous. There was a loyalty divide between the emperor and the bakufu throughout history, but the power of the bakufu far outweighed that of the emperor during these years through most of the 19th century. Consistent with the Confucian model, there were several levels of samurai and civilian ranks within the imperial court and bakufu systems; each individual court rank had to be approved by the emperor. The rank of a military clan was dependent upon the imperial-granted rank of its ruling samurai lord. Clan power was dependent on the support of the local member daimyo (property owner/warlord samurai). The daimyo were the center of local power. They maintained armies of their own and were for rent to the highest-bidding clan leaders above them, though loyalty was always up for renegotiation. With the frequent natural disasters such as draught, pestilence, and the like, local border wars were commonplace, the prize usually being workable, fertile farmland. Honor was touted as being the mainstay of the samurai, at least on the surface. Backstage however, honor was of minimal concern for the most part, paralleling modern-day “soap operas.” For example, during many of the clan battles, an army would change sides, being bought right out from under an opposition general for the right price. These types of free enterprise and “every man for himself” attitudes continued until the Tokugawa Shogunate in 1600 CE. Tokugawa brought back, at the threat of death, true honor while reestablishing the whole of samurai culture. Regardless, good or bad, the samurai warrior was the centerpiece of this era through the next, until their demise in 1868 with the Meiji Restoration and the return of imperial leadership.

Full Reference Texts

The purpose of your inquiry, depending on whether it is for serious research or entertainment/recreation, will determine whose work you should take the time to read first. The selections are separated by level of complexity for this topic. If your inquiry is for serious research, go to Conlan, Farris 1995, Friday 1992, and Varley 1994 listed under the Samurai: Full Reference Texts: College-Level Works. These authors’ works tend to be the most comprehensive, knowledgeable, factual, and detailed; the other works listed in the section are more subtopic specific. All of these works are heavy in notes, bibliography, and primary sources. Turnbull, though an excellent and accurate historian, tends to write for the masses; therefore, his publications generally lack the detail for university-level research though many points within his work are usable at that level. In addition, a word of caution on many books written about samurai and Asian martial arts in general, many works on the market for the general public are full of opinions touted as fact by the authors, especially those written by many martial arts instructors. The information given can be a version of a version, etc., of an opinion or theory, less than a generation old and not properly vetted for authenticity or fact. The works listed here are heavily vetted and can be trusted to give the most accurate and academically accepted information, regardless of level of research. There are also novels listed here; certain novels, such as those listed in this section, are recommended by many historians for research purposes, as they are based on fact. They are well researched and accurately depict the cultural and social climate of the period. Yoshikawa is a well-known Japanese author who thoroughly researches his work for authenticity.

General Education–Level Works

If you are a curious reader and are looking for general information about the samurai warrior, this section is for you. This list is well vetted for authenticity and an entertaining pleasure to read. Ratti and Westbrook 1973 gives the basics of what it took to be a samurai; Samuel 2005 provides an illustrated quick reference guide to quick facts; Sharpe 2008 provides a cultural and biographical background of prominent figures of the period; Skoss 1999 provides an excellent basic background on samurai and Japanese traditions; Turnbull 1996 and also Turnbull 2003, Turnbull 2006, and Turnbull 2010 (all cited under Samurai: Articles and Short Works) give a general overview of the topics; and Varley 1970 brings it all together in story form.

Ratti, Oscar, and Adele Westbrook. Secrets of the Samurai: The Martial Arts of Feudal Japan. Boston: Tuttle, 1973.
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Written at a secondary education to early undergraduate level with a comprehensive bibliography, the work is detailed in the samurai mentality and psyche, based on training, weaponry, and sociology. The authors also explain the practicality and development of the samurai garb, which often seems to be overlooked in most similar publications.
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Samuel, Robert T. The Samurai: The Philosophy of Victory. New York: Barnes and Noble, 2005.
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The excellent illustrations are the book’s strength; secondary-school level, used best as a quick reference for definitions, samurai clothing, types of warriors, tidbits of philosophies, etc.; the issue here is that it tends to overboast the true quality of samurai character for the era, which was not always the case before Tokugawa.
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Sharpe, Michael. Samurai Leaders: From the Tenth to the Nineteenth Century. New York: Metro Books, 2008.
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A coffee-table dictionary of biographical briefs including known and popular drawings of many of Japan’s most noted figures, beginning in the 11th century. For the general public; included here because of the author’s concise accuracy of the briefs and the artwork; worth a perusal.
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Skoss, Diane. Sword and Spirit: Classical Warrior Traditions of Japan. Vol. 2. Berkley Heights, NJ: Koryu, 1999.
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This author does an adequate job of explaining the evolution of many of the samurai/Japanese traditions. It is an easy read with good illustrations and worth a look to put that picture in your mind’s eye.
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Turnbull, Stephen. Samurai Warfare. London: Arms and Armour, 1996.
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This author writes for the masses; his books are generally well illustrated, easy to understand, and entertaining and accurate, but lack academic detail. This book covers a lot of “how and/or why” ground and is very good for those who know little to nothing about Samurai warfare. Tends to drive the reader to want to read more about the subject.
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Varley, H. Paul. Samurai. Pageant of History Series. New York: Dell, 1970.
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In collaboration with Ivan Morris and Nobuko Albery, this is a little-known, hard-to-find paperback by a well-vetted author. Written for the general public, it is packed with general informational facts about medieval/feudal Japan, an excellent memory jogger when researching or teaching.
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College-Level Works

This section is a list of works that provides high levels of detail on each topic. The selection of works included here was designed to provide a variety of subjects to illustrate the flexibility of the samurai caste, to not only fight and wage war as well as govern a complex agrarian society, but also to rule a people that are very spiritual and dependent on faith. Farris 1995 provides a political outlook that describes the samurai through their steps to mature governance; Friday 1992 and Friday and Humitaki 1997 provide a wide range of topics through the two publications listed, describing the nation-building skills and the educational system developed by the samurai to keep order and develop spirit and general knowledge; Ikigami 1995 looks into the maturity of the caste by getting into the head of the samurai, delving into personal relationships; Taira 1999 is a retranslation of a 12th-century “code of ethics”; Varley 1994 provides a translation and interpretation of a list of personal accounts known as the “War Tales” and is an essential read for all students of the period. Each of these works gives unique and complex outlooks into what a samurai was and how they related to the people and the world around them. This is in spite of the hype produced in the modern-day entertainment world. A true student of the era will not be disappointed with the real story.

Farris, William Wayne. Heavenly Warriors: The Evolution of Japan’s Military, 500–1300. Cambridge, MA: Harvard University Press, 1995.
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Well-researched and easy-to-read college-level work describing the evolution of Japanese military tactics based on historical technology, economics, politics, and the social order. There is a heavy emphasis on the maturing political skills that eventually led to the samurai class’s domination of the imperial court.
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Friday, Karl F. Hired Swords: The Rise of Power in Early Japan. Stanford, CA: Stanford University Press, 1992.
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The book details Japan’s nation-building trials and tribulations beginning in the Heian period. This author a true storyteller and writes at the college level, though tends to assume the reader has a general background in Japanese history and vocabulary. Includes a glossary and excellent citation list.
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Friday, Karl F., and Seki Humitaki. Legacies of the Sword: The Kashima-Shinryu and Samurai Martial Culture. Honolulu: University of Hawai‘i Press, 1997.
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This is an excellent description of the samurai as an individual. The author, under the guidance of a headmaster and education historian, describes in some detail the educational system of the typical late medieval samurai not only as a warrior but also as a landowner and leader.
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Ikigami, Eiko. The Taming of the Samurai: Honorific Individualism and the Making of Modern Japan. Cambridge, MA: Harvard University Press, 1995.
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Details of the samurai warrior and their relationship to politics and society in general. Uses individual relationships to demonstrate her explanations of their attributes; a unique perspective. University level, very detailed.
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Taira, Shigesuke. Code of the Samurai: A Modern Translation of the Bushido Shoshinshu of Taira Shigesuke. Translated by Thomas Clearly. Rutland, VT: Tuttle, 1999.
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This is one of the rare “code of ethics” that was actually written down; it was specifically written for the powerful Taira clan in the mid-12th century to gain better control over soldiers and staff. The translation and interpretation are well done and easy to read.
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Varley, H. Paul. Warriors of Japan: As Portrayed in the War Tales. Honolulu: University of Hawai‘i Press, 1994.
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A translation of a compilation of personal accounts by participants and historians of the day, depicting actual events known as the “War Tales.” This version is written and interpreted at a college level and should be in the library of any student of medieval Japanese history.
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Articles and Short Works

The articles listed, though important works, are not as important as their sources; there are a multitude of articles on this subject. But note that the language and literature of the pre-Meiji era are written in ancient text, which is not only very difficult to literally translate but also very difficult to interpret, even for the Japanese. To the West, information on ancient and medieval Japan is still relatively new and constantly evolving. Joining several journal “search engines” or having access to them through local or university libraries would be most beneficial. As a starting point, the Journal for Japanese Studies, Monumenta Nipponica, Asian Philosophy, and Journal of the American Oriental Society would be a good place to start. A word about the history “series” books published by Osprey Publishing—they are a quick reference; they are easy to read, focused on specific topics, concise, well organized, accurate, light in detail, illustrated, and written at a level that is also entertaining. They are easy to find at most major brick-and-mortar and online outlets. Some examples are listed throughout the article; at the time of this printing, there are close to thirty already on the market for this period, with frequent additions to the list. Of the works listed in this section, Ikegami 2003 explains how shame is perceived by the samurai caste; Preston 2003 does a comparative study of the samurai with early Western culture; Steenstrup 1973 and Steenstrup 1974 describe the origins of family samurai codes of ethics and rule of behavior. Turnbull 1979, Turnbull 2003, Turnbull 2006, and Turnbull 2010 give a general overview of the organization of the armies, the samurai as a person, and their religion.

Ikegami, Eiko. “Shame and the Samurai: Institutions, Trustworthiness, and Autonomy in the Elite Honor Culture.” Social Research 70.4 (2003): 1351–1378.
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A comparative study of how shame was perceived within the warrior elite of the age, the Tokugawa, and intercaste as well as gender perceptions and the ethical implications.
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Preston, Ted M. “The Stoic Samurai.” Asian Philosophy 13.1 (2003): 39–52.
DOI: 10.1080/09552360301665Save Citation »Export Citation »E-mail Citation »
The author does a decent comparison of the philosophy of the samurai to that of the philosophy and lifestyle of the Stoics of ancient Greece.
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Sadanoba, Matsudiara. “Daimyo Katagi.” Monumenta Nipponica 38.1 (Spring 1983): 20–48.
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An interesting and somewhat amusing discussion of some myth-busting and a few Confucian views of perceived warrior toughness and character. A food-for-thought article. Available online by subscription.
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Steenstrup, Carl. “The Imagawa Letter: A Muromachi Warrior’s Code of Conduct Which Became a Tokugawa Schoolbook.” Monumenta Nipponica 28.3 (Autumn 1973): 295–316.
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There were few codes of conduct written down during the medieval period; the author describes the story of “the letter” and how it took on a life of its own to become arguably the most famous letter and code of ethics in Japanese history.
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Steenstrup, Carl. “Hōjō Soun’s Twenty-One Articles: The Code of Conduct of the Odawara Hōjō.” Monumenta Nipponica 29.3 (Autumn 1974): 283–303.
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Hōjō Soun’s twenty-one articles written in 1518 for his son and successor; one of the few codes that were actually written down. Soun, once a member of the Imagawa, may have gotten his idea for the codes from them. The author also includes a nice bio on Soun.
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Turnbull, Stephen. Samurai Armies 1550–1615. Men-at-Arms series. London: Osprey, 1979.
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An Osprey short work; a brief outline and description on the organization of the organizational structure of samurai armies during the unification period.
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Turnbull, Stephen. Samurai: The World of the Warrior. Oxford: Osprey, 2003.
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An Osprey short work and, as usual for this author, popular, easy read, covers a lot of ground, and gives just enough detail about the samurai warrior, leaving the reader wanting more, for which you will have to go elsewhere.
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Turnbull, Stephen. The Samurai and the Sacred. Warrior series. Oxford: Osprey, 2006.
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An Osprey short work. The book is not too detailed, with a general background on the religions and the synchronicity of the Japanese religious culture, and how it relates to the samurai. As with all of this author’s books, they are factual, accurate, and written for the masses.
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Turnbull, Stephan. Samurai Women 1184–1877. Warrior series. Oxford: Osprey, 2010.
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An Osprey short work; gives an excellent brief of the role of samurai women throughout the period of the article; gives insight into training, roles during peacetime, dress, and several other traditional responsibilities.
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Biographies and Biographic Novels

The listed biographies are scholarly accounts of the samurai they depict: Berry 1989 is an account of the life of the unifier of Japan known as Toyotomi Hideyoshi; Turnbull 2005, Turnbull 2010, and Turnbull 2012 are short Osprey briefs describing the lives and accomplishments of the period’s most influential samurai commanders. The novelized works in this section give an excellent picture of the attitudes and the way of life in Japan in the late 1500s as well as some of the noted personalities of the period. Yoshikawa 1992 is a novelized history on the relationship of Japan’s 16th-century unifying triumvirate. Yoshikawa 1995 is the novelized biography of Japan’s most famous samurai, Miyamoto Musashi. These novels are based on the lives of real samurai, taken from stories, legends, and written history. This particular Japanese author is known for his gift of telling a realistic yarn and gives a fairly true-to-life picture of the culture, way of life of the period, and the subject in an entertaining format.

Berry, Mary Elizabeth. Hideyoshi. Cambridge, MA: Harvard University Press, 1989.
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Arguably, the most comprehensive English-language look at the life and relationships of the samurai commander that unified not only the military of Japan but also the country itself. Easy to read, has an excellent note section.
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Friday, Karl F. The First Samurai: The Legend of the Warrior Rebel Taira Masakado. Hoboken, NJ: John Wiley, 2008.
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This is a well-researched story of Taira Masakado, “the most famous samurai you never heard of,” as stated by the author. Written at a college level, reads like a novel, and provides very detailed background information on Japanese politics and culture during the early to mid-10th century.
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Turnbull, Stephen. Samurai Commanders (1): 940–1576. Elite series. Oxford: Osprey, 2005.
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An Osprey short work discussing the several influential samurai commanders during the period, their lives, and how they changed Japan, ending the Sengoku, or Warring States, period and beginning the Unification period.
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Turnbull, Stephen. Toyotomi Hideyoshi. Command series. Oxford: Osprey, 2010.
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An Osprey short work discussing the life of one of the most influencing figures in Japanese history, his life, and how he unified Japan, ending the Sengoku, or Warring States, period.
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Turnbull, Stephen. Tokugawa Ieyasu. Command series. Oxford: Osprey, 2012.
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An Osprey short work discussing the life of one of the most influencing figures in Japanese history, his life, and how he established the most successful bakufu that lead Japan to almost three hundred years of peace.
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Yoshikawa, Eiji. Taiko. Translated by William Scott Wilson. Tokyo: Kodansha International, 1992.
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A novel. Written about the lives of the triumvirate of Hideyoshi, Nobunaga, and Tokugawa samurai warlords and unifiers of Japan in the late 1500s.
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Yoshikawa, Eiji. Musashi. Translated by Charles S. Terry. Tokyo: Kodansha International, 1995.
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A novel. Miyamoto Musashi—a samurai; touted as the greatest Japanese swordsman of all time; author of The Book of Five Rings (1645), a book on the anatomy of strategy and arguably the most popular book on strategy, behind Sun Tzu’s Art of War. Basis for the three-part feature Japanese film, The Samurai Trilogy.
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Additional Literary Works

Many academics consider these books as dramatic literature rather than historic fact; they are often compared to Homer’s works on early Greek history. They are included because many other historians actually see the works as dramatic history. Written shortly after they supposedly took place, these selections depict a realistic view of the court life of medieval Japan’s most famous and powerful warrior families. Murasaki 2001 (Genji, “House of Minamoto”) and Tyler 2012a (Heike, “House of Taira”) are translations of the original works depicting the stories of two of the most powerful samurai families in Japan’s history. Tyler 2012b is a before and after, and Yoshitsune: A Fifteen-Century Japanese Chronicle is a biographical supplement on the Heike and is taken from similar contemporary works of the period. There are several translations of these works; the translators listed here provide ample supporting data and notes relating to storylines. From a military history perspective, they illustrate additional behind-the-scenes dealings used to maintain power and status within a typical military/warrior family and the national structure. Yoshitsune was the younger brother of Minamoto Yoritomo and a general of one of his armies. It is unknown why he has minimal mention in the original Heike or the Genji, as his story is quite interesting and fairly important to both stories, hence included here.

Murasaki, Shikibu. The Tale of Genji. Translated by Royall Tyler. New York: Penguin, 2001.
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Considered the world’s first novel; interpreted into modern English for an easy read. Extensive footnote explanations help the reader understand the culture, historical background, and priorities of court. This interpretation is recommended for university-level readers.
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Tyler, Royall, trans. The Tale of the Heike. New York: Viking, 2012a.
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The true author of this tale is not known, though there are several unsubstantiated guesses; this version was designed to be performed, but Tyler’s interpretation allows for a smooth read and includes many explanatory footnotes. This interpretation is recommended for university-level readers.
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Tyler, Royall, trans. Before Heike and After: Hogen, Heiji Jokyuki. Charleston, SC: CreateSpace, 2012b.
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Tyler put together this composite of three other related stories to tie up loose ends around the Tale of the Heike. Each story is a translation from original manuscripts written around the same time, believed to be the late 1300s.
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Yoshitsune: A Fifteen-Century Japanese Chronicle. Translated by Helen Craig McCullough. Stanford, CA: Stanford University Press, 1971.
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Can supplement both the Heike and/or the Genji. Yoshitsune was a Minamoto general who took part in the Minamoto-Taira war that was scarcely mentioned in the original tales; read the preface and the introduction to understand the relevance and importance. A translation of a primary work; general education level.
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Japanese Swords and Other Weapons

The samurai believed his sword to be his soul. The material listed in this section is included to help convey why they believed that and the painstaking effort used to solidify it. The swords as we know them in the early 21st century began to appear after the fall of the Hojo Clan when craftsmen and their schools began to establish themselves throughout Japan. Each set of swords were specifically designed and constructed for a specific samurai by a craftsman through an agreement between the two men. A basic set of swords consisted of a long sword of at least 60 cm in length (katana) used for fighting in large spaces, a short sword between 30 cm and 60 cm in length (wakizashi) used for fighting in small or cramped spaces, and a knife less than 30 cm in length (tanto) used as a sort of utility knife and close-in fighting. The craftsman had the right to deny his services to any samurai he felt was not worthy of a sword that he would build; they would also deny service if they felt that their craftsmanship was not worthy of the skills of the requesting samurai. Prior to this period, the samurai were known in Japan as mounted archers. As the sword was becoming more popular, the mounted archery skills of the samurai began to disappear, becoming more a novelty rather than a required skill, studied more for the discipline than as a combat skill. The archer was becoming a backline skill for initiating combat at a distance, shooting the arrows over the heads of the frontline forces, as artillery is being used in modern times. Though firearms were known in Japan for some time, it was the Portuguese that introduced finely made firearms. It was not until the 1550s that firearms began to appear on the battlegrounds in Japan. The problem was not quality—it was quantity. The skills to mass-produce guns had not yet been established. Nobunaga, during the unification wars, was the first to truly use guns strategically in battle. The city of Sakai in Kyoto Province was fast becoming the gun-manufacturing center, and Nobunaga was quick to overtake it in 1568. From that time, Nobunaga and the triumvirate were able to consistently win battles, using musketeers, cannoneers, and archers in open-field battle, and lay siege on enemy castles, though fire was still the best siege weapon. After Nobunaga’s death in 1582, Hideyoshi and Tokugawa (the other two in the triumvirate) continued to use firearms to seal the unity of Japan. After Tokugawa established the Shogunate and established peace, firearm innovation basically stopped for the next three centuries until the United States reopened Japan to the world in 1853. Also, the skill of the ninja, or shinobi, is included in this section. Though they were technically samurai, the unique skillset and weaponry training were mainly practiced and perfected in the two provinces of Iga and Koga. The ninja was the weapon, and their primary skill was stealth. Throughout Japan’s history, they were used for assassination, espionage, subterfuge, and other covert operations to weaken an enemy prior to a specific attack or to turn the tide of an ongoing situation.

Full Reference Texts

There are literally hundreds of books and videos out on this subject; to vet them all would be cost prohibitive for practically anyone, so only seven basic works are listed here. Chase 2003 gives a quick and concise overview of the use of firearms in Korea and Japan, and Conlan 2008, the basics of Japanese weaponry in an entertaining format; Craig 1981 provides a brief history and instruction about the art Iai, the drawing of the sword; Cummins 2015 is excellent in its myth breaking and true description of the “ninja” skilled samurai; Nagayama 1997 gives you everything you need to know about the “sword” itself, but were afraid to ask. Included are also two translations of Musashi’s 1645 writings that describe the strategy of not only how to win with the sword but also the anatomy of strategy itself, so it is taught in universities the world over for use in strategic planning in many different professions; Takuan (c. 1630), a Shinto/Buddhist monk, was Musashi’s friend and instructor and explains the spirit and Zen practice of swordsmanship.

Chase, Kenneth. Firearms: A Global History to 1700. Cambridge, UK: Cambridge University Press, 2003.
DOI: 10.1017/CBO9780511806681Save Citation »Export Citation »E-mail Citation »
This book covers a broad history of firearms but includes a concise and accurate chapter (pp. 172–196) on the use of firearms in Korea and Japan.
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Conlan, Thomas D. Weapons & Fighting Techniques of the Samurai Warrior, 1200–1877 AD. New York: Metro Books, 2008.
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Though resembling a coffee-table book format (meaning many colorful drawings/pictures) and written at a secondary education level, this well-vetted author gives accurate verbal and graphic descriptions as well as history of the military methods, equipment, and protocols of war used by the samurai during the medieval and Tokugawa periods.
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Craig, Darrell Max. Iai: The Art of Drawing the Sword. Tokyo: Lotus, 1981.
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Excellent instruction, explanations, and illustrations of the traditions and the history of the art. Though written at a secondary education level, should not be discounted by any level of education.
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Cummins, Antony. Samurai and Ninja. Rutland, VT: Tuttle, 2015.
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A myth buster; gives a detailed, realistic look at the skills of the ninja; how and why they developed many of the skills; and a brief of some of the ceremonial inclusions in the art form; describes the unique weaponry and why they were adapted.
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Miyamoto, Musashi. The Book of Five Rings: The Classic Guide to Strategy. Translated by Victor Harris. Woodstock, NY: Overlook Press, 1974.
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No-frills translation; he footnotes interpretive opinion, not including it in the text; includes a short historical introduction to put the reader in the moment; many master-level martial arts students are required to study this version intensely.
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Miyamoto, Musashi. The Book of Five Rings. Translated by Thomas Cleary. Boston: Shambhala, 1993.
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A popular version of The Book of Five Rings translation; there are a few questionable interpretations left to your personal preference. Also includes The Book of Family Traditions on the Art of War by Yagyu Munenori, a work on leadership; Cleary does an excellent job translating and interpreting this Japanese classic written around the same time as Musashi’s book.
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Nagayama, Kokan. The Connoisseur’s Book of Japanese Swords. Translated by Kenji Mishina. Tokyo: Kodansha International, 1997.
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Arguably, the best book on Japanese sword design on the market; histories of both the sword and traditional and famous designers; well illustrated.
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Takuan, Soho. The Unfettered Mind. Translated by William Scott Wilson. Tokyo: Kondonsha International, 1986.
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Written by a Zen and sword master, and Musashi’s friend and instructor. Three essays, the first two on the attitude of swordsmanship, and the third on recognizing true self, its effects on you as an individual; the actual dates they were written is unknown, but believed to be in the 1630s.
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Articles and Short Works

Shackley 1986 and Wilson 1973 are included because they are compilations on unusual topics. Shackley 1986 is a short but interesting look at the efficiency and unusual cuts from a sword; the Osprey short works are a few examples of the many works available through the publisher. Turnbull and Dennis 2003, and Turnbull and Dennis 2005 are examples of fortresses such as castles, temples, and monasteries, and Turnbull and Reynolds 2001 and Turnbull and Reynolds 2002a give well-illustrated briefs on siege weapons. Turnbull and Reynolds 2002b and Turnbull and Reynolds 2003a cover the ships of both Japan and their enemies from the earliest times through the era of this article; Turnbull and Reynolds 2003b also puts together an excellent brief on the “ninja,” though it has a couple of minor contradictions, and it is a very good illustrated supplement to Cummins 2015 (cited under Japanese Swords and Other Weapons: Full Reference Texts); Wilson 1973 looks at the bow and arrow and the historiography surrounding them.

Shackley, Myra. “Arms and the Men; 14th Century Japanese Swordsmanship Illustrated by Skeletons from Zaimokuza, Near Kamakura, Japan.” In Special Issue: Weaponry and Warfare. World Archaeology 18.2 (October 1986): 247–254.
DOI: 10.1080/00438243.1986.9980001Save Citation »Export Citation »E-mail Citation »
An interesting postmortem study of sword cuts/wounds to determine efficiency of sword technique and armor of the attacker versus victim during battle.
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Turnbull, Stephen, and Peter Dennis. Japanese Castles 1540–1640. Fortress series. Oxford: Osprey, 2003.
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An Osprey short work. This volume gives excellent descriptions and pictures of many castles of the period, including siege descriptions.
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Turnbull, Stephen, and Peter Dennis. Japanese Fortified Temples and Monasteries AD 710–1062. Fortress series. Oxford: Osprey, 2005.
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An Osprey short work. This volume discusses and illustrates the different types of fortified temples and monasteries that the Japanese warrior-monks used during the era; included are layouts and construction drawings of several famous buildings of the era.
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Turnbull, Stephen, and Wayne Reynolds. Siege Weapons of the Far East (1): AD 610–1300. New Vanguard series. Oxford: Osprey, 2001.
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An Osprey short work. This volume covers the evolution and diversity of siege tactics of the Far East. Emphasizes the strengths and weaknesses of popular siege weaponry.
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Turnbull, Stephen, and Wayne Reynolds. Siege Weapons of the Far East (2): AD 960–1644. New Vanguard series. Oxford: Osprey, 2002a.
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An Osprey short work. This volume emphasizes primarily mobile mechanical weapons such as full-scale crossbows of all shapes and sizes, cannons, rockets, and other fire and gunpowder weapons.
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Turnbull, Stephen, and Wayne Reynolds. Fighting Ships of the Far East (1): China and Southeast Asia 202 BC–AD 1419. New Vanguard series. Oxford: Osprey, 2002b.
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Osprey short work. This volume discusses ships of China and Southeast Asia. Included here, as they are similar to ships that Japan patterned their ships, and later were used against them.
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Turnbull, Stephen, and Wayne Reynolds. Fighting Ships of the Far East (2): Japan and Korea AD 612–1639. New Vanguard series. Oxford: Osprey, 2003a.
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An Osprey short work. This volume discusses the Japanese ships of the day and emphasizes the ships the Koreans used during the Imjin War.
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Turnbull, Stephan, and Wayne Reynolds. Ninja: AD 1460–1650. Warrior series. Oxford: Osprey, 2003b.
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An Osprey short work. This volume is a brief and excellent supplement to Cummins 2015 (cited under Japanese Swords and Other Weapons: Full Reference Texts); there are a few minor contradictions that can be construed as opinion, though fairly accurate, but it is well illustrated and gives good descriptions of the weaponry.
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Wilson, William Ritchie. “The Way of the Bow and Arrow: The Japanese Warrior in Konjaku Monogatari.” Monumenta Nipponica 28.2 (Summer 1973): 177–233.
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Prior to the actual translations of these interesting Konjaku Monogatari (War tales), the author introduces an unusual and interesting concept by describing how they were originally compiled and recorded, how they became popular, and their evolution from a recount of an event to a legend or tale.
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Religion and Philosophy of the Warrior (Bushi)

Religion during this period is an important inclusion in military history as it was used by the samurai to guide their decisions, training, and overall philosophy. It is a syncretism of the indigenous Shinto, a form of ancestor worship and combination of several sects of Zen Buddhism, using a Japanese form of Confucian philosophy as a format. The use of the word “worship” in “ancestor worship” is probably not the correct word to use, as they did not actually worship their ancestry, but asked for guidance of those who had passed onto the next world. Though there are primary Kami, or deity, they tended to target a person that may have had experience in a particular dilemma that may have been bothering them. By the 10th century, the samurai had become a spiritual warrior. At its simplest, Bushi used religion as their salvation of this world, and they believed in the resolute acceptance of death. This meant that they believed they were already dead, so dying on the battlefield was no longer a worry to them, giving the freedom to enter into their own individual environment. Remember, they fought hand to hand, so combat was personal, as they got to see the eyes of their opponent and experience their death. As a believer in the Shinto, it meant when they left this world, they would move onto the next and serve and guide those still of this world. The study of Zen forms of Buddhism was encouraged in that it melded well with the “Way of the Sword” as it relates with the full nature of all things. Its simplicity allowed the Bushi to become one with their environment, as it eliminates anger and emphasizes timing within that one environment at that instant. The enemy becomes an honored guest in your “moment in time,” as you are in his, provided they are believers, but if not, so much the better for you. By being aware of your entire environment, you as the Bushi can feel his every breath, movement, etc., allowing you to build a space for him in your environment, hence knowing where he was going to be at the next instant, defeating him with “one cut.” Those most pure in their thinking—meaning, thinking without thinking—would always succeed. The goal is a Taoist approach, for the sword to become “no sword” and intention to become “no intention.” The prayer to the Supreme Being was the Bushi’s daily training. The synchronicity combines the spirituality, morality, and the order of the moment, and the ceremonial repetition of the training was formed by the Confucian philosophies taught to all Bushi since birth.

Full Reference Texts

There are literally thousands of books and articles on this subject in practically every written language. A student can spend many lifetimes reading and understanding them all. These titles are a good way to get you started. For the Westerner, it is best to start with Kasahara 2001 and/or Earhart 2004; they both lay out the basic evolution of the religion, showing its beginnings and how the influences of Buddhism melded its way into the culture. Heisig, et al. 2011 is a compilation of essays that go into deep detail of the philosophy of Japanese religion, describing the teachings of many of the clerics and their histories as to why they taught and thought the way they did. The remaining titles are interesting reading to help solidify your understanding. Fujisawa 1959 compares Japanese philosophies with some Western philosophies; McAlpine and McAlpine 1989 provides poems and short stories to give the student a look into the cultural and spiritual way of Japanese thinking; Ono 1962 describes ritual and ceremonies, demonstrating the order of Japanese thought; and Sei 1991 is a translated diary of a lady-in-waiting of the Empress Sadako, providing an unusual perspective on the thoughts of the day within the court.

Breen, John, and Mark Teeuwen. A New History of Shinto. Chichester, UK: Wiley-Blackwell, 2010.
DOI: 10.1002/9781444317190Save Citation »Export Citation »E-mail Citation »
A revisionist view, the understanding of traditional philosophies about religion in Japan is recommended before reading this work, and at least the undergraduate level of understanding.
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Earhart, H. Byron. Japanese Religion: Unity and Diversity. 4th ed. Belmont, CA: Wadsworth, 2004.
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Excellent description of the how and whys of the synchronism; recommended more at the graduate level as the language can be somewhat wordy and confusing.
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Fujisawa, Chikao. Zen and Shinto: A History of Japanese Philosophy. New York: Philosophical Library, 1959.
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Short and sweet, brings an interesting view of the melding of the two philosophies and some comparisons with Western philosophies.
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Heisig, James W., Thomas P. Kasulis, and John C. Maraldo, eds. Japanese Philosophy: A Sourcebook. Honolulu: University of Hawai‘i Press, 2011.
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A compilation of texts and essays spanning the whole of Japanese history by many of the world’s most respected scholars of Japanese philosophy, large sections describing the philosophies of the 900–1600 era, primarily written at the upperclassman and graduate levels.
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Kasahara, Kazuo, ed. A History of Japanese Religion. Translated by Paul McCarthy and Gaynor Sekimori. History of World Religions Series. Tokyo: Kosei, 2001.
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Many authors contributed to this very comprehensive compilation of studies describing the inclusion and evolution of religion in Japan, through to modern times; because it is a translation and very technical, it can be difficult to read at times, but tells all or close to it. Upperclassman to graduate level.
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McAlpine, Helen, and William McAlpine. Japanese Tales and Legends. Oxford Myths and Legends. New York: Oxford University Press, 1989.
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Compilation of tales/poems that span Japanese culture since ancient times. These short stories give a brief look into the mind and soul of the Japanese people and is worth reading, especially if you are a true student of Japanese history.
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Ono, Sokyo. Shinto: The Kami Way. Boston: Tuttle, 1962.
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Easy-to-read description of Shinto and its symbolism, shrines, and traditions; written at the secondary school level, with decent descriptive illustrations.
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Sei, Shonagon. The Pillow Book of Sei Shonagan. Translated by Ivan Morris. New York: Columbia University Press, 1991.
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This translation of a primary source exemplifies the culture of the late Heian period. Diary of the author, a courtesan and former lady-in-waiting of the Empress Sadako; important to military history in that it describes the imperial court mentality of the day; general education level.
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Government and Politics

The selections in this section center on the many complexities of the Japanese government(s) from 900 to 1600 CE. The ritualism, corruption, and behind-the-scenes antics as well as the open warfare that occurred within and between the entities that ruled Japan, unintended as it was, created a political mess that lasted from 1185 until 1600. At the beginning, the emperor served both as a religious and ceremonial leader, but always a bit lacking in the role as a governor, though the Confucian model of governing did provide the emperor with quite a support structure. By the 12th century, the military leadership had dominated that role, taking over the day-to-day ruling of the country. In 1185, Minamoto no Yoritomo convinced the emperor to officially make him the military ruler of Japan. He established the Kamakura bakufu, located and named after his family hometown. Minamoto did this in order to not deflect the peoples’ attention away from the emperor’s perceived position as a deity and the hereditary leader of the country. Normally, the military is considered the vessel that carries out governmental policy; however, once the emperor passed the true leadership role onto the bakufu, the government took on a whole new look. Over the next four centuries, power struggles passed between military families. The changes in the bakufu leadership to the Ashikaga military family after a long and drawn-out war split the imperial court into a Northern Court and a Southern Court. Over these next four hundred years, the country’s leadership remained in disarray. The constant state of political discourse during this period made for many wars, battles, and conflicts. The structure of the imperial court and the bakufu were complicated and expensive. Tax collections became a prime task for the military leadership. Court ranks based on the Chinese Confucian format were followed closely and passed down through generations. All promotions within the court had to be approved by the emperor. Guidance for those promotions became a way for the shogun to help fill the imperial and the bakufu coffers as social standing became a priority to members of the aristocracy. Corruption was a way of life by all of the citizenry from the lowest to the highest ranking. The country was ruled under the Taiho Code established in the early 8th century; it too was based on the Confucian model. Local governments were in control of their constituency, but economics were in a shambles. They were based on an agrarian culture where rice and grains were the primary currency. It was not until the unification of the Nobunaga, Toyotomi, and Tokugawa triumvirate that balance began to occur. When Tokugawa took over after the deaths of his two partners and was appointed shogun by the Emperor, he founded a new bakufu, reorganized the government, adjusted the culture, and restructured the caste system. Though a workable but not perfect system, the Japanese people finally saw a relatively prosperous and peaceful time that lasted until the Meiji Restoration in 1868 when Japan opened to the West.

Full Reference Texts

Conlan 2011 and Conlan 1998 delve deep into the confusing behind-the-scenes mess, which the public rarely if ever got to see. Conlan explains the manipulation of religious ritualism to control the courts, and written histories and manuscripts such as the Taiheiki, edited to make certain characters look their best for posterity. Some of his detail is so vivid you would think he was there. He takes a look at the scenario surrounding the individual in battle. Ferejohn and Rosenbluth 2010 is a collection of essays depicting the society’s adaptation to and survival of the total war around them; Ferris 2006 (cited under Economics) gives a socioeconomic perspective of the commoner and total war and the governmental relationship; Hall and Mass 1974 points out the areas lacking in the study of the government and sociology of the period; the known specialty of Ikegami 1995 is the Tokugawa era. The work listed here, however, takes the reader through social processes, exposing the maturing of militaristic and political attitudes of the local and regional samurai leadership, leading up to Tokugawa’s era of peace (1600 CE–1886 CE); Mass 1997 is a collection of essays comparing the Kamakura and the Muromachi bakufus; McCullough 2003 is a translation of the Taiheiki taken from personal diaries and tales told by people that lived it; and Souyri 2001 looks at social issues of the lower castes and how they were affected by the economic and cultural issues surrounding them.

Conlan, Thomas D. “State of War: The Violent Order of Fourteenth-Century Japan.” PhD diss., Stanford University, 1998.
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Conlan takes a different approach and goes into the individual soldier’s perspective as he looks at politics, the violence of war, religious influence, loyalty, and status via the Japanese Confucian model. Written at an upper-class to graduate level, very descriptive, and an excellent bibliography.
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Conlan, Thomas D. From Sovereign to Symbol: An Age of Ritual Determinism in Fourteenth-Century Japan. New York: Oxford University Press, 2011.
DOI: 10.1093/acprof:oso/9780199778102.001.0001Save Citation »Export Citation »E-mail Citation »
The insight this title presents on the ritualism and competition between the two courts during the 14th century is phenomenal, a unique approach focusing on the influence of court monks and the way they manipulated the courts. University level, fascinating read, be sure not to skip through the prelude, introduction, or explanatory footnotes.
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Ferejohn, John, and Frances McCall Rosenbluth, eds. War and State Building in Medieval Japan. Stanford, CA: Stanford University Press, 2010.
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This is a collection of essays by six of the most respected names in both Japanese sociology and military history. The work is a comparative study of local common folks surviving and stabilizing their world in spite of warring aristocracy occurring all around them. University level.
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Hall, John W., and Jeffery P. Mass, eds. Medieval Japan: Essays in Institutional History. Stanford, CA: Stanford University Press, 1974.
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Old but resilient, this collection of essays briefly depicts the politics, governmental structure, and sociology of medieval Japan. They were written by top American historians who accurately yet subtly pointed out the holes in the historical research of medieval Japan. Secondary and undergraduate university level.
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Ikegami, Eiko. The Taming of the Samurai: Honorific Individualism and the Making of Modern Japan. Boston: Harvard University Press, 1995.
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This work gives an interesting and detailed look at the part that the samurai played in Japanese politics and how they evolved from their earliest days through the entirety of this period into the bureaucrats of the 17th century through to the Meiji Restoration in the late 19th century. College level.
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Mass, Jeffery P., ed. The Origins of Japan’s Medieval World: Courtiers, Clerics, Warriors and Peasants in the Fourteenth Century. Stanford, CA: Stanford University Press, 1997.
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A wide range of perspectives by an international conglomerate of researchers. Mass was known for putting the right people together for these projects. This work includes a wide range of topics not generally found in one spot, comparing the Kamakura and Muromachi periods. Secondary advanced placement and university level.
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McCullough, Helen Craig, trans. The Taiheiki: A Chronicle of Medieval Japan. Boston: Tuttle, 2003.
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Written by unknown authors living the experience; an account of the fall of the Hōjō clan in the early 14th century. The translator appears to have captured the essence of the times, keeping modern perceptions to a minimum; if possible, be sure to read the prelude to Conlan 2011 first.
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Souyri, Pierre François. The World Turned Upside Down: Medieval Japan. Translated by Kathe Roth. New York: Columbia University Press, 2001.
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Many historical works cover higher-government and upper-caste issues. This one covers a wide range of sociological problems involving the lower castes of people, driven by economic and cultural issues. Covers the fluctuation of wealth among the local and regional mid-level warlords. Easy to read and understand; secondary and above. French edition printed in 1998.
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Articles and Short Works

Birt 1985 describes the evolution of the landowner samurai from the agricultural beginnings to the castle town tax collector; McClain 1980 explains the emergence of the castle town and its military importance; Osamu 1975 illustrates the leadership differences of Oda and Toyotomi and their ways of controlling the local daimyo; Steenstrup 1980 provides an example of a 14th-century law primer.

Birt, Michael P. “Samurai in Passage: The Transformation of the Sixteenth-Century Kanto.” Journal of Japanese Studies 11.2 (Summer 1985): 369–399.
DOI: 10.2307/132565Save Citation »Export Citation »E-mail Citation »
Describes the social evolution of the landowner samurai from a rural agricultural manager to the castle town–based samurai tax collector/businessman.
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McClain, James L. “Castle Towns and Daimyo Authority: Kanazawa in the Years 1583–1630.” Journal of Japanese Studies 6.2 (Summer 1980): 267–299.
DOI: 10.2307/132323Save Citation »Export Citation »E-mail Citation »
Japanese feudalism and the emergence of castle towns and their military importance during the period leading up to the Tokugawa bakufu. He describes the early instability of the system and its evolution to the very stable Tokugawa. A slight background in European feudalism would be helpful for comparative purposes.
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Osamu, Wakita. “The Kokudaka System: A Device for Unification.” Journal of Japanese Studies 1.2 (Spring 1975): 297–320.
DOI: 10.2307/132128Save Citation »Export Citation »E-mail Citation »
The author presents an excellent argument comparing four different feudal variations, including his own, illustrating the evolution of the individual leadership of Oda and Toyotomi once they achieved control over powerful local sengoku daimyo leading up to the Tokugawa, each progressively fine tuning the system finally established by Tokugawa.
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Steenstrup, Carl. “Sata mirensho: A Fourteenth-Century Law Primer.” Monumenta Nipponica 35 (1980): 405–435.
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A translation of a primary source. The basis for many laws and codes to follow, the author provides good commentary and interpretation throughout the article. College level.
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Economics

Though there are only two selections listed here, do not take this topic lightly. All wars have to be paid for, and the common folk always feel the brunt of it. In a feudal agricultural society, payment does not come only from money; manpower, food, and beasts of burden, just to name a few, are essential to make war happen. In a civil war, the local provisions are essential to all sides. The pillage can be devastating to a local economy as many armies pass through an area leaving the locals with nothing. Money becomes devalued as the cost of necessary goods escalates out of affordable range. After the establishment of the ritsu-ryo laws in the late 8th century, the imperial court claimed ownership of all of the land. Stewardship was delegated to local daimyo who were closely watched by delegated governors who themselves were closely watched by the court. By the 10th century and through the 12th, the court slowly allowed more power to slip to the governors, eventually losing control of the land altogether. In 1185, the Minamoto warrior clan won the Genpei War and established the Kamakura Bakufu, and the hereditary leader/military general of the clan, called a shogun, assumed the day-to-day administration of Japan. The bakufu was a military shadow government that basically made the decisions for the imperial court. They did not disestablish the imperial court; however, they did neutralize it, rendering it a figurehead. As the emperor was considered a deity by the people, it behooved Minamoto to keep the court in place even if only in a ceremonial capacity. Over the next centuries, several different clans acquired the bakufu by defeating the current clan by war; the administrative features of the system itself remained fairly consistent with only a few nuances. The inconsistences came from the right of the ruling clan to select the stewards of the land, regulate the taxes, allow or disallow clans to wage war among each other, establish currency, and, basically as with any administration, determine economic policy. With the country in a constant state of civil war, it is needless to say the economy was in shambles. It was not until the Tokugawa Bakufu after the unification in 1600 that stability finally came about. It is recommended to read Ferris 2006 first. The author discusses the economics of the bakufu system in some detail and provides an excellent list of primary sources. Another source to supplement Ferris 2006 is Segal 2011. The author discusses the markets and the movement of money and wealth as well as the economic growth and decline in some detail.

Ferris, William Wayne. Japan’s Medieval Population: Famine, Fertility and Warfare in a Transformative Age. Honolulu: University of Hawai‘i Press, 2006.
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A comprehensive study of the common medieval population set between 1150 CE and 1600 CE. Covers the entire demographic of the period, includes many primary sources and explanatory notes. University level. Though not absolutely necessary, a little background in general socioeconomics would make it an easier read.
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Segal, Ethan Isaac. Coins, Trade and the State: Economic Growth in Early Medieval Japan. Cambridge, MA: Harvard University Press, 2011.
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A detailed study of the economic growth and decline; the definition and movement of money throughout Japan during the period, with examples of how various clans exercised their authority over their own economic situations; university level and excellent supplement to Ferris 2006.
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War

Japan was in a constant state of war since the Gempai War, which lasted from 1180 to 1185. The war was a power struggle to control the imperial court between the Taira and the Minamoto military families, resulting in the establishment of a shadow government (bakufu). Local warlords (daimyo) were constantly stealing land from each other and making and breaking agreements and treaties. In 1274, Kubilai Khan on his quest to rule the known world, after diplomatic attempts, launched an army from Korea but was defeated by a typhoon. The survivors retreated back to Korea, reporting the failure to the khan. The khan sent more emissaries to the Kamakura shogun/imperial court and was ignored. A second invasion of two armies was executed in 1281, again disrupted by a typhoon. This time, a large portion made it ashore, but the Kamakura was ready with fortifications and a trained army of its own. The fighting style of the Japanese army was very efficient compared to the Mongol style. They defeated the Mongol army, with the survivors again retreating back to Korea. The typhoons were dubbed the “divine winds,” or kamikaze. The Japanese believed the Shinto gods (kami) created and protected the islands, hence the name. Over the next fifty years, the Kamakura was in decline and many skirmishes ensued. By 1333, the Hojo regent family could no longer maintain control and an internal family squabble was the final proverbial straw. The retired emperor Go-Daigo saw an opportunity and for a short time restored power to the imperial court (Kenmu Restoration), which lasted three years. When Ashikaga Takauji aligned with other clans and realized how much power they had lost, they rebelled against Go-Daigo, splitting Japan into two courts, North and South, lasting approximately sixty years. Ashikaga established a new bakufu known as the Muromachi in Kyoto in 1338. But the poor economy accompanied by natural disasters and the like provided an excuse to keep Japan in a state of constant civil war. By 1441, a group of military families wanting change began eroding the Muromachi, leading to the ten-year siege of Kyoto in 1467 known as the Onin War. Though the bakufu managed to hold on until 1573, it was relatively powerless due to the high price of controlling the many uprisings throughout the period known as the Sengoku, or “Warring States,” period (1467–1568). In the late 1560s, a triumvirate was formed, led by Oda Nobunaga who joined with the Toyotomi and Tokugawa military families with the intention of uniting Japan for themselves. They began defeating and absorbing clans and their armies into their cause. After the assassination of Nobunaga in 1582, Toyotomi finally united Japan by 1590 and decided he also wanted China. For a launch point on the continent, he tried negotiating with the three kingdoms of Korea; failing, he invaded. After two unsuccessful attempts, Toyotomi died. Tokugawa assumed command and cleaned up the rest of Japan, solidifying the unification at the Battle of Sekigahara in 1600 and establishing the Tokugawa Shogunate lasting until 1868.

Mongol Invasions 1274 and 1281

For a short war, it is one of the most controversial wars concerning facts and historiography in history. The arguably great general and leader Kubilai Khan tried to invade Japan two times and both times was turned back. The first time (1274), his armies were basically destroyed by a typhoon, with the few survivors turned back to their Korean launch point. The second time (1281), another typhoon sunk and turned back the majority of the forces, but a large force still made it through and engaged Japanese forces at Hakata Bay. The Japanese held the Mongol army to a small area near the bay and nearly defeated the Mongols before they retreated back to their launch point in Korea. So by many accounts, the Japanese did defeat them. The Japanese were the first army to defeat any Mongol army to date. The Mongols’ power was spread across most of the known world at the time. The Khans directly ruled over China where Kubilai Khan, the grandson of the great Mongol leader Genghis (most common of many spellings) Khan, declared his own dynasty known as the Yuan. He decided to invade Japan because, for all intent and purposes, the Japanese snubbed the Mongol envoys sent to negotiate tribute to the khan. With the failure of the first invasion attempt, he planned the second with more vigor by increasing ships, troops, and more advanced weapons in his arsenal, including those that used gunpowder. Over the years, these two invasions have been heavily studied by many historians from all over the world. The contradictions as to the facts of the invasions are, to say the least, numerous and interesting. This topic is an interesting study for any student of both Japanese and Mongol history. All sides present many interesting perspectives that are too intense and numerous to present in this venue. War: Mongol Invasions 1274 and 1281: Full Reference Texts provides a list of a few of the many historiographies on this subject, but they are all complete and dedicated works. As much as these invasions present many interesting and contradicting stories, they are, for the most part, usually presented as short sections of larger works of either Mongol or Japanese history. They deserve their due, and the works listed here make a very good effort at giving these conflicts just that.

Full Reference Texts

The list in this section is in alphabetical order; Adams 2009 should be read last, but definitely read! Adams work reviews and critiques each of the listed texts. He then, using the information from these texts and a few others, reviews likes and contradictions, and then redescribes the wars. His historiography is unique, and anyone interested in this part of Japanese and Mongol history should definitely read this study. Conlan 2001 presents a surprisingly controversial and interesting translation, with some necessary interpretation of an original set of scrolls from a participating commander. The author also presents the argument that the Japanese would have defeated the Mongols anyway, even if the storms did not occur, because of their fighting style and spirit. Delgado 2008 covers an archeological dive trip on the wrecks of the Mongol navy and presents an interesting perspective from the finds on many questions of the invasion troop number and preparations for fighting the Japanese. Yet, there are still many questions left to be answered. There are many published peer reviews of the translation and interpretation in Conlan 2001; an example included here is Farris 2003, which presents some interesting twists to Conlan’s interpretation of this highly controversial war. If the interest is there, it is highly recommended that other articles be sought out using the various journal search engines. Winchester 2008 agrees with Conlan 2001 on the defeat of the Mongols happening with storms or without. Winchester does have some contradictions, believing the number of forces printed in the mainstream texts is correct, and when the storm arrived in the second invasion, the Japanese had the Mongols held in a battle of attrition as their supplies and numbers were dwindling. Yamada 2012 is about the most comprehensive work on the subject. The author does present the argument that the storms were a significant factor to the retreat of the Mongols as well as contradicts the actual year of the first invasion, allowing the addition of more controversy.

Adams, Ryon F. “Outthought and Outfought: Reassessing the Mongol Invasions of Japan.” MA diss., Army Command and General Staff College, Fort Leavenworth, KS, 2009.
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An excellent comparative study of the validity of many other publications on the subject including those listed here; the author also includes his own take on the invasions as well as the background information on the Chinese and Korean involvement. College level.
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Conlan, Thomas D. In Little Need of Devine Intervention: Takezaki Suenaga’s Scrolls of the Mongol Invasions of Japan. Cornell East Asia Series. Ithaca, NY: Cornell University Press, 2001.
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Translation/interpretation of the title and other supporting scrolls and documents; familiarity of Romanized Japanese language and syntax helpful for reading the footnotes; reproduced illustrations in Japanese order, fold formatted right to left, for easier reading; bibliography lists English and Japanese sources; author explains many of his interpretations; graduate level.
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Delgado, James P. Khubilai Khan’s Lost Fleet: In Search of a Legendary Armada. Berkley, CA: University of California Press, 2008.
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An eye-opening account of the khan’s navy that was sunk by the kamikaze. The author dove the wrecks and produced a fascinating and enlightening report of his findings. A must read for anyone interested in the Mongol invasions of Japan; a lot of questions answered; college level.
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Farris, Wayne. “Review of In Little Need of Devine Intervention: Takezaki Suenaga’s Scrolls of the Mongol Invasions of Japan by Thomas Conlan.” Journal of Japanese Studies 2 (Summer 2003): 418.
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An example of the many controversial reviews of this article on this short war; highly recommended to read this as well as search out the many more articles on this publication; university level.
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Winchester, Mark. The Mongol Invasions of Japan. Slaithwaite, UK: Belgahrun, 2008.
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A relatively short work that agrees with Conlan 2001 on the defeat of the Mongols regardless of the storms, arguing that prior to the storms, the Mongol and Japanese armies were at a stalemate. Interesting perspective and worth the read. University level.
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Yamada, Nakaba. Ghenko: The Mongol Invasion of Japan 1274–1281. Regiments and Campaigns series. Driffield, UK: Leonaur, 2012.
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One of the most comprehensive works on the invasions, presenting the argument that the storms were a major factor in the defeat and retreat of the Mongols. Also compares it to the English navy’s defeat of the Spanish armadas in 1588. University level.
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The Imjin War (1592–1598, Japan’s Invasion of Korea)

Japan had just emerged from several centuries of civil war. Hideyoshi, the new dictator (for lack of a better term) of Japan, had just unified the country and was feeling good about himself and his seasoned army. The army was made up of several smaller armies, run/owned by daimyo and other ranking samurai lords. He kept their allegiance by appeasement and other such methods such as lands or threat. Japan being an island, Hideyoshi was running out of land to use as graft to keep the daimyo and lords happy. Just across the East China Sea to the west was China, an excellent enticement to keep his minions happy. Convincing them that the next step for Japan was to possess China, plans were made to invade. In 1587, he attempted negotiations with Korea using the threat of invasion, as it was the perfect place to launch his proposed invasion of China. Korea, though, was a Chinese tributary vassal. Korea decided that they did not want to cooperate with Hideyoshi and warned the Chinese, expecting aid when Japan invaded. The Chinese did not enter the war immediately as they were not really prepared for a war on foreign soil. China did not see Japan as much of a threat, looking down on them as inferior and feeling they should also be a protectorate and pay tribute. During the negotiations via letters, Hideyoshi referred to himself using the Chinese character chin. This character was reserved as an honorific title roughly meaning the “son of heaven.” Hideyoshi was seen as rude and insulting by the Koreans and Chinese. The Korean king Sonjo sent the envoy back empty-handed to a now-furious Hideyoshi. After several similar exchanges of envoys, the insulted Hideyoshi decided to invade. With much planning, Hideyoshi gathered an army of approximately 158,800 soldiers and sailors in Nagoya and disembarked for Pusan, Korea. The war was long, bloody, and costly as the Koreans chose a war of attrition, via guerilla warfare. Hostilities softened between 1594 and 1596 as Japan attempted to negotiate with the Chinese, but to no avail. The Chinese Ming emperor was given the impression from his negotiators that the Japanese were weakening and wanted to become his vassal and pay tribute. He could not, though, understand the arrogance of Hideyoshi demanding tribute from him. The negations obviously failed and increased hostilities resumed in early 1597. China became less of a target to Hideyoshi, wanting to concentrate on Korea. He captured several cities and fortresses on this second invasion and entrenched himself. The Koreans set up sieges on these entrenchments that lasted approximately ten months. Hideyoshi died in the fall of 1598 and the Japanese began to lose heart. On 24 December 1598, a major naval war ensued with no real winner; however, the Koreans were able to severely disrupt the Japanese supply lines, forcing the Japanese to withdraw back to Japan under the close watch of the Ming. Japan did not invade Korea again until the beginnings of World War II. After 1600, the Tokugawa Bakufu reinstated trade with Korea, normalizing relations.

Full Reference Texts

Hawley 2014 provides political and diplomatic views and the impacts of those views on the civilian population. Kang 2013 is a primary source, a translation of a journal of a prisoner/hostage of the war living in Japan; it is a comparative study of the two cultures. Manji 2012 provides a brief Japanese perspective of the war; the book is only printed in Japanese. Swope 2009 is the most comprehensive on this war, especially from the Chinese perspective; the author also does an excellent job comparing the perspectives of the three countries involved. Turnbull 2002 gives a very good Japanese perspective with excellent illustrations that help the reader understand a given particular issue. Turnbull includes details on weapons, siege, and guerilla technology as well as tactics and strategies used by all three sides. Yu 2002 is a translated primary source written by a diplomat of the Korean king Sojo; Yu looks at the war from a diplomatic perspective from the Korean point of view.

Hawley, Samuel. The Imjin War: Japan’s Sixteenth-Century Invasion of Korea and Attempt to Conquer China. 2d ed. Hemet, CA: Conquistador, 2014.
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The author does an excellent job attempting to give a neutral view of the war; loaded with background information on all three belligerents; heavy in political and diplomatic historical views; covers the progression of battles and local civilian impacts; general education level.
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Kang, Hang. A Korean War Captive in Japan, 1597–1600: The Writings of Kang Hang. Edited and translated by JaHyun Haboush and Kenneth R. Robinson. New York: Columbia University Press, 2013.
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The translation of the view of a Korean prisoner of war/spy in Japan; excellent comparison of the Korean and Japanese cultures; includes the translators’ opinions on the author’s perspective; a comparative of Korean and Japanese Confucianism and the psychology of the war and Japanese military organization and culture; college level.
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Manji, Kitajima. Korea and Invasion of Hideyoshi People. Tokyo: Iwanami Shoten, 2012.
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Printed only in Japanese (not Romanized); not a lot of detail; common version of the Japanese perspective of Japan’s invasion of Korea (1592–1598); English name listed in the citation is the way it is listed for purchase at common American outlets; general education level.
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Swope, Kenneth M. A Dragon’s Head and a Serpent’s Tail: Ming China and the First Great East Asian War, 1592–1598. Norman, OK: University of Oklahoma Press, 2009.
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A primarily Chinese perspective while comparing the perspectives of the other belligerents; he also adds emphasis on the naval battles, impacts to the local populace, political and diplomatic effects, and Japan’s desire to expand its sphere of influence. College level, excellent comprehensive look.
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Turnbull, Stephen. Samurai Invasion: Japan’s Korean War, 1592–1598. London: Cassell, 2002.
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For the general public, hence very easy to read; detailed and well illustrated; written from a Japanese perspective with a samurai emphasis; very good descriptions of the technology and the bibliography includes Japanese, Korean, and Chinese sources; the appendixes give examples of “Order of Battle” and a “List of Heads.”
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Yu, Songnyong. The Book of Corrections: Reflections on the National Crisis during the Japanese Invasion of Korea 1592–1598. Translated by Choi Byonghyon. Berkley, CA: University of California Press, 2002.
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A primary source, Korean perspective of the Imjin War. The author was the chief state councilor for one of the Korean kings (Sonjo); the author also looks at the relationships between Korea, China, and Japan. Includes personal opinions as well; interesting perspective, college level, worth reading.
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Examples of Other Battles

There are literally hundreds of battles and skirmishes throughout the period of this article; to list them all here would be overwhelming. Those listed in this section are just a few examples to get you started into this era of “total war” in medieval Japan. Berry 1994 is a full work that looks at the complexities of cultural change within the siege of Kyoto; Brownlee 1969 gives a short but accurate depiction from a political and economic perspective using the Shokyu War as a backdrop; Bryant 2009, an Osprey Campaign series publication, describes the Battle of Sekigahara, showing strategic and tactical aspect. Osprey is producing this type of “shorts” on battles at an alarming rate. According to a representative from the publisher, the Campaign series is one of the fastest growing series in Osprey’s catalog. Many of the series cover Japanese medieval battles, which is one of the highest sought-out topics. Osprey expects to publish as many as expediently possible while maintaining the highest standard on the battles of medieval Japan. Goble 1996, a full reference work, accurately and comprehensively depicts the short reign of Emperor Go-Daigo and the defeat of the Hōjō clan and their regency; Varley 1967, a full reference work, gives a comprehensive look at the Onin War and the issues surrounding this ten-year siege. Note also the lack of naval battles. Though there were several naval skirmishes, they were primarily a part of larger wars as with the Mongol invasions and the Imjin War. Most naval instances usually involved piracy and smuggling. During this period in Japan and most of the Far East, the maritime was basically for transportation. When ships and boats were used in battle, they primarily provided platforms on the water for hand-to-hand or land-based styles of fighting. It was not until the Europeans introduced the naval cannon in the mid-16th century that Japan began to consider ships as actual weaponry assets to wage war. But by that time, the unification began and naval warfare development was not a priority. By 1600, Tokugawa had taken control, leading to two and a half centuries of relative peace. There are mentions of naval incidents throughout the many publications listed in this article; for examples, refer to the General Overviews and Japanese Swords and Other Weapons sections of this article.

Berry, Mary Elizabeth. The Culture of Civil War in Kyoto. Berkley, CA: University of California Press, 1994.
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Captures the complexity of life in Kyoto during, but mostly after, the Onin War. Verbally illustrates the disparity of the Japanese people during such a violent and confusing time. It is a university-level work with an extensive list of translated works in the bibliography as well as explanatory notes.
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Brownlee, John S. “The Shokyu War and the Political Rise of the Warriors.” Monumenta Nipponica 24.1–2 (1969): 59–77.
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Using the Shokyu War as a backdrop, this article details the processes of the rise of the warrior caste without dismantling the imperial government during the late Heian period; it then expands into the late 12th century, describing the aristocracy versus feudal issues that plagued the prominent warrior families of the era.
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Bryant, Anthony J. Sekigahara 1600: The Final Struggle for Power. Oxford: Osprey, 2009.
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An Osprey short work. This volume discusses and illustrates the battle; he also gives a description of the aftermath and an interesting view in “Retrospect.” General education.
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Goble, Andrew Edmond. Kenmu: Go-Daigo’s Revolution. Cambridge, MA: Council on East Asian Studies at Harvard University, 1996.
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The story of the three-year reign of Emperor Go-Daigo, who took advantage of the fall of the Hōjō clan; undergraduate level; author does a good job explaining the old order that Go-Daigo wanted to restore. It was short lived, as too many warlords liked the power experienced under Hōjō.
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Varley, H. Paul. The Ōnin War. New York: Columbia University Press, 1967.
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Describes the evolution of the bakufu type of a government, beginning with the Kamakura Bakufu and the balance of power with local governments and central governmental control, ending with the ten-year Ōnin War, a siege of Kyoto, and the rise of the Ashikaga Bakufu, which allowed central control to disintegrate.