The establishment of warrior government

The establishment of the bakufu by Minamoto Yoritomo at the end of the 12th century can be regarded as the beginning of a new era, one in which independent government by the warrior class successfully opposed the political authority of the civil aristocracy. Modern scholarly interpretation, however, has retreated from recognizing a major break and the establishment of feudal institutions with the founding of the Kamakura regime. During the Kamakura period, total warrior dominance was not achieved. There was, instead, what approached a dyarchy with civil power in Kyōto and military power in Kamakura sharing authority for governing the nation. Institutions of the Heian imperial-aristocratic system remained in place throughout the Kamakura age, replaced with new feudal institutions when Kamakura passed from the scene.

During the Gempei War, Yoritomo established his headquarters in Kamakura and entrusted the suppression of the Taira to his younger brothers Noriyori and Yoshitsune. Meanwhile, he gathered a following of great eastern warrior leaders and began to lay the foundation for a new military government. In 1180, for example, Yoritomo set up the Samurai-dokoro (Board of Retainers), a disciplinary board to control his multiplying military vassals. General administration was handled by a secretariat, which was opened four years later and known as the Kumonjo (later renamed the Mandokoro). In addition, a judicial board, the Monchūjo, was set up to handle lawsuits and appeals. These institutions represent the emergence of Yoritomo’s regime (the term bakufu was used only later in retrospect).

In 1185, after the destruction of the Taira family at the Battle of Dannoura, Yoritomo was granted the right to appoint his vassals, or gokenin (“housemen”) as military governors (shugo) in the provinces and military stewards (jitō) in both public and private landed estates. It was the job of the shugo to recruit metropolitan guards and keep strict control over subversives and criminals. The jitō collected taxes, supervised the management of landed estates, and maintained public order.

Although the Gempei War ended in 1185, a dispute between Yoritomo and his brother Yoshitsune resulted in continued warfare until 1189, when Yoritomo finally destroyed the northern Fujiwara family of Mutsu province (modern Aomori prefecture), which had sheltered his rebellious brother. Three years later Yoritomo went to Kyōto and was appointed shogun (an abbreviation of seii taishōgun; “barbarian-quelling generalissimo”), the highest honor that could be accorded a warrior. Though he kept the title only briefly and was not known by that term in the documents he issued to manage Kamakura affairs, “shogun” ultimately emerged as the title associated with the head of a bakufu. At first the chief base of the Kamakura bakufu lay in the shōen seized from the Taira family and in the limited administrative revenues from public estates in provinces granted to Yoritomo by the imperial court. But later the bakufu was able to expand its influence over lands that were still controlled by the civil provincial governors, as well as the private estates of the civil aristocracy and the temples and shrines.

The Hōjō regency

After the death of Yoritomo in 1199, real power in the bakufu passed into the hands of the Hōjō family, from which Yoritomo’s wife, Masako, had come. In 1203 Hōjō Tokimasa, Masako’s father, assumed the position of regent (shikken) for the shogun, an office that was held until 1333 by nine successive members of the Hōjō family. Taking advantage of disputes among Yoritomo’s generals, the Hōjō overthrew and outmaneuvered their rivals, and after three generations the direct line of descent from Yoritomo had become extinct. Though wielding actual power, the Hōjō family was of low social rank, and its leaders could not aspire to become shoguns themselves. Kujō Yoritsune, a Fujiwara scion and distant relative of Yoritomo, was appointed shogun, while Tokimasa’s son Hōjō Yoshitoki (shikken 1205–24) handled most government business. Thereafter, the appointment and dismissal of the shogun followed the wishes of the Hōjō family. Shoguns were selected only from the Fujiwara or imperial houses, out of concern for pedigree.

The increasing political power of the military led to a conflict with the aristocracy. Hence, the emperor Go-Toba, seeing in the demise of the Minamoto family a good opportunity to restore his political power, in 1221 issued a mandate to the country for the overthrow of Yoshitoki. Few warriors, however, responded to his call. Instead, the Hōjō family dispatched a bakufu army that occupied Kyōto, and Go-Toba was arrested and banished to the island of Oki. This incident is known as the Jōkyū Disturbance, named for the era name Jōkyū (1219–22). The bakufu now set up a headquarters in Kyōto to supervise the court and to control the legal and administrative business of the western provinces. The several thousand estates of the civil aristocrats and warriors who had joined Go-Toba were confiscated, and Kamakura vassals were appointed to jitō posts in them as rewards. The political power of the bakufu now extended over the whole country.

Meanwhile, the regent Hōjō Yasutoki, to strengthen the base of his political power, reorganized the council of leading retainers into a Council of State (Hyōjō-shū). In 1232 the council drew up a legal code known as the Jōei Formulary (Jōei Shikimoku). Its 51 articles set down in writing for the first time the legal precedents of the bakufu. Its purpose was simpler than that of the ritsuryō, the old legal and political system of the Nara and Heian civil aristocracy. In essence, it was a body of pragmatic law laid down for the proper conduct of the warriors in administering justice. In 1249 the regent Hōjō Tokiyori also set up a judicial court, the Hikitsuke-shū, to secure greater impartiality and promptness in legal decisions.

The Mongol invasions

The establishment of the regency government coincided with the rise of the Mongols under Genghis Khan in Central Asia. Beginning in 1206, in the space of barely half a century, they had established an empire extending from the Korean peninsula in the east to as far west as Russia and Poland. In 1260 Genghis Khan’s successor, Kublai, became Great Khan in China and fixed his capital at present-day Peking (Beijing). In 1271 Kublai adopted the dynastic title of Yüan, and shortly thereafter the Mongols began preparations for an invasion of Japan. In the autumn of 1274 a Mongol and Korean army of some 40,000 men set out from present-day South Korea. On landing in Kyushu it occupied a portion of Hizen province (part of present-day Saga prefecture) and advanced to Chikuzen. The bakufu appointed Shōni Sukeyoshi as military commander, and the Kyushu military vassals were mobilized for defense. A Mongol army landed in Hakata Bay, forcing the Japanese defenders to retreat to Dazaifu; but a typhoon suddenly arose, destroying more than 200 ships of the invaders, and the survivors returned to southern Korea.

The bakufu took measures to better prepare for a renewed invasion. Coastal defenses were strengthened, and a stone wall was constructed extending for several miles around Hakata Bay to thwart the powerful Mongol cavalry. Apportioned among the Kyushu vassals, these public works took five years to complete and required considerable expenditure. Meanwhile, the Mongols made plans for a second expedition. In 1281 two separate armies were arrayed: an eastern army consisting of about 40,000 Mongol, northern Chinese, and Korean troops set out from South Korea, and a second army of about 100,000 troops from southern China under the command of the Mongol general Hung Ch’a-ch’iu. The two armies met at Hirado and in a combined assault breached the defenses at Hakata Bay. But again a fierce typhoon destroyed nearly all of the invading fleet, forcing Hung Ch’a-ch’iu to retreat precipitately. The remnants of the invading army were captured by the Japanese; it is said that of 140,000 invaders, fewer than one in five escaped.

The defeat of the Mongol invasions was of crucial importance in Japanese history. The military expenditure on preparations, continuous vigil, and actual fighting undermined the economic stability of the Kamakura government and led to the insolvency of many of the jitō. The bond between the Hōjō and the Kamakura vassals was strained to the breaking point. The invasions also led to another prolonged period of isolation from China that was to last until the 14th century. Moreover, the victory gave a great impetus to a feeling of national pride, and the kamikaze (“divine wind”) that destroyed the invading hosts gave the Japanese the belief that they were a divinely protected people.