print | close Bushidô: The Way of the Warrior

• Hagakure: The Book of the Samurai
• The Tale of the 47 Rônin: An essay
• The Tale of the 47 Rônin according to the Hagakure

Background Information

After the unification of Japan in 1590 and the establishment of the Tokugawa Shogunate in 1600, the samurai (warriors) remained at the top of the social scale but had fewer and fewer chances to prove their valor in battle. As opportunities to fight decreased, and samurai were employed in peacetime government positions, more attention was given to the values that defined their class. One of the most important was the loyalty samurai owed to the lord they served. In fact, the word samurai itself comes from a verb that means "to serve."

The lord or other high-ranking members of a clan often wrote out codes of behavior for the clan retainers. Among them, a work called Hagakure, or "hidden leaves," has come to be seen as the one which best describes Bushidô, the "way of the samurai." It was written down in the early eighteenth century by a young samurai named Tashirô Tsuramoto, who was recording the wisdom he had learned over seven years of talks with an older, retired samurai of the Nabeshima clan named Yamamoto Tsunetomo. His ideas were expressed in conversations with his young disciple and so the resulting book is not a systematic code of rules. But some ideas are repeated often enough to be seen as essential to his thought. The selections below are grouped by theme.

Death: The Way of the Samurai is found in death. When it comes to either/or, there is only the quick choice of death. It is not particularly difficult. Be determined and advance. To say that dying without reaching one's aim is to die a dog's death is the frivolous way of sophisticates. When pressed with the choice of life or death, it is not necessary to gain one's aim.

We all want to live. And in large part we make our logic according to what we like. But not having attained our aim and continuing to live is cowardice. This is a thin dangerous line. To die without gaining one's aim is a dog's death and fanaticism. But there is no shame in this. This is the substance of the Way of the Samurai. If by setting ones heart right every morning and evening, one is able to live as though his body were already dead, he gains freedom in the Way. His whole life will be without blame, and he will succeed in his calling.

Living in the present: There is surely nothing other than the single purpose of the present moment. A man's whole life is a succession of moment after moment. If one fully understands the present moment, there will be nothing else to do, and nothing else to pursue. Live being true to the single purpose of the moment.

Everyone lets the present moment slip by, then looks for it as though he thought it were somewhere else. No one seems to notice this fact. But grasping this firmly, one must pile experience upon experience. And once one has come to this understanding he will be a different person from that point on, though he may not always bear it in mind.

When one understands this settling into single-mindedness well, his affairs will thin out. Loyalty is also contained within this single-mindedness.

Meditation on inevitable death should be performed daily. Every day when one's body and mind are at peace, one should meditate upon being ripped apart by arrows, rifles, spears and swords, being carried away by surging waves, being thrown into the midst of a great fire, being struck by lightning, being shaken to death by a great earthquake, falling from thousand-foot cliffs, dying of disease or committing seppuku (ritual suicide) at the death of one's master. And every day without fail one should consider himself as dead.

There is a saying of the elders that goes, "Step from under the eaves and you're a dead man. Leave the gate and the enemy is waiting." This is not a matter of being careful. It is to consider oneself as dead beforehand.

A good retainer: Nakano Jin'emon constantly said, "A person who serves when treated kindly by the master is not a retainer. But one who serves when the master is being heartless and unreasonable is a retainer. You should understand this principle well."

When Hotta Kaga no kami Masamori was a page to the shôgun, he was so headstrong that the shôgun wished to test what was at the bottom of his heart. To do this, the shôgun heated a pair of tongs and placed them in the hearth. Masamori's custom was to go to the other side of the hearth, take the tongs, and greet the master. This time, when he unsuspectingly picked up the tongs, his hands were immediately burned. As he did obeisance in his usual manner, however, the shôgun quickly got up and took the tongs from him.

A man is a good retainer to the extent that he earnestly places importance in his master. This is the highest sort of retainer. If one is born into a prominent family that goes back for generations, it is sufficient to deeply consider the matter of obligation to one's ancestors, to lay down one's body and mind, and to earnestly esteem ones master. It is further good fortune if, more than this, one had wisdom and talent and can use them appropriately. But even a person who is good for nothing and exceedingly clumsy will be a reliable retainer if only he has the determination to think earnestly of his master. Having only wisdom and talent is the lowest tier of usefulness.

A certain general said, "For soldiers other than officers, if they would test their armor, they should test only the front. Furthermore, while ornamentation on armor is unnecessary, one should be very careful about the appearance of his helmet. It is something that accompanies his head to the enemy's camp."

Speaking: At times of great trouble or disaster, one word will suffice. At times of happiness, too, one word will be enough. And when meeting or talking with others, one word will do. One should think well and then speak. This is clear and firm, and one should learn it with no doubts. It is a matter of pouring forth one's whole effort and having the correct attitude previously. This is very difficult to explain but is something that everyone should work on in his heart. If a person has not learned this in his heart, it is not likely that he will understand it.

The essentials of speaking are in not speaking at all. If you think that you can finish something without speaking, finish it without saying a single word. If there is something that cannot be accomplished without speaking, one should speak with few words, in a way that will accord well with reason.

To open ones mouth indiscriminately brings shame, and there are many times when people will turn their backs on such a person.

The Teachings of Yamamoto Jin'emon

These are the teachings of Yamamoto Jin'emon:

Singlemindedness is all-powerful.

Tether even a roasted chicken.

Continue to spur a running horse.

A man who will criticize you openly carries no connivance.

A man exists for a generation, but his name lasts to the end of time.

Money is a thing that will be there when asked for. A good man is not so easily found.

Walk with a real man one hundred years and he'll tell you at least seven lies.

To ask when you already know is politeness. To ask when you don't know is the rule.

Wrap your intentions in needles of pine.

One should not open his mouth wide or yawn in front of another.

Do this behind your fan or sleeve.

A straw hat or helmet should be worn tilted toward the front.

Acknowledgment: These selections are all taken from Hagakure: The Book of the Samurai by Yamamoto Tsunetomo, translated by William Scott Wilson. Reprinted by permission of Kodansha International.

1. What did it mean to a samurai to live as though already dead? How does it relate to "being true to the single purpose of the moment"? How would it help make a man brave? loyal?

2. How does this samurai attitude toward death compare to the Buddhist doctrine of nonattachment? (See the unit The Origins of Buddhism in the Religion & Philosophy section.) How do the ultimate goals of the two ways of thinking differ?

3. Why is "a person who serves when treated kindly by the master not a retainer"? What does this attitude tell you about the value of loyalty as practiced by a retainer? As received by a master? How does the story of Hotta Masamori illustrate this? Why are wisdom and talent the "lowest tier of usefulness"?

4. Why should soldiers test only the front of their armor? Why does it matter how the helmet looks when a dead warrior's head is brought back to the enemy's camp?

5. Does the emphasis on speaking seldom and using few words relate to the attitude toward death? Toward singlemindedness?

6. How is shame experienced? What connection does it have to loyalty?

7. How do you explain the inclusion of matters of etiquette ("One should not open his mouth wide . . . etc.") in the way of the samurai? Similarly, how would you explain the inclusion of matters of dress?

The Tale of the 47 Rônin: An Essay

To the Teacher: This section contains an essay about "The Tale of the 47 Rônin." You may also wish students to read or dramatize the play Chûshingura: The Treasury of Loyal Retainers, which was written in 1748 for puppet theater based on the historical event. This version of this story has influenced all later retellings. The play is available, as translated by Donald Keene, from Columbia University Press, 136 South Broadway, Irvington, NY, 10533

The Historical Event

During the stillness of the night of January 30, 1703, forty-six masterless samurai (rônin) burst into the Edo mansion of a government official, Lord Kira, killed him, and took his head to the grave of their former master Lord Asano in proof that they had avenged his death. Lord Kira had, nearly two years earlier, goaded their young Lord Asano into misbehavior for which he had been condemned to die. His loyal former retainers secretly plotted and finally successfully executed their revenge. As a mark of respect for their loyalty, the government allowed the rônin--sentenced to death for the killing--to commit suicide rather than submit to execution.

The Significance

In the Tokugawa period (1600-1868), samurai ideals were refined and codified even as the warriors no longer had cause to do battle. The ideal of selfless commitment, even the glorification of dying to express ones honor as a samurai, served as a mark of class as much as the swords that only samurai could wear.

In a rigidly structured class society, each class (samurai, peasants, merchants, artisans) had its own particular standards and values. For a member of a class that defined its worth by ideals of loyalty and service, to be masterless was to be in a kind of limbo. Rônin were samurai who had fallen from a high social position to a place outside the social scale entirely. Most often men became rônin because of defeat in battle, dereliction of duty, or because their masters suffered some disgrace. By contrast, in the American tradition of romanticizing outlaws, independence of spirit is idealized rather than specific loyalties, and to be unconnected to a respected position in society does not invariably imply disgrace.

The motives and actions of the rônin, however, reflect ideals of Tokugawa society with which modern Japanese still have sympathy. Contemporary Japanese still value loyalty highly and identify closely with the groups to which they belong. For example, a businessman will introduce himself by saying his company's name before his own; the ties a student forms with his classmates in a school or university last throughout his career. A reading of the play will provide not only its own drama (and melodrama), but many examples of the ideal of loyalty and devotion to something outside oneself that account for the continuing popularity of the story.

Plot Summary and Analysis of Chûshingura: The Treasury of Loyal Retainers

The version of the story that has influenced all later retellings was a play written in 1748 for the puppet theater: Chûshingura: The Treasury of Loyal Retainers. Its main plot is based on the 1703 incident, but it is set in 1338 in order to avoid government censorship. Lord Asano becomes Lord Enya, and Kira is called Kô no Moronao. Various subplots are added, and we see the rônin in all aspects of life--in love and in conflict as well as in conspiracy.

In one subplot, the leader of the conspiracy, Yuranosuke, pretends to have sunk into chronic drunkenness. He flirts with Okaru, who was sold into prostitution so that her husband, Kampei, could join the conspiracy. Kampei proves his worthiness only as he dies, and becomes the forty-seventh member of the conspiracy posthumously. In another subplot,Yuranosuke's son Rikiya refuses to marry the woman he loves knowing he will soon die, although he cannot reveal his reason. Her father, who has acted prudently and without a true samurai disregard of death, restores his own honor by serving the conspirators and by finally dying well. These acts reunite his daughter with her love, if only for a night. There are more subplots as well as additions in later versions.

Involved as the rônin were over the many months between the death of their lord and their act of revenge with finding means to live (since rônin lost their livelihoods when dismissed from service), with loves, greed and generosity, secrecy and fellowship, they were committed to this final act that they all knew would end in their own deaths. So while the emotions the people in the play Chûshingura feel--the love between parents and children, or husband and wife--are universal, they are expressed very differently, are directed toward different ends, and expressed in different actions. The story provides many examples of the classic tension the Japanese see existing between giri (duty) and ninjô (human feeling), a tension that should always be resolved in favor of giri.*
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* Note that the character who fails to make this commitment to duty is dropped from the group, and only regains his honor through a very complicated process after his death.

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Questions for Discussion

1. A rônin was a samurai with no master, and had something of the image of an outlaw or bandit in the American West. The word samurai itself came from a word meaning "to serve." How do you think it felt to be a samurai, but to have no master? How do you think you would be viewed by the rest of society?

2. Today, a student who fails the entrance exam to a particular college, and takes a year off after high school to study in order to take the exam again, is called a rônin. What does such a student have in common with a rônin of premodern times?

3. Why was it a mark of respect for the government to allow the rônin to commit suicide rather than be executed?

4. The suicide ritual was called seppuku--what we sometimes call hara-kiri, or "stomach cutting--and required the warrior to slit open his own belly with a knife. A second person, or assistant, would then end his pain by swiftly decapitating him with a sword. Why was ritual suicide performed in such a painful way? What does all this tell about samurai values?

5. What values in contemporary, postindustrial Japan would account for the continued popularity of this story? What values in our own society have made figures such as Jesse James or Robin Hood popular heroes? How do the values of the two modern societies compare in these heroes?

A certain person was brought to shame because he did not take revenge. The way of revenge lies in simply forcing ones way into a place and being cut down. There is no shame in this. By thinking that you must complete the job you will run out of time. By considering things like how many men the enemy has, time piles up; in the end you will give up.

No matter if the enemy has thousands of men, there is fulfillment in simply standing them off and being determined to cut them all down, starting from one end. You will finish the greater part of it.

Concerning the night assault of Lord Asano's rônin, the fact that they did not commit seppuku at the Sengakuji was an error, for there was a long delay between the time their lord was struck down and the time when they struck down the enemy. If Lord Kira had died of illness within that period, it would have been extremely regrettable. Because the men of the Kamigata area have a very clever sort of wisdom, they do well at praiseworthy acts but cannot do things indiscriminately, as was done in the Nagasaki fight. (2)

Although all things are not to be judged in this manner, I mention it in the investigation of the Way of the Samurai. When the time comes, there is no moment for reasoning. And if you have not done your inquiring beforehand, there is most often shame. Reading books and listening to people's talk are for the purpose of prior resolution.

Above all, the Way of the Samurai should be in being aware that you do not know what is going to happen next, and in querying every item day and night. Victory and defeat are matters of the temporary force of circumstances. The way of avoiding shame is different. It is simply in death.

Even if it seems certain that you will lose, retaliate. Neither wisdom nor technique has a place in this. A real man does not think of victory or defeat. He plunges recklessly towards an irrational death. By doing this, you will awaken from your dreams.

(1) Note: The translation of the Hagakure: The Book of the Samurai used in this unit is by William Scott Wilson, published by Kodansha International; 1979. Another translation, by Takao Mukoh, The Hagakure: A Code to the Way of the Samurai, is available from the Hokuseido Press, 1980. Both have introductions and notes. They can be obtained from Kinokuniya Bookstore,10 West 49th Street, New York, NY. (212)765-1461.

(2) The Nagasaki fight resulted from a man's accidentally splashing mud on a samurai of another clan. [Yamamoto] Tsunetomo feels that the men involved acted properly, because they took revenge immediately, without pausing to consider the cause or the consequences of what they were doing."