A.

INTRODUCTION

The legends of the Japanese warrior-statesmen, referred to as the samurai, are renowned for accounts
of military valor and political intrigue—epic conflicts between powerful lords, samurai vassals, and
the imperial court—as well as accounts of profound self-sacrifice and loyalty. The term samurai is
derived from the word saburau, or “one who serves.” The evolution of the samurai from mounted
guards to the nobility (during the twelfth century) and their subsequent ascent to military leaders of
Japan (until imperial restoration during the nineteenth century) is chronicled in distinctive warrior
arts and literary tradition. Their legacy has left enduring impressions on contemporary culture,
influencing modern writers (such as Yukio Mishima) and filmmakers working in widely diverse
genres (such as Akira Kurosawa, George Lucas, and Sergio Leone). The samurai have been compared
to the knights of Europe, and their moral philosophy of bushido has been likened to a code of chiv-
alry. These simplifications, however, do not capture the social and cultural context within which the
samurai rose to prominence, and then held political authority in Japan for nearly seven hundred
years.
The Asian Art Museum of San Francisco invites students to learn about the historical samurai
through precious art objects from the museum’s collection. These include authentic military equip-
ment (arms and armor), paintings depicting famed conflicts, ceremonial attire, and objects created
for religious and cultural pursuits strongly connected with the samurai class.

B. LEARNING OUTCOMES

In this educator packet students will:

• trace the origin and emergence of the samurai, Japan’s warrior class, from the medieval to
early modern period
• examine the concepts of cultural (bun) and martial (bu) arts, and how they exemplify the
warrior ideal
• explore the spread of Buddhism (Pure Land and Zen), cultural traditions (tea ceremony,
paintings, ceramics, and dance), and technology (firearms) from nations overseas to the
island of Japan; and how these influences were shaped by the Japanese warrior to their needs
and tastes
• analyze scenes from The Tales of the Heike and Chushingura, as depicted in screen paintings
and woodblock prints, and discuss how literature and its visual representation relate warrior
values and codes of behavior
• investigate artworks from the Asian Art Museum’s collection: armor and weaponry, paintings
and traditional costumes, and ceramics and tea utensils; and examine how they reflect beliefs
and daily life of the Japanese warrior

C. THE AGE OF THE SAMURAI

The expression “Age of the Samurai” refers to the long period during which Japan was ruled by
its warrior class. That age can be said to have begun with the establishment of a national military
government at the end of the twelfth century. Prior to this period, local farms were owned by

6 Asian Art Museum Education Department

Samurai in battle, detail of twelve battle scenes, 1600–1700. Japan. Edo period (1615–1868). Handscroll, ink and colors on paper. The Avery Brundage
Collection, B60D90J.

absentee landlords—aristocrats and Buddhist monks—who lived in Kyoto, the imperial capital. To
ensure their dominion over properties in remote regions, these owners employed bands of armed
men, each band having a leader; these were early models for daimyo and their samurai followers.
Gradually these bands evolved into militias composed of vassals (samurai) acting in the service of
feudal lords. Eventually one clan conquered all of its rivals and established Japan’s first national
military government, the Kamakura Shogunate, in 1185. From this date to the imperial restoration
(the Meiji Restoration) in 1868, Japan was led by high-ranking samurai, referred to as daimyo, who
governed regional domains from castles spread throughout the country (daimyo, means, roughly,
“great landholder”). The daimyo were in turn subject to the authority of a primary lord known as the
shogun. While the shogun professed allegiance to the emperor (presiding over the imperial court), in
essence the emperor’s authority was cultural and ceremonial while the shogun exercised strict politi-
cal control.
During this time, samurai were expected to adhere to the ethical code of bushido, or the “Way of
the Warrior.” Bushido—primarily an informal system of values subject to individual interpretation

Asian Art Museum Education Department 7

rather than an explicit set of written rules—advised warriors to live honorably by being mindful
of the nearness of death. The samurai prized values such as honesty, courage, respect, self-sacrifice,
self-control, compliance with duty, and loyalty. These qualities were highly regarded for promoting
martial discipline and military efficiency. Over time, the samurai refined this code to more explicitly
encompass their leadership roles and their corresponding civil responsibilities. In its later forms,
bushido was thought to bring stability to social organization.
In all contexts, the essence of the samurai code lay in the concepts of bun and bu, or culture and
martial. In their personal behavior, in society, and in politics, warriors were expected to balance their
expression of these two ideas. For the individual, martial prowess was not to take the form of unbri-
dled aggression, and civil deference was not to give way to weakness. At the level of society, political
force was to be moderated with cultural activities, but force was always available to defend culture. A
samurai scholar of the eighteenth century compared bun and bu to the wings of a bird, writing:

Culture and arms are like the two wings of a bird. Just as it is impossible to fly with one
wing missing, if you have culture but no arms, people will slight you without fear, while if
you have arms but no culture, people will be alienated by fear. Therefore, when you learn to
practice both culture and arms, you demonstrate both intimidation and generosity, so people
are friendly but also intimidated, and they will be obedient.

Political rule by the samurai class continued into the second half of the nineteenth century, when
a series of reforms known as the Meiji Restoration (beginning in 1868) changed the way Japan was
governed. Military domains were converted by newly appointed (later elected) governors into civil
prefectures that remained at peace with one another. The Meiji Restoration marked the end of the
Age of the Samurai.

D. THE GEOGRAPHY OF JAPAN

Part of a long archipelago off the eastern rim of the Asian continent, the island country of Japan has
four main islands: Hokkaido, Honshu, Shikoku and Kyushu. Numerous smaller islands lie on either
ends to form a sweeping arc formation that extends northeast to southwest. Japan’s closest neighbors
are Korea and China. In Japan’s early history, the Korean Peninsula was used by travelers as a land
link between Japan and the vast expanse of China. A distinctive feature of the Japanese landscape
is its volcanic, mountainous terrain. More than two thirds of the land is adorned with low to steep
mountains traversed by swift-flowing rivers. This unique topography contributes to a striking con-
trast in climate between the western coast, along the Sea of Japan, and the eastern coast, along the
Pacific Ocean. The dramatic geographic features of their country have instilled in the Japanese an
enduring reverence for nature, and have shaped its political history and artistic culture.

8 Asian Art Museum Education Department

 Amur

R U S S I A
Amur

Sakhalin Island
C H I N A

Hokkaido

S e a
NORTH KOREA
o f

J a p a n
Pyongyang

Seoul
SOUTH
KOREA JAPAN
Honshu
Yellow Sea Tokyo
Mount Fuji
Kyoto
Himeji
Osaka

Shikoku
Kyushu

E a s t C h i n a S e a

P a c i f i c
Ryukyu Islands
O c e a n
Okinawa

Asian Art Museum Education Department 9

 Historical Overview

10 Asian Art Museum Education Department

Samurai in battle, detail of twelve battle scenes, 1600–1700. Japan. Edo period (1615–1868). Handscroll, ink and colors on paper. The Avery Brundage
Collection, B60D90.

He carries himself with unshakable self-confidence, and is virtually unbeatable, a devastat-

ing duelist with superbly pure technique and a blinding-fast draw. Jin keeps firm control
of himself in every possible aspect from his appearance and appetite to his level monotone
voice…[he] possesses a core of deep calm, but he’s a creature of fierce pride and intensity
who typically kills with a single stroke. At his darkest he radiates bitter, repressed anger, and
observes the world with a narrow, resentful stare; at his best, he’s all a samurai should be,
capable of great gentleness, courtesy, martial skill and dauntless courage.
—description of Jin, in Samurai Champloo, an animated TV series1

Jin is a prime example of the “noble samurai,” a character type that recurs in countless manga (com-
ics and graphic novels) and anime (animated films and TV shows) stories produced in Japan each
year. Many of these products of modern popular culture draw inspiration from the lives of samurai,
Japan’s traditional warriors, whose military leaders ruled Japan from the late 1100s until the late

Asian Art Museum Education Department 11

1800s. As they flow into the West, Japanese manga and animated tales of martial prowess offer
young people outside of Japan a powerful source of information about samurai—their military skills,
values, even their physical appearance. But how well does this picture of the Japanese warrior match
what we know from historical sources? Are descriptions like that of the “duelist” Jin accurate, or are
they incomplete? How did the role of the samurai change and develop through history? What kind
of religious practices did they favor? Other than swordsmanship, what other military skills or equip-
ment did the samurai employ? And finally, beyond their prowess as fighters, what cultural abilities
did they possess? Answers to these questions may be found in the pages that follow.

A. THE GROWTH AND DEVELOPMENT OF MILITARY GOVERNMENT2

Origins of the Samurai

Although an emperor has reigned in Japan since ancient times, by the late 1100s powerful military
leaders were challenging the power of the imperial court. From the thirteenth century on, Japan
was ruled through a > X structure. While the emperor retained cultural and religious
dual government
sovereignty over the nation,↳ the military elite during this period assumed political and economic
↳ emperor: cultural and religious sovereignity
leadership. This system of governance remained in
military elite:economic and
the nation
over
place until the late 1800s.
Samurai (lit. “one who serves”) is the term usedpolitical
leadership
to refer to members of Japan’s warrior class.
The origins of the samurai can be traced to the eighth and ninth centuries, when large landholdings
moved into the hands of the imperial family and related members of the⑧ aristocracy (nobles). In the
Heian period (794–1185), the Kyoto-based imperial court and nobles depended on the agricultural
income from these landholdings, especially large private estates in northern Japan. The need to
defend these distant estates from attacks by local chieftains led to the birth of the samurai. The
nobles sent from the capital to govern the estates often lacked the skills and authority necessary to
maintain security or provide effective administration in such remote districts, so the court appointed
deputies from among the local population to assist them. Forerunners of the early samurai, these
deputies built local and regional power by creating privately controlled militia known as “warrior
bands.” forerunner ofsamurai
->

Starting as little more than family organizations, warrior bands were initially formed for the
duration of a specific military campaign and then disbanded to allow the men to return to farm-
ing. By the eleventh century the bands were changing to groups of fighting men not necessarily
connected through kinship. Power was beginning to aggregate in the hands of a few elite military
families, or clans, whose regional dominance was supported by the fighting abilities of retainers and
vassals. These were men bound to their lords by vows of loyalty and/or other contractual obligations,
such as grants of land or income in exchange for military service.
winner
-
minamato (genji) ustaina (heike) -
genpeiwar

The First Warrior Government: The Kamakura Shogunate, 1185–1333

By the late eleventh century, the Minamoto (also known as Genji) clan was recognized as the most
powerful military clan in the northeastern region of Japan, having defeated several other powerful
local groups. In the mid-twelfth century, the Minamoto clashed with the mighty Taira (also known
as Heike) clan, which commanded an important western region including the area around Kyoto. A
series of clashes, culminating in the Genpei War (1180–1185), ended with the defeat of the Taira.

12 Asian Art Museum Education Department

The victorious Minamoto went on to
establish a new, warrior-led government at
Kamakura, their eastern stronghold.
In 1185 the great Minamoto leader
Minamoto Yoritomo (1147–1199) was
appointed sei-i-tai shogun (lit. “Great
Barbarian-Subduing General”; abbreviated
as “shogun”) by the emperor. Yoritomo
established a military government, (bakufu:
lit.“tent government”) appointing warriors
to fill important regional posts as constables
or military governors and land stewards.
Reporting to the shogun were daimyo (lit.
“great landholders”)—provincial landowners
who led bands of warrior vassals and admin-
istered the major domains.

The Second Warrior Government: The

Ashikaga Shogunate of the Muromachi
Period (1338–1573)
The Kamakura shogunate was overthrown in
1333 and succeeded by the Ashikaga sho-
gunate (1338–1573), based in Muromachi,
near Kyoto. Under the Ashikaga, samurai
were increasingly organized into lord–
vassal hierarchies. Claiming loyalty to one Kinkakuji (Temple of the Golden Pavillion), retirement villa of shogun
lord, they adhered to a value system that Ashikaga Yoshimitsu (r. 1369–1395), Kyoto. Photo by Francesco Giordano,
2006.
promoted the virtues of honor, loyalty, and
courage. As in the Kamakura period, the
Ashikaga shogun was supported by direct
vassals and by powerful but more independent regional daimyo, who administered the provinces.
These regional leaders were expected to maintain order, administer justice, and ensure the delivery of
taxes.
The Ashikaga shoguns were notably active in the cultural realm, amassing a prized collection of
imported Chinese artworks, and leading the samurai by example in their patronage of ink painting,
calligraphy, the Noh theater, Kabuki, and the “Way of Tea” (Chado). These practices were avidly
pursued even during the years of growing disunity culminating in the Onin Civil War (1467–1477).
Architectural remnants of this era include the “Golden Pavilion” of Kinkakuji temple, where the
third Ashikaga shogun, Yoshimitsu (1358–1409) lived during his retirement years (only after his
death was the site converted to a Buddhist temple). Covered in gold foil, the two story villa served as
an elegant backdrop for the retired shogun’s cultural and leisure activities.

Asian Art Museum Education Department 13

Later Muromachi and Warring States (1490–1600) Period: The Three Unifiers
The second half of the Muromachi period, from 1490 to 1573, saw the samurai engaged militarily in
a series of wars. Called the Warring States period, these years were characterized by the rising power
of regional daimyo devoted to martial skills and readiness for battle, and the waning authority of the
Ashikaga shogunate. Into this power vacuum stepped a new type of warrior, powerful and ambitious
men who sought to unify the country after years of civil war. Eventually three leaders rose in suc-
cession to dominate Japan: Oda Nobunaga (1534–1582), Toyotomi Hideyoshi (1537–1598), and
Tokugawa Ieyasu (1543–1616). Their combined efforts led to peace in the country in 1615.
During the 1500s, samurai warfare was revolutionized through the introduction of Western-
style matchlock guns, introduced to Japan by Portuguese
traders. With this newfound technology, the scale of battle
was vastly increased. Political reforms instituted in this
period included the severing of ties between samurai and
their rural village communities. Soldiers could no longer
work part time as farmers, and villagers were forced to
disarm, breaking the power of rural groups to organize and
rise against central rule.
Despite the warfare of this unstable period, the cultural
interests of the samurai continued unabated. All three
unifiers were involved in the sponsorship of painting, the
“Way of Tea”, and theatrical arts. In addition, many of the
personal possessions of the warriors, including their armor
and horse-trappings, were elaborately decorated with bold
designs, marking the taste and sophistication of their own-
ers on the battlefield and at home. Powerful warlords built
a succession of towering castles, which functioned both as
defensive fortifications and ostentatious symbols of their
military and economic might.

The Third Warrior Government: the Tokugawa

Shogunate of The Edo Period (1615–1868)
In September of 1600, Tokugawa Ieyasu won a decisive
victory over rival daimyo factions, including supporters of
Hideyoshi’s heir, Hideyori. The Tokugawa military gov-
ernment, based in a new capital city at Edo (present-day
Tokyo), achieved unparalleled control over the country, last-
ing more than 260 years, from 1600 to 1868. The regime’s
unprecedented longevity was achieved through exceptional
social control over the population, including the daimyo
Portrait of Toyotomi Hideyoshi, 1599, by Seisho and their vassals. From 1639 until 1868, the country’s bor-
Shotai. Japan. Edo period (1615–1868). Hanging
ders were closed to foreigners with the exception of a single
scroll, ink and colors on silk. Gift and Purchase from the
Harry G.C. Packard Collection Charitable Trust in honor port, Nagasaki, through which Dutch traders could operate
of Dr. Shujiro Shimada; The Avery Brundage Collection, under close supervision. For these and other reasons, the
1991.61.

14 Asian Art Museum Education Department

Constructed in 1583, Osaka Castle once served as the military fortress for Toyotomi Hideyoshi. Photo by Janne Moran, 2006.

era of Tokugawa rule was a time of peace, when the warriors were increasingly called upon to fulfill
bureaucratic roles.
Under the Tokugawa shogunate land taxes were based on an assessment of rice productivity. This
calculation determined the allotment of daimyo domains and samurai stipends: so many bushels of
rice (or the land necessary to produce them) could be granted as a reward for loyalty, or designated
as an individual warrior’s yearly income. In the Tokugawa system, there were about 260 daimyo
domains, each with its own castle, served and protected by samurai vassals. The distribution of
land to the daimyo was based on security considerations, and the government held absolute control
over all appointments. For example, the shogun might appoint a loyal daimyo to oversee a restless
domain. Though entrusted with the administration of their domains, the daimyo thus held no
authority independent of the central government. The Tokugawa authority was strengthened by their
direct control over an immense area of land surrounding the Edo capital; they also held authority
over the other major urban centers. Profitable gold and silver mines also added to their power.
A further means of controlling the daimyo was the system of “alternate attendance,” which
required daimyo to maintain at least two residences: one in their domain and the other within the
capital at Edo. The shogun mandated they spend alternate years residing in Edo. During years spent
in the home domain, the daimyo were required to leave their families in the castle town of Edo, in
essence as political hostages of the shogun. Costly processions back and forth from Edo, together

Asian Art Museum Education Department 15

Early 20th century woodblock reproduction of Zojoji Temple, from Famous Places of the Western Capital (Edo), 1840–1850, by Ando Hiroshige
(1797–1858). Japan. Edo period (1615–1868). Woodblock print. Ink and colors on paper. Gift of Dorothy D. Gregor, F2004.81.2.

with the requirement to maintain lavish residences in each location, led to a gradual draining of the
daimyo’s financial resources. Ironically, in this peacetime economy, many samurai became hopelessly
indebted to moneylenders and lower-ranking members of society. Throughout the long peaceful
reign of the Tokugawa, warriors were transformed into civil officials, and increasingly able to focus
their energies on intellectual and cultural activities.

Restoration of Imperial Authority and the End of the Warriors’ Age: Meiji Period (1868–1912)
The imperial court, though technically maintaining the power to appoint the shogun, held little real
military authority during the period between 1185 and 1868. In 1853, a squadron of “Black Ships”
led by Commodore Matthew Perry sailed off the coast of Japan, threatening military action unless
Japan ended its policy of national seclusion. This challenge to Tokugawa authority provided a pretext
for influential samurai from several southwestern domains to overthrow the shogunate. In 1868,
direct imperial rule was restored for the first time in almost 700 years. Although many prominent
daimyo—especially those who helped to overthrow the shogunate—were invited to participate in
the new government, the samurai were effectively stripped of power during the first decade of Meiji
rule. They were ordered to restore their domains to the emperor, their stipends were reduced through
taxation and other measures, and they were compelled to turn in their weapons. A new constitution
was enacted in 1889, and the Diet—modern Japan’s first legislative body—was founded. In a few
short years, Japan was transformed from a feudal warrior state to a parliamentary government.

16 Asian Art Museum Education Department

America: Depiction of an American Ship and Portraits of the First Ambassador Perry and the Deputy Ambassador Adams, 1854, by Shinsei. Japan. Edo
period (1615–1868). Ink and colors on paper. Asian Art Museum, bequest of Marshall Dill, F2001.23.1.

B. RELIGIOUS PRACTICES OF THE SAMURAI: PURE LAND AND ZEN BUDDHISM

D
Like most Japanese of their time, the samurai followed Buddhist religious teachings as well as the
practices of Japan’s native religion, Shinto. Buddhism originated in India, birthplace of the historical
founder also known as the Buddha Shakyamuni. The main tenets of Buddhism, expounded in the
Four Noble Truths preached by the Buddha, teach the origins of human suffering in desire, and offer
hope of escape from suffering and the endless cycle of rebirth through pursuit of the Noble Eightfold
Path. The latter is a set of guidelines for living based on principles of ethical conduct, the cultivation
of wisdom, and mental discipline. In some schools of Buddhism the Buddha Shakyamuni is thought
of as one buddha among many, each inhabiting a different era or part of the universe.
By the mid-sixth century, when it reached Japan, Buddhism had spread from India throughout
China, Southeast Asia, and Korea. In 552, Buddhism was introduced to Japan by the ruler of a
kingdom in southwest Korea. Under patronage from the Japanese emperor and nobility, hundreds of
Buddhist temples were constructed in Japan throughout the Nara (645–794) and Heian (794–1185)
periods. Although devotional practices varied from sect to sect, devotees typically read and chanted
sacred texts, and performed ceremonies and rituals dedicated to the Buddha and other deities,
including a class of compassionate intercessors known as bodhisattvas, and other more fearsome or
passionate gods like Achala (Japanese: Fudo) (Image 5).
etmeyis, genicilik devam
One Buddhist concept with special relevance for samurai life is that of impermanence. The
opening passage of the great warrior epic The Tales of the Heike reflects this principle underlying the
pathos of war:

Asian Art Museum Education Department 17

 The sound of the Gion Shoja bells echoes the
impermanence of all things; the color of the sala
flowers reveals the truth that the prosperous must
decline. The proud do not endure, they are like a
dream on a spring night; the mighty fall at last, they
are as dust before the wind.3

When the battles recounted in the Heike took place

(the late twelfth century), there was a new urgency to
the quest for adequate responses to life’s fleeting nature.
Common belief held that the world had entered a
period known as the Latter Day of the Buddhist Law,
an age when people would be incapable of achieving
salvation through adherence to Buddhist doctrine
alone. In response to the anxieties of this age, a new
Buddhist sect known as Pure Land rose to prominence.
The term Pure Land refers to the western paradise of
Amitabha, a powerful and compassionate Buddha to
whom the sect was devoted. The attraction of Pure
Land Buddhism lay in its reliance on a simple, expedi-
ent device for salvation: recitation of a short prayer,
The Buddhist deity Achala Vidhyaraja (Japanese: Fudo
invoking the name of Amitabha (Image 3). Pure Land
Myoo), 1200–1300. Japan. Kamakura period (1185–1333). monks taught that if devotees called upon Amitabha
Hanging scroll, ink and colors on silk. The Avery Brundage even once with a sincere heart, they would escape
Collection, B70D2.
rebirth and instead be welcomed to his wondrous
paradise after death.
Throughout the thirteenth and fourteenth centuries, preachers traveled throughout Japan,
attracting flocks of followers to Pure Land sects. The monks Honen and Ippen, two of the most
prominent Pure Land leaders, were themselves of samurai descent, and many warriors were drawn
to the faith along with converts from other walks of life. Evidence of samurai enthusiasm for the
Pure Land sect comes from many sources, including a set of painted handscrolls dating to 1299.
In this work, one illustration shows Ippen at the house of a warrior where he has just delivered a
sermon; another shows him leading a group dancing and chanting prayers outside a second warrior’s
residence.
Leading lives of great fragility, never knowing when death might strike, perhaps the warriors
needed faith in Buddha Amitabha more than most. According to some accounts, Pure Land monks
accompanied samurai into battle in order to guide them in recitation of the name of the Buddha
Amitabha (a prayer known as the nembutsu) should they succumb to wounds, and to pray for their
successful salvation in the event of death.4 In a later section of this essay, a passage from the twelfth
century The Tales of the Heike describes a warrior’s final appeal to Amitabha moments before an
opponent takes off his head. It appears that his fears are greatly eased by even this brief devotional
act.

18 Asian Art Museum Education Department

 Another, quite different sect with many samurai
adherents was Zen Buddhism. Introduced to Japan
from China in the twelfth century, Zen is a form of
Buddhism that stresses seated meditation and pondering
of koan—paradoxical statements or questions—as prac-
tices leading to enlightenment. Zen’s rapid acceptance
in Japan was another response to the search for religious
alternatives in the Latter Day of Buddhist Law. The
military leadership, based in Kamakura, was particularly
welcoming to Zen, supporting the activities of Chinese
and Japanese monks and sponsoring the establishment
of several major temples in the east during the thirteenth
century. This patronage continued throughout the
period of rule by the Ashikaga shoguns, accounting for
the great concentration of Zen temples in Kyoto, where
their capital was located.
Describing the connection between Zen principles
and samurai values, the historian Martin Collcutt writes:

With its emphasis on discipline and self-reliant

effort, Zen was temperamentally suited to warriors,
who on the battlefield required skill and courage.
The ultimate goal of Zen is, of course, spiritual
awakening and the attainment of Buddhahood, but
the concentration and equanimity fostered by the
practice of meditation and the directness of mind
and expression called for in koan encounters were of
great practical use to even the most unenlightened
samurai.5

Many samurai practiced meditation, alone and

under the tutelage of Zen monks, and the concentration
required by this practice became a guiding principle
for martial arts and military discipline. But Zen was
also important as a conduit for many cultural activi-
ties, including the “Way of Tea” and ink painting, that
were later associated with warrior life. For example, the
fourth Ashikaga shogun commissioned one of the most
famous Zen paintings of his age, Catching a Catfish Dharma (Daruma), 1877–1933, by Hirafuku Hyakusui
(1877–1933) with inscription by Nakamura Fusetsu
with a Gourd, to illustrate a famous koan. The shogun’s (1866–1943). Japan. Edo period (1615–1868) to Meiji
deep connection to the Zen community is further period (1868–1912). Hanging scroll, ink and colors on
demonstrated by the fact that thirty eminent Zen monks paper. Gift of Mrs. Hugh M. Williamson, 1990.4.2.

wrote inscriptions above the painting to comment on its

Asian Art Museum Education Department 19

 content. Other leading warriors collected Chinese ceramics and ink paintings, introduced to Japan
through the Zen monasteries.
-
C. WARFARE AND ARMS

By far the most important items owned by the warrior were their personal arms and armor, which
provided both protection in battle and a vehicle for personal display. Samurai armor and helmets
evolved and improved through time to adapt to changing styles of warfare and to achieve greater
efficiency in battle. But apart from their utilitarian functions, suits of armor, helmets, and swords
were also objects treasured as symbols of strength, identity, and power. The shogun and daimyo often
recognized service and merit by awarding loyal samurai vassals (men bound to their lords by vows of
loyalty and/or other contractual obligations) with gifts of armor, helmets, and swords. Suits of armor
were used for samurai burials, confiscated as the spoils of war, displayed or worn at ceremonies, and
given as votive offerings to Buddhist temples and Shinto shrines.
The oldest surviving representations of Japanese armor and helmets are found among the arti-
facts excavated from ancient tombs (around 300–500). During this period, clay figurines (haniwa)
placed atop burial mounds as part of mortuary rituals included soldiers wearing armor (Image 1).
The design of this early military equipment was based on prototypes from China and Korea. During
the 800s, as the warrior class rose to prominence, a distinctively Japanese style of armor, the oyoroi
(lit. “great armor”) developed. Armor-makers designed this boxy style of protective gear to be worn
by high-ranking warriors, who rode on horseback and used the bow and arrow and sword as weap-
ons. The stiff and heavy body was built up of small rectangular iron or leather plates (lames), laced
together with brilliantly colored silk cords or leather to form beautiful patterns. A divided, armored
skirt, suspended from the body, armored sleeves, and shoulder, thigh, and shin guards complete
the protective equipment. Helmets from this period are low bowls made from metal plates riveted
together, with a hole on top for the wearer’s hair to pass through. A guard for the back and sides of
the head, constructed from rows of laced plates, hangs from the base of most samurai helmets.
Foot soldiers and attendants used a spear as their main weapon, and wore lighter armor (domaru)
constructed with a continuous, sheath-like torso. As fighting on foot and long campaigns became the
norm during the 1300s, the more flexible, lighter armor was adopted by higher-ranking samurai as
well. With this was worn a large, high-sided helmet lined with cloth or leather to absorb shock.
The introduction of firearms from the West after 1543 forced armor-makers to innovate. Use of
guns made it necessary to develop a new type of armor, capable of sustaining the impact of musket
fire. To meet this demand, armor makers experimented with different combinations of overlap-
ping and welding larger and stronger metal pieces for protection. Lacing, which required piercing
and thus weakened the metal, was partially displaced by rivets and hinges. This new type of armor,
known as tosei gusoku (lit. “modern armor”), had many possible variations in style, including the
use of a hinged metal breastplate reminiscent of a European cuirass (protective shell that includes
a breastplate and backplate) (Image 5). In the same period, the helmets of high-ranking samurai
were often embellished with magnificent ornaments. These distinctive devices helped the warrior to
stand out among tens of thousands of enemies and allies, ensuring that his actions were visible to all
(Image 6).

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Dog chasing (detail), approx. 1640. Japan. Early Edo period (1615–1868). Pair of six-panel screens; ink, colors, and gold on paper. The Avery Brundage
Collection, B60D1 and B60D2.

D. WAY OF THE WARRIOR

The ideal of a soldier as someone of exceptional bravery, physical prowess, and strategic brilliance
appears in literary sources dating back to the Heian period (794–1185). An early example is the
following account of the eleventh century warrior Minimoto Yoshiie:

[Yoshiie] was a warrior of peerless valor. He rode and shot arrows like a god. Defying naked
blades, he broke through the rebels’ encirclements, appearing first on their left and then on
their right. With his large-headed arrows, he shot the rebel chieftains in rapid succession. He
never wasted an arrow, but mortally wounded all those he attacked. Known throughout the
land for his godly martial ways, Yoshiie rode like thunder and flew like the wind. The barbar-
ians scattered and fled before Yoshiie, not one willing to confront him.6

To hone skills like Yoshiie’s, samurai dedicated themselves to various martial arts and recreations.
Chief among them was archery practice, carried out both on foot and mounted on horseback. The
activity known as dog-chasing, in which mounted archers shoot heavily padded arrows at dogs
within an enclosure, is just one of several martial recreations designed to facilitate aim and speed
(Image 16). Training in swordsmanship and spear fighting were also essential martial arts.
Beyond his physical skills, the samurai was expected to embody good character and ethical
conduct. The Way of the Samurai, by philosopher Yamaga Soko (1622–1685), described the samurai
ideal as follows:

The business of the samurai consists in reflecting on his own station in life, in discharging
loyal service to his master if he has one, in deepening his fidelity in associations with friends,
and, with due consideration of his own position, in devoting himself to duty above all.7

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 A special set of values and laws guided samurai life. They emphasized loyalty to one’s overlord,
strict obedience to duty, honorable conduct, and the courage to face untimely death. The bond of
loyalty between lord and vassal was such that it often required “fidelity even unto death.”8 Ritual
suicide (seppuku) was used by samurai as a means of avoiding a dishonorable death, of expressing
loyalty, or to atone for a lack of judgment or deviation from duty. Warriors were expected to lead a
life of austerity, temperance, and self-discipline, focused constantly on preparation for battle.
Bushido (lit. the “Way of the Warrior”) is a term used for the systematic code of warrior ethics
formulated during the 1600s, when an era of peace followed a century of war and turmoil. This
code took on a stronger moralizing tone, combining Chinese Confucian ethics emphasizing social
relationships and self-cultivation with the traditional values of the warrior class.9 In addition to the
warrior values enumerated above, new disciplines were created which redirected the emphasis from
combat readiness to self-cultivation, such as can be achieved through the modern martial arts of judo
(unarmed fighting that emphasizes leveraging and throwing), aikido (unarmed fighting that stresses
the redirection of the opponent’s movement), and kendo (traditional Japanese fencing).

E. BU AND BUN: THE ARTS OF WAR AND PEACE

Surprisingly, perhaps, in addition to superior strategic and military ability, most elite samurai were
expected to be versed in the cultural arts. The warrior’s ideal balance of military and artistic skill is
captured well in this description of the sixteenth century daimyo Hosokawa Yusai (1534–1610):

Renowned for his elegant pursuits, he is a complete

man combining arts [bun] and arms [bu]. A man of
nobility, a descendant of the sixth grandson of the
emperor Seiwa, he was a ruler endowed with awe-
some dignity and inspiring decorum…He built a
splendid castle, which was majestic, beautiful and
high…He discussed Chinese poetic styles and recited
by heart the secret teachings of Japanese poetry…10

Minamoto Yoritomo, Japan’s first shogun, urged war-

riors not to display excessive interest in court culture, yet
by the late thirteenth century literary pursuits—poetic
composition and reading classic Chinese and Japanese
texts—were already integral parts of warrior life. By the
seventeenth century, the Regulations for Military Houses
legally required samurai to pursue such practices:

The arts of peace and war, including archery and

horsemanship, should be pursued singlemindedly.
Noh mask, 1615–1868, by Semimaru. Japan. Edo
period (1615–1868). Painted wood. The Avery Brundage From old the rule has been to practice the “arts of
Collection, B60S219. peace on the left hand and the arts of war on the
right”; both must be mastered.11

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Tearoom, Koto-in, Daitokuji temple, Kyoto. Photo by Loren Madsen, 2009.

This emphasis on cultural skills grew from the samurai’s need to govern lands acquired through
warfare. Simply put, literacy was required to rule: to draft documents, samurai needed to have at
least minimum skill in calligraphy and knowledge of literary conventions. Their ability to participate
in courtly arts like classical Japanese verse (waka). strengthened the samurai’s authority, lending dig-
nity and prestige to warriors who frequented aristocratic circles. Like nobles, samurai often attended
social gatherings where poems were recited, written, or exchanged. Samurai children were expected
to prepare for life by studying Chinese and Japanese literature—as well as Confucian texts—along-
side martial skills like archery or horseback riding. Poems were used to utter prayers for victory in
battle, and to communicate with warriors from other regions.
Among other pastimes, high-ranking samurai were often avid connoisseurs of painting. Warrior
patronage of painters and artisans advanced the visual arts throughout the period of military rule,
as shoguns and daimyo vied to fill their mansions and castles with brilliantly colored screens and
beautifully decorated objects for daily use. In addition to objects imported from China or pictures
inspired by Chinese styles of painting, particular favorites were screens painted with scenes from
famous battles, or other warrior pastimes such as falconry, horseracing, and dog chasing.
Noh theater, a traditional form of dance-drama, was another cultural activity enjoyed by the sam-
urai (Image 19). Often drawn from classic literary sources, Noh plays emphasize Buddhist themes,
and focus on the emotions of a main character tormented by love, anger, or grief. The warlord

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Toyotomi Hideyoshi famously both studied and performed in Noh plays himself, even while in the
midst of a military campaign. Noh was taken so seriously that during the Edo period (1615–1868),
“every daimyo household was required to maintain a full set of robes, masks, and musical instru-
ments for the performance of No[h]….Daimyo vied in sponsoring No[h] actors, building stages, and
acquiring robes and masks.”12
Finally, many samurai were devoted to the “Way of Tea” (Chado, also known as Chanoyu, lit. “hot
water for tea”). At its simplest, tea is a gathering during which water is heated, tea is prepared and
served, and conversation flows between host and guest(s) (Image 20a). Initially warriors practiced
elaborate forms of tea, at times involving huge gatherings, tea identifying contests or day-long events
in which meals and sake were also served. Hideyoshi and Nobunaga, two of Japan’s most power-
ful warlords, were both ardent collectors of tea utensils; Nobunaga is even known to have awarded
prized tea bowls to his vassals for loyal duty in battle. Under warrior patronage the tea master Sen
Rikyu developed the simple, more intimate, and rustic form of tea practice that survives today in
modern tea lineages.

F. WAR TALES

One of the most reliable sources of information about warriors in Japan is the body of war tales,
stories chronicling the lives of warriors and their battles, written from the 900s to the 1600s. Based
on real events, the war tales were embellished over time to create powerful narratives full of good
storytelling, sympathetic characters, and poignant and stirring events. Itinerant singers transmitted
the war tales orally, spreading stories of warriors’ loyalty, courage, and virtue throughout the country.
The Tales of the Heike is among Japan’s most celebrated war tales. It traces the rise, brief period
of glory, and fall of the Taira clan (also known as the Heike clan). Set in the 1100s, The Tales of the
Heike concerns the intrigue and battles of an era when military clans based outside the capital vied
for control of the imperial government. At the heart of the story is the competition between the
two most powerful military clans of the time, the Taira and the Minamoto (also known as the Genji
clan).
As the story opens, the Taira maintain power over the imperial throne under the leadership of
Taira no Kiyomori. Facing shifting alliances, Kiyomori begins to act with unusual ruthlessness,
creating many enemies in the process. In the first chapters, the Heike narrator demonstrates how
Kiyomori’s actions transgress the usual boundaries of honorable conduct. This section ends as
Kiyomori, wracked by disease and fever, succumbs to a terrible illness. The second and third sections
recount the struggle, intrigue, and finally the civil wars that ensued between the Minamoto and Taira
clans after Kiyomori’s death. The tale ends with the total devastation of the Taira and the supremacy
of the Minamoto, led by Minamoto Yoritomo.
The Heike text is permeated by an aura of melancholy, reflecting the Buddhist belief in the
impermanence of worldly phenomena. This melancholy lent a special poignancy to life and engen-
dered both heroism and a sense of tragedy in Japanese culture. The opening line of the story (quoted
above, p.18 ), citing the tolling of a temple bell as a warning of vanity and the transitory nature of all
things, sets the tone for the story to follow. The ruthless rise to power and final crushing defeat of the
Taira speak not only of impermanence but also of retribution. The sins of Kiyomari are visited not
only upon himself but also upon his descendants.

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Battle at Awazuhara (detail of Tomoe Gozen), from The Tales of the Heike, 1650–1700 (detail). Japan. Edo period (1615–1868). Pair of six-panel
screens, ink, colors, and gold on paper. The Avery Brundage Collection, B60D60+.

The value of the Heike lies in its character as historical narrative describing battles and political
intrigues, but also in its lessons about samurai daily life, etiquette, and ethical values. The soldiers’
bravery in battle and their determination to fight to the death are illustrated by this passage describ-
ing the battle at Ichi-no-tani, when the warrior Naozane faces down a powerful enemy:

Naozane pulled out the arrows that were lodged in his own armor, tossed them aside, faced
the stronghold with a scowl, and shouted in a mighty voice, “I am Naozane, the man who
left Kamakura last winter determined to give his life for Lord Yoritomo and bleach his bones
at Ichi-no-tani. Where is Etchu no Jirobyoe [and others]? Fame depends on the adversary.
It does not come from meeting just any fellow who happens along. Confront me! Confront
me!”

Etchu no Jirobyoe Moritsugi was attired in his favorite garb, a blue-and-white hitatare and a
suit of armor laced with red leather. He advanced slowly astride a whitish roan, his eyes fixed
on Naozane. Naozane and his son did not retreat a step. Instead, they raised their swords to
their foreheads and advanced at a steady walk, staying side by side to avoid being separated.
Perhaps Moritsugi considered himself overmatched, for he turned back.13

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 Conspicuous in this passage is the description of Moritsugi’s battle attire. Clearly a magnificent
appearance was no substitute for courage, but it was important nonetheless as a material mark of
warrior status. Battle etiquette is reflected in the Naozane’s shouted proclamation of allegiance to
Yoritomo, and in the formal presentation of his own famous name to lure his opponent into battle.
Also from the Heike comes an ode to a rare female warrior, Tomoe Gozen, who exemplifies the
loyalty and discipline expected of both genders within the warrior class. In general, samurai women
led hard lives, bound by submission to husband, husband’s parents, and sons. Few served in battle,
but in the Heike, Tomoe demonstrates strength of character, physical bravery, and determination in
defense of her lover, Kiso Yoshinaka (Image 12a and 12 b). First, there comes this description:

…Tomoe was also remarkably beautiful, with white skin, long hair, and charming features.
She was also a remarkably strong archer, and as a swordswoman she was a warrior worth a
thousand, ready to confront a demon or god, mounted or on foot. She handled unbroken
horses with superb skill; she rode unscathed down perilous descents. Whenever a battle was
imminent, Yoshinaka sent her out as his first captain, equipped with strong armor, an over-
sized sword, and a mighty bow; and she performed more deeds of valor than any of his other
warriors.14
Later, Tomoe encounters thirty horsemen under the command of the renowned warrior Onda no
Moroshige. She acts decisively, and with memorable brutality:

Tomoe galloped into their midst, rode up alongside Moroshige, seized him in a powerful
grip, pulled him down against the pommel of her saddle, held him motionless, twisted off
his head, and threw it away. Afterward, she discarded armor and helmet and fled toward the
eastern provinces.15

By the time of the Heike, it was customary to decapitate one’s opponent, as evidence of their
defeat in battle. The violence of medieval warfare is fully captured by the war tales, but there are also
moments in which the dignity and nobility of the soldiers are described and their underlying spiri-
tual beliefs revealed. For example, in this passage the Taira warrior Tadanori calls upon the Buddha
Amitabha for salvation, knowing that he is about to die:

Just then, Tadazumi’s page galloped up from the rear, drew his sword, and lopped off
Tadanori’s right arm at the elbow. Tadanori may have felt that his time had come, for he said,
“Give me room for a while. I want to recite ten Buddha-invocations.” He gripped Tadazumi
and hurled him a bowlength away. Then he began to recite ten invocations in a loud voice,
facing westward: “His light illumines all the worlds in the Ten Directions; he saves sentient
beings who recite his name, he does not cast them away.” Tadazumi came up behind and cut
off his head before he had finished.16

The story of Tadanori’s end also touches upon the marriage of culture and military skill that lay
at the heart of samurai ideals:

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 Although Tadazumi felt certain that he had slain an important Commander-in-Chief, he
did not know who he was. Observing that the other had tied a strip of paper to his quiver,
he opened it and saw a poem, “On Blossoms at a Travel Lodging,” with the signature
“Tadanori”:

If, journeying on/I seek shelter at nightfall beneath a tree/ might cherry blossoms become/
my host for this evening?
Thus it was that he discovered his adversary’s identity.17

In this passage from Heike, a more complex view of the samurai, as a man of heightened sensibil-
ities and religious devotion, is wedded to the image of martial valor that dominates modern popular
culture. As we have seen, the ideal samurai was as committed to spiritual and cultural practices as
he was to military training. Prayer and poems, it would seem, were as natural to him as marksman-
ship, loyalty, and bravery. Returning to the world of manga and anime, we can wonder: would Jin,
one of the heroes of Samurai Champloo, leave a poem for his opponent to find? Would he pray for
salvation at the moment of his execution? Possibly not, but his real-life predecessors would have
proudly done so.

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