THE PORTRAIT OF THE LIFE OF SAMURAI DURING THE SHOGUNATE ERA OF JAPAN IN JAMES CLAVELL’S SHOGUN
THE PORTRAIT OF THE LIFE OF SAMURAI DURING THE
SHOGUNATE ERA OF JAPAN IN JAMES CLAVELL’S SHOGUN
AN UNDERGRADUATE THESIS
Presented as Partial Fulfillment of the Requirements for the Degree of Sarjana Sastra in English Letters
SIDIQ MURTAYA EKA PRASETYA
Student Number: 994214203
Student Registration Number: 990051120106120203
ENGLISH LETTERS STUDY PROGRAMME
DEPARTMENT OF ENGLISH LETTERS
FACULTY OF LETTERS
SANATA DHARMA UNIVERSITY
YOGYAKARTA
2007
A Sarjana Sastra Undergraduate Thesis
THE PORTRAIT OF THE LIFE OF SAMURAI DURING THE
SHOGUNATE ERA OF JAPAN IN JAMES CLAVELL’S SHOGUN
By
SIDIQ MURTAYA EKA PRASETYA
Student Number: 994214203 Student Registration Number: 990051120106120203
Approved by Drs. Hirmawan Wijanarka, M.Hum July ,2007 Advisor Dewi Widyastuti, S.Pd., M.Hum July ,2007 Co-Advisor A Sarjana Sastra Undergraduate Thesis
THE PORTRAIT OF THE LIFE OF SAMURAI DURING THE
SHOGUNATE ERA OF JAPAN IN JAMES CLAVELL’S SHOGUN
By
SIDIQ MURTAYA EKA PRASETYA
Student Number: 994214203 Defended before the Boards of Examiners
On And Declared Acceptable
BOARD OF EXAMINERS
NameChairman : Dr. Fr. B Alip, M.Pd, M.A Secretary : Drs. Hirmawan Wijanarka, M.Hum Member : M. Luluk Artika, SS.
Member : Dewi Widyastuti, S.Pd., M.Hum Member : Drs. Hirmawan Wijanarka, M.Hum
Yogyakarta, …………….,……………….2007
What are clouds
But an excuse for the sky?
What is life
But an escape from death?
(The words of Kasigi Omi)
This Undergraduate Thesis is dedicated to My beloved parents My beloved brother
All my teachers Those who read it
ACKNOWLEDGEMENTS
The process of writing a thesis is equivalent to the great battle of Yedo. It was the battle that one’s destiny of life and death will be determined not only by his own skills and by will to fight, but also by the supports of those who helped and guided him. Within this section, I dedicated my greatest thanks to those who have guided and supported me to finish the process of writing this undergraduate thesis.
My first thanks first goes to Allah, the Lord of creations, whose great love and mercy never decline although I often forget Him; and I knew I will never succeed to finish this thesis without His blessings.
My special thanks go to Drs. Hirmawan Wijanarko, M.Hum., my advisor in writing this thesis, Dewi Widyastuti, S.Pd. M.Hum, as my co-advisor, Tatang Iskarna, S.S, M.Hum., Maria Ananta, S.S., and all lecturers of English Letters department of Sanata Dharma. Without their advice, guidance, and mental supports, I will never be able to finish this undergraduate thesis
The last but not least, to my parents, little brother, and family, for their endless loves and supports, and for my best friends Roberto “Chodhot” Januar, Harry ‘@” Arya Tamtama, Reygan”Den Baguse” Eufra T., Antonius Agung “the Badroen” Priharyanta, and all my friends that I can not mention here. Best friends we are, best friends we will be. For the community of Black Metal, in Jogja, Indonesia, and around the world, thy spells of darkness enchant my spirit.
TABLE OF CONTENTS
TITLE PAGE ………………………………………………………….. i APPROVAL PAGE……………………………………………………. ii ACCEPTANCE PAGE ………………………………………………... iii MOTTO PAGE ……………………………………………………..…. iv DEDICATION PAGE …………………………………..........................v ACKNOWLEDGEMENTS …………………………………………….vi TABLE OF CONTETS …………………………………………………vii ABSTRACT ……………………………………………….....................viii ABSTRAK ……………………………………………………………...ix
CHAPTER I: INTRODUCTION A. Background of the Study…………………………………… 1 B. Problem Formulation ………………….…………………… 6 C. Objectives of the Study …………………………………….. 6 D. Definition of Terms …….…………………………………...6 CHAPTER II: THEORETICAL VIEW A. Review of Related Studies …………………………………..9 B. Review of Related Theories ………………………………....12 C. The Relation between Literature, Society, and History ……..14 D. Review of the History of Samurai in Feudal Japan ………….15 CHAPTER III: METHODOLOGY A. Object of the Study…………………………………………...22 B. Approach of the Study ……………………………………... 24 C. Method of Study …………………………………………… 24 CHAPTER IV: ANALYSIS A. The Description of Samurai………………………………….27 B. The Characteristics of Samurai………………………………34 C. The Portrayal of the Life of Samurai………………………...43
CHAPTER V: CONCLUSION.………………………………………..54
BIBLIOGRAPHY ………………………………………………………56
ABSTRACT
SIDIQ MURTAYA E.P (2007). The Portrait of the Life of Samurai During the
Shogunate Era of Japan in James Clavell’s Shogun. Yogyakarta. Department of
English Letters, Faculty of Letters, Sanata Dharma University.Samurai are well known as one part of Japanese culture that already goes international. They are recognized almost at all parts of the world. Most people have an interpretation of samurai as brave and fearless Japanese soldiers, who were expert in combat and killing, but only few knew how they their aspect of life. In James Clavell Shogun, the samurai were described a lot, although they are not the center point of the story. These facts drew the attention of the writer to study the life of samurai in James Clavell’s Shogun.
The writer formulated two problems in this thesis. The first problem discussed how Clavell characterizes and describes the samurai in his novel. This problem statement attempts to reveal how samurai are described physically and how Clavell characterized them in the novel. The second problem discussed what aspect of life of samurai portrayed in the novel, and how Clavell portrayed it. This part aims to what the codes, tradition, and believes of samurai in their life, and how they are portrayed within the novel.
To solve the problems in the thesis, the writer uses the way of library research. It means the writer takes the data from a novel entitled Shogun by James Clavell. The sources to analyze the problems were taken from books and internet. The writer also uses the socio-cultural historical approach to be used as ‘spectacles’ that gives the point of view of the writer on analyzing the life of samurai. Books and internet citations were used to find out the supportive theories and information that will help the writer to solve the problems formulated in the thesis. The writer used the theory of characterization to solve the first problem, while books and articles from experts that contain information on samurai were used as guidance to solve the second problem.
After analyzing the problems and applying the related theories and information, the thesis led into the result that samurai are characterized as honorable, loyal, self-disciplined, and fearless men. Physically they are strong and considered as powerful warriors. Their aspect of life reflected in the novel were bushido as their code of honor and loyalty, their relationship with the lord as mutual relationship, and the special meaning of sword for them, which are considered as their soul and honor.
ABSTRAK
SIDIQ MURTAYA E.P (2007). The Portrait of the Life of Samurai During the
Shogunate Era of Japan in James Clavell’s Shogun. Yogyakarta. Program Studi
Sastra Inggris, Fakultas Sastra, Universitas Sanata Dharma.Samurai adalah salah satu bagian dari budaya bangsa Jepang yang telah mendunia. Hampir seluruh bagian dari masyarakat di dunia mengenal samurai, dan menginterprestasikan samurai sebagai sosok ksatria yang tangguh dan pemberani serta memiliki keahlian tinggi dalam membunuh dan bertarung. Dari sekian banyak orang yang mengenal samurai, tidak banyak yang betul-betul mengetahui bagaimana nilai-nilai kehidupan mereka. Dalam novel James Clavell yang berjudul Shogun, samurai banyak dibahas walaupun fokus cerita tidak dititik beratkan pada mereka. Hal ini menarik perhatian penulis unruk mempelajarinya dalam skripsi ini.
Skripsi ini mebahas dua masalah. Yang pertama membahas sifat-sifat dan penampilan samurai. Bagian ini nertujuan menemukan gambaran baik penampilan fisik maupun sifat yang dimiliki para samurai. Rumusan masalah yang kedua membahas nilai-nilai kehidupan samurai yang mencakupi kode-kode, kepercayaan dan tradisi para samurai yang tergambar dalam novel, dan bagaimana Clavell menggambarkan nilai-nilai tersebut dalam novelnya.
Dalam proses menganalisa masalah-masalah yang ada di skripsi ini, penulis melakukan studi kepustakaan. Penulis mencari teori-teori, buku-buku, maupun artikel yang ditulis oleh mereka yang ahli dan mengandung informasi yang berkenaan dengan masalah-msalah di skripsi ini. Penulis juga menggunakan pendekatan sosio- kultural historical sebagai ‘kacamata’ yang menunjukan dari sisi mana skripsi ini mebahas kehidupan para samurai. Penulis menggunakan teori karakterisasi untuk memecahkan masalah pertama, dan menggunakan buku-buku dan artikel mengenai samurai untuk masalah kedua.
Dalam hasilnya, skripsi ini menunjukkan bahwa samurai memiliki sifat sebagai ksatria yang kuat, terhormat, setia, dan disiplin, serta pemberani. Sedangkan nilai kehidupan yang tercermin dalam novel Shogun adalah bushido yang digambarkan sebagai jalan kebenaran, dan kehormatan, hubungan antara samurai dengan tuannya dan arti pedang-pedang mereka sebagai symbol kehormatan dan jiwa samurai.
CHAPTER I INTRODUCTION A. Background of the Study Literature can be considered as the work of art of human being, which is
expressed through the spoken or written words. It contains the records of people’s values, thoughts, conflicts, or even histories and cultures of certain society.
Hudson in An Introduction to the Study of Literature said “literature is a vital record of what men have seen in life, what they have experienced, what they have thought and felt about those aspects which have the most immediate and permanent interest for all of us” (1958: 10). Marry Rohberger also mentioned that “literature is not created in a vacuum, and it embodies ideas significant to the history and culture that produce it” (1971: 9). From the previous statements, it is seen that by reading a work of literature, it is possible for us to learn and know the life, experience, opinion, or way of thinking of certain people, and even history and culture of certain society in a certain time, which is useful for us to record them as a mere entertainment, or even something that will fill our knowledge addition. Related to culture and history of certain society, the significant of literary works is that the reader may learn what happened in the past and what kind of social condition and values that are existed in a society. In other words, literary works can play their role as historical documents that record social reality, which are aesthetically portrayed by the author.
Novel is one kind of work of literature besides poetry, drama, short story, and prose. As a kind of the work of literature, a novel may includes the record of people’s aspect of life, history, or culture. According to Danzigen and Johnson in the
Introduction to Literary Criticism , “a novel may contain many aspects of life in
which the writer has interpreted them as fiction narration” (1958: 41).This thesis focuses its study on a novel. According to Danzigen and Johnson, a novel is a form of literary art. In complete definition, they defined it as “a work of art in so far as it introduces us into living world, in some respects resembling the world we live in, but with an individuality of its own” (1958:163). It means a novel is like a mirror image of real world and lives, which is clearly seen by the eyes of someone who read it, but it will give the reader something that they cannot get by seeing the original world.
The Novel that is analyzed in this thesis is entitled Shogun written by James Clavell. It is a fiction historical novel depicting the adventure of a bold English adventurer in Japan in the time of Feudal period. Shogun tells the story of an English pilot, John Blackthorne, who was in charge of five Dutch ships whose purpose is to break the Portuguese monopoly on Japanese trade and conquered the land if possible.
However, later, instead of monopolizing the new land, the pilot becomes involved in Japanese politics as he was captured by one of the powerful daimyo named Lord Toranaga who employs him as his secret weapon to aid him to get greater power as
shogun . Shogun uses straightforward storytelling techniques to keep readers fascinated as they imagine themselves in the position of the English pilot. By the end, the reader has learned about Japan alongside Blackthorne, as he attempts to survive.
Although not considered great literature by most critics, Shogun: A Novel of
Japan made its author, James du Maresq Clavell, one of the most commonly read
twentieth-century novelists. The novel contains war, trade disputes, cultural clash, passion, death, and descriptions of beauty that have kept readers up until down. The features make Clavell an "old-fashioned storyteller" who spins charming thread rather than an artiste like Virginia Woolf or Thomas Pynchon. Clavell's survival of a Japanese death camp gave him unique sight into human behavior and cultural differences, enabling him to produce a truly fascinating story. In addition to penning a good book to curl up with, Clavell built a bridge of understanding from West to East by fictionalizing a historical encounter between them.
The novel reflects a large part of Japanese social life, culture, and believes in the era of feudalism. One of the interesting aspects of culture of Japan reflected in the novel is the Samurai. The writer realized that James Clavell’s Shogun does not place the samurai as the center point of the story, but the writer also found that the novel contains a big part of portrayal the life of samurai, which draws the interest of the writer to focus the thesis on it.
It is interesting to discusss the life of samurai when discusssing Japan culture and history. The term “samurai” is already well known by most part of the world as the part of Japanese culture, especially in the military and spiritual aspect. The word
“samurai” is very famous and commonly recognized whether by people of Asia, especially Japan itself, China, Indonesia, or other people outside Asia, such as America and Europe. Most people have common sense on samurai as a tough and brave Japanese male warrior armed with two-handed swords by his belly, bow and pack of arrows carried on his back, and an expert on killing and martial arts. Meanwhile, in Indonesia, some people often have a misunderstanding in recognizing “samurai” and “katana”. Katana is a large two-handed sword and it is one of the must have weapon of samurai. In other words, it can be described as the sword of samurai, or samurai’s sword, but most people in Indonesia often name “katana” as only “samurai”, which should be “pedang samurai” (Indonesian translation for “samurai’s sword”)”.
Samurai do not only well known for the terms, but also exposed in several medias of entertainment. Very clear examples that shows samurai have been widely exposed is that they exist a lot and out of its motherland area in several kinds of entertainment such as movies like The Last Samurai, American Samurai, Twin
Samurai, Edge of Steel, Shodown in Little Tokyo, etc. The movies like The Last
Samurai and American Samurai are Hollywood movies that success to hit box officerate at their time. Samurai also commonly appeared in video games such as
Bakumatsu Roman 1 and 2, which are converted into their European version entitled The Last Blade 1 and 2 (SNK), Neo-Geo’s Samurai Spirit series which also adopted
to European and North American version as Samurai Shodown I – V, Battle Realms
(Liquid Entertainment), Empire Earth and Throne of Darkness (Sierra), and many more that the writer can not write due to the matter of efficiency and source.
Because samurai was exposed a lot in various universal medias, it is not odd that later samurai becomes well known by people from around the world, but most of the description of samurai, whether it is in movies or on games, is still more or less similar one to each other. There, samurai are described as men skillful in combat, physically wear Japanese war armor, or kimono, and carrying long sword. This is may be the cause of why people have such common senses on samurai.
Within James Clavell’s Shogun, the samurai is not merely physically described as what common people think. The novel, although not focusing its center point on samurai, contains large aspects of the life of this private-warrior class of feudal Japan including their believes, ethos, culture, their goal and purpose to become a samurai, and also the description of their relationship with their masters, the Daimyos or the Shoguns, even with the weapons they carried. After reading James Clavell’s Shogun, the writer, who was already interested with the culture of samurai, became more interested in studying samurai as there a lot of samurai’s aspect were described. Based on the Information stated previously, the writer decides to use James Clavell’s Shogun and discusss the life of samurai in this thesis.
B. Problem Formulation
The Problems which are discusssed in this thesis are
1. How does James Clavell characterize the samurai in his novel entitled
Shogun ?
2. What are samurai aspects of life portrayed in the novel and how does James Clavell’s portray them in Shogun?
C. Objectives of the Study
The writer has two points of objective in writing this thesis. The first goal is to identify how James Clavell describes the samurai in his novel. The description the writer want to find out is not only on the physical appearance of the samurai, but also their personality, behavior, and believe.
The second objective the writer wants to achieve on this thesis is to find in what aspects of life the samurai is portrayed in the novel and evaluate it with the aspects of life of the samurai in the real life, or, in other word, the writer wanted to find out how far James Clavell’s Shogun described the truth about the life of samurai in the era of shogunate in Japan.
D. Definition of Terms
In order to make this thesis clearer and to avoid any misunderstanding, definitions for the terms are used. There are several terms that will be defined in this part. They are samurai, shogunate, and shogunate era.
1. Samurai
According to Longman Dictionary of English Language and Culture, the word samurai is defined as the member of military class of high rank in Japan in former time. According to Encyclopedia of Japan: Japanese History and Culture,
samurai has literary meaning as “the one who serves”. Samurai is also defined as “the
servant warriors” as the name “samurai” is derived from word subarau, which means to serve or, to guard and bushi, which means warrior (1991: 290). The writer will use the second definition, which is taken from Encyclopedia of Japan: Japanese History
and Culture in this thesis, as it gives clearer detail about the definition ansd the
meaning of samurai.2. Shogunate
According to Encyclopedia of Japan: Japanese History and Culture,
shogunate is the English translation of bakufu, which has the meaning literary as “the
tent Government”. Bakufu or shogunate is a government system; usually a military based one, consists of several daimyos that own certain part of the land of Japan under the rule of an official lord called shogun (1991:316). In the same books it is also described that the word shogun means the one who own and rule (1991:316).
3. Shogunate Era
According to Encyclopedia of Japan: Japanese History and Culture,
shogunate era is the time when shoguns rule as supreme land owner in Japan. The era started from the year of 794, the beginning of Heian era, until the year of 1868, the end of Edo Period. Edo period, which last from 1603 until 1868 is the last time of samurai era (1991: 136). The setting of time of James Clavell’s Shogun is in the middle of 1618, so it is still in the era of Shogunate, during Edo Period.
CHAPTER II THEORETICAL REVIEW A. Review of Related Studies As one of works of literature, James Clavell”s Shogun draws attention from critics, reviewers, students, or persons to give comments, or do a research study on it. Charles Hubbel, a graduate student in History at the State University of New York, Stony Brook wrote an essay on the novel discusssing on the scientific mind and
technology. In his essay that the writer found from , Hubbell stated that Blackthorne, the main character of the novel, does not play a major role in the progress of science and technology of Japan. According to the essay, “Blackthorne is only a figure of no one to show any support in the raise of Meiji turmoil. He only carries his own stand-alone problems and more to be that one’s dreams”. The writer comprehends that this essay discusssed and related the novel with the restoration of Meiji, the time when Japan began to develop gunpowder and use it to improve their weaponry systems.
Dorothy Perkins in her book Encyclopedia of Japan: Japanese History and
Culture said “this novel is inspirited by the real experience of an England ship
navigator named William Adams who was navigating a Dutch ship, Die Liefde to the East Indies when it was wrecked in a storm off the Japanese coast on April 19, 1600 but the work itself is no more than a fictional of personal adventure with no significance neither to the mission motherland nor political sarcasms.” (1991: 2).
When Shogun was published in 1975, the reviews around the major newspapers and magazine overwhelmingly praised the book for its ingenious plot and fascinating narrative. Cynthia Gorney of the Washington Post described the book as "one of those books that blots up vacations and imperils marriages, because it simply will not let the reader go." Webster Schott in the New York Times Book Review commented, "Clavell has a gift…It may be something that cannot be taught or earned. He breathes narrative. It is almost impossible not to continue to read Shogun once having opened it." Library Journal contributor Mitsu Yamamoto praised Shogun of consisting "a wonderful churning brew of adventure, intrigue, love, philosophy, and history." However, other critics, such as the New Yorker, mentioned the downside of the book of having "flashy Hollywood dialogue and derring-do that haven't been around much since the heyday of the Errol Flynn movie." Nevertheless, the above- mentioned critic could not escape from acknowledging Clavell as having "a decided gift for storytelling."
An American educator and historian, Smith has written widely on Japanese history and was the editor of Learning from "Shogun": Japanese History and Western
Fantasy (1980). In his essay, Smith relates Clavell’s sources and manipulation of
Japan culture and history. He said “Clavell was true an adventurer; in his mind, and those true adventurer often trimmed down what should be raised, but for Shogun, it is a positive sin (1980, 14).” A criticism also came from Webster Schott, a critic that often wrote in New
York Times Book Review. In his review Schott began his words with "I can't
remember when a novel has seized my mind" like Shogun. According to Schott, "Clavell is neither literary psychoanalyst nor philosophizing intellectual. He reports the world as he sees people—in terms of power, control, and strength. He writes in the oldest and grandest tradition that fiction knows.
Another critic wrote his review on James Clavell’s Shogun found in critic said that “Clavell tended to focus on three themes Clavell's brilliant storytelling, the work as a historical novel or fiction, and the work's multiculturalism. It is easy to point out the historical inaccuracies of the novel, but its entertainment value and its understanding of broader historical themes to light led most critics to forgive Clavell's manipulation of historical facts.”
From the criticisms on James Clavell’s Shogun stated in the previous paragraphs none of them discusssing the samurai or aspects that have close relation to samurai. The writer did found some criticism discusssing cultures of Japan during the shogunate era and the writer also sure that samurai is a part of Japanese culture, but the writer, so far, have not yet find the discusssion that focused its main topic on samurai.
In this thesis, the writer will focused the topic of the analysis on the samurai, discusssing it from various aspects of life in the feudal era, that is also become one of the part in the novel. So, as it never been such discusssion, this study is expectedto be original.
B. Review of Related Theories
In order to get the clear and right path to solve the problems formulated in this thesis, the writer realizes that theories are important and needed. Considering on the problems of this study, the writer will apply the theories of characterization. A significant resource about the history and culture of Japan and Samurai will also be included to solve the problems of this thesis.
1. Theories of Characterization
Characterization holds an important rule in a novel or other kind of literary work, as it is the one, which creates the existence of characters in it. Mary Rohberger stated that characterization is the way in which the author creates character. Therefore, characterization should be conveyed into good way as to create a clear image to the reader perception. There are two principle ways an author can characterize characters. He can use dramatic way to place her situation to show what she is by the way she behaves or speaks (1971: 20).
According to M.J. Murphy (1972: 161-172), there are nine ways for an author to characterize or reveal the characters personality and traits to the reader, they are: a. Personal Description The author can describe a character’s appearance like the face, body, and clothes of the character. The personal description is very important because it can give clues to the character.
b. Character as seen by another Instead of describing characters directly, the author can describe a character through the eyes and opinions of another.
c. Speech The author can give the readers some clues or insights to the character through what a person says. Whenever he is in conversation with another, and whenever he speaks and puts forward an opinion, he is giving us some clues to his character.
d. Past Life By permitting the readers to learn something about a person’s past life, the author can give us some clues to the events that have helped to shape a person character.
e. Conversation of others The author can also give the reader some clues to person’s character through the conversations of other people and the things they say about him.
f. Reaction The author can also give us a value to a person’s character by permitting us to know how that person reacts to various situations and events. g. Direct comments The author can describe or comment on a person’s character directly.
h. Thoughts The author can give his readers a direct knowledge of what a person is thinking about. i. Mannerism
The author can describe a person’s mannerism, habits, or idiosyncrasy, which also may tell us something about his characters.
2. The Relation between Literature, Society, and History
Since the writer focused this thesis on a topic that has a very close relation to the society and history of a certain nation, the writer will explain the relation between literature, society, and history in order to both diverge, and correlate them.
Literary works are not the same as history record, but it is also true that literary works may help the reader to understand or at least having an imagination of the condition of the past or history of certain society. Marry Rohberger said that novel is not a merely historical report. Historical report is only has a purpose of revealing the truth of the past of certain condition, value, believes, and ethos in a certain society, without paying attention on the aesthetic and artistic value, while novel, it is an artistic and aesthetic work (1971: 9).
De Bonald also launched the same theory. He said, “Literature is an expression of society. Writers in certain aspects, express their experiences and conception about life in their work. Thus, it could be said that literature reflects and express life and greatness of artistic value from a work art (1956: 95).
In further of his explanation, De Bonald said that literature primarily an immigration of life as it is and social life in particular. Nevertheless, Literature has its own justification and aim (1956: 102). Therefore, the interpretation may vary according to the point of view of each reader.
3. Review of the History of Samurai in Feudal Japan
Located 100 miles off the mainland of Asia, at its closest point, Japan was a land of mystery at the edge of civilization. Isolated at first by geography and later by choice, the Japanese developed a distinctive culture that drew very little from the outside world. It is described by Mikiso Hane in her book Premodern Japan: A
Historical Survey, that at the beginning of what were the Middle Ages in Europe, the
advanced culture of Japan was centered at the north end of the Inland Sea on the main island of Honshu. Across the Hakone Mountains to the east lay the Kanto, an alluvial plain that was the single largest rice-growing area on the islands. To the north and east of the Kanto was the frontier, beyond which lived aboriginal Japanese who had occupied the islands since Neolithic times (1991: 21).
Further more, Hane also described that by the fifth century AD the Yamato court had become largely ceremonial. Independent clans, known as Uji, held the real power behind the throne. Clan leaders formed a sort of aristocracy and vied with each other for effective control of land and the throne (1991: 23).
Karl F. Friday stated in his book entitled Hired Sword: The Rise of Private
Warrior Power in Early Japan (1992:26-31) The beginning of the samurai started in
the year of 536, when Soga clan became predominant and produced the first great historical statesman, Prince Shotoku, who instituted reforms that laid the foundation of Japanese culture for generations to come. In 645, power shifted from the Soga clan to the Fujiwara clan. The Fujiwara presided over most of the Heian period (794 to 1185). The new leadership imposed the Taika Reform of 645, which attempted to redistribute the rice-growing land, establish a tax on agricultural production, and divide the country into provinces. Too much of the country remained outside imperial influence and control, however. Real power shifted to great families that rose to prominence in the rice-growing lands. Conflict among these families led to civil war and the rise of the warrior class.
In the same book, Friday also said “similar to the experience of medieval Western Europe, the breakdown of central authority in Japan, the rise of powerful local nobles, and conflict with barbarians at the frontier combined to create a culture dominated by a warrior elite” (1992: 36). These warriors were became known as Samurai, ("those who serve"), who were roughly equivalent to the European knight.
A military government replaced the nobility as the power behind the throne at the end of the twelfth century. The head of the military government was the Shogun.
Harry Cook in Samurai: The Story of a Warrior Tradition described that samurai are living a code of the warrior, something like the European code of chivalry. The foundation of the warrior code was loyalty to the lord. The warrior expected leadership and protection. In return, he obeyed his lord's commands without question and stood ready to die on his lord's behalf. A Samurai placed great emphasis on his ancestry and strove to carry on family traditions. He behaved so as to earn praise. He was to be firm and show no cowardice. Warriors went into battle expecting and looking to die. It was felt that a warrior hoping to live would fight poorly (1994: 67-68).
The samurai were the members of the military class, the Japanese warriors. An American-Japanese sociologist named Nicklaus Suino wrote in his book entitled
The Art of Japanese Swordsmanship that samurai employed a range of weapons such
as bows and arrows, spears and guns; but their most famous weapon and their symbol was the sword (1992 :20). In his book, Suino exposed a lot about the meaning and the importance of sword for samurai. He said that “A samurai would not complete without their swords, and the swords would be meaningless without their masters” (1992: 34).
Ikegami’s essay entitled “Shame and the
Samurai:Institutions,Ttrusthworthiness, and Autonomy in the Elite Honor Culture”
said that samurai were supposed to lead their lives according to the ethic code of bushido ("the way of the warrior"). Strongly Confucian in nature, Bushido stressed concepts such as loyalty to one's master, self-discipline and respectful, ethical behavior. After a defeat, some samurai chose to commit ritual suicide (seppuku) by cutting their abdomen rather than being captured or dying a dishonorable death.
In her further explanation, Eiko wrote that samurai were fighting men, skilled in the martial arts. Samurai had extensive skills in the use of the bow and arrow and the sword. They could just as likely have killed you with their bare hands. Samurai were also great horsemen ( ).
In her other book entitled The Taming of the Samurai: Honorific
Individualism and the Making of Modern Japan , Eiko axplained the code of samurai
which is called bushido.These warriors were men who lived by Bushido; it was their way of life. The samurai loyalty to the emperor and their overlord, or daimyo, was unsurpassed. They were trustworthy and honest. They lived frugal lives with no interest in riches and material things, but rather they were interested in honor and pride. They were men of true valor. Samurai had no fear of death. They would enter any battle no matter the odds. To die in battle would only bring honor to one's family and one's lord (2003: 60).
Samurai usually would rather fight alone, one on one. In battle, samurai would call out their family name, rank and accomplishments. Then he would seek out an opponent with similar rank and do battle. When the samurai has killed his opponent he severs his head. After battle, he takes the heads of his enemies back to show proof of his victory. Heads of generals and those of high ranks were transported back to the capital and displayed for the officials and others. The only way out for a defeated samurai was death or ritual suicide: seppuku.
Nicklaus Suino explained that seppuku--or disembowelment or hara-kiri (belly slicing)--is when a samurai stabs a knife into his abdomen and literally disembowels himself by cutting out his guts and only those who are honorable enough allowed to do seppuku.
Samurai lived with swords, and they will die by the swords. It is not only means that samurai will die by swords that cut his head off, or stabbed his belly, but also means that he deserves to live as long as the sword is in his hands. (1992:42)
After the samurai disembowels himself another samurai, usually a kinsman or friend, slices his head off. This form of suicide was "performed under various circumstances: to avoid capture in battle, which the samurai did not believe to be dishonorable and degrading, but generally bad policy; to atone for a misdeed or unworthy act; and perhaps most interestingly, to admonish one's lord" (Friday, 1992: 232). A samurai would rather kill himself than bring shame and disgrace to his family name and his lord. This was considered an act of true honor.
The samurai became the ruling class during the 1400s and the 1500s. In the 1600s, there was a time of unification; warring in Japan had ceased. Then toward the end of the Tokugawa Era (the late 1700s), Japan began to move towards a more modernized and Western way of life. There was no need for fighting men, for warriors, for samurai. The samurai and their way of life were officially abolished in the early 1870s, but it was not forgotten.
For more clearly, below follows a short history of the Japanese warrior the writer took from Premodern Japan: A Historical Survey by Mikiso Hane (1972: 161- 204).
1. Heian Period (794-1185) The samurai's importance and influence grew during the Heian Period, when powerful landowners hired private warriors for the protection of their properties.
Towards the end of the Heian Period, two military clans, the Minamoto and Taira, had grown so powerful that they seized control over the country and fought wars for supremacy against each other.
2. Kamakura Period (1192-1333) In 1185, the Minamoto defeated the Taira, and Minamoto Yoritomo established a new military government in Kamakura in 1192. As shogun, the highest military officer, he became the ruler of Japan.
3. Muromachi Period (1333 - 1573) During the chaotic Era of Warring States (sengoku jidai, 1467-1573), Japan consisted of dozens of independent states, which were constantly fighting each other.
Consequently, the demand for samurai was very high. Between the wars, many samurai were working on farms. Many of the famous samurai movies by Kurosawa take place during this era.
4. Azuchi-Momoyama Period (1573 - 1603) When Toyotomi Hideyoshi reunited Japan, he started to introduce a rigid social caste system, which was later completed by Tokugawa Ieyasu and his successors. Hideyoshi forced all samurai to decide between a life on the farm and a warrior life in castle towns. Furthermore, he forbade anyone but the samurai to arm themselves with a sword.
5. Edo Period (1603 - 1868) According to the Edo Period's official hierarchy of social castes, the samurai stood at the top, followed by the farmers, artisans and merchants. Furthermore, there were hierarchies within each caste. All samurai were forced to live in castle towns and received income from their lords in form of rice. Masterless samurai were called ronin and caused minor troubles during the early Edo Period.
With the fall of Osaka Castle in 1615, the Tokugawa's last potential rival was eliminated, and relative peace prevailed in Japan for about 250 years. As a result, the importance of martial skills declined, and most samurai became bureaucrats, teachers or artists. In 1868, Japan's feudal era came to an end, and the samurai class was “physically” abolished.
CHAPTER III METHODOLOGY A. Object of the Study The object of the study of this thesis is a novel written by James Clavell
entitled Shogun. James Clavell is a British novelist born on August 10, 1924, in Sidney, Australia, was the son of British colonist, Richard Charles and Eileen Clavell.
Although not considered great literature by most critics, Shogun: A Novel of Japan made its author, James du Maresq Clavell, one of the most widely read twentieth- century novelists. The novel contains war, trade disputes, cultural clash, passion, death, and descriptions of beauty that have kept readers up until dawn.
Shogun tells the story of an English pilot, John Blackthorne, in charge of five Dutch ships whose purpose is to break the Portuguese monopoly on Japanese trade.
Instead, the pilot becomes embroiled in Japanese politics as Lord Toranaga employs him as his secret weapon. Shogun uses straightforward storytelling techniques to keep readers riveted as they imagine themselves in the position of the English pilot. By the end, the reader has learned about Japan alongside Blackthorne as he attempts to survive.
Shogun still is being read widely and praised for its remarkable quality of the narrative style. After twenty years from its initial publication, the December 1995 issue of the Writer's Digest's article called, '75 Books Every Writer Must Read' included Clavell's Shogun among the rest of the notable books in its list.
The West is interested in the East is proved by Shogun's success. In the first five years of its printing, 7 million books were sold. NBC did not risk much in sponsoring a film extravaganza. For twelve hours of prime time, 130 million people watched Shogun. The miniseries prompted sales of another 2.5 million books. Since the movie, even more people have read the book or watched the shorter 2.5-hour-long film.
This study takes samurai, one of the elements of the novel as its center of attention. Samurai, although they are not the center point of the novel, play a major role in the story. In the novel, it is described that John Blackthrone, one of the main characters of the novel, interacts a lot with samurai. Blackthrone seems undervalue them because of their weird habits and size, but then he learned a lot after a long- difficult time of having contact with samurai. Blackthrone soon finds that samurai are distinguished from any other kind of warriors and soldiers he ever knew. Their codes of honor and loyalty, customs, and even the accessories they wore have their own meaning. The feeling of disapproval toward samurai finally changed into deep respect and sympathy, after Blackthrone deeply learns the life of samurai; and thus led him into the decision of being a samurai himself.
B. Approach