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2 Part 1 INTRODUCING THE JAPANESE SWORD
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Japanese Swords
C U LT U R A L I CO N S O F A NAT I O N
The History, Metallurgy and Iconography of the Samurai Sword
Colin M. Roach
T UT T L E Publishing
Tokyo Rutland, Vermont Singapore
Jap Swords Part1_1404CP.indd 3 12/16/13 11:49 AM

Published by Tuttle Publishing, an imprint of
Periplus Editions (HK) Ltd.
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Copyright © 2010 Colin Max Roach
All rights reserved. No part of this publication

may be reproduced or utilized in any form or by
any means, electronic or mechanical, including
photocopying, recording, or by any information
storage and retrieval system, without prior written
permission from the publisher.
Library of Congress Cataloging-in-Publication

Data
Roach, C. M. (Colin M.)
Japanese swords : cultural icons of a nation / by
Colin M. Roach ;
foreword by Nicklaus Suino ; sidebar by Abe
Kazunori. -- 1st ed.
176 p. : col. ill., col. map ; 32 cm. + 1
videodisc (DVD : sd., col. ; 4 3/4 in.)
Includes bibliographical references and index.
ISBN 978-4-8053-1035-9 (hardcover)
1. Swords--Japan. I. Title. II. Title: Cultural
icons of a nation.
NK6784.A1R63 2010
623.4’41--dc22
2010012477
ISBN 978-4-8053-1035-9 (Hc)
ISBN 978-4-8053-1331-2 (Pb)
ISBN 978-1-4629-1575-0(ebook)
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CONTENTS
Dedication 31 CHAPTER 2
Foreword Creating a Japanese Sword
Manufacture of Traditionally Smelted Steel
11 INTRODUCTION Refining the Steel By Forge-Folding
History, Technology and Iconography Assembling a Sword’s Component Steels
Symbolism and the Sword: Lifting the Cultural Veil Elongating the Billet
The Sword’s Application Creating the Profile
Quench-Hardening the Steel
PART 1 Final Shaping
Introducing the Japanese Sword The Polishing Process
A Brief History of the Japanese Sword and the Importance
19 CHAPTER 1 of Polishing
Appreciating the Japanese Sword Spirituality in the Sword Craft
Blade Types
Distinguishing Blade Characteristics PART 2
Sword Tip Design History and Culture
Temperline Patterns
Grain Patterns 51 CHAPTER 3
Viewing and Handling Early Japanese Swords
Maintenance and Cleaning The Jōmon Period
Quality and Value The Yayoi Period
Valuations The Kofun Period
Availability of Antique and Modern Swords The Sword of the Gods
Collecting Japanese Swords The Sword’s Role as an Imperial Icon
Purchasing Swords Shinto Stories of Sword-Wielding Deities
Shinto In the Smithy
The Blades of Ancient Japan
Yayoi Period Swords
Kofun Period Swords

63 CHAPTER 4 137 CHAPTER 7
Nara Period Swords Modern Japanese Swords
The Nara Period The Meiji Period and Onward
The Sword of Chinese Influence Spirituality, Modernization and Martial Arts
Taōism In Japanese Warrior Culture Post-War Period Martial Arts
The Sword of Taōism Meiji, Taishō and Showa Period Swords
Lao Tzū: A Balance Between War and Wit A Glimpse into Sword-making Apprenticeship Today
Chuang Tzū: Swords as Metaphor
Japanese Adaptations PART 3
The Sword and Martial Spirituality The Art of Swordsmanship
Blades of the Nara Period
159 CHAPTER 8
81 CHAPTER 5 Japanese Swordsmanship Today
Medieval Japanese Swords The Classical Art of Iaidō
The Heian Period Envision laidō
The Kamakura Period The History of Iaidō
The Muromachi Period A Living Tradition
The Sword of Esoteric Buddhism Swordsmanship Today
Buddhist Stories of Sword-Wielding Deities Studying Iaidō Today
The Sword of Zen: The Sword of Insight The Sword of Iaidō
Heian Period Swords The Sword and Society
Kamakura Period Swords
Muromachi Period Swords 170 CONCLUSION
Passion and Preservation
121 CHAPTER 6
Edo Period Swords Endnotes
The Edo Period Bibliography
A Scholar-Warrior Ruling Class Photo Credits
Edo Period Swordsmanship: A Case Study Index
The Fall of the Edo Period
Edo Period Swords

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8
Dedication
I would like to dedicate this book to my

wonderful family. First, I must thank my lovely
wife Alethea, who now knows more about
Japanese swords than any woman who didn’t
care about them in the first place. Second,
I wrote this book for my three young sons,
Aidan, Porter, and Charlie, who will teach
Pictured above is the author with Ochiai Tadao (10th Dan Hanshi) and Iwasa (8th Dan Kyoshi) Sensei.
me more than I could hope to teach them.
I certainly owe them some fishing, camping and
motorcycling time now that this project is over. The logistics of traveling to Japan, meeting their unique gifts and insights. I am eternally
But the owing of thanks does not stop there. with top-level artisans, and filming/ photo- grateful. Suino Sensei, in particular,
In truth, I have completed this work with the graphing the whole affair were daunting to say has supported my writing of this book from
assistance of many wonderful people. the least. I owe a debt of gratitude to my friend the beginning—through many, many drafts.
I am very honored by the involvement of Yamaji Fumihito, a.k.a. Fred. He was our Thank you for your support, patience, and
many top experts in completing this work. “fixer,” while in Japan and helped us schedule friendship. I have been fortunate to study with
Kawachi Kunihira was a most gracious host everything from Shinkansen trips to last minute some outstanding top sword teachers in Japan
and, in his very natural and unassuming way, lodging changes while staying at the Hayashiza- over the last ten years. Ochiai Tadao (10th Dan
opened my eyes to aspects of swordmaking I ki shrine in Murayama. Thank you Yamaji-san. Hanshi) has been an inspiration in both form
had not dreamed of. Abe Kazunori gave very You have been a hero in supporting this project. and spirit. While assisting him in instructing
generously of his time and resources, donating There have been some organizations and during his final seminars in the US, I was
both his expertise and many images used in this representatives who deserve thanks. First, greatly inspired by his spirit and technique.
book. Paul Martin, a sword expert who lived in I would like to thank Ginza Choshuya for He exemplifies the spirit of passion and
Japan for many years and has assisted me in allowing the use of many of their beautiful preservation that I hope to convey with this
connecting with top-level craftsmen was sword photos. Second, I’d like to thank work. Iwasa (8th Dan Kyoshi) Sensei has also
instrumental. His quiet nature hides deep level Tozando and, in particular, my longtime friend been very supportive of my learning iaidō over
knowledge and kindness. Pierre Nadeau, a Yamamoto Yasumasa, who serves the martial the years. I appreciate his willingness to work
swordmaking apprentice who gave of his time, arts world with honor and dignity rarely seen with me both in the US and during my trips to
writing, and assistance in translating during my outside of Japan. Thanks to Tozando, we were Japan. And although I have studied with other
visit with Mr. Kawachi. Professor Karl Friday able to film and photograph their beautiful Japanese teachers, those noted above have
aided me more than he probably knows. blades. Miwa Teruo assisted me while in Seki played an important role in my practice.
During our conversations over the last four City, where I hope to return one day to do I owe them a debt of gratitude that can never
years, I have changed my entire outlook on the more research on the modern manufacture of be repaid.
history of martial arts. He also suggested I read iaitō. I would also like the thank Mr. Tsuruda Featured within this book are the works of
the work of (and contact) Professor Bodiford, of Aoi Art, who was very gracious and three talented young men, all of whom I care
who clarified my understanding of many generous with his beautiful photographs. for deeply. First is my brother Daniel Schmidt.
misconceptions surrounding martial arts I would also like to thank Fred Weissberg of Currently completing his graduate degree in
spirituality. I owe both of these men a cold beer the Northern California Japanese Sword Club. documentary film making, he gave of his time
and a heartfelt thanks. He aided me in making contacts both in Japan and expertise in creating the film that accompa-
I would like to thank the city of Murayama and abroad as well as donated photos of his nies this work. Thanks Danny. Second is Joseph
for their kind support of this project. beautiful blades. Thanks to the gracious Obering, who not only studies the art of iaidō,
The iai-jingu is now overseen by the city as an support of all these people, I was able to meet but volunteered to be featured as an example of
important cultural property. Mrs. Okuyama, several craftsmen, compile beautiful photo- how modern swordsmanship can develop
the caretaker and wife of the shrine’s late graphs, and make new friends. deeply personal and rewarding insights for
land-owner (Mr. Okuyama) was very kind and I need to thank those who inspired me to young people today. I appreciate your loyalty
gracious in opening the Hayashizaki shrine’s learn more and write Japanese Swords. I have and continuing practice. Finally, I want to
inner chamber, allowing us to view many of the been training in martial arts since I was a child. thank Max Leitner, a young photographer from
shrine’s treasures. Caring and thoughtful, In 1994, however, I began studying iaidō. Germany. Max’s work is featured throughout
Mrs. Okuyama even sent a beautiful shime- I have been extremely fortunate to study with this book. Without his dedication to producing
nawa from the iai-shrine itself. Mrs. Okuyama many wonderful, demanding, and caring outstanding photos, the pages would be
exemplifies the kindness and grace of the teachers. Many of these people, I count as conspicuously sparse. I expect that, in the
Japanese people. I am grateful to her and hope friends and family today. Mike Cimino-Hurt, coming years, we will see more great things
to see her again soon. Bob Ward, and Nick Suino have each shared from these men.

9
Foreword
By Nicklaus Suino
Why would a person pay a king’s ransom for a

single sword made by a premier Japanese
swordsmith? The sword is probably not used to
cut and may be removed from the scabbard
only a few times a year for admiration and
study. Similar objects made in other countries
by less accomplished swordsmiths are available
at a fraction of the cost.
Why would a person take up a hobby as
antiquated and austere as iaidō? In this esoteric
martial art, we practice formalized versions of
motions designed to cut and kill another human
being, yet we never actually use the sword to
cut. There are no back flips or battles as you
would see in an action movie about martial
arts, and folks who do not practice iaidō
quickly become bored watching it. Yet we
practice quietly, intensely, and without
celebration on a daily basis.
Why would a devoted student of iaidō travel
for hours each week specifically to train with an
instructor whose knowledge was the result of a
succession of direct teacher-student relation-
ships dating back four-hundred-fifty years to
the founder of the style? Another instructor,
having learned his iaidō through books,
seminars, and video, might be closer, ask for
lower fees, and be less demanding. aspect begins to emerge. The student who takes educated aficionado to a similar extent as
Let me begin to answer those questions by up the art fully understanding that its purpose walking on hot coals transports the firewalker.
posing one more: why would an otherwise sane is to make him or her stronger, calmer, more Where does one go to get an understanding
person walk on hot coals? You may be aware courageous, more insightful, and more spiritual, of how to appreciate the depth of the Japanese
of the ancient firewalking ritual, a practice that then good judgment requires that he or she seek sword and the extraordinary role of iaidō
has been popularized in recent years in out the most legitimate and absolute best practice in its preservation? Until now, there
motivation seminars, but which has been done instructor. The difference between that were very few sources outside Japan. In this
for thousands of years by seekers of enlighten- instructor and one who has learned his art in a work, however, author Max Roach makes it
ment the world over. The reason, of course, is few seminars is extreme. Just as the difference possible for readers to share in exquisite detail
that, with the proper preparation and mindset, of only two millimeters in a sword fight can the heretofore hidden aspects required to truly
firewalking creates an extraordinary inner mean the difference between life and death, in appreciate the essence of the Japanese sword.
experience. The catharsis resulting from a personal development, a two-millimeter He reveals the beating heart of the forging
successful walk can be life-changing. technical misunderstanding can mean the process, the spirituality of the culture that gave
Would a firewalk be as effective if, instead of difference between profound realization and birth to the katana, the world view of both the
walking on hot coals, you jumped over them? complete self-delusion. smith and the samurai, and how the esoteric art
If, instead of hot coals, one walked upon fallen So it is with swords. Of course you can of iaidō creates a living space in which the
leaves? Of course not. Nor would skydiving be purchase a piece of metal shaped like a sword katana, the soul of the samurai, can flourish
interesting if one jumped from three feet in the for a few dollars. But holding in your hand a even without war.
air. We choose significant activities because they true Japanese katana, in which steel from a Nowhere else in the English language have
create big emotional payoffs. specific source has been painstakingly extracted, these topics been brought together so artfully,
Similarly, when Japanese swordsmanship is blended, forged, shaped and polished by with so many amazing illustrations, and by
understood for what it really is—not merely an craftspeople whose heritage is forged just as someone so devoted to the topic. For readers
esoteric ritual involving a sword but a means of intensely as the steel of the blade itself, lies in a seeking to walk through the fierce history,
creating profound personal change—then the completely different realm of experience. A true evolution, and power of the Japanese sword,
importance of striving for perfection in every Japanese katana is capable of transporting the Max Roach’s work is required reading.
Jap Swords Part1_1404CP.indd 9 1/9/14 3:10 PM

10

Introduction
History, Technology and Iconography
The Japanese sword is a technological and

artistic marvel. Many scholars consider it the
finest sword ever constructed. The only swords
that are said to approach its metallurgical
excellence are those of Damascus, made of the
famous Indian wootz steel.
Yet, when considering the excellence of the
Japanese sword in terms of symbolism and
historical importance, no other blade comes
close. To understand why, we’ll explore the
Japanese sword from a historical, iconographi-
cal, and technological perspective. For the
purpose of this text, the term “iconography”
can be defined as the study of concepts, images,
and symbolism representing the collective
evolution of the Japanese in relation to their
sword. By reflecting on the sociological
dynamics surrounding the Japanese sword,
we can determine how and why the sword of
Japan distinguished itself beyond all others.
Historically, Japanese warriors have
considered their swords as tools and divine
companions. The spirits of Shinto gods were
believed to dwell within the folds of the blade.
In battle, their surfaces reflected haunting
visions of bloody battlefield struggles.
Centuries of warfare created a need within the
warrior to reconcile his duties with his soul.
This deeply personal and intimate search for
reconciliation gave birth to the samurai
archetype. Although their swords gained
importance as tools, they also held symbolic
relevance. The sword offered salvation, both
practical and spiritual. The ascent of the sword
as an iconic symbol was the result of countless
sociological influences. Collectively, they
shaped the national identity of Japan.
It can be said that the sword defined the
samurai and the samurai defined the sword.
Although the Japanese sword and warrior
both predate the creation of the samurai class,
this exchange of influence is undeniable.
The intimate relationship between a warrior
and his sword effected change in the Japanese
culture one person at a time. Every warrior’s
relationship with his sword was entirely
individual and influenced by many forces.
And yet the collective impact of Japanese
warriors’ perceptions influenced the larger
world around them. It is through examining
the intersection of various sources of religious
symbolism and the warrior’s need for

12
TOP At once both beautiful reconciliation that one can understand the significance historical evidence to suggest that Zen had any more
and functional, Japanese of the Japanese sword. influence on the symbolism of the sword than any other
swords surpass all other It is important to note that applying Western paradigms philosophy. In fact, it played a much smaller role than
weapons in terms of historic to the explanation of Japanese spiritualism, particularly as several other spiritual traditions. The key to unraveling
and symbolic significance. it pertains to the warriors, is problematic. Most attempts this enigma lies in understanding the nexus between
ABOVE MIDDLE The hada (grain to define the sword’s symbolism miss the mark by the very warriors and their beliefs. A few definitions here may help
pattern) seen on this blade is virtue that they assert a singular spiritual tradition as clarify the objectives of this book.
a signature attribute of an being of primary importance. Symbolism interacts with The term iconography is the derivation of two Greek
authentic Japanese folded- people by inspiring the spirit and stirring introspection. words: eikon (image) and graphein (to write). Strictly
steel blade. See Chapter 1, The symbolism of the sword has taken many forms speaking iconography concerns itself with the input of
“Appreciating the Japanese throughout Japanese history. Further, the delivery visual media in creating imagery and symbolism.
Sword” for more information mechanisms—the mediums through which symbolism Imagery can be thought of as visual imagery, or in
on Japanese sword entered the warriors’ worldview—have also come in written form, as literary imagery. But either way, iconog-
characteristics. countless forms. For example, practitioners of early native raphy concerns itself with visual media and the viewers’
ABOVE Damascus steel is also spiritual observances (referred to here as “Shinto-” for ease meaningful response to the visual stimulus. Literary
folded but its layers are fewer of use) held complex beliefs surrounding the sword. imagery offers an interesting gateway to expand the
and more crude than those of Shamans and tribal leaders transmitted the nativist analysis offered here. Although it could be argued that
Japanese swords. In addition, symbolism orally. Later, however, those beliefs and oral the written word carries more weight than the spoken
the Damascus blade’s edge is traditions were adapted and codified using written word, especially in terms of implying permanence and
not further improved in the language. The medium of the legends changed and it can truth, they share a critical commonality—they both
quench hardening process. be reasonably argued that so too did the perceptions of interact within the mind and heart of the person
those legends. Another example is the overblown perceiving the imagery and related symbolism. In terms
connection between Zen and martial arts. There is no of meaning-making, non-visual sources of imagery are

Introduction History, Technology and Iconography 13
as relevant, if not more-so, than many visual forms. Nevertheless, accurate and meaningful interpretations of ABOVE LEFT A richly symbolic
Imagery, whether visual, oral, or literary, accumulated in the Japanese sword’s importance can be made through an sculpture of the sword-wielding
the Japanese ethos in innumerable forms. in-depth analysis of this complex culture. Buddhist deity, Fudō-Myō-ō.
It could be argued that by including non-visual sources It is important to distinguish “facts” from “factors” See pages 87–90 for more
of imagery, this book technically exceeds the boundaries when making studies such as this. This is not solely a information.
of iconography. However, strictly speaking, I feel that history book consisting of facts. A detailed history of ABOVE Traditional culture is
this type of study falls into the field of iconology. Japan is beyond the scope of this work. So too is a deeply embedded within
Iconographer Albert C. Moore, in his work Iconography complete offering of religious iconology of general modern Japan.
of Religions, explains: Japanese religions. Offered here are factors that describe
the sword in relation to individual warriors, warrior-lead-
Iconography deals with the form of visual symbols by first ers, and the people who they ruled. For the purpose of
describing and then classifying them according to the subject comparison and analysis, historical periods have been
matter; this is a task of analysis. Iconology goes beyond this to coupled with eras of religious predominance (Shinto,
interpret the meaning of the symbols and images in relation to Taōist, and Buddhist) and subsequent iconographical
the culture where they appear, placing them in the history of influence. Connecting historical periods with correspond-
tradition; this is a task of synthesis involving the art historian ing eras of religious imagery and evolving metallurgical
and others in an interdisciplinary enterprise. Of particular technology requires somewhat flexible groupings.
importance here is the process of development and change in Nevertheless, these factors have been grouped into
the “life of images.”1 chapters to indicate general periods and themes of the
sword’s evolution.
Imagery is very personal and unique to whoever is Here we will begin examining three primary influences
experiencing the symbolism. So a study of iconography, on the Japanese sword. Weaving history, iconography, and
on the sociological level, can never hope to be definitive. technology together, this book illuminates the sword,

14
LEFT A traditional iaidō dōjō is a place of somber

training and may appear quite plain to those
accustomed to martial arts where the emphasis is
more on flash, and less on introspection.
tracking its progress from infancy to grandeur.

By studying the evolution of the icon from this
perspective we further understand Japan and its
warrior archetype. Cutting away the sword’s
mysteries to reveal its meanings enhances our
understanding while helping to preserve this
important symbol. After all, under threat of
globalization, modern exploitation, and
shameless profiteering, the sword of Japan
needs preservation more than ever.
Symbolism and the Sword:

Lifting the Cultural Veil
Although the Japanese sword rose to become a
societal symbol, it was the effort and beliefs of
each Japanese—warrior and commoner
alike—that defined the sword. Individual beliefs
multiplied by the number of individuals became
the catalyst in this sociological evolution. It is
difficult to gain the perspective of an insider.
By virtue of studying another culture from an
outsider’s perspective, the sword’s symbolism
may be veiled. It is important to recognize this
limitation while not allowing it to dissuade us
from pursuing valuable study.
One of the most alluring concepts for
categorizing experience is dualism. The famous
Chinese yin/yang pair (Japanese in/yo)
represents this popular concept. We can begin
uncovering the symbolism of the sword by
examining the sword/warrior duality.
The concept of duality offers an answer to the
apparent contradiction between the benevolent
warrior archetype and the individual warrior’s
need to kill in the service of others.
The Japanese believe that the sword illuminates
the true nature of the person who wields it.
Whether he be good or evil, the sword does the
bidding of its owner. One of the most signifi-
cant dualities in Japanese culture is that of
omote and ura (front and back). Although these
terms often describe the literal front and back
of objects, their true significance lies in
metaphor: omote can thus mean “what is
obvious,” with ura taking on the meaning of
“what is beneath the surface.” The format of
the book reflects this omote/ura perspective.
Some of the information in this book, a
historical snapshot for example, is omote,
open for everyone to see and widely known.
Other information, such as hidden talismans of
esoteric Buddhism, is decidedly ura, or hidden.
There are plenty of obvious symbols related
to swords. For example, the wearing of paired
swords (long and short), tucked into the belts
on the left hip, became an outward display of
the samurai’s high social status. It was meant to
be an overt symbolic warning prompting others

Introduction History, Technology and Iconography 15
RIGHT The wearing of paired swords was reserved for

the samurai class and became known as one of the
hallmark symbols of the warriors’ identity.
FAR RIGHT Even when at apparent ease, the vigilant
samurai would never leave his sword out of reach.
to show respect, or risk being cut down.

But examples of veiled symbols also abound.
One example is the sūken hōrimōnō (engraved
sword-talismans), which were painstakingly
carved by hand into the surfaces of swords.
Although the carvings themselves are outwardly
obvious, their significance for the warrior lies
far beneath. Exploring the sword of Shinto,
the sword of the Taō, the swords of Buddhism,
and the sword of modern adaptation will shed
light on many of the mysteries surrounding this
legendary weapon.
Clearly, Japan’s relationship with the sword
defies simple explanation. Serving as a
companion and keeping the company of
ancient warriors, the sword became a powerful
and constant metaphor. The blade’s symbolism
represents a spectrum of human influence,
carrying the capacity to protect and to harm. what direction the edge of the blade should face tactics became more popular), the samurai
The sword could accompany its master in life in any given situation. This was particularly primarily used bows, arrows, and spears
benevolently or become the burden by which important in the context of battle, because one’s during military conflict, resorting to sword use
his soul was corrupted. honor, and that of the family name was at stake. only during the final stages of battle.
When studying the role of the sword in the The use of arrows, on the other hand, offered
The Sword’s Application context of battle it is helpful to do so with an distance and an impersonal approach to
The sword has remained a constant force in appreciation of etiquette. Considering the warfare. Therefore, those strategies that were
Japanese culture for nearly sixteen centuries. symbolic and spiritual importance of their easier, safer, and still effective, were commonly
Like the bronze swords used in ritual ceremo- swords, swordsmen felt compelled to show used as first-wave battle tactics. Only after all
nies by primitive shamans, the early military respect in many ways. the arrows and spears were expended would the
swords were straight and short. Much like the In late feudal Japan, schools of etiquette, early samurai cavalry ride in close to the enemy,
Greek hoplite swords (and their later adapta- such as the Ogasawara-ryū, had an impact on cutting down from above like a steely stroke of
tions) and the Chinese jian, some of the first swordsmen and swordsmanship.2 Many texts lightning. Such was the samurai’s primary
Japanese ceremonial-blade designs were were written offering insight and guidance on tactical strategy up until 1274, at which time the
symmetrical and double edged. Later, straight how samurai should conduct themselves. Mongolian infantry battered the samurai armies
“kata-kihira” chokutō blades were employed on Even the tea ceremony affected the culture, with unfamiliar tactics. These embarrassing
the battlefield in close range to the enemy— mindset, and practice of the samurai. So we see lessons in Mongolian infantry strategies are
as hacking and thrusting weapons. As the that many factors contributed to the conscious- believed to have contributed to the development
samurai class established itself as a ruling caste, ness and practice of swordsmen. The Japanese of the katana (sword worn tucked into the belt,
the battle tactics changed. societal need vacillated between times of war edge up on the left side of body) for Ashi-garu
Japan became a horse culture very early on, and peace. Practices of comporting oneself with (foot soldiers’) use. The wearing of the sword
which changed the design and use of the sword. the utmost professionalism and honor evolved on the left hip and the development of swords-
Curved swords were developed allowing troops and were in high demand. manship skills specifically designed to accom-
to fight from horseback. These were adapta- Indeed, samurai bore the weight of modate such an arrangement mark a major shift
tions based on technological and cultural formality and custom. Like those bound to the in the techniques of swordsmen.
changes. The primary methods of sword use etiquette involved in European duels, so too Despite being a secondary instrument in the
transitioned from unrefined foot-soldier tactics, were the samurai socially bound to wield the larger scope of warfare, the sword was a real
to cavalry, and then back to infantry again. blade honorably. Formality aside, duels did and practical tool that warranted constant
Throughout history, the Japanese adapted what not often determine the victor in war. training for impending battlefield use.
they were doing based on immediate need, Although often misrepresented as such, the The Japanese sword proved its effectiveness
technological advancement, and inspiration of sword was generally not the first weapon of throughout the ages. It was used in both duels
religious significance. choice for the samurai on a battlefield. and on the battlefield, with gruesomely
The sword was a weapon that simultaneously Generals were hardened to the realities of devastating results. So effective was the sword
embodied mankind’s most terrible fury and troop loss, and so preferred armaments that that for a thousand years Japanese military
highest potential. As such, both swords and put some distance between their soldiers and leaders invested incalculable time, effort,
swordsmen were subject to a strict behavioral the enemy. However, as in dueling, battle and resources into continuing its refinement.
code known as reihō. The principles of reihō (lit. preparation was highly ritualized, with Within warriors’ hearts, the sword will always
etiquette) dictated how the sword was carried attention given to formality and introductions. represent the pinnacle of form, function, and
at one’s side and extended to stipulate exactly Prior to the 1200s (at which time infantry spiritual significance.

PART 1
Introducing the Japanese Sword
Jap Swords Part1 V1.8.indd 17 7/28/10 9:56:23 AM

Chapter 1
Appreciating the Japanese Sword
The Japanese Sword is a beautiful weapon without peer in terms of elegance and strength. The flash of the
polished steel, the graceful curve of the blade, the aesthetically pleasing wave of the temperline, the swirling
flecks of the grain structures, and the exquisitely-crafted fittings immediately impress even rank neophytes.
However, to properly embark upon this journey of Japanese sword appreciation, one must study it at its most
basic level. We must understand the different types of swords, their parts, nomenclature, and various attri-
butes used to describe shape, quality, and other aspects.
By studying the sword’s distinguishing characteristics, It holds particular importance in Buddhism but has also
an understanding of what creates quality and value been incorporated into Shinto- ceremonies. Although the
emerges. This chapter explains which positive and ken is one of the oldest sword types to enter Japan,
negative attributes allow various agencies to evaluate, it remains relevant due to its symbolic significance.
rank, and appraise any given blade. Also discussed here is Chokutō —Although also of Chinese design, chokutō
the story of how the sword came to be a collectable art were produced in Japan’s ancient times and pre-dated
object in the modern era. Expanding on the idea of value the quintessential, “Japanese” sword. Chokutō are
and commerce surrounding the sword, this chapter straight and have one cutting edge. Less obvious is that
concludes with some guidance for readers by recommend- the steel for these early blades is homogenous; not
ing some trustworthy organizations and reputable sword folded and combined to produce greater strength and
merchants. Later chapters will explain how swords are flexibility. Variations are generally distinguished by the
made, how spirituality shaped its iconography, and how cross-section design. The kiriha-zukuri design would
the blade evolved as a metallurgical wonder. have been more efficient in hacking and thrusting,
whereas the hira-zukuri would have a slight advantage
Blade Types in slicing due to its kissaki (tip) design. Some scholars
Ken/Tsurugi—The ken, sometimes called a tsurugi, is a suspect that these two designs were combined (along
straight, double-edged sword of ancient Chinese design. with several other innovations) to create the first tachi.
Tachi—The tachi was the first functional sword of truly
Japanese design. Designed for use in slashing rather than
LEFT The author fitted this “tired” koto blade (CE 1532, Mino-den thrusting, it incorporated a curved blade and a temperline,
signed, Katsu Michi) with modern fittings for use in his day-to-day highlighting its differentially hardened steel.
iaidō practice. See Chapter 8. Worn edge-down and tied to the outside of armor, it was
BELOW The ken is a straight, double-edged sword of ancient designed to be drawn and used with one hand (usually
Chinese design. from horseback). The tachi’s innovative technology and
BOTTOM Sharp and resilient, the tachi marks the beginning of raw effectiveness became a blueprint for all swords
“the Japanese Sword.” developed in later times. Sharp and resilient yet durable
RIGHT Chokutō blades courtesy of the Shosoin imperial treasure and not brittle, the tachi marks the beginning of “the
house. Japanese sword.”

Katana—The katana, like the tachi, is also curved and

single edged. The katana is distinguished by a relatively
shallow curve and was worn edge up, tucked into the belts
of the warrior. This allowed the sword to be worn
comfortably (without armor) on a daily basis. The katana Saya
could be drawn and immediately used to make offensive (scabbard)
or defensive motions, whereas the tachi proved more
cumbersome. Also important was that the invention of the
katana marked a shift from swords used on horseback to
those used on foot. The katana could be wielded with one
hand or two, from horseback or on foot, in the market or
on the battlefield—as needed. The katana grew popular Ts ūka (handle)
due to its ease of use and flexibility in battle, and became

the standard sidearm for warriors. The katana’s function
and image was so important that it eventually became an
exclusive symbol, worn only by those of samurai blood.
Wakizashi—The wakizashi is a short sword. It was
designed to be worn in the same fashion as the katana.
The handle of the wakizashi is shorter, making the use of
two hands impossible. The wakizashi is smaller and less
cumbersome/intrusive. As a result, it became a back-up of Toushin
sorts. For example, a warrior may have been asked to (blade)
“check his sword at the door” when visiting other house-
holds or a business. In these cases, the wakizashi would
accompany the warrior into the building as his only
source of protection. Therefore, this short sword became Mekugi
critically important and was often worn along with the (pin) Seppa (spacers)
katana, tucked into the belt, and ready for use.
Tsuba
Tantō —The tantō is a sword that is very short, usually (handguard)
serving the function of utility knife, self defense weapon and
TOP The daisho set, consisting for use in seppuku, ceremonial self-disembowelment. Tantō
of katana and wakizashi come in many sizes and shapes but are generally less than
swords, was produced to be 30 cm. Despite the size of the tantō, it showcases the same
worn together. craftsmanship as its larger cousins. Therefore, the tantō is
ABOVE The ken-brandishing still considered a work of art equal to its longer counter-
Buddhist deity Fudo Myo-o. parts. Tanto are sometimes given to newborn children as Seppa (spacers)
RIGHT The upper section, protective talismans, referred to as mamori-gatana.

handle, and tang of a
Habaki (collar)
disassembled katana. Distinguishing Blade Characteristics
BOTTOM The tantō has a short, Swords are often discussed, evaluated, and appraised/
utilitarian blade. attributed using several measurements. These measurements
Nakago

Chapter 1 Appreciating the Japanese Sword 21
are considered, along with other attributes, to determine the A. Kissaki

school, smith, condition, and even the value of a sword. B. Yokote
Length—The length of a sword, called the nagasa, is C. Nagasa
D. Sori
determined by measuring the distance between the tip of
E. Hamachi
the kissaki and the munemachi. While nagasa is often
F. Munemachi
used in describing the cutting edge in terms of length,
G. Nakago
overall blade length can be measured from the tip
H. Kasane
(kissaki), to the tang-end (nakago-jiri).
I. Haba
Thickness—The thickness of a sword, as measured from
its lateral sides’ ridges (mune-kado), is called kasane.
Swords are described as being thick or thin. Some blades
that have been polished many times are referred to as
“tired,” because this measurement has decreased as a
result of much of the metal having been polished away.
On the contrary, swords that have retained their original
kasane are sometimes called “robust,” or “healthy.”
Width—The width of the sword from edge (ha-saki) to
back (mune-saki) is measured at two places on the sword.
The first measurement, called sakihaba, measures the
width from ha to mune at the yokote (the ridge delineating
the sword’s point). The second measurement is called
motohaba and it is taken between the ha and mune at the
habakimōtō (the area at the base of the sword covered by
the habaki). The relative difference in these measurements ABOVE The terminology for
can mean different things to an expert appraiser. The term different parts of the blade.
fumbari is used to describe the degree of tapering between LEFT Edo era fittings for the
the base and the tip. Therefore, blades with a lot of fumbari tachi are often ornamental, as
are considerably narrower at the tip than at the base. many were ceremonial and
Curvature—The depth of a sword’s curve is called the given as gifts among
sori. Sori is measured between the deepest point between high-ranking samurai. Note
the mune and the sword’s imaginary nagasa line. the attention to detail in the
metalwork as well as the
Sword Tip Design (Kissaki ) harness and cords.
The tips (kissaki) of swords show different types of BELOW The angle of a kissaki
construction in various schools and in various historical varies and is influenced by
periods. Although each offers slight differences in training, individual preference
performance, the selection of a certain type of kissaki over and the fashion of the day. The
another is usually done as a result of a sword maker’s three basic types are shown
instructional lineage, personal style and trends of the here.
historical era. Three basic kissaki are frequently seen, as
shown below.
Short curve
Medium curve
Long curve

Temperline Patterns (Hamon)

When a Japanese sword is made, a special process of
hardening the sword creates a wavy line. The line, called the
hamon, is the delineation between hard edge-steel and the softer
Straight steel in the back of the blade. See Chapter 2 for more information
on this process.
Shown here are some examples of hamon. They have been
expertly drawn by mukansa-level sword polisher Abe Kazunori.
This type of drawing, called oshigata, is an art form in and of itself.
Painstakingly difficult, oshigata allows the subtle and sometimes
hard-to-distinguish features of swords to be seen all at once and
without special lighting conditions.
Regular Waves STRAIGHT (SUGUHA)

Suguha hamon run parallel and equidistant from the cutting edge.
Variations generally refer to the width of the line from the hamon
to the cutting edge and include hoso-suguha (narrow), chu-suguha
(medium), and hiro-suguha (wide).
IRREGULAR (MIDAREBA)
All hamon other than suguha can be considered midareba.
However, due to the great variety of irregular hamon, many types of
midareba hamon have names of their own. Midareba hamon can
Irregular Waves either be classified as ko-midare (small irregularities) or ō-midare
(large irregularities) depending on how irregular they are. According
to the Nihon Tōken Hozon Kai, this hamon was established by the
famous Masamune of Sagami and propagated by other schools as
his works’ influence spread throughout Japan. Some irregular
hamon are featured here to introduce readers to the art of hamon.
WAVES (GUNOME)
Gunome hamon show relatively regular wavy pattern.
IRREGULAR WAVES (NOTAREBA)

Notareba hamon are created with waves that seem to swell
towards and away from the cutting edge in an irregular pattern.
Clove Flowers CLOVE FLOWERS (CHOJI )

Chōji hamon come in many variations and mimic the clove bud.
These hamon are generally irregular but their clove patterns can be
regularly waved, irregularly wavy, small, or large.

BAMBOO CURTAIN (SUDAREBA)

Sudareba hamon look like a bamboo curtain, mimicking the regular
pattern of sections and multiple parallel lines running parallel to
the cutting edge.
Bamboo Curtain (Sudareba)
MOTTLED (HITATSURA)
Hitatsura hamon are composed of scattered spots and patches of
hardened steel throughout the length of the blade. Known for the
wild, untamed, and rugged look, many collectors consider
Hitatsura hamon particularly striking.
Mottled (Hitatsura)
Straight grain (masame).

Grain Patterns (Hada)
Grain pattern within the steel is called hada in Japanese. When
Japanese swords are made, both today and historically, steel of
varying hardness is combined and folded. The manner of how the
smith folds the steel, in relation to how he elongates it to create
the blade, produces a grain pattern within the steel (see Chapter 2
for more details). Some blades have only one kind of grain but
frequently a blade contains a mixture of more than one type of
grain structure.
Wood pattern grain (mokume).

STRAIGHT GRAIN (MASAME )
Masame grain looks like long parallel wood grain that runs the
length of the blade parallel with the cutting edge.
WOOD PATTERN GRAIN (MOKUME )

Blades with mokume hada feature irregular concentric circles and
swirls connecting them. Moku means wood or tree; while me
means pattern. Mokume hada looks like several saplings grew
together and now their combined growth rings are tightly
connected by complimentary swirls.
Plank pattern grain (itame).
PLANK PATTERN GRAIN (ITAME )

When cutting a log into planks, a mix of wavy parallel and
concentric circles will be seen. Itame hada means plank pattern
and looks like the combination of masame and mokume hada:
It has both parallel lines and some concentric circles.
UNDULATING WAVE GRAIN (AYASUGI )

Ayasugi hada is an extremely wavy masame hada. The waves are
generally homogenous and equidistant. Primarily the Gassan
Undulating wave grain
School of swordmaking produces this grain structure; therefore it is
(ayasugi )—the hallmark of the
sometimes referred to as Gassan hada. It is noteworthy that this
Gassan school of
grain is produced by filing away portions of the billet just before
swordmaking.
elongating it into a blade; not by elongation of the grain alone.

RIGHT When viewing a sword

always begin by appreciating
the fittings. This wakizashi
boasts a remarkably carved
scabbard, beautiful rayskin
handle and finely crafted
metal fittings.
BELOW When handing a sword
to someone while in its
scabbard, it is presented
horizontally, with the handle
on the left (a position of
non-threatening intention),
and with the handle and
scabbard being carefully
controlled to avoid the blade Viewing and Handling hands, carefully taking control at the tsuka and saya. The
from slipping out of the Whether viewing someone’s sword, or cleaning your own, person presenting the sword will likely make a small bow
scabbard unexpectedly. it is always important to follow some simple etiquette while holding it out. Bowing while receiving a sword
guidelines. Swords are handled in very strict ways to demonstrates respect to the owner, the sword’s craftsman,
observe safety and etiquette. Never use the sword to point and the sword itself. Return the bow simultaneously.
at someone or something. Be careful not to gesture aggres- Always handle a sword in a slow, deliberate, and careful
sively with the sword; even to the extent that you should manner. Many scabbards do not hold their blades securely.
avoid pointing the edge (let alone the tip) of the sword If turned handle down, the blade may slip out of the
towards someone. Think of the edge like a shotgun’s scabbard unexpectedly. It is an egregious violation of
barrel and be careful where you point it. If you are etiquette (and safety) to allow the sword to slip in this way.
unsure about something, ask. Between being thought an Therefore, always hold a sword/scabbard with two hands:
ignorant barbarian, and being seen as a careless, disrespect- one on the handle and the other on the scabbard. Keep the
ful, and dangerous barbarian, I recommend the former. handle higher than the scabbard will also decrease the
Before receiving the sword, the owner will likely have likelihood that the sword will slip out of its scabbard.
cleared the area of all extraneous materials. Only sword The first step in appreciating the sword is making note
cleaning supplies should be laid out. This demonstrates of the fittings. Whether in a wooden shirasaya, or “resting
safe practice as well as reverence for the sword. Never scabbard” or mounted for battle in koshirae, the fittings
touch the polished surfaces of a sword. There are two that protect and house the sword should be appreciated.
places where you can hold a sword: by the handle and by In many cases the value of fittings is equal to or more than
the unpolished portion of the nakago (tang). Never touch the value of a blade. Take note of the craftsmanship of
a sword without having permission. Even then, it is best to each of the fittings, the color scheme, and so on.
wait until the blade is handed to you. Taking the next step, drawing the sword, requires
When handing a sword to someone while in its scabbard, another request for permission. After sufficient time
it is presented horizontally, with the handle on the left (a examining and commenting on the fittings, look at the
position of non-threatening intention), and with the handle host and ask permission to draw the blade. A simple,
and scabbard being carefully controlled to avoid letting “May I?” will usually suffice. When drawing the sword,
the blade slip out of the scabbard unexpectedly. Be cradle the scabbard in the palm of the left hand so that
prepared to receive the sword and its scabbard in both the edge of the blade faces up and the handle points
toward you. Again, be careful not to point the tip or edge
directly at anyone. Unseat the sword carefully, gripping
the blade (edge out) horizontally, with your left hand on
the edge of the saya and the right hand on the tsuka, and
then pressing the thumbs together to unseat the habaki
from the koiguchi. Draw the sword with the right hand,
edge up, and in one slow smooth motion. Take special
precaution not to allow the tip to drop out of the
scabbard haphazardly.
After the sword has been drawn, gently place the
scabbard to the left hand side so that the blade can be
turned and supported with both hands.
In some cases, the giver will take the sword out of its
scabbard, clean the oil from it, and hand it to you with the
blade exposed. Note that the owner should present the
sword with the edge facing him using his left hand.
Advancing the sword with his cutting hand (the right) or
with the cutting edge facing you would be considered
threatening. Furthermore, giving the sword with his left
allows the receiver to retain control with the right hand,

which is more secure. His left hand is placed at the top of

the tang so that your hand can grasp the lower position
on the tang. It is preferable to receive the sword with two
hands by placing the left hand under the tsukagashira,
if the handle is on the blade, or the nakago jiri, if the tang
is exposed. This protocol demonstrates both functionality
and respect. The viewer, when returning the sword, should
observe the same protocol. Return the blade by extending
it with the left hand at the bottom of the tang. He or she
will receive it with his right hand.
Sometimes, to aid in the viewing of subtle features
within the hamon (hataraki), a soft cloth or paper is held
in the left hand. Resting the blade on the paper allows it
to be held comfortably and steadily, without the examiner
touching the blade.
Examining the blade usually starts with the “big look more bright and mirror-like than the softer steel on ABOVE Here, a soft cloth is
picture” and then narrows down to the more subtle the sides and back of the blade. held in the left hand to aid in
aspects. Look at the shape of the blade: the length, Seeing the real hamon within the hadori requires good the viewing of subtle features
width, curvature, and so on. Speaking or breathing near lighting. Many authorities recommend an electric light within the hamon.
the blade while viewing it may cause moisture and rust bulb. It may be beneficial to dim the lights except for the BELOW Some swords feature
so avoid talking when holding blades. After you’ve electric bulb. Point the blade so that the tip is 20 degrees delicate carvings such as this
returned the blade to the giver, ask any questions related below the light source and slowly lower it allowing the dragon. Shingon Buddhism
to general shape, the period of the sword’s manufacture, angle of the light’s reflection to widen. As the light fosters belief in potent
and so on. Avoid any comments that might reflect a poor bounces off the hamon into your eyes, the real hamon will talismanic properties, and by
evaluation of the sword such as “Gosh, this sword is so light up within the hadori—like magic. You can make fine so carving the steel, the blade
much thinner than the one I saw in at my grandpa’s adjustments to the reflection by slowly raising and becomes the embodiment of
house.” Any comment that could possibly be taken as lowering the blade, twisting it, and so on, to make the that talisman.
negative should be withheld; even mentioning obvious most of viewing the hamon.
flaws in the sword. It is common to see crystalline structures (martensite)
Some swords have carvings of decorative nature. that glimmer like diamonds in the transition-zone between
Some have grooves cut into their sides. Still others have no the hamon and the ji (darker area behind the hamon).
carvings at all. Look for and consider the skill it must These structures come in two main types, nie and nioi.
have taken to make the precision cuts into the side of a Nioi are so small that they look like diamond powder
smooth steel surface by hand. Another aspect of appreci- sparkling in the hamon. When individual particles can be
ating a sword’s lateral surfaces includes viewing the grain seen the term nie is applied. There may be patches of nie
structures. Like the hamon, the grain of a sword can be and/or nioi or, ideally, the crystalline structures might run
mesmerizing. The swirling grain structures can lead the the entire length of the hamon.
eye through a maze of visual delight. Take time to When the viewing is over, it is important to follow
appreciate the grain. Some grains are wavy, others are etiquette protocol when putting the sword away. Always
very straight. Grain can be obvious or very subtle like place the sword into its scabbard on the mune, or back
velvet, homogenous or varying. A sword’s grain tells much of the sword. Never slide the blade into the scabbard flat
about the skill of the smith. on its side as this may cause scratches in the surface of
Further appreciation of swords involves looking at the sword. Hand the sword back to the owner in the
features in the surface of the steel. The first and usually same manner it was given to you: handle on the left,
most obvious feature on a sword is the hamon. This is a edge rotated up and back (at eye level), and with a bow.
wavy line created when the swordsmith hardens the steel If the blade was given to you already drawn, make sure
at the edge. The polisher’s expert touch, however, creates to return it in the left hand, edge rotated towards you
the differentiation between the gray looking side-steel and (not the owner), and with a bow. The owner will most
the whitish looking edge-steel (See Chapter 2 for more likely re-oil the blade and place it back in its cloth bag.
details on how this is done). Without the polisher’s Be sure to thank the owner for the honor of viewing the
whitening techniques, called hadori, the edge steel would blade.

RIGHT Author Colin M. Roach

demonstrates how to clean a
Japanese sword.
Maintenance and Cleaning increasing width of the sword can easily cut the fingers.
Caring for a Japanese sword requires some specialized tools Use only the force equal to the weight of the blade when
and knowledge. The main idea is that, no matter the value laying on the fingers. Steps 4 and 5 can be repeated if
of the blade, the sword should be treated as both an art object further cleaning is needed. Never scrub the uchiko into
as well as a deadly weapon. As an art object, a sword must the surface of the sword when trying to remove a spot.
be maintained regularly. Cleaning a sword on a regular basis 6. Inspect the sword’s surfaces, insuring that the powder
keeps it free of rust and maintains it for future generations. has been completely removed.
Furthermore, having a sword polished can cost upwards of 7. Lightly oil the oilcloth. Wipe a thin layer of oil on all
$100 per inch. Regular cleaning will help to ensure that a surfaces of the sword, from the habakimōtō to the
blade only needs polishing every hundred years or so. kissaki. Use only machi-to-tip strokes and light pressure.
Most sword shops sell sword cleaning kits of varying 8. Replace the habaki, seppa, tsuba, seppa, and tsūka onto
quality. Included in most cleaning kits are scented oil, oil the nakago. The fittings can be seated into place by
cloth and case, an uchiko powder ball, a small hammer striking the assembly downward, onto the palm of the
and pin, and cleaning paper. It is a good idea to fold some right hand.
facial tissues neatly and keep them either in the box or 9. Reseat the mekugi.
nearby. The inexpensive ones are primarily used for iaitō, 10. Replace the sword into its scabbard.
practice swords not made of steel. It is recommended that
you use products that reflect the quality of your sword or Quality and Value
collection. Poor quality uchiko, for example, could Determining quality and value in a sword can be done
actually damage the polish. Good uchiko, for example, from an expert or layman point of view. First, experts can
those made by high-level artisans like mukansa-level judge a sword and determine its quality and value using
polisher Abe Kazunori, can cost quite a bit. But high agreed-upon industry standards. Second, anyone can hold,
quality cleaning materials are easily worth the expense. appreciate, and learn from a sword and determine its
ABOVE Removing the retaining Here’s the process: quality and value for themselves.
pin allows the handle, 1. Remove the mekugi using the small hammer and pin. Swords are like wine to some extent: If you like it,
spacers, hand guard, and 2. Remove the tsūka, seppa, tsuba and habaki, placing it’s good. If you don’t, it’s not for you. Distinguishing the
retaining collar to be removed. them carefully to the side on a clean surface. subtle notes within a fine wine is for connoisseurs.
Then, the blade and its fittings 3. Use a clean soft piece of paper or facial tissue to The rest of us can drink the same wine and appreciate it
can be carefully separated and remove old oil and dirt. Note that if using facial tissue, too—we just don’t use the same fancy words to describe
removed for cleaning. be sure it doesn’t contain perfumes, aloe, and the like. the flavors. Aside from personal taste, there are some
4. Strike the uchiko ball on the lateral and back surfaces standard criteria and classifications for swords that come
of the sword, covering it with powder. as a result of their being assessed by experts.
5. Gently wipe the uchiko off of the blade using machi-to- The thing to remember when purchasing Japanese
tip upward strokes, from the habakimōtō to the kissaki. swords is that they have the same quality standards as all
Never wipe the blade from machi-to-tang as the art objects. Of primary importance is the artist himself.

For example, a painting by Picasso will have value simply the condition, and the ranking of the swordsmith. Other
because he painted it. The second consideration is the factors also contribute to the value of a sword, however,
quality and condition of the blade—even a scribble by these basic traits are of paramount importance. Conse-
Picasso will be worth something, but not as much as his quently, several organizations offer valuation services,
masterworks. Worthy of consideration in determining the which are important when appraising a sword.
value of a sword is its historical importance. Was the smith There are different organizations, all of which have
a student of someone famous? Did he distinguish himself different systems of ranking swords. For example, the
or his work in some way? Did he make blades exclusively origami from the Nihon Token Hōzōn Kai, or NTHK
for a famous warlord? Did he inspire many famous (one of the official organizations that perform shinsa)
students? Was the sword held in a famous collection? All can include:
these things factor into determining value for a sword. 1. The school of craftsmanship (den)
Sword appraisal is a highly specialized field of study. The 2. Date of the appraisal
best thing anyone can do is contact reputable organizations 3. The Organization who is performing the Kantai
and people, learn as much as one can, and make use of (the NTHK)
expert guidance. See the Valuations section below for 4. The registration number of the sword being evaluated
specific information regarding sword classifications. 5. Classification (katana, tantō, and so on)
Swords can have many different types of negative 6. The historical era in which the sword was produced.
attributes. Some flaws, called kizu, are referred to as 7. Sword’s signature (if present) and whether it is
“fatal,” and virtually destroy the value of a sword. a fake or not. Genuine, “shōshin” blades receive the
Other flaws can be overlooked. Generally the flaws that designation as such.
can be removed by a polisher are considered acceptable, 8. Blade measurements
while those that cannot be fixed by the polisher render the 9. Remarks: includes discussion of additional information
sword valueless to collectors. Nevertheless, swords with such as the province in which the sword was made.
kizu may hold some value as study pieces. For example, This section of the origami is where the rating of the
the photos of the blade shown to the right are of a sword sword is noted. Also, signature-seals of the judges are
that I cherish very much, despite its flaws. It was a gift noted in this section.
from an iaidō teacher of mine. It was his sword and he The NTHK uses the above criteria to determine the
offered it to me when he retired. score for a blade. A blade’s score determines its designa-
Cracks and chips in sword’s edges can sometimes be seen. tion. Score and designation, then, become important
Those that run completely through the hamon, called hagiri, factors in determining a sword’s value. As noted above,
are generally considered fatal. Some blades are polished too there are other factors that could impact a sword’s value.
many times and, as a result, their hamon runs off the edge Nevertheless, these scores and resultant designations are
of the blade. This, called nioi-guri, is also a fatal flaw. critical considerations whenever purchasing a sword.
When the tip of the sword is broken off and the hamon NTHK sword designations currently include:
has been interrupted, the polisher cannot fix the damage. 60–69 points: Genuine—Shinteishi
In such cases the flaw is considered fatal. On the other 70–84 points: Fine Quality—Kanteisho
hand, of the tip is broken is such a way that the hamon 85–94 points: Superior and Excellence Rank—Yūshū-
remains, the polisher might reshape the kissaki so that the Saku
sword retains a functional hardened cutting edge. 95–100 points: Highest, Superior, Excellent Rank—Sai
This flaw, then, is not considered fatal. Yūshū Saku
There are many types of non-fatal flaws. When the As noted above, the NTHK is only one of the organiza-
sword is folded, the smith takes care to create a seamless tions that perform valuation studies. More commonly
weld. However, when inserting the core-steel, small air or known outside of Japan are the designations set by the
carbon pockets may be created. They generally do not NBTHK, another well-respected sword preservation
show up until the sword has been polished many times. organization. Using similar judging standards, the
The air pocket itself is called fukure. The term shintetsu NBTHK offers the following designations for swords:
describes exposed core steel and often looks like a patch Worthy of Preserving: Hozon
of grainless steel. A fukure with shintetsu is shown in the Worthy of Special Preservation: Tokubetsu Hozon
middle image to the right. Important Sword: Jūyō Tōken
Cracks in the folds of the steel, which run along the Particularly Important Sword: Tokubetsu Jūyō Tōken
grain lines, are called ware. Many non-Japanese have heard of the “National
Sometimes swords lose their ha-machi, or edge-notches, Treasure” designation, given by the Japanese Ministry of
denoting the beginning of the nakago. This can be an indi- Education. The Ministry of Education has created its own
cator that a blade is tired, but is not necessarily a fatal flaw. classification system for swords that are important cultural
assets. As such, blades with this distinction are not allowed
Valuations to leave Japan and are very heavily regulated. These blades
The process of screening and evaluating a sword is called are only considered for these designations if they are of
TOP Shown here are multiple
shinsa. The main goal of shinsa is to determine several particular historical importance or made by a very famous
small kitae-ware.
important characteristics. As the judges review a sword, smith. Swords in this category may have one of the
MIDDLE Shown here are fukure
several remarks and scores will be noted. The general following two Ministry of Education designations:
with shintetsū.
information is noted on official paperwork called origami. Important Cultural Item: Jūyō Bunkazai (formerly Jūyō
ABOVE Shown here are fukure
The value of a sword is created by the expert’s opinion Bijutsuhin)
and kitae-ware.
that the sword is not a fake, quality of the craftsmanship, National Treasure: Kokūhō

Availability of Antique and Modern Swords the stage for the revitalization of sword crafts. The Society
Japan had turbulent trade relations with China and Korea for the Preservation of Japanese Art Swords, known by its
throughout its history. During the 1500s Japan began Japanese language abbreviation NBTHK, was created. In
limited trade with the Portuguese and Dutch missionary/ 1950 it began performing shinsa, sword evaluation and
trade ships. While some swords may have been traded appraisals. Swords evaluated by the NBTHK could receive
during those times, it is during the mid-to-late 1800s that ōrigami, or paperwork stating the judges’ opinion
Japan saw a worldwide trade boom. In the late 1800s the regarding the quality and value of the sword. Categories
samurai class faded as a result of shifting political powers and classification systems were implemented to assist in
and growing imperial interest in Western trade, politics, identifying and ensuring the value of a particular sword.
technology, and even fashion. The popular trends of the Also in 1950, the Japanese government issued a
time shifted in favor of European merchandise. European proclamation requiring that all guns and swords be
clothing, luxury goods, and weapons were the must-have registered. Many people who had swords that were not
items in vogue among some of Japan’s elite. Japanese taken, or who had come into possession of a sword during
warriors were soon dressed in European fashion too. The the course of the post-war mayhem registered the blades
quality of swords and knives produced for the massive as theirs. Once owning a sword was made legal, many
imperial military fell sharply. Gone were the days of the wanted to know what their blade or collection was worth.
old warriors and their ways. They turned to the NBTHK’s team of shinsa judges for
With the samurai class falling, the demand for swords appraisal. The combination of governmental registration
Above is an example of an
diminished. The tools and fashions of the samurai requirements and expert analysis/appraisal breathed life
iaito. Iaito feature beautiful
declined in value and lost favor in the rapidly changing into the post-war appreciation of Japanese swords.
fittings and nickel alloy blades
pre-modern Japan. As a result of the new trade with While appreciation of swords was beginning to
that are used to practice solo
outside countries, Japanese swords presented an opportu- revitalize, the practice of sword making was still illegal.
forms only and cannot be used
nity in trade as a commodity. The first Japanese swords The sword had no value other than as a matter of cultural
for cutting. See Chapter 8 for
were traded, primarily to Europeans, in the 1860s. preservation. Fortunately, the Japanese government and
more information about the
Trade continued and swords flowed out of Japan and into allied forces agreed that the craft of sword making was
practice of swordsmanship
Europe. Some swords came into the United States, endangered (as well as many other traditional arts). In
today.
traveling with the families that immigrated here. As exotic 1953 the Japanese government issued “regulations for
stories of samurai warriors spread throughout the globe, sword manufacturing approval.” Finally, swordsmiths
so too did interest in the enigmatic warriors and their could apply to legally practice their craft again. The
unequaled weapons. Meanwhile, in Japan, the old arts NBTHK leadership supported the resumption of
were devalued as the nation raced to compete with sword-making in many ways. With NBTHK support, a
modern European industry. new tatara (smelter) was built, swordsmiths applied for
By the time the United States entered World War II, their licenses, and the craft of sword making was reborn.
stories of the Japanese reputation for ferocity had evolved. In 1955 the first public sword makers’ competition took
Gone were the samurai, true, but their legend lived on in place. The competition has been held every year since.
the warriors of the imperial forces who had entered the The Japanese swordsmiths of today practice their craft
top echelons of military superpowers almost overnight. both as a business and as a matter of cultural preservation.
Some swords were taken in battle while others were Yet the purchase and collection of Japanese swords has
presented to conquering allied leaders post-battle. The undergone some interesting changes in the 21st century.
great majority of swords were taken after the war in 1945. Technology has had a profound impact on the trade and
Allied servicemen were ordered to confiscate and stockpile sale of Japanese swords. But this is both a blessing and a
all Japanese weapons, including swords. Countless swords burden. While technology such as the Internet has made
were taken as troops moved from door to door, asking communication about and sales of swords more easily
that the occupants relinquish any weapons that they might done, it has also presented some major challenges. There is
possess. Most were factory-made military blades. Many good news and bad news on this topic. The bad news first:
were priceless masterworks and family heirlooms. Profiteers who seek to advance themselves by swindling
Meanwhile the swords were stockpiled in warehouses ignorant, dreamy-eyed buyers are exploiting the sword
such as To-kyo-’s Akabane Arsenal—a tragedy. Any both materially and philosophically. The days of digging
occupying allied serviceman could have a sword simply an antique sword out of your dad’s basement are over,
by asking for it. And in this way, thousands of swords yet many believe that they will be the one to find the
came into the hands of non-Japanese. The blades undiscovered gem—on eBay. Many experts report
returned home with the men as mementos. Some scholars receiving numerous requests for assessments of “antique
assert that the servicemen’s interest in Japanese swords samurai swords” that they’ve purchased “at a bargain.”
may have actually saved many important blades. No The great majority of them are fakes bought online (and
matter how one looks at these events, it is a dark chapter lousy ones at that!). Ignorant buyers cite the complex
in Japanese sword history. “grain,” which has been acid-etched into a piece of junk
Many important swords and family heirlooms were steel, and the “antique fittings,” which are actually poor
displaced overseas or lost entirely. The artisans who reproductions made to look old and dirty. Now more
made swords were forced to stop practicing their craft. than ever, buyers must arm themselves with information,
With the Japanese economy depressed after the war, and verify and double check their information, and proceed
the prohibition of arms manufacture, the techniques and with caution. There are some important steps that a
skills needed to produce a sword were nearly lost. buyer can take to ensure the quality and reliability of
In 1950 two important events happened that would set their purchase.

Collecting Japanese Swords

Now the good news: Technology has also made communi-
cation with real authorities much easier. Many Western
and Japanese authorities are now able to communicate in
English (and other languages). For those interested in
collecting, connecting with sword experts, or just learning
more about the trade of swords, there are several clubs
that one might join. These clubs often publish newsletters
with informative articles, and provide counsel for those
interested in beginning a sword collection.
The NBTHK is a great place to start. The American
branch of the NBTHK can be contacted via their website
at: http://www.nbthk-ab.org/. The Northern California
Japanese Sword Club (http://www.ncjsc.org/) hosts the
largest annual sword exhibition and is also an excellent
group. The Japanese Sword Society of the United States
(http://www.jssus.org/) is also a reputable source of
accurate and honest information.
A note of caution: I know of only a handful of neighborhood of Tokyo), AOI-ART is another “must-see” Meeting mūkansa-level
legitimate sword experts in America and, by comparison, for those visiting Tokyo. If you are looking for a great deal, polisher Abe Kazunori at Ginza
innumerable experts in the art of scamming and Mr. Tsuruta’s shop may prove to be a fantastic starting point. Choshūya affords me the
misrepresentation. If you have sword-related questions, Many martial artists are interested in swords—some opportunity to view Juyo
I recommend contacting Mr. Weissberg at Nihonto.com modern and some antique. Those who might want a Token-level swords that he
(http://nihonto.com/). For sword appraisal and polishing, sword for practice have far more choices about where to has polished.
I recommend Mr. Benson of www.bushidojapaneses- buy a sword. Scores of martial arts teachers and students
words.com, who can read and translate modern and struggle with poor merchandise and even worse service
ancient Japanese swordsmith signatures. Top-level from American and Chinese companies. Experiencing this
Japanese polisher, Abe Kazunori, has graciously offered problem myself, I have come to work only with a select
to assist non-Japanese with questions about sword group of Japanese manufacturers. I have seen over one
origin, valuation, and polishing. Feel free to contact me hundred swords ordered from a company called Tozando
for an introduction through my website: www.mountain- (http://www.tozandoshop.com/). I’ve held each one and
winddojo.com. There are other reputable experts, but I inspected the quality. In every case, the quality was
have had personal experience with these three men as outstanding and the price was equally impressive.
being honest and trustworthy. Plus, these gentlemen are For those interested in būdō gear, swords, and reproduc-
“in the know” regarding other legitimate sword dealers tion armor, I recommend that you start your collection by
and can tell you whether you are purchasing from a contacting Tozando’s Mr. Yamamoto. He speaks English
reputable seller—or more importantly, if the sword you fluently, is very knowledgeable, and is always willing to
are considering buying is actually worth $12,000. help get the “just-right” item for a customer.
Remember, you get what you pay for, and when it comes
Purchasing Swords to Japanese equipment, nobody has gotten it quite right
Purchasing swords from Japan can be a little trickier— other than the Japanese. Furthermore, the product quality,
unless, of course, you speak Japanese. Here I will warranty, and commitment to customer service makes
describe three outstanding stores, all of which have shopping Japanese worth every penny! Many Martial arts
English-speaking sword experts who are willing to assist supply shops carry swords of varying ages and qualities.
you in whatever ways they can. There are posh, fancy I have worked with many martial arts supply companies
stores, catering to very discriminating clientele, where over the last twenty years. For those who want to be sure
only the finest swords, fittings, armor, and so on, are they are getting a great deal, I recommend Tozando as a
sold. An example of such a store would be Ginza starting point for any martial artist shopper. And if you find
Choshūya (http://world.choshuya.co.jp/). While visiting yourself in Kyoto, you should definitely stop by their store.
Ginza Choshūya in the spring of 2009, I was honored to It is conveniently located across the street from the Kyoto
meet and visit with Mr. Abe Kazunori, the mūkansa-level Handicraft Center (a tourist landmark). More importantly,
sword polisher featured in this book. This shop is a Tozando is right around the corner from the Butōkūden, a
“must-see” for any sword enthusiast going to Tokyo! In historically important dojo located behind the Heian Shrine.
top stores like these, you will pay a fair price for outstand- As the examples of organizations and shops above
ing swords—nothing more, nothing less. demonstrate, there are innumerable avenues for sword
Another fantastic place for the would-be collector to start enthusiasts to pursue. Whether shopping for a $700,000
is AOI-ART, also in Tokyo. The owner, Mr. Tsuruta speaks museum piece, or a newly made $8,000 art/practice
English fluently and is very helpful. Aside from the thou- sword, opportunities abound. Swords are art objects. They
sands of swords, fittings, and fascinating bits of metal- are traded as such and are subject to market trends. When
lurgical history, AOI-ART (http://www.aoi-art.com) is small times are good, swords sell and exchange hands. When
and homey. It would take days and days to see and admire times are tight, people keep their wallets in their pockets.
all the swords in Mr. Tsuruta’s store. Given that it is only a The sword-crafts go on though; despite international
block away from the National Sword Museum in Yoyogi (a threats from charlatans who feed on buyers’ ignorance.

Chapter 2
Creating a Japanese Sword
The Japanese sword represents the quintessential instrument of warfare. Unlike similar weapons developed
throughout time, the Japanese sword evolved to a degree of metallurgical sophistication unmatched the
world over. Indeed, modern swordsmiths still experiment with various techniques in an effort to reproduce
some of the subtle effects of medieval Japanese swords. Shining like stunningly unique gems, niho-nto- have
stirred innumerable people to devote lifetimes to their appreciation. The functionality, complexity, and visual
beauty of these art pieces have inspired many areas of study. Volumes have been written on distinguishing
minute but distinctive characteristics produced by different smiths and schools throughout history. A compre-
hensive study of all the sword-related crafts is beyond the scope of this text, however, a brief introduction to
how swords are made will be useful in promoting their appreciation.
Producing a finished sword is not the work of the good works, and the honor that goes with a job well OPPOSITE Charcoal provides
swordsmith alone. The process of manufacturing a done. The beauty and genius of these trades emerge as we consistent heat for the
nihōntō requires the collaboration of several independent look deeper into the art and craft of the sword. production of a Japanese sword.
and highly specialized artisans. Each undergoes a lengthy This chapter reflects my journeys to Japan and BELOW Carefully watching the
apprenticeship. Swordsmiths apprentice for five to seven meetings with sword makers and polishers. I am very fire and steel, the master smith
years before receiving licensure. The sword polisher’s honored to have been welcomed into the workshops and his apprentices await the
apprenticeship can last up to ten years, depending on the and homes of many top craftsmen. Two, in particular, perfect moment to work the
school and teacher, while the habaki maker trains for up have contributed much of their time, resources, glowing billet.
to eight years before being able to stand on his own.
Consequently, these are celebrated artisans; their work
highly honored, scrutinized and sought-after.
Small ornaments or figurines wrapped into the handle,
called menūki, provide another example of the appreci-
ated details of nihōntō. Each of these craftsmen strives to
produce work with a technical perfection where visual
composition, subtlety, and infinite attention to detail leave
the viewer in awe.
The swordsmith and his apprentices mix, refine,
fold and forge the steel into the blade. The smith then
passes the blade to the polisher, or tōgishi, who carefully
refines the surfaces and lines of the blade on various
grades of waterstones. Once the basic geometry of the
blade has been refined, the polisher sends the blade to the
habaki maker. After the habaki has been made, the blade
is transferred to a scabbard maker who will carve a
scabbard to fit its exact measurements. Once the scabbard
has been made, the blade goes back to the polisher for
shiage-tōgi—the final polishing stages that meticulously
bring out the hamon features and texture of the grain
using the finest-grade stones. Only after receiving the
blade back from these artisans will the swordsmith sign
his name to the blade tang.
Apprentices are allowed to play a part in their master’s
work according to their dedication and developed skills.
Their efforts pay off in their growing ability to produce

and knowledge to this project. The first craftsman is

Kawachi Kunihira, a 15th generation sword maker in the
mountains of Nara prefecture. The second craftsman,
Abe Kazunori, is a sword polisher in To-kyo-. This chapter
outlines the processes involved in creating a Japanese sword
through their daily practices. In essence, they will act as our
tour guides as we explore the creation of Japanese swords.
Both Mr. Kawachi and Mr. Abe have been declared
mūkansa, or master craftsmen, a title awarded to artisans
having received more than the prescribed number of
Special Prizes at the yearly NBTHK competitions.
Each has studied under the most famous teachers in Japan
and holds a number of private and governmental honors.
Yet, despite their highly specialized skill sets, each of these
men would politely reject any compliment. They would
assert that working with swords is just what they do.
They are not holy-men, shamans, or priests, just hard-
working craftsmen. Regardless of their humility, it is easy
to appreciate their passion, exacting standards, and
dedication to maintaining traditional arts.
Central to the Japanese swordsmiths’ craft is the ability
to create a sword from a difficult raw material, combining
various densities of steel into an ingenuous sword-struc-
ture. The resulting sword has durable outer layers
combined with a soft core that is not easily broken.
Known for their razor-sharp edge, elegant curve,
and graceful steel patterns, the appreciation of nihōntō
extends far beyond mere metallurgy or warfare. Yet it is
the metallurgy and combat applications that make the
Japanese sword so alluring.
Manufacture of Traditionally Smelted Steel

Historically, two processes have been used in the
traditional manufacture of Japanese iron and steel.
These two processes are referred to as zūkū-ōshi and
kera-ōshi. The former closely resembles the “pig iron”
(a type of cast-iron) produced in high-temperature
furnaces, while the later is a type of low-fired sponge
iron. The difference between them is that in the kera-ōshi
process, the iron doesn’t liquefy, but rather agglutinates
into one mass. When it comes out, it looks spongy—thus,
ABOVE Master sword polisher
the name “sponge iron.” Surprisingly, in Japan, it is
Abe Kazunori assesses a
thought that high-temperature zūkū-ōshi was the main
blade with careful
technology of the Middle Ages, whereas kera-ōshi became
consideration.
dominant in later times, and remains popular today.
RIGHT Broken chips of
This seems contrary to the chronological evolution of
tamahagane can be stacked
metallurgy in the West.
and forge-welded into a billet.
Today, the sword-steel tamahagane, one of the
products of a kera-ōshi tatara, is jointly produced almost
exclusively by a partnership involving Hitachi Metals,
the Japanese government, and the NBTHK in Yokota,
a small town in Shimane prefecture. In this process,
iron ore contained within dark brown or black sand is
smelted in a clay furnace, using charcoal as the fuel as
well as reducing agent. The liberated iron then combines
with more carbon to form steel alloys. Some swordsmiths
operate their own tatara within the confines of their
smithies and produce their own tamahagane. Producing
tamahagane on such a small scale, however, is quite
difficult and rare. Today, traditionally produced NBTHK
tamahagane is chosen by many smiths; despite its high
cost. It is important to note that some smiths use steel
produced in ways other than from the NBTHK tatara.

Chapter 2 Creating a Japanese Sword 33
TOP A painting showing a selection of tools used in the

tatara for the creation of swords.
ABOVE Iron-bearing sand is refined into sponge-iron,
pieces of which can be stacked to form a billet.
LEFT Working with a steady, syncopated rhythm, the
apprentices elongate and fold the steel during tanren.

RIGHT Mr. Kawachi and his

apprentices have just
completed a fold and quickly
work to weld the surfaces
together.
BELOW These are pieces of
re-smelted iron and steel for
use in creating an oroshi-gane
billet.
BOTTOM Once the billet has
been forge-welded together it
is folded repeatedly, creating
layers within the steel.
Tamahagane is not the only type of raw material used in

sword making. For example, ōrōshigane is a process that
consists of re-smelting, in the smith’s own forge, various
bits of iron, steel or cast iron in order to make them usable
in sword making. Broken cast iron kettles, ancient temple
hardware or farming tools are all acceptable sources for
ōrōshigane. The process, depending on how it is performed,
will increase or decrease the carbon content of the metal,
and form it into a single lump. The end product is also
referred to as ōrōshigane, as opposed to tamahagane.
Both the tamahagane and ōrōshigane aim to manipulate
a symphony of delicate factors. Carefully controlling the
carbon content, homogeneity, crystallinity, and other factors
allows the raw steel to achieve the quality needed for sword
steel. Some pieces of steel are unusable because of their exces-
sively high or low carbon content, poor structure, and so
on, and must be put aside. The smith may decide to re-smelt
these odds and ends for a later project in ōrōshigane.
It must be understood that, except in rare cases,
specialized craftsmen work alongside a few swordsmiths
to manufacture sword steel at the NBTHK tatara.
Together, they prepare the tamahagane for sword-making
by smiths around Japan. Without the efforts and skills of
the craftsmen at this early stage, there would be few
nihōntō for us to appreciate today.
Refining the Steel By Forge-Folding (Tanren)

The term tanren, describes both the processes involved in
preparing the raw tamahagane and making it ready for

LEFT The steel is refined and

strengthened while
undergoing the forge-folding
process.
swordmaking. When tamahagane reaches Mr. Kawachi it Each steel grouping will have a role to play in the
is not ready to be made into a sword. Nor does the finished product. Shingane, the soft core-steel (forge-fold-
tamahagane resemble steel, as most readers would ed only four to six times), serves the important function of
envision it. The raw material looks like a shiny and keeping the sword from becoming too brittle. Steel with
spongy rock. The processes involved in tanren are some high carbon content will be very dense and rigid.
of the most unique and important skills mastered only by This hard steel will become a jacket in which softer steel
traditional Japanese sword makers today (the other being will nest. Called kawagane, the jacket steel will be folded
quench-hardening). There are different ways to perform between ten and fifteen times depending on the construc-
tanren; many considered trade secrets. tion method used. In due course, these two types of steel
There are several ways that a smith might begin to will be welded together seamlessly.
prepare the raw material. For example, in a process called Tanren, the process of folding and refining the sword
mizū-beshi, the raw tamahagane is hammered out into steel described above, represents the most critical aspect of
thin wafers. The wafers are then quenched, making them the swordsmith’s work, along with yaki-ire, the quench-
very brittle. The smith crunches the brittle steel into hardening of a blade. It is a common misconception that
smaller flat chunks about 4 cm wide. The fracturing swords are folded thousands of times. In reality, the jacket
allows them to be sorted into groups of varying carbon steel is folded ten to fifteen times. This results in multiple
content and overall quality. layers being doubled with each fold. The end result is a
After the raw steel is hammered out and sorted, surface-steel displaying a grain, or jihada, that is the result
the smith undergoes a process of refining the steel by of approximately 1,024–32,768 layers—not folds. In most
forge-folding—the actual tanren—a process similar to blades, these layers can be seen by the naked eye when a
kneading dough. These pieces will eventually be expertly blade has been well polished. The slight variances within
combined into a single chunk of steel that possesses the carbon-content of the jacket steel make the folds
carefully controlled qualities. This enables the smith to visible. The jihada layers appear as fascinating and
select steel for particular applications. For example, intricate patterns.
steel with higher carbon content is better suited for the The type of grain pattern, or hada, can be manipulated
jacket of a sword. Steel with lower carbon content would depending on the effect the swordsmith wants.
serve better within the core of a blade. Groupings all Although grain is affected by many subtle factors such as
depend on the carbon content, crystalline structures, the amount of carbon, the amount of impurities, and so
amount of impurities, and degree of consistency. on, the primary factor is the direction and number of folds

ABOVE Mino sword smith the billet receives. Folding the steel, either lengthwise or
Mr. Kanemichi uses a power perpendicularly, in relation to the final direction in which
hammer to work the steel with the sword will be lengthened, creates differing grain
speed, efficiency and patterns. One of these, masame, resembles an elongated
precision. Today, many smiths wood grain pattern, which runs the length of the sword.
use a power hammer because A common form of steel structure is itame, which looks
young people are decreasingly like a swirling and knotty wood grain. Both itame and
interested in the traditional masame can be created in varying degrees and sizes.
arts and trades. Others such as ayasugi (undulating grain) or mōkume
RIGHT These are two of the (burly grain) can also be seen.
several methods of combining
core and jacket steels. Assembling a Sword’s Component Steels
OPPOSITE RIGHT Visible here The first steps of making a sword involve refining and
is the clay slurry that has been preparing the raw materials in order to make them usable.
painted on the blade to Next, during the tsūkūri-kōmi process the billet is
insulate the steel during the assembled combining carefully prepared steels—each with
heating and quench-hardening differing carbon content. There are several construction
process. Clay application for methods for combining the hard jacket steel with the
three common temperline tough core steel. Some use two pieces, some use up to five.
patterns are shown. Here, we shall limit ourselves to a brief explanation.
In the kōbūse construction method, the jacket steel is
hammered into a “U” shape, which will contain the
softer core steel inside.1 The core steel is enclosed within
the folded jacket steel in the same way that a hot-dog is
placed inside its bun. The two are welded together to
create the soft-core/harder-jacket combination (called
kōbūse-gitae). That is one of the features that make

ABOVE The billet is elongated until it becomes a sūnōbe—a flat BELOW The blank has been hammered into a rough blade
blank without a profile. profile—a process called hi-zūkūri.
Japanese swords so unique, distinguishing them from prerequisite for the next step. When all the lines are
their celebrated Toledo or Damascus counterparts. correct the smith is ready to proceed with creating both
Four and five-piece billet assemblies are another option. the curve and performing the heat treatment: he can
Such blades integrate steel of low, medium, and high proceed the yaki-ire process.
hardness. Some believe that these more complex billet
designs create a superior blade.2 Quench-Hardening the Steel
When steel is heated above a certain temperature and then
Elongating the Billet quickly cooled, its carbon atoms don’t have the time to
Assisted by his apprentices, or for those working alone, travel out of the unstable molecular structure that higher
using a power hammer, the smith hammers out the billet temperatures allow, and are locked within, giving way to a
and it gradually becomes elongated. The smith pounds a highly stressed and hardened material. In the craft of
cadence with his mallet and turns the billet underneath the sword making this phenomenon is used in the selective
apprentices’ hammers. A steady tempo of hammer strikes hardening of a sword edge. This process in sword making
creates a rhythm that helps create a smooth collaboration is called yaki-ire. The difference in hardness between the
between the smiths and his apprentices. If hammering edge and the body of the blade allows the creation of the
were to accidentally push through the kawagane to the hardening mark, or hamon. The carbon content of the
shingane, exposing the core steel, it would ruin the blade. steel along with the rate at which the steel cools dictates
So the hammers pound steadily and carefully, in a the hardness that it will attain; the higher the carbon, and
mesmerizing rhythm to create the sword blank, or sūnōbe, the faster it cools, the harder the steel. By allowing the
with precision and care. The geometry of the sūnōbe is steel at the edge of the sword to cool more quickly than
tapered and rectangular. At this point the metal is long the steel on the sides and back of the blade, a differential
and more or less rectangular when viewed as a cross- is created. The edge steel is extremely hard, whereas the
section, as if it were cut from a sheet of steel. At this stage jacket/sides remain only moderately rigid. Meanwhile the
the sūnōbe appears to be one solid and seamless bar. soft core prevents the blade from becoming brittle.
The creation of a hamon is a delicate and complex task
Creating the Profile that must be approached in an exacting manner. Due to its
The process of hammering the sword blank into a profiled beauty and mysterious flowing appearance, the hamon is
rough blade is called hi-zūkūri. The swordsmith works to one of the most distinctive elements of nihōntō. Volumes
shape the various surfaces of the blade a few inches at a have been written on the subtle effects that have been
time. Any mistake at this point would be difficult to created by different smiths over the millennia. The names
correct. So as the sword progresses, there is less and less of such effects liken their beauty to awesome elements of
room for mistakes. When this stage is completed, the nature, from the brilliance of stars in the night sky to the
makings of what will become the distinctly Japanese esoteric allure of rising lightning.
sword shape emerge. When hi-zūkūri is completed the In one common way to create the hamon, Mr. Kawachi
blade is still straight. paints a clay slurry onto the blade, which acts as an insulator.
The shape and geometry of the blade are further refined The thickness of the clay dictates the rate at which the steel
using waterstones, files and drawknives made from will cool and thus the extent to which it will harden. The
hardened steel. Although the edge is still a blunt 2–3 mm clay is applied thickly at the back of the blade and thinly
thick, the filing and cutting away of inconsistencies leaves near the edge. The slurry is applied in such a way that the
the sword looking quite exact in its geometry—a critical different thicknesses produce a pattern that will become

slurry, the smith reveals a crude view of the steel. After

this transformation the blade requires some final shaping.
Final Shaping
Mr. Kawachi removes the clay. Using files and low-grit
stones, he exposes the steel underneath and begins shaping
the sword. He continues his work, carefully adjusting the
lines and overall geometry. As the steel’s surface becomes
smoother, the hamon begins to appear—the first glimpse
of the blade’s unique temperline. A hamon is similar to a
fingerprint—no two are exactly alike. Once the sword-
smith’s shaping is complete, he considers whether he
wants to carve grooves, decorative bas-reliefs, or in this
case a poem, into the blade.
If hi (grooves) or hōrimōnō (decorative carvings) are to
be cut into the surface of the shinōgi-ji, the surface
between the center ridgeline and the back edge, it is done
at this stage, before sending it off to the polisher.
According to Mr. Kawachi, “Hōrimōnō engravings were
originally intended to serve as religious talismans.”3
On the other hand, grooves serve both practical and
aesthetic functions. Here, we see Mr. Kawachi carving a
distinctive inkan motif into one of his blades. Inkan are
usually stone seals, stamped in red, which serve as
someone’s signature. Grooves, on the other hand, are
highly functional. Coming in several varieties, grooves
lighten the blade, making it easier to wield, while simulta-
neously maintaining structural rigidity. Although this
might seem counterintuitive at first, blades with grooves
remain strong in the same way that an I-beam does.
The smith waits before signing the blade to see if the
finished product will meet his personal expectations.
Much of the sword’s finishing work is yet to be done.
Only a basic view of the hamon can be seen at this point.
In this rough condition, the smith delivers the blade to the
polisher for further refinement.
The Polishing Process

ABOVE After quenching the the hamon. These patterns can be relatively straight (sūgūha), A professional, certified mūkansa-level tōgishi like Mr.
blade, Mr. Kawachi removes semicircular waves (gunome), elongated waves (nōtare), or Abe is a craftsman of the highest order. The tōgishi’s time
the clay and examines the made to look like clove buds (cho-ji), to name a few. is incredibly valuable. The polisher must use his expertise
newly created hamon on When the slurry has been applied, the blade is ready to to determine the proper course of action for any given
the steel. be heated and quenched. Mr. Kawachi heats the blade blade. Polishing a newly made sword can take nearly two
very carefully. The color of the glowing steel indicates the weeks. The waiting list for a mūkansa-level tōgishi like
temperature, so the quench-hardening is done after the Mr. Abe can be years long.
smithy has been plunged into darkness. Different effects The stones themselves also warrant appreciation.
can be created depending on slight differences in tempera- Stones used in polishing swords are extremely expensive.
ture on different surfaces of the blade. One wrong move In ancient times, they were prized gifts offered among
and the sword could come out of the process fatally feudal lords. Top polishers like Mr. Abe spend untold
damaged. So it is with a careful eye that the smith fortunes on innumerable stones. Each stone will interact
watches, awaiting the perfect opportunity to quench the with steel differently. Each sword will require a slightly
blade by dunking it into a trough of water. different stone to highlight its beauty. Therefore, most
At the precise moment, Mr. Kawachi decisively thrusts sword polishers have large collections of stones.
the blade into water. With a quick hiss and bubble, the The process of polishing a nihōntō is extremely
hardened edge is produced. The sword’s metamorphosis demanding in time, knowledge, and physical skill.
during this moment is astonishing. First, the edge steel Mr. Abe has allowed me to incorporate material from
cools, quickly bending the blade’s curvature against the our interviews, his writing, and his collaboration with
edge—in the opposite direction that it should go. Then, as Paul Martin for the purpose of accurately illuminating
the back of the blade cools and contracts, the curvature the polishing process.
actually reverses creating the edge-forward shape. As a Polishing a sword can be broken down into two main
result of this process, the blade, which was nearly straight, processes. The first process, foundation polishing
now has an elongated edge. The graceful and deadly curve (shita-ji-tōgi), involves refining the shape of the sword by
of the distinctive nihōntō is born. Removing the clay rubbing it over a series of stones. The second, finish

ABOVE Carving hōrimōnō into a

blade requires great skill and a
steady hand.
LEFT An example of a polishing
workstation.
BELOW LEFT Wafer-thin pieces
of narutaki are ready to be
sliced into tiny pieces and
assembled on thumb-tip for
fine polishing.
BELOW RIGHT A small sampling
of polishing stones.
polishing (shiage-tōgi) is performed by moving finger-

stones over the blade’s surface. Each of these processes can
be broken down into several sub-tasks, each of which
requires a particular stone. The steps, stones, and intended
outcomes are summarized below.
Foundation polishing consists of three main goals:
a. Shaping the blade, b. Refining the shape, and finally
c. Preparing the surfaces for finish polishing. It is during
this process that the sword’s edge becomes sharp.
Foundation polishing uses stones of a rough grit and
therefore, must be done carefully so as not to ruin the
geometry of the sword. The goals of foundation
polishing, while avoiding the removal of too much steel,
are to make the surfaces of the blade even, keep the
ridge-lines formed correctly, and maintain the sword’s
visual balance. This process also sharpens the edge of the
blade. See the photo sequence on page 40.
The stones used for shaping the blade are the kōngō-dō
and binsui-dō. Binsui-dō is used more frequently. With

each changing stone, the sword is worked in varying direc- jigane, or grain-showing areas behind the hamon.
tions, slowly and with great care. Too much pressure, or Again, Mr. Abe clarifies this process saying, “As the
removing too much material could result in damaging the jigane [grain properties] is different in all periods and
blade badly. The shaping of the blade is complete when schools, it is necessary for the polisher to bring out the
the surfaces have been polished and the lines of the blade characteristics associated with those schools.” The jito
are geometrically correct. stage is the final process in which the blade is moved
The stones used for refining the blade’s surfaces are over the stone.
called kaisei, cho--nagura, and kōma-nagura. In refining When the polisher completes his initial work with the
the surface, all marks made during previous stages must blade it goes to the kōshirae/habaki maker, yet another
be removed completely. To assist this, Mr. Abe marks two highly skilled and specialized craftsman. The habaki must
spots on the surface of the blade using ground deer antler meet very exacting requirements. The habaki is not only
and uses them as visual markers to guide his polish- functional, but aesthetically beautiful as well. It serves to
strokes. Working the blade in alternating directions, wedge the sword safely in the scabbard by pressing
this process slowly reveals the first glimpses of the hamon. outward on the inside surfaces of the opening, or the
With the surfaces refined, the polisher can move to the koigūchi’s habaki-būkūrō (habaki-bag). It also helps to
next step, using the ūchigūmōri stones. keep the sword’s surfaces from scraping along the insides
The purpose of the ūchigūmōri stones is to start of the saya. If other fittings are required, they would likely
bringing out the blade’s artistic qualities. From this stage be made and fitted by another craftsman. When the
on, the shape and sharpness of the blade remains fittings are complete they would be delivered to the saya
unchanged. Using the ūchigūmōri stones serves to reveal maker for inclusion and fitting onto the overall scheme of
the grain structures by further removing scratches left the furniture.
from previous stones. Two stones and sub-processes are The saya maker is responsible for providing a resting
used here; the hatō and jito. place for the sword. The saya must be a good fit,
The hatō stones are used mainly on the hamon with not allowing the blade to rattle around inside. If the saya
sparing application on the rest of the blade. Mr. Abe is made too tightly, however, the blade’s surface will be
explains, “the brightness of the niōi-guchi, the length and scuffed, ruining the polish. The scabbard is made of
visibility of the ashi and hataraki in the ha, all depend on hōnōki wood, the Japanese equivalent of magnolia.
the effectiveness of the hatō polishing stage.” The primary reason hōnōki wood is used is that it is soft
While the hatō stones improve the areas within the enough that it won’t scratch the polish of the blade.
hamon, the jito stones are used to further refine the Hōnōki is also preferred because it can be worked easily
RIGHT Images 1–4 illustrate

the process of foundation
polishing (shita-ji-tōgi) in
which the sword’s shape is
refined by moving the blade
over a series of abrasive
stones.
1 2
3 4

for a perfect fit and has low sap content.4 All of these design and fit them onto the finished product. The saya
traits make hōnōki the best choice for storing and may require lacquering and possibly other decorative
preserving nihōntō. additions.
When the wood is selected for saya making, the All of the sword’s fittings must be carefully chosen for
craftsman avoids irregular, knotty or gnarled pieces. the finished product. Generally speaking the kōshirae
The general outline of the saya and tsūka are cut out of follow an elegant theme and are designed to be used as a
the board as one long form. This creates a rectangular, set. Swords whose fittings have been retrofitted and
but curved “blank,” from which the saya and tsūka will consequently have the design themes interrupted are
be cut. The blank is then cut down the middle lengthwise considered to be less appealing.5 Everything from the
to create two halves. Each half is smoothed and prepared application of same (belly skin of a ray) to the wrapping
for chiseling. The bare sword blade is used to trace an of the hilt, or tsūka, is considered to be essential to the
outline on each half of the scabbard/tsūka blank. completion of this piece of art. Whether the blade will
Using the outline of the sword, the saya maker carefully receive a shirasaya or full fittings, once it has been
chisels ribbons of wood out of what will become the furnished, it will be returned to the polisher for the final
hollow of the scabbard. He repeats the process of polishing stages.
hollowing out half-a-blade’s-width out of the other side. Shiage-tōgi: From here on, the polisher will hold the
When the two halves are hollowed out, the saya maker blade and carefully move small finger-stones and tools
glues the halves together with a weak rice glue, which over its surfaces. Here, the fine-art qualities emerge slowly.
allows future splitting for maintenance. The same process These processes require careful selection and application
is repeated for the tsūka, creating a custom, tight fit. of stones for a given blade. Any mistakes at this stage
When the tsūka is glued together the mekūgi-ana is would likely require the polisher to go back several steps
drilled, and the mekūgi is positioned so as to hold the to reset the surface. Shiage-tōgi subtasks include:
sword in the tsūka. The two halves, with the blade a. Working with the jizūya stones, b. Applying nūgūi
inserted, are then sealed together. With the pieces all solution, c. Hadōri, d. Migaki (burnishing), and
assembled, the craftsman scribes lines down the length of e. Finishing the tip with sūjikiri and narūme.
the tsūka and saya. He uses these lines to carve and shape The jizūya process is known for its application of
the outside of the tsūka and saya. In the case of a storage finger-stones. Here, Mr. Abe takes wafer-thin pieces
shirasaya, the finished shape can be octagonal or oval. of narutaki and cuts them into miniscule pieces. See
If kōshirae are requested, the saya maker is one of the photo 5 below. Carefully transferring them onto his
many craftsmen who could accommodate them into his thumb, Mr. Abe rubs the hiraji methodically. He
LEFT Images 5–8 illustrate the

process of finish polishing
(shiage-tōgi) in which the
sword’s surface is smoothed
by painstakingly moving finger
stones over the blade.
5 6
7 8
Jap Swords Part1_1404TWP.indd 41 2/24/14 6:48 PM

explains, “The brightness of the jigane, and the fineness the jigane and give the correct tone to the steel. The school,
of the hada is obtained by the quality, hardness and era, and type of the sword are all factors that must be
thickness of the age-jizūya used. To bring out the subtle considered when determining how much nūgūi to apply.
characteristics of a fine hada is of great importance to Nūgūi will not brighten the blade so it takes experience to
the finished polish. The polisher has to know when to know what is the right amount.
stop bringing out the hada or it will become too The waves of the hamon are the accentuated by the
prominent.” He indicates that it takes a great deal of polisher. Here the polisher must decide how he will
knowledge and experience to know what stone to use enhance the overall flow of the real hamon. Whitening the
and how long to use it to bring produce a fine hada. area of the hamon is called hadōri.
The next step in the polisher’s task is to apply an iron- This process also highlights the crystalline structures,
oxide and clove oil solution called nūgūi. This mixture is called niōi and nie, making them bright and clearly
dabbed along the length of the blade and then rubbed into discernable. Mr. Abe explains, “Every hamon follows a
the steel using a cotton ball. See photo 8 on the previous rhythm or melody line that is indicative of the smith that
page. The purpose of this is to homogenize the color of constructed it.”
RIGHT Images 9–14 illustrate

the final, critical steps in
polishing the blade. Here the
temperline pattern is artfully
accentuated, the finish is
burnished to a high luster, and
the tip is delineated.
9 10
11 12
13 14

Before actually performing hadōri, Mr. Abe does

something rare in the world of sword polishing. He uses a
mixture of powdered deer antler to paint the hadōri-line
onto the blade. See photo 9 on page 42.This is a special
technique he learned as part of the Ono School of sword
polishing, a trademark of Ono Kokei, the Living National
Treasure sword polisher. In essence, this step allows the
polisher to foresee what the hadōri will look like when
completed and make any last minute changes to his stone
selection, line creation, and so on. The goal of creating
the hadōri is to create a gracefully flowing line that
highlights the work of the smith while maintaining
visual balance.
As seen in photos 10 and 11 on page 42, Mr. Abe has
begun to highlight the hamon using medium sized
thumb stones, carefully rubbing them so as to scuff the
surface of the hamon. The real hamon is much more
complex. Looking into the hadōri, the real hamon
appears as wisps of cloud-like formations, activity
which is referred to as hataraki. After the hadōri has
been completed, the main body of the sword is nearly
finished. The next step is to burnish the surfaces of the
shinōgi-ji and mūne that will have a mirror-like finish. From that point forward the kissaki should have a hazy ABOVE AND BELOW Many
These surfaces are polished similarly to the hiraji—the gloss compared to the bright shine of the hiraji. habaki, both historical and
section between the ridgeline and the edge, but require a The end result is a remarkably strong, functional, modern, display decorative
final step of burnishing, or migaki. Burnishing the and beautiful sword, to be prized and handed down markings.
surfaces is accomplished by rubbing a hardened steel through one’s family for centuries to come. With the work
tool over the sword-steel surface using great pressure. complete, the sword is finally ready to be signed by the
See photo 12 on page 42. Ibōta powder, a waxy smith. Soon after, a thrilled new owner will collect his
substance made from the excretions of an insect, is used much-awaited treasure. Heart pounding, the thrilled patron
to help promote the fluid movement required for receives the new blade. Within the sword resides the spirit,
burnishing with the steel tool.6 sweat and genius of those who toiled in its creation.
The tip is last to be polished. Two processes are used: When appreciating the understated beauty of a completed
sūjikiri and narūme. Sūjikiri is the process of delineating nihōntō, the genius of the Japanese swordsmiths becomes
the tip by creating the yōkōte line. In photo 13 on page 42, evident. With humble beginnings of iron-bearing sand, the
Mr. Abe demonstrates how he uses a small spatula to completed nihōntō simultaneously shines outwardly and
push a hazūya stone back and forth against a straight- inwardly. Mr. Nitobe illustrates the sword’s beauty by writing
edged guide. that the nihōntō is: “perfect as a work of art, [defying] its
The final process in finishing the tip is to give it a Toledo and Damascus rivals… Its cold blade…Its immacu-
polish. A tool called narūme-dai cushions the downward late texture, flashing light of bluish hue; its matchless edge,
pressure of the blade as he draws the tip perpendicularly upon which histories and possibilities hang; the curve of its
across a hazūya stone. See photo 14 on page 42. back, uniting exquisite grace with utmost strength.”7

RIGHT AND ABOVE Tsuba have

holes that allow the kozuka to
be drawn unimpeded.
LEFT This kozuka would have
held a small knife that would
fit into the scabbard parallel to
the larger sword.

RIGHT AND BELOW Menūki are

small decorative pieces,
designed to be woven into the
handle as shown below. While
some hold no spiritual value,
others are Buddhist or Shinto
talismans.

A Brief History of the Japanese Sword and the Importance of Polishing
Although there have been a great variety of arms in the Japanese baseball player, Ichiro. One of his type of grain size. Among these are stones that are
the world since the dawn of history, none of them Seattle Mariners team mates sat on his catcher’s mined from the Kyoto mountains. It is thought that
have been preserved like Japanese swords. mitt. Ichiro, infuriated by his teammate’s disrespect these stones were formed on the seabed of volcanic
Originally made as killing weapons, Japanese swords for his glove, scolded him soundly. The maker, islands far south of the Japanese archipelago, close
have a beauty that derives from the easily rusting related craftsmen, and owner of a sword all feel that to the Philippine tectonic plate. Over the course of
steel they are made from. Considering the steel rusts they have put some of their spirit in it. Therefore, billions of years they were gradually pushed up to
so easily, it is surprising that many excellent blades the Japanese sword is regarded as a spiritual object form Kyoto’s mountains. Theses stones have an
have been passed down and preserved to this day of artistic importance. extraordinarily fine grain. Modern science is still
by various individuals, shrines and eminent I think that the relationship between sword- unable to create stones that can produce beauty in
Japanese families. As professional appraisers of smiths and polishers can be compared to that of the steel such as these.
swords appeared around the Muromachi Period composers and musicians. Using this analogy, I will The natural stones used for finish polishing are
(1332–1573), it can be assumed that swords were try to explain the skill and importance of Japanese very important for they bring out the sword’s jigane
appreciated for their artistic qualities. As it was also sword polishing. I believe that Japanese swords to its full potential. Master polishers aim to create a
from this period onwards that advancements in have a powerful appeal that leaves one with an surface texture referred to as uruoi. This term means
polishing techniques developed. intangible impression in the same way that people lustrous. Obtaining this condition is important as it
In the early Edo Period, Hon’ami Koetsu began appreciate fine entertainment or music, such as the adds a dimension of natural beauty to the steel,
the family business of polishing and appraisal. traditional Japanese arts of kabūki, nōh, and as if the steel is fresh and alive. As we humans are
The Hon’ami family became eminent and the quality rakugo. Other examples include, Japanese creatures of the natural world, it is only natural that
of their polishing and appraisal was greatly sought traditional music such as koto, traditional Japanese we find this beauty very appealing. This apprecia-
after by the shogunal family and other daimyo. flute, shamisen or the Western equivalents of ballet, tion of nature can also be seen in Japanese
The Hon’ami school took their accumulated classical music, opera and so forth. Although many ceramics. Many examples are admired for the
knowledge and transmitted through the generations masterpieces were composed in past eras, they changes to them that occurred naturally inside the
while constantly improving polishing technology, have been played many times by great performers kiln. Ceramics that have become asymmetrical in
raising the sword to the status it has today. and players of every period. Even though they are the firing process are sought after, and can
However, following Japan’s defeat in 1945 at the performing the same pieces, some performers excel command higher prices. The same concept applies
end of the Second World War, Japanese swords more than others, but it is the intangible beauty that to Japanese swords. They are artificially made
faced a major crisis. The Allied Occupational Forces moves us deeply. In my analogy, I see the sword- objects, but the hada, and the hamon brought out
issued a decree that all weapons would be smith as the composer, and the polisher as the in the instant of the quench cannot be artificially
confiscated from the Japanese people. This decree performer. The finished condition of the jigane (the controlled. It is this exquisite element of natural
included swords. Kanzan Sato, Kunzan Honma and steel used form the hada) represents the perform- beauty that deeply moves sword enthusiasts.
some other eminent scholars petitioned General er’s tone, and the hadōri (a technique used to Occasionally I come across swords that I polished
Headquarters (GHQ) every day until the order was highlight the hamon) is the melody line that follows early in my career. I am disappointed by some of
rescinded. In some cases it was too late. Some the rhythm of the composition. them, but there are others that impress me.
masterpieces were never recovered, some swords It is we polishers who must highlight the Although I was lacking in skill, I am pleased with
were melted down in blast furnaces and some were technical skill and soul of every sword maker’s work, how diligently I worked on them. To me, this is
dumped into the sea. (This episode is recorded in of every period, for future generations. However, in evidence that some of the polisher’s spirit goes into
the book, A Guide to Appreciating Japanese Swords addition to displaying the sword’s important the work. When I was young, I met the master
by Kanzan Sato). However, I am deeply grateful to appraisal points, I also must consider how best to polisher Ono Hiroshi. The first words that he said to
Mr. Sato and Dr. Honma for helping GHQ realize the exhibit the blade’s beauty. In doing this, I use the me were not about skill. He advised me, “Improve
cultural importance of Japanese swords, and General same kind of aesthetic that is also found in the your character.” Although skills and tools are very
Douglas MacArthur’s decision not to break the Japanese way of tea, flower arranging, and important, they alone are not enough. I think his
lineage of the emperor. After the Allied Forces left incense-fragrance connoisseurship. It is said that advice means that polishers must be of a noble
Japan, sword makers returned to making swords, this is the age of science. However, I think that the character, as it will be reflected in the finished
often aiming at recreating the old masterpieces of importance of the polishers work is to continue the swords. I never feel that my work is perfect, but I
the Kamakura Period. traditions of the previous generations, and pass on would like to pass on the feelings and skills of our
It would appear that other cultures regarded the skills and techniques of using natural tools to ancestors to a successor, and in so doing, convey
weapons as merely tools. We Japanese believe that future generations. them to the future generations.
a soul resides in everything, be it tools or arms. The natural tools used are the polishing stones.
Thus, Japanese swords came to be treated as sacred Due to Japan’s topography, polishing stones have Abe Kazunori
objects. This belief can be exhibited in the story of been formed here that complement every single Master Japanese Sword Polisher

Spirituality in the Sword Craft moment the hamon is created. At this moment,
The issue of spirituality and sword-making is a deeply the cleansing forces of fire meet the purifying properties of
personal one. Just as each person viewing a sword will have water and the sword’s soul is born. The sword emerges
a unique opinion of a blade’s symbolism, so too will each from the water changed. With this spirit, the sword now
craftsman. In the end, the relationship between a craftsman appears curved and complete.
and his spiritual beliefs is just that: Something personal; According to Gassan Sadatoshi, mūkansa-level smith,
between the craftsman and his craft. Yet fascinating and son of National Living Treasure Gassan Sadaichi:
symbols abound. How are we to interpret these symbols? I If the swordsmith fails to purify himself or his smithy,
would argue that to truly appreciate the personal nature of evil kami can enter both the sword itself as well as the
these matters is to allow one’s own belief to be sufficient. smithy. This could result in the production of cursed, ABOVE This tsuba depicts a
Nevertheless, some discussion of symbolism in swordmak- or evil blades, meant only for killing. If, on the other Shinto torii gate. It is said that
ing is warranted before this text proceeds with a detailed hand, the swordsmith is righteous and purifies himself passing through a torii gate is
discussion of the Japanese sword in terms of history, and his smithy, he may produce blades that live up to their a purification in itself. Perhaps
iconography, metallurgy and modern practice. highest potential.9 From its earliest stages, a Japanese the samurai who owned this
When considering the importance of the blade in sword is designed for both function and philosophy: tsuba believed his blade to be
warrior culture, one need only to look to the famed sūken the sword that takes life and the sword that gives life. purified as he slipped the
hōrimōnō, symbolic sword images carved into the surface Other craftsmen hold entirely different viewpoints fitting over his blade.
of real blades. So powerful were the sociological and regarding the spiritual aspects of swordmaking. Although BELOW Charcoal fire brings
spiritual implications of this god-given tool that samurai fellow smith Mr. Kawachi also holds the title of mūkansa both life and purification to
went so far as to carve images of symbolic swords into the and studied under two National Living Treasures the Japanese sword.
steel of their real blades. The significance of these images (Miyairi Akihira and Sumitani Masamine), he considers BOTTOM The sūken hōrimōnō
cut forever into the surface of the steel is paramount and himself more of a craftsman than a holy man. He too on this blade features a
illuminates the belief structure of the samurai. As we will believes that his work must be exceedingly excellent in straight, double-edged sword
see in later chapters, the sword was not the only symbol both form and function. He too believes that the sword with a vajra (Sanskrit for
that the samurai revered. The gleaming surface of the holds an important symbolic place in the Japanese ethos. “thunderbolt”) hilt.
blade reveals not only the reflection of the samurai, Yet he views his craft with an eye for the functional. His
but also that of the deities they venerated. philosophy is one of simplicity, hard work, and achieving
In the Japanese Shinto faith “everything, be it moun- greatness not through elaborate ritual ceremonies, but by
tain, animal, or tree has a kami [spirit]: the story of the simple combination of fire, water, wood, iron, sweat
creation accounts for this belief.”8 It is from this vantage and dedication. For Mr. Kawachi, this is the path to
point that the many samurai cherished their weapons. honoring the spirit of the sword. His humble matter-of-
Because the sword was borne by the gods and then given fact relationship with the craft of swordmaking, in-and-of
to mankind, it is believed that the sword embodies the itself, reflects a very personal spiritual connection to his
substance of the entire universe. The sword is the primary craft. In some ways, Mr. Kawachi’s attitude—a joyful,
weapon that exists in both our world and the spirit-world intense, and sincere simplicity—is even more inspiring
of the Shinto gods. Swordsmiths acknowledge and show than the complex and convoluted ritualistic beliefs of
respect to their blades in profound ways, an observance of other craftsmen.
cosmological principles of balance and benevolence. It cannot be questioned that the craftsmen and
The sword itself can be considered a teacher of sorts; processes involved in creating a Japanese sword are
a companion whose principles guided the samurai, inspiring. A completed blade is not only considered to be a
both ancient and modern, to new understandings of truth. work of art, but a collaboration by all involved to produce
Shinto has permeated many facets of Japanese culture, a sword of spiritual gravity. The steel is more than steel.
from its conception to the present day. Sword-related The fittings are more than fittings. Even the symbolism is
arts may be understood to exemplify this concept. Some more than mere symbolism. These are all expressions of a
modern swordsmiths such as Gassan Sadatoshi, the culture deeply embedded into an object that is both a tool
Headmaster of the Gassan school, undergo Shinto religious and a symbol. Holding a masterwork is an awe-inspiring
ceremonies, such as: prayer, cleansing rituals, and offerings experience. The cold steel seems to practically vibrate with
to ancestors and deities, before undertaking their craft. The energy. From the sweat of the craftsmen to the spirit of the
soul of the blade is believed to enter the sword at the divine, the sword truly embodies the culture of Japan.

PART 2
History and Culture

Chapter 3
Early Japanese Swords
The sword’s creation is indeed a marvelous process. Japanese sword-craft has spawned numerous fields of
specialized study. Yet to understand the sword’s real beauty it is critical that we consider the unique sociologi-
cal, spiritual, and metallurgical environment in which it evolved. To broaden your understanding of the
origins of the Japanese sword, this chapter delves into the haunting legends of magic and intrigue that beckon
to us from prehistoric Japan. The various cultural influences that shaped the lives of the early Japanese
inhabitants are presented here in order to deepen your understanding of the sword’s spirituality in the context
of the historical developments of the time. A delightful gallery of exemplary historical blades rounds out this,
and subsequent chapters, allowing you to begin appreciating the technical and artistic differences seen in
Japanese swords throughout the ages.
This chapter discusses Japan’s earliest civilizations, this chapter will refocus on creating a basic awareness of
folk faiths, and the role of the sword in ancient Japan. the main periods in Japanese history in connection with
Japan’s nativist religion, Shinto is introduced. It is the evolution of the Japanese sword. It is important to
important to note that what is now called Shinto is largely understand how political and social factors affected not
a modern creation. Early nativist Shinto varied widely only the blade, but as we will see in later chapters,
from region to region, so the homogenous Shinto shrines the mind of the swordsman as well.
we see today are merely a pale reflection of the actual
early spiritual practices of Japan’s earliest inhabitants. The Jōmon Period (10,000–300 BCE)
Nevertheless, Shinto creation mythology offers the earliest The earliest people to inhabit Japan are thought to have
glimpse into the spirituality of the Japanese. immigrated to the land on a land bridge connecting
Here, we are introduced to Japan’s earliest sword-wield- mainland Asia to what are now the Japanese islands.
ing deities—the first deities that shaped the philosophical Given that Chinese writing systems were not imported
preconceptions of Japan’s emerging warrior-rulers. until the fifth century CE, no written accounts and little
Also examined is the close relationship between Shinto factual information have endured for us to study of this
and the craft of sword making. The smithy is an exemplar time and culture. The Jōmon Period is so named after the
of form and function. Yet hidden among the, tools, pottery technique that has been dated as far back as the
furnace, stones, and charcoal, there are reminders of Neolithic Age (6,000 years ago), which has distinctive,
Shinto’s critical role in the craft of sword making. “rope patterns.”1 Other distinctive pottery styles have also
Unfortunately, few blades remain from Japan’s earliest been dated to the Jōmon Period, indicating the existence of
times. But as we will see, the seed had been sown, and multiple independent societies among the islands. These
every generation for millennium to come would be shaped remainders of simple earthenware represent some of the
by this, the first encounter, between the supernatural and oldest pottery of any ancient civilization. The Jōmon used
the sword. rudimentary tools for hunting, fishing, and even farming OPPOSITE A samurai is
The most magical and spirited legends through the ages as early as 5000 BCE.2 Among the burial cites, along with depicted in this woodblock
originate from stories of swords and those who wielded sparse skeletal remains, archeologists have also uncovered print defending himself
them. These stories of swords and warriors became an iron knife blades and hand axes. against a two-front attack with
integral part of Japan early in its history. After all, Japan the longer (the katana) of the
has a staggering history of political turmoil and social The Yayoi Period (400 BCE–300 CE) swords in his daisho set.
upheavals. Thus, the study of Japan cannot be separated The people of the Yayoi Period are distinct in many ways PREVIOUS SPREAD Detail from
from the study of the sword, because Japan’s turbulent from the preexisting Jōmon peoples. The Yayoi estab- "Fujiwara no Yasumasa
history and the evolution of the sword go hand in hand. lished permanent village sites throughout southern Playing the Flute by Moonlight,
As technological advances occurred within the field of Kyushu and northern Honshu. The Yayoi culture a Painting Shown at the
metallurgy, they were quickly put to the test on battle- flourished by farming rice in shallow, water-covered fields Exhibition for the
fields. There was a need for tools of warfare, and the or paddies. This offered a consistent food source while Advancement of Painting,
feedback from technological advances was both immedi- essentially anchoring their villages to the paddies. Autumn 1882" by Yoshitoshi,
ate and constant, as it influenced the evolution of Japan. The Yayoi Period is where we see the first glimpse of courtesy of Arendie and Henk
After a brief discussion of sociological undercurrents, swords in the Japanese isles. Herwig.

52 Part 2 H I S T O R Y A N D C U LT U R E
The Kofun Period (250–538 CE) hereditarily. As some families became more powerful than
The term kofun, refers to the burial mounds created by others, they vied for power, influence, and wealth all the
the people of that period. This era is also marked by the more. This fueled the ongoing development of tightly-knit
strong emergence of animism, the belief that everything clans and subsequent social structures. Those who were
contains divine spirits, which predates the introduction of most effective in waging war rose to the top echelons of
Buddhism into Japan. The earliest steel swords, which influence. As successful families rose to power they
were certainly designed for function in battle, were annexed and assumed control of outlying clans and
retrieved from kofun burial mounds between 300 and 710 territories. In this fashion the warlords of early Japan were
CE. It is known that the Chinese craft of working steel into born. Over the course of centuries, a way of life emerged
blades came to Japan by way of the Korean Peninsula. that served as the foundation for Japanese society.
Japan offered fertile ground for this technology. Fueled by Loyalty and servitude evolved as matters of paramount
constant warring, there was an ever-increasing need for importance within these early communities. These were
the development of military technologies. matters of necessity, as warlords were fearful of defeat,
Kofun Period warriors were not samurai per se. Instead, particularly as a result of betrayal. It was in the leader’s
they were the military elite of early clan groups. Similar to best interest to reward those warriors who could be
many early clan-based societal structures, the clans of trusted to serve on the battlefield with valor and courage.
early Japan were comprised of extended familial commu- Likewise, it also behooved clan members to comport
nities. Leadership of the clan was generally passed down themselves in a manner that honored the clan by serving
its best interests. Early on, the concern for loyalty and
servitude was primarily focused on battle readiness,
valor, and protecting the property of one’s warlord.
Although the function of these early warriors was largely
practical in nature, the emergence of the Japanese warrior
archetype can be traced to these earliest of times.
This phenomenon in Japan’s unique sociological setting
marks the catalyst and setting for one of the most
complicated honor cultures in the world.
Interestingly, it should be noted that one of the most
influential rulers of this period was a woman. Gentility
and avoidance of warfare was a trait highly prized in
rulers. So highly prized was the maintenance of peace that
the famous and powerful Yamato clan was once ruled by
a lady named Queen Pimiko. She was a high priestess who
was brought to power specifically to bring an end to
warring. She was said to be a mystic who employed magic
and enchantments to achieve her political goals. The
Yamato clan would rise among other families to become
one of the preeminent power brokers in later eras.
ABOVE AND RIGHT Different

views of Kofun tombs.

Chapter 3 Early Japanese Swords 53
LEFT Iron helmet and armor

with gilt bronze decoration,
Kofun Period, 5th century.
FAR LEFT This haniwa (ancient
Japanese terra cotta) figure
likely depicts Kofun Period
warriors’ arms and armor.
Haniwa figures have been
found in imperial Kofun tombs
and are presumed to attend to
the deceased in the afterlife.
The Sword of the Gods of the kami within the sword. This is understood by
As mentioned, Japan’s native religion is Shinto, the Shinto practitioners to be proof of its power as both a
“Way of the Gods.” Shinto is a brand of animism, metaphor and tool.
a spiritual belief that within all things resides a conscious The sword’s transition from instrument of magic into a
spirit. Shinto teaches that all elements within the universe functional tool for making war represents the first stage in
hold either gods or their spirits, which are called kami. the evolution of the sword. Although the use of the sword
Shinto worship centers on self-purification, ancestral changed in this early time, the magical forces of the sword
worship, nature-worship, and imperial divinity. Its remained at the forefront of the warrior’s mind. The use
observances are often simple and understated, venerating of the blade would forever be shrouded in mysticism,
ordinary objects and particularly beautiful aspects of magic, and the influence of the spirit world. Historical
nature. The simplistic nature of this faith is reflected in accounts reinforce the transfer of magic from the ancient
the translation of the word kami, which is simply “up.”3 bronze blades to later steel blades. Strategies as outlined in
Shinto mythology offers some of the earliest Japanese the Nihōngi, one of Japan’s earliest written documents
writing that incorporates the sword as a symbol. (described later in more detail), offer an example of the
It is important to note that according to Shinto beliefs continued influence of the gods in the battles of men.
one may sense earthly kami, but not see or hear them. The Chinese term jimmu (divine valor), was given as a
Many of those who have held a genuine antique sword title to the man who would become the first emperor of
will attest to a feeling that the blade is emanating energy, Japan. His Japanese name was Kami Yamato Ihare-biko.
though it is an inanimate object. Many believe that a According to the early texts, he was the son of Tama-yori-
samurai sword has the power to inspire its owner, hime, daughter of the sea-god. Therefore, his efforts in
imbuing its own energy into its possessor. The blade is battle were supported by local deities, who recognized him
also an unnerving and mysterious thing. In the context of as the descendant of the supreme sun goddess Amaterasu-
Shinto and Japanese culture, this is seen as a manifestation wo-no-Omikami. He conquered the Yamato area and

ABOVE Even today, Shinto built a palace at Kashiha-hara. Traditionally, the Japanese and curved jewel, is said to be in possession of the
practices are still a part of date their history from the day Kami Yamato Ihare-biko imperial family. These symbolic and magical treasures
modern Japan. assumed the title of tennō (heavenly child or emperor).4 were given to Takami Musubi by his grandmother
The Yamato family and its descendants have remained in Amaterasu. He was sent to live on earth accompanied by
the imperial office ever since. Their continued power and the 60 million deities who obeyed Amaterasu’s divine
authority was taken as evidence of their divinity. decree. It is believed that the imperial regalia have been
It is believed that the gods favored the Yamato clan on handed down through the generations to remind emperors
the battlefield. Through divine inspiration, they recom- of their divinity and to encourage virtuous rule. Taking the
mended that they march into battle with the sun behind mirror in her hand, Amaterasu spoke, “When thou, my
their troops. This was seen metaphorically as a tactical grandchild, lookest on this mirror, it will be as though
advantage that was the result of having the sun goddess looking at myself. Keep it with thee…as thy holy mirror.”5
Amaterasu-Wo-No-Omikami on your side. With the She then added the mirror and the Sword of the Gathering
supreme goddess behind you, your enemies would be Clouds, saying, “Illumine all the world with brightness
blinded by her radiant beauty and therefore, be easily like this mirror. Reign over the world with the wonderful
slain. From a more practical standpoint, however, having sway of this jewel. Subdue those who will not obey thee
the sun behind you obscures your enemy’s vision. Again, by brandishing this divine sword.” The items of the
we see a connection between the practical and spiritual regalia of the imperial house each represent benevolent
sides of the warrior. It is important to recognize that this attributes of a good ruler and the goddess’s commands
was a societal phenomenon with undercurrents shaped indicate the proper methods of governing the country.
by the sword. Her gifts serve as symbols for both the emperor and his
From the earliest times in Japanese folklore, swords subjects alike.
have played a role of particular importance. Because the The mirror does not possess anything of its own,
sword was a prominent symbol in Shinto mythology, but lacking self-serving desires, it reflects all things,
it occupied a special place in the heart of the samurai. showing their true qualities. It represents the source of all
Like most ancient belief systems, Shinto describes our honesty. The virtue of the jewel lies in its gentleness and
world as an interplay between the tangible and the submissiveness; it is the source of compassion. The virtue
supernatural. The mythological tales of Shinto legend of the sword lies in its strength and resolution; it is the
offer detailed recount of how the gods, Japan, and the source of wisdom. Unless these three qualities are joined
Japanese people were created. In this text, a focus on the in a ruler, he will find it difficult indeed to govern his
beliefs and iconography relevant to the sword will suffice. country.6 Together, the regalia symbolize the emperor’s
role as a leader of celestial authority, reinforcing his rule
The Sword’s Role as an Imperial Icon with the wisdom of the gods manifested on earth.
According to mythological and modern accounts, In regards to the symbolism of these Shinto legends,
the sacred Grass-mower sword, along with the mirror the sword carries more influence as a representation than

Chapter 3 Sword 55
as a tool. The sword, when applied as a tool, may only cut Susa-no-wo-o-no-Mikoto ABOVE Torii gate on the ocean.
one into two. As a symbol, however, it can “cut” many In one account found in the Nihōn Shōki, the supreme sun ABOVE LEFT The sun, a
into one; creating union by imposing social order. Another goddess Ameterasu, suspecting her brother Susa-no-wo-o- principle deity in Shinto
way the sword can be said to cut its target into unity is by no-Mikoto (hereafter abbreviated to Susa-no) of malice mythology, shines through the
reconciling the swordsman with his duty. An affirmation against her, slung onto her back a thousand-arrow quiver giant torii gate in front of the
of such Shinto reverence for the sword as a metaphor can and a five-hundred-arrow quiver. Heian Shrine in Kyoto.
be seen in modern Shinto rituals. Incorporated into the
movements of a Shinto priest are cutting motions. Brandishing her bow end upwards, she firmly grasped her
Shinto priests make a harai movement, based on the sword-hilt, and stamping on the hard earth of the courtyard,
cutting motions of the tsūrūgi (double-edged cutting sank her thighs into it as if it had been foam-snow.8
sword commonly seen in Shinto mythology). This harai
motion comes directly from sword techniques.7 The nexus Seeing her anger, Susa-no entered into conciliatory
of swordsmanship and religion is a fine example of their action. To prove his innocence, he offered to produce male
mutually constructive influences. The warrior likely children with her.
experienced these sociological factors as flowing together
in a collective pool of tradition. Indeed, each has made Upon this Amaterasu... asked for S[u]sa-no’s ten-span sword,
lasting impressions on the other. which she broke into three pieces, and rinsed in the true well of
heaven. Then chewing with a crunching noise, she blew them
Shinto Stories of Sword-Wielding Deities away, and from the true-mist of her breath gods were born…three
The earliest recorded histories of Japan come from two daughters in all.9
books: the Kōjiki (Record of Ancient Matters), written
in 712 ce, and the Nihōn Shōki (Chronicles of Japan), In this account, the sword is broken to give life to gods,
written in 720 ce. These texts codified what had previ- and the three daughters proved Susa-no’s intentions to be
ously been transmitted orally. These records speak of evil. The sword is the means through which truth is
Japan’s creation mythology and explain the divine ascertained, a powerful lesson for Susa-no, but even more
workings of the cosmos. The language of these chronicles so for the reader who comes to see the sword as a symbol
leads the reader to appreciate the sword, indeed every for truth.
object, as being of spiritual consequence. When holding a The next account of the sword as a symbol in Shinto
powerful instrument such as a sword, it is easy to see why mythology comes when Susa-no regains his good name
Shinto attributes kami to the sword. Tales in the early among the gods. Having misbehaved to the displeasure of
texts portray such wisdom and truth-giving abilities. the assembly of deities, Susa-no finds himself again
As one reads the Nihōn Shōki, the words resonate with banished to the netherworld, below the heavens and
a moving eloquence, leading the reader to appreciate the below the Central Reed-Plain Land (Japan). On his
legends’ depth. downward journey he hears the sound of crying and stops

to assist some earthly spirits. The man (or earthly deity)

explained that an eight-forked serpent has eaten seven of
his daughters, and only Kushi-nada-hime, the “Wondrous
Inada Princess” remained. Fearing that she would surely
be eaten if she were to remain, the elderly parents gave the
princess to Susa-no. He protected her by transforming her
into a comb, which he concealed in his hair. Then Susa-no
set a clever trap for the monster. Together, he and the
elderly earth-deities set out tubs of sake (rice wine) for the
eight heads to drink.
When the time came, the serpent actually appeared. It had an

eight-forked head and an eight-forked tail; its eyes were red,
like winter cherry; and on its back firs and cypresses were
growing. As it crawled it extended over a space of eight hills and
eight valleys… It drank up one tub and became drunken and fell
asleep. Then Susa-no-wo-o-no-Mikoto drew the ten-span sword
which he wore, and chopped the serpent into small pieces.
And when he came to the tail, the edge of his sword was slightly
notched, and he therefore split open the tail and examined it.
In the inside there was a sword. This is the sword which will be
called Kusa-nagi no tsūrūgi10 [the Grass-mower. In one writing it
is said that its original name was Ama no Mura-kumo no
Tsūrūgi—the Sword of the Gathering Clouds of Heaven].
Alas, he chose not to keep the sword and so gave it

Amaterasu. Recall that historically speaking, by the time
these stories were written, powerful clan ethics placed
high value on maintaining one’s honor at all costs.
And although Susa-no has reclaimed some of his honor
by serving the earthly deities and giving the sword to
Amaterasu, he still finds himself banished. He is
rewarded, however, in accordance with the social
standards of the clan ethic. Upon killing the serpent he
restored Kushi-nada-hime, the wondrous Inada Princess,
who then became his bride. Together they settled in a
pristine place. Upon reaching safety, he composed a
reflective poem. Although it seems to be humorous,
a deeper examination of the context may reveal Susa-no’s
reflections on the never-ending nature of life’s obstacles.
Having attained victory and peace, Susa-no still finds
himself condemned to the underworld. Susa-no’s poem
reads as follows:
ABOVE Kanna-yama-hiko-no-
Mikoto is the god of iron. He
dislikes women due to the
perceived connection between
menstrual blood and
impurities.
RIGHT This painting depicts
the sun goddess exiting from
the cave, bringing light and
life to the world.

LEFT This tsuba depicts

Susano taking the sword from
the belly of the slain dragon
and the sake barrels that
aided his plot.
Ya-kumo tatsu into a toxic slumber. Amaterasu, the sun goddess asked the
Idzu-mo yaegaki: thunder god to go down to the Reed Plain (Earth) and chastise the
Tsuma-gome ni malicious deities and men for their disturbance. The thunder god
Yaegaki tsukuru- replied, “Even if I go not, I can send down my sword, with which
Sono yaegaki wo! I subdued the land, upon which the country will of its own accord
Many clouds arise become peaceful.” One of the tennō’s servants, a man named
On all sides of an eight-fold fence Kumano no Takakuraji, had a divine dream in which the thunder
To receive within it the spouses, god told him where to find the heavenly sword, “Futsu no
They form an eight-folded fence: mitama” and asked that it be taken to Emperor Tennō. Upon
Ah! that eight-fold fence!11 receiving the sword he awoke suddenly and venturing out to rouse
his troops, was astonished to see his troops restored and afoot.12
Take-mika-tsuchi-no-Kami
The story of the brave thunder god, Take-mika-tsuchi-no- This myth illustrates how the magical power of the
Kami illuminates this flow of sword-related symbology: sword saved the divine bloodline. Because the early
Japanese accepted traditional myths as fact, their stories
Jimmu Tennō, the first emperor of Japan, was moving along influenced the Japanese on a sociological level.13 Magic,
with his armies. Some malevolent deities were hindering their mythical swords, and dragons flooded the minds of the
passage, belching up poisonous gas. Tennō and his armies drifted early swordsmen.

RIGHT Another depiction of The impact of these epic tales reverberates through the
Kanna-yama-hiko-no-Mikoto ages and into every facet of modern Japan. Together, these
(the god of iron). As a result of stories inspired Japanese culture to appreciate the subtle
his distaste for women based difference between objectives accomplished via peaceful
on the impression that means and those bent by force. This ideology carries on
menstrual blood and well into the modern era, living on in the spirit of the
impurities are linked, many Japanese. Even if only subconsciously, the Japanese mind
swordsmiths do not allow is ingrained with this old way of thinking. Take for
women in the smithy during example the continued ritual of mass pilgrimages to view
their menstruation or shortly winter plum blossoms, a simple veneration of fleeting
after childbirth. natural beauty. “Japan, as far as I know, is the only
language that boasts special words for the acts of
flower-viewing and moon-viewing.”14 As illustrated by
Rosenburg, even the Japanese aesthetic speaks of Shinto
influence. Such is also the case in the practice and
appreciation of classical Japanese arts.
Shinto In the Smithy

The iconic status of the sword in Japanese history,
philosophy, and culture elevates the sword smiths’ efforts
far beyond ordinary craftsmanship. Nitobe illustrates the
austerity of this trade by writing
The sword smith is not a mere artisan but an inspired artist

and his workshop a sanctuary. Daily he commenced his craft with
prayer and purification, or, as the phrase was, “he committed his
soul and spirit into the forging and tempering of the steel.”
Every swing of the sledge, every plunge into water, every friction
on the grindstone, was a religious act of no slight import.15
The craft of the Japanese sword is indeed a spiritual

undertaking. The spiritual influences that affect the
sword smith’s craft are primarily of Shinto origin.
The smithy itself is turned into a sort of Shinto shrine,
a place cleansed of evil deities, where only benevolent
spirits may pass. This is accomplished by the placement
of shimenawa and gōhei around the work area.
They appear as braided ropes of natural fibers and
lengths of folded paper, zigzagging in the form of
lighting bolts. They signify the places where the kami
are said to dwell. Shinto priests often bless the shime-
nawa and gōhei before they are mounted. This bolsters
their power to welcome good spirits while keeping the
evil ones at bay. In the smithy, these symbolic markers
create a sort of protective circle in which no evil spirits
may enter.16
In Shinto, great credence is given to spiritual and
physical cleanliness. The two mediums by which someone
or something can achieve cleanliness are by water and fire.
Seeking ritualized cleanliness, the sword smith is purified
in a cold bath. Often the smith offers prayers to his
ancestors and the gods, honoring them with gifts of sake.17
Donning traditional white garments symbolizing his
purified state of consciousness, he then begins the work of
his trade. If he fails to successfully purify himself and his
work area, it is believed that evil spirits may enter both the
smithy and the smith. Superstitious samurai, especially,
believed this fervently.
The Shinto gods would become a permanent fixture in
the smithy. Their presence has remained a constant force
in developing the iconography of the sword and
continues to this day. But the effects are not inconsequen-
tial. The relationship between the warrior and his sword

was a defining component of Japanese sociology.

The Shinto presence in the blade has shaped history.
For example, take the Tokugawa, Japan’s most famous
military family. Hundreds of years after Taōism, Confu-
cianism, and Buddhism were assimilated into Japanese
culture, this family lived in fear of the evil swords made
by a particular smith.
Though technically an outstanding sword smith, it was
believed that Muramasa imbued his work with evil Shinto
spirits. He was said to be insane, creating cursed blades
that sought to draw Tokugawa blood. The Tokugawa
believed that through his tainted soul, evil spirits entered
his work. As a result he produced blades that were
malicious and bloodthirsty, even capable of driving their
owners insane. The Tokugawa would not purchase his
swords, believing them to be possessed by malevolent
gods. On the other hand, the enemies of Tokugawa sought
the blades desperately.
On the other side of the spiritual spectrum was
Muramasa’s teacher, Goro Myudo Masamune. He was
believed to be a very spiritual man. Incorporated into
Masamune’s name were Goro (fifth son) and Myudo
(lay priest), indicating his high spiritual standing.
Although teacher and student were both craftsmen
of the highest order, they were believed to have
embodied entirely different kami. As a result, Masam-
une’s work was highly sought-after and prized by the
Tokugawa family. It was said that the contrasting
spirits of the different smiths’ blades could be demon-
strated by placing them both in a stream. Late one
spring, while a warm breeze blew through the blossom-
ing trees, this was put to a test. The Muramasa blade,
razor sharp and designed for the sole purpose of
cutting and killing, cleanly severed a passing flower
petal. Masamune’s blade, despite being every bit as
sharp as Muramasa’s, could not maim the delicacy of a
spring petal. The good spirits residing in the Masam-
une blades were believed to harmonize with the divine
fabric of the universe. For the Japanese, the Shinto
gods’ presence was apparent when the flower petals
gracefully changed course at the last minute.18 Such is
the lore surrounding the nihōntō.
Throughout Japanese history, the artisans who labored
in creating these icons were acutely aware of the signifi- as a sociological and metallurgical tool must begin with ABOVE In the woodblock print,
cance of their work. When we consider that the spirit of the Kofun and Yayoi Periods. Nevertheless, those ancient “Swordsmith of Mt. Inari,”
the blade is viewed in the same way today as it was in blades initiated a cultural fascination with the sword that Blacksmith Munechika is
ancient times, the Shinto influence is clearly the founda- continues today. aided by a fox deity in forging
tion on which the iconography of the sword was built. the blade kogitsune-maru,
But before the Japanese craft of the sword evolved to the Yayoi Period Swords or “Little fox.” The kami is
degree as exemplified by Masamune’s work, the sword The swords of the Yayoi Period were made of bronze represented by a woman
made a fascinating transformation. From magical Bronze and appear to have been used primarily for religious surrounded by foxes.
Age ceremonial object to unrivaled metallurgical art piece, ceremonies. Bronze spearheads are also credited to the The engraving was created in
the Japanese sword and society changed each other in Yayoi civilization, as well as bronze ceremonial objects 1873 by Ogata Gekk0
equal measure. such as mirrors and bell-like objects called dotaku. (1859–1920)19
This indicates the very early use of weapons as tools and
The Blades of Ancient Japan symbols of primarily spiritual significance. This assertion
The blades of ancient Japan served as the primitive was substantiated by the Yayoi peoples’ use of iron for
precursors to their later icons. From Japan’s earliest days, farming implements and other heavily used tools, whereas
its swords embodied magic, spirit, and power. The blades swords remained bronze-made. Another significant clue
of early Japan were much more than tools of war. Instead, can be gleaned from an early Chinese account in which
the blades held religious and mystical significance. Japanese lands are referred to as Wa. This third century CE
Unfortunately, no blades have been recovered from the passage describes the Yayoi culture late in its existence and
Jōmon Period. Therefore our investigation into the sword makes note of their weapons:

observed for more than ten days, during which period they do
not eat meat. The head mourners will wail and lament, while
friends sing, dance, and drink liquor. When the funeral is over,
all members of the whole family go into the water to cleanse
themselves in a bath of purification.20
It is of interest that the weapons mentioned here are

spears, shields, and bows and arrows. Not mentioned is
the bronze sword, which was used by the Yayoi peoples
long before this Chinese traveler’s account. The conspicu-
ous absence of swords from this account may further
support the notion that the use of the sword by one of
Japan’s most primitive civilizations was far from primitive.
Another interesting aspect of this account is the inclusion
of some commentary on mourning and burial rituals.
Clearly, these were a people with established socio-spiritu-
al practices that dictated the rhythm of life and death.
The Yayoi were a spiritual people whose civilization
incorporated custom, ritualized spiritual cleansing, and a
sword of symbolic importance.
It remains unknown to what extent these early
inhabitants of the Japanese isles used the sword as either
tool or weapon. It is certain, however, that humans existed
on what are now the Japanese islands for well over a
millennium. Equally certain is the early initiation of the
Japanese sword’s metamorphosis from Bronze Age tool to
the quintessential symbol representing the warrior
archetype. As we will discover, the societal need for
sword-related warfare technology and the sword’s ability
to deliver it represents a two-way exchange of impact
ABOVE Master Swordsmith The social customs [of the Wa] are not lewd. The men wear a between the sword and society. This union of blade and
Gassan Sadatoshi believes band of cloth around their heads, exposing the top. Their clothing spirit, borne of military and spiritual need, would
that his workspace is a sacred is fastened around the body with little sewing. The women wear eventually shape the warrior ideal.
environment and makes every their hair in loops. Their clothing is like an unlined coverlet and is
effort to ensure its cleanliness worn by slipping the head through an opening in the center. Kofun Period Swords
both spiritually as well as [The people] cultivate grains, rice, hemp and mulberry trees for Blades of this period were straight and short, used to
physically. seri-culture. They spin and weave and produce fine linen and silk hack and thrust and as a rough tool of warfare.
ABOVE RIGHT Detail of an old fabrics. There are no oxen, horses, tigers, leopards, sheep, The terms used to describe the various types of Kofun
scroll depicting Kanna-yama- or magpies. Their weapons are spears, shields, and wooden bows swords are chōkutō and tachi.21 Two basic types of
hiko-no-Mikoto overseeing the made with short lower part and long upper part; and their blades emerged from this era: the symmetrical double-
collaboration of demons and bamboo arrows are sometimes tipped with iron or bone… edged tsūrūgi and the single-edged tachi. Tachi were
mankind in creating the sword. worn on the outside of armor, fastened with an
The land of Wa is warm and mild [in climate]. In winter as in elaborate harness and cords, with the cutting edge of the
summer the people go out bare-footed. Their houses have rooms; blade pointing downward. Chōkutō are generally
fathers and mothers, older and younger, sleep separately… considered to predate the so-called Japanese sword,
They serve meat on bamboo and wooden trays, helping because they do not present the uniquely Japanese
themselves with their fingers. When a person dies they prepare a characteristics that would develop later. The most
single coffin without an outer one. They cover the graves with obvious of the distinctions between Kofun Period blades
sand to make a mound. When death occurs, mourning is and those of later periods is shape. Early blades were

straight and constructed of a single unfolded piece of

steel that was uniformly hardened.
The straight swords of the early Kofun Period would
have been ideal for infantry tactics, maximizing the
hacking and stabbing strengths of the straight-sword
design. As clans began to vie for power, they dispatched
their troops to battle. The battle tactics used during the
Kofun Period were initially crude but gained complexity
and sophistication as the warrior-led society developed.
Archers likely dispatched volleys of arrows aimed to
weaken opponents and then infantry marched in behind.
The infantry tactics used by these early clans were
unrefined but effective. Battle-proven and loyal warriors
became highly valued as necessary to protecting the clan’s
wealth and well-being. Maximizing the effectiveness of the
warrior and his tools was a high priority. Enormous
resources, over hundreds of years, were dedicated to the
development of technologies for military application.
The inefficiency of the Chinese-designed straight sword
and infantry tactics were to be closely examined and
eventually improved upon. the need for both durability and hardness of edge, ABOVE Many shrines and
The draw of straight swords required two distinct the smiths began tempering the blades differentially. temples are guarded by
movements of the warrior. First he would have to draw This novel process allowed the smiths to create hamon “lion-dogs.” One, whose
the sword, raising it overhead, and only then could he (temper lines), where edge steel was hardened more than mouth is open represents
make a distinct cutting motion. The techniques for using the steel towards the back (mune), which was compara- admittance of good spirits and
these early swords centered primarily on thrusting and tively soft. The hardened edge eliminated the need for people. The other’s mouth is
hacking. Their straight blades would have prevented the frequent resharpening. Keeping softer steel towards the closed, which blocks evil from
clean slashing motions made possible by the curvature of back of the blade prevented it from becoming too brittle entering.
later swords. The early straight tachi and chōkutō mark the and snapping during use. BELOW Here are what remains
starting points in the design of Japanese swords. Despite With the advent of the curved blades and advances in of most 6th century Kofun
their crudely manufactured and designed origins, these metallurgy, the Kofun Period drew to a close, and large Period blades. These gilded
early blades held a spark of metallurgical genius for what areas of centralized power emerged. As influence and sword hilts give us a glimpse
would become a highly refined and sophisticated art form. wealth accumulated, so did greed. Military men first and into how highly esteemed the
Late in the Kofun Period, a distinctly Japanese method diplomats second, the rulers of the Kofun Period would Kofun warriors’ blades were.
of hardening swords began to emerge as sword smiths eventually have to establish their pecking order.
experimented with the properties of hardness versus Those provincial warlords who would not accept
durability. The blade that was very hard kept its edge servitude under the authority of larger clans would be left
quite well but broke easily in combat. The softer blade to fight it out. And the early inhabitants of the Japanese
was tough but required frequent resharpening. To satisfy isles did exactly that.

Chapter 4
Nara Period Swords
The Japanese are masters of adopting and adapting outside technologies, social structures, and philosophies
to suit their unique cultural viewpoint. In the following pages, we’ll see how two uniquely Chinese philoso-
phies—Taoism and Confucianism—reshaped the Japanese nation’s philosophical outlook. By examining and
analyzing historical and modern academic literature, we’ll reveal key factors of influence. As we consider
these influences individually, we’ll easily see how attractive each concept would have been to the early
Japanese. Collectively, these Chinese ideals would become society-shaping forces for the Japanese.
More and more, foreign historical personalities, literary

works, and philosophical outlooks took root in Japan.
Each were, in turn, adapted to suit the tastes of the
emerging scholar-warrior archetype. It is Confucianism
that inspired Japan’s strict hierarchical social structure— LEFT Nio, guardians of Japan,
a system that is still largely in place today and is reflected are frequently seen guarding
in everything from company communication protocols to the entrances of Buddhist
everyday social etiquette. The Japanese propensity for temples and Shinto shrines.
finding personal meaning and universal harmony in They stand as a pair, one with
everyday tasks owes its origins to Taōist literature. an open mouth and the other
The literary works that inspired these Japanese adaptations with it closed. This signifies
are, in and of themselves, a fascinating study. Finding one’s cosmic life and death,
Way through harmonious living is concept that shaped beginning and ending, of all
Nara Period warriors as well as those of today. things. Another explanation
Of all the themes that have emerged in Japanese for the different mouth
history, those both of adoption and of adaptation have positions is that the open
played critical roles. Indeed, some of the first historical mouth welcomes good spirits
accounts of the Japanese outline their assimilation and through the gates, while the
refinement of outside cultures: language, technology, closed mouth represents the
religion, and arts. That the Japanese borrowed from other exclusion of evil from the
cultures hardly makes them a unique civilization. temple/shrine grounds.
What they did with outside influences and how they Lion-dogs, or shishi, are often
adapted what they adopted distinguishes the Japanese. similarly posted to guard the
Perhaps the most outstanding characteristic of the entrance to shrines and
Japanese, from their earliest days to the present, is their temples.
ability to make a good thing better; or at least more OPPOSITE This is the oldest
Japanese. Fascinated with Chinese statecraft, the early extant painting of Prince
Japanese leaders emulated the highly evolved culture of Shotoku. Note that the
their neighbors. These imported philosophies and painting is sure to depict all of
governmental structures would, of course, have to be these noblemen with their
modified to suit the Japanese warrior-rulers. respective swords—details
For example, under the leadership of Prince Shotoku, meant to carry symbolic
the Nara Period saw deliberate importation and assimila- importance for anyone viewing
tion of various aspects of Chinese culture. Prince Sho- the painting. Shotoku is shown
toku’s fascination with Chinese social and philosophical here with his younger brother
traditions marked a change for the island nation. In A Eguri on the left and first son
History of Japan, Mason and Caiger write “For genera- Yamashiro on the right. The
tions after Shotoku’s death, in 622, courtiers regarded painting is held within the
themselves as pupils of their continental neighbors.”1 imperial household collection
Taōism, Confucianism, and Buddhism, each found its way and dates to the Nara Period,
to the isles of Japan as a guest of the elite warrior families. 8th century CE.2

All, in turn, were swallowed, digested, and assimilated generally passed from one generation to the next.
by the Japanese cultural metabolism. They were not, Many powerful families were proudly militant and
however, swallowed whole, but sifted, sorted and participated in both governing and keeping the peace.
masticated to extract only those parts that would satisfy Loyalty was a highly regarded attribute. Therefore,
Japanese sensibilities. through servitude, warriors often established close and
During the Nara Period, Buddhism took root and personally meaningful relationships with their command-
became popular as a religion among the educated ers. It was in the best interest of both employer and
noblemen and court officials; Confucian order and social warrior to reciprocate displays of profound appreciation.
structure provided the basis for Emperor Tenmu’s This reciprocity was a primary component of the early
centralized government; and Taōism impacted the establishment of ultraloyalism in Japanese culture, which
Japanese perspective of how life’s journey could, in and of also rooted the clan as a weighty social phenomenon and
itself, provide a way towards self-realization. It is critical culturally influential group.5 These clan-groups generally
to note, however, that early Japanese did not differentiate included both family members and the “extended family”
their study or practice of these three religions as separate of retained warriors.
religions with correspondingly separate doctrines.3 A major event that led up to the Nara Period was the
The three were imported and assimilated as they had institution of the Taika Reforms (645 ce), in which the
previously existed in China, as one big, eclectic mix of Emperor Tenji established himself as the owner of all land
practices. An important factor, perhaps the important within the Japanese isles. The soon-to-be emperor cut down
factor determining the ease with which imported beliefs his political rivals in a gruesome slaughter and imposed
were adopted, is Shinto’s esoteric and undefined nature. authority by means of the sword.6 As a centralizing
The preexisting folk faith of Japan provided fertile component of the Taika Reforms, land-owning clans were
ground for nearly all of the introduced belief structures. stripped of their ownership rights and forced to pay taxes
Furthermore, Shinto observances and ceremonies were to the emperor. Clan leaders were allowed to maintain their
practiced among peasants and samurai alike. Folk and status through the establishment of a vertical social
agricultural festivals of the early native religious practices structure, where they held the top positions. The Taiho
were common caste-connecting sociological influences. Codes were the written record of what had previously been
After all, Shinto was the codified national religion as established with the Taika Reforms. Before and during the
outlined in Japan’s earliest texts. And because of Shinto’s Nara Period the clans established standing armies for the
over-arching influence, if it fit for the leaders of Japan, protection of their land and property.
it trickled down, impacting the culture as a whole. The Nara Period, with its importation of Chinese
Finally, it is critical to note that Shinto is practiced in such governmental structures, saw the warrior-ruler’s role
a way that it embraces adaptation. Its appreciation and firmly implanted in Japanese society. This phenomenon
acceptance of innumerable mystical forces and spirits reflects the Japanese rulers’ desire to mirror the highly
made adding new beliefs quite natural. As new beliefs refined Chinese. Buddhist salvation, along with Taōist
ABOVE At the foot of a entered Japan, they seemed to satisfy the needs of the ideals and Confucian bureaucracy, made indelible marks
mountain temple complex, warrior-rulers perfectly. on the collective soul of the Japanese. It is important to
the Buddhist deity Kannon The vision of the ideal warrior that each soldier carried note that the Chinese Buddhism that came to Japan had
welcomes visitors to purify within himself, defined his perceptions and actions. already seen significant Confucian influence.7 As philo-
themselves in the Shinto The junction of man and symbol represents the heart of sophical texts flowed into Japan, the presence of Confu-
tradition by pouring water over the sword’s symbolism. Taōist and Confucian philosophies cianism had an increasingly broad impact. But Confucian-
the hands before entering. defined the Japanese concept of the just war by infusing ism and Buddhism were not the only philosophies
The mixing of religious moralistic philosophies and the ideal of cosmic balance imported into early Japan. Taōism also had a profound
traditions, as seen here, is the and harmony into the governing practices of the warrior impact on the shape and aesthetic of the Nara Period,
standard practice in Japan. elite.4 Although a brief introduction to Confucianism is and in turn, the periods that followed. Examining how
warranted, it was not the primary contributor to early and why Confucianism and Taōism were assimilated into
Japanese perceptions of the sword as a symbol of warrior Japanese culture offers insight into the evolution of
virtues. Taōism, on the other hand, played a key, but often societal ideals and aesthetics.
underrepresented role in defining the early Japanese
warrior archetype. Buddhism, too, was imported, The Sword of Chinese Influence
but during this period played a comparatively minor role Confucianism and Taōism were assimilated within
in terms of impacting the symbolism of the sword. Japanese society to such an extent that exact distinctions
Where the warrior was concerned, the treatment of the between the two, within Japanese culture, are difficult to
sword and warrior virtues was paramount in any make. This is because some of the Taōism that entered
prospective religion. Therefore, the following is an Japanese culture did so “piggybacking” on Confucianism.
examination of basic Confucian influence and a more Nevertheless, pure Taōism, although not initially identified
in-depth examination of Taōism. Buddhism is covered in specifically, did see entry into Japan. As the Yamato
Chapter 5, “Medieval Japanese Swords,” and connected became fascinated with Chinese government, rule, and
to historical periods when it came into greater contact philosophy, they also developed an appreciation for Taōist
with the common warriors of Japan. principles. This had everything to do with their perspec-
tive as warrior-rulers. For example, in Confucian thought,
The Nara Period (710–794 CE) the vertical structure of society is praised. However, the
The warriors predating and of the Nara Period were hired Taōist idea of placing warriors at the top of the social
hands led by provincial landlords. Authority to rule was ladder represented a serious deviation from the Chinese

Chapter 4 Nara Period Swords 65
model of Confucianism.8 Confucian ideology, after all, LEFT Here, Komokuten holds
esteemed the scholar over the warrior and submission to the brush and scroll,
social order rather than the forceful establishment thereof. indicating that virtuous
Further, Confucianism defined masculinity in terms of warriors rule through judicious
refinement and gentility. So the Japanese needed to modify use of scholarly ideals (such
the Confucian model to allow the continued rule of as religious study) as well as
warriors. This is where Taōism, more martially oriented battlefield readiness.
than Confucianism, offered the Japanese warrior elite a Komokuten is a member of the
way to put on Chinese airs and still retain power. Shitennō, the four warrior-
Confucianism, however, fit snugly into Shinto faith and kings who protect the cardinal
practices. Indeed, both stressed duty to and reverence for directions by warding off evil
familial lineage. They also shared hierarchical structures and encouraging the pursuit of
of society and government that dictated social obligation enlightenment.
and observance of formality. The degree to which formal
hierarchy was outlined and rationalized in Confucian
writings caught the attention of the imperial court and
daimyos (feudal lords). Japanese leaders also valued the
didactic nature of Confucius’ teachings and particularly
stressed the concept of duty and loyalty to one’s superior.
On the other end of the social spectrum, the commoners
could also relate to Confucian ideas of hierarchy.
Thus, for the Japanese, the value in integrating these ideals
into society was readily apparent. Confucian influences
and laws emerged early in Japanese history and continue
to resonate in modern culture.
Confucian thought also played into the warriors’ lives,
but did so primarily in the form of establishing a stratified
social order that appealed to warriors-turned-rulers.
The etiquette required of a samurai was strictly dictated
by the warrior’s place in relation to others. Extending
courtesy to those above and receiving it from those
below, as forms of cultural obligation, became rote
societal ritual. Confucianism concerned itself primarily
with structured and orderly governing. In matters relating
to the lives of the warrior, however, Confucian principles aesthetics and statecraft in such a way that it is difficult to
informed the Japanese aesthetic. Because the warrior delineate Confucian from Taōist strands. The natural
viewed himself through the lens of his cultural aesthetic, balance of polar energies—hard and soft, overt and
it could be argued that Confucian principles impacted hidden—reflects both Chinese traditions simultaneously.
how the warrior viewed his duties—and his sword, which Taōism though, despite being often underrepresented in
thus became a tool for maintaining social boundaries, commentaries on early Chinese influence in Japan,
governmental structure, and law. held a special appeal for the Japanese.
Many Confucian writings discuss the perennial Chinese
distinction between wū (war) and wen (letters), emphati- Taōism In Japanese Warrior Culture
cally esteeming wen over wū. But not only the realm of Certain scholars have emphasized the role of Taōism in
statecraft was seen as a play of wū and wen, so was the shaping martial arts in terms of mindset, development of
world of art. Wū-wen is an important Chinese aesthetic balanced energies, and extension of ki (energy) during
category. In the realm of music, for example, wū-wen has exertion. Others have downplayed the historical impact of
a long history in China, especially in discussions of the Taōism on the development of the martial arts, often
repertoire for a type of Chinese lute known as the pipa simply by passing along inaccuracies that they’ve read.
(Japanese biwa), which resembles the loquat fruit and American popular martial arts literature offers an example
after which it is named. In pipa music, as in all Chinese of how Taōism has been minimized.9 It is important to
music and poetry, there are lyrical (wen) passages as well distinguish between what people find interesting and enjoy
as more strident, percussive (wū) passages. The Japanese writing about and what actually happened historically.
borrowed the wen-wū dichotomy, using the phrase Literature available to Western readers is largely biased
“sword and brush.” Examining the sword and the brush by authors’ predispositions. Any commentary on early
as different means towards achieving peace and social Japanese warrior culture or mindset is, after all, the view
stability is thus a theme in Japanese as well as Chinese of an outsider—well informed or otherwise. Literature
culture. Just as a poem is made up of an interplay of wen available in English, in particular, is likely offered to
and wū elements, with Confucian-Taōist influence, the readers as academic analysis, historical summarization,
Japanese brush and sword became known as two aspects or popular editorializing. The same is true of this book;
of the same reality. The ruler-warrior makeup of the samu- it is a modern analysis of historical phenomena. It can be
rai psyche inherently understood this. As a result, the argued that many factors conspired to elevate the
dichotomy of the brush and sword permeated Japanese symbolism of the sword. To do so, however, I have had to

pick and choose what to discuss. I did not include certain ing life’s journey are themes that have defined Japan.
information, while undoubtedly failing to consider other Taōist acceptance of the nature of balance and harmony
information. In the art of writing, as in the art of war, it is were even applied to the warrior in Taōist literature,
critical to choose carefully which information one will something rarely done in Confucian ideology. Taōism
share and how it will be conveyed. expresses an acceptance of warrior virtue. Indeed, famed
Taōism’s contribution to early warrior culture and Taōist Sun Tzū wrote The Art of War. Its pages represent a
practices has been largely overlooked. This is true both in blend of scholarly cleverness with warrior stoicism.
popular literature and academic works. Many authors Taōist literature affirms the scholar-warrior archetype,
have highlighted more obvious influences on the develop- literarily idealizing the benevolent and balanced ruler.
ment of martial arts and the warrior ideal. However, one The way that the warriors established themselves as the
needs only to look at the Japanese cultural ways (particu- top caste of early Japan reflects Taōist influence. Yet, for
larly the martial arts) to uncover the deeply rooted Taōist some reason, many scholars have mistakenly attributed
influence. During the Nara Period the Taōist worldview Chinese influence on early Japan to Confucianism and
crept into Japanese lifestyles. Indeed, by the time the Nara Buddhism alone.10 In the following text, an exploration of
Period ended, Taōism had already permeated Japanese Confucianism and Taōism are offered. This may allow you
culture. The Heian Period (794–1185) saw Taōism so to better to understand why and how Taōism appealed to
deeply entrenched that, although not a distinct religion, the early warrior rulers of Japan.
it shaped the daily experience of the Japanese. It is useful to note an important change in the delivery
of sword-related symbolism. Unlike Shinto, which had
orally transmitted tales of sword-wielding deities,
Confucianism and Taōism employed literary imagery.
Both native and imported philosophies integrated advice
for benevolent living, fighting, and warriors’ duty.
However, until the Nihōngi and Nihōn Shōki were written,
the imagery and symbolism of Shinto’s sword-wielding
deities existed only as legend in the imagination of the
population. On the other hand, Taōist teachings emerged
from long-standing literary examples of balancing
intellectual and warlike aspects of mankind, although
Taōist folk-plays taught many of the same lessons to illiter-
RIGHT This calligraphy of the ate Chinese. There can be no doubt about the powerful
character “do” was brushed impact literary sword symbolism had on the Japanese.
by the expert hand of Sir Reading the written word tends to develop conceptions
Maeda, personal calligrapher more powerfully than does hearing the spoken word.
to the emperor of Japan. Further, written words can be copied exactly and thus
It hangs in the Mountain Wind spread uniformly, preserving stories and their symbolism
Dojo to remind students that through countless generations. The written word gives
their practice is, in and of readers a perception of permanence, authority, and
itself, a process of learning to implied truth. This impressed the warrior-rulers of the
live in harmony. Nara Period. As a result, Chinese literature flowed into
BELOW Mythical Dragons The Sword of Taōism the minds of Japanese noblemen. Chinese literary works
are aJapanese legends. The sword of Japan, particularly in reference to the reinforced Japanese preconceptions regarding the
Here, a dragon lashes out warriors’ interpretation of its metaphoric value, has been benevolence of the warrior, which of course, further
ferociously defending the shaped by Chinese Taōist philosophy. Although it is not shaped the perceptions of the sword’s symbolism.
entrance of Kuramadera within the scope of this book to examine every aspect of The Chinese Taōist works of Lao Tzū and Chuang Tzū
temple outside of Kyoto. Taōism, a study of Taōist warrior and sword-related offer wisdom regarding benevolent rule and virtuous
philosophy is relevant. After discussing some examples application of military power. The Taō enters warriors’
of Chinese Taōism, meaningful interpretations of the experiences (both Chinese and Japanese) at an individual
Japanese warriors’ perspective regarding swords can be level. Thus, Taōism calls warriors to seek higher meaning
made. And when examining the modern symbolism of the within themselves. With its focus on naturalism and
sword, it is important to consider the influence of Taōism. simplicity, Taōism stresses harmonious living in every
Japan’s early Shinto-based culture provided an ideal moment. This disposition would lay the foundation for
framework for the integration of Taōism. Like the early Taōism’s close relationship with Japanese Zen Buddhism.
folk-faith practices and worldview, Taōist beliefs recognize Taōism’s intuitiveness and practicality were a natural fit
the mysterious nature of the world. Both Taōism and for Japanese warriors. Although Shinto offered visions of
Shinto also share the concept that the universe conceals divine guidance and inspiration, the Taō turned the search
cosmic truths beneath the surface of the observable. for inspiration inward. In essence, the Taō encourages
Shinto is an extremely reverent religion and couples nicely realization of the warrior ideal within each of us through
with Taōism’s naturalness. Taōism, of course, has played a moment-to-moment benevolence. Taōism recognizes that
critical role in shaping the practice of martial arts. Both reconciling the duty to fight with the wisdom to rule is a
traditions stress purification rituals as components of right deeply personal struggle. Thus, the combination of
living. These connections were of particular interest to benevolence and wisdom in military leaders is a theme in
warriors. Cleanliness, reverence, and mindfully appreciat- Taōist literature. For example:

LEFT The warrior who wore this

beautiful suit of armor certainly
would have hoped to be
considered a “good warrior,” by
Lao Tsu’s standards.
In the Zhou Dynasty (1111–222 bce) men like Lao Tzū and the philosophical core of Taōism, the Lao Tzū and the
Confucius embodied the principles of the scholar warrior. Chuang Tzū, are the most important. They both offer
Lao Tzū was a renowned swordsman, and Confucius held the the warrior practical advice while outlining paths
title of Leader of Knights. Indeed martial association may well towards balance.
have inspired Confucius’ definition of the ideal scholar. At the
heart of his Analects, he utilized the word shi, his designation for Lao Tzū: A Balance Between War and Wit
a scholar, which meant “warrior.” Confucius’ use of the word The Lao Tzū, believed to have been compiled around 500
implied a person who would uphold the Taō (he used the word bce. by the famed Lao Tzū (Old Master), offers some of
Taō to mean divine law) as valiantly as a warrior would.11 the earliest commentary that contributed to the benevo-
lent-warrior image. Confucian and Taōist principles
Examining Taōism as it was written and evolved in co-existed in the practice of many Japanese, just as they
China offers perspective on how it impacted Japanese had on the Chinese mainland. So too did the dichotomy
warrior culture. As the Taōist ideal emerges, we see the between warriors and intellectuals. Therefore, much of
development of an academic legitimacy for the Japanese Taōist writing attempts to reconcile the stratified social
warrior ideal. Indeed, we see the very roots of Japanese structure of Confucianism with the naturalness and
arts and ways—the cultural undercurrents that define balance of Taōism. For ancient Chinese and later
the Japanese way of life. Although many Taōist texts Japanese warriors, the Lao Tzū offers valuable and
made their way into Japan, the two works that comprise practical advice.

Fine Weapons
Fine weapons are instruments of ill omen:
people may despise them,
so those with the Way do not dwell with them.
Therefore the place of honor for the cultured is on the left,
While the honored place for the martialist is on the right.
Weapons, being instruments of ill omen,
are not the tools of the cultured,
who use them only when unavoidable.
They consider it best to be aloof:
they win without beautifying it.
Those who beautify it
enjoy killing people.
Those who enjoy killing
cannot get their will of the world.
The left is favored for auspicious things,
the right for things of ill omen:
so the subordinate general is on the left,
the top general on the right.
That means when you are in ascendancy of power
you handle it as you would a mourning.
When you have killed many people,
you weep for them in sorrow.
When you win a war,
You celebrate by mourning.13
As the state of the Zhao Dynasty deteriorated, Lao Tzū

ABOVE Here a young Skilled Warriors of Old warned of misguided warriors who do not follow the
swordsman is shown receiving Skilled warriors of old were subtle, Way. Lacking balance and the perspective that it gives,
lessons from the king of the mysteriously powerful, warriors bent only on killing are misguided and have left
tengu named Sojobo. Tengu are so deep they were unknowable. the path of Taō. It is noteworthy that Lao Tzū does not
supernatural mountain- Just because they are unknowable, flatly oppose waging war. He asserts that although
dwelling creatures of shared I will try to describe them. sometimes necessary, war should be waged with reverence
Shinto, Taōist, and Buddhist Their wariness was as that of one crossing a river for the natural order of the universe. Furthermore,
origins. They came to Japan as in winter, when the fighting ceases, he advises not revel in the
goblins but are said to be their caution was as that of one in fear of all around; victory, for it is unseemly and runs contrary to the Taō.
hatched from the Shinto deity their gravity was that of a guest, Lao Tzū asserts that it is proper to mourn the loss of life
Susa-no-wo-o-no-Mikoto. Said their relaxation was that of ice at the melting point. while stoically recognizing universal balance. The business
to have special connections Simple as uncarved wood, of living the Way is in recognition of both light and dark,
with the natural Taira clan open as the valleys, expressed here as “the cultured” and “the martialist.”
assassinated his father. This they were inscrutable as murky water. In Taōist thought, a warrior would do well to avoid
painting, by Yoshitoshi Who can, in turbidity, allowing oneself to get too enamored with either cultured
Tsukiota, is posted at the foot use the gradual clarification of stillness? living or making war. He suggests that top generals are
of Kuramadera temple and Who can, long at rest, marred by their power and bloodthirsty greed; their fine
shows the legendary use the gradual enlivening of movement? weapons represent an ill omen. On the other hand,
Minamoto Yoshitsune learning Those who preserve this Way do not want fullness. the subordinate general, who does his job stoically,
the secrets of tengu Just because of not wanting fullness, faces battlefield realities, and is assumed to carry an
swordsmanship with the It is possible to use the full and not make anew.12 ordinary weapon, represents a balanced warrior and good
explicit intention of avenging omen. Lao Tzū goes on to discuss the difference between
his father’s assassination. In the chapter “Skilled Warriors of Old,” we see the good and bad warriors.
Taōist interpretation of the ever-vigilant, impermeable
warrior. Also notable is the reference to naturalness as a Good Warriors
trait of Taōist strength. This reflects an appreciation for Good warriors do not arm,
warriors of great virtue who are not misguided by desires good fighters don’t get mad,
for fame or glory, but rather for perfection of their duties. good winners don’t contend,
This was likely written, at least in part, as a commentary good employers serve their workers.
about the deteriorating political conditions in Chinese This is called the virtue
society. During this time, the Chinese Spring and Autumn of noncontention;
Period, China was ruled by the Zhao family and its this is called mating with
descendants. By 500 bce, when the Lao Tzū was written, the supremely natural and pristine.14
the social order was eroding and would soon usher in
China’s Warring States Period. As if trying to hold back Lao Tzū has practical advice for commoners, warriors,
the tides of war, the Old Master writes: and rulers alike. His Way of harmonious living holds

equal appeal for all. The Lao Tzū stresses mercy as a

form of balance in war. Lao Tzū warns: “Now if one LEFT Yin/Yang, in Japanese is
were bold, but had no mercy, if one were broad, referred to as “in/yō.” The
but were not frugal, if one went ahead, without defer- symbol was adapted both
ence, one would die. Use mercy in war, and you win; literally and metaphorically into
use it for defense, and you’re secure. Those whom many aspects of Japanese life.
heaven is going to save are those it guards with mercy.”15 For example, the principle of
The Old Master offers a lesson about mercy as being “wabi/sabi” reflects this ideal
connected to divine order. Although this would not be of complementary opposites.
assimilated into samurai culture per se, it does contribute
to the image of the ideal warrior, from which the samurai
borrowed heavily.
Chinese literary sources also offer some interesting
commentary on the benevolence of scholar warriors who
virtuously outwitted their opponents. The ancient novel
Three Kingdoms illustrates many examples of Chinese
strategic philosophy in action. In one instance a general,
whose small army was surrounded, had his musicians play
the folk songs from the home region of the enemy.
The enemy soldiers, who were far from home on a long a
grueling campaign, deserted upon hearing the folk songs. “The trouble is,” said the crown prince, “that my father,
In another example, a large enemy army surrounded a the king, refuses to see anyone but swordsmen.”
famous general who was staying in a small town with
only a few of his soldiers. Hopelessly penned in and “Fine!” said Chuang Tzū. “I am quite able to handle a sword.”
outnumbered, the general positioned himself near the gate
atop the wall that surrounded the city. He ordered the gate “But the kind of swordsmen my father receives,” said the
opened. He sat there in a leisurely position, fanned by crown prince, “all have tousled heads and bristling beards,
beautiful maidens, and listening to a troupe of musicians. wear slouching caps tied with plain, coarse tassels, and robes that
The general ordered men to sweep the street leading are cut short behind; they glare fiercely and have difficulty getting
through the gate into the city, as if welcoming the army of out their words. Men like that he is delighted with! Now, Sir,
his enemy to enter. The enemy general scouted ahead on if you should insist upon going to see him in scholarly garb, the
horseback while his army waited on a ridge. When he saw whole affair would go completely wrong from the start.”
the general relaxing and listening to music atop the wall,
with the gate flung wide open, he concluded it was a trap, “Then allow me to get together the garb of a swordsman,”
and he left. Generations of Chinese were quite familiar said Chuang Tzū. After three days, he had his swordsman’s
with the many clever ruses and stratagems dramatized in costume ready and went to call on the crown prince. The crown
Three Kingdoms—all based on Confucian and Taōist prince and he then went to see the king. The king, drawing his
admiration for wen over wū. sword, waited with bare blade in hand. Chuang Tzū entered the
door of the hall with unhurried steps, looked at the king but
Chuang Tzū: Swords as Metaphor made no bow.
In Taōist literature, the most direct reference to symbolism
and the sword speaks to the apparent wen and wū. The king said, “Now that you have gotten the crown prince to
Written around 300 bce, the Chuang Tzū was compiled prepare the way for you, what kind of instruction is it you intend
by philosopher Chaung Chou. Together the Lao Tzū and to give me?”
the Chuang Tzū represent the core of classical Taōism.
In fact, the Chuang Tzū dedicates an entire chapter to the “I have heard that Your Majesty is fond of swords, and so I
value and pitfalls of the sword as a means of rule. have come with my sword to present myself before you.”16
Drawing on the symbolism of Yin and Yang, the Taōist
text stresses balance between the intellectual and the This passage can be interpreted to mean that Chuang
warrior. Ideally, one who walks the Way should have Tzū, having realized his full potential as a Taōist sage,
complete mastery of both avocations. This represents the is a fully realized individual and capable of anything.
ideal scholar-warrior as outlined in Chinese literature. The wise man can outwit the brute. The sage can render
In the chapter “Discoursing on Swords,” the Chuang even the strongest warrior defenseless. When Chuang Tzū
Tzū delineates three ways that rulers could employ their says he can handle a sword, it reflects his strength as
powers and describes them each as a different sword. pliability that comes from having mastered the Way of
The discourse is full of symbolism and metaphor. The story the universe. Chuang Tzū is “going with the flow” of the
begins with a king (King Wen of Chao) who has become king, allowing his passion for swords to provide an entry
fascinated with swords and swordsmen. He surrounds point for his intervention on behalf of the prince. If he
himself with these warriors and takes delight in their had presented himself in scholarly garb, the king would
constant fighting. His son (Prince K’uei), fearing for his not have granted him an audience. Chuang Tzū is, in
father’s kingdom, asks the philosopher Chuang Tzū to essence, harmonizing with the king’s energy in order to
intercede. Chuang Tzū, dressed in the garb of a scholar, engage him in discourse. And so the stage is set for the
offers to aid the prince, but there is a problem: king and Chuang Tzū’s story:

RIGHT Shoki the demon- “Let me hear about your three swords,” said the king.
slayer, Taishō-era. Shoki is a
Taōist sage fabled to have “There is the sword of the son of heaven, the sword of the
committed himself to feudal lord, and the sword of the commoner.”
protecting the male heirs of
the Chinese Imperial family. “What is the sword of the Son of Heaven like?” asked the king.
His iconographical meaning
was imported into Japan where “The sword of the son of heaven? The valley of Yen and the
he is honored as a protector of stone wall are its point, Ch’i and Tai its blade, Chin and Wei its
households with male spine, Chou and Sung its sword guard, Han and Wei its hilt.
children. Even today, Shoki The four barbarian tribes enwrap it, the four seasons enfold it,
remains popular and can be the seas of Po surround it, the mountains of Ch’ang girdle it.
seen posted atop rooflines and The five elements govern it, the demands of punishment and
entryways, standing guard favor direct it. It is brought forth in accordance with the yin and
against evil. yang, held in readiness in spring and summer, wielded in
autumn and winter. Thrust it forward and there is nothing that
will stand before it; raise it on high and there is nothing above
it; press it down and there is nothing beneath it; whirl it about
and there is nothing surrounding it. Above, it cleaves the
drifting clouds; below, it severs the sinews of the earth.
When this sword is once put to use, the feudal lords return to
their former obedience and the whole world submits. This is the
sword of the son of heaven.”17
In this passage, the sword of the son of heaven repre-

sents the power of divine authority. This is comprised of
the very elements of the universe. The powers that this
sword bestows can only come to someone who is in tune
“And what sort of authority does your sword command?” with the Taō. Here, Chuang Tzū is telling the king that he
asked the king. will use the sword of the heavens, which commands all
natural and mystical powers against any of his swordsmen.
“My sword cuts down one man every ten paces, and for a Should the king pick this sword, his warriors will surely
thousand li it never ceases its flailing!” perish. But the very idea of it intrigues the king, who is
infatuated with swords:
The king, greatly pleased, exclaimed, “You must have no rival
in the whole world!” King Wen, dumfounded, appeared to be at an utter loss.
Then he said, “What is the sword of the feudal lord like?”
Chuang Tzū said, “The wielder of the sword makes a display
of emptiness, draws one out with hopes of advantage, is “The sword of the feudal lord? It has wise and brave men for
behind-time in setting out, but beforehand in arriving. May I be its point, men of purity and integrity for its blade, men of worth
allowed to try what I can do?” and goodness for its spine, men of loyalty and sageliness for its
swordguard, heroes and prodigies for its hilt. This sword too,
The king said, “You may leave now, Sir, and go to your thrust forward, meets nothing before it; raised, it encounters
quarters to await my command. When I am ready to hold the nothing above; pressed down, it encounters nothing beneath it;
bout, I will request your presence again.” whirled about, it meets nothing surrounding it. Above, it takes its
model from the roundness of heaven, following along with the
The king then spent seven days testing the skill of his three luminous bodies of the sky. Below, it takes its model from
swordsmen. Over sixty were wounded or died in the process, the squareness of earth, following along with the four seasons.
leaving five or six survivors who were ordered to present In the middle realm, it brings harmony to the wills of the people
themselves with their swords outside the king’s hall. Then the and peace to the four directions. This sword, once put into use,
king sent for Chuang Tzū, saying, “Today let us see what is like the crash of a thunderbolt: none within the four borders of
happens when you cross swords with these gentlemen.” the state will fail to bow down in submission, none will fail to
heed and obey the commands of the ruler. This is the sword of
Chuang Tzū said, “It is what I have long wished for.” the feudal lord.”18
“What weapon will you use, Sir,” asked the king, “a long In this passage we see that the sword of the feudal lord
sword or a short one?” is a step down from the sword of the son of heaven.
It models itself after the sword of the son of heaven but
“I am prepared to use any type at all. It happens that exists to a lesser degree in every measure. Where the
I have three swords—Your Majesty has only to indicate which sword of the son of heaven brings the whole world into
you wish me to use. If I may, I will first explain them, and then submission, the sword of the feudal lord brings peace
put them to the test.” only to the state. Warriors who wish to realize the Taō,
but who are merely masking themselves in deluded

LEFT Sword polisher Mr. Toru

Isaji views his craft as a
means of personal and
spiritual development.
FAR LEFT Mr. Toru Isaji has this
beautiful carving of a polisher
on the shrine within his
workshop. It reminds him that
his craft is one of both artistic
and spiritual significance. His
sincerity of purpose, both
internally and outwardly,
shows in every movement. Yet,
in meeting and spending time
with him, there is palpable
naturalness and flow within
his life’s work.
quasi-Taōism wield this lesser sword. Yet, Chuang Tzū these nations saw bloody infighting spanning generations.
offers it as a worthy blade against the king’s swordsmen in Yet the ideal of the warrior-sage persevered through the
the demonstration. Clearly, based on the language of ages within both cultures. One finds this in Sun Tzū’s
Chuang Tzū, the king is still quite assured that his men axiomatic passage that reads “The art of war does not
cannot begin to test the might of the sword of the feudal consist of fighting a hundred battles and winning a
lord, despite it carrying nowhere near the weight of the hundred battles; the art of war consists in subduing the
sword of the son of heaven. enemy without fighting.”
The story of Chuang Tzū and King Wen illustrates a
The king said, “What is the sword of the commoner like?” Chinese example of the metaphor of the sword.
Although this account is distinctly Chinese, it was
“The sword of the commoner? It is used by men with tousled certainly among the body of literature that made its way
heads and bristling beards, with slouching caps tied with plain, into Japan. As Confucian and Taōist ideologies came into
coarse tassels and robes cut short behind, who glare fiercely and favor with the Japanese, their ideals resonated in
speak with great difficulty, who slash at one another in Your Japanese culture. Such accounts of favoring wisdom over
Majesty’s presence. Above, it lops off heads and necks; below, brute force continue to this day.
it splits open livers and lungs. Those who wield this sword of Although the natural efficiency of flow is often seen as
the commoner are no different from fighting cocks—any part of the Japanese aesthetic, it has distinctly Taōist
morning their lives may be cut off. They are of no use in the origins. For those interested in studying the metaphor of
administration of the state. the cut, the following adaptation of a Chuang Tzū chapter
offers a rich example of Taōist tradition:
“Now Your Majesty occupies the position of a Son of Heaven,
and yet you show this fondness for the sword of the commoner. Cutting Up An Ox
If I may be so bold, I think it rather unworthy of you! Prince Wen Hui’s cook
Was cutting up an ox.
The king thereupon led Chuang Tzū up into his hall, where the Out went a hand,
royal butler came forward with trays of food, but the king merely Down went a shoulder,
paced round and round the room. He planted a foot,
He pressed with a knee,
“Your Majesty should seat yourself at ease and calm your The ox fell apart,
spirits,” said Chuang Tzū. “The affair of the sword is all over and With a whisper,
finished!”19 The bright cleaver murmured,
Like a gentle wind.
Chinese martial culture disesteemed wū in favor of wen. Rhythm! Timing!
The same is true of the Japanese, who sought to balance Like a sacred dance,
fighting with diplomacy and wit. Nevertheless, both of Like “The Mulberry Grove,”

“Good work!” the Prince exclaimed, Prince Wen Hui said,

“Your method is faultless!” “This is it! My cook has shown me
“Method?” said the cook How I ought to live
Laying aside his cleaver, My own life!”20
“What I follow is Taō
Beyond all methods! It is easy to see how Taōism found a welcome home in
the hearts of the early samurai who ruled Japan.
“When I first began The poem denotes an appreciation for the natural order
To cut up oxen of things. The cook’s cleaver moves through the ox
I would see before me without resistance because he himself is in tune with the
The whole ox order of the cosmos. As the cutting unfolds effortlessly,
All in one mass. his worldview shapes his experience. The opposite is also
the case here: The cook’s experience reinforces his Taōist
“After three years worldview. For the Japanese, who recognized the mystical
I no longer saw this mass. nature of the universe, this ideology made perfect sense.
I saw the distinctions. The echoes of Taōism and Confucianism continue to
resound in modern Japanese culture, where they have
“But now, I see nothing become deeply embedded. It was, however, the fertile
With the eye. ground that Shinto provided that made the difference.
My whole being For those who study the iconography of the sword, it is
Apprehends. critical to acknowledge Confucian social structure and
My senses are idle. The spirit Taōist “flow” worldview as primary forces. As they were
Free to work without plan adopted and adapted by Japanese culture, they, like so
Follows its own instinct many other influences, became distinctly Japanese.
Guided by natural line,
By the secret opening, the hidden space, Japanese Adaptations
My clever finds its own way. The passages above indicate that the leading Chinese
I cut through no joint, chop no bone. scholars, who were most influential in shaping Chinese
imperial policy, also served as models molding the samurai
“A good cook needs a new chopper ideal. This was in keeping with the broader Chinese
Once a year—he cuts. influences on Japanese imperial politics, policies, and
A poor cook needs a new one procedures. As always, the Japanese adapted and then
Every month—he hacks! refined the Chinese source, completely redefining the
notion of the scholar-warrior, elevating both sophistica-
“I have used this same cleaver tion and ferocity into an efficient and streamlined ideal.
Nineteen years. Much has been written about the role of Taō in the
It has cut up practice of Japanese cultural arts. It is important to note
A thousand oxen. that the influence of Taōism is far-reaching within
Its edge is as keen Japanese history and society and not limited to the arts.
As if newly sharpened. The influence of the Taō manifests itself sociologically as a
reverence for the process of living deliberately. In Japan
“There are spaces in the joints; the carpenter is not just a carpenter; he represents the
The blade is thin and keen: quintessential Taōist and practices his craft with a sincerity
When this thinness that is akin to a monk’s meditation. He sees, for example,
Finds that space. his carpentry as a way to self-betterment and enlighten-
ment. His tools represent for him the means by which he
“There is all the room you need!
journeys towards self-mastery. He cherishes his tools in a
It goes like a breeze!
way that non-Japanese would find absurd or obsessive to
Hence I have this cleaver nineteen years
say the least. The Japanese practice of exemplifying the
As if newly sharpened!
carpenter as a model of a Taōist spontaneously practicing
“True, there are sometimes “deliberate living-in-the-moment benevolence” traces its
Tough joints. I feel them coming, roots to the Taōist classics. The Taōist carpenter image
I slow down, I watch closely, pervaded Japanese culture to the extent that even the
Hold back, barely move the blade, famous swordsman Yagyu Munenori described the
And whump! The part falls away carpenter as the symbol for his style of swordsmanship.
Landing like a clod of earth. But of course by the time he did so, Taōism’s influence had
become so deeply embedded in Japanese culture that it
“Then I withdraw the blade, expressed itself as Japanese thought rather than being
I stand still labeled as Taōist.
And let the joy of the work The same is true for the tea master, who serves tea as a
Sink in. way of living purposefully—with the balance of harmony.
I clean the blade The tea master is not served tea; rather it is the master
And put it away.” who serves. This relationship denotes balanced living,

as outlined by the whirling black and white in/yō symbol. The Sword and Martial Spirituality
Seeking meaning through the metaphor of serving tea, As we reflect on the impact of Taōism on Japanese
the tea master calculates every move and executes the culture, we see that easy distinctions cannot be made.
service with deliberate precision. The utensils are highly Undeniable, however, is that Taōism made a significant
prized pieces of a craft. Each is carefully chosen to express impact on how the warriors of Japan have seen their
subtle ideals such as wabi/sabi, a graceful combination of swords as symbols. Karl Friday, a recognized authority
function, elegance, and understated humble beauty. on Japanese military history and culture, speaks to the
Such are examples that exist within a sea of others. complex interplay between the mindsets of Japanese
It can be said that nearly everything the Japanese do warriors and their spiritual perceptions. “Warrior
reflects uniquely Taōist undercurrents. relationships with the supernatural were… matter-of-
There are countless examples of adaptations that fact. The need to bolster morale and courage make
highlight the Japanese ability to “Japanify” outside actively seeking divine aid in the pursuit of victory a
cultures. Taōism shaped the image of the Japanese warrior. natural and obvious concern for military men of any
The Japanese warrior, in turn, practiced his avocation in time. And there are, of course, pressing political—as well
ways that reflected the Taō. Although most cultures as moral—reasons for commanders to be conscious of
throughout the world have some version of a benevolent the dictates of religion in order to justify and legitimize
warrior image, Japan’s version is unique due to Taōist their wars.”22 Swords were seen as tools to cultivate the
wisdom blended with the Japanese sociological knack for spirit through arduous training while simultaneously
severe formality. It should be noted that Japanese warriors, embodying complex principles of balance and harmoni-
by and large, did not count themselves Taōist. Rather, ous rule. Examined in the context of Buddhism,
Taōism infused itself within Japanese society to a degree Confucianism, and the warrior-rulers adaptations,
that the suffix “Dō” [Japanese for Taō] has long since been Taōism’s contribution to the symbolism of the sword and
used in a generic manner.”21 For instance, the Japanese the warrior archetype emerges. As Buddhism gained
have judo, aikido, and būshido, just to name a few. popularity, it was added to the observances and practices
Taōism, although not drawing on the visual/artistic of the Japanese. As we will see in the next chapter,
imagery of the sword, greatly impacted how the warriors esoteric Buddhism, in particular, would offer powerful
of Japan saw their symbolism. The Taōist literature iconography, practical protective talismans, and a
reinforced the preexisting nativist Shinto notion that the treasure-trove of sword-related symbolism for the
sword was much more than a tool of war, that the sword warriors of Japan.
was also a tool of the spirit and soul. It both cultivated the
warriors’ minds through arduous training and acted as a Blades of the Nara Period
metaphor. As warriors trained to maintain a state of Like the political changes of Taōism and Confucianism,
constant readiness, they also trained their minds. experimentation and adaptation also marked this era
Cumulatively, decades and centuries of practicing of sword design. The few existent examples of these
swordsmanship in such a deliberate way defined the very early swords exhibit multiple designs and metallurgic
core of the soldier. This phenomenon impacted the minds, construction. The most important development in the
practice, and techniques of swordsmen. Japanese sword during the Nara Period is believed to be
The intersection of marrow and mind is the heart of experimentation with folding sword-steel. This process BELOW This photo shows a
the Japanese sword’s iconography. The difference between makes the blade highly resilient. Folded steel also reproduction of the Nara Period
visual images of gods wielding swords and the warrior produces a much sharper edge, razor-sharp in fact. pen knives worn by the
image within matters little in the warriors’ perceptions. The fine layers of the folds, hammered tightly together, aristocracy as a show of
How people make meaning of the metaphors is more create microscopic serrations along the sword’s edge. status. They were worn hung
important than what form the metaphors take. By the end of the Nara Period, we see blades with by cords from the belt and
Oral, literary, or visual, the meaning of iconography was curvature and differentially tempered blades, constructed often included many small
determined within each warrior’s spirit. And Taōism of resilient folded-steel. In other words, the uniquely knives either bundled together
shaped the collective spirit of Japan. “Japanese” sword had emerged. or hung separately.

ABOVE, RIGHT AND BELOW RIGHT

These Nara Period blades are
Shosoin Treasures and are held
in the emperor’s personal
collection at the Shosoin
(imperial treasure house).
RIGHT This is a close-up of penknife

blade of unique design.

Chapter 3 Sword 75

ABOVE Many Nara Period blades are missing from the Shosoin, but it remains the
largest repository of Nara Period swords in the world. Very few ceremonial swords
exist, and the swords displayed on this page are among the finest examples.
Other weapons of the period included the teboko, (curve-bladed spear) the yumi
(bow) and the yaa (arrow), and spears, including the hokoo (hooked spear).
The weapon designs from the Nara Period were also used during the Heian Period.
Image courtesy of the Shosoin imperial treasure house.
ABOVE This kōshirae length measures 54.4 centimeters. This Nara Period blade is
shorter than usual. The scabbard is made from hide-wrapped wood. The black
lacquered designs with highlight mythical beasts. The fittings are gold and silver.
Image courtesy of the Shosoin imperial treasure house.
ABOVE This kōshirae length measures 87.8 centimeters. This is a battle sword.
Its simple design is strong and functional. The fittings are iron. It is black lacquer
wood. The harness and cording was used to fasten the scabbard outside armor during
battle. Most of the remaining swords of the Nara Period are battle-ready, simple
swords like this one. The fittings of the battle swords are almost always made from
iron or copper. Image courtesy of the Shosoin imperial treasure house.


ABOVE This kōshirae measures 99.9 centimeters from tsūka-gashira to kojiri.

The blade measures 78.2 centimeters. This is the most beautiful sword in the
Shosoin collection. They found it with papers stating that it was an important sword
belonging of Emperor Emi no Oshikatsu. It features a ray-skin handle and a horse
skin scabbard, which was painted black. Three parts of the kōshirae have been
gold-plated. The red jewels are crystals. The green jewels are azure. The copper
hand-guard features an arabesque design. This is a beautiful example of a Nara
Period ceremonial sword. Images courtesy of the Shosoin imperial treasure house.

BELOW, LEFT AND RIGHT Nara Period aristocracy wore small

pen-knives called tosu as a show of their status. These small
blades were fastened to the belt via small strings so that they
dangled from the wearer. Several knives were often bound
together creating a clump of different knife blades and small
tools—the early Japanese equivalent to the pocket utility
knife. Images courtesy of the Shosoin imperial treasure house.

Chapter 5
Medieval Japanese Swords
Buddhism, although developing characteristics that were uniquely Japanese, remained a practice unto itself.
Practiced alongside nativist Shinto and generally not seen as contradictory, Buddhism did not disappear
completely beneath the surface of Japanese culture. Instead, it split into factions and changed in ways that
had profound impact on the Japanese. Early esoteric Buddhist sects such as Shingon, Tendai, and Rinzai
gained popularity and have made their distinct marks on the iconography of the sword. They remain today
as reminders of Japan’s ability to give its unique cultural twist to everything, including Buddha’s teachings.
Zen emerged during the Kamakura Period as a form of A key feature of the medieval Japanese worldview, formed at
Buddhism that was more easily accessible for the the nexus of Buddhist, Taōist, Confucian, and nativist (Shinto)
Japanese warrior. Previously, Buddhism had been a beliefs, was monastic, or unitary world of meaning. In this
luxury of the highest samurai castes and the imperial conceptualization, the phenomenal realm—the natural or
court. Nara Period Buddhism had been extremely manifest world—was synonymous with the sacred realm.
scholastic, complicated, and demanding of much The cosmos as a whole, permeated throughout by sacred,
commitment. During the Kamakura Period, however, or kami, nature. Medieval Japanese saw the hands of their gods
Zen trickled down into the lower echelons of Japanese everywhere: every success and every failure was the result of
society. In contrast to the elite and scholastic Tendai sect, divine approval or displeasure. Men lived or died, prospered
Zen offered a simplified practice. Shingon, also popular or declined, at the whim of deities, who were tangible, accessible,
among the elite, had a slightly greater appeal for warriors and open to influence…They regularly consulted oracles, and
because of its magic and protective practices. But during attributed military triumphs to the assistance of guardian deities
the Kamakura Period, there grew a perception that the and setbacks to the exhaustion of divine grace.2
end times were near.
Mappō, literally “[the] end of law,” indicated to many As Friday’s passage indicates, the samurai held complex
that the end of a cosmic cycle was impending.1 Before a beliefs that included the influences of many philosophical
new age emerged, mappō would bring mass destruction schools of thought. When Zen arrived on the cultural
and chaos. The Zen and “Pure Land” sects, offering more
practical, simple, and attainable paths towards enlighten-
ment than did other forms of Japanese Buddhism,
thus gained mass appeal. The two sects made Buddhism
popular with samurai and non-samurai alike.
The practice of Zen and other late-developing sects
represented shifts away from the opulence of esoteric
Buddhism and Shinto. Perceiving that the earlier forms
of Buddhism had not stopped the “end-times” from
approaching, many Japanese took to Zen and Pure Land
sects as, hopefully, more productive alternatives.
They believed that through quiet, introspective medita-
tion or by repeating the name of the Amida Buddha one
could ensure salvation.
The Japanese custom of assimilating aspects of an LEFT The enormous bronze
incoming influence by adding them on to previously held Todaiji Daibutsu completely
beliefs had long been established by this time. In this fills its hall leaving visitors
instance, for feudal warriors, Shingon practices and only a small area around its
talismans were the already existing beliefs never fully perimeter to look up in awe
replaced by Zen. The same had been true when Japan of the great Buddha.
assimilated Shingon beliefs, adding them on to preexist- OPPOSITE Samurai armor
ing nativist beliefs and practices. Zen, then, was annexed housed at the ancient Himeiji
on to the preexisting Japanese cultural matrix. Professor castle in Hyogo Prefecture,
Friday writes of the medieval samurai mindset, saying: Japan.

established a military government and moved the central

government to Kamakura (near modern-day Yokohama).
As an affirmation of Minamoto Yoritomo’s authority, the
emperor bestowed him with the title Seii-Tai-Shōgūn
(Barbarian Squashing General). This meant that Yori-
tomo was given complete military control of Japan,
which diminished the emperor’s role in governing.
Warriors were not the only political powers in Japan at
this time, however. Buddhism flourished and evolved to
become more distinctly Japanese. Variations of distinctly
Japanese Buddhism emerged, forming the Amida, Zen,
and militant Lotus sects. The Heian Period also marked
Japan’s break from Confucian idealism in the emergence
of a feudalistic state. This transition of power resulted in
scene, it offered a comparatively simple practice that the capital city being relocated to Kamakura and ushered
appealed to many warriors who saw opulence as contrary in the Kamakura Period.
to the Way of the warrior. Further, Zen incorporated
many Taōist teachings, making it a natural fit in the The Kamakura Period (1185–1333)
Japanese mindset. It impacted particularly the Way of the The Kamakura Period was marked by power struggles
warrior. In the modern practice of Japanese arts in general between the imperial court, powerful warlords,
Zen remains an influence so pervasive that it continues to and influential religious leaders. The Kamakura Period
define Japanese aesthetics and practices. also tested the abilities of these three power brokers to
address the threat of outside invasion. If the Japanese isles
The Heian Period (794–1185) were to come under foreign control, all three of these
ABOVE The Daibutsuden is the In the Heian Period, powerful and influential clans such power sources would likely lose most, if not all, of their
hall housing the largest as the Taira and Minamoto separated themselves from status and wealth. However, the struggle between
free-standing Buddha in an increasingly corrupt Fujiwara Imperial Hein Court. warlords and the emperor for control of Japan is where
Japan, the Todaiji Daibutsu. The imperial family invited military leaders from both the Kamakura Period started.
Despite being smaller than the separatist clans to join the imperial court. The Taira clan Despite Minamoto Yoritomo’s authority to appoint his
original building, this is the took control of the court for two decades, and their brutal own hereditary successor, when he died the appointee was
largest wooden building in the rule led to much dissent among other clan leaders. only seventeen. The other members of the court battled
world and a UNESCO World Eventually, political unrest led to an overthrow and for power. In 1205, Hojo Tokimasa officially took control
Heritage Site. expulsion of the Taira. This left the Minamoto clan in a of the court and succeeded Yoritomo. Hojo maintained
BELOW The Heinan Jingu is a prime position to rise to power. military control from Kamakura. Despite Emperor
shrine built during the Heian The Kamakura Shogunate rose to power when Go-Daigo’s efforts, the Hojo clan persistently controlled
Period. Minamoto Yoritomo defeated the Taira clan. Yoritomo the military affairs of Japan from Kamakura. At this point

Chapter 5 Medieval Japanese Swords 83
fortifications along the western coastline, it looked to LEFT A gatekeeper glares down
Kahn as though Japan would be defeated and come under at Horyuji temple visitors.
Chinese rule. However, the Japanese had learned from the BELOW Kinkakuji, “the Golden
tactics of the Mongols and intended to wage a smarter Pavilion” was built in 1393 as
campaign. The Japanese sent small ships to attack the much a retirement villa for the
larger and less maneuverable Chinese junks. Unable to Shogun Yoshimitsu Ashikaga
land due the fortifications, the battles took place at sea and (1358–1409 CE). After his death
lasted more than fifty days. Then, a typhoon struck the it was given to the Rinzai Zen
Mongol fleet as it rested in the shallow waters. The fleet sect of Buddhism.
was destroyed and the Mongols once again returned BOTTOM Himeiji-jo, the White
home. The Japanese viewed this as divine intervention and Heron Castle, was built atop
named the great storm Kamikaze (divine wind). Mt. Himeiji in 1346. Its genius
The battles of the Mongol invasions and the subsequent lies in its complex and
defeat of their forces brought new life to the religious confusing defensive layout.
movements during this time. Buddhist monks from various The castle has been destroyed
there were really two distinct leaders of Japan. First was sects took what credit they could in helping to bring the and rebuilt many times.
the emperor, still thought to be a direct descendant of the Kamikaze. The religious groups gained popularity and Today it remains as one of
sun goddess (Amaterasu). Second, was the Hojo family numbers. As they did, tensions rose. The emperor had Japan’s finest examples of
itself, because it controlled how, when, and for whom the already struggled to control the Hojo clan, but now the military architecture.
military would be deployed. At this time the emperor’s
role had eroded to that of a figurehead. Despite imperial
attempts to regain control of the country, the Hojo
became all the more powerful. He had given away his
authority to control the bulk of the daimyo’s armies.
The imperial court still demanded respect and council in
the dealings of Japan. After all, the daimyos feared the
wrath of the gods because they believed in the divinity of
the emperor’s bloodline.
Some of the main events of the Kamakura Era were the
Mongol invasions, between 1274 and 1281. At this time
the emperor of China was Kublai Khan, grandson of
Ghengis Khan, a military genius who had ravaged
mainland Asia with his use of longbows, catapults,
and other specialized technologies. In 1268 Khan sent
envoys demanding Japanese servitude under his authority,
but the Hojo clan did not respond.3 In 1274, with an
army of thirty-thousand men, Khan sailed from Korea to
Kyushu with 150 ships.
Until this time, Japanese battle had largely included
ceremonial proclamations of grievance and heritage,
followed by highly ritualized battle. But in a terrifying and
disgustingly unrefined attack, all etiquette was completely
ignored by the Mongol armies. Needless to say the
Japanese generals were shocked when the Mongol armies
landed, and without warning or proclamation, just
marched out legions of soldiers onto the battlefield and
began offensives.
The Japanese forces, completely thrown off by the
tactics of the Mongols and overwhelmed by technological
superiority, took comparatively huge losses. The battles
were bloody and terrible, but at the end of the conflict it
was apparent that the samurai had fought ferociously.
On November 19, 1274 the Mongols withdrew to their
ships for the night. A destructive storm came in and
damaged the fleet. The Mongols sailed back to the Korean
peninsula and regrouped. Emperor Khan was surprised
and infuriated at the show of resistance that the Japanese
armies had given his troops. Kublai Khan again demanded
that Japan honor his authority, but again the Hojo family
did not respond.
After further military successes in China, Khan returned
to the coasts of Japan. In June of 1281 he brought 140
thousand men.4 Even though the Hojo family had built

RIGHT Muskets like these, In a stunning battlefield surprise, one of the Kamakura
displayed at Himeiji Castle, bakufu’s (military government) strongest generals,
changed the nature of Ashikaga Takuji, turned his forces on his own allies.
Japanese warfare. Ashikaga joined the emperor’s troops to crush the Hojo
clan’s Kamakura government forces. This reversal of
allegiance left the Ashikaga in position to win the
emperor’s endorsement as the next shogun.
The Muromachi Period (1392–1573)

This particularly tumultuous period would usher in
some of the most terrible and bloody times for Japan.
Paradoxically, this period is marked by unprecedented
cultural growth, as well. The Ashikaga Shogunate
(1338–1573) lasted through the Muromachi Era.
The Ashikaga reestablished its base of military operations
within Kyoto’s Muromachi district. Increased agricultural
productivity and rich trade with China and Korea
strengthened the increasingly powerful lower classes.
Despite relative economic success and refinement of
cultural arts such as tea ceremony, theater, et cetera,
the country found itself in constant turmoil. These factors
fueled the animosity of powerful families, which in turn
heightened the political unrest of Japan.
Within the Muromachi Era emerged the Sengoku Era
or “The Age of the Country at War.” The importation of
Portuguese firearm technology added fuel to the already
religious groups joined into the struggle for power, status, tumultuous political setting. Despite the fact that firearms
and wealth. The onset of the fourteenth century found the were seen as dishonorable, they were used increasingly
horns of these three powerful sociological forces locked. with great effectiveness. Changes in military strategy had
Buddhism reached its zenith during the Kamakura created the need for different styles of sword blades. Early
BELOW Oda Nobunaga built Period. Powerful sects grew more powerful still. The idea samurai had used a longer, thinner, more deeply curved
Azuchi Castle in 1576, in a of ending personal suffering, giving to a cause higher than blade called a tachi. The tachi was worn edge downward
strategic location above the one’s own, and committing oneself wholeheartedly to faith and used from horseback. Now having seen the power of
capital city of Kyoto. His built the religious centers into formidable political and the Mongolian foot soldiers and the use of the firearm,
castle, really more of a palace, military entities. The prosperous monks and nuns made the samurai generals increasingly used infantry rather
was resplendent with lavish alliances with powerful daimyos, which heightened their than mounted cavalry tactics. The Japanese sword
comforts while also serving to position in society. evolved into the blade called the katana, a shorter, thicker
intimidate would-be enemies. The emperor, under threat of exile by the Hojo clan, blade worn edge-up and tucked into the belts at the waist.
Towering seven stories, this gathered forces and attacked. Political circumstances It was late in the Sengoku Era that the three men
building was a testament to within Kamakuran society required very carefully planned credited with finally unifying Japan—Oda Nobunaga,
his character and will. allegiances and battle tactics from Emperor Go-Daigo. Toyotomi Hideyoshi, and Tokugawa Ieyasu—came into
successive power. The late Sengoku Era was marked by
yet another series of battles, overseas conquests, and
back-stabbing treachery. Oda Nobunaga rose to power
with alarming speed and ruthlessness. He was known for
using large forces of foot soldiers armed with muskets.
Nobunaga’s troops would shield themselves behind
makeshift fortifications while reloading and repositioning.
This tactic proved to be the determining factor in subduing
his enemies. As bands of resistance rose, he would
mercilessly cut them down. The previously popular
cavalry tactics were no match for such new technology.
Soon, Nobunaga had himself named vice-shogun, under
Ashikaga Yoshiaki. Nobunaga could not claim the title
Shogun for himself because it required a familial connec-
tion to the emperor’s bloodline. Despite this, Nobunaga
was able to take over as the decision-maker for the bulk
of Japan’s military affairs. The Ashikaga Shogunate’s
power began to wane as Nobunaga realized his goal of
“bringing all of Japan under one sword.”5
Seeking further security, Nobunaga turned his attention
to the Buddhist sects that had allied themselves with his
rivals. He persecuted Buddhists severely. The monks,

stop the movement of the Japanese soldiers. The two

hundred thousand Japanese samurai destroyed the
Korean and Chinese forces. The samurai seemed
unstoppable except for one weak link: their supply chain.
Japanese soldiers had to arrange for supplies to be
brought to them all the way from Japan.
The Korean ground forces and governmental officials
were ineffective in slowing the movement of Hideyoshi’s
forces. The Korean Navy, however, took a toll on the
Japanese supply boats. The famous Korean Navy
commander General Yi Sun Sin devised the “turtle boat.”
These vessels turned the tide of the Japanese invasions of
Korea with their spike-covered tops, smoke-screening
flamethrowers, cannons, and battering rams.7 They were
much stronger than the large Japanese supply ships.
The 125-mile stretch of sea between Japan and Korea
became almost completely controlled by the turtle boats.
The already impoverished Koreans burned their crops
and starved themselves in order to repel the Japanese
armies. Because the samurai had no food or supplies to
sustain a lengthy campaign into China, they retreated
out of North Korea to the southern port of Pusan.
Hideyoshi eventually made another northward push but
had no long-term successes.
Meanwhile, on Japanese soil, tensions between
who had already established themselves as ferocious powerful religious organizations and the military
warriors, fought back. Despite the proud tradition of government began to rise. Hideyoshi, despising the
martial mastery, the monks were no match for Nobunaga’s powerful Buddhist sects most of all, had been somewhat
well-equipped armies. In one instance, Nobunaga destroyed tolerant of Christian missionaries, but eventually his
the Jodo Shin-Shu and Tendai temples at Mount Hiei, attention was drawn to the Christians. He became
slaughtering twenty thousand monks and nuns. infuriated with a group of Franciscan friars and had them
In 1582, having deployed his troops to support hanged. Their offense was to hold services within Kyoto,
Toyotomi Hideyoshi’s efforts to conquer Takamatsu which had been set apart, off limits to churches.
castle, Nobunaga found himself unguarded.6 Held up in a The Christian missionaries’ increasingly tenuous
Kyoto temple, Nobunaga was trapped and helpless. position was made worse when in 1592, a Spanish ship,
Facing certain death, Nobunaga committed ritual suicide San Felipe, was wrecked off the coast of southern Japan.
(seppūkū). Toyotomi Hideyoshi, one of Nobunaga’s top The ship’s captain produced a map of the world divided
commanders, filled the suddenly vacant position, in half. The map depicted the power and rule of the
as leader of his forces. He rallied support from other world as being divided among the Europeans, without
daimyos and quashed the revolt that had been led by the permission or consultation of the Japanese.
disaffected daimyos as well as Buddhist leaders. The captain told the daimyo that if he or his cargo were
Hideyoshi established an alliance with Tokugawa Ieyasu, harmed then Japan would incur the might of the
virtually guaranteeing the security of his position. Spanish military.
Toyotomi Hideyoshi was the second of the three What alarmed the daimyo most was what the captain ABOVE LEFT The bells under
unifiers. In 1588 he confiscated swords from all non- told him next: Christian missionaries often settled into a the eaves of temple pagodas
samurai, thereby furthering the stability of his role as country, converted its citizens, and then overthrew the tinkle musically in the slightest
chief military commander. Thousands of swords were preexisting government, thereby controlling a country’s breeze, and are said to frighten
taken and melted down to create a statue of the Buddha. wealth for the benefit of the church. It was thought that the off birds as well as any evil
This is a testament to his complete authority as well as Jesuits, who were the converting masses, would stage an spirits that may be lurking.
his military cunning. Hideyoshi also codified the class uprising. Hearing of this, Hideyoshi initiated an expulsion ABOVE Enryakuji Temple
structure and forbade upward movement between the of all missionaries from Japan and forced remaining complex, atop sacred Mt. Hiei,
classes. This meant that if someone was born a farmer, Japanese Christians to denounce the Bible. They had to is the headquarters of the
he or she would die a farmer. The same was the case for leave, or die.8 Some fled. Thousands were slaughtered. esoteric Tendai sect of
craftsmen and merchants. Toyotomi Hideyoshi died in 1598 and was succeeded Buddhism. Its history is as
With Japan’s resources under one uncontested ruler, by Tokugawa Ieyasu. Hideyoshi’s son fought for his dark and mystical as the
Hideyoshi turned his eyes towards the Korean Peninsula father’s position, but was suppressed by the powerful clouds that shroud its grounds.
and China. He invaded both and threatened to conquer Tokugawa armies. After a series of skirmishes, Tokugawa
China’s Ming Dynasty on two separate occasions. had installed himself as the supreme military commander
In 1590 Hideyoshi’s samurai troops landed in Korea, of Japan. He would later become famous for creating an
captured the southern port of Pusan, and pushed North unprecedented age of peace in the country, but first he
towards China. The Korean government fled and sought had to set his affairs in order. The centralized and stable
assistance from the Chinese. Considering the size of government along with Japan’s relative peace mark a shift
Japan, Ming sent only five thousand Chinese troops to from medieval Japan to a pre-modern Japan.

made its mark on Japan, so too did the philosophy.

The image of the warrior-scholar, like many other facets
of Japanese culture, was adapted to suit the unique
circumstances of the Japanese.
The Japanese found the mystical nature of esoteric
Buddhism complimentary to previously held Shinto values
and practices. Instead of abandoning Shinto beliefs in
favor of Buddhist, the Japanese assimilated one into the
other. The result was a distinctly Japanese version of
imported beliefs, after all Buddhism was already, in its
Chinese forms, inextricably intermixed with what scholars
label “Taōism,” and “Confucianism.” These viewpoints,
values, and practices were adapted to suit Japanese
culture, and contributed heavily to the societal changes.
Like the Chinese, the Japanese honored mystical aspects
of the universe, but did so from a Shinto vantage point.
The shared acceptance of mysticism allowed esoteric
practices imported from China to snap into place like
pieces of a puzzle.
It should be noted that precedence for Buddhism to
adapt had been set in other cultures. In fact, as Buddhism
traveled throughout Asia and took root, it evolved by
adapting to the cultures it encountered along the way.
King writes:
In India, it [Buddhism] had made the Hindu gods

into loyal assistants and protectors of the Buddha.
The general resulting pattern was that of gods as helpful in
securing this-worldly blessings (health, riches, success, safety)
with final (nirvanic) salvation reserved as Buddha’s exclusive
potency. This pattern was followed in Japan with regard to the
kami. They were to be honored and prayed to for safety,
victory in battle, prosperity, and the like. Hachiman, the
Shinto god of war, was constituted one of the bōdhisattvas,
those almost-Buddhas dedicated to bringing humankind to
salvation by their compassion and wisdom. Kami were the
protectors of the Buddha, their small shrines placed in his large
temples. One emperor even declared himself the ‘slave’ of the
Buddha and erected an immense Buddha image. A seer
proclaimed the identity of Amaterasu and Vairocana Buddha
[to be the same].10
Buddhist Stories of Sword-Wielding Deities

ABOVE Bows and spears The Sword of Esoteric Buddhism Esoteric Buddhism’s main patriarchs in Japan were Priest
formed the samurai’s first During the time that the Nihōn Shōki and Kōjiki were Kukai (774–835) and Priest Saicho (767–822). Kukai,
lines of offense, with the being written, Chinese philosophies were surging into also called Kobo Daishi, founded the Shingon sect of
sword usually being reserved Japan. The result was a coalescence of Shinto and Esoteric Buddhism, whereas Priest Saicho founded the
for when the supply of the Buddhist theologies and practices. As Joseph Campbell Tendai sect.
former had been exhausted. writes, often the two religions “are so closely mixed one When, however, the hundreds of deities who populated
cannot tell where the Buddhism ends and the Shinto the mandalas proved too much even for the polytheistic
begins.”9 The symbolism of the sword as an icon thus Japanese, their number was gradually reduced to thirteen
evolved as a product of combined and adapted ideologies. preferred objects of worship: Fudo, Shaka, Monju, Fugen,
As Japan’s earliest swords were imported from China, Jizo, Miroku, Yakushi, Kannon, Seishi, Amida, Ashiku,
so too were many of the blade’s symbolic meanings. Dainichi [Nyorai], and Kokuzo.11
This evolution of the sword as a symbol acted as a vehicle Three deities, in particular: Fudo, Monju, and Jiko-
for societal change. The samurai, who revered and kuten are relevant here. Fudo is an emanation of Buddha’s
wielded swords, knew all too well the power that they wisdom. Monju Bōsatsu is believed to have been a human
carried at their sides. Non-samurai were also aware that who lived and attained enlightenment but returned to lead
the sword symbolized both the power to harm and to others along the path. Jikokuten bridges the distance
heal. The swordsman’s hand and spirit wielded the ability between heaven and earth, protecting all sentient beings
to shelter the population, ward off oppressors, and and gods alike. All three of these fascinating figures wield
suppress evil. On this level, the sword can be understood the sword. All three offer lessons for medieval and modern
to reflect the soul of Japan itself. Just as Chinese influence swordsmen alike.

He brandishes these weapons with ferocious intent. Fudo’s LEFT Fudo-Myo-o, the
scowl is foreboding and is intended to frighten those who “immovable one,” stands
witness it. But as we will see, humankind is not whom he steadfast in his duty to help
is aiming to intimidate. He is not the guardian of the gates mankind. Though he stands
of hell (standing between the Buddhist and an existence surrounded in the fires of
burdened by the flames of suffering), or an evil devil-like suffering, his mind is
deity. Rather, Fudo employs his blade, rope, and imagery unwavering. He uses the sword
against the forces of evil. to cut not flesh, but the
Fudo uses his sword to cut through delusion, dissolving delusional thoughts from the
the illusions that blind mankind such as ego, greed, and wayward mind.
envy. He employs the use of his kensaku to bind any evil
that cannot be cut with his sūken. His expression and
appearance are indeed terrifying, but not to the people he
protects. “The wise… who are approaching the state of
enlightenment, realize that Fudo symbolizes Prajna the Im-
movable as the destroyer of delusion.”13 His intimidation
is aimed at the foes of Buddha’s teachings. The image of
Fudo is meant to be unforgettable in the mind of the
beholder. The lasting impression of Fudo’s imagery stays
by the warrior’s side, aiding and comforting him in times
of danger. Modern practitioners of Japanese swordsman-
ship may have heard teachers say the sword is meant to
cut through the swordsman’s “delusion.” This is a
common phrase offered out as a kind of fortune-cookie
saying. Although this concept is thought provoking,
taken out of context such a saying is not meaningful.
Understanding the distinctive nature of Fudo and his
symbolism offers wisdom that still carries meaning
today—even for Westerners.
As Fudo’s sinister image suggests, there is another side
of this story. Fudo also reminds the warrior of what awaits
those who stray from the path, threatening, “if you become
evil I will bind and cut away your delusional mind.”
This is considered an expression of the universe’s duality
and does not detract from Fudo’s benevolence. The
qualities of “in-yo” (yin-yang), or of ōmōte (front) and ūra
(rear), are applied to all facets of the universe, including
Fudo. It is believed to be the natural order of things.
The Holy Fudo Sutra
Once during a great assembly of Buddha’s followers,

Fudo appeared. This Fudo was tremendously powerful: great
Fudo Myo-o (Acala) compassion was evident in his pale, dark complexion, great
Samurai particularly revered Fudo-Myo-o, “the unmoving stability was obvious as he assumed the Diamond Seat, and great
guardian,” also called Fudou-Myou or Fudo. Considered wisdom was manifest in the flames surrounding him. Brandishing
the patron saint of swordsmen, he is worshiped as a the sword of insight he cut through the three poisons of greed,
metaphor and also a literal protector with whom warriors anger, and delusion; his Samadhi-Rope bound the enemies of
throughout the ages identify.12 Myo-o are also called Buddhism. Formless like the space of the empty Dharma body,
“hōtōke” (embodiments of Buddha) in esoteric Bud- Fudo settles nowhere but lives in the heart of sentient beings.
dhism—those who protect Buddhism and force its outside Devoted servant of all, he encourages the well-being and ultimate
enemies to surrender. Fudo, like all Myo-o, are friends and salvation of sentient beings. When the entire assembly heard this
guardians to the followers of the Shingon and Tendai sects teaching they joyously believed and received it.15
of Buddhism and, indeed, to all mankind.
Although usually accompanied by two boy servants, Fudo is a central figure among other Shingon deities for
Fudo is depicted as a terrifying deity. With teeth protrud- many reasons. He is significant in the world of Buddhist
ing and with glaring eyes, he stands unmoving while lore because he alone possesses the power to transmit
engulfed in flames. Fudo’s skin is usually depicted as a prayers and requests to the Dainichi Nyorai; the complete
pale bluish-green. He stands on a rock, indicating to the assembly of Shingon deities. Although not terribly common
worshiper that Fudo is immovable like the mountain or popular, the Dainichi Nyorai are the most important
below him. In one hand he holds the sūken, a straight of all Buddhas. They are believed to be everywhere and
double-edged sword with a vajra (Sanskrit for “thunder- everything. All other Buddhas and divine beings are
bolt”) hilt. In his other hand, Fudo holds a kensaku (rope). actually considered emanations or aspects of Nyorai.

88
The blades of other deities share symbolism with Fudo’s

sūken. For this reason, Fudo is one of the most significant
of the Buddhist deities.
Although Fudo is primarily associated with the Shingon
sect of Buddhism, the Tendai sect reveres him as well.
He is the central figure in the Myo-o, or warlike emana-
tions of cosmic Buddha’s wisdom. By channeling their
prayers through Fudo, samurai sought divine protection
and bravery in battle. Often secret mantras were uttered
in conjunction with mūdras (Sanskrit for “hand positions
believed to unlock cosmic pathways to the gods). Mūdras
permitted the transmission of bravery, protection, the
expulsion of evil, and so on). Lowry writes of Shingon
protective charms:
The Mikkyo [also called Shingon] adept may focus on votive

art- mandala- or through chants or by physical acts or motions.
The best known of these are the kūji-kiri, the ‘finger weaving…’
[wherein] Each deity is represented by a particular way of weaving
one’s fingers together. In a crude sense, these can be thought of as
‘spells.’ On a more sophisticated level, they are complex rituals
designed to instill confidence, presence of mind, and a spirit of
equanimity in the face of a threat or danger. The practitioner of
Mikkyo uses representative art, chants or special words, or the keeping an open line of communication between the
kūji-kiri to call upon specific deities that will impart strength or an warrior and the Dainichi Nyorai. The other more obvious
ability to read an opponent’s mind or as a form of protection.16 and direct channel to the Dainichi Nyorai is a hōrimōnō
of Fudo himself. Depicting either Fudo or his embodi-
For the feudal warriors, Fudo was the primary recipient ment in the form of sūken harnessed supernatural powers
of prayers and calls for protection, bravery, and the for the samurai.
strength of the unwavering spirit. In particular, one hand Other common hōrimōnō include bōnji (Sanskrit
position, or kūji-kiri summons Fudo’s assistance: kai. ideograms), kūrikara (the vajra-hilted sword wound with
The hand position for Kai is the position of a Christian a dragon), gōma hashi (chopsticks used in offerings to
praying with interlaced fingers and right thumb over ancestors at Shinto altars), kanji (ideograms of Chinese
left.17 The principles behind such esoteric practices and origin), and other religious images such as lotus
knowledge of how and when to employ such incantations flowers.19 Each of these hōrimōnō is believed to invoke
are generally not revealed to outsiders. Furthermore, supernatural aid. There are, however, some that stand
Fudo is the intermediary who transmits the prayers of out in our examination of the symbolism of the sword
Buddhists to the Dainichi Nyorai, the entire pantheon of and Buddhist deities.
Shingon deities and bōdhisattvas. So keeping secret one’s First is the combination of a vajra-hilted sūken with an
methods of contacting Fudo and sending prayers through entwined dragon either ascending or descending. The vajra,
him was in the warrior’s best interest. Even today, when coupled with the sūken, is called the sankōzūka
practitioners are reluctant to display and teach the inner (three-pronged handle). The vajra itself is a weapon of
aspects of kūji-kiri. Indian origin. Mythologically, it appears as early as the
Vedas, where it is the lightning-bolt weapon of the god
The Sword of Fudo Indra. For use by mere mortals, its original design was to
In Japanese culture, Fudo’s sword is second only to the shoot darts from a sleeve.20 The vajra assumes varying
famed Shinto “Sword of the Gathering Clouds,” in forms, most notably the varying number of curved prongs
defining the Japanese warrior image. Examples abound of extending from the hilt. In Japanese iconography, the vajra
Fudo’s importance in the samurai belief structure. Sūken, is a solid implement that is deeply rooted in magic, or
the straight sword, is a symbolic expression of Fudo sammaya. “[Sammaya] is the concept of protecting and
Myo-o’s formidable powers. Samurai often included sūken concealing. It is tied directly with Tantric Buddhism on the
images on armor, helmets, sword fittings, and so on. mainland [Asia] with the double-cutting-edged sword.
The sūken acted as talismans, symbolic protectors that And what could be more appropriate… than the sūken?”21
called upon Fudo’s power and, through him, harnessed As a talisman calling the powers of the Shingon
the might of the Dainichi Nyorai. In fact, some believed pantheon, the combination of the sword, the sūken and
that the sūken, even when depicted alone, was an actual the vajra are most powerful. The term kūrikara refers to
incarnation of Fudo.18 Sūken engravings are a type of Fudo’s sword in particular. The kūrikara is a sūken with
hōrimōnō (engraving), commonly seen carved into the vajra hilt. This image is found nearly everywhere in
sides of blades. In doing the carving the swordsmith samurai culture: hōrimōnō engraved on swords,
symbolically instills the spirit of Fudo within the soul of on sword-fittings, on menūki and tsuba provide some
the blade. In turn, this act imbued the sword’s owner with examples. When combined, these symbols invoke the
an immovable mind in the face of battle. Further, the influence of the Dainichi Nyorai in a way that no other
sūken hōrimōnō would also act as a talisman of sorts, combination of talismans can.

Fudo does not act to protect only the warrior. Indeed,

he has gained popularity within the general population.
In times of danger, the possessor of this sacred combina-
tion of symbols would be given an open channel when
calling for the aid of the cosmic Buddha. Fudo would
transmit the need, prayer, and situation to the assembly of
cosmic Buddha incarnations. Fudo and his symbolic
sword gained increasing importance and recognition
within Japanese society. Again we see the central role of
Fudo the Immovable in Japanese culture.
There are many temples dedicated to Fudo wherein
daily fire rituals are performed. Some such gōma (fire
purification) ceremonies draw huge crowds.
The significance of Fudou is due not only to his being a

transformation of Dainichi, but also in large part to his role as a
honzon for gōma, a fire ceremony still popular today in which
defilements are symbolically burnt. Gōma was and is still
performed in Hinduism. Although gōma can be performed for
many deities, Fudo is felt to be particularly appropriate because he
is continually occupied in a fire meditation in which all hindrances
are burned up by knowledge. Gōma is usually performed with the
intent of tranquility and harmony, although it can have other
purposes. A small gōma may be performed by a devotee or by a
priest in a hall, while a large outdoor gōma, called saitōū gōma
採燈護摩 (also written 採燈護摩) is performed by mountain
practitioners (yamabūshi 山伏) as an ascetic ceremony. Gōma is
still also performed at Touji for the imperial ritual of the
gōshichinichi-nō-mishihōū 後七日御修法 .22
Famed iconographer and comparative mythologist

Joseph Campbell experienced one such saitōū gōma
ceremony. Campbell’s work has brought the world of
mythological heroes to the doorstep of modern academia.
His outstanding works are considered to be primary
sources in studying the warrior archetype. While
traveling in Japan, Campbell went out of his way to
witness the gōma ceremony honoring Fudo. He later
recounted that it was one of his most memorable
experiences in a year spent exploring symbology, culture,
and mythology all over Asia.23 Here, I recount his gōma
ceremony experience.
This ceremony occurred at the Shinran Fudo-dō Myo-o-in

temple, just outside of Nishi Honganji. Yamabūshi, or
“mountain warrior-monks” marched into the temple grounds,
encircling a pyre that was in the center of the courtyard.
Together the monks recited the Prajnaparamita Hrdaya Sutra,
or Holy-Heart Sutra of Perfect Wisdom and seated themselves.
A second group of yamabūshi approached the temple grounds
and were challenged at the gate. In a ceremonial reenactment ABOVE This hōrimōnō displays
of ancient credential-checks, the gatekeepers nearly battled the Fudo brandishing his sword
latecomers but after much shouting, proof was given that the beneath the Sanskrit character
latecomers are indeed real yamabūshi. After the performance of for his name, “Acala.”
the prescribed challenge, the group was allowed to join the LEFT This hōrimōnō features
ceremony. The newly admitted yamabūshi circle the pyre, pray the kūrikara on a blade by
before the altar, and seat themselves. Kurihara Kenji Nobuhide.
OPPOSITE LEFT this hōrimōnō
As the gōma ceremony progressed, two yamabūshi came shows Fudo standing beneath
before the audience, and performed austerities with a sword and a waterfall.
bow. One monk came forward and symbolically released arrows OPPOSITE RIGHT This is a
towards each of the four directions. Another came before the stone Fudo dating to the
altar, and brandishing a sword, honored Fudo with prayers. Taishō Era.

He swung the sword before the unlit pyre in a symbolic gesture

affirming the cutting of delusion and wickedness.
The abbot overseeing the ritual came before the pyre, and
having read a sutra aloud, tucked it into the wood to be burned.
The sutra, along with the prayers of those participating in the
ceremony would be transmitted to the heavenly realm by the
smoke. Stepping forward in unison, yamabūshi came to the pyre
bearing torches, and, reaching down set it aflame. Within
moments the pyre was burning and smoking heavily, engulfing the
yamabūshi in a thick cloud. The cloud of smoke moved around in
circles, making a clockwise spiral. “And this yamabūshi, with an
attendant beside him, standing on his shins, was moving his
hands, pushing, pulling, conjuring, and pulling, like a cowboy
turning a steer with a rope—only the rope couldn’t be seen.”
Adding to the magic of the proceedings, the surrounding
yamabūshi chanted in unison (Campbell notes that the sound was
similar to mesmerizing Navajo chants). And into the flames were
fed hundreds of consecrated wooden tablets, which contained the
prayers of the people. Like riding on the back of a winged dragon,
their prayers rose upward in graceful smokey spirals. Rising
smoke is seen as vehicle for the transmission of prayers through-
out many cultures. Here, the messages are channeled through
Fudo to all of the Dainichi Nyorai, bringing the highest level of
potency to their prayers.
When the prayers had been magically delivered to the realm

of the gods, the pyre was pulled apart, revealing the red coals
below. Even as flames lashed up eight to ten inches between the praying for the fire to be cooled, he was praying for those
logs people began to remove their footwear, getas and zōri. who crossed the coals. The real significance in gōma
A “wizard” stood on one end of the fire and an assistant on the ceremony is that flames can be tamed, cooled even,
other, each “conjuring a power to cure into the fire.” [Campbell by those who do not allow the delusions of fear and
writes] I decided to take my time and see what it was really like to attachment to invade their consciousness.
walk on a wizard’s fire. My first step, with my right foot, was a bit Campbell himself noted that the fire had a healing effect
timid and a bit off to the side, where there were no leaping flames. on his injured ankle. One can only imagine the effect that
RIGHT Manjusri carries the But then I thought, “well now, come on!” and seeing a nice fat such ceremonies and magic would have had on the
sword in his right hand and flame right in front, I put my left foot down on top of it, squarely. mindset of feudal warriors. It is no surprise that Fudo is
the sutra in his left. Crackle! The hairs on the lower part of my leg were singed and a considered the patron saint of warriors and has come to
BELOW Kokuzo Bōsatsu, shown pleasant smell of singed hair went up all around me, but to my represent the most important of the Myo-o. Priest Kukai
here brandishing a sword, is skin the flame was cool—actually cool. This gave me great wrote of the gōma ceremony, a poem called Singing
particularly important to the courage, and I calmly completed my walk, strolling slowly and Images of Fire:
Shingon sect of Buddhism. He calmly right down the center of the road. Three more steps
aids worshipers by bestowing brought me off… it was only when I was putting on my right shoe Singing Images of Fire
wisdom and memory. that I noticed that the swelling in my [injured] ankle had gone A hand moves, and the fire’s whirling takes different
down. All the pain had disappeared too.24 shapes:
All things change when we do.
Campbell’s account of the ceremony speaks to its The first word, “Ah,” blossoms into all others.
power as a soul-stirring event. Building on Campbell’s Each of them is true.25
commentary, we can explore some of the relevant
symbolism. Fudo is after all, not only an important Fudo stands by the side of mankind as a literal and
Shingon deity, but exemplifies the mystical Japanese metaphoric protector but, in another sense, he also lives
warrior image. Fudo remains unmoved despite being within us. It is believed that people can embody his spirit
surrounded in flames. Likewise, the fire-walkers’ minds when they do not allow the mind to be moved by
were unmoved during their trek across the coals. attachments and emotions that form distracting thoughts
The ritual demonstrates that humans can manifest the at critical moments: fear, anger, greed, carelessness, and so
traits of Fudo himself. Many consider his protection and on, are but delusions. They are not true reflections of the
wisdom to be manifest within their lives. Those who universe, but a smoke-screen that leads Buddhists to false
walk the fire do so trusting that Fudo will use his sword conclusions and mistaken courses of action. Whether or
and rope to cut and bind the flames from underneath not we believe in Buddhist scripture or Shingon magic
their feet. makes little difference. The wisdom of Fudo can still offer
In Campbell’s account, he makes reference to a meaningful symbolism today.
magician casting spells on the fire. Not only was he

Monju Bōsatsu universe. In that context, duality is embraced as being the

Those who have interest in Buddhist theology have natural state of equilibrium.
doubtlessly seen many images of Buddhas and Bōdhisattvas Fudo Myo-o and Monju Bōsatsu are manifestations of
brandishing swords. Indeed, Buddhist lore is filled with the same universe yet embody different elements of it.
such images. Usually however, they do not appear as Fudo Fudo, as a Myo-o, or embodiment of Buddha, lives
does, threatening, bluish-green, and terrifying, engulfed in beyond this plane of existence; he transcends this
flames. Generally, Buddhist deities are serene, even existence, residing everywhere but resting nowhere.
joyous—Fudo’s polar opposite. Again, the symbolism of Bōsatsu, on the other hand, represent hope for humanity.
the sword offers insight of particular use for modern They are earthly guides whom we can follow for
swordsmen. Like in and yō (yin and yang), the manifesta- ourselves. It is of the highest significance that each of these
tions of Buddha’s wisdom are also believed to express important deities wields the sword. There is, however, one
themselves in dualities. more facet in the symbolism of the sword that will yield
Monju Bōsatsu, or Manjusri the bōdhisattva, known as value in this discussion. Who protects the Bōsatsu?
He who Speaks Softly, is believed by many to have been a Who protects Myo-o? Who are responsible for protecting
disciple of the historical Buddha. He differs from Fudo in humanity and Buddhist doctrine? To whom can the higher
many ways other than his appearance. Most significantly, deities look for protection? They can look to Jikokuten, ABOVE Most people think of
Monju is a bōsatsu (bodhisattva). A bōdhisattva is the Warrior-Guardian. the serene images of Buddha.
someone who has existed in human form and has reached Japanese warriors, however,
the pinnacle of enlightenment, but instead of crossing Jikokuten called upon his ferocious
over into the vastness of Nirvana’s paradise, has returned Jikokuten is one of the Shitennō, or Four Heavenly Kings manifestations. Jikokuten,
to the earthly plane of existence out of compassion for that Japanese Buddhism has adapted from Hindu deities. “Guardian of the Nation,” is
others. Bōsatsu then remained here, acting as guides for Shitennō exist between the heavenly and the earthly one of the four warrior kings
those who are on the path toward enlightenment. planes in which mankind and bōdhisattvas live. As a charged with guarding the
As humans, bōsatsu can be reincarnated, being reborn figure, Jikokuten is a guardian that links heaven and eastern quarter of the four
over and over again. In this way their guidance can earth. He stands facing east, guarding over the dharma cardinal directions.
continue over countless generations. It is believed that LEFT Another representation
one can reappear, reincarnated, anywhere on earth. of Jikokuten—Guardian of the
Monju Bōsatsu is believed to have been reborn as the east.
Japanese monk Gyoki in Japan in 736.
Monju Bōsatsu represents knowledge, intelligence,
and determination. He is known as the bōdhisattva of
marvelous virtue and gentle majesty. In his left hand he
holds the scroll, signifying the teachings of Buddhist
doctrine. The scroll is a reminder for those who have
strayed off the path towards enlightenment and an
offering for those who need such an invitation.
The sword is held in Monju’s right hand, brandished
openly. Although the sword is a tool of warfare,
its pragmatic purpose is for cutting. Here again we find
the sword employed in a metaphoric sense. It is often
said that Monju’s sword embodies the life-giving
sword. This makes sense given the serene and comfort-
ing image of Monju. His peaceful disposition and
nonthreatening appearance lead people to see him as a
benevolent god.
Some authorities refer to Monju as positive and Fudo
as negative.26 Although this is true in a sense, the terms
“positive” and “negative” are often misleading for
Westerners. We see things as either good or bad. In the
East, however, such dualities are equally valued as
different expressions of the same phenomenon, such as
two sides of one coin. This concept is seen in the idea of
ōmōte and ūra (front and back). Monju represents the
ōmōte, or outwardly obvious expression of the sword’s
benevolence. Fudo, on the other hand embodies what is
hidden, the benevolence behind the warrior’s duty beneath
the surface. “The sword in the hands of Acala the
Immovable [Fudo] and also the Prajna sword in the hands
of Manjusri Bōdhisattva,” are one and the same.27 “It kills
and yet gives life, according to the frame of mind of him
who approaches it.”28 The implied conclusion is that all
things, no matter how different they may seem, are
actually different aspects of the same great thing: our

(Buddhist doctrine), along with his three companions: world of Japanese Buddhism, would bring the sword to
Zojoten, Guardian of the south; Komokuten, Guardian of new levels of spirituality—the sword of insight.
the west; and Tamonten, Guardian of the north. Jikokuten
is sometimes called the Guardian of the Nation. The term The Sword of Zen: The Sword of Insight
“nation” in this sense means “the earth,” indeed, the Japanese forms of Buddhism have intermingled with
entire universe through which Buddha-spirit flows. culture and art in countless ways. They cannot be
Jikokuten in particular is the protector of the Nyorai, extracted individually from any understanding of modern
Manifestations of Buddha, and bōsatsu (bōdhisattvas). Japanese culture. One needs only to look to Zen and its
In this capacity, he oversees all of the consciousness, profound influence on the Japanese perception of mind,
both embodied or not. Jikokuten, along with the other meditation, and self-mastery to see how inextricably
heavenly kings, is frightening. They all stand surrounding Buddhism is interwoven in Japanese life. In Buddhism,
Buddha guarding his vast kingdom against those who it is believed that people create their own hell or heaven,
would hinder it. psychologically, here in this lifetime, as a result of their
Comparing these three deities clarifies some important mindset. Zen focuses at the heart of this matter and asks
distinctions in the iconography of the blade. Fudo and the Zen student to direct all of his or her attention into
his mind are unmoved by flames. Although Fudo’s the mind. By isolating the processes of the mind,
images (particularly the flames) are dynamic, his Zen practitioners can discard the thoughts that are
immovability is always implied. This is also the case with impacted by delusion or attachment. Identifying and
Monju Bōsatsu, who sits presenting an outward warning developing mastery over the various mind-functions is
while offering the alternative to the blade, the Buddhist critical in Zen. The same is true for the Zen swordsmen
doctrine. Both Monju and Fudo serve as reminders to of Japan, both historically and today.
mankind. Their images stand with minds and hearts Zen began to take root in the psyche of Japan during
ready but bodies firmly in place. Their images imply that the Kamakura Period. But up until the end of the Edo
they would not even need to move from their position to Period, warriors preferred more practical esoteric Mikkyo
cause change in the heart of the beholder. Jikokuten, sects of Shingon and Tendai Buddhism. While it is correct
on the other hand, is usually portrayed as being that the Zen-swordsmanship connection was not popular
animated and ready for action. during early feudal periods, it began to emerge through
Jikokuten also stands at the ready, sword drawn and Tesshu’s writings in the late Edo Period. Zen permeated
in-hand. He protects righteousness and the virtue of pure Japanese culture by building on the long-established
truth. He is “a warrior’s warrior.” His armor, posture, sociological preconceptions surrounding the sword’s
and facial expressions make clear his intent and ability to symbolism. The Zen-swordsmanship connection
carry out his mission. He is often shown atop a slain developed during the tumultuous period leading up to the
demon, gearing to leap upon the next. He, too, brandishes fall of the samurai class and creation of a modern
a sword of benevolence. His sword shares the same Japanese identity.
iconography as that of Fudo and Monju. In fact, the blade The effects of Zen on swordsmanship culture were not
he carries is a straight sword, often with a vajra hilt. immediate or far-reaching. Zen, as a form of Buddhism,
It is a divine sword of insight and knowledge, its symbol- established its political prowess and financial security
ism crossing both Shinto and Buddhist doctrine. during the Heian, Kamakura and Muromachi Periods.
The sword is the symbolic weapon of choice when In the practice of swordsmen, however, more has been
protecting deities and mankind alike. This is one of the made of Zen in the modern era. This is in part due to the
lessons that Jikokuten’s sword offers swordsmen. shift in the application of martial arts during modern
When we see whom Jikokuten engages in battle, times, as reflected by several prolific authors. The written
another lesson in the iconography of the blade emerges. word brought a new age of iconography to the sword
The enemies that Jikokuten slays are called tentōki. during the Nara Period. So too would the written word
Tentōki were once demons, or ōni, who became lantern reinvent the imagery of the warrior-sage, particularly as
carriers after being defeated by one of the Shitennō. exemplified today in the Zen-swordsman ideal. Three
They stand along the path toward enlightenment, authors acted as the initial catalysts in creating the
illuminating the way for others. Jikokuten’s sword, like Zen-sword connection that has been so widely accepted
that of Fudo and Monju Bōsatsu, cuts but does not kill. today. They are Takuan Soho, Yagyu Munenori, and
It enlightens. What is cut is not the body, but the mind of Yamaoka Tesshu. Later, Daisetz T. Suzuki, and Eugen
the wayward soul. This, perhaps, is one of the most Herrigel played critical roles in developing the Zen and
poignant lessons that sword enthusiasts can glean from sword connection during the modern age. Literary
ABOVE This tantō displays an the study of sword symbolism: the sword is best used to treatment of this connection is revisited in Chapter 7.
ōni, reminding the owner to cut through our own delusion. Wickedness and suffering Together, all of these men would create a new Japanese
cut through demons, thereby stem from delusion. By cutting away the delusions of warrior image for the modern era.
creating salvation. others, leading them to see and act with clear insight, the Many schools of swordsmanship (and other martial
sword and the self become one. And each time we employ arts) are practiced with Zen-based spirituality today.
our powers, be they physical or otherwise, we hold the Applying Zen to martial arts has, in essence, opened the
potential to heal or harm. In this way, samurai believed spiritual aspects to a wide variety of modern practitioners
they embodied the sword of Fudo by their very actions. by emphasizing internal and personal aspects of training.
Looking beyond the catchy “fortune cookie” martial arts Many modern arts de-emphasize practical applications of
slogans we can glimpse the richness they originally the sword by replacing functionality with personalized
intended to convey. But the Zen sect, a latecomer in the character and insight development. Such sword arts

include modern kendo and iaidō. However, it is important result of Suzuki’s reporting of it. So as we look into Zen
to note that Zen also influenced historical sword styles. and the warrior, it is important to distinguish between the
Author Dave Lowry offers his perspective on Zen and to actual teachings and practice of Zen Buddhism and the
what degree Zen it impacted Edo Period swordsmanship: distorted modern application of Zen ideas to non-reli-
gious activities.
Yagyu Munenori (1571–1646), the second headmaster of the Just as nativist Shinto existed as regional folk-rituals
Yagyu Shinkage ryū, a school of swordsmanship and martial before they were formally codified, so to did the
strategy, was a friend and disciple of the Zen Buddhist Priest practices of swordsmanship as a means to enlighten-
Takuan Soho (1573–1645). Takuan wrote some treatises and ment. Zen, established in the Kamakura Period, would
letters to his student, using the analogy of swordsmanship and not see widespread popular association to swordsman-
martial strategy to explain Zen….The commentaries Takuan ship until Takuan Soho, Yagyu Munenori, and Yamaoka
wrote to Munenori (he also wrote similar letters to other Tesshu’s writing during the Edo Period. Nevertheless,
swordsmen and daimyos) were widely read. Conversely, the understanding Zen in terms of when and how it
densho, the curriculum and scrolls of most ryū, were kept secret interplays with the iconology of the sword is critical to
from nonmembers. So the general public, exposed to Takuan’s understanding how later warriors (including today’s)
writings, [incorrectly] assumed a close Zen-būdō connection. saw their swords.
Martial artist reinforced this in the post-feudal period.29 Zen is a form of Buddhism that heavily influenced
martial artists, both historical and modern. “Zen” is the
Takuan Soho’s writings would endure and eventually Japanese pronunciation of “Ch’an,” the Taōist-influenced
become a major force in reshaping the modern popular form of Chinese Buddhism from which it evolved.
connection between Zen and swordsmanship. Similarly, Zen places heavy emphasis on meditation as a method of
Yamaoka Tesshu’s works were widely read. These early attaining enlightenment. From its earliest days, the
Zen authors laid the foundation for later authors like Japanese warrior and his sword were attracted to Zen.
Suzuki, Herrigel, and countless others who have rehashed Although the Ch’an school of meditation had been
their interpretations. Therefore, no discussion of Zen integrated into Japanese society as early as the seventh
would be complete without touching on Suzuki’s role in century, the Tendai monk Eisai (1141–1215) popularized
shaping the Zen-warrior identity. Japanese Zen. The fourth Hojo family daimyo, Hojo
Famed author Daisetz T. Suzuki dedicated 155 pages of Tokiyori, who was certified as having attained enlighten-
his epic 1959 work, Zen and Japanese Culture to ment in the Zen method, popularized Zen. Hojo Tokiyori
outlining the oneness of the sword, the Japanese ethos, was a powerful warlord from an important and influential
and the practice of Zen. Suzuki’s work changed modern family. His endorsement and practice of Zen meditation
perceptions of Zen-warrior spirituality, both Japanese and spread through the Ashikaga shoguns and beyond.
non. Unfortunately, Suzuki studied neither Zen nor Zen’s popularity had a snowball effect among the warrior
swordsmanship and his writings distorted both Zen and class due to its many appealing qualities.
the iconography of the sword.30 By the time Zen was imported to Japan it had already
Suzuki was a scholar who studied the science of religion seen profound Taōist influence. It could be said that BELOW The elegant simplicity
not in Japan, but overseas in America. He wrote in proto-Zen, in fact, preexisted in China as a hybrid of of Zen rock gardens has
English to American and European readers with the Taōism and Indian Buddhism. In China, the Ch’an school stirred contemplation
intention of espousing his nationalistic version of Zen, of meditative Buddhism emerged as Indian Buddhism historically and continues to
which he considered not to be the property of the Zen traveled North and East through China. As Buddhism inspire people today.
school of Buddhism. Instead, Suzuki argued that his
definition of Zen embodied the nationalistic ethos and
secular spirituality residing within, and belonging to,
all Japanese. Professor William Bodiford explains further:
Zen and Japanese Culture…has become the classic argument

for the identity of Zen and the martial arts. Although Suzuki had
no firsthand knowledge of martial arts, he freely interpreted
passages from Tokugawa Period martial arts treatises as expres-
sions of Zen mysticism. His translations are full of fanciful
embellishments. For example, he explains that shūriken, a term
that simply means “to perceive the enemy’s technique,” as “the
secret sword” that appears when “the Unconscious dormant at the
root of all existence is awakened” (Suzuki 1959, 163). This kind of
mistranslation, in which physical skill becomes a psychological
experience, rendered the notion of Zen and the martial arts at once
exotic and tantalizingly familiar to Western readers.31
Put in their proper context, Suzuki’s writings were in

line with the ultra-nationalistic and secularist trends of
post-Meiji Japan. Nevertheless, Zen has indeed crept into
the modern understanding, practice, and teaching of
Japanese arts—not so much as Suzuki reported it, but as a

came into contact with Taōism, a new method of attaining and enlightened way. The training halls of Zen were
enlightenment evolved to suit the tastes of the Chinese. designed simply to minimize distractions and encourage
The emphases of “flowing in harmony,” “living in the inward thinking.
here and now,” and the “pursuit of balance” as epito- Suzuki writes of Zen’s ability to generate satōri,
mized by Taōism combined with the introspection and or universal insight for swordsmen:
self-searching of Buddhism. The elaborate ceremonies and
opulence of preexisting schools of Buddhism were cast And is it really the delusion and not the actuality of things as
away. The result was Ch’an. they really are, that creates in us every occasion for worries, fears,
Zen, like Taōism, employs the warrior image in guiding harrowing anticipations? When this delusion is wiped away,
the development of benevolence in practitioners. Instead would not life itself look after its own welfare as it deems best?
of using the tales of Chuang Tzū and Lao Tzū however, And would not this be the way the swordsman lets his life-pre-
Zen emptiness preestablished Buddhist deities such as serving instinct work itself out in full accordance with nature?
Monju Bōsatsu. …It is, no doubt, of the utmost difficulty to wipe out the idea of
Many samurai, in their need to reconcile their death from the field of consciousness, but there is no reason we
spiritual and practical realities, relied on meditation to cannot do it, seeing that the conscious field is our deliberate
free them from suffering and delusion. This is sometimes cultivation, collective and individual…Especially the swordsman’s
referred to as unlocking one’s Buddha-mind. Through life is devoted to this form of discipline. He drives away his
arduous and lengthy meditation, the Zen practitioner conscious notion of death from the field of consciousness we ordi-
achieves enlightenment by stripping away his own narily recognize and permits the instinct of self preservation to
delusions. In keeping with the image of the warrior, come forward, which then occupies the whole field of uncon-
the samurai sought to maintain readiness of both mind scious consciousness… I believe this is on the whole the
and body. The samurai were attracted to the detachment psychology of perfect swordsmanship.32
from thoughts of life and death that Zen meditation
offered. Herein resided the primary appeal of Zen for It is impossible to study Zen and the sword without
the samurai. Maintaining one’s honor through right- studying Yamaoka Tesshu. Tesshu’s brand of Zen-influ-
minded behavior, both on and off the battlefield is a enced swordsmanship was born in a tumultuous time
theme that transcends Japanese historical periods. when warrior spirituality was on the decline. Edo Period
Zen’s ability to meet this need has ensured its assimila- commoners flooded the capital city of Edo. They brought
tion into Japanese culture. with them their practical, uneducated, and ruthless
The integration of Zen, as with earlier forms of fighting techniques. In many cases, ruffians defeated
Buddhism crept into the Edo Period samurai who sought formally educated and trained samurai. This challenged
reconciliation between their duties to kill and to attain the long-held preconception that the scholar warrior was
salvation. The warriors maintained an intimate relation- ideal and most powerful. Friday explains, “Thereafter,
ship with the realities of hundreds of years of constant established martial lineages that had emphasized theory
warfare and strife. Zen stresses the refining of one’s ability or mental training became subjects of ridicule, while new
to live in the moment, shedding thoughts of past and lineages that taught competition (ūchikōmi keikō)
future. Zen teaches that any thoughts that stray from the flourished.” Even Tesshu himself, the swordsman who
here-and-now are delusional and reflect ego and the would spur the modern zen-swordsmanship connection,
minds’ tendency towards delusion (considered a form of served as a sword instructor at the Kubosho, a school
hell in Buddhism). As with the integration of earlier forms known for downplaying any connection between spiritual-
of Buddhism into preexisting nativist Shinto beliefs, ity and martial arts prowess.
Zen was added into the body of available spiritual For example, Tesshu, a famous late Zen swordsman and
guidance that the samurai had at their disposal. In this founder of the Muto-ryū school of swordsmanship writes:
way, Zen came to complement the protective talismans of
Shingon (such as Fudo-Myo-o and the sword of wisdom) For years I forged my spirit through the study of
and the aid of the ancient Shinto kami (such as Amat- swordsmanship,
erasu, Susano-wo-o-No-Mikoto, Hachiman, and one’s Confronting every challenge steadfastly.
ancestors). As Zen gained popularity, Zen monks were The walls surrounding me crumbled;
given high social standing. They became the leading Like pure dew reflecting the world in crystal clarity,
scholars of the day and were even given posts as advisors Total awakening has now come.
to the Ashikaga Shogunate under Ashikaga Takauji.
The essence of Zen is the pursuit of insight into the Using thought to analyze reality is illusion;
true nature of the universe, and in turn, oneself. But the If occupied with victory and defeat all will be lost.
order of enlightenment is reversed, thereby making true The secret of swordsmanship?
insight more accessible. In Zen, the focus is an inward Lightning slashes spring wind!”33
one. After having seen one’s true inner nature, an
accurate perspective on the universe can be unlocked. Kōans (Zen riddles) are often given in some schools of
Zen sees man as an expression of the universe. Conse- Zen Buddhism as a means of spurring and guiding
quently, if one can achieve complete insight, then the key reflection during meditation. Special kōans were developed
to Buddha-mind (enlightened mind) is revealed. and used specifically for those samurai who could benefit
The moment of this realization is called satōri. Achieving from more practical riddles. For example, instead of
the goal of insight improves the quality of “outsight,” contemplating esoteric enigmas (as many kōans are) such
or one’s ability to see the world in a complete, unbiased, as, “the sound of one hand clapping,” a samurai might

have been asked to meditate on how to solve a seemingly

impossible military predicament. A body of practical
advice and guidance emerged from Zen traditions that
specifically catered to the needs of the Japanese warrior.34
As Zen developed the ability to meet the needs of
warriors, the warriors infused Zen into the fabric of
Japanese culture.
Some schools of swordsmanship see the encounters
between swordsmen as forms of kōan, where the ability
of the swordsman to achieve clarity of mind in battle is
tantamount to spiritual unification.35 In Zen, the ability to
solve kōans, whether physical or intellectual, stems from
achieving a state of quiet mind. This mindset is often
referred to as “mu” (emptiness). When the mind is in a
state of emptiness it becomes quiet and is likened to still
water. Just as water is not the moon but reflects it clearly,
in this state, perception of duality does not exist and the
swordsman sees not a foe before him but an extension of
himself. If the mind is in this state of emptiness, or
oneness, the swordsman will move without thought and
his actions will flow in perfect harmony with the universe.
Zen, therefore, shuns simplistic judgments of good and
evil, as conceptualized in the West. Instead, Zen perspec-
tive sees evil as intimately related to, or even a facet of When mūshin or mūnen is attained, the mind moves from one ABOVE In many ways, the
good, and vice versa. object to another, flowing like a stream of water, filling every simple elegance and
Zen literature often speaks in terms of warriors using possible corner. For this reason the mind fulfills every function asymmetrical form within
the precepts of Zen to realize their “priestly” potential, to required of it. But when the flowing is stopped at one point, all swordsmanship mirrors that of
embody the benevolent-warrior image. This had as much the other points will get nothing of it. And the result will be a Zen garden.
to do with practice of martial arts as it does the mindset general stiffness and obduracy….But the attempt to remove the
of the warrior during practice. And as for swordsmen, thought already in it is to refill it with another something.
Zen offered an appealing path towards mastery—both in The task is endless. It is best, therefore, not to harbor anything in
the art of swordsmanship and the art of living. Zen, as a the mind from the start….
system of mind-mastery, seeks to connect the physical
realm to thoughts, emotions, predispositions, attachment, Takuan then paraphrases an ancient poem in relation to
and delusion. By shedding unnecessary thought processes romantic love and attaining no-mind:
and the distractions that they represent, one can move
through this world unimpeded. This ideal also applies To think that I am not going
directly to Zen-influenced swordsmanship. Enlightenment To think of you any more
in one sense would indicate enlightenment in the other. Is still thinking of you.
What is shared are the internal aspects of the enlightened, Let me then try not to think
or “awakened” mind. That I am not going to think of you.36
The cultivation of a mind that does not attach itself to
emotion-driven or ego-driven thoughts was in high Zen teachings and literature focus on helping swords-
demand for the samurai. For the Zen swordsmen, this men to realize their potential in swordsmanship by
was an important, philosophically practical mentality. attaining higher levels of consciousness. In this way,
In the mind of the Zen swordsman, there is no kill, so to Zen had a greater impact on how the swordsmen of Japan
speak, because the mind in a state of oneness is not perceived themselves in relation to their swords than it did
capable of making the distinctions necessary for in creating new iconography. By building on the previ-
judgment-guided action. Famed Zen Master Takuan, ously established images and Buddhist deities and adding
teacher to the most famous swordsmen of his day, speaks to that the Zen mindset, Zen shaped the warrior culture.
of this issue. He writes a letter advising Yagyu Tajima-no- The impact was profound, wide reaching, and long
kami Munenori, leader of the Yagyu Shinkareryū, on lasting. Zen swordsmen saw their blades as tools of
attaining perfection of swordsmanship by means of enlightenment—not only for themselves, but for those
perfection of the mind: who were on the business end of the blade as well.
The cutting of flesh became synonymous with the cutting
A mind unconscious of itself is a mind that is not at all of delusion. When swordsmen practiced with their blades,
disturbed by affects of any kind….It is always flowing, there existed a presupposition that the practice resulted in
it never halts, nor does it turn into a solid. As it has no discrimi- spiritual self-cultivation. In battle, however, the Zen
nation to make, no affective preference to follow, it fills the whole sword proved its worth as well. The Zen mentality and
body, pervading every part of the body, and nowhere standing focus on no-mind allowed swordsmen to cultivate very
still….If it should find a resting place it is not the mind of keen senses.
no-mind. A no-mind keeps nothing in it. It is also called mūnen, Without preconceptions, or thoughts of any kind, the
“no thought.” Mūshun and mūnen are synonymous. Zen sword moves of its own accord, and the swordsman

therefore becomes an expression of the universe. connection between Taōism and Zen. Nevertheless,
The empty mind (as attained through Zen meditation) Zen and martial arts schools of medieval Japan were
only reflects what is before it, and does so without bias or inseparably linked by tradition and time. The zendō,
sentimental judgment. When the sword is wielded in such a place of austere training in an art that could be
a manner, it is said to embody the wisdom of Buddha— considered a Way, became the inspiration for martial arts
the life-giving sword. What then did Zen make of the schools and tea-houses all over Japan. Zen-influenced
gruesome realities of killing with the sword? How can the training halls are free of clutter and distractions.
sword—a tool specifically designed for the killing of Yet, as we will see in later chapters, the connection
men—become affiliated with the Buddhist doctrines that between the Zen style “dojo” and martial arts has less to
propagate the salvation of sentient beings? Zen teachers do with Zen than with the emergence of state-cult Shinto
relate these concepts by advising students to consider during the Taishō Period.
Monju Bōsatsu and his life-giving sword of wisdom. Zen encompasses many things. Yet in the end, what
Yet again we see the Taōist roots of Zen coupled with a Zen is not may have helped to ensure its popularity
smattering of Shingon and Tendai deities rehashed within among the warrior class. Warriors were attracted to the
a modern interpretation of Zen and the Symbolism of the sparse aesthetic, which focused on simple living, shunning
sword. Suzuki writes: the ostentatious ways of other forms of Buddhism.
Its appreciation for minimalism and hard-earned internal,
Zen speaks of the sword of life and the sword of death, and it is spiritual progress appealed to the samurai, who sought to
the work of a great Zen master to when and how to wield either of epitomize the warrior ideal. The humility and sparseness
them. Manjusri carries the sword in his right hand and the sutra in of Zen, coupled with its rigid and demanding meditation
his left. This may remind us of the prophet Mohamed, but the sessions, fit nicely with the warriors’ need for social
sacred sword of Manjusri is not to kill any sentient beings, but our structure and self-reliance. Again, the Japanese show their
own greed, anger, and folly. It is directed toward ourselves, for propensity to adopt and adapt the preexisting to synthe-
when this is one, the outside world, which is the reflection of what size something new.
is within us, becomes also free from greed, anger, and folly. Acala Japanese Zen is certainly unique, even among other
(Fudo Myo-o) also carries a sword, and he will destroy all the forms of Buddhism and even when compared to its
enemies who oppose the practice of the Buddhist virtues… Chinese predecessor, Ch’an. Zen offers the swordsman a
[When all evil has been dispelled, Fudo] will assume his original chance to examine deeply internal processes of mind and
features as the Vairocana Buddha, whose servant and manifestation identity. During the Kamakura Period Zen thrived,
he is. The Vairocana holds no sword, he is the sword itself, sitting weaving itself into the very fabric of Japanese culture and
alone with all the worlds within himself.37 worldview. Its impact continues to resonate today.
As the above passage indicates, Suzuki’s Zen appreci- Heian Period Swords
ates the balance of light and dark, hard and soft, as It is believed that during the Heian Period, the Japanese
Taōism had. Also appreciated in Zen as in Taōism is the blade saw a transition away from the tsūrūgi and tachi
balance of the realities of making war—the life-giving jōkōtō designs. Although there was some experimenting
sword (katsū-jin-ken) and the life-taking sword (satsu- with various curve designs, the jōkōtō blade had not yet hit
jin-ken). Here, yin-yang offers insight into the life-giving the mark of excellence that it was destined for. The
sword. Ideally, the life-giving sword is done from the standard practice of swordsmiths in the mid-Heian Period
perspective of wisdom and insight. When wielded from became the making of curved and differentially-tempered
this vantage point, the sword transcends its form as a blades. This construction method, combined with the edge
killing tool and realizes its potential as a munificent differentially tempered, defines the Japanese sword. Other
universe-shaping extension of the enlightened warrior. important changes include the steepened surfaces of the
Indeed, the precedent had been set by Chinese Confucians blade, resulting in sharper swords and easier cuts. This
and Taōists, who touted the virtue of wisdom as a marks another important shift away from the under-engi-
prerequisite for waging a justified war. If a war could be neered, bulky tsūrūgi and tachi versions of the jōkōtō.
morally justified as being for the greater good and With its single edge and curved blade, the Japanese
ABOVE Katsū-jin-ken sustenance of societal order, then it was also considered in sword shifted from a hacking and stabbing instrument to
satsu-jin-ken calligraphy that harmony with divine order. The katsū-jin-ken satsu-jin- a slicing tool. This is likely to have been in response to a
refers to the dual nature of the ken paradox represents Zen’s concept of virtuous, shift in military tactics to include more cavalry usage.
life-giving, life-taking sword. enlightened, and justified killing. This was a major factor The mounted warrior could use the curved blade with
in shaping how swordsmen saw their blades and the deadly efficiency, slashing down from above with great
mark of an enlightened warrior to espouse such concepts. speed. The use of a straight sword in such a context would
This mindset also shaped the warriors’ perceptions of have been less effective because the straight sword
ardent martial practice as means to establishing inner encounters greater surface area upon contact. The impact
harmony. Practice of martial arts developed the qualities of a blade is amplified when the swordsman is mounted
of moving meditation. If inner harmony could be on horseback and riding past with momentum.
developed, it was believed that actions taken would lead The curved sword slashes more easily. As thrusting was
to societal harmony. de-emphasized in swordplay, the curved sword became the
Zendō, or Zen meditation halls, are unembellished standard tool for the Heian warrior.38 Note that at this
chambers of austere training where a no-nonsense time the blades are still considered tachi. These blades,
approach to enlightenment is propagated. It is interesting like their predecessors, were worn edge downward,
to note that the do, in zendō, denotes an implicit necessitating two motions before the cut.

Kamakura Period Swords daily activities. This change offered quicker response in
Due to the Mongolian invasion, the Japanese sword saw two ways. First each swordsman became capable of
some significant changes during the Kamakura Period. drawing and cutting with one stroke. Second, groups of
Most of the changes did not redesign the sword but made samurai were able to maintain a heightened state of
it more effective.39 During the Kamakura Era, sword- readiness, being constantly armed and able to respond to
smiths began carving hi (grooves) and hōrimōnō (talisman the call to battle.
designs) into the surfaces of swords. The carved designs, With the sword now worn in the “katana” fashion as a
or hōrimōnō were a way of imbuing religious or protective rule, it is worthwhile to note that at this time we see
talismans directly into the surface of the swords. Hi, also increasing numbers of paired swords—long and short—
known as bō-hi, serve another purpose entirely. worn together. Wearing the daisho was restricted to
The hi, carved lengthwise on both sides of a blade, members of the samurai class. It is during the Muromachi
lightened the blade while not detracting from its strength. Age that the sword began to establish itself as a samurai-
This adaptation in the finishing process of making swords only symbol to the farmers and peasants, who up until
resulted in an even lighter, stronger, more reliable blade. Toyotomi Hideyoshi’s famous sword hunt, had been able
Another indicator of the increased level of craftsmanship to own and wear swords.41 Despite having already
is the elaborate finish of nakago (tangs) of the late Heian achieved supreme symbolic status, this distinction fueled
and early Kamakura Periods. These improvements were even greater social acceptance of the divinity of the sword.
reflected by swordsmiths regularly signing the nakago of The Awataguchi School was founded by Kuniie, whose
their blades.40 father Kuniyoshi went to Kyoto from Yamato Province
where he had connections with Kofukuji Temple. Kuniie
Muromachi Period Swords founded the school in the Awataguchi district of Kyoto
The tumultuous years of the Muromachi Period came to a near the Seirenin Temple. It is estimated that this occurred
crescendo with what is referred to as the Sengoku Period around the early 1100s. This school flourished from the
(1467–1573). Generally included as a component of the early- to mid-Kamakura Period. Kuniie had six brothers,
Muromachi Period, the Sengoku Era is referred to as The Kunitomo, Hisakuni, Kuniyasu, Kunikiyo, Arikuni, and
Age of the Country at War. These were desperately hostile Kunitsuna. Kunitomo’s son, Norikuni, and his grandsons,
times. Neighbors fought neighbors. Alliances were forged Kuniyoshi and Kunimitsu together with Kuniyoshi’s son,
and betrayed. Swords and swordsmen were in high Toshiro Yoshimitsu continued the school traditions.
demand. Social pressures forced the creation of arms and Awataguchi Kuniyoshi was the son of Norikuni and is
warriors en mass. Japanese culture continued to be shaped said to have been the father of Toshiro Yoshimitsu.
by constant warfare. So, too, were the blades the men He was given the title of Sahei-no-jo and is thus known as
wielded. The Muromachi Period marks an important Sahei-no-jo-Kuniyoshi. His active period in history can be
distinction in Japanese swords: Those that came before known from his dated examples that range from 1280 to
and during the Muromachi Period are referred to as koto 1287. Kuniyoshi was known for tantō in various shapes
(ancient-sword). The swords produced after the Muro- including the ones in wide and long measurements.
machi Period are called shinto (new sword). The Muro- They are wide but in sūn-zūmari length (squeezed length)
machi Age is recognized as the last era of the cherished, making the blade look like a Japanese kitchen knife or
“ancient-blade” craftsmanship. hōchō. He made others in markedly smaller sizes.
Due to the large number of swords that were produced, The variety of shapes of his tantō is what differentiates his
the general quality of blades took a downturn. works from tantō produced by the Rai School. This
Poorly trained swordsmiths churned out blades, often variety of shapes was passed on to his son, Yoshimitsu.
forging signatures of famous smiths so as to sell their The tantō displayed on the lower portion of the
work for higher prices. A few highly-rated smiths following page is in a remarkable state of preservation.
continued to produce fine-quality blades that are included It is wide and robust having undergone relatively few
in fine collections and museums today. But compared to polishes over its more than 750-year lifetime. It comes in
the boom in lowly-rated smiths, the top craftsmen were a shirasaya with a sayagaki by Tanobe Sensei of the
comparatively few. NBTHK who notes that this sword is chin-chin cho-cho
Another major shift in the application of the sword or “especially precious.” It also comes with a solid gold
emerged in the Muromachi Era. Towards the beginning double habaki with the Tokugawa Aoi mōn showing that
of the Muromachi Period, only a few low-rank samurai it was once part of the collection of the Tokugawa family.
made a habit of tucking their swords edge-up and into There is some speculation that because the shape and
their belts. Eventually this became the daily norm, structure of the blades of Kagehide are closer to the
adopted even by high-rank samurai. This change is Ko-Bizen tradition than that of the remaining works of
probably the result of several factors. First, the sword Mitsutada, that he should be classified as a Ko-Bizen
became needed as a daily tool during the turmoil of this smith rather than a member of the Osafune School.
period. Second, wearing the sword edge-up and in the belt While this is a valid argument, because of the lack of a
allowed for a smooth and efficient draw-and-cut, in one great amount of signed blades by Kagehide, we must
motion, as opposed to the two motions needed when the remember that he worked in a time of transition. If, in
sword was carried edge-down. Third, considering the first fact, he was the younger brother of Mitsutada, it stands
two factors, the mounting hardware became too bulky. to reason that they were contemporaries and that when
With extensive cordage used to attach the tachi, it was Mitsutada broke from his more traditional Ichimōnji
neither practical nor comfortable for daily use, particu- style, it follows that the works of Kagehide might retain
larly when not wearing armor while going about one’s many of the characteristics of the older Ko-Bizen school.

ABOVE A Blade of the late Heian / early Kamakura Period
This tachi exemplifies the shape of blades of the late Heian and early Kamakura Periods that were worn
suspended from the sash with the cutting edge downward. This blade is from the early Kamakura Period
(1185–1333).

99
BELOW A Kamakura Period tantō blade by Awataguchi Kuniyoshi.
Designated Tōkūbetsū Jūyō Tōken at the 18th shinsa held on the 12th of March 2004.
Shape: A hira-zukuri tantō.
Hōrimōnō: Two lines of kakinagashi bō-hi are carved on the both sides of the blade.
Jitetsu: Small itame-hada contains mokume. jinie and chikei which combine to make incomparable beauty.
Hamon: Sūgūha-hamon with deep niōikuchi. Niju (double)-ba and sanju (triple)-ba appear on the hamon.
Boshi: The temperline turns back in a large round manner.
Nakago: Suriage-nakago. kuri-jiri.


A Juyo Tachi by Bizen Kagehide
Bizen no Kuni Jyu Kagehide worked around the

Bunei Period (1265). He was the younger brother
of Bizen Mitsutada. There are very few signed
works of Kagehide remaining. His most famous
blade is known as Kuronbo-giri that was a treasure
of the famous Date Masamune of Sendai.
This tachi is an excellent example of his work.

It is o-suriage mumei but retains its wonderfully
graceful shape despite the fact that much of its
original sōri has been lost due to shortening.
The measurements of this blade are as follows:

Nagasa: 70.3 centimeters
Sōri:1.3 centimeters
Moto-haba: 2.8 centimeters
Saki-haba:1.6 centimeters
Boshi: 2.0 centimeters
Nakago: 19.4 centimeters
Nakago Sōri: 0.2 centimeters

“Ichi” (୍). To this day there is uncertainty as to whether any of the

smiths who signed with individual names are one and the same as
any of these practically anonymous artisans who signed with only
an “Ichi” (୍).
Norimune (๎᐀) has long been highly reputed to be the symbolic
founder of the Fukuoka Ichimo-nji School (⚟ᒸ୍ᩥᏐ). His early
swords were of the Ko-Ichimo-nji (୍ྂᩥᏐ) style that had a modest
so-ri, a nio-i based hamon of suguba mixed with ko-midare and
ko-choji lined with plenty of nie and embellished with varied nie
structures in the ji of hotsure, sunagashi, and kinsuji.
Around the middle of the Kamakura Period the shape and
workmanship style changed to become more flamboyant with a
more robust sugata and large and closely packed choji formations
known as juka-choji, o-choji midare, o-busa choji, etc. These are
the swords that we commonly refer to as being of the Fukuoka
Ichimo-o-nji School (⚟ᒸ୍ᩥᏐ).
The notable smiths who followed Norimune (๎᐀) such as
Yoshifusa (ྜྷᡣ), Sukezane (ຓ┿), Norifusa (๎ᡣ), Yoshiiye
(ྜྷᐙ), Sukefusa (ຓᡣ), Nobufusa (ಙᡣ), Yoshimune (ྜྷ᐀),
and others developed what we today refer to as the Fukuoka Ichimo-
nji (⚟ᒸ୍ᩥᏐ) style. These smiths produced the niōi
dominant hamon consisting of o-busa, juka, kawazuka, and
kukuro variations of choji-midare tempered in diversified widths
and heights. The vivid midare-utsuri in the ji further increases
the gorgeous and magnificent quality of their works.
Sugata The tachi sugata is grand but not excessive,

it remains elegant. They are typically shinogi-
zukuri, iori-mune with koshi-zo-ri. There will be
some funbari ending in a medium sized kissaki
in the ikubi style
Hamon Narrow ko-choji is rare. Typically the hamon will

be a robust choji-midare which will be in the
form of a combination of juka, kawazuko,
ABOVE Ichimōnji gunome, and other variations. The width of the
hamon will vary. The predominately niōi
structured niōi-guchi is lined with fine ko-nie
THE FUKUOKA ICHIMŌNJI SCHOOL (⚟ᒸ୍ᩥᏐ) and contains a great many ashi and yo.
By Fred Weissberg 6/07 Sunagashi, kinsuji, and other forms of nie based
hataraki will be seen.
This... kantei blade was from the Fukuoka Ichimo-nji School
(⚟ᒸ୍ᩥᏐ) of Bizen Province. It is ubu and signed with the Jitetsu The kitae is mainly tight itame-hada mixed with
character “Ichi” (୍). It is a graceful tachi with a length of 66 cm. mokume-hada. Occasionally a slight amount of
It has a deep koshi-zo-ri with bo--hi extending into the nakago on o-hada or loose grained area will be present.
both sides. The shape is very typical of the Kamakura Era. There will be pronounced utsuri in the form of
The Ichimo-nji School (୍ᩥᏐ) in Bizen Province was a large choji-utsuri, midare-utsuri, jifu-utsuri or
school that was founded in the beginning of the Kamakura Period botan-utsuri.
and lasted through the Nanbokucho Period. From the beginning
of the Kamakura Period and up until the middle of the Kamakura Boshi The boshi will tend to be somewhat stubby or
Period, works by this school are commonly referred to as Ko- Ichi- ikubi in shape. It is midare-komi in proportion
mo-nji (୍ྂᩥᏐ) works. From the beginning of the Kamakura to the hamon and either yakisume or it will
Period and through the middle of the Kamakura Period, the center have a short kaeri.
of the production done by this school was located in the area called
Fukuoka (⚟ᒸ). From the end of the Kamakura Period and through Hōrimōnō Original hōrimōnō will not be found with the
the early part of the Nanbokucho Period, the center of production exception of bō-hi or futatsu-hi. The top of the hi
moved to Yoshioka (ྜྷᒸ). will be sharp and well shaped. The bottom of the
The name of the school is derived from the way that many of the hi becomes maru-dome, kaku-dome,
swords extant today are signed only with the Kanji character or kaki-nagashi.

RIGHT Signature: Nagamitsu
Blade length: 77.4 centimeters or 30.47 inches

Sōri: 2.7 centimeters or 1.06 inches
Width at the hamachi: 3.0 centimeters or 1.18 inches
Era: Kamakura Period
Shape: A strongly curved shinogi-zukuri tachi, chu-kissaki,

iori-mune.
Hōrimōnō: Bō-hi and soe-hi are carved on the both sides of the
blade.
Jitetsu: Fine jinie, chikei and exemplary midare-utsuri appears
effectively on the ko-itame.
Hamon: Gunome and ko-gunome are combined with brilliant
choji-midare. Many ashi, deep niōi and konie appear there.
The front surface has a moist impression.
Nagamitsu was a great swordsmith of Osafune School in Bizen

province who learned under his father Mitsutada. Nagamitsu
coordinated swordsmiths of family and followers to achieve
excellent results.

RIGHT This tantō called Dai-Sa

is owned by a famous
collector, Mr. Aoyama, and is
currently kept at the NBTHK in
Tokyo. This sword has very
strong, beautiful, typical
hamon equal in quality to
national treasure blades. Abe
Kazunori entered this blade
into the Mūkansa category of
the 2006 polishing
competition.

105
LEFT This mumei blade is typical

Shizu-style workmanship. It is a
fine piece of workmanship with a
bright jigane and the hataraki in
the hamon are well-balanced.
Some unsigned Shizu blades are
mistaken for Masamune because
of their similarity. However,
Shizu workmanship has the
brightness jigane and hamon of
the Koto Era. This is one of Abe
Kazunori’s favorite swords.


107
Designated Jūyō Tōken at the 31st shinsa

held on the 18th of October 1984.
Ko-Dachi, Signed: Bishû Osafune jû

Motoshige; Kanô san-nen hachi-gatsu hi
(a day in the 8th month, the 3rd year of
Kanô, 1352).
Dimensions: Length: 52.1 centimeters

Curvature: 1.0 centimeters
Width at the Base: 2.7 centimeters
Width at the Tip: 1.95 centimeters
Kissaki Length: 6.1 centimeters
Nakago Length: 22.7 centimeters
Nakago Curvature: almost no curvature
Configuration: The construction is

shinogi-zukuri with an iori-mune.
In comparison to the width at the base,
the width in the point is narrower. There is
funbari at the base of the blade, and this
sword has an o-kissaki. The kitae is ko-itame
with ko-mōkume that is mixed with jigane
that has a flowing feeling. The jigane is
covered in ji-nie and contains minute chikei
and prominent bo-utsuri. The hamon is
chu-sūgūha with a tight niōiguchi.
The habuchi contains ko-ashi and slanted
ashi activity. The boshi is ko-maru with a
slightly pointed tip and kaeri. There are
round-ended bohi carvings on both sides
of the blade. The nakago is slightly suriage
with a shallow kurijiri end tip. The yasuri
are sujikai, and there are two mekūgi-ana.
There is a long inscription on the hakiōmōte
near the mūne with a similarly placed date
on the ūra.
Description: The earliest dated works seen

by Osafune Motoshige are those of the fifth
year of Showa (1316), which corresponds to
the late Kamakura Period. After this, there
are Karyaku dates (1326–1329). In addition,
there are works dated to as late as the Joji
Era (1362–1368), which was during the
Nambokucho Period. As a result, there is a
powerful argument for the existence of a first
and second generation; however, there is no
established theory as to the demarcation
line separating them. As to the style of
workmanship, the early sources write that it
closely resembles that of Kagemitsu and
Kanemitsu, or the works of the Bichu Aoe
School. In this instance, we can see in the
sūgūha of this work with its tight niōiguchi
and its slanted ashi activity in the habuchi
an Aoi style of workmanship. As a work with
this date, it is a conspicuously rare example
of a ko-dachi style blade. The large and
broad kissaki is clearly indicative of the
Nambokucho Period, and its Kano Era date
makes it a valuable source of research data
into our study of this smith.


Uchigatana
This blade was produced by Morishige

of Osafune, Bizen province (modern
day Okayama prefecture) around the
middle the Muromachi Period
(1393–1573) Its characteristic short
length, and curvature in the upper-part
of the blade is indicative of blades of
this period. While this is an exemplary
blade, many of blades of this period
were mass produced to meet the high
demand due to much civil war, and are
consequently of low quality.


Kanetsune Tantō
This tantō, or dagger was produced in Mino

Province (modern day Gifu Prefecture) by
the smith Kantsune around the Tenbun Era
(1532–1555). Tantō are essentially
weapons for close-quarters combat.
However, tantō are also used as spiritually
protective charms, and are presented to
newborn babies, and can be seen to be
worn by Japanese brides. In this instance,
they are referred to as omamori-gatana.

112
Bizen Kuni ju Osafune Sukesada

Katana
Signature: Bizen Kuni ju Osafune

Sukesada
Ganki 2 Nen 8 Gatsu Hi (1570)
Blade length: 81.3 centimeters or
32 inches
Width at the hamachi: 3.57
centimeters or 1.41 inches
Width at the kissaki: 2.58
centimeters or 1.02 inches
Era: Late Mūromachi Period
Shape: The blade is wide and

thick with deep sōri and long
kissaki (point).
Jitetsu: Itame hada and mōkume
hada combined with much jinie.
Hamon: Niedeki sūgūha and
nōtare combined. In ha, there are
many ashi and yo scattered about.
There is also kinsuji and
sunagashi.
Harima, Mimasaka and Bizen

Provinces all prospered under the
protection of the Akamatsu family.
Above all, Bizen Province has
turned out a great many talented
swordsmiths. A large number of
swords were made there in the
late Muromachi Period, not only
supplying the demand of the Age
of Provincial Wars in Japan,
but also as an important item for
export to the Ming dynasty in
China. It is the accepted theory
that mass-produced swords have
a signature that begins with
“Bishu-Osafune.” However, a
made-to-order or conscientiously-
made sword has a signature that
begins with “Bizen Koku Ju
Osafune.” This sword was
custom-made for some daimyo.

113


115
Bizen Osafune Masamitsu.

There are two generations with the name
Bizen Osafune Masamitsu. It is said that
the second generation Masamitsu worked
around the latter Nanbokucho Period and
Oei Era of the Muromachi Period. This
sword appears to have been made in the
Meitoku Era in the late Nanbokucho
Period. It has a Kanemitsu-style Hamon
and some Oei Bizen characteristics.
However, the shape of this sword is of the
Nanbokucho Period.
Kazunori Abe polished both Nanki

Shigekuni and Bizen Osafune Masamitsu
blades for the 2004 Japanese sword
polishing contest. In the end he entered
the Masamitsu so that he could assess
my polishing skills and won the Kunzan
award. The hamon does not undulate very
much and is made up of subtle gunome
that were difficult to perform hadōri on.


Jidai Kōshirae
This is the translation of the Jūyō Tōken Zufu papers for this fine
kōshirae. It is extremely rare to find a kōshirae like this. This is a
kōshirae that was worn to battle by a lower-ranking samurai.
The kōshirae worn by generals and daimyos (often very fancy and
decorative) is often preserved. Kōshirae like this one, however,
worn by one of the rank and file samurai, did not survive in large
numbers making this one very precious.
Designated Juyo Toso (Sword Mount) at the 46th shinsa held on the
5th of October, 1999.
Item: Uchigatana kōshirae with a black lacquered saya.
Dimensions:
Entire length: 86.0 centimeters

Entire curvature: 3.2 centimeters
Handle length: 18.3 centimeters
Handle curvature: 0.2 centimeters
Saya length: 67.7 centimeters
Saya curvature: 1.9 centimeters
Description of the Mounts: The handle is entirely wrapped in kangi-

maki style with black leather. Although the menūki are completely
covered by the wrap, I believe they are placed horizontally and
have a long, narrow shape. The fuchi has a polished yamagane
ground and is without design. The base (tenjo) is shakudo with
shigure-yasuri (same as sujikai-yasuri). The fuchi is unsigned.
The kashira has a polished shakudo ground and is without design.
There are places on the saya with black lacquered horn that are
without designs (the kuchi, the kurikata, the kaeri-tsuno and the
ūra-gawara (kozuka slot piece). The kozuka has a design of a
free-reed mouth organ (sho) with a shakudo nanako ground and
high relief carving. The kozuka is unsigned. The tsuba is mokko-
gata with a yamagane ground and go-san kiri-mon (paulownia
crests with three and five stigmas on the pistils) done in kebori
(line carvings). The tsuba is lacquered black, and has several
sword cuts in the mimi as evidence of usage in battle. The large
mimi is squared and lacquered black. There is a kozuka-hitsu-ana.
The tsuba is unsigned. There are two copper, silver covered seppa.
The horn pieces are without designs and are black lacquered with a
tinge of red, which reveals their age. The variety of horn pieces and
metal fittings is certainly austere with an artlessness that is highly
desirable. In particular, the handle wrap in kangi-maki style is
especially appealing. The kōshirae dates to between the end of the
Muromachi Period and the Momoyama Period.

The cutting edge of this ken measures 20 7/8 inches or 53

centimeters. A unique feature of this sword is that the blade and
handle are forged as one piece. One side of the blade has two
small grooves running about half its length and a Sanskrit (bōnji)
character in the middle of the blade. The other side has a single
groove running up the middle of the blade about half way with a
Sanskrit (bōnji) character cut just above it. The hamon is sūgūha
and the hada is mostly masame. This ken, held within the Herr
collection, is attributed to Echizen Shimosaka and dates from the
middle Edo Period probably Kyoho 1716–1736.

119

Chapter 6
Edo Period Swords
The Edo Period was a Japanese renaissance, during which the samurai had no major battles to fight and the
arts flourished amidst the ruling warrior-class. This was a time of national isolation in which almost no foreign
influences were allowed to trickle onto Japanese soil. Yet during the Edo Period, a new vision of Confucian
and Taoist ideals emerged as a primary social force. The unification of Japan, and nearly three hundred years
of peacetime, had a profound impact on the lifestyles, spiritual beliefs, and martial trainings of the samurai.
Toward the end of the Edo Period, this peace would be shattered. The effects of increasing international
pressures on Japanese leaders to open the country’s rich resources to trade created a rift between the Tokugawa
leadership and the emperor of Japan. American pressure to grant preferred trade status to the United States
eventually caused Japan to not only open its borders to trade, but also abolish the class system altogether—an
act that extinguished the samurai class and ushered in an unprecedented push toward modernization.
We’ve traced the assimilation of Taōism, Confucianism, as the base for his military government. The period is so
Buddhism, and nativist Shinto mythology into the greater named for the move of the capital city to Edo (modern
Japanese worldview. This chapter will explore the Edo Tokyo). Tokugawa was a diplomatic genius. Through a
Period and its Tokugawa Shoguns’ rule. This chapter also series of proclamations he instituted a delicate balancing
offers some literary analysis. Here, the spiritual undercur- act of political manipulation and military control.
rents of a sword style are examined and discussed. While remaining on good working terms with the imperial
By looking into the Kashima Shin-ryū’s Dragon’s Scroll, court, Tokugawa enacted rules that greatly restricted the
we can see that Neo-Confucian and Taōist principles were movements of the daimyos. Meanwhile he continued the
influential philosophies of Kashima Shin-ryū swordsmen. banishment of Spanish and Portuguese missionaries.
This offers us a glimpse into how spirituality and the By this time the English and Dutch had begun to trade
sword were historically linked and communicated during with the Japanese. Tokugawa saw no advantage to
the Edo Period. After all, the relationship between a allowing the Spanish and Portuguese to stay. They had
warrior and how he perceives the symbolism of his sword caused much disruption and discord among samurai clans.
is of critical importance. Finally, this chapter concludes Furthermore, the Spanish and Portuguese, two bitter
with a discussion of how the Japanese sword transitioned enemies, continued causing problems by bickering over
into a new era and how the decreased manufacturing rights to the salvation of Japanese souls. Tokugawa did
demand impacted the craft of sword making. not want to risk having his advisors and generals come
under the manipulation of these outsiders. In swift and
The Edo Period (1603–1867) bloody fashion, the Japanese Christians were almost
The history of Japan up to the late 1500s was fraught completely removed from Japanese soil. Those that
with greedy daimyos, merchants, and monks vying for remained did so in secret, going underground, and
power and influence. Increasing one’s land, money, concealing their faith in very clever ways.
control, and status became the element that most factions Tokugawa further secluded Japan by increasing the
of Japanese society shared. Marriages, alliances, and restrictions on foreign trade. Eventually only a few Dutch
truces were broken and shattered in the name of elevating ships were allowed to dock on a small island in Nagasaki
one’s clan to higher standing and wealth. Grievances Bay. No foreigners were allowed to come onto the
between wealthy families—usually over property Japanese mainland. Similarly, no Japanese were allowed to
rights—sometimes escalated into bloody battles that leave Japan. Except for a small number of trades, a few
recurred again and again over hundreds of years. times each year with the Dutch, Japan went into total
Despite the extent to which the Japanese were ingrained isolation from the world. Continuing to pay homage to
with the culture of servitude and warfare, the samurai the emperor, Tokugawa kept the emperor as a puppet OPPOSITE During the Edo
warrior archetype had not yet reached its zenith. figurehead. The real governance, however, came from his Period, samurai were able to
The Edo Period in Japanese history is sometimes called command in Edo. pursue their personal interests,
“the Japanese renaissance.” Tokugawa Ieyasu established Tokugawa’s greatest success was probably his system such as bird keeping,
the city of Edo (later renamed Tokyo, or Eastern Capitol) for preventing further infighting amongst the daimyos. calligraphy, and tea ceremony.

ABOVE During the Edo Period, He required the daimyos to keep a house in Edo as well With a large population of “guests,” and travelers
many daimyos were forced to as maintain their estates in their home provinces. constantly coming to and going from Edo, it became a
spend part of each year in Each estate would have to be fully staffed, which was new center for arts and culture. The fierce samurai, who
Edo, the capitol city of the very costly for the daimyos; fortifications built, servants had warfare ingrained into their collective souls, began a
period. hired, et cetera. Because of this, they were unable to save fascinating change.
OPPOSITE Portrait of Tokugawa funds for their war chests. In a dizzying exercise of
Ieyasu. logistics, Tokugawa forced a given daimyo to live in Edo A Scholar-Warrior Ruling Class
half of the year, while simultaneously allowing the rival During the reign of the Tokugawa Shogunate the samurai
daimyo to live in his country estate. Then, under had the time and money needed for the development of
Tokugawa escorts, the “guest” daimyo and their the more artistic and subtle elements of Japanese culture.
personal armies would be allowed to return to their In looking to the idyllic warrior archetypes of old, the
country estates. Simultaneously, possible enemies/allies Edo Period samurai saw a revival of Confucian ideals.
were escorted to Edo, again under Tokugawa’s samurai Called Neo-Confucianism, the predominant worldview
guard, to live for half the year. of Edo samurai shifted to re-elevate the scholar over the
To fortify his plan, Tokugawa required that “guests” warrior. Unifying the three great philosophies of
be “allowed to stay” with him in Edo. Really, it was a Buddhism, Taōism and Confucianism, Neo-Confucianism
highly refined form of hostage-taking that included de-emphasized secularism within Japanese society.
bribery, marriage, and a constant threat of having one’s Careful attention was given to refining and codifying the
family labeled as traitors and killed. This system demonstrations of respect for people within the four
prevented families that had been disputing land owner- levels of society. These samurai were increasingly
ship for hundreds of years from continuing military honor-bound to interact with those above and below in
action against each other. No daimyos were ever home accordance with Confucian ideals. Daily life became a
long enough or had enough money to support any ritualistic engagement of etiquette protocol observances.
consequential military revolt. In the late 1700s, popular perceptions of Neo-Confu-
Only after Tokugawa had come to power and settled cianism began getting mixed up with Zen, a trend that
himself into the position of shogun could Japan benefit would become a major shaping force in the martial arts
from having one, stable, centralized government. from the Edo period onward. Bodiford explains:

Chapter 6 Edo Period Swords 123
Noting that both Confucian instructors and Zen monks

advocated forms of meditation and discussed the same conven-
tional morality in similar terms, some scholars have referred to
Tokugawa Period Confucian teachings as a kind of “popular
Zen” for lay people (e.g., Sawada). The ultimate result of these
Confucian teachings, however, was not the popularization of Zen
practice but a decline in Buddhist piety as their practitioners came
to rely less on the worship of Buddhist divinities.1
Once again the warriors of Japan would have to learn

how to reconcile their duties with their spirit. The warrior
class had lived intensely for hundreds of years. But during
the Edo Period, with few battles to fight and only minor
duties, the samurai found themselves with more time to
work on personal refinement. Cultural arts developed into
highly refined crafts: kabūki theater, nōh theater, būnrakū
(puppeteering), chadō (the tea ceremony), and so on.
All aspects of Japanese culture were developed and
elevated to their highest forms.
These developments were due to the way that, by this
time, the samurai had evolved into a leisure class.
Therefore, Edo Period samurai were retained by the
wealthy, largely for administrative purposes and as a show
of status. This was to remain the case for nearly three
centuries. The time of the Japanese renaissance had begun,
and with it, a new image of ideal Japanese society.
The warrior’s tools changed from armor and sword to
brush and ink. Professor Bodiford explains:

Establishment of the Tokugawa military government they offered practical advice for living refined samurai
(bakufu) in 1603 ushered in an age of peace and stability that lifestyles. Many historians agree that such precepts
witnesses the spread of literacy and the development of a new became ingrained into the larger Japanese culture, to the
class of professional martial art instructors. These professional extent that they continue to resonate today.
martial artists for the first time in Japanese history composed Edo Period martial arts saw emphasis on eliminating
systematic martial treatises (of which more than fifteen the mind-body separation. Breathing techniques, eye-focus
thousand separate titles still survive) and published many of instructions, careful attention to posture, and the
them for an audience of avid readers. The authors of these development of a connection with the attacker are all
treatises drew on systems of Chinese learning concerning manifestations of martial artist’s desire to achieve
cosmology, military theory, Daoist (Taōist) alchemy, and mind-body unification. Meditation exercises were
Confucianism to endow traditional kata with a veneer of developed and widely adopted (in varying forms) into
literacy and metaphysical sophistication… Aside from magical martial arts. Swordsmen trained themselves spiritually by
spells, the alchemical practice most widely found in Japanese studying under fellow martial artists, scholars, as well as
martial arts is embryonic breathing (taisōkū). Daoist texts spiritual advisors. The intention shifted from battle
associate breath with a cosmogonic material life force known readiness born from the desire to stay alive and serve one’s
as qi (chi, Japanese ki).2 lord, to the desire to serve one’s lord by refining oneself to
the highest degree. Both the practice and teachings of
With leisure time in amounts never before seen by martial arts saw this shift toward the introspective.
samurai, the warriors had time to reflect on the warrior Swordsmanship also evolved as a result of the time
archetype. They looked to famous historical and mytho- afforded to warriors by their reassignment as a bureau-
ABOVE This is a stone Fudo logical icons such as Prince Yamato, Susano-wo-o-no- cratic elite class. Samurai examined the finer points of
dating to the Taishō Era. Mikoto, and Monju Bōsatsu. During the Edo Period, techniques—particularly the philosophy that drives
BELOW Sumo wrestling dates the teachings of Neo-Confucianism contributed to the technique. Many scholars believe that swordsmanship
to Japan’s prehistory. In preexisting melting-pot of philosophies, deities, and belief saw a shift during this time, away from practical
legend, the control of the systems. Over time they developed a collective ideal of technique and towards spiritual, introspective, and
Japanese islands was what a “modern” samurai should look and act like. ceremonial practice. Edo Period martial training became
determined by a sumo match It included refinement and etiquette protocol observances more formalized, structured, and ritualistic—all in
between the Shinto deities to a degree never-before seen, highly superstitious beliefs, accordance with the Neo-Confucian influence.3
Takemikatzuchi-no-kami and inclusion of esoteric Buddhist practices and talismans, Although there is some evidence to support this, each
Takeminakata-no-kami. During and increased social pressure to conform and serve in style would have deviated individually. That is to say
the Edo Period sumo increased accordance with one’s social station. that some changed more than others. samurai, as
in popularity and developed Clearly Edo Period samurai sought to elevate their life professional warriors, made changes that they saw as
formalized ranking systems. by achieving a newly refined scholar-warrior archetype. beneficial for technique as well as spirit. Therefore,
Literary works of the day strengthened the imagery of the it can be deduced that, despite some “softening” during
benevolent protector of the weak, the suppressor of evil, the Japanese renaissance, swordsmanship maintained a
and the like, as the primary samurai image. This led high degree of practicality. Certain arts that retained
samurai to cultivate their spirits, and to see and explore their practicality are examined later. Nevertheless, the
the ethical responsibilities of being in a position to wield shift in Edo Period warriors’ martial arts occurred in
power. Texts such as Hagakūre became popular because both form and practice.

Edo Period Swordsmanship: A Case Study

Swordsmanship has seen several evolutions since the
Nara Period importation of Chinese philosophies.
There are some examples of classical historical sword
styles that still preserve Edo Period Neo-Confucian
predispositions for philosophy, structure, piety, and
loyalty. These sword styles continue to reflect the Edo
Period emphasis on martial practice as a vehicle for
introspection and self-discovery. One such example is
highlighted within the lineage of two important sword
styles of Japan: the Jikishin Kage-ryū and the Kashima-
Shinryū. Like most Japanese cultural arts, these schools
express Taōist precepts in their technical movements and
teachers’ writings. Another, a school originally called
Hayashizaki-ryū (which is examined later in this text),
emphasized repetitive sword-drawing exercises to
develop constant readiness through instant reaction with
the sword. Although these styles differ substantially in
terms of their movements, curricular structure, and rank
advancement, they both express the cultural predisposi-
tion for explicitly applying one’s practice as a means of
spiritual development.
Looking into an Edo Period document called Ryū nō
Maki, or the Dragon’s Scroll offers a glimpse into the
mindset of Edo Period martial practice and the tendency
to codify teachings. Jikishin Kage-ryū and Kashima-
Shinryū are classical sword styles tracing their roots into
Shinto mythology. The legends of the Kashima-Shin-ryū
recount how the sword style was inspired by Takemikat-
zuchi no Kami, the warrior deity who is enshrined at the
Kashima Grand Shrine. Like most Japanese art forms,
Kashima-Shinryū claims divine origin, but does so by
drawing from multiple religious sources. However, here
we will see that Neo-Confucian and Taōist philosophies
were assimilated during the Edo Period. Excerpts from
the Dragon’s Scroll offer some opportunities for analysis.
The scroll, which is the only extant pre-modern text
within the Kashima-Shinryū lineage, dates to at least
1844, but its source and true age are uncertain.4 Different
versions of the scroll are shared within the literature of
both the Jikishin Kage-ryū as well as the Kashima-
Shinryū. The Dragon’s Scroll offers this Taōist insight
regarding the qualities of the sword:
The master said, “When I reflect on the qualities of the sword,

ABOVE A samurai was taught
[I see that] victory and defeat are found in the dual essence of Yin
to “keep his sword by him by
and Yang. Yin triumphs, and Yang retreats; or Yang triumphs,
night and day, revering it like a
and Yin retreats. That which we call Yin and Yang are in origin
god and guarding it as he
a single essence… there is transition or change among the gods of
would guard his own body and
Heaven and Earth and the phenomena; there is only adaptation
mind.”
to the enemy.
LEFT The end of the Edo Period
saw the dismantling of the
“Truly, one who is able to live thus is strong and brave, but is
samurai class and the
he to be feared? The warrior’s path is the origin of power and
beginning of a modern Japan.
majesty. Therefore, the emperor has his jeweled sword and his
The days of warriors wearing
court flourishes. The Son of Heaven keeps his sword with him
exquisitely crafted armor, such
always: When he goes forth he carries it before him, when he
as this helmet and mask,
stops he lays it in a safe place. Even when he sleeps he does not
would come to an end.
part from it. The moral power of the jeweled sword flows
outward and the people are liberated. How much more so
should the warrior keep his sword by him night and day,
revering it like a god and guarding it as he would guard his own
body and mind?”5

the emperor of Japan, who is considered to be a deity

within the Shinto pantheon. It is a common theme in
Neo-Confucian literature to link observances of social
structure and status with moral virtue and cosmic order.
Here we see that the emperor, “Son of Heaven,” rules
benevolently through the warriors who do his bidding.
The warrior’s obligation, then, is to keep his sword by his
side, ready to do the emperor’s bidding. It is intended that
the reader understand this is the natural order of the
universe and that to live in accordance with this structure
is morally righteous.
The author of the scroll undoubtedly wishes to imply
and reference the divine origins of the style. This is evident
by the use of the term “jeweled sword,” which is
commonly used in the vernacular of the Nihōngi and
Nihōn Shōki. Recall that the islands of Japan were created
as drops falling from the tip of a jeweled spear.
There are decidedly Taōist overtones even within this
section as well. Interesting are the similarities between
Chuang Tzū’s “Discoursing on Swords” and the Dragon’s
Scroll. Equating the warrior’s ideal path with the Sword of
the Son of Heaven is precisely what Chuang Tzū did in
“Discoursing on Swords.” Chuang Tzū was not referencing
an emperor of literal divine origin, however. His discourse
was metaphoric and aimed to stress the symbolism of the
sword. The Dragon’s Scroll, on the other hand, infuses
more of the “Discoursing on Swords” literary imagery into
its lines. Recognizing that there is no way to confirm the
author’s intentions or inspiration, it can be argued that the
Chuang Tzū may have inspired some of the Dragon’s Scroll
commentary—whether directly or indirectly. Another
example is offered in the paragraph immediately following
the one given on the previous page. Here, the Dragon’s
Scroll goes on to elaborate how and why the sword is an
extension of the warrior, the path towards cosmic harmony,
and military excellence—yet another reflection of Neo-
Confucian influence.
The tools of the warrior’s art are claws and teeth. When one
looks into the heart of things, one sees that those with teeth bite,
those with claws grab, and those with stingers sting. This is not
taught; it is the law of nature… what then do they who travel the
path of man use? [T]eeth and claws—the sword. Men wear
swords. Although they proclaim to be distinct from using them,
there are none who are completely outside the need for military
ABOVE Dragon figures and It is not uncommon for martial arts to derive their readiness. Those who fail to learn this are ignorant of combat.6
symbols are common throughout strategy from the dual essence of the yin-yang paradigm.
China and Japan. Some, such as “When pushed, pull; when pulled, push,” for example, Yet when considered alongside the third paragraph in
the Kurama mountain temple is a common saying in jūjūtsū, judo, and aikido. It implies the Dragon’s Scroll, the influence of Taōism resurfaces.
example on the bottom right of that the defender intends to take advantage of an oppo- This time, the scroll calls on Lao Tzū, the Old Master,
this group, even “breathe” water nent’s momentum by reversing it against him. The same is and his imagery and literary devices of “Skilled Warriors
so that visitors can purify true in many historical sword styles of Japan. Many famous of Old,” plotting a parallel course for the students of his
themselves upon entering the swordsmen speak of finding a complimentary opposite to sword school.
site. Mt. Kurama, in addition to an attackers’ offensive. The Dragon’s Scroll advises that the
being where the tengu king swordsman will find victory in understanding the comple- The old martial arts are called hyōkō. Warriors were made to
Sojobo taught swordsmanship mentary nature of opposites. According to the scroll, the enter this path and practice incessantly. The men of old revered the
to Minamoto Yoshitsune, is outcome of a swordfight hinges upon developing one’s teachings of their art as they revered Heaven and Earth. They
the birthplace of the healing mindset (and technique) to the extent that one’s movements polished their spirit like the brightness of the sun and moon…
practice called reiki. Like tengu, become an expression of yin and yang. Illustrious Virtue gives rise to strength and formidability. This is
dragons are believed to possess The scroll makes an abrupt change of topic between called True Courage. Wisdom cannot be separated from ignorance.
magical powers that are, on its first and second paragraphs. In the first paragraph, By nurturing this insight, the discipline of the warrior’s profession
occasion, transmitted to a commentary on yin and yang outlines sword strategy is amplified… Do not be lax in your efforts toward enlightenment
humans. and mindset. The second paragraph makes references to and immaculate merit. In ancient days it was said, “A jewel

The Fall of the Edo Period

Despite the progress and opulence of the Japanese
renaissance, such comfort was not to last. During the late
Edo Period, Tokugawa had thus far resisted pressure from
other nations to open Japan’s borders to trade. The might
of the United State’s Navy’s new steam-engine warships
effectively ended the Japanese resistance to outside trade.
Commodore Perry’s “Black Ships,” were large and
terrifying. They puffed smoke and were very well
equipped with startling armaments. Americans arrived, TOP The black ships terrified
threatening Japan, as an expression of “Manifest the Japanese samurai.
Destiny,” which was seen as the God-given right and Tokugawa, realizing that
moral obligation to bring Western culture to underdevel- Japan’s armies would be
oped civilizations.8 slaughtered by the American
The Tokugawa Shogunate reluctantly capitulated to the military, sought to meet the
threats of the American navy, agreeing to open up American’s demands. Most
Japanese waters to international trade. Subsequently, daimyos were in support of
the shogunate’s popularity fell. The other daimyos Tokugawa’s position, however
understood that this would likely end their traditions and conservative daimyos and
hard-earned cultural preservation, not to mention their era imperial court members did not
of peace. Although the isolationists were right, there was wish to allow the entry of
nothing that could be done. When Tokugawa agreed to foreigners. After all, the
allow international trade to effectively end Japan’s samurai had enjoyed hundreds
without polishing will never become useful; a man without study seclusion, they initiated a sequence of events that could of years of relative peace under
will never know the Way.”7 not be stopped. This would effectively destroy the social isolationist policy.
structure and warrior culture that had existed within LEFT Tokugawa Yoshinobu,
Whether directly or indirectly, it seems clear that the Japan for over a thousand years. seated in traditional garb.
early Taōist literature influenced the Dragon’s Scroll’s Under these unfortunate circumstances the Tokugawa ABOVE The Tokugawa family
author. The passage above closely resembles the language Shogunate was urged to resign, thereby shifting military crest remains one of the most
and intentions of Lao Tzū’s poem, “Skilled Warriors of power under Emperor Meiji’s control. Under threat of war well-known symbols for
Old.” It is also important to note that the author used and feeling pressure to avoid it, the once powerful samurai nobility.
an uppercase “W” in the final line of the Dragon’s Scroll. Tokugawa Shogun relinquished his title. There was
It indicates that he is suggesting to his readers that the way widespread discontent among the population regarding
of the Neo-Confucian scholar-warrior is the Way of the change of power, social structure, and economic
living—a particularly Edo Period worldview. As we will policy. The country’s forces became divided between
see, this theme in Japanese culture still echoes within the persistent Tokugawa loyalists and those who supported
practitioners of traditional arts today. the imperial monarchy.

Edo Period Swords OPPOSITE Higo Kōshirae

The sword of the Edo Period underwent some important
changes. First, these blades are distinguished as “Shinto,” This is a Higo kōshirae that takes as its model the Nobunaga
or new swords. That is to say that they were swords kōshirae and which gives expression to the Hosokawa School of the
produced after the age of the warring states. Demand for tea ceremony’s concept of “Wabi no Bi” (the beauty of simplicity).
swords saw a sharp decline and craftsmen were left to
either scrape a living selling an occasional sword or Designated Juyo Toso (Sword Mount) at the 45th shinsa held on the
consider other sources of income. As a result of this trend, 29th of October, 1998.
many of the old methods of manufacture were changed… Item: Higo Uchigatana kōshirae with a black lacquered,
and eventually lost. The schools of sword-making had polished yanagi-zame saya.
passed their secrets down orally so as to maintain their
standing and distinction as excellent craftsmen. Therefore, Dimensions:
when times and technology changed, many of the old
ways were lost. The changes reflected in the Shinto-era Entire length: 92.3 centimeters
blades extend beyond minor adaptations of shape or tip Entire curvature: 2.2 centimeters
length. When comparing a koto blade alongside a shinto, Handle length: 21.2 centimeters
the differences can be seen in the steel itself. Shinto blades Handle curvature: 0.4 centimeters
are noted for a different luster than their koto predeces- Saya length: 71.0 centimeters
sors. Koto blades generally offer a gray color and Saya curvature: 1.2 centimeters
velvet-like surface texture. Shinto blades have a chrome-
like color and their surfaces tend to appear glassy or wet. Description of the Mounts: The handle has black lacquered same
As with any generalization, there are exceptions to these (ray skin) and is wrapped with light brown leather. The fuchi is
observations. However most authorities agree that these covered in reddish-brown pebbly leather with an arikoshi shape
distinctions can be made. (rounded and wider at the base becoming narrower and straight
Some other distinctions in the Shinto Swords are sided at the top). The kashira is black lacquered and has a
illustrated by the shift in what is carved into the sword. yamagane ground with surface carvings of waves and a mountain
Instead of carving religious hōrimōnō into the surfaces road. The menūki have a shakudo ground and are carved in the
of their blades, the Edo samurai preferred ornamental shape of two crabs. The tsuba is round with an iron ground and
carvings. With little battlefield danger, superstition played vertical file marks. There are large sea cucumber sukashi on the
a role of decreasing value. Another shift in what was right and left sides. This sukashi-tsuba is attributed to Nishigaki.
BELOW Samurai held their carved into the sword is the inscriptions of test cutting The mimi is square with slight rounding. There are silver nunome
swords up as items of results on the nakago. Without frequent battles to fight, inlays of zigzags around the rim. There are two hitsu-ana. The tsuba
functional beauty, often whereby a sword would be tested and proven, the is unsigned. There are two copper, gold covered seppa. The kozuka
showcasing the finest practice of test cutting the dead bodies of criminals has a polished silver ground without a design and is unsigned.
craftsmanship in the blade became commonplace. For the swordsmith, receiving a The kogai has a design of three crabs and a shakudo nanako
and fittings alike. Here gold positive endorsement from a notable test cutter was a ground. The crabs are done in high relief carving with gold coloring
and iron combine with silk to means establishing oneself as a master swordsmith. (iroe). The warabite have gold inlays. The kogai is unsigned.
convey functional beauty and Master swordsmiths would make more money per sword The shakudo kogai with the design of three crabs is attributed
deadly sophistication. as well as receive more commissions in times of peace. to the Ko-Goto School. The saya is black lacquered, polished
yanagi-zame. The kojiri is iron. There are places on the saya with
black lacquered horn (the kuchi, the kurikata and the ūra-gawara
(kozuka slot piece). The yanagi-zame saya is highly tasteful, and it
is in perfect harmony with the kozuka, kogai and brown wrapped
handle. The kōshirae dates to the later part of the mid-Edo Period.
Regarding Higo kōshirae, they were developed under the guidance

of the lord of the Higo domain, Hosokawa Sansai Tadaoki [⣽ᕝ୕
ᩪᛅ⯆] (1564–1645), who had profound knowledge of the tea
ceremony as Sen no Rikyû’s [༓฼ఇ] (1522–1591) finest disciple
and who excelled at both the literary and military arts.
The outstanding features of these kōshirae are the avoidance of
the gaudy and ornate, while achieving a refined elegance within
their austerity.
Translated by Gordon Robsond.

ABOVE Kozuka and kogai were often incorporated into the fittings for a given sword.
The kozuka is the handle into which a small utility knife is inserted. The kogai was
used as a hairpin.

ABOVE This Nanki Shigekuni
has prominent patches
masame mixed in the hada
and the blade has a Koto-era
shape. This sword appears to
be one of his earlier works.

BELOW Izumi no Kami Kunisada
This blade was made by the
Osaka smith Kunisada. It was
produced around the Kan’ei Era
(1624–1644). This sugata, or
shape, is typical of blades from
the early Edo Period.

LEFT AND TOP : Kurihara Kenji

Nobuhide
These photographs are of recent works published in a monthly sword magazine called Ginza Joho.
This sword belongs to Ginza Choshuya, a sword shop in Tokyo.

133
BELOW AND BOTTOM Taikei Naotone

LEFT AND ABOVE Katana with kōshirae (NBTHK Hōzōn Paper)

Signature: Bingo no kuni Fukuyama han Yokoyama Sukeyoshi
Keio 2 nen 2 gatsu hi Bizen Osafune Tomonari 58 dai no mago
Mekūgi: 2
Width at the kissaki: 2.29 centimeters or 0.90 inches
Kasane: 0.71 centimeters or 0.27 inches
Era: Late Edo Period/Keio Era. (circa 1865)
Shape: Little suriage and machi-okuri. A wide and thick katana with rather long kissaki.
Jitetsu: Koitame hada well grained with jinie, and it looks like mūji hada.
Hamon: Konie deki, and niōideki. Gunome midare and choji midare are mixed. In ha, there are many ashi.

135
BELOW Minamoto Masayuki

(Kiyomaro)

Chapter 7
Modern Japanese Swords
It was in the tumultuous period between the late 1800s and early-to-middle 1900s that the samurai class fell
and the nation scrambled to modernize. Social and economical factors, and a new spiritual identity combined
to distort the archetypal warrior ideal. All of these things occurred during a time when Japan shifted from
being a country whose military used swords, bows, and arrows to a fully-modern military superpower with a
navy that would rival any in the world. Another aspect of this period is the way that notions of spirituality
shifted from being diverse and personal, to being closely controlled by an ultranationalist propaganda
machine. Paradoxically, this occurred during a time when Japan experienced its first influx of Christianity in
nearly three hundred years. Before and during the Second World War, Japan fueled ultranationalism by
distorting the symbolism of both the Japanese warrior and his archetypal sword. The icons of samurai history
inspired the dive-bombing kamikaze fighters, who of course, were issued swords to carry in the cockpit while
they executed their final duties. Militant Japan indeed saw the greatest large-scale degradation of the Japanese
warrior ideal ever seen; before or since. Yet equally stunning was the reinvention of the Japanese martial arts,
warrior image, and sword in post-war Japan.
This chapter traces the rise of nationalistic Japan as it The Meiji Period (1868–1912) and Onward
challenged and defeated major superpowers like China, The late 1800s saw the dismantling of the samurai class
Russia, and Germany. This chapter also includes little- and the installation of a new parliamentary government.
known information about how Zen came to be so closely Emperor Meiji assumed military control and governance
connected in the martial arts: largely as a result of Japan of Japan in the wake of Tokugawa’s capitulation to the
needing to re-brand its image to the world. You’ll discover American demands of open international trade. Meiji was
how post-war Japan overhauled its warrior symbolism, determined to Westernize Japan and benefit from Western
restoring much of the introspective and benevolent imagery. technologies, particularly in developing a modern
Analysis of early modern literary sources shows imperial military. In 1871, the samurai were officially
treatment of the Japanese martial arts to have been largely relinquished of their class status and the wearing of
distorted. Unknowing authors who meant well wrote with swords was officially optional. In 1876, the decree of
little or no accuracy; particularly on the role of Zen in the Haitōrei outlawed the wearing of swords in public.
martial arts. During the Meiji, Taishō, and Showa Periods, The once daily companion and tool of the samurai was
sword and warrior symbolism was oppressed, twisted, forbidden for all except military officers in the emperor’s
brought back to life, revised, and further distorted. service. After almost three hundred years of peace and
This phenomenon continues today at the hands of many isolation, Japan was turned on its head. Despite attempts
well-meaning, “dreamy-eyed” people who have no by some samurai to cling to their feudal lifestyle, such as
understanding of the Japanese swords actual historical Saigo Takemori’s famous Satsuma Rebellion (1876),
relevance. This chapter explains how the sword has come the imperial machine’s rise was well underway.
to be so mischaracterized and oversimplified. Under the direction of Emperor Meiji, Japan underwent
It is important to understand that, as dark as these unprecedented change. The young emperor was fascinated
periods were for Japan and the warrior ideal, it was with the efficiency of Western technologies. The emperor
equally difficult and shameful for the craft of sword began to construct a new kind of military force.
making. Indeed, the art of making Japanese swords almost The military successes of the Prussian army in defeating
disappeared during these turbulent times. This chapter France enthralled the emperor. Meiji assembled a mixed
concludes with a discussion of what happened to the army of commoners and former samurai. OPPOSITE This is a reproduction
craft of sword making and how it barely survived through The famous warriors of lore and legend, although no of one of the few existing
today. Following chapter 7, the final chapter examines longer a distinct samurai class, were assimilated into the photographs of the Meiji
how the study of classical Japanese swordsmanship can military of modern Japan. Within twenty years, Meiji had emperor, Mutsuhito (1852–
offer meaningful personal development despite being abolished feudalism, restructured his nation, and devel- 1912), shown here in formal
obsolete in the larger scope of warfare. oped a completely modern military. Unfortunately, the Western-style military dress.

ABOVE This print shows three samurai’s warrior archetype was manipulated and
men, believed to be exploited by the imperial government throughout the
Commander Anan, Commodore modern periods of Japan’s history. This warrior archetype
Perry, and Captain Adams, was not lost though; it survived the period of moderniza-
who together opened up Japan tion within the collective spirit of the Japanese.
to Western trade. The text Late in the Meiji Period, Japan entered new military
being read may be President conflicts. Its military proved to be a formidable foe despite
Fillmore’s letter to emperor of being in its modern infancy. It was armed with Western
Japan, which would spur the foreign policy, military technology, and an expansionist
events that fueled the Meiji agenda. Japan sought control of Korea yet again.
restoration. This time would prove more difficult because China
essentially claimed ownership of Korea. Japanese troops the European War (which would become WW I) Japan
landed and drove the Chinese troops north out of the declared war against Germany. Japanese troops swiftly
peninsula. The two countries officially went to war in defeated and occupied several of Germany’s Asian
1894. The Japanese troops crushed the Chinese in Korea outposts. Meanwhile, Japan continued its dominance over
and extended their control as far north as the Liaotung the Chinese government by issuing ultimatums outlining
Peninsula. The two countries eventually signed a treaty their right to control Chinese railways, claim ownership of
in which China agreed to reimburse Japan for its costs in coasts, islands, and mineral complexes. China eventually
waging the war. In addition to the spoils of victory, capitulated and granted many of the Japanese demands.
the Japanese also caught the attention of the Russians. Japan entered World War I in 1914. Germany had
Russia had taken notice of Japan’s expansionist agenda entered the war and occupied several locations in China as
and aggressive military posture. Tensions between Japan well as islands in the Pacific. This offended the Japanese,
and Russia rose. In 1904 a full-scale war was declared and honoring their alliance with Britain, they entered by
between Japan (roughly the size of California) and Russia issuing an ultimatum demanding troop withdrawal.
(whose size roughly equals that of the North American The locations in question were outposts for the Germans
continent). Again Japan emerged victorious. By 1905 and did not hold any significant troops. Japan allied with
Russia was dealt a humiliating defeat both at land and sea. the victors of the war and contributed by retaking these
The Russian Navy was particularly shamed. Japan had German outposts. Resistance from the Germans was
secured its claim to occupy the Korean peninsula, which it minimal and the outposts were captured easily.
annexed as an official territory of Japan. It seemed to the With nominal effort, risk, and cost, Japan had now
Japanese that they were unstoppable under the command established itself as an ally alongside the new world
and leadership of Emperor Meiji and his cabinet. superpowers.1 Although Japan’s position in the interna-
The Meiji restoration marks the final moments of the tional community would eventually erode, the Japanese
samurai culture and the beginning of a new modern age. people had seen enough success in the new imperial
Upon Meiji’s death in 1912, Prince Yoshihito became military to unify the nation solidly. The government
the next emperor. This ushered in the Taishō Period struggled to establish a working democracy, but the stage
(1912–1926), a time of turbulent economic and military for Japan as a modern industrial superpower had been set.
transition. But Japan’s thirst for domination was not Following WWI, in 1919, the Japanese were among the
appeased after its victories of China and Russia. Hoping “Big Five,” allied superpowers that attended the signing of
that German leadership in Berlin would be distracted by the treaty of Versailles. One of the articles of the Treaty of

139
Versailles allocated China’s Shandong Province to the forces, but with the Axis powers of Nazi Germany and ABOVE This image is entitled
Japanese as reparation for their war efforts. This outraged Fascist Italy. Battle after battle proved the might of the “New government, rich in
the Chinese and ensuing political turmoil fueled Japan’s Japanese military. The Japanese soldiers fought ferociously virtue.” (Shinsei kōtoku) Note
Meiji Era battle against communism. Japan’s reaction to on land, sea and in the air. Germany surrendered to the the conspicuous array of
Communist threat would reshape the nation. Under allied forces in May of 1945. But Japan, despite Showa’s weaponry.
economic collapse and recession, Japan entered the Meiji desire to de-escalate and surrender, fought on.
Period in a battered and threatened condition—a Eventually the tide turned and Allied forces captured
condition that eventually unified the people of Japan several key locations that would enable frequent
under a militant nationalist rule. bombing and eventual occupation of the main Japanese
Prince Hirohito was coronated Emperor Showa amidst islands. Yet the cult of state Shinto had so thoroughly
the aftermath of the First World War. He took control indoctrinated the population of Japan, that Allied
over the country and sought to unify the nation. To do leadership shared concerns that every Japanese man,
this, the nation would gather behind him in adopting a woman, and child would fight to the death to drive out
new brand of spirituality, the cult of emperor worship and any occupying force. On July 26th, 1945 the Allied forces
state Shinto. He began his reign with a severe persecution issued the Potsdam Declaration, which demanded
of communists and leftists. Emperor Showa drove the unconditional Japanese surrender. Emperor Showa,
national identity to a state of frenzied militarism in which despite showing signs of desiring de-escalation of the war,
men, women, and children trained for war and to die for defied the allied forces. To avoid a prolonged and bloody
their divine emperor. The nation developed and executed fight for mainland Japan, the Americans decided to drop
a propaganda campaign to save Japan from its economic atomic bombs on the strategic military targets of
crisis by waging war and defeating its rivals. Hiroshima and Nagasaki. On August 9,th 1945, the
Japan invaded Manchuria in 1931 and the rest of China bombs fell, drawing time and humanity to a stand-still.
in 1937. They used brutal military tactics, which drew Seven long days later the emperor of Japan issued his
negative responses from other military superpowers. acceptance of the Potsdam Declaration.
Their aggressive military campaign would eventually lead The post-war occupation of Japan created an explosion
to War with America, when Japan attacked Pearl Harbor of exchange between Japanese culture and that of the
on December 7th of 1941. This drew the United States and world. Whereas much of Europe had been exposed to
Japan into bloody conflict during the Second World War. Japanese culture during the previous half-century’s Meiji
This time, Japan allied itself not with the allied European and Taishō Periods, the aftermath of WWII brought

occupation and a new wave of cultural rebirth for Japan.

Again, Japan would embark on rapid Westernization.
The occupying forces shocked the cultural foundation of
Japan, bringing brash and arrogant behaviors, destruction
and forcible pacification. Yet many of those same
servicemen fell in love with the subtle beauty and
fascinating culture of Japan. And as we will see, this
chapter folds into the stories of both the iconic sword of
Japan as well as Japanese swordsmanship. Indeed, all
Japanese martial arts would undergo spiritual and
technical overhaul in the decades that followed WWII.
Looking back through the Meiji, Taishō and Showa
Periods, it is possible to understand the modern shift in
the spirituality of the Japanese martial arts.
Spirituality, Modernization and Martial Arts

The Meiji restoration was nothing short of the reinvention
of the Japanese spiritual identity and lifestyle. The Meiji
government sought to unify the people of Japan in a way
that the Edo Period Neo-Confucian class system could
never have supported. Every farmer, merchant, craftsman
or warrior was given equal sociological standing within
Meiji’s Japan. Instead of serving local warrior families,
peasants now were told that they lived only to serve the
emperor himself. This new social dynamic caused friction
between former samurai families and those who had
formerly belonged to lower classes. The government
devised a solution: A new national identity through state
sponsored Shinto. This chapter in Japan’s warrior-spiritu-
ality marks a sinister shift towards shameful misguided
adaptation—a trend that lays the groundwork for the
twisted glorification of Japan’s warrior archetype we see
today. Yet looking into the transition from feudal to
modern warrior, we can see how Japan has proved,
yet again, to be resilient and innovative.
During the Meiji restoration and the subsequent
historical periods that led up to WWII, the people of
Japan had transformed into fervent unified warriors,
ready to die in service to the emperor. In 1873 a conscrip-
tion law required that, “every young male regardless of
social rank… spend three years on active service followed
by four in the reserves.”2 This was a far cry from the
nearly three hundred years of peace seen during the
Tokugawa Period. But the nation bought into it and,
miraculously, emerged with a completely new national
identity. To understand how Japan’s warrior archetype
became so distorted, it is necessary to look inside the
ultranationalist cult of state Shinto.
With its borders newly opened to foreign travel and
trade, Japan began an era of unprecedented cultural
exchange with the outside world. This was a stark contrast
to Tokugawa Period isolationist policies. The cultural
exchange could be described as a flood. One important
concept that entered Japan was that of religion. Indeed,
the Japanese had no word for the idea of religion until
diplomats used the Chinese word shūkyō (“seminal
doctrines”) in treaties to guarantee religious freedom for
newly arrived foreign Christians.3 Meiji wanted Japan to
be seen on the world political stage as a major player with
its own unique national identity. State Shinto allowed the
Meiji leaders to reshape the Japanese image as having a
unified and loyal uniquely Japanese citizenry. In an explicit
effort to re-brand Japan’s image, while also unifying the

Chapter 7 Modern Japanese Swords 141
Japan. But where would the warriors of old fit into this
new paradigm?
Swords were no longer useful in a post-samurai
Japanese military. They were almost entirely replaced with
guns and modern military machines. Yet martial artists
would eventually morph into “modern samurai.”
The martial arts served as a conduit for both emperor
worship propaganda and fueled ultranationalist frenzy.
Martial arts training, which had become increasingly
structured and professional during the Edo Period, faded
under pressure to Europeanize Japan. For a brief time,
the martial arts were de-emphasized and Western sports
were promoted as being both worldly and instilling
nationalistic spirit within players. But aggressive expan-
sionist policies drove Japan’s need for fervent and loyal
warriors. State Shinto would answer the call to duty by
providing propaganda distribution in two key areas,
the educational system and the military.5
State Shinto discouraged personalized religious beliefs OPPOSITE TOP This drawing
and replaced them with unified loyalty to emperor and depicting an aerial view of the
country in both the civilian and non-civilian populations. Korean peninsula and
Japan needed hard workers and loyal troops. To create a surrounding areas shows the
strong adult army, comprised of fervent warriors who major battlefields of the
would die unflinchingly in service to their emperor, Japan Russo-Japanese war.
groomed its children. Within the schools, martial arts OPPOSITE BOTTOM Illustration
were equated with State Shinto spiritual education. showing the progressive
Bodiford explains that, in the same year that Japan’s army expansion of the Japanese
linked martial arts to spiritual education, Japan’s Empire between 1870 and
legislative diet passed a law requiring the Ministry of 1942.
Education to develop jūjūtsū and gekken curriculums.”6 LEFT Emperor Showa at his
former classes, State Shinto policies aimed to suppress all In 1907, the Ministry of Education developed a curricu- enthronement in 1928.
pre-existing religious institutions. Professor William lum for incorporating martial arts in all public schools. BELOW Two views of soldiers
Bodiford explains the sinister intentions of state Shinto in Before the Meiji restoration, Japanese warriors held and officers in the Imperial
reshaping the spiritual identity of Japan: complex beliefs that included rituals and deities from a Japanese Army.
Meiji leaders initiated a cultural revolution in which they

attempted to destroy Japan’s religious traditions and to create a
new state cult, eventually known as Shinto, to take its place.
They commanded obedience by identifying their government with
a divine emperor who claimed from ancient gods who supposedly
had created Japan. To more closely link the gods to Japan, Meiji
leaders ordered their dissociation from Buddhism. In other words,
all worship halls for gods were stripped of their Buddhist names,
art, and symbols and given new native identities… In 1872,
Buddhist monks were forced to register on the census as ordinary
subjects with secular names… No one knows how many
Buddhist monks and nuns were laicized immediately following
1868, but their numbers fell from a nationwide total of 82,000 in
1872 (the year of Japan’s first modern census) to 21,000 in 1876.4
The Meiji restoration’s influence did not stop at

governmental and spiritual shifts however. Martial
arts themselves began a fascinating, albeit sinister,
transformation as well. The fall of the samurai and the
rise of a new imperial army caused Japan’s warrior
archetype to undergo never-before seen adaptations.
As the new military’s use of modern technologies rose,
there was a brief time when the old fighting arts lost their
allure for the Japanese. Indeed, many schools of tradi-
tional martial arts were lost during the modernization of
Japan. And although some traditional arts did survive
this tumultuous period, most of the fighting arts were
reinvented within the framework of the new modern

multitude of sources. Therefore no single interpretation of The Taishō Era saw the development of a new breed of
the ideal warrior existed. Although Tokugawa samurai did modern samurai, trained from childhood to serve and
begin to define and publish works that shaped the ideal of obey, as the samurai had for their lords, the new expan-
the samurai spirit, not until the Meiji restoration was sionist government. The popular use of the term būshido
there a single, agreed upon code for all. Historically, spurred a fad in which the suffix do, which historically
every school or organization had its own viewpoints and indicated a connection to Taōism, was now attached to
philosophies. Paradoxically, the definition of the Japanese words to make them more “Japanese”—in the nationalis-
warrior code, which became known as būshido, came tic sense. The new būshido held connotations of prepara-
within the modern age and from Japanese Christians—not tion and readiness to serve and die for their emperor.
from warriors themselves. An author named Uemura In the 1930s, the Showa emperor’s policies ensured the
Masahisa (1858–1925) published the first book with the explicit and overt connection between martial training and
word būshido in its title in 1894. Entitled, Kirisūtōkyō tō state Shinto. Police inspected martial arts schools to ensure
Būshidō (Christianity and Būshido), the work sought to that they had erected a small Shinto shrine called a
legitimize a connection between Christianity and the kamidana within their training space. The kamidana
būshido, the “warrior’s way, ” through its compatibility became a spiritual and practical center-point for training
with Neo-Confucian social ethics.7 areas. Etiquette procedures, in which participants bowed
Now, into Japan’s Taishō Period, we see the develop- before the kamidana at the beginning and ending of
ment of a singular word to define the new warrior classes, became standard practice.8 This practice remains
archetype. Although the original use of the term būshido today, albeit as a form of cultural preservation, within
was used to legitimize Christianity, the precepts of būshido many traditional martial arts schools.
soon became adopted by the Japanese government as Whereas historical samurai may have justified their
contributing to the “spiritual development” of the nation. actions as being the outward extension of their lord’s
wisdom, now the whole of Japan saw their duties as
expressions of their commitment to the emperor.
Many martial arts’ names were changed to indicate
ultra-nationalistic pride and unity. This was accomplished
by adding the suffix do, to the names of athletic activities
and, in particular, martial arts. Jūjūtsū, martial techniques
of pliability became judo, the way of pliability.
Gekken (sword techniques) became kendo, the way of the
sword. Iaidō, (a sword art discussed in later chapters)
which was formerly referred to only by the name of a
particular school, was renamed iaijutsu. Iaijutsu was term
RIGHT Emperor Showa that described the collective body of individual schools
inspecting Army troops from practicing the sword drawing arts. Iaijutsu too, was
atop his favorite white stallion, changed into iaidō to reflect the nationalistic overtones
Shirayuki. of the day. During the modernization of Japan, Iaidō
BELOW General Douglas boomed and became largely popular among the masses
Macarthur with Emperor of new imperial warriors.9 Even martial organizations
Hirohito in Tokyo. followed suit and added the suffix do, to their names.
Bodiford writes about the trend: “By the late 1930s
recreational sports had become sūpootsū-dō, the highest
expression of which was one’s ability to sacrifice one’s self
(sūtemi) and ‘die crazy’ (shikyō) for the emperor.”10
By the 1930s, even martial arts training halls became
known as dojo. This is perhaps the ultimate demonstra-
tion of the state Shinto-driven application of the term do,
to override preexisting ideas of spiritual language and
activities, and in so doing, to suggest new connotations of
ultra-nationalistic unity. Calling a martial arts school a
dojo is a far cry from the original Japanese use of the
word. Historically, the terms dojo was used in reference to
Zen meditation halls. It may be the misuse of the term
that would later solidify the public perception of an
exclusive connection between warrior training and Zen.
Towards the end of the Showa Period, an important
author wrote some works that would forever change
perceptions of spirituality and Japanese martial arts. D.T.
Suzuki (1870–1966) published several pieces of writing.
One of which, Zen and Japanese Culture, in 1959,
would impact the minds of both non-Japanese and
Japanese alike. In this book Suzuki proclaimed that his
vision of Zen, which had little to do with actual Zen

Buddhism or its teachings, was intimately linked to the

Japanese psyche and new national identity. As stated
earlier in the chapter dealing with Buddhism, Suzuki was
neither trained in Zen nor in martial arts. He was, in
fact, a scholar seeking to explain the mindset of Japanese
religiosity to outsiders. In making his claims he trans-
lated loosely and often incorrectly to support his
assertions.11 In short, he created a misperception of Zen
as the singular spiritual undercurrent in warrior
culture—which is patently false. And yet, paradoxically,
the world bought into it, to such an extent that his
words would become a self-fulfilling prophecy.
Suzuki’s mystical and esoteric language appealed to the
world that had only recently come into diplomatic contact
with Japan. Japanese culture, in particular its warrior
culture, was seen as simultaneously primitive and exotic
by many outsiders. His works became important forces in
public perception. There was another seminal book that
reinforced this heretofore unheard-of Zen undercurrent in
Japanese culture. A German professor of philosophy
ABOVE The modernization of
named Eugen Herrigel (1884–1955) would also propagate
falsehoods regarding Zen among the non-Japanese Japan also saw the militarism
readership. Bodiford explains the relationship between of its civilian population using
Herrigel and his teacher, Mr. Awa: State Shinto’s ultra-nationalist
propaganda.
LEFT The Showa emperor,
In 1948 Herrigel wrote a new book (translated into English as
Zen in the Art of Archery) in which, in addition to extensive Hirohito (1901–1989), shown
quotations from Suzuki, Herrigel described Awa’s teachings as a here in formal Western-style
Zen practice that had remained the same for centuries. Nothing military dress.
could be further from the truth. In 1920 Awa had founded a new
religion called Daishakyodo (literally, “Way of the great doctrine
of shooting”). In his book, Herrigel refers to Awa’s religion as the
“Great Doctrine” and identifies it with Zen. Awa did not. Awa
had no training in Zen nor did he approve of Zen practice.
Neither Awa nor Herrigel spoke each other’s language…
Herrigel’s account has been uncritically accepted, not only in
Europe and the United States, but also in Japan (where it was
translated in 1956) as an accurate description of traditional Zen
teaching methods.12
It has been asserted that Suzuki’s writing, inventive as

it may have been, did in fact become a self-fulfilling
prophecy. The story of Herrigel’s account marks the first
published work citing the Zen-ness of martial training by
non-Japanese. Since then, countless other authors have
overblown Zen. In so doing the popular notion of
historical spirituality has been grossly simplified.
The relationships between the warriors, their beliefs,
and the spiritual undercurrents of Japanese culture defy
singular explanations—even with esoteric language. accepted among both outsiders and Japanese. So too
Japan, a land that did not, until Christianity arrived, were Herrigel’s works. Both of these examples offer an
even have a word for religion in the singular sense, important first moment, when the world began accepting
did eventually identify itself with Zen. and rehashing misinformation.
After WWII, many Japanese martial arts masters, and
Post-War Period Martial Arts sword related craftsmen for that matter, were banned from
Many scholars have asserted that modern martial arts practicing their disciplines—no Sword making; no martial
began during the Edo Period when formalized training arts training. The occupying forces had seen what
became standardized. Others indicate that modern martial ultra-nationalistic fervor, instilled into a population who
arts began when the samurai class was abolished during lived to train, kill, and die for the emperor, could do on the
the Meiji Period. Both of these arguments hold water. battlefield. The Japanese had proven themselves ferocious
It could be argued though, that truly modern martial and ruthless enemies, capable of seemingly superhuman
arts were born when this misinformation began to spin martial feats. Many martial arts teachers joined together
out of control. As we have seen, Suzuki’s writing was to petition the occupying forces. They wanted to resume

RIGHT Although the connection their training. Again, the Japanese warrior archetype
between Zen and martial arts would require an image makeover. And Suzuki’s argument
is largely a modern invention, for nationalistic Zen would provide the fodder.
it is undeniable that the Masters such as Kano Jigoro, of judo, and Otsuka,
traditional arts of today are of karatedo, Oe Masamichi of iaidō, (and countless
practiced with a distinct Zen others) appealed to the occupying forces, citing that the
flavor. martial arts were a longstanding and inextricable part of
BELOW Aikido is widely their national identity—that much was certainly true.
believed to be the modern But they used the new invention of Suzuki’s Zen to convey
adaptation of Daito-ryū their arts as de-militarized and purely for the purpose of
Aiki-jūjūtsū and Zen. This is cultural preservation. During the 1950s the -dō suffix was
false. While it is true that yet-again adapted to carry the implication of the art being
Aikido’s founder, Ueshiba a Zen-like “Way,” to spiritual development. This semantic
Morihei studied Daito-ryū, shift was more a reflection of modern sociopolitical
Aikido is not a Zen art at all, pressures on martial artists to downplay (at least publicly)
rather, it is a complex the martial components of their practice. Consequently,
amalgamation of several many Japanese teachers actually started teaching their art
martial, spiritual, and political with a decidedly Suzuki-Zen flair.
inspirations. Post-war students, both Japanese and non, were
exposed to a newly defined martial arts image wherein
the arts ending in -dō were spiritually based and the arts
ending in -jūtsū were militaristic and emphasized
practical techniques for killing. Author, martial artist,
and scholar Donn F. Draeger’s works have promoted this
distinction. However, as we have seen, nothing in
Japanese culture can be so easily explained. And when
closely examined, the -jūtsū/-dō distinction breaks down.
Professor Bodiford explains, “Regardless of how widely
disseminated this kind of lexographical distinction
between -jūtsū and -dō has become, it must be empha-
sized that there is simply no historical evidence for it.
Martial arts ending in -dō have a long history… Until the
1910s these terms were used interchangeably with a wide
variety of other names, some ending in the -jūtsū suffix
and some not, with no generally agreed upon difference
in denotation or religious connotations.”13
Despite the lack of historical basis for the -jūtsū/-dō
distinction, Draeger’s writing has been widely quoted by
martial artists who seek to set themselves apart in some
way or other. -Jūtsū art practitioners often use the
distinction to indicate that their techniques are from older
systems, before the Zen influences demartialized them—
maybe they are, maybe not. Meanwhile, practitioners of
-dō arts place their martial arts on a pedestal, claiming the
moral high-ground. Again: maybe so, maybe not. In the
end, most Japanese martial artists, if they research their art
deeply, will find that their art too, has changed and
adapted over the last hundred years—no matter the suffix.
Much has been written about what makes a Japanese
martial art more or less traditional, more or less legiti-
mate, and so on. The fact remains that many modern
practitioners of martial arts are practicing arts that have
survived over two hundred years of peace during the
Tokugawa Period, the atrocities of ultra-nationalistic
aggression, and the transition to Suzuki’s modern Zen.
This is true for teachers and students, Japanese and non.
The forces of these sociological waves must surely have
shaped nearly all martial arts. The martial artists of today,
just like warriors of old, explore the junction between the
spiritual realm and wholehearted practice. And today’s
practitioners, like those of yesteryear, must also find
meaning within themselves. Such matters remain
complicated and deeply personal.

Meiji, Taishō and Showa Period Swords

Blades in the Meiji Period were used primarily for the new
imperial military. The swords were generally of low
quality. Although a few swordsmiths continued making
blades, the art was almost completely extinguished.
The days of the samurai had passed. The sword’s practical
application degraded from daily tool to outward display
of rank for imperial officers. For the Japanese society in
general, the sword’s importance waned. They were
thought of as useless, outdated, and impractical. Swords
during this time were stockpiled in warehouses, left to rust
and even recycled into nails, hatchets, “or used to
reinforce wagon wheels.”14 For the once proud samurai
and traditionalist, these were extremely dark days. Seeing
the cultural symbol of a nation reduced to mere decora-
tion for modern gun-toting soldiers must have been
degrading and humiliating.
Factories were created, in which swords were made in
huge numbers for the officers of the new military. Different
designs and colored tassels looped through the handle of
the sword indicated to which branch of the services the
officer belonged. The mountings and fittings that held the
blade became homogenized. The officers’ swords, in terms
of shape and its fittings, were tightly regulated. It is true
that some officers elected to have custom crafted swords
(in some cases family heirlooms) fitted in the modern
settings, but the blades of the imperial army became
increasingly factory-made throughout the Meiji Period.
These factory-produced blades, called shōwatō, are of low
quality and collectors generally do not bother with them.
They have value only in terms of being a noteworthy
chapter in the evolution of the Japanese sword. Shōwatō
were used as symbols for imperial troops, calling them to
fight as the historical samurai had. Their primary function
at this time was symbolic. For collectors, such swords are
of interest only in the off chance that upon examination, it
turns out to be one of the rare occasions when an imperial
officer had a good blade mounted.
The Meiji, Taishō, and Showa Periods produced few conclusion of World War II and with the insistence by the ABOVE During the forging
traditionally crafted blades. With only a handful of occupying forces, Japan enacted a ban on sword making. process, the sword steel is
traditional sword smiths remaining, Japan nearly lost the The craft of sword making nearly disappeared during the folded repeatedly.
craft. Indeed, during the Taishō Period, there was a post-war aftermath. See Chapter 2 for details.
prohibition on all sword making. Yet a few master Sword making and related arts are important cultural
craftsmen were retained, primarily for the purposes of assets. The occupying forces agreed and so lifted the ban.
making ceremonial swords used in the dedication of Shinto In 1953, the American occupying forces allowed the
shrines. All of the blades from these modern periods (after Japanese to begin making swords again. This marks the
1876) are referred to as gendaitō. Gendaitō can be divided final chapter in the Japanese sword’s evolution to date.
into two major eras: The shōwatō, or factory-made blades, The lift on the ban and re-emergence in sword making
and the gendaitō, or new modern sword.15 The transition ignited enthusiasm in the Japanese.
from the factory-produced blades to traditionally Westernization and modernization unexpectedly
produced ones was near miraculous, and was the result of revitalized many Japanese arts. In terms of the sword,
dedication befitting such a marvelous sword. this marks an important distinction: the birth of the
Faced with losing the art of sword making, a member shinsakutō (modern art sword). Because the blades are
of the House of Representatives, Kurihara Hikosaburo, produced as a matter of cultural preservation, they are
founded the Japanese Sword Forging Institute. This and considered pieces of art. These blades are extremely
another traditionalist sword making group, named the functional and crafted in the traditional way. Bladesmiths’
Japanese Sword Training Institute, became primary works are tightly regulated so as to limit the number of
sources of sword manufacturing tradition in the modern swords in circulation while maintaining excellence in
age.16 In the face of countless factory blades churning out craftsmanship and preservation. Today, modern blade-
for officers being sent to wage war in the emperor’s name, smiths and collectors distinguish their blades from other
these institutions continued making swords of traditional older gendaitō by using the term shinsakutō. There are
construction. They continued their work until the many swordsmiths producing shinsakutō in a wide variety
Japanese forces were defeated in World War II. At the of styles and prices.

RIGHT Much of the

apprentice’s day centers
around the careful and
constant preparation of
charcoal, the lifeblood behind
the smithy’s fire.
A Glimpse into Sword-making Apprenticeship themselves with concepts such as fairness, right or wrong,
Today—by Pierre Nadeau and arbitrary discrimination. Of course contemporary Japan has
The new century has indeed begun, and I often find myself updated its laws and public practices to fit in today’s world,
wondering if the modern people of the early 1900s had this but we praise and endure traditional crafts for they offer an
same feeling of global renewal—the end of something for the authentic and profound learning experience.
beginning of something new. The old traditions of the world Basically, the culture of a traditional apprenticeship always
are being diluted globally, internationalization is leading to a revolves around a given craftsman. His reputation and known
planetary community—at least for developed countries—and work attracts people who want to learn from him. The
the challenges for the human race are getting more abstract craftsman, unless he’s expressly looking for helpers, is not
at every step. As for Japan, it underwent such waves of inviting anyone. It’s the hopeful apprentices who seek entry
cultural revolution in the past hundred years that we can into the craftsman’s daily reality in order to acquire his skills
thank our good moon that so many of its ancestral traditions and accumulated knowledge. Any criticism or judgment coming
have been preserved. from the apprentices is therefore out of place. The mention of
Throughout its history, the Japanese sword received several any background knowledge by an apprentice is also unwel-
blows that pushed it every time closer to the brim of extinction. come, and must be put on ice. As the Zen saying goes:
For some reason, however, today it is not doing bad, and I can
even say that the standards in workmanship in some circles are Like this cup, you are full of your own opinions and
on a steady rise. speculations.
The Japanese swordsmiths of the 21st century thus present How can I show you Zen unless you first empty your
themselves in a peculiar fashion: out of date, economically cup?!
non-viable and always conservative and rigorous. Several
hundreds smiths, along with several hundred more other In other words, why would one go learn a baker’s trade in
sword-related craftspeople, strive in their own ways. Some of France while bragging about the virtues of German bread?!
them do it only for the pleasure of playing with the tools and If the apprentice came to this particular craftsman, it should be
techniques of old, while others genuinely research a path back because he thinks there’s no better place to learn, or else head
into the masterpieces of the 13th century. Included somewhere right off to that better place. Also, the craftsman is not a school.
in there, one French-Canadian apprentice, trying to keep afloat, He does not have a curriculum prepared and levels to reach.
four years and a half deep, in the fall of 2009. That’s me. He might accept apprentices for reasons such as a sense of
I find myself here, honestly feeling “between two waters” as duty to pass down the tradition, because he simply likes
the French saying goes, between the fear of the unknown that teaching, or because he needs cheap labor. But in no way he
bears heavy upon entering apprenticeship, and the growing should be expected to put together a course plan or work
challenge of performing up to the standards of my mentors in schedule for his visiting pupils. The bottom line is that it is up
what is to become my daily bread-winning reality. to the apprentice to gather knowledge while exposed and
immersed in his master’s environment. Personality traits will
Apprenticeship in Japan make some mentors more or less generous with their
Apprenticeship in Japan is peculiar in its own way, but very explanations. It is also true that too much theoretical explana-
natural too. We Westerners tend to rationalize much, whereas tion is useless, if not damaging, to proper education.
the Japanese are a lot more intuitive and don’t bother Experience is the only true way of learning, after all.

147
Today’s apprenticeships have taken various forms to meet live-in apprentices, the air is different!” It is true that soaking in
the ever-tightening constraints of the fast-pace, 21st century the learning environment around the clock frees one’s mind of
society. Live-in apprentices are rare, and more often than not any other preoccupation than that of one’s training. My own
they have to pay a pension to cover for room and board. This set-up, I can confirm, really was not ideal for learning. Since I
implies that they have access to financial resources for the five had no family fortune to back me, and wasn’t able to save up
to seven years duration of their apprenticeship. There are more the forty to sixty thousand dollars necessary to go through a
and more cases where apprentices are simply visiting their live-in apprenticeship for the required time in Japan, this was
master on a part-time basis, on weekends or one day a week, the only available path for me. For the first year, I worked every
for example. For most, however, these smiths never appear in Friday through Saturday, teaching at one of Japan’s many
the upper ranking of the competitions. Does it have to do with private English conversation schools, and visited my master
poor training, or just a lack of commitment on their part? Monday through Thursday. That meant no holiday for a full year,
Until now and as far as I was able to confirm, there is only one but during the second year I succeeded in getting Sundays off.
non-Japanese to have completed a traditional apprenticeship in Another source of irritation was that the school in question was
Japan. The American Keith Austin trained under two smiths, in Nara, whereas my master’s smithy was in the mountains of
including alongside Kawachi Kunihira under then Living National Wakayama, a three-hour drive. I would spend every weekend,
Treasure Miyairi Yukihira in the 1960’s. Mr. Austin unfortunately as I still do, at my then in-law’s-to-be, in Nara. I enjoyed the
passed away in April 1997, after having spent 30 years rides on my 400cc motorcycle on brisk autumn days, but sweaty
researching Japanese steel and sword making on a Californian summer heats and winter frosts were a challenge! Upon
farm. How I wish I could have met him! I saw an exhibition of his entering the third year, I got a little cleverer, changed my bike
mentors’ and some of his work in Nagano prefecture in June for a mini-van, and found teaching work near the coast, a
2008. He was an accomplished swordsmith. Otherwise, in the 40-minute ride from where I lived. After getting married in
category of peculiar apprentices, I have a friend, Mizuno November 2008, thanks to the support of my wife, and my
Nanako, who appears to be the only female Japanese sword- operating a sideline swords purchasing, restoring and
smith apprentice, now training under her grandfather in Sakai, appraising business—I act as a service broker, I am now
southern Osaka prefecture. Her family work as fine knifesmiths, focusing on my training almost everyday. It feels good—very
but the head also holds a swordsmith license. good. When I think back of my first years, nothing in the world
would convince me to go through that again! But then I was just
My Experience as an Apprentice doing it, without knowing on what kind of boat I had set foot.
As for myself, I came across the Japanese craft by chance during
a trip with friends in Okayama prefecture, 2002. We were The Japanese Sword is Alive
passing through an area still called Bizen, which used to be an If everything goes well I should be able to obtain my sword-
actual province until 1871, when the Feudal system was smithing license from the Japanese government in a couple of
abolished. Bizen has been the single most important steel and years. The day I make a sword that moves the hearts of people
sword production center in Japan. I had the chance there to who never even were interested in Japanese swords in the first
observe a swordsmith at work for about three hours. It moved place, I’ll be genuinely proud of what I am. Until then, being the
me in a deep, peaceful way. I have experienced many things in only non-Japanese licensed swordsmith alive in the world is
my life, but this felt like home. The countryside, the fire, really not enough to compensate for the sweat and lack of
working alone, shaping steel, such a tough material! And then a comfort, and more importantly it doesn’t necessarily make me a
sword was showed to us. What beauty! And all steel, no competent smith. Many swordsmiths and blacksmiths in and
decoration. I couldn’t believe my eyes. And I still can’t. out of Japan are working their very own way at producing their
Four years elapsed before I officially entered apprenticeship. best and, although I have the advantage of having all the
During that time, I split my time half and half between earning resources nearby, my efforts are what will count the most.
an undergraduate degree in Montréal, and visiting smiths and In other words, accomplished work is the only variable that
other sword people in Japan. I slowly developed a more should ever be assessed.
intimate relationship with Kawachi Kunihira’s second The Japanese swordsmiths of the 21st century are striving to
apprentice, Kiyota Jirōkunietsu. He accepted me as his produce their best. They are experimenting with creative
apprentice during a stay in the summer of 2004. I learned only approaches and individual preferences. The Japanese sword is
recently that he had two reasons for accepting me. The first one alive, and I believe we are all hoping to expand its exposure to
was that, if I was to learn his trade, he wanted to make sure I the world. The wonders that the finest example of Japanese
would learn it properly, and thought I’d better go through a real swords offer are worthy of master artists and craftsmen of every
apprenticeship rather than be refused, go back to Canada and tradition and era, and should be treated and studied as such. For
make Japanese-looking curved bars of steel. The second reason first-timers, it is often a challenge to make abstract its being a
was that he honestly believed I’d never come back to actually weapon originally designed to take—and also save—lives, but
start my apprenticeship, which allowed him to be nice by real masterpieces speak for themselves and don’t require much
accepting me without having the hassle to actually train me! explanation. Please follow up and actively support a new period
He was wrong on that one. In fact, this persisted throughout the in the Japanese sword’s 1,300 years of history by reaching the
first years: he never believed I would continue. Sometimes I best resources and studying and promoting the best examples.
believe he found himself with more responsibility than he had
expected to have in the first place. Pierre Nadeau was born and raised in Montréal, Canada, where he
studied and worked as a photographer before earning an undergraduate
I was happy to find a situation in which I lived apart from my
degree in finance at Montreal University’s business school. He came to
master, and visited him everyday. This gave both of us more Japan for the first time in August 2002, and entered apprenticeship in early
leeway in the field of cultural differences, and allowed for a 2006. He married Rina, a Japanese women from Nara in November of 2008.
more work-focused relationship. But as Kawachi said, “...for You may visit his web site at www.soulsmithing.com.

148
Signature: Showa 16 (March, 1941) NBTHK Hōzōn Paper—Yasuoki

Sayagaki (certification): Yasuoki Katana (Kudan Kaji-kai Yu-saku),
perhaps of the Goto school.
Mekūgi: 1
Wide at the kissaki: 1.95 centimeters or 0.76 inches
Era: Showa (March, 1941)
Shape: This blade is a wide and thick katana with deep sōri,
and rather long kissaki.
Jitetsu: Koitame hada well-grained with jinie.
Hamon: Niedeki gunome midare. In ha, there are many long ashi
and koashi.
Boshi is the round kaeri style.

149
Katana
Signature: Kurihara Akihide saku (NBTHK Hōzōn Paper)
Showa 18 (1943)
Mekūgi: 1
Era: Gendai Period (modern times)
Shape: The blade is wide and thick with a long kissaki.
Jitetsu: Itame hada well-grained with jinie and also chikei work.
Hamon: Niedeki gunome midare and cyoji midare hamon mixed.
In ha, there are many ashi and sunagashi and also small
kinsuji work.

150
Katana (NBTHK Hōzōn Paper)

Signature: Yasuyoshi
Showa 17 (February, 1942)
Mekūgi: 2
Era: Gendai (Showa Era)
Shape: The blade is typically-sized with deep sōri that looks like it
dates from the Kamakura Period.
Jitetsu: Koitame hada well-grained with jinie and also chikei work.
Hamon: Basically niedeki sūgūha hamon and small gunome midare
mixed with a lot of ashi work.

151
RIGHT NBTHK Hōzōn Paper:

This sword looks a copy of Rai
school which is well known for
the sword smith of the
Kamakura Period. The blade
has a splendid temper line.
ABOVE Yasuyoshi, born Ajiki Haruyoshi around 1911 to 1912

in Yamagata Prefecture entered the Nihon-to Tanren-kai in 1933.
He learned under Kajiyama Yasutoku, Kotani Yasunori and
Miyaguchi Yasuhiro.
Haruyoshi started to work with Kotani Yasunori in 1935.
Haruyoshi inscribed “Yasuharu” on his swords before he was
named Yasuyoshi in 1940.
He forged about 730 swords as a yasukuni-tosho. In the postwar
Japan, he made a fresh start in 1955 and forged swords in Togane
City in Chiba Prefecture.
He passed away in 1994.

152
Signature: Osaka ju Gassan Sadakazu tsukuru no (NBTHK Hōzōn

Paper) Meiji 34 nen 2 gatsu hi (February 1901)
(Shinshinto Jojo saku ranking. Settsu province.)
Mekūgi: 1
Era: Meiji Period
Shape: The blade is a typically-sized mihaba and kasane. This is a
long sword.
Jitetsu: Koitame hada well-grained with jinie and fantastic jigane.
Hamon: Niedeki gunome midare and sakasa cyoji midare hamon
with deep niōikuchi.
In ha, there are many sunagashi and also a scattering of fantastic
small kinsuji.

153
BELOW A g endai (modern blade) katana.


Modern Katana
This sword was made by the master smith Ogawa Kanekuni from
Gifu Prefecture. Kanekuni is well-known for striving at producing
blades in the style of the 17th century smith Sukehiro of the Osaka
Shinto school. This style of hamon is referred to as toranba, as it
resembles large waves of the sea. Many smiths today attempt to
reproduce the workmanship of past masters as a means of
improving their own skills.

PART 3
The Art of Swordmanship

Chapter 8
Japanese Swordsmanship Today
There are countless martial arts being studied today. The contemporary martial arts scene reflects heretofore-
unseen adaptations of the traditional styles. Most current martial arts schools are modern amalgamations
of American, Chinese, Korean, and Japanese styles, coupled with a healthy dose of Hollywood flash.
Traditionalists, both Japanese and non-Japanese, share frustration and sadness at this state of affairs.
The problem is not that these modern schools exist. Indeed, it has been shown that even historical Japanese
martial arts have undergone many changes in both form and spirit. The problem is that most modern people
cannot distinguish the traditional teachers from the fraudulent ones who purport to teach a traditional art.
Make no mistake; in this age of globalization and profiteering, the traditional arts are at a serious risk of
being overrun by the masses that seek superficial spirituality and false tradition.
To further qualify this concern, it is important to LEFT This calligraphy by

distinguish between modern mixed martial arts (MMA) award-winning American
schools, who claim to teach a modern mix of fighting shodo practitioner Hugh
techniques, and those who falsely claim traditional Davey shows the characters
lineages. MMA is a modern adaptation and legitimate for “Iai” in semi-cursive style.
new branch of martial arts. These schools do not claim to OPPOSITE After bowing in,
disseminate ancient samurai secrets or require blood iaidō practitioners pause in a
oaths. They just claim to train people how to fight using position called seiza before
“mixed” methods—there’s nothing dishonest about that. rising to begin their other
The problem is that many teachers fraudulently claim a activities in the dojo.
traditional lineage and are scamming their well-meaning
martial arts students. Many of these teachers tout their
false credentials, which are nearly impossible to distin-
guish from actual certificates of rank issued by trustwor-
thy organizations or teachers. The result is that students
often “buy” something that they are not receiving.
The Classical Art of Iaidō

Among the Japanese martial arts being taught today,
very few are historical styles dating back beyond the Meiji
restoration (traditional arts). In fact, only a handful can
trace a direct lineage of headmasters back to the Edo
period or earlier (classical arts). Yet there are some who There are many other forms of swordsmanship being
continue to practice and teach their arts as matters of practiced today. Iaidō, a highly philosophical art, concerns
cultural preservation. This chapter focuses on discussions itself with much more than simply cutting. Iaidō is taken
surrounding one art that dates to the mid-1500s, the by many to be a very serious and deeply personal
sword-drawing art of iaidō. endeavor. The sword-drawing techniques themselves,
From Japan’s creation mythology to the import of while comprising the heart of practice, account for a small
Buddhist deities, and passed through the generations, fraction of the reward for most practitioners. For many,
samurai have wielded their blades from a cultural vantage the rewards of iaidō practice come from engaging in a
point that is uniquely Japanese. Yet today the Japanese physically challenging, philosophically rich, and histori-
arts are very popular with non-Japanese. The once cally important martial art.
secretive and reclusive Japanese culture is opening up and Iaidō is the classical Japanese art of drawing the sword.
sharing more of its secrets every day. In the following Its roots can be traced back nearly 440 years, making it one
pages we’ll look into one sword art that represents both of the oldest Japanese sword styles still being practiced.1
the past and present spiritual traditions of Japan—and The meanings of the Chinese characters used to write
how the classical art of iaidō can serve as a vehicle for “iaidō” are i, pronounced “ee,” to “exist,” ai, pronounced
self-discovery—even for modern practitioners. “eye,” to “meet and blend with,” and do, pronounced

160 Part 3 THE ART OF SWORDSMANSHIP
RIGHT Members of the Yama “doe,” meaning “way” or “path.” The suffix “dō” is a
Oroshi Dojo watch term used—as in iaidō, judo, kendo, aikidō, and karate-
demonstrations attentively do—as a concept of the way or road to self-development
and politely while seated in and denotes a spiritual path followed by students of būdō
the seiza position. disciplines.”2 Thus, one translation of the word iaidō is:
“Way to meet with one’s own existence.” Those who study
iaidō are commonly called “iaidōka” by the Japanese,
which means “iaidō-person” or “iaidō professional.”
The name suggests that iaidō is more than just a sword-
drawing art; it is also a profound system of self-realization.
The particular school of iaidō discussed in this text is
Mūso Jikiden Eishin-ryū. Mūso translates as “divinely
inspired,” and Jikiden means, “directly transmitted.”
Eishin denotes the surname of our school’s seventh
headmaster (Hasegawa Eishin). Ryū indicates that the
style was named in Hasegawa Eishin’s honor.
Mūso Jikiden Eishin-ryū is considered by many to be a
very esoteric historical sword style. Its philosophical and
practical principles are illusive and resist casual explana-
tion. Envisioning the strategy, however, can unlock some
of iaidō’s allure.
Envision Iaidō
It may be beneficial for readers to begin by visualizing
iaidō’s unique impact in the field of sword arts.
Envision medieval Japan, and a duel between swordsmen
in a grassy meadow. Imagine the surprise that a classically
trained swordsman, or in this case the aggressor,
would have had when he showed up for the duel with
his sword drawn and garments tied back for battle only
to find his opponent, an iaidō practitioner, standing
quietly in meditation. Without posturing, shouting,
or even drawing the sword, the iaidō practitioner waits
calmly. The iaidō practitioner continues to stand, sword
in scabbard, breathing steady, gaze fixed, and hands
relaxed but at the ready. His whole demeanor demon-
strates a heightened awareness.
Although it seems that the iaidōka is at a disadvantage
because he has not prepared or drawn his sword, he
considers his position a strategic (if not psychological)
advantage. He also has a moral advantage because he has
not drawn his sword and therefore the situation may
de-escalate. Hopefully, the opponent will recognize the
iaidōka’s skill and admit defeat without bloodshed.
The iaidōka—trained to overcome an opponent with
ferocity and an unyielding spirit—will invariably commit
to a full attack if the aggressor decides to pursue the fight.
At the moment of attack, an opening would be created
in one of the aggressor’s target zones. At this moment,
the iaidōka would draw with perfect efficiency, cutting
and possibly killing the attacker in one motion. Standing
still, in a moment of extended awareness, the iaidō master as well. Its focus shifted from practical cutting to
would then remove the blood from his sword using a metaphoric cutting. Here, we’ll examine the birth of iaidō
whipping motion and return the sword to its scabbard in the context of Japan’s historical overview.
with dignity.
Due to the rarity and secrecy of medieval iaidō, such The History of Iaidō
scenes may have taken place infrequently. Nevertheless, Jinsuke Minamoto no Shigenobu (also known as
such is the ideal to which historical and modern iaidōka Hayashizaki) is the man credited with creating the sword
aspire. The strategic brilliance and graceful simplicity is, art that evolved into today’s various schools of iaidō.
to this day, an amazing spectacle to witness. Iaidō was The age of iaidō’s roots is commonly given as 450 years.
born of the Muromachi Age, “The Age of the Country However, the Būgei Ryūha Daijiten, a written record of
at War.” Its motions were designed to be both practical lineage branches, indicates that Jinsuke lived from
and spiritual. As Japanese society changed, iaidō changed 1546–1621, so he would have been twelve years old at the

Chapter 8 Classical Swordsmanship Today 161
time he created iaidō. Referencing this source, we can engaged in austerities and prayer at the Kumano Meijin
deduce that either he was very young when he conceived of Shrine (also known as Hayashizaki iai Jinja). After praying
his sword drawing art, or that the actual age of iaidō is for 100 days, he received divine enlightenment from the
closer to 440 years at the time of this writing.3 In any case, Shrine’s tutelary deity, Kumano Meijin. Jinsuke’s prayers
it is safe to assume that any information that remains today were answered in the form of a system of drawing the
has been changed and distorted over the last 440 years. sword and cutting in one motion. His experience was so
Nevertheless, it is believed that Jinsuke was born in profoundly powerful that he renamed himself Hayashiza-
Kyoto. He grew up in an age of constant warfare and was ki. Hayashizaki’s art focused primarily on the quick-draw,
likely exposed to various battle-tested styles of swords- which evolved into modern iaidō.
manship. It is said that when he was six years old his Hayashizaki founded the Shimmei Mūso-ryū (“divinely
father was murdered. Seeking vengeance and divine inspired, unparalleled style”). Mr. Asakura describes the
inspiration, he traveled to Yamagata prefecture and techniques of Hayashizaki’s art.

RIGHT This scroll, a gift from

Iwasa Sensei in Tokyo,
contains the teachings of
Mūso Jikiden Eishin-ryū.
BELOW This scroll reads,
Hayashizaki Iai Daimyojin, the
honorific name that was later
given to Kumano Meijin, the
tutelary deity of the
Hayashizaki shrine, iaidō, and
its practitioners.
The original style can be described. It is said that Hayashiza- The next guard, Nagano Muraku Shosanro (called Juro) also
ki’s iai had nine vocalized breathing methods, which he called contributed to the fame of Hayashizaki’s iaidō. Juro was a
Kuji-Kokyu. These shouts were assigned to different movements member of Takeda Shingen’s guard. Juro suffered a defeat in the
and focused the energy of the attack. The Kuji-Kokyu included: Battle of Mirinjo but escaped. He was, as a result, sent to live in
Rin, Pyo, To, Sha, Kai, Jin, Retsu, Zai, and Zen. One of his the remote northern region of Akita—an area famous for its
famous techniques involved him shouting, “Rin” whenever he beautiful girls. Juro was quite a character and made a name for
made a thrusting stab (tsuki). He was also famous for shouting himself as a ladies’ man. He was particularly famous for wooing
“Pyo” whenever cutting the enemy. Unfortunately, little is women whilst on horseback! Juro, in fact, had many wives.
known about his actual techniques. But while he was in Akita, he became worried that his iaidō was
deteriorating. He traveled to Nagano and studied the ryūha
Hayashizaki became a guard in his birthplace Kyoto, which (style branch) called Murakusho. He also entered the Jo-ryū
was the capital city of Japan at the time. He became famous and (exclusive, high-level teachings). Eventually, Juro rejoined Takeda
by the time he had a grandson (Nobuyoshi) Hayashizaki had Shingen’s troops and served in the battle of Joshu. During that
guards of his own. Hayashizaki had many guards and he taught battle, he fought heroically and became famous.
some of them his iaidō techniques. Some of his guards who
studied iai became quite famous themselves and, in so doing, With characters like Juro wandering the country,
highlighted his teachings.4 wooing ladies and teaching swordsmanship, it is no
wonder that iaidō became popular as a result of his
In his honor, his students renamed the school Shimmei influence. Indeed the growth of Hayashizaki’s swordsman-
Mūso Hayashizaki-ryū, adding his name to the style. ship spread like wildfire. Many of his students went on to
The second headmaster in the system distinguished teach students of their own. However it has changed since
himself at the highest levels of Japanese warrior society. those times, Hayashizaki created the living tradition that
A student of Hayashizaki’s, Tamiya Tsushima Choshu, remains for us today. And carrying the torch of his
also known as Tamia Heibei Shigemasa, became the teachings is a direct succession of headmasters. Each of
personal swordsmanship teacher to three of the Toku- whom contributed to and shaped the art. While a
gawa Shogun: Ieyasu (1542–1616), Hidetada (1578– comprehensive outline of each of the headmasters and
1632), and Iemitsu (1604–1651).5 This popularized the their contributions to the art is beyond the scope of this
art among Japan’s military elite. And as we have seen, work, several developments were key in shaping iaidō.
during the Tokugawa family’s Edo Period, martial arts In the 1600s, the seventh headmaster of the system,
practice became more structured and homogenized at the Hasegawa Eishin, structured the techniques into shōden
hands of professional martial arts teachers. Another of (initial transmission), chūden (middle transmission),
Hayashizaki’s students served an elite samurai. Again, and ōkūden (secret transmission) levels. He also added sets
Mr. Asakura explains: of techniques that employ a raised knee posture called
tatehiza.6 These changes, coupled with his outstanding

Chapter 8 Japanese Swordsmanship Today 163
skill, inspired a change of the school’s name from Shimmei

Mūso Hayashizaki-ryū to Mūso Jikiden Eishin-ryū.
The famed headmaster, Oe Masamichi, changed in the
name of the school in Eishin’s honor. In addition, he added
the word jikiden to the name indicating that the style is to
be handed down directly from teacher to student.
This denotes his view that the Eishin-ryū branch represents
the direct transmission of Hasegawa Eishin’s teachings.
Also during the Taishō Era, Oe Masamichi incorporated
the Omori-ryū school’s techniques into Mūso Jikiden
Eishin-ryū. He included them as the shōden (initial-teach-
ings) level techniques. Hasegawa’s tatehiza (raised-knee)
techniques formed the backbone of his middle-level
techniques, while the ōkūden, or secret-level techniques are
composed of standing and raised knee techniques.
Mūso Jikiden Eishin-ryū’s Tanimura-ha branch was
made famous by the legendary iai gōshi, or warrior-farm-
ers of the Tosa clan. It is a long and proud tradition,
which has left its mark on the sociological evolution of
Japan. Mūso Jikiden Eishin-ryū was preserved by the iai
gōshi and did not officially leave the prefecture until the
turn of the nineteenth century. Some iaidō teachers believe
that the concealment and preservation by the Tosa clan
led to this style being an accurate representation of
historical iaidō techniques. However, within the style,
a faction split and formed the Shimomura-ha, which
would later form the foundation for another popular iaidō
school, Mūso Shinden-ryū.
By the late seventeen hundreds, the style was branching
into two main factions: the Shimomura-ha, which took
the style out of Tosa territory into Tokyo and surrounding
regions; and the Tanimura-ha, the branch that remained in
Tosa until almost 1900. The Mūso Shinden-ryū is
considered a sister school that also evolved from the
traditions of Jinsuke Hayashizaki Shigenobu’s original art
form. The techniques are practiced similarly but with
slightly different applications and emphasis on scale of
motion. The Shimomura-ha is credited with the popular-
ization of iaidō in modern times.
By spreading iaidō outside of the Tosa clan, the
Shimomura-ha popularized this particular sword art
among the elite samurai class. Once brought outside of the
Tosa by the Shimomura-ha, iaidō gained popularity with
highly-ranked samurai officials. These practitioners had
different stations and duties than the lower-ranked Tosa the Tanimura Ha. Hakudo applied to Oe Masamichi for ABOVE This painting shows
warriors. Some scholars speculate that the differences in instruction but was refused. Partly because he was told not to Kumano Meijin delivering the
the technique between the Mūso Jikiden Eishin-ryū and teach Mūso Jikiden Eishin-ryū to those outside of Tosa, divine sword style’s scrolls to
Mūso Shinden-ryū reflect the differing tastes of the samurai Nakayama developed a school of Iai which has become known Hayashizaki.
who practiced them. The lower-ranked warriors of the as the Mūso Shinden-ryū… Until 1937 Hakudo used the name
Tosa prefecture show simple, practical and understated “Mūso Shinden Batto Jitsu.”7
motions, whereas the higher-ranked practitioners
preferred larger motions. These two proud traditions are The Tosa branch, however, did not fade into oblivion.
so inextricably intertwined that they are forever insepa- The twentieth Soke of the Tanimura branch, Kono
rable within history books. Hakuren (Minoru) brought his Tosa style Mūso Jikiden
The famous Mūso Shinden-ryū headmaster, Nakayama Eishin-ryū into other parts of Japan. His teachings
Hakudo (also written “Hyakudo”) is the one who gave became very popular. He made a particular impact in the
the art its modern name “iaidō.” He is largely credited Osaka area, where he taught frequently until he was
with popularizing iaidō in post-WWII Japan. Hakudo succeeded in the 1970’s. It was Kono who formed the
studied many styles of sword-drawing including Tosa’s “All Japan Iaidō Federation” (Zen Nihon Iaidō Renmei),
Mūso Jikiden Eishin-ryū iaidō. Taylor explains, which remains one of the most influential būdō organiza-
tions in Japan today.8 Without the contributions of these
He was a student of the fifteenth Shimomura Ha Headmaster two great teachers, it is unclear what would have become
Hosokawa Yoshimasu, and of Morimoto Tokumi Hokushin of of iaidō in post-war Japan.

for personal development. Perhaps this is the reason it has

survived for us to study today.
Despite historical and modern exploitation of the sword
as a symbol, there is hope for the future of this icon in the
traditional and classical Japanese martial arts. Modern
sword practitioners can counteract the deterioration of the
sword’s historical symbolism. Seeking a qualified instructor
who has a legitimate lineage to Japanese instructor and
organization is the first step. In the end, the more people
who care for and practice classical arts, the better chance
those arts have of surviving the modern threat.
Swordsmanship Today
Within these varied techniques there is deep meaning.

Cast off subject and object, function as one;
Abandon self and others, form a single sword.
Use the piercing eyes of heaven and earth
To see through your opponent’s body.
—Yamaoka Tesshu9
The spiritual symbolism of the sword flows from innumer-

able sociological sources. Yet in the end, modern practitio-
ners of classical sword arts must reconcile their medieval
practice within themselves. Many mistake the main
influences of the martial arts as being, simply, “Zen.” As we
have seen, the true story of the Japanese sword and its
symbolism is much more complicated. Swordsmen today
can benefit from considering the symbolism within Susano
wo-o-no-Mikoto, Fudo Myo-o, Monju Bōsatsu, Jikokuten,
and others. Each perspective may carry value for the
modern swordsman. One person might train to remain
unmoved like Fudo, while another strives to remain serene
like Monju. When called to action, the iaidō student might
strive to protect like Jikokuten, cutting but not harming.
Modern iaidō can be enriched by reflecting on one’s
practice as an expression of natural beauty, rhythms, and
flow—as exemplified by nativist Shinto and the Taō. The
history, iconography, and metallurgy of the sword all offer
possible sources of inspiration to modern practitioners.
Teachers are also a source of inspiration for today’s
classical martial artists. But, teaching historical martial
arts comes with its challenges. Instructors of traditional
martial arts are expected to teach both technical and
spiritual aspects of the system. Unfortunately, teaching is
often is done at a relatively high level of technical
ABOVE Oe Masamichi, the A Living Tradition understanding and from the perspective of a relatively low
seventeenth headmaster of Shigenobu was not the only sword teacher of his day—not level of cultural and historical insight. Even well meaning
the Tanimura-ha is credited by a long shot. In fact, he was relatively insignificant when teachers sometimes inadvertently misguide their students.
with organizing modern iaidō compared to swordsmen such as Mushashi, Miyamoto Historical and modern teachers, if they are great, share
into the shōden, chūden, and and Yagyu Munenori. He published no public record of some important commonalities. First, they must have a
ōkūden. In addition, he added his philosophies and views. He left no publicly available very high degree of technical brilliance. Excellence in
three of the Bangai waza and didactic instruction. Instead, Shigenobu relied on the teaching martial arts requires that a teacher hold him or
Tachi Uchi no Kurai to long-established oral traditions of feudal Japan. herself and his or her students to a very exacting standard.
Eishin-ryū’s curriculum. Publicly offering his personal strategies and philosophies The second, and equally important quality is charisma.
would have been tantamount to giving away all of his Finally, the most critical requirement for a qualified
secrets and special techniques. He refrained. It is unfortu- teacher is accurate historical and cultural understanding.
nate that many of Shigenobu’s teachings have been altered Martial arts teachers must be not only demanding but also
by time and interpretation. Hayashizaki’s sword art compassionate and knowledgeable in their assistance to
became a living tradition. For better or worse, the art’s students. This is important in promoting well-informed
practitioners will continue to contribute to both form and meaning-making along students’ path of self-discovery.
function. This is particularly true in an age in which the Yet personal meaning and self-discovery must be practical
sword is no longer an instrument of warfare but a vehicle within the modern context. How can modern students of

martial arts achieve self-discovery from a martially

obsolete art, particularly within the framework of Western
culture and modern society?
This question is so difficult to answer that most Western
teachers and students avoid broaching the subject
altogether. Many other instructors teach the modern-
invented būshido principles and ethical behaviors (such as
respect, honor, benevolence, and so on.), but stop short of
delving into actual philosophic and religious sources of a
tradition in the martial arts. Perhaps most dangerous is
the teacher who attempts to teach their personal spiritual-
ity in the dojo. In these cases, the student is frequently left
thinking that their teacher is a guru; the spiritual center-
point of their journey. Students with such guru-teachers
should note that, particularly in the context of Japanese
culture, it is highly unseemly to elevate oneself to such a
status. In Japanese society, personal philosophies are
rarely shared openly—let alone taught. As for those
Japanese who have achieved extremely high regard and
could be considered “guru-like,” they often feel cultural
pressure to be all-the-more down-to-earth, as a show of
their humility.
Teachers of traditional iaidō encounter a demanding
task in building such awareness while teaching physical
movements essentially concerned with cutting an implied
opponent. For a Western student, policies can seem
arbitrary, and etiquette only marginally useful in an
academic sense. An observant teacher can see an opening,
a point where the student lacks understanding, and assert
him or herself into the training in a meaningful way.
This is the same skill used by historical swordsmen to seek
an opening in an opponent’s stance and cut decisively with
good results. Such connective examples abound in iaidō.
In this way, we can find modern meaning in the practice of
a classical art. Teaching iaidō often includes helping
students to draw such connections for themselves. In this
way every policy, every formality, every movement, breath
and emotion offer lessons. This depth and spirituality are
often hard for instructors to clearly convey. As a result,
the internal principles are rarely taught in America.
Still, with articulate and carefully chosen words, iaidō’s
depths can be plotted for non-Japanese to navigate.
Studying Iaido- Today

Those who venture into a traditional iaidō dojo will
witness something truly unique. In a traditional dojo the
ostentatious murals of Bruce Lee, golden dragons and be placed below, on which salt, water, rice, sake, fresh ABOVE A demonstration of
flying ninja do not exist. The traditional dojo is a place of vegetables, and dried fish are frequently laid as offerings. tatehiza techniques at the
somber training and has few frills. Visitors will be asked The instructor’s lineage should be honored on the Hayashizaki Iai-Jingu dojo in
to remove their shoes and place them on a shoe rack. shōmen wall in some way. Sometimes a photo of his or her Murayama.
Most dojos have changing rooms and other necessities, teacher is hung high on the wall, representing their ability
however the emphasis will likely be on arranging and to preside over the training (in spirit). Other times,
preparing the training area. Knowing the layout of the calligraphy of the art’s name itself represents the lineage
dojo helps to guide the movements of the students. under which the students are training. The shōmen wall,
Traditional dojos are constructed in accordance with like the training area itself, should be free of clutter and
simple guidelines for their layout. The training area has a decorative appointments.
main (front) wall, called the shōmen, which usually faces The other three walls in the dojo are important to
the entrance of the dojo. On the shōmen wall you may see consider as well. Opposite the shōmen wall is the shimoza,
kamidana, a small Shinto shrine, which serves as the link or lower seat—the back of the room where visitors might
between the art’s tutelary deities and the practitioners be allowed to sit and watch class. When looking at the
within the school. The shrine represents the kamiza, or shōmen, the right side is the upper wall, or joseki.
“deity seat,” within the dojo and therefore should be This wall (and sometimes side of the dojo) is reserved for
elevated high on a wall. An offering table (or shelf) should senior students. On the left side is the lower wall,


or shimōseki. These walls become important in assisting

the rituals of the dojo as well as the practice of the
techniques themselves.
Classes begin and end with bowing, a demonstration of
mutual respect. In iaidō, this involves three bows at the
beginning and ending of class. Before class, students line up
facing the shōmen. They arrange themselves by rank in
descending order from highest ranks on the joseki side to
lowest ranks on the shimōseki side. The first bow, called
shōmen-ni-rei, is to the shōmen and represents respect to
the tradition and the teacher’s lineage within the system.
The second bow, sensei-ni-rei, is between the teacher and
students. The third bow, tō-rei, is a bow showing respect to
the sword. This final bow demonstrates the appreciation for
the sword as a training tool as well as an item of spiritual
gravity. After bowing to the sword, an iaidō class will
place their swords into position for training and begin.
After class, the bows are performed in reverse order so that
the shōmen receives the first and last bows. The bowing
procedure has become quite ritualized likely as a remnant
of Neo-Confucian and state Shinto’s role in the martial arts. alloy, are called iaitō (lit. iai[dō]-sword)—more about ABOVE Hand positioning is
Generally speaking, when practicing either solo or iaitō later. For senior students, the class may involve critical when drawing and
paired techniques, the students will stay in their respective partnered techniques using wooden swords, called bōkken. replacing the sword. Beginning
positions, as dictated by the joseki and shomoseki walls. The bōkken allow for partnered forms, called kūmitachi, Iaidōka practice these motions
Historically this arrangement has to do with keeping the in which strikes and thrusts require contact between the repetitively for many months
senior-most students near the instructor for protective trainees’ blades. Iaidō students could never use their metal before being allowed to couple
reasons. Today however, observance of this custom has blades in such contact drills. First, such carelessness would them together and complete a
more to do with demonstration of respect between junior be very disrespectful towards their swords. Second, their technique.
and senior students. This is likely a remnant of Neo-Con- iaitō would never stand up to the repeated punishment
fucian stratification and training standardization during that kūmitachi practice requires.
the Edo Period. The mood of practice varies from teacher to teacher.
After the bows are completed the class will begin. But generally speaking, the teacher will demonstrate a
Most of the time, iaidō students practice solo techniques. technique and then the students practice it. Sometimes
Generally, the sword used is crafted specifically for use in teachers demonstrate the technique more than one time to
iaidō. These swords, which have blades made of nickel emphasize a particular aspect. Then, the teacher will stand
OPPOSITE Iaidōka must

repeatedly practice the
particularly difficult downward
cut before they are able to
achieve the proper technique.
LEFT This scroll, on display at
the Itayashizaki Iai-jingo dojo,
shows historical paintings and
descriptions of iaidō
techniques.

ABOVE Sometimes the class and bow, saying ōnegai-shimasu (trans. “if you please,” The most foreign uniform element is the baggy pleated
performs iaidō in unison. or “please do me this favor”), which signals that it is the pants, called hakama. The hakama ties onto the ōbi using
Other times, the class is given students’ turn to perform the technique. Speaking is kept four small belts, the correct tying of which takes some
free time to practice to a minimum. And usually the teacher initiates the practice. There are five pleats sewn into the front.
techniques of their own conversation. Sometimes the teacher watches the group The backs of the pants have a hip board, which lays flat
preference. and offers general guidance, whereas other times specific across the lower back. Some have speculated that hakama
students might receive correction. This depends on the pleats stand for guiding principles of būshido, but there is
preference of the instructor as much as the size of the no historical evidence to support this fanciful speculation.
group and ability of the students. In all cases, the giving Despite looking exotic, hakama are just pants. The most
and receiving of instruction is taken seriously. mystical aspect of the hakama, in truth, is how they are
The uniform may look quite exotic to those who have folded and tied after use.
not seen traditional Japanese garments. While the uniform During class, the uniform is one of the most challenging
of iaidō students varies from one school to another, aspects of beginners’ training. The same is true after class.
it generally consists of four essential parts. The first two Dedicated iaidō students take good care of their swords
pieces are shirts—an undershirt called a juban and an and uniforms. This is an important way that iaidō
outer shirt, which has several variations. Some schools students show respect for and preservation of Japanese
require students to wear more formal squared-sleeved culture. In some schools a student is not allowed to hold a
outer shirts, while others allow their students to train in sword until they can properly put on, take off, and fold
modern-sleeved uniform tops. Advanced students’ shirts their uniform. This includes folding the hakama and its
are sometimes adorned with a family crest on the confusing series of inner and outer pleats. For some,
sleeve-backs, each side of the upper chest, and on the back learning this can take weeks. After a student can perform
between the shoulder blades. These tops are called these duties, he or she must learn how to handle and care
mōntsuki. The shirts’ left panel goes on top of the right for a sword. Swords should be cleaned regularly.
panel. To arrange the shirt flaps otherwise would indicate They must be handled in ways that are both safe and
death (because that is how the shirts of the dead are courteous. The rituals and bows are learned to ensure
arranged during funerals). A wide belt called an ōbi is these standards have been met. Then, after all of this,
worn over the shirts. It is wrapped around the body three the student can begin to learn the basics of iaidō. Perhaps
times and then tied neatly behind the back. It holds the the severity with which iaidō is taught is one reason that
flaps of the shirt closed. many Westerners do not choose this martial art.

The Sword of Iaidō

As mentioned above, most iaidō students today use
iaitō—training swords. Today, several thousand people
study iaidō around the world. Most of them cannot
afford to train with handmade Japanese blades. In fact,
most students are prohibited from using sharp blades
because of the danger involved. The main difference
between real swords, called shinken, and iaitō is in the
blade. The nickel alloy of the blade of an iaitō reproduces
the weight and balance of a steel blade. Iaitō are custom
made to the specifications of the student and offer a wide
array of choices in fittings and colors. Simple black and
white color schemes are preferable, particularly for
beginners, because they are not gaudy. As for the
ornaments and fittings, the customer can choose from
hundreds of combinations and themes.
There are several companies that produce iaitō.
Each varies in available fittings choices, prices, and overall
quality. Until recently the only manufacturers producing
these swords were Japanese. Within the last fifteen years
or so, however, this has changed. Unfortunately, there are
many non-Japanese junk swords available for purchase.
A note of caution: Many people have had very
negative experiences in dealing with non-Japanese iaitō
manufacturers and distributors. Most of these blades do
not reflect the attention to detail that Japanese-made
blades are given. Problems with non-Japanese blades’
finish and geometry, scabbard fit, handle length, handle
wrapping, and so on, abound. The problem with buying
non-Japanese is not just in the product, however.
On many occasions, an American iaitō distributor has
refused to warranty defective blades. As a result, many
American and European iaidō practitioners order
directly from Japan today. The Internet, and English-
speaking company representatives make this quite easy.
Although many people are quite loyal to Tozando and
Nosyudo, I have never heard of any Japanese company
failing to warranty its craftsmanship or take good care
of its customers.
The Sword and Society ABOVE In iaidō, careful

The archetypal benevolent sword of wisdom is found in consideration is paid to
nearly all cultures. Though the icon brandishing the retaining neutral facial
sword changes, the symbolism of the sword remains. expressions and exact eye
The blade represents the juncture where the wisdom of focus.
leaders and gods intersects with the commoner. LEFT A small collection of
The sword represents the implement by which societies swords that only hints at the
are managed. The effectiveness of the sword as a tool wide variety of different
and the societal beliefs surrounding it both lift the sword fittings available for iaitō.
to the pinnacle of warrior symbolism.
There exists a boundless interplay between the effects of
Japanese society on swordsmen and the influence of
swordsmen’s mindset over the development of Japanese
culture. From the earliest times, the sword has played a
crucial role in the iconography of Japan. As we have seen,
what can be gleaned from the surface is entirely insuffi-
cient in developing any meaningful academic understand-
ing. Only by looking into the depths of culture, history,
and philosophy can we comprehend the rich relationship
between the sword and society.

170
Conclusion
Passion and Preservation
Today’s traditional craftsmen, historians and classical For them, the need for an exacting standard serves two
martial artists are playing critical roles in preserving the important functions. First, high standards and demand-
Japanese sword. Yet each of these disciplines represents an ing processes produce works of function and beauty.
area of focus within the scope of the sword’s importance Second, they preserve the tradition of their craft,
that is under threat by modernization, distortion, and honoring those who have come before and those who
profiteering. Like the heroes of Japanese legend, there are will come after. These considerations weigh heavily on
those who continue to practice their craft as a matter of the minds of today’s traditional craftsmen as they work
passion and preservation. In so doing they allow us to with passion for preservation.
know more about the true story of the Japanese sword. There are some non-Japanese who have become
BELOW Traditions lie in the Most importantly, they offer truthful and accurate important voices in promoting the dissemination of accurate
hands of future generations. information that is critical for those wishing to find information about the Japanese sword. For example, Paul
The Japanese arts now draw personal meaning in the sword today. Martin lends his expertise to the English-speaking world
their preservation from an Craftsmen like Kawachi Kunihira and Abe Kazunori by working with craftsmen and museums to translate
international community. preserve their crafts with inspirational attention to detail. documents, arrange interviews, and promote awareness.
Despite being only five years Their daily activities are routine in nature yet profound The Canadian sword-making apprentice, Pierre Nadeau is
old, Aidan Roach studies in effect. Indeed, their every action is focused on getting working to become the only non-Japanese alive to hold a
aikido and iaidō very that one moment, that one strike of the hammer, that governmental sword-making license. Fred Weissberg and
respectfully and seriously. single selection of polishing stone, exactly right. the Northern California Japanese Sword Club host the
largest show of antique blades in the country once per
year—and those are just a few of many. The time and
effort that it takes for non-Japanese to become so well-
versed that they are considered experts demonstrates their
dedication and passion for preservation.
Historians are also playing an important role in
spreading accurate information about the Japanese sword.
If we fail to understand the spiritual, sociological, and
historical contexts in which the Japanese sword evolved,
our perceptions can be easily distorted by popular writers’
personal agendas and viewpoints. Experts in military
history can help us to correct some of the popular
misconceptions surrounding the Japanese sword.
For example, Karl Friday’s work illuminates the historical
evolution of the samurai and, in particular, the classical
Kashima Shin-ryū style of swordsmanship. William
Bodiford’s work crushes popular misconceptions
surrounding Zen and the martial arts, offering irrefutable
evidence that the spirituality surrounding the sword has
been grossly distorted in the modern era. These men, and
some others, preserve the Japanese sword using their
passion and intellect. Both of these authors share a healthy
frustration with the popular martial arts mentality of
dreamy mysticism—as do I.
Yet, martial artists themselves can become vehicles for
preserving the symbolism of the sword in even-more-
meaningful ways. Unfortunately, some martial arts
teachers and writers have been a leading cause of the
distortion of the sword’s symbolism. Nevertheless, there
are a few who use their teaching, practice, and publica-
tions to promote awareness and preservation of
traditional styles. People like my teachers Ochiai Tadao
Sensei, (10th Dan Hanshi) and Iwasa Hidetoshi (8th Dan
Kyoshi) reach out to young students both inside and
outside of Japan. Pioneering martial arts authors like
Donn Draeger and Nick Suino brought heretofore

Conclusion Passion and Preservation 171
hidden information about swordsmanship to the Preserving tradition is critical for those who have found
English-speaking readership. In so doing, their passion meaning within the sword of Japan. It is important to
for swordsmanship raises awareness and serves to help uphold the various aspects of the sword to the best of our
preserve the sword. abilities, in the face of modern tendencies to seek instant
From Japan’s creation mythology, to the import of gratification at the lowest cost. Today people can buy
Buddhist deities, the symbolism of the relationship Japanese-sword-shaped pieces of metal created in America,
between the warrior and his sword has changed. China, Thailand, and so on, for a fraction of the cost of
The collective sum of this heritage passed through the the real thing. People all over the country are lining up to
generations. Historically, samurai wielded their blades study martial arts that purport to be traditional, yet
from a cultural vantage-point that was uniquely Japanese. blatantly defy actual Japanese history and tradition. The
Yet the sword can offer meaning for each of us today. hidden cost of such decisions is the slow but systematic
Its true story is equally interesting, if not more so, than deterioration of the traditional sword-related arts. Just like
the simplified and sensationalized version we have been the daily actions of the craftsman, the daily practice of the
so often exposed to. People who are passionate about the swordsman, and the daily passion of the historian, the
Japanese sword today have developed a personal general public too can choose to act with passion for
relationship with it. It is the junction where culture, preservation. Those of us who find personal meaning
history, and personal significance intersect that modern within the Japanese sword can play a role in helping it to
enthusiasts find so inspiring. survive, and even thrive, in future generations.
LEFT Kawachi Kunihira

preserves his craft by passing
it on to his son and other
apprentices.

172
Endnotes
Introduction 18 Ibid. 11 De Barry, W. M.; Keene, Theodore 5 Ibid., p. 146.
1 Moore, Albert C., Iconography of 19 Ibid. Donald; Tanabe, George; and Varley, 6 Ibid., p. 146.
Religions: An Introduction (Philadelphia: 20 Tsunoda, R. and Goodwrich, C. L., Paul. Sources of Japanese Tradition, 7 Ibid., pp. 147–148.
Fortress Press. 1977), p. 25. trans. and ed., Japan in the Chinese vol. 1 (New York: Chichester, West 8 Warshaw, p. 63.
2 Lowry, Dave, In the Dojo: A Guide Dynastic Histories—Later Han through Sussex: Colombia University Press,
to the Rituals and Etiquette of the Ming Dynasties (South Pasadena, CA: 2001), p. 176. Chapter 7
Japanese Martial Arts (New York: Pekins, P. D. and Ione 1951), pp. 10–11. 12 Stevens, John, Sword of No-Sword, 1 Warshaw, p. 79–81.
Weatherhill, 2007). 21 Nagayama, Kokan, The Connoisseur’s The Life of Master Warrior Tesshu 2 Duss, P. (1998). Modern Japan (2nd Ed.).
Book of Japanese Swords (Tokyo: (Boston: Shambhala, 1984), p. 79. Boston, MA. Houghton Mifflin
Chapter 2 Kodansha Intl., 1997), pp. 12–13. 13 Suzuki, Daisetz. T., Zen and Japanese Company.
1 Stein, Richard, “Blade Lamination Culture (Princeton: Princeton University 3 Martial arts of the World: An
Methods” Richard Stein’s Japanese Chapter 4 Press, 1970), p. 97. Encyclopedia, 2001, Copyright: Thomas
Sword Guide 30 Dec. 2005: http://home. 1 Mason and Caiger, p. 52. 15 Lowry, Dave, Traditions: Essays on the A Green. Publisher: ABC-CLIO, INC.
earthlink.net/~steinrl/laminate.htm; 2 Caption text adapted from Mark Traditional Japanese Martial Arts and Santa Barbera CA. Article written by
Internet. Schumacher’s online A-to-Z Photo Ways (North Clarendon, VT: Tuttle, William M. Bodiford. p. 474.
2 Stearn 12–15. Dictionary of Japanese Buddhism at 2002), p. 72. 4 Ibid., p. 475.
3 Nagayama, Kokan, The Connoisseur’s onmarkproductions.com. 16 Draeger, Donn F. , Monograph Series 5 Patterson, William, “Budo’s Role in the
Book Of Japanese Swords, trans. Kenji 3 Friday, Karl, interview by the author, No. 3 Transcribed by Pat Lineberger Growth of Pre-World War II Japanese
Mishina (Tokyo: Kodansha Interna- February 1, 2008. Edited by Hunter Armstrong. Nationalism.” Journal of Asian Martial
tional, 1997 4 Friday, Karl F., Warfare and History: International Hoplology Society. Sedona Arts 17, no. 3 (2008): pp. 8-21.
4 Kapp, Leon; Kapp Hiroko; and Samurai, Warfare and the State in AZ. 1998., pp. 19–22. 6 Martial arts of the World: An
Yoshindo Yoshihara, The Craft of the Medieval Japan (New York: Routledge, 17 Stevens, p. 79. Encyclopedia, 2001, Copyright: Thomas
Japanese Sword (Tokyo: Kodansha 2004), pp. 20–23. 18 Nakayama, p. 78. A Green. Publisher: ABC-CLIO, INC.
International, Ltd, 1987) p. 149. 5 Ikegami, Eiko, The Taming of the 19 Photos by Yoshitane, Horimono courtesy Santa Barbera CA. Article written by
5 Buttweiler, Tom, “Ezo Fittings” Bushido, Samurai: Honorific Individualism in the of Pepin, David; available from http:// William M. Bodiford. p. 479.
An International Journal of Japanese Making of Modern Japan (Cambridge, www.samuraisword.com; Internet. 7 Ibid., p. 479.
Arms 1.2 (1979) 27–34. MA: First Harvard University Press, 20 Draeger, Donn F., Monograph Series No. 8 Lowry, D. (2006) In the Dojo: A Guide
6 Martin, Paul, personal interview. 26 1997), pp. 24–28. 3, p. 15. to the Rituals and Etiquette of the Japa-
September 2009. 6 Friday, Karl, Hired Swords: The Rise of 21 Ibid., pp. 15–16. nese Martial Arts. Boston: Weatherhill.
7 Nitobe p. 134. the Private Warrior in Early Japan 22 Neighbour Parent, Mary, Japanese 9 Warner, G., and Draeger, D. (1993)
(Stanford, CA: Stanford University Press, Architecture and Art Net Users System, Japanese Swordsmanship: Technique and
8 Piggott, Juliet, Japanese Mythology
1992), p. 10. available from http://www.aisf.or. Practice. New York: Weatherhill.
(London: Chancellor Press, an imprint of
7 Davey, H. E., Living the Japanese Arts jp/~jaanus/deta/f/fudoumyouou.htm; 10 Martial arts of the World: An
the Reed International Books Limited
and Ways (Ann Arbor, MI: Stone Bridge Internet. Encyclopedia, 2001, Copyright: Thomas
Michelin House, 1969) p. 38.
Press, 1997), p. 26. 23 Campbell, Joseph, Sake and Satori. CA. A Green. Publisher: ABC-CLIO, INC.
9 Sadatoshi, Gassan, personal interview. 8 Friday, interview. Joseph Campbell Foundation. 2002, Santa Barbera CA. Article written by
March 2009. 9 Ibid. p. 120. William M. Bodiford. p. 481.
10 Friday, interview. 24 Paraphrased and quoted from Campbell, 11 Ibid., pp. 482–483.
Chapter 3 11 Deng, Ming-Dao, Scholar Warrior: An pp. 120–126. 12 Ibid., pp. 483–484.
1 Warshaw, Steven, Japan Emerges: A Introduction to the Tao in Everyday Life 25 Mitchell, Warfare, p. 36. 13 Ibid., p. 485.
Concise History of Japan from Its Origin (New York: Harper Collins, 1990), p. 11. 26 Suzuki, p. 90. 14 Kishida, Tom, The Yasukuni Swords:
to the Present , 10th ed. (Colchester, VT: 12 King, Winston L., Zen and the Way of 27 Ibid., pp. 202–203. Rare Weapons of Japan 1933–1945.
Diablo Press, 1993), p. 13. the Sword (New York: University Press, 28 Ibid. (2004) Kodansha International. Tokyo
2 Mason, R. H. P. and Caiger, J. G., A 1993), p. 42. 29 Lowry, Dave, Traditions: Essays on the JP. p. 43.
History of Japan, rev. ed. (North 13 Ibid., p. 28. Traditional Japanese Martial Arts and 15 Nagayama Kokan, (1997). The
Clarendon, VT: Charles E. Tuttle, 1997). 14 Ibid., p. 53. Ways (North Clarendon, VT: Tuttle, Connoisseurs’ Book of Japanese Swords.
3 Christopher, Robert C., The Japanese 15 Cleary, Japanese Art of War, pp. 52–53. 2002), pp. 69–70. Tokyo: Kodansha International Ltd. p.3
Mind (New York: Ballantine Books, 16 Burton Watson, The Complete Works of 30 Martial arts of the World: An 16 Kishida, Tom, The Yasukuni Swords:
1983), p. 46. Chuang Tzu [book on-line] (New York: Encyclopedia, 2001, Copyright: Thomas Rare Weapons of Japan 1933–1945.
4 Anonymous, Yoshitoshi Tsusioka: Colombia University Press, 1968, A Green. Publisher: ABC-CLIO, INC. (2004) Kodansha International. Tokyo
Mirror of Famous Generals 1875–85, accessed January 8, 2008); available Santa Barbera CA. Article written by JP. p. 41.
accessed 3 January 2008; available from from: http://www.humaniverse.net/ William M. Bodiford. p. 483.
http://www.sinister-designs.com/ chinese/classic/English/chuangtzu30.htm; 31 Ibid., p. 483. Chapter 8
graphicarts/generals.html; Internet. Internet. 32 Suzuki, pp. 198–199. 1 Suino, Nicklaus, The Art of Japanese
5 Aston, W. G., Nihongi, Chronicles of 17 Ibid. 33 Stevens, John, The Sword of No-Sword: Swordsmanship, A Manual of
Japan from the Ancient Times to 18 Ibid. Life of Master Warrior Tesshu (Boston, Eishin-Ryu Iaido. New York:
A.D.697, vol. 1(Tokyo: Charles E. 19 Ibid. MA: Shambhala, 1984), p. 124. Weatherhill 1994. p. 12.
Tuttle, 1972). 20 Mitchell, Stephen, The Enlightened 34 King, Winston L., Zen and the Way of the 2 Nanno, Teruhisa, Iaido Japanese Sword
6 De Barry, W. M.; Keene, Theodore Heart: An Anthology of Sacred Poetry Sword: Arming the Samurai Psyche (New Drawing techniques and Spiritual
Donald; Tanabe, George; and Varley, (New York: Haper Collins Publishers York: Oxford University Press, 1993). Practice (Tokyo, Bungeisha, 2004),
Paul. Sources of Japanese Tradition, vol. Inc., 1989). 35 Draeger, Donn F., Monograph Series #3, p. 146.
1 (New York: Chichester, West Sussex: 21 Davey, p. 29. ed. Hunter B. Armstrong, transcriber Pat 3 Suino, Nicklaus. Personal Correspon-
Colombia University Press, 2001), 22 Friday, Warfare, p. 139. Lineberger (Sedona Ariz.: International dence. 2008.
pp. 361–363. Hoplology Society, 1998). 4 Asakura, Kazuyoshi, Magazine article
7 Draeger, Donn F., The Martial Arts Chapter 5 36 Suzuki, pp. 111–112. translation by Max Roach and Soichi
And Ways of Japan, vol. 4, University 1 Friday, Karl F., interview by the author, 37 Ibid., p. 90. Nishimoto. “History of Iaido.” Iaido
of Hawaii Lecture Series (Sedona: February 4, 2008. 38 Draeger, Donn F., The Martial Arts and Tora No Maki Journal Volume 1, June
International Hoplology Society, 1998), 2 Friday, Warfare, 139. Ways of Japan Part 3, University of 2008. Tokyo
p. 2. 3 Warshaw, Steven. Japan Emerges: A Hawaii Lecture Series (Sedona, Ariz.: 5 Taylor, Kim, “The History of Iaido:
8 Aston, p. 35. Concise History of Japan from its Origin International Hoplology Society, 1978), A Japanese Sword Art,” (1993) Journal
9 Ibid, p. 35. to the Present. 10th Ed. Diablo Press Inc. pp. 16–21. of Asian Martial Arts, Volume 1,
10 Ibid, p. 53. Berkeley, CA. 1993. p. 37. 39 Kohan, Nagayama, The Connoisseur’s Number 3. Via Media Publishing Co.
11 Ashton 4 Ibid., p. 38. Book of Japanese Swords (Tokyo: Token Erie, Pennsylvania. p. 50.
12 Ibid, 115. 5 Ibid., p. 49. Kantei, Tokyhon, 1995), pp. 20–21. 6 Suino, Nicklaus, (1994) Art of Japanese
13 Rosenberg, Donna, World Mythology, 6 Turnbull, Steven, Samurai Warriors 40 Nagayama, p. 17. Swordsmanship: A Manual of Eishin
An Anthology of the Great Myths and (New York: Sterling, 1994), p. 95. 41 Nagayama, p. 31. Ryu Iaido Weatherhill. New York.
Epics, 2nd ed. (Chicago: National 7 Warshaw, Steven. Japan Emerges: A 7 Taylor, Kim, “The History of Iaido:
Textbook Company, 1994), p. 369. Concise History of Japan from its Origin Chapter 6 A Japanese Sword Art,” (1993) Journal
14 Christopher, p. 151. to the Present. 10th Ed. Diablo Press Inc. 1 Martial arts of the World: An of Asian Martial Arts, Volume 1,
15 Izano, Nitobe, Bushido: The Soul of Berkeley, CA. 1993, pp. 46–48. Encyclopedia, 2001, Copyright: Thomas Number 3. Via Media Publishing Co.
Japan (Boston: Charles Tuttle, 2001), 8 Ibid., pp. 49–50 A Green. Publisher: ABC-CLIO, INC. Erie, Pennsylvania. p. 55
p. 134. 9 Campbell, Joseph, Sake & Satori (Nova- Santa Barbera CA. Article written by 8 Ibid., p. 54.
16 Bell, Michael, interviewed by author, do: New World Library, 2002), p. 120. William M. Bodiford, p. 495. 9 Stevens, John, Sword of No-Sword:
15 January 2006. 10 King, Winston L., Zen and the Way of 2 Ibid., pp. 491–492. The Life of Master Warrior Tesshu.
17 Image and text sourced and adapted the Sword (New York: University Press, 3 Ibid., p. 493.
from Wikipedia.com; Internet. 1993), p. 42. 4 Friday, Legacies, p. 145.

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174
Photo Credits
The stunning visuals in this book would not following locations: Pages 20 (bottom); 46, 98 and 101 (left and right); 102; 103 (left and
have been possible without the expertise and and 99 (top two); 108 and 109 (all four); 110 and right); 106; 107; 112; 113; 116 and 117 (all);
generosity of some very supportive and 111 (all three); 130 and 131 (bottom two); and and 129 (all). Fred Weissberg’s photograph
knowledgeable people. I am profoundly grateful 154 and 155 (all). Ginza Choshuya’s provided (the bottom kissaki) is featured on the front of
to the following individuals and institutions. the photograph of the top kissaki that is featured the dust jacket and cover.
on the front of the dust jacket and cover.
First of all, I’d like to thank Max Leitner, The following photographs have been supplied
whose photography is featured throughout this The photographs from Albert Herr, courtesy of by the author: Pages 4 and 5; 8; 9; 13 (left); 14
book. He is responsible for contributing the sabakusamurai.com and held within the Albert (top); 15 (left); 19 (bottom two); 50; 52 (top and
photographs found in the following locations: Herr collection, are found in the following bottom); 54; 55 (right); 57; 61 (top); 65; 80; 81;
Pages 1; 2; 10 and 11; 12 (all); 13 (right); 15 locations: Pages 19 (top left); 23 (bottom); and 82 (top); 83 (all); 84 (top); 85 (left and right);
(right); 16 and 17; 18; 20 (top, right and left); 118 and 119. 86; 87; 88 (left); 89 (right); 91 (top); 92; 93; 95;
21 (middle right); 22 (top); 23 (second, third, 96; 125 (bottom); 144 (top and bottom); 156
and fourth from the bottom); 24 (top and The photograph on pages 48 and 49 is courtesy and 157; 158; 159; 160 and 161; 168; and 170.
bottom); 25 (top and bottom); 26 (all); 27 (all); of Arendie & Henk Herwig, from their The author’s photograph (the tsuba) is featured
28; 29; 30; 31; 32 (bottom); 33 (all); 34 (all); personal collection. on the front of the dust jacket and cover, and
35; 36 (top and bottom); 37 (left and right); he provided the photograph on the back flap of
38; 39 (all); 40 (top two); 41 (top left and right, The photograph on page 153 is courtesy of the dust jacket as well.
and bottom left); 43 (top and bottom); 44 (all); Pierre Nadeau (www.soulsmithing.com).
45 (top and bottom); 47 (top and middle); 53 The following photographs are in the public
(left); 55 (left); 56 (top); 58; 60 (left and right); Photographs courtesy of Mark Schumacher domain: Page 53 (right—source: http://en.
63; 64; 66 (left and right); 67; 68; 71 (left and and his online A-to-Z Photo Dictionary of wikipedia.org/wiki/File:KofunCuirass.jpg); 56
right); 73; 82 (bottom); 120; 124 (bottom); 125 Japanese Buddhism (onmarkproductions.com) (bottom); 59; 61 (bottom—source: http://
(top); 126 (all); 128; 145; 146; 162 (all); 163; are found in the following locations: Pages 70; en.wikipedia.org/wiki/File:KofunSwordHilts.
165; 166; 167 (top and bottom); 169 (top and 88 (right); 90 (left and right); 91 (bottom); and jpg); 62; 69; 84 (bottom—source: http://en.
bottom); and 171. Max’s photographs (the 124 (top). wikipedia.org/wiki/Azuchi_Castle); 122 and
helmet and tsuka) are featured on the front of 126 (top and bottom); 127 (all); 136 (source:
the dust jacket and cover, and he provided the Photographs courtesy of the Shosoin (Imperial http://en.wikipedia.org/wiki/File:Meiji_
photograph featured on the back and spine, as Treasure House) collection are found in the tenno1.jpg); 138 (left); 140 (top and bottom—
well as the front flap of the dust jacket. following locations: Pages 19 (right); 74 and 75 source: http://en.wikipedia.org/wiki/
(all); 76 and 77 (all); and 78 and 79 (all). File:Japanese_Empire2.png); 141 (top—source:
Photographs courtesy of Abe Kazunori are http://en.wikipedia.org/wiki/File:Emperor_
found in the following locations: Pages 6 and 7; Photographs courtesy of Mr. Tsuruda at Aoi Showa.jpg and bottom—source: http://en.
14 (bottom); 22 (bottom four); 23 (top two); 32 Art (www.aoi-art.com) are found in the wikipedia.org/wiki/File:JapaneseArmy1900.
(top); 40 (bottom two); 41 (bottom right); 42 following locations: Pages 21 (left, top, and JPG); 142 (top—source: http://en.wikipedia.
(all); 47 (bottom); 89 (left); 104 (all); 105 (all); bottom right); 134 (left); 134 and 135 (right org/wiki/File:Emperor_Shōwa_Army_1938-1-
114 and 115 (all three); 130 and 131 (top top); 148; 149; 150; 151 (left and right); 152. 8.jpg and bottom—source: http://en.wikipedia.
three); 132 and 133 (all); and 134 and 135 org/wiki/File:Macarthur_hirohito.jpg); 143
(right, middle, and bottom). Abe Kazunori’s The photograph on pages 138 and 139 (right) (top—source: http://en.wikipedia.org/wiki/
photograph (the blade in the middle) is featured is courtesy of the Waseda University Library. File:Japan_drills_Boy_Scouts_with_ri-
on the front of the dust jacket and cover. fles_1916_2.jpg and bottom—source: http://
Photographs courtesy of Fred Weissberg en.wikipedia.org/wiki/File:Hirohito_in_dress_
Photographs courtesy of Ginza Choshuya (www.nihonto.com) are found in the following uniform.jpg); and 164 (source: http://en.
(world.choshuya.co.jp) are found in the locations: Pages 98 and 99 (bottom two); 100 wikipedia.org/wiki/File:Oemasamichi.jpg).
The Tuttle Story “Books to Span the East and West”

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Immediately after WW II, Tuttle served in Tokyo under General Douglas MacArthur and was tasked with reviving the Japanese publishing industry. He
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Though a westerner, Tuttle was hugely instrumental in bringing a knowledge of Japan and Asia to a world hungry for information about the East. By the
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books to span the East and West and provide a greater understanding of each.

175
Index
Abe Kazunori 22, 26, 29, 32, Jikokuten 86, 91, 92 General Douglas MacArthur ōkūden 162 King Sojobo 68
38, 42, 43, 46, 170 Kannon 64 46 ōnegai-shimasu 168 Kits, sword cleaning 26
Age of the Country at War, Kokuzo Bōsatsu 90 General Yi Sun Sin 85 sensei-ni-rei 167 Ko-Bizen school 97
the. See Sengoku Period Komokuten 65 Ghengis Khan 83 Shimmei Mūso Kofun Period Swords 60, 61
A History of Japan 63 Manjusri 90, 96 Goro Myudo Masamune 59 Hayashizaki-ryū 163 Kofun Period, the 52
Aidan Roach 170 Monju Bōsatsu 86, 91, 92, Grass-mower sword 54 Shimomura-ha 163 Kofun tombs 52
Akabane Arsenal 28 124 Gunome hamon 22 shimōseki 167 Koigūchi 40
Appreciating Japanese Swords Shitennō, the 65 Ha 21, 40 shimoza 165 Kōjiki, the 55, 86
46 Vairocana Buddha 86, 96 Habaki 21, 31, 40, 43 shōden 162, 163 Ko-midare 22
Apprenticeship 31, 37, 146 Deities, Shinto 51, 54 Habaki-būkūrō 40 shōmen 165, 167 Koto blades 128
Art of War, The 66 Hachiman 86, 94 Habakimōtō 21 shōmen-ni-rei 167 Kublai Khan 83
Ashi 40 Kanna-yama-hiko-no- Hada 12, 23, 36, 42, 46 Tanimura-ha 163 Kuniie 97
Ashi-garu 15 Mikoto 56 Hadōri 25 tatehiza 163 Kunisada 131
Ashikaga Shogunate 84, 94 Susa-no-wo-o-no-Mikoto Hagakūre 124 tō-rei 167 Kuniyoshi 97
Ashikaga Takuji 84, 94 55, 56, 68, 94, 124 Haitōrei decree 137 Iaidōka 160 Kurihara Hikosaburo 145
Ashikaga Yoshiaki 84 Take-mika-tsuchi-no- Hamon 22, 25, 43, 46, 47 Iai gōshi 163 Kurihara Kenji Nobuhide 132
Atomic bombs 139 Kami 57 Handling 24 Iaito 26 Lao Tzū (Old Master) 67
Awataguchi Kuniyoshi 99 Den 27 Haniwa 53 Ichimōnji style 97 Living National Treasure 43, 47
Awataguchi School, the 97 Do 66, 72, 160 Hasegawa Eishin 160 Iconography 11–13, 54, 73, Machi 27
Axis power alliance 139 Donn Draeger 170 Hataraki 25, 40, 43 88, 169 Martensite 25
Ayasugi hada 23, 36 Dotaku 59 Hayashizaki 161 In and yō 14, 69, 87 Masame 36
Billet 32 Dragons 25, 66 Hayashizaki ryū 125 Inkan motif 38 Masame hada 23
Bizen Kagehide 101 Dragon’s Scroll 121, 125, 127 Heian Period 82, 96 Itame hada 23, 36 Masamitsu 115
Black Ships 127 D.T. Suzuki 142 Heian Shrinee 29 Iwasa Hidetoshi 170 Masamune 22
Blade curvature. See Blade Edo Period 46, 92, 121 Hi 38, 97 Japanese Ministry of Medieval Japanese Swords 81
measurements, sōri Edo Period Swords 128 Hiraji 25 Education 27 Meditation 94, 96
Blade measurements 21 Eisai 93 Hiro-sūgūha 22 Japanese renaissance 121, 124 Meiji Period 137
fūmbari 21 Emperor Go-Daigo 84 Hitachi Metals 32 Japanese Sword Forging Meiji restoration 140–177
kasane 21 Emperor Showa 139 Hitatsura hamon 23 Institute 145 Midareba hamon 22
mōtōhaba 21 Engraving 39 Hōchō 97 Japanese Swordsmanship Minamoto clan 82
nagasa 21. bōnji 88 Hojo clan 83, 84 Today 159 Minamoto Yoritomo 82
sakihaba 21 gōma hashi 88 Hojo Tokimasa 82 Jigane 40, 42, 46 Minamoto Yoshitsune 68
sōri 21 kanji 88 Hojo Tokiyori 93 Jihada 35 Miyairi Akihira 47
sūn-zūmari 97 kūrikara 88 Hoko 76 Jikishin Kage-ryū 125 Miyamoto 164
Bō-hi. See Hi Enlightenment Hon’ami Koetsu 46 Jimmu 53 Modern Japanese swords 137
Būgei Ryūha Daijiten 160 firewalking 9 Hōnōki wood 41 Jinsuke Minamoto no Shigeno- “Modern samurai” 142
Būnrakū 123 satōri 94 Honor 15, 94, 122, 165 bu. See also Hayashizaki Mōkume hada 23, 36
Būshido 142, 165 Etiquette 24, 25, 122, 142 Hōrimōnō 38, 88, 89, 97 Jōmon Period 51 Mongol invasion, the 83
Butōkūden 29 Eugen Herrigel 92 Hoso-sūgūha 22 Joseph Campbell 89, 90 Moore, Albert C. 13
Chadō 123 Expansionism 138–177 Hyōkō 126 “Just war,” the 64 Morishige 109
Chin-chin cho-cho 97 Fighting Iaidō 9, 159–169 Jūyō Tōken 107 Mountain Wind Dojo 66
Chinese Spring and Autumn on foot 15 All Japan Iaidō Federation Kabūki theater 123 Mr. Kanemichi 36
Period 67 on horseback 15, 19 163 Kagehide 97 Mukansa 22, 32, 47
Choji hamon 22, 38 using iaido strategy chūden 162 Kamakura bakufu 84 Mune 21, 25
Chu-sūgūha 22 160–162 dojo 14 Kamakura Period 81, 82, 84, Munemachi 21
Clan feuds 121 Firearms 84 hakama 168 92, 96, 98, 99 Muramasa 59
Commodore Perry 127, 138 Flaws Hayashizaki 164 Kamakura Period swords 97 Muromachi Period 46, 84
Daimyos, control of 121, 122 fūkūre 27 iaitō 167, 169 Kamakura Shogunate 82 Muromachi Period swords 97
Dai-Sa 104 kizū 27 Jinsuke Hayashizaki Kami 47 Muto ryū school 94
Daisetz T. Suzuki 92, 93, 144 machi, loss of 27 Shigenobu 163, 164 Kamidana 142 Mutsuhito 137
Daisho set 20, 51, 97 niōi-giri 27 joseki 165, 167 Kamikaze 83, 137 Nagamitsu 103
Damascus swords 11, 12, 37, 43 shintetsū 27 juban 168 Kami Yamato Ihare-biko 53 Nakago jiri 25
Dave Lowry 93 ware 27 kamidana 165 Kantsune 111 Nakayama Hakudo 163
Deities, Buddhist 83, 171 Foreigners, trade with 121 kamiza 165 Kanzan Sato 46 Nanki Shigekuni 130
Amaterasu 53–57, 83, 94 Fred Weissberg 29, 102, 170 kūmitachi 167 Karl Friday 81, 170 Nara Period 81
Dainichi Nyorai 88 Fukuoka Ichimōnji School mōntsuki 168 Kashima Shin-ryū 121, 125, Nara Period Swords 63
Fudo Myo-o 20, 83, 102 Mushashi 164 170 National Sword Museum, the,
87–91, 94, 96, 124 Gassan hada 23 Mūso Jikiden Eishin-ryū Katana 9 in Yoyogi 29
sūken 87, 88 Gassan Sadatoshi 47 160–163 Katsū-jin-ken 96 National Treasure 27
kensaku 87 Gassan School 23, 47 Mūso Shinden-ryū 163 Kawachi Kunihira 32, 34, 38, NBTHK 27–29, 32, 97
Fudo Sutra, the Holy 87 Gendaitō 145 ōbi 168 47, 170 Nick Suino 170

176
Nie 25, 43 zendō 96 Shirasaya 24, 41 kawagane 35–37 tsūrūgi 19, 96

Nihōngi, the 53, 126 Ch’an 93–96 Shishi 61, 63 kera-ōshi 32 wakazashi 20, 24
Nihōn Shōki, the 55, 86, 126 Christianity 85, 121, 137, Shōshin 27 kōbūse 36, 37 Symbolism 12–15, 164, 171
Nihōntō 31 140–143 Shosoin Treasures 74, 76, 79 mizū-beshi 35 Taiho Codes 64
Nio 63 Confucianism 63, 86, 96 Shōwatō 145 NBTHK tatara 34 Taika Reforms 64
Niōi 25, 43 pipa 65 Society for the Preservation of oroshi-gane 34 Taikei Naotone 133
Niōi-guchi 40 sword and brush 65 Japanese Art Swords, The. ōrōshigane 34 Taira clan 68, 82
Nitobe Izano 43 wen and wū 65, 68 See NBTHK scabbard making 31 Taishō Period 142
Nōh theater 123 Hinduism 91 Stockpiling, after WWII 28, shiage-tōgi 31 Taisōkū 124
Northern California Japanese kami 53, 55, 81, 86 46 shingane 35–37 Takemikatzuchi no Kami 125
Sword Club 29, 170 Neo-Confucianism 121, Stores smelting 32, 34 Takuan Soho 92, 93
Nōtareba hamon 22, 38 124–127, 142, 167 AOI-ART 29 spirituality in 47 Tamahagane 32
NTHK 22 Shinto 11, 12, 47, 51, Ginza Choshuya 29 sūnōbe 37 Tatara 28, 32
Ochiai Tadao Sensei 170 53–55, 86, 88, 92, 94 Nosyudo 169 tamahagane 34, 35 Teboko 76
Oda Nobunaga 84 evil spirits 59 Tozando 29, 169 tanren 33–36 Tennō 54
Oe Masamichi 163 gōhei 58 Sudareba hamon 23 tsūkūri-kōmi 36 Tesshu 94
Ōgasawara-ryū 15 harai 55 Sūgūha hamon 22, 38 yaki-ire 35–38 Test cutting 128
Ogawa Kanekuni 155 kami 58 Suino, Nicklaus 9 zūkū-ōshi 32 Tōgishi 31, 38
O-midare 22 shimenawa 58 Sūken hōrimōnō 15, 38, 47, Sword polishing Tōkūbetsū Jūyō Tōken 99
Ōmōte and ūra 14, 87 State Shinto 140–142 88, 97 age-jizūya 42 Tokugawa clan 58, 59
Ono Kokei 43 Taōism 63–73, 81, 86, Sumitani Masamine 47 binsui-dō stones 40 Tokugawa Ieyasu 84, 121
Ōrigami 27, 28 93–96, 121, 125 Sun Tzū 66 burnishing 42, 43 Toledo swords 37, 43
Osafune School, the 97 Analects 67 Sūpootsū-dō 142 cho nagura stones 40 Torii 47, 55
Oshigata 22 Chuang Tzū 66, 68–70, Sūtemi 142 finger-stones 39, 41 Toru Isaji 71
Paul Martin 39, 170 126 Sword maintenance and hadōri 42, 43, 46 Toyotomi Hideyoshi 84, 97
Pen knife 73, 74, 79 Cutting Up An Ox cleaning 25, 26 hamon revelation 40 Treaty of Versailles 138
Pierre Nadeau 146, 170 70–72 Sword collecting 29 hatō stones 40 Tsukagashira 25
Potsdam Declaration, the 139 Fine Weapons 67, 68 Sword confiscation 46 hazūya stone 43 Turtle boat 85
Prajna the Immovable 87 Good Warriors 68 Sword of the Gathering hiraji 42 Uchigatana 109
Priest Kukai 86, 90 Lao Tzū 66–68, 126, Clouds 54, 88 ibōta powder 43 Ūchikō 26
Priest Saicho 86 127 Sword, parts of 20 importance of 46 Ūchikōmi keikō 94
Priest Takuan Soho 93 Singing Images of Fire habaki 20, 24, 97 jizūya stones 42 Ueshiba Morihei 144
Prince Shotoku 63 90 hiraji 43 kaisei stones 40 Ultra-nationalism 93,
Prince Yamato 124 Skilled Warriors of Old kissaki 19, 21, 43 kōma-nagura stones 40 141–143
Qi 124 67, 126, 127 kogai 129 kongo-dōstones 40 Uruoi 46
Quality 26, 27 Taō, the 67, 72 kozuka 44, 129 migaki 42, 43 Vajra hilt 47, 87, 88, 92
Queen Pimiko 52 Tengu 68 meguki 20 narūme 42, 43 Value 26, 27
Rankings, Ministry of Safety 24 mekūgi 41 narūme-dai 43 Wa 59, 60
Education 27 Sahei-no-jo-Kuniyoshi 97 mekūgi-ana 41 narutaki 39, 42 Wabi-sabi 69, 72
Rankings, NBTHK 27 Sammaya 88 menūki 31, 45 nūgūi solution 42 Warring States Period 67
Rankings, NTHK 27 Samurai and Zen 92, 93, 94, mune 43 Ono School 43 Warrior ruling class 122
Reihō 15 95 nakago 20, 24, 97 polishing stones 38 William Bodiford 93, 170
Religions Samurai class 11, 15, 28, 121 saya 24 shiage-tōgi 39, 41 Wootz steel 11
animism 52, 53 Samurai warrior archetype seppa 20 shita-ji-tōgi 39, 40 Ya 76
Buddhism 81, 92, 143 121, 124, 138 shinōgi-ji 21, 38, 43 sūjikiri 42, 43 Yagyu Munenori 72, 92, 93,
Amida sect 82 San Felipe, the 85 tang 24 ūchigūmōri stones 40 95, 164
Dainichi Nyorai 87 Sankōzūka 88 toushin 20 Sword types Yagyu Shinkareryū 95
gōma 89, 90 Satsu-jin-ken 96 tsuba 20, 44 chōkutō 15, 19, 60 Yamabūshi 89, 90
kūji-kiri 88 Satsuma Rebellion 137 tsūka 20, 24, 41 hira-zukuri 19 Yamaoka Tesshu 92, 93, 164
Lotus sect 82 Saya 40, 41 Swords, creation of 29 kiriha-zūkūri 19 Yamato clan 52, 54
mappō 81 Scholar-warrior 127 billet 33, 34, 36, 37 hoplite 15 Yasuyoshi 151
mudras 88 Seii-Tai-Shōgūn 82 billet, elongation of 37 jian 15 Yayoi Period Swords 59, 60
oni 92 Sengoku Period 84, 97 blade shape, refinement of jōkōtō 96 Yayoi Period 51
Pure Land sect 81 Shi 67 37 kata-kihira 15 Yin and yang 14, 69, 96
Shingon sect 81, Shikyō 142 carbon content 34, 35, 36 katana 20, 84, 112, 134, Yōkōte 21
86–88, 90, 94, 96 Shimmei Mūso Hayashizaki- clay slurry 36, 38 149, 150, 155 Yoshitoshi Tsukiota 68
Tendai sect 81, 86–88, ryū 162 curvature, creation of 38 ken 19, 118 Yumi 76
96 Shimmei Mūso-ryū 161. See forge-welding 34 kōshirae 24, 40, 41, 76, 78, Zen and Japanese Culture 142
tentōki 92 also Shimmei Mūso hada, manipulation of 36 117, 128 Zen in the Art of Archery 143
Zen sect 92, 96, 122, Hayashizaki-ryū hammer, power 36, 37 mino 36 Zen Master Takuan 95
142, 143 Shinken 169 hamon, creation of 37, 38 tachi 19, 21, 60, 84, 96–98, Zhao Dynasty 68
kōans 94, 95 Shinsa 27, 28 hardness 37 101
mu 95 shinsakutō 145 hi-zūkūri 37 tantō 20, 92, 97, 99, 104,
mushin 95 Shinto (new sword) 97, 128 iron, sponge 32, 33 111

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The History, Metallurgy and Iconography of the Samurai Sword

Jap Swords Part1_1404CP.indd 3 12/16/13 11:49 AM

Copyright © 2010 Colin Max Roach

All rights reserved. No part of this publication

Library of Congress Cataloging-in-Publication

North America, Latin America & Europe

TUTTLE PUBLISHING® is a registered

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Jap Swords Part1_1404CP.indd 6 1/3/14 10:24 AM

Jap Swords Part1 V1.8.indd 7 7/26/10 3:25:36 PM

1.. ou must have an internet connection.

I would like to dedicate this book to my

Jap Swords Part1 V1.8.indd 8 7/26/10 3:25:36 PM

Why would a person pay a king’s ransom for a

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Jap Swords Part1 V1.8.indd 10 7/27/10 2:31:53 PM

History, Technology and Iconography

The Japanese sword is a technological and

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LEFT A traditional iaidō dōjō is a place of somber

tracking its progress from infancy to grandeur.

Symbolism and the Sword:

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RIGHT The wearing of paired swords was reserved for

to show respect, or risk being cut down.

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Introducing the Japanese Sword

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Appreciating the Japanese Sword

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Katana—The katana, like the tachi, is also curved and

due to its ease of use and flexibility in battle, and became

RIGHT The upper section, protective talismans, referred to as mamori-gatana.

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are considered, along with other attributes, to determine the A. Kissaki

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Temperline Patterns (Hamon)

Regular Waves STRAIGHT (SUGUHA)

IRREGULAR WAVES (NOTAREBA)

Clove Flowers CLOVE FLOWERS (CHOJI )

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BAMBOO CURTAIN (SUDAREBA)

Straight grain (masame).

Wood pattern grain (mokume).

WOOD PATTERN GRAIN (MOKUME )

PLANK PATTERN GRAIN (ITAME )

UNDULATING WAVE GRAIN (AYASUGI )

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RIGHT When viewing a sword

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which is more secure. His left hand is placed at the top of

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RIGHT Author Colin M. Roach

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Collecting Japanese Swords

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Creating a Japanese Sword

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