Japanese Swords: Cultural Icons of a Nation: The History, Metallurgy and Iconography of the Samurai Sword 4805310359, 9784805310359

Table of contents :
Frontcover
Title Page
Copyright
CONTENTS
INTRODUCTION: History, Technology and Iconography
PART 1: Introducing the Japanese Sword
CHAPTER 1 Appreciating the Japanese Sword
CHAPTER 2 Creating a Japanese Sword
PART 2 History and Culture
CHAPTER 3 Early Japanese Swords
CHAPTER 4 Nara Period Swords
CHAPTER 5 Medieval Japanese Swords
CHAPTER 6 Edo Period Swords
CHAPTER 7 Modern Japanese Swords
PART 3 The Art of Swordsmanship
CHAPTER 8 Japanese Swordsmanship Today
CONCLUSION
Endnotes
Bibliography
Photo Credits
Index
Backcover

Citation preview

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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

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Published by Tuttle Publishing, an imprint of Periplus Editions (HK) Ltd. www.tuttlepublishing.com 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) Distributed by North America, Latin America & Europe Tuttle Publishing 364 Innovation Drive North Clarendon, VT 05759-9436 U.S.A. Tel: 1 (802) 773-8930 Fax: 1 (802) 773-6993 [email protected] www.tuttlepublishing.com Japan Tuttle Publishing Yaekari Building, 3rd Floor 5-4-12 Osaki Shinagawa-ku Tokyo 141-0032 Tel: (81) 3 5437-0171 Fax: (81) 3 5437-0755 [email protected] www.tuttle.co.jp Asia Pacific Berkeley Books Pte. Ltd. 61 Tai Seng Avenue #02-12 Singapore 534167 Tel: (65) 6280-1330 Fax: (65) 6280-6290 [email protected] www.periplus.com Hc 14 13 12 11 10 8 7 6 5 4 3 2 1 Pb 16 15 14 8 7 6 5 4 3 2 1 Printed in Singapore 1404TWP TUTTLE PUBLISHING® is a registered trademark of Tuttle Publishing, a division of Periplus Editions (HK) Ltd.

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CONTENTS Dedication Foreword

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Creating a Japanese Sword Manufacture of Traditionally Smelted Steel Refining the Steel By Forge-Folding Assembling a Sword’s Component Steels Elongating the Billet Creating the Profile Quench-Hardening the Steel Final Shaping The Polishing Process A Brief History of the Japanese Sword and the Importance of Polishing Spirituality in the Sword Craft

INTRODUCTION

History, Technology and Iconography Symbolism and the Sword: Lifting the Cultural Veil The Sword’s Application PART 1

Introducing the Japanese Sword 19

CHAPTER 1

Appreciating the Japanese Sword Blade Types Distinguishing Blade Characteristics Sword Tip Design Temperline Patterns Grain Patterns Viewing and Handling Maintenance and Cleaning Quality and Value Valuations Availability of Antique and Modern Swords Collecting Japanese Swords Purchasing Swords

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CHAPTER 2

PART 2

History and Culture 51

CHAPTER 3

Early Japanese Swords The Jōmon Period The Yayoi Period The Kofun Period The Sword of the Gods The Sword’s Role as an Imperial Icon Shinto Stories of Sword-Wielding Deities Shinto In the Smithy The Blades of Ancient Japan Yayoi Period Swords Kofun Period Swords

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CHAPTER 4

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Nara Period Swords

Modern Japanese Swords

The Nara Period The Sword of Chinese Influence Taōism In Japanese Warrior Culture The Sword of Taōism Lao Tzū: A Balance Between War and Wit Chuang Tzū: Swords as Metaphor Japanese Adaptations The Sword and Martial Spirituality Blades of the Nara Period

The Meiji Period and Onward Spirituality, Modernization and Martial Arts Post-War Period Martial Arts Meiji, Taishō and Showa Period Swords A Glimpse into Sword-making Apprenticeship Today PART 3

The Art of Swordsmanship 159

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CHAPTER 5

Medieval Japanese Swords The Heian Period The Kamakura Period The Muromachi Period The Sword of Esoteric Buddhism Buddhist Stories of Sword-Wielding Deities The Sword of Zen: The Sword of Insight Heian Period Swords Kamakura Period Swords Muromachi Period Swords

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CHAPTER 8

Japanese Swordsmanship Today The Classical Art of Iaidō Envision laidō The History of Iaidō A Living Tradition Swordsmanship Today Studying Iaidō Today The Sword of Iaidō The Sword and Society

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CONCLUSION

Passion and Preservation

CHAPTER 6

Edo Period Swords The Edo Period A Scholar-Warrior Ruling Class Edo Period Swordsmanship: A Case Study The Fall of the Edo Period Edo Period Swords

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CHAPTER 7

Endnotes Bibliography Photo Credits Index

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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 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. But the owing of thanks does not stop there. In truth, I have completed this work with the assistance of many wonderful people. I am very honored by the involvement of many top experts in completing this work. Kawachi Kunihira was a most gracious host and, in his very natural and unassuming way, opened my eyes to aspects of swordmaking I had not dreamed of. Abe Kazunori gave very generously of his time and resources, donating both his expertise and many images used in this book. Paul Martin, a sword expert who lived in Japan for many years and has assisted me in connecting with top-level craftsmen was instrumental. His quiet nature hides deep level knowledge and kindness. Pierre Nadeau, a swordmaking apprentice who gave of his time, writing, and assistance in translating during my visit with Mr. Kawachi. Professor Karl Friday aided me more than he probably knows. During our conversations over the last four years, I have changed my entire outlook on the history of martial arts. He also suggested I read the work of (and contact) Professor Bodiford, who clarified my understanding of many misconceptions surrounding martial arts spirituality. I owe both of these men a cold beer and a heartfelt thanks. I would like to thank the city of Murayama for their kind support of this project. The iai-jingu is now overseen by the city as an important cultural property. Mrs. Okuyama, the caretaker and wife of the shrine’s late land-owner (Mr. Okuyama) was very kind and gracious in opening the Hayashizaki shrine’s inner chamber, allowing us to view many of the shrine’s treasures. Caring and thoughtful, Mrs. Okuyama even sent a beautiful shimenawa from the iai-shrine itself. Mrs. Okuyama exemplifies the kindness and grace of the Japanese people. I am grateful to her and hope to see her again soon.

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Pictured above is the author with Ochiai Tadao (10th Dan Hanshi) and Iwasa (8th Dan Kyoshi) Sensei.

The logistics of traveling to Japan, meeting with top-level artisans, and filming/ photographing the whole affair were daunting to say the least. I owe a debt of gratitude to my friend Yamaji Fumihito, a.k.a. Fred. He was our “fixer,” while in Japan and helped us schedule everything from Shinkansen trips to last minute lodging changes while staying at the Hayashizaki shrine in Murayama. Thank you Yamaji-san. You have been a hero in supporting this project. There have been some organizations and representatives who deserve thanks. First, I would like to thank Ginza Choshuya for allowing the use of many of their beautiful sword photos. Second, I’d like to thank Tozando and, in particular, my longtime friend Yamamoto Yasumasa, who serves the martial arts world with honor and dignity rarely seen outside of Japan. Thanks to Tozando, we were able to film and photograph their beautiful blades. Miwa Teruo assisted me while in Seki City, where I hope to return one day to do more research on the modern manufacture of iaitō. I would also like the thank Mr. Tsuruda of Aoi Art, who was very gracious and generous with his beautiful photographs. I would also like to thank Fred Weissberg of the Northern California Japanese Sword Club. He aided me in making contacts both in Japan and abroad as well as donated photos of his beautiful blades. Thanks to the gracious support of all these people, I was able to meet several craftsmen, compile beautiful photographs, and make new friends. I need to thank those who inspired me to learn more and write Japanese Swords. I have been training in martial arts since I was a child. In 1994, however, I began studying iaidō. I have been extremely fortunate to study with many wonderful, demanding, and caring teachers. Many of these people, I count as friends and family today. Mike Cimino-Hurt, Bob Ward, and Nick Suino have each shared

their unique gifts and insights. I am eternally grateful. Suino Sensei, in particular, has supported my writing of this book from the beginning—through many, many drafts. Thank you for your support, patience, and friendship. I have been fortunate to study with some outstanding top sword teachers in Japan over the last ten years. Ochiai Tadao (10th Dan Hanshi) has been an inspiration in both form and spirit. While assisting him in instructing during his final seminars in the US, I was greatly inspired by his spirit and technique. He exemplifies the spirit of passion and preservation that I hope to convey with this work. Iwasa (8th Dan Kyoshi) Sensei has also been very supportive of my learning iaidō over the years. I appreciate his willingness to work with me both in the US and during my trips to Japan. And although I have studied with other Japanese teachers, those noted above have played an important role in my practice. I owe them a debt of gratitude that can never be repaid. Featured within this book are the works of three talented young men, all of whom I care for deeply. First is my brother Daniel Schmidt. Currently completing his graduate degree in documentary film making, he gave of his time and expertise in creating the film that accompanies this work. Thanks Danny. Second is Joseph Obering, who not only studies the art of iaidō, but volunteered to be featured as an example of how modern swordsmanship can develop deeply personal and rewarding insights for young people today. I appreciate your loyalty and continuing practice. Finally, I want to thank Max Leitner, a young photographer from Germany. Max’s work is featured throughout this book. Without his dedication to producing outstanding photos, the pages would be conspicuously sparse. I expect that, in the coming years, we will see more great things from these men.

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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 relationships 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. Let me begin to answer those questions by posing one more: why would an otherwise sane person walk on hot coals? You may be aware of the ancient firewalking ritual, a practice that has been popularized in recent years in motivation seminars, but which has been done for thousands of years by seekers of enlightenment the world over. The reason, of course, is that, with the proper preparation and mindset, firewalking creates an extraordinary inner experience. The catharsis resulting from a successful walk can be life-changing. Would a firewalk be as effective if, instead of walking on hot coals, you jumped over them? If, instead of hot coals, one walked upon fallen leaves? Of course not. Nor would skydiving be interesting if one jumped from three feet in the air. We choose significant activities because they create big emotional payoffs. Similarly, when Japanese swordsmanship is understood for what it really is—not merely an esoteric ritual involving a sword but a means of creating profound personal change—then the importance of striving for perfection in every

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aspect begins to emerge. The student who takes up the art fully understanding that its purpose is to make him or her stronger, calmer, more courageous, more insightful, and more spiritual, then good judgment requires that he or she seek out the most legitimate and absolute best instructor. The difference between that instructor and one who has learned his art in a few seminars is extreme. Just as the difference of only two millimeters in a sword fight can mean the difference between life and death, in personal development, a two-millimeter technical misunderstanding can mean the difference between profound realization and complete self-delusion. So it is with swords. Of course you can purchase a piece of metal shaped like a sword for a few dollars. But holding in your hand a true Japanese katana, in which steel from a specific source has been painstakingly extracted, blended, forged, shaped and polished by craftspeople whose heritage is forged just as intensely as the steel of the blade itself, lies in a completely different realm of experience. A true Japanese katana is capable of transporting the

educated aficionado to a similar extent as walking on hot coals transports the firewalker. Where does one go to get an understanding of how to appreciate the depth of the Japanese sword and the extraordinary role of iaidō practice in its preservation? Until now, there were very few sources outside Japan. In this work, however, author Max Roach makes it possible for readers to share in exquisite detail the heretofore hidden aspects required to truly appreciate the essence of the Japanese sword. He reveals the beating heart of the forging process, the spirituality of the culture that gave birth to the katana, the world view of both the smith and the samurai, and how the esoteric art of iaidō creates a living space in which the katana, the soul of the samurai, can flourish even without war. Nowhere else in the English language have these topics been brought together so artfully, with so many amazing illustrations, and by someone so devoted to the topic. For readers seeking to walk through the fierce history, evolution, and power of the Japanese sword, Max Roach’s work is required reading.

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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, iconographical, 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

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TOP At once both beautiful

and functional, Japanese swords surpass all other weapons in terms of historic and symbolic significance. ABOVE MIDDLE The hada (grain pattern) seen on this blade is a signature attribute of an authentic Japanese foldedsteel blade. See Chapter 1, “Appreciating the Japanese Sword” for more information on Japanese sword characteristics. ABOVE Damascus steel is also folded but its layers are fewer and more crude than those of Japanese swords. In addition, the Damascus blade’s edge is not further improved in the quench hardening process.

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reconciliation that one can understand the significance of the Japanese sword. It is important to note that applying Western paradigms to the explanation of Japanese spiritualism, particularly as it pertains to the warriors, is problematic. Most attempts to define the sword’s symbolism miss the mark by the very virtue that they assert a singular spiritual tradition as being of primary importance. Symbolism interacts with people by inspiring the spirit and stirring introspection. The symbolism of the sword has taken many forms throughout Japanese history. Further, the delivery mechanisms—the mediums through which symbolism entered the warriors’ worldview—have also come in countless forms. For example, practitioners of early native spiritual observances (referred to here as “Shinto-” for ease of use) held complex beliefs surrounding the sword. Shamans and tribal leaders transmitted the nativist symbolism orally. Later, however, those beliefs and oral traditions were adapted and codified using written language. The medium of the legends changed and it can be reasonably argued that so too did the perceptions of those legends. Another example is the overblown connection between Zen and martial arts. There is no

historical evidence to suggest that Zen had any more influence on the symbolism of the sword than any other philosophy. In fact, it played a much smaller role than several other spiritual traditions. The key to unraveling this enigma lies in understanding the nexus between warriors and their beliefs. A few definitions here may help clarify the objectives of this book. The term iconography is the derivation of two Greek words: eikon (image) and graphein (to write). Strictly speaking iconography concerns itself with the input of visual media in creating imagery and symbolism. Imagery can be thought of as visual imagery, or in written form, as literary imagery. But either way, iconography concerns itself with visual media and the viewers’ meaningful response to the visual stimulus. Literary imagery offers an interesting gateway to expand the analysis offered here. Although it could be argued that the written word carries more weight than the spoken word, especially in terms of implying permanence and truth, they share a critical commonality—they both interact within the mind and heart of the person perceiving the imagery and related symbolism. In terms of meaning-making, non-visual sources of imagery are

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Introduction

as relevant, if not more-so, than many visual forms. Imagery, whether visual, oral, or literary, accumulated in the Japanese ethos in innumerable forms. It could be argued that by including non-visual sources of imagery, this book technically exceeds the boundaries of iconography. However, strictly speaking, I feel that this type of study falls into the field of iconology. Iconographer Albert C. Moore, in his work Iconography of Religions, explains: Iconography deals with the form of visual symbols by first describing and then classifying them according to the subject matter; this is a task of analysis. Iconology goes beyond this to interpret the meaning of the symbols and images in relation to the culture where they appear, placing them in the history of tradition; this is a task of synthesis involving the art historian and others in an interdisciplinary enterprise. Of particular importance here is the process of development and change in the “life of images.”1

Imagery is very personal and unique to whoever is experiencing the symbolism. So a study of iconography, on the sociological level, can never hope to be definitive.

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History, Technology and Iconography

Nevertheless, accurate and meaningful interpretations of the Japanese sword’s importance can be made through an in-depth analysis of this complex culture. It is important to distinguish “facts” from “factors” when making studies such as this. This is not solely a history book consisting of facts. A detailed history of Japan is beyond the scope of this work. So too is a complete offering of religious iconology of general Japanese religions. Offered here are factors that describe the sword in relation to individual warriors, warrior-leaders, and the people who they ruled. For the purpose of comparison and analysis, historical periods have been coupled with eras of religious predominance (Shinto, Taōist, and Buddhist) and subsequent iconographical influence. Connecting historical periods with corresponding eras of religious imagery and evolving metallurgical technology requires somewhat flexible groupings. Nevertheless, these factors have been grouped into chapters to indicate general periods and themes of the sword’s evolution. Here we will begin examining three primary influences on the Japanese sword. Weaving history, iconography, and technology together, this book illuminates the sword,

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ABOVE LEFT A richly symbolic

sculpture of the sword-wielding Buddhist deity, Fudō-Myō-ō. See pages 87–90 for more information. ABOVE Traditional culture is deeply embedded within modern Japan.

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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 significant 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

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Introduction

History, Technology and Iconography

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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. The sword could accompany its master in life benevolently or become the burden by which his soul was corrupted.

The Sword’s Application The sword has remained a constant force in Japanese culture for nearly sixteen centuries. Like the bronze swords used in ritual ceremonies by primitive shamans, the early military swords were straight and short. Much like the Greek hoplite swords (and their later adaptations) and the Chinese jian, some of the first Japanese ceremonial-blade designs were symmetrical and double edged. Later, straight “kata-kihira” chokutō blades were employed on the battlefield in close range to the enemy— as hacking and thrusting weapons. As the samurai class established itself as a ruling caste, the battle tactics changed. Japan became a horse culture very early on, which changed the design and use of the sword. Curved swords were developed allowing troops to fight from horseback. These were adaptations based on technological and cultural changes. The primary methods of sword use transitioned from unrefined foot-soldier tactics, to cavalry, and then back to infantry again. Throughout history, the Japanese adapted what they were doing based on immediate need, technological advancement, and inspiration of religious significance. The sword was a weapon that simultaneously embodied mankind’s most terrible fury and highest potential. As such, both swords and swordsmen were subject to a strict behavioral code known as reihō. The principles of reihō (lit. etiquette) dictated how the sword was carried at one’s side and extended to stipulate exactly

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what direction the edge of the blade should face in any given situation. This was particularly important in the context of battle, because one’s honor, and that of the family name was at stake. When studying the role of the sword in the context of battle it is helpful to do so with an appreciation of etiquette. Considering the symbolic and spiritual importance of their swords, swordsmen felt compelled to show respect in many ways. In late feudal Japan, schools of etiquette, such as the Ogasawara-ryū, had an impact on swordsmen and swordsmanship.2 Many texts were written offering insight and guidance on how samurai should conduct themselves. Even the tea ceremony affected the culture, mindset, and practice of the samurai. So we see that many factors contributed to the consciousness and practice of swordsmen. The Japanese societal need vacillated between times of war and peace. Practices of comporting oneself with the utmost professionalism and honor evolved and were in high demand. Indeed, samurai bore the weight of formality and custom. Like those bound to the etiquette involved in European duels, so too were the samurai socially bound to wield the blade honorably. Formality aside, duels did not often determine the victor in war. Although often misrepresented as such, the sword was generally not the first weapon of choice for the samurai on a battlefield. Generals were hardened to the realities of troop loss, and so preferred armaments that put some distance between their soldiers and the enemy. However, as in dueling, battle preparation was highly ritualized, with attention given to formality and introductions. Prior to the 1200s (at which time infantry

tactics became more popular), the samurai primarily used bows, arrows, and spears during military conflict, resorting to sword use only during the final stages of battle. The use of arrows, on the other hand, offered distance and an impersonal approach to warfare. Therefore, those strategies that were easier, safer, and still effective, were commonly used as first-wave battle tactics. Only after all the arrows and spears were expended would the early samurai cavalry ride in close to the enemy, cutting down from above like a steely stroke of lightning. Such was the samurai’s primary tactical strategy up until 1274, at which time the Mongolian infantry battered the samurai armies with unfamiliar tactics. These embarrassing lessons in Mongolian infantry strategies are believed to have contributed to the development of the katana (sword worn tucked into the belt, edge up on the left side of body) for Ashi-garu (foot soldiers’) use. The wearing of the sword on the left hip and the development of swordsmanship skills specifically designed to accommodate such an arrangement mark a major shift in the techniques of swordsmen. Despite being a secondary instrument in the larger scope of warfare, the sword was a real and practical tool that warranted constant training for impending battlefield use. The Japanese sword proved its effectiveness throughout the ages. It was used in both duels and on the battlefield, with gruesomely devastating results. So effective was the sword that for a thousand years Japanese military leaders invested incalculable time, effort, and resources into continuing its refinement. Within warriors’ hearts, the sword will always represent the pinnacle of form, function, and spiritual significance.

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PART

1

Introducing the Japanese Sword

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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 attributes used to describe shape, quality, and other aspects.

By studying the sword’s distinguishing characteristics, an understanding of what creates quality and value emerges. This chapter explains which positive and negative attributes allow various agencies to evaluate, rank, and appraise any given blade. Also discussed here is the story of how the sword came to be a collectable art object in the modern era. Expanding on the idea of value and commerce surrounding the sword, this chapter concludes with some guidance for readers by recommending some trustworthy organizations and reputable sword merchants. Later chapters will explain how swords are made, how spirituality shaped its iconography, and how the blade evolved as a metallurgical wonder.

Blade Types Ken/Tsurugi—The ken, sometimes called a tsurugi, is a straight, double-edged sword of ancient Chinese design.

LEFT The author fitted this “tired” koto blade (CE 1532, Mino-den signed, Katsu Michi) with modern fittings for use in his day-to-day iaidō practice. See Chapter 8. BELOW The ken is a straight, double-edged sword of ancient Chinese design. BOTTOM Sharp and resilient, the tachi marks the beginning of “the Japanese Sword.” RIGHT Chokutō blades courtesy of the Shosoin imperial treasure house.

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It holds particular importance in Buddhism but has also been incorporated into Shinto- ceremonies. Although the ken is one of the oldest sword types to enter Japan, it remains relevant due to its symbolic significance. Chokutō —Although also of Chinese design, chokutō were produced in Japan’s ancient times and pre-dated the quintessential, “Japanese” sword. Chokutō are straight and have one cutting edge. Less obvious is that the steel for these early blades is homogenous; not folded and combined to produce greater strength and flexibility. Variations are generally distinguished by the cross-section design. The kiriha-zukuri design would have been more efficient in hacking and thrusting, whereas the hira-zukuri would have a slight advantage in slicing due to its kissaki (tip) design. Some scholars suspect that these two designs were combined (along 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 thrusting, it incorporated a curved blade and a temperline, highlighting its differentially hardened steel. Worn edge-down and tied to the outside of armor, it was designed to be drawn and used with one hand (usually from horseback). The tachi’s innovative technology and raw effectiveness became a blueprint for all swords developed in later times. Sharp and resilient yet durable and not brittle, the tachi marks the beginning of “the Japanese sword.”

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TOP The daisho set, consisting

of katana and wakizashi swords, was produced to be worn together. ABOVE The ken-brandishing Buddhist deity Fudo Myo-o. RIGHT The upper section, handle, and tang of a disassembled katana. BOTTOM The tantō has a short, utilitarian blade.

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INTRODUCING THE 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 could be drawn and immediately used to make offensive 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 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 sorts. For example, a warrior may have been asked to “check his sword at the door” when visiting other households 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 critically important and was often worn along with the katana, tucked into the belt, and ready for use. Tantō —The tantō is a sword that is very short, usually serving the function of utility knife, self defense weapon and for use in seppuku, ceremonial self-disembowelment. Tantō come in many sizes and shapes but are generally less than 30 cm. Despite the size of the tantō, it showcases the same craftsmanship as its larger cousins. Therefore, the tantō is still considered a work of art equal to its longer counterparts. Tanto are sometimes given to newborn children as protective talismans, referred to as mamori-gatana.

Distinguishing Blade Characteristics

Saya (scabbard)

Ts ūka (handle)

Toushin (blade)

Mekugi (pin)

Seppa (spacers)

Tsuba (handguard)

Seppa (spacers)

Habaki (collar)

Swords are often discussed, evaluated, and appraised/ attributed using several measurements. These measurements

Nakago

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Appreciating the Japanese Sword

are considered, along with other attributes, to determine the school, smith, condition, and even the value of a sword. Length—The length of a sword, called the nagasa, is determined by measuring the distance between the tip of the kissaki and the munemachi. While nagasa is often used in describing the cutting edge in terms of length, overall blade length can be measured from the tip (kissaki), to the tang-end (nakago-jiri). 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 can mean different things to an expert appraiser. The term fumbari is used to describe the degree of tapering between the base and the tip. Therefore, blades with a lot of fumbari are considerably narrower at the tip than at the base. Curvature—The depth of a sword’s curve is called the sori. Sori is measured between the deepest point between the mune and the sword’s imaginary nagasa line.

Sword Tip Design (Kissaki ) The tips (kissaki) of swords show different types of construction in various schools and in various historical periods. Although each offers slight differences in performance, the selection of a certain type of kissaki over another is usually done as a result of a sword maker’s instructional lineage, personal style and trends of the historical era. Three basic kissaki are frequently seen, as shown below.

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A. Kissaki B. Yokote C. Nagasa D. Sori E. Hamachi F. Munemachi G. Nakago H. Kasane I. Haba

ABOVE The terminology for different parts of the blade. LEFT Edo era fittings for the tachi are often ornamental, as many were ceremonial and given as gifts among high-ranking samurai. Note the attention to detail in the metalwork as well as the harness and cords. BELOW The angle of a kissaki varies and is influenced by training, individual preference and the fashion of the day. The three basic types are shown here.

Short curve

Medium curve

Long curve

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Temperline Patterns (Hamon)

Straight

Regular Waves

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 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. 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)

Irregular Waves

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 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.

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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)

Mottled (Hitatsura)

Grain Patterns (Hada)

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.

Straight grain (masame).

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. STRAIGHT GRAIN (MASAME )

Wood pattern grain (mokume).

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 School of swordmaking produces this grain structure; therefore it is sometimes referred to as Gassan hada. It is noteworthy that this grain is produced by filing away portions of the billet just before elongating it into a blade; not by elongation of the grain alone.

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Undulating wave grain (ayasugi )—the hallmark of the Gassan school of swordmaking.

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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 from slipping out of the scabbard unexpectedly.

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Viewing and Handling Whether viewing someone’s sword, or cleaning your own, it is always important to follow some simple etiquette guidelines. Swords are handled in very strict ways to observe safety and etiquette. Never use the sword to point at someone or something. Be careful not to gesture aggressively with the sword; even to the extent that you should avoid pointing the edge (let alone the tip) of the sword towards someone. Think of the edge like a shotgun’s barrel and be careful where you point it. If you are unsure about something, ask. Between being thought an ignorant barbarian, and being seen as a careless, disrespectful, and dangerous barbarian, I recommend the former. Before receiving the sword, the owner will likely have cleared the area of all extraneous materials. Only sword cleaning supplies should be laid out. This demonstrates safe practice as well as reverence for the sword. Never touch the polished surfaces of a sword. There are two places where you can hold a sword: by the handle and by the unpolished portion of the nakago (tang). Never touch a sword without having permission. Even then, it is best to wait until the blade is handed to you. 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 letting the blade slip out of the scabbard unexpectedly. Be prepared to receive the sword and its scabbard in both

hands, carefully taking control at the tsuka and saya. The person presenting the sword will likely make a small bow while holding it out. Bowing while receiving a sword demonstrates respect to the owner, the sword’s craftsman, and the sword itself. Return the bow simultaneously. Always handle a sword in a slow, deliberate, and careful manner. Many scabbards do not hold their blades securely. If turned handle down, the blade may slip out of the scabbard unexpectedly. It is an egregious violation of etiquette (and safety) to allow the sword to slip in this way. Therefore, always hold a sword/scabbard with two hands: one on the handle and the other on the scabbard. Keep the handle higher than the scabbard will also decrease the likelihood that the sword will slip out of its scabbard. The first step in appreciating the sword is making note of the fittings. Whether in a wooden shirasaya, or “resting scabbard” or mounted for battle in koshirae, the fittings that protect and house the sword should be appreciated. In many cases the value of fittings is equal to or more than the value of a blade. Take note of the craftsmanship of each of the fittings, the color scheme, and so on. Taking the next step, drawing the sword, requires another request for permission. After sufficient time examining and commenting on the fittings, look at the host and ask permission to draw the blade. A simple, “May I?” will usually suffice. When drawing the sword, cradle the scabbard in the palm of the left hand so that 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,

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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 picture” and then narrows down to the more subtle aspects. Look at the shape of the blade: the length, width, curvature, and so on. Speaking or breathing near the blade while viewing it may cause moisture and rust so avoid talking when holding blades. After you’ve returned the blade to the giver, ask any questions related to general shape, the period of the sword’s manufacture, and so on. Avoid any comments that might reflect a poor evaluation of the sword such as “Gosh, this sword is so much thinner than the one I saw in at my grandpa’s house.” Any comment that could possibly be taken as negative should be withheld; even mentioning obvious flaws in the sword. Some swords have carvings of decorative nature. Some have grooves cut into their sides. Still others have no carvings at all. Look for and consider the skill it must have taken to make the precision cuts into the side of a smooth steel surface by hand. Another aspect of appreciating a sword’s lateral surfaces includes viewing the grain structures. Like the hamon, the grain of a sword can be mesmerizing. The swirling grain structures can lead the eye through a maze of visual delight. Take time to appreciate the grain. Some grains are wavy, others are very straight. Grain can be obvious or very subtle like velvet, homogenous or varying. A sword’s grain tells much about the skill of the smith. Further appreciation of swords involves looking at features in the surface of the steel. The first and usually most obvious feature on a sword is the hamon. This is a wavy line created when the swordsmith hardens the steel at the edge. The polisher’s expert touch, however, creates the differentiation between the gray looking side-steel and the whitish looking edge-steel (See Chapter 2 for more details on how this is done). Without the polisher’s whitening techniques, called hadori, the edge steel would

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look more bright and mirror-like than the softer steel on the sides and back of the blade. Seeing the real hamon within the hadori requires good lighting. Many authorities recommend an electric light bulb. It may be beneficial to dim the lights except for the electric bulb. Point the blade so that the tip is 20 degrees below the light source and slowly lower it allowing the angle of the light’s reflection to widen. As the light bounces off the hamon into your eyes, the real hamon will light up within the hadori—like magic. You can make fine adjustments to the reflection by slowly raising and lowering the blade, twisting it, and so on, to make the most of viewing the hamon. It is common to see crystalline structures (martensite) that glimmer like diamonds in the transition-zone between the hamon and the ji (darker area behind the hamon). These structures come in two main types, nie and nioi. Nioi are so small that they look like diamond powder sparkling in the hamon. When individual particles can be seen the term nie is applied. There may be patches of nie and/or nioi or, ideally, the crystalline structures might run the entire length of the hamon. When the viewing is over, it is important to follow etiquette protocol when putting the sword away. Always place the sword into its scabbard on the mune, or back of the sword. Never slide the blade into the scabbard flat on its side as this may cause scratches in the surface of the sword. Hand the sword back to the owner in the same manner it was given to you: handle on the left, edge rotated up and back (at eye level), and with a bow. If the blade was given to you already drawn, make sure to return it in the left hand, edge rotated towards you (not the owner), and with a bow. The owner will most likely re-oil the blade and place it back in its cloth bag. Be sure to thank the owner for the honor of viewing the blade.

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ABOVE Here, a soft cloth is held in the left hand to aid in the viewing of subtle features within the hamon. BELOW Some swords feature delicate carvings such as this dragon. Shingon Buddhism fosters belief in potent talismanic properties, and by so carving the steel, the blade becomes the embodiment of that talisman.

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RIGHT Author Colin M. Roach

demonstrates how to clean a Japanese sword.

Maintenance and Cleaning

ABOVE Removing the retaining pin allows the handle, spacers, hand guard, and retaining collar to be removed. Then, the blade and its fittings can be carefully separated and removed for cleaning.

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Caring for a Japanese sword requires some specialized tools and knowledge. The main idea is that, no matter the value of the blade, the sword should be treated as both an art object as well as a deadly weapon. As an art object, a sword must be maintained regularly. Cleaning a sword on a regular basis keeps it free of rust and maintains it for future generations. Furthermore, having a sword polished can cost upwards of $100 per inch. Regular cleaning will help to ensure that a blade only needs polishing every hundred years or so. Most sword shops sell sword cleaning kits of varying quality. Included in most cleaning kits are scented oil, oil cloth and case, an uchiko powder ball, a small hammer and pin, and cleaning paper. It is a good idea to fold some facial tissues neatly and keep them either in the box or nearby. The inexpensive ones are primarily used for iaitō, practice swords not made of steel. It is recommended that you use products that reflect the quality of your sword or collection. Poor quality uchiko, for example, could actually damage the polish. Good uchiko, for example, those made by high-level artisans like mukansa-level polisher Abe Kazunori, can cost quite a bit. But high quality cleaning materials are easily worth the expense. Here’s the process: 1. Remove the mekugi using the small hammer and pin. 2. Remove the tsūka, seppa, tsuba and habaki, placing them carefully to the side on a clean surface. 3. Use a clean soft piece of paper or facial tissue to remove old oil and dirt. Note that if using facial tissue, be sure it doesn’t contain perfumes, aloe, and the like. 4. Strike the uchiko ball on the lateral and back surfaces of the sword, covering it with powder. 5. Gently wipe the uchiko off of the blade using machi-totip upward strokes, from the habakimōtō to the kissaki. Never wipe the blade from machi-to-tang as the

increasing width of the sword can easily cut the fingers. Use only the force equal to the weight of the blade when laying on the fingers. Steps 4 and 5 can be repeated if further cleaning is needed. Never scrub the uchiko into the surface of the sword when trying to remove a spot. 6. Inspect the sword’s surfaces, insuring that the powder has been completely removed. 7. Lightly oil the oilcloth. Wipe a thin layer of oil on all surfaces of the sword, from the habakimōtō to the kissaki. Use only machi-to-tip strokes and light pressure. 8. Replace the habaki, seppa, tsuba, seppa, and tsūka onto the nakago. The fittings can be seated into place by striking the assembly downward, onto the palm of the right hand. 9. Reseat the mekugi. 10. Replace the sword into its scabbard.

Quality and Value Determining quality and value in a sword can be done from an expert or layman point of view. First, experts can judge a sword and determine its quality and value using agreed-upon industry standards. Second, anyone can hold, appreciate, and learn from a sword and determine its quality and value for themselves. Swords are like wine to some extent: If you like it, it’s good. If you don’t, it’s not for you. Distinguishing the subtle notes within a fine wine is for connoisseurs. The rest of us can drink the same wine and appreciate it too—we just don’t use the same fancy words to describe the flavors. Aside from personal taste, there are some standard criteria and classifications for swords that come as a result of their being assessed by experts. The thing to remember when purchasing Japanese swords is that they have the same quality standards as all art objects. Of primary importance is the artist himself.

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For example, a painting by Picasso will have value simply because he painted it. The second consideration is the quality and condition of the blade—even a scribble by Picasso will be worth something, but not as much as his masterworks. Worthy of consideration in determining the value of a sword is its historical importance. Was the smith a student of someone famous? Did he distinguish himself or his work in some way? Did he make blades exclusively for a famous warlord? Did he inspire many famous students? Was the sword held in a famous collection? All these things factor into determining value for a sword. Sword appraisal is a highly specialized field of study. The best thing anyone can do is contact reputable organizations and people, learn as much as one can, and make use of expert guidance. See the Valuations section below for specific information regarding sword classifications. Swords can have many different types of negative attributes. Some flaws, called kizu, are referred to as “fatal,” and virtually destroy the value of a sword. Other flaws can be overlooked. Generally the flaws that can be removed by a polisher are considered acceptable, while those that cannot be fixed by the polisher render the sword valueless to collectors. Nevertheless, swords with kizu may hold some value as study pieces. For example, the photos of the blade shown to the right are of a sword that I cherish very much, despite its flaws. It was a gift from an iaidō teacher of mine. It was his sword and he offered it to me when he retired. Cracks and chips in sword’s edges can sometimes be seen. Those that run completely through the hamon, called hagiri, are generally considered fatal. Some blades are polished too many times and, as a result, their hamon runs off the edge of the blade. This, called nioi-guri, is also a fatal flaw. When the tip of the sword is broken off and the hamon has been interrupted, the polisher cannot fix the damage. In such cases the flaw is considered fatal. On the other hand, of the tip is broken is such a way that the hamon remains, the polisher might reshape the kissaki so that the sword retains a functional hardened cutting edge. This flaw, then, is not considered fatal. There are many types of non-fatal flaws. When the sword is folded, the smith takes care to create a seamless weld. However, when inserting the core-steel, small air or carbon pockets may be created. They generally do not show up until the sword has been polished many times. The air pocket itself is called fukure. The term shintetsu describes exposed core steel and often looks like a patch of grainless steel. A fukure with shintetsu is shown in the middle image to the right. Cracks in the folds of the steel, which run along the grain lines, are called ware. Sometimes swords lose their ha-machi, or edge-notches, denoting the beginning of the nakago. This can be an indicator that a blade is tired, but is not necessarily a fatal flaw.

Valuations The process of screening and evaluating a sword is called shinsa. The main goal of shinsa is to determine several important characteristics. As the judges review a sword, several remarks and scores will be noted. The general information is noted on official paperwork called origami. The value of a sword is created by the expert’s opinion that the sword is not a fake, quality of the craftsmanship,

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Appreciating the Japanese Sword

the condition, and the ranking of the swordsmith. Other factors also contribute to the value of a sword, however, these basic traits are of paramount importance. Consequently, several organizations offer valuation services, which are important when appraising a sword. There are different organizations, all of which have different systems of ranking swords. For example, the origami from the Nihon Token Hōzōn Kai, or NTHK (one of the official organizations that perform shinsa) can include: 1. The school of craftsmanship (den) 2. Date of the appraisal 3. The Organization who is performing the Kantai (the NTHK) 4. The registration number of the sword being evaluated 5. Classification (katana, tantō, and so on) 6. The historical era in which the sword was produced. 7. Sword’s signature (if present) and whether it is a fake or not. Genuine, “shōshin” blades receive the designation as such. 8. Blade measurements 9. Remarks: includes discussion of additional information such as the province in which the sword was made. This section of the origami is where the rating of the sword is noted. Also, signature-seals of the judges are noted in this section. The NTHK uses the above criteria to determine the score for a blade. A blade’s score determines its designation. Score and designation, then, become important factors in determining a sword’s value. As noted above, there are other factors that could impact a sword’s value. Nevertheless, these scores and resultant designations are critical considerations whenever purchasing a sword. NTHK sword designations currently include: 60–69 points: Genuine—Shinteishi 70–84 points: Fine Quality—Kanteisho 85–94 points: Superior and Excellence Rank—YūshūSaku 95–100 points: Highest, Superior, Excellent Rank—Sai Yūshū Saku As noted above, the NTHK is only one of the organizations that perform valuation studies. More commonly known outside of Japan are the designations set by the NBTHK, another well-respected sword preservation organization. Using similar judging standards, the NBTHK offers the following designations for swords: Worthy of Preserving: Hozon Worthy of Special Preservation: Tokubetsu Hozon Important Sword: Jūyō Tōken Particularly Important Sword: Tokubetsu Jūyō Tōken Many non-Japanese have heard of the “National Treasure” designation, given by the Japanese Ministry of Education. The Ministry of Education has created its own classification system for swords that are important cultural assets. As such, blades with this distinction are not allowed to leave Japan and are very heavily regulated. These blades are only considered for these designations if they are of particular historical importance or made by a very famous smith. Swords in this category may have one of the following two Ministry of Education designations: Important Cultural Item: Jūyō Bunkazai (formerly Jūyō Bijutsuhin) National Treasure: Kokūhō

TOP Shown here are multiple

small kitae-ware. MIDDLE Shown here are fukure

with shintetsū. ABOVE Shown here are fukure

and kitae-ware.

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Availability of Antique and Modern Swords

Above is an example of an iaito. Iaito feature beautiful fittings and nickel alloy blades that are used to practice solo forms only and cannot be used for cutting. See Chapter 8 for more information about the practice of swordsmanship today.

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Japan had turbulent trade relations with China and Korea throughout its history. During the 1500s Japan began limited trade with the Portuguese and Dutch missionary/ trade ships. While some swords may have been traded during those times, it is during the mid-to-late 1800s that Japan saw a worldwide trade boom. In the late 1800s the samurai class faded as a result of shifting political powers and growing imperial interest in Western trade, politics, technology, and even fashion. The popular trends of the time shifted in favor of European merchandise. European clothing, luxury goods, and weapons were the must-have items in vogue among some of Japan’s elite. Japanese warriors were soon dressed in European fashion too. The quality of swords and knives produced for the massive imperial military fell sharply. Gone were the days of the old warriors and their ways. With the samurai class falling, the demand for swords diminished. The tools and fashions of the samurai declined in value and lost favor in the rapidly changing pre-modern Japan. As a result of the new trade with outside countries, Japanese swords presented an opportunity in trade as a commodity. The first Japanese swords were traded, primarily to Europeans, in the 1860s. Trade continued and swords flowed out of Japan and into Europe. Some swords came into the United States, traveling with the families that immigrated here. As exotic stories of samurai warriors spread throughout the globe, so too did interest in the enigmatic warriors and their unequaled weapons. Meanwhile, in Japan, the old arts were devalued as the nation raced to compete with modern European industry. By the time the United States entered World War II, stories of the Japanese reputation for ferocity had evolved. Gone were the samurai, true, but their legend lived on in the warriors of the imperial forces who had entered the top echelons of military superpowers almost overnight. Some swords were taken in battle while others were presented to conquering allied leaders post-battle. The great majority of swords were taken after the war in 1945. Allied servicemen were ordered to confiscate and stockpile all Japanese weapons, including swords. Countless swords were taken as troops moved from door to door, asking that the occupants relinquish any weapons that they might possess. Most were factory-made military blades. Many were priceless masterworks and family heirlooms. Meanwhile the swords were stockpiled in warehouses such as To-kyo-’s Akabane Arsenal—a tragedy. Any occupying allied serviceman could have a sword simply by asking for it. And in this way, thousands of swords came into the hands of non-Japanese. The blades returned home with the men as mementos. Some scholars assert that the servicemen’s interest in Japanese swords may have actually saved many important blades. No matter how one looks at these events, it is a dark chapter in Japanese sword history. Many important swords and family heirlooms were displaced overseas or lost entirely. The artisans who made swords were forced to stop practicing their craft. With the Japanese economy depressed after the war, and the prohibition of arms manufacture, the techniques and skills needed to produce a sword were nearly lost. In 1950 two important events happened that would set

the stage for the revitalization of sword crafts. The Society for the Preservation of Japanese Art Swords, known by its Japanese language abbreviation NBTHK, was created. In 1950 it began performing shinsa, sword evaluation and appraisals. Swords evaluated by the NBTHK could receive ōrigami, or paperwork stating the judges’ opinion regarding the quality and value of the sword. Categories and classification systems were implemented to assist in identifying and ensuring the value of a particular sword. Also in 1950, the Japanese government issued a proclamation requiring that all guns and swords be registered. Many people who had swords that were not taken, or who had come into possession of a sword during the course of the post-war mayhem registered the blades as theirs. Once owning a sword was made legal, many wanted to know what their blade or collection was worth. They turned to the NBTHK’s team of shinsa judges for appraisal. The combination of governmental registration requirements and expert analysis/appraisal breathed life into the post-war appreciation of Japanese swords. While appreciation of swords was beginning to revitalize, the practice of sword making was still illegal. The sword had no value other than as a matter of cultural preservation. Fortunately, the Japanese government and allied forces agreed that the craft of sword making was endangered (as well as many other traditional arts). In 1953 the Japanese government issued “regulations for sword manufacturing approval.” Finally, swordsmiths could apply to legally practice their craft again. The NBTHK leadership supported the resumption of sword-making in many ways. With NBTHK support, a new tatara (smelter) was built, swordsmiths applied for their licenses, and the craft of sword making was reborn. In 1955 the first public sword makers’ competition took place. The competition has been held every year since. The Japanese swordsmiths of today practice their craft both as a business and as a matter of cultural preservation. Yet the purchase and collection of Japanese swords has undergone some interesting changes in the 21st century. Technology has had a profound impact on the trade and sale of Japanese swords. But this is both a blessing and a burden. While technology such as the Internet has made communication about and sales of swords more easily done, it has also presented some major challenges. There is good news and bad news on this topic. The bad news first: Profiteers who seek to advance themselves by swindling ignorant, dreamy-eyed buyers are exploiting the sword both materially and philosophically. The days of digging an antique sword out of your dad’s basement are over, yet many believe that they will be the one to find the undiscovered gem—on eBay. Many experts report receiving numerous requests for assessments of “antique samurai swords” that they’ve purchased “at a bargain.” The great majority of them are fakes bought online (and lousy ones at that!). Ignorant buyers cite the complex “grain,” which has been acid-etched into a piece of junk steel, and the “antique fittings,” which are actually poor reproductions made to look old and dirty. Now more than ever, buyers must arm themselves with information, verify and double check their information, and proceed with caution. There are some important steps that a buyer can take to ensure the quality and reliability of their purchase.

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neighborhood of Tokyo), AOI-ART is another “must-see” for those visiting Tokyo. If you are looking for a great deal, Mr. Tsuruta’s shop may prove to be a fantastic starting point. Many martial artists are interested in swords—some modern and some antique. Those who might want a sword for practice have far more choices about where to buy a sword. Scores of martial arts teachers and students struggle with poor merchandise and even worse service from American and Chinese companies. Experiencing this problem myself, I have come to work only with a select group of Japanese manufacturers. I have seen over one hundred swords ordered from a company called Tozando (http://www.tozandoshop.com/). I’ve held each one and inspected the quality. In every case, the quality was outstanding and the price was equally impressive. For those interested in būdō gear, swords, and reproduction armor, I recommend that you start your collection by contacting Tozando’s Mr. Yamamoto. He speaks English fluently, is very knowledgeable, and is always willing to help get the “just-right” item for a customer. Remember, you get what you pay for, and when it comes to Japanese equipment, nobody has gotten it quite right other than the Japanese. Furthermore, the product quality, warranty, and commitment to customer service makes shopping Japanese worth every penny! Many Martial arts supply shops carry swords of varying ages and qualities. I have worked with many martial arts supply companies over the last twenty years. For those who want to be sure they are getting a great deal, I recommend Tozando as a starting point for any martial artist shopper. And if you find yourself in Kyoto, you should definitely stop by their store. It is conveniently located across the street from the Kyoto Handicraft Center (a tourist landmark). More importantly, Tozando is right around the corner from the Butōkūden, a historically important dojo located behind the Heian Shrine. As the examples of organizations and shops above demonstrate, there are innumerable avenues for sword enthusiasts to pursue. Whether shopping for a $700,000 museum piece, or a newly made $8,000 art/practice sword, opportunities abound. Swords are art objects. They are traded as such and are subject to market trends. When times are good, swords sell and exchange hands. When times are tight, people keep their wallets in their pockets. The sword-crafts go on though; despite international threats from charlatans who feed on buyers’ ignorance.

Meeting mūkansa-level polisher Abe Kazunori at Ginza Choshūya affords me the opportunity to view Juyo Token-level swords that he has polished.

Chapter 1

Collecting Japanese Swords Now the good news: Technology has also made communication 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 legitimate sword experts in America and, by comparison, innumerable experts in the art of scamming and misrepresentation. If you have sword-related questions, I recommend contacting Mr. Weissberg at Nihonto.com (http://nihonto.com/). For sword appraisal and polishing, I recommend Mr. Benson of www.bushidojapaneseswords.com, who can read and translate modern and ancient Japanese swordsmith signatures. Top-level Japanese polisher, Abe Kazunori, has graciously offered to assist non-Japanese with questions about sword origin, valuation, and polishing. Feel free to contact me for an introduction through my website: www.mountainwinddojo.com. There are other reputable experts, but I have had personal experience with these three men as being honest and trustworthy. Plus, these gentlemen are “in the know” regarding other legitimate sword dealers and can tell you whether you are purchasing from a reputable seller—or more importantly, if the sword you are considering buying is actually worth $12,000.

Purchasing Swords Purchasing swords from Japan can be a little trickier— unless, of course, you speak Japanese. Here I will describe three outstanding stores, all of which have English-speaking sword experts who are willing to assist you in whatever ways they can. There are posh, fancy stores, catering to very discriminating clientele, where only the finest swords, fittings, armor, and so on, are sold. An example of such a store would be Ginza Choshu¯ya (http://world.choshuya.co.jp/). While visiting Ginza Choshu¯ya in the spring of 2009, I was honored to meet and visit with Mr. Abe Kazunori, the mūkansa-level sword polisher featured in this book. This shop is a “must-see” for any sword enthusiast going to Tokyo! In top stores like these, you will pay a fair price for outstanding swords—nothing more, nothing less. Another fantastic place for the would-be collector to start is AOI-ART, also in Tokyo. The owner, Mr. Tsuruta speaks English fluently and is very helpful. Aside from the thousands of swords, fittings, and fascinating bits of metallurgical history, AOI-ART (http://www.aoi-art.com) is small and homey. It would take days and days to see and admire all the swords in Mr. Tsuruta’s store. Given that it is only a block away from the National Sword Museum in Yoyogi (a

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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 comprehensive 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 swordsmith alone. The process of manufacturing a nihōntō requires the collaboration of several independent and highly specialized artisans. Each undergoes a lengthy apprenticeship. Swordsmiths apprentice for five to seven years before receiving licensure. The sword polisher’s apprenticeship can last up to ten years, depending on the school and teacher, while the habaki maker trains for up 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 appreciated 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

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good works, and the honor that goes with a job well done. The beauty and genius of these trades emerge as we look deeper into the art and craft of the sword. This chapter reflects my journeys to Japan and meetings with sword makers and polishers. I am very honored to have been welcomed into the workshops and homes of many top craftsmen. Two, in particular, have contributed much of their time, resources,

OPPOSITE Charcoal provides consistent heat for the production of a Japanese sword. BELOW Carefully watching the fire and steel, the master smith and his apprentices await the perfect moment to work the glowing billet.

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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 hardworking 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-structure. 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

ABOVE Master sword polisher Abe Kazunori assesses a blade with careful consideration. RIGHT Broken chips of tamahagane can be stacked and forge-welded into a billet.

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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, the name “sponge iron.” Surprisingly, in Japan, it is thought that high-temperature zūkū-ōshi was the main technology of the Middle Ages, whereas kera-ōshi became dominant in later times, and remains popular today. This seems contrary to the chronological evolution of metallurgy in the West. 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.

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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.

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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 excessively 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

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LEFT The steel is refined and strengthened while undergoing the forge-folding process.

swordmaking. When tamahagane reaches Mr. Kawachi it is not ready to be made into a sword. Nor does the tamahagane resemble steel, as most readers would envision it. The raw material looks like a shiny and spongy rock. The processes involved in tanren are some of the most unique and important skills mastered only by traditional Japanese sword makers today (the other being quench-hardening). There are different ways to perform tanren; many considered trade secrets. There are several ways that a smith might begin to prepare the raw material. For example, in a process called mizū-beshi, the raw tamahagane is hammered out into thin wafers. The wafers are then quenched, making them very brittle. The smith crunches the brittle steel into smaller flat chunks about 4 cm wide. The fracturing allows them to be sorted into groups of varying carbon content and overall quality. After the raw steel is hammered out and sorted, the smith undergoes a process of refining the steel by forge-folding—the actual tanren—a process similar to kneading dough. These pieces will eventually be expertly combined into a single chunk of steel that possesses carefully controlled qualities. This enables the smith to select steel for particular applications. For example, steel with higher carbon content is better suited for the jacket of a sword. Steel with lower carbon content would serve better within the core of a blade. Groupings all depend on the carbon content, crystalline structures, amount of impurities, and degree of consistency.

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Each steel grouping will have a role to play in the finished product. Shingane, the soft core-steel (forge-folded only four to six times), serves the important function of keeping the sword from becoming too brittle. Steel with high carbon content will be very dense and rigid. This hard steel will become a jacket in which softer steel will nest. Called kawagane, the jacket steel will be folded between ten and fifteen times depending on the construction method used. In due course, these two types of steel will be welded together seamlessly. Tanren, the process of folding and refining the sword steel described above, represents the most critical aspect of the swordsmith’s work, along with yaki-ire, the quenchhardening of a blade. It is a common misconception that swords are folded thousands of times. In reality, the jacket steel is folded ten to fifteen times. This results in multiple layers being doubled with each fold. The end result is a surface-steel displaying a grain, or jihada, that is the result of approximately 1,024–32,768 layers—not folds. In most blades, these layers can be seen by the naked eye when a blade has been well polished. The slight variances within the carbon-content of the jacket steel make the folds visible. The jihada layers appear as fascinating and intricate patterns. The type of grain pattern, or hada, can be manipulated depending on the effect the swordsmith wants. Although grain is affected by many subtle factors such as the amount of carbon, the amount of impurities, and so on, the primary factor is the direction and number of folds

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ABOVE Mino sword smith Mr. Kanemichi uses a power hammer to work the steel with speed, efficiency and precision. Today, many smiths use a power hammer because young people are decreasingly interested in the traditional arts and trades. RIGHT These are two of the several methods of combining core and jacket steels. OPPOSITE RIGHT Visible here is the clay slurry that has been painted on the blade to insulate the steel during the heating and quench-hardening process. Clay application for three common temperline patterns are shown.

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the billet receives. Folding the steel, either lengthwise or perpendicularly, in relation to the final direction in which the sword will be lengthened, creates differing grain patterns. One of these, masame, resembles an elongated wood grain pattern, which runs the length of the sword. A common form of steel structure is itame, which looks like a swirling and knotty wood grain. Both itame and masame can be created in varying degrees and sizes. Others such as ayasugi (undulating grain) or mōkume (burly grain) can also be seen.

Assembling a Sword’s Component Steels The first steps of making a sword involve refining and preparing the raw materials in order to make them usable. Next, during the tsūkūri-kōmi process the billet is assembled combining carefully prepared steels—each with differing carbon content. There are several construction methods for combining the hard jacket steel with the tough core steel. Some use two pieces, some use up to five. 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

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ABOVE The billet is elongated until it becomes a sūnōbe—a flat blank without a profile.

Japanese swords so unique, distinguishing them from their celebrated Toledo or Damascus counterparts. Four and five-piece billet assemblies are another option. Such blades integrate steel of low, medium, and high hardness. Some believe that these more complex billet designs create a superior blade.2

Elongating the Billet Assisted by his apprentices, or for those working alone, using a power hammer, the smith hammers out the billet and it gradually becomes elongated. The smith pounds a cadence with his mallet and turns the billet underneath the apprentices’ hammers. A steady tempo of hammer strikes creates a rhythm that helps create a smooth collaboration between the smiths and his apprentices. If hammering were to accidentally push through the kawagane to the shingane, exposing the core steel, it would ruin the blade. So the hammers pound steadily and carefully, in a mesmerizing rhythm to create the sword blank, or sūnōbe, with precision and care. The geometry of the sūnōbe is tapered and rectangular. At this point the metal is long and more or less rectangular when viewed as a crosssection, as if it were cut from a sheet of steel. At this stage the sūnōbe appears to be one solid and seamless bar.

Creating the Profile The process of hammering the sword blank into a profiled rough blade is called hi-zūkūri. The swordsmith works to shape the various surfaces of the blade a few inches at a time. Any mistake at this point would be difficult to correct. So as the sword progresses, there is less and less room for mistakes. When this stage is completed, the makings of what will become the distinctly Japanese sword shape emerge. When hi-zūkūri is completed the blade is still straight. The shape and geometry of the blade are further refined using waterstones, files and drawknives made from hardened steel. Although the edge is still a blunt 2–3 mm thick, the filing and cutting away of inconsistencies leaves the sword looking quite exact in its geometry—a critical

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BELOW The blank has been hammered into a rough blade

profile—a process called hi-zūkūri.

prerequisite for the next step. When all the lines are correct the smith is ready to proceed with creating both the curve and performing the heat treatment: he can proceed the yaki-ire process.

Quench-Hardening the Steel When steel is heated above a certain temperature and then quickly cooled, its carbon atoms don’t have the time to travel out of the unstable molecular structure that higher temperatures allow, and are locked within, giving way to a highly stressed and hardened material. In the craft of sword making this phenomenon is used in the selective hardening of a sword edge. This process in sword making is called yaki-ire. The difference in hardness between the edge and the body of the blade allows the creation of the hardening mark, or hamon. The carbon content of the steel along with the rate at which the steel cools dictates the hardness that it will attain; the higher the carbon, and the faster it cools, the harder the steel. By allowing the steel at the edge of the sword to cool more quickly than the steel on the sides and back of the blade, a differential is created. The edge steel is extremely hard, whereas the jacket/sides remain only moderately rigid. Meanwhile the soft core prevents the blade from becoming brittle. The creation of a hamon is a delicate and complex task that must be approached in an exacting manner. Due to its beauty and mysterious flowing appearance, the hamon is one of the most distinctive elements of nihōntō. Volumes have been written on the subtle effects that have been created by different smiths over the millennia. The names of such effects liken their beauty to awesome elements of nature, from the brilliance of stars in the night sky to the esoteric allure of rising lightning. In one common way to create the hamon, Mr. Kawachi paints a clay slurry onto the blade, which acts as an insulator. The thickness of the clay dictates the rate at which the steel will cool and thus the extent to which it will harden. The clay is applied thickly at the back of the blade and thinly near the edge. The slurry is applied in such a way that the different thicknesses produce a pattern that will become

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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 swordsmith’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 simultaneously 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.

ABOVE After quenching the

blade, Mr. Kawachi removes the clay and examines the newly created hamon on the steel.

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the hamon. These patterns can be relatively straight (sūgūha), semicircular waves (gunome), elongated waves (nōtare), or made to look like clove buds (cho-ji), to name a few. When the slurry has been applied, the blade is ready to be heated and quenched. Mr. Kawachi heats the blade very carefully. The color of the glowing steel indicates the temperature, so the quench-hardening is done after the smithy has been plunged into darkness. Different effects can be created depending on slight differences in temperature on different surfaces of the blade. One wrong move and the sword could come out of the process fatally damaged. So it is with a careful eye that the smith watches, awaiting the perfect opportunity to quench the blade by dunking it into a trough of water. At the precise moment, Mr. Kawachi decisively thrusts the blade into water. With a quick hiss and bubble, the hardened edge is produced. The sword’s metamorphosis during this moment is astonishing. First, the edge steel cools, quickly bending the blade’s curvature against the edge—in the opposite direction that it should go. Then, as the back of the blade cools and contracts, the curvature actually reverses creating the edge-forward shape. As a result of this process, the blade, which was nearly straight, now has an elongated edge. The graceful and deadly curve of the distinctive nihōntō is born. Removing the clay

The Polishing Process A professional, certified mūkansa-level tōgishi like Mr. Abe is a craftsman of the highest order. The tōgishi’s time is incredibly valuable. The polisher must use his expertise to determine the proper course of action for any given blade. Polishing a newly made sword can take nearly two weeks. The waiting list for a mūkansa-level tōgishi like Mr. Abe can be years long. The stones themselves also warrant appreciation. Stones used in polishing swords are extremely expensive. In ancient times, they were prized gifts offered among feudal lords. Top polishers like Mr. Abe spend untold fortunes on innumerable stones. Each stone will interact with steel differently. Each sword will require a slightly different stone to highlight its beauty. Therefore, most sword polishers have large collections of stones. The process of polishing a nihōntō is extremely demanding in time, knowledge, and physical skill. Mr. Abe has allowed me to incorporate material from our interviews, his writing, and his collaboration with Paul Martin for the purpose of accurately illuminating the polishing process. Polishing a sword can be broken down into two main processes. The first process, foundation polishing (shita-ji-tōgi), involves refining the shape of the sword by rubbing it over a series of stones. The second, finish

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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 fingerstones 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

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each changing stone, the sword is worked in varying directions, slowly and with great care. Too much pressure, or removing too much material could result in damaging the blade badly. The shaping of the blade is complete when the surfaces have been polished and the lines of the blade are geometrically correct. The stones used for refining the blade’s surfaces are called kaisei, cho--nagura, and kōma-nagura. In refining the surface, all marks made during previous stages must be removed completely. To assist this, Mr. Abe marks two spots on the surface of the blade using ground deer antler and uses them as visual markers to guide his polishstrokes. Working the blade in alternating directions, this process slowly reveals the first glimpses of the hamon. With the surfaces refined, the polisher can move to the next step, using the ūchigūmōri stones. The purpose of the ūchigūmōri stones is to start bringing out the blade’s artistic qualities. From this stage on, the shape and sharpness of the blade remains unchanged. Using the ūchigūmōri stones serves to reveal the grain structures by further removing scratches left from previous stones. Two stones and sub-processes are used here; the hatō and jito. The hatō stones are used mainly on the hamon with sparing application on the rest of the blade. Mr. Abe explains, “the brightness of the niōi-guchi, the length and visibility of the ashi and hataraki in the ha, all depend on the effectiveness of the hatō polishing stage.” While the hatō stones improve the areas within the hamon, the jito stones are used to further refine the

jigane, or grain-showing areas behind the hamon. Again, Mr. Abe clarifies this process saying, “As the jigane [grain properties] is different in all periods and schools, it is necessary for the polisher to bring out the characteristics associated with those schools.” The jito stage is the final process in which the blade is moved over the stone. When the polisher completes his initial work with the blade it goes to the kōshirae/habaki maker, yet another highly skilled and specialized craftsman. The habaki must meet very exacting requirements. The habaki is not only functional, but aesthetically beautiful as well. It serves to wedge the sword safely in the scabbard by pressing outward on the inside surfaces of the opening, or the koigūchi’s habaki-būkūrō (habaki-bag). It also helps to keep the sword’s surfaces from scraping along the insides of the saya. If other fittings are required, they would likely be made and fitted by another craftsman. When the fittings are complete they would be delivered to the saya maker for inclusion and fitting onto the overall scheme of the furniture. The saya maker is responsible for providing a resting place for the sword. The saya must be a good fit, not allowing the blade to rattle around inside. If the saya is made too tightly, however, the blade’s surface will be scuffed, ruining the polish. The scabbard is made of hōnōki wood, the Japanese equivalent of magnolia. The primary reason hōnōki wood is used is that it is soft enough that it won’t scratch the polish of the blade. 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.

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for a perfect fit and has low sap content.4 All of these traits make hōnōki the best choice for storing and preserving nihōntō. When the wood is selected for saya making, the craftsman avoids irregular, knotty or gnarled pieces. The general outline of the saya and tsūka are cut out of the board as one long form. This creates a rectangular, but curved “blank,” from which the saya and tsūka will be cut. The blank is then cut down the middle lengthwise to create two halves. Each half is smoothed and prepared for chiseling. The bare sword blade is used to trace an outline on each half of the scabbard/tsūka blank. Using the outline of the sword, the saya maker carefully chisels ribbons of wood out of what will become the hollow of the scabbard. He repeats the process of hollowing out half-a-blade’s-width out of the other side. When the two halves are hollowed out, the saya maker glues the halves together with a weak rice glue, which allows future splitting for maintenance. The same process is repeated for the tsūka, creating a custom, tight fit. When the tsūka is glued together the mekūgi-ana is drilled, and the mekūgi is positioned so as to hold the sword in the tsūka. The two halves, with the blade inserted, are then sealed together. With the pieces all assembled, the craftsman scribes lines down the length of the tsūka and saya. He uses these lines to carve and shape the outside of the tsūka and saya. In the case of a storage shirasaya, the finished shape can be octagonal or oval. If kōshirae are requested, the saya maker is one of the many craftsmen who could accommodate them into his

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design and fit them onto the finished product. The saya may require lacquering and possibly other decorative additions. All of the sword’s fittings must be carefully chosen for the finished product. Generally speaking the kōshirae follow an elegant theme and are designed to be used as a set. Swords whose fittings have been retrofitted and consequently have the design themes interrupted are considered to be less appealing.5 Everything from the application of same (belly skin of a ray) to the wrapping of the hilt, or tsūka, is considered to be essential to the completion of this piece of art. Whether the blade will receive a shirasaya or full fittings, once it has been furnished, it will be returned to the polisher for the final polishing stages. Shiage-tōgi: From here on, the polisher will hold the blade and carefully move small finger-stones and tools over its surfaces. Here, the fine-art qualities emerge slowly. These processes require careful selection and application of stones for a given blade. Any mistakes at this stage would likely require the polisher to go back several steps to reset the surface. Shiage-tōgi subtasks include: a. Working with the jizūya stones, b. Applying nūgūi solution, c. Hadōri, d. Migaki (burnishing), and e. Finishing the tip with sūjikiri and narūme. The jizūya process is known for its application of finger-stones. Here, Mr. Abe takes wafer-thin pieces of narutaki and cuts them into miniscule pieces. See photo 5 below. Carefully transferring them onto 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.

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explains, “The brightness of the jigane, and the fineness of the hada is obtained by the quality, hardness and thickness of the age-jizūya used. To bring out the subtle characteristics of a fine hada is of great importance to the finished polish. The polisher has to know when to stop bringing out the hada or it will become too prominent.” He indicates that it takes a great deal of knowledge and experience to know what stone to use and how long to use it to bring produce a fine hada. The next step in the polisher’s task is to apply an ironoxide and clove oil solution called nūgūi. This mixture is dabbed along the length of the blade and then rubbed into the steel using a cotton ball. See photo 8 on the previous page. The purpose of this is to homogenize the color of

the jigane and give the correct tone to the steel. The school, era, and type of the sword are all factors that must be considered when determining how much nūgūi to apply. Nūgūi will not brighten the blade so it takes experience to know what is the right amount. The waves of the hamon are the accentuated by the polisher. Here the polisher must decide how he will enhance the overall flow of the real hamon. Whitening the area of the hamon is called hadōri. This process also highlights the crystalline structures, called niōi and nie, making them bright and clearly discernable. Mr. Abe explains, “Every hamon follows a rhythm or melody line that is indicative of the smith that 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.

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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. These surfaces are polished similarly to the hiraji—the section between the ridgeline and the edge, but require a final step of burnishing, or migaki. Burnishing the surfaces is accomplished by rubbing a hardened steel tool over the sword-steel surface using great pressure. See photo 12 on page 42. Ibōta powder, a waxy substance made from the excretions of an insect, is used to help promote the fluid movement required for burnishing with the steel tool.6 The tip is last to be polished. Two processes are used: sūjikiri and narūme. Sūjikiri is the process of delineating the tip by creating the yōkōte line. In photo 13 on page 42, Mr. Abe demonstrates how he uses a small spatula to push a hazūya stone back and forth against a straightedged guide. The final process in finishing the tip is to give it a polish. A tool called narūme-dai cushions the downward pressure of the blade as he draws the tip perpendicularly across a hazūya stone. See photo 14 on page 42.

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From that point forward the kissaki should have a hazy gloss compared to the bright shine of the hiraji. The end result is a remarkably strong, functional, and beautiful sword, to be prized and handed down through one’s family for centuries to come. With the work complete, the sword is finally ready to be signed by the smith. Soon after, a thrilled new owner will collect his much-awaited treasure. Heart pounding, the thrilled patron receives the new blade. Within the sword resides the spirit, sweat and genius of those who toiled in its creation. When appreciating the understated beauty of a completed nihōntō, the genius of the Japanese swordsmiths becomes evident. With humble beginnings of iron-bearing sand, the completed nihōntō simultaneously shines outwardly and inwardly. Mr. Nitobe illustrates the sword’s beauty by writing that the nihōntō is: “perfect as a work of art, [defying] its Toledo and Damascus rivals… Its cold blade…Its immaculate texture, flashing light of bluish hue; its matchless edge, upon which histories and possibilities hang; the curve of its back, uniting exquisite grace with utmost strength.”7

ABOVE AND BELOW Many habaki, both historical and modern, display decorative markings.

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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.

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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.

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A Brief History of the Japanese Sword and the Importance of Polishing Although there have been a great variety of arms in the world since the dawn of history, none of them have been preserved like Japanese swords. Originally made as killing weapons, Japanese swords have a beauty that derives from the easily rusting steel they are made from. Considering the steel rusts so easily, it is surprising that many excellent blades have been passed down and preserved to this day by various individuals, shrines and eminent Japanese families. As professional appraisers of swords appeared around the Muromachi Period (1332–1573), it can be assumed that swords were appreciated for their artistic qualities. As it was also from this period onwards that advancements in polishing techniques developed. In the early Edo Period, Hon’ami Koetsu began the family business of polishing and appraisal. The Hon’ami family became eminent and the quality of their polishing and appraisal was greatly sought after by the shogunal family and other daimyo. The Hon’ami school took their accumulated knowledge and transmitted through the generations while constantly improving polishing technology, raising the sword to the status it has today. However, following Japan’s defeat in 1945 at the end of the Second World War, Japanese swords faced a major crisis. The Allied Occupational Forces issued a decree that all weapons would be confiscated from the Japanese people. This decree included swords. Kanzan Sato, Kunzan Honma and some other eminent scholars petitioned General Headquarters (GHQ) every day until the order was rescinded. In some cases it was too late. Some masterpieces were never recovered, some swords were melted down in blast furnaces and some were dumped into the sea. (This episode is recorded in the book, A Guide to Appreciating Japanese Swords by Kanzan Sato). However, I am deeply grateful to Mr. Sato and Dr. Honma for helping GHQ realize the cultural importance of Japanese swords, and General Douglas MacArthur’s decision not to break the lineage of the emperor. After the Allied Forces left Japan, sword makers returned to making swords, often aiming at recreating the old masterpieces of the Kamakura Period. It would appear that other cultures regarded weapons as merely tools. We Japanese believe that a soul resides in everything, be it tools or arms. Thus, Japanese swords came to be treated as sacred objects. This belief can be exhibited in the story of

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the Japanese baseball player, Ichiro. One of his Seattle Mariners team mates sat on his catcher’s mitt. Ichiro, infuriated by his teammate’s disrespect for his glove, scolded him soundly. The maker, related craftsmen, and owner of a sword all feel that they have put some of their spirit in it. Therefore, the Japanese sword is regarded as a spiritual object of artistic importance. I think that the relationship between swordsmiths and polishers can be compared to that of composers and musicians. Using this analogy, I will try to explain the skill and importance of Japanese sword polishing. I believe that Japanese swords have a powerful appeal that leaves one with an intangible impression in the same way that people appreciate fine entertainment or music, such as the traditional Japanese arts of kabūki, nōh, and rakugo. Other examples include, Japanese traditional music such as koto, traditional Japanese flute, shamisen or the Western equivalents of ballet, classical music, opera and so forth. Although many masterpieces were composed in past eras, they have been played many times by great performers and players of every period. Even though they are performing the same pieces, some performers excel more than others, but it is the intangible beauty that moves us deeply. In my analogy, I see the swordsmith as the composer, and the polisher as the performer. The finished condition of the jigane (the steel used form the hada) represents the performer’s tone, and the hadōri (a technique used to highlight the hamon) is the melody line that follows the rhythm of the composition. It is we polishers who must highlight the technical skill and soul of every sword maker’s work, of every period, for future generations. However, in addition to displaying the sword’s important appraisal points, I also must consider how best to exhibit the blade’s beauty. In doing this, I use the same kind of aesthetic that is also found in the Japanese way of tea, flower arranging, and incense-fragrance connoisseurship. It is said that this is the age of science. However, I think that the importance of the polishers work is to continue the traditions of the previous generations, and pass on the skills and techniques of using natural tools to future generations. The natural tools used are the polishing stones. Due to Japan’s topography, polishing stones have been formed here that complement every single

type of grain size. Among these are stones that are mined from the Kyoto mountains. It is thought that these stones were formed on the seabed of volcanic islands far south of the Japanese archipelago, close to the Philippine tectonic plate. Over the course of billions of years they were gradually pushed up to form Kyoto’s mountains. Theses stones have an extraordinarily fine grain. Modern science is still unable to create stones that can produce beauty in the steel such as these. The natural stones used for finish polishing are very important for they bring out the sword’s jigane to its full potential. Master polishers aim to create a surface texture referred to as uruoi. This term means lustrous. Obtaining this condition is important as it adds a dimension of natural beauty to the steel, as if the steel is fresh and alive. As we humans are creatures of the natural world, it is only natural that we find this beauty very appealing. This appreciation of nature can also be seen in Japanese ceramics. Many examples are admired for the changes to them that occurred naturally inside the kiln. Ceramics that have become asymmetrical in the firing process are sought after, and can command higher prices. The same concept applies to Japanese swords. They are artificially made objects, but the hada, and the hamon brought out in the instant of the quench cannot be artificially controlled. It is this exquisite element of natural beauty that deeply moves sword enthusiasts. Occasionally I come across swords that I polished early in my career. I am disappointed by some of them, but there are others that impress me. Although I was lacking in skill, I am pleased with how diligently I worked on them. To me, this is evidence that some of the polisher’s spirit goes into the work. When I was young, I met the master polisher Ono Hiroshi. The first words that he said to me were not about skill. He advised me, “Improve your character.” Although skills and tools are very important, they alone are not enough. I think his advice means that polishers must be of a noble character, as it will be reflected in the finished swords. I never feel that my work is perfect, but I would like to pass on the feelings and skills of our ancestors to a successor, and in so doing, convey them to the future generations. Abe Kazunori Master Japanese Sword Polisher

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Spirituality in the Sword Craft The issue of spirituality and sword-making is a deeply personal one. Just as each person viewing a sword will have a unique opinion of a blade’s symbolism, so too will each craftsman. In the end, the relationship between a craftsman and his spiritual beliefs is just that: Something personal; between the craftsman and his craft. Yet fascinating symbols abound. How are we to interpret these symbols? I would argue that to truly appreciate the personal nature of these matters is to allow one’s own belief to be sufficient. Nevertheless, some discussion of symbolism in swordmaking is warranted before this text proceeds with a detailed discussion of the Japanese sword in terms of history, iconography, metallurgy and modern practice. When considering the importance of the blade in warrior culture, one need only to look to the famed sūken hōrimōnō, symbolic sword images carved into the surface of real blades. So powerful were the sociological and spiritual implications of this god-given tool that samurai went so far as to carve images of symbolic swords into the steel of their real blades. The significance of these images cut forever into the surface of the steel is paramount and illuminates the belief structure of the samurai. As we will see in later chapters, the sword was not the only symbol that the samurai revered. The gleaming surface of the blade reveals not only the reflection of the samurai, but also that of the deities they venerated. In the Japanese Shinto faith “everything, be it mountain, animal, or tree has a kami [spirit]: the story of creation accounts for this belief.”8 It is from this vantage point that the many samurai cherished their weapons. Because the sword was borne by the gods and then given to mankind, it is believed that the sword embodies the substance of the entire universe. The sword is the primary weapon that exists in both our world and the spirit-world of the Shinto gods. Swordsmiths acknowledge and show respect to their blades in profound ways, an observance of cosmological principles of balance and benevolence. The sword itself can be considered a teacher of sorts; a companion whose principles guided the samurai, both ancient and modern, to new understandings of truth. Shinto has permeated many facets of Japanese culture, from its conception to the present day. Sword-related arts may be understood to exemplify this concept. Some modern swordsmiths such as Gassan Sadatoshi, the Headmaster of the Gassan school, undergo Shinto religious ceremonies, such as: prayer, cleansing rituals, and offerings to ancestors and deities, before undertaking their craft. The soul of the blade is believed to enter the sword at the

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moment the hamon is created. At this moment, the cleansing forces of fire meet the purifying properties of water and the sword’s soul is born. The sword emerges from the water changed. With this spirit, the sword now appears curved and complete. According to Gassan Sadatoshi, mūkansa-level smith, and son of National Living Treasure Gassan Sadaichi: If the swordsmith fails to purify himself or his smithy, evil kami can enter both the sword itself as well as the smithy. This could result in the production of cursed, or evil blades, meant only for killing. If, on the other hand, the swordsmith is righteous and purifies himself and his smithy, he may produce blades that live up to their highest potential.9 From its earliest stages, a Japanese sword is designed for both function and philosophy: the sword that takes life and the sword that gives life. Other craftsmen hold entirely different viewpoints regarding the spiritual aspects of swordmaking. Although fellow smith Mr. Kawachi also holds the title of mūkansa and studied under two National Living Treasures (Miyairi Akihira and Sumitani Masamine), he considers himself more of a craftsman than a holy man. He too believes that his work must be exceedingly excellent in both form and function. He too believes that the sword holds an important symbolic place in the Japanese ethos. Yet he views his craft with an eye for the functional. His philosophy is one of simplicity, hard work, and achieving greatness not through elaborate ritual ceremonies, but by the simple combination of fire, water, wood, iron, sweat and dedication. For Mr. Kawachi, this is the path to honoring the spirit of the sword. His humble matter-offact relationship with the craft of swordmaking, in-and-of itself, reflects a very personal spiritual connection to his craft. In some ways, Mr. Kawachi’s attitude—a joyful, intense, and sincere simplicity—is even more inspiring than the complex and convoluted ritualistic beliefs of other craftsmen. It cannot be questioned that the craftsmen and processes involved in creating a Japanese sword are inspiring. A completed blade is not only considered to be a work of art, but a collaboration by all involved to produce a sword of spiritual gravity. The steel is more than steel. The fittings are more than fittings. Even the symbolism is more than mere symbolism. These are all expressions of a culture deeply embedded into an object that is both a tool and a symbol. Holding a masterwork is an awe-inspiring experience. The cold steel seems to practically vibrate with energy. From the sweat of the craftsmen to the spirit of the divine, the sword truly embodies the culture of Japan.

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ABOVE This tsuba depicts a Shinto torii gate. It is said that passing through a torii gate is a purification in itself. Perhaps the samurai who owned this tsuba believed his blade to be purified as he slipped the fitting over his blade. BELOW Charcoal fire brings both life and purification to the Japanese sword. BOTTOM The sūken hōrimōnō on this blade features a straight, double-edged sword with a vajra (Sanskrit for “thunderbolt”) hilt.

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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 sociological, 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, folk faiths, and the role of the sword in ancient Japan. Japan’s nativist religion, Shinto is introduced. It is important to note that what is now called Shinto is largely a modern creation. Early nativist Shinto varied widely from region to region, so the homogenous Shinto shrines we see today are merely a pale reflection of the actual early spiritual practices of Japan’s earliest inhabitants. Nevertheless, Shinto creation mythology offers the earliest glimpse into the spirituality of the Japanese. Here, we are introduced to Japan’s earliest sword-wielding deities—the first deities that shaped the philosophical preconceptions of Japan’s emerging warrior-rulers. Also examined is the close relationship between Shinto and the craft of sword making. The smithy is an exemplar of form and function. Yet hidden among the, tools, furnace, stones, and charcoal, there are reminders of Shinto’s critical role in the craft of sword making. Unfortunately, few blades remain from Japan’s earliest times. But as we will see, the seed had been sown, and every generation for millennium to come would be shaped by this, the first encounter, between the supernatural and the sword. The most magical and spirited legends through the ages originate from stories of swords and those who wielded them. These stories of swords and warriors became an integral part of Japan early in its history. After all, Japan has a staggering history of political turmoil and social upheavals. Thus, the study of Japan cannot be separated from the study of the sword, because Japan’s turbulent history and the evolution of the sword go hand in hand. As technological advances occurred within the field of metallurgy, they were quickly put to the test on battlefields. There was a need for tools of warfare, and the feedback from technological advances was both immediate and constant, as it influenced the evolution of Japan. After a brief discussion of sociological undercurrents,

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this chapter will refocus on creating a basic awareness of the main periods in Japanese history in connection with the evolution of the Japanese sword. It is important to understand how political and social factors affected not only the blade, but as we will see in later chapters, the mind of the swordsman as well.

The Jōmon Period (10,000–300 BCE) The earliest people to inhabit Japan are thought to have immigrated to the land on a land bridge connecting mainland Asia to what are now the Japanese islands. Given that Chinese writing systems were not imported until the fifth century CE, no written accounts and little factual information have endured for us to study of this time and culture. The Jōmon Period is so named after the pottery technique that has been dated as far back as the Neolithic Age (6,000 years ago), which has distinctive, “rope patterns.”1 Other distinctive pottery styles have also been dated to the Jōmon Period, indicating the existence of multiple independent societies among the islands. These remainders of simple earthenware represent some of the oldest pottery of any ancient civilization. The Jōmon used rudimentary tools for hunting, fishing, and even farming as early as 5000 BCE.2 Among the burial cites, along with sparse skeletal remains, archeologists have also uncovered iron knife blades and hand axes.

The Yayoi Period (400 BCE–300 CE) The people of the Yayoi Period are distinct in many ways from the preexisting Jōmon peoples. The Yayoi established permanent village sites throughout southern Kyushu and northern Honshu. The Yayoi culture flourished by farming rice in shallow, water-covered fields or paddies. This offered a consistent food source while essentially anchoring their villages to the paddies. The Yayoi Period is where we see the first glimpse of swords in the Japanese isles.

OPPOSITE A samurai is depicted in this woodblock print defending himself against a two-front attack with the longer (the katana) of the swords in his daisho set. PREVIOUS SPREAD Detail from "Fujiwara no Yasumasa Playing the Flute by Moonlight, a Painting Shown at the Exhibition for the Advancement of Painting, Autumn 1882" by Yoshitoshi, courtesy of Arendie and Henk Herwig.

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The Kofun Period (250–538 CE) The term kofun, refers to the burial mounds created by the people of that period. This era is also marked by the strong emergence of animism, the belief that everything contains divine spirits, which predates the introduction of Buddhism into Japan. The earliest steel swords, which were certainly designed for function in battle, were retrieved from kofun burial mounds between 300 and 710 CE. It is known that the Chinese craft of working steel into blades came to Japan by way of the Korean Peninsula. Japan offered fertile ground for this technology. Fueled by constant warring, there was an ever-increasing need for the development of military technologies. Kofun Period warriors were not samurai per se. Instead, they were the military elite of early clan groups. Similar to many early clan-based societal structures, the clans of early Japan were comprised of extended familial communities. Leadership of the clan was generally passed down

hereditarily. As some families became more powerful than others, they vied for power, influence, and wealth all the more. This fueled the ongoing development of tightly-knit clans and subsequent social structures. Those who were most effective in waging war rose to the top echelons of influence. As successful families rose to power they annexed and assumed control of outlying clans and territories. In this fashion the warlords of early Japan were born. Over the course of centuries, a way of life emerged that served as the foundation for Japanese society. Loyalty and servitude evolved as matters of paramount importance within these early communities. These were matters of necessity, as warlords were fearful of defeat, particularly as a result of betrayal. It was in the leader’s best interest to reward those warriors who could be trusted to serve on the battlefield with valor and courage. Likewise, it also behooved clan members to comport 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.

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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 As mentioned, Japan’s native religion is Shinto, the “Way of the Gods.” Shinto is a brand of animism, a spiritual belief that within all things resides a conscious spirit. Shinto teaches that all elements within the universe hold either gods or their spirits, which are called kami. Shinto worship centers on self-purification, ancestral worship, nature-worship, and imperial divinity. Its observances are often simple and understated, venerating ordinary objects and particularly beautiful aspects of nature. The simplistic nature of this faith is reflected in the translation of the word kami, which is simply “up.”3 Shinto mythology offers some of the earliest Japanese writing that incorporates the sword as a symbol. It is important to note that according to Shinto beliefs one may sense earthly kami, but not see or hear them. Many of those who have held a genuine antique sword will attest to a feeling that the blade is emanating energy, though it is an inanimate object. Many believe that a samurai sword has the power to inspire its owner, imbuing its own energy into its possessor. The blade is also an unnerving and mysterious thing. In the context of Shinto and Japanese culture, this is seen as a manifestation

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of the kami within the sword. This is understood by Shinto practitioners to be proof of its power as both a metaphor and tool. The sword’s transition from instrument of magic into a functional tool for making war represents the first stage in the evolution of the sword. Although the use of the sword changed in this early time, the magical forces of the sword remained at the forefront of the warrior’s mind. The use of the blade would forever be shrouded in mysticism, magic, and the influence of the spirit world. Historical accounts reinforce the transfer of magic from the ancient bronze blades to later steel blades. Strategies as outlined in the Nihōngi, one of Japan’s earliest written documents (described later in more detail), offer an example of the continued influence of the gods in the battles of men. The Chinese term jimmu (divine valor), was given as a title to the man who would become the first emperor of Japan. His Japanese name was Kami Yamato Ihare-biko. According to the early texts, he was the son of Tama-yorihime, daughter of the sea-god. Therefore, his efforts in battle were supported by local deities, who recognized him as the descendant of the supreme sun goddess Amaterasuwo-no-Omikami. He conquered the Yamato area and

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ABOVE Even today, Shinto practices are still a part of modern Japan.

built a palace at Kashiha-hara. Traditionally, the Japanese date their history from the day Kami Yamato Ihare-biko assumed the title of tennō (heavenly child or emperor).4 The Yamato family and its descendants have remained in the imperial office ever since. Their continued power and authority was taken as evidence of their divinity. It is believed that the gods favored the Yamato clan on the battlefield. Through divine inspiration, they recommended that they march into battle with the sun behind their troops. This was seen metaphorically as a tactical advantage that was the result of having the sun goddess Amaterasu-Wo-No-Omikami on your side. With the supreme goddess behind you, your enemies would be blinded by her radiant beauty and therefore, be easily slain. From a more practical standpoint, however, having the sun behind you obscures your enemy’s vision. Again, we see a connection between the practical and spiritual sides of the warrior. It is important to recognize that this was a societal phenomenon with undercurrents shaped by the sword. From the earliest times in Japanese folklore, swords have played a role of particular importance. Because the sword was a prominent symbol in Shinto mythology, it occupied a special place in the heart of the samurai. Like most ancient belief systems, Shinto describes our world as an interplay between the tangible and the supernatural. The mythological tales of Shinto legend offer detailed recount of how the gods, Japan, and the Japanese people were created. In this text, a focus on the beliefs and iconography relevant to the sword will suffice.

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The Sword’s Role as an Imperial Icon According to mythological and modern accounts, the sacred Grass-mower sword, along with the mirror

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and curved jewel, is said to be in possession of the imperial family. These symbolic and magical treasures were given to Takami Musubi by his grandmother Amaterasu. He was sent to live on earth accompanied by the 60 million deities who obeyed Amaterasu’s divine decree. It is believed that the imperial regalia have been handed down through the generations to remind emperors of their divinity and to encourage virtuous rule. Taking the mirror in her hand, Amaterasu spoke, “When thou, my grandchild, lookest on this mirror, it will be as though looking at myself. Keep it with thee…as thy holy mirror.”5 She then added the mirror and the Sword of the Gathering Clouds, saying, “Illumine all the world with brightness like this mirror. Reign over the world with the wonderful sway of this jewel. Subdue those who will not obey thee by brandishing this divine sword.” The items of the regalia of the imperial house each represent benevolent attributes of a good ruler and the goddess’s commands indicate the proper methods of governing the country. Her gifts serve as symbols for both the emperor and his subjects alike. The mirror does not possess anything of its own, but lacking self-serving desires, it reflects all things, showing their true qualities. It represents the source of all honesty. The virtue of the jewel lies in its gentleness and submissiveness; it is the source of compassion. The virtue of the sword lies in its strength and resolution; it is the source of wisdom. Unless these three qualities are joined in a ruler, he will find it difficult indeed to govern his country.6 Together, the regalia symbolize the emperor’s role as a leader of celestial authority, reinforcing his rule with the wisdom of the gods manifested on earth. In regards to the symbolism of these Shinto legends, the sword carries more influence as a representation than

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as a tool. The sword, when applied as a tool, may only cut one into two. As a symbol, however, it can “cut” many into one; creating union by imposing social order. Another way the sword can be said to cut its target into unity is by reconciling the swordsman with his duty. An affirmation of such Shinto reverence for the sword as a metaphor can be seen in modern Shinto rituals. Incorporated into the movements of a Shinto priest are cutting motions. Shinto priests make a harai movement, based on the cutting motions of the tsūrūgi (double-edged cutting sword commonly seen in Shinto mythology). This harai motion comes directly from sword techniques.7 The nexus of swordsmanship and religion is a fine example of their mutually constructive influences. The warrior likely experienced these sociological factors as flowing together in a collective pool of tradition. Indeed, each has made lasting impressions on the other.

Shinto Stories of Sword-Wielding Deities The earliest recorded histories of Japan come from two books: the Kōjiki (Record of Ancient Matters), written in 712 ce, and the Nihōn Shōki (Chronicles of Japan), written in 720 ce. These texts codified what had previously been transmitted orally. These records speak of Japan’s creation mythology and explain the divine workings of the cosmos. The language of these chronicles leads the reader to appreciate the sword, indeed every object, as being of spiritual consequence. When holding a powerful instrument such as a sword, it is easy to see why Shinto attributes kami to the sword. Tales in the early texts portray such wisdom and truth-giving abilities. As one reads the Nihōn Shōki, the words resonate with a moving eloquence, leading the reader to appreciate the legends’ depth.

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Susa-no-wo-o-no-Mikoto In one account found in the Nihōn Shōki, the supreme sun

ABOVE Torii gate on the ocean.

goddess Ameterasu, suspecting her brother Susa-no-wo-ono-Mikoto (hereafter abbreviated to Susa-no) of malice against her, slung onto her back a thousand-arrow quiver and a five-hundred-arrow quiver.

principle deity in Shinto mythology, shines through the giant torii gate in front of the Heian Shrine in Kyoto.

ABOVE LEFT The sun, a

Brandishing her bow end upwards, she firmly grasped her sword-hilt, and stamping on the hard earth of the courtyard, sank her thighs into it as if it had been foam-snow.8

Seeing her anger, Susa-no entered into conciliatory action. To prove his innocence, he offered to produce male children with her. Upon this Amaterasu... asked for S[u]sa-no’s ten-span sword, which she broke into three pieces, and rinsed in the true well of heaven. Then chewing with a crunching noise, she blew them away, and from the true-mist of her breath gods were born…three daughters in all.9

In this account, the sword is broken to give life to gods, and the three daughters proved Susa-no’s intentions to be evil. The sword is the means through which truth is ascertained, a powerful lesson for Susa-no, but even more so for the reader who comes to see the sword as a symbol for truth. The next account of the sword as a symbol in Shinto mythology comes when Susa-no regains his good name among the gods. Having misbehaved to the displeasure of the assembly of deities, Susa-no finds himself again banished to the netherworld, below the heavens and below the Central Reed-Plain Land (Japan). On his downward journey he hears the sound of crying and stops

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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-noMikoto 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.

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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 Idzu-mo yaegaki: Tsuma-gome ni Yaegaki tsukuruSono yaegaki wo! Many clouds arise On all sides of an eight-fold fence To receive within it the spouses, They form an eight-folded fence: Ah! that eight-fold fence!11

into a toxic slumber. Amaterasu, the sun goddess asked the thunder god to go down to the Reed Plain (Earth) and chastise the malicious deities and men for their disturbance. The thunder god replied, “Even if I go not, I can send down my sword, with which I subdued the land, upon which the country will of its own accord become peaceful.” One of the tennō’s servants, a man named Kumano no Takakuraji, had a divine dream in which the thunder god told him where to find the heavenly sword, “Futsu no mitama” and asked that it be taken to Emperor Tennō. Upon 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-noKami illuminates this flow of sword-related symbology: Jimmu Tennō, the first emperor of Japan, was moving along with his armies. Some malevolent deities were hindering their passage, belching up poisonous gas. Tennō and his armies drifted

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This myth illustrates how the magical power of the sword saved the divine bloodline. Because the early Japanese accepted traditional myths as fact, their stories influenced the Japanese on a sociological level.13 Magic, mythical swords, and dragons flooded the minds of the early swordsmen.

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RIGHT Another depiction of

Kanna-yama-hiko-no-Mikoto (the god of iron). As a result of his distaste for women based on the impression that menstrual blood and impurities are linked, many swordsmiths do not allow women in the smithy during their menstruation or shortly after childbirth.

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The impact of these epic tales reverberates through the ages and into every facet of modern Japan. Together, these stories inspired Japanese culture to appreciate the subtle difference between objectives accomplished via peaceful means and those bent by force. This ideology carries on well into the modern era, living on in the spirit of the Japanese. Even if only subconsciously, the Japanese mind is ingrained with this old way of thinking. Take for example the continued ritual of mass pilgrimages to view winter plum blossoms, a simple veneration of fleeting 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 shimenawa 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 inconsequential. The relationship between the warrior and his sword

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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, Confucianism, 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, Masamune’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 demonstrated by placing them both in a stream. Late one spring, while a warm breeze blew through the blossoming 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 Masamune 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 significance of their work. When we consider that the spirit of the blade is viewed in the same way today as it was in ancient times, the Shinto influence is clearly the foundation on which the iconography of the sword was built. But before the Japanese craft of the sword evolved to the degree as exemplified by Masamune’s work, the sword made a fascinating transformation. From magical Bronze Age ceremonial object to unrivaled metallurgical art piece, the Japanese sword and society changed each other in equal measure.

The Blades of Ancient Japan The blades of ancient Japan served as the primitive precursors to their later icons. From Japan’s earliest days, its swords embodied magic, spirit, and power. The blades of early Japan were much more than tools of war. Instead, the blades held religious and mystical significance. Unfortunately, no blades have been recovered from the Jōmon Period. Therefore our investigation into the sword

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as a sociological and metallurgical tool must begin with the Kofun and Yayoi Periods. Nevertheless, those ancient blades initiated a cultural fascination with the sword that continues today.

Yayoi Period Swords The swords of the Yayoi Period were made of bronze and appear to have been used primarily for religious ceremonies. Bronze spearheads are also credited to the Yayoi civilization, as well as bronze ceremonial objects such as mirrors and bell-like objects called dotaku. This indicates the very early use of weapons as tools and symbols of primarily spiritual significance. This assertion was substantiated by the Yayoi peoples’ use of iron for farming implements and other heavily used tools, whereas swords remained bronze-made. Another significant clue can be gleaned from an early Chinese account in which Japanese lands are referred to as Wa. This third century CE passage describes the Yayoi culture late in its existence and makes note of their weapons:

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ABOVE In the woodblock print, “Swordsmith of Mt. Inari,” Blacksmith Munechika is aided by a fox deity in forging the blade kogitsune-maru, or “Little fox.” The kami is represented by a woman surrounded by foxes. The engraving was created in 1873 by Ogata Gekk0 (1859–1920)19

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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

ABOVE Master Swordsmith

Gassan Sadatoshi believes that his workspace is a sacred environment and makes every effort to ensure its cleanliness both spiritually as well as physically. ABOVE RIGHT Detail of an old scroll depicting Kanna-yamahiko-no-Mikoto overseeing the collaboration of demons and mankind in creating the sword.

The social customs [of the Wa] are not lewd. The men wear a band of cloth around their heads, exposing the top. Their clothing is fastened around the body with little sewing. The women wear their hair in loops. Their clothing is like an unlined coverlet and is worn by slipping the head through an opening in the center. [The people] cultivate grains, rice, hemp and mulberry trees for seri-culture. They spin and weave and produce fine linen and silk fabrics. There are no oxen, horses, tigers, leopards, sheep, or magpies. Their weapons are spears, shields, and wooden bows made with short lower part and long upper part; and their bamboo arrows are sometimes tipped with iron or bone… The land of Wa is warm and mild [in climate]. In winter as in summer the people go out bare-footed. Their houses have rooms; fathers and mothers, older and younger, sleep separately… They serve meat on bamboo and wooden trays, helping themselves with their fingers. When a person dies they prepare a single coffin without an outer one. They cover the graves with sand to make a mound. When death occurs, mourning is

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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 conspicuous 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-spiritual 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 between the sword and society. This union of blade and spirit, borne of military and spiritual need, would eventually shape the warrior ideal.

Kofun Period Swords Blades of this period were straight and short, used to hack and thrust and as a rough tool of warfare. The terms used to describe the various types of Kofun swords are chōkutō and tachi.21 Two basic types of blades emerged from this era: the symmetrical doubleedged tsūrūgi and the single-edged tachi. Tachi were worn on the outside of armor, fastened with an elaborate harness and cords, with the cutting edge of the blade pointing downward. Chōkutō are generally considered to predate the so-called Japanese sword, because they do not present the uniquely Japanese characteristics that would develop later. The most obvious of the distinctions between Kofun Period blades and those of later periods is shape. Early blades were

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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 draw of straight swords required two distinct movements of the warrior. First he would have to draw the sword, raising it overhead, and only then could he make a distinct cutting motion. The techniques for using these early swords centered primarily on thrusting and hacking. Their straight blades would have prevented the clean slashing motions made possible by the curvature of later swords. The early straight tachi and chōkutō mark the starting points in the design of Japanese swords. Despite their crudely manufactured and designed origins, these early blades held a spark of metallurgical genius for what would become a highly refined and sophisticated art form. Late in the Kofun Period, a distinctly Japanese method of hardening swords began to emerge as sword smiths experimented with the properties of hardness versus durability. The blade that was very hard kept its edge quite well but broke easily in combat. The softer blade was tough but required frequent resharpening. To satisfy

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the need for both durability and hardness of edge, the smiths began tempering the blades differentially. This novel process allowed the smiths to create hamon (temper lines), where edge steel was hardened more than the steel towards the back (mune), which was comparatively soft. The hardened edge eliminated the need for frequent resharpening. Keeping softer steel towards the back of the blade prevented it from becoming too brittle and snapping during use. With the advent of the curved blades and advances in metallurgy, the Kofun Period drew to a close, and large areas of centralized power emerged. As influence and wealth accumulated, so did greed. Military men first and diplomats second, the rulers of the Kofun Period would eventually have to establish their pecking order. Those provincial warlords who would not accept servitude under the authority of larger clans would be left to fight it out. And the early inhabitants of the Japanese isles did exactly that.

ABOVE Many shrines and

temples are guarded by “lion-dogs.” One, whose mouth is open represents admittance of good spirits and people. The other’s mouth is closed, which blocks evil from entering. BELOW Here are what remains of most 6th century Kofun Period blades. These gilded sword hilts give us a glimpse into how highly esteemed the Kofun warriors’ blades were.

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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 philosophies—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— a system that is still largely in place today and is reflected in everything from company communication protocols to everyday social etiquette. The Japanese propensity for finding personal meaning and universal harmony in everyday tasks owes its origins to Taōist literature. The literary works that inspired these Japanese adaptations are, in and of themselves, a fascinating study. Finding one’s Way through harmonious living is concept that shaped Nara Period warriors as well as those of today. Of all the themes that have emerged in Japanese history, those both of adoption and of adaptation have played critical roles. Indeed, some of the first historical accounts of the Japanese outline their assimilation and refinement of outside cultures: language, technology, religion, and arts. That the Japanese borrowed from other cultures hardly makes them a unique civilization. What they did with outside influences and how they adapted what they adopted distinguishes the Japanese. Perhaps the most outstanding characteristic of the Japanese, from their earliest days to the present, is their ability to make a good thing better; or at least more Japanese. Fascinated with Chinese statecraft, the early Japanese leaders emulated the highly evolved culture of their neighbors. These imported philosophies and governmental structures would, of course, have to be modified to suit the Japanese warrior-rulers. For example, under the leadership of Prince Shotoku, the Nara Period saw deliberate importation and assimilation of various aspects of Chinese culture. Prince Shotoku’s fascination with Chinese social and philosophical traditions marked a change for the island nation. In A History of Japan, Mason and Caiger write “For generations after Shotoku’s death, in 622, courtiers regarded themselves as pupils of their continental neighbors.”1 Taōism, Confucianism, and Buddhism, each found its way to the isles of Japan as a guest of the elite warrior families.

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LEFT Nio, guardians of Japan, are frequently seen guarding the entrances of Buddhist temples and Shinto shrines. They stand as a pair, one with an open mouth and the other with it closed. This signifies cosmic life and death, beginning and ending, of all things. Another explanation for the different mouth positions is that the open mouth welcomes good spirits through the gates, while the closed mouth represents the exclusion of evil from the temple/shrine grounds. Lion-dogs, or shishi, are often similarly posted to guard the entrance to shrines and temples. OPPOSITE This is the oldest extant painting of Prince Shotoku. Note that the painting is sure to depict all of these noblemen with their respective swords—details meant to carry symbolic importance for anyone viewing the painting. Shotoku is shown here with his younger brother Eguri on the left and first son Yamashiro on the right. The painting is held within the imperial household collection and dates to the Nara Period, 8th century CE.2

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ABOVE At the foot of a mountain temple complex, the Buddhist deity Kannon welcomes visitors to purify themselves in the Shinto tradition by pouring water over the hands before entering. The mixing of religious traditions, as seen here, is the standard practice in Japan.

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All, in turn, were swallowed, digested, and assimilated by the Japanese cultural metabolism. They were not, however, swallowed whole, but sifted, sorted and masticated to extract only those parts that would satisfy Japanese sensibilities. During the Nara Period, Buddhism took root and became popular as a religion among the educated noblemen and court officials; Confucian order and social structure provided the basis for Emperor Tenmu’s centralized government; and Taōism impacted the Japanese perspective of how life’s journey could, in and of itself, provide a way towards self-realization. It is critical to note, however, that early Japanese did not differentiate their study or practice of these three religions as separate religions with correspondingly separate doctrines.3 The three were imported and assimilated as they had previously existed in China, as one big, eclectic mix of practices. An important factor, perhaps the important factor determining the ease with which imported beliefs were adopted, is Shinto’s esoteric and undefined nature. The preexisting folk faith of Japan provided fertile ground for nearly all of the introduced belief structures. Furthermore, Shinto observances and ceremonies were practiced among peasants and samurai alike. Folk and agricultural festivals of the early native religious practices were common caste-connecting sociological influences. After all, Shinto was the codified national religion as outlined in Japan’s earliest texts. And because of Shinto’s over-arching influence, if it fit for the leaders of Japan, it trickled down, impacting the culture as a whole. Finally, it is critical to note that Shinto is practiced in such a way that it embraces adaptation. Its appreciation and acceptance of innumerable mystical forces and spirits made adding new beliefs quite natural. As new beliefs entered Japan, they seemed to satisfy the needs of the warrior-rulers perfectly. The vision of the ideal warrior that each soldier carried within himself, defined his perceptions and actions. The junction of man and symbol represents the heart of the sword’s symbolism. Taōist and Confucian philosophies defined the Japanese concept of the just war by infusing moralistic philosophies and the ideal of cosmic balance and harmony into the governing practices of the warrior elite.4 Although a brief introduction to Confucianism is warranted, it was not the primary contributor to early Japanese perceptions of the sword as a symbol of warrior virtues. Taōism, on the other hand, played a key, but often underrepresented role in defining the early Japanese warrior archetype. Buddhism, too, was imported, but during this period played a comparatively minor role in terms of impacting the symbolism of the sword. Where the warrior was concerned, the treatment of the sword and warrior virtues was paramount in any prospective religion. Therefore, the following is an examination of basic Confucian influence and a more in-depth examination of Taōism. Buddhism is covered in Chapter 5, “Medieval Japanese Swords,” and connected to historical periods when it came into greater contact with the common warriors of Japan.

The Nara Period (710–794 CE) The warriors predating and of the Nara Period were hired hands led by provincial landlords. Authority to rule was

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generally passed from one generation to the next. Many powerful families were proudly militant and participated in both governing and keeping the peace. Loyalty was a highly regarded attribute. Therefore, through servitude, warriors often established close and personally meaningful relationships with their commanders. It was in the best interest of both employer and warrior to reciprocate displays of profound appreciation. This reciprocity was a primary component of the early establishment of ultraloyalism in Japanese culture, which also rooted the clan as a weighty social phenomenon and culturally influential group.5 These clan-groups generally included both family members and the “extended family” of retained warriors. A major event that led up to the Nara Period was the institution of the Taika Reforms (645 ce), in which the Emperor Tenji established himself as the owner of all land within the Japanese isles. The soon-to-be emperor cut down his political rivals in a gruesome slaughter and imposed authority by means of the sword.6 As a centralizing component of the Taika Reforms, land-owning clans were stripped of their ownership rights and forced to pay taxes to the emperor. Clan leaders were allowed to maintain their status through the establishment of a vertical social structure, where they held the top positions. The Taiho Codes were the written record of what had previously been established with the Taika Reforms. Before and during the Nara Period the clans established standing armies for the protection of their land and property. The Nara Period, with its importation of Chinese governmental structures, saw the warrior-ruler’s role firmly implanted in Japanese society. This phenomenon reflects the Japanese rulers’ desire to mirror the highly refined Chinese. Buddhist salvation, along with Taōist ideals and Confucian bureaucracy, made indelible marks on the collective soul of the Japanese. It is important to note that the Chinese Buddhism that came to Japan had already seen significant Confucian influence.7 As philosophical texts flowed into Japan, the presence of Confucianism had an increasingly broad impact. But Confucianism and Buddhism were not the only philosophies imported into early Japan. Taōism also had a profound impact on the shape and aesthetic of the Nara Period, and in turn, the periods that followed. Examining how and why Confucianism and Taōism were assimilated into Japanese culture offers insight into the evolution of societal ideals and aesthetics.

The Sword of Chinese Influence Confucianism and Taōism were assimilated within Japanese society to such an extent that exact distinctions between the two, within Japanese culture, are difficult to make. This is because some of the Taōism that entered Japanese culture did so “piggybacking” on Confucianism. Nevertheless, pure Taōism, although not initially identified specifically, did see entry into Japan. As the Yamato became fascinated with Chinese government, rule, and philosophy, they also developed an appreciation for Taōist principles. This had everything to do with their perspective as warrior-rulers. For example, in Confucian thought, the vertical structure of society is praised. However, the Taōist idea of placing warriors at the top of the social ladder represented a serious deviation from the Chinese

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model of Confucianism.8 Confucian ideology, after all, esteemed the scholar over the warrior and submission to social order rather than the forceful establishment thereof. Further, Confucianism defined masculinity in terms of refinement and gentility. So the Japanese needed to modify the Confucian model to allow the continued rule of warriors. This is where Taōism, more martially oriented than Confucianism, offered the Japanese warrior elite a way to put on Chinese airs and still retain power. Confucianism, however, fit snugly into Shinto faith and practices. Indeed, both stressed duty to and reverence for familial lineage. They also shared hierarchical structures of society and government that dictated social obligation 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 informed the Japanese aesthetic. Because the warrior viewed himself through the lens of his cultural aesthetic, it could be argued that Confucian principles impacted how the warrior viewed his duties—and his sword, which thus became a tool for maintaining social boundaries, governmental structure, and law. Many Confucian writings discuss the perennial Chinese distinction between wū (war) and wen (letters), emphatically esteeming wen over wū. But not only the realm of statecraft was seen as a play of wū and wen, so was the world of art. Wū-wen is an important Chinese aesthetic category. In the realm of music, for example, wū-wen has a long history in China, especially in discussions of the repertoire for a type of Chinese lute known as the pipa (Japanese biwa), which resembles the loquat fruit and after which it is named. In pipa music, as in all Chinese music and poetry, there are lyrical (wen) passages as well as more strident, percussive (wū) passages. The Japanese borrowed the wen-wū dichotomy, using the phrase “sword and brush.” Examining the sword and the brush as different means towards achieving peace and social stability is thus a theme in Japanese as well as Chinese culture. Just as a poem is made up of an interplay of wen and wū elements, with Confucian-Taōist influence, the Japanese brush and sword became known as two aspects of the same reality. The ruler-warrior makeup of the samurai psyche inherently understood this. As a result, the dichotomy of the brush and sword permeated Japanese

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LEFT Here, Komokuten holds the brush and scroll, indicating that virtuous warriors rule through judicious use of scholarly ideals (such as religious study) as well as battlefield readiness. Komokuten is a member of the Shitennō, the four warriorkings who protect the cardinal directions by warding off evil and encouraging the pursuit of enlightenment.

aesthetics and statecraft in such a way that it is difficult to delineate Confucian from Taōist strands. The natural balance of polar energies—hard and soft, overt and hidden—reflects both Chinese traditions simultaneously. Taōism though, despite being often underrepresented in commentaries on early Chinese influence in Japan, held a special appeal for the Japanese.

Taōism In Japanese Warrior Culture Certain scholars have emphasized the role of Taōism in shaping martial arts in terms of mindset, development of balanced energies, and extension of ki (energy) during exertion. Others have downplayed the historical impact of Taōism on the development of the martial arts, often simply by passing along inaccuracies that they’ve read. American popular martial arts literature offers an example of how Taōism has been minimized.9 It is important to distinguish between what people find interesting and enjoy writing about and what actually happened historically. Literature available to Western readers is largely biased by authors’ predispositions. Any commentary on early Japanese warrior culture or mindset is, after all, the view of an outsider—well informed or otherwise. Literature available in English, in particular, is likely offered to readers as academic analysis, historical summarization, or popular editorializing. The same is true of this book; it is a modern analysis of historical phenomena. It can be argued that many factors conspired to elevate the symbolism of the sword. To do so, however, I have had to

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pick and choose what to discuss. I did not include certain information, while undoubtedly failing to consider other information. In the art of writing, as in the art of war, it is critical to choose carefully which information one will share and how it will be conveyed. Taōism’s contribution to early warrior culture and practices has been largely overlooked. This is true both in popular literature and academic works. Many authors have highlighted more obvious influences on the development of martial arts and the warrior ideal. However, one needs only to look at the Japanese cultural ways (particularly the martial arts) to uncover the deeply rooted Taōist influence. During the Nara Period the Taōist worldview crept into Japanese lifestyles. Indeed, by the time the Nara Period ended, Taōism had already permeated Japanese culture. The Heian Period (794–1185) saw Taōism so deeply entrenched that, although not a distinct religion, it shaped the daily experience of the Japanese.

RIGHT This calligraphy of the

character “do” was brushed by the expert hand of Sir Maeda, personal calligrapher to the emperor of Japan. It hangs in the Mountain Wind Dojo to remind students that their practice is, in and of itself, a process of learning to live in harmony. BELOW Mythical Dragons are aJapanese legends. Here, a dragon lashes out ferociously defending the entrance of Kuramadera temple outside of Kyoto.

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The Sword of Taōism The sword of Japan, particularly in reference to the warriors’ interpretation of its metaphoric value, has been shaped by Chinese Taōist philosophy. Although it is not within the scope of this book to examine every aspect of Taōism, a study of Taōist warrior and sword-related philosophy is relevant. After discussing some examples of Chinese Taōism, meaningful interpretations of the Japanese warriors’ perspective regarding swords can be made. And when examining the modern symbolism of the sword, it is important to consider the influence of Taōism. Japan’s early Shinto-based culture provided an ideal framework for the integration of Taōism. Like the early folk-faith practices and worldview, Taōist beliefs recognize the mysterious nature of the world. Both Taōism and Shinto also share the concept that the universe conceals cosmic truths beneath the surface of the observable. Shinto is an extremely reverent religion and couples nicely with Taōism’s naturalness. Taōism, of course, has played a critical role in shaping the practice of martial arts. Both traditions stress purification rituals as components of right living. These connections were of particular interest to warriors. Cleanliness, reverence, and mindfully appreciat-

ing life’s journey are themes that have defined Japan. Taōist acceptance of the nature of balance and harmony were even applied to the warrior in Taōist literature, something rarely done in Confucian ideology. Taōism expresses an acceptance of warrior virtue. Indeed, famed Taōist Sun Tzū wrote The Art of War. Its pages represent a blend of scholarly cleverness with warrior stoicism. Taōist literature affirms the scholar-warrior archetype, literarily idealizing the benevolent and balanced ruler. The way that the warriors established themselves as the top caste of early Japan reflects Taōist influence. Yet, for some reason, many scholars have mistakenly attributed Chinese influence on early Japan to Confucianism and Buddhism alone.10 In the following text, an exploration of Confucianism and Taōism are offered. This may allow you to better to understand why and how Taōism appealed to the early warrior rulers of Japan. 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 illiterate Chinese. There can be no doubt about the powerful impact literary sword symbolism had on the Japanese. Reading the written word tends to develop conceptions more powerfully than does hearing the spoken word. Further, written words can be copied exactly and thus spread uniformly, preserving stories and their symbolism through countless generations. The written word gives readers a perception of permanence, authority, and implied truth. This impressed the warrior-rulers of the Nara Period. As a result, Chinese literature flowed into the minds of Japanese noblemen. Chinese literary works reinforced Japanese preconceptions regarding the benevolence of the warrior, which of course, further shaped the perceptions of the sword’s symbolism. The Chinese Taōist works of Lao Tzū and Chuang Tzū offer wisdom regarding benevolent rule and virtuous application of military power. The Taō enters warriors’ experiences (both Chinese and Japanese) at an individual level. Thus, Taōism calls warriors to seek higher meaning within themselves. With its focus on naturalism and simplicity, Taōism stresses harmonious living in every moment. This disposition would lay the foundation for Taōism’s close relationship with Japanese Zen Buddhism. Taōism’s intuitiveness and practicality were a natural fit for Japanese warriors. Although Shinto offered visions of divine guidance and inspiration, the Taō turned the search for inspiration inward. In essence, the Taō encourages realization of the warrior ideal within each of us through moment-to-moment benevolence. Taōism recognizes that reconciling the duty to fight with the wisdom to rule is a deeply personal struggle. Thus, the combination of benevolence and wisdom in military leaders is a theme in Taōist literature. For example:

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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 Confucius embodied the principles of the scholar warrior. Lao Tzū was a renowned swordsman, and Confucius held the title of Leader of Knights. Indeed martial association may well have inspired Confucius’ definition of the ideal scholar. At the heart of his Analects, he utilized the word shi, his designation for a scholar, which meant “warrior.” Confucius’ use of the word implied a person who would uphold the Taō (he used the word Taō to mean divine law) as valiantly as a warrior would.11

Examining Taōism as it was written and evolved in China offers perspective on how it impacted Japanese warrior culture. As the Taōist ideal emerges, we see the development of an academic legitimacy for the Japanese warrior ideal. Indeed, we see the very roots of Japanese arts and ways—the cultural undercurrents that define the Japanese way of life. Although many Taōist texts made their way into Japan, the two works that comprise

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the philosophical core of Taōism, the Lao Tzū and the Chuang Tzū, are the most important. They both offer the warrior practical advice while outlining paths towards balance.

Lao Tzū: A Balance Between War and Wit The Lao Tzū, believed to have been compiled around 500 bce. by the famed Lao Tzū (Old Master), offers some of the earliest commentary that contributed to the benevolent-warrior image. Confucian and Taōist principles co-existed in the practice of many Japanese, just as they had on the Chinese mainland. So too did the dichotomy between warriors and intellectuals. Therefore, much of Taōist writing attempts to reconcile the stratified social structure of Confucianism with the naturalness and balance of Taōism. For ancient Chinese and later Japanese warriors, the Lao Tzū offers valuable and practical advice.

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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

ABOVE Here a young

swordsman is shown receiving lessons from the king of the tengu named Sojobo. Tengu are supernatural mountaindwelling creatures of shared Shinto, Taōist, and Buddhist origins. They came to Japan as goblins but are said to be hatched from the Shinto deity Susa-no-wo-o-no-Mikoto. Said to have special connections with the natural Taira clan assassinated his father. This painting, by Yoshitoshi Tsukiota, is posted at the foot of Kuramadera temple and shows the legendary Minamoto Yoshitsune learning the secrets of tengu swordsmanship with the explicit intention of avenging his father’s assassination.

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Skilled Warriors of Old Skilled warriors of old were subtle, mysteriously powerful, so deep they were unknowable. Just because they are unknowable, I will try to describe them. Their wariness was as that of one crossing a river in winter, their caution was as that of one in fear of all around; their gravity was that of a guest, their relaxation was that of ice at the melting point. Simple as uncarved wood, open as the valleys, they were inscrutable as murky water. Who can, in turbidity, use the gradual clarification of stillness? Who can, long at rest, use the gradual enlivening of movement? Those who preserve this Way do not want fullness. Just because of not wanting fullness, It is possible to use the full and not make anew.12 In the chapter “Skilled Warriors of Old,” we see the Taōist interpretation of the ever-vigilant, impermeable warrior. Also notable is the reference to naturalness as a trait of Taōist strength. This reflects an appreciation for warriors of great virtue who are not misguided by desires for fame or glory, but rather for perfection of their duties. This was likely written, at least in part, as a commentary about the deteriorating political conditions in Chinese society. During this time, the Chinese Spring and Autumn Period, China was ruled by the Zhao family and its descendants. By 500 bce, when the Lao Tzū was written, the social order was eroding and would soon usher in China’s Warring States Period. As if trying to hold back the tides of war, the Old Master writes:

As the state of the Zhao Dynasty deteriorated, Lao Tzū warned of misguided warriors who do not follow the Way. Lacking balance and the perspective that it gives, warriors bent only on killing are misguided and have left the path of Taō. It is noteworthy that Lao Tzū does not flatly oppose waging war. He asserts that although sometimes necessary, war should be waged with reverence for the natural order of the universe. Furthermore, when the fighting ceases, he advises not revel in the victory, for it is unseemly and runs contrary to the Taō. Lao Tzū asserts that it is proper to mourn the loss of life while stoically recognizing universal balance. The business of living the Way is in recognition of both light and dark, expressed here as “the cultured” and “the martialist.” In Taōist thought, a warrior would do well to avoid allowing oneself to get too enamored with either cultured living or making war. He suggests that top generals are marred by their power and bloodthirsty greed; their fine weapons represent an ill omen. On the other hand, the subordinate general, who does his job stoically, faces battlefield realities, and is assumed to carry an ordinary weapon, represents a balanced warrior and good omen. Lao Tzū goes on to discuss the difference between good and bad warriors. Good Warriors Good warriors do not arm, good fighters don’t get mad, good winners don’t contend, good employers serve their workers. This is called the virtue of noncontention; this is called mating with the supremely natural and pristine.14 Lao Tzū has practical advice for commoners, warriors, and rulers alike. His Way of harmonious living holds

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equal appeal for all. The Lao Tzū stresses mercy as a form of balance in war. Lao Tzū warns: “Now if one were bold, but had no mercy, if one were broad, but were not frugal, if one went ahead, without deference, one would die. Use mercy in war, and you win; use it for defense, and you’re secure. Those whom heaven is going to save are those it guards with mercy.”15 The Old Master offers a lesson about mercy as being connected to divine order. Although this would not be 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. In another example, a large enemy army surrounded a famous general who was staying in a small town with only a few of his soldiers. Hopelessly penned in and outnumbered, the general positioned himself near the gate atop the wall that surrounded the city. He ordered the gate opened. He sat there in a leisurely position, fanned by beautiful maidens, and listening to a troupe of musicians. The general ordered men to sweep the street leading through the gate into the city, as if welcoming the army of his enemy to enter. The enemy general scouted ahead on horseback while his army waited on a ridge. When he saw the general relaxing and listening to music atop the wall, with the gate flung wide open, he concluded it was a trap, and he left. Generations of Chinese were quite familiar with the many clever ruses and stratagems dramatized in Three Kingdoms—all based on Confucian and Taōist admiration for wen over wū.

Chuang Tzū: Swords as Metaphor In Taōist literature, the most direct reference to symbolism and the sword speaks to the apparent wen and wū. Written around 300 bce, the Chuang Tzū was compiled by philosopher Chaung Chou. Together the Lao Tzū and the Chuang Tzū represent the core of classical Taōism. In fact, the Chuang Tzū dedicates an entire chapter to the value and pitfalls of the sword as a means of rule. Drawing on the symbolism of Yin and Yang, the Taōist text stresses balance between the intellectual and the warrior. Ideally, one who walks the Way should have complete mastery of both avocations. This represents the ideal scholar-warrior as outlined in Chinese literature. In the chapter “Discoursing on Swords,” the Chuang Tzū delineates three ways that rulers could employ their powers and describes them each as a different sword. The discourse is full of symbolism and metaphor. The story begins with a king (King Wen of Chao) who has become fascinated with swords and swordsmen. He surrounds himself with these warriors and takes delight in their constant fighting. His son (Prince K’uei), fearing for his father’s kingdom, asks the philosopher Chuang Tzū to intercede. Chuang Tzū, dressed in the garb of a scholar, offers to aid the prince, but there is a problem:

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LEFT Yin/Yang, in Japanese is referred to as “in/yo¯.” The symbol was adapted both literally and metaphorically into many aspects of Japanese life. For example, the principle of “wabi/sabi” reflects this ideal of complementary opposites.

“The trouble is,” said the crown prince, “that my father, the king, refuses to see anyone but swordsmen.” “Fine!” said Chuang Tzū. “I am quite able to handle a sword.” “But the kind of swordsmen my father receives,” said the crown prince, “all have tousled heads and bristling beards, wear slouching caps tied with plain, coarse tassels, and robes that are cut short behind; they glare fiercely and have difficulty getting out their words. Men like that he is delighted with! Now, Sir, if you should insist upon going to see him in scholarly garb, the whole affair would go completely wrong from the start.” “Then allow me to get together the garb of a swordsman,” said Chuang Tzū. After three days, he had his swordsman’s costume ready and went to call on the crown prince. The crown prince and he then went to see the king. The king, drawing his sword, waited with bare blade in hand. Chuang Tzū entered the door of the hall with unhurried steps, looked at the king but made no bow. The king said, “Now that you have gotten the crown prince to prepare the way for you, what kind of instruction is it you intend to give me?” “I have heard that Your Majesty is fond of swords, and so I have come with my sword to present myself before you.”16

This passage can be interpreted to mean that Chuang Tzū, having realized his full potential as a Taōist sage, is a fully realized individual and capable of anything. The wise man can outwit the brute. The sage can render even the strongest warrior defenseless. When Chuang Tzū says he can handle a sword, it reflects his strength as pliability that comes from having mastered the Way of the universe. Chuang Tzū is “going with the flow” of the king, allowing his passion for swords to provide an entry point for his intervention on behalf of the prince. If he had presented himself in scholarly garb, the king would not have granted him an audience. Chuang Tzū is, in essence, harmonizing with the king’s energy in order to engage him in discourse. And so the stage is set for the king and Chuang Tzū’s story:

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“Let me hear about your three swords,” said the king.

RIGHT Shoki the demon-

slayer, Taishō-era. Shoki is a Taōist sage fabled to have committed himself to protecting the male heirs of the Chinese Imperial family. His iconographical meaning was imported into Japan where he is honored as a protector of households with male children. Even today, Shoki remains popular and can be seen posted atop rooflines and entryways, standing guard against evil.

“There is the sword of the son of heaven, the sword of the feudal lord, and the sword of the commoner.” “What is the sword of the Son of Heaven like?” asked the king. “The sword of the son of heaven? The valley of Yen and the stone wall are its point, Ch’i and Tai its blade, Chin and Wei its spine, Chou and Sung its sword guard, Han and Wei its hilt. The four barbarian tribes enwrap it, the four seasons enfold it, the seas of Po surround it, the mountains of Ch’ang girdle it. The five elements govern it, the demands of punishment and favor direct it. It is brought forth in accordance with the yin and 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

“And what sort of authority does your sword command?” asked the king. “My sword cuts down one man every ten paces, and for a thousand li it never ceases its flailing!” The king, greatly pleased, exclaimed, “You must have no rival in the whole world!” Chuang Tzū said, “The wielder of the sword makes a display of emptiness, draws one out with hopes of advantage, is behind-time in setting out, but beforehand in arriving. May I be allowed to try what I can do?” The king said, “You may leave now, Sir, and go to your quarters to await my command. When I am ready to hold the bout, I will request your presence again.” The king then spent seven days testing the skill of his swordsmen. Over sixty were wounded or died in the process, leaving five or six survivors who were ordered to present themselves with their swords outside the king’s hall. Then the king sent for Chuang Tzū, saying, “Today let us see what happens when you cross swords with these gentlemen.” Chuang Tzū said, “It is what I have long wished for.” “What weapon will you use, Sir,” asked the king, “a long sword or a short one?” “I am prepared to use any type at all. It happens that I have three swords—Your Majesty has only to indicate which you wish me to use. If I may, I will first explain them, and then put them to the test.”

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In this passage, the sword of the son of heaven represents 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 with the Taō. Here, Chuang Tzū is telling the king that he will use the sword of the heavens, which commands all natural and mystical powers against any of his swordsmen. Should the king pick this sword, his warriors will surely perish. But the very idea of it intrigues the king, who is infatuated with swords: King Wen, dumfounded, appeared to be at an utter loss. Then he said, “What is the sword of the feudal lord like?” “The sword of the feudal lord? It has wise and brave men for its point, men of purity and integrity for its blade, men of worth and goodness for its spine, men of loyalty and sageliness for its swordguard, heroes and prodigies for its hilt. This sword too, thrust forward, meets nothing before it; raised, it encounters nothing above; pressed down, it encounters nothing beneath it; whirled about, it meets nothing surrounding it. Above, it takes its model from the roundness of heaven, following along with the three luminous bodies of the sky. Below, it takes its model from the squareness of earth, following along with the four seasons. In the middle realm, it brings harmony to the wills of the people and peace to the four directions. This sword, once put into use, is like the crash of a thunderbolt: none within the four borders of 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 the feudal lord.”18

In this passage we see that the sword of the feudal lord is a step down from the sword of the son of heaven. It models itself after the sword of the son of heaven but exists to a lesser degree in every measure. Where the sword of the son of heaven brings the whole world into submission, the sword of the feudal lord brings peace only to the state. Warriors who wish to realize the Taō, but who are merely masking themselves in deluded

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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 offers it as a worthy blade against the king’s swordsmen in the demonstration. Clearly, based on the language of Chuang Tzū, the king is still quite assured that his men cannot begin to test the might of the sword of the feudal lord, despite it carrying nowhere near the weight of the sword of the son of heaven. The king said, “What is the sword of the commoner like?” “The sword of the commoner? It is used by men with tousled heads and bristling beards, with slouching caps tied with plain, coarse tassels and robes cut short behind, who glare fiercely and speak with great difficulty, who slash at one another in Your Majesty’s presence. Above, it lops off heads and necks; below, it splits open livers and lungs. Those who wield this sword of the commoner are no different from fighting cocks—any morning their lives may be cut off. They are of no use in the administration of the state. “Now Your Majesty occupies the position of a Son of Heaven, and yet you show this fondness for the sword of the commoner. If I may be so bold, I think it rather unworthy of you! The king thereupon led Chuang Tzū up into his hall, where the royal butler came forward with trays of food, but the king merely paced round and round the room. “Your Majesty should seat yourself at ease and calm your spirits,” said Chuang Tzū. “The affair of the sword is all over and finished!”19

Chinese martial culture disesteemed wū in favor of wen. The same is true of the Japanese, who sought to balance fighting with diplomacy and wit. Nevertheless, both of

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these nations saw bloody infighting spanning generations. Yet the ideal of the warrior-sage persevered through the ages within both cultures. One finds this in Sun Tzū’s axiomatic passage that reads “The art of war does not consist of fighting a hundred battles and winning a hundred battles; the art of war consists in subduing the enemy without fighting.” The story of Chuang Tzū and King Wen illustrates a Chinese example of the metaphor of the sword. Although this account is distinctly Chinese, it was certainly among the body of literature that made its way into Japan. As Confucian and Taōist ideologies came into favor with the Japanese, their ideals resonated in Japanese culture. Such accounts of favoring wisdom over brute force continue to this day. Although the natural efficiency of flow is often seen as part of the Japanese aesthetic, it has distinctly Taōist origins. For those interested in studying the metaphor of the cut, the following adaptation of a Chuang Tzū chapter offers a rich example of Taōist tradition: Cutting Up An Ox Prince Wen Hui’s cook Was cutting up an ox. Out went a hand, Down went a shoulder, He planted a foot, He pressed with a knee, The ox fell apart, With a whisper, The bright cleaver murmured, Like a gentle wind. Rhythm! Timing! Like a sacred dance, Like “The Mulberry Grove,”

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“Good work!” the Prince exclaimed, “Your method is faultless!” “Method?” said the cook Laying aside his cleaver, “What I follow is Taō Beyond all methods! “When I first began To cut up oxen I would see before me The whole ox All in one mass. “After three years I no longer saw this mass. I saw the distinctions. “But now, I see nothing With the eye. My whole being Apprehends. My senses are idle. The spirit Free to work without plan Follows its own instinct Guided by natural line, By the secret opening, the hidden space, My clever finds its own way. I cut through no joint, chop no bone. “A good cook needs a new chopper Once a year—he cuts. A poor cook needs a new one Every month—he hacks! “I have used this same cleaver Nineteen years. It has cut up A thousand oxen. Its edge is as keen As if newly sharpened. “There are spaces in the joints; The blade is thin and keen: When this thinness Finds that space. “There is all the room you need! It goes like a breeze! Hence I have this cleaver nineteen years As if newly sharpened! “True, there are sometimes Tough joints. I feel them coming, I slow down, I watch closely, Hold back, barely move the blade, And whump! The part falls away Landing like a clod of earth. “Then I withdraw the blade, I stand still And let the joy of the work Sink in. I clean the blade And put it away.”

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Prince Wen Hui said, “This is it! My cook has shown me How I ought to live My own life!”20 It is easy to see how Taōism found a welcome home in the hearts of the early samurai who ruled Japan. The poem denotes an appreciation for the natural order of things. The cook’s cleaver moves through the ox without resistance because he himself is in tune with the order of the cosmos. As the cutting unfolds effortlessly, his worldview shapes his experience. The opposite is also the case here: The cook’s experience reinforces his Taōist worldview. For the Japanese, who recognized the mystical nature of the universe, this ideology made perfect sense. The echoes of Taōism and Confucianism continue to resound in modern Japanese culture, where they have become deeply embedded. It was, however, the fertile ground that Shinto provided that made the difference. For those who study the iconography of the sword, it is critical to acknowledge Confucian social structure and Taōist “flow” worldview as primary forces. As they were adopted and adapted by Japanese culture, they, like so many other influences, became distinctly Japanese.

Japanese Adaptations The passages above indicate that the leading Chinese scholars, who were most influential in shaping Chinese imperial policy, also served as models molding the samurai ideal. This was in keeping with the broader Chinese influences on Japanese imperial politics, policies, and procedures. As always, the Japanese adapted and then refined the Chinese source, completely redefining the notion of the scholar-warrior, elevating both sophistication and ferocity into an efficient and streamlined ideal. Much has been written about the role of Taō in the practice of Japanese cultural arts. It is important to note that the influence of Taōism is far-reaching within Japanese history and society and not limited to the arts. The influence of the Taō manifests itself sociologically as a reverence for the process of living deliberately. In Japan the carpenter is not just a carpenter; he represents the quintessential Taōist and practices his craft with a sincerity that is akin to a monk’s meditation. He sees, for example, his carpentry as a way to self-betterment and enlightenment. His tools represent for him the means by which he journeys towards self-mastery. He cherishes his tools in a way that non-Japanese would find absurd or obsessive to say the least. The Japanese practice of exemplifying the carpenter as a model of a Taōist spontaneously practicing “deliberate living-in-the-moment benevolence” traces its roots to the Taōist classics. The Taōist carpenter image pervaded Japanese culture to the extent that even the famous swordsman Yagyu Munenori described the carpenter as the symbol for his style of swordsmanship. But of course by the time he did so, Taōism’s influence had become so deeply embedded in Japanese culture that it expressed itself as Japanese thought rather than being labeled as Taōist. The same is true for the tea master, who serves tea as a way of living purposefully—with the balance of harmony. The tea master is not served tea; rather it is the master who serves. This relationship denotes balanced living,

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as outlined by the whirling black and white in/yō symbol. Seeking meaning through the metaphor of serving tea, the tea master calculates every move and executes the service with deliberate precision. The utensils are highly prized pieces of a craft. Each is carefully chosen to express subtle ideals such as wabi/sabi, a graceful combination of function, elegance, and understated humble beauty. Such are examples that exist within a sea of others. It can be said that nearly everything the Japanese do reflects uniquely Taōist undercurrents. There are countless examples of adaptations that highlight the Japanese ability to “Japanify” outside cultures. Taōism shaped the image of the Japanese warrior. The Japanese warrior, in turn, practiced his avocation in ways that reflected the Taō. Although most cultures throughout the world have some version of a benevolent warrior image, Japan’s version is unique due to Taōist wisdom blended with the Japanese sociological knack for severe formality. It should be noted that Japanese warriors, by and large, did not count themselves Taōist. Rather, Taōism infused itself within Japanese society to a degree that the suffix “Dō” [Japanese for Taō] has long since been used in a generic manner.”21 For instance, the Japanese have judo, aikido, and būshido, just to name a few. Taōism, although not drawing on the visual/artistic imagery of the sword, greatly impacted how the warriors of Japan saw their symbolism. The Taōist literature reinforced the preexisting nativist Shinto notion that the sword was much more than a tool of war, that the sword was also a tool of the spirit and soul. It both cultivated the warriors’ minds through arduous training and acted as a metaphor. As warriors trained to maintain a state of constant readiness, they also trained their minds. Cumulatively, decades and centuries of practicing swordsmanship in such a deliberate way defined the very core of the soldier. This phenomenon impacted the minds, practice, and techniques of swordsmen. The intersection of marrow and mind is the heart of the Japanese sword’s iconography. The difference between visual images of gods wielding swords and the warrior image within matters little in the warriors’ perceptions. How people make meaning of the metaphors is more important than what form the metaphors take. Oral, literary, or visual, the meaning of iconography was determined within each warrior’s spirit. And Taōism shaped the collective spirit of Japan.

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The Sword and Martial Spirituality As we reflect on the impact of Taōism on Japanese culture, we see that easy distinctions cannot be made. Undeniable, however, is that Taōism made a significant impact on how the warriors of Japan have seen their swords as symbols. Karl Friday, a recognized authority on Japanese military history and culture, speaks to the complex interplay between the mindsets of Japanese warriors and their spiritual perceptions. “Warrior relationships with the supernatural were… matter-offact. The need to bolster morale and courage make actively seeking divine aid in the pursuit of victory a natural and obvious concern for military men of any time. And there are, of course, pressing political—as well as moral—reasons for commanders to be conscious of the dictates of religion in order to justify and legitimize their wars.”22 Swords were seen as tools to cultivate the spirit through arduous training while simultaneously embodying complex principles of balance and harmonious rule. Examined in the context of Buddhism, Confucianism, and the warrior-rulers adaptations, Taōism’s contribution to the symbolism of the sword and the warrior archetype emerges. As Buddhism gained popularity, it was added to the observances and practices of the Japanese. As we will see in the next chapter, esoteric Buddhism, in particular, would offer powerful iconography, practical protective talismans, and a treasure-trove of sword-related symbolism for the warriors of Japan.

Blades of the Nara Period Like the political changes of Taōism and Confucianism, experimentation and adaptation also marked this era of sword design. The few existent examples of these early swords exhibit multiple designs and metallurgic construction. The most important development in the Japanese sword during the Nara Period is believed to be experimentation with folding sword-steel. This process makes the blade highly resilient. Folded steel also produces a much sharper edge, razor-sharp in fact. The fine layers of the folds, hammered tightly together, create microscopic serrations along the sword’s edge. By the end of the Nara Period, we see blades with curvature and differentially tempered blades, constructed of resilient folded-steel. In other words, the uniquely “Japanese” sword had emerged.

BELOW This photo shows a

reproduction of the Nara Period pen knives worn by the aristocracy as a show of status. They were worn hung by cords from the belt and often included many small knives either bundled together or hung separately.

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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.

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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.

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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.

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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.

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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 Buddhism that was more easily accessible for the Japanese warrior. Previously, Buddhism had been a luxury of the highest samurai castes and the imperial court. Nara Period Buddhism had been extremely scholastic, complicated, and demanding of much commitment. During the Kamakura Period, however, Zen trickled down into the lower echelons of Japanese society. In contrast to the elite and scholastic Tendai sect, Zen offered a simplified practice. Shingon, also popular among the elite, had a slightly greater appeal for warriors because of its magic and protective practices. But during the Kamakura Period, there grew a perception that the end times were near. Mappō, literally “[the] end of law,” indicated to many that the end of a cosmic cycle was impending.1 Before a new age emerged, mappō would bring mass destruction and chaos. The Zen and “Pure Land” sects, offering more practical, simple, and attainable paths towards enlightenment 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 meditation or by repeating the name of the Amida Buddha one could ensure salvation. The Japanese custom of assimilating aspects of an incoming influence by adding them on to previously held beliefs had long been established by this time. In this instance, for feudal warriors, Shingon practices and talismans were the already existing beliefs never fully replaced by Zen. The same had been true when Japan assimilated Shingon beliefs, adding them on to preexisting nativist beliefs and practices. Zen, then, was annexed on to the preexisting Japanese cultural matrix. Professor Friday writes of the medieval samurai mindset, saying:

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A key feature of the medieval Japanese worldview, formed at the nexus of Buddhist, Taōist, Confucian, and nativist (Shinto) beliefs, was monastic, or unitary world of meaning. In this conceptualization, the phenomenal realm—the natural or manifest world—was synonymous with the sacred realm. The cosmos as a whole, permeated throughout by sacred, or kami, nature. Medieval Japanese saw the hands of their gods everywhere: every success and every failure was the result of divine approval or displeasure. Men lived or died, prospered or declined, at the whim of deities, who were tangible, accessible, and open to influence…They regularly consulted oracles, and attributed military triumphs to the assistance of guardian deities and setbacks to the exhaustion of divine grace.2

As Friday’s passage indicates, the samurai held complex beliefs that included the influences of many philosophical schools of thought. When Zen arrived on the cultural

LEFT The enormous bronze Todaiji Daibutsu completely fills its hall leaving visitors only a small area around its perimeter to look up in awe of the great Buddha. OPPOSITE Samurai armor housed at the ancient Himeiji castle in Hyogo Prefecture, Japan.

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scene, it offered a comparatively simple practice that appealed to many warriors who saw opulence as contrary to the Way of the warrior. Further, Zen incorporated many Taōist teachings, making it a natural fit in the Japanese mindset. It impacted particularly the Way of the warrior. In the modern practice of Japanese arts in general Zen remains an influence so pervasive that it continues to define Japanese aesthetics and practices.

The Heian Period (794–1185) ABOVE The Daibutsuden is the

hall housing the largest free-standing Buddha in Japan, the Todaiji Daibutsu. Despite being smaller than the original building, this is the largest wooden building in the world and a UNESCO World Heritage Site. BELOW The Heinan Jingu is a shrine built during the Heian Period.

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In the Heian Period, powerful and influential clans such as the Taira and Minamoto separated themselves from an increasingly corrupt Fujiwara Imperial Hein Court. The imperial family invited military leaders from both separatist clans to join the imperial court. The Taira clan took control of the court for two decades, and their brutal rule led to much dissent among other clan leaders. Eventually, political unrest led to an overthrow and expulsion of the Taira. This left the Minamoto clan in a prime position to rise to power. The Kamakura Shogunate rose to power when Minamoto Yoritomo defeated the Taira clan. Yoritomo

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 Yoritomo 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 the capital city being relocated to Kamakura and ushered in the Kamakura Period.

The Kamakura Period (1185–1333) The Kamakura Period was marked by power struggles between the imperial court, powerful warlords, and influential religious leaders. The Kamakura Period also tested the abilities of these three power brokers to address the threat of outside invasion. If the Japanese isles were to come under foreign control, all three of these power sources would likely lose most, if not all, of their status and wealth. However, the struggle between warlords and the emperor for control of Japan is where the Kamakura Period started. Despite Minamoto Yoritomo’s authority to appoint his own hereditary successor, when he died the appointee was only seventeen. The other members of the court battled for power. In 1205, Hojo Tokimasa officially took control of the court and succeeded Yoritomo. Hojo maintained military control from Kamakura. Despite Emperor Go-Daigo’s efforts, the Hojo clan persistently controlled the military affairs of Japan from Kamakura. At this point

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fortifications along the western coastline, it looked to Kahn as though Japan would be defeated and come under Chinese rule. However, the Japanese had learned from the tactics of the Mongols and intended to wage a smarter campaign. The Japanese sent small ships to attack the much larger and less maneuverable Chinese junks. Unable to land due the fortifications, the battles took place at sea and lasted more than fifty days. Then, a typhoon struck the Mongol fleet as it rested in the shallow waters. The fleet was destroyed and the Mongols once again returned home. The Japanese viewed this as divine intervention and named the great storm Kamikaze (divine wind). The battles of the Mongol invasions and the subsequent defeat of their forces brought new life to the religious movements during this time. Buddhist monks from various sects took what credit they could in helping to bring the Kamikaze. The religious groups gained popularity and numbers. As they did, tensions rose. The emperor had already struggled to control the Hojo clan, but now the

LEFT A gatekeeper glares down at Horyuji temple visitors. BELOW Kinkakuji, “the Golden Pavilion” was built in 1393 as a retirement villa for the Shogun Yoshimitsu Ashikaga (1358–1409 CE). After his death it was given to the Rinzai Zen sect of Buddhism. BOTTOM Himeiji-jo, the White Heron Castle, was built atop Mt. Himeiji in 1346. Its genius lies in its complex and confusing defensive layout. The castle has been destroyed and rebuilt many times. Today it remains as one of Japan’s finest examples of military architecture.

Chapter 5

there were really two distinct leaders of Japan. First was the emperor, still thought to be a direct descendant of the sun goddess (Amaterasu). Second, was the Hojo family itself, because it controlled how, when, and for whom the 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

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In a stunning battlefield surprise, one of the Kamakura bakufu’s (military government) strongest generals, Ashikaga Takuji, turned his forces on his own allies. 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.

RIGHT Muskets like these,

displayed at Himeiji Castle, changed the nature of Japanese warfare.

The Muromachi Period (1392–1573)

BELOW Oda Nobunaga built

Azuchi Castle in 1576, in a strategic location above the capital city of Kyoto. His castle, really more of a palace, was resplendent with lavish comforts while also serving to intimidate would-be enemies. Towering seven stories, this building was a testament to his character and will.

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religious groups joined into the struggle for power, status, and wealth. The onset of the fourteenth century found the horns of these three powerful sociological forces locked. Buddhism reached its zenith during the Kamakura Period. Powerful sects grew more powerful still. The idea of ending personal suffering, giving to a cause higher than one’s own, and committing oneself wholeheartedly to faith built the religious centers into formidable political and military entities. The prosperous monks and nuns made alliances with powerful daimyos, which heightened their position in society. The emperor, under threat of exile by the Hojo clan, gathered forces and attacked. Political circumstances within Kamakuran society required very carefully planned allegiances and battle tactics from Emperor Go-Daigo.

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 tumultuous political setting. Despite the fact that firearms were seen as dishonorable, they were used increasingly with great effectiveness. Changes in military strategy had created the need for different styles of sword blades. Early samurai had used a longer, thinner, more deeply curved blade called a tachi. The tachi was worn edge downward and used from horseback. Now having seen the power of the Mongolian foot soldiers and the use of the firearm, the samurai generals increasingly used infantry rather than mounted cavalry tactics. The Japanese sword evolved into the blade called the katana, a shorter, thicker blade worn edge-up and tucked into the belts at the waist. It was late in the Sengoku Era that the three men credited with finally unifying Japan—Oda Nobunaga, 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 connection 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,

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who had already established themselves as ferocious warriors, fought back. Despite the proud tradition of martial mastery, the monks were no match for Nobunaga’s well-equipped armies. In one instance, Nobunaga destroyed the Jodo Shin-Shu and Tendai temples at Mount Hiei, slaughtering twenty thousand monks and nuns. In 1582, having deployed his troops to support Toyotomi Hideyoshi’s efforts to conquer Takamatsu castle, Nobunaga found himself unguarded.6 Held up in a Kyoto temple, Nobunaga was trapped and helpless. Facing certain death, Nobunaga committed ritual suicide (seppūkū). Toyotomi Hideyoshi, one of Nobunaga’s top commanders, filled the suddenly vacant position, as leader of his forces. He rallied support from other daimyos and quashed the revolt that had been led by disaffected daimyos as well as Buddhist leaders. Hideyoshi established an alliance with Tokugawa Ieyasu, virtually guaranteeing the security of his position. Toyotomi Hideyoshi was the second of the three unifiers. In 1588 he confiscated swords from all nonsamurai, thereby furthering the stability of his role as chief military commander. Thousands of swords were taken and melted down to create a statue of the Buddha. This is a testament to his complete authority as well as his military cunning. Hideyoshi also codified the class structure and forbade upward movement between the classes. This meant that if someone was born a farmer, he or she would die a farmer. The same was the case for craftsmen and merchants. With Japan’s resources under one uncontested ruler, Hideyoshi turned his eyes towards the Korean Peninsula and China. He invaded both and threatened to conquer China’s Ming Dynasty on two separate occasions. In 1590 Hideyoshi’s samurai troops landed in Korea, captured the southern port of Pusan, and pushed North towards China. The Korean government fled and sought assistance from the Chinese. Considering the size of Japan, Ming sent only five thousand Chinese troops to

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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 powerful religious organizations and the military government began to rise. Hideyoshi, despising the powerful Buddhist sects most of all, had been somewhat tolerant of Christian missionaries, but eventually his attention was drawn to the Christians. He became infuriated with a group of Franciscan friars and had them hanged. Their offense was to hold services within Kyoto, which had been set apart, off limits to churches. The Christian missionaries’ increasingly tenuous position was made worse when in 1592, a Spanish ship, San Felipe, was wrecked off the coast of southern Japan. The ship’s captain produced a map of the world divided in half. The map depicted the power and rule of the world as being divided among the Europeans, without the permission or consultation of the Japanese. The captain told the daimyo that if he or his cargo were harmed then Japan would incur the might of the Spanish military. What alarmed the daimyo most was what the captain told him next: Christian missionaries often settled into a country, converted its citizens, and then overthrew the preexisting government, thereby controlling a country’s wealth for the benefit of the church. It was thought that the Jesuits, who were the converting masses, would stage an uprising. Hearing of this, Hideyoshi initiated an expulsion of all missionaries from Japan and forced remaining Japanese Christians to denounce the Bible. They had to leave, or die.8 Some fled. Thousands were slaughtered. Toyotomi Hideyoshi died in 1598 and was succeeded by Tokugawa Ieyasu. Hideyoshi’s son fought for his father’s position, but was suppressed by the powerful Tokugawa armies. After a series of skirmishes, Tokugawa had installed himself as the supreme military commander of Japan. He would later become famous for creating an unprecedented age of peace in the country, but first he had to set his affairs in order. The centralized and stable government along with Japan’s relative peace mark a shift from medieval Japan to a pre-modern Japan.

ABOVE LEFT The bells under

the eaves of temple pagodas tinkle musically in the slightest breeze, and are said to frighten off birds as well as any evil spirits that may be lurking. ABOVE Enryakuji Temple complex, atop sacred Mt. Hiei, is the headquarters of the esoteric Tendai sect of Buddhism. Its history is as dark and mystical as the clouds that shroud its grounds.

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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

formed the samurai’s first lines of offense, with the sword usually being reserved for when the supply of the former had been exhausted.

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The Sword of Esoteric Buddhism During the time that the Nihōn Shōki and Kōjiki were being written, Chinese philosophies were surging into Japan. The result was a coalescence of Shinto and Buddhist theologies and practices. As Joseph Campbell writes, often the two religions “are so closely mixed one cannot tell where the Buddhism ends and the Shinto begins.”9 The symbolism of the sword as an icon thus evolved as a product of combined and adapted ideologies. As Japan’s earliest swords were imported from China, so too were many of the blade’s symbolic meanings. This evolution of the sword as a symbol acted as a vehicle for societal change. The samurai, who revered and wielded swords, knew all too well the power that they carried at their sides. Non-samurai were also aware that the sword symbolized both the power to harm and to heal. The swordsman’s hand and spirit wielded the ability to shelter the population, ward off oppressors, and suppress evil. On this level, the sword can be understood to reflect the soul of Japan itself. Just as Chinese influence

Esoteric Buddhism’s main patriarchs in Japan were Priest Kukai (774–835) and Priest Saicho (767–822). Kukai, also called Kobo Daishi, founded the Shingon sect of Esoteric Buddhism, whereas Priest Saicho founded the Tendai sect. When, however, the hundreds of deities who populated the mandalas proved too much even for the polytheistic Japanese, their number was gradually reduced to thirteen preferred objects of worship: Fudo, Shaka, Monju, Fugen, Jizo, Miroku, Yakushi, Kannon, Seishi, Amida, Ashiku, Dainichi [Nyorai], and Kokuzo.11 Three deities, in particular: Fudo, Monju, and Jikokuten are relevant here. Fudo is an emanation of Buddha’s wisdom. Monju Bōsatsu is believed to have been a human who lived and attained enlightenment but returned to lead others along the path. Jikokuten bridges the distance between heaven and earth, protecting all sentient beings and gods alike. All three of these fascinating figures wield the sword. All three offer lessons for medieval and modern swordsmen alike.

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He brandishes these weapons with ferocious intent. Fudo’s scowl is foreboding and is intended to frighten those who witness it. But as we will see, humankind is not whom he is aiming to intimidate. He is not the guardian of the gates of hell (standing between the Buddhist and an existence burdened by the flames of suffering), or an evil devil-like deity. Rather, Fudo employs his blade, rope, and imagery against the forces of evil. Fudo uses his sword to cut through delusion, dissolving the illusions that blind mankind such as ego, greed, and 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 Immovable 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 swordsmanship 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.

LEFT Fudo-Myo-o, the “immovable one,” stands steadfast in his duty to help mankind. Though he stands surrounded in the fires of suffering, his mind is unwavering. He uses the sword to cut not flesh, but the delusional thoughts from the wayward mind.

Chapter 5

The Holy Fudo Sutra

Fudo Myo-o (Acala) Samurai particularly revered Fudo-Myo-o, “the unmoving guardian,” also called Fudou-Myou or Fudo. Considered the patron saint of swordsmen, he is worshiped as a metaphor and also a literal protector with whom warriors throughout the ages identify.12 Myo-o are also called “hōtōke” (embodiments of Buddha) in esoteric Buddhism—those who protect Buddhism and force its outside enemies to surrender. Fudo, like all Myo-o, are friends and guardians to the followers of the Shingon and Tendai sects of Buddhism and, indeed, to all mankind. Although usually accompanied by two boy servants, Fudo is depicted as a terrifying deity. With teeth protruding and with glaring eyes, he stands unmoving while engulfed in flames. Fudo’s skin is usually depicted as a pale bluish-green. He stands on a rock, indicating to the worshiper that Fudo is immovable like the mountain below him. In one hand he holds the sūken, a straight double-edged sword with a vajra (Sanskrit for “thunderbolt”) hilt. In his other hand, Fudo holds a kensaku (rope).

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Once during a great assembly of Buddha’s followers, Fudo appeared. This Fudo was tremendously powerful: great compassion was evident in his pale, dark complexion, great stability was obvious as he assumed the Diamond Seat, and great wisdom was manifest in the flames surrounding him. Brandishing the sword of insight he cut through the three poisons of greed, anger, and delusion; his Samadhi-Rope bound the enemies of Buddhism. Formless like the space of the empty Dharma body, Fudo settles nowhere but lives in the heart of sentient beings. Devoted servant of all, he encourages the well-being and ultimate salvation of sentient beings. When the entire assembly heard this teaching they joyously believed and received it.15

Fudo is a central figure among other Shingon deities for many reasons. He is significant in the world of Buddhist lore because he alone possesses the power to transmit prayers and requests to the Dainichi Nyorai; the complete assembly of Shingon deities. Although not terribly common or popular, the Dainichi Nyorai are the most important of all Buddhas. They are believed to be everywhere and everything. All other Buddhas and divine beings are actually considered emanations or aspects of Nyorai.

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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 emanations 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 kūji-kiri to call upon specific deities that will impart strength or an ability to read an opponent’s mind or as a form of protection.16

For the feudal warriors, Fudo was the primary recipient of prayers and calls for protection, bravery, and the strength of the unwavering spirit. In particular, one hand position, or kūji-kiri summons Fudo’s assistance: kai. The hand position for Kai is the position of a Christian praying with interlaced fingers and right thumb over left.17 The principles behind such esoteric practices and knowledge of how and when to employ such incantations are generally not revealed to outsiders. Furthermore, Fudo is the intermediary who transmits the prayers of Buddhists to the Dainichi Nyorai, the entire pantheon of Shingon deities and bōdhisattvas. So keeping secret one’s methods of contacting Fudo and sending prayers through him was in the warrior’s best interest. Even today, practitioners are reluctant to display and teach the inner aspects of kūji-kiri.

The Sword of Fudo In Japanese culture, Fudo’s sword is second only to the famed Shinto “Sword of the Gathering Clouds,” in defining the Japanese warrior image. Examples abound of Fudo’s importance in the samurai belief structure. Sūken, the straight sword, is a symbolic expression of Fudo Myo-o’s formidable powers. Samurai often included sūken images on armor, helmets, sword fittings, and so on. The sūken acted as talismans, symbolic protectors that called upon Fudo’s power and, through him, harnessed the might of the Dainichi Nyorai. In fact, some believed that the sūken, even when depicted alone, was an actual incarnation of Fudo.18 Sūken engravings are a type of hōrimōnō (engraving), commonly seen carved into the sides of blades. In doing the carving the swordsmith symbolically instills the spirit of Fudo within the soul of the blade. In turn, this act imbued the sword’s owner with an immovable mind in the face of battle. Further, the sūken hōrimōnō would also act as a talisman of sorts,

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keeping an open line of communication between the warrior and the Dainichi Nyorai. The other more obvious and direct channel to the Dainichi Nyorai is a hōrimōnō of Fudo himself. Depicting either Fudo or his embodiment in the form of sūken harnessed supernatural powers for the samurai. Other common hōrimōnō include bōnji (Sanskrit ideograms), kūrikara (the vajra-hilted sword wound with a dragon), gōma hashi (chopsticks used in offerings to ancestors at Shinto altars), kanji (ideograms of Chinese origin), and other religious images such as lotus flowers.19 Each of these hōrimōnō is believed to invoke supernatural aid. There are, however, some that stand out in our examination of the symbolism of the sword and Buddhist deities. First is the combination of a vajra-hilted sūken with an entwined dragon either ascending or descending. The vajra, when coupled with the sūken, is called the sankōzūka (three-pronged handle). The vajra itself is a weapon of Indian origin. Mythologically, it appears as early as the Vedas, where it is the lightning-bolt weapon of the god Indra. For use by mere mortals, its original design was to shoot darts from a sleeve.20 The vajra assumes varying forms, most notably the varying number of curved prongs extending from the hilt. In Japanese iconography, the vajra is a solid implement that is deeply rooted in magic, or sammaya. “[Sammaya] is the concept of protecting and concealing. It is tied directly with Tantric Buddhism on the mainland [Asia] with the double-cutting-edged sword. And what could be more appropriate… than the sūken?”21 As a talisman calling the powers of the Shingon pantheon, the combination of the sword, the sūken and the vajra are most powerful. The term kūrikara refers to Fudo’s sword in particular. The kūrikara is a sūken with vajra hilt. This image is found nearly everywhere in samurai culture: hōrimōnō engraved on swords, on sword-fittings, on menūki and tsuba provide some examples. When combined, these symbols invoke the influence of the Dainichi Nyorai in a way that no other combination of talismans can.

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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 combination 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 of ancient credential-checks, the gatekeepers nearly battled the latecomers but after much shouting, proof was given that the latecomers are indeed real yamabūshi. After the performance of the prescribed challenge, the group was allowed to join the ceremony. The newly admitted yamabūshi circle the pyre, pray before the altar, and seat themselves. As the gōma ceremony progressed, two yamabūshi came before the audience, and performed austerities with a sword and bow. One monk came forward and symbolically released arrows towards each of the four directions. Another came before the altar, and brandishing a sword, honored Fudo with prayers.

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ABOVE This hōrimōnō displays Fudo brandishing his sword beneath the Sanskrit character for his name, “Acala.” LEFT This hōrimōnō features the kūrikara on a blade by Kurihara Kenji Nobuhide. OPPOSITE LEFT this hōrimōnō shows Fudo standing beneath a waterfall. OPPOSITE RIGHT This is a stone Fudo dating to the Taishō Era.

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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 throughout many cultures. Here, the messages are channeled through Fudo to all of the Dainichi Nyorai, bringing the highest level of potency to their prayers.

RIGHT Manjusri carries the

sword in his right hand and the sutra in his left. BELOW Kokuzo Bōsatsu, shown here brandishing a sword, is particularly important to the Shingon sect of Buddhism. He aids worshipers by bestowing wisdom and memory.

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 logs people began to remove their footwear, getas and zōri. A “wizard” stood on one end of the fire and an assistant on the other, each “conjuring a power to cure into the fire.” [Campbell writes] I decided to take my time and see what it was really like to walk on a wizard’s fire. My first step, with my right foot, was a bit timid and a bit off to the side, where there were no leaping flames. But then I thought, “well now, come on!” and seeing a nice fat flame right in front, I put my left foot down on top of it, squarely. Crackle! The hairs on the lower part of my leg were singed and a pleasant smell of singed hair went up all around me, but to my skin the flame was cool—actually cool. This gave me great courage, and I calmly completed my walk, strolling slowly and calmly right down the center of the road. Three more steps brought me off… it was only when I was putting on my right shoe that I noticed that the swelling in my [injured] ankle had gone down. All the pain had disappeared too.24

Campbell’s account of the ceremony speaks to its power as a soul-stirring event. Building on Campbell’s commentary, we can explore some of the relevant symbolism. Fudo is after all, not only an important Shingon deity, but exemplifies the mystical Japanese warrior image. Fudo remains unmoved despite being surrounded in flames. Likewise, the fire-walkers’ minds were unmoved during their trek across the coals. The ritual demonstrates that humans can manifest the traits of Fudo himself. Many consider his protection and wisdom to be manifest within their lives. Those who walk the fire do so trusting that Fudo will use his sword and rope to cut and bind the flames from underneath their feet. In Campbell’s account, he makes reference to a magician casting spells on the fire. Not only was he

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praying for the fire to be cooled, he was praying for those who crossed the coals. The real significance in gōma ceremony is that flames can be tamed, cooled even, by those who do not allow the delusions of fear and attachment to invade their consciousness. Campbell himself noted that the fire had a healing effect on his injured ankle. One can only imagine the effect that such ceremonies and magic would have had on the mindset of feudal warriors. It is no surprise that Fudo is considered the patron saint of warriors and has come to represent the most important of the Myo-o. Priest Kukai wrote of the gōma ceremony, a poem called Singing Images of Fire: Singing Images of Fire A hand moves, and the fire’s whirling takes different shapes: All things change when we do. The first word, “Ah,” blossoms into all others. Each of them is true.25 Fudo stands by the side of mankind as a literal and metaphoric protector but, in another sense, he also lives within us. It is believed that people can embody his spirit when they do not allow the mind to be moved by attachments and emotions that form distracting thoughts at critical moments: fear, anger, greed, carelessness, and so on, are but delusions. They are not true reflections of the universe, but a smoke-screen that leads Buddhists to false conclusions and mistaken courses of action. Whether or not we believe in Buddhist scripture or Shingon magic makes little difference. The wisdom of Fudo can still offer meaningful symbolism today.

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Chapter 5

Monju Bōsatsu Those who have interest in Buddhist theology have doubtlessly seen many images of Buddhas and Bōdhisattvas brandishing swords. Indeed, Buddhist lore is filled with such images. Usually however, they do not appear as Fudo does, threatening, bluish-green, and terrifying, engulfed in flames. Generally, Buddhist deities are serene, even joyous—Fudo’s polar opposite. Again, the symbolism of the sword offers insight of particular use for modern swordsmen. Like in and yō (yin and yang), the manifestations of Buddha’s wisdom are also believed to express themselves in dualities. Monju Bōsatsu, or Manjusri the bōdhisattva, known as He who Speaks Softly, is believed by many to have been a disciple of the historical Buddha. He differs from Fudo in many ways other than his appearance. Most significantly, Monju is a bōsatsu (bodhisattva). A bōdhisattva is someone who has existed in human form and has reached the pinnacle of enlightenment, but instead of crossing over into the vastness of Nirvana’s paradise, has returned to the earthly plane of existence out of compassion for others. Bōsatsu then remained here, acting as guides for those who are on the path toward enlightenment. As humans, bōsatsu can be reincarnated, being reborn over and over again. In this way their guidance can continue over countless generations. It is believed that one can reappear, reincarnated, anywhere on earth. Monju Bōsatsu is believed to have been reborn as the 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 comforting 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

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universe. In that context, duality is embraced as being the natural state of equilibrium. Fudo Myo-o and Monju Bōsatsu are manifestations of the same universe yet embody different elements of it. Fudo, as a Myo-o, or embodiment of Buddha, lives beyond this plane of existence; he transcends this existence, residing everywhere but resting nowhere. Bōsatsu, on the other hand, represent hope for humanity. They are earthly guides whom we can follow for ourselves. It is of the highest significance that each of these important deities wields the sword. There is, however, one more facet in the symbolism of the sword that will yield value in this discussion. Who protects the Bōsatsu? Who protects Myo-o? Who are responsible for protecting humanity and Buddhist doctrine? To whom can the higher deities look for protection? They can look to Jikokuten, the Warrior-Guardian.

Jikokuten Jikokuten is one of the Shitennō, or Four Heavenly Kings that Japanese Buddhism has adapted from Hindu deities. Shitennō exist between the heavenly and the earthly planes in which mankind and bōdhisattvas live. As a figure, Jikokuten is a guardian that links heaven and earth. He stands facing east, guarding over the dharma

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ABOVE Most people think of the serene images of Buddha. Japanese warriors, however, called upon his ferocious manifestations. Jikokuten, “Guardian of the Nation,” is one of the four warrior kings charged with guarding the eastern quarter of the four cardinal directions. LEFT Another representation of Jikokuten—Guardian of the east.

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ABOVE This tantō displays an

ōni, reminding the owner to cut through demons, thereby creating salvation.

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(Buddhist doctrine), along with his three companions: Zojoten, Guardian of the south; Komokuten, Guardian of the west; and Tamonten, Guardian of the north. Jikokuten is sometimes called the Guardian of the Nation. The term “nation” in this sense means “the earth,” indeed, the entire universe through which Buddha-spirit flows. Jikokuten in particular is the protector of the Nyorai, Manifestations of Buddha, and bōsatsu (bōdhisattvas). In this capacity, he oversees all of the consciousness, both embodied or not. Jikokuten, along with the other heavenly kings, is frightening. They all stand surrounding Buddha guarding his vast kingdom against those who would hinder it. Comparing these three deities clarifies some important distinctions in the iconography of the blade. Fudo and his mind are unmoved by flames. Although Fudo’s images (particularly the flames) are dynamic, his immovability is always implied. This is also the case with Monju Bōsatsu, who sits presenting an outward warning while offering the alternative to the blade, the Buddhist doctrine. Both Monju and Fudo serve as reminders to mankind. Their images stand with minds and hearts ready but bodies firmly in place. Their images imply that they would not even need to move from their position to cause change in the heart of the beholder. Jikokuten, on the other hand, is usually portrayed as being animated and ready for action. Jikokuten also stands at the ready, sword drawn and in-hand. He protects righteousness and the virtue of pure truth. He is “a warrior’s warrior.” His armor, posture, and facial expressions make clear his intent and ability to carry out his mission. He is often shown atop a slain demon, gearing to leap upon the next. He, too, brandishes a sword of benevolence. His sword shares the same iconography as that of Fudo and Monju. In fact, the blade he carries is a straight sword, often with a vajra hilt. It is a divine sword of insight and knowledge, its symbolism crossing both Shinto and Buddhist doctrine. The sword is the symbolic weapon of choice when protecting deities and mankind alike. This is one of the lessons that Jikokuten’s sword offers swordsmen. When we see whom Jikokuten engages in battle, another lesson in the iconography of the blade emerges. The enemies that Jikokuten slays are called tentōki. Tentōki were once demons, or ōni, who became lantern carriers after being defeated by one of the Shitennō. They stand along the path toward enlightenment, illuminating the way for others. Jikokuten’s sword, like that of Fudo and Monju Bōsatsu, cuts but does not kill. It enlightens. What is cut is not the body, but the mind of the wayward soul. This, perhaps, is one of the most poignant lessons that sword enthusiasts can glean from the study of sword symbolism: the sword is best used to cut through our own delusion. Wickedness and suffering stem from delusion. By cutting away the delusions of others, leading them to see and act with clear insight, the sword and the self become one. And each time we employ our powers, be they physical or otherwise, we hold the potential to heal or harm. In this way, samurai believed they embodied the sword of Fudo by their very actions. Looking beyond the catchy “fortune cookie” martial arts slogans we can glimpse the richness they originally intended to convey. But the Zen sect, a latecomer in the

world of Japanese Buddhism, would bring the sword to new levels of spirituality—the sword of insight.

The Sword of Zen: The Sword of Insight Japanese forms of Buddhism have intermingled with culture and art in countless ways. They cannot be extracted individually from any understanding of modern Japanese culture. One needs only to look to Zen and its profound influence on the Japanese perception of mind, meditation, and self-mastery to see how inextricably Buddhism is interwoven in Japanese life. In Buddhism, it is believed that people create their own hell or heaven, psychologically, here in this lifetime, as a result of their mindset. Zen focuses at the heart of this matter and asks the Zen student to direct all of his or her attention into the mind. By isolating the processes of the mind, Zen practitioners can discard the thoughts that are impacted by delusion or attachment. Identifying and developing mastery over the various mind-functions is critical in Zen. The same is true for the Zen swordsmen of Japan, both historically and today. Zen began to take root in the psyche of Japan during the Kamakura Period. But up until the end of the Edo Period, warriors preferred more practical esoteric Mikkyo sects of Shingon and Tendai Buddhism. While it is correct that the Zen-swordsmanship connection was not popular during early feudal periods, it began to emerge through Tesshu’s writings in the late Edo Period. Zen permeated Japanese culture by building on the long-established sociological preconceptions surrounding the sword’s symbolism. The Zen-swordsmanship connection developed during the tumultuous period leading up to the fall of the samurai class and creation of a modern Japanese identity. The effects of Zen on swordsmanship culture were not immediate or far-reaching. Zen, as a form of Buddhism, established its political prowess and financial security during the Heian, Kamakura and Muromachi Periods. In the practice of swordsmen, however, more has been made of Zen in the modern era. This is in part due to the shift in the application of martial arts during modern times, as reflected by several prolific authors. The written word brought a new age of iconography to the sword during the Nara Period. So too would the written word reinvent the imagery of the warrior-sage, particularly as exemplified today in the Zen-swordsman ideal. Three authors acted as the initial catalysts in creating the Zen-sword connection that has been so widely accepted today. They are Takuan Soho, Yagyu Munenori, and Yamaoka Tesshu. Later, Daisetz T. Suzuki, and Eugen Herrigel played critical roles in developing the Zen and sword connection during the modern age. Literary treatment of this connection is revisited in Chapter 7. Together, all of these men would create a new Japanese warrior image for the modern era. Many schools of swordsmanship (and other martial arts) are practiced with Zen-based spirituality today. Applying Zen to martial arts has, in essence, opened the spiritual aspects to a wide variety of modern practitioners by emphasizing internal and personal aspects of training. Many modern arts de-emphasize practical applications of the sword by replacing functionality with personalized character and insight development. Such sword arts

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include modern kendo and iaidō. However, it is important to note that Zen also influenced historical sword styles. Author Dave Lowry offers his perspective on Zen and to what degree Zen it impacted Edo Period swordsmanship: Yagyu Munenori (1571–1646), the second headmaster of the Yagyu Shinkage ryū, a school of swordsmanship and martial strategy, was a friend and disciple of the Zen Buddhist Priest Takuan Soho (1573–1645). Takuan wrote some treatises and letters to his student, using the analogy of swordsmanship and martial strategy to explain Zen….The commentaries Takuan wrote to Munenori (he also wrote similar letters to other swordsmen and daimyos) were widely read. Conversely, the densho, the curriculum and scrolls of most ryū, were kept secret from nonmembers. So the general public, exposed to Takuan’s writings, [incorrectly] assumed a close Zen-būdō connection. Martial artist reinforced this in the post-feudal period.29

Takuan Soho’s writings would endure and eventually become a major force in reshaping the modern popular connection between Zen and swordsmanship. Similarly, Yamaoka Tesshu’s works were widely read. These early Zen authors laid the foundation for later authors like Suzuki, Herrigel, and countless others who have rehashed their interpretations. Therefore, no discussion of Zen would be complete without touching on Suzuki’s role in shaping the Zen-warrior identity. Famed author Daisetz T. Suzuki dedicated 155 pages of his epic 1959 work, Zen and Japanese Culture to outlining the oneness of the sword, the Japanese ethos, and the practice of Zen. Suzuki’s work changed modern perceptions of Zen-warrior spirituality, both Japanese and non. Unfortunately, Suzuki studied neither Zen nor swordsmanship and his writings distorted both Zen and the iconography of the sword.30 Suzuki was a scholar who studied the science of religion not in Japan, but overseas in America. He wrote in English to American and European readers with the intention of espousing his nationalistic version of Zen, which he considered not to be the property of the Zen 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:

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result of Suzuki’s reporting of it. So as we look into Zen and the warrior, it is important to distinguish between the actual teachings and practice of Zen Buddhism and the distorted modern application of Zen ideas to non-religious activities. Just as nativist Shinto existed as regional folk-rituals before they were formally codified, so to did the practices of swordsmanship as a means to enlightenment. Zen, established in the Kamakura Period, would not see widespread popular association to swordsmanship until Takuan Soho, Yagyu Munenori, and Yamaoka Tesshu’s writing during the Edo Period. Nevertheless, understanding Zen in terms of when and how it interplays with the iconology of the sword is critical to understanding how later warriors (including today’s) saw their swords. Zen is a form of Buddhism that heavily influenced martial artists, both historical and modern. “Zen” is the Japanese pronunciation of “Ch’an,” the Taōist-influenced form of Chinese Buddhism from which it evolved. Zen places heavy emphasis on meditation as a method of attaining enlightenment. From its earliest days, the Japanese warrior and his sword were attracted to Zen. Although the Ch’an school of meditation had been integrated into Japanese society as early as the seventh century, the Tendai monk Eisai (1141–1215) popularized Japanese Zen. The fourth Hojo family daimyo, Hojo Tokiyori, who was certified as having attained enlightenment in the Zen method, popularized Zen. Hojo Tokiyori was a powerful warlord from an important and influential family. His endorsement and practice of Zen meditation spread through the Ashikaga shoguns and beyond. Zen’s popularity had a snowball effect among the warrior class due to its many appealing qualities. By the time Zen was imported to Japan it had already seen profound Taōist influence. It could be said that proto-Zen, in fact, preexisted in China as a hybrid of Taōism and Indian Buddhism. In China, the Ch’an school of meditative Buddhism emerged as Indian Buddhism traveled North and East through China. As Buddhism

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BELOW The elegant simplicity

of Zen rock gardens has stirred contemplation historically and continues to inspire people today.

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 expressions 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

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came into contact with Taōism, a new method of attaining enlightenment evolved to suit the tastes of the Chinese. The emphases of “flowing in harmony,” “living in the here and now,” and the “pursuit of balance” as epitomized by Taōism combined with the introspection and self-searching of Buddhism. The elaborate ceremonies and opulence of preexisting schools of Buddhism were cast away. The result was Ch’an. Zen, like Taōism, employs the warrior image in guiding the development of benevolence in practitioners. Instead of using the tales of Chuang Tzū and Lao Tzū however, Zen emptiness preestablished Buddhist deities such as Monju Bōsatsu. Many samurai, in their need to reconcile their spiritual and practical realities, relied on meditation to free them from suffering and delusion. This is sometimes referred to as unlocking one’s Buddha-mind. Through arduous and lengthy meditation, the Zen practitioner achieves enlightenment by stripping away his own delusions. In keeping with the image of the warrior, the samurai sought to maintain readiness of both mind and body. The samurai were attracted to the detachment from thoughts of life and death that Zen meditation offered. Herein resided the primary appeal of Zen for the samurai. Maintaining one’s honor through rightminded behavior, both on and off the battlefield is a theme that transcends Japanese historical periods. Zen’s ability to meet this need has ensured its assimilation into Japanese culture. The integration of Zen, as with earlier forms of Buddhism crept into the Edo Period samurai who sought reconciliation between their duties to kill and to attain salvation. The warriors maintained an intimate relationship with the realities of hundreds of years of constant warfare and strife. Zen stresses the refining of one’s ability to live in the moment, shedding thoughts of past and future. Zen teaches that any thoughts that stray from the here-and-now are delusional and reflect ego and the minds’ tendency towards delusion (considered a form of hell in Buddhism). As with the integration of earlier forms of Buddhism into preexisting nativist Shinto beliefs, Zen was added into the body of available spiritual guidance that the samurai had at their disposal. In this way, Zen came to complement the protective talismans of Shingon (such as Fudo-Myo-o and the sword of wisdom) and the aid of the ancient Shinto kami (such as Amaterasu, Susano-wo-o-No-Mikoto, Hachiman, and one’s ancestors). As Zen gained popularity, Zen monks were given high social standing. They became the leading scholars of the day and were even given posts as advisors to the Ashikaga Shogunate under Ashikaga Takauji. The essence of Zen is the pursuit of insight into the true nature of the universe, and in turn, oneself. But the order of enlightenment is reversed, thereby making true insight more accessible. In Zen, the focus is an inward one. After having seen one’s true inner nature, an accurate perspective on the universe can be unlocked. Zen sees man as an expression of the universe. Consequently, if one can achieve complete insight, then the key to Buddha-mind (enlightened mind) is revealed. The moment of this realization is called satōri. Achieving the goal of insight improves the quality of “outsight,” or one’s ability to see the world in a complete, unbiased,

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and enlightened way. The training halls of Zen were designed simply to minimize distractions and encourage inward thinking. Suzuki writes of Zen’s ability to generate satōri, or universal insight for swordsmen: And is it really the delusion and not the actuality of things as they really are, that creates in us every occasion for worries, fears, harrowing anticipations? When this delusion is wiped away, would not life itself look after its own welfare as it deems best? And would not this be the way the swordsman lets his life-preserving instinct work itself out in full accordance with nature? …It is, no doubt, of the utmost difficulty to wipe out the idea of death from the field of consciousness, but there is no reason we cannot do it, seeing that the conscious field is our deliberate cultivation, collective and individual…Especially the swordsman’s life is devoted to this form of discipline. He drives away his conscious notion of death from the field of consciousness we ordinarily recognize and permits the instinct of self preservation to come forward, which then occupies the whole field of unconscious consciousness… I believe this is on the whole the psychology of perfect swordsmanship.32

It is impossible to study Zen and the sword without studying Yamaoka Tesshu. Tesshu’s brand of Zen-influenced swordsmanship was born in a tumultuous time when warrior spirituality was on the decline. Edo Period commoners flooded the capital city of Edo. They brought with them their practical, uneducated, and ruthless fighting techniques. In many cases, ruffians defeated formally educated and trained samurai. This challenged the long-held preconception that the scholar warrior was ideal and most powerful. Friday explains, “Thereafter, established martial lineages that had emphasized theory or mental training became subjects of ridicule, while new lineages that taught competition (ūchikōmi keikō) flourished.” Even Tesshu himself, the swordsman who would spur the modern zen-swordsmanship connection, served as a sword instructor at the Kubosho, a school known for downplaying any connection between spirituality and martial arts prowess. For example, Tesshu, a famous late Zen swordsman and founder of the Muto-ryū school of swordsmanship writes: For years I forged my spirit through the study of swordsmanship, Confronting every challenge steadfastly. The walls surrounding me crumbled; Like pure dew reflecting the world in crystal clarity, Total awakening has now come. Using thought to analyze reality is illusion; If occupied with victory and defeat all will be lost. The secret of swordsmanship? Lightning slashes spring wind!”33

Kōans (Zen riddles) are often given in some schools of Zen Buddhism as a means of spurring and guiding reflection during meditation. Special kōans were developed and used specifically for those samurai who could benefit from more practical riddles. For example, instead of contemplating esoteric enigmas (as many kōans are) such as, “the sound of one hand clapping,” a samurai might

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When mūshin or mūnen is attained, the mind moves from one object to another, flowing like a stream of water, filling every possible corner. For this reason the mind fulfills every function required of it. But when the flowing is stopped at one point, all the other points will get nothing of it. And the result will be general stiffness and obduracy….But the attempt to remove the thought already in it is to refill it with another something. The task is endless. It is best, therefore, not to harbor anything in the mind from the start….

ABOVE In many ways, the simple elegance and asymmetrical form within swordsmanship mirrors that of a Zen garden.

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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 perspective sees evil as intimately related to, or even a facet of good, and vice versa. Zen literature often speaks in terms of warriors using the precepts of Zen to realize their “priestly” potential, to embody the benevolent-warrior image. This had as much to do with practice of martial arts as it does the mindset of the warrior during practice. And as for swordsmen, Zen offered an appealing path towards mastery—both in the art of swordsmanship and the art of living. Zen, as a system of mind-mastery, seeks to connect the physical realm to thoughts, emotions, predispositions, attachment, and delusion. By shedding unnecessary thought processes and the distractions that they represent, one can move through this world unimpeded. This ideal also applies directly to Zen-influenced swordsmanship. Enlightenment in one sense would indicate enlightenment in the other. What is shared are the internal aspects of the enlightened, or “awakened” mind. The cultivation of a mind that does not attach itself to emotion-driven or ego-driven thoughts was in high demand for the samurai. For the Zen swordsmen, this was an important, philosophically practical mentality. In the mind of the Zen swordsman, there is no kill, so to speak, because the mind in a state of oneness is not capable of making the distinctions necessary for judgment-guided action. Famed Zen Master Takuan, teacher to the most famous swordsmen of his day, speaks of this issue. He writes a letter advising Yagyu Tajima-nokami Munenori, leader of the Yagyu Shinkareryū, on attaining perfection of swordsmanship by means of perfection of the mind: A mind unconscious of itself is a mind that is not at all disturbed by affects of any kind….It is always flowing, it never halts, nor does it turn into a solid. As it has no discrimination to make, no affective preference to follow, it fills the whole body, pervading every part of the body, and nowhere standing still….If it should find a resting place it is not the mind of no-mind. A no-mind keeps nothing in it. It is also called mūnen, “no thought.” Mūshun and mūnen are synonymous.

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Takuan then paraphrases an ancient poem in relation to romantic love and attaining no-mind: To think that I am not going To think of you any more Is still thinking of you. Let me then try not to think That I am not going to think of you.36 Zen teachings and literature focus on helping swordsmen to realize their potential in swordsmanship by attaining higher levels of consciousness. In this way, Zen had a greater impact on how the swordsmen of Japan perceived themselves in relation to their swords than it did in creating new iconography. By building on the previously established images and Buddhist deities and adding to that the Zen mindset, Zen shaped the warrior culture. The impact was profound, wide reaching, and long lasting. Zen swordsmen saw their blades as tools of enlightenment—not only for themselves, but for those who were on the business end of the blade as well. The cutting of flesh became synonymous with the cutting of delusion. When swordsmen practiced with their blades, there existed a presupposition that the practice resulted in spiritual self-cultivation. In battle, however, the Zen sword proved its worth as well. The Zen mentality and focus on no-mind allowed swordsmen to cultivate very keen senses. Without preconceptions, or thoughts of any kind, the Zen sword moves of its own accord, and the swordsman

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therefore becomes an expression of the universe. The empty mind (as attained through Zen meditation) only reflects what is before it, and does so without bias or sentimental judgment. When the sword is wielded in such a manner, it is said to embody the wisdom of Buddha— the life-giving sword. What then did Zen make of the gruesome realities of killing with the sword? How can the sword—a tool specifically designed for the killing of men—become affiliated with the Buddhist doctrines that propagate the salvation of sentient beings? Zen teachers relate these concepts by advising students to consider Monju Bōsatsu and his life-giving sword of wisdom. Yet again we see the Taōist roots of Zen coupled with a smattering of Shingon and Tendai deities rehashed within a modern interpretation of Zen and the Symbolism of the sword. Suzuki writes: Zen speaks of the sword of life and the sword of death, and it is the work of a great Zen master to when and how to wield either of them. Manjusri carries the sword in his right hand and the sutra in his left. This may remind us of the prophet Mohamed, but the sacred sword of Manjusri is not to kill any sentient beings, but our own greed, anger, and folly. It is directed toward ourselves, for when this is one, the outside world, which is the reflection of what is within us, becomes also free from greed, anger, and folly. Acala (Fudo Myo-o) also carries a sword, and he will destroy all the enemies who oppose the practice of the Buddhist virtues… [When all evil has been dispelled, Fudo] will assume his original features as the Vairocana Buddha, whose servant and manifestation he is. The Vairocana holds no sword, he is the sword itself, sitting alone with all the worlds within himself.37

ABOVE Katsū-jin-ken satsu-jin-ken calligraphy that refers to the dual nature of the life-giving, life-taking sword.

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As the above passage indicates, Suzuki’s Zen appreciates the balance of light and dark, hard and soft, as Taōism had. Also appreciated in Zen as in Taōism is the balance of the realities of making war—the life-giving sword (katsū-jin-ken) and the life-taking sword (satsujin-ken). Here, yin-yang offers insight into the life-giving sword. Ideally, the life-giving sword is done from the perspective of wisdom and insight. When wielded from this vantage point, the sword transcends its form as a killing tool and realizes its potential as a munificent universe-shaping extension of the enlightened warrior. Indeed, the precedent had been set by Chinese Confucians and Taōists, who touted the virtue of wisdom as a prerequisite for waging a justified war. If a war could be morally justified as being for the greater good and sustenance of societal order, then it was also considered in harmony with divine order. The katsū-jin-ken satsu-jinken paradox represents Zen’s concept of virtuous, enlightened, and justified killing. This was a major factor in shaping how swordsmen saw their blades and the mark of an enlightened warrior to espouse such concepts. This mindset also shaped the warriors’ perceptions of ardent martial practice as means to establishing inner harmony. Practice of martial arts developed the qualities of moving meditation. If inner harmony could be developed, it was believed that actions taken would lead to societal harmony. Zendō, or Zen meditation halls, are unembellished chambers of austere training where a no-nonsense approach to enlightenment is propagated. It is interesting to note that the do, in zendō, denotes an implicit

connection between Taōism and Zen. Nevertheless, Zen and martial arts schools of medieval Japan were inseparably linked by tradition and time. The zendō, a place of austere training in an art that could be considered a Way, became the inspiration for martial arts schools and tea-houses all over Japan. Zen-influenced training halls are free of clutter and distractions. Yet, as we will see in later chapters, the connection between the Zen style “dojo” and martial arts has less to do with Zen than with the emergence of state-cult Shinto during the Taishō Period. Zen encompasses many things. Yet in the end, what Zen is not may have helped to ensure its popularity among the warrior class. Warriors were attracted to the sparse aesthetic, which focused on simple living, shunning the ostentatious ways of other forms of Buddhism. Its appreciation for minimalism and hard-earned internal, spiritual progress appealed to the samurai, who sought to epitomize the warrior ideal. The humility and sparseness of Zen, coupled with its rigid and demanding meditation sessions, fit nicely with the warriors’ need for social structure and self-reliance. Again, the Japanese show their propensity to adopt and adapt the preexisting to synthesize something new. Japanese Zen is certainly unique, even among other forms of Buddhism and even when compared to its Chinese predecessor, Ch’an. Zen offers the swordsman a chance to examine deeply internal processes of mind and identity. During the Kamakura Period Zen thrived, weaving itself into the very fabric of Japanese culture and worldview. Its impact continues to resonate today.

Heian Period Swords It is believed that during the Heian Period, the Japanese blade saw a transition away from the tsūrūgi and tachi jōkōtō designs. Although there was some experimenting with various curve designs, the jōkōtō blade had not yet hit the mark of excellence that it was destined for. The standard practice of swordsmiths in the mid-Heian Period became the making of curved and differentially-tempered blades. This construction method, combined with the edge differentially tempered, defines the Japanese sword. Other important changes include the steepened surfaces of the blade, resulting in sharper swords and easier cuts. This marks another important shift away from the under-engineered, bulky tsūrūgi and tachi versions of the jōkōtō. With its single edge and curved blade, the Japanese sword shifted from a hacking and stabbing instrument to a slicing tool. This is likely to have been in response to a shift in military tactics to include more cavalry usage. The mounted warrior could use the curved blade with deadly efficiency, slashing down from above with great speed. The use of a straight sword in such a context would have been less effective because the straight sword encounters greater surface area upon contact. The impact of a blade is amplified when the swordsman is mounted on horseback and riding past with momentum. The curved sword slashes more easily. As thrusting was de-emphasized in swordplay, the curved sword became the standard tool for the Heian warrior.38 Note that at this time the blades are still considered tachi. These blades, like their predecessors, were worn edge downward, necessitating two motions before the cut.

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Kamakura Period Swords Due to the Mongolian invasion, the Japanese sword saw some significant changes during the Kamakura Period. Most of the changes did not redesign the sword but made it more effective.39 During the Kamakura Era, swordsmiths began carving hi (grooves) and hōrimōnō (talisman designs) into the surfaces of swords. The carved designs, or hōrimōnō were a way of imbuing religious or protective talismans directly into the surface of the swords. Hi, also known as bō-hi, serve another purpose entirely. The hi, carved lengthwise on both sides of a blade, lightened the blade while not detracting from its strength. This adaptation in the finishing process of making swords resulted in an even lighter, stronger, more reliable blade. Another indicator of the increased level of craftsmanship is the elaborate finish of nakago (tangs) of the late Heian and early Kamakura Periods. These improvements were reflected by swordsmiths regularly signing the nakago of their blades.40

Muromachi Period Swords The tumultuous years of the Muromachi Period came to a crescendo with what is referred to as the Sengoku Period (1467–1573). Generally included as a component of the Muromachi Period, the Sengoku Era is referred to as The Age of the Country at War. These were desperately hostile times. Neighbors fought neighbors. Alliances were forged and betrayed. Swords and swordsmen were in high demand. Social pressures forced the creation of arms and warriors en mass. Japanese culture continued to be shaped by constant warfare. So, too, were the blades the men wielded. The Muromachi Period marks an important distinction in Japanese swords: Those that came before and during the Muromachi Period are referred to as koto (ancient-sword). The swords produced after the Muromachi Period are called shinto (new sword). The Muromachi Age is recognized as the last era of the cherished, “ancient-blade” craftsmanship. Due to the large number of swords that were produced, the general quality of blades took a downturn. Poorly trained swordsmiths churned out blades, often forging signatures of famous smiths so as to sell their work for higher prices. A few highly-rated smiths continued to produce fine-quality blades that are included in fine collections and museums today. But compared to the boom in lowly-rated smiths, the top craftsmen were comparatively few. Another major shift in the application of the sword emerged in the Muromachi Era. Towards the beginning of the Muromachi Period, only a few low-rank samurai made a habit of tucking their swords edge-up and into their belts. Eventually this became the daily norm, adopted even by high-rank samurai. This change is probably the result of several factors. First, the sword became needed as a daily tool during the turmoil of this period. Second, wearing the sword edge-up and in the belt allowed for a smooth and efficient draw-and-cut, in one motion, as opposed to the two motions needed when the sword was carried edge-down. Third, considering the first two factors, the mounting hardware became too bulky. With extensive cordage used to attach the tachi, it was neither practical nor comfortable for daily use, particularly when not wearing armor while going about one’s

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daily activities. This change offered quicker response in two ways. First each swordsman became capable of drawing and cutting with one stroke. Second, groups of samurai were able to maintain a heightened state of readiness, being constantly armed and able to respond to the call to battle. With the sword now worn in the “katana” fashion as a rule, it is worthwhile to note that at this time we see increasing numbers of paired swords—long and short— worn together. Wearing the daisho was restricted to members of the samurai class. It is during the Muromachi Age that the sword began to establish itself as a samuraionly symbol to the farmers and peasants, who up until Toyotomi Hideyoshi’s famous sword hunt, had been able to own and wear swords.41 Despite having already achieved supreme symbolic status, this distinction fueled even greater social acceptance of the divinity of the sword. The Awataguchi School was founded by Kuniie, whose father Kuniyoshi went to Kyoto from Yamato Province where he had connections with Kofukuji Temple. Kuniie founded the school in the Awataguchi district of Kyoto near the Seirenin Temple. It is estimated that this occurred around the early 1100s. This school flourished from the early- to mid-Kamakura Period. Kuniie had six brothers, Kunitomo, Hisakuni, Kuniyasu, Kunikiyo, Arikuni, and Kunitsuna. Kunitomo’s son, Norikuni, and his grandsons, Kuniyoshi and Kunimitsu together with Kuniyoshi’s son, Toshiro Yoshimitsu continued the school traditions. Awataguchi Kuniyoshi was the son of Norikuni and is said to have been the father of Toshiro Yoshimitsu. He was given the title of Sahei-no-jo and is thus known as Sahei-no-jo-Kuniyoshi. His active period in history can be known from his dated examples that range from 1280 to 1287. Kuniyoshi was known for tantō in various shapes including the ones in wide and long measurements. They are wide but in sūn-zūmari length (squeezed length) making the blade look like a Japanese kitchen knife or hōchō. He made others in markedly smaller sizes. The variety of shapes of his tantō is what differentiates his works from tantō produced by the Rai School. This variety of shapes was passed on to his son, Yoshimitsu. The tantō displayed on the lower portion of the following page is in a remarkable state of preservation. It is wide and robust having undergone relatively few polishes over its more than 750-year lifetime. It comes in a shirasaya with a sayagaki by Tanobe Sensei of the NBTHK who notes that this sword is chin-chin cho-cho or “especially precious.” It also comes with a solid gold double habaki with the Tokugawa Aoi mōn showing that it was once part of the collection of the Tokugawa family. There is some speculation that because the shape and structure of the blades of Kagehide are closer to the Ko-Bizen tradition than that of the remaining works of Mitsutada, that he should be classified as a Ko-Bizen smith rather than a member of the Osafune School. While this is a valid argument, because of the lack of a great amount of signed blades by Kagehide, we must remember that he worked in a time of transition. If, in fact, he was the younger brother of Mitsutada, it stands to reason that they were contemporaries and that when Mitsutada broke from his more traditional Ichimōnji style, it follows that the works of Kagehide might retain many of the characteristics of the older Ko-Bizen school.

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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).

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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.

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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

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“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 Ichimonji (⚟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 shinogizukuri, 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, gunome, and other variations. The width of the hamon will vary. The predominately niōi structured niōi-guchi is lined with fine ko-nie and contains a great many ashi and yo. Sunagashi, kinsuji, and other forms of nie based hataraki will be seen.

Jitetsu

The kitae is mainly tight itame-hada mixed with mokume-hada. Occasionally a slight amount of o-hada or loose grained area will be present. There will be pronounced utsuri in the form of choji-utsuri, midare-utsuri, jifu-utsuri or botan-utsuri.

Boshi

The boshi will tend to be somewhat stubby or ikubi in shape. It is midare-komi in proportion to the hamon and either yakisume or it will have a short kaeri.

Hōrimōnō

Original hōrimōnō will not be found with the exception of bō-hi or futatsu-hi. The top of the hi will be sharp and well shaped. The bottom of the hi becomes maru-dome, kaku-dome, or kaki-nagashi.

ABOVE Ichimōnji

THE FUKUOKA ICHIMŌNJI SCHOOL (⚟ᒸ୍ᩥᏐ) By Fred Weissberg 6/07 This... kantei blade was from the Fukuoka Ichimo-nji School (⚟ᒸ୍ᩥᏐ) of Bizen Province. It is ubu and signed with the character “Ichi” (୍). It is a graceful tachi with a length of 66 cm. It has a deep koshi-zo-ri with bo--hi extending into the nakago on both sides. The shape is very typical of the Kamakura Era. The Ichimo-nji School (୍ᩥᏐ) in Bizen Province was a large school that was founded in the beginning of the Kamakura Period and lasted through the Nanbokucho Period. From the beginning of the Kamakura Period and up until the middle of the Kamakura Period, works by this school are commonly referred to as Ko- Ichimo-nji (୍ྂᩥᏐ) works. From the beginning of the Kamakura Period and through the middle of the Kamakura Period, the center of the production done by this school was located in the area called Fukuoka (⚟ᒸ). From the end of the Kamakura Period and through the early part of the Nanbokucho Period, the center of production moved to Yoshioka (ྜྷᒸ). The name of the school is derived from the way that many of the swords extant today are signed only with the Kanji character

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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.

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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.

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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.

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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.

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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.

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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.

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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 Sōri: 2.8 centimeters or 1.1 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 conscientiouslymade sword has a signature that begins with “Bizen Koku Ju Osafune.” This sword was custom-made for some daimyo.

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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.

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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 kangimaki 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 mokkogata 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.

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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.

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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, Buddhism, and nativist Shinto mythology into the greater Japanese worldview. This chapter will explore the Edo Period and its Tokugawa Shoguns’ rule. This chapter also offers some literary analysis. Here, the spiritual undercurrents of a sword style are examined and discussed. By looking into the Kashima Shin-ryū’s Dragon’s Scroll, we can see that Neo-Confucian and Taōist principles were influential philosophies of Kashima Shin-ryū swordsmen. This offers us a glimpse into how spirituality and the sword were historically linked and communicated during the Edo Period. After all, the relationship between a warrior and how he perceives the symbolism of his sword is of critical importance. Finally, this chapter concludes with a discussion of how the Japanese sword transitioned into a new era and how the decreased manufacturing demand impacted the craft of sword making.

The Edo Period (1603–1867) The history of Japan up to the late 1500s was fraught with greedy daimyos, merchants, and monks vying for power and influence. Increasing one’s land, money, control, and status became the element that most factions of Japanese society shared. Marriages, alliances, and truces were broken and shattered in the name of elevating one’s clan to higher standing and wealth. Grievances between wealthy families—usually over property rights—sometimes escalated into bloody battles that recurred again and again over hundreds of years. Despite the extent to which the Japanese were ingrained with the culture of servitude and warfare, the samurai warrior archetype had not yet reached its zenith. The Edo Period in Japanese history is sometimes called “the Japanese renaissance.” Tokugawa Ieyasu established the city of Edo (later renamed Tokyo, or Eastern Capitol)

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as the base for his military government. The period is so named for the move of the capital city to Edo (modern Tokyo). Tokugawa was a diplomatic genius. Through a series of proclamations he instituted a delicate balancing act of political manipulation and military control. While remaining on good working terms with the imperial court, Tokugawa enacted rules that greatly restricted the movements of the daimyos. Meanwhile he continued the banishment of Spanish and Portuguese missionaries. By this time the English and Dutch had begun to trade with the Japanese. Tokugawa saw no advantage to allowing the Spanish and Portuguese to stay. They had caused much disruption and discord among samurai clans. Furthermore, the Spanish and Portuguese, two bitter enemies, continued causing problems by bickering over rights to the salvation of Japanese souls. Tokugawa did not want to risk having his advisors and generals come under the manipulation of these outsiders. In swift and bloody fashion, the Japanese Christians were almost completely removed from Japanese soil. Those that remained did so in secret, going underground, and concealing their faith in very clever ways. Tokugawa further secluded Japan by increasing the restrictions on foreign trade. Eventually only a few Dutch ships were allowed to dock on a small island in Nagasaki Bay. No foreigners were allowed to come onto the Japanese mainland. Similarly, no Japanese were allowed to leave Japan. Except for a small number of trades, a few times each year with the Dutch, Japan went into total isolation from the world. Continuing to pay homage to the emperor, Tokugawa kept the emperor as a puppet figurehead. The real governance, however, came from his command in Edo. Tokugawa’s greatest success was probably his system for preventing further infighting amongst the daimyos.

OPPOSITE During the Edo Period, samurai were able to pursue their personal interests, such as bird keeping, calligraphy, and tea ceremony.

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He required the daimyos to keep a house in Edo as well as maintain their estates in their home provinces. Each estate would have to be fully staffed, which was very costly for the daimyos; fortifications built, servants hired, et cetera. Because of this, they were unable to save funds for their war chests. In a dizzying exercise of logistics, Tokugawa forced a given daimyo to live in Edo half of the year, while simultaneously allowing the rival daimyo to live in his country estate. Then, under Tokugawa escorts, the “guest” daimyo and their personal armies would be allowed to return to their country estates. Simultaneously, possible enemies/allies were escorted to Edo, again under Tokugawa’s samurai guard, to live for half the year. To fortify his plan, Tokugawa required that “guests” be “allowed to stay” with him in Edo. Really, it was a highly refined form of hostage-taking that included bribery, marriage, and a constant threat of having one’s family labeled as traitors and killed. This system prevented families that had been disputing land ownership for hundreds of years from continuing military action against each other. No daimyos were ever home long enough or had enough money to support any consequential military revolt. Only after Tokugawa had come to power and settled himself into the position of shogun could Japan benefit from having one, stable, centralized government.

many daimyos were forced to spend part of each year in Edo, the capitol city of the period. OPPOSITE Portrait of Tokugawa Ieyasu.

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With a large population of “guests,” and travelers constantly coming to and going from Edo, it became a new center for arts and culture. The fierce samurai, who had warfare ingrained into their collective souls, began a fascinating change.

A Scholar-Warrior Ruling Class During the reign of the Tokugawa Shogunate the samurai had the time and money needed for the development of the more artistic and subtle elements of Japanese culture. In looking to the idyllic warrior archetypes of old, the Edo Period samurai saw a revival of Confucian ideals. Called Neo-Confucianism, the predominant worldview of Edo samurai shifted to re-elevate the scholar over the warrior. Unifying the three great philosophies of Buddhism, Taōism and Confucianism, Neo-Confucianism de-emphasized secularism within Japanese society. Careful attention was given to refining and codifying the demonstrations of respect for people within the four levels of society. These samurai were increasingly honor-bound to interact with those above and below in accordance with Confucian ideals. Daily life became a ritualistic engagement of etiquette protocol observances. In the late 1700s, popular perceptions of Neo-Confucianism began getting mixed up with Zen, a trend that would become a major shaping force in the martial arts from the Edo period onward. Bodiford explains:

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Noting that both Confucian instructors and Zen monks advocated forms of meditation and discussed the same conventional 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:

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Establishment of the Tokugawa military government (bakufu) in 1603 ushered in an age of peace and stability that witnesses the spread of literacy and the development of a new class of professional martial art instructors. These professional martial artists for the first time in Japanese history composed systematic martial treatises (of which more than fifteen thousand separate titles still survive) and published many of them for an audience of avid readers. The authors of these treatises drew on systems of Chinese learning concerning cosmology, military theory, Daoist (Taōist) alchemy, and Confucianism to endow traditional kata with a veneer of literacy and metaphysical sophistication… Aside from magical spells, the alchemical practice most widely found in Japanese martial arts is embryonic breathing (taisōkū). Daoist texts associate breath with a cosmogonic material life force known as qi (chi, Japanese ki).2

ABOVE This is a stone Fudo dating to the Taishō Era. BELOW Sumo wrestling dates to Japan’s prehistory. In legend, the control of the Japanese islands was determined by a sumo match between the Shinto deities Takemikatzuchi-no-kami and Takeminakata-no-kami. During the Edo Period sumo increased in popularity and developed formalized ranking systems.

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With leisure time in amounts never before seen by samurai, the warriors had time to reflect on the warrior archetype. They looked to famous historical and mythological icons such as Prince Yamato, Susano-wo-o-noMikoto, and Monju Bōsatsu. During the Edo Period, the teachings of Neo-Confucianism contributed to the preexisting melting-pot of philosophies, deities, and belief systems. Over time they developed a collective ideal of what a “modern” samurai should look and act like. It included refinement and etiquette protocol observances to a degree never-before seen, highly superstitious beliefs, inclusion of esoteric Buddhist practices and talismans, and increased social pressure to conform and serve in accordance with one’s social station. Clearly Edo Period samurai sought to elevate their life by achieving a newly refined scholar-warrior archetype. Literary works of the day strengthened the imagery of the benevolent protector of the weak, the suppressor of evil, and the like, as the primary samurai image. This led samurai to cultivate their spirits, and to see and explore the ethical responsibilities of being in a position to wield power. Texts such as Hagakūre became popular because

they offered practical advice for living refined samurai lifestyles. Many historians agree that such precepts became ingrained into the larger Japanese culture, to the extent that they continue to resonate today. Edo Period martial arts saw emphasis on eliminating the mind-body separation. Breathing techniques, eye-focus instructions, careful attention to posture, and the development of a connection with the attacker are all manifestations of martial artist’s desire to achieve mind-body unification. Meditation exercises were developed and widely adopted (in varying forms) into martial arts. Swordsmen trained themselves spiritually by studying under fellow martial artists, scholars, as well as spiritual advisors. The intention shifted from battle readiness born from the desire to stay alive and serve one’s lord, to the desire to serve one’s lord by refining oneself to the highest degree. Both the practice and teachings of martial arts saw this shift toward the introspective. Swordsmanship also evolved as a result of the time afforded to warriors by their reassignment as a bureaucratic elite class. Samurai examined the finer points of techniques—particularly the philosophy that drives technique. Many scholars believe that swordsmanship saw a shift during this time, away from practical technique and towards spiritual, introspective, and ceremonial practice. Edo Period martial training became more formalized, structured, and ritualistic—all in accordance with the Neo-Confucian influence.3 Although there is some evidence to support this, each style would have deviated individually. That is to say that some changed more than others. samurai, as professional warriors, made changes that they saw as beneficial for technique as well as spirit. Therefore, it can be deduced that, despite some “softening” during the Japanese renaissance, swordsmanship maintained a high degree of practicality. Certain arts that retained their practicality are examined later. Nevertheless, the shift in Edo Period warriors’ martial arts occurred in both form and practice.

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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 KashimaShinryū. 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 predisposition 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 KashimaShinryū 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 Takemikatzuchi 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 KashimaShinryū. 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, [I see that] victory and defeat are found in the dual essence of Yin and Yang. Yin triumphs, and Yang retreats; or Yang triumphs, and Yin retreats. That which we call Yin and Yang are in origin a single essence… there is transition or change among the gods of Heaven and Earth and the phenomena; there is only adaptation to the enemy. “Truly, one who is able to live thus is strong and brave, but is he to be feared? The warrior’s path is the origin of power and majesty. Therefore, the emperor has his jeweled sword and his court flourishes. The Son of Heaven keeps his sword with him always: When he goes forth he carries it before him, when he stops he lays it in a safe place. Even when he sleeps he does not 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

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ABOVE A samurai was taught to “keep his sword by him by night and day, revering it like a god and guarding it as he would guard his own body and mind.” LEFT The end of the Edo Period saw the dismantling of the samurai class and the beginning of a modern Japan. The days of warriors wearing exquisitely crafted armor, such as this helmet and mask, would come to an end.

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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 NeoConfucian influence.

ABOVE Dragon figures and symbols are common throughout China and Japan. Some, such as the Kurama mountain temple example on the bottom right of this group, even “breathe” water so that visitors can purify themselves upon entering the site. Mt. Kurama, in addition to being where the tengu king Sojobo taught swordsmanship to Minamoto Yoshitsune, is the birthplace of the healing practice called reiki. Like tengu, dragons are believed to possess magical powers that are, on occasion, transmitted to humans.

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It is not uncommon for martial arts to derive their strategy from the dual essence of the yin-yang paradigm. “When pushed, pull; when pulled, push,” for example, is a common saying in jūjūtsū, judo, and aikido. It implies that the defender intends to take advantage of an opponent’s momentum by reversing it against him. The same is true in many historical sword styles of Japan. Many famous swordsmen speak of finding a complimentary opposite to an attackers’ offensive. The Dragon’s Scroll advises that the swordsman will find victory in understanding the complementary nature of opposites. According to the scroll, the outcome of a swordfight hinges upon developing one’s mindset (and technique) to the extent that one’s movements become an expression of yin and yang. The scroll makes an abrupt change of topic between its first and second paragraphs. In the first paragraph, a commentary on yin and yang outlines sword strategy and mindset. The second paragraph makes references to

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 readiness. Those who fail to learn this are ignorant of combat.6

Yet when considered alongside the third paragraph in the Dragon’s Scroll, the influence of Taōism resurfaces. This time, the scroll calls on Lao Tzū, the Old Master, and his imagery and literary devices of “Skilled Warriors of Old,” plotting a parallel course for the students of his sword school. The old martial arts are called hyōkō. Warriors were made to enter this path and practice incessantly. The men of old revered the teachings of their art as they revered Heaven and Earth. They polished their spirit like the brightness of the sun and moon… Illustrious Virtue gives rise to strength and formidability. This is called True Courage. Wisdom cannot be separated from ignorance. By nurturing this insight, the discipline of the warrior’s profession is amplified… Do not be lax in your efforts toward enlightenment and immaculate merit. In ancient days it was said, “A jewel

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The Fall of the Edo Period

without polishing will never become useful; a man without study will never know the Way.”7

Whether directly or indirectly, it seems clear that the early Taōist literature influenced the Dragon’s Scroll’s author. The passage above closely resembles the language and intentions of Lao Tzū’s poem, “Skilled Warriors of Old.” It is also important to note that the author used an uppercase “W” in the final line of the Dragon’s Scroll. It indicates that he is suggesting to his readers that the way of the Neo-Confucian scholar-warrior is the Way of living—a particularly Edo Period worldview. As we will see, this theme in Japanese culture still echoes within the practitioners of traditional arts today.

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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, threatening Japan, as an expression of “Manifest Destiny,” which was seen as the God-given right and moral obligation to bring Western culture to underdeveloped civilizations.8 The Tokugawa Shogunate reluctantly capitulated to the threats of the American navy, agreeing to open up Japanese waters to international trade. Subsequently, the shogunate’s popularity fell. The other daimyos understood that this would likely end their traditions and hard-earned cultural preservation, not to mention their era of peace. Although the isolationists were right, there was nothing that could be done. When Tokugawa agreed to allow international trade to effectively end Japan’s seclusion, they initiated a sequence of events that could not be stopped. This would effectively destroy the social structure and warrior culture that had existed within Japan for over a thousand years. Under these unfortunate circumstances the Tokugawa Shogunate was urged to resign, thereby shifting military power under Emperor Meiji’s control. Under threat of war and feeling pressure to avoid it, the once powerful Tokugawa Shogun relinquished his title. There was widespread discontent among the population regarding the change of power, social structure, and economic policy. The country’s forces became divided between persistent Tokugawa loyalists and those who supported the imperial monarchy.

TOP The black ships terrified

the Japanese samurai. Tokugawa, realizing that Japan’s armies would be slaughtered by the American military, sought to meet the American’s demands. Most daimyos were in support of Tokugawa’s position, however conservative daimyos and imperial court members did not wish to allow the entry of foreigners. After all, the samurai had enjoyed hundreds of years of relative peace under isolationist policy. LEFT Tokugawa Yoshinobu, seated in traditional garb. ABOVE The Tokugawa family crest remains one of the most well-known symbols for samurai nobility.

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Edo Period Swords

BELOW Samurai held their

swords up as items of functional beauty, often showcasing the finest craftsmanship in the blade and fittings alike. Here gold and iron combine with silk to convey functional beauty and deadly sophistication.

The sword of the Edo Period underwent some important changes. First, these blades are distinguished as “Shinto,” or new swords. That is to say that they were swords produced after the age of the warring states. Demand for swords saw a sharp decline and craftsmen were left to either scrape a living selling an occasional sword or consider other sources of income. As a result of this trend, many of the old methods of manufacture were changed… and eventually lost. The schools of sword-making had passed their secrets down orally so as to maintain their standing and distinction as excellent craftsmen. Therefore, when times and technology changed, many of the old ways were lost. The changes reflected in the Shinto-era blades extend beyond minor adaptations of shape or tip length. When comparing a koto blade alongside a shinto, the differences can be seen in the steel itself. Shinto blades are noted for a different luster than their koto predecessors. Koto blades generally offer a gray color and velvet-like surface texture. Shinto blades have a chromelike color and their surfaces tend to appear glassy or wet. As with any generalization, there are exceptions to these observations. However most authorities agree that these distinctions can be made. Some other distinctions in the Shinto Swords are illustrated by the shift in what is carved into the sword. Instead of carving religious hōrimōnō into the surfaces of their blades, the Edo samurai preferred ornamental carvings. With little battlefield danger, superstition played a role of decreasing value. Another shift in what was carved into the sword is the inscriptions of test cutting results on the nakago. Without frequent battles to fight, whereby a sword would be tested and proven, the practice of test cutting the dead bodies of criminals became commonplace. For the swordsmith, receiving a positive endorsement from a notable test cutter was a means establishing oneself as a master swordsmith. Master swordsmiths would make more money per sword as well as receive more commissions in times of peace.

OPPOSITE Higo Kōshirae

This is a Higo kōshirae that takes as its model the Nobunaga kōshirae and which gives expression to the Hosokawa School of the tea ceremony’s concept of “Wabi no Bi” (the beauty of simplicity). Designated Juyo Toso (Sword Mount) at the 45th shinsa held on the 29th of October, 1998. Item: Higo Uchigatana kōshirae with a black lacquered, polished yanagi-zame saya. Dimensions: Entire length: 92.3 centimeters Entire curvature: 2.2 centimeters Handle length: 21.2 centimeters Handle curvature: 0.4 centimeters Saya length: 71.0 centimeters Saya curvature: 1.2 centimeters Description of the Mounts: The handle has black lacquered same (ray skin) and is wrapped with light brown leather. The fuchi is covered in reddish-brown pebbly leather with an arikoshi shape (rounded and wider at the base becoming narrower and straight sided at the top). The kashira is black lacquered and has a yamagane ground with surface carvings of waves and a mountain road. The menūki have a shakudo ground and are carved in the shape of two crabs. The tsuba is round with an iron ground and vertical file marks. There are large sea cucumber sukashi on the right and left sides. This sukashi-tsuba is attributed to Nishigaki. The mimi is square with slight rounding. There are silver nunome inlays of zigzags around the rim. There are two hitsu-ana. The tsuba is unsigned. There are two copper, gold covered seppa. The kozuka has a polished silver ground without a design and is unsigned. The kogai has a design of three crabs and a shakudo nanako ground. The crabs are done in high relief carving with gold coloring (iroe). The warabite have gold inlays. The kogai is unsigned. The shakudo kogai with the design of three crabs is attributed 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.

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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.

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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.

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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.

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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.

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BELOW AND BOTTOM Taikei Naotone

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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 Blade length: 69.4 centimeters or 27.32 inches Sōri: 1.5 centimeters or 0.59 inches Mekūgi: 2 Width at the hamachi: 3.18 centimeters or 1.25 inches 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.

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BELOW Minamoto Masayuki

(Kiyomaro)

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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 challenged and defeated major superpowers like China, Russia, and Germany. This chapter also includes littleknown information about how Zen came to be so closely connected in the martial arts: largely as a result of Japan needing to re-brand its image to the world. You’ll discover how post-war Japan overhauled its warrior symbolism, restoring much of the introspective and benevolent imagery. Analysis of early modern literary sources shows treatment of the Japanese martial arts to have been largely distorted. Unknowing authors who meant well wrote with little or no accuracy; particularly on the role of Zen in the martial arts. During the Meiji, Taishō, and Showa Periods, sword and warrior symbolism was oppressed, twisted, brought back to life, revised, and further distorted. This phenomenon continues today at the hands of many well-meaning, “dreamy-eyed” people who have no understanding of the Japanese swords actual historical relevance. This chapter explains how the sword has come to be so mischaracterized and oversimplified. It is important to understand that, as dark as these periods were for Japan and the warrior ideal, it was equally difficult and shameful for the craft of sword making. Indeed, the art of making Japanese swords almost disappeared during these turbulent times. This chapter concludes with a discussion of what happened to the craft of sword making and how it barely survived through today. Following chapter 7, the final chapter examines how the study of classical Japanese swordsmanship can offer meaningful personal development despite being obsolete in the larger scope of warfare.

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The Meiji Period (1868–1912) and Onward The late 1800s saw the dismantling of the samurai class and the installation of a new parliamentary government. Emperor Meiji assumed military control and governance of Japan in the wake of Tokugawa’s capitulation to the American demands of open international trade. Meiji was determined to Westernize Japan and benefit from Western technologies, particularly in developing a modern imperial military. In 1871, the samurai were officially relinquished of their class status and the wearing of swords was officially optional. In 1876, the decree of Haitōrei outlawed the wearing of swords in public. The once daily companion and tool of the samurai was forbidden for all except military officers in the emperor’s service. After almost three hundred years of peace and isolation, Japan was turned on its head. Despite attempts by some samurai to cling to their feudal lifestyle, such as Saigo Takemori’s famous Satsuma Rebellion (1876), the imperial machine’s rise was well underway. Under the direction of Emperor Meiji, Japan underwent unprecedented change. The young emperor was fascinated with the efficiency of Western technologies. The emperor began to construct a new kind of military force. The military successes of the Prussian army in defeating France enthralled the emperor. Meiji assembled a mixed army of commoners and former samurai. The famous warriors of lore and legend, although no longer a distinct samurai class, were assimilated into the military of modern Japan. Within twenty years, Meiji had abolished feudalism, restructured his nation, and developed a completely modern military. Unfortunately, the

OPPOSITE This is a reproduction of one of the few existing photographs of the Meiji emperor, Mutsuhito (1852– 1912), shown here in formal Western-style military dress.

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ABOVE This print shows three men, believed to be Commander Anan, Commodore Perry, and Captain Adams, who together opened up Japan to Western trade. The text being read may be President Fillmore’s letter to emperor of Japan, which would spur the events that fueled the Meiji restoration.

samurai’s warrior archetype was manipulated and exploited by the imperial government throughout the modern periods of Japan’s history. This warrior archetype was not lost though; it survived the period of modernization within the collective spirit of the Japanese. Late in the Meiji Period, Japan entered new military conflicts. Its military proved to be a formidable foe despite being in its modern infancy. It was armed with Western foreign policy, military technology, and an expansionist agenda. Japan sought control of Korea yet again. This time would prove more difficult because China essentially claimed ownership of Korea. Japanese troops landed and drove the Chinese troops north out of the peninsula. The two countries officially went to war in 1894. The Japanese troops crushed the Chinese in Korea and extended their control as far north as the Liaotung Peninsula. The two countries eventually signed a treaty in which China agreed to reimburse Japan for its costs in waging the war. In addition to the spoils of victory, the Japanese also caught the attention of the Russians. Russia had taken notice of Japan’s expansionist agenda and aggressive military posture. Tensions between Japan and Russia rose. In 1904 a full-scale war was declared between Japan (roughly the size of California) and Russia (whose size roughly equals that of the North American continent). Again Japan emerged victorious. By 1905 Russia was dealt a humiliating defeat both at land and sea. The Russian Navy was particularly shamed. Japan had secured its claim to occupy the Korean peninsula, which it annexed as an official territory of Japan. It seemed to the Japanese that they were unstoppable under the command and leadership of Emperor Meiji and his cabinet. The Meiji restoration marks the final moments of the samurai culture and the beginning of a new modern age. Upon Meiji’s death in 1912, Prince Yoshihito became the next emperor. This ushered in the Taishō Period (1912–1926), a time of turbulent economic and military transition. But Japan’s thirst for domination was not appeased after its victories of China and Russia. Hoping that German leadership in Berlin would be distracted by

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the European War (which would become WW I) Japan declared war against Germany. Japanese troops swiftly defeated and occupied several of Germany’s Asian outposts. Meanwhile, Japan continued its dominance over the Chinese government by issuing ultimatums outlining their right to control Chinese railways, claim ownership of coasts, islands, and mineral complexes. China eventually capitulated and granted many of the Japanese demands. Japan entered World War I in 1914. Germany had entered the war and occupied several locations in China as well as islands in the Pacific. This offended the Japanese, and honoring their alliance with Britain, they entered by issuing an ultimatum demanding troop withdrawal. The locations in question were outposts for the Germans and did not hold any significant troops. Japan allied with the victors of the war and contributed by retaking these German outposts. Resistance from the Germans was minimal and the outposts were captured easily. With nominal effort, risk, and cost, Japan had now established itself as an ally alongside the new world superpowers.1 Although Japan’s position in the international community would eventually erode, the Japanese people had seen enough success in the new imperial military to unify the nation solidly. The government struggled to establish a working democracy, but the stage for Japan as a modern industrial superpower had been set. Following WWI, in 1919, the Japanese were among the “Big Five,” allied superpowers that attended the signing of the treaty of Versailles. One of the articles of the Treaty of

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Versailles allocated China’s Shandong Province to the Japanese as reparation for their war efforts. This outraged the Chinese and ensuing political turmoil fueled Japan’s Meiji Era battle against communism. Japan’s reaction to Communist threat would reshape the nation. Under economic collapse and recession, Japan entered the Meiji Period in a battered and threatened condition—a condition that eventually unified the people of Japan under a militant nationalist rule. Prince Hirohito was coronated Emperor Showa amidst the aftermath of the First World War. He took control over the country and sought to unify the nation. To do this, the nation would gather behind him in adopting a new brand of spirituality, the cult of emperor worship and state Shinto. He began his reign with a severe persecution of communists and leftists. Emperor Showa drove the national identity to a state of frenzied militarism in which men, women, and children trained for war and to die for their divine emperor. The nation developed and executed a propaganda campaign to save Japan from its economic crisis by waging war and defeating its rivals. Japan invaded Manchuria in 1931 and the rest of China in 1937. They used brutal military tactics, which drew negative responses from other military superpowers. Their aggressive military campaign would eventually lead to War with America, when Japan attacked Pearl Harbor on December 7th of 1941. This drew the United States and Japan into bloody conflict during the Second World War. This time, Japan allied itself not with the allied European

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forces, but with the Axis powers of Nazi Germany and Fascist Italy. Battle after battle proved the might of the Japanese military. The Japanese soldiers fought ferociously on land, sea and in the air. Germany surrendered to the allied forces in May of 1945. But Japan, despite Showa’s desire to de-escalate and surrender, fought on. Eventually the tide turned and Allied forces captured several key locations that would enable frequent bombing and eventual occupation of the main Japanese islands. Yet the cult of state Shinto had so thoroughly indoctrinated the population of Japan, that Allied leadership shared concerns that every Japanese man, woman, and child would fight to the death to drive out any occupying force. On July 26th, 1945 the Allied forces issued the Potsdam Declaration, which demanded unconditional Japanese surrender. Emperor Showa, despite showing signs of desiring de-escalation of the war, defied the allied forces. To avoid a prolonged and bloody fight for mainland Japan, the Americans decided to drop atomic bombs on the strategic military targets of Hiroshima and Nagasaki. On August 9,th 1945, the bombs fell, drawing time and humanity to a stand-still. Seven long days later the emperor of Japan issued his acceptance of the Potsdam Declaration. The post-war occupation of Japan created an explosion of exchange between Japanese culture and that of the world. Whereas much of Europe had been exposed to Japanese culture during the previous half-century’s Meiji and Taishō Periods, the aftermath of WWII brought

ABOVE This image is entitled “New government, rich in virtue.” (Shinsei kōtoku) Note the conspicuous array of weaponry.

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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-spirituality 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 conscription 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

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former classes, State Shinto policies aimed to suppress all pre-existing religious institutions. Professor William Bodiford explains the sinister intentions of state Shinto in reshaping the spiritual identity of Japan:

Modern Japanese Swords

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 expansionist 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 and replaced them with unified loyalty to emperor and country in both the civilian and non-civilian populations. Japan needed hard workers and loyal troops. To create a strong adult army, comprised of fervent warriors who would die unflinchingly in service to their emperor, Japan groomed its children. Within the schools, martial arts were equated with State Shinto spiritual education. Bodiford explains that, in the same year that Japan’s army linked martial arts to spiritual education, Japan’s legislative diet passed a law requiring the Ministry of Education to develop jūjūtsū and gekken curriculums.”6 In 1907, the Ministry of Education developed a curriculum for incorporating martial arts in all public schools. Before the Meiji restoration, Japanese warriors held complex beliefs that included rituals and deities from a

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OPPOSITE TOP This drawing

depicting an aerial view of the Korean peninsula and surrounding areas shows the major battlefields of the Russo-Japanese war. OPPOSITE BOTTOM Illustration showing the progressive expansion of the Japanese Empire between 1870 and 1942. LEFT Emperor Showa at his enthronement in 1928. BELOW Two views of soldiers and officers in the Imperial 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 traditional 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

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multitude of sources. Therefore no single interpretation of the ideal warrior existed. Although Tokugawa samurai did begin to define and publish works that shaped the ideal of the samurai spirit, not until the Meiji restoration was there a single, agreed upon code for all. Historically, every school or organization had its own viewpoints and philosophies. Paradoxically, the definition of the Japanese warrior code, which became known as būshido, came within the modern age and from Japanese Christians—not from warriors themselves. An author named Uemura Masahisa (1858–1925) published the first book with the word būshido in its title in 1894. Entitled, Kirisūtōkyō tō Būshidō (Christianity and Būshido), the work sought to legitimize a connection between Christianity and the būshido, the “warrior’s way, ” through its compatibility with Neo-Confucian social ethics.7 Now, into Japan’s Taishō Period, we see the development of a singular word to define the new warrior archetype. Although the original use of the term būshido was used to legitimize Christianity, the precepts of būshido soon became adopted by the Japanese government as contributing to the “spiritual development” of the nation.

RIGHT Emperor Showa

inspecting Army troops from atop his favorite white stallion, Shirayuki. BELOW General Douglas Macarthur with Emperor Hirohito in Tokyo.

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The Taishō Era saw the development of a new breed of modern samurai, trained from childhood to serve and obey, as the samurai had for their lords, the new expansionist government. The popular use of the term būshido spurred a fad in which the suffix do, which historically indicated a connection to Taōism, was now attached to words to make them more “Japanese”—in the nationalistic sense. The new būshido held connotations of preparation and readiness to serve and die for their emperor. In the 1930s, the Showa emperor’s policies ensured the explicit and overt connection between martial training and state Shinto. Police inspected martial arts schools to ensure that they had erected a small Shinto shrine called a kamidana within their training space. The kamidana became a spiritual and practical center-point for training areas. Etiquette procedures, in which participants bowed before the kamidana at the beginning and ending of classes, became standard practice.8 This practice remains today, albeit as a form of cultural preservation, within many traditional martial arts schools. Whereas historical samurai may have justified their 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 that described the collective body of individual schools practicing the sword drawing arts. Iaijutsu too, was changed into iaidō to reflect the nationalistic overtones of the day. During the modernization of Japan, Iaidō boomed and became largely popular among the masses of new imperial warriors.9 Even martial organizations 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 demonstration 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

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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 translated 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 named Eugen Herrigel (1884–1955) would also propagate falsehoods regarding Zen among the non-Japanese readership. Bodiford explains the relationship between Herrigel and his teacher, Mr. Awa:

ABOVE The modernization of Japan also saw the militarism of its civilian population using State Shinto’s ultra-nationalist propaganda. LEFT The Showa emperor, Hirohito (1901–1989), shown here in formal Western-style military dress.

In 1948 Herrigel wrote a new book (translated into English as Zen in the Art of Archery) in which, in addition to extensive quotations from Suzuki, Herrigel described Awa’s teachings as a Zen practice that had remained the same for centuries. Nothing 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. Japan, a land that did not, until Christianity arrived, even have a word for religion in the singular sense, did eventually identify itself with Zen.

Post-War Period Martial Arts Many scholars have asserted that modern martial arts began during the Edo Period when formalized training became standardized. Others indicate that modern martial arts began when the samurai class was abolished during the Meiji Period. Both of these arguments hold water. It could be argued though, that truly modern martial arts were born when this misinformation began to spin out of control. As we have seen, Suzuki’s writing was

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accepted among both outsiders and Japanese. So too were Herrigel’s works. Both of these examples offer an important first moment, when the world began accepting and rehashing misinformation. After WWII, many Japanese martial arts masters, and sword related craftsmen for that matter, were banned from practicing their disciplines—no Sword making; no martial arts training. The occupying forces had seen what ultra-nationalistic fervor, instilled into a population who lived to train, kill, and die for the emperor, could do on the battlefield. The Japanese had proven themselves ferocious and ruthless enemies, capable of seemingly superhuman martial feats. Many martial arts teachers joined together to petition the occupying forces. They wanted to resume

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RIGHT Although the connection

between Zen and martial arts is largely a modern invention, it is undeniable that the traditional arts of today are practiced with a distinct Zen flavor. BELOW Aikido is widely believed to be the modern adaptation of Daito-ryū Aiki-jūjūtsū and Zen. This is false. While it is true that Aikido’s founder, Ueshiba Morihei studied Daito-ryū, Aikido is not a Zen art at all, rather, it is a complex amalgamation of several martial, spiritual, and political inspirations.

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their training. Again, the Japanese warrior archetype would require an image makeover. And Suzuki’s argument for nationalistic Zen would provide the fodder. Masters such as Kano Jigoro, of judo, and Otsuka, of karatedo, Oe Masamichi of iaidō, (and countless others) appealed to the occupying forces, citing that the martial arts were a longstanding and inextricable part of their national identity—that much was certainly true. But they used the new invention of Suzuki’s Zen to convey their arts as de-militarized and purely for the purpose of cultural preservation. During the 1950s the -dō suffix was yet-again adapted to carry the implication of the art being a Zen-like “Way,” to spiritual development. This semantic shift was more a reflection of modern sociopolitical pressures on martial artists to downplay (at least publicly) the martial components of their practice. Consequently, many Japanese teachers actually started teaching their art with a decidedly Suzuki-Zen flair. 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 emphasized 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 legitimate, 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.

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145

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 decoration 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 traditionally crafted blades. With only a handful of traditional sword smiths remaining, Japan nearly lost the craft. Indeed, during the Taishō Period, there was a prohibition on all sword making. Yet a few master craftsmen were retained, primarily for the purposes of making ceremonial swords used in the dedication of Shinto shrines. All of the blades from these modern periods (after 1876) are referred to as gendaitō. Gendaitō can be divided into two major eras: The shōwatō, or factory-made blades, and the gendaitō, or new modern sword.15 The transition from the factory-produced blades to traditionally produced ones was near miraculous, and was the result of dedication befitting such a marvelous sword. Faced with losing the art of sword making, a member of the House of Representatives, Kurihara Hikosaburo, founded the Japanese Sword Forging Institute. This and another traditionalist sword making group, named the Japanese Sword Training Institute, became primary sources of sword manufacturing tradition in the modern age.16 In the face of countless factory blades churning out for officers being sent to wage war in the emperor’s name, these institutions continued making swords of traditional construction. They continued their work until the Japanese forces were defeated in World War II. At the

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conclusion of World War II and with the insistence by the occupying forces, Japan enacted a ban on sword making. The craft of sword making nearly disappeared during the post-war aftermath. Sword making and related arts are important cultural assets. The occupying forces agreed and so lifted the ban. In 1953, the American occupying forces allowed the Japanese to begin making swords again. This marks the final chapter in the Japanese sword’s evolution to date. The lift on the ban and re-emergence in sword making ignited enthusiasm in the Japanese. Westernization and modernization unexpectedly revitalized many Japanese arts. In terms of the sword, this marks an important distinction: the birth of the shinsakutō (modern art sword). Because the blades are produced as a matter of cultural preservation, they are considered pieces of art. These blades are extremely functional and crafted in the traditional way. Bladesmiths’ works are tightly regulated so as to limit the number of swords in circulation while maintaining excellence in craftsmanship and preservation. Today, modern bladesmiths and collectors distinguish their blades from other older gendaitō by using the term shinsakutō. There are many swordsmiths producing shinsakutō in a wide variety of styles and prices.

ABOVE During the forging process, the sword steel is folded repeatedly. See Chapter 2 for details.

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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 Today—by Pierre Nadeau The new century has indeed begun, and I often find myself wondering if the modern people of the early 1900s had this same feeling of global renewal—the end of something for the beginning of something new. The old traditions of the world are being diluted globally, internationalization is leading to a planetary community—at least for developed countries—and the challenges for the human race are getting more abstract at every step. As for Japan, it underwent such waves of cultural revolution in the past hundred years that we can thank our good moon that so many of its ancestral traditions have been preserved. Throughout its history, the Japanese sword received several blows that pushed it every time closer to the brim of extinction. For some reason, however, today it is not doing bad, and I can even say that the standards in workmanship in some circles are on a steady rise. The Japanese swordsmiths of the 21st century thus present themselves in a peculiar fashion: out of date, economically non-viable and always conservative and rigorous. Several hundreds smiths, along with several hundred more other sword-related craftspeople, strive in their own ways. Some of them do it only for the pleasure of playing with the tools and techniques of old, while others genuinely research a path back into the masterpieces of the 13th century. Included somewhere in there, one French-Canadian apprentice, trying to keep afloat, four years and a half deep, in the fall of 2009. That’s me. I find myself here, honestly feeling “between two waters” as the French saying goes, between the fear of the unknown that bears heavy upon entering apprenticeship, and the growing challenge of performing up to the standards of my mentors in what is to become my daily bread-winning reality. Apprenticeship in Japan Apprenticeship in Japan is peculiar in its own way, but very natural too. We Westerners tend to rationalize much, whereas the Japanese are a lot more intuitive and don’t bother

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themselves with concepts such as fairness, right or wrong, and arbitrary discrimination. Of course contemporary Japan has updated its laws and public practices to fit in today’s world, but we praise and endure traditional crafts for they offer an authentic and profound learning experience. Basically, the culture of a traditional apprenticeship always revolves around a given craftsman. His reputation and known work attracts people who want to learn from him. The craftsman, unless he’s expressly looking for helpers, is not inviting anyone. It’s the hopeful apprentices who seek entry into the craftsman’s daily reality in order to acquire his skills and accumulated knowledge. Any criticism or judgment coming from the apprentices is therefore out of place. The mention of any background knowledge by an apprentice is also unwelcome, and must be put on ice. As the Zen saying goes: Like this cup, you are full of your own opinions and speculations. How can I show you Zen unless you first empty your cup?! In other words, why would one go learn a baker’s trade in France while bragging about the virtues of German bread?! If the apprentice came to this particular craftsman, it should be because he thinks there’s no better place to learn, or else head right off to that better place. Also, the craftsman is not a school. He does not have a curriculum prepared and levels to reach. He might accept apprentices for reasons such as a sense of duty to pass down the tradition, because he simply likes teaching, or because he needs cheap labor. But in no way he should be expected to put together a course plan or work schedule for his visiting pupils. The bottom line is that it is up to the apprentice to gather knowledge while exposed and immersed in his master’s environment. Personality traits will make some mentors more or less generous with their explanations. It is also true that too much theoretical explanation is useless, if not damaging, to proper education. Experience is the only true way of learning, after all.

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Today’s apprenticeships have taken various forms to meet the ever-tightening constraints of the fast-pace, 21st century society. Live-in apprentices are rare, and more often than not they have to pay a pension to cover for room and board. This implies that they have access to financial resources for the five to seven years duration of their apprenticeship. There are more and more cases where apprentices are simply visiting their master on a part-time basis, on weekends or one day a week, for example. For most, however, these smiths never appear in the upper ranking of the competitions. Does it have to do with poor training, or just a lack of commitment on their part? Until now and as far as I was able to confirm, there is only one non-Japanese to have completed a traditional apprenticeship in Japan. The American Keith Austin trained under two smiths, including alongside Kawachi Kunihira under then Living National Treasure Miyairi Yukihira in the 1960’s. Mr. Austin unfortunately passed away in April 1997, after having spent 30 years researching Japanese steel and sword making on a Californian farm. How I wish I could have met him! I saw an exhibition of his mentors’ and some of his work in Nagano prefecture in June 2008. He was an accomplished swordsmith. Otherwise, in the category of peculiar apprentices, I have a friend, Mizuno Nanako, who appears to be the only female Japanese swordsmith apprentice, now training under her grandfather in Sakai, southern Osaka prefecture. Her family work as fine knifesmiths, but the head also holds a swordsmith license. My Experience as an Apprentice As for myself, I came across the Japanese craft by chance during a trip with friends in Okayama prefecture, 2002. We were passing through an area still called Bizen, which used to be an actual province until 1871, when the Feudal system was abolished. Bizen has been the single most important steel and sword production center in Japan. I had the chance there to observe a swordsmith at work for about three hours. It moved me in a deep, peaceful way. I have experienced many things in my life, but this felt like home. The countryside, the fire, working alone, shaping steel, such a tough material! And then a sword was showed to us. What beauty! And all steel, no decoration. I couldn’t believe my eyes. And I still can’t. Four years elapsed before I officially entered apprenticeship. During that time, I split my time half and half between earning an undergraduate degree in Montréal, and visiting smiths and other sword people in Japan. I slowly developed a more intimate relationship with Kawachi Kunihira’s second apprentice, Kiyota Jiro¯kunietsu. He accepted me as his apprentice during a stay in the summer of 2004. I learned only recently that he had two reasons for accepting me. The first one was that, if I was to learn his trade, he wanted to make sure I would learn it properly, and thought I’d better go through a real apprenticeship rather than be refused, go back to Canada and make Japanese-looking curved bars of steel. The second reason was that he honestly believed I’d never come back to actually start my apprenticeship, which allowed him to be nice by accepting me without having the hassle to actually train me! He was wrong on that one. In fact, this persisted throughout the first years: he never believed I would continue. Sometimes I believe he found himself with more responsibility than he had expected to have in the first place. I was happy to find a situation in which I lived apart from my master, and visited him everyday. This gave both of us more leeway in the field of cultural differences, and allowed for a more work-focused relationship. But as Kawachi said, “...for

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live-in apprentices, the air is different!” It is true that soaking in the learning environment around the clock frees one’s mind of any other preoccupation than that of one’s training. My own set-up, I can confirm, really was not ideal for learning. Since I had no family fortune to back me, and wasn’t able to save up the forty to sixty thousand dollars necessary to go through a live-in apprenticeship for the required time in Japan, this was the only available path for me. For the first year, I worked every Friday through Saturday, teaching at one of Japan’s many private English conversation schools, and visited my master Monday through Thursday. That meant no holiday for a full year, but during the second year I succeeded in getting Sundays off. Another source of irritation was that the school in question was in Nara, whereas my master’s smithy was in the mountains of Wakayama, a three-hour drive. I would spend every weekend, as I still do, at my then in-law’s-to-be, in Nara. I enjoyed the rides on my 400cc motorcycle on brisk autumn days, but sweaty summer heats and winter frosts were a challenge! Upon entering the third year, I got a little cleverer, changed my bike for a mini-van, and found teaching work near the coast, a 40-minute ride from where I lived. After getting married in November 2008, thanks to the support of my wife, and my operating a sideline swords purchasing, restoring and appraising business—I act as a service broker, I am now focusing on my training almost everyday. It feels good—very 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 doing it, without knowing on what kind of boat I had set foot. The Japanese Sword is Alive If everything goes well I should be able to obtain my swordsmithing license from the Japanese government in a couple of years. The day I make a sword that moves the hearts of people who never even were interested in Japanese swords in the first place, I’ll be genuinely proud of what I am. Until then, being the only non-Japanese licensed swordsmith alive in the world is really not enough to compensate for the sweat and lack of comfort, and more importantly it doesn’t necessarily make me a competent smith. Many swordsmiths and blacksmiths in and out of Japan are working their very own way at producing their best and, although I have the advantage of having all the resources nearby, my efforts are what will count the most. In other words, accomplished work is the only variable that should ever be assessed. The Japanese swordsmiths of the 21st century are striving to produce their best. They are experimenting with creative approaches and individual preferences. The Japanese sword is alive, and I believe we are all hoping to expand its exposure to the world. The wonders that the finest example of Japanese swords offer are worthy of master artists and craftsmen of every tradition and era, and should be treated and studied as such. For first-timers, it is often a challenge to make abstract its being a weapon originally designed to take—and also save—lives, but real masterpieces speak for themselves and don’t require much explanation. Please follow up and actively support a new period in the Japanese sword’s 1,300 years of history by reaching the best resources and studying and promoting the best examples. Pierre Nadeau was born and raised in Montréal, Canada, where he studied and worked as a photographer before earning an undergraduate degree in finance at Montreal University’s business school. He came to Japan for the first time in August 2002, and entered apprenticeship in early 2006. He married Rina, a Japanese women from Nara in November of 2008. You may visit his web site at www.soulsmithing.com.

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Signature: Showa 16 (March, 1941) NBTHK Hōzōn Paper—Yasuoki Sayagaki (certification): Yasuoki Katana (Kudan Kaji-kai Yu-saku), perhaps of the Goto school. Blade length: 69.8 centimeters or 27.48 inches Sōri: 2.1 centimeters or 0.82 inches Mekūgi: 1 Width at the hamachi: 3.05 centimeters or 1.20 inches Wide at the kissaki: 1.95 centimeters or 0.76 inches Kasane: 0.73 centimeters or 0.28 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.

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Katana Signature: Kurihara Akihide saku (NBTHK Hōzōn Paper) Showa 18 (1943) Blade length: 67.26 centimeters or 26.48 inches Sōri: 1.8 centimeters or 0.70 inches Mekūgi: 1 Width at the hamachi: 3.13 centimeters or 1.23 inches Wide at the kissaki: 2.23 centimeters or 0.87 inches Kasane: 0.84 centimeters or 0.33 inches 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.

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Katana (NBTHK Hōzōn Paper) Signature: Yasuyoshi Showa 17 (February, 1942) Blade length: 66.5 centimeters or 26.18 inches Sōri: 2.0 centimeters or 0.78 inches Mekūgi: 2 Width at the hamachi: 2.86 centimeters or 1.12 inches Wide at the kissaki: 1.96 centimeters or 0.77 inches Kasane: 0.71 centimeters or 0.27 inches 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.

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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.

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Signature: Osaka ju Gassan Sadakazu tsukuru no (NBTHK Hōzōn Paper) Meiji 34 nen 2 gatsu hi (February 1901) (Shinshinto Jojo saku ranking. Settsu province.) Blade length: 75.8 centimeters or 29.84 inches Sōri: 2.0 centimeters or 0.78 inches Mekūgi: 1 Width at the hamachi: 2.76 centimeters or 1.08 inches Wide at the kissaki: 1.96 centimeters or 0.77 inches Kasane: 0.76 centimeters or 0.29 inches 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.

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BELOW A g endai (modern blade) katana.

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Part 2

H I S T O R Y A N D C U LT U R E

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Chapter 7

Modern Japanese Swords

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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.

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PART

3

The Art of Swordmanship

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Chapter 8

Japanese Swordsmanship Today

There are countless martial arts being studied today. The contemporary martial arts scene reflects heretoforeunseen 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 distinguish between modern mixed martial arts (MMA) schools, who claim to teach a modern mix of fighting techniques, and those who falsely claim traditional lineages. MMA is a modern adaptation and legitimate new branch of martial arts. These schools do not claim to disseminate ancient samurai secrets or require blood oaths. They just claim to train people how to fight using “mixed” methods—there’s nothing dishonest about that. The problem is that many teachers fraudulently claim a traditional lineage and are scamming their well-meaning martial arts students. Many of these teachers tout their false credentials, which are nearly impossible to distinguish from actual certificates of rank issued by trustworthy organizations or teachers. The result is that students often “buy” something that they are not receiving.

LEFT This calligraphy by award-winning American shodo practitioner Hugh Davey shows the characters for “Iai” in semi-cursive style. OPPOSITE After bowing in, iaidō practitioners pause in a position called seiza before rising to begin their other activities in the dojo.

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 continue to practice and teach their arts as matters of cultural preservation. This chapter focuses on discussions surrounding one art that dates to the mid-1500s, the sword-drawing art of iaidō. From Japan’s creation mythology to the import of Buddhist deities, and passed through the generations, samurai have wielded their blades from a cultural vantage point that is uniquely Japanese. Yet today the Japanese arts are very popular with non-Japanese. The once secretive and reclusive Japanese culture is opening up and sharing more of its secrets every day. In the following pages we’ll look into one sword art that represents both the past and present spiritual traditions of Japan—and how the classical art of iaidō can serve as a vehicle for self-discovery—even for modern practitioners.

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There are many other forms of swordsmanship being practiced today. Iaidō, a highly philosophical art, concerns itself with much more than simply cutting. Iaidō is taken by many to be a very serious and deeply personal endeavor. The sword-drawing techniques themselves, while comprising the heart of practice, account for a small fraction of the reward for most practitioners. For many, the rewards of iaidō practice come from engaging in a physically challenging, philosophically rich, and historically important martial art. Iaidō is the classical Japanese art of drawing the sword. Its roots can be traced back nearly 440 years, making it one of the oldest Japanese sword styles still being practiced.1 The meanings of the Chinese characters used to write “iaidō” are i, pronounced “ee,” to “exist,” ai, pronounced “eye,” to “meet and blend with,” and do, pronounced

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Part 3

RIGHT Members of the Yama

“doe,” meaning “way” or “path.” The suffix “dō” is a term used—as in iaidō, judo, kendo, aikidō, and karatedo—as a concept of the way or road to self-development and denotes a spiritual path followed by students of būdō 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 sworddrawing 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 explanation. Envisioning the strategy, however, can unlock some of iaidō’s allure.

Oroshi Dojo watch demonstrations attentively and politely while seated in the seiza position.

THE ART OF SWORDSMANSHIP

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 demonstrates 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 would then remove the blood from his sword using a whipping motion and return the sword to its scabbard with dignity. Due to the rarity and secrecy of medieval iaidō, such scenes may have taken place infrequently. Nevertheless, such is the ideal to which historical and modern iaidōka aspire. The strategic brilliance and graceful simplicity is, to this day, an amazing spectacle to witness. Iaidō was born of the Muromachi Age, “The Age of the Country at War.” Its motions were designed to be both practical and spiritual. As Japanese society changed, iaidō changed

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as well. Its focus shifted from practical cutting to metaphoric cutting. Here, we’ll examine the birth of iaidō in the context of Japan’s historical overview.

The History of Iaidō Jinsuke Minamoto no Shigenobu (also known as Hayashizaki) is the man credited with creating the sword art that evolved into today’s various schools of iaidō. The age of iaidō’s roots is commonly given as 450 years. However, the Būgei Ryūha Daijiten, a written record of lineage branches, indicates that Jinsuke lived from 1546–1621, so he would have been twelve years old at the

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Chapter 8

time he created iaidō. Referencing this source, we can deduce that either he was very young when he conceived of his sword drawing art, or that the actual age of iaidō is closer to 440 years at the time of this writing.3 In any case, it is safe to assume that any information that remains today has been changed and distorted over the last 440 years. Nevertheless, it is believed that Jinsuke was born in Kyoto. He grew up in an age of constant warfare and was likely exposed to various battle-tested styles of swordsmanship. It is said that when he was six years old his father was murdered. Seeking vengeance and divine inspiration, he traveled to Yamagata prefecture and

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Classical Swordsmanship Today

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engaged in austerities and prayer at the Kumano Meijin Shrine (also known as Hayashizaki iai Jinja). After praying for 100 days, he received divine enlightenment from the Shrine’s tutelary deity, Kumano Meijin. Jinsuke’s prayers were answered in the form of a system of drawing the sword and cutting in one motion. His experience was so profoundly powerful that he renamed himself Hayashizaki. Hayashizaki’s art focused primarily on the quick-draw, which evolved into modern iaidō. Hayashizaki founded the Shimmei Mūso-ryū (“divinely inspired, unparalleled style”). Mr. Asakura describes the techniques of Hayashizaki’s art.

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THE ART OF SWORDSMANSHIP

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 Hayashizaki’s iai had nine vocalized breathing methods, which he called Kuji-Kokyu. These shouts were assigned to different movements and focused the energy of the attack. The Kuji-Kokyu included: Rin, Pyo, To, Sha, Kai, Jin, Retsu, Zai, and Zen. One of his famous techniques involved him shouting, “Rin” whenever he made a thrusting stab (tsuki). He was also famous for shouting “Pyo” whenever cutting the enemy. Unfortunately, little is known about his actual techniques. Hayashizaki became a guard in his birthplace Kyoto, which was the capital city of Japan at the time. He became famous and by the time he had a grandson (Nobuyoshi) Hayashizaki had guards of his own. Hayashizaki had many guards and he taught some of them his iaidō techniques. Some of his guards who studied iai became quite famous themselves and, in so doing, highlighted his teachings.4

In his honor, his students renamed the school Shimmei Mūso Hayashizaki-ryū, adding his name to the style. The second headmaster in the system distinguished himself at the highest levels of Japanese warrior society. A student of Hayashizaki’s, Tamiya Tsushima Choshu, also known as Tamia Heibei Shigemasa, became the personal swordsmanship teacher to three of the Tokugawa Shogun: Ieyasu (1542–1616), Hidetada (1578– 1632), and Iemitsu (1604–1651).5 This popularized the art among Japan’s military elite. And as we have seen, during the Tokugawa family’s Edo Period, martial arts practice became more structured and homogenized at the hands of professional martial arts teachers. Another of Hayashizaki’s students served an elite samurai. Again, Mr. Asakura explains:

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The next guard, Nagano Muraku Shosanro (called Juro) also contributed to the fame of Hayashizaki’s iaidō. Juro was a member of Takeda Shingen’s guard. Juro suffered a defeat in the Battle of Mirinjo but escaped. He was, as a result, sent to live in the remote northern region of Akita—an area famous for its beautiful girls. Juro was quite a character and made a name for himself as a ladies’ man. He was particularly famous for wooing women whilst on horseback! Juro, in fact, had many wives. But while he was in Akita, he became worried that his iaidō was deteriorating. He traveled to Nagano and studied the ryūha (style branch) called Murakusho. He also entered the Jo-ryū (exclusive, high-level teachings). Eventually, Juro rejoined Takeda Shingen’s troops and served in the battle of Joshu. During that battle, he fought heroically and became famous.

With characters like Juro wandering the country, wooing ladies and teaching swordsmanship, it is no wonder that iaidō became popular as a result of his influence. Indeed the growth of Hayashizaki’s swordsmanship spread like wildfire. Many of his students went on to teach students of their own. However it has changed since those times, Hayashizaki created the living tradition that remains for us today. And carrying the torch of his teachings is a direct succession of headmasters. Each of whom contributed to and shaped the art. While a comprehensive outline of each of the headmasters and their contributions to the art is beyond the scope of this work, several developments were key in shaping iaidō. In the 1600s, the seventh headmaster of the system, Hasegawa Eishin, structured the techniques into shōden (initial transmission), chūden (middle transmission), and ōkūden (secret transmission) levels. He also added sets of techniques that employ a raised knee posture called tatehiza.6 These changes, coupled with his outstanding

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Chapter 8

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-teachings) 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-farmers 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 popularization 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 warriors. Some scholars speculate that the differences in the technique between the Mūso Jikiden Eishin-ryū and Mūso Shinden-ryū reflect the differing tastes of the samurai who practiced them. The lower-ranked warriors of the Tosa prefecture show simple, practical and understated motions, whereas the higher-ranked practitioners preferred larger motions. These two proud traditions are so inextricably intertwined that they are forever inseparable within history books. The famous Mūso Shinden-ryū headmaster, Nakayama Hakudo (also written “Hyakudo”) is the one who gave the art its modern name “iaidō.” He is largely credited with popularizing iaidō in post-WWII Japan. Hakudo studied many styles of sword-drawing including Tosa’s Mūso Jikiden Eishin-ryū iaidō. Taylor explains, He was a student of the fifteenth Shimomura Ha Headmaster Hosokawa Yoshimasu, and of Morimoto Tokumi Hokushin of

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the Tanimura Ha. Hakudo applied to Oe Masamichi for instruction but was refused. Partly because he was told not to teach Mūso Jikiden Eishin-ryū to those outside of Tosa, Nakayama developed a school of Iai which has become known as the Mūso Shinden-ryū… Until 1937 Hakudo used the name “Mūso Shinden Batto Jitsu.”7

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ABOVE This painting shows Kumano Meijin delivering the divine sword style’s scrolls to Hayashizaki.

The Tosa branch, however, did not fade into oblivion. The twentieth Soke of the Tanimura branch, Kono Hakuren (Minoru) brought his Tosa style Mūso Jikiden Eishin-ryū into other parts of Japan. His teachings became very popular. He made a particular impact in the Osaka area, where he taught frequently until he was succeeded in the 1970’s. It was Kono who formed the “All Japan Iaidō Federation” (Zen Nihon Iaidō Renmei), which remains one of the most influential būdō organizations in Japan today.8 Without the contributions of these two great teachers, it is unclear what would have become of iaidō in post-war Japan.

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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

ABOVE Oe Masamichi, the seventeenth headmaster of the Tanimura-ha is credited with organizing modern iaidō into the shōden, chūden, and ōkūden. In addition, he added three of the Bangai waza and Tachi Uchi no Kurai to Eishin-ryū’s curriculum.

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A Living Tradition Shigenobu was not the only sword teacher of his day—not by a long shot. In fact, he was relatively insignificant when compared to swordsmen such as Mushashi, Miyamoto and Yagyu Munenori. He published no public record of his philosophies and views. He left no publicly available didactic instruction. Instead, Shigenobu relied on the long-established oral traditions of feudal Japan. Publicly offering his personal strategies and philosophies would have been tantamount to giving away all of his secrets and special techniques. He refrained. It is unfortunate that many of Shigenobu’s teachings have been altered by time and interpretation. Hayashizaki’s sword art became a living tradition. For better or worse, the art’s practitioners will continue to contribute to both form and function. This is particularly true in an age in which the sword is no longer an instrument of warfare but a vehicle

The spiritual symbolism of the sword flows from innumerable sociological sources. Yet in the end, modern practitioners 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 understanding and from the perspective of a relatively low level of cultural and historical insight. Even well meaning teachers sometimes inadvertently misguide their students. Historical and modern teachers, if they are great, share some important commonalities. First, they must have a very high degree of technical brilliance. Excellence in teaching martial arts requires that a teacher hold him or herself and his or her students to a very exacting standard. The second, and equally important quality is charisma. Finally, the most critical requirement for a qualified teacher is accurate historical and cultural understanding. Martial arts teachers must be not only demanding but also compassionate and knowledgeable in their assistance to students. This is important in promoting well-informed meaning-making along students’ path of self-discovery. Yet personal meaning and self-discovery must be practical within the modern context. How can modern students of

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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 moderninvented 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 spirituality in the dojo. In these cases, the student is frequently left thinking that their teacher is a guru; the spiritual centerpoint 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 flying ninja do not exist. The traditional dojo is a place of somber training and has few frills. Visitors will be asked to remove their shoes and place them on a shoe rack. Most dojos have changing rooms and other necessities, however the emphasis will likely be on arranging and preparing the training area. Knowing the layout of the dojo helps to guide the movements of the students. Traditional dojos are constructed in accordance with simple guidelines for their layout. The training area has a main (front) wall, called the shōmen, which usually faces the entrance of the dojo. On the shōmen wall you may see kamidana, a small Shinto shrine, which serves as the link between the art’s tutelary deities and the practitioners within the school. The shrine represents the kamiza, or “deity seat,” within the dojo and therefore should be elevated high on a wall. An offering table (or shelf) should

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be placed below, on which salt, water, rice, sake, fresh vegetables, and dried fish are frequently laid as offerings. The instructor’s lineage should be honored on the shōmen wall in some way. Sometimes a photo of his or her teacher is hung high on the wall, representing their ability to preside over the training (in spirit). Other times, calligraphy of the art’s name itself represents the lineage under which the students are training. The shōmen wall, like the training area itself, should be free of clutter and decorative appointments. The other three walls in the dojo are important to consider as well. Opposite the shōmen wall is the shimoza, or lower seat—the back of the room where visitors might be allowed to sit and watch class. When looking at the shōmen, the right side is the upper wall, or joseki. This wall (and sometimes side of the dojo) is reserved for senior students. On the left side is the lower wall,

ABOVE A demonstration of tatehiza techniques at the Hayashizaki Iai-Jingu dojo in Murayama.

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alloy, are called iaitō (lit. iai[dō]-sword)—more about iaitō later. For senior students, the class may involve partnered techniques using wooden swords, called bōkken. The bōkken allow for partnered forms, called kūmitachi, in which strikes and thrusts require contact between the trainees’ blades. Iaidō students could never use their metal blades in such contact drills. First, such carelessness would be very disrespectful towards their swords. Second, their iaitō would never stand up to the repeated punishment that kūmitachi practice requires. The mood of practice varies from teacher to teacher. But generally speaking, the teacher will demonstrate a technique and then the students practice it. Sometimes teachers demonstrate the technique more than one time to emphasize a particular aspect. Then, the teacher will stand

ABOVE Hand positioning is critical when drawing and replacing the sword. Beginning Iaidōka practice these motions repetitively for many months before being allowed to couple them together and complete a technique.

Chapter 8

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. Generally speaking, when practicing either solo or paired techniques, the students will stay in their respective positions, as dictated by the joseki and shomoseki walls. Historically this arrangement has to do with keeping the senior-most students near the instructor for protective reasons. Today however, observance of this custom has more to do with demonstration of respect between junior and senior students. This is likely a remnant of Neo-Confucian stratification and training standardization during the Edo Period. After the bows are completed the class will begin. Most of the time, iaidō students practice solo techniques. Generally, the sword used is crafted specifically for use in iaidō. These swords, which have blades made of nickel

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.

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ABOVE Sometimes the class performs iaidō in unison. Other times, the class is given free time to practice techniques of their own preference.

and bow, saying ōnegai-shimasu (trans. “if you please,” or “please do me this favor”), which signals that it is the students’ turn to perform the technique. Speaking is kept to a minimum. And usually the teacher initiates the conversation. Sometimes the teacher watches the group and offers general guidance, whereas other times specific students might receive correction. This depends on the preference of the instructor as much as the size of the group and ability of the students. In all cases, the giving and receiving of instruction is taken seriously. The uniform may look quite exotic to those who have not seen traditional Japanese garments. While the uniform of iaidō students varies from one school to another, it generally consists of four essential parts. The first two pieces are shirts—an undershirt called a juban and an outer shirt, which has several variations. Some schools require students to wear more formal squared-sleeved outer shirts, while others allow their students to train in modern-sleeved uniform tops. Advanced students’ shirts are sometimes adorned with a family crest on the sleeve-backs, each side of the upper chest, and on the back between the shoulder blades. These tops are called mōntsuki. The shirts’ left panel goes on top of the right panel. To arrange the shirt flaps otherwise would indicate death (because that is how the shirts of the dead are arranged during funerals). A wide belt called an ōbi is worn over the shirts. It is wrapped around the body three times and then tied neatly behind the back. It holds the flaps of the shirt closed.

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The most foreign uniform element is the baggy pleated pants, called hakama. The hakama ties onto the ōbi using four small belts, the correct tying of which takes some practice. There are five pleats sewn into the front. The backs of the pants have a hip board, which lays flat across the lower back. Some have speculated that hakama pleats stand for guiding principles of būshido, but there is no historical evidence to support this fanciful speculation. Despite looking exotic, hakama are just pants. The most mystical aspect of the hakama, in truth, is how they are folded and tied after use. During class, the uniform is one of the most challenging aspects of beginners’ training. The same is true after class. Dedicated iaidō students take good care of their swords and uniforms. This is an important way that iaidō students show respect for and preservation of Japanese culture. In some schools a student is not allowed to hold a sword until they can properly put on, take off, and fold their uniform. This includes folding the hakama and its confusing series of inner and outer pleats. For some, learning this can take weeks. After a student can perform these duties, he or she must learn how to handle and care for a sword. Swords should be cleaned regularly. They must be handled in ways that are both safe and courteous. The rituals and bows are learned to ensure these standards have been met. Then, after all of this, the student can begin to learn the basics of iaidō. Perhaps the severity with which iaidō is taught is one reason that many Westerners do not choose this martial art.

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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 Englishspeaking 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 The archetypal benevolent sword of wisdom is found in nearly all cultures. Though the icon brandishing the sword changes, the symbolism of the sword remains. The blade represents the juncture where the wisdom of leaders and gods intersects with the commoner. The sword represents the implement by which societies are managed. The effectiveness of the sword as a tool and the societal beliefs surrounding it both lift the sword 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 insufficient in developing any meaningful academic understanding. Only by looking into the depths of culture, history, and philosophy can we comprehend the rich relationship between the sword and society.

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ABOVE In iaidō, careful consideration is paid to retaining neutral facial expressions and exact eye focus. LEFT A small collection of swords that only hints at the wide variety of different fittings available for iaitō.

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BELOW Traditions lie in the

hands of future generations. The Japanese arts now draw their preservation from an international community. Despite being only five years old, Aidan Roach studies aikido and iaidō very respectfully and seriously.

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Today’s traditional craftsmen, historians and classical martial artists are playing critical roles in preserving the Japanese sword. Yet each of these disciplines represents an area of focus within the scope of the sword’s importance that is under threat by modernization, distortion, and profiteering. Like the heroes of Japanese legend, there are those who continue to practice their craft as a matter of passion and preservation. In so doing they allow us to know more about the true story of the Japanese sword. Most importantly, they offer truthful and accurate information that is critical for those wishing to find personal meaning in the sword today. Craftsmen like Kawachi Kunihira and Abe Kazunori preserve their crafts with inspirational attention to detail. Their daily activities are routine in nature yet profound in effect. Indeed, their every action is focused on getting that one moment, that one strike of the hammer, that single selection of polishing stone, exactly right.

For them, the need for an exacting standard serves two important functions. First, high standards and demanding processes produce works of function and beauty. Second, they preserve the tradition of their craft, honoring those who have come before and those who will come after. These considerations weigh heavily on the minds of today’s traditional craftsmen as they work with passion for preservation. There are some non-Japanese who have become important voices in promoting the dissemination of accurate information about the Japanese sword. For example, Paul Martin lends his expertise to the English-speaking world by working with craftsmen and museums to translate documents, arrange interviews, and promote awareness. The Canadian sword-making apprentice, Pierre Nadeau is working to become the only non-Japanese alive to hold a governmental sword-making license. Fred Weissberg and 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 wellversed 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-moremeaningful 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 publications 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

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hidden information about swordsmanship to the English-speaking readership. In so doing, their passion for swordsmanship raises awareness and serves to help preserve the sword. From Japan’s creation mythology, to the import of Buddhist deities, the symbolism of the relationship between the warrior and his sword has changed. The collective sum of this heritage passed through the generations. Historically, samurai wielded their blades from a cultural vantage-point that was uniquely Japanese. Yet the sword can offer meaning for each of us today. Its true story is equally interesting, if not more so, than the simplified and sensationalized version we have been so often exposed to. People who are passionate about the Japanese sword today have developed a personal relationship with it. It is the junction where culture, history, and personal significance intersect that modern enthusiasts find so inspiring.

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Preserving tradition is critical for those who have found meaning within the sword of Japan. It is important to uphold the various aspects of the sword to the best of our abilities, in the face of modern tendencies to seek instant gratification at the lowest cost. Today people can buy Japanese-sword-shaped pieces of metal created in America, China, Thailand, and so on, for a fraction of the cost of the real thing. People all over the country are lining up to study martial arts that purport to be traditional, yet blatantly defy actual Japanese history and tradition. The hidden cost of such decisions is the slow but systematic deterioration of the traditional sword-related arts. Just like the daily actions of the craftsman, the daily practice of the swordsman, and the daily passion of the historian, the general public too can choose to act with passion for preservation. Those of us who find personal meaning within the Japanese sword can play a role in helping it to survive, and even thrive, in future generations. LEFT Kawachi Kunihira preserves his craft by passing it on to his son and other apprentices.

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Endnotes Introduction 1

2

Moore, Albert C., Iconography of Religions: An Introduction (Philadelphia: Fortress Press. 1977), p. 25. Lowry, Dave, In the Dojo: A Guide to the Rituals and Etiquette of the Japanese Martial Arts (New York: Weatherhill, 2007).

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Stein, Richard, “Blade Lamination Methods” Richard Stein’s Japanese Sword Guide 30 Dec. 2005: http://home. earthlink.net/~steinrl/laminate.htm; Internet. Stearn 12–15. Nagayama, Kokan, The Connoisseur’s Book Of Japanese Swords, trans. Kenji Mishina (Tokyo: Kodansha International, 1997 Kapp, Leon; Kapp Hiroko; and Yoshindo Yoshihara, The Craft of the Japanese Sword (Tokyo: Kodansha International, Ltd, 1987) p. 149. Buttweiler, Tom, “Ezo Fittings” Bushido, An International Journal of Japanese Arms 1.2 (1979) 27–34. Martin, Paul, personal interview. 26 September 2009. Nitobe p. 134. Piggott, Juliet, Japanese Mythology (London: Chancellor Press, an imprint of the Reed International Books Limited Michelin House, 1969) p. 38. Sadatoshi, Gassan, personal interview. March 2009.

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16 17

Warshaw, Steven, Japan Emerges: A Concise History of Japan from Its Origin to the Present , 10th ed. (Colchester, VT: Diablo Press, 1993), p. 13. Mason, R. H. P. and Caiger, J. G., A History of Japan, rev. ed. (North Clarendon, VT: Charles E. Tuttle, 1997). Christopher, Robert C., The Japanese Mind (New York: Ballantine Books, 1983), p. 46. Anonymous, Yoshitoshi Tsusioka: Mirror of Famous Generals 1875–85, accessed 3 January 2008; available from http://www.sinister-designs.com/ graphicarts/generals.html; Internet. Aston, W. G., Nihongi, Chronicles of Japan from the Ancient Times to A.D.697, vol. 1(Tokyo: Charles E. Tuttle, 1972). De Barry, W. M.; Keene, Theodore Donald; Tanabe, George; and Varley, Paul. Sources of Japanese Tradition, vol. 1 (New York: Chichester, West Sussex: Colombia University Press, 2001), pp. 361–363. Draeger, Donn F., The Martial Arts And Ways of Japan, vol. 4, University of Hawaii Lecture Series (Sedona: International Hoplology Society, 1998), p. 2. Aston, p. 35. Ibid, p. 35. Ibid, p. 53. Ashton Ibid, 115. Rosenberg, Donna, World Mythology, An Anthology of the Great Myths and Epics, 2nd ed. (Chicago: National Textbook Company, 1994), p. 369. Christopher, p. 151. Izano, Nitobe, Bushido: The Soul of Japan (Boston: Charles Tuttle, 2001), p. 134. Bell, Michael, interviewed by author, 15 January 2006. Image and text sourced and adapted from Wikipedia.com; Internet.

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18 Ibid. 19 Ibid. 20 Tsunoda, R. and Goodwrich, C. L., trans. and ed., Japan in the Chinese Dynastic Histories—Later Han through Ming Dynasties (South Pasadena, CA: Pekins, P. D. and Ione 1951), pp. 10–11. 21 Nagayama, Kokan, The Connoisseur’s Book of Japanese Swords (Tokyo: Kodansha Intl., 1997), pp. 12–13.

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21 22

Mason and Caiger, p. 52. Caption text adapted from Mark Schumacher’s online A-to-Z Photo Dictionary of Japanese Buddhism at onmarkproductions.com. Friday, Karl, interview by the author, February 1, 2008. Friday, Karl F., Warfare and History: Samurai, Warfare and the State in Medieval Japan (New York: Routledge, 2004), pp. 20–23. Ikegami, Eiko, The Taming of the Samurai: Honorific Individualism in the Making of Modern Japan (Cambridge, MA: First Harvard University Press, 1997), pp. 24–28. Friday, Karl, Hired Swords: The Rise of the Private Warrior in Early Japan (Stanford, CA: Stanford University Press, 1992), p. 10. Davey, H. E., Living the Japanese Arts and Ways (Ann Arbor, MI: Stone Bridge Press, 1997), p. 26. Friday, interview. Ibid. Friday, interview. Deng, Ming-Dao, Scholar Warrior: An Introduction to the Tao in Everyday Life (New York: Harper Collins, 1990), p. 11. King, Winston L., Zen and the Way of the Sword (New York: University Press, 1993), p. 42. Ibid., p. 28. Ibid., p. 53. Cleary, Japanese Art of War, pp. 52–53. Burton Watson, The Complete Works of Chuang Tzu [book on-line] (New York: Colombia University Press, 1968, accessed January 8, 2008); available from: http://www.humaniverse.net/ chinese/classic/English/chuangtzu30.htm; Internet. Ibid. Ibid. Ibid. Mitchell, Stephen, The Enlightened Heart: An Anthology of Sacred Poetry (New York: Haper Collins Publishers Inc., 1989). Davey, p. 29. Friday, Warfare, p. 139.

Chapter 5 1

Friday, Karl F., interview by the author, February 4, 2008. 2 Friday, Warfare, 139. 3 Warshaw, Steven. Japan Emerges: A Concise History of Japan from its Origin to the Present. 10th Ed. Diablo Press Inc. Berkeley, CA. 1993. p. 37. 4 Ibid., p. 38. 5 Ibid., p. 49. 6 Turnbull, Steven, Samurai Warriors (New York: Sterling, 1994), p. 95. 7 Warshaw, Steven. Japan Emerges: A Concise History of Japan from its Origin to the Present. 10th Ed. Diablo Press Inc. Berkeley, CA. 1993, pp. 46–48. 8 Ibid., pp. 49–50 9 Campbell, Joseph, Sake & Satori (Novado: New World Library, 2002), p. 120. 10 King, Winston L., Zen and the Way of the Sword (New York: University Press, 1993), p. 42.

11 De Barry, W. M.; Keene, Theodore Donald; Tanabe, George; and Varley, Paul. Sources of Japanese Tradition, vol. 1 (New York: Chichester, West Sussex: Colombia University Press, 2001), p. 176. 12 Stevens, John, Sword of No-Sword, The Life of Master Warrior Tesshu (Boston: Shambhala, 1984), p. 79. 13 Suzuki, Daisetz. T., Zen and Japanese Culture (Princeton: Princeton University Press, 1970), p. 97. 15 Lowry, Dave, Traditions: Essays on the Traditional Japanese Martial Arts and Ways (North Clarendon, VT: Tuttle, 2002), p. 72. 16 Draeger, Donn F. , Monograph Series No. 3 Transcribed by Pat Lineberger Edited by Hunter Armstrong. International Hoplology Society. Sedona AZ. 1998., pp. 19–22. 17 Stevens, p. 79. 18 Nakayama, p. 78. 19 Photos by Yoshitane, Horimono courtesy of Pepin, David; available from http:// www.samuraisword.com; Internet. 20 Draeger, Donn F., Monograph Series No. 3, p. 15. 21 Ibid., pp. 15–16. 22 Neighbour Parent, Mary, Japanese Architecture and Art Net Users System, available from http://www.aisf.or. jp/~jaanus/deta/f/fudoumyouou.htm; Internet. 23 Campbell, Joseph, Sake and Satori. CA. Joseph Campbell Foundation. 2002, p. 120. 24 Paraphrased and quoted from Campbell, pp. 120–126. 25 Mitchell, Warfare, p. 36. 26 Suzuki, p. 90. 27 Ibid., pp. 202–203. 28 Ibid. 29 Lowry, Dave, Traditions: Essays on the Traditional Japanese Martial Arts and Ways (North Clarendon, VT: Tuttle, 2002), pp. 69–70. 30 Martial arts of the World: An Encyclopedia, 2001, Copyright: Thomas A Green. Publisher: ABC-CLIO, INC. Santa Barbera CA. Article written by William M. Bodiford. p. 483. 31 Ibid., p. 483. 32 Suzuki, pp. 198–199. 33 Stevens, John, The Sword of No-Sword: Life of Master Warrior Tesshu (Boston, MA: Shambhala, 1984), p. 124. 34 King, Winston L., Zen and the Way of the Sword: Arming the Samurai Psyche (New York: Oxford University Press, 1993). 35 Draeger, Donn F., Monograph Series #3, ed. Hunter B. Armstrong, transcriber Pat Lineberger (Sedona Ariz.: International Hoplology Society, 1998). 36 Suzuki, pp. 111–112. 37 Ibid., p. 90. 38 Draeger, Donn F., The Martial Arts and Ways of Japan Part 3, University of Hawaii Lecture Series (Sedona, Ariz.: International Hoplology Society, 1978), pp. 16–21. 39 Kohan, Nagayama, The Connoisseur’s Book of Japanese Swords (Tokyo: Token Kantei, Tokyhon, 1995), pp. 20–21. 40 Nagayama, p. 17. 41 Nagayama, p. 31.

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Martial arts of the World: An Encyclopedia, 2001, Copyright: Thomas A Green. Publisher: ABC-CLIO, INC. Santa Barbera CA. Article written by William M. Bodiford, p. 495. Ibid., pp. 491–492. Ibid., p. 493. Friday, Legacies, p. 145.

Warshaw, p. 79–81. Duss, P. (1998). Modern Japan (2nd Ed.). Boston, MA. Houghton Mifflin Company. Martial arts of the World: An Encyclopedia, 2001, Copyright: Thomas A Green. Publisher: ABC-CLIO, INC. Santa Barbera CA. Article written by William M. Bodiford. p. 474. Ibid., p. 475. Patterson, William, “Budo’s Role in the Growth of Pre-World War II Japanese Nationalism.” Journal of Asian Martial Arts 17, no. 3 (2008): pp. 8-21. Martial arts of the World: An Encyclopedia, 2001, Copyright: Thomas A Green. Publisher: ABC-CLIO, INC. Santa Barbera CA. Article written by William M. Bodiford. p. 479. Ibid., p. 479. Lowry, D. (2006) In the Dojo: A Guide to the Rituals and Etiquette of the Japanese Martial Arts. Boston: Weatherhill. Warner, G., and Draeger, D. (1993) Japanese Swordsmanship: Technique and Practice. New York: Weatherhill. Martial arts of the World: An Encyclopedia, 2001, Copyright: Thomas A Green. Publisher: ABC-CLIO, INC. Santa Barbera CA. Article written by William M. Bodiford. p. 481. Ibid., pp. 482–483. Ibid., pp. 483–484. Ibid., p. 485. Kishida, Tom, The Yasukuni Swords: Rare Weapons of Japan 1933–1945. (2004) Kodansha International. Tokyo JP. p. 43. Nagayama Kokan, (1997). The Connoisseurs’ Book of Japanese Swords. Tokyo: Kodansha International Ltd. p.3 Kishida, Tom, The Yasukuni Swords: Rare Weapons of Japan 1933–1945. (2004) Kodansha International. Tokyo JP. p. 41.

Chapter 8

Chapter 6 1

Ibid., p. 146. Ibid., p. 146. Ibid., pp. 147–148. Warshaw, p. 63.

8 9

Suino, Nicklaus, The Art of Japanese Swordsmanship, A Manual of Eishin-Ryu Iaido. New York: Weatherhill 1994. p. 12. Nanno, Teruhisa, Iaido Japanese Sword Drawing techniques and Spiritual Practice (Tokyo, Bungeisha, 2004), p. 146. Suino, Nicklaus. Personal Correspondence. 2008. Asakura, Kazuyoshi, Magazine article translation by Max Roach and Soichi Nishimoto. “History of Iaido.” Iaido Tora No Maki Journal Volume 1, June 2008. Tokyo Taylor, Kim, “The History of Iaido: A Japanese Sword Art,” (1993) Journal of Asian Martial Arts, Volume 1, Number 3. Via Media Publishing Co. Erie, Pennsylvania. p. 50. Suino, Nicklaus, (1994) Art of Japanese Swordsmanship: A Manual of Eishin Ryu Iaido Weatherhill. New York. Taylor, Kim, “The History of Iaido: A Japanese Sword Art,” (1993) Journal of Asian Martial Arts, Volume 1, Number 3. Via Media Publishing Co. Erie, Pennsylvania. p. 55 Ibid., p. 54. Stevens, John, Sword of No-Sword: The Life of Master Warrior Tesshu.

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Bibliography Asakura, Kazuyoshi, “History of Iaido.” Magazine article translation by Colin M. Roach and Soichi Nishimoto (Tokyo: Iaido Tora No Maki Journal: Volume 1, June 2008). Aston, W. G., Nihongi, Chronicles of Japan from the Ancient Times to A.D. 697, vol. 1 (Tokyo: Charles E. Tuttle, 1972). Buttweiler, Tom, “Ezo Fittings” Bushido, An International Journal of Japanese Arms 1.2 (1979). Campbell, Joseph, Sake & Satori (Novado: New World Library, 2002). Christopher, Robert C., The Japanese Mind (New York: Ballantine Books, 1983).

Friday, Karl, Hired Swords: The Rise of the Private Warrior in Early Japan (Stanford, CA: Stanford University Press, 1992).

Nagayama, Kokan, The Connoisseur’s Book Of Japanese Swords, trans. Kenji Mishina (Tokyo: Kodansha International, 1997).

Friday, Karl F., Warfare and History: Samurai, Warfare and the State in Medieval Japan (New York: Routledge, 2004).

Nanno, Teruhisa, Iaido Japanese Sword Drawing techniques and Spiritual Practice (Tokyo, Bungeisha, 2004).

Green, Thomas A., Martial arts of the World: An Encyclopedia (Santa Barbara, CA: ABC-CLIO, INC. 2001).

Patterson, William, “Budo’s Role in the Growth of Pre-World War II Japanese Nationalism.” (Journal of Asian Martial Arts, vol. 17, no. 3. 2008).

Ikegami, Eiko, The Taming of the Samurai: Honorific Individualism in the Making of Modern Japan (Cambridge, MA: First Harvard University Press, 1997).

Piggott, Juliet, Japanese Mythology (London: Chancellor Press, an imprint of the Reed International Books Limited Michelin House, 1969).

Izano, Nitobe, Bushido: The Soul of Japan (Boston: Charles Tuttle, 2001).

Rosenberg, Donna, World Mythology, An Anthology of the Great Myths and Epics, 2nd ed. (Chicago: National Textbook Company, 1994).

Cleary, Thomas, The Essential Tao: An Initiation into the Heart of Taoism through the Authentic Tao Te Ching and The Inner Teachings of Chang Tzu (San Francisco: Harper, 1991).

Kapp, Leon; Kapp, Hiroko; and Yoshihara, Yoshindo, The Craft of the Japanese Sword (Tokyo: Kodansha International, 1987).

Davey, H. E., Living the Japanese Arts and Ways (Ann Arbor, MI: Stone Bridge Press, 1997).

King, Winston L., Zen and the Way of the Sword (New York: University Press, 1993).

De Barry, W. M.; Keene, Theodore Donald; Tanabe, George; and Varley, Paul. Sources of Japanese Tradition, vol. 1 (New York: Chichester, West Sussex: Colombia University Press, 2001).

Kishida, Tom, The Yasukuni Swords: Rare Weapons of Japan 1933–1945 (Tokyo: Kodansha International, 2004).

Deng, Ming-Dao, Scholar Warrior: An Introduction to the Tao in Everyday Life (New York: Harper Collins, 1990). Draeger, Donn F., Monograph Series No. 3 Transcribed by Pat Lineberger Edited by Hunter Armstrong. (Sedona: International Hoplology Society, 1998). Draeger, Donn F., The Martial Arts and Ways of Japan, vol. 3, University of Hawaii Lecture Series (Sedona, Ariz.: International Hoplology Society, 1978). Draeger, Donn F., The Martial Arts And Ways of Japan, vol. 4, University of Hawaii Lecture Series (Sedona: International Hoplology Society, 1998). Duss, P., Modern Japan (2nd Ed.). (Boston, MA: Houghton Mifflin Company, 1998).

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Lowry, Dave, Traditions: Essays on the Traditional Japanese Martial Arts and Ways (North Clarendon, VT: Tuttle, 2002). Lowry, Dave, In the Dojo: A Guide to the Rituals and Etiquette of the Japanese Martial Arts (New York: Weatherhill, 2007). Mason, R. H. P. and Caiger, J. G., A History of Japan, rev. ed. (North Clarendon, VT: Charles E. Tuttle, 1997). Mitchell, Stephen, The Enlightened Heart: An Anthology of Sacred Poetry (New York: Haper Collins Publishers Inc., 1989). Moore, Albert C., Iconography of Religions: An Introduction (Philadelphia: Fortress Press. 1977).

Stevens, John, Sword of No-Sword, The Life of Master Warrior Tesshu (Boston: Shambhala, 1984). Suino, Nicklaus, The Art of Japanese Swordsmanship, A Manual of Eishin-Ryu Iaido (New York: Weatherhill, 1994). Suzuki, Daisetz. T., Zen and Japanese Culture (Princeton: Princeton University Press, 1970). Taylor, Kim, “The History of Iaido: A Japanese Sword Art,” (Journal of Asian Martial Arts, vol. 1, no. 3. Via Media Publishing Co. Erie, Pennsylvania 1993). Tsunoda, R. and Goodwrich, C. L., trans. and ed., Japan in the Chinese Dynastic Histories—Later Han through Ming Dynasties (South Pasadena, CA: Pekins, P. D. and Ione 1951). Turnbull, Steven, Samurai Warriors (New York: Sterling, 1994). Warner, G., and Draeger, D. Japanese Swordsmanship: Technique and Practice (New York: Weatherhill, 1993). Warshaw, Steven, Japan Emerges: A Concise History of Japan from Its Origin to the Present, 10th ed. (Colchester, VT: Diablo Press, 1993).

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Photo Credits The stunning visuals in this book would not have been possible without the expertise and generosity of some very supportive and knowledgeable people. I am profoundly grateful to the following individuals and institutions. First of all, I’d like to thank Max Leitner, whose photography is featured throughout this book. He is responsible for contributing the photographs found in the following locations: Pages 1; 2; 10 and 11; 12 (all); 13 (right); 15 (right); 16 and 17; 18; 20 (top, right and left); 21 (middle right); 22 (top); 23 (second, third, and fourth from the bottom); 24 (top and bottom); 25 (top and bottom); 26 (all); 27 (all); 28; 29; 30; 31; 32 (bottom); 33 (all); 34 (all); 35; 36 (top and bottom); 37 (left and right); 38; 39 (all); 40 (top two); 41 (top left and right, and bottom left); 43 (top and bottom); 44 (all); 45 (top and bottom); 47 (top and middle); 53 (left); 55 (left); 56 (top); 58; 60 (left and right); 63; 64; 66 (left and right); 67; 68; 71 (left and right); 73; 82 (bottom); 120; 124 (bottom); 125 (top); 126 (all); 128; 145; 146; 162 (all); 163; 165; 166; 167 (top and bottom); 169 (top and bottom); and 171. Max’s photographs (the helmet and tsuka) are featured on the front of the dust jacket and cover, and he provided the photograph featured on the back and spine, as well as the front flap of the dust jacket. Photographs courtesy of Abe Kazunori are found in the following locations: Pages 6 and 7; 14 (bottom); 22 (bottom four); 23 (top two); 32 (top); 40 (bottom two); 41 (bottom right); 42 (all); 47 (bottom); 89 (left); 104 (all); 105 (all); 114 and 115 (all three); 130 and 131 (top three); 132 and 133 (all); and 134 and 135 (right, middle, and bottom). Abe Kazunori’s photograph (the blade in the middle) is featured on the front of the dust jacket and cover. Photographs courtesy of Ginza Choshuya (world.choshuya.co.jp) are found in the

following locations: Pages 20 (bottom); 46, 98 and 99 (top two); 108 and 109 (all four); 110 and 111 (all three); 130 and 131 (bottom two); and 154 and 155 (all). Ginza Choshuya’s provided the photograph of the top kissaki that is featured on the front of the dust jacket and cover. The photographs from Albert Herr, courtesy of sabakusamurai.com and held within the Albert Herr collection, are found in the following locations: Pages 19 (top left); 23 (bottom); and 118 and 119. The photograph on pages 48 and 49 is courtesy of Arendie & Henk Herwig, from their personal collection. The photograph on page 153 is courtesy of Pierre Nadeau (www.soulsmithing.com). Photographs courtesy of Mark Schumacher and his online A-to-Z Photo Dictionary of Japanese Buddhism (onmarkproductions.com) are found in the following locations: Pages 70; 88 (right); 90 (left and right); 91 (bottom); and 124 (top). Photographs courtesy of the Shosoin (Imperial Treasure House) collection are found in the following locations: Pages 19 (right); 74 and 75 (all); 76 and 77 (all); and 78 and 79 (all). Photographs courtesy of Mr. Tsuruda at Aoi Art (www.aoi-art.com) are found in the following locations: Pages 21 (left, top, and bottom right); 134 (left); 134 and 135 (right top); 148; 149; 150; 151 (left and right); 152. The photograph on pages 138 and 139 (right) is courtesy of the Waseda University Library. Photographs courtesy of Fred Weissberg (www.nihonto.com) are found in the following locations: Pages 98 and 99 (bottom two); 100

and 101 (left and right); 102; 103 (left and right); 106; 107; 112; 113; 116 and 117 (all); and 129 (all). Fred Weissberg’s photograph (the bottom kissaki) is featured on the front of the dust jacket and cover. The following photographs have been supplied by the author: Pages 4 and 5; 8; 9; 13 (left); 14 (top); 15 (left); 19 (bottom two); 50; 52 (top and bottom); 54; 55 (right); 57; 61 (top); 65; 80; 81; 82 (top); 83 (all); 84 (top); 85 (left and right); 86; 87; 88 (left); 89 (right); 91 (top); 92; 93; 95; 96; 125 (bottom); 144 (top and bottom); 156 and 157; 158; 159; 160 and 161; 168; and 170. The author’s photograph (the tsuba) is featured on the front of the dust jacket and cover, and he provided the photograph on the back flap of the dust jacket as well. The following photographs are in the public domain: Page 53 (right—source: http://en. wikipedia.org/wiki/File:KofunCuirass.jpg); 56 (bottom); 59; 61 (bottom—source: http:// en.wikipedia.org/wiki/File:KofunSwordHilts. jpg); 62; 69; 84 (bottom—source: http://en. wikipedia.org/wiki/Azuchi_Castle); 122 and 126 (top and bottom); 127 (all); 136 (source: http://en.wikipedia.org/wiki/File:Meiji_ tenno1.jpg); 138 (left); 140 (top and bottom— source: http://en.wikipedia.org/wiki/ File:Japanese_Empire2.png); 141 (top—source: http://en.wikipedia.org/wiki/File:Emperor_ Showa.jpg and bottom—source: http://en. wikipedia.org/wiki/File:JapaneseArmy1900. JPG); 142 (top—source: http://en.wikipedia. org/wiki/File:Emperor_Shōwa_Army_1938-18.jpg and bottom—source: http://en.wikipedia. org/wiki/File:Macarthur_hirohito.jpg); 143 (top—source: http://en.wikipedia.org/wiki/ File:Japan_drills_Boy_Scouts_with_rifles_1916_2.jpg and bottom—source: http:// en.wikipedia.org/wiki/File:Hirohito_in_dress_ uniform.jpg); and 164 (source: http://en. wikipedia.org/wiki/File:Oemasamichi.jpg).

The Tuttle Story “Books to Span the East and West” Many people are surprised to learn that the world’s largest publisher of books on Asia had its humble beginnings in the tiny American state of Vermont. The company’s founder, Charles E. Tuttle, belonged to a New England family steeped in publishing. Immediately after WW II, Tuttle served in Tokyo under General Douglas MacArthur and was tasked with reviving the Japanese publishing industry. He later founded the Charles E. Tuttle Publishing Company, which thrives today as one of the world’s leading independent publishers. 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 time of his death in 1993, Tuttle had published over 6,000 books on Asian culture, history and art—a legacy honored by the Japanese emperor with the “Order of the Sacred Treasure,” the highest tribute Japan can bestow upon a non-Japanese. With a backlist of 1,500 titles, Tuttle Publishing is more active today than at any time in its past—inspired by Charles Tuttle’s core mission to publish fine books to span the East and West and provide a greater understanding of each.

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Index Abe Kazunori 22, 26, 29, 32, 38, 42, 43, 46, 170 Age of the Country at War, the. See Sengoku Period A History of Japan 63 Aidan Roach 170 Akabane Arsenal 28 Appreciating Japanese Swords 46 Apprenticeship 31, 37, 146 Art of War, The 66 Ashi 40 Ashi-garu 15 Ashikaga Shogunate 84, 94 Ashikaga Takuji 84, 94 Ashikaga Yoshiaki 84 Atomic bombs 139 Awataguchi Kuniyoshi 99 Awataguchi School, the 97 Axis power alliance 139 Ayasugi hada 23, 36 Billet 32 Bizen Kagehide 101 Black Ships 127 Blade curvature. See Blade measurements, sōri Blade measurements 21 fūmbari 21 kasane 21 mōtōhaba 21 nagasa 21. sakihaba 21 sōri 21 sūn-zūmari 97 Bō-hi. See Hi Būgei Ryūha Daijiten 160 Būnrakū 123 Būshido 142, 165 Butōkūden 29 Chadō 123 Chin-chin cho-cho 97 Chinese Spring and Autumn Period 67 Choji hamon 22, 38 Chu-sūgūha 22 Clan feuds 121 Commodore Perry 127, 138 Daimyos, control of 121, 122 Dai-Sa 104 Daisetz T. Suzuki 92, 93, 144 Daisho set 20, 51, 97 Damascus swords 11, 12, 37, 43 Dave Lowry 93 Deities, Buddhist 83, 171 Amaterasu 53–57, 83, 94 Dainichi Nyorai 88 Fudo Myo-o 20, 83, 87–91, 94, 96, 124 sūken 87, 88 kensaku 87 Fudo Sutra, the Holy 87

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Jikokuten 86, 91, 92 Kannon 64 Kokuzo Bōsatsu 90 Komokuten 65 Manjusri 90, 96 Monju Bōsatsu 86, 91, 92, 124 Shitennō, the 65 Vairocana Buddha 86, 96 Deities, Shinto 51, 54 Hachiman 86, 94 Kanna-yama-hiko-noMikoto 56 Susa-no-wo-o-no-Mikoto 55, 56, 68, 94, 124 Take-mika-tsuchi-noKami 57 Den 27 Do 66, 72, 160 Donn Draeger 170 Dotaku 59 Dragons 25, 66 Dragon’s Scroll 121, 125, 127 D.T. Suzuki 142 Edo Period 46, 92, 121 Edo Period Swords 128 Eisai 93 Emperor Go-Daigo 84 Emperor Showa 139 Engraving 39 bōnji 88 gōma hashi 88 kanji 88 kūrikara 88 Enlightenment firewalking 9 satōri 94 Etiquette 24, 25, 122, 142 Eugen Herrigel 92 Expansionism 138–177 Fighting on foot 15 on horseback 15, 19 using iaido strategy 160–162 Firearms 84 Flaws fūkūre 27 kizū 27 machi, loss of 27 niōi-giri 27 shintetsū 27 ware 27 Foreigners, trade with 121 Fred Weissberg 29, 102, 170 Fukuoka Ichimōnji School 102 Gassan hada 23 Gassan Sadatoshi 47 Gassan School 23, 47 Gendaitō 145

General Douglas MacArthur 46 General Yi Sun Sin 85 Ghengis Khan 83 Goro Myudo Masamune 59 Grass-mower sword 54 Gunome hamon 22 Ha 21, 40 Habaki 21, 31, 40, 43 Habaki-būkūrō 40 Habakimōtō 21 Hada 12, 23, 36, 42, 46 Hadōri 25 Hagakūre 124 Haitōrei decree 137 Hamon 22, 25, 43, 46, 47 Handling 24 Haniwa 53 Hasegawa Eishin 160 Hataraki 25, 40, 43 Hayashizaki 161 Hayashizaki ryū 125 Heian Period 82, 96 Heian Shrinee 29 Hi 38, 97 Hiraji 25 Hiro-sūgūha 22 Hitachi Metals 32 Hitatsura hamon 23 Hōchō 97 Hojo clan 83, 84 Hojo Tokimasa 82 Hojo Tokiyori 93 Hoko 76 Hon’ami Koetsu 46 Hōnōki wood 41 Honor 15, 94, 122, 165 Hōrimōnō 38, 88, 89, 97 Hoso-sūgūha 22 Hyōkō 126 Iaidō 9, 159–169 All Japan Iaidō Federation 163 chūden 162 dojo 14 hakama 168 Hayashizaki 164 iaitō 167, 169 Jinsuke Hayashizaki Shigenobu 163, 164 joseki 165, 167 juban 168 kamidana 165 kamiza 165 kūmitachi 167 mōntsuki 168 Mushashi 164 Mūso Jikiden Eishin-ryū 160–163 Mūso Shinden-ryū 163 ōbi 168

ōkūden 162 ōnegai-shimasu 168 sensei-ni-rei 167 Shimmei Mūso Hayashizaki-ryū 163 Shimomura-ha 163 shimōseki 167 shimoza 165 shōden 162, 163 shōmen 165, 167 shōmen-ni-rei 167 Tanimura-ha 163 tatehiza 163 tō-rei 167 Iaidōka 160 Iai gōshi 163 Iaito 26 Ichimōnji style 97 Iconography 11–13, 54, 73, 88, 169 In and yō 14, 69, 87 Inkan motif 38 Itame hada 23, 36 Iwasa Hidetoshi 170 Japanese Ministry of Education 27 Japanese renaissance 121, 124 Japanese Sword Forging Institute 145 Japanese Swordsmanship Today 159 Jigane 40, 42, 46 Jihada 35 Jikishin Kage-ryū 125 Jimmu 53 Jinsuke Minamoto no Shigenobu. See also Hayashizaki Jōmon Period 51 Joseph Campbell 89, 90 “Just war,” the 64 Jūyō Tōken 107 Kabūki theater 123 Kagehide 97 Kamakura bakufu 84 Kamakura Period 81, 82, 84, 92, 96, 98, 99 Kamakura Period swords 97 Kamakura Shogunate 82 Kami 47 Kamidana 142 Kamikaze 83, 137 Kami Yamato Ihare-biko 53 Kantsune 111 Kanzan Sato 46 Karl Friday 81, 170 Kashima Shin-ryū 121, 125, 170 Katana 9 Katsū-jin-ken 96 Kawachi Kunihira 32, 34, 38, 47, 170

King Sojobo 68 Kits, sword cleaning 26 Ko-Bizen school 97 Kofun Period Swords 60, 61 Kofun Period, the 52 Kofun tombs 52 Koigūchi 40 Kōjiki, the 55, 86 Ko-midare 22 Koto blades 128 Kublai Khan 83 Kuniie 97 Kunisada 131 Kuniyoshi 97 Kurihara Hikosaburo 145 Kurihara Kenji Nobuhide 132 Lao Tzū (Old Master) 67 Living National Treasure 43, 47 Machi 27 Martensite 25 Masame 36 Masame hada 23 Masamitsu 115 Masamune 22 Medieval Japanese Swords 81 Meditation 94, 96 Meiji Period 137 Meiji restoration 140–177 Midareba hamon 22 Minamoto clan 82 Minamoto Yoritomo 82 Minamoto Yoshitsune 68 Miyairi Akihira 47 Miyamoto 164 Modern Japanese swords 137 “Modern samurai” 142 Mōkume hada 23, 36 Mongol invasion, the 83 Moore, Albert C. 13 Morishige 109 Mountain Wind Dojo 66 Mr. Kanemichi 36 Mukansa 22, 32, 47 Mune 21, 25 Munemachi 21 Muramasa 59 Muromachi Period 46, 84 Muromachi Period swords 97 Muto ryū school 94 Mutsuhito 137 Nagamitsu 103 Nakago jiri 25 Nakayama Hakudo 163 Nanki Shigekuni 130 Nara Period 81 Nara Period Swords 63 National Sword Museum, the, in Yoyogi 29 National Treasure 27 NBTHK 27–29, 32, 97 Nick Suino 170

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Nie 25, 43 Nihōngi, the 53, 126 Nihōn Shōki, the 55, 86, 126 Nihōntō 31 Nio 63 Niōi 25, 43 Niōi-guchi 40 Nitobe Izano 43 Nōh theater 123 Northern California Japanese Sword Club 29, 170 Nōtareba hamon 22, 38 NTHK 22 Ochiai Tadao Sensei 170 Oda Nobunaga 84 Oe Masamichi 163 Ōgasawara-ryū 15 Ogawa Kanekuni 155 O-midare 22 Ōmōte and ūra 14, 87 Ono Kokei 43 Ōrigami 27, 28 Osafune School, the 97 Oshigata 22 Paul Martin 39, 170 Pen knife 73, 74, 79 Pierre Nadeau 146, 170 Potsdam Declaration, the 139 Prajna the Immovable 87 Priest Kukai 86, 90 Priest Saicho 86 Priest Takuan Soho 93 Prince Shotoku 63 Prince Yamato 124 Qi 124 Quality 26, 27 Queen Pimiko 52 Rankings, Ministry of Education 27 Rankings, NBTHK 27 Rankings, NTHK 27 Reihō 15 Religions animism 52, 53 Buddhism 81, 92, 143 Amida sect 82 Dainichi Nyorai 87 gōma 89, 90 kūji-kiri 88 Lotus sect 82 mappō 81 mudras 88 oni 92 Pure Land sect 81 Shingon sect 81, 86–88, 90, 94, 96 Tendai sect 81, 86–88, 96 tentōki 92 Zen sect 92, 96, 122, 142, 143 kōans 94, 95 mu 95 mushin 95

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zendō 96 Ch’an 93–96 Christianity 85, 121, 137, 140–143 Confucianism 63, 86, 96 pipa 65 sword and brush 65 wen and wū 65, 68 Hinduism 91 kami 53, 55, 81, 86 Neo-Confucianism 121, 124–127, 142, 167 Shinto 11, 12, 47, 51, 53–55, 86, 88, 92, 94 evil spirits 59 gōhei 58 harai 55 kami 58 shimenawa 58 State Shinto 140–142 Taōism 63–73, 81, 86, 93–96, 121, 125 Analects 67 Chuang Tzū 66, 68–70, 126 Cutting Up An Ox 70–72 Fine Weapons 67, 68 Good Warriors 68 Lao Tzū 66–68, 126, 127 Singing Images of Fire 90 Skilled Warriors of Old 67, 126, 127 Taō, the 67, 72 Tengu 68 Safety 24 Sahei-no-jo-Kuniyoshi 97 Sammaya 88 Samurai and Zen 92, 93, 94, 95 Samurai class 11, 15, 28, 121 Samurai warrior archetype 121, 124, 138 San Felipe, the 85 Sankōzūka 88 Satsu-jin-ken 96 Satsuma Rebellion 137 Saya 40, 41 Scholar-warrior 127 Seii-Tai-Shōgūn 82 Sengoku Period 84, 97 Shi 67 Shikyō 142 Shimmei Mūso Hayashizakiryū 162 Shimmei Mūso-ryū 161. See also Shimmei Mūso Hayashizaki-ryū Shinken 169 Shinsa 27, 28 shinsakutō 145 Shinto (new sword) 97, 128

Shirasaya 24, 41 Shishi 61, 63 Shōshin 27 Shosoin Treasures 74, 76, 79 Shōwatō 145 Society for the Preservation of Japanese Art Swords, The. See NBTHK Stockpiling, after WWII 28, 46 Stores AOI-ART 29 Ginza Choshuya 29 Nosyudo 169 Tozando 29, 169 Sudareba hamon 23 Sūgūha hamon 22, 38 Suino, Nicklaus 9 Sūken hōrimōnō 15, 38, 47, 88, 97 Sumitani Masamine 47 Sun Tzū 66 Sūpootsū-dō 142 Sūtemi 142 Sword maintenance and cleaning 25, 26 Sword collecting 29 Sword confiscation 46 Sword of the Gathering Clouds 54, 88 Sword, parts of 20 habaki 20, 24, 97 hiraji 43 kissaki 19, 21, 43 kogai 129 kozuka 44, 129 meguki 20 mekūgi 41 mekūgi-ana 41 menūki 31, 45 mune 43 nakago 20, 24, 97 saya 24 seppa 20 shinōgi-ji 21, 38, 43 tang 24 toushin 20 tsuba 20, 44 tsūka 20, 24, 41 Swords, creation of 29 billet 33, 34, 36, 37 billet, elongation of 37 blade shape, refinement of 37 carbon content 34, 35, 36 clay slurry 36, 38 curvature, creation of 38 forge-welding 34 hada, manipulation of 36 hammer, power 36, 37 hamon, creation of 37, 38 hardness 37 hi-zūkūri 37 iron, sponge 32, 33

kawagane 35–37 kera-ōshi 32 kōbūse 36, 37 mizū-beshi 35 NBTHK tatara 34 oroshi-gane 34 ōrōshigane 34 scabbard making 31 shiage-tōgi 31 shingane 35–37 smelting 32, 34 spirituality in 47 sūnōbe 37 tamahagane 34, 35 tanren 33–36 tsūkūri-kōmi 36 yaki-ire 35–38 zūkū-ōshi 32 Sword polishing age-jizūya 42 binsui-dō stones 40 burnishing 42, 43 cho nagura stones 40 finger-stones 39, 41 hadōri 42, 43, 46 hamon revelation 40 hatō stones 40 hazūya stone 43 hiraji 42 ibōta powder 43 importance of 46 jizūya stones 42 kaisei stones 40 kōma-nagura stones 40 kongo-dōstones 40 migaki 42, 43 narūme 42, 43 narūme-dai 43 narutaki 39, 42 nūgūi solution 42 Ono School 43 polishing stones 38 shiage-tōgi 39, 41 shita-ji-tōgi 39, 40 sūjikiri 42, 43 ūchigūmōri stones 40 Sword types chōkutō 15, 19, 60 hira-zukuri 19 kiriha-zūkūri 19 hoplite 15 jian 15 jōkōtō 96 kata-kihira 15 katana 20, 84, 112, 134, 149, 150, 155 ken 19, 118 kōshirae 24, 40, 41, 76, 78, 117, 128 mino 36 tachi 19, 21, 60, 84, 96–98, 101 tantō 20, 92, 97, 99, 104, 111

tsūrūgi 19, 96 wakazashi 20, 24 Symbolism 12–15, 164, 171 Taiho Codes 64 Taika Reforms 64 Taikei Naotone 133 Taira clan 68, 82 Taishō Period 142 Taisōkū 124 Takemikatzuchi no Kami 125 Takuan Soho 92, 93 Tamahagane 32 Tatara 28, 32 Teboko 76 Tennō 54 Tesshu 94 Test cutting 128 Tōgishi 31, 38 Tōkūbetsū Jūyō Tōken 99 Tokugawa clan 58, 59 Tokugawa Ieyasu 84, 121 Toledo swords 37, 43 Torii 47, 55 Toru Isaji 71 Toyotomi Hideyoshi 84, 97 Treaty of Versailles 138 Tsukagashira 25 Turtle boat 85 Uchigatana 109 Ūchikō 26 Ūchikōmi keikō 94 Ueshiba Morihei 144 Ultra-nationalism 93, 141–143 Uruoi 46 Vajra hilt 47, 87, 88, 92 Value 26, 27 Wa 59, 60 Wabi-sabi 69, 72 Warring States Period 67 Warrior ruling class 122 William Bodiford 93, 170 Wootz steel 11 Ya 76 Yagyu Munenori 72, 92, 93, 95, 164 Yagyu Shinkareryū 95 Yamabūshi 89, 90 Yamaoka Tesshu 92, 93, 164 Yamato clan 52, 54 Yasuyoshi 151 Yayoi Period Swords 59, 60 Yayoi Period 51 Yin and yang 14, 69, 96 Yōkōte 21 Yoshitoshi Tsukiota 68 Yumi 76 Zen and Japanese Culture 142 Zen in the Art of Archery 143 Zen Master Takuan 95 Zhao Dynasty 68

7/28/10 12:13:46 PM

The DVD features a documentary on traditional Japanese sword making, scenes from an iaido class, and an introduction to the Japanese sword at a shop in Kyoto.

All rights reserved Runtime: Approx. 66 mins This is a FREE DVD

T UT T L E www.tuttlepublishing.com Produced in Singapore

pbCvr1404_Jap Swords.indd ICi

2/20/14 1:31 PM