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.
PART 1
Introducing the Japanese Sword
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.
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. 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.”
The ken is a straight, double-edged sword of ancient Chinese design.
Sharp and resilient, the tachi marks the beginning of “the Japanese Sword.”
Chokutō blades courtesy of the Shosoin imperial treasure house.
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.
