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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 reconciliation that one can understand the significance of the Japanese sword.

At once both beautiful and functional, Japanese swords surpass all other weapons in terms of historic and symbolic significance.

The hada (grain pattern) seen on this blade is a signature attribute of an authentic Japanese folded-steel blade. See Chapter 1, “Appreciating the Japanese Sword” for more information on Japanese sword characteristics.

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.

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 “Shintō” 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 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. Nevertheless, accurate and meaningful interpretations of the Japanese sword’s importance can be made through an in-depth analysis of this complex culture.

A richly symbolic sculpture of the sword-wielding Buddhist deity, Fudō-Myō-ō. See pages 87-90 for more information.

Traditional culture is deeply embedded within modern Japan.

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, 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.

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.

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 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.

The wearing of paired swords was reserved for the samurai class and became known as one of the hallmark symbols of the warriors’ identity.

Even when at apparent ease, the vigilant samurai would never leave his sword out of reach.

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 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.