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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. 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. 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 child ren as protective talismans, referred to as mamori-gatana.

Distinguishing Blade Characteristics

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

The daisho set, consisting of katana and wakizashi swords, was produced to be worn together.

The ken-brandishing Buddhist deity Fudo Myo-o.

The upper section, handle, and tang of a disassembled katana.

The tantō has a short, utilitarian blade.

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.

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.

The terminology for different parts of the blade.

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.

Temperline Patterns (Hamon)

When a Japanese sword is made, a special process of hardening the sword creates a wavy line. The line, called the hamon, is the delineation between hard edge-steel and the softer 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)

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 (CHOJI)

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

BAMBOO CURTAIN (SUDAREBA)

Sudareba hamon look like a bamboo curtain, mimicking the regular pattern of sections and multiple parallel lines running parallel to the cutting edge.

MOTTLED (HITATSURA)

Hitatsura hamon are composed of scattered spots and patches of hardened steel throughout the length of the blade. Known for the wild, untamed, and rugged look, many collectors consider Hitatsura hamon particularly striking.

Straight grain (masame).

Wood pattern grain (mokume).

Plank pattern grain (itame).

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

Grain Patterns (Hada)

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

STRAIGHT GRAIN (MASAME)

Masame grain looks like long parallel wood grain that runs the length of the blade parallel with the cutting edge.

WOOD PATTERN GRAIN (MOKUME)

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

PLANK PATTERN GRAIN (ITAME)

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.

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.

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.

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, 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 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.

Here, a soft cloth is held in the left hand to aid in the viewing of subtle features within the hamon.

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.

Author Colin M. Roach demonstrates how to clean a Japanese sword.

Maintenance and Cleaning

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. 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.

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.

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, 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—Yūshū-Saku

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

Shown here are multiple small kitae-ware.

Shown here are fukure with shintetsū.

Shown here are fukure and kitae-ware.

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.

Availability of Antique and Modern Swords

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 Tōkyō’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 21^st 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.

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.bushidojapaneses-words.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.mountain-winddojo.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 Choshū ya (http://world.choshuya.co.jp/). While visiting Ginza Choshū 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 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.

Charcoal provides consistent heat for the production of a Japanese sword.