HISTORICAL EVOLUTION OF SAMURAI ARMS AND ARMORS JAPAN, 700 AD – 1880 AD An Interactive Qualifying Project Report submitted to the Faculty of the WORCESTER POLYTECHNIC INSTITUTE in partial fulfillment of the requirements for the Degree of Bachelor of Science By Korapat Lamsam Cory Lauer Paul Shepanski Michal (Michelle) Talmor Date: May 3, 2012 Submitted to: Professor Diana A. Lados Mr. Tom H. Thomsen Abstract The samurai warrior class of Japan has always fascinated the western world due to the intriguing contrast between their strict military training and frightening efficiency, and their deeply spiritual customs and surprisingly refined artistic talents. The purpose of this project was to explore the evolution of this contrasting nature from the inception of the samurai class around the 8th century to its abolishment in the 19th century, and to see how this cultural evolution and the evolution of available materials and processing methods affected the construction and characteristics of the samurai’s weapons. Out of these weapons, the katana, the signature long blade of the samurai class was the primary focus. As part of this project, a sample katana was constructed using near-traditional methods and its material properties were explored using modern mounting and inspection techniques. In addition, the previous year’s project website was updated to include the efforts made during this project. ii Acknowledgements We’d like to thank Professor Diana A. Lados and Mr. Tom H. Thomsen for guiding us through the amazing venture into the world of historical evolution of materials and cultures that this IQP has been for us. We would also like to extend our appreciation to Joshua Swalec, who dedicated both his time and his forge to this project. His instructional advice and great expertise were instrumental to our effort to create a replica of a samurai katana using traditional forging. Lastly, we would like to thank Professor Boquan Li who patiently instructed us on how to mount, polish and etch samples and how to properly operate the Vickers microhardness and the Rockwell hardness machines. Without all of these individuals, this project would not have been as comprehensive and successful as it was. Thank you. iii Table of Contents Abstract ........................................................................................................................................... ii Acknowledgements ......................................................................................................................... iii Authorship ..................................................................................................................................... vii List of Figures ................................................................................................................................ ix 1. Introduction ............................................................................................................................... 1 2. Review of Japanese History 710 AD – 1870 AD ..................................................................... 3 2.1 The Nara Period: Humble Beginnings .................................................................................. 3 2.2 The Heian Period: Rise of the Samurai................................................................................. 4 2.2 The Kamakura Period: The Shogunate, Rule of the Samurai ............................................... 6 2.3 The Sengoku Period – War Among the Daimyos ................................................................. 6 2.4 The Azuchi-Momoyama Period - Unification & Order ........................................................ 8 2.5 The Tokugawa Period – Peace & Prosperity ........................................................................ 9 3. The Samurai – the Ultimate Warrior Class ......................................................................... 11 3.1 Social Structure ................................................................................................................... 11 3.1.1 Clan Formation ............................................................................................................ 11 3.1.2 Clan Loyalty................................................................................................................. 12 3.2 Religious Beliefs & Culture ................................................................................................ 13 3.2.1 Shinto ........................................................................................................................... 14 3.2.2 Confucianism, Buddhism & Zen ................................................................................. 15 3.2.3 Bushido ........................................................................................................................ 17 3.3 Tactics ................................................................................................................................. 18 3.3.1 Development of Armies ............................................................................................... 18 3.3.2 Primary Weapons ......................................................................................................... 19 4. The Katana – a Samurai’s Spirit ........................................................................................... 21 4.1 Description & Anatomy ...................................................................................................... 21 iv 4.2 History................................................................................................................................. 23 4.2.1 Introduction of the Curved Blade ................................................................................ 23 4.2.2 Emergence of the Stronger, Shorter Katana ................................................................ 24 4.3 Cultural & Religious Meaning ............................................................................................ 25 4.3.1 The Meaning of the Katana to the Samurai ................................................................. 25 4.3.2 The Meaning of the Katana for the Sword Smiths ...................................................... 26 4.4 Materials & Manufacturing Process ................................................................................... 27 4.4.1 Smelting the Steel ........................................................................................................ 27 4.4.2 Forging the Katana ....................................................................................................... 30 4.4.3 Final Quench ................................................................................................................ 33 4.4.4 Constructing the Handle & Sheath .............................................................................. 36 4.4.5 Wrapping the Handle ................................................................................................... 37 5. Other Weapons of the Samurai ............................................................................................. 42 5.1 The Wakizashi .................................................................................................................... 42 5.1.1 History of the Wakizashi ............................................................................................. 42 5.1.2 Characteristics of the Wakizashi .................................................................................. 43 5.1.3 Materials Used in the Wakizashi ................................................................................. 43 5.2 The Tanto ............................................................................................................................ 44 5.2.1 History of the Tanto ..................................................................................................... 44 5.2.2 Characteristics & Materials of the Tanto ..................................................................... 45 5.3 The Bow .............................................................................................................................. 45 5.3.1 History of the Bow ....................................................................................................... 45 5.3.2 Characteristics of the Bow ........................................................................................... 46 5.3.3 Training with a Bow .................................................................................................... 47 5.4 The Spear ............................................................................................................................ 48 5.4.1 History of the Spear ..................................................................................................... 48 5.4.2 Characteristics of the Spear ......................................................................................... 48 6. Armors of the Samurai ........................................................................................................... 50 6.1 The Helmet.......................................................................................................................... 50 v 6.2 The Chest Piece................................................................................................................... 51 6.3 Additional Armor ................................................................................................................ 55 7. Constructions of a Sample Katana ........................................................................................ 57 7.1 Materials Used .................................................................................................................... 58 7.2 Process ................................................................................................................................ 62 7.3 Results ................................................................................................................................. 69 8. Conclusion ............................................................................................................................... 78 9. Bibliography ............................................................................................................................. 79 10. Figure References ................................................................................................................... 82 11. Table References ..................................................................................................................... 85 11. Appendices .............................................................................................................................. 86 Appendix A: Glossary............................................................................................................... 86 Appendix B: Collected Material Hardness Data ....................................................................... 93 Appendix C: Updating the Online Database Site ..................................................................... 95 Appendix D: Katana Making Process Documentation ............................................................. 98 vi Authorship Korapat Lamsam  The Nara Period: Humble Beginnings  The Heian Period: Rise of the Samurai  The Katana, History  Other Weapons of the Samurai, The Wakizashi  Other Weapons of the Samurai, The Tanto  Glossary Cory Lauer  The Tokugawa Period – Peace & Prosperity  The Katana, Materials & Manufacturing Process  Construction of a Sample Katana, Plan  Construction of a Sample Katana, Materials  Construction of a Sample Katana, Process (co-written) Paul Shepanski  The Azuchi-Momoyama Period – Unification & Order  Other Weapons of the Samurai, The Bow  Other Weapons of the Samurai, The Spear  Armors of the Samurai  Construction of a Sample Katana, Results  Conclusion vii Michal (Michelle) Talmor  Abstract  Acknowledgements  Introduction  The Kamakura Period: The Shogunate & the Samurai Ruling Class  The Sengoku Period: War Among the Daimyos  The Samurai – the Ultimate Warrior Class  The Katana , Description & Anatomy  The Katana, Cultural & Religious Meaning  The Katana, Materials & Manufacturing Process, Wrapping the Handle  Updating the Online Database Site viii List of Figures Figure 1: Katana Anatomy – Different Parts of the Blade. ........................................................... 22 Figure 2: Katana Anatomy – Different Parts of the Handle. ........................................................ 23 Figure 3: Ceremonial Nature of Blade Forging. ........................................................................... 27 Figure 4: Tatara Furnace Schematics. ........................................................................................... 28 Figure 5: Tatara Furnace Burning Iron into Tamahagane Steel. .................................................. 30 Figure 6: High Carbon Tamahagane Steel Squares. ..................................................................... 31 Figure 7: Hard Steel Shell Initial Block Formation. ..................................................................... 31 Figure 8: Formed Soft Steel Core to be Inserted into the Hard Steel Jacket. ............................... 32 Figure 9: Blank, 90% of Desired Length, vs. Fully Shaped Blade. .............................................. 33 Figure 10: Shaving Off Irregularities in the Blade. ...................................................................... 33 Figure 11: Covering the Blade with Clay for the Final Quench. .................................................. 34 Figure 12: Quenching of the Blade in a Trough of Water. ........................................................... 35 Figure 13: Adjustments to the Final Blade via Gentle Hammering.............................................. 35 Figure 14: Samegawa, Stringray Skin with Nodules. ................................................................... 38 Figure 15: Tsukamaki Wrapping Triangle Pattern. ...................................................................... 40 Figure 16: Menuki Insertion into the Handle. ............................................................................... 40 Figure 17: Full, Mounted Katana with Wrapped Handle & Sheath. ............................................ 41 Figure 18: Comparison Between Long Katana & Shorter Wakizashi. ......................................... 42 Figure 19: Example of a Tanto from the Kamakura Period. ......................................................... 44 Figure 20: Drawing a Japanese Bow From Above the Head. ....................................................... 47 Figure 21: Archery Training via Competition Challanges. .......................................................... 47 Figure 22: Comparison of Spear Lengths based on the Army (Latest to Earliest). ..................... 49 Figure 23: Example of a Decorated Kabuto with False Hair. ....................................................... 51 Figure 24: Sample of Scaled, Lamellar Armor. ............................................................................ 52 Figure 25: Traditional Samurai Do-Maru Armor. ........................................................................ 53 Figure 26: Example of Europe-Influenced Japanese Plate Armor................................................ 54 Figure 27: Example of Sode from the Edo Period. ....................................................................... 55 Figure 28: Example of a Full Piece of Edo Period Decorative Armor. ........................................ 56 Figure 29: Silk Cord for Katana Handle Wrap. ............................................................................ 60 ix Figure 30: Stingray Skin for Katana Handle Wrap. ...................................................................... 60 Figure 31: Finishing for the Sample Katana. ................................................................................ 61 Figure 32: 1095 Steel Forging. ..................................................................................................... 62 Figure 33: Joined 1018 Steel and 1095 Steel. ............................................................................... 63 Figure 34: Brittle Failure of the Hard Steel/Soft Steel Blade. ...................................................... 64 Figure 35: 5160 Blade Second Attempt. ....................................................................................... 64 Figure 36: Grinding the Sword. .................................................................................................... 65 Figure 37: Final Blade with Silvery Finish. .................................................................................. 65 Figure 38: Applying Refraction Clay to the Blade Before Quenching. ........................................ 66 Figure 39: Quenching the Blade. .................................................................................................. 66 Figure 40: Carved Tsuka Handle. ................................................................................................. 67 Figure 41: Cut Same Piece & Handle Wrapping Tools. ............................................................... 68 Figure 42: Wrapped Handle Assembly, Left to Dry Overnight.................................................... 68 Figure 43: Silk Ito Wrapping. ....................................................................................................... 69 Figure 44: Final Replica of a Katana. ........................................................................................... 70 Figure 45: Etched & Mounted Blade Sample. .............................................................................. 71 Figure 46: Vickers Hardness Results across Both Steel Sections................................................. 73 Figure 47: Vickers Hardness Results across the Boundary between Steels. ................................ 73 Figure 48: Grain Images Above & Below the Soft/Hard Steel Boundary. ................................... 74 Figure 49: Fe-C Phase Diagram. ................................................................................................... 75 Figure 50: New Website Main Template with Sidebar Navigation. ............................................. 95 Figure 51: More Spacious Template with Top Navigation. ......................................................... 96 Figure 52: Clickable Map and Navigable Time Periods Example. .............................................. 96 Note: Figure references can be found after the Bibliography section. x