Forged in Iron, Adorned in Gold: The Evolution of Tsuba
Tsuba, the Japanese sword guard, is an abbreviation of tsumiba, meaning an object that “clinches the blade” (Okabe, 1908, p.5). Japanese sword guards, unlike the early Chinese or European ones, were separate from the blade itself (Okabe), but were treated with equally as much reverence, having entire schools dedicated to the sole practice of crafting tsuba. The importance of the sword to the samurai cannot be understated; it was said to be a warrior’s most prized possession (Gunsaulus, 1924) and so characteristic of him a general could identify his samurai by their sword alone (Okabe). While a samurai may only possess one blade, it was likely that he owned several fittings, including tsuba, that contributed to the characterization of the sword as a whole (Gunsaulus). Therefore, throughout history, the tsuba often teetered the line between form and function, at times acting as defense and at others, acting as decor.
Figure 1: Early tsuba [iron, ca. 3rd century–538]. The Metropolitan Museum of Art.
Early tsuba before the 6th century (Figure 1) were devoid of design, simply containing a central opening (nakago ana) where the tang of the blade was inserted (Okabe). The perforations surrounding the opening likely served to make the iron tsuba lighter and easier to carry. Leading into the 8th and 9th centuries, influence from China and the relative peace of the Heian period saw smaller, thinner tsuba crafted from lacquered wood and gilt bronze known as Shitogi tsuba (Okabe). The Shitogi tsuba, however, were decorative and offered little to no protection. With the rise of feudalism and warfare in the Kamakura period, its usage declined and simpler styles such as the Aoi tsuba emerged, its design based on the heartshaped leaf of its namesake (Okabe). Popular even up until the 19th century, the Aoi tsuba (Figure 2) was a return to stronger designs of iron and copper and were made for the curved blades used during feudal Japan (Okabe).
Figure 2: Tsuba with Aoi Design [iron, c. 1615–1868]. The Cleveland Museum of Art.
Tsuba design faced further challenges during the Ashikaga Shogunate when infantry replaced cavalry on the battlefield, and swords such as the long sword (odachi) that were four to five feet long and wielded with both hands were invented (Okabe). In response to the sheer force of the long sword, the size of the tsuba was increased proportionally, and was forged from wrought steel (Okabe). Perforations also became more widespread during this time, as the general Takeda-Shingen reasoned that a heavy tsuba would concentrate the force of a blow in one spot, snapping the tsuba or the pin that fastened it to the hilt (Okabe). Creating holes would make the tsuba lighter and distribute the force of concussion more evenly. It was at this time period that armorers, in addition to swordsmiths, took up the craft of tsuba (Gunsaulus). The tsuba made by armorers are relatively easy to distinguish from those of swordsmiths as they displayed a characteristic raised rim (Vincent, 1972) and many times were unadorned, save the hammer-marks of the armorer (Gunsaulus), as seen in Figure 3.
Figure 3: Tsuba with raised rim [iron, copper, 16th century]. The Metropolitan Museum of Art.
Figure 4: Akasaka tsuba [iron, copper, 18th century]. The Metropolitan Museum of Art.
The latter years of the Ashikaga period and the ushering in of the Tokugawa Shogunate would mark a major shift in both the ideology surrounding tsuba as well as its form. First, at the end of the 15th century, Zen philosophy began to permeate Japanese craft, and swordsmiths began to draw on Zen painters Sesshu and Soami for inspiration (Okabe). The idea of individualism took root and during this time, not only did signatures appear on tsuba, but processes such as acid treatment that changed the color of the tsuba to black or brown emerged (Okabe). Additionally, it was at this time that artisans specialized in tsuba-making specifically, as opposed to earlier armorers and swordsmiths who also made sword fittings. They founded schools of guard-makers, each with their hallmark design (Gunsaulus). In fact, because each school’s tsuba is distinctly recognizable, tsuba design became highly localized. For instance, the Akasaka school in Tokyo (Sesko, 2014) produced tsuba (Figure 4) with intricate designs that did not compromise on strength, said to have been praised by samurai for their iron quality (Vincent). The Umetada school in Kyoto, headed by Umetada Myoju (Kyoto National Museum), produced tsuba known for their fine tapering lines as seen in the wisteria vine depicted in Figure 5 (Vincent). The final catalyst in the birth of the modern tsuba were two policy reforms during the Tokugawa Shogunate. First, the Edo court decreed that the Shogun’s daimyo were to only wear the smaller sword (chiisa-katana) of the two a warrior would normally equip (Okabe). Second, the maximum length of the katana was restricted to two feet and eight and three quarter inches, causing the tsuba to shrink proportionally (Okabe). Thus, the modern tsuba became an ornament and status symbol, losing most of its practical value (Vincent). Perforations no longer became necessary, and the designs could become more intricate (Okabe).
Figure 5: Umetada tsuba with wisteria vine [copper alloy, 17th century]. The Metropolitan Museum of Art
Figure 6: Shozui tsuba with inlay of bickering birds [copper, ca. 1615–1868]. The Metropolitan Museum of Art.
No longer restricted by a need for practicality, tsuba designs took off artistically, spawning dozens of innovations, techniques, and schools, but this new era also resulted in a drastic shift of tsuba ownership. Goto Yujo was one such innovator who applied chasing in relief—depressing parts of metal to raise others to height (Encyclopædia Britannica)—to sword fittings (Gunsaulus, 1923). Goto and his descendents (sixteen generations of tsuba masters), however, worked exclusively for the daimyo and the shogun, where the collection of Goto works among the elite became fashionable (Gunsaulus). Similarly, the noblemen of Kyoto prized tsuba crafted by Hamano Shozui for their emphasis on scene and mood, as seen in the bickering birds of Figure 6 (Vincent). Tsuba, which were originally intended to protect the hands of samurai, became a medium to flaunt wealth and display power by those that did not partake in combat at all. In terms of design, tsuba grew more and more complex (Figure 7), which ignited a radical reaction by one of the great tsuba masters, Kano Natsuo, who restored tsuba to simpler, classical styles (Figure 8) (Vincent). By the Meiji Restoration, the abolishment of the samurai class led to the sale of their armor and weapons, including tsuba, many of which fell into the hands of foreign collectors (Menegazzo, 2021).
Figure 7: Soten tsuba [copper-gold alloy, ca. 1615–1868]. The Metropolitan Museum of Art
Figure 8: Kano tsuba [copper-gold alloy, 19th c entury]. The Metropolitan Museum of Art
While the materials and techniques used to forge tsuba have evolved over time, there are several characteristics representative of most modern tsuba. Modern tsuba, unlike the bronze, iron, and steel of their predecessors, were made from two alloys: shakudo (mostly copper with trace amounts of gold and silver) and shibuichi (2:1 ratio of copper to silver) (Gunsaulus, 1924). The former would undergo an acid treatment, yielding darker colors such as a deep blue or velvet black, while the latter would receive a pickling solution, resulting in softer tones from green to gray (Gunsaulus). The metal was heated in a crucible and poured into warm water when molten, forming a round ingot that would be pounded out into a flat disc, forming the base of the tsuba (Victoria and Albert Museum).
Figure 9: Otsuryûken tsuba with mokume [copper-tin alloy, 1836]. The Walters Art Museum.
Figure 10: Kurokawa tsuba with guri-bori [copper-gold alloy, 19th century]. The Metropolitan Museum of Art.
Figure 11: Close inspection reveals the nanako pattern on this Goto tsuba with a raised inlay of the god Fukurokuju on a stag [copper-gold alloy, 19th century]. The Metropolitan Museum of Art.
Several techniques were used in decorating the surface of the tsuba, the most common of which were mokume, guri-bori, and nanako. Mokume, translating to “the grain of wood”, is a process by which layers of metal are fused together and reveal a design close to wood when filed (Figure 9) (Gunsaulus, p.118). Guri-bori is a similar technique of layering metal, except that it is carved in curves at a slant, creating a lacquer-like appearance (Figure 10) (Gunsaulus). Perhaps the most famous is nanako, a favorite of the Goto masters, directly translating to fish roe (Gunsaulus). This studded effect (Figure 11) is created by repeated punches with a hollow rod and was used exclusively for the royal court (Gunsaulus).
Figure 12: Umetada tsuba with flat inlay [copper-gold alloy, 17th century]. The Metropolitan Museum of Art.
Figure 13: Tsuba with nunome-zogan [iron, gold, 18th century]. The Metropolitan Museum of Art.
Inlays were the final decorative step in making tsuba, of which there were two kinds: hon-zogan (true inlay) and nunome-zogan (cloth inlay) (Gunsaulus). Hon-zogan was created by carving out a pocket for the inlay and hammering the metal into the pocket’s grooves, and could be further divided into two categories of flat-inlay (Figure 12) or raised inlay (Figure 11) (Gunsaulus). Nunome-zogan began with cross-hatching the tsuba to create a textured surface, which would then grip the inlay (usually thinner than hon-zogan inlays) hammered over it (Figure 13) (Gunsaulus). The design of the inlay was also heavily influenced by the ideological and sociocultural movements of the time. For instance, the plum (Figure 14) was a symbol of longevity in much of Japanese art (Gunsaulus). The conch (Figure 15), on the other hand, reflects Buddhist influence, being one of the eight happy omens in Buddhism and representing the voice of the Buddha (Gunsaulus). Meanwhile, the dragonfly (Figure 16) can trace its roots to a Japanese legend where Emperor Jimmu viewed the island from atop a mountain, and said it looked like a dragonfly “touching its tail with its mouth” (Gunsaulus, p. 43).
Figure 14: Tsuba with plum tree inlay [iron, gold, ca. 1615–1868]. The Metropolitan Museum of Art
Figure 15: Inshū-jū tsuba with conch design [iron, silver, 18th century]. The Metropolitan Museum of Art.
Figure 16: Tsuba with dragonfly inlay [iron, gold, 18th century]. The Metropolitan Museum of Art.
The separate nature of the tsuba from the katana has given birth to its own complex history and craft. The tsuba’s form and function are both deeply intertwined with the sociocultural context of the era. Times of warfare necessitated simplification and prioritized defensive capabilities, while times of peace allowed creativity and innovation to flourish. The techniques used in making tsuba—from the materials to the surface to the inlay—were also dynamic processes, subject to change and evolution.
Literature References
Encyclopædia Britannica, inc. (n.d.). Chasing. Encyclopædia Britannica. https://www.britannica.com/art/chasing
Gunsaulus, H. C. (1923). JAPANESE SWORD-MOUNTS: IN THE COLLECTIONS OF FIELD MUSEUM. Publications of the Field Museum of Natural History. Anthropological Series, 16, 1–195. http://www.jstor.org/stable/29782157
Gunsaulus, H. C. (1924). THE JAPANESE SWORD AND ITS DECORATION. Anthropology Leaflet, 20, 1–21. http://www.jstor.org/stable/41444120
Kyoto National Museum. (n.d.). Tachi Sword. Kyoto National Museum. https://www.kyohaku.go.jp/eng/collection/meihin/kin/item02/
Menegazzo, R. (2021). Tsuba: Aesthetic and Function . In Matter and Image Studies and Conservation at the Museum of Oriental Art in Venice (pp. 155–162). essay, Direzione regionale Musei Veneto.
Okabe, K. (1908). Japanese Sword Guards. Museum of Fine Arts. Sesko, M. (2014, January 27).
On the origins of Akasaka-tsuba. Markus Sesko. https://markussesko.com/2014/01/27/on-the-origins-of-akasaka-tsuba/
Victoria and Albert Museum (2022, February 15). How was it made? Tsuba (Japanese sword guard) | V&A [Video]. YouTube. https://www.youtube.com/watch?v=9RB1QevaYx0
Vincent, B. (1972). Warrior’s defense, wearer’s delight: An introduction to Japanese swordguards. The Metropolitan Museum of Art Bulletin, 30(6), 268. https://doi.org/10.2307/3258968
Artifact References
Figure 1: Sword guard (Tsuba) [Iron, ca. 3rd century–538]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/30010
Figure 2: Sword guard (Tsuba) [Iron, c. 1615–1868]. The Cleveland Museum of Art, Cleveland, OH. https://www.clevelandart.org/art/1919.395
Figure 3: Sword guard (Tsuba) [Iron, copper, 16th century]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/24627
Figure 4: Sword guard (Tsuba) [Iron, copper, 18th century]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/29953
Figure 5: Umetada, M. (17th century). Sword guard (Tsuba) [Copper alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/30082
Figure 6: Shōzui, O. (ca. 1615–1868). Sword guard (Tsuba) [Copper]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/28441
Figure 7: Sōten, S. (ca. 1615–1868). Sword guard (Tsuba) [Copper-gold alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/30010
Figure 8: Kanō, N. (19th century). Sword guard (Tsuba) [Copper-gold alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/24625
Figure 9: Otsuryûken, M. (1836). Tsuba with a Hawk and a Sparrow [Copper-tin alloy]. The Walters Art Museum, Baltimore, MD. https://art.thewalters.org/object/51.381/
Figure 10: Kurokawa, K.S. (19th century). Sword guard (Tsuba) [Copper-gold alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/647020
Figure 11: Gotō, M. (19th century). Sword guard (Tsuba) [Copper-gold alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/35913
Figure 12: Umetada. (17th century). Sword guard (Tsuba) [Copper-gold alloy]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/29966
Figure 13: Sword guard (Tsuba) [Iron, gold, 18th century]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/642391
Figure 14: Sword Guard (Tsuba) Depicting Plum Tree (梅樹図鐔). [Iron, gold, ca. 1615–1868]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/25691
Figure 15: Inshū-jū, M. (18th century). Sword guard (Tsuba) [Iron, silver]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/23942
Figure 16: Sword Guard (Tsuba) With the Motif of Dragonfly in Grapevine (葡萄に勝虫図鐔) [Iron, gold, 18th century]. The Metropolitan Museum of Art, New York, NY. https://www.metmuseum.org/art/collection/search/25768
