“Shu-Ha-Ri” stands for the three stages of skill mastery: the Chinese character Shu, Ha, and Ri. In “Shu”, you follow the examples given and master them completely. At the “Ha” level, you add your own creative touch to what you have learned and make the techniques and skills your own. At the stage of “Ri”, you take what you have learned even further.

1. Daisuke Sugiyama sugi@interliteracy.com
JFTC Essay Competition 2006
http://www.jftc.or.jp/english/home_e.htm
Japan Foreign Trade Council, Inc.
Prize for Excellence (Short Version)
“Shu-Ha-Ri”
守破離
Compared to fifty years ago, Japan has become more closely linked to other countries as
Japanese corporations have entered overseas markets. To live together in a borderless
international community, the people of each country must have a sense of belonging to their
own nation and have a clear sense of national identity. The concept that “culture = brand”
at the national level differentiates one country from the nations in the global community and
strengthens that country’s competitive spirit. A brand’s uniqueness is amorphous. This
means that the value of a brand is created through the image people have of that brand in
their minds.
In the case of Japan, I think that the “image people have of a brand in their minds” is an
aspect of the Japanese Philosophy of “Shu-Ha-Ri” which I came to know from kendo, I
started during my thirteen-year stay in New York. In brief, “Shu-Ha-Ri” stands for the three
stages of skill mastery: the Chinese character Shu（守）, Ha（破）, and Ri（離）. In “Shu”,
you follow the examples given and master them completely. At the “Ha” level, you add your
own creative touch to what you have learned and make the techniques and skills your own.
At the stage of “Ri”, you take what you have learned even further. In Japan, “Shu” is the
heart of knowledge transmission, which is the basis for the creation of culture, in other words,
the origin of education. Through “Shu” that has been passed down over the generations
through intentional effort, the basics have been valued and the traditional mindset and
atmosphere of Japan have been valued. “Brand Japan” which is Japan’s pride and glory is
precisely this “Shu” from “Shu-Ha-Ri”.
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2. “Shu-Ha-Ri”
Foreword – Japanese Spirit
Any Japanese person who has lived abroad will tell you that in a foreign land, there are
many instances where you become acutely aware of your Japanese-ness. Following my
father’s transfer to America, I spent 13 years living there in the melting pot of cultures.
Through my many experiences there, I became very aware that I was indeed Japanese.
Since I was 3 years old, and until graduating from junior high, I attended the neighborhood
public school as the only Japanese person there. Among the many races and ethnicities, I
formed my own identity, as Daisuke Sugiyama, and regarded myself as that, not minding
what others thought. At public school I soaked in American culture and cultivated an
Americanized way of thinking, different from that of a typical Japanese. An American
identity is not dependent upon something; it is about creating your own style.
I returned to Japan directly following the Great Hanshin Earthquake for high school
entrance exams, and resumed my life here. In my world history text book, I read a war
history different from that I learned in America, and realized that the war was perceived
much differently by country. 11 years have passed since then, and I have learned the
Japanese style of business, hospitality, and thoughtfulness. The distinct culture
specific to Japan, was very refreshing to me. Most of the time, what seems fresh from
the outside, goes unnoticed by those living inside.
Recently, the strengths of Japanese corporations are being aknowledged. Meticulous
monozukuri, product development, production systems, quality of service, etc. the
strengths of Japanese corporations are wide ranging. What has supported this is the
coherence and solidity of the Japanese people, which is a characteristic of Japan, and
the Japanese people. Japan’s unique asset is its people itself. Japan’s value lies in
the philosophies that have supported her, and in the Japanese mindset which is
unwavering despite the tides of time. This to me is ultimately the “Shu-Ha-Ri” concept.
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3. Chapter 1 Japanese Values - “Shu-Ha-Ri”
1. Beginning Kendo in NY
The first time I laid my eyes on the protective gear and bamboo sword of kendo, was at
a friend’s house when I was in third grade. I was instantly attracted, and put them on
over my T-shirt and shorts. Wanting to take up kendo, I approached my mother, and
she said that I may, if I could withstand an hour in a room with no air conditioning with a
rice cooker on my head. Now that I think about it I understand that she was testing
whether I could bear the protective head gear. This is how I began kendo.
In New York, my kendo class would often use public gymnasiums for our practice.
There was once an incident where Americans who were unaware of the art of kendo,
walked by and saw an adult hitting a child with the bamboo sword and dialed 911. The
police came to check if there was any child abuse going on.
Taking up kendo in New York, I had many opportunities to meet with the Japan national
champions. My teacher was good friends with a man who taught kendo at the
Japanese police department, and insisted that I attend a training camp during the stay in
Japan he knew my family was planning. He told me there would be fishing trips in the
morning and fireworks at night and it would be all very fun. I believed him.
- The kendo camp hosted by the police department
That summer I spent at the camp hosted by the police in Katsuura, Chiba would be one I
would never forget.
The kendo that I learned in New York was a sport. It was where we would work up a good
sweat with friends and interact within the Japanese community. The teachers were also all
family friends, and were like our neighbors. Practice was fun, never hard. However, during
those 5 nights and 6 days at camp, I realized that the kendo I was learning was in fact a
budo, or martial art.
From how to care for our bamboo sword or “shinai”, to how to properly put on the
protective body gear, everything was about repeating the basics, respecting elders, orderly
communal life, greetings in clear strong voices, and scrubbing the teachers back in the bath
houses. It was a life of rules that I had never experienced before, and it appealed to me.
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4. By beginning kendo, I learned Japanese mannerisms and culture while living abroad. At
the camp I attended, I got a feel of the genuine kendo. The words recited at the mediation
we did at the end of each practice were as follows:
‘The sword is the “kokoro”. If the “kokoro” is true, so is the sword. If the “kokoro” is not true,
neither is the sword. Those that learn the art of the sword must first learn the way of the
“kokoro”.’
As a boy living in America, these words were very fresh to me. “Kokoro” literally means
“heart”, however I believe “mind” is a more accurate English translation. The heart is a
feeling, emotional thing that cannot be controlled. However, the mind is a controlled feeling,
spirit, or mentality. I understood that I needed to practice to control my “kokoro” or mind.
In America, I played a variety of sports; however I never encountered one whose teachings
were based on the mind. Since then I came to learn that “kokoro” is important not just in
kendo, but in everything we do. I also learned the profound depth of the Japanese
responses, where yes means no, and no means yes.
Henceforth, I began my interest in budo and Japanese culture.
In New York, there were no Dojos nearby, so going to practice meant going by car, which
eventually lead to my older and younger sisters to start kendo as well. After a while, my
kendo teacher invited my parents to join, and my dad jumped in wearing his sweats. My
mother, disliking the idea of wearing sweats, didn’t join in until her gear arrived from Japan.
My parents were over 40 years old when they began in New York, but have continued kendo
even after their return to Japan, and still today join the police sponsored lessons. My father
is now a grand master, and our beginning kendo together has strengthened our bonds as a
family.
After returning to Japan, my mother was facing her kendo promotion screening, and one of
her exam questions was to explain the concept of “Shu-Ha-Ri”. My mother went to the
library to research. To her dismay there were not many sources available, so I searched
the internet on her behalf.
At the time, I was unaware of the phrase “Shu-Ha-Ri”. In my research, I found that this
concept was common to all Japanese arts ending in “do”, such as “Sado” (tea ceremony).
What I learned then was that “Shu-Ha-Ri” is comprised of three Chinese characters “Shu”,
“Ha” and “Ri”, each with deep meaning, expressing a stage of mastery.
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5. “Shu” is the first stage in learning anything. Here, you follow the teachings of your master
completely. It is the stage in which you absorb the teachings and values of your master.
The next stage, “Ha”, you abide by your master’s teachings but add your own thoughts and
values to it. In other words, you create your own “do” or “path”.
The last stage is “Ri”. This is where you detach yourself from your master and refine the
path you have created, and ultimately gain enlightenment.
It dawned on me, that this “Shu-Ha-Ri” concept was exactly the “Japanese values” that I had
come to know. The Japanese-ness that I inexplicably felt was all nicely embodied in this
concept.
2. What is “Shu-Ha-Ri”?
In his book, The Philosophy of Shu-Ha-Ri, Ryozou Fujiwara describes “Shu-Ha-Ri” as
follows:
All Japanese arts end with the Chinese character “do”(path). Their ultimate goal is to
achieve self completion through training. The philosophy of “Shu-Ha-Ri” is the mental
path describing the behavioral pattern through which an apprentice achieves his
awakening. “Shu” is learning and retaining the teachings of his predecessors. “Ha” is
complete immersion in the drilling and refining of oneself, and “Ri” is the state of the
mind and soul after grasping the art’s spirit with both body and mind.
In brief, “Shu-Ha-Ri” stands for the three stages of skill mastery: the Chinese character
Shu, Ha, and Ri. In “Shu”, you follow the examples given and master them completely. At
the “Ha” level, you add your own creative touch to what you have learned and make the
techniques and skills your own. At the stage of “Ri”, you take what you have learned even
further.
There are many Japanese who are unaware of “Shu-Ha-Ri”. However, “Shu-Ha-Ri” is a
concept that relates to the spiritual foundations of Japan, and underlies all the fields of art
and business.
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6. 3. The significance of “Shu-Ha-Ri”
It is said that humans possess a high capacity of learning, and the ability of teaching, traits
that no other animals possess. These abilities are what the foundations of human society
and culture are based upon. Its goings on are language based education, which is as
Russo points out, vital to the existence of man. “Education” is exclusive to mankind, and is
also its greatest contrivance.
The word for learning in Japanese, “manabu”, stems from “manebu” or “imitate”. Human
learn through intellectual curiosity. This is motivated by the desire to test and heighten one’s
ability, and is accompanied by a sense of joy. Learning which does not cultivate a higher
ability is not accompanied by a sense of joy, and learning without the desire for new abilities
is not intrinsic learning, and cannot become a motive for further advancement.
To learn is to gain human culture, and since culture is social by nature, gaining such
connects one to human society, and to the entire history of mankind. To learn is to connect
with others via culture, and to open one’s self to the world.
As above, and as Hajime Tajima states in his book, Introductory Education Principles,
education is the origin of culture, and learning, or “Shu” in the case of Japan, is the
beginning of mankind’s history. I believe that the origin of learning in Japan is this “Shu”,
and thus the origin of Japanese culture is also the “Shu” of “Shu-Ha-Ri”. All the basics are
learned in “Shu”.
Japan is a country where adjectives such as “kokoro” (heart/mind), and “omomuki”
(atmosphere/flavor) nicely fit. Mastering the basics are important in both budo and art.
The basics are first and foremost how you maintain your “kokoro” or mindset. In business
and in anything else, it is important to concentrate your “kokoro”. This fundamental idea is
deeply reflected in Japanese budo, art, and culture. To develop one’s insides or “kokoro” is
one of the points of mentorship, and as an apprentice, the first step is to imitate the
movements of the master, whom has already achieved the before such. This is in other
words, “Shu”.
By polishing and developing your “kokoro”, you can move on to the next step. This is the
process by which apprentices grow as a person, and such arts as kendo and sado (tea
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7. ceremony), or any other art ending with “do” signifies that one will continue to battle within
oneself in order to progress in mastering the art. The enemy is within. The battle is
between yourself. Therefore, I believe that “Shu” is a method of protecting yourself from
yourself.
Even if you self learn kendo from the start, it is insufficient because the limits of any
self-styled (“Ha”) art without the basics shall come at one point.
In Japanese culture, you must first learn the basics, or “kata”(form) first. To make yourself
look similar to that of the world you wish to master, and to adapt to it is what is most
important. This is also the spirit of respecting “Shu”.
4. The Japanese Culture of “Shu”
Japan’s cultural background is fundamentally different from that of other countries.
The core of such background is the “Shu-Ha-Ri” concept, where the sequence is of great
importance, and if any one step is missing, the training loses all meaning. Through
learning or imitating your master or mentor, you gain your basics and conceive your base.
“Ha” is where you develop yourself and create your own style upon these basics, and “Ri” is
where you take it one step further and gain enlightenment. Therefore, without the basics,
you have no base. Hence, there is “Ha” or “Ri” without “Shu”.
If one goes through the “Ha” and “Ri” stages without the “Shu”, it is most likely an
unsophisticated, imperfect, and unstable mastery, since it lacks a base.
Let’s take a look at the world now. The United States of America, is an economic giant
where an emphasis is placed on an “original-style” and “the power of money”. Materialism
is wide spread, what can be seen with the eyes is valued, and thinking is egocentric.
Individuality is respected above all else, and people are taught to speak their minds before
listening to others. In such a manner, Americans and Japanese are fundamentally different,
as Japanese value what cannot be seen with one’s eyes.
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8. Chapter 2. The Japan Brand - The brand value within people’s minds
1. Brand value within people’s minds
The below is a quote from Seminar - Introductory Book to Marketing:
“A simple definition of “brand” is “a collective term placed upon a name or mark that
characterizes a product or service”. Looking back in history, companies have heavily
utilized brands since the beginning of marketing in the early 20th century.”
This definition of brand is easy to understand. In general, “brand” has a “product or
service” at its core. A “brand” has a “mark” by which a product is distinguished from
other products, in the way that most Japanese think of “walkman” when they see the
SONY mark, and UNIQLO when they think of fleece tops, and TIFFANY when they think
of engagement rings. A brand’s function in marketing is it’s “guarantee function”,
“identification function”, and “associative recall function” (brand recall, brand
association), and the prerequisite of these are the existence of a “product or service”.
Today, many companies in many fields stress the establishment and development of
their company’s brand value over that of their technology or product value, meaning that
brand development is not only in regards to “products”.
Let’s look into this idea that brand does not necessarily equal product by reading the
following excerpt from Product/Brand Strategy.
The source of value that brands add to products is directly related to the “knowledge
the customer possesses”, as is signified by the phrase “brand image”. Even people
who cannot tell you the difference between a product and brand, will often use the
word “brand”, not “product” when relating to “value”. A typical example is when
people talk about high class fashion apparel. The word that is frequently used is
“brand”, not “product”. Although people may not be clearly aware, many intuitively
sense that the brand value is created by the knowledge of the customer.
The characteristics of brands can be described in four categories, “amorphous”,
“indirect”, “multilayered”, and “relativity”. I would like to focus on the “amorphous”
quality.
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9. “Amorphous” means that the brand’s value cannot be seen with your eyes, because it is
composed of the knowledge that people have in their minds.
A brand is perceptional, and exists within the knowledge or emotions of our minds. It is
10
layered, and relative.
Now, let’s look more deeply into the possibilities of the “Japan Brand” on the pretense
that the source of brand value lies within our knowledge.
2. Conclusion The Possibilities of the Japan Brand – The “Shu” of “Shu-Ha-Ri” –
Within “Shu-Ha-Ri”, I believe that “Shu” is the most significant of Japanese values.
“Knowledge” is the consolidation of past teachings and is a legacy. By imitating or
learning from your mentor, and obediently attaining his skills, regardless of if you
understand it or not, you will be gaining the legacy that your mentor has gained from his
mentor.
If for example, you are training to become a cook of Japanese cuisine, at first you will
not be allowed to hold a knife. First you would clean the kitchen and sinks and do all
the chores obediently as ordered by your elders. By doing so, you will learn from what
your mentors say, or how they move about. Through this training, you can feel the
atmosphere of the art you hope to master, and at the same time copy the technique of
your mentors. These early years are where you learn the basics.
In the Japanese arts ending with “do”, there are many instances where one is not
directly taught by his mentor, but gradually learns the art from living limited within a
group of apprenticeship, sharing the same atmosphere. Through “Shu-Ha-Ri”, a master
will learn from his master “Shu”, make it his own “Ha”, and then continue on “Ri”. Then,
his apprentice will learn from him “Shu”, and so on. If you go back in time you will see
the master learning from his master, and his master learning from his master, and so on.
“Shu-Ha-Ri” is continued on in sequence, and through this the legacy lives, and the
basics are further developed.
This is not only true for master and apprentice, but also between parent and child. A
parent will pass on knowledge and customs, technique, skill and atmosphere, to his
child. His child will obey and protect this knowledge, and pass in on to the following
generations.
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10. I believe that because there is this “Shu” stage, there exists a “Ha” and a “Ri” for each
individual. Japanese have from ancient times valued the passing on of knowledge.
“Shu”, of “Shu-Ha-Ri”, is what best describes the source of this thinking.
Today, the strengths of Japanese companies such as “meticulous monozukuri”, “product
development skills”, “production systems”, and “high quality of service”, are becoming
renown in the world. A strength of Japanese companies that makes them even more
competitive is the “Shu” of “Shu-Ha-Ri”, or the “consolidated value” of the Japanese
throughout history. This is Japan’s distinct trait, its “Japanese-ness”. I also believe that
it is the most important possibility of the “Japan Brand”.
(Footnotes)
1
Fujiwara, Philosophy of Shu-Ha-Ri (1993), Baseball Magazine Publishing
2
Yanagida, Historical Kokogo Education (1937), Iwanami Publishing
3
Tajima, Introductory Education Principles (1997), Yuhikaku Alma
4
Ishii, Kuriki, Shimaguchi, Yoda, Seminar Introductory book to Marketing (2004), Nihon Keizai Shimbunsha
5
Aoki, Onzo, Product/Brand Strategy (2004), Yuhikaku, Chapter 9
6
Aoki, Onzo, Product/Brand Strategy (2004), Yuhikaku, Chapter 4
References
“Branding” is Organizational Strength (2005), DIAMOND Harvard Business Review
Cabinet Office “Consumer Confidence Survey” March, 2005
Ministry of Internal Affairs and Communications “Communications Usage Trend Survey (Households)”
December, 2004
“Honkawa Data Tribune” Yutaka Honkawa http://www2.ttcn.ne.jp/~honkawa/
Ishii, Kuriki, Shimaguchi, Yoda, Seminar Introductory book to Marketing (2004), Nihon Keizai Shimbunsha
Aoki, Onzo, Product/Brand Strategy (2004), Yuhikaku
Ogi, Marketing Strategy (2000), Chuo Keizaisha
Tajima, Introductory Education Principles (1997), Yuhikaku Alma
Fujiwara, Philosophy of Shu-Ha-Ri (1993), Baseball Magazine Publishing
Yanagida, Historical Kokogo Education (1937), Iwanami Publishing
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