An Unofficial Take on the Samurai Class of Rokugan

The Celestial Order, the social system of the Emerald Empire, takes the shape of a pyramid. Its basic components from the glorious Emperor down to the lowliest Eta have been explored elsewhere (see pp. 21-23 of the Legend of the Five Rings Second Edition role-playing game rulebook), but Rokugan is a vast and complex realm and many subdivisions complicate the social order. There are over a million members of the samurai caste in the Empire, and it would be simply wrong to assume that they all come from a similar social and economic background, or have similar opportunities available to them.

Iuchi Joe starts an RPG campaign with 2 ranks of Status and a small estate. What kind of family background is he likely to have come from? Who are his inferiors, peers and superiors? What kind of options in terms of career advancement or marriage contracts is he likely to have? The elite of the Empire has its own social orders and gradations, and for many samurai the station into which they are born is the single most defining aspect of their lives. The status and past history of one’s family creates expectations, opening and closing doors. Exceptional individuals (such as the Player Characters) can and do surmount their origin to achieve the highest ranks, but even they must necessarily operate within the great framework of social hierarchies that spans the Empire.

The following is an overview of the samurai caste, concentrating largely on the internal make up of the Great Clan Families of the Empire. It is but a rough guide, and variation to the norm exists especially among the smaller or more specialised Families. The three monastic orders of the Dragon Clan are not, of course, considered as proper Families for the purposes of this essay.

The Kuge

The elite of the elite are the Kuge, or the court aristocracy. The imperial familes of the Toturi, the Otomo, the Seppun and the Miya (and formerly the Hantei) belong to this class. The Kuge compromise a separate, if interrelated, social hierarchy with the rest of the samurai caste, existing alongside and above the Buke. Save for the far-ranging Miya heralds, the members of the Kuge have historically lived in the Imperial City, controlling the central administration and monopolising access to the imperial court. With the sack of Otosan Uchi and the re-foundation of Toshi Ranbo as the new capital, the holdings of the Kuge families have scattered wider. Nevertheless, the Kuge rarely socialise or marry outside their circles.

In deference to the founding Kami whose blood runs in their veins, the Great Clan daimyo and their immediate families have traditionally been counted among the Kuge. While historically of little relevance, in recent generations the elevation of the Mantis to Great Clan status and that of the Matsu and the Moto Families to the leadership of their Clans has caused canny courtiers to resurrect this ancient custom. Since none of these Families descend from the Kami, their daimyos’ lack of the ceremonial Kuge status has occasionally been used to throw obstacles on the path of envoys to the Imperial Capital.

PCs belonging to the Imperial Families are automatically members of the Kuge class. A Kuge PC must also purchase a minimum of 2 additional Status ranks at character creation. The Kuge are wealthy and well connected, and thus the Advantages Ear of the Emperor and Inheritance are common. Due to the insular nature of the Kuge families, Colour-blind and Epilepsy are typical Kuge Disadvantages.

The Buke

Below the court aristocracy of the Kuge is warrior aristocracy of the Buke, made up by the samurai of the Great and Minor Clans.

The Ruling Houses

The internal hierarchy of the Clan Families is topped by their ruling houses (the Mirumoto, the Soshi, the Yasuki, etc). Their members are, at least theoretically, the most direct descendants of the Family’s original founders. While most of the samurai in the Empire bear three names, the members of the ruling houses possess only two: their given name and their Great Clan Family name. No other is necessary, for they are of the blood of their founder.

Following the example of the Hantei Dynasty, the ruling houses are often small in numbers, compromising only the immediate family of the daimyo, and perhaps close relatives no more than once or twice removed. More distant relatives are usually married into other families, or demoted to Fudai to remove them from the order of succession.

PCs that start with a minimum of 3 additional ranks of Status at character creation have, at the discretion of the GM, the option of being members of a ruling house. They must specify their relation to the head of the Family. The GM may also require such Advantages as Gentry, Inheritance and/or Major Allies be purchased to simulate the wealth and connections that being so closely connected to the Empire’s ruling class would bring.

What’s in a Name?

All Great Clan samurai in Rokugan carry the name of the founder of their Family. That name is a symbol of their allegiance to their ruling house, and is what sets them apart from the lordless ronin. But there are hundreds of Tamori, thousands of Ide, and tens of thousands of Matsu, and it would be an impossible situation if all of these samurai could be differentiated only by their given name.

Consequently, a system of two different types of family names has evolved in Rokugan. Dynastic Family names denote the great houses of the Clans and can be granted (or revoked) only by the Emperor. These invariably take after the personal name of their founder (for example Akodo, Hiruma, and Horiuchi).

In addition to their Clan Family name, all samurai possess a lesser family name that they share with their relatives. Like any surname, these are passed down from parent to child and adopted by spouses marrying into the family. It is from the lesser family name that a knowledgeable observer may deduce a person’s place of origin, likely station in life, and family connections. Lesser family names tend to be descriptive and derive from landmarks or geographical locations in the area from which the family originated (such as Fujigawa, or “wisteria river”). Clan historians keep careful track of the lesser families, and while it is not unknown for younger siblings to abandon their parents’ name to establish a family of their own, it invariably requires the permission of the ruling daimyo. The privilege of establishing a one’s own family can also granted for valorous service. Cadet branches typically retain a component of the original family name. So Doji Omiya, formerly of the family Fujigawa, might adopt the name Hokuto, meaning “northern wisteria”.

While there is a small number of established ronin families, such as the Yotsu, most ronin do not claim a family name. However, nicknames derived from personal characteristics (Oda One-eyed, Retsu the Pirate) or hometowns (Hikaru of Ryoko Owari Toshi) are common. For the sake of clarity, when the word ‘family’ is used to refer to the major Families of the Clans (Daidoji, Kaiu, Bayushi, etc) it is spelled with a capital letter.

The Fudai

Barely a step below the ruling houses are the families of the Fudai (or ‘hereditary retainers’). These are the sprawling kin groups that have risen to the highest positions in the Family’s pecking order by the virtue of ancient lineage, close connections with the ruling houses, political clout or vast wealth. Though there is no technical distinction between the members of a Clan’s high aristocracy and the lesser samurai, such families are instantly recognisably by the deference shown to their members and the prestigious posts that they hold, often inherited down the line for generations.

The number of Fudai families varies from Clan to Clan, from the half-a-dozen of the small Kitsuki to the half-a-hundred of the populous Matsu. While the imperial families and the ruling houses of the Clans dictate the direction for the empire, it is the Fudai who manage the day-to-day leadership of the Empire, providing the generals of its armies, the high-ranking officials of its administration, the owners of its wealthiest estates, the patrons of its most famous temples, and the governors of its cities and provinces.

The Fudai aristocracy is also the most cosmopolitan class in the Empire. The Kuge marry among themselves, the lesser samurai typically marry within their own Clan, and while a marriage among the ruling houses is always an important political event the number of such arrangements is necessarily small. In contrast the Fudai, who marry almost exclusively into other Fudai families or into the ruling houses, include by far the most inter-Clan marriage alliances. It is not at all uncommon for a Shosuro courtier to have such connections as a Shiba sister-in-law as a senior Emerald Magistrate in Toshi Ranbo, an Akodo uncle as the general of the Fifth Lion Infantry, and a Kakita cousin as a sensei in the Duelling Academy.

While this system of near-incestuous kinship relations provides the glue which keeps the far-flung houses of the Empire cemented together (and is arguably one of the most powerful forces for peace), it is very difficult to break into from without. One of the reasons why the Unicorn Clan has been so slow in integrating into the Empire is the long-standing disinterest of their leading families in establishing firm connections with the Fudai. It is not impossible for a low-born samurai of exceptional ability to be awarded a position worthy of a Fudai lord, but unless the newcomer succeeds in firmly attaching himself (preferably by marriage or adoption) to the family networks of the Fudai, then the fortunes of his descendants rest on a shaky foundation indeed.

Members of the Fudai families live on the estates, castles and mansions of their families. Most hold appointments that come with generous stipends – some of which are purely ceremonial and require little or no actual work. Even those without a fixed source of income can smooch off their relatives for extended periods of time, moving on to live on the expense of another aunt or cousin once they finally worn out their welcome.

Should a Family daimyo die without leaving an heir, a successor usually emerges from one of the Fudai families closely connected with the ruling house. These succession disputes can cause bloody infighting within the Family, as a political connections, vast bribes and even military force are used as weapons to remove potentials rivals.

PCs that start with a minimum of 2 additional ranks of Status at character creation have the option of being members of a Fudai family. Advantages such as Allies, Gentry, and magisterial and military appointments are common among the Fudai, but must be purchased separately.

The Officeholders

Below the Fudai are the families of the samurai officeholders. This class can be characterised as the lower elite within the samurai caste, compromising not only the lesser landholders and cadet branches of the Fudai families, but also the junior officials in the administration and in the armies. While the Fudai monopolise the majority of the high-ranking positions in the Clans, it is the samurai office holders who form the vast body of Clan administration.

A samurai family’s membership of the office holding class is less formal than that of the self-consciously elitist Fudai, being merely defined by the posts, possessions and reputation of its leading members. It is not uncommon for a rank and file samurai to rise in station by the dint of a valorous service, and for that favour to be withdrawn only in a generation’s time as his children prove less suited for holding it. This is especially common with magisterial, military and bureaucratic appointments, many of which are not, among the lower ranks, automatically passed from one generation to the next. As such many samurai aim to become gokenin, or ‘small estate managers’, as landed property is commonly inheritable by offspring. This involves, however, a certain trade-off: while a stewardship over a collection of heimin villages may secure a stable fortune for the future generations of the family, it in itself provides very few opportunities for further advancement. By contrast, a prestigious appointment in the courts represents a fast-track career choice, but is hazardous and presents much less potential for establishing an enduring dynasty. The most successful office holding families have historically spent a generation or two in establishing a firm financial powerbase on the countryside, and then sending their children or grandchildren to carve careers for themselves in the courts.

Landowning members of this class live on their estates, whereas samurai with appointments in cities usually own a house and enjoy a comfortable stipend. This allows them to support their family and a small number of heimin servants. Properly managed, the stipend also allows for a few luxuries such as visits to geisha houses, fine artwork and the occasional (but very necessary) bribe to peers or superiors.

The higher a samurai’s rank, of course, the larger his income is likely to be: a successful and well-connected magistrate can command as much if not more of his Clan’s resources as his social superiors. Ambitious members of office holding families compete fiercely for opportunities of being allowed into the Fudai patronage and favour networks, attempting to muscle their way into the higher rungs of the society by marriage alliances and prestigious appointments. Much of the Empire’s intrigue and politics focuses on the almost imperceptible fault line between powerful office holders and the established Fudai families. The Gozoku Alliance has recruited heavily among the more ambitious members of the lower elite, forging powerful of links of obligation and mutual supporters by exchanging favours, arranging marriages and securing key appointments to their sympathisers.

PCs who begin the game with official appointments in their Clan are usually members of the office holding class. Such a background can also be simulated by purchasing 1 rank of Status at character creation. The player and the GM should some idea on exactly what duties and privileges this position entails.

The Rank and File Samurai

The vast majority of the samurai in the Clans fall into this category. These are the offspring of the average samurai families, or the younger children who did not inherit the offices or the estates of their parents.

The position of even the lowliest Clan samurai is defined as that of a member of the Empire’s warrior elite, and so most rank and file samurai are bushi in the service of their superiors. In times of war a Clan’s armies are swelled manifold by peasant levies, but a wise daimyo avoids recruiting peasants unless absolutely necessary. After all, each peasant serving in the daimyo’s armies is a peasant who is not working on the daimyo’s fields. In times of peace the hohei (bushi of the rank of Private) compromise the majority of a Clan’s standing forces.

Small scale engagement such as bandit hunts, skirmishes and border raids are conducted by the hohei, and outside a major war effort present the best opportunities to acquire glory and distinction. Otherwise, the rank and file bushi serve as guards in cities, military outposts, way stations and on the estates of the wealthy. Luckier bushi serve as personal aides to office holding samurai. Such positions are highly coveted as they offer increased stipends and the greatest chances for advancement. A capable yoriki might be promoted one day to the rank of a magistrate.

Shugenja are usually looked after better than their bushi cousins. Many low-ranking shungenja are attached to temples or shrines where they are allowed to peacefully pursue their devotions and religious duties. Furthermore, the ability to commune with the mikokami is a rare gift and few daimyo are foolish enough to let it go waste. Shugenja bring prestige and good luck, and those lords who can afford it employ the services of a personal shugenja retainer. Likewise, low-ranking courtiers tend to find themselves positions as aides and messengers. Many are assigned to serve in a single court, and may spend years or even decades there before being promoted or reassigned.

The rank and file samurai live in accommodations provided by their superiors, usually barracks in the case of the hohei. Separate accommodations are usually but not always arranged for married couples. The day-to-day life of a rank and file samurai is not particularly glamorous, but it still a far cry from that of a common peasant. A lord bears the responsibility to provide for his retainers even at times of famine, and the samurai are not subjected to back-breaking work on the fields.

Unless additional Status ranks are bought (or lost) at character creation, starting PCs commence their careers as rank and file Clan samurai. They are at the bottom of a convoluted social hierarchy, but on the other hand the world is full of opportunities for them. It comes as no surprise that those who have risen from obscurity to great glory are among the Empire’s most beloved heroes.

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