You are not a Samurai
     

Part 1

To answer the question “How does one become a Samurai”, one must first truly understand what a Samurai is.

During the Heian period (roughly 794-1185 C.E. in the Western calendar) the imperial Fujiwara family found itself too bloated to successfully live the effective, comfortable lifestyles they’d become accustomed to. For one thing, there where too many people who could legitimately claim ascendancy to the imperial seat. For another, they found it annoying to have to pay attention to the daily needs of governance.

As a consequence, an Imperial decreed was enacted whereby two large factions of the Imperial family – the Taira (also called the Heike) and the Minamoto (also called the Genji) – along with some lesser clans, would be cut off from the Imperial family, thus denied ascendancy and rights of Imperial lineage. These clans (the Taira and the Minamoto) where major factions made up of several smaller clans and families as well, and their stations and places in the pecking order where well defined, regardless of whether those put in place liked their place, or adhered to their proffered station.

The country was divided into several loosely defined prefectures, and these families where afforded territories, lands, station, titles, and authority among them. Essentially, they where to be provincial managers under authority of the Imperial throne.

As time went on, the Imperial family ceded more authority to these provincial leaders, Samurai power grew, and Imperial power shrank. Eventually, the authority of the Samurai class was made independent of Imperial decree at the start of the Kamakura Bakufu (in 1185) but that is a different story.

Many territorial battles where fought and imperial strife reared it’s ugly head when – in 1156 – rival claimants to the imperial throne mounted a coup (eliciting the help of portions of the Taira clan). At this point, Japanese history takes an extremely interesting and complex series of twists and turns: the Samurai would become their own social class quickly, codify their ethical and moral outlook, self-govern their contemporaries, mount several political and military revolts, choke the imperial seat with economic tourniquets, took authorities not give, attempted to reclaim Imperial ascendancy, etc. – a very long and extremely interesting history.

The foregoing is an extremely truncated look at the events in question, but truncation is necessary for the sake of brevity. The pertinent events and facts have been cited, and further historical examination falls clearly outside the scope of the topic at hand: How one becomes a Samurai.

My point is that these where the first of the true Samurai families: they where members of the shed imperial clans (Taira and Minamoto for the most part) with direct lineal connections to the imperial (Fujiwara) seat.

In a more colloquial sense, the Samurai are members of a warrior class in Feudal Japanese Society, regardless of whether the governing bodies are Imperial or Shogunate in nature. In fact, the power of the Japanese ruling class regularly changed hands from the Imperial throne to the various Shogun authorities. Mostly, the two coexisted in one state of balance or another.

How does one become a Samurai? … To be precise and literal, simply put, become fully adopted by a family with direct lineage to the original families and who have the authority to pass that authority on, and then become the recipient of such passed-on authority. Period.

Many people claim to be “modern Samurai” but I’d love to see their proof of lineage. Personally, I believe all one should hope for is to live a life of martial excellence balanced by endeavors towards spiritual balance, moral and ethical clarity, and an education in – and application of – the finer arts necessary to attain these goals.

Carrying the moniker of Samurai would – I believe – be irrelevant. Label a thing, and you limit it – you define it. Any man who can simply and succinctly define himself is no longer prepared to grow, and the lack of personal growth – the belief that one is complete – is stagnation and death itself. It is the contention that there is nothing further to attain or learn.

Be neither Samurai, nor Bushi, nor Monk. Simply BE and learn and grow.

 

Part 2 

Generally, soldiers serving under a Samurai (we'll assume a Daimyo, to keep things simple) fell into one of two groups: lesser Samurai (yes, Samurai varied in rank and social status, just like modern Soldiers may be privates, Colonels, Generals, or anything in between) and Bushi.

Samurai translates differently depending on whom you're speaking to and the context of the conversation, but it comes out variably as "to serve" or "retainer" or "one who serves". They are generally retainers under a greater lord than themselves.

Bushi are soldiers with no real, legitimate, provable lineage to hold them to Samurai status. They also make up the bulk of Samurai armies.

Now, on to the point.

1 - Literal familial adoption:

If one was literally adopted into a Samurai family (i.e., a Samurai took charge of a youth, and assumed the role of Paternal Guardian) then he could indeed be considered to be of the Samurai class.

2 – Non-Literal Adoption:

It was common for Samurai to have servants and soldiers not of Samurai lineage in their employ. A Samurai of considerable rank and political sway could bestow upon one of these, the social rank and entitlements of Samurai if he felt one among his servants was worthy of such an honor. This is tenuous at best, as it is an honorary title, and virtually everyone who matters knows it. Other Samurai will generally recognize the bestowment of title and rank, but will generally not take it too seriously (“Sure he struts about wearing O-Yoroi and brandishing a Katana, but it’s not like he’s a real Samurai … just Lord So-and-So’s lap dog, really.”). These could be well respected members of the Lord’s household, as well, and it should be kept in mind that only persons of exceptional merit would be considered for elevation to Samurai status: if you’re a member of the Elite social class, you don’t simply bestow titles on anyone … you want to maintain the Elite status of your Elite social class, after all. Generally, such an honor would be bestowed upon those who truly impress his Lord with qualities exemplifying the ideals he wishes to espouse. Even given that, it was extremely rare.

Normally, one who impressed his Lord that much would simply be afforded more luxuries, responsibilities, and duties. He would have much more authority – by special decree – and would enjoy a greater degree of freedoms. There where many Bushi who – while not Samurai themselves – had more authority than the Samurai around them. The title of Samurai was closely guarded, and if you could avoid bestowing it, you did.

In the early part of Samurai history, the bestowing of rank seldom happened, as the families in question still held very strongly to their imperial lineage. As time went by, the practice became more accepted, but it was always extremely rare as far as I know.

I would like to bring up two counterpoints here:

First, one should remember that many Samurai families fell on hard times, and it was not uncommon for legitimate Samurai families to be seen as farmers, craftsmen, or simply homeless drunks, sleeping on the streets of the cities surrounding the castles their families once ruled in. While not true Samurai anymore, they can claim such a lineage, and a Lord could call such a person out, recall his services, and demand the displaced descendant’s loyalty, thus reinstating his Samurai status.

Second, one should remember that a person of Samurai lineage was not instantly a Samurai himself, but was so only if he actually, actively served under some Lord or Daimyo, or even the Emperor himself – to whom all Samurai (theoretically) owed their ultimate allegiances.

Imagine the following:

Our Daimyo, Bob, has a son named Joe, and has adopted (literally taken parental responsibility for) a youth by the name Rick. Bob also has a young soldier (Doug) in his command who is without equal when it comes to horsemanship and his skills with the yari while mounted. He is exceptional, loyal, and has the respect of nearly everyone he meets. Bob likes to keep Doug at his side constantly.

Now, Bob is obviously a Samurai, and one day, his son Joe will be. Joe will have to prove himself, however, and among his tests will most likely be his skill at arms, his diplomacy, and his loyalty. His competence as a ruler of men and his mental skills will also be an asset. Assuming that Joe is at least competent, he will most likely become a Samurai, succeeding his father.

 

Like Joe, Rick may become a Samurai as well, but will most likely never be afforded the luxuries that Joe enjoys. His tests will be much harder, and in reality, he may never actually be bestowed the title Samurai despite enjoying a Samurai’s lifestyle. If, however, Joe proves to be incompetent, lazy, or an embarrassment, (or if Rick simply outperforms his brother) Rick would more than likely become the “number one son”.

Doug will most likely never be a Samurai, but might be a trusted lieutenant or bodyguard of renown, serving one or more generation of Bob’s family. Perhaps, after several decades of loyal service, Doug may one day so tremendously impress Bob (save his life, perhaps) that Bob may indeed bestow the title of Samurai upon him. This is an honorary status, however, and would not normally be hereditary.

Furthermore, let us assume that Bob once defeated and killed his nemesis, John the Samurai. Bob offered some of John’s followers positions in his court, but many refused. These men where stripped of positions, rank and title, lands, and possessions. One of these men was named Thomas, who was afforded amnesty, and now lives a pastoral life as a farmer in Bob’s newly won territories. Thomas has a son by the name of Bill, and Bill lives – as his father – on the family farm. Bill is aware of his lineage, but realizes that he can hope for little more than a comfortable life, despite any wild dreams he may have.

Well, Bob is going to war and needs to swell his ranks, so he approaches Thomas, who – out of respect for his vanquished lord – declines respectfully. He affirms his loyalty to Bob, but simply can not raise his sword for any lord other than that whom he fought under originally. Bob understand and respects Thomas’ stance and lets it go. Bill, however, offers his sword for Bob’s benefit, and Bob accepts. Bill also brings along his friend George, who is of no special lineage, but still wants to serve his lord. Bob humors Bill and now Bill is perhaps a Bushi while George is merely a soldier … little more than Bill’s sidekick and hanger-on. Time goes on, Bill engages several of the enemy in combat and proves himself a loyal and apt soldier, so Bob reinstates his Samurai status. He is of Samurai lineage, has sworn loyalty to Bob, and has proven himself a good follower, so why not? Now George has done his share as well, and has proven just as apt and loyal as Bill, but will never be a Samurai – he is simply not of the proper lineage. He will, however, most likely serve Bill in a close and esteemed capacity as Bill rises in rank and stature.

 

Part 3 

So, after Bill is reinstated as a Samurai, at some point would George earn the title "Bushi"?

Possibly, but unlikely. Bushi still have some tenuous but real lineal connection to the imperial families or Samurai families. If Bill has the authority, he may bestow the title of Bushi on George, but realistically, it would probably be in both of their best interests to simply let the title issue hang. If George becomes a Bushi, he is suddenly held under social and political constraints that might prove constricting and inconvenient, whereas if he remains sans-station, he has much more latitude in what he can get away with and not – he is not expected to adhere to Bushido, for instance, so social faux pas can be excused, points of honor ignored, and so on. Granted, he technically has no authority, but this can be granted to him. Also, there is always the threat that George (sans-title) could be dispatched out of hand by a Samurai whom he insults, but the reality that he is Bill’s lap dog (accompanied by some nifty political maneuvering and social wrangling) would be sufficient to save George from such a fate.

I should apologize for failing to touch on one very important aspect of this discussion: the Ronin.

Ronin is commonly translated as “wave man” and indicates one who rides by the tides of life in a seemingly random or unfettered manner. Generally speaking, Ronin where erstwhile Samurai who wandered the land without benefit (or constraint) of a proper Lord. Their loyalties where still tied to the Emperor (technically) but not to any other proper Lord of the land. Ronin could be found either actively seeking a lord, avoiding becoming anyone’s vassal, living the life of a bandit or petty usurper-to-be, or living a non-Samurai life altogether (such as in the case of Thomas, the former Samurai turned farmer).

Using our current cast of characters, Thomas – after adopting the life of a farmer – would be a Ronin. His son, Bill, would not be – he was not a Samurai proper when his father became a farmer, and when he entered the service of Bob, he was working for a Lord. There was no time that Bill walked away from a proper Samurai existence, so he would not be a Ronin.

However, later in his career under Daimyo Bob, Bill might decide to strike out on his own. His contract with Bob was – after all – only for the one campaign, and perhaps Bob simply can not afford to maintain as many retainers as he had need of during this campaign. Let us assume it is an amicable split. We might even further assume that Bob gives Bill a letter of recommendation, of sorts, that he might take with him to a perspective Lord.

Thus released, Bill might wander the land seeking a proper lord to whom he could swear his loyalty. Bill would now be a Ronin. Perhaps he meets several lesser lords whom he hires his skills out to for short periods of time. Perhaps he does not, preferring the life of a mendicant. Perhaps he simply wanders about, seeking what he perceives as his perfect Lord. Perhaps he knows exactly who that is and approaches him directly.

In any case, Bill would remain a Ronin until such time as he was accepted into the house of a proper Samurai, and then swore his oaths of loyalty to that Lord.

But what of George, Bill’s faithful follower? Well, he would remain a close and trusted follower and friend, but would not attain the rank of Samurai. Certainly not following a Ronin.

Now for a twist … what if Bill – soon after leaving Bob’s service – becomes disillusioned about the Samurai lifestyle? After all, he’s seen his father defeated and thrust to the life of a farmer, merely because he couldn’t see the opportunity before him. He’s realigned his loyalties more than once to serve first his father’s ideals, then Bob’s command, and perhaps several other lesser lords seemingly at random thereafter. Perhaps Bill simply sees his Samurai lineage as a ticket to prosperity, and perhaps he’s a bit bitter about the whole thing. Perhaps he wants to help his friend George out. After all, George has been more loyal to him than any of his lords, and he shows no signs of wandering off. Well, perhaps Bill obtains a few accoutrements of the Samurai caste – a Katana, a horse, some armor perhaps, and even documents (forgeries perhaps) attesting to a fictional Samurai lineage. Perhaps Bill is shrewd and simply has an expert forger modify the documents granted by Bob to include George’s name as well. Certainly this is tricky, but if carefully accomplished, it even rings of truth when lightly researched.

Well, if this is the case, then Bill would remain a Ronin, and would most likely take up the life of an outlaw, abusing his heritage and authority to get what he felt he deserved. In this instance, Bill would represent the worst of the Ronin stereotype, and would become one example many Daimyo would use to illustrate why every Samurai must either swear fidelity or be disavowed of his lineage and beaten into submission.

Also, George might be able to pass himself off as a Samurai, and might even succeed in upholding this image so well that his children are accepted as Samurai as well. If George avoids any serious examination of his lineage, he will generally be safe, but eventually, careful examination of his claims would show the roots of this new lineage (or lack thereof) and become the downfall of George’s household.

I should also note that these examples are just that – examples. In no way is this an exhaustive examination of the Samurai hierarchy or it’s class structure and rules. These are complex topics that are seldom fully explained even in the most far-reaching of books, let alone in a forum thread. It does – however – give a glimpse of the ideas and concepts at hand.

The Samurai had a real and revered connection to the Emperor, and to Japan itself as a nation and a spiritual existence. One can not become Samurai – one must simply be born one or not. Having said that, the Samurai ideals (as theoretical and philosophical concepts) are a wonderful thing to strive for, but one should not trouble one’s self with the accolades of Samurai status. Attaining a name is not attaining the ideal – it is grasping at clouds in the attempt to attain Heaven.

After all, there is certainly an Imperial seat and an Emperor, but what land are you to manage in his stead?  What wars to fight in his name? Excel at your arts and do not concern yourself with rank, titles, or the finery of a single word. It is contrary to the true goal of Budo, which is the perfection of the self – not the attainment of a title.

 

Now, on the other hand, if anyone out there wants to seriously consider mounting a coup against the Parliament of Japan in an effort to re-instate the Emperor’s temporal rule and to establish a new generation of Samurai military supremacy and authority, feel free to contact me. I can free up the time.