Empowering Popular Fiction: The Ironic Reinterpretation of Confucianism in the Fiction of 

Kyokutei Bakin  

by  

Shan Ren 

 

 

  

A dissertation accepted and approved in partial fulfillment of the   

requirements for the degree of  

Doctor of Philosophy   

in East Asian Languages and Literatures 

 

Dissertation Committee:  

Glynne Walley, Chair  

Rachel DiNitto, Core Member  

Maram Epstein, Core Member  

Akiko Walley, Institutional Representative  

 
 

University of Oregon  

 

Spring 2025 

 

 

 



 

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© 2025 Shan Ren  

  



 

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DISSERTATION ABSTRACT 

 

Shan Ren 

 

Doctor of Philosophy in East Asian Languages and Literatures 

 

Title: Empowering Popular Fiction: The Ironic Reinterpretation of Confucianism in the Fiction 

of Kyokutei Bakin 

 

 

(This dissertation includes previously published material.) 

In my dissertation, I investigate the seemingly paradoxical relationship between the 

hierarchical, state-endorsed Confucian ideology imported from imperial China and the 

iconoclastic, popular literature of Edo Japan. Although the Tokugawa shogunate implemented 

Confucianism to reinforce social order from above, I argue that Kyokutei Bakin (1767-1848), a 

renowned popular writer whose audience consisted of people from various classes, reinterpreted 

and appropriated this ideology in his fictional works as a means of critiquing and resisting 

governmental oppression.  

Previous scholarship on the literary exchange between Edo Japan and Imperial China has 

primarily focused on the influence of Chinese vernacular novels in terms of themes, plots, and 

terminology, while often neglecting the transference and reinterpretation of Chinese 

philosophical thought. My interdisciplinary research addresses this gap by bridging the fields of 

literature and philosophy. This transnational and multilingual approach reveals how the 

seemingly rigid framework of Confucian thought was adapted and transformed into a literary 

tool for questioning social hierarchies and challenging authority. 

The core of my research examines how Bakin’s works critique Confucianism by 

systematically deconstructing its prescribed top-down social order–beginning with the higher-

level legitimacy of the ruler, moving to the secondary-level obligation and righteousness of the 



 

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samurai class, and finally addressing the personal-level filial piety and chastity. Chapter I 

outlines this overarching structure, while Chapter II analyzes the concept of legitimacy in Kaikan 

kyōki kyōkakuden (Lives of the gallants: Read them and wonder, 1832-1835). The novel’s 

multifaceted portrayal of legitimacy through characters from diverse positions challenges and 

resists a singular, monolithic interpretation of the concept. Chapter III, part of which has been 

published in Studies in Japanese Literature and Culture, investigates the kyōaku (gallant) 

archetype, debunking the myth that a righteous person has to devote himself to serve the ruler. 

The portrayal of virtuous kyōkaku as protectors of the oppressed reflects societal anxiety over 

disorder and the collective yearning for justice. Chapter IV focuses on the portrayal of a dokufu 

(“poisonous woman”) character in Shinpen Kinpeibai (New Edition of the Plum in the Golden 

Vase, 1831-1847), uncovering how filial piety and chastity can function as tools of oppression. 

Ultimately, I conclude that Bakin’s works amplify the voices of marginalized individuals, 

emphasizing their agency in reinterpreting state-endorsed ideologies and constructing their own 

identities. 

  



 

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ACKNOWLEDGMENTS 

 

 

I wish to express my deepest gratitude to those who have supported me over the past six 

years. First, I am profoundly grateful to my advisor, Glynne Walley, whose guidance and 

feedback have shaped me into a better scholar and thinker. Studying under his mentorship—a 

rare combination of professionalism, insight, and kindness—has been an immense privilege. His 

expertise in Edo literature and Kyokutei Bakin fundamentally influenced my approach to Bakin’s 

works. Without his unwavering support, I could not have completed this dissertation on time or 

secured my job position. 

I would also like to thank Maram Epstein for generous support and mentorship. Her 

expertise in Chinese vernacular novel provided crucial interdisciplinary and transregional 

perspectives that significantly enriched my dissertation project.  My sincere thanks to Rachel 

DiNitto for invaluable advice on the dissertation’s structure and for challenging me to articulate 

the broader significance of my research. I am equally indebted to Akiko Walley, whose ukiyo-e 

seminars illuminated the role of visual culture in Edo popular fiction.  

My one-year research in Japan was made possible by the generous support of the Japan 

Foundation. I am especially grateful to Oya Taeko, my advisor at Aoyama Gakuin University, 

who encouraged me to present my work to Japanese scholars and publish my research locally. 

Thanks to her guidance, part of my third chapter was accepted and published by Studies in 

Japanese Literature and Culture in May 2025. I also extend my appreciation to Kanbayashi Naoko 

and Han Gyoungja for their rigorous seminars on Edo theater and literature, which vastly improved 

my ability to work with premodern primary texts. Additionally, I thank Laura Moretti and the 

University of Cambridge’s Summer School in Early Modern Japanese Palaeography for providing 



 

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me with essential training in kuzushiji decipherment, a methodological cornerstone for my research 

on Edo popular fiction.  

To my friends in the Japanese studies cohort—Xiaoyu Wang, Tim Strikwerda, Kumiko 

McDowell, Kaoru Tamura, Aidana Bolatbekkyzy, Teppei Fukuda, and Sayaka Merriam—thank 

you for the laughter, shared meals, and mutual support that made this journey brighter. My 

gratitude also extends to Ya-chiao Li, Xinzhu Li, Sarah Agou, Risa Shimozono, and Jing Fang 

for their unwavering care and encouragement. Special thanks to James Stone Lunde for his 

steadfast belief in me during difficult moments. 

Finally, I owe my greatest debt to my parents, Honglan Zhou and Dazhong Ren, for their 

unconditional support. They stood by my decision to pursue a Master’s in Canada and a PhD in 

the US. Each time I relocated, they anxiously followed my safety; during pandemic isolation 

when returning home was impossible, my mother sent me her hand-made clothes to soothe my 

longing; and whenever I achieved even the smallest milestone, their pride outshone my own 

satisfaction. I will honor their unwavering faith by continuing to pursue excellence worthy of 

their devotion. 

  



 

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TABLE OF CONTENTS 

Chapter Page 

 

 

I. INTRODUCTION .................................................................................................... 11 

 1.1 Chapter Outlines .............................................................................................. 14 

 1.2 The Daxue as the Fundamental Framework and Its Use  

in Fiction Commentaries .................................................................................. 16 

 1.3 Bakin and Neo-Confucianism .......................................................................... 25 

 1.4 Overview of Existing Scholarship on Kyokutei Bakin’s  

Fictional Narratives .......................................................................................... 32 

II. VIRTUE VS. POWER: NARRATING SEITŌ (LEGITIMACY)  

IN KYŌKAKUDEN ...................................................................................................... 39 

 2.1 Introduction ...................................................................................................... 40 

 2.2 The Definition of Seitō..................................................................................... 44 

 2.3 Hakuseki’s Confucian Reading of Seitō in Tokushi Yoron .............................. 47 

 2.4 Views on the Ashikaga Shogunate from Multiple Perspectives  

in Kyōkakuden .................................................................................................. 53 

 2.5 The Irony behind the Seemingly Serious Discussion on  

Seitō—Kuro-hime ............................................................................................ 62 

 2.6 The Irony behind the Seemingly Serious Discussion on  

Seitō—Ikkyū .................................................................................................... 69 

 2.7 Conclusion ....................................................................................................... 76 

III. THE SHOGUNATE VS. THE PEOPLE: KYŌKAKU SPIRIT  

IN KYŌKAKUDEN ...................................................................................................... 78 

 3.1 Introduction ...................................................................................................... 79 

 3.2 The Definition of Kyōkaku............................................................................... 81 

 



 

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Chapter Page 

 

 3.3 Moral Degradation and the Appearance of Kyōkaku and Tōzoku .................... 86 

 3.4 The Kyōkaku Ideal and the People’s Hope for Justice ..................................... 91 

 3.5 Tōzoku: The Evil Counterpart of Kyōkaku....................................................... 99 

 3.6 The Ashikaga Shogunate and the Great Thief Metaphor................................. 103 

 3.7 Conclusion ....................................................................................................... 110 

IV. SELF VS. FAMILY: DOKUFU OREN IN SHINPEN KINPEIBAI ..................... 115 

 4.1 Shinpen Kinpeibai: Plot, Genre, and Influence ................................................ 117 

 4.2 From the Military Romance to Family Conflicts: The Yase  

Family as a Microcosm of the World .............................................................. 124 

 4.3 Oren—the True Protagonist ............................................................................. 129 

 4.4 Oren and Kameko—Agency and Power in the Household ............................. 134 

 4.5 Oren the Dokufu and Her Symbolic Patricide.................................................. 140 

 4.6 Two Filial Daughters and Two Hundred Ryō .................................................. 148 

 4.7 Conclusion ....................................................................................................... 157 

V. CONCLUSION ....................................................................................................... 159 

 5.1 Obstacles in Reality and Bakin’s Grand Dream .............................................. 160 

 5.2 The Influence and Afterlife of Kyōkakuden and Shinpen Kinpeibai ............... 169 

REFERENCES CITED ................................................................................................ 174 



 

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LIST OF FIGURES 

 

Figure Page 

 

 

1. The visual representation of “three cardinal principles” and  

 the “eight steps” ..................................................................................................... 22 

2. Kōkakudō hihyō daiichi kisho Kin pei bai (The first masterwork  

 Jin Ping Mei with commentaries by Zhang Zhupo) .............................................. 24 

3. Four forms of seitō ................................................................................................. 45 

4. The power structure of the Nanboku-chō .............................................................. 46 

5. The illustration of Ikkyū ........................................................................................ 73 

6. Ikkyū gaikotsu (Ikkyū’s Skeleton) ......................................................................... 75 

7. Inside front cover and the author’s preface ............................................................ 86 

8. The three phases of the world’s degradation, according to Bakin ......................... 90 

9. The screen with an upside-down poem .................................................................. 96 

10. Koma-hime’s assassination of Ashikaga Yoshimitsu ............................................ 112 

11. Publisher’s note ...................................................................................................... 121 

12. Yase family tree ..................................................................................................... 126 

13. Tagane’s cousins .................................................................................................... 130 

14. Oren’s social connections ...................................................................................... 130 

15. Power structure of the household before the incident ............................................ 135 

16. Power structure of the household after the incident............................................... 136 

17. Keijūrō punishes Kameko ...................................................................................... 138 

 

 



 

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18. Oren convinces Keijūrō ......................................................................................... 139 

19. The new power structure of the household ............................................................ 140 

20. Oren’s lovers .......................................................................................................... 141 

21. Oren and Hijimatsu ................................................................................................ 143 

22. Kameko and Ofuta’s conversation with Kureha .................................................... 144 

23. Oren suffocating Butarō ......................................................................................... 152 

24. Kiresuke suffocates Butayo ................................................................................... 153 

25. Oren is about to escape .......................................................................................... 165 

26. Oren is controlled completely ................................................................................ 165 

27. The final Buddhist ceremony ................................................................................. 167 

 

 



 

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CHAPTER I 

INTRODUCTION 

“If one is capable of reading unofficial histories [novels], then he can uncover what others have yet to reveal, 

explain what others cannot explain, and ultimately enable the reader to grasp everything clearly in advance.” 

—Preface to Kaikan kyōki kyōkakuden, vol. 2, Kyokutei Bakin1 

 

Kyokutei Bakin 曲亭馬琴 (1767–1848), one of the most celebrated writers of the Edo 

period (1603–1868), remains an important figure in Japanese literary history. His works continue 

to captivate modern readers, as evidenced by the recent Japanese film Hakkenden 八犬伝

(Hakkenden: Fiction and Reality, 2024), which blends the fictional world of Bakin’s famous 

narrative with the struggles he faced in real life. According to data from Kōgyo Tsūshinsha, this 

film ranked number one in the domestic movie category for October 25 to 27, 2024. It attracted 

125,700 viewers and earned a box office revenue of 168 million yen (approximately 1.1 million 

US dollars) over the first three days of its release.2 

This film not only demonstrates Bakin’s enduring influence in contemporary Japanese 

culture and literature but also coincidentally echoes one of the key themes I explore in this 

dissertation: the “transcendent” nature of fiction. To begin with, the film’s success highlights 

how classic literary works can transcend time and space. The 2024 film, directed by Sori 

 
1 Bakin Kyokutei, Kaikan kyōki kyōkakuden, ed. Yokoyama Kuniharu and Ōtaka Yōji, Shin nihon koten bungaku 

taikei 87 (Tōkyō: Iwanami Shoten, 1998), 145. 苟能読稗史者、発人所未及発、解人所不能解、竟令看者先已

了了。 

2 “The domestic movie rankings (2024/10/25–2024/10/27),” Eiga.com, accessed February 9, 2025, 

https://eiga.com/ranking/20241028/. 



 

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Fumihiko 曽利文彦 (b. 1964), adapts Yamada Fūtarō’s 山田風太郎 (1922–2001) novel 

Hakkenden 八犬伝 (The tale of the eight dogs, 1982), which itself blends Bakin’s biography 

with Nansō Satomi hakkenden 南総里見八犬伝 (The lives of the eight dogs of the Satomi of 

southern Fusa, 1814–1842; hereafter, Hakkenden), one of Bakin’s most famous novels, itself a 

loose adaptation of a Chinese vernacular novel. This continuous process of adaptation sustains 

Hakkenden’s vitality, while this work’s engagement with other literary traditions reminds us of 

Japan’s connections to the broader world. Bakin’s fictional works are not forgotten relics of the 

past but remain relevant in both contemporary Japan and global literary discourse. 

Secondly, fiction transcends genres. Modern technology allows audiences to have an 

immersive experience with Bakin’s fictional world and real life in cinema. Likewise, in Bakin’s 

time, he also produced works that blurred the boundary between text and image. Kaikan kyōki 

kyōkakuden 開巻驚奇俠客伝 (Lives of the gallants: read them and wonder, 1832–1835; 

hereafter abbreviated as Kyōkakuden), one of my two primary sources, belongs to the genre 

known as yomihon 読本 (“book for reading”), a text-heavy form of fiction. Meanwhile, Shinpen 

Kinpeibai 新編金瓶梅 (New edition of The plum in the golden vase, 1831–1847), my other 

primary source, is a gōkan 合巻 (“omnibus”) picture book, a visually rich genre that organically 

combine images and text. Stylistically, yomihon employ an extensive lexicon of Chinese 

vernacular terms and frequently adapt Chinese novels, providing readers with an imaginary 

space to engage with a different culture and literature. By contrast, gōkan make extensive use of 

pictures and colloquial Japanese, offering a more visual and oral experience accessible to less-

literate audiences. While these two genres may seem distinct from a modern perspective, 



 

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analyzing both is crucial for developing a thorough and nuanced understanding of Edo-period 

fiction in general and Bakin’s writings in particular. 

Thirdly, as the subtitle of the film—Fiction and Reality—suggests, fiction has the power 

to transcend the confines of the written page and take on real-life significance. In the film, 

Bakin’s real-life struggles shape his writing philosophy and narrative choices. Similarly, I argue 

that Bakin’s fiction contains profound implications for real-world issues. A common approach to 

deciphering the hidden message in his work is to closely examine his narratives for parallels to 

historical events. However, given that Edo-period writers often adapted and blended existing 

stories, this approach has its limitations. Rather than focusing solely on specific historical 

references, I choose instead to examine the multi-layered meanings of abstract philosophical 

concepts that have serious political implications in his works. Through close analysis of narrative 

structures and underlying themes, I contend that Bakin’s use of Neo-Confucianism is deeply 

ironic—contrary to the widespread assumption that his stories strictly follow and uphold 

Confucian teachings.  

The central argument of my dissertation is that Bakin’s works transcend the traditional 

view of popular literature as “useless” and merely “for fun,” serving instead as serious critiques 

of Neo-Confucianism, the state-endorsed ideology imported from China. As a popular writer 

addressing a broad readership, he deliberately subverts and even reconstructs the social hierarchy 

imposed by Neo-Confucianism, giving voices to socially marginalized and oppressed groups. On 

the surface, his narratives seem to adhere strictly to Confucian principles, but a close 

examination reveals a hidden irony that undermines their authority. Rather than reinforcing 

Confucian ideology, Bakin questions it and sometimes even reduces it to a mere plot device, 

stripping it of its legitimacy. Although he did not explicitly comment on contemporary politics, 



 

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his narratives challenged the ideological foundations of the government, ultimately exposing its 

hypocrisy. 

1.1 Chapter Outlines 

My dissertation explores the reinterpretation of Confucian concepts and the 

reconstruction of Confucian social hierarchy in Bakin’s Kyōkakuden and Shinpen Kinpeibai. The 

three main chapters explore the following key questions in sequence: How should the legitimacy 

of the highest-level ruler be evaluated? To whom should secondary-level samurai pledge their 

loyalty and righteousness? And how should individuals navigate the tension between familial 

obligations—such as filial piety—and their personal desires? Additionally, each chapter 

investigates character types that were popular in late Edo period but whose characterizations 

seriously challenge the moral virtues celebrated in Confucianism: reclusive Daoist immortals and 

Buddhist monks who judge the legitimacy of a ruler, gallants who fight the government for the 

sake of the oppressed and marginalized, and a “poisonous” woman who manipulates filial piety 

and chastity to secure her own survival and fulfill her desires. 

Chapter II examines the legitimacy of the highest-level ruler in Kyōkakuden. In this 

novel, Bakin extensively references the famous Confucian scholar Arai Hakuseki’s 新井白石 

(1657–1725) interpretation of seitō 正統 (Ch. zhengtong, commonly translated as political 

“orthodoxy” or “legitimacy”), yet their approaches diverge significantly. Hakuseki examines the 

concept from the perspective of the ruling class, ultimately seeking to confirm the legitimacy of 

the Tokugawa shogunate he serves. In contrast, Bakin’s focus lies in demystifying seitō and 

deauthorizing Confucianism, as evidenced by his utilization of diverse viewpoints to scrutinize 

the legitimacy of the Ashikaga shogunate, as well as through his ironic depiction of marginalized 



 

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characters, such as a female Daoist immortal and a Buddhist monk, as both wise and 

authoritative on the topic of legitimacy. 

Chapter III (an earlier version of this chapter has been published in Studies in Japanese 

Literature and Culture) continues the investigation of loyalty and righteousness through the 

kyōkaku 俠客 (Ch. xiake, gallants) archetype in Kyōkakuden. Unlike the traditional image of 

samurai who devote their loyalty to their lords, the kyōkaku Bakin constructs are willing to 

sacrifice their lives to protect the vulnerable, even if it means challenging the prevailing social 

hierarchy and contesting top-down political ideologies. Drawing inspiration from Sima Qian’s司

馬遷 (J. Shiba Sen, 145? – 89? BCE) Shiji 史記 (J. Shiki, Records of the grand historian, c. 91 

BCE), Bakin integrates multiple schools of thought, including Daoism, Buddhism and Legalism, 

with Confucianism to challenge the sanctity of Confucian virtues such as benevolence, 

righteousness, and loyalty. Furthermore, through a comparison of ideal kyōkaku and their evil 

counterparts, great thieves, Bakin highlights the difficulty of distinguishing between them. By 

referencing the discussion of the “great thief” in Zhuangzi 荘子 (J. Sōshi; c. 369–286 BCE), he 

critiques the shogunate itself as the “great thief,” exposing its hypocrisy. 

Shifting from the macro-level of state legitimacy and social order to a micro-level focus 

on family stability and self-cultivation, Chapter IV examines Shinpen Kinpeibai, the last long-

form gōkan project Bakin completed before his death in 1848. Through an analysis of the 

transformation of a filial daughter into a dokufu 毒婦 (poisonous woman) both textually and 

visually, I argue that this work critiques the traditional Confucian virtues, such as filial piety and 

women’s chastity and obedience, as ineffective means of sustaining and restoring family 

stability. Instead, the oppressive nature of Neo-Confucianism exacerbates the misery of an 



 

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obedient woman, ultimately leading her to become a poisonous woman who subverts these 

virtues in order to break free from the confinement of the family structure. 

The Conclusion (Chapter V) shifts focus to the real-world obstacles Bakin faced while 

serializing Kyōkakuden and Shinpen Kinpeibai. Although he envisioned a fictional world where 

Neo-Confucian hierarchy could be reversed and the voice of the marginalized could be heard, 

due to the social pressures and censorship of his time, Bakin had to cease the Kyōkakuden project 

completely and heavily self-censored the last volume of Shinpen Kinpeibai. Nevertheless, the 

rebellious spirit embedded in both works continued to inspire later generations of writers. In the 

Meiji period, narratives featuring kyōkaku and dokufu gained significant popularity. 

1.2 The Daxue as the Fundamental Framework and Its Use in Fiction Commentaries 

Neo-Confucianism serves as the key framework for my exploration of Bakin’s novels. It 

not only offers a theoretical foundation for understanding the relationships between different 

social classes but also upholds morality as the cornerstone of societal stability. Both of these 

aspects are challenged and critiqued by Bakin in Kyōkakuden and Shinpen Kinpeibai, but before 

turning to an analysis of these primary texts in the following three chapters, it is essential to first 

clarify the connection between Neo-Confucianism and Edo Japan in general and its influence on 

Bakin in particular.  

NEO-CONFUCIANISM IN THE EDO PERIOD 

Neo-Confucianism is a philosophical movement that emerged during the Song dynasty 

(960–1279) in China as a revitalization and reinterpretation of traditional Confucian thought. In 

contrast to traditional Confucian thought, it provided a metaphysical basis for the necessity of 

fulfilling wulun 五倫 (J. gorin, five relations: father and son, ruler and subjects, husband and 



 

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wife, elder and younger brothers, and between friends), and equated the fulfilling of one’s social 

role(s) to the expression of personal ethics. It had been studied in Japan as early as the Kamakura 

period (1185–1333) by Buddhist monks and men of learning.3 However, it was not until the Edo 

period that Neo-Confucianism received more serious attention as a teaching with the potential to 

serve as the foundation for an orderly society.4 Fujiwara Seika 藤原惺窩 (1561–1619), often 

considered the most important figure of the first generation of Confucian scholars in the Edo 

period, separated Confucianism from traditional Buddhist study. Hayashi Razan林羅山 (1583–

1657), who studied with Seika, established a lineage for himself as the inheritor of orthodox 

Neo-Confucianism.  

The seventeenth century witnessed the increasing popularity of Neo-Confucianism. 

Scholars such as Kumazawa Banzan 熊沢蕃山 (1619–1691), Yamazaki Ansai 山崎闇斎 (1619–

1682), Yamaga Sokō 山鹿素行 (1622–1685), Itō Jinsai 伊藤仁斎 (1627–1705), Arai Hakuseki, 

and Ogyū Sorai 荻生徂徠 (1666–1728) employed different approaches to interpreting 

Confucianism. In 1691, Yushima Seidō 湯島聖堂, a Confucian holy temple, was established 

under the order of the fifth shogun Tokugawa Tsunayoshi 徳川綱吉 (1646–1709).5 By the early 

eighteenth century, however, due to the rise of kokugaku 国学 (Japanese studies) as a 

counterbalance to the pervasive influence of Chinese culture and because many Confucian 

 
3 Richard Bowring, In Search of the Way: Thought and Religion in Early-Modern Japan, 1582–1860 (Oxford: 

University Press, Incorporated, 2017), 46. 

4 It should to be noted that although Confucianism received more attention among men of learning, it was not widely 

appreciated until the reign of Tokugawa Tsunayoshi. Hiroshi Watanabe, Kinsei nihon shakai to sōgaku (Tōkyō: 

Tōkyō daigaku shuppansha, 1985), 16–17. 

5 Bowring, In Search of the Way, 165. 



 

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scholars began questioning the orthodox status of Neo-Confucianism, Neo-Confucianism 

gradually lost its popularity. During the Kansei 寛政 Reform (1787–1793), Matsudaira 

Sadanobu 松平定信 (1759–1829), the senior councilor of the Tokugawa shogunate, attempted to 

restore its authority. In 1790, he initiated the famous igaku no kin 異学の禁 (Prohibition on 

Heterodox Teachings), which mandated the teaching of Neo-Confucianism as the official 

Confucian philosophy of Edo Japan. In 1798, he transformed the Yushima Seidō into the 

Shōheizaka Gakumonjo 昌平坂学問所 (The School of Shōheizaka), an official Tokugawa 

institution. Examinations were even instituted in an attempt to emulate the Chinese bureaucratic 

examination keju 科挙 (J. kakyo), which was used to select future officials based on their 

knowledge and understanding of Neo-Confucianism.6 

Unlike China where Confucianism had been the official political philosophy since the 

Han period (220 BCE–220), the dominant ideology in Japan prior to the Edo period was 

Buddhism. Systematic study of Neo-Confucianism by Japanese scholars did not begin until the 

sixteenth century, and it was not until the late eighteenth century that Neo-Confucianism was 

officially recognized as the state philosophy. Because Japan had never experienced a clear 

philosophical turn from traditional Confucianism to Neo-Confucianism, the two terms were often 

used interchangeably during the Edo period. For instance, while Yamazaki Ansai explicitly 

supported Neo-Confucianism, his contemporary Itō Jinsai was generally opposed to it, 

advocating instead for close readings of original Confucian texts over reliance on Neo-Confucian 

 
6 Bowring, 240–41. 



 

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interpretations. Despite their opposing stances, both thinkers are broadly categorized as 

Confucian scholars.  

Given this historical conflation of terms, I do not strictly differentiate between traditional 

Confucianism and Neo-Confucianism in my main chapters. However, I wish to emphasize that 

explorations of traditional Confucianism in Edo Japan were almost always in dialogue with Neo-

Confucianism. Even scholars like Jinsai, who rejected Neo-Confucianism, developed their ideas 

in response to it. Therefore, it is ultimately Neo-Confucianism—rather than traditional 

Confucianism—that shaped the Japanese intellectual and ideological landscape.   

THE DAXUE’S DISCUSSION ON SELF-CULTIVATION 

In Edo Japan, Neo-Confucianism was often referred to as Shushigaku 朱子学, which 

literally means “the study of Master Zhu.” Master Zhu refers to Zhu Xi 朱熹 (J. Shu Ki, 1130–

1200), one of the most influential philosophers in the development of Neo-Confucianism. Zhu Xi 

canonized the Four Books—Lunyu 論語 (J. Rongo, The analects), Mengzi 孟子 (J. Mōshi, 

Mencius), Daxue 大学 (J. Daigaku, Great learning), and Zhongyong 中庸 (J. Chūyō, Doctrine of 

the mean)—as the core of Neo-Confucian thought, placing exceptional emphasis on the Daxue.7  

After the Daxue was elevated to the status of a foundational text, numerous Neo-

Confucian scholars in both China and Japan reinterpreted this text to support their own 

 
7 Unlike Lunyu and Mengzi, whose texts remained stable, both the Zhongyong and the Daxue were edited by Zhu 

Xi—with the Daxue receiving more revisions than the Zhongyong. Therefore, the Daxue text plays a crucial role in 

Zhu Xi’s thought. See Yoshida Kōhei, “Shushigaku & Yōmeigaku ni okeru Daigaku,” in Edo no jugaku: Daigaku 

juyō no rekishi, ed. Minamoto Ryōen (Tōkyō: Shibunkaku Shuppan, 1988), 11–12. Moreover, Zhu Xi recommended 

that students begin with the Daxue when reading the Four Books, further underscoring its importance in Neo-

Confucianism. See Daniel K. Gardner, Chu Hsi and the Ta-Hsueh: Neo-Confucian Reflection on the Confucian 

Canon (Cambridge, MA: Council on East Asian Studies, Harvard University: Distributed by Harvard University 

Press, 1986), 4, 6. 



 

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understanding of Neo-Confucianism.8 These interpretations not only reaffirmed the core 

significance of Daxue in Neo-Confucianism but also further promoted its importance.  

The Daxue text begins with the “three cardinal principles” san gangling 三綱領 (J. san 

kōryō): “The way of great learning lies in keeping one’s inborn luminous Virtue unobscured, in 

renewing the people, and in coming to rest in perfect goodness. 大学之道、在明明徳、在新

民、在止於至善.”9 In other words, the Daxue links individual moral cultivation to the stability 

of society as a whole. The text then introduces the “eight steps” ba tiaomu 八条目 (J. hachi 

jōmoku), which further elaborate on the three cardinal principles: 

Those of antiquity who wished that all men throughout the empire keep their inborn 

luminous Virtue unobscured put governing their states well first; wishing to govern their 

states well, they first established harmony in their households; wishing to establish 

harmony in their households, they first set their minds in the right; wishing to set their 

minds in the right, they first made their thoughts true; wishing to make their thoughts 

true, they first extended their knowledge to the utmost; the extension of knowledge lies in 

fully apprehending the principle in things.10 

古之欲明明德於天下者，先治其國；欲治其國者，先齊其家；欲齊其家者，先修其

身；欲修其身者，先正其心；欲正其心者，先誠其意；欲誠其意者，先致其知，致

知在格物。 

The first three steps pertain to “renewing the people,” while the remaining five elaborate on 

“keeping one’s inborn luminous Virtue.” The passage follows a macro-to-micro approach, 

beginning with world peace and state governing, and then narrowing its focus to family 

management and individual self-cultivation (see Figure 1). Self-cultivation further breaks down 

into the rectification of the mind and thoughts, culminating in the extension of knowledge 

 
8 Yoshida, “Shushigaku & yōmeigaku ni okeru daigaku,” 22–23. 

9 Gardner, Chu Hsi and the Ta-Hsueh, 88–90. 

10 Gardner, 91–92. 



 

21 

 

 

through apprehending the principle in things. While this passage initially adopts a top-down 

perspective on societal stability from the ruling class’s standpoint, the following paragraph 

reverses this logic, asserting that individual self-cultivation is foundational to societal stability. 

Only after the principle in things is fully apprehended does knowledge become complete; 

knowledge being complete, thoughts may become true; thoughts being true, the mind 

may become set in the right; the mind being so set, the person becomes cultivated; the 

person being cultivated, harmony is established in the household; household harmony 

established, the state becomes well-governed; the state being well-governed, the empire 

[All-Under-Heaven] becomes tranquil. From the Son of Heaven on down to the 

commoners, all without exception should regard self-cultivation as the root.11 

物格而後知至，知至而後意誠，意誠而後心正，心正而後身修，身修而後家齊，家

齊而後國治，國治而後天下平。自天子以至於庶人，壹是皆以修身為本。 

This passage adopts a bottom-up approach, arguing that everyone—regardless of social status—

should cultivate the self to ensure peace in the world. Whereas the previous passage emphasizes 

the leading power of the ruling class, this one flattens social hierarchy to the extent that even the 

Son of Heaven [ruler] and a commoner are equal in terms of the need to cultivate the self. The 

influence of Neo-Confucianism gradually extended into other fields, including popular fiction, 

and the flattened relationship between ruler and commoner articulated in Daxue enabled fiction 

writers to explore larger political themes through literary depictions of family conflicts and 

individual struggles. 

I want to clarify that although I focus primarily on the Daxue here, I do not mean that the 

Daxue is the only Confucian text that explores the relationship between self-cultivation and 

societal stability, nor that Bakin exclusively used this text in his writing. In fact, in the main 

chapters, I explored how Bakin reinterpreted lines from other Confucian classics such as Lunyu 

and Mengzi. However, I believe that Daxue, as a representative Neo-Confucian text, provides a 

 
11 Gardner, 93–94. 



 

22 

 

 

nice framework to explore how individuals, families, and states are constructed in Confucianism, 

and this framework can be effectively applied to analyzing Bakin’s fictional narratives as well. 

 

Figure 1. The visual representation of “three cardinal principles” and the “eight steps.” 

CHINESE FICTION’S COMMENTARY TRADITION 

The intellectual interest in analyzing fiction through the lens of Neo-Confucianism is 

evident in the pingdian 評点 (J. hyōten) or piping 批評 (J. hihyō; criticism or commentaries) 

tradition.12 This practice originally referred to commentaries on classical texts. For example, Zhu 

Xi not only compiled the Four Books but also wrote commentaries to guide what he considered 

the “correct” understanding of these texts. However, this so-called “correct” understanding 

diverged significantly from the original meanings, reflecting Zhu Xi’s own ideological vision 

and his hope of transforming the China of his day. This tension between the original text and the 

 
12 David L. Rolston and Shuen-fu Lin, eds., How to Read the Chinese Novel, Princeton Library of Asian 

Translations (Princeton, NJ: Princeton University Press, 1990), 3–4. 

All-Under-
Heaven

State

Household

Self



 

23 

 

 

interpretive layers imposed by commentators later had a strong influence on fiction criticism.13 

Although early commentaries primarily provide lexical explanations and informative material, as 

novels became more complex, commentaries grew increasingly exegetical.14 Some scholars even 

approached fictional narratives as if they were serious scriptures or Confucian classics.  

The most representative long-form, complex novels of the Ming dynasty are the so-called 

sida qishu 四大奇書 (J. Shidai kisho, four masterworks of the Ming novel): Sanguo zhi tongsu 

yanyi 三国志通俗演義 (J. Sangoku shi tsūzoku engi; A Popularization of the Chronicle of the 

Three Kingdoms; hereafter, Sanguo), Zhongyi shuihu zhuan 忠義水滸伝 (J. Chūgi suiko den; 

The Water Margin; hereafter, Shuihu zhuan), Xiyou ji 西遊記 (J. Saiyū ki; Journey to the West), 

and Jin Ping Mei金瓶梅 (J. Kin Pei Bai; Plum in the Golden Vase). In discussing the 

interpretation of the four masterworks, Andrew Plaks frequently points to “their reflection of a 

revised understanding of certain key concepts of basic Four Books Neo-Confucian thought.”15 In 

his view, “at the heart of these philosophical debates [in novels] is the redefinition of the crucial 

issue of self-cultivation.”16 By “self-cultivation,” he refers to the relationship between the 

abstract self and the physical self within a social context—an idea that closely parallels the 

Daxue’s exploration of the connection between the self and society. Moreover, when listed in 

chronological order, the four masterworks seem to follow a thematic progression: from the 

highest level of ruler legitimacy in Sanguo, to secondary-level loyalty and righteousness in 

 
13 Rolston and Lin, 4–6. 

14 Rolston and Lin, 8. 

15 Andrew H. Plaks, The Four Masterworks of the Ming Novel = Ssu Ta Ch’i-Shu (Princeton, NJ: Princeton 

University Press, 1987), 19. 

16 Plaks, 20. 



 

24 

 

 

Shuihu zhuan, to the rectification of the mind in Xiyou ji, and finally to the failure of self-

cultivation in Jin Ping Mei. 

Figure 2. Kōkakudō hihyō daiichi kisho kin pei bai 皐鶴堂批評第一奇書金瓶梅 (The first masterwork Jin 

Ping Mei with commentaries by Zhang Zhupo), Vol. 4 (pub. 1695). National Diet Library. 

https://doi.org/10.11501/2545582 (image 4). 

During the Ming Dynasty, publishing works of fiction with embedded commentaries became a 

common practice. Typically, these commentaries were organically woven into the main text, 

making them an inseparable part of the reading experience. For example, Figure 2 shows two 

pages from Jin Ping Mei, where the lines highlighted in red frames are commentaries, while the 

remaining text constitutes the main narrative.17 Due to this unique style of commentary culture, 

 
17 Figure 1 employs double-column interlineal comments (shuanghang jiapi 雙行夾批), a very common method of 

https://doi.org/10.11501/2545582


 

25 

 

 

readers were fully aware of the presence of these comments, and it was common for them to 

engage with the commentaries for additional information and literary evaluations.  

1.3 Bakin and Neo-Confucianism 

KYŌKAKUDEN AND THE MAOS 

Although popular fiction in Edo Japan did not adopt the same commentary practice as 

Chinese literature, its influence on Bakin is more than obvious. As an avid reader fluent in both 

classical and vernacular Chinese, Bakin engaged with Chinese novels throughout his life. His 

awareness of and interest in Chinese commentary culture is evident in many of his writings. A 

striking example appears in the preface to the second volume of Kyōkakuden, where he explicitly 

reflects on the Chinese commentary tradition: 

If one is capable of reading unofficial histories [novels], then he can uncover what others 

have yet to reveal, explain what others cannot explain, and ultimately enable the reader to 

grasp everything clearly in advance. As for those with exceptional talent, their discerning 

eyes can see through everything,18 and they use extraordinary talent to critique 

extraordinary talent—such talent is truly rare. Readers who follow such a guide, like 

obtaining a compass, will find the shortcut to the other shore. Is this not the help from a 

kindred spirit who truly understands one’s intent across different eras? Alas! Even in 

one’s own time, finding a true friend is difficult. Who would think about this [finding a 

true friend] across different generations? 

苟能読稗史者、発人所未及発、解人所不能解、竟令看者先已了了。至於其尤、具

眼如車輪、以奇才批奇才。其才稀有。看者随得南鍼、到彼岸庶矣。其非異世之知

己之資耶。嗚乎知己、当年尚難得。況于異世、誰亦思之。19 

 
annotating the text. There are other ways to place comments, for more details, see Rolston and Lin, How to Read the 

Chinese Novel, 53–57. 

18 Sharin 車輪 literarily means “car wheel.” Bakin may have intended to suggest that the readers’ discerning eyes 

are as large and perceptive as car wheels. However, sharin might also allude to the concept of chakra or cakra, 

meaning “wheel” or “circle-shape weapon” in ancient India. It has the extensive meaning of destroying the false 

teachings or eliminating people’s anxiety and confusion.  

19 Kyokutei Bakin, Kaikan kyōki kyōkakuden, 145. 



 

26 

 

 

This passage reveals Bakin’s deep admiration for talented commentators and his recognition of 

the value of insightful critique. Rather than attributing ultimate understanding to the author of the 

novel, he regards the genius commentator as the one who truly grasps the text’s meaning. 

Furthermore, he emphasizes the close relationship between the commentator and the reader. By 

comparing commentary to a compass, he underscored the necessity of commentaries in guiding 

readers toward a fuller understanding of the text.  

Bakin further elaborates the meaning of commentaries in the same preface: 

Our country [Japan] has long had its own unofficial histories [novels], known as sōshi 

monogatari. Works such as Taketori monogatari, Utsuho monogatari, Ise monogatari, 

and Genji monogatari are what can be called the unofficial histories of old. Later 

generations have indulged in them without ceasing, yet they have only annotated the 

words without offering critiques. This shows how difficult it is to find a true friend. As 

for China, no matter if it is an unofficial history or a tale of the marvelous, as long as it is 

a great work, it will always be accompanied with commentaries. Though the commentary 

practice exists, it is exceedingly rare to find those who can truly illuminate an author’s 

hidden intentions while making flawless arguments. In my view, among [the 

commentators who commented on works] like Luo Guanzhong’s Sanguo yanyi and Gao 

Dongjia’s Pipa Ji, it is only Mao Shengshan who truly stands out. He introduced novel 

ideas and unique perspectives, enlightened readers’ minds and resolved their doubts. His 

commentaries and critiques are on point and bring great enjoyment. 

皇朝素有稗史。是謂策子物語。竹採宇通保勢語源語者、所謂古之稗史也。後人玩

之不措。但注解其詞、不作批評。知己之難得可知也。唐山也者、無稗史、無伝

奇、于其大筆、必有批評。雖則有批評、然発明作者之隠微、而論弁無謬者、幾稀

矣。以予観之、若羅貫中三国演義、高東嘉琵琶記、独有声山毛氏焉。標新領異、

啓蒙解疑。評注大得趣。20 

Here, Bakin first acknowledges that Japan also has a tradition of great novels, but he laments the 

absence of commentaries for these great works. In this context, the commentary practice does not 

merely refer to annotations or background information but rather to a deep, analytical 

interpretation of the text that provides “novel ideas and unique perspectives” leading to thorough 

 
20 Kyokutei, 145. 



 

27 

 

 

understanding and enlightenment. The precise nature of his desired commentary remains 

somewhat ambiguous, but Bakin’s reference to Mao Shengshan suggests that he sees it as a 

vehicle for revealing moral truths associated with Neo-Confucianism.  

Mao Shengshan, also known as Mao Lun 毛綸 (J. Mō Rin; fl. 17th century), along with 

his son Mao Zonggang 毛宗崗 (J. Mō Sōkō, fl. 17th century), completed two major 

commentaries: one on Pipa ji 琵琶記 (J. Biwa ki; Story of the Lute, fourteenth century) and 

another on Sanguo.21 Bakin’s preface borrows lines from the 1666 preface to Pipa ji by Fuyun 

kezi 浮雲客子 (J. Fukuun kyakushi). The original text goes: 

However, upon reading Shengshan’s commentary, one sees his novel ideas and unique 

perspectives, uncovering what others have yet to reveal and explaining what others 

cannot. Furthermore, his words flow abundantly, encouraging righteousness for the sake 

of the world, evoking sorrowful thoughts that inspire filial piety and deep emotions that 

cultivate loyalty. At this, one cannot help but be moved, leaping with joy and exclaiming: 

“This is truly a work of genius!” 

但観声山之評、則見其標新領異、発人所未及発、解人所不能解；又見其淋淋漓

漓、為天下勧義、傷悲之思、可以作孝、悱惻之志、并可以作忠、于是皇然動容、

躍然称快曰：斯誠才子之書也已！22 

The first line is separated into two halves and used in Bakin’s preface. The following lines 

clearly illustrate the ultimate purpose of Mao Shengshan’s commentaries: to instill Confucian 

moral virtues such as yi 義 (J. gi, righteousness), xiao 孝 (J. kō, filial piety), and zhong 忠 (J. 

chū, loyalty) in readers “for the sake of the world” (wei tianxia 為天下). By the same logic, 

Bakin’s definition of the commentary tradition also aligns with these moral values, reinforcing 

the Confucian framework for self-cultivation and world peace. 

 
21 Rolston and Lin, How to Read the Chinese Novel, 146. 

22 Hou Baipeng, Pipaji ziliao huibian (Beijing: Shumu wenxian chubanshe, 1989), 271. 



 

28 

 

 

SHINPEN KINPEIBAI AND ZHANG ZHUPO 

Bakin was also familiar with the moral teaching in Zhang Zhupo’s 張竹坡 (J. Chō 

Chikuha, 1670–1698) commentaries to Jin Ping Mei. In the preface to the second volume of 

Shinpen Kinpeibai, whose narrative is loosely based on Jin Ping Mei, Bakin references Zhang’s 

“Piping diyiqishu Jin Ping Mei dufa 批評第一奇書金瓶梅読法 (How to read Jin Ping Mei—the 

first masterwork with commentaries, 1695),” quoting his defense of the novel’s moral value: 

For this reason [that even a genius writer who has a thorough understanding of the world 

finds it hard to accurately describe it without deep reading in literary writing], in his 

“How to read Jin Ping Mei,” Zhang Zhupo suggested that it was not Jin Ping Mei that 

injures people [readers], but people who injure themselves. He also mentioned that if one 

person explains the meaning of theft to another, his original intention is to warn the 

person. However, if the other person takes advantage of the information to acquire the art 

of thievery, it is not the fault of the original informant. The one who heard the 

explanation of theft himself decides to become a thief. These critical remarks are truly 

well reasoned and persuasive. 

かゝる故
ゆゑ

に張
ちやう

竹
ちく

坡
は

が、金
きん

瓶
べい

梅
ばい

の読
どく

法
ほう

に、金
きん

瓶
べい

梅
ばい

は人
ひと

をしも、是
これ

誤
あやまた

するものな

らず、人
ひと

々
〳〵

みづからこれを誤
あやま

る。夫
それ

人
ひと

に賊
ぞく

を説
と

くものは、原
もと

戒
いましめ

を示
しめ

す也。然
さ

るを听
き

く者
もの

かゝる故
ゆゑ

に張
ちやう

竹
ちく

坡
は

が、金
きん

瓶
べい

梅
ばい

の読
どく

法
ほう

に、金
きん

瓶
べい

梅
ばい

は人
ひと

をしも、是
これ

誤
あやまた

するものならず、人
ひと

々
〳〵

みづからこれを誤
あやま

る。夫
それ

人
ひと

に賊
ぞく

を説
と

くものは、原
もと

戒
いましめ

を

示
しめ

す也。然
さ

るを听
き

く者
もの

これに因
より

て、遂
つひ

に賊
ぞく

を做
な

すときは、これ説
と

くものゝ過
とが

なら

ず、听
き

くものみづから賊
ぞく

を做
な

因
より

て、遂
つひ

に賊
ぞく

を做
な

すときは、これ説
と

くものゝ過
とが

なら

ず、听
き

くものみづから賊
ぞく

を做
な

すのみ、云云
かにかく

となんいへりける、這
この

批
ひ

語
ご

寔
まこと

に説
とき

得
え

て好
よ

し。云云
かにかく

となんいへりける、這
この

批
ひ

語
ご

寔
まこと

に説
とき

得
え

て好
よ

し。23 

This paragraph clearly shows the influence of Zhang Zhupo’s commentaries on Bakin and 

Bakin’s emphasis on the moral interpretation of the text.24 While a story can be read in many 

 
23 Kyokutei Bakin, Shinpen Kinpeibai (Tōkyō: Waseda University Library, 1831), 2:jo-1 omote. 

24 The critical remarks Bakin mentioned are from the eighty-second item in Zhang Zhupo’s “How to read Jin Ping 

Mei.” See Rolston and Lin, How to Read the Chinese Novel, 236–38. 



 

29 

 

 

ways, Bakin encourages readers to look beyond plot details and extract the underlying ethical 

message.  

One of the key Confucian concepts Zhang Zhupo explores is filial piety. In his essay 

“Kuxiao shuo” 苦孝説 (J. Kukō setsu, On the bitterness of filial sentiments), one of the prefaces 

included in Jin Ping Mei, he argues that the author of Jin Ping Mei may have suffered the loss of 

his parents and that he not only wrote the novel to express his lament but also used it as a means 

of transforming his frustrated filial piety.25 Furthermore, Zhang Zhupo highlights the orphaned 

nature of the protagonist and the artificial social relationships he creates in the narrative.26 These 

false social bonds correspond to the Confucian concept of wulun or  “five cardinal relationships.” 

Because the bonds in Jin Ping Mei are inauthentic, the protagonist is doomed from the start. 

However, this lack also serves to reaffirm the Confucian theory of wulun—if one properly 

maintains these bonds, they will bring personal prosperity and, by extension, harmony to the 

entire world.  

Interestingly, in Bakin’s adaptation, he completely rewrites the protagonist’s social 

bonds. Rather than portraying him as an orphan with no “real” bonds from the beginning, Bakin 

transforms the protagonist and three other main characters into siblings. On the surface, this 

change appears to uphold the value of wulun and emphasize the connection between self-

cultivation and household harmony, as discussed in the Daxue. However, Bakin’s approach is 

actually more radical, as it suggests that even “real” familial bonds are not necessarily beneficial 

 
25 Maram Epstein, “Plum and Filial Piety,” in Approaches to Teaching Plum in the Golden Vase (The Golden Lotus), 

ed. Andrew Schonebaum (New York: Modern Language Association of America, 2022), 207–8. 

26 Rolston and Lin, How to Read the Chinese Novel, 239–40. 



 

30 

 

 

to self-cultivation.27 Rather, in some cases, these bonds can backfire, pushing individuals into 

despair, a theme I will carefully explore in Chapter IV. Despite taking a different approach from 

the author(s) of Jin Ping Mei, Bakin’s rewriting of the story demonstrates his deep engagement 

with Zhang Zhupo’s Confucian moral interpretations of the text. 

In short, a close reading of Bakin’s prefaces to both Kyōkakuden and Shinpen Kinpeibai 

confirms his familiarity with and influence from Chinese commentary culture. Inspired by these 

Confucian morality-based commentaries, Bakin, in constructing his own narratives, also 

articulates his perspective on the connection between individual self-cultivation and broader 

societal harmony. This is why I have chosen Daxue as a framework to examine both how Bakin 

constructs his narratives and how he reinterprets certain Confucian virtues. 

BAKIN’S FRIENDS AND THEIR COMMENTARIES 

Tonomura Jōsai 殿村篠斎 (1779–1847), Ozu Keisō 小津桂窓 (1804–1858), Kimura 

Mokurō 木村黙老 (1774–1856), and Ishikawa Jōsui 石川畳翠 (1807–1841) were four of 

Bakin’s trusted readers who frequently exchanged ideas with him about his fiction. The first 

three were often referred to as the Bakin sanyū 馬琴三友 (Bakin’s “three friends”), and when 

Jōsui joined them in later 1830s, they became known collectively as the Bakin shiyū 馬琴四友 

(Bakin’s “four friends”). These individuals were not only devoted readers of Bakin’s novels but 

also active commentators.  

 
27 Andrew Plaks also raises the possibility to discuss the Jin Ping Mei text through the lens of the Daxue. Plaks, The 

Four Masterworks of the Ming Novel = Ssu Ta Ch’i-Shu, 256–61. 



 

31 

 

 

All four wrote commentaries on Kyōkakuden, and the first three also left commentaries 

on Shinpen Kinpeibai. In addition to exploring narrative details, identifying sources for specific 

episodes, and analyzing writing techniques, a major focus of their commentaries was the moral 

evaluation of characters according to Confucian principles. For example, Keisō noted that an 

ideal kyōkaku character in Kyōkakuden embodies the Confucian “five eternal verities” (gojō 五

常):  jin 仁 (benevolence), gi 義 (righteousness), rei 礼 (propriety), chi 智 (wisdom), shin 信 

(fidelity).28 Similarly, Jōsai’s commentaries on Shinpen Kinpeibai examine whether a dokufu 

character’s revenge for her parents can be considered an act of filial piety or not. He concludes 

that although her revenge lacks moral authenticity, the more important issue explored in her 

episode is the collapse of a harmonious household.29 

These commentaries reflect the Chinese commentary tradition, particularly their use of 

Confucian moral standards to assess literary characters. However, a key distinction lies in the 

fact that these commentators were Bakin’s close associates; their commentaries were read and 

evaluated by Bakin himself, and in turn, they influenced Bakin’s writing process. The formation 

of such an interpretive community sheds light on Bakin’s writing strategies and the pervasive 

role of Confucianism for both the author and his readers.  

In the main chapters of this dissertation, I frequently cite these commentaries and Bakin’s 

responses to support my analysis. I also draw on the letters Bakin exchanged with his friends, the 

 
28 Ozu Keisō, and Tonomura Jōsui, Kyōkakuden KeiShō hyō (Tōkyō: Waseda University Library, 1833), image 12. 

29 Tonomura Jōsai, “Shinpen Kinpeibai goshū no guhyō,” in Kinpeibai goshū jōmokukei sanpyō (Tōkyō: Waseda 

University Library, 1838), 1 ura-2 omote. 



 

32 

 

 

prefaces Bakin wrote to guide his readers, the publisher’s notes, and commentaries by other 

writers as additional evidence to explore Bakin’s engagement of Confucianism in his fiction.  

1.4 Overview of Existing Scholarship on Kyokutei Bakin’s Fictional Narratives 

NEO-CONFUCIANISM AND EDO-PERIOD POPULAR LITERATURE 

Four key works of scholarship have inspired my research on the use of Neo-

Confucianism in Edo popular literature: Glynne Walley’s discussion of Bakin and his 

Hakkenden, Richard Bowring’s exploration of Edo Neo-Confucianism, Asō Isoji’s 麻生磯次 

(1896–1979) examination of Edo literature and Chinese literature, and Tokuda Takeshi’s 徳田武 

analysis of how Chinese literature inspired Bakin to form his writing style and subtle political 

critique. Although these scholars take markedly different approaches, they all share the 

perspective that Chinese philosophy and literature played a crucial role in shaping Edo popular 

literature. However, while the connection between Chinese philosophy and Edo popular 

literature is frequently mentioned, discussions of it are often overshadowed by attention to the 

Chinese vernacular novel genre and the vernacular Chinese language used in this genre. My 

research aims to address this gap and deepen our understanding of Edo popular fiction. 

Glynne Walley, in Good Dogs: Edification, Entertainment & Kyokutei Bakin’s Nansō 

Satomi hakkenden (2017), highlights Bakin’s balanced approach to education and entertainment. 

Bakin’s stories often adhere to the principle of kanzen chōaku 勧善懲悪 (praising good and 

chastising evil), which, as many Confucian scholars argue, shows the didactic potential of 

nonhistorical, non-philosophical prose works.30 While some modern scholars consider kanzen 

 
30 Glynne Walley, Good Dogs: Edification, Entertainment, and Kyokutei Bakin’s Nansō Satomi Hakkenden (Ithaca, 

NY: Cornell East Asia Program, 2017), 160–62. 



 

33 

 

 

chōaku an aesthetic or structural device, Walley argues that structure and content are two 

inseparable sides of the same coin for Bakin, and Bakin’s serious exploration of didacticism 

actually invites readers to reconsider and reevaluate the meaning of kanzen chōaku that they used 

to take for granted. However, Walley does not go beyond kanzen chōaku to explore other Neo-

Confucian aspects of Bakin’s works. Therefore, I aim to expand on Walley’s argument by 

examining Bakin’s critical and creative use of other key Neo-Confucian concepts and evaluating 

how these concepts reflected and challenged the social reality in Bakin’s time.  

Richard Bowring’s In Search of the Way: Thought and Religion in Early-Modern Japan, 

1582–1860 (2016) meticulously traces the development of Neo-Confucianism in Edo Japan. 

Beginning with Confucian thought in the Song and Ming Dynasties, Bowring then summarizes 

the thoughts of major Edo-period Confucian scholars. He also briefly discusses the connection 

between Confucian scholars and popular literature. For example, he argues that the renowned 

Confucian scholar Itō Jinsai’s discussion of human nature contributed to the emergence of the 

Genroku culture, and his understanding of emotion influenced popular writers and poets like 

Ihara Saikaku 井原西鶴 (1642–1693), Chikamatsu Monzaemon 近松門左衛門 (1653–1724), 

and Matsuo Bashō 松尾芭蕉 (1644–1694).31 Bowring also examines the influence of the 

orthodox-ization of Neo-Confucianism by Matsudaira Sadanobu and the igaku no kin in the 

1790s.32 However, his book primarily focuses on intellectual history, and his discussion of 

popular fiction serves mainly as supporting evidence for his broader philosophical arguments. I 

 
31 Bowring, In Search of the Way, 135–36. 

32 Bowring, 241. 



 

34 

 

 

seek to restore agency to popular fiction, treating it not merely as a reflection of intellectual 

trends but as a body of texts with its own philosophical engagement. 

Among Japanese scholarship, one of the fundamental studies of Edo literature and its 

relationship with Chinese literature is Asō Isoji’s Edo bungaku to Shina bungaku 江戸文学と支

那文学 (Edo Literature and Chinese Literature, 1946).33 Asō explores the influence of Chinese 

fiction on Edo literature, and he discusses Bakin in considerable detail. In chapter three, “Bakin 

no yomihon ni oyobaseru chūgoku bungaku no eikyō馬琴の讀本に及せる中国文学の影響 

(The influence of Chinese literature in Bakin’s yomihon),” in Volume I, he catalogs Bakin’s 

Chinese sources and examines how Bakin adapts their plots, characterizations, themes, topics, 

narrative structures, and language. However, this chapter focuses primarily on the influence of 

Chinese fiction rather than Chinese philosophy. In Chapter Two, “Yomihon no jinsei kaishaku 

讀本の人生解釋 (The explanation of life in yomihon),” in volume II, Asō discusses the use of 

Buddhist concepts like inga 因果 (karmic retribution) in yomihon, but he does not explore the 

application of Confucian concepts. 

Another scholar who has significantly influenced my research is Tokuda Takeshi. In his 

Ninhon kinsei shōsetu to chūgoku shōsetsu 日本近世小説と中国小説 (Japanese early modern 

novels and Chinese novels, 1987), he traces the history of yomihon from its origins to its impact 

on modern literature. Chapter Three, “Chōhen yomihon no seiritsu to tenkai長編読本の成立と

展開 (The establishment and development of long-form yomihon),” primarily examines the 

 
33 Asō, Edo bungaku to Shina bungaku (Tōkyō: Sanseidō, 1946), 144–74. Asō’s book was later retitled Edo bungaku 

to Chūgoku bungaku in 1972. 



 

35 

 

 

relationship between Bakin’s yomihon and Chinese literature. In addition to the comparison 

between plots, characters, narrative structure, and writing style, Tokuda argues that Bakin’s 

writing contains subtle political criticism of the Tokugawa government. He traces this approach 

back to Sima Qian’s satirical writing style, mean “to give vent to deep indignation” (c. fafen, j. 

happun 発憤) in Shiji.34 Furthermore, in “Bakin no haishi shichi hōsoku to Mō Seisan no ‘Doku 

Sangokushi hō’ 馬琴の稗史七法則と毛声山の「読三国志法」(Bakin’s seven rules of writing 

novels and Mao Shengshan’s ‘How to read Sanguo,’ 1980),” he affirms the influence of the 

Chinese commentary tradition on Bakin’s novel writing. He also highlights that the Confucian 

discussion of legitimacy in the Maos’ commentary on Sanguo contributed to the development of 

inbi 隠微 (hidden intent), one of the seven rules Bakin established for novel writing.35 

CHINESE COMMENTARY CULTURE AND THE DAXUE AS A THEORETICAL 

FRAMEWORK 

Hamada Keisuke’s 濱田啓介 Kinsei shōsetsu eii to yōshiki ni kansuru shiken 近世小

説・営為と様式に関する私見 (Views on the early modern novel: agency and form, 1993) 

explores Bakin’s interest in Chinese commentary culture. Hamada argues that novel criticism 

during the Edo period is rooted in Chinese commentary traditions and that Bakin should be 

considered the first Japanese commentator who evaluated the literary value of fiction.36 Unlike 

the earlier theater criticism, which was limited to lexical notes and comments on plot 

 
34 Plaks, The Four Masterworks of the Ming Novel = Ssu Ta Ch’i-Shu, 358.  

35 Tokuda Takeshi, “Bakin no haishi shichi hōsoku to Mōseisan no ‘Doku Sangokushi hō’: Kyōkakuden ni sokushite 

‘inbi’ o ronzu (jō),” Bungaku 48 (June 1980): 21–24. 

36 Hamada Keisuke, “Kinsei ni okeru shōsetsu hyōron to Bakin no Hankan sōdan,” in Kinsei shōsetsu, eii to yōshiki 

ni kansuru shiken (Kyōto: Kyōto Daigaku Gakujutsu Shuppankai, 1993), 333,353. 



 

36 

 

 

development, Bakin’s commentary aims to reveal the ideology embedded in the novel and 

theorize the novel’s structural features.37 

David Rolston’s Traditional Chinese Fiction and Fiction Commentary (1990) examines 

the history of fiction commentary in China and highlights the increasingly significant role of 

Neo-Confucianism in the development of this practice. For example, during the Qing dynasty 

(1644-1911), there was a tendency to take fiction seriously and apply the methods of classical 

commentaries to popular fiction.38 Furthermore, Rolston notes that both the Maos and Zhang 

Zhupo placed heavy emphasis on the moral correctness of their texts.  

Andrew Plaks, in The Four Masterworks of the Ming Novel Ssu ta ch’i-shu (1987), 

underscores the significance of commentary culture and the value of using the Neo-Confucian 

concept of self-cultivation from the Daxue to analyze the canonical Chinese novels .39 

Considering that Bakin was a devoted reader of the four masterworks and familiar with their 

commentaries, examining Bakin’s novels through the lens of the Daxue can provide deeper 

insight into his engagement with Confucian morality. 

I also find Plaks’ discussion of “irony” as a fundamental narrative strategy in the four 

masterworks insightful. Although the nuances of irony differ across the texts he analyzes, he 

argues that “all four of the works share a rhetorical ground based on the undercutting of surface 

texture, with the implied redirection of the reader’s vision toward some unarticulated exploration 

 
37 Hamada, 355. 

38 Rolston and Lin, How to Read the Chinese Novel, 8–10. 

39 Plaks, The Four Masterworks of the Ming Novel = Ssu Ta Ch’i-Shu, 503–4. 



 

37 

 

 

of positive values.”40 I believe that Bakin’s Kyōkakuden and Shinpen Kinpeibai also employ 

similar satiric tones as shown in his highlighting of the compositional principle of inbi. Bakin 

explores multiple possible interpretations of the cardinal Confucian virtues to expose the 

artificial nature of the Confucian hierarchy and the irreconcilable relationship between personal 

desire and social obligation. 

Maram Epstein offers a gender studies approach to analyzing self-cultivation, exposing 

tensions within the expected roles for women. The Nü xiaojing 女孝経 (J. Onna kōkyō, Classic 

of filial piety for women) identifies two key bonds for women—the parent-child relationship and 

the husband-wife relationship and promotes the idea that brides should shift their allegiance to 

their new conjugal family.41 It was also commonly believed that yin and yang essences constitute 

the Way, with a husband and a wife representing a microcosm of this principle. In other words, 

because Confucian morality requires women to be obedient to both their parents and husbands, 

women’s struggles within the household could serve as a reflection of broader social conflicts. 

Epstein also notes that by the late Ming, stories increasingly centered on women’s choices rather 

than men’s dilemmas between passion and duty.42 This narrative strategy—using female 

characters’ struggles to reflect collective anxieties about an increasingly unstable society—can 

also be observed in Bakin’s Kyōkakuden and Shinpen Kinpeibai. 

Building upon these previous works of scholarship, this dissertation aims to establish the 

connection between Neo-Confucianism and Bakin’s fictional works. While Neo-Confucianism 

 
40 Plaks, 499. 

41 Maram Epstein, Competing Discourses: Orthodoxy, Authenticity, and Engendered Meanings in Late Imperial 

Chinese Fiction (Cambridge, MA: Harvard University Asia Center, 2001), 37. 

42 Epstein, 90–93. 



 

38 

 

 

provides a theoretical framework for Bakin to explore issues of political stability and morality in 

his fiction, he simultaneously reinterprets Neo-Confucianism to expose its oppressive 

dimensions and to restore a voice to the marginalized. In Chapter II, I will explore how Bakin 

reconstructs the concept of seitō to critique the failure of both the imperial family and the 

shogunate in fulfilling their duties as rulers.  

 



 

39 

 

 

CHAPTER II 

VIRTUE VS. POWER: NARRATING SEITŌ (LEGITIMACY) IN KYŌKAKUDEN 

“If one believed everything in the Book of History, it would have been better for the Book not to have 

existed at all.”  

–“Book VII · Part B” in Mengzi.1 

 

Kyokutei Bakin is renowned for his historical novels. These narratives are typically set in 

the distant past, with the main characters often hailing from powerful samurai clans. After 

enduring various hardships and overcoming many villains, the protagonists ultimately restore the 

house of their samurai lord, bringing peace and prosperity to the land.2 While these novels 

primarily focus on the protagonists’ personal struggles and growth, the narratives frequently 

touch on larger political topics and historical events. A core theme explored in these novels is 

seitō, commonly translated as “orthodoxy” or “legitimacy.” While this concept shapes many of 

Bakin’s stories, it is typically confined to the level of local samurai lords, leaving the ultimate 

ruler of Japan untouched—perhaps due to the censorship of his time. Kyōkakuden, which directly 

engages with the legitimacy of both the imperial house and the shogunate, thus stands out. 

I argue that Kyōkakuden presents nuanced and diverse perspectives on seitō through the 

voices of various characters, challenging single-voiced official historical records that convey 

clear political messages. Kyōkakuden thereby encourages readers to engage in critical reflection 

 
1 Mencius, Mencius, trans. D.C. Lau (London: Penguin Books, 2003), Book VII · Part B, paragraph 3. 尽信

『書』、則不如無『書』。 

2 A good example is Bakin’s most famous fiction Hakkenden, which tells the adventures of eight dog warriors and 

eventually go to Awa to serve the Satomi clan there. See Walley, Good Dogs, 375. 



 

40 

 

 

and independent thought. Furthermore, the ironic use of marginal characters to deliver seemingly 

serious speeches on seitō exposes the hypocritical nature of Confucianism in an entertaining way 

and suggests the possibility of reinterpreting Confucianism to challenge the social hierarchy it 

promotes. The discussion of seitō in this chapter reveals Bakin’s pessimistic view on the 

possibility of restoring worldly order, and this worldview lays the foundation for a deeper 

exploration of Confucian virtues such as loyalty, righteousness, filial piety, and chastity in the 

two chapters that follow. 

I will begin by introducing the text, its genre and style, and influences on it. Then, I will 

explore the meaning of seitō and examine how Arai Hakuseki applied it to Japanese history—a 

reading that Bakin adopts as a major reference. Following this, I will analyze perspectives on the 

Ashikaga shogunate from multiple angles, and finally, I will highlight the irony embedded in the 

opinions of a Daoist immortal and a Buddhist monk to further illustrate how the Confucian 

concept of seitō is challenged and reversed within the text. 

2.1 Introduction 

The story of Kyōkakuden is set temporally in the aftermath of the Nanboku-chō 南北朝 

period (Southern and Northern Courts period, 1336–1392). Historically, this period saw the 

coexistence of two imperial courts, namely the Northern Court (the Jimyōin 持明院 line) backed 

by the Ashikaga shogunate, and the rival Southern Court governed directly by the emperors of 

the Daikakuji 大覚寺 line. After decades of conflict, the Southern Court at length capitulated to 

the Northern Court in 1392. Kyōkakuden follows the descendants of families that supported the 

erstwhile Southern Court, who, prior to fighting the shogunate in defense of the Daikakuji line, 

must navigate a path of endurance and conceal their identities. But the fate of these protagonists 



 

41 

 

 

was left hanging after Bakin stopped writing partway through the story. Despite the anticipation 

for a sequel, Kyōkakuden remained unfinished, leaving Bakin’s intended conclusion unknown.3 

Nevertheless, its incomplete status did not impede its popularity, which proved enduring both in 

Bakin’s own era and long after his death.  

The initial four volumes of Kyōkakuden, written by Bakin himself, were serialized from 

1832 to 1835. It was a collaborative project between the lead publisher Kawachiya Mohei 河内

屋茂兵衛 in Osaka and the supporting publisher Chōjiya Heibei 丁字屋平兵衛 in Edo, and 

different illustrators were used for each installment.4 The suspension of the project was the result 

of several factors. Correspondence from Bakin to the publishers indicates that he was displeased 

by Kawachiya’s unjust accusations that he was delaying the whole publishing process.5 

Moreover, the failing health of Bakin’s son, Sōhaku 宗伯, in 1833 and his subsequent death in 

1834 deeply disheartened Bakin, further dissuading him from continuing the project.6 Yet even 

as Bakin himself ceased working on the project, its popularity continued. One year after Bakin’s 

demise in 1848, a fifth volume written by Hagiwara Hiromichi 萩原広道 (1815–1863) was 

published. 

 
3 Tokuda Takeshi, “Gonanchō hiwa: Teishō, Bakin, Shōyō,” Meiji Daigaku Kyoyō Ronshū 146 (February 28, 1981): 

53. 

4 The first installment was illustrated by Keisai Eisen 渓斎英泉 (1791–1848); the second was illustrated by 

Yanagawa Shigenobu 柳川重信 I (1787–1832); Utagawa Kunisada 歌川国貞 (1786–1865) was responsible for the 

third installment; and Yanagawa Shigenobu 柳川重信 II (n.d.) illustrated the fourth. See Hattori Hitoshi, “Kaikan 

kyōki kyōkakuden no kuchie, sashie,” in Kaikan kyōki kyōkakuden (Tōkyō: Iwanami Shoten, 1998), 795. 

5 Kyokutei Bakin, Bakin shokan shūsei, ed. Shibata Mitsuhiko and Kanda Masayuki (Tōkyō: Yagi Shoten, 2003), 

4:34. The suspension of this project is further examined in Chapter V. 

6 Kyokutei Bakin, Bakin shokan shūsei, 3:118–119. 



 

42 

 

 

Kyōkakuden belongs to the genre yomihon, a type of book whose narrative is told 

primarily via its written text, which distinguishes it from the picture-centered kusazōshi 草双紙 

(“grass booklets”) genre. In Kinsei mononohon Edo sakusha burui 近世物之本江戸作者部類 

(The modern storybook: Edo authors classified, 1834), Bakin points out two features of yomihon 

when he describes Takebe Ayatari 建部綾足 (1719–1774), which are their status as “petty 

history (haishi 稗史)” and their Chinese influence.7 In other words, yomihon, at least in Bakin’s 

view, refers to haishi, or historical stories about the common people, which parallel and 

supplement the traditional official history.8 Furthermore, Bakin reveals the importance of the 

Chinese vernacular novel that provides the framework of how to construct such “petty histories.” 

Asō Isoji, one of the earliest scholars to analyze Kyōkakuden, explores the substantial influence 

of Chinese vernacular novels on Bakin.9 

 
7 Bakin argued that Ayatari should be considered the first yomihon writer in Edo, as most novels before Ayatari’s 

time consisted of anecdotes about the floating world and licentious stories from the pleasure quarters. Ayatari’s 

Honchō Suikoden 本朝水滸伝 (Water Margin in Japan, 1773) was the first work that adapted the Chinese haishi 

novel Shuihu zhuan, making it the first kokuji haishi 国字稗史 (“petty history” in Japanese). See Kyokutei, Kinsei 

mononohon Edo sakusha burui, ed. Tokuda Takeshi (Tōkyō: Iwanami Shoten, 2014), 150. Bakin also explained why 

he placed Ayatari before the more famous writer Hiraga Gennai 平賀源内 (1729–1780). Although Bakin 

acknowledged Gennai’s greater talent, he noted that Gennai rarely adapted Chinese haishi. Therefore, by the 

standards of the yomihon genre, Ayatari should be ranked before him. Kyokutei, Kinsei mononohon Edo sakusha 

burui, 157–158. 

8 Walley, Good Dogs, 64. 

9 Asō, Edo bungaku to Shina bungaku, 144–74. Asō’s book was later retitled Edo bungaku to Chūgoku bungaku in 

1972. Asō points out that Bakin utilized a variety of Chinese vernacular novels as sources when composing 

Kyōkakuden. These include Nüxian waishi 女仙外史 (J. Jōsen gaishi; Unofficial history of the female transcendent, 

1704), Pingyaozhuan 平妖伝 (J. Heiyōden; The three Sui quash the demons’ revolt, the late sixteenth century), 

Haoqiuzhuan 好逑伝 (J. Kōkyūden; The fortunate union, the seventeenth century), Kuaixinbain chuanqi 快心編伝

奇 (J. Kaishinhen denki; Tales to delight the heart, the seventeenth to eighteenth century), Chuke Pai’an Jingqi 初刻

拍案驚奇 (J. Shokoku haku’an kyōki, Slapping the table in amazement, the seventeenth century), Shuihuzhuan. 



 

43 

 

 

Kyōkakuden is a great example to illustrate Bakin’s view on the relationship between 

official historical records and petty history and his utilization of Chinese literary theories of the 

vernacular novel in constructing his own stories. When writing Kyōkakuden, Bakin collected and 

read many historical records, among which Arai Hakuseki’s Tokushi yoron 読史世論 (Lessons 

from history, 1712) became the key source for the discussion of seitō in Kyōkakuden.10 However, 

unlike Hakuseki, whose political position is clearly reflected in Tokushi yoron, Bakin’s 

Kyōkakuden contains competing and even contradictory opinions on rulership from the 

perspectives of various groups of people, which might be influenced by Mao Lun and Mao 

Zonggang’s “Du Sanguozhi fa” 読三国志法 (J. Doku Sangokushi hō, How to read The Romance 

of the Three Kingdoms). 

As explored in my Introduction chapter, Bakin expresses deep admiration for the Maos’ 

scholarly acumen, particularly praising the Mao commentaries on Sanguo and Pipa ji in the 

preface of the second volume of Kyōkakuden. Tokuda Takeshi suggests that Kyōkakuden’s inbi 

is derived from the first tenet in “Du Sanguozhi fa,” which delineates the concepts of seitō (this 

concept means “states that rule by legitimate succession” here), jun’un 閏運 (Ch. runyun, states 

that rule during an intercalary period), and senkoku 僭国 (Ch. jianguo, those that rule 

illegitimately).11 As the Maos suggest, the “petty history” supplemented and corrected the 

deficiencies of the official history. In the same way, I argue that Kyōkakuden also challenges 

 
10 Arai Hakuseki, Lessons from History: The Tokushi Yoron, trans. Joyce Ackroyd (St. Lucia, Australia: University of 

Queensland Press, 1982), xvii. 1712 is the year when Hakuseki wrote the original lectures for shogun Tokugawa 

Ienobu. The completion of this work is more likely to be 1723 or 1724. 

11 Tokuda, “Bakin no haishi shichi hōsoku to Mō Seisan no ‘Doku Sangokushi hō’: ‘Kyōkakuden’ ni sokushite ‘inbi’ 

o ronzu (jo),” Bungaku 48 (June 1980): 21–22; Rolston and Lin, How to Read the Chinese Novel, 152–53. 



 

44 

 

 

the official understanding of seitō represented by Hakuseki and provides alternative 

interpretations from multiple perspectives. 

2.2 The Definition of Seitō 

In order to fully understand the significance of seitō in Kyōkakuden, it is necessary to 

introduce the meaning of this term and explain the historical background that the narrative is set 

in before diving into the text. The first Chinese character of seitō, sei 正, is a pivotal character 

employed in discussions of legitimacy. As a noun, it denotes the correct or right form of 

existence, while as a verb, it signifies the act of rectification or the restoration of something to 

its proper state. In this sense, seitō refers to a legitimate political status often granted by 

bloodline or law. For instance, the term seijun 正閏 (legitimate and illegitimate) is often used 

by Bakin to explore the question of who has the legal right to rule. In addition, sei also 

possesses a moral dimension, as evidenced in terms like seigi 正義 (justice or righteousness) 

and seija 正邪 (good and evil). From this perspective, a ruler who fails to cultivate his moral 

virtues risks losing his right to rule. 

The two dimensions of seitō—political legitimacy and moral cultivation—give rise to 

four possible forms, as shown in Figure 3. The first category, “rightful and moral,” represents an 

ideal ruler, while the fourth, “illegitimate and immoral,” depicts a failed ruler. The second and 

third categories occupy ambiguous space, opening the door for debate. For instance, if a 

politically legitimate ruler lacks moral virtues, he may become a tyrant and thereby lose his seitō. 

Conversely, if someone overthrows the previous regime with violence but governs with 

benevolence and compassion, he might then be considered seitō. This ambiguity is particularly 

relevant to the history of the Nanboku-chō period, where the narrative of Kyōkakuden is set in. 



 

45 

 

 

 

Figure 3. Four forms of seitō. 

The Nanboku-chō period is characterized by the coexistence of two imperial courts: the Northern 

Court aligned with the Ashikaga shogunate, and the Southern Court governed directly by the 

Daikakuji line emperors. In the early fourteenth century, the Kamakura shogunate began a 

system of alternate succession between the Jimyōin and Daikakuji lines in order to prevent the 

imperial house from consolidating political power and posing a potential threat to the 

shogunate’s rule. This arrangement also fostered serious conflict between the two lines, whose 

deepening hostility eventually broke out during Emperor Go-Daigo’s 後醍醐 (1288–1339) reign. 

With the support of powerful warlords, Go-Daigo succeeded in overthrowing the 

Kamakura shogunate in 1333, initiating the short-lived Kenmu Restoration to bring the Imperial 

House back into power. In 1336, Ashikaga Takauji 足利尊氏 (1305–1358), a former ally of Go-

Daigo, turned against him and installed Kōgon 光厳 (1313–1364) from the Jimyōin line as the 

new Northern Emperor. Go-Daigo fled to Yoshino, where he established the Southern Court. The 

dual-court system persisted approximately fifty years, ultimately concluding in 1392 when the 

Southern Court capitulated to the Northern Court. 

Seitō

Legitimate 
status

1) Rightful and moral

2) Rightful but immoral

Moral 
cultivation

3) Illegitimate but moral

4) Illegitimate and immoral



 

46 

 

 

The debate over seitō during the Nanboku-chō period centers on three key parties—the 

Southern Emperor, the Northern Emperor, and the Ashikaga Shogun. Both the Southern and 

Northern Emperors descended from the same imperial bloodline, granting each a claim to 

legitimacy in terms of lineage. However, their circumstances differed: the Southern Court, 

directly ruled by the imperial house represented by Go-Daigo, viewed Ashikaga Takauji as a 

retainer and traitor. In contrast, the Northen Court was controlled by Ashikaga Takauji, who used 

the Northern Emperor as a puppet. (See Figure 4.)  

  

Figure 4. The power structure of the Nanboku-chō. 

This dual-court system complicates the interpretation of “legitimacy” in seitō. If both courts stem 

from the same bloodline, which can be considered the more “legitimate”? Could the shogunate 

itself also be considered “legitimate”? Regarding “morality,” can the ultimate fall of the 

Southern Court be attributed to a lack of virtue among its emperors? Conversely, does this imply 

that the Ashikaga shoguns are virtuous rulers? Following the unification of the two courts, who 

should be regarded as the true ruler of Japan—the Ashikaga shogun or the (Northern) emperor? 

The Southern Court 

The Imperial House 

The Northern Court 

Shogun Ashikaga Takauji 

Shogun Ashikaga Takauji Emperor Go-Daigo 

Emperor Kōgon 

Autonomous 

Once Go-Daigo’s supporter but later betrayed him 

The actual ruler 

Puppet 



 

47 

 

 

As shown above, the Nanboku-chō period offers a compelling context for exploring the 

concept of seitō. Set in this particular time, one of the key themes Kyōkakuden examines is the 

interpretation of rulership. However, before delving into the diverse discussions on seitō in 

Kyōkakuden, it is essential to first understand how official history defines this concept. In the 

next section, I will focus on Tokushi yoron, one major historical reference Bakin used, to explore 

how the influential Confucian scholar Hakuseki evaluates the Southern and Northern Courts as 

well as the Ashikaga shogunate.  

2.3 Hakuseki’s Confucian Reading of Seitō in Tokushi Yoron 

As one of the most significant references for Kyōkakuden, the renowned Confucian 

scholar Arai Hakuseki’s discussion of seitō in Tokushi yoron warrants careful analysis —

particularly his interpretation of the decline of the imperial house and the ascendancy of the 

military houses, exemplified by Emperor Go-Daigo’s failed restoration and Shogun Ashikaga 

Yoshimitsu’s 足利義満 (1358–1408) successful unification of the Southern and Northern 

Courts. Although Hakuseki endorsed the legitimacy of the imperial bloodline, he nevertheless 

critiqued Emperor Go-Daigo for his shortcomings as a proper ruler. Although Bakin 

appropriated many of Hakuseki’s arguments, it is important to note that Tokushi yoron was 

originally composed as lecture notes for shogun Tokugawa Ienobu 徳川家宣 (1662–1712), thus 

naturally reflecting a pro-shogunate bias and Hakuseki’s own aspirations for political reform—

an agenda that Bakin, as a popular writer and political outsider, did not necessarily share.  

Ōtaka Yōji, one of the editors of the modern edition of Kyōkakuden in 1998, firmly 

believes that among the plethora of reference materials utilized by Bakin, Tokushi yoron emerges 

as paramount, with Bakin seemingly incorporating Hakuseki’s texts into his narrative with a 



 

48 

 

 

sense of ownership.12 A close examination of Chapter Twenty-Two, a key chapter exploring the 

notion of seitō, also proves Bakin’s extensive reliance on the writings of Tokushi yoron.13 Thus, 

it can be argued with confidence that Hakuseki’s Tokushi yoron furnishes Bakin with the 

conceptual framework necessary to delve into the discourse surrounding seitō in the Nanboku-

chō period. 

Tokushi yoron provides a nuanced political schema that theoretically accommodates both 

the imperial house and shogunate. Drawing inspiration from various Confucian theories, 

Hakuseki elucidates two particularly noteworthy concepts— tenmei 天命 (Ch. tianming, 

Mandate of Heaven) and seimei 正名 (Ch. zhengming, rectification of names). Firstly, tenmei—

refers to the divine or cosmic authority granted by Heaven to a ruler. It serves as a foundational 

principle for understanding political legitimacy.14 On the one hand, Heaven is often considered 

as an abstract divine force or the embodiment of the historical process itself;15 on the other hand, 

its mandate also emphasizes the importance of toku 徳 (Ch. de, Confucian virtue) and self-

cultivation. Essentially, while the Mandate of Heaven elucidates the abstract legitimacy of a 

 
12 Ōtaka Yōji, “Kaikan kyōki kyōkakuden no kokkaku,” in Kaikan kyōki kyōkakuden (Tōkyō: Iwanami Shoten, 

1998), 833. 

13 Tokuda Takeshi argues that this chapter is one of the most important chapters of Kyōkakuden as the notion of seitō 

is meticulously expounded in it. See Tokuda, “Gonanchō hiwa: Teishō, Bakin, Shōyō,” 54. 

14 Michael Loewe and Edward L. Shaughnessy, eds., The Cambridge History of Ancient China: From the Origins of 

Civilization to 221 BC (Cambridge: Cambridge University Press, 1999), 292, 314, 750, 778. The earliest reference 

to the notion of Heaven’s mandate is the Chinese classic Shangshu (Book of Document), which legitimates the 

kingship of Zhou. In the early stage, this notion was still largely related to supernatural power such as turtle-shell 

divination. When it came to the time of Confucius and Mencius, the connection between Mandate of Heaven and 

virtue was established, and the ruler’s self-cultivation became one important factor for the heaven to judge his 

legitimacy. 

15 Plaks, The Four Masterworks of the Ming Novel = Ssu Ta Ch’i-Shu, 491. 



 

49 

 

 

ruling family or dynasty, it equally underscores the moral imperative for rulers to embody virtue, 

lest they forfeit Heaven’s favor.16 

Tokushi yoron discusses Japanese history in terms of two overlapping long-term trends. 

The first trend, which is called kyūhen 九変 (literally “nine changes”) indicating the history 

approximately from ancient times until 1392, describes the decline of the imperial house and the 

court nobles, and the second trend of gohen 五変 (five changes), from 939 until Hakuseki’s time, 

explores the rise of military power. The rise and fall of the imperial house, court nobles, and 

military houses correspond to the Mandate of Heaven theory. The weak imperial house gradually 

loses its mandate while the strong shogunate eventually becomes the actual ruler of Japan. 

However, unlike his Chinese counterparts who often use this theory to justify the overthrow of 

dynasties, Hakuseki does not challenge the fundamental premise of the imperial house’s 

unbroken line of sovereigns. Rather, it justifies this premise by arguing that both the imperial 

house and the three shogunates are descended from the same imperial bloodline.17 

The Nanboku-chō period is a special era which is covered in both the first and the second 

phases in Tokushi yoron. It not only marks the end of imperial rule but also disrupts the rise of 

military houses. Hakuseki’s discussion on Emperor Go-Daigo, who succeeded in restoring the 

imperial rule temporarily and established the Southern Court, reflects the Mandate of Heaven 

theory’s emphasis on morality.  

 
16 David Magarey Earl, Emperor and Nation in Japan: Political Thinkers of the Tokugawa Period (Westport, CT: 

Greenwood Press, 1981), 7–8. 

17 Arai, Lessons from History, xxiii. 



 

50 

 

 

Hakuseki’s evaluation of Go-Daigo is quite negative, and he suggests that Go-Daigo’s 

failure marks the end of the age of the imperial house. One of Hakuseki’s comments goes:  

In my opinion, although Go-Daigo was wanting in virtue, since his reign coincided with 

the time when the Hōjō were destined to be overthrown, for a short time he brought about 

a restoration of the imperial power [Kenmu Restoration]. However, soon the empire was 

again thrown into confusion, and finally he fled to Yoshino. 

按ずるに、後
ご

醍
だい

醐
ご

不
ふ

徳
とく

にておはしけれども、北
ほう

條
でう

が代
よ

の亡
ほろ

ぶべき時にあはせ給ひ

しかば、しばしが程は中
ちう

興
こう

の業
わざ

を起させ給ひしかど、やがて又天下みだれて、つ

いに南
なん

山
ざん

にのがれ給ひき。18 

Hakuseki also lists some other mistakes Go-Daigo made. For example, Go-Daigo failed to 

reward the court nobles and the military lords impartially after the Kenmu restoration.19 He 

concludes that the fall of the Southern Court was caused by Go-Daigo’s lack of virtue, and even 

Heaven did not side with him.20  

Secondly, the concept of seimei—meaning the alignment of one’s ideal standard with 

reality—is employed by Hakuseki to assess the legitimacy of the Ashikaga shogunate. As The 

Analects goes, “Let the ruler be a ruler, the subject be a subject, a father be a father, a son be a 

son 君君臣臣父父子子.”21 This popular line is commonly revered as one of Confucius’s 

fundamental doctrines and the term seimei was used by Confucius himself in section13.3 in The 

Analects.22 This theory posits that alignment between one’s social role and conduct engenders 

societal harmony. 

 
18 Arai Hakuseki, “Tokushi yoron,” in Yūhōdō bunko No. 21, ed. Tsukamoto Tetsuzō (Tōkyō: Yūhōdō Shoten, 1913), 

271. I used Ackroyd Joyce’s translation as reference for this paragraph. See Arai, Lessons from History, 106. 

19 Arai, “Tokushi yoron,” 365–69. 

20 Arai, 272. 

21 Confucius, The Analects, trans. by Annping Chin (New York: Penguin Books, 2014), 12.11. 

22 Loewe and Shaughnessy, The Cambridge History of Ancient China, 757–58. Not only does Hakuseki extensively 



 

51 

 

 

Hakuseki leverages this doctrine to critique the governance of Ashikaga Yoshimitsu, the 

third Ashikaga shogun, highlighting the incongruity between his title and his actual governance. 

He writes:  

Confucius said, “If names are not rectified, what is said will not seem reasonable. When 

what is said does not seem reasonable, nothing will get accomplished.” Confucius also 

said, “when a gentleman names something, the name can surely hold up in speech. When 

he says something, his words can surely be carried out in action. When a gentleman 

speaks, there is nothing casual or careless about what he says.” The so-called Chancellor 

of the Realm is an official title, and the person with this title should serve the ruler. A title 

must have its duties. It is what is meant by “when a gentleman names something, the 

name can surely hold up in speech; when he says something, his words can surely be 

carried out in action.” 

孔子曰、名不
 れば

ㇾ正則
 から

言不ㇾ順
 は

、言不ㇾ順
 は

則事不ㇾ成
 ら

と。又 名
 ること

ㇾ之
 を

必可
 くす

ㇾ言也。

言
ふこと

ㇾ之
 を

必可
 くす

ㇾ行也。君子於
 て

二其言
 に

一無ㇾ所ㇾ苟而
 するも 

已矣、と見ゆ。夫所ㇾ謂大臣とは

人臣にして君に仕
つか

ふの官なり。その官ある時は必その職
しよく

掌
しやう

あり。是を名ㇾ之
 を

可

ㇾ言
 ふ

言ㇾ之
 を

可ㇾ行
 ふ

とは申すなり。23 

Here, Hakuseki clearly critiques Yoshimitsu’s failure to rectify his rank titles. Hakuseki lists 

three titles Yoshimitsu received—the rank of Chancellor of the Realm (Dajō-daijin太政大臣), 

the title of King of Japan (Nihon kokuō日本国王), and Retired Emperor (Dajōkō太上皇), and 

then he points out the inconsistency among these titles.24 Yoshimitsu’s grandfather, Ashikaga 

Takauji 足利尊氏 (1305–1358), set up the puppet emperor of the Northern Court. Although the 

Northern and Southern Courts were reunified during Yoshimitsu’s reign, the emperor did not 

regain any political or military power. Yoshimitsu was the actual ruler of Japan.  

 
cite this notion, but Bakin also uses this line frequently in his works. 

23 Arai, “Tokushi yoron,” 413; Confucius, The Analects, 13.3. If not noted otherwise, texts cited from Lessons from 

History are translated by me. As for Hakuseki’s citation of The Analects, I used Annping Chin’s translation. 

24 Arai, “Tokushi yoron,” 412–13; as for how Yoshimitsu received the title of King of Japan and Retired Emperor, 

see Mori Shigeaki, Nanboku-chō no dōran (Tōkyō: Yoshikawa Kōbunkan, 2007), 220-221,224-226. 



 

52 

 

 

According to Hakuseki, because Yoshimitsu had received the rank of Chancellor of the 

Realm from the court, it was his duty to serve the emperor as his minister. However, 

Yoshimitsu’s title was not in accordance with his actual actions. In reality, all ministers and lords 

followed Yoshimitsu’s orders, even though their titles suggested they were all retainers of the 

emperor. Within this interpretation, Yoshimitsu failed to align his titles with his actual 

governance, thus engendering societal disorder and fostering an environment conducive to 

rebellion and betrayal. 

Crucially, Hakuseki’s critique of Yoshimitsu is not merely condemnatory; it underscores 

the potential for reform and proposes the need to establish a new political order reflective of 

contemporary realities. Tokushi yoron posits a decline in the power of the imperial house 

alongside the ascendancy of military houses. If the old polity with the imperial house as its 

center no longer reflects reality, a new political structure should be established, and as Ackroyd 

suggests, Hakuseki saw Yoshimitsu’s seeking of rulership as “the first step in a plan to change 

the status of all daimyō to that of the shogun’s direct vassals, instead of their being, like the 

shogun himself, legally subjects of the emperor.”25  

Considering Hakuseki’s intimate political ties with the Tokugawa shogunate, both his 

pragmatic historiography and his utilization of the Mandate of Heaven theory to undermine the 

legitimacy of the imperial house, alongside his emphasis on the rectification of name theory to 

underscore the necessity of a new order, manifest his political aspirations toward reforming the 

polity of Edo Japan, albeit without tangible success.26 While Hakuseki’s efforts fell short of 

 
25 Arai, Lessons from History, xlvi. 

26 Arai, xlvi–xlvii. 



 

53 

 

 

effecting fundamental differentiation between the shogun’s title and those of other high-ranking 

samurai, his underlying intention is discernible in his endeavor to alter the title from Taikun 大君

to King of Japan in diplomatic dealings with Joseon Korea.27 In his essay collection Oritaku 

shiba no ki 折たく柴の記 (Told Round a Brushwood Fire), Hakuseki contends that Taikun was 

perceived as a title bestowed upon a subject by the emperor in Joseon Korea, and he highlights 

that this term could even denote the emperor himself according to a certain Chinese source, 

likely Yijing 易経 (J. Ekikyō, The book of changes, late ninth century). His disavowal of the title 

Taikun signifies both his reluctance to view the shogun as a subject of the emperor and his 

refusal to equate the shogun with the emperor. This perhaps constituted one of Hakuseki’s 

endeavors to explore the potential for restructuring the political landscape to align with reality, 

albeit provoking substantial backlash and dissent, even from within his own intellectual circles.28 

Nevertheless, his advocacy for reinstating the title of King of Japan, coupled with the subsequent 

criticism he faced, underscores his profound affiliation with the shogunate and his considerable 

political influence. 

However, as a commoner who stood far away from the political center and a popular 

writer who wrote for the general public, Bakin’s appropriation of Hakuseki’s theories 

demonstrates a populist approach, catering to the perspectives of the general public rather than 

aligning with entrenched political interests. 

2.4 Views on the Ashikaga Shogunate from Multiple Perspectives in Kyōkakuden 

 
27 Miyazaki Michio, Teihon Oritaku shiba no ki shakugi (Tōkyō: Shibundō, 1964), 299–300. 

28 Miyazaki, 301–2. 



 

54 

 

 

The central plot of Kyōkakuden, which revolves around the Southern Court’s followers 

seeking vengeance against the Ashikaga shogunate, might suggest that Bakin intended to convey 

a clear message: the supporters of the Southern Court represent the righteous side, while the 

Ashikaga shogunate and its followers are the villains. However, a closer examination of the 

narrative casts doubts on this superficial reading and reveals Bakin’s more nuanced view of both 

sides. While the Southern Emperor on the good side is criticized for his weakness and lack of 

virtue by some character, the Ashikaga shogunate on the evil side is occasionally depicted in a 

positive light. In this section, I will closely read four characters’ competing views on the 

Ashikaga shogunate to show the multivocal nature of Kyōkakuden and Bakin’s nuanced view on 

the concept of seitō. 

Tokuda Takeshi has argued that, despite the unfinished state of Kyōkakuden, the 

discussion of seitō in Chapter Twenty-Two offers crucial insight into the author’s hidden 

intentions, making it possible to deduce the primary message of this work even without its 

conclusion. He even suspects that because Bakin had already explained his hidden intention, he 

had no other choice but to cease this project.29 While I concur with Tokuda’s assertion regarding 

the significance of Chapter Twenty-Two, I posit that there are additional chapters that deserve 

closer scrutiny. Furthermore, Tokuda’s analysis presupposes an equation between Bakin’s voice 

and one single character’s articulation of seitō, and therefore, fails to consider the presence of 

other perspectives within the narrative, particularly those related to the evaluation of the 

Ashikaga shogunate.  

 
29 Tokuda, “Gonanchō hiwa: Teishō, Bakin, Shōyō,” 54. 



 

55 

 

 

In Kyōkakuden, a quartet of characters engage in discourse concerning the Ashikaga 

shogunate, with their opinions displaying notable variance. In Chapter Twenty-Two, Kuro-hime 

九六媛, a Daoist immortal, delivers an extensive speech on Emperor Go-Daigo and the 

Ashikaga shoguns; in Chapter Twenty-Four, the female protagonist Koma-hime 姑摩姫 engages 

in a debate on the legitimacy of the Ashikaga shogunate with Hatakeyama Mitsuie 畠山滿家, 

one of the shogun’s vassals; finally, in Chapter Twenty-Five, Ikkyū 一休, a Buddhist monk, 

intervenes to expound his perspective. Each of these three chapters delves into the theme of 

seitō, with each character presenting a distinct and noteworthy viewpoint. 

Firstly, Kuro-hime enumerates the three major transgressions committed by Yoshimitsu, 

the third Ashikaga shogun, in Chapter Twenty-Two. Emphasizing his deceit of the Emperor of 

the Southern Court to obtain the Three Sacred Treasures, his appointment as Chancellor of the 

Realm against courtly reservations, and his acceptance of the title of King of Japan from Ming 

China,30 Kuro-hime channels Hakuseki’s commentary with slight alteration. 

Central to Kuro-hime’s critique is Yoshimitsu’s disregard for the imperial house, a stance 

informed by her prior service as a court lady under Emperor Tenmu 天武 (631–686) before her 

transformation into a Daoist immortal. Kuro-hime says,  

“Even though I can bear his other mistakes, his deception of the Southern Emperor and 

his acceptance of the title [King of Japan] bestowed by the Ming seriously challenges 

Japan’s polity and he should never be forgiven.” 

 
30 Kyokutei, Kaikan kyōki kyōkakuden, 313–14. 



 

56 

 

 

這
この

它
よ

の不義
ふ ぎ

は忍
しの

ぶとも、南帝
なんてい

を紿
あざむ

きまつりて、誓
ちかひ

に背
そむ

く一
いち

条
でふ

と、明
みん

の冊封
さくほう

を受
うけ

たるは、是
これ

国体
こくたい

に係
かゝ

る処
ところ

、