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University Microfilms, Inc., Ann Arbor, Michigan the FUNCTIONAL PREFACE in AMERICAN FICTION This dissertation has been 65—13,279 microfilmed exactly as received SHARMA, Mohan Lai, 1919- THE FUNCTIONAL PREFACE IN AMERICAN FICTION. The Ohio State University, Ph.D., 1965 Language and Literature, general University Microfilms, Inc., Ann Arbor, Michigan THE FUNCTIONAL PREFACE IN AMERICAN FICTION DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Mohan Lai Sharma, M. A., B. A. (Hons.) The Ohio State University 1965 Approved by gfVftvn t Adviser Department of English ACKNOWLEDGMENTS Coming from a tradition-drenched land, wherein the teacher is a link between the pupil and Reality, I have discovered here planetary- minded professors, who have been more helpful to me than I might have expected. I owe my success, in a large measure, to Professor William Charvat, who as one of the most distinguished scholars in American Literature agreeably surprised me three years ago by offering to be my adviser, and who has directed this dissertation with sustained interest throughout the progress of this project. The subject (or, "germ," to use a Jamesian term) was greedily grabbed by me in a course in American fiction, which I took with the professor. He has ungrudgingly permitted to be looted and quoted in various parts of this study. I am grateful to Professors Roy H. Pearce, Andrew Wright, and Claude Simpson, who helped me prepare for the General Examination during the year Professor Charvat was away in Spain promoting the study of American Literature, although each ruthlessly added more books to the reading list. Above all, I am more heavily indebted to Professor R. M. Estrich than I can say in words. As chairman, he ■invariably treated me as his special responsibility and gave me aid and counsel in matters too many and varied to enumerate. The present chairman, Dr. A. J. Kuhn, and the vice-chairman, Dr. E. W. Robbins are also very solicitous of my intellectual progress and I am indeed grateful to them. ii My thanks are due to Professors Graham and Markets for rending my manuscript and teaching me sophisticated procedures to which my unpracticed and Maya-conscious mind was supremely indifferent or naively impervious. Without their and Professor Charvat's help, my project, which involved the study of 36 American authors and nearly 400 works, would not have been completed in time, even though 1 worked clock-like, "without haste, without rest," for years at it. I am grateful for the gracious assistance given me by Miss C . Dorsey of the English Department Library and the Main Library Staff . hare as well- as at Chicago and New York, especially of the Rare look Sections. I have had hearty help from Professors Fercival, Altick, W&lley, Haber, Varandayan, Maurer, and Miss Hughey on occasions when I did not understand a literary problem, which was often the case. I am mindful of the rewarding programs to which as international students, my wife Satya, daughters Mini and Anu, and I were invited by Rev. Meyers, Rev. McLean, Rev. Snook, Miss Bailey, Miss Deacon, Miss lialoch, Miss Caroline, Dr. Scott, Dr. Newark, Mrs. Van Hook, the Crays, the Swishers, the Saters, the Blackmans, the Wardwells, the Watkins, the Worrells, the- Lowells, the Rosmsnds, the Garretts, the Guthries, the Coffmans, the Walkers, the Morgans, the Londons, the McCcnaghas, Phil Hughes, Wheeler, Keith, Walley et al. We experienced "divine hospitality and cumulative generosity." 'We feel "richer by America." Last, I am beholden to fellow graduate students— especially Mrs. Kovitz, and Messrs. Brubaker, Kolby, Gleason, Stillwell, and Pearcy— ' who shared shelf-loads of books with me, and whose hearts bright as sun-flowers helped me survive and succeed in the doctoral program of the English Department tiers. I hope, more students from my ancient land will come to A,;erica, today's educational Mecca, to study the red-blooded story of American Literature. VITA February 5. 1919 Born-Bilga, Punjab, India 1939.......... B. A. Hons. (English), Punjab University 19^1........... M.: A-. (English), Punjab University 1 9/+2-I 9^3...... Lecturer in English, Government College, Lyallpur 19L3-1 9^4...... India's Army as Officer Cadet 1 9^4-1 9^-9...... Lecturer in English, Government College, Rohtak 1 91*9-1 953...... Lecturer in English, Government College, Dharmsala 1953-1959...... Senior Lecturer in English, Government College, Ludhiana 1959-1965...... Graduate Student, Ohio State University, Columbus, Ohio FIELDS OF STUDY Major Field: American Literature iv CONTENTS ACKNOWLEDGMENTS............. ii VITA.................................................. iv Chapter I PREFATORY................................. '........... 1 II THE SENTIMENTAL, DIDACTIC, AND APOPOGETIC PREFACE ..6 III THE CHANGING PREFACE...... -......... 16 IV THE DEVELOPING PREFACE.............................. .23 V MORE SENTIMENTAL PREFACES............ '............... 32 VI THE PREFACE OF DISCRIMINATION......... ............... VII FROM THE POFULAR TO THE ALLEGORICAL PREFACE.......... 65 VIII THE HORTATORY PREFACE................................. 73 IX THE SIGNIFICANT AND THE BANAL PREFACE....... 9? X THE HUMANITARIAN PREFACE.............................112 XI ■ THE PROVINCIAL PREFACE............................... 120 XII THE ANTI-SENTIMENTAL PREFACE.........................1^7 XIII THE ARTISTIC PREFACE................................. 159 SELECTED BIBLIOGRAPHY: WORKS................................ 199 SELECTED BIBLIOGRAPHY: CRITICISM AND SPECIAL STUDIES........ 212 v Chapter I Prefatory Although the great American novel is yet to be written, the American novelists' contribution is, nonetheless, extremely signif­ icant. Some glimpses of this wonderful House of Fiction can be had even at its door-step. The fictional preface changes its face with the passage of time and moves between poles (to use the Toynbeean formula) of "withdrawal and return" in an artless or artistic design formed partly from within by the nature of the artist and his material and partly imposed from without by Americans' Puritanical-practical ancestory. But it has a gripping story to tell. The story of the preface is part of the fictional development in America about which a few assumptions and generalizations may not be out of place at the very outset. As is true of the movies, American fiction began as a form of diversion outside of the pale of serious art, and was for long actively opposed by America's cultural traditions and Puritan mores. It was a pariah, a step-child in literature, a genre with a lower status. Americans, who were haunted by the shadow of the classical epic, dis- The salient points presented here are an inadequate profile of an extremely stimulating and inseminating discussion which took place one morning in a course in American Fiction that I had with Professor Charvat a few years ago. missed fiction as a "youthful toy," "the rattle-box of sixteen," ^ and classed it with cock-fighting and "stage-shews," or with "sitting cross-legged, straddling, spitting, blowing noses" etc. The Philadelphia Repository and Weekly Register of June 6, 1801 went so far as to stigmatize novels as "the one great engine in the hands of the fiends of darkness." Another factor responsible for devitalizing the fiction that did get past the Furitan block was the Common Sense School of Thought. In the teeth of strong opposition, however, the disreputable early novel continued to grow. Timothy Dwight's statement— "Between the Bible avid the novels, there is a gulf fixed."— obliquely shows the strength of this branch of literature which was published even in .small towns. Although the form was not respectable, it had its appeal, especially for the feminine consumers, who rented novels of seduction and Gothic tales. As is true of melodrama, American fiction was largely an importation from Europe, especially England. There naturally arose, therefore, the need for the American novelist to naturalize the form. Several factors— more properly, their combination— conditioned the process of domestication. One was the political fact of independence which "bred a self-consciousness of autonomy and a conviction that the nation wTas set apart from all others, not only politically and eco- ^These are some of the strictures passed on fiction by Noah Webster. A Collection of Essays and Fugitive Writings... (Boston, 1790), p. 29. 2 For a full treatment see William Charvat, The Origins of American Critical Thought 1305-1835 (Philadelphia, 1936), and Terence Martin, The Instructed Vision (Bloomington, 1 961). 3 1 nomically, but philosophically and culturally as well." Another fact which shaped writing in the new nation was economic. Most of the basic inventions, and many of. the improvements for book production, were put to use in America by 1800. From the beginning— and the timing is important— a national literature in America has been connected with the imperious commercial processes of manufacture and distribution. A large distribution meant more than new readers; it meant that a popular book could create a demand for other books like it. The third factor was the acute awareness of the utilitarian doctrine resting on the conviction that imaginative literature must "serve some calculable and purposive mission." ^ Platitudinous as it may sound, in most works of American fiction there was explicit or implicit a conflict between the claims of society and of the writer as well as a dichotomy between the life of action and the life of thought, leading to a tension between the public and private elements in the art of fiction. In philosophical terms, this meant a conflict between the writer and the reader centred in opposing conflicts of what constitutes real life or Realia, to use a terra of Wallace Stevens. Whereas writers such as Hawthorne and Melville resorted to "make-believe" in all artistic sincerity, the general reader took the phrase in a pejorative sense. There has been an increasing stratification in taste during the last 150 years, in levels of sophistication from crude mass fiction to avante-garde fiction. Fiction has ceased being merely 1 Albert D. Van Nostrand (ed.), Literary Criticism in America (New York, 1957).
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