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Footnotes in Fiction: a Rhetorical Approach

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FOOTNOTES IN FICTION: A RHETORICAL APPROACH DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Edward J. Maloney, M.A. * * * * * The Ohio State University 2005 Dissertation Committee: Approved by Professor James Phelan, Adviser Professor Morris Beja ________________________ Adviser Professor Brian McHale English Graduate Program Copyright by Edward J. Maloney 2005 ABSTRACT This study explores the use of footnotes in fictional narratives. Footnotes and endnotes fall under the category of what Gérard Genette has labeled paratexts, or the elements that sit above or external to the text of the story. In some narratives, however, notes and other paratexts are incorporated into the story as part of the internal narrative frame. I call this particular type of paratext an artificial paratext. Much like traditional paratexts, artificial paratexts are often seen as ancillary to the text. However, artificial paratexts can play a significant role in the narrative dynamic by extending the boundaries of the narrative frame, introducing new heuristic models for interpretation, and offering alternative narrative threads for the reader to unravel. In addition, artificial paratexts provide a useful lens through which to explore current theories of narrative progression, character development, voice, and reliability. In the first chapter, I develop a typology of paratexts, showing that paratexts have been used to deliver factual information, interpretive or analytical glosses, and discursive narratives in their own right. Paratexts can originate from a number of possible sources, including allographic sources (editors, translators, publishers) and autographic sources— the author, writing as author, fictitious editor, or one or more of the narrators. The second chapter shows that artificial paratexts can have significant effects on narrative progression. Building on the work of James Phelan and Peter Rabinowitz, I show that ii artificial paratexts introduce tensions and instabilities that complicate narrative development and force readers to rethink their expectations about narrative conventions. In the next two chapters, I look closely at two complex uses of artificial paratexts, one in the short fiction of Jorge Luis Borges and the other in Vladimir Nabokov’s novel, Pale Fire. In the concluding chapter of the dissertation, I posit a number of extensions to my analysis through an examination of Manual Puig’s Kiss of the Spider Woman and Stuart Moulthrop’s hypertext novel, Victory Garden. iii Dedicated to Kirsten iv ACKNOWLEDGMENTS I would like to thank my friends for their support, including Eric Hofmann, David Lipscomb, Paul Miller, Dominic Pettman, Janet Russell. I would also like to thank my friends and colleagues in the Center for New Designs in Learning and Scholarship at Georgetown University, and in particular Randy Bass and John Rakestraw, for listening to me talk about footnotes for much longer than anyone should reasonably have to. Many colleagues at Georgetown gave me a great deal of advice and support while I was writing, including Frank Ambrosio, Leona Fisher, Patricia O’Connor, Joe Sitterson, and Jim Slevin. My thanks also to Mike Neuman and Ardoth Hassler for their encouragement throughout the entire process. I especially owe a great deal of thanks to Molly Chehak for her willingness to read many drafts on very short notice and for providing invaluable feedback throughout. This project could not have been completed without her help. In many respects, this project came to a close very quickly. I would like to thank my committee, Murray Beja, David Herman, and Brian McHale, for their willingness to work with me on such short notice. I cannot thank David and Brian enough for their insights, both on this project and in their own work, from which I have learned a great deal. Murray was the first person I met when I came to Ohio State, and his guidance and encouragement throughout the years has been immeasurable. I feel honored to have him as a teacher and friend. v I am indebted beyond words to Jim Phelan, my adviser, mentor, and friend. Jim worked with me through many false starts and many drafts, always with encouragement, advice, and patience. His work continues to be a source of inspiration for me as a writer and teacher. I also owe a great deal of thanks to my family. I could not have written this dissertation without the support of my mother, who was and is a constant source of inspiration and encouragement. My father, stepmother, uncle, and grandfather started me on this path a long time ago, and my sisters and brothers—Jill, Nick, Denise, and Mike— all helped me along the way. Finally, my greatest thanks goes to my wife and partner, Kirsten, for sharing her time, love, and energy. Without her, none of this would have been possible; without her, none of this would mean quite as much. vi VITA August 8, 1968 ......................................................................................Born - Hartford, CT 1991............................................... B.A. English and Textual Studies, Syracuse University 1991 – 1993...........................................Graduate Teaching Assistant, Syracuse University 1993............................................................................... M.A. English, Syracuse University 1993 – 1994............................................................Visiting Professor, St. Joseph’s College Adjunct Professor, University of Hartford Adjunct Professor, Manchester Community College 1994 – 1999....................................... Graduate Teaching Associate, Ohio State University 1998.................. Graduate Certificate, School of Criticism and Theory, Cornell University 1999 – present ...................................Adjunct Assistant Professor, Georgetown University PUBLICATIONS 1. Heath Anthology of American Literature Electronic Resources (with Randy Bass and Lois Levine). Heath Anthology of American Literature. 4th Edition. (Boston: Houghton Mifflin, 2002). 2. “Authors, Readers, and Progression in Hypertext Narrative” (with James Phelan). In Works and Days. (v17&18, 1999-2000). 3. “J. D. Salinger’s The Catcher in the Rye.” In The Encyclopedia of the Novel, edited by Paul Schellinger (Chicago: Fitzroy Dearborn Publishers, 1999). 4. “Rear Window: Looking at Theory through Pedagogy” (with Paul Miller). In Cinema-(to)-Graphy: Film and Writing in Contemporary Composition Courses. Edited by Ellen Bishop (Portsmouth, NH: Heinemann Press, 1999). vii 5. “The Legacy of James Joyce.” In Milestones of the 20th Century, edited by James E. Churchill, Jr. (Grolier Incorporated, 1999). FIELDS OF STUDY Major Field: English viii TABLE OF CONTENTS Page Abstract ...............................................................................................................................ii Acknowledgments............................................................................................................... v Vita....................................................................................................................................vii List of Figures .................................................................................................................... xi Chapters 1. Introduction ............................................................................................................. 1 2. Paratexts in Fiction.................................................................................................. 9 2.1. At the Foot of the Path ..................................................................................... 9 2.2. Paratexts ......................................................................................................... 16 2.3. The Footnote .................................................................................................. 23 2.4. Definitions...................................................................................................... 28 2.4.1 Factual Notes.................................................................................... 29 2.4.2 Interpretive Notes............................................................................. 41 2.4.3 Discursive Notes .............................................................................. 48 3. A Rhetoric of Artificial Paratexts.......................................................................... 58 3.1. Artificial Paratexts.......................................................................................... 58 3.2. The Problem of Footnotes.............................................................................. 63 3.3. A Rhetorical Approach................................................................................... 71 3.4. Note Functions ............................................................................................... 79 3.4.1 Intertextuality and Synthetic Functions............................................ 80 3.4.2 Mimetic Functions............................................................................ 86 3.4.3 Supplemental Notes.......................................................................... 90 4. Progression and Artificial Paratexts in the Work of Jorge Luis Borges ............... 97 4.1 Introduction ..................................................................................................... 97 4.2 Good Readers and Intertextual References ..................................................
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