Introduction: “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
“Author and Hero in Aesthetic Activity” by Mikhail Bakhtin, first published in 1924 and later translated and included in “Art and Answerability: Early Philosophical Essays” (1990), explores the essential relationship between an author and their created hero. Bakhtin emphasizes that this relationship is not merely a matter of individual authorial characteristics but is built upon a necessary foundation. He contends that an author’s reaction to the hero encompasses both an understanding of the hero’s reactions and the author’s own comprehensive response to the hero as a whole. This comprehensive reaction, which is not based on isolated self-manifestations, is what Bakhtin identifies as specifically aesthetic. The author’s reactions to the hero’s self-manifestations are grounded in a unitary reaction to the hero’s entire being, assembling cognitive-ethical determinations and valuations into a unique, concrete, and meaningful whole.
Summary of “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
Foundation of the Author-Hero Relationship:
- “For a proper understanding of the author’s architectonically stable and dynamically living relationship to the hero, we must take into account both the essentially necessary foundation of that relationship and the diverse individual characteristics that it assumes in particular authors and in particular works.”
- The article emphasizes examining the essential foundation of the author-hero relationship and only outlining its individuation modes.
Author’s Reaction to the Hero:
- “Every constituent of a work presents itself to us as the author’s reaction to it and that this reaction encompasses both an object and the hero’s reaction to that object.”
- The author’s reaction to the hero is a unitary reaction to the whole of the hero, creating an aesthetic reaction that assembles the hero’s characteristics into a unique whole.
Creative Principle of the Relationship:
- “This comprehensive reaction of the author to the hero is founded on a necessary principle and has a productive, constructive character.”
- A relationship founded on a necessary principle is inherently creative and productive, determining the structure and determinateness of the object.
Struggle of the Author with the Hero:
- “The artist’s struggle to achieve a determinate and stable image of the hero is to a considerable extent a struggle with himself.”
- The process of shaping the hero involves removing masking layers imposed by the author’s reactions and life situations to achieve an authentic valuational attitude.
Objective Creation of the Hero:
- “An author reflects the hero’s emotional-volitional position, but not his own position in relation to the hero.”
- The author creates the hero without turning the creation process into an object of examination and reflection.
Unreliability of Author’s Confession:
- “When an artist undertakes to speak about his act of creation independently of and as a supplement to the work he has produced, he usually substitutes a new relationship for his actual creative relationship to the work.”
- The author’s comments on their process of creating a hero are often unreliable due to various external factors affecting their statements.
Author’s Active Role:
- “An author is the uniquely active form-giving energy that is manifested not in a psychologically conceived consciousness, but in a durably valid cultural product.”
- The author actively creates and structures the hero’s image, rhythm, and meaning-bearing features.
Importance of Understanding Author’s Reaction:
- “Only when we have understood this essentially necessary, comprehensive, creative reaction of the author to the hero, will it be possible to introduce strict order into the form-and-content determination of the various types of the hero.”
- Understanding the author’s creative reaction is crucial for systematically classifying and endowing heroes with univocal meaning.
Misunderstandings in Literary History:
- “Complete chaos still holds sway in this regard in the aesthetics of verbal art and especially in literary history.”
- The article criticizes the lack of order and validation in hero classifications and the unprincipled combination of different perspectives and evaluations.
Author-Hero Relationship in Aesthetics:
- “The general formula for the author’s fundamental, aesthetically productive relationship to the hero is a relationship in which the author occupies an intently maintained position outside the hero with respect to every constituent feature of the hero.”
- The author maintains an external position relative to the hero, allowing them to collect and consummate the hero as a whole.
Complexities and Deviations in the Relationship:
- “Now we shall say a few words about three typical cases of deviation from the author’s direct relationship to the hero.”
- The article outlines cases where the author’s relationship deviates due to autobiographical elements, resulting in different dynamics between the author and the hero.
Literary Terms in “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
| Term/Device/Concept | Definition | Explanation |
| Author-Hero Relationship | The dynamic and foundational interaction between the author and the hero in a literary work. | This relationship is essential for understanding the structure and meaning of the hero within the context of the work, shaped by the author’s creative vision. |
| Architectonically Stable | A term describing the stable structural relationship in a work of art. | Refers to the necessary foundational elements that maintain the integrity and coherence of the author-hero relationship. |
| Unitary Reaction | The comprehensive response of the author to the entirety of the hero. | The author’s reaction is not to isolated aspects but to the hero as a complete, unified character, essential for aesthetic creation. |
| Productive Reaction | The creative and constructive nature of the author’s interaction with the hero. | This reaction generates the hero’s character and the narrative structure, contributing to the overall meaning of the work. |
| Consummation | The process by which the author completes or finalizes the hero as a character. | Involves the integration of the hero’s traits and actions into a cohesive whole, giving the character depth and completeness. |
| Transgredience | The aspect of the author’s vision that goes beyond the hero’s self-perception. | The author sees and knows more about the hero than the hero knows about themselves, providing a fuller picture of the character. |
| Intonating | The way the author imbues every aspect of the hero and narrative with their evaluative response. | The author’s emotional and ethical reactions to the hero’s actions, thoughts, and experiences are woven into the narrative. |
| Empathy (Einfuhlung) | The author’s ability to project themselves into the hero’s perspective. | Essential for creating a believable and relatable hero, the author empathizes with the hero to understand and depict their inner world accurately. |
| Aesthetic Love | The author’s compassionate and understanding attitude towards the hero. | This love is not romantic but is a profound appreciation and acceptance of the hero’s existence, crucial for their full portrayal. |
| Ethical Objectivity | The impartial evaluation of a character’s actions and moral stance. | The author maintains a balanced perspective, considering the hero’s ethical decisions without personal bias. |
| Excess of Seeing | The additional perspective the author has compared to the hero. | The author can see aspects of the hero and their circumstances that the hero cannot, enriching the narrative with deeper insights. |
| Outward Appearance | The external, visible aspects of a character as described by the author. | Focuses on how the hero is perceived physically and the significance of their physical traits in the narrative. |
| Ideal History | The conceptual history of the author-hero relationship as presented in a work of art. | Rather than a chronological or psychological history, it is the meaningful and idealized depiction of the relationship within the narrative. |
| Biographical Method | An approach that analyzes literary works through the author’s life experiences. | This method is critiqued by Bakhtin for often conflating the author’s personal experiences with the artistic creation of characters. |
| Sociological Method | An approach that examines literature in the context of social and historical factors. | This method looks at how the author’s social environment and historical context influence the creation and development of literary works and characters. |
| Aesthetic Event | The unique interaction between the author and hero that gives rise to the narrative. | An event characterized by the presence of two non-coinciding consciousnesses (author and hero), essential for the creation of a literary work. |
| Creative Activity | The author’s active process of forming and shaping the hero and narrative. | Involves the author’s imaginative and constructive efforts to bring the hero to life within the literary work. |
Contribution of “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin in Literary Theory
- Author-Hero Relationship: Introduced the concept of the author-hero relationship as a fundamental element of literary analysis, emphasizing the author’s active role in shaping the hero’s identity and meaning.
- Aesthetic Reaction: Highlighted the importance of the author’s comprehensive aesthetic reaction to the hero, which transcends individual self-manifestations and encompasses the hero as a whole.
- Consummation of the Hero: Emphasized the author’s role in consummating the hero by providing a unitary and unique perspective that goes beyond the hero’s own self-perception.
- Transgredient Moments: Introduced the concept of transgredient moments, aspects of the hero and their world that are inaccessible to the hero’s consciousness but are revealed and shaped by the author.
- Outward Expression and Interiority: Explored the relationship between the hero’s outward appearance (exterior) and their inner life (interiority), highlighting the author’s role in shaping and revealing both.
- Aesthetic Objectivity: Contrasted aesthetic objectivity with cognitive and ethical objectivity, asserting that aesthetic objectivity encompasses and transcends these other forms.
- Influence on Literary Studies: Bakhtin’s ideas have profoundly influenced literary studies, particularly in areas like character analysis, narrative theory, and the study of authorial intention.
Additional Contributions:
- Dialogism: While not directly addressed in this specific article, Bakhtin’s broader concept of dialogism (the idea that language and meaning are shaped by interaction and multiple voices) is closely related to his understanding of the author-hero relationship.
- Influence on Cultural Studies: Bakhtin’s work has also had a significant impact on cultural studies, particularly in the analysis of how cultural meanings are created and negotiated through various forms of representation.
Examples of Critiques: “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
| Literary Work | Critique through Bakhtin’s Lens |
| The Great Gatsby (F. Scott Fitzgerald) | Nick Carraway, the narrator, struggles to find a stable position outside of Gatsby. He is both fascinated and repelled by Gatsby’s illusions, ultimately unable to fully consummate Gatsby as a hero. This results in a fragmented portrait of Gatsby, with his exterior and interiority never fully aligning. |
| Crime and Punishment (Fyodor Dostoevsky) | Raskolnikov, the protagonist, is an example of a hero who “takes possession” of the author. Dostoevsky’s own moral and philosophical struggles are deeply embedded in Raskolnikov, making it difficult for the author to maintain a fully objective, consummating perspective. |
| Hamlet (William Shakespeare) | Hamlet is a self-conscious hero who constantly reflects on his own actions and motivations. This self-awareness makes it challenging for Shakespeare to fully consummate Hamlet as a hero, as Hamlet continuously surpasses any external determination imposed upon him. |
| Don Quixote (Miguel de Cervantes) | Don Quixote is a hero who creates himself as an author, interpreting his own life aesthetically through the lens of chivalric romances. This self-authorship leads to a comical disconnect between Don Quixote’s self-perception and the reality of his situation, highlighting the potential dangers of an overly subjective approach to self-creation. |
Criticism Against “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
- Complex and Dense Prose:
- Bakhtin’s writing style is often criticized for being overly complex and dense, making it difficult for readers to fully grasp his ideas without extensive effort and background knowledge.
- Lack of Practical Examples:
- The theoretical nature of the text can be challenging for readers who seek practical examples or concrete applications of his concepts to specific literary works.
- Ambiguity in Key Concepts:
- Some of Bakhtin’s key concepts, such as “transgredience” and “aesthetic love,” are seen as ambiguous and not clearly defined, leading to varied interpretations and potential misunderstandings.
- Overemphasis on Authorial Control:
- Critics argue that Bakhtin places too much emphasis on the author’s control over the hero, potentially downplaying the hero’s agency and the reader’s role in interpreting the text.
- Neglect of Reader Response:
- Bakhtin’s focus on the author-hero relationship tends to overlook the importance of reader response and how readers’ interpretations contribute to the meaning of a literary work.
- Idealization of the Author:
- Bakhtin’s portrayal of the author as a nearly omniscient figure with a comprehensive vision of the hero may be seen as an idealization that does not reflect the more collaborative and fragmented nature of actual literary creation.
- Insufficient Attention to Social and Historical Contexts:
- While Bakhtin acknowledges the influence of social and historical contexts, some critics believe he does not give enough weight to these factors in shaping the author-hero relationship.
- Potential for Misinterpretation:
- The abstract and theoretical nature of Bakhtin’s work can lead to diverse and potentially conflicting interpretations, which may detract from its overall clarity and impact.
- Limited Scope of Analysis:
- By focusing primarily on the author-hero relationship, Bakhtin’s analysis may be seen as limited in scope, neglecting other important aspects of literary studies, such as genre, narrative structure, and intertextuality.
- Elitist Perspective:
- Some critics view Bakhtin’s approach as elitist, prioritizing high literature and complex theoretical constructs over more accessible and varied forms of literary expression.
- Neglect of Psychological Processes:
- Bakhtin’s framework is critiqued for not adequately addressing the psychological processes involved in both the creation and reception of literary works, which are crucial for a holistic understanding of literature.
Suggested Readings: “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
- Bakhtin, Mikhail. “Author and Hero in Aesthetic Activity.” Art and Answerability: Early Philosophical Essays, edited by Michael Holquist and Vadim Liapunov, translated by Vadim Liapunov, University of Texas Press, 1990, pp. 4-256.
- Bernard-Donals, Michael F. “Mikhail Bakhtin: Between Phenomenology and Marxism.” College Literature, vol. 17, no. 1, 1990, pp. 25-41.
- Emerson, Caryl. “The Outer Word and Inner Speech: Bakhtin, Vygotsky, and the Internalization of Language.” Critical Inquiry, vol. 10, no. 2, 1983, pp. 245-264.
- Gardiner, Michael. “Bakhtin’s Carnival: Utopia as Critique.” Utopian Studies, vol. 3, no. 2, 1992, pp. 1-29.
- Holquist, Michael. Dialogism: Bakhtin and His World. Routledge, 1990.
- Morson, Gary Saul, and Caryl Emerson. Mikhail Bakhtin: Creation of a Prosaics. Stanford University Press, 1990.
- Vice, Sue. Introducing Bakhtin. Manchester University Press, 1997.
Quotations with Explanation from “Author and Hero in Aesthetic Activity” by Mikhail Bakhtin
| Quotation | Explanation |
| “Every constituent of a work presents itself to us as the author’s reaction to it and that this reaction encompasses both an object and the hero’s reaction to that object.” | This quotation highlights Bakhtin’s idea that every element in a literary work reflects the author’s engagement with both the narrative’s objects and the hero’s interactions with those objects. |
| “What makes a reaction specifically aesthetic is precisely the fact that it is a reaction to the whole of the hero as a human being, a reaction that assembles all of the cognitive-ethical determinations and valuations of the hero and consummates them in the form of a unitary and unique whole that is a concrete, intuitable whole, but also a whole of meaning.” | Bakhtin emphasizes the importance of the author’s comprehensive and cohesive reaction to the hero, creating a unified and meaningful character that integrates cognitive and ethical aspects. |
| “The artist’s struggle to achieve a determinate and stable image of the hero is to a considerable extent a struggle with himself.” | This quote underscores the internal conflict an author faces in trying to create a consistent and stable portrayal of the hero, reflecting the complexities of artistic creation. |
| “An author creates, but he sees his own creating only in the object to which he is giving form, that is, he sees only the emerging product of creation and not the inner, psychologically determinate, process of creation.” | Bakhtin points out that the author can only perceive their creative process through the final product (the literary work), not through the internal psychological journey that led to its creation. |
| “In order to find in a given work the author so conceived, it is necessary, first, to single out all those moments or constituent features which bring about the consummation of the hero and the event of his life and which are in principle transgredient to his consciousness.” | This statement emphasizes the need to identify all elements that complete the hero’s character and life events, highlighting those aspects beyond the hero’s awareness, thus defining the author’s role. |
| “The general formula for the author’s fundamental, aesthetically productive relationship to the hero is a relationship in which the author occupies an intently maintained position outside the hero with respect to every constituent feature of the hero.” | Bakhtin defines the essential author-hero relationship as one where the author remains external to the hero, allowing for an objective and comprehensive portrayal of the character and narrative. |