7. Vaclav Havel, The Power of the Powerless

Vaclav Havel, The Power of the Powerless (excerpts)

As the interpretation of reality by the power structure, ideology is always subordinated ultimately to the interests of the structure. Therefore, it has a natural tendency to disengage itself from reality, to create a world of appearances, to become ritual. In societies where there is public competition for power and therefore public control of that power, there also exists quite naturally public control of the way that power legitimates itself ideologically. Consequently, in such conditions there are always certain correctives that effectively prevent ideology from abandoning reality altogether. Under totalitarianism, however, these correctives disappear, and thus there is nothing to prevent ideology from becoming more and more removed from reality, gradually turning into what it has already become in the post-totalitarian system: a world of appearances, a mere ritual, a formalized language deprived of semantic contact with reality and transformed into a system of ritual signs that replace reality with pseudo-reality.

Yet, as we have seen, ideology becomes at the same time an increasingly important component of power, a pillar providing it with both excusatory legitimacy and an inner coherence. As this aspect grows in importance, and as it gradually loses touch with reality, it acquires a peculiar but very real strength. It becomes reality itself, albeit a reality altogether self-contained, one that on certain levels (chiefly inside the power structure) may have even greater weight than reality as such. Increasingly, the virtuosity of the ritual becomes more important than the reality hidden behind it. The significance of phenomena no longer derives from the phenomena themselves, but from their locus as concepts in the ideological context. Reality does not shape theory, but rather the reverse. Thus power gradually draws closer to ideology than it does to reality; it draws its strength from theory and becomes entirely dependent on it. This inevitably leads, of course, to a paradoxical result: rather than theory, or rather ideology, serving power, power begins to serve ideology. It is as though ideology had appropriated power from power, as though it had become dictator itself. It then appears that theory itself, ritual itself, ideology itself, makes decisions that affect people, and not the other way around.

It can be said, therefore, that ideology, as that instrument of internal communication which assures the power structure of inner cohesion is, in the post-totalitarian system, some thing that transcends the physical aspects of power, something that dominates it to a considerable degree and, therefore, tends to assure its continuity as well. It is one of the pillars of the system’s external stability. This pillar, however, is built on a very unstable foundation. It is built on lies. It works only as long as people are willing to live within the lie.

The fact that human beings have created, and daily create, this self-directed system through which they divest themselves of their innermost identity is not therefore the result of some incomprehensible misunderstanding of history, nor is it history somehow gone off its rails. Neither is it the product of some diabolical higher will which has decided, for reasons unknown, to torment a portion of humanity in this way. It can happen and did happen only because there is obviously in modern humanity a certain tendency toward the creation, or at least the toleration, of such a system. There is obviously something in human beings which responds to this system, something they reflect and accommodate, something within them which paralyzes every effort of their better selves to revolt. Human beings are compelled to live within a lie, but they can be compelled to do so only because they are in fact capable of living in this way. Therefore not only does the system alienate humanity, but at the same time alienated humanity supports this system as its own involuntary master plan, as a degenerate image of its own degeneration, as a record of people’s own failure as individuals.

In the post-totalitarian system, therefore, living within the truth has more than a mere existential dimension (returning humanity to its inherent nature), or a noetic dimension (revealing reality as it is), or a moral dimension (setting an example for others). It also has an unambiguous political dimension. If the main pillar of the system is living a lie, then it is not surprising that the fundamental threat to it is living the truth. This is why it must be suppressed more severely than anything else.

The singular, explosive, incalculable political power of living within the truth resides in the fact that living openly within the truth has an ally, invisible to be sure, but omnipresent: this hidden sphere. It is from this sphere that life lived openly in the truth grows; it is to this sphere that it speaks, and in it that it finds understanding. This is where the potential for communication exists. But this place is hidden and therefore, from the perspective of power, very dangerous. The complex ferment that takes place within it goes on in semidarkness, and by the time it finally surfaces into the light of day as an assortment of shocking surprises to the system, it is usually too late to cover them up in the usual fashion. Thus they create a situation in which the regime is confounded, invariably causing panic and driving it to react in inappropriate ways.

It seems that the primary breeding ground for what might, in the widest possible sense of the word, be understood as an opposition in the post-totalitarian system is living within the truth. The confrontation between these opposition forces and the powers that be, of course, will obviously take a form essentially different from that typical of an open society or a classical dictatorship. Initially, this confrontation does not take place on the level of real, institutionalized, quantifiable power which relies on the various instruments of power, but on a different level altogether: the level of human consciousness and conscience, the existential level. The effective range of this special power cannot be measured in terms of disciples, voters, or soldiers, because it lies spread out in the fifth column of social consciousness, in the hidden aims of life, in human beings’ repressed longing for dignity and fundamental rights, for the realization of their real social and political interests. Its power, therefore, does not reside in the strength of definable political or social groups, but chiefly in the strength of a potential, which is hidden throughout the whole of society, including the official power structures of that society. Therefore this power does not rely on soldiers of its own, but on the soldiers of the enemy as it were—that is to say, on everyone who is living within the lie and who may be struck at any moment (in theory, at least) by the force of truth (or who, out of an instinctive desire to protect their position, may at least adapt to that force). It is a bacteriological weapon, so to speak, utilized when conditions are ripe by a single civilian to disarm an entire division. This power does not participate in any direct struggle for power; rather, it makes its influence felt in the obscure arena of being itself. The hidden movements it gives rise to there, however, can issue forth (when, where, under what circumstances, and to what extent are difficult to predict) in something visible: a real political act or event, a social movement, a sudden explosion of civil unrest, a sharp conflict inside an apparently monolithic power structure, or simply an irrepressible transformation in the social and intellectual climate. And since all genuine problems and matters of critical importance are hidden beneath a thick crust of lies, it is never quite clear when the proverbial last straw will fall, or what that straw will be. This, too, is why the regime prosecutes, almost as a reflex action preventively, even the most modest attempts to live within the truth.

Why was Solzhenitsyn driven out of his own country? Certainly not because he represented a unit of real power, that is, not because any of the regime’s representatives felt he might unseat them and take their place in government. Solzhenitsyn’s expulsion was something else: a desperate attempt to plug up the dreadful wellspring of truth, a truth which might cause incalculable transformations in social consciousness, which in turn might one day produce political debacles unpredictable in their consequences. And so the post-totalitarian system behaved in a characteristic way: it defended the integrity of the world of appearances in order to defend itself. For the crust presented by the life of lies is made of strange stuff. As long as it seals off hermetically the entire society, it appears to be made of stone. But the moment someone breaks through in one place, when one person cries out, “The emperor is naked!”—when a single person breaks the rules of the game, thus exposing it as a game—everything suddenly appears in another light and the whole crust seems then to be made of a tissue on the point of tearing and disintegrating uncontrollably.

The Prague Spring is usually understood as a clash between two groups on the level of real power: those who wanted to maintain the system as it was and those who wanted to reform it. It is frequently forgotten, however, that this encounter was merely the final act and the inevitable consequence of a long drama originally played out chiefly in the theatre of the spirit and the conscience of society. And that somewhere at the beginning of this drama, there were individuals who were willing to live within the truth, even when things were at their worst. These people had no access to real power, nor did they aspire to it. The sphere in which they were living the truth was not necessarily even that of political thought. They could equally have been poets, painters, musicians, or simply ordinary citizens who were able to maintain their human dignity. Today it is naturally difficult to pinpoint when and through which hidden, winding channel a certain action or attitude influenced a given milieu, and to trace the virus of truth as it slowly spread through the tissue of the life of lies, gradually causing it to disintegrate. One thing, however, seems clear: the attempt at political reform was not the cause of’ society’s reawakening, but rather the final outcome of that reawakening.

The more thoroughly the post-totalitarian system frustrates any rival alternative on the level of real power, as well as any form of politics independent of the laws of its own automatism, the more definitively the center of gravity of any potential political threat shifts to the area of the existential and the pre-political: usually without any conscious effort, living within the truth becomes the one natural point of departure for all activities that work against the automatism of the system. And even if such activities ultimately grow beyond the area of living within the truth (which means they are transformed into various parallel structures, movements, institutions, they begin to be regarded as political activity, they bring real pressure to bear on the official structures and begin in fact to have a certain influence on the level of real power), they always carry with them the specific hallmark of their origins. Therefore it seems to me that not even the so-called dissident movements can be properly understood without constantly bearing in mind this special background from which they emerge.

By the way, the representatives of power invariably come to terms with those who live within the truth by persistently ascribing utilitarian motivations to them-a lust for power or fame or wealth-and thus they try, at least, to implicate them in their own world, the world of general demoralization.

I think that the origins of Charter 77 illustrate very well what I have already suggested above: that in the post-totalitarian system, the real background to the movements that gradually assume political significance does not usually consist of overtly political events or confrontations between different forces or concepts that are openly political. [S]imply because, given the complex system of manipulation on which the post-totalitarian system is founded and on which it is also dependent, every free human act or expression, every attempt to live within the truth, must necessarily appear as a threat to the system and, thus, as something which is political par excellence.

Seen from the outside, and chiefly from the vantage point of the system and its power structure, Charter 77 came as a surprise, as a bolt out of the blue. It was not a bolt out of the blue, of course, but that impression is understandable, since the ferment that led to it took place in the “hidden sphere,” in that semidarkness where things are difficult to chart or analyze. The chances of predicting the appearance of the Charter were just as slight as the chances are now of predicting where it will lead. Once again, it was that shock, so typical of moments when something from the hidden sphere suddenly bursts through the moribund surface of living within a lie. The more one is trapped in the world of appearances, the more surprising it is when something like that happens.

There is no way around it: no matter how beautiful an alternative political model can be, it can no longer speak to the “hidden sphere,” inspire people and society, call for real political ferment. The real sphere of potential politics in the post-totalitarian system is elsewhere: in the continuing and cruel tension between the complex demands of that system and the aims of life, that is, the elementary need of human beings to live, to a certain extent at least, in harmony with themselves, that is, to live in a bearable way, not to be humiliated by their superiors and officials, not to be continually watched by the police, to be able to express themselves freely, to find an outlet for their creativity, to enjoy legal security, and so on. Anything that touches this field concretely, anything that relates to this fundamental, omnipresent, and living tension, will inevitably speak to people. Abstract projects for an ideal political or economic order do not interest them to anything like the same extent—and rightly so—not only because everyone knows how little chance they have of succeeding, but also because today people feel that the less political policies are derived from a concrete and human here and now and the more they fix their sights on an abstract “someday,” the more easily they can degenerate into new forms of human enslavement. People who live in the post-totalitarian system know only too well that the question of whether one or several political parties are in power, and how these parties define and label themselves, is of far less importance than the question of whether or not it is possible to live like a human being.

The extent to which it [dissent] is a real political force is due exclusively to its pre-political context.

What follows from this description? Nothing more and nothing less than this: it is impossible to talk about what in fact “dissidents” do and the effect of their work without first talking about the work of all those who, in one way or an other, take part in the independent life of society and who are not necessarily “dissidents” at all. They may be writers who write as they wish without regard for censorship or official demands and who issue their work— when official publishers refuse to print it—as samizdat. They may be philosophers, historians, sociologists, and all those who practice independent scholarship and, if it is impossible through official or semi-official channels, who also circulate their work in samizdat or who organize private discussions, lectures, and seminars. They may be teachers who privately teach young people things that are kept from them in the state schools; clergymen who either in office or, if they are deprived of their charges, outside it, try to carry on a free religious life; painters, musicians, and singers who practice their work regardless of how it is looked upon by official institutions; everyone who shares this independent culture and helps to spread it; people who, using the means available to them, try to express and defend the actual social interests of workers, to put real meaning back into trade unions or to form independent ones; people who are not afraid to call the attention of officials to cases of injustice and who strive to see that the laws are observed; and the different groups of young people who try to extricate themselves from manipulation and live in their own way, in the spirit of their own hierarchy of values. The list could go on.

The legal code—at least in several areas—is no more than a facade, an aspect of the world of appearances. Then why is it there at all? For exactly the same reason as ideology is there: it provides a bridge of excuses between the system and individuals, making it easier for them to enter the power structure and serve the arbitrary demands of power. The excuse lets individuals fool themselves into thinking they are merely upholding the law and protecting society from criminals. (Without this excuse, how much more difficult it would be to recruit new generations of judges, prosecutors, and interrogators!) As an aspect of the world of appearances, however, the legal code deceives not only the conscience of prosecutors, it deceives the public, it deceives foreign observers, and it even deceives history itself.

Like ideology, the legal code is an essential instrument of ritual communication outside the power structure. It is the legal code that gives the exercise of power a form, a framework, a set of rules. It is the legal code that enables all components of the system to communicate, to put themselves in a good light, to establish their own legitimacy. It provides their whole game with its rules and engineers with their technology. Can the exercise of post-totalitarian power be imagined at all without this universal ritual making it all possible, serving as a common language to bind the relevant sectors of the power structure together? The more important the position occupied by the repressive apparatus in the power structure, the more important that it function according to some kind of formal code. How, otherwise, could people be so easily and inconspicuously locked up for copying banned books if there were no judges, prosecutors, interrogators, defense lawyers, court stenographers, and thick files, and if all this were not held together by some firm order? And above all, without that innocent-looking Section 100 on incitement? This could all be done, of course, without a legal code and its accessories, but only in some ephemeral dictatorship run by a Ugandan bandit, not in a system that embraces such a huge portion of civilized humankind and represents an integral, stable, and respected part of the modern world. That would not only be unthinkable, it would quite simply be technically impossible. Without the legal code functioning as a ritually cohesive force, the post-totalitarian system could not exist.

The entire role of ritual, facades, and excuses appears most eloquently, of course, not in the proscriptive section of the legal code, which sets out what a citizen may not do and what the grounds for prosecution are, but in the section declaring what he may do and what his or her rights are. Here there is truly nothing but “words, words, words.” Yet even that part of the code is of immense importance to the system, for it is here that the system establishes its legitimacy as a whole, before its own citizens, before schoolchildren, before the international public, and before history. The system cannot afford to disregard this because it cannot permit itself to cast doubt upon the fundamental postulates of its ideology, which are so essential to its very existence. (We have already seen how the power structure is enslaved by its own ideology and its ideological prestige.) To do this would be to deny everything it tries to present itself as and, thus, one of the main pillars on which the system rests would be undermined: the integrity of the world of appearances.

If the exercise of power circulates through the whole power structure as blood flows through veins, then the legal code can be understood as something that reinforces the walls of those veins. Without it, the blood of power could not circulate in an organized way and the body of society would hemorrhage at random. Order would collapse.

A persistent and never-ending appeal to the laws—not just to the laws concerning human rights, but to all laws—does not mean at all that those who do so have succumbed to the illusion that in our system the law is anything other than what it is. They are well aware of the role it plays. But precisely because they know how desperately the system depends on it—on the “noble” version of the law, that is—they also know how enormously significant such appeals are. Because the system cannot do without the law, because it is hopelessly tied down by the necessity of pretending the laws are observed, it is compelled to react in some way to such appeals. Demanding that the laws be upheld is thus an act of living within the truth that threatens the whole mendacious structure at its point of maximum mendacity. Over and over again, such appeals make the purely ritualistic nature of the law clear to society and to those who inhabit its power structures. They draw attention to its real material substance and thus, indirectly, compel all those who take refuge behind the law to affirm and make credible this agency of excuses, this means of communication, this reinforcement of the social arteries outside of which their will could not be made to circulate through society. They are compelled to do so for the sake of their own consciences, for the impression they make on outsiders, to maintain themselves in power (as part of the system’s own mechanism of self-preservation and its principles of cohesion), or simply out of fear that they will be reproached for being clumsy in handling the ritual. They have no other choice: because they cannot discard the rules of their own game, they can only attend more carefully to those rules. Not to react to challenges means to undermine their own excuse and lose control of their mutual communications system. To assume that the laws are a mere facade, that they have no validity, and that therefore it is pointless to appeal to them would mean to go on reinforcing those aspects of the law that create the facade and the ritual. It would mean confirming the law as an aspect of the world of appearances and enabling those who exploit it to rest easy with the cheapest (and therefore the most mendacious) form of their excuse.

The key to a humane, dignified, rich, and happy life does not lie either in the constitution or in the Criminal Code. These merely establish what may or may not be done and, thus, they can make life easier or more difficult. They limit or permit, they punish, tolerate, or defend, but they can never give life substance or meaning. The struggle for what is called “legality” must constantly keep this legality in perspective against the background of life as it really is. Without keeping one’s eyes open to the real dimensions of life’s beauty and misery, and without a moral relationship to life, this struggle will sooner or later come to grief on the rocks of some self-justifying system of scholastics. Without really wanting to, one would thus become more and more like the observer who comes to conclusions about our system only on the basis of trial documents and is satisfied if all the appropriate regulations have been observed.

IF THE basic job of the “dissident” movements is to serve truth, that is, to serve the real aims of life, and if that necessarily develops into a defense of individuals and their right to a free and truthful life (that is, a defense of human rights and a struggle to see the laws respected), then another stage of this approach, perhaps the most mature stage so far, is what Václav Benda called the development of “parallel structures.”

When those who have decided to live within the truth have been denied any direct influence on the existing social structures, not to mention the opportunity to participate in them, and when these people begin to create what I have called the independent life of society, this independent life begins, of itself, to become structured in a certain way. Sometimes there are only very embryonic indications of this process of structuring; at other times, the structures are already quite well developed. Their genesis and evolution are inseparable from the phenomenon of “dissent,” even though they reach far beyond the arbitrarily defined area of activity usually indicated by that term.

What are these structures? Ivan Jirous was the first in Czechoslovakia to formulate and apply in practice the concept of a “second culture.” Although at first he was thinking chiefly of nonconformist rock music and only certain literary, artistic, or performance events close to the sensibilities of those nonconformist musical groups, the term second culture very rapidly came to be used for the whole area of independent and repressed culture, that is, not only for art and its various currents but also for the humanities, the social sciences, and philosophical thought. This second culture, quite naturally, has created elementary organizational forms: samizdat editions of books and magazines, private performances and concerts, seminars, exhibitions, and so on. (In Poland all of this is vastly more developed: there are independent publishing houses and many more periodicals, even political periodicals; they have means of proliferation other than carbon copies, and so on. In the Soviet Union, samizdat has a longer tradition and clearly its forms are quite different.) Culture, therefore, is a sphere in which the parallel structures can be observed in their most highly developed form. Benda, of course, gives thought to potential or embryonic forms of such structures in other spheres as well: from a parallel information network to parallel forms of education (private universities), parallel trade unions, parallel foreign contacts, to a kind of hypothesis on a parallel economy. On the basis of these parallel structures, he then develops the notion of a “parallel polis” or state or, rather, he sees the rudiments of such a polis in these structures.

Independent initiatives address the hidden sphere; they demonstrate that living within the truth is a human and social alternative and they struggle to expand the space available for that life; they help—even though it is, of course, indirect help—to raise the confidence of citizens; they shatter the world of appearances and unmask the real nature of power. They do not assume a messianic role; they are not a social avant-garde or elite that alone knows best, and whose task it is to “raise the consciousness” of the “unconscious” masses (that arrogant self-projection is, once again, intrinsic to an essentially different way of thinking, the kind that feels it has a patent on some ideal project and therefore that it has the right to impose it on society).

THE SPECIFIC nature of post-totalitarian conditions—with their absence of a normal political life and the fact that any far-reaching political change is utterly unforeseeable—has one positive aspect: it compels us to examine our situation in terms of its deeper coherences and to consider our future in the context of global, long-range prospects of the world of which we are a part. The fact that the most intrinsic and fundamental confrontation between human beings and the system takes place at a level incomparably more profound than that of traditional politics would seem, at the same time, to determine as well the direction such considerations will take.

Above all, any existential revolution should provide hope of a moral reconstitution of society, which means a radical renewal of the relationship of human beings to what I have called the “human order,” which no political order can replace. A new experience of being, a renewed rootedness in the universe, a newly grasped sense of higher responsibility, a newfound inner relationship to other people and to the human community—these factors clearly indicate the direction in which we must go.

And the political consequences? Most probably they could be reflected in the constitution of structures that will derive from this new spirit, from human factors rather than from a particular formalization of political relationships and guarantees. In other words, the issue is the rehabilitation of values like trust, openness, responsibility, solidarity, love. I believe in structures that are not aimed at the technical aspect of the execution of power, but at the significance of that execution in structures held together more by a commonly shared feeling of the importance of certain communities than by commonly shared expansionist ambitions directed outward.There can and must be structures that are open, dynamic, and small; beyond a certain point, human ties like personal trust and personal responsibility cannot work. There must be structures that in principle place no limits on the genesis of different structures. Any accumulation of power whatsoever (one of the characteristics of automatism) should be profoundly alien to it. They would be structures not in the sense of organizations or institutions, but like a community. Their authority certainly cannot be based on long-empty traditions, like the tradition of mass political parties, but rather on how, in concrete terms, they enter into a given situation. Rather than a strategic agglomeration of formalized organizations, it is better to have organizations springing up ad hoc, infused with enthusiasm for a particular purpose and disappearing when that purpose has been achieved. The leaders’ authority ought to derive from their personalities and be personally tested in their particular surroundings, and not from their position in any nomenklatura. They should enjoy great personal confidence and even great lawmaking powers based on that confidence. This would appear to be the only way out of the classic impotence of traditional democratic organizations, which frequently seem founded more on mistrust than mutual confidence, and more on collective irresponsibility than on responsibility. It is only with the full existential backing of every member of the community that a permanent bulwark against creeping totalitarianism can be established. These structures should naturally arise from below as a consequence of authentic social self-organization; they should derive vital energy from a living dialogue with the genuine needs from which they arise, and when these needs are gone, the structures should also disappear. The principles of their internal organization should be very diverse, with a minimum of external regulation. The decisive criterion of this self-constitution should be the structure’s actual significance, and not just a mere abstract norm.

Both political and economic life ought to be founded on the varied and versatile cooperation of such dynamically appearing and disappearing organizations. As far as the economic life of society goes, I believe in the principle of self-management, which is probably the only way of achieving what all the theorists of socialism have dreamed about, that is, the genuine (i.e., informal) participation of workers in economic decision making, leading to a feeling of genuine responsibility for their collective work. The principles of control and discipline ought to be abandoned in favor of self-control and self-discipline.

As is perhaps clear from even so general an outline, the systemic consequences of an existential revolution of this type go significantly beyond the framework of classical parliamentary democracy. Having introduced the term “post-totalitarian” for the purposes of this discussion, perhaps I should refer to the notion I have just outlined—purely for the moment—as the prospects for a “post-democratic” system.

I think that given all these preceding thoughts on post-totalitarian conditions, and given the circumstances and the inner constitution of the developing efforts to defend human beings and their identity in such conditions, the questions I have posed are appropriate. If nothing else, they are an invitation to reflect concretely on our own experience and to give some thought to whether certain elements of that experience do not—without our really being aware of it—point somewhere further, beyond their apparent limits, and whether right here, in our everyday lives, certain challenges are not already encoded, quietly waiting for the moment when they will be read and grasped.

For the real question is whether the brighter future is really always so distant. What if, on the contrary, it has been here for a long time already, and only our own blindness and weakness has prevented us from seeing it around us and within us, and kept us from developing it?

October 1978

To the memory of Jan Patocka

Advertisements