In our humble opinion, upon the last developments in Europe, the 1978 article of Vaclav Havel, “The Power of Powerless” is very relevant once again. We present it here in its full as translated by Paul Wilson.
“The Power of the Powerless” (October 1978) was originally written (“quickly,” Havel said later) as a discussion piece for a projected joint Polish Czechoslovak volume of essays on the subject of freedom and power. All the participants were to receive Havel’s essay, and then respond to it in writing. Twenty participants were chosen on both sides, but only the Czechoslovak side was completed. Meanwhile, in May 1979, some of the Czechoslovak contributors who were also members of VONS (the Committee to Defend the Unjustly Prosecuted), including Havel, were arrested, and it was decided to go ahead and “publish” the Czechoslovak contributions separately.
Havel’s essay has had a profound impact on Eastern Europe. Here is what Zbygniew Bujak, a Solidarity activist, told me: “This essay reached us in the Ursus factory in 1979 at a point when we felt we were at the end of the road. Inspired by KOR [the Polish Workers’ Defense Committee], we had been speaking on the shop floor, talking to people, participating in public meetings, trying to speak the truth about the factory, the country, and politics. There came a moment when people thought we were crazy. Why were we doing this? Why were we taking such risks? Not seeing any immediate and tangible results, we began to doubt the purposefulness of what we were doing. Shouldn’t we be coming up with other methods, other ways?
“Then came the essay by Havel. Reading it gave us the theoretical underpinnings for our activity. It maintained our spirits; we did not give up, and a year later-in August ig8o-it became clear that the party apparatus and the factory management were afraid of us. We mattered. And the rank and file saw us as leaders of the movement. When I look at the victories of Solidarity, and of Charter 77, I see in them an astonishing fulfillment of the prophecies and knowledge contained in Havel’s essay.”
Translated by Paul Wilson, “The Power of the Powerless” has appeared several times in English, foremost in The Power of the Powerless: Citizens Against the State in Central-Eastern Europe, edited by John Keane, with an Introduction by Steven Lukes (London: Hutchinson, 1985). That volume includes a selection of nine other essays from the original Czech and Slovak collection.
A SPECTER is haunting Eastern Europe: the specter of what in the West is called “dissent” This secter has not appeared out of thin air. It is a natural and inevitable consequence of the present historical phase of the system it is haunting. It was born at a time when this system, for a thousand reasons, can no longer base itself on the unadulterated, brutal, and arbitrary application of power, eliminating all expressions of nonconformity. What is more, the system has become so ossified politically that there is practically no way for such nonconformity to be implemented within its official structures.
Who are these so-called dissidents? Where does their point of view come from, and what. importance does it have? What is the significance of the “independent initiatives” in which “dissidents” collaborate, and what real chances do such initiatives have of success? Is it appropriate to refer to “dissidents” as an opposition? If so, what exactly is such an opposition within the framework of this system? What does it do? What role does it play in society? What are its hopes and on what are they based? Is it within the power of the “dissidents”-as a category of subcitizen outside the power establishment-to have any influence at all on society and the social system? Can they actually change anything?
I think that an examination of these questions-an examination of the potential of the “powerless”-can only begin with an examination of the nature of power in the circumstances in which these powerless people operate.
Our system is most frequently characterized as a dictatorship or, more precisely, as the dictatorship of a political bureaucracy over a society which has undergone economic and social leveling. I am afraid that the term “dictatorship,” regardless of how intelligible it may otherwise be, tends to obscure rather than clarify the real nature of power in this system. We usually associate the term with the notion of a small group of people who take over the government of a given country by force; their power is wielded openly, using the direct instruments of power at their disposal, and they are easily distinguished socially from the majority over whom they rule. One of the essential aspects of this traditional or classical notion of dictatorship is the assumption that it is temporary, ephemeral, lacking historical roots. Its existence seems to be bound up with the lives of those who established it. It is usually local in extent and significance, and regardless of the ideology it utilizes to grant itself legitimacy, its power derives ultimately from the numbers and the armed might of its soldiers and police. The principal threat to its existence is felt to be the possibility that someone better equipped in this sense might appear and overthrow it.
Even this very superficial overview should make it clear that the system in which we live has very little in common with a classical dictatorship. In the first place, our system is not limited in a local, geographical sense; rather, it holds sway over a huge power bloc controlled by one of the two superpowers. And although it quite naturally exhibits a number of local and historical variations, the range of these variations is fundamentally circumscribed by a single, unifying framework throughout the power bloc. Not only is the dictatorship everywhere based on the same principles and structured in the same way (that is, in the way evolved by the ruling super power), but each country has been completely penetrated by a network of manipulatory instruments controlled by the superpower center and totally subordinated to its interests. In the stalemated world of nuclear parity, of course, that circumstance endows the system with an unprecedented degree of external stability compared with classical dictatorships. Many local crises which, in an isolated state, would lead to a change in the system, can be resolved through direct intervention by the armed forces of the rest of the bloc.
In the second place, if a feature of classical dictatorships is their lack of historical roots (frequently they appear to be no more than historical freaks, the fortuitous consequence of fortuitous social processes or of human and mob tendencies), the same cannot be said so facilely about our system. For even though our dictatorship has long since alienated itself completely from the social movements that give birth to it, the authenticity of these movements (and I am thinking of the proletarian and socialist movements of the nineteenth century) gives it undeniable historicity. These origins provided a solid foundation of sorts on which it could build until it became the utterly new social and political reality it is today, which has become so inextricably a part of the structure of the modern world. A feature of those historical origins was the “correct” understanding of social conflicts in the period from which those original movements emerged. The fact that at the very core of this “correct” understanding there was a genetic disposition toward the monstrous alienation characteristic of its subsequence development is not essential here. And in any case, this element also grew organically from the climate of that time and therefore can be said to have its origin there as well.
One legacy of that original “correct” understanding is a third peculiarity that makes our systems different from other modern dictatorships: it commands an incomparably more precise, logically structured, generally comprehensible and, in essence, extremely flexible ideology that, in its elaborateness and completeness, is almost a secularized religion. It of fears a ready answer to any question whatsoever; it can scarcely be accepted only in part, and accepting it has profound implications for human life. In an era when metaphysical and existential certainties are in a state of crisis, when people are being uprooted and alienated and are losing their sense of what this world means, this ideology inevitably has a certain hypnotic charm. To wandering humankind it offers an immediately available home: all one has to do is accept it, and suddenly everything becomes clear once more, life takes on new meaning, and all mysteries, unanswered questions, anxiety, and loneliness vanish. Of course, one pays dearly for this low-rent home: the price is abdication of one’ s own reason, conscience, and responsibility, for an essential aspect of this ideology is the consignment of reason and conscience to a higher authority. The principle involved here is that the center of power is identical with the center of truth. (In our case, the connection with Byzantine theocracy is direct: the highest secular authority is identical with the highest spiritual authority.) It is true of course that, all this aside, ideology no longer has any great influence on people, at least within our bloc (with the possible exception of Russia, where the serf mentality, with its blind, fatalistic respect for rulers and its automatic acceptance of all their claims, is still dominant and combined with a superpower patriotism which traditionally places the interests of empire higher than the interests of humanity). But this is not important, because ideology plays its role in our system very well (an issue to which I will return) precisely because it is what it is.
Fourth, the technique of exercising power in traditional dictatorships contains a necessary element of improvisation. The mechanisms for wielding power are for the most part not established firmly, and there is considerable room for accident and for the arbitrary and unregulated application of power. Socially, psychologically, and physically, conditions still exist for the expression of some form of opposition. In short, there are many seams on the surface which can split apart before the entire power structure has managed to stabilize. Our system, on the other hand, has been developing in the Soviet Union for over sixty years, and for approximately thirty years in Eastern Europe; moreover, several of its long-established structural features are derived from Czarist absolutism. In terms of the physical aspects of power, this has led to the creation of such intricate and well-developed mechanisms for the direct and indirect manipulation of the entire population that, as a physical power base, it represents something radically new. At the same time, let us not forget that the system is made significantly more effective by state ownership and central direction of all the means of productionThis gives the power structure an unprecedented and uncontrollable capacity to invest in itself (in the areas of the bureaucracy and the police, for example) and makes it easier for that structure, as the sole employer, to manipulate the day-to-day existence of all citizens.
Finally, if an atmosphere of revolutionary excitement, heroism, dedication, and boisterous violence on all sides characterizes classical dictatorships, then the last traces of such an atmosphere have vanished from the Soviet bloc. For, some time now this bloc has ceased to be a kind of enclave, isolated from the rest of the developed world and immune to processes occurring in it. To the contrary, the Soviet bloc is an integral part of that larger world, and it shares and shapes the world’s destiny. This means in concrete terms that the hierarchy of values existing in the developed countries of the West has, in essence, appeared in our society (the long period of co-existence with the West has only hastened this process)In other words, what we have here is simply another form of the consumer and industrial society, with all its concomitant social, intellectual, and psychological consequences. It is impossible to understand the nature of power in our system properly without taking this into account.
The profound difference between our system-in terms of the nature of power-and what we traditionally understand by dictatorship, a difference I hope is clear even from this quite superficial comparison, has caused me to search for some term appropriate for our system, purely for the pur poses of this essay. If I refer to it henceforth as a “posttotalitarian” system, I am fully aware that this is perhaps not the most precise term, but I am unable to think of a better one. I do not wish to imply by the prefix “poso” that the system is no longer totalitarian; on the contrary, I mean that it is totalitarian in a way fundamentally different from classical dictatorships, different from totalitarianism as we usually understand it.
The circumstances I have mentioned, however, form only a circle of conditional factors and a kind of phenomenal framework for the actual composition of power in the posttotalitarian system, several aspects of which I shall now attempt to identify.
The manager of a fruit-and-vegetable shop places in his window, among the onions and carrots, the slogan: “Workers of the world, unite!” Why does he do it? What is he trying to communicate to the world? Is he genuinely enthusiastic about the idea of unity among the workers of the world? Is his enthusiasm so great that he feels an irrepressible impulse to acquaint the public with his ideals? Has he really given more than a moment’s thought to how such a unification might occur and what it would mean?
I think it can safely be assumed that the overwhelming majority of shopkeepers never think about the slogans they put in their windows, nor do they use them to express their real opinions. That poster was delivered to our greengrocer from the enterprise headquarters along with the onions and carrots. He put them all into the window simply because it has been done that way for years, because everyone does it, and because that is the way it has to be. If he were to refuse, there could be trouble. He could be reproached for not having the proper decoration in his window; someone might even accuse him of disloyalty. He does it because these things must be done if one is to get along in life. It is one of the thousands of details that guarantee him a relatively tranquil life “in harmony with society,” as they say.
Obviously the greengrocer is indifferent to the semantic content of the slogan on exhibit; he does not put the slogan in his window from any personal desire to acquaint the public with the ideal it expresses. This, of course, does not mean that his action has no motive or significance at all, or that the slogan communicates nothing to anyone. The slogan is really a sign, and as such it contains a subliminal but very definite message. Verbally, it might be expressed this way: “I, the greengrocer XY, live here and I know what I must do. I behave in ihe manner expected of me. I can be depended upon and am beyond reproach. I am obedient and therefore I have the right to be left in peace.” This message, of course, has an addressee: it is directed above, to the greengrocer’s superior, and at the same time it is a shield that protects the greengrocer from potential informers. The slogan’s. real meaning, therefore, is rooted firmly in the greengrocer’s existence. It reflects his vital interests. But what are those vital interests?
Let us take note: if the greengrocer had been instructed to display the slogan “I am afraid and therefore unquestion~ ingly obedient;’ he would not be nearly as indifferent to its semantics, even though the statement would reflect the truth. The greengrocer would be embarrassed and ashamed to put such an unequivocal statement of his own degradation in the shop window, and quite naturally so, for he is a human being and thus has a sense of his own dignity. To overcome ihis complication, his expression of loyalty must take the form of a sign which, at least on its textual surface, indicates a level of disinterested conviction. It must allow the greengrocer to say, “What’s wrong with ihe workers of the world uniting?” Thus the sign helps the greengrocer to conceal from himself the low foundations of his obedience, at the same time concealing the low foundations of power. It hides them behind the facade of something high. And that something is ideology.
Ideology is a specious way of relating to the world. It offers human beings the illusion of an identity, of dignity, and of morality while making it easier for them to part with them. As the repository of something suprapersonal and objective, it enables people to deceive their conscience and conceal their true position and their inglorious modus vivendi, both from the world and from ihemselves. It is a very pragmatic but, at the same time, an apparently dignified way of legitimizing what is above, below, and on either side. It is directed toward people and toward God. It is a veil behind which human beings can hide their own fallen existence, their trivialization, and iheir adaptation to the status quo. It is an excuse that everyone can use, from the greengrocer, who conceals his fear of losing hisjob behind an alleged interest in the unification of the workers of the world, to the highest functionary, whose interest in staying iu power can be cloaked in phrases about service to the working class. The primary excusatory function of ideology, therefore, is to provide people, both as victims and pillars of the post-totalitarian system, with the illusion that the system is in harmony with the human order and the order of the universe.
The smaller a dictatorship and the less stratified by modernization the society under it, the more directly the will of the dictator can be exercised- In other words, the dictator can employ more or less naked discipline, avoiding the complex processes of relating to the world and of selfjustification which ideology involves. But the more complex the mechanisms of power become, the larger and more stratified the society they embrace, and the longer they have operated historically, the more individuals must be connected to them from outside, and the greater the importance attached to the ideological excuse. It acts as a kind of bridge between the regime and the people, across which the regime approaches the people and the people approach the regime. This explains why ideotogy plays such an importaut role in the post-totalitarian system: that complex machinery of units, hierarchies, transmission belts, and indirect instruments of manipulation which ensure in countless ways ihe integrity of the regime, leaving nothing to chance, would be quite simply unthinkable without ideology acting as its all-embracing excuse and as the excuse for each of its parts.
Between the aims of the post-totalitarian system and the aims of life there is a yawning abyss: while life, in its essence, moves toward plurality, diversity, independent self-constitution, aud self organization, in short, toward the fulfillment of its own freedom, the post-totalitarian system demands conformity, uniformity, and discipline. While life ever strives to create new and improbable structures, the posatotalitarian system contrives to force life into its most probable states. The aims of the system reveal its most essential characteristic to be introversion, a movement toward being ever more completely and unreservedly itself, which means that the radius of its influence is continually widening as well. This system serves people only to the extent necessary to ensure that people will serve it. Anything beyond this, that is to say, anything which leads people to overstep their predetermined roles is regarded by the system as an attack upon itsel^ And in this respect it is correct: every instance of such transgression is a genuine denial of the system. It can be said, therefore, that the inner aim of the post-totalitarian system is not mere preservation of power in the hands of a ruling clique, as appears to be the case at first sight. Rather, the social phenomenon of self-preservation is subordinated to something higher, to a kind of blind automatism which drives the system. No matter what position individuals hold in the hierarchy of power, they are not considered by the system to be worth anything in themselves, but only as things intended to fuel and serve this automatism. For this reason, an individual’s desire for power is admissible only in so far as its direction coincides with the direction of the automatism of the system.