Show MoreA defence in criminal law arises when conditions exist to negate specific elements of the crime: the actus reus when actions are involuntary, the mens rea when the defendant is unaware of the significance of their conduct, or both. These defences will mitigate or eliminate liability from a criminal offence. Insanity, automatism and diminished responsibility are examples of said defences. They each share characteristics but can be distinguished in their scope and application.
Insanity, automatism and diminished responsibility all play a significant role in cases where the defendant’s mind is abnormal while committing a crime. The definition of abnormal will be reviewed in relationship to each defence. In order to…show more content…
When there is a defect of cognitive awareness, it may operate to negate the actus reus and mens rea of the crime. Furthermore, the nature of the disease of mind is irrelevant provided that the mental faculties of reason, memory and understanding are impaired at the time of the offence. In a case where the defendant is aware of the nature and quality of his offence, insanity may still be a valid defence if he does not know his action was wrong. In R v Windle, the defendant demonstrated that his conduct was contrary to law, therefore illustrating his knowledge that his act was wrong. Automatism shares commonalities and differences with insanity in relation to its definition and when it will succeed as a defence.
Automatism, as defined by Lord Denning in Bratty v A-G for Northern Ireland, is an involuntary act which means “an act which is done by the muscles without any control by the mind such as spasm, a reflex or a convulsion; or an act done by a person who is not conscious of what he is doing, such as an act done whilst suffering from concussion, or whilst sleepwalking.” Automatism can have a physical or mental cause and the defence can result from a lack of actus reus and/or mens rea, but can also be a valid defence for crimes of negligence and strict liability. Effectively, automatism has three requirements: complete loss of control,
The Power of the Powerless
To the memory of Jan Patocka
"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 1980—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 specter 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 production. This 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 purposes of this essay. If I refer to it henceforth as a "post-totalitarian" 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 "post" 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 post-totalitarian 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 the 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 unquestioningly 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 this 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 the 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 themselves. 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 their adaptation to the status quo. It is an excuse that everyone can use, from the greengrocer, who conceals his fear of losing his job behind an alleged interest in the unification of the workers of the world, to the highest functionary, whose interest in staying in 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 self-justification 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 ideology plays such an important role in the post-totalitarian system: that complex machinery of units, hierarchies, transmission belts, and indirect instruments of manipulation which ensure in countless ways the 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, and 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 post-totalitarian 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 itself. 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.
Ideology, in creating a bridge of excuses between the system and the individual, spans the abyss between the aims of the system and the aims of life. It pretends that the requirements of the system derive from the requirements of life. It is a world of appearances trying to pass for reality.
The post-totalitarian system touches people at every step, but it does so with its ideological gloves on. This is why life in the system is so thoroughly permeated with hypocrisy and lies: government by bureaucracy is called popular government; the working class is enslaved in the name of the working class; the complete degradation of the individual is presented as his ultimate liberation; depriving people of information is called making it available; the use of power to manipulate is called the public control of power, and the arbitrary abuse of power is called observing the legal code; the repression of culture is called its development; the expansion of imperial influence is presented as support for the oppressed; the lack of free expression becomes the highest form of freedom; farcical elections become the highest form of democracy; banning independent thought becomes the most scientific of world views; military occupation becomes fraternal assistance. Because the regime is captive to its own lies, it must falsify everything. It falsifies the past. It falsifies the present, and it falsifies the future. It falsifies statistics. It pretends not to possess an omnipotent and unprincipled police apparatus. It pretends to respect human rights. It pretends to persecute no one. It pretends to fear nothing. It pretends to pretend nothing.
Individuals need not believe all these mystifications, but they must behave as though they did, or they must at least tolerate them in silence, or get along well with those who work with them. For this reason, however, they must live within a lie. They need not accept the lie. It is enough for them to have accepted their life with it and in it. For by this very fact, individuals confirm the system, fulfill the system, make the system, are the system.
WE HAVE seen that the real meaning of the greengrocer's slogan has nothing to do with what the text of the slogan actually says. Even so, this real meaning is quite clear and generally comprehensible because the code is so familiar: the greengrocer declares his loyalty (and he can do no other if his declaration is to be accepted) in the only way the regime is capable of hearing; that is, by accepting the prescribed ritual, by accepting appearances as reality, by accepting the given rules of the game. In doing so, however, he has himself become a player in the game, thus making it possible for the game to go on, for it to exist in the first place.
If ideology was originally a bridge between the system and the individual as an individual, then the moment he steps on to this bridge it becomes at the same time a bridge between the system and the individual as a component of the system. That is, if ideology originally facilitated (by acting outwardly) the constitution of power by serving as a psychological excuse, then from the moment that excuse is accepted, it constitutes power inwardly, becoming an active component of that power. It begins to function as the principal instrument of ritual communication within the system of power.
The whole power structure (and we have already discussed its physical articulation) could not exist at all if there were not a certain metaphysical order binding all its components together, interconnecting them and subordinating them to a uniform method of accountability, supplying the combined operation of all these components with rules of the game, that is, with certain regulations, limitations, and legalities. This metaphysical order is fundamental to, and standard throughout, the entire power structure; it integrates its communication system and makes possible the internal exchange and transfer of information and instructions. It is rather like a collection of traffic signals and directional signs, giving the process shape and structure. This metaphysical order guarantees the inner coherence of the totalitarian power structure. It is the glue holding it together, its binding principle, the instrument of its discipline. Without this glue the structure as a totalitarian structure would vanish; it would disintegrate into individual atoms chaotically colliding with one another in their unregulated particular interests and inclinations. The entire pyramid of totalitarian power, deprived of the element that binds it together, would collapse in upon itself, as it were, in a kind of material implosion.
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.
If ideology is the principal guarantee of the inner consistency of power, it becomes at the same time an increasingly important guarantee of its continuity. Whereas succession to power in classical dictatorship is always a rather complicated affair (the pretenders having nothing to give their claims reasonable legitimacy, thereby forcing them always to resort to confrontations of naked power), in the post-totalitarian system power is passed on from person to person, from clique to clique, and from generation to generation in an essentially more regular fashion. In the selection of pretenders, a new "king-maker" takes part: it is ritual legitimation, the ability to rely on ritual, to fulfill it and use it, to allow oneself, as it were, to be borne aloft by it. Naturally, power struggles exist in the post-totalitarian system as well, and most of them are far more brutal than in an open society, for the struggle is not open, regulated by democratic rules, and subject to public control, but hidden behind the scenes. (It is difficult to recall a single instance in which the First Secretary of a ruling Communist Party has been replaced without the various military and security forces being placed at least on alert.) This struggle, however, can never (as it can in classical dictatorships) threaten the very essence of the system and its continuity. At most it will shake up the power structure, which will recover quickly precisely because the binding substance—ideology—remains undisturbed. No matter who is replaced by whom, succession is only possible against the backdrop and within the framework of a common ritual. It can never take place by denying that ritual.
Because of this dictatorship of the ritual, however, power becomes clearly anonymous. Individuals are almost dissolved in the ritual. They allow themselves to be swept along by it and frequently it seems as though ritual alone carries people from obscurity into the light of power. Is it not characteristic of the post-totalitarian system that, on all levels of the power hierarchy, individuals are increasingly being pushed aside by faceless people, puppets, those uniformed flunkeys of the rituals and routines of power?
The automatic operation of a power structure thus dehumanized and made anonymous is a feature of the fundamental automatism of this system. It would seem that it is precisely the diktats of this automatism which select people lacking individual will for the power structure, that it is precisely the diktat of the empty phrase which summons to power people who use empty phrases as the best guarantee that the automatism of the post-totalitarian system will continue.
Western Sovietologists often exaggerate the role of individuals in the post-totalitarian system and overlook the fact that the ruling figures, despite the immense power they possess through the centralized structure of power, are often no more than blind executors of the system's own internal laws-laws they themselves never can, and never do, reflect upon. In any case, experience has taught us again and again that this automatism is far more powerful than the will of any individual; and should someone possess a more independent will, he must conceal it behind a ritually anonymous mask in order to have an opportunity to enter the power hierarchy at all. And when the individual finally gains a place there and tries to make his will felt within it, that automatism, with its enormous inertia, will triumph sooner or later, and either the individual will be ejected by the power structure like a foreign organism, or he will be compelled to resign his individuality gradually, once again blending with the automatism and becoming its servant, almost indistinguishable from those who preceded him and those who will follow. (Let us recall, for instance, the development of Husák or Gomukka.) The necessity of continually hiding behind and relating to ritual means that even the more enlightened members of the power structure are often obsessed with ideology. They are never able to plunge straight to the bottom of naked reality, and they always confuse it, in the final analysis, with ideological pseudo-reality. (In my opinion, one of the reasons the Dubček leadership lost control of the situation in 1968 was precisely because, in extreme situations and in final questions, its members were never capable of extricating themselves completely from the world of appearances.)
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.
WHY IN FACT did our greengrocer have to put his loyalty on display in the shop window? Had he not already displayed it sufficiently in various internal or semipublic ways? At trade union meetings, after all, he had always voted as he should. He had always taken part in various competitions. He voted in elections like a good citizen. He had even signed the "anti-Charter." Why, on top of all that, should he have to declare his loyalty publicly? After all, the people who walk past his window will certainly not stop to read that, in the greengrocer's opinion, the workers of the world ought to unite. The fact of the matter is, they don't read the slogan at all, and it can be fairly assumed they don't even see it. If you were to ask a woman who had stopped in front of his shop what she saw in the window, she could certainly tell whether or not they had tomatoes today, but it is highly unlikely that she noticed the slogan at all, let alone what it said.
It seems senseless to require the greengrocer to declare his loyalty publicly. But it makes sense nevertheless. People ignore his slogan, but they do so because such slogans are also found in other shop windows, on lampposts, bulletin boards, in apartment windows, and on buildings; they are everywhere, in fact. They form part of the panorama of everyday life. Of course, while they ignore the details, people are very aware of that panorama as a whole. And what else is the greengrocer's slogan but a small component in that huge backdrop to daily life?
The greengrocer had to put the slogan in his window, therefore, not in the hope that someone might read it or be persuaded by it, but to contribute, along with thousands of other slogans, to the panorama that everyone is very much aware of. This panorama, of course, has a subliminal meaning as well: it reminds people where they are living and what is expected of them. It tells them what everyone else is doing, and indicates to them what they must do as well, if they don't want to be excluded, to fall into isolation, alienate themselves from society, break the rules of the game, and risk the loss of their peace and tranquility and security.
The woman who ignored the greengrocer's slogan may well have hung a similar slogan just an hour before in the corridor of the office where she works. She did it more or less without thinking, just as our greengrocer did, and she could do so precisely because she was doing it against the background of the general panorama and with some awareness of it, that is, against the background of the panorama of which the greengrocer's shop window forms a part. When the greengrocer visits her office, he will not notice her slogan either, just as she failed to notice his. Nevertheless, their slogans are mutually dependent: both were displayed with some awareness of the general panorama and, we might say, under its diktat. Both, however, assist in the creation of that panorama, and therefore they assist in the creation of that diktat as well. The greengrocer and the office worker have both adapted to the conditions in which they live, but in doing so, they help to create those conditions. They do what is done, what is to be done, what must be done, but at the same time—by that very token—they confirm that it must be done in fact. They conform to a particular requirement and in so doing they themselves perpetuate that requirement. Metaphysically speaking, without the greengrocer's slogan the office worker's slogan could not exist, and vice versa. Each proposes to the other that something be repeated and each accepts the other's proposal. Their mutual indifference to each other's slogans is only an illusion: in reality, by exhibiting their slogans, each compels the other to accept the rules of the game and to confirm thereby the power that requires the slogans in the first place. Quite simply, each helps the other to be obedient. Both are objects in a system of control, but at the same time they are its subjects as well. They are both victims of the system and its instruments.
If an entire district town is plastered with slogans that no one reads, it is on the one hand a message from the district secretary to the regional secretary, but it is also something more: a small example of the principle of social auto-totality at work. Part of the essence of the post-totalitarian system is that it draws everyone into its sphere of power, not so they may realize themselves as human beings, but so they may surrender their human identity in favor of the identity of the system, that is, so they may become agents of the system's general automatism and servants of its self-determined goals, so they may participate in the common responsibility for it, so they may be pulled into and ensnared by it, like Faust by Mephistopheles. More than this: so they may create through their involvement a general norm and, thus, bring pressure to bear on their fellow citizens. And further: so they may learn to be comfortable with their involvement, to identify with it as though it were something natural and inevitable and, ultimately, so they may—with no external urging—come to treat any non-involvement as an abnormality, as arrogance, as an attack on themselves, as a form of dropping out of society. By pulling everyone into its power structure, the post-totalitarian system makes everyone an instrument of a mutual totality, the auto-totality of society.
Everyone, however, is in fact involved and enslaved, not only the greengrocers but also the prime ministers. Differing positions in the hierarchy merely establish differing degrees of involvement: the greengrocer is involved only to a minor extent, but he also has very little power. The prime minister, naturally, has greater power, but in return he is far more deeply involved. Both, however, are unfree, each merely in a somewhat different way. The real accomplice in this involvement, therefore, is not another person, but the system itself.
Position in the power hierarchy determines the degree of responsibility and guilt, but it gives no one unlimited responsibility and guilt, nor does it completely absolve anyone. Thus the conflict between the aims of life and the aims of the system is not a conflict between two socially defined and separate communities; and only a very generalized view (and even that only approximative) permits us to divide society into the rulers and the ruled. Here, by the way, is one of the most important differences between the post-totalitarian system and classical dictatorships, in which this line of conflict can still be drawn according to social class. In the post-totalitarian system, this line runs de facto through each person, for everyone in his own way is both a victim and a supporter of the system. What we understand by the system is not, therefore, a social order imposed by one group upon another, but rather something which permeates the entire society and is a factor in shaping it, something which may seem impossible to grasp or define (for it is in the nature of a mere principle), but which is expressed by the entire society as an important feature of its life.
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.
The essential aims of life are present naturally in every person. In everyone there is some longing for humanity's rightful dignity, for moral integrity, for free expression of being and a sense of transcendence over the world of existence. Yet, at the same time, each person is capable, to a greater or lesser degree, of coming to terms with living within the lie. Each person somehow succumbs to a profane trivialization of his inherent humanity, and to utilitarianism. In everyone there is some willingness to merge with the anonymous crowd and to flow comfortably along with it down the river of pseudolife. This is much more than a simple conflict between two identities. It is something far worse: it is a challenge to the very notion of identity itself.
In highly simplified terms, it could be said that the post-totalitarian system has been built on foundations laid by the historical encounter between dictatorship and the consumer society. Is it not true that the far-reaching adaptability to living a lie and the effortless spread of social auto-totality have some connection with the general unwillingness of consumption-oriented people to sacrifice some material certainties for the sake of their own spiritual and moral integrity? With their willingness to surrender higher values when faced with the trivializing temptations of modern civilization? With their vulnerability to the attractions of mass indifference? And in the end, is not the grayness and the emptiness of life in the post-totalitarian system only an inflated caricature of modern life in general? And do we not in fact stand (although in the external measures of civilization, we are far behind) as a kind of warning to the West, revealing to its own latent tendencies?
LET US now imagine that one day something in our greengrocer snaps and he stops putting up the slogans merely to ingratiate himself. He stops voting in elections he knows are a farce. He begins to say what he really thinks at political meetings. And he even finds the strength in himself to express solidarity with those whom his conscience commands him to support. In this revolt the greengrocer steps out of living within the lie. He rejects the ritual and breaks the rules of the game. He discovers once more his suppressed identity and dignity. He gives his freedom a concrete significance. His revolt is an attempt to live within the truth.
The bill is not long in coming. He will be relieved of his post as manager of the shop and transferred to the warehouse. His pay will be reduced. His hopes for a holiday in Bulgaria will evaporate. His children's access to higher education will be threatened. His superiors will harass him and his fellow workers will wonder about him. Most of those who apply these sanctions, however, will not do so from any authentic inner conviction but simply under pressure from conditions, the same conditions that once pressured the greengrocer to display the official slogans. They will persecute the greengrocer either because it is expected of them, or to demonstrate their loyalty, or simply as part of the general panorama, to which belongs an awareness that this is how situations of this sort are dealt with, that this, in fact, is how things are always done, particularly if one is not to become suspect oneself. The executors, therefore, behave essentially like everyone else, to a greater or lesser degree: as components of the post-totalitarian system, as agents of its automatism, as petty instruments of the social auto-totality.
Thus the power structure, through the agency of those who carry out the sanctions, those anonymous components of the system, will spew the greengrocer from its mouth. The system, through its alienating presence ín people, will punish him for his rebellion. It must do so because the logic of its automatism and self-defense dictate it. The greengrocer has not committed a simple, individual offense, isolated in its own uniqueness, but something incomparably more serious. By breaking the rules of the game, he has disrupted the game as such. He has exposed it as a mere game. He has shattered the world of appearances, the fundamental pillar of the system. He has upset the power structure by tearing apart what holds it together. He has demonstrated that living a lie is living a lie. He has broken through the exalted facade of the system and exposed the real, base foundations of power. He has said that the emperor is naked. And because the emperor is in fact naked, something extremely dangerous has happened: by his action, the greengrocer has addressed the world. He has enabled everyone to peer behind the curtain. He has shown everyone that it is possible to live within the truth. Living within the lie can constitute the system only if it is universal. The principle must embrace and permeate everything. There are no terms whatsoever on which it can co-exist with living within the truth, and therefore everyone who steps out of line denies it in principle and threatens it in its entirety.
This is understandable: as long as appearance is not confronted with reality, it does not seem to be appearance. As long as living a lie is not confronted with living the truth, the perspective needed to expose its mendacity is lacking. As soon as the alternative appears, however, it threatens the very existence of appearance and living a lie in terms of what they are, both their essence and their all-inclusiveness. And at the same time, it is utterly unimportant how large a space this alternative occupies: its power does not consist in its physical attributes but in the light it casts on those pillars of the system and on its unstable foundations. After all, the greengrocer was a threat to the system not because of any physical or actual power he had, but because his action went beyond itself, because it illuminated its surroundings and, of course, because of the incalculable consequences of that illumination. 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.
In the post-totalitarian system, truth in the widest sense of the word has a very special import, one unknown in other contexts. In this system, truth plays a far greater (and, above all, a far different) role as a factor of power, or as an outright political force. How does the power of truth operate? How does truth as a factor of power work? How can its power-as power-be realized?
INDIVIDUALS can be alienated from themselves only because there is something in them to alienate. The terrain of this violation is their authentic existence. Living the truth is thus woven directly into the texture of living a lie. It is the repressed alternative, the authentic aim to which living a lie is an inauthentic response. Only against this background does living a lie make any sense: it exists because of that background. In its excusatory, chimerical rootedness in the human order, it is a response to nothing other than the human predisposition to truth. Under the orderly surface of the life of lies, therefore, there slumbers the hidden sphere of life in its real aims, of its hidden openness to truth.
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.
When I speak of living within the truth, I naturally do not have in mind only products of conceptual thought, such as a protest or a letter written by a group of intellectuals. It can be any means by which a person or a group revolts against manipulation: anything from a letter by intellectuals to a workers' strike, from a rock concert to a student demonstration, from refusing to vote in the farcical elections to making an open speech at some official congress, or even a hunger strike, for instance. If the suppression of the aims of life is a complex process, and if it is based on the multifaceted manipulation of all expressions of life, then, by the same token, every free expression of life indirectly threatens the post-totalitarian system politically, including forms of expression to which, in other social systems, no one would attribute any potential political significance, not to mention explosive power.
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.
I think the present also can be better understood in the light of this experience. The confrontation between a thousand Chartists and the post-totalitarian system would appear to be politically hopeless. This is true, of course, if we look at it through the traditional lens of the open political system, in which, quite naturally, every political force is measured chiefly in terms of the positions it holds on the level of real power. Given that perspective, a mini-party like the Charter would certainly not stand a chance. If, however, this confrontation is seen against the background of what we know about power in the post-totalitarian system, it appears in a fundamentally different light. For the time being, it is impossible to say with any precision what impact the appearance of Charter 77, its existence, and its work has had in the hidden sphere, and how the Charter's attempt to rekindle civic self-awareness and confidence is regarded there. Whether, when, and how this investment will eventually produce dividends in the form of specific political changes is even less possible to predict. But that, of course, is all part of living within the truth. As an existential solution, it takes individuals back to the solid ground of their own identity; as politics, it throws them into a game of chance where the stakes are all or nothing. For this reason it is undertaken only by those for whom the former is worth risking the latter, or who have come to the conclusion that there is no other way to conduct real politics in Czechoslovakia today. Which, by the way, is the same thing: this conclusion can be reached only by someone who is unwilling to sacrifice his own human identity to politics, or rather, who does not believe in a politics that requires such a sacrifice.
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.
THE PROFOUND crisis of human identity brought on by living within a lie, a crisis which in turn makes such a life possible, certainly possesses a moral dimension as well; it appears, among other things, as a deep moral crisis in society. A person who has been seduced by the consumer value system, whose identity is dissolved in an amalgam of the accouterments of mass civilization, and who has no roots in the order of being, no sense of responsibility for anything higher than his own personal survival, is a demoralized person. The system depends on this demoralization, deepens it, is in fact a projection of it into society.
Living within the truth, as humanity's revolt against an enforced position, is, on the contrary, an attempt to regain control over one's own sense of responsibility. In other words, it is clearly a moral act, not only because one must pay so dearly for it, but principally because it is not self-serving: the risk may bring rewards in the form of a general amelioration in the situation, or it may not. In this regard, as I stated previously, it is an all-or-nothing gamble, and it is difficult to imagine a reasonable person embarking on such a course merely because he reckons that sacrifice today will bring rewards tomorrow, be it only in the form of general gratitude. (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.)