All posts by yni957

Team of Rivals

Doris Goodwin’s ‘Team of Rivals’ was the first presidential biography I ever read.  Biography was not among my favorite genres, but I did have a desire to learn more about Abraham Lincoln.  He is widely considered the greatest American president. In fact, to many even that title seems an understatement.  Tolstoy once wrote that Lincoln ‘was bigger than his country—bigger than all the Presidents together…and as a great character he will live as long as the world lives’.    Like most people, I’ve heard about the highlights of Lincoln’s remarkable life as I passed through grade schools: the self-made lawyer and politician haunted by family tragedies, the epic struggle to end slavery while forging a truly United States of America, and the ultimate sacrifice for the cause at the zenith of his career.  Still, I am not quite sure how to make Tolstoy’s melodramatic assessment. The book partially solved the puzzle for me.

Goodwin’s narrative is constructed around, and often from the perspectives of, Lincoln’s key cabinet members who were once his rivals:  Salmon Chase (Secretary of Treasure), Henry Seward (Secretary of State), Edward Bates (Attorney General), and Edwin Stanton (Secretary of War). The first three men ran against him for the nomination of the Republican party, and Stanton, when serving with Lincoln as co-counsel in a lawsuit, not only questioned the then country lawyer’s legal expertise but openly ridiculed him as ‘a gorilla and an imbecile’.  As Goodwin follows Lincoln’s footsteps from the humble origins to the poignant end, she recounts many stories of these rivals, often quoting extensively from their public speeches and private letters.  This helps unlock the mystery in Lincoln’s persona that ‘led countless men, even old adversaries, to feel bound to him in admiration’.

Lincoln ‘possessed extraordinary empathy’ and a ‘melancholy temperament’, wrote Goodwin.  These qualities might be the result of the tragic losses he endured from an early age – at 26, he had already lost three women dearest to his life: his mother, his only sister, and his first love. Empathy can be a curse ‘in a world environed by cruelty and injustice’ because, as Goodwin noted, the fellow-feeling for the misery of others inevitably causes pain and suffering.  It also sometimes made him appear weak and lacking the will to do what must be done in difficult situations. His attorney general confided to a friend that Lincoln, despite ‘very near being a perfect man’, was ‘unfit to be entrusted with the pardoning power’, because he too easily succumbed to touching stories and women’s tears. Yet, empathy was a powerful tool for Lincoln to gain the respect, trust, and devotion of others through understanding their motives and desires.  It also rendered him a remarkably magnanimous man, demonstrating an incredible capacity to forgive even those who had opposed, wronged, and betrayed him.

Goodwin also lauded Lincoln’s `literary genius’ and his mastery of rhetorical power.   His ability to explain intricate concepts through storytelling, coupled with a sharp sense of humor, was unparalleled among his contemporaries.  In the strictest sense of the word, Lincoln might not be as great an orator as Seward, who could deliver stirring, completely improvised speeches to a crowd for hours.  Lincoln was much more careful with his words, but he perfected ‘a language of enduring clarity and beauty’ that made him an extremely persuasive and effective communicator.

Lincoln believed in ‘the better angels of our nature’, a term coined in his first inaugural address.  He once told a friend that he preferred to believe in the possibility of human perfection, when asked about whether George Washington was a perfect man.  His entire life may be seen as the pursuit of becoming that perfect, inspiring human being he envisioned. It is the unwavering conviction to ‘engrave his name in history’, Goodwin noted, that underscores Lincoln’s greatness, carrying him through the dreary childhood, the political failures, the personal tragedies, the disintegration of his beloved Union, as well as the devastating military defeats in the early phase of the Civil War.

But Lincoln was also a realist.  Unlike Chase and Seward, who had advocated for radical abolitionist policies on moral grounds, Lincoln carefully charted a moderate path confined within the limits set by public opinion on slavery. His famous Emancipation Proclamation was timed and configured to be perceived by the people of the North as an indispensable instrument to win the war and preserve the Union, rather than as a necessary step to end slavery once and for all.   Goodwin sees nothing wrong for politicians to go along with public opinion, even if that means they must slightly bend their moral compass.  If anything, that expediency made Lincoln ‘the most truly progressive man of the age’, because he neither ‘wasted strength in premature struggles’ with the public nor waited to be ‘dragged by the forces of events’.  To be sure, Lincoln did owe much of his success to his exceptional ability to read and follow the will of the people.  But that does not make him ‘the most truly progressive’.  Based on what I gathered from the book, Lincoln is more of a pragmatist, a shrewd politician, maybe even a ‘political genius’ (As Goodwin likes to call him). Yet, he does not seem to have the burning conviction to reshape the world in the image of his ideology that many a great man of history possesses.  That difference, I think, is precisely what sets Lincoln apart from (or above, depending on how much you love him) that league of great men.

I was always curious about Lincoln’s view on race.  According to the book, Lincoln was against slavery but did not believe in racial equality.  He said the physical difference between whites and blacks would ‘probably forever forbid their living together upon the footing of perfect equality.’  As a result, he was not in favor “of making voters or jurors of n****, nor of qualifying them to hold office, nor to intermarry.”  Nor did he just say these things to get the white people’s votes.  Lincoln was a passionate advocate for colonization, the idea of aiding freed slaves to establish a colony in Central America. To sell this proposal to the country, he even convened a conference of freed slaves at the White House, where he said in his opening remarks, “you and we are different races. We have between us a broader difference than exists between almost any other two races.”  By today’s standard, therefore, Lincoln is a textbook racist. Should harboring racism in 19th century diminish his greatness?  I imagine Tolstoy and Goodwin would dismiss such a thought as quintessential presentism. But many from today’s political left would probably disagree with them.

‘Team of Rivals’ is a thick book of nearly 1000 pages, of which about a quarter were notes.  It was meticulously researched and elegantly written, though at times, the lengthy quotes and extravagant details about the lives of the people in Lincoln’s outer orbit feel a bit excessive. If you don’t want to read the whole book, do not miss the last chapter, in which Goodwin describes how Lincoln met his destiny.  I finished that chapter on an airplane – I still remember having tears in my eyes that I had to hastily cover when a flight attendant asked me if I needed a drink. That rarely happened to me.   I shall end with a quote taken from the very end of the book.

“With his death, Abraham Lincoln had come to seem the embodiment of his own words—’With malice toward none; with charity for all’. The deathless name he sought from the start had grown far beyond Sangamon County and Illinois, reached across the truly United States, until his legacy, as Stanton had surmised at the moment of his death, belonged not only to America but to the ages—to be revered and sung throughout all time.”

晚清七十年

唐德刚在抗战期间就读国立中央大学,师从郭廷以,后来负笈北美,跟胡适有师生之谊。他在哥伦比亚大学取得博士学位之后,先后执教于哥大和纽约城大。《晚清70年》当是他90年代初从城大荣退之后,把诸多旧作整理编纂而成的一部作品。也许因为这个原因,全书乍一看像是一本按照主题时序编排的史学论文集。最明显的证据是,几乎每一章结束处均有“原文发表于某某杂志某年某期”的声明 ––大概是为了解决版权问题。这样松散的结构,草蛇灰线、伏脉千里且不要提,不同章节中,文字差相仿佛的地方就不少,类似的史料、观点重复出现也常见到。另外老先生又喜发议论,臧否人物,尤好把国共两党几位著名领袖,与晚清诸公如曾左李张,袁孙康梁等,拉在一起横量纵比,嬉笑怒骂。其中虽不乏真知灼见,但是有时也给人牵强罗嗦,乃至夹带私货之感。能坚持看完,我觉得唐先生的书胜在三点。其一,民国学究腔的白话文,配上唐氏风格的插科打诨,有种独特的阅读体验。其二,作者治史数十年,教学相长,不论故实轶事还是研究心得,都信手拈来,信息量大。其三,像我这样对这段历史的了解几乎完全停留在中学教材的人,会发现它视角新颖,某些方面甚至颠覆认知。

全书讲述晚清从鸦片战争(1840年)打开国门,到辛亥革命(1911年)之后土崩瓦解,差不多正好70年,故名。叙事以这70年间发生的五个重大事件为线索,即太平天国(1851-1864)、甲午海战(1894)、戊戌变法(1898),庚子拳乱(1900)以及辛亥革命(1911)。大体上,唐先生把每个事件都视为千年帝制下,中国社会变革转型的一次努力。这些努力为什么都失败了呢?下文简述之。

太平天国加上捻军,前后动荡20年,生灵涂炭,伤亡数以千万,影响波及整个富庶的南中国,但终于惨淡收场,反给满清打出个名臣辈出的同治中兴。关于败因,唐先生的分析有两点给我留下深刻印象。一是洪杨定都南京之后,因贪图享乐而未能及时倾全力北伐,以致坐失良机。二是太平军因为强力禁烟开罪英国人,又因为与天主教不合得罪法国人,以致将二强推入清廷怀抱,陷入腹背受敌的困境。

甲午惨败的直接原因,总结起来无外两点。其一,高层腐败,挪用军费导致北洋海军金玉其外,而在关键装备指标(如舰艇航速,舰炮射速)上落后于日本海军。其二,以光绪为首的主战派头脑发热,误判敌我军事实力,没有采取李鸿章“避战斡旋”的正确建议,结果在错误的时间,错误的地点打了一场错误的战争。至于主流文献所记北洋海军将士惧敌畏战,乃至临阵逃脱诸事,唐先生认为未可深信。因这些“史实”的来源均为当时参战英国水兵的回忆录,而据他考证,这些在清军中服役的英国水兵,本就是市井无赖,因不愿受中国将领(如刘步蟾)节制,心怀怨望,因此在回忆录中故意抹黑以泄私愤。日军海军司令伊東祐亨写给水师提督丁汝昌的劝降信中提出的原因则更深一层,说到了因循守旧,不思变通的症结,更专门提到了科举取士这一核心体制的弊端,

至清国而有今日之败者,固非君相一己之罪,盖其墨守常经不谙通变之所由致也。夫取士必由考试,考试必由文艺,于是乎执政之大臣,当道之达宪,必由文艺以相升擢;文艺乃为显荣之阶梯耳,岂足济夫实效?

推动戊戌变法的主角是康有为,而失败的主因也是他,所谓成也萧何,败也萧何。唐先生对康有为的总体评价不高,我用十六字评语来总结他的观感,大抵是狂妄自大,眼高手低,偏激操切,刚愎自用。康有为不仅要求孙中山执“门生礼”,拒绝李鸿章加入他的”强学会“,甚至膨胀到自称“长素” –– 自诩比孔圣人还牛(孔子为“素王”)。唐先生认为康南海对西学所知甚浅自不待言,于汉学虽然功力深厚,但治”今文学“走火入魔,要搞“通经致用,以死硬的教条主义来排斥一切”,造成维新派失道寡助,关键时刻孤立无援。康不是一个好的理论家,偏偏又“強不知以为知,适足以为害”。他更不是一个好的政治家,没有敏锐的政治直觉,不知道社会变革自有其规律,并非总能自上而下,一蹴而就。满清权贵荣禄劝他变法需循序渐进,他的回答居然是“杀几个一品大员,法就可以变了”,其情商之低下,见事之不明,令人瞠目。总而言之,戊戌变法有康有为这么一位“狗头军师”(唐先生语),焉得不败?

对于庚子拳乱的由来,唐先生基本上是各打五十大板:教会借助西方列强的武力在中国享有“横着走”的特权固然是主因,义和团的愚昧无知和滥用暴力也脱不了干系。当然,拳乱升级到八国联军侵华和天文数字的庚子赔款,慈禧老太太的无厘头外交当难辞其咎。她听信谣言,误以为列强要扶植光绪,逼她退位,竟脑子一热对八国同时宣战。她老人家歇斯底里的一场豪赌,自己输个精光被迫跑路不算,还带累全国人民每人赔了一两白银。能保住没再割地求和,大概是多亏了风烛残年的李中堂跑出来收拾残局。唐先生引费正清(John King Fairbank)的博士导师莫尔斯(H.B. Morse) 评价慈禧在拳乱中的表现道,

The empress dowager had long avoided committing herself to any position from which she could not withdraw, but now the states man was lost in the woman.

这句政治明显不正确的俏皮话,似乎是暗示罪魁祸首是女人当政,所以头发长见识短。现在看来,可怕的不是当政人的性别,而是他/她在帝制下至高无上的权力,即使情绪完全失控之时,依然不受任何制约。

最后,辛亥革命虽然推翻了帝制,名义上建立了“天下为公“的共和政体,但“革命尚未成功,同志仍需努力”。福山说现代政体的三要素是国家(state),法制(rule of law)及民主(accountable government)。 从民国初期的情况看,军阀林立,国家孱弱,政令不行,法制自然无从说起,维持民选总统的制度无非是装个幌子罢了。孙中山和袁世凯大概都很快意识到,没有强大稳定的国家做后盾,法制和民主终究是镜花水月,因此后来都在为这个目标努力。唐先生认为袁世凯跟曹操是一类人,“治世之能臣,乱世之枭雄”也。他复辟帝制并非完全受人蛊惑,迷恋帝位,而是想走君主立宪的强国之路。孙中山自民国二年改组国民党之时,思想上即与列宁契合。后来俄国革命成功之后,“面壁九年,乃大彻大悟”, 发愿以俄为师,也是顺理成章,水到渠成。纵观全书,唐先生对国父的“历史局限性”颇多负面评价。其中我完全不了解的,是孙中山1917因反对中国参加一战而获德国政府秘密献金200万银元一事。这笔钱后来成为孙南下广州,组织非常国会和中华民国军政府的经济基础,而孙的割据自立,造就了南北两个实力派政府对立,南辕北辙,事实上进一步削弱了国家。唐先生所以感叹,“国家分裂之局面,迄今未已,孙氏实是始作俑者。”

唐先生秉持唯物史观,认为人类社会历史按照封建-帝制-民治三部曲循序演进。虽然他这个“历史三峡论”对人类社会演化路径和终点的预测跟马克思颇有不同,但本质上,都主张历史发展受客观规律支配,不以人的主观意志为转移。根据这个理论,中国历史上有过两次大的转型。第一次从封建到帝制,始于公元前四世纪中叶的“商鞅变法”,终于公元前二世纪末由汉武帝实施的盐铁专卖,历时约250年。第二次从帝制到民治,始于道光年间的鸦片战争,到今日还未完成,仍处于转型之中。但前后也不过180年,虽没修成正果,但也不足为奇。有了这个理论,中国在晚清70年的坎坷经历可以简单优雅地解释为:既不是文化不行,也不是领导不行,只是天时不行。天时到了,自然瓜熟蒂落,修成正果。 唐先生对历史长河必将人类社会推入民治信心满满,并明确预言中国将于邓小平执政结束40年后(也就是2030年左右)完成第二次转型,到那时,“中国政治社会,甚至整个文化大转型,或可初步完成。--历史走出“三峡”,海晏河清可待。”

唐先生对中华传统文化有强烈认同感,对中国的前途充满期待。至少在这一点上,他和钱穆很相似。他认为 “中西文明之对比,非中不如西也。只是中国文明现代化(即第二次转型)之起步,晚於西方文明三百年而已”。不光传统的“道德标准、价值观念、孔孟之道、四维八德”可以现代化,甚至中医里的“草药、气功和针灸”也可以现代化。只有当“东西两个‘固有文明’,都完成了各自现代化的程序,到那时两个‘现代文明’,截长补短,才能言其高下。”。唐先生热烈地赞美东方政治哲学,认为孔孟之道以伦理学为基础,提倡 “敬天法祖,要统治者知天命、行天理、做天子”,而表现在外交上,则主张和平共处,有教无类,一言以蔽之,“仁义而已矣。何必曰利!”。他也痛斥西方政客,“最大的特点,就是不要脸。绝口不谈仁义,公开的唯利是图。”

至于中国为什么在现代化进程中落后,唐先生的理论是“社会形态固化说”。我的理解,就是第一次大转型做得太完美,超前太多,以至于强国弱民的秦制绵延千年,稳如泰山,最终成为社会生产力发展的桎梏。但是,一旦二次转型完成,则我天朝上国,“ 九合诸侯,一匡天下”,指日可待矣。他写道,

十二亿聪慧勤劳的人民,以和平安定的文明大族崛起世界,在联合国中,挂挂头牌、坐坐庄,这又算什么稀罕呢?。。。。受了几百年的鸟气,現在起来伸伸腰、露露脸,一洗当年满面羞,又是什么侵略性的民族主义呢?舜犹人也。有为者亦若是!何況是一个有极光荣历史的伟大民族呢?

一个学贯中西并在美国生活了半个多世纪的资深历史学家,以70岁的高龄,不光对历史的走向保持乐观主义和理想主义,还对地缘政治做民族感情色彩如此强烈的解读,实在有些费解。晚辈不才,忍不住要借莫尔斯对慈禧的评价开句玩笑,how did a renowned historian commit himself to a position from which he could not easily withdraw?

唐先生在抗战时期(1939-1943)念完大学,目睹积贫积弱的祖国在列强的夹缝中苦苦挣扎,屈辱求存。这种国恨家仇的切肤之痛对一个青年学生的影响,也许不是时间、教育和经历可以轻易抹去的。所以,他的民族主义情结完全可以理解;而他对华夏“文明大族崛起世界”的期待,也正是大陆最新版“中国梦”的民意基础。另外,唐先生写作此书的90年代,正值冷战结束、苏联解体,全世界对民治政体信心爆棚之时。连福山这样本应保持冷静的政治学家,都写出“历史的终结”(End of History)这样的书,宣称民治已为天下大势, 浩浩汤汤。唐先生的二次转型必然成功论,大概也受了这种乐观精神的感召。但是,至少从今天(2023年)看来,他对于2030年实现民治的预言,大概率也会像福山对历史终结的预言一样,成为大众茶余饭后消遣社会“科学”的谈资。当然,按250年完成第一次转型来估算,我们没准需要等到2090年。如果二次转型比第一次难度更大,那就更没谱了。反正,按唐先生的理论,民治是历史发展的必然,大家就踏踏实实地等着吧。我辈能做的,大概只是叮嘱儿孙“中华驶出三峡日,家祭无忘告乃翁”罢了。

 

First published book review

David Boyce suggested I should submit my review of Vaclav Smil’s book for publication after I shared it with him.   Smil’s perspective on climate change initiatives might be of interest to regional scientists and transportation planners, he told me.   At his suggestion, I submitted the review to Papers in Regional Science.   To my pleasant surprise, the editor recommended acceptance with minor revision within a day, and  the review was published a week after the first submission, definitely a record for me.  If you don’t have subscription, read it here.  The published version is only slightly different from the blog.

Can Artificial General Intelligence ever be Human Compatible?

When I was in graduate school in the early 2000s, the phrase Artificial Intelligence, or AI, did not have the mesmerizing power it possesses today. The field might have been slowly recovering from the twilight of 1990s, but remained an obscure subject that did not exactly inspire enthusiasm among graduate students –– certainly not in my field of study.  I might be more biased against AI research than most in my cohort, having acquired a distaste for it from the Dreyfus brothers’ contentious book, Mind Over Machines, which I interpreted at the time, perhaps over simplistically, as a rebuke of AI aspiration.   Much has happened since then. In the past decade, AI has made breath-taking progress that enabled computers to navigate complex urban environments and beat the best human Go players.  The Dreyfus brothers would probably read the news of these developments with astonishment and disbelief, though they may still not be ready to withdraw their opposition. For me, the last straw was ChatGPT, the chatbot that demonstrates human- and superhuman-level performance in tasks that I never thought can be done by computers in my lifetime: write essays, produce arts, and even achieve top 1% scores in the GRE verbal test, all delivered instantly by conversing fluently in natural language.  I am convinced that I need to reassess my outdated opinions about AI.  This conviction led me to delve into Human Compatible, a book written by Stuart J. Russell in 2019, whose work I initially came across on Sam Harris’s Podcast.  Russell is a world-renowned AI researcher at UC Berkeley, where, ironically from my perspective, the Dreyfus brothers had spent most of their teaching careers.

Russell began by defining human intelligence loosely as the ability to achieve one’s objectives through actions.  He believed AI should be described and assessed similarly. Yet, he argued that the focus should not be the “strength” of that ability, but rather its “usefulness” to humanity.  In his words (the emphasis is mine), “machines are beneficial to the extent that their actions can be expected to achieve our objectives.”

Paradoxically, a machine that strives to achieve our goals could still be an eminent danger to us.  For one thing, humans do not always know their real objectives.  Steve Jobs famously said, “people don’t know what they want until you show them.” Russell quipped about the perils of “getting exactly what you wish for”, as everyone who has been granted three wishes by a god can relate to.  He calls this the King Midas problem, because the legendary Greek King demanded that everything he touched would turn into gold, only to later regret his ill-fated wish.  Second, a rigid, human-specified goal can often be best achieved by violating norms and values that we humans consider common sense.  In a thought experiment, Russell imagined a super-intelligent machine, being asked by its human masters to cure cancer, decided to deliberately induce tumors in human beings so that it may carry out medical trials of “millions of potentially effective but previously untested chemical compounds”.  Be the fastest cure as this strategy may, it is an abhorrent violation of the established ethical standards in the field of medicine. This is the infamous value alignment problem in AI research.

At this point, most readers would probably breathe a sigh of relief and dismiss these so-called dangers as the illusion of doomsayers.  Surely enough, no machines that we know of can grant us wishes or cure cancer without any human supervision, right? Russell warned such complacency is dangerous and irresponsible, given the rapidly improving competence of AI systems. Contrary to what Hollywood movies lead us to believe, a conscious machine is not necessarily dangerous even if it hates humans. But a highly competent one surely is.

When it comes to the future of AI competence, Russell can be described as a cautious optimist. Not only does he believe artificial general intelligence, or AGI, is possible, but he once predicted “it would probably happen in the lifetime of my children”. He reminded us, furthermore, he is “considerably more conservative” than most active AI researchers, adding that it is entirely possible that AGI could come much sooner than his humble forecast.  In part, Russell’s confidence stems from seemingly boundless computing power available to machines. At the time of his writing, the fastest computer on earth, the Summit machine at the Oak Ridge National Laboratory, has gained a raw processing capacity in par with human brain, roughly 1017 operations per second (ops).  But this is infinitesimal compared to what machines could acquire in theory: 1051 ops for a laptop-sized computer, according to an estimate “based on quantum theory and entropy”.

To be sure, faster does not mean more intelligent.  As Russell said, a faster machine may simply “give you the wrong answer more quickly”.   According to him, reaching AGI still awaits several conceptual breakthroughs that may be hard to come by, which include: (i) understanding and extracting information from natural language; (ii) cumulative learning and discovery, which is essential to advancing science; (iii) planning and executing activities hierarchically to achieve complex objectives (e.g., going to Mars); and (iv) becoming an autonomous thinker that can manage one’s own mental activity (i.e., knows what and when to think).

Russell asserted that natural language technology was “not up to the task of reading and understanding millions of books”, and even though the existing language models can “extract simple information from clearly stated facts”, they can neither “build complex knowledge structure from text” or engage in “chains of reasoning with information from multiple sources”.  That was four years ago.  Today it seems clear that our first line of defense against AGI has already begun to fall to the advent of ChatGPT.  While this entirely unexpected breakthrough may have caught Russell himself by surprise, it actually proves that he was right all along: we must embrace and prepare for a future in which AGI is an integral part, not in spite of, but precisely because of huge uncertainty.

Russel thinks a super-intelligent machine can understand the world far better and more quickly, cooperate with each other far more effectively, and look much further into the future with far greater accuracy, than any human could ever hope to do.  In a nutshell, in a world with AGI,

“there would be no need to employ armies of specialists in different disciplines, organized into hierarchies of contractors and subcontractors, in order to carry out a project. All embodiments of AGI would have access to all the knowledge and skills of the human race, and more besides.”

What does this extraordinary technological triumph mean for human society?

First, the omnipotent AGI would drive up factor productivity to such a level that scarcity and poverty would be eliminated. When “the pie is essentially infinite”, Russell asked, why fight each other for a larger share? If this utopia sounds familiar, it is because Karl Marx said the same thing about communist society.   This crown achievement, however, will come at the cost of shattering job losses. Russell believed few of us could keep our jobs. It is delusional to think AGI will create more new jobs than it renders obsolete or enhance workers rather than replace them.  His metaphor of “the worker in an online-shopping fulfillment warehouse” is as enlightening as it is frightening.  He wrote,

“She is more productive than her predecessors because she has a small army of robots bringing her storage bins to pick items from; but she is a part of a larger system controlled by intelligent algorithms that decide where she should stand and which items she should pick and dispatch. She is already partly buried in the pyramid, not standing on top of it. It’s only a matter of time before the sand fills the spaces in the pyramid and her role is eliminated.”

The implication seems clear: no matter how indispensable you think you are, there will come a time when you too will be replaced.   That said, Russell told us everything will be just fine, if only humans could, as Keynes had famously advised 90 years ago, cope with their permanent plight of joblessness by learning “the art of life itself”.

Second, we must solve the alignment problem before entrusting all human affairs to AGI and retiring to the purer pursuit of happiness.  The solution to the problem is Russell’s expertise and the essence of the book. Russell argued that AGI development must follow the “Principles for Beneficial Machines”, which state “(i) the machine’s only objective is to maximize the realization of human preferences; (ii) the machine is initially uncertain about what those preferences are and (iii) the ultimate source of information about human preferences is human behavior.”   In a nutshell, Russell’s machine would continuously learn and strive to fulfill the preferences of their human masters. Whenever in doubt, it always defers to them, pausing its actions and seeking permission before proceeding.

I am skeptical these principles would be enough to save us from an AGI apocalypse.  The last part of the book discusses extensively the imperfection of humans, which are “composed of nasty, envy-driven, irrational, inconsistent, unstable, computationally limited, complex, evolving, heterogeneous” individuals.   Given that our species leaves so much to be desired, it seems strange to insist AGI must learn from our behaviors and help advance our (often) ruinous self-interests. Also, history has shown, time and again, humans of ordinary intelligence are perfectly capable of wreaking havoc on earth and perpetuating horrific violence against each other.  It stands to reason that the scale of destruction they can inflict would be incomprehensible when armed with superintelligence.  Unfortunately, that infinite pie Russell promised won’t eradicate human conflicts, because humans fight and kill as much for differences and status as for survival.

To his credit, Russell did concede that AGI must mind the interest of others, as well as that of its own master.  Having reviewed the theories of ethics, he suggested that utilitarianism –– which advocates for maximizing the sum of everyone’s utilities while treating their preferences equally –– might work.  Comparing utilities across individuals is meaningful and doable, Russell reasoned, and therefore, machines can be trained to master the science of ethics by what he called inverse reinforcement learning.  What he did not elaborate, though, is what mechanisms will be used to reconcile the inevitable conflicts between private and public interests. Humans invented pluralistic politics to deal with this ancient and intricate problem. However, super-intelligent machines are likely to find such politics too messy, too stupid, and too ineffective for their taste. Instead, they may favor a top-down approach that promises to “optimize” everything for everyone.  Unfortunately, this very promise had been made and broken before, often with devastating consequences.

Even if Russell’s “beneficial principles” ensure AGI never evolve into a tyrant – a big IF – they are still vulnerable to the “wireheading” trap, which is “the tendency of animals to short-circuit normal behavior in favor of direct stimulation of their own reward system”. Once the machines learn about the shortcut – say, directly stimulating a human’s brain to release pleasure-inducing chemicals – they would exploit it relentlessly to maximize the “total happiness” of humanity.  This tactic is not in violation of Russell’s principles because simulated happiness is still happiness, and to many it is an authentic experience.  The reader may recall that, in the famous movie The Matrix, many people willingly choose that virtual experience (the blue pill) over the real one (the red pill). Even Pascal admitted, “the heart has its reasons, which reason does not know”.  How could you blame AGI for gleefully encouraging their human masters to want what their heart loves more than their reason does?

Perhaps the gravest concern for humanity in the era of AGI will be the potential loss of autonomy.  In order for our civilization to endure, Russell explained, we must recreate it “in the mind of new generations”.   With AGI, this is no longer necessary since machines can store our knowledge and essentially “run our civilization for us”.  What is the point for any individual to spend a significant portion of their life acquiring knowledge and skills that they have no use for, except for the purpose of preserving our collective autonomy? Sadly, human nature being what it is, this tragedy of the commons may trap us all for eternity.

Russell’s writing exhibits a delightful wit, and the breadth of his knowledge in social sciences is remarkable, especially considering he specializes in computer science.  The book would make a stimulating but comfortable read for anyone who has some basic understanding of game theory and machine learning. A reader without such a background may find some materials less accessible.  Nevertheless, if Russell wanted to assuage the public’s concerns about AI safety, he might have fallen short.  If anything, the book had rendered me more pessimistic about AGI’s human compatibility.  While the Dreyfus brothers may be wrong about the superiority of mind over machines, deep down, I still wish they were right after all. To end on a desperately needed positive note, allow me to indulge a favorite quote from their book (again, the emphasis is mine):

“The truth is that human intelligence can never be replaced with machine intelligence simply because we are not ourselves “thinking machines”. Each of us has, and use every day, a power of intuitive intelligence that enables us to understand, to speak, and to cope skillfully with our everyday environment. We must learn what this power is, how it works, where it fits into our lives, and how it can be preserved and developed.”

The fall of Affirmative Action

If I understand it correctly, the supreme court’s ruling yesterday did not demand color blindness in the college admission process.  Rather, it only says colleges should not blindly use skin color as a predictor for a student’s qualifications and fitness.   Nor did the ruling reject in any way the value of diversity, including racial diversity.  Rather, the court merely opined that continuing to pursue this value through Affirmation Action can no longer be justified, partly because it violates the equal-protection clause in the Constitution, and partly because it has injured other people, notably Asian students.

Will Asian students and their parents find it any easier to get into the elite colleges in a post-AA world? I doubt it.   For one thing, elite colleges have many reasons and tools to continue the pursuit of diversity, equity and inclusion. Not explicitly considering race does not mean a “pure” merit-based admission, in the narrow sense of the phrase many Asians have come to understand it.   Second, a post-AA world would still see a large number of admissions be slotted for the kids of alumnus, wealthy donors, and other powerful people on the dean’s mysterious list.   This favoritism, much more than AA ever did, has and will continue to squeeze the room of other applicants, including many Asians. Curiously, Americans seem to hold much less grudges about this injustice.  Finally, the expectation of an easier run would probably attract even more applications to the super competitive colleges, which I am afraid might further drive down the admission rate and, being so obsessively invested in education, Asians probably will feel it more acutely than other groups.

Integrated bus-bike system

After much delay, the last paper Sida and I wrote together came out last week in Transportation Research Part C.   Growing out of the last chapter of Sida’s PhD dissertation, the first draft of the paper was completed before he went back to China in the summer of 2020, at the height of COVID19 pandemic.   In part, the long delay was due to Sida’s transition to his new job at Beijing Jiaotong University.   I am glad he pressed on despite the early setbacks and eventually published the paper  in a descent journal.  Here is the abstract for those who wonder what is an integrated bus-bike system.


Abstract: This paper examines the design of a transit system that integrates a fixed-route bus service and a bike-sharing service. Bike availability – the average probability that a traveller can find a bike at a dock – is modelled as an analytical function of bike utilization rate, which depends on travel demand, bike usage and bike fleet size. The proposed system also recognizes the greater flexibility provided by biking. Specifically, a traveller can choose between the closest bus stop and a more distant stop for access, egress or both. Whether the closest stop is a better choice depends on the relative position of the traveller’s origin and destination, as well as system design parameters. This interdependence complicates the estimation of average system cost, which is conditional on route choice. Using a stylized analysis approach, we construct the optimal design problem as a mixed integer program with a small number of decision variables. Results from our numerical experiments show the integrated bus-bike system promises a modest but consistent improvement over several benchmark systems, especially in poorer cities with lower demand density. We find a large share of travellers, more than 20% in nearly all cases tested, opt not to use the nearest bus stop in an optimally designed system. The system also tends to maintain a high level of bike availability: the probability of finding a bike rarely drops below 90% except in very poor cities.

How the world really works

My former colleague and mentor, Prof. David Boyce, loved Vaclav Smil’s How the World Really Works.  In a short email sent earlier this year, he urged me to read it, adding, “of the nearly 100 books I read this year, this one was the best”.  As encouragement he even mailed a hardcopy to me all the way from his retirement home in Arizona, to my pleasant surprise.  I’ve never heard of Smil before.   According to Wikipedia, he is a prolific and decorated author who counts Bill Gates among his fans.  An immigrant from Czech Republic, he had a PhD in geography but wrote about a wide variety of topics ranging from energy and environment to economics and public policy.

I don’t quite know how to make sense of the book’s seemingly pretentious title. If not for David’s recommendation, the title would probably have turned me away.  Having read the book, I suspect Smil had chosen the title to hide the controversial thesis of the book, which I think is an earnest pushback on the current “mainstream” climate policies and initiatives. Had the book been entitled to reflect this position, however, I imagine many people from the left would reject it out of hand as a manifesto from yet another climate change denier.  Here is Smil’s thesis in a nutshell:

“Complete decarbonization of the global economy by 2050 is now conceivable only at the cost of unthinkable global economic retreat, or as a result of extraordinarily rapid transformations relying on near-miraculous technical advances. But who is going, willingly, to engineer the former while we are still lacking any convincing, practical, affordable global strategy and technical means to pursue the latter?”

Let me first unpack how he reached this conclusion.

Citing Ludwig Boltzmann, Smil argues that free energy (i.e., energy available for conversion) is “the object of struggle for life”.   In the past two centuries, humans have gradually gained access to “a tremendous amount of energy at low cost” from burning fossil fuels.  This has largely transformed life on earth, from scarcity and misery that plagued much of human history to abundance and comfort that so many today had taken for granted.  By 2020, the annual energy consumed by an average person reached 34 GJ, equal to the energy content of about 0.8 tons of crude oil.  If the person would source this amount of energy from physical labor, Smil estimates they would need 60 adult servants working non-stop, day and night.  In affluent countries, this number would increase to approximately 200 to 240.  Clearly, before the energy revolution, only a very small minority could ever hope to avoid hard labor necessary to sustain and advance civilization.  As Thomas Piketty explained in his Capital in 21st Century, in such a world, social inequality was not only inevitable but maybe necessary because “if there had not been a sufficiently wealthy minority, no one would have been able to worry about anything other than survival.” Moreover, “without a fortune it was impossible to live a dignified life”.   Of course, the energy revolution did not eradicate inequality; but living a dignified life and thinking beyond mere survival is no longer the privilege of the super-rich. For this newfound luxury we have the fossil fuel industry to thank.

Central to Smil’s argument is, therefore, the observation that humanity has become deeply dependent on the cheap energy provided by fossil fuels.  The book explores this dependency in the production of electricity, food, industrial materials, and transportation.

  • Although the share of renewable energy (hydropower, solar and wind) in global electricity generation has reached 32% by 2022, fossil fuels (coal and natural gas) remained the dominant source (about 60%). As the uptake of renewables continues, however, the challenge lies not so much in converting solar and wind energy to electricity as in addressing their uneven spatiotemporal distribution.   Tackling this challenge requires the ability to store a massive amount of electricity and transmit it across vast distances. The former is contingent upon a technological breakthrough and the latter, even if we tolerate the cost of transmission, needs expensive infrastructure that currently does not exist. As Peter Nihan pointed out, there is a reason why “95 percent of humanity sources its electricity from power plants less than fifty miles away”.  Indeed, Germany had to keep almost 90% of its fossil fuel power plants as backup despite more than half of the country’s electricity is now generated from renewable sources.
  • The agricultural industries depend on fossil fuels for synthetic fertilizers, among other things (e.g., power for machinery). Smil estimates that more than two thirds of the nitrogen needed for growing crops worldwide is supplied by fertilizers produced from natural gas using the Haber-Bosch process. If we decide to only feed crops by organic wastes, he concluded, more than half of the current global population would be wiped out, and those lucky enough to stick around would struggle to afford regular consumption of meat.  To drive home the crucial importance of fossil fuel to our food supply, Smil painstakingly calculated the life cycle “oil contents” in several staple food items. Perhaps the most memorable example was the tomato grown in the heated greenhouses of Almería, Spain, which consumes more than half liter diesel fuel per kilogram of edible fruit. In contrast, a kilogram of chicken, the most “efficient” meat in terms of energy conversion, can be produced with as little as 0.15 liters of diesel fuel.
  • Smil also surveyed the ubiquitous presence of cement, steel, plastics, and ammonia in our life. The production of these “four pillars of modern civilization”, as he like to call them, relies heavily on energy- and carbon-intensive processes, collectively accounting for about one sixth of the global energy supply and a quarter of all fossil fuel consumption.  Smil asserts that we won’t be able to displace these materials anytime soon given their extensive current utilization. Nor could they be readily decarbonized because their established production processes have no “commercially available and readily deployable mass-scale alternatives”.
  • As for transportation, there are two major obstacles. First, electric motors are still far from a viable substitute to turbofan engines currently powering long-haul aviation.  After all, the energy density of today’s best Li-ion batteries only amounts to about 5% that of jet fuel.  Second, the raw materials needed to build batteries – lithium, cobalt, and nickel, to name a few – may not be able to keep up with the enthusiasm of EV advocates.   To reach a 50% EV market share globally by 2050, Smil estimated that the demand for lithium, cobalt and nickel would grow by a factor of, respectively, 20, 19 and 31.  Take cobalt for example.  A quick Google search shows that, as of now (2022), the world has a cobalt reserve of about 8.3 million tons and an annual production of about 190,000 tons. Per Smil’s estimation, the production of cobalt would rise to nearly 4 million tons in 2050, or nearly half of the entire current reserve.

Having explained why we will be stuck with fossil fuels in the foreseeable future, Smil turned to address what he considered hyperbolic responses to the unfolding climate crisis.  To be sure, Smil is no climate change denier. However, he does raise serious concerns regarding climate science and the way it is being portrayed to mobilize mass action.   Smil tells us the cutting-edge global climate models contributed little to advance our understanding about the greenhouse effect and its long-term consequences.   Instead, the scientific community has been “aware of them for more than 150 years, and in a clear and explicit manner for more than a century”.  He also questions the value of performing long-term forecast with these large, ostensibly sophisticated, and complex models.  Such exercises may produce headlines decorated with impressive numbers.  However, riddled with “layered and often questionable assumptions”, they are little more than “computerized fairy tales”, whose primary function is to help the users
reinforce their own prejudices or to dismiss plausible alternatives”, rather than reliably informing decision making. Smil’s distaste for complex forecasting models reminds me of Douglas J. Lee who, in his famous Requiem for Large-Scale Models, criticized the development of integrated land use and transportation models for the purpose of infrastructure planning. To explain why a more complex model isn’t necessarily better, Lee wrote,

“Including more components in a model generates the illusion that refinements are being added and uncertainty eliminated, but, in practice, every additional component introduces less that is known than is not known”.

In a nutshell, the climate models cannot really tell us what is going to happen in 30 years and to believe otherwise is “to mistake the science of global warming for the religion of climate change”.  Thus, Smil rejects the grim warning that our fossil-fueled civilization will soon collapse unless we immediately take drastic actions to decarbonize the world economy.   He also dismisses the grandiose claims that technological breakthroughs will somehow save humanity from this impending calamity, if only we have faith in them.  He ruthlessly mocks the “techno-optimists” –– who promised that 80 percent of global energy supply can be decarbonized by 2030, and an economy fueled by 100% renewables actually “needs less energy, costs less, and creates more jobs” –– and likens them to “green hymn” singers.

So, what is Smil for?  First, he prefers steady and mundane strategies to “sudden desperate actions aimed at preventing a catastrophe”. Two specific actions he suggested does make sense: reducing food waste, which shockingly amounts to a third of the overall food supply, and curtailing the ownership of SUVs, whose wide adoption had more than offset in the past decade the decarbonization gains resulting from the slow adoption of EVs.  Second, he wants us to “be agnostic about the distant future”, to admit the limits of our understanding, to “approach all planetary challenges with humility”, and to recognize no amount of planning can assure ultimate success.

Smil likes to build his argument around numbers and facts.  However, absorbing all the numbers can sometimes become such a mental burden that the reader may be distracted from the flow of the book.  Of course, this may be a feature rather than a bug; after all, Smil also wrote a popular book called Numbers Do Not Lie.  The chapter discussing risks and life expectancy seems a little baffling to me: it may be interesting in its own right, but a poor fit for the main theme.   That said, the book is a joy to read overall: Smil writes elegantly, his argument well-construed and his conclusions convincing.  Harsh as his critique of the climate modelers may be, it did resonate with me –– and I am a bit of a modeler myself.  However, I am probably not the kind of audience that Smil intends (need) to win over. To young liberals like AOC and Greta Thunberg, Smil’s even-headed message may be too conservative to swallow.  They might even find his lectures on “how the world really works” nerdy and old-fashioned, if not condescending and insulting.  Many a climate action enthusiast would probably never have time and patience to hear the old man out anyway, as they are so preoccupied by the continuous flow of new bad news that implore them to do something, anything, here and now, and at any cost if necessary.

Bob Camilone Memorial Scholarship

Hongyu Zheng, a fourth year PhD student in my group, had won 2023 Transportation and Development Institute Bob Camilone Memorial Scholarship. The other recipient of the award is Adrian Hernandez, another PhD student in our transportation program.

Congratulations to both gentlemen! We take pride in their accomplishment and are confident that they  will continue to excel in his academic and professional pursuits.heir

 

美国反对美国

《美国反对美国》是王沪宁教授1988年访美的见闻录及政治评论。在美期间,他“走访了三十多个城市,近二十所大学,在数十个政府和私人部门做过调查”。短短半年时间里, 他通过这些调研,对美国社会各方面的历史和现状了解之深,理解之透,我这个在美国呆了二十多年,大学里教了十多年书的人也自愧不如。更难得的是,那时他不过三十出头的年纪,但笔下透出的知识积淀,学术修养,思辨能力,都已经有相当的火候。写这本书的时候,王教授还是复旦大学的少壮派学者,今天他早已学而优则仕,历侍三朝,两次入常,成为名动天下的“中共大脑”。从这本书看,他能以纯理论家身份脱颖而出,闻达于诸侯,大概并非侥幸,确是实力使然。

从经济学人播客听说这本书后,我的好奇心就像水烧开后的茶壶盖一样按耐不住。王教授这位乐于以“读书人”自居的政治学家,在访美的半年里,到底从美国政制中发现了何种我等凡夫俗子所不能见者,帮他照亮了一条截然不同但却更光明美好的中国发展之路?王教授在自序中写道,“美国反对美国”这个书名,是为了表明美国社会不是一个“简单的均质的整体”,它既有肯定性的力量,也有否定性的力量,读懂这两种力量构成的内在矛盾以及形成它们的历史-社会-文化机制,才能回答“为什么有美国”这个“简单问题”。全书以美国的政治经济制度、民族性格、社会管理等十方面为线索,以亲身访谈见闻为素材编织而成,而神韵所在,往往见于每章结尾的评述。个人觉得见闻实录有趣的地方不多,也许因为缺乏时代感,也许因为受众本就是不了解美国的国人。 分析评论部分,虽然因为结构的缘故有些碎片化,论证不够连贯,逻辑也稍嫌松散,但其中有些见解即使今天看来仍发人深思,值得一读。下文试作归纳整理并稍加剖析。

王教授视价值体系为政制的基础,并把美国价值体系的三要素总结为自由、平等和民主(即权力之源在民)。这套体系对公权力有强大约束力,形成了地方政府优于联邦政府、小政府优于大政府的治国理念。政府囿于有限权力,无法承担管理社会的全部责任,而只能依赖资本主义那只“看不见的手”,即所谓“社会自组织系统”。他写道,

“政府系统只从上面管制社会的自组织系统,但不陷入其中,因而政府的负担不重。社会的自组织系统有一整套规则、程序和运作,它们的运作是稳定的。政治的变化往往不影响这一整套机制的运作。它们在运作中追求自己目标的同时,推动了社会系统的运转。”

王教授认为这套“双轨制”是美国政制的优点,因为在“人口达数亿之众的社会,政府直接和全面管理社会各个层面,各个领域的可能性不大”,而“由于体制设计而走上这条道路的社会,政治和行政系统往往没有很好地解决社会的很多基本需要,积累下来成堆的问题”。当然,他也指出在“看得见的手”的模式下,“政治的火车头”虽然负担较重,但却“易于向一个方向有规则地行驶”。王教授推崇地方政府在美国政制中的强势地位,认为地方政府在具体运作上各有千秋,适应了当地的传统、观念和需要,而“任何政治体制,只有做到这一点才能良好运转”。他还补充道,“政治体制越是划一的社会,政治体制的适应性越小”。所指为谁,自不待言。

在个人自由和社会平等之间,王教授认为美国人无疑偏爱自由。而自由之所以成为主流价值,是“社会不同集团之间的利益冲突”的结果。美国政制只保证“形式上的政治平等,而非社会平等、经济平等”。要求其他方面的平等,必然带来利益冲突。譬如为实现经济平等劫富济贫,在一定程度内是为民众接受的。但当高税收对私人产权形成实质威胁时,社会便会反弹,反对以牺牲自由为代价来实现平等。王教授认为这种对平等心口不一的承诺,是美国成为一个贫富两极分化社会的重要原因。美国这个商品极大丰富的国家为什么能看到满街露宿街头的乞丐?为什么不能有另一种分配方式让“所有无家可归的人都过上体面的生活”?他的解释是以自由为核心价值观的美国政制无法容忍这样的分配方式。

自由滥觞带来的后果当然不只是社会平等的理想无法实现。王教授警告我们,“任何准备用于自己的政治权利,都要准备与别人分享,否则自己也会丧失它们”。而权利给得越多,社会就越难管理。他以结社自由为例,说明这个本来为鼓励政党活动准备的权利,会被别有用心的人利用,成立黑白两道通吃的“犯罪”组织。政府碍于自由原则,无法有效控制或取缔这些组织,终将成尾大不掉之势。王教授很看重“分享权利”的分寸,以缺乏这个分寸为最大弊政。 他写道,

“任何社会在设计体制时,均会遇到这类问题,想禁止的由于想允许的决定而不能禁止,不想给予的由于想给予的决定而只能给予。…美国政制在给予和允许方面是一个十分成功的政制,但在禁止和防范方面不是一个值得赞扬的政制。”

关于美国民主,王教授主要着眼两点。第一,它如何平衡大型社会形成政治领袖过程中对民主和集中的要求;第二,以利益集团为基础的民意收集方式到底在多大程度上反映了全民利益。

对于第一点,他认为美国是通过把政党和国家分离来解决的。简言之,因为政党处于政治体系之外, 可以用相对集权的方式产生政治领袖(如总统和国会议员候选人);而选民可以在这个集中过程完成后再做选择。这样,尽管选民的选择非常有限,但整个过程依然“表现为一个民主的外观”。王教授对美国政制里集中和民主这对矛盾的评论算是切中肯綮。至少在产生总统候选人这个环节上,大部分选民能做的确实有限。以最近的新闻为例,超过七成的美国选民表示不希望看到现任总统Biden参加下一届竞选,但如不出意外,他获得民主党的提名应该毫无悬念。

至于利益集团,王教授说它们的作用是“收集、综合、归纳、输送社会的利益要求,是政治系统得以满足最大利益要求的重要条件”。由于资源有限,政策制订的目标往往不是满足所有利益要求,而是以最低的代价满足最多的利益要求。但是普罗大众往往没有利益集团做代表,政治领袖们未必能听到他们的呼声。即使能听到,他们的利益如果跟其他强大集团的利益相左,在效用主义的分配原则下,也未必能够受到重视。

所以王教授说,“美国的民主是否民主够了?这是可以打一个问号的”。他也说,不管以何种方式选择政治领袖,社会的管理权总归是掌握在极少数“英才”手中的;而“英才统治是资本主义制度下的社会的共同特征”。他据此质疑“严格意义上的民主是否符合大规模人类社会的发展规律或称内在要求”?对这个问题他没有直接回答。我的理解是,如果终极目标是选出英才来管理社会,那不管通过民主程序,还是举贤荐能,甚或科举(公务员)考试,白猫黑猫,抓着老鼠就是好猫。而从民主时不时选出奇葩领袖的历史经验看,也许它“并不符合人类社会的内在要求”。

美国政制价值体系还有一个很奇怪的矛盾:一方面,它重视自由,美化甚至神话个人主义;但另一方面,它又十分重视传统。对传统的重视,尤其体现在美国人对宪法的“迷之崇拜”和面对种种貌似表面文章的“政治规矩”—如竞选中失败一方需公开发表败选宣言,并祝贺自己的对手当选—时的战战兢兢。王教授解释道,这种情况看似匪夷所思,个中缘由其实并不复杂。个人主义的盛行,反而造成个人权威难以形成,而“越是在没有人说了算的地方,传统便具有越大的权威。”

对这种政治传统的巨大力量,王教授的态度很纠结。他承认政治传统和规矩是写在人们信仰里的法律,比写在文字上的法律更有力量,甚至社会政治的发展之路,“就在于把政治原则和信念变为政治规矩和政治传统。”而传统一旦形成,则标志着社会不同利益集团之间的权力关系进入稳态。当然,传统最重要的功能也许是保证政权交接的稳定性。关于这个政制中“最为根本的问题”,王教授写道,

“政权的交接是人类政治生活中的一件最难解决的事情。不少社会在这个问题上没有发展出完善的程序,成为政治不稳定的原因。”

他认为美国通过政治传统解决了这个难题,这套规矩深入人心,任何违背它的企图,都“不可能得到承认,不可能具备合法性”。当然,王教授那时虽然已经崭露头角,毕竟还是一个初出茅庐的青年学者。他在政坛格物致知多年之后,修为想来早已臻知行合一的化境,中国特色的政权平稳交接、万世不替的大关节大概早几年就参透了。

在承认传统正面作用的同时,王教授也认为传统桎梏的背后隐藏着严重危机。在全书的开头,他援引美国阿马拿共产主义社群解体的案例,指出造成社会制度失稳最根本的原因是“年轻一代对现有价值体系的放弃和冷漠”。新陈更替是社会发展的铁律,如果任其自然,不对旧的价值体系进行升级换代,获得新一代的认同,则社会对制度基础的信任危机难以避免。他问道,“谁来完成(升级价值体系)这项社会功能呢?”很明显,不能指望传统,尤其是美国这样通过制度安排刻意拒绝变化的传统。虽然在这里王教授又一次回避了自己提出的难题,但细心的读者当不难在书中寻得草蛇灰线。王教授说,美国人对宪法如此迷恋,深层原因是没有人有力量去改变它,所以“维持并解释它是唯一出路”。而宪法之所以如此难以改变,是因为制定者对人性所持的悲观主义。他认为“这是西方文化与东方文化的一大差别,”甚至可以用来解释东西方政治发展的差异。表面上看,王教授这个观点似乎有悖于中国法家和秦制对人性本恶的基本判定。但也许他这里说的人性,并非普通民众之人性,而是社会精英之人性。西方文化拒绝相信尧舜禹汤般的存在,而东方文化貌似对此深信不疑。因此,为了引导社会价值体系升级,只能靠伟人来对抗传统的惯性。具体来说,要靠属于每个时代的、凌驾于传统之上的威权领袖。最后这一点纯属个人揣测。但是,自九十年代以来,中共从邓小平理论到三个代表,再由科学发展观到新时代特色社会主义,每一代领导核心在价值体系上的推陈出新和灌输宣传,恰是在回应王教授在本书中对这一危机的担忧,而方法和手段也一脉相承。

八十年代末期,正是日本经济如日中天,信心爆棚之时。跟朝气蓬勃的日本相比,彼时的美国看上去颟邗无能,垂垂老去。在全书的结尾,王教授在对美日种种经济数据进行对比之后,得出了美国正在被日本超越的结论,而原因是“美国的体制、文化和价值反对美国本身”,令其最发达地位难以为继。 他写道,

“美国的体制,总体来说建筑在个人主义、享乐主义和民主主义的基础上,但它正明显地输给一个集体主义、忘我主义和权威主义的体制。”

那么美国能拥有这些“更有效的体制”吗?王教授的答案是否定的,因为文化和价值观决定体制,而美国的文化和价值观跟这样的体制无法兼容。这种体制上的劣势意味着,“日本只是第一个向美国挑战的民族。在下个世纪里,必然会有更多的民族也向美国提出挑战。”

对美日竞争,王教授猜中了开头,没有猜到结尾。日本的GDP在1995年超过美国GDP的70%以后,一直停滞不前,到2021年只剩下美国的21%。而美国,虽然一如既往地拒绝对传统价值体系进行“创新”,但这种抱残守缺似乎并没有耽误美国人在科技领域一路领先。从互联网、社交媒体到自动驾驶, 从区块链、行星际航行到最近的大语言模型,这些改变世界的技术创新里,有哪些是集体主义,忘我主义和威权主义催生的呢?

王教授预言的后半段倒是已成现实:一个比当年的日本更强势,似乎也更高效的民族确实横空出世,向美国发起了挑战。如果以GDP总量为标尺,它和美国的距离,已经比当年的日本更近。毫无疑问, 这一辉煌成就跟王教授推崇的、建立在东方文化和价值体系之上的“有效体制”不无关系。但是,日本由盛而衰的前车之鉴说明,价值体系跟经济发展和技术创新的关系远比王教授分析所及更复杂,而美国那一套民主自由的陈腐旧套,虽然依旧是耽于分裂而患不均,却也没有遇到“不可阻挡的危机”而一蹶不振。今天回顾这段历史,仿佛来到王教授三十五年前走过的那个十字路口,但极目远望,却甚感茫然。到底是“美国反对美国”,还是 “中国反对中国”, 是“中国反对美国”,还是 “美国反对中国”?这些烧脑的问题,不知再过三十五年,是否能见分晓?