All posts by yni957

Wardrop equilibrium can be boundedly rational

As one of the most fundamental concepts in transportation science, Wardrop equilibrium (WE) was the cornerstone of countless large mathematical models that were built in the past six decades to plan, design, and operate transportation systems around the world. However, like Nash Equilibrium, its more famous cousin, WE has always had a somewhat flimsy behavioral foundation. The efforts to beef up this foundation have largely centered on reckoning with the imperfections in human decision-making processes, such as the lack of accurate information, limited computing power, and sub-optimal choices. This retreat from behavioral perfectionism was typically accompanied by a conceptual expansion of equilibrium. In place of WE, for example, transportation researchers had defined such generalized equilibrium concepts as stochastic user equilibrium (SUE) and boundedly rational user equilibrium (BRUE). Invaluable as these alternatives are to enriching our understanding of equilibrium and advancing modeling and computational tools, they advocate for the abandonment of WE, predicated on its incompatibility with more realistic behaviors. Our study aims to demonstrate that giving up perfect rationality need not force a departure from WE, since WE may be reached with global stability in a routing game played by boundedly rational travelers. To this end, we construct a day-to-day (DTD) dynamical model that mimics how travelers gradually adjust their valuations of routes, hence the choice probabilities, based on past experiences.

Our model, called cumulative logit (CULO), resembles the classical DTD models but makes a crucial change: whereas the classical models assume routes are valued based on the cost averaged over historical data, ours values the routes based on the cost accumulated. To describe route choice behaviors, the CULO model only uses two parameters, one accounting for the rate at which the future route cost is discounted in the valuation relative to the past ones (the passivity measure) and the other describing the sensitivity of route choice probabilities to valuation differences (the dispersion parameter).  We prove that the CULO model always converges to WE, regardless of the initial point, as long as the passivity measure either shrinks to zero as time proceeds at a sufficiently slow pace or is held at a sufficiently small constant value. Importantly, at the aggregate (i.e., link flow) level, WE is independent of the behavioral parameters. Numerical experiments confirm that a population of travelers behaving differently reaches the same aggregate WE as a homogeneous population, even though in the heterogeneous population, travelers’ route choices may differ considerably at WE.

By equipping WE with a route choice theory compatible with bounded rationality, we uphold its role as a benchmark in transportation systems analysis. Compared to the incumbents, our theory requires no modifications of WE as a result of behavioral accommodation. This simplicity helps avoid the complications that come with a “moving benchmark”, be it caused by a multitude of equilibria or the dependence of equilibrium on certain behavioral traits. Moreover, by offering a plausible explanation for travelers’ preferences among equal-cost routes at WE, the theory resolves the theoretical challenge posed by Harsanyi‘s instability problem. Note that we lay no claim on the behavioral truth about route choices. Real-world routing games take place in such complicated and ever-evolving environments that they may never reach a true stationary state, much less the prediction of a mathematical model riddled with a myriad of assumptions. Indeed, a relatively stable traffic pattern in a transportation network may be explained as a point in a BRUE set, an SUE tied to properly calibrated behavioral parameters, or simply a crude WE according to the CULO model. More empirical research is still needed to compare and vet these competing theories for target applications. However, one should no longer write off WE just because it has no reasonable behavioral foundation.

A preprint can be downloaded at ArXiv or SSRN.

The End of the World is just the Beginning

It’s a little embarrassing to admit that I was drawn to the book largely because of the provocative title. The “end of something” is one of my favorite genres – somehow part of me just cannot resist that whiff of fatalism.  In any case, if you crave for apocalypse, Peter Zeihan will not disappoint.

I should first clarify that the “End” spoken of here is not really the “world” itself, but rather the “Order”, the US-led, post-cold-war world order that centers on globalization.  Here is Zeihan’s verdict on the Order in his characteristically assertive tone:

“The globalization game is not simply ending. It is already over. Most countries will never return to the degree of stability or growth they experienced in 2019.”

Let me first walk you through why Zeihan thinks the game is doomed.

First and foremost, the Order is not normal. It was possible entirely because the only superpower on earth, the US, guarantees global security by suspending geopolitical competition.   Zeihan asserted our current era is “the most distorted moment in human history” and thus cannot be indefinitely sustained.

Second, globalization has been subsidized by America’s massive military spending and voluntary de-industrialization of her heartland. However, in the past five decades, this policy has squeezed the once mighty American middle class so hard that a major course correction seems inevitable.

Third, globalization went hand in hand with industrialization, urbanization, and women’s rights movement, which, while pulling billions out of poverty, has depressed birth rate below replacement levels in all but a handful of countries that “have managed a high degree of development”.  Where these processes were artificially accelerated thanks to rapid diffusion of technologies –– the so-called latecomer advantage –– populations also age at an artificially accelerated pace, fast approaching what Zeihan called “postindustrial demographic collapse”.   In fact, Zeihan claims that many countries have already passed the point of no-return, demographically.  The shrinking population will pull the rug out from under the consumption-based global economy.

To summarize Zeihan’s proposition, the Order is inherently unsustainable, can no longer be sustained as of today, and has already produced its own grave digger: the impending population crash.

Well, that explains the “end”. What about “the beginning” part, namely what is going to happen when the Order dissolves?

The first casualty is long-haul transportation.  According to Zeihan,  once the US   withdraws from policing the ocean surface, the global shipping industry will kiss goodbye to its most important asset: the impeccable safety record. Even a small uptick in the risk of losing cargo to pirates or rogue states will drastically increase transportation costs, in the form of rising insurance premiums, lost time, and disruptions to today’s hyper-efficient supply chains.  Without reliable and cheap transportation, moving raw materials and goods halfway around the world would make no economic sense.  As a result, every country must become less specialized and more self-sufficient –– growing all (or most) of one’s own food, rather than importing it from another continent, will become the new norm.  The countries that have selected (or been selected) to turn their entire economies into niche specialties at the behest of globalization will face upheavals, if not existential threats.   Unfortunately, not every country will make it.  Zeihan predicts the places that don’t have “the right geography to make a go of civilization” before the Order will experience not only depopulation –– a euphemism for mass starvation –– but also de-civilization (whatever that means).

The next victim is what Steven Pinker would call Long Peace.  Without effective law enforcement, the world will morph into the jungle that it once was. Under the rule of Darwinism, smaller nation states will have trouble protecting and feeding themselves.  A natural coping strategy is to coalesce around their regional hegemons to form military and economic alliances that would look disturbingly similar to the great powers of the past centuries. As these new empires begin to quarrel over resources and territories, violence ensues. Indeed, war has already returned to Europe when Putin’s Russia launched its bid to regain control over Ukraine about a year ago. Many people thought Putin had committed a huge blunder. However, if the future were to unfold as described in Zeihan’s book, the invasion may well be understood as a strategic imperative: grabbing “the granary of Europe” to ensure Russia can feed her own people when things go south.

While desolation will be widespread, not every country will suffer equally. Zeihan thinks the US and its neighbors will be doing just fine, because collectively they are endowed with rich natural resources, relatively young and still growing populations, and above all a powerful military that can secure industrial inputs and protect trade routes wherever needed.  America’s European allies, however, will not be so lucky.  The shockwave will break up Europe into small blocks led by the legacy powers – the likes of UK, France, Germany, and Turkey – who unfortunately can no longer count on colonialism and imperialism to get ahead like in the good old days.

That the biggest loser will be China Zeihan is absolutely certain.  The first and foremost problem for China is demography.  Most peoples in the world are getting older, but Chinese would allow no one to beat them at the game of speed, including aging.  Even according to official data, China’s population has already begun to shrink in 2022, with a birth rate standing at 1.3 and (most likely) still dropping.  Thanks in part to a ruthless but successful family planning scheme, China has become “the fastest-aging society in human history”, and at this point, her demographic collapse is inescapable and imminent. Second, China is highly specialized in low-value-add manufacturing to which long-haul transportation is indispensable.  This economic model must be completely restructured to cope with a post-Order world. However, the transformation will dramatically slow the economic growth, thereby undermining the foundation for legitimacy and stability of the Chinese polity.  Third, China could even lose full access to the resources essential to support her current population, including agriculture products and their inputs (fossil fuels and fertilizers), because she does not have a navy capable of projecting power a continent away.  In fact, as Zeihan remarked contemptuously, the Chinese navy “can’t make it past Vietnam, even in an era of peace.”

Specious as Zeihan’s doomsday theory might sound, he did attempt to back it up with witty geopolitical analysis and (re)interpretation of the history of technology and economics.  In fact, most pages of the book are filled with those contents, which, unlike the hysterical predictions, often make a more enjoyable read.   However, Zeihan’s central thesis is so preposterous that it hardly deserves a serious rebuttal.   History tells us doomsday predictions, especially something this extreme, rarely come true.  It is almost certain that the Order won’t end anytime soon, and when the end does come, won’t be in the same fashion imagined by Zeihan.

Zeihan is right about the formidable challenges posed by rapidly aging populations, and the unprecedented nature of the current demographic shift.  Older societies will grow more slowly because their people work and consume less on average. However, a slower accumulation of wealth does not have to trigger a panic stampede and tear the world apart in its wake.  Living in an older world could simply mean we must fix our deeply entrenched obsession for perpetual exponential economic growth.

Zeihan is right about America’s withering commitment to global security and leadership.  It may be true that the cost of upholding the Order has become too high to bear by any single country. However, it does not follow that the US and her allies would sit idly watching the Order collapse in front of their eyes.  If, as Zeihan prophesized, most countries will be so much worse off without the Order, why would they not fight with everything at their disposal to keep it alive?

Zeihan is also right about the worldwide retreat from globalization. The trend has been accelerated dramatically by COVID-19, which had exposed the startling vulnerability of the current system to large-scale disruptions, and forced many countries and cooperations to re-consider the premiums set for resilience and reliability.  However, this does not mean international criminals and thugs will come out overnight in droves, wipe out inter-continental commerce, and shatter the Earth Community into pieces.  Homo sapiens have seen better for far too long to willingly return to the dark ages.

Sometimes I doubt Zeihan actually believes his outlandish predictions. After all, he seems too smart to fall for the fallacies.   Maybe he thinks crying wolf gets the ears anyway, not only of ordinary readers like me, but also of politicians and even world leaders.  My other theory is that he was writing to vent his grievances.  To be sure, he pointedly denied this allegation, claiming in the epilogue that his book is not “a lamentation for the world that could have been”.  Yet, right after this disclaimer, he grumbled about America’s “lazy descent into narcissistic populism”.  He chastised the Europeans for their inability to come together for “a common strategic policy”.   His loathing of China and Russia feels strangely personal, and his harshest words and most vicious prophecies are always reserved for them, especially China.  Here is a remarkable paragraph he wrote at the end of the book.

“China and Russia have already fallen back on instinct, heedless of the lessons of their own long sagas. In the post–Cold War era, the pair benefited the most by far from American engagement, as the Order …created… the circumstances for the greatest economic stability they have ever known. Instead of seeking rapprochement with the Americans to preserve their magical moment, they instead worked diligently—almost pathologically—to disrupt what remained of global structures. Future history will be as merciless to them as their dark and dangerous pasts.”

In some sense China was indeed the largest beneficiary of the Order. However, this does not mean her incredible fortune will continue if she just promises to stay the course.  A geopolitical analyst like Zeihan should know strategic decisions are Markovian: they are always driven by the national interest in the future, not the rewards received in the past. Could China preserve her magical moment by simply “seeking rapprochement with the Americans”?  I doubt it.  Once China is deemed to have become too powerful for the Order to contain, she must either faithfully subscribe to the Order’s ideology or conspire to replace it with a new world order.  Judged by the recent developments, China has unequivocally rejected the first option.   Is her choice a stupid and fatal mistake, the lesser of two evils, or, as Toutiao (头条) News would make you believe, about to usher in the greatest era in the five thousand years of Chinese history?  The die has been cast; only time can answer the question.

红太阳

网上断断续续地听了高先生很多关于党史和新中国史的讲座和讲课录音,对他的学养、见地、胆识和口才很是敬服。成书于上世纪末的《红太阳》应该是他的成名作。全书洋洋数十万言,名为讲述延安整风运动的来龙去脉,实则很像超长版的《太祖本纪.前传》。由于包含大量不合“正史”的故实、评述与解读,大陆读者一直无缘一见庐山真面目。高先生在后记中自许以秉笔直书的太史公为楷模,以“板梁甘坐十年冷,文章不写一字空”为信条。从《红太阳》内容之敢言和参考文献之浩繁来看,他大概当得起“不写一字空”这个评价。所叹者,先生缁铢累计,皓首穷经十余年写成的与人为鉴的历史,到头来落一个“自向荒郊寂寞红”的结局。不知先生泉下有知,是否会自悔当年入错了行?

延安整风在党史和新中国史上占据极为重要的地位,是因为它为中国未来一个世纪设定了意识形态:有中国特色的马克思主义。这标志着党摆脱了莫斯科对理论解释体系的控制,从此以自身的理解来定义革命的目标、主体、对象和方式。

事实证明,有中国特色的马克思主义是个非常有创意的想法,因为它像美国宪法一样,可以通过重新解释达到与时俱进,海纳百川的效果。当然,它比美国宪法灵活高效太多,后来的领袖们会发现,这一颗美丽的羊头下面,可以卖的又岂止是狗肉。高华总结说,在延安整风完成的时候,这个新意识形态有四大原则:一、树立“实用第一”的观点,“坚决抛弃一切对现实革命目标无直接功用的理论。” 二、全力肃清“五四”思想在党内知识分子中的影响,确立集体至上、个人渺小的新观念。三、确定农民为革命主力军。四、把宋明新儒家“向内里用力”的观念融入党内斗争的理论。”

对我而言,上述第四点很是振聋发聩。我知道阳明心学在当今中国是显学,但从没想过它居然也是太祖哲学思想之所本。高华写道,

“(整风运动的)运作方式和操作实践的背后,还有着浓厚的中国内圣之学的痕迹。干部坦白交代和自我剖析与宋明新儒家的「格物致知」,寻求「天人合一」的路向几乎异曲同工,只是词汇和解释系统不同,而在手法上更具强制性”。

回想起前几年回国偶然有机会跟一干政府官员吃饭,席间某副市长侃侃而谈自己研究阳明心学的心得,其他官员纷纷加入讨论,气氛之热烈,不亚于小型的阳明研讨会。当时我对王阳明的所知还停留在《明朝那些事》里看来的一鳞半爪(现在也进益无多),对天朝高级干部哲学素养之高,印象极为深刻。不过,如果真如高华所说,阳明心学跟有中国特色的马克思主义有如此渊源,显学之名确是顺理成章。

在高华看来,延安整风是太祖自井冈山以来惨淡经营的巅峰之作,他老人家精心铸造的马克思主义中国化这柄倚天长剑,终于让全党同志心悦诚服,自觉地团结在以之为核心的的党中央周围。党从缔造以来第一次迎来了一位强势、自信、拥有绝对权威的领袖。整风运动以中共七大为终结,不仅奠定了新中国前二十五年坎坷发展、“砥砺前行”的基调,更开集中先于民主之新风,为党国权力定于一尊之滥觞,对中国政局影响深远,绵延至今。

前面说过,《红太阳》明写延安整风事件,实则处处为太祖立传。在高华笔下,他拥有无可争议的军事天才、超凡入圣的政治直觉和百折不挠的钢铁意志,即使异见者也不能不为之折服,甘为犬马前驱;但作为领导者,他执政则刚愎自用,霸道专横,为达目的不择手段;其性格则多疑善变,翻云覆雨,睚眦必报。他对绝对权力的眷恋与对人格尊严的漠视形成鲜明对比;他对知识分子从由衷的嫌恶和怀疑,发展为有意无意的的羞辱和打压 , 态度颇似孙绍祖之于贾迎春,“窥着那读书种子如蒲柳,作践得教授学究似下流” 。这种“精神消灭法”危害之烈,流弊之广,恐怕两千年前他那位偶像始皇帝的“肉体消灭法”也不能望其项背。

不过话说回来,高华对太祖的判语,出国前的我如果在白纸黑字的出版物上看到,也许会被震到头晕眼花(所谓秉笔直书是也),但对于在舆论宽松的环境里生活了二十年的人来说,其实并无太多新意。我反到觉得他对太祖诛心太过,负面评价过多,仿佛作者心中早有定论,文章笔处龙蛇,无非是为支持这个结论罗织证据而已。作为史家,给读者留下这种印象,不能不说是败笔。另外,全书结构稍显拖沓冗余,前后章节主题相似,而时间跨度颇多重叠,影响阅读体验,也算一个遗憾。文字来说,个人觉得最好的部分还是臧否太祖那些段落。隔着这么多年的岁月,你还是能清楚地感受到,高先生在写下这些文字的时候,心中的那一种沧桑和板荡。

 

Games without rules

Before August 2021 I knew almost nothing about Afghan history. Nor did I care.  As a country, Afghanistan seems neither interesting nor important, culturally or geopolitically.  Yes, it is famous for feverish Islamism, extreme poverty, and brutality against women; but there are plenty of such failed states to go around in the world.  Yes, it is nicknamed the “graveyard of empires”; but to most Chinese, there is nothing mysterious about burying empires in what Chairman Mao would call “boundless ocean of people’s war”.

Then, in April 2021, President Biden announced the plan to withdraw from Afghanistan by the end of August that year.  Shortly after, Taliban soldiers began to emerge from caves and tunnels. As they swept through the country with breathtaking speed, their opponents, more than 300,000 strong and trained, equipped, and paid for by NATO, simply melted away.  To be sure, Americans did not think highly of the Afghan legions procured with their money, initially predicting they could not hold off Taliban offense for more than a year.  Yet, they were still caught completely off guard when the Afghan government collapsed in Mid-August, well before the deadline of the planned withdrawal. If Americans had dreamed about a gracious if melancholy farewell from a country that they thought they had liberated and rebuilt, the dream had turned into a nightmare that will be remembered for generations to come.

Like most observers, I watched the events unfolding in Afghanistan that summer with shock, amusement, and confusion.  How could a poorly trained guerrilla force defeat a larger, better-equipped national army in just a few months? Why did not most Afghans fight harder to protect their political freedom, personal liberty, and women’s rights, the things that Americans insisted they should cherish the most? Even Biden seemed genuinely baffled at Afghans’ lack of will “to fight for their own future” despite Americans had given them “every tool they could need”.  These questions had prompted me to find answers in Afghan history.   The book I stumbled on was Games Without Rules by Tamim Ansary, an Afghan American author who was born in Kabul after WWII. Ansary covers the 250-year history of modern Afghanistan, starting from its legendary founder, Ahmad Shah Baba, and ending with the Islamic Republic in the 21st century.   An easy and enjoyable read, the book did not just answer most of my questions, it answered them head on, as if the author knew the questions would be asked ten years later.

First, a few things that surprised me.

I once thought that Afghans have always been living under a somewhat barbarous regime similar to Taliban, and that it was Americans who incidentally liberated them from the subjection by their antiquated institutions.   I was wrong.

Taliban movement was in fact a new phenomenon that bears little resemblance with most Afghan regimes that came before it.  The reign of Abdur Rahman Khan (1880-1901) ––also known as the Iron Amir––may be a close match in terms of brutality and religious rigidity, but he is also remembered by many as the king who united Afghanistan under one flag and set her on the path toward modernization.  Like many peoples that came in contact with the West in the past two centuries, Afghans had gone through, sometimes not under their own initiatives and terms, multiple iterations of modernization projects.  Amanullah Khan (1919 -1929), who fought for and won Afghan independence from the British Empire, was a radical reformer.  Among his daring edicts was a new law meant to replace Shari’a, which guaranteed many basic human rights, including freedom of religion and women’s rights – yes, a hundred years ago, Amanullah’s code already proclaimed no girls should be denied the right to education and no women should be required to wear burqa.   However, Amanullah’s reform was way ahead of its time.  Afghans rebelled and kicked him out of the country; he ended up in Italy as a refugee, where he spent the rest of his life working as a carpenter.  After a few years of turmoil, the reign of Zahir Shah (1933 – 1973) charted a more moderate and successful trajectory, which culminated in the enactment of the 1964 constitution.   By introducing free elections, a parliament, civil and political rights and universal suffrage––and effectively banning any members of royal family to hold high-level government offices––the constitution created a modern democratic state that is, in principle, similar to the Islamic Republic of 2000s. By early 1960s, Ansary wrote,

“in the big city of Kabul, women were beginning to appear in public showing not just their faces but their arms, their legs, even cleavage. Afghan girls of the elite technocratic class were beginning to cotton to Western fashions. They were wearing miniskirts and low-cut blouses. Nightclubs were popping up, which served beer and wine and whiskey—and not just to foreigners. Afghans were drinking and making no bones about it.”

So, how did Afghanistan descend from this lovely modern democracy to Taliban’s Islamic Emirate? Well, it had much to do with geopolitics.

Contrary to my naïve preconception, Afghanistan has been enormously important to the struggles of great powers, especially those between Russia and the West. In the 19th century, the Russians attempted to reach the Indian Ocean from the central Asia. Determined to protect their enormous trade interests in the region from Russian interferences, the British took Afghanistan as their protectorate by force.  If the objective was to stop Russians, the British succeeded.  However, their control of the country had always been fragile and treacherous.  According to Ansary, they had “won jurisdiction of every patch of Afghan territory their guns could cover—but not one inch more”. Eventually, after countless lives on both sides lost to violence and a world war that permanently weakened Europe, the British granted independence to Afghans. However, the domination of great power politics did not fade away. Instead, it morphed into a form that had briefly become a benefactor, when Russians and Americans, in their attempt to recruit Afghans to fight for their causes in the Cold War, offered extravagant aid packages.  In 1950s and 1960s, the two superpowers “constructed over twelve hundred miles of superb paved roads through some of the planet’s most difficult terrain”, which connected “all of Afghanistan’s major cities”. Unfortunately, this relatively peaceful and prosperous era was interrupted by the rise of the communist movement in the late 1960s.   Social unrest ensued, followed by three coup d’etat in the 1970s.  From the upheavals a deeply unpopular communist regime emerged in 1978, whose internal strife soon killed its pro-Soviet leader, Nur Mohammed Taraki, and forced his slayer and successor, Hafizullah Amin, to consider jumping ship to the Americans. The Soviet Union intervened, plunging into a 10-year war from which she would never recover.  Like the British in the 19th century, Russians soon discovered that their war machine could easily crash the Afghan army and state but not the Afghan people.  Frustrated by the tenacious opposition led by Mujahideen (Islam Jihadists), the Russians resorted to a scorched earth policy that aimed at depopulating rural Afghanistan. Their grotesque tactics did little to win the war but unleashed a humanitarian catastrophe of epic proportion.   According to Ansary, a million Afghans were killed and six million displaced in 1985 alone.

An entire generation of Afghan boys would grow up in the refugee camps and receive education in religious madrassas (schools).  Having suffered through the worst childhood on earth, they were “allowed to imagine that it might be their destiny to establish the community that would save the world”.   From the schools of these refugee camps would rise the loyal followers of Mullah Omar, the founder of the “student movement”, or Taliban (literally means students in Arab).   Under Omar’s leadership, Taliban would win a bloody civil war in 1990s, only to be dethroned a few years later in the wake of America’s anti-terrorist crusade.

The rest is history.

Let me get back to the questions that drew me to this book in the first place. Why didn’t the Afghan people fight harder for their freedom? The short answer is there were two Afghan peoples: westernized urban elites and common folks from the countryside. The “Afghan people” often spoken of in the western media might only refer to the former.  While the elites considered Taliban an archenemy, the masses did not see Taliban’s moral and religious imperatives conflict with theirs.  While the elites were supposedly in charge, they have never gained full control of the other Afghanistan.  Most importantly, when push comes to shove, they had no idea how to “fight the fight and win the war”.

Why is Afghanistan so deeply divided?  As a collection of tribes and ethnic groups that loosely coalesced around an Islamic culture over a tough terrain, Afghanistan is an inherently weak state. This made it very hard for anyone, even the most powerful country in the world, to penetrate through the layers of physical and cultural barriers that historically separate urban centers from rural communities. Without a strong state, most Afghans naturally turned to tribal and religious authorities for such basic state services as security, law enforcement and education. Ansary likened ruling Afghanistan through a puppet government to swinging a pot by grasping its handle: the foreign powers thought they could swing the pot however they wanted; yet, because the handle was never firmly attached to the pot, they often ended up shattering the pot while holding nothing but a useless handle.

The innate weakness of the Afghan state was further reinforced by the powerful legacy of Islam and the recurrent interventions by the West.  Unfortunately, the Islam and the West have long been at odds with each other, and the animosity had only grown stronger in the past century.  As a result, the head of the Afghan state faces a constant dilemma.  On the one hand, as they need the support of the West––money, permission, or both––to secure power and to modernize the country, they must subscribe, or at least pay lip service, to Western values.   On the other hand, they could not afford to alienate the masses who remain loyal to traditional values, or risk being thrown out of the palace like Amanullah.  The balance between the two acts is so delicate that few could make it work, not for a long time anyway.  As a result, modernization in Afghanistan, because it is “foreign” in name and in essence, had actually widened the cultural and wealth chasm between the elites who welcomed the western influences and the masses who continued to resist them.  Any attempt by a foreign power to correct course by direct intervention, regardless of methods or intention, only serves to pour fuel on the fire.

Seen from this light, the Bush plan to rebuild Afghanistan after the 2001 invasion was doomed from the beginning.   On display in that 20-year nation building project, largely funded by American taxpayers, is not so much America’s idealism as her arrogance and ignorance of history.  Biden was right to cut the loss as soon as he could.   In the end, Ansary told us Afghanistan would probably do okay, regardless of who was in charge, if only other countries are willing to leave her alone.   Let’s see if the world will heed his advice this time.

 

胡鑫宇

仔细看了新闻发布会的通告(澎湃新闻),没发现明显的破绽。当然,这个判断的前提是通告里提到的事实没有捏造。大量网民对这些事实本身的质疑一定程度上反映了政府公信力的欠缺。但是,没有大家认可的基本事实,吃瓜群众参与理性讨论的基础将不复存在。

阴谋论支持者的问题是他们除了网上各种截屏,提不出任何有力证据来支持他们的种种理论。提出指控的人需要举证,这是基本常识。有些阴谋论很容易证伪,有些很难;但是很难证伪的阴谋论并不比容易证伪的更靠谱。罗素说,如果我告诉你地球和火星之间有个茶壶在按照椭圆轨道绕太阳飞行,你们看不见只是因为它离太远了,你们该不会觉得我是犯傻吧?(known as Russell’s teapot).

他们更大的问题是没有办法合理解释为什么一个15岁的普通高中生会被想象中权势熏天的幕后黑手相中作为谋杀的对象;当然他们也没有办法解释这个幕后黑手为什么选择这个时间点高调的抛尸;让他永远消失难道不是更好的选择?

每当这类涉及青少年自杀的事件出现疑点,中国网民除了条件反射般地质疑政府掩盖真相,也条件反射般地忽略自杀对青少年的潜在威胁;实际上美国每年死于自杀的人大概是谋杀的两倍还多,在青少年里,自杀已经超越他杀成为非正常死亡的第二大原因 ,研究表明有大约9%的高中生尝试过自杀。在中国,这个数字大概是7%。对胡鑫宇事件更合理的解读似乎应该是青少年心理健康危机的警钟;可惜两千年来对政府的依赖和依恋,让我们习惯了把目光投向政府来进行思考,那里是权力之源,力量之源,信心之源;当然也是一切问题之源。

Idea of History

I learned about R.G. Collingwood and his famous book from a Chinese podcaster who quoted Collingwood as saying, “All history is the history of thought” (in Chinese, 一切历史都是思想史). Struck by the profoundness of the quote, I decided to dig deeper.  Collingwood is known as the most underrated philosopher in history, a reputation largely earned by “The Idea of History”. The book was published posthumously after his premature death in 1943, at age of 53.

By “all history is the history of thought”, Collingwood means history can only exist in the re-enactment of the past in a historian’s mind. The past events are over, cease to exist, and hence cannot be perceived and studied as a real, actual object. Thus, history is knowable only by thinking, and the proper object of history is thought itself: “not things thought about, but the act of thinking itself”.   It follows, I believe, there is no such a thing as the true past, or the real history.  History is idealistic in nature.  Seen in this light, the translation—“一切历史都是思想史” —is misleading. The quote should rather read, “一切历史都是思考史“。

Collingwood believes that a historian must go beyond the materials inherited from authorities.  Otherwise, he is a mere “copy-and-paste” historian. Collingwood goes so far as suggesting history, like novel, is the work of imagination, and in this regard, they do not differ.  The historian must tell a coherent and believable story in which the actions of his characters are justified by circumstances, motives, and psychology.  I suppose Collingwood’s novelistic historian is in sharp contrast with most Chinese historians, who actually praised and cherished the copy-and-paste tradition, sticking to Confucian’s famous precept: 述而不作(pass on the wisdom of the sages without adding anything new to it).

Collingwood argues the purpose of history is to inform the present, by revealing “what man has done and thus what man is”.  Reconstructing the past is always done to know the present and to tell us what to do in the present.  Moreover, the past and the present are the same object in different phases and therefore inseparable: we come to know the present naturally by studying the past, because the past is part of the present.

Collingwood believes all history is biased because everyone approaches history with their own biases. Indeed, if it were not for these biases, nobody would write history in the first place.   He does say a good historian must take no sides and “rejoices in nothing but the truth”, but how much of history is written by good historians?

Finally, Collingwood harshly criticized the “scientific” theories of universal history, i.e., the idea that the progress of human history is governed by some universal law.  Chinese students of my generation can attest this is exactly what we had learned in history classes.  According to Collingwood, the value of these theories “was exactly nil”, and, if they have been accepted by so many, it is only because they have “become the orthodoxy of a religious community”.  He claims only two types of people were still writing universal history at his time: the dishonest attempting to “spread their opinions by specious falsehoods”, and the ignorant naïvely writing down everything they know without “suspecting that they know it all wrong”.

To someone growing up in China where historical materialism is treated as the one and only truth, Collingwood’s idea seems like heresy at first glance.  However, the more I read, the more I agree with him.  Since much of the book was compiled from lecture notes, the experience is close to taking a philosophy course: not exactly fun but worth the effort.

 

On Liberty

I have heard and read about John Stuart Mill many times before but have never read him. Known as the most influential English-speaking philosopher of the nineteenth century, he still has many followers and admirers in the new millennium, even in some intellectual circles in mainland China. For example, Xiang Luo (罗翔) – the famed Chinese law professor who had gained an incredibly strong following on Internet because of his lucid and witty analysis of contemporary legal matters – is evidently a Mill’s fan.   I was reluctant to read Mill, or for that matter any philosophers who lived two centuries ago, as I wasn’t sure I could understand, much less enjoy, their writings.  However, after reading a blog by Luo that passionately praises On Liberty, I decided to at least give it a try.  I’m glad I did.

One of the most important works on political philosophy, On Liberty explains what constitutes liberty, why society must guarantee it, and how to resolve the conflict between liberty and order. Mill’s central argument is that a civilized community should not exercise power over its members against their will except for the purpose of preventing harm to others.  In his own words,

“The only freedom which deserves the name, is that of pursuing our own good in our own way, so long as we do not attempt to deprive others of theirs, or impede their efforts to obtain it”.

This doctrine, known as the harm principle, bestows each person a virtual sphere, whose boundary may be described by the adage, “my right to swing my fist ends where your nose begins”.  The individual is sovereign over themselves within this sphere, which Mill divides into three compartments: (i) the liberty of conscience, including thought, feeling, opinion and sentiment on all subjects, (ii) the liberty of planning one’s own life according to one’s tastes and character; and (iii) the liberty of uniting with other consenting individuals.

Per the harm principle, the US government seems to overstep its authority by outlawing prostitution, gambling, and drug use.   The government may consider these activities immoral and dangerous, even decidedly harmful to a person who engages in them, but still the person should only be warned of the danger, not forbidden from exposing themselves to it.  In fact, Mill thinks even commercializing such activities – say working as a pimp or selling drugs for a profit – may fall into the realm of individual liberty, so long as those activities themselves are admissible (under the harm principle, they surely are).

It should be noted that harm is a necessary but not a sufficient condition for interference.  Any competition for a scarce resource – admission to Ivy League colleges, election to political offices, tickets to Taylor Swift’s concert, to name a few – necessarily produces winners reaping benefits at the expense of losers. Do the winners thus harm losers, materially and/or psychologically?  Mill asserts such a claim would be valid only if the winner has employed “fraud or treachery, and force”.   Nor harm to others must be caused by actions.  A person can be held accountable for the harm attributed to their inaction, too, though compulsion against such offense must be more carefully exercised.  A somewhat surprising example given by Mill is parents failing to provide their children with the “ordinary chance of a desirable existence”. That is, the failure at parenting is not just a family tragedy, but a crime against the children and society. In fact, Mill has gone so far as suggesting couples who cannot show they have the means of raising children properly should be denied the right to marriage, effectively denying them the liberty to unite with others.

Mill would probably be called a free speech absolutist if he lived today. Expression of any opinion by any fringe group, in his mind, must be tolerated and protected, no questions asked.  To drive home this point, he writes,

“If all mankind minus one, were of one opinion, and only one person were of the contrary opinion, mankind would be no more justified in silencing that one person, than he, if he had the power, would be justified in silencing mankind.”

Mill does not believe being offended by another person’s conduct or speech is an injury that warrants redress.  To him, the feeling of a person for their own opinion carries much more weight than the feeling of another who finds their holding it hurtful or offensive. If hate speech was a thing back then, Mill would be inclined to protect it too. He would be dumbfounded upon learning that Larry Summers, the former president of Harvard University, was forced to resign simply because he offered a seemingly innocent explanation of women’s underrepresentation in science and engineering.  The only qualification to the freedom of speech Mill would agree is that it must not incite violence.  For example, “an opinion that corn-dealers are starvers of the poor… may justly incur punishment when delivered orally to an excited mob assembled before the house of a corn-dealer”.   This example seems to fit well with the speech that Donald Trump gave to the mob that gathered in front of White House on January 6th, 2021 –– whether Trump was intended to stop a proceeding of US congress by force or not, the mere presence of a mob that could heed his words means the speech has violated the harm principle.

Mill had more than a healthy dose of skepticism about democracy.  He appears to suggest self-government is an illusion because there is no such a thing as “the government of each by himself”, but only the government “of each by all the rest”. The will of the people spoken of, similarly, is the will of the majority, not the will of everyone.  Mill is wary of society hindering the development of individuality by compelling its members to adopt its own ideas and practices as the rule of conduct.  This tyranny of the majority, he contends, can be more oppressive than an actual tyrant, because “it leaves fewer means of escape, penetrating much more deeply into the details of life, and enslaving the soul itself.”

At times Mill sounds like a staunch elitist.  Deriding the mass as “collective mediocrity”, he warns us the danger of allowing the mass to take their opinions from “men much like themselves, addressing them or speaking in their name, on the spur of the moment, through the newspapers”.  Instead, to rise above mediocrity, the mass must be “guided by the counsels and influence of a more highly gifted and instructed One or Few”.  Exactly who these geniuses are Mill did not specify.  I don’t think he meant elected officials, since no elected official in a democracy, including the president of the US, could ever hope to achieve this level of potency.

Liberty is not a natural right, according to Mill. He made it clear the people who are incapable “free and equal discussions” have no use for it. These “barbarians”, as Mill calls them, should consider themselves lucky if they can find a competent despot – “an Akbar or a Charlemagne” – to be their ruler.  Instead, Mill justifies liberty by its utility. Freedom of speech is indispensable because it guarantees “the opportunity of exchanging error for truth”.   Even if an opinion is wrong, we would gain, by giving it a fair hearing, a better understanding of truth “produced by its collision with error”.   As Mill puts it eloquently,

“he who knows only his own side of the case, knows little of that.”

Moreover, liberty fosters individuality, which is instrumental to human progress.  A civilization becomes stationary, Mill asserts, the moment it ceases to possess individuality. He argues the emphasis on conformity at the expense of individuality is the main reason why China fell so behind the West at the time of his writing (twenty years after the first Opium War).   China enjoyed “a particularly good set of customs” from early on, thanks to the talent and wisdom of a few “sages and philosophers”.  Yet, her attempt to “impress the best wisdom upon every mind in the community” backfired because it ended up imposing the same maxims and rules on everyone’s thoughts and conduct, thereby eradicating individuality.  Remarkably, Mill’s analysis still rings true in today’s China.  Growing up in 1970s and 1980s, I remember being taught that the best I can do for the nation is to become a “revolutionary screw” (革命的螺丝钉).   The word “revolutionary” might have been slowly phased out since then, but the metaphor has not. China still sees her citizens as standard parts on a well-oiled machine: indistinguishable and insignificant as individuals, but harmonious and powerful put together – or so she hopes.  In the past two centuries, China had tried to reinvent herself but insisted to do it her own way for so many times that Albert Einstein might think she was insane, as in “doing the same thing over and over and expecting different results”.  Will she succeed this time around?  I don’t know, but I will leave you with one of my favorite quotes from On Liberty (the emphasis is mine):

“A State which dwarfs its men, in order that they may be more docile instruments in its hands even for beneficial purposes, will find that with small men no great thing can really be accomplished”.

The sustainability appeal of URT

Few would deny that public transit has an important role to play in any sensible solutions to the transportation’s sustainability problem. Yet, the consensus often dissolves at the question of how. A case in point concerns urban rail transit (URT), which has expanded rapidly in recent decades.   The ongoing debate about URT has been fueled by inconclusive, sometimes contradictory, empirical evidence reported in the literature.  Has URT consistently reduced driving and/or auto ownership to affirm its appeal to sustainability? We set out to address this question head-on in this study.

You may read the abstract below, and download a preprint here.


Abstract: Urban rail transit (URT) has expanded rapidly since the dawn of the century. While the high cost of building and operating URT systems is increasingly justified by their presumed contribution to sustainability — by stimulating transit-oriented development, promoting the use of public transportation, and alleviating traffic congestion — the validity of these claims remains the subject of heated debates. Here we examine the impact of URT on auto ownership, traffic congestion, and bus usage and service, by applying fixed-effects panel regression to time series data sets compiled for major urban areas in China and the US. We find that URT development is strongly and negatively correlated with auto ownership in both countries. This URT effect has an absolute size (as measured by elasticity) in China three times that in the US, but is much larger in the US than in China, relative to other factors such as income and unemployment rate. Importantly, the benefit transpires only after a URT system reaches the tipping point that unleashes the network effect.  Where this condition is met, we estimate about 14,012 and 31,844 metric tons of greenhouse gas emissions can be eliminated each year in China and the US, respectively, for each additional million URT vehicle kilometers traveled. We also uncover convincing evidence of cannibalization by URT of bus market share in both countries. However, rather than undermining bus services, developing URT strongly stimulates their growth and adaptation. Finally, no conclusive evidence is found that confirms a significant association between URT and traffic congestion. While traffic conditions may respond positively to URT development in some cases, the relief is likely short-lived.

World order

World Order is about the philosophy of international relations.  Kissinger argues that any stable system of world order needs both legitimacy, which is a belief about what constitutes a just order, and power, which is what holds the order together to keep peace.  In this view, power and legitimacy are interdependent: power is unsustainable without legitimacy, and legitimacy cannot maintain order without power.   The key is how to strike the right balance. Using this theoretical framework, Kissinger analyzes how the power-legitimacy equilibrium played out in four systems of historic world order.

The bedrock of world order before 1945 was the so-called “Westphalian system”, named after the Treaties of Westphalia, which ended the Thirty Years War in 1648.   The war was largely fought to settle the legitimacy of Church’s monopoly over individuals’ spiritual relationship with God, and yet, its sheer destruction had convinced Europeans to never again center world order on moral authority.  Instead, the focus was shifted entirely to the allocation and balance of power with value-neutral rules, such as mutual respect for the sovereignty of states and noninterference in domestic affairs of other states. It goes without saying that these rules only apply to the states wielding enough power to tilt the order off balance.

If the Westphalian system is all about power, the Islamic order is all about legitimacy.  Islam divides the world into the land of believers and the land of infidels.  Islamists consider themselves permanently and automatically at war with the world inhabited by unbelievers, and Jihad—the mission of expanding Islam faith through struggles—the only way to bring peace to all humanity.  They reject any other form of legitimacy because only Islam can offer the true form of freedom, the “freedom from governance by other men and man-made doctrines”. This feverish commitment to religious imperatives inevitably denies the reality of power dynamics, often with grave consequences. Kissinger noted how it has, for example, “turned coexistence with Israel from an acceptance of reality” into an irreconcilable conflict with their own legitimacy for many Arab governments.

Like Islamism, Confucianism refuses to recognize any sovereigns as legitimate unless they are subordinate to the Chinese emperor, who supposedly rules everything “beneath the sky” with the Mandate of Heaven.   There are two important differences, however. First, the Mandate of Heaven is not sanctioned by God, but hinges on the ruler’s willingness and ability to provide good material life to the ruled. Second, China seeks respect, not conversion by force.  Instead, the “barbarians” are given a rung on her ladder of tributary, according to proximity to Chinese culture. Therefore, as Kissinger observed, there is no need “to order a world it considered already ordered, or best ordered by the cultivation of morality internally”.    To a certain extent, the current regime in China still sees the world the same way: it claims legitimacy from ever-increasing standard of living for its people, and it seeks to dominate not necessarily by physical force but by its achievements and conduct.  On paper, China has adopted the Westphalian system since 1949, as evidenced by her commitment to the five principles of peaceful co-existence.   That, however, is a practical accommodation to reality, not a reflection of Chinese ideal.  Chairman Xi’s vision of China Dream, vague as it may sound to a foreigner, precisely expresses a national nostalgia for that glorious past, real, and imagined, in which Chinese can pretend the world orbits around them for eternity.  That said, I think the threat of that vision to world peace has always been exaggerated in the West.  The image of an expansionist and missionary China is largely a mirage created from—depending on your propensity for cynicism—either a misunderstanding of or a disagreement with her preferred form of world order.

It would surprise no one that Kissinger thinks Americanism is our best shot at creating an optimal world order, though he made it clear there is still room for improvement.  As the cliché goes, America started with an idea.   That idea, I think, is as much about liberty and democracy, as about the American insight of world order.  Americans like to think they always place “principles” before “selfish interests” when it comes to world affairs. They are not only exceptional in this regard, but also destined to bring the vision to humanity.  As Thomas Jefferson put it, “it is impossible not to be sensible that we are acting for all mankind”.   Until Woodrow Wilson, however, America refrained from imposing her order on others. Instead, she contented herself with an exemplary role, as “the shining city on a hill”.  Ronald Reagan loved to talk about the shinning city, and his depiction of it is simply too good to pass over:

“…in my mind, it was a tall proud city built on rocks stronger than oceans, wind swept, God blessed, and teeming with people of all kinds living in harmony and peace—a city with free ports that hummed with commerce and creativity, and if there had to be city walls, the walls had doors, and the doors were open to anyone with the will and the heart to get here. That’s how I saw it, and see it still.”

To the extent this metaphor advocates leading by example rather than conquest, it bears a resemblance to how China sees her role in the world.  It was under Wilson’s watch that America began to embark on the mission to remake the world in her own image.   To Wilson, democracy was the source of legitimacy because it is both the best form of governance and the sole guarantee for permanent peace.  Thus, only by spreading democracy far and wide can humanity hope to resolve conflicts, achieve the equality of all nations, and maintain world peace and universal harmony.  This vision, Ironically, is not that different from Islamism, in terms of the end goal (world peace), the claim to an absolute moral truth and the pledge to convert “unbelievers”.  To be sure, America does not openly threaten to wage wars against unbelievers, opting instead to pressure tactics and sabotage campaigns.  Yet, she frequently found herself at war with them, not always supported by an airtight casus belli fully consistent with her “principles”.  Therefore, while in theory America dismisses any calculations of the Westphalian style balance of power as immoral and dangerous, in practice she always reserves for herself the right to embrace such a calculation on an ad hoc basis. Kissinger apparently thinks this ambivalence is a feature, not a bug, of Americanism, as he writes,

“America’s moral aspirations need to be combined with an approach that takes into account the strategic element of policy in terms the American people can support and sustain through multiple political cycles.”

In other words, the art of practicing Americanism is to find that delicate balance between power and legitimacy, which is probably best illustrated in the famous (or infamous) American doctrine of strategic ambiguity on defending Taiwan.   The danger, however, is that Americanism can be seen as opportunistic, if not hypocritical.  The lack of transparency and consistency has and will continue to enable America’s enemies to argue that she is, after all, no better than the value-neutral, power-centric imperialism that she purports to displace, and that her professed love for human rights, democracy and peace is but national interests under a fancy new dress.

If you are into geopolitics, you may find this book a real treat.  In essence it is a condensed world history, viewed through the lens of world order and filled with interesting details, anecdotes, and quotes that I truly enjoyed. Kissinger had turned 90 when the book was published in 2014, but he remained a cool-headed, clear-eyed, and elegant writer.   Perhaps more importantly, he was still the passionate believer and defender of Americanism, who refused to say anything negative at all about any of the twelve postwar presidents of the United States.  This lack of self-reflection is somewhat disappointing but understandable given Kissinger was far from an impartial analyst of America’s world order.

Ethics-Aware Transit Design

In this paper we proposed a corridor transit design model that places accessibility and equity at the center of the trade-off. By guiding transit design with ethical theories, it promises to improve vertical equity. We reviewed and examined four different ethical principle but were focused on the utilitarian principle (the status quo) and John Rawls’ difference principle (a form of egalitarianism). The main findings from our analysis of the design models are summarized as follows.

  • When the transit service is homogeneous in space, the utilitarian design model and the egalitarian design model are mathematically equivalent. Thus, they always produce identical designs for all forms of the opportunity distribution.
  • With supply heterogeneity, the egalitarian design has a prominent equity-enhancing effect, whereas the utilitarian design tends to exacerbate inequity, especially in presence of large innate inequality.
  • Correcting innate inequality by applying the egalitarian principle often entails interventions that appear more “discriminatory” than the status quo. Whether such distributive measures are justified, the appearance of unfairness can be met with skepticism, if not outright opposition, from the general public.
  •  Our ability to promote equity is restricted not only by the resources available but also by the structure of the problem at hand. The difference principle is useful because it defines the upper limit of equity that we may strive to reach but should not exceed.

It is worth recalling the egalitarian design based on the difference principle tends to reduce the total accessibility of all residents, compared to the incumbent design regime of utilitarianism. When innate inequality is large, the loss of accessibility can be substantial, up to 40\% according to our experiments. This, of course, is hardly a surprise, given the primary concern of the difference principle is the distributive justice, not the total utility. One thing is clear though: the benefits to the most disadvantaged could come at a hefty price to society writ large. Steven Dubner, the host of the popular podcast Freakonomics, likes to quip,

Economists know the price of everything but the value of nothing.

No doubt the same can be said about many if not most engineers. In some sense, our study constitutes an attempt to price social values in engineering practice. To be sure, these values are priceless to many an advocate, who would be quick to point out that the obsession with pricing everything is precisely what got us here in the first place. However, understanding the consequence of imposing certain values in engineering systems is still a crucial task, if only because we always need to secure public support or determine affordability.

The work is partially funded by Northwestern University’s Catalyst fund and NSF’s Smart and Connected Community (S&CC) Planning
Grant.  A prerprint of the paper may be downloaded here.