Negotiation and Human Agency

January 27, 2024 in reading-notes

Negotiation has been a term I mostly associated with business or politics in the past, involving intense debates and advocating for the interests of each party. However, I began to appreciate and explore this concept more intentionally since last year, when I was exposed to a more diverse set of collaboration scenarios. Then, I realized negotiation is everywhere and understanding its history, philosophy, and practice is important for thinking about how humans interact in a world of complexity. With a background in behavioral science, human-computer interaction, and design research, I began to see deeper connections between negotiation with each of these fields.

Evolution of negotiation theory

Two notable milestones in negotiation literature are Getting to Yes (1981) by Fisher and Ury, and Never Split the Difference (2016) by Chris Voss. The former focuses on identifying interests and creating value for both parties, while the latter recognizes the emotional nature of negotiation and emphasizes the importance of building tactical empathy to gather information and influence the other party's thinking.

The shift from objectively identifying a win-win solution to challenging the idea of seeking a compromise is fascinating and counterintuitive at first. As the title Never Split the Difference suggests, Voss believes it’s better to not make a deal if compromise is involved. Instead, drawing from his experience as a former FBI hostage negotiator, he focused on uncovering Black Swans, which are hidden pieces of information that can change the course of a negotiation and push the other party towards a deal. This became his primary strategy for finding unconventional solutions.

This evolution in negotiation philosophy is an interesting parallel with the shift from classical economics to behavioral economics — both evolved to recognize the limitations of purely rational and utility-maximizing models. Similar to Never Split the Difference, behavioral economics shifts the focus from simplified, rational economic models to a more nuanced understanding of human behavior, which is shaped by emotions, biases, and heuristics.

Human agency at heart

People want to be heard, understood, and respected. In Never Split the Difference, building tactical empathy in negotiation means ensuring sufficient trust and safety for a real conversation to begin. Since change represents uncertainty and people want to be in control, saying no to a proposal is the easiest way to maintain that control and the status quo. This completely changed my perspective on the nature of negotiation because it’s ultimately about addressing fundamental human needs with psychological principles. It’s not just about fighting for individual interests, it’s much more about building connections, helping each other feel in control, and identifying creative solutions together.

Another memorable idea is that “Yes” has multiple layers (i.e. counterfeit, confirmation, and commitment), while “No” is the gateway to “Yes.” Saying “No” allows us time to pivot and adjust, creating an environment for the one “Yes” that mattered and gives us an opportunity to convince others that the proposed change is more advantageous than maintaining the status quo. Then, negotiation is the process of helping the other party feel protected and safe, so they can consider other possibilities with a relaxed mindset.

This also resembles the dynamics of how humans interact with technology, especially with AI systems. When systems (e.g. algorithms) collecting human input (e.g. data) without making people feel heard, respected, or in control, it becomes difficult to establish a genuine conversation (e.g. engagement). An effective feedback and control mechanism needs to account for human motivation and provide a clear incentive structure, so that the value and impact of input is meaningful. When considering human-computer interaction through the lens of human-machine negotiation, it’s interesting that we’re applying similar psychological principles to help individuals maintain their agency as foundational needs.

Practice of tactical empathy

When it comes to tactical steps to build tactical empathy or uncovering the black swan, the approach mentioned in Never Split the Difference shared a lot of similarities with user experience research moderation practices. Methods like asking calibrated question, focusing on discovery and uncovering insights, and active listening are all familiar to researchers. Although the relationship between a user and a researcher isn’t a negotiating one, the process and desired outcome is similar. Both the negotiator and the researcher aim to uncover insights about the other party to deeply understand their needs, so they can identify unconventional solutions or framing that change the course of the conversation or strategy.

Finally, the practice of emotional labeling reminds me of methods used in psychotherapy. It involves identifying and verbalizing the predictable emotions of a situation, which helps build empathy and insights for both parties. Once the emotion is labeled, we can talk about them without getting wound up because using language to objectify negative thoughts make them less frightening and disrupt their raw intensity.

At its core, negotiation is not about being competitive and skillful in applying complex methods or tactics. It is all about creating the right environment for genuine connection and conversation to begin.

Elon Musk: Reading Notes

November 23, 2023 in reading-notes

Reading notes from Elon Musk, by Walter Isaacson.

01 Musk’s Production Algorithm

First-principles thinking has been a well-established practice for some time, which involves questioning all assumptions about a problem and creating new solutions from the ground up. Reading about how Elon Musk applies it extensively in design, engineering, and manufacturing, from building rockets to designing car factories, made me appreciate even more its elegance in finding creative solutions to complex problems.

Here is Elon Musk’s version (“Algorithm”) of applying first-principles thinking:

Question every requirement. Each should be attributed to the person who made it. Think for yourself and don't simply follow instructions. Never accept a requirement blindly just because it comes from a department.
Delete any part or process you can. You may have to add them back later. In fact, if you do not end up adding back at least 10% of them, then you didn’t delete enough.
Simplify and optimize. This should come after step two. A common mistake is to simplify and optimize a part or a process that should not exist.
Accelerate cycle time. Every process can be speeded up. But only do this after you have followed the first three steps. In the Tesla factory, Musk mistakenly spent a lot of time accelerating processes that he later realized should have been deleted.
Automate. That comes last.

Noteworthy examples of applying first-principles thinking:

Innovate on material and product design. When designing the cybertruck, the Tesla team initially considered using titanium for its durability. However, Musk was reevaluating the material choice for SpaceX's rocket ship at the time and realized stainless steel could be a viable option, which could also be used for a pickup truck. A stainless steel body eliminated the need painting and could bear some of the vehicle’s structural load. This opened up new possibilities for a more futuristic and edgier design, featuring straight planes and sharp angles, which pushed the team to explore new ideas.
Cut costs in the auto and rocket industries. Musk believed that reusable rockets were essential for establishing a multi-planetary civilization, particularly for sending humans to Mars. To achieve this, he introduced the concept of the "idiot index," which measures the ratio of a component's total cost to the cost of its raw materials. A high idiot index indicates overly complex design or inefficient manufacturing processes. By reducing the idiot index, Musk aimed to lower the cost of rocket production and make space travel more affordable.
Reinvent the policy incentive structure. Musk proposed an alternative incentive process to the traditional "cost-plus" contracts used by NASA and the Defense Department. Instead of providing detailed specifications and awarding contracts to large companies, SpaceX introduced a new method where private companies bid on specific tasks or missions. This approach allowed SpaceX to have more control over the design and construction of their rockets. They took on financial risk and were only paid upon successfully completing milestones, which incentivized results and fostered innovation.

Photo by Sebastian Leonhardt on Unsplash

Another important production philosophy of Musk is to have tight end-to-end quality and cost control through vertical integration, while also applying first-principles thinking:

Design-manufacturing feedback loop: Musk follows the principle instilled by Steve Jobs and Jony Ive at Apple, where design is not just about aesthetics but also about connecting the looks of a product to its engineering. However, Musk takes it a step further by applying this obsession not only to product design but also to the underlying science, engineering, and manufacturing. This approach highlights the importance of connecting the art form with its underlying science, which is one of the key themes in Zen and the Art of Motorcycle Maintenance.
Redesigning the manufacturing process: While creating a good car is important, Musk believes that creating efficient manufacturing processes and factories is even more crucial. In order to have tight control over the manufacturing process, Musk redesigned the assembly line. This involved questioning every requirement, making quick decisions to change or remove elements, and iterating on a daily basis. This design-manufacturing feedback loop has given Tesla a competitive advantage in its manufacturing process, resulting in solutions that are simple in design, communication, and cost.

Photo by Maksym Kaharlytskyi on Unsplash

02 Inspirations from science fictions, toys, and games

Musk often thinks at the scale of what truly impacts humanity, and this includes endeavors in space travel, internet infrastructure, sustainable energy, and artificial intelligence. He believes technology does not automatically progress, it requires human agency. While he sees the mass production of electric cars as inevitable, he believes that becoming a space-facing civilization is not. For example, although America had achieved sending men to the moon in the 1970s, there had been little progress until Musk founded SpaceX.

Musk had founded SpaceX, he liked to say, to increase the chances of human consciousness surviving by making us a multi-planetary species. Tesla and SolarCity were established to lead the way towards a sustainable energy future. Starlink was created to promote freedom of information, while Optimus and Neuralink were launched to develop human-machine interfaces that would protect us from malevolent artificial intelligence.

Beyond thinking at the grand, historical scale of humanities, I really enjoyed learning how he took inspiration from science fictions, toys, and games, exemplifying combined creativity at the intersection of arts and technology.

Inspiration from science fictions

The most notable source of sci-fi inspiration was from the Hitchhiker’s Guide to the Galaxy, which featured a supercomputer designed to figure out the “Answer to The Ultimate Question of Life, the Universe, and Everything.” Moreover, the idea for Neuralink was inspired by the space-travel novels Culture by lain Bank, which feature a human-machine interface technology called “neural lace” that is implanted into people and can connect all of their thoughts to a computer.

Inspiration from toys

Musk mentioned getting ideas from the design of toys and the production process of the toy industry. For example, a little model car has inspired him to make real cars using big casting presses and Legos helped him understand the importance of precision manufacturing. When Musk inspected the Lego factory floor, he learned that each piece is accurate and identical to within ten microns, which means any part can easily be replaced by another — precision is not expensive, it’s mostly about caring to make it precise. On the production process, Musk also learned that toy companies need to produce things very quickly and cheaply without flaws and manufature them all by Christmas.

Inspiration from video games

When designing new car models for Tesla and someone proposed something conventional, Musk would push back and forth to the car from the video game Halo, Cyberpunk 2077, or from Riddle Scott’s movie Blade Runner as design inspiration. The other genre of games Musk loved is strategy games, including Civilization, Warcraft: Orcs and Humans, and Polytopia. Players in these games take turns making moves as they compete to win a military or economic campaign using clever strategy, resource management, and decision-tree tactical thinking. Musk’s passion for strategy games provides a window to understand his intensity, focus, competitiveness, die-hard attitudes, and love of strategy for business.

03 Bridging virtual and physical AI

Solving full autonomous driving is to solve real-world AI and Musk attempted to bridge virtual and physical artificial intelligence with Tesla and Twitter/X, which could provide the data sets and the processing capability for both approaches: teaching machines to navigate in physical space and to answer questions in natural language. In his grand vision, with Full Self-Driving, the Otimus robot, and the Dojo ML supercomputer, Tesla will not just be a car or clean-energy company, it will be an artificial intelligence company that operated not only in the virtual world of chatbots but also in the physical real world of factories and roads.

Musk sees his ventures as different, yet connected experiments for exploring AI.

Tesla: Besides freeing people from the drudgery of driving, Tesla aims to eliminate the need for people to own cars. Musk envisions a future dominated by Robotaxis, driverless vehicles that can be summoned, take passengers to their destinations, and move on to the next customer. While some Robotaxis may be owned by individuals, most would be owned by fleet companies or Tesla itself.
X/Twitter: The video footage from self-driving cars and the posts on Twitter offer vast flows of real-time data for training and analysis. Musk sees the Twitter feed as a representation of humanity's collective knowledge, capturing real-life human conversations, news, interests, trends, arguments, and lingo.
Neuralink: A device to explore the human-machine interface by connecting our brains to computers through a skull-implanted chip. This allows for faster information exchange and promotes collaboration between humans and machines.
OpenAI: Musk initially had the vision to make OpenAI truly open, allowing many people to build systems based on its source code. He believes that the best defense against AI misuse is to empower as many individuals as possible with AI technology.

04 The other sides of Elon Musk as a human

Much more can be said about Elon Musk's achievements as a technology entrepreneur. However, beyond his accomplishments, the biography also sheds light on other aspects of Elon Musk's life, including his role as a partner, father, and friend. It explores his risk-taking nature, a maniacal sense of urgency, recklessness, mood swings, and occasional toxicity towards towards people around him. Elon Musk exemplifies the human experience - daring to dream big and change the world, while also grappling with his limitations and weaknesses.

If anything, reading Elon Musk made me realize the greatness we can achieve as humans, while reminding us of the underlying trade-offs we’re constantly making for ourselves, our loved ones, and the environment.

Finite and Infinite Games as Modern Analogies

September 07, 2023 in reading-notes

I was first introduced to Finite and Infinite Games in 2016, a book by James P. Carse, who was a Professor of History and Literature of Religion at NYU. At the time, its influence was cited by Chinese tech entrepreneurs like Wang Xing, founder of Meituan, and Kevin Kelly, cofounder of Wired magazine and author of Out of Control. Lately, I started this book out of curiosity to rethink the familiar concept of gameplay in everyday life.

01 Boundary differentiates finite and infinite games

As the title suggests, Carse argues that there are two types of game in the world: finite and infinite games. Finite game is played for the purpose of winning, with an agreed winner and an end, whereas an infinite game is played for the purpose of continuing the play.

To play a finite game, players must agree to a set of externally defined spatial and numerical boundaries. For example, a game is played in that place, with those people. Each game is defined by its rules, or its range of limitations on the players, which allow considerable room for choice within those restraints and by which the players can agree who has won.

On the contrary, an infinite game does not have such boundaries. The rules of an infinite game evolve to prevent anyone from winning the game and to bring as many people as possible into the play. This resembles the mechanics of open-world games like Minecraft and The Legend of Zelda, where players can freely choose how to approach the game without the traditional linear structure. In short, finite players play within boundaries; infinite players play with boundaries.

Emotionally, it’s interesting to note that finite game feels serious because of the competitive nature of the zero-sum game, whereas infinite game comes with laughter and feels like play because new possibilities are continuously discovered to be explored with other players.

02 Power through title is won in a finite game

In a finite game, what one wins is a title. When a person is known by title, the attention is on a completed past and may take a person out of play. On the other hand, infinite players are only known by their names and the attention of others is open to the possibility of their future interactions. This is a gentle reminder to focus on the concrete, specific person, instead of the abstract titles.

Carse argues that titles are theatrical, where each title has a specified ceremonial form of behavior. This reminds me of a common improv acting technique to assign titles to your partner to shape the relationship in the narrative. For example, using titles such Captain, Mrs., Professor, Comrade, Father, Secretary signals the mode (e.g. appropriate respect), the content (e.g. only certain subjects are suitable for discussion with the District Attorney), and the manner (e.g. shaking hands, bowing, averting the eyes) of address.

Unsurprisingly, titles also conveyed power. Power can only be measured in relation to others and is determined by the amount of resistance one can displace within spatial and temporal limits. Those around them are expected to withdraw their opposition and conform to their will in the area (i.e. the game) the title was won. Validity of these titles depends on the repeatability of the game.

The finite player plays to be powerful, whereas the infinite player plays with self-sufficient strength. Power refers to the freedom people have within limits, strength is the freedom people have with limits. Strength is allowing others to do what they wish in the course of my play with them, whereas power is considering how much resistance can I overcome relative to others.

Carse further argues that society is a finite game whereas culture is an infinite game. A society preserves its memory of past winners with record-keeping functions like large bureaucracies to maintain social order. Culture, on the other hand, has no boundaries and anyone can participate and shape. Cultural deviation does not return us to the past, but continues what had begun and not finished in the past. In contrast, social convention requires that a completed past be repeated in the future.

03 Storytelling can be seen as an infinite game

Storytelling can be seen as an infinite game. A good story presents a vision that moves and inspires you with its underlying belief. The interactive and engaging elements of storytelling is what truly connects the speaker and the listener. The end of a compelling story is the new beginning of the listener’s imagination and reflection on their own journey, which is similar to how an infinite game continues the play without true ending.

When comparing storytelling with explanation, Carse argues that explanation settles issues, showing that matters should reasonably end as they have. Narrative raises issues and inspires reflections in others. In this case, explanation sets the need for further inquiry aside, whereas narrative invites us to rethink what we thought we knew. I see where Carse’s argument is coming from, but am not convinced that explanation is a finite game in this sense.

The concept of explanation actually makes me think of its inherent role in interpreting and predicting the future. If the rules governing past events can be discovered and explained, we can make better prediction about the future. This captures an important philosophy of user experience research as a discipline: if we can understand the motivation that guides human behaviors and perceptions, we can meaningfully derive aggregate patterns of human needs to inform investments for the future. Investing in research is a way to play the infinite game, where the focus is to co-create a long-term vision on the horizon. The more insightful framework we have to understand a problem space based on existing behaviors, the better we can predict and build for the future. In this example, explanation is also an infinite game that opens up new possibilities.

04 Garden is an infinite game, while machine isn’t

Carse further extends the finite and infinite games framework to the machine and garden analogy. Think of a gardener who uses machine as a tool to help with gardening. Machine is a finite game because it is operated to complete a task. When it is most effective, the tool becomes invisible and eliminates itself because the effort is minimal. Garden, on the other hand, is a place of growth and maximized spontaneity. “To garden is to design a culture capable of adjusting to the widest possible range of surprise in nature.”

Machinery can exist in the garden quite as finite games can be played within an infinite game. Technology is a tool that helps with gardening as a means to an end, not the end itself. The question is not one of restricting machines from the garden but asking whether a machine serves the interest of the garden.

Additionally, the relationship between the machine and its operator is very much like how humans interact with technology today. We often think of a machine as a tool—the extended arms and legs of the operator. However, Carse suggested that “to use the machine for control is to be controlled by the machine.” For example, when using a search engine, many start with a broad query then gradually refine and add keywords as they review the result. This is not how we naturally talk to others when we look for things. Search engines are designed to help look up information today as a tool, but we as operators are also trained to interact with it in such specific ways.

05 Celebrate spontaneity and forgo control

In the garden analogy, gardeners celebrate variety and spontaneity, which may seem chaotic and out of control on the flip side. But vitality comes from an abundance of styles and sources of change. Gardeners are acutely attentive to the deep patterns of natural order, while having the freedom to choose how to play with nature and its force.

If we play the finite game, the more power we exercise over nature, the more powerless we become before it. In a matter of months we can cut down a rainforest that took tens of thousands of years to grow, but we are helpless in repulsing the desert that takes its place. The human desire to control and organize chaos means transforming the remote into the familiar. When we attempt to take control of nature, we’re essentially reducing an unpredictable vitality to a predictable mass. Sometimes, the desire for control, just like the need to declare war, is a way for us to re-identify ourselves.

Ultimately, Carse gently nudges us to rethink the type of game we are playing. When it comes to interacting with other humans or with nature, it’s easy to go straight to playing the finite game, so we can gain the immediate reward quicker. Carse reminds us to think about the trade-offs behind these finite games and whether they truly serve the interest of the garden—the infinite game—that we are working towards.

置身事内

July 09, 2023 in reading-notes

While visiting China in June, I read Xiaohuan Lan’s new book Chinese Government and Economic Development as an introduction to learn about how the government influenced and managed economic development in China. This post summarized my reading notes, including discussions on the operation model of a government-led economy, as well as its benefits and drawbacks in the long run.

六月在国内休假时读完了兰小欢 2021 年出版的《置身事内：中国政府与经济发展》，补充了很多中国政治经济的入门知识。很多术语和概念以前仅仅听过，却一直没有去认真理解中国政府、政策、经济与民生之间的关系，尤其政府是具体如何参与和推动经济发展的。

兰小欢在书中切入的角度偏学术研究，侧重于从社会运行的角度描述政府及其财政体系的运作模式。书中描述的政府对于企业的参与和扶持，实际上只侧重反映了政府对上市或过千万营收的大企业的扶持。书中没有提及政府对于中小企业的参与，实际上，从中小企业管理者的角度看来，政府对小企业的扶持极少。书中描述的是理论上政府在经济中的角色，并没有深入描述现实中出现的诸多问题，比如重复投资所带来的资源浪费、众多烂尾的大项目、政府扶持企业所引起的市场垄断、以及随之带来的市场效率降低和小企业的积极性减少等等。不过这本书作为入门读物，帮助读者建立基础认知还是很有帮助的。

01 地方政府的事权划分和制度设计

政府的核心任务是发展经济。而发展经济是一个复杂庞大的任务，需要各个政府层级协作，优化资源的分配和利用。那么具体怎么协作呢？这就需要决定好怎么样划分事权 —— 决定了做哪些事，才能决定用哪些资源，也就是「制度设计」。

我觉得最有趣的部分是借此观察事权分配的逻辑，并且比较政府管理和企业管理的相似和不同之处。一个企业，往往管理层的事权划分有按业务为边界划分的（比如 Head of Ads）、按职位类别划分的（比如 Head of Engineering）、或按地理边界划分的（比如 Head of APAC）。具体按什么为边界划分涉及到三个基本原则：规模经济（Economies of scale）、信息复杂性、和激励相容（Incentive compatibility）。

规模经济（Economies of scale）：在国家管理层面，这里具体指公共服务的规模经济。按照经典经济学的看法，政府的核心职能是提供公共物品和公共服务，比如国防和公园。这类物品一旦生产出来，大家都能用，用的人越多就越划算——因为建造和维护成本也分摊得越薄，即「规模经济」。
信息复杂性：行之有效的管理，必然要求掌握关键信息，因此实际权威来自信息优势。而获取和传递信息需要花费大量时间精力，上级要不断向下传达，下级要不断向上汇报，平级要不断沟通，作为信息载体的文件和会议也成了权力的载体之一。因此，一套复杂的文件和会议制度就成了权力运作重要的部分。
激励相容（Incentive compatibility）：即一方想做的事，另一方既有意愿也有能力做好。发展经济是一个很宏观的工作，上级往往只有大致目标，需要下级发挥主动性和创造性调动资源去达成。首先要明确地方政府的权利和责任，一般一个地区谁主管谁负责，以行政区划为权责边界。其次是权力和资源的配置要制度化，不能朝令夕改。财政体制的设计也很重要，明确了收入和支出的划分，也就约束了谁能调用多少资源，不能花过头的钱，也不能随意借债。

这些原则的目的是为了有效处理不同群体的利益差别与冲突。完全没有冲突当然不可能，但如果能让各个群体对利益和代价的看法趋同，也能消解很多矛盾，增强互信。因此，国家对其公民都有基本的共同价值观教育，包括历史教育和国家观念教育。

02 招商引资和土地财政

中国地方政府的权力非常广泛，不仅提供公共服务，也深度参与经济的生产和分配。因此，招商引资不仅是招商局的职能，也是地方政府的核心任务。从生产和供给的角度，地方政府是城市土地的所有者，为了招商引资发展经济，会把工业用地以非常优惠的价格转让给企业使用，并负责对土地进行一系列初期开发，比如「七通一平」（通电、通路、通暖、通气、给水、排水、通信，以及平整场地）。

总的来说，对企业至关重要的生产要素，地方政府几乎都有很强的干预能力。其中土地直接归政府所有，资金则大多来自国有银行主导的金融体系和政府控制的其他渠道，比如国有投融资平台。对于劳动力，政府控制着户口，也掌握着教育和医疗等基本服务的供给，还掌握着土地供应，直接影响住房分配。而生产中的科技投入，也有相当大一部分来自公立大学和科研院所。除此之外，地方政府还有财税政策、产业政策、进出口政策等工具，都可能对企业产生重大影响。

政府的事权要求相应的财力支持，否则事情就办不好。事权与财力匹配很合理，但从预算收入的角度，地方政府是否也应该有与事权相适应的收钱的权力，让「事权与财权匹配」呢？实际情况是地方政府的支出和收入差距很大，地方财政预算支出一直高于预算收入。近些年地方预算支出占全国预算支出的85%，但收入只占50%—55%，入不敷出的部分则通过中央转移支付来填补。

1998年后，城市土地的真正价值才开始显现。1997—2002年，城镇住宅新开工面积年均增速为26%，五年增长了近4倍。一是单位取消住房福利的分配，而改为在工资中发住房补贴的形式，让职工凭个人的工资收入购买或租用住房，商品房和房地产由此开始兴起。二是修订后的《中华人民共和国土地管理法》开始实施后规定了农地想要转为建设用地必须经过征地后变成国有土地，确立了城市政府对土地建设的垄断权力。

「土地财政」是什么？

为了应对财务压力，地方政府发展出了「土地财政」，即通过卖土地来获得巨额的土地使用权转让收入，以及与土地使用和开发有关的各种税收收入。其中大部分税收的税基是土地的价值而非面积，所以税收随着土地升值而快速增长。这些税收分为两类，一类是直接和土地相关的税收，主要是土地增值税、城镇土地使用税、耕地占用税和契税。2018年，这四类税收共计15081亿元，占地方公共预算收入的15%，相当可观。另一类税收则和房地产开发和建筑企业有关，主要是增值税和企业所得税。若把这些税收与土地转让收入加起来算作「土地财政」的总收入，2018年其收入相当于地方公共预算收入的89%。

出让的土地中，商住用地虽然面积中只占一半，但贡献了几乎所有土地使用权转让收入。因此「土地财政」实际上是「房地产财政」。地价的飞涨一方面随着各地补贴工业用地，大力招商引资，推动了制造业的快速发展；另一方面，随着工业化和城市化的发展，经济发达地区涌入大量新增人口，而这些地方的住宅用地供给却不足，房价自然飞涨，同时也带动地价飞涨。

土地财政的优势：资本化土地从而快速提供大量资金发展城市和工业

回到经济发展的本质，其实就是提高资源使用效率。而在中国的经济起步阶段，对于庞大的人口基数来说，自然资源相对贫乏。因此，能利用的资源主要是人力和土地。过去几十年的很多政策改革大多和盘活这两项资源、提高其使用效率有关。与人力相比，土地更容易被资本化，将未来的收益转化为今天高升的地价，为地方政府所用。因此，「土地财政」虽然有诸多弊端，但确实是过去这些年城市化和工业化得以快速推进的重要资金来源。

地方政府在招商引资和城市化的过程中，需要通盘考量税收收入和土地使用权转让收入，以达到总体收入最大化。举个例子，地方政府会压低工业用地价格，因为工业对经济转型的带动作用强，能带来增值税和其他税收，还能创造就业。而且工业生产率提升空间大，既能帮助本地实现现代化，也能带动服务业的发展，拉动商住用地价格上涨。另外，工业生产上下游链条长，产业集聚和规模经济效果显著，若能发展出特色产业集群（如佛山的陶瓷），也就有了长久的竞争优势和稳定的税收来源。

此外，地方之间招商引资竞争非常激烈。虽说工业和商住用地都由地方政府垄断，但工业企业可选择落地的地方很多，所以在招商引资竞争中地方政府很难抬高地价。商住用地则不同，主要服务本地居民，土地供应方的垄断力量更强，更容易抬高地价。因此，分税制改革后经济的快速发展得益于各个行政区通过税收和土地来进行招商引资的竞争，从激励相容的角度，上下级政府间层层承包责任和分享收益的制度框架。

经济学家张五常曾做过一个比喻：地方政府就像一家商场，招商引资就是引入商铺。商铺只要交一个低廉的入场费用（类似工业用地转让费），但营业收入要和商场分成（类似增值税，不管商铺是否盈利，只要有流水就要分成）。商场要追求总体收入最大化，所以既要考虑入门费和租金的平衡，也要考虑不同商铺间的平衡。一些商铺大名鼎鼎，能为商场带来更大客流，那商场不仅可以免除它们的入门费，还可以降低分成，甚至可以倒贴（类似地方给企业的各种补贴）。

土地财政的弊端：地方政府的债务问题

土地的资本化运作，本质是把未来的收益抵押到今天去借钱，如果借来的钱投资质量很高，转化成了有价值的资产和未来更高的收入，那债务就不是大问题。但地方官员任期有限，难免会催生短视行为，寅吃卯粮，过度借债去做大项目。功是留在当代了，利是不是有千秋，就是下任领导的事了。如此一来，投资质量下降，收益不高，债务负担就越来越重。

制度一直如此，为什么前些年问题似乎不大？因为经济发展阶段变了。在工业化和城市化初期，传统农业生产率低，只要把农地变成工商业用地，农业变成工商业，效率就会大大提升。但随着工业化的发展，市场竞争越来越激烈，技术要求越来越高，先进企业不仅需要土地，还需要产业集聚、研发投入、技术升级、物流和金融配套等，很多地方并不具备这些条件，徒有大量建设用地指标不一定有用了。

另外，分税制改革之后，中央和省分成，省也要和市县分成。可因为上级权威高于下级，所以越往基层分到的钱往往越少，但分到的任务却越来越多，基层财政变得很困难。这最终涉及了财税体制的层级问题：要不要让财政制度更扁平化？如果要，具体怎么实施呢？

3. 土地金融

「土地金融」是什么？

再穷的国家也有大片土地，土地本身并不值钱，值钱的是土地之上的经济活动。若土地只能用来种小麦，价值便有限，但如果能吸引工商企业和人才，价值想象的空间就会被打开，笨重的土地就会展现出无与伦比的优势：它不会移动也不会消失，天然适合做各种资本交易的抵押，地价自然飞涨。

土地资本化的魔力，在于可以挣脱物理属性，在抽象的意义上交易承诺和希望，将过去的储蓄、现在的收入、未来的前途，统统汇聚和封存在一小片土地上，使其价值快速增长。由此产生的能量支撑起了工业化和城市化的巨大投资。经济发展的核心之一，正是把有形资产转变成为这种抽象资本，从而聚合跨越空间和时间的资源。

那么「土地金融」具体如何操作？

土地开发可细分为一级和二级开发。用术语来说，一块划出来的「生地」，平整清理后才能成为向市场供应的「熟地」，这个过程称为「土地一级开发」。「一级开发」投入大、利润低，且涉及拆迁等复杂问题，一般由政府融资平台公司完成。之后的建设和运营称为「二级开发」，大都由房地产公司来做。大多数城市的休闲娱乐项目。比如遍及全国的万达广场和上海新天地，都是政府一次性出让土地使用权，由民营企业（如万达集团和瑞安集团）开发和运营。当地的融资平台公司一般只参与前期的拆迁和土地整理。

与成都宽窄巷子或上海新天地这样的商业项目相比，开发工业园区更像基础设施项目，投资金额大（因为面积大）、盈利低，大都由融资平台类国企主导开发，之后交给政府去招商引资。政府付费使用私营企业开发建设的基础设施的模式叫「政府和社会资本合作」（Public-Private Partnership, PPP）。那么，企业和政府的边界在哪里呢？从实际业务和行为模式来看，融资平台类公司就是企业和政府的混合体，而民营企业如华夏幸福，又承担着政府的招商职能。现实世界中没有定义，只有现象，只有环环相扣的权责关系。或者按张五常的说法，只有一系列合约安排。

「城投公司」又是什么？

1994年分税制改革后，中央拿走了大部分税收。但因为有税收返还和转移支付，地方政府维持运转问题不大。但地方还要发展经济，要招商引资，要投资，都需要钱。土地价值飙升后，政府不仅靠土地使用权转让收入支撑起了「土地财政」，还将未来的土地收益资本化，从银行和其他渠道借入了大量资金，利用「土地金融」推动了快速的工业化和城市化。但同时也积累了大量债务。

这套模式的关键是土地价格。只要不断地投资和建设能带来持续的经济增长，城市就会扩张，地价就会上涨，就可以偿还连本带利越滚越多的债务。可经济增速一旦放缓，地价下跌，土地出让收入减少，累积的债务就会成为沉重的负担，可能压垮融资平台甚至地方政府。

为解决这三个问题，城投公司（即城市建设投资公司）就诞生了，即全国各大城市政府的投资融资平台。发明这套模式的是国家开发银行。1998年，国家开发银行（以下简称「国开行」）和安徽芜湖市合作，把8个城市建设项目捆绑在一起，放入专门创立的城投公司芜湖建投，以该公司为单一借款人向国开行借款10.8亿元。这对当时的芜湖来说是笔大钱，为城市建设打下了基础。当时还不能用土地生财，只能靠市财预算安排的偿还基金做偿债来源。

2002年，全国开始推行土地「招拍挂」（招标、拍卖与挂牌），政府授权芜湖建投以土地出让收益做质押作为还款保证。2003年，在国开行和天津的合作中，开始允许以土地增值收益作为贷款还款来源。这些做法后来就成了全国城投公司的标准模式。

政府投资和土地金融的发展模式的利弊

地方主官任期有限，要想在任内快速提升经济增长，往往只能加大投资力度，上马各种大工程、大项目。以市委书记和市长为例，在一个城市的平均任期不过三四年，而基础设施或工业项目最快也要两三年才能完成，所以往往「新官上任三把火」：上任头两年，基础设施投资、工业投资、财政支出往往都会快速上涨。而全国平均每年都有三成左右的地级市要更换市长或市委书记，所以各地的投资都热火朝天，「政治-投资周期」比较频繁。

投资需要资金，需要土地财政和土地金融的支持。所以在官员上任的前几年，土地出让数量一般都会增加。而新增的土地供应大多位于城市周边郊区，所以城市发展就呈现出了一种「摊大饼」的态势：建设面积越扩越大，但普遍不够紧凑，通勤时间长、成本高，加重了拥挤程度，也不利于环保。

虽然官员的晋升动机与促进经济增长目标之间不冲突，也对地区经济表现有相当的解释力，但这种偏重投资的增长模式会造成很多不良后果。

2016年之前，官员升迁或调任后就无需再对任内的负债负责，而新官又通常不理旧账，会继续加大投资，所以政府债务不断攀升。在经济发展到一定阶段之后，低风险高收益的工业投资项目减少，基础设施和城市建设投资的经济效益也在减弱，继续加大投资会降低经济整体效率，助推产能过剩。此外，出于政绩考虑，地方官员在基础设施投资方面常常偏重「看得见」的工程建设，比如城市道路、桥梁、地铁、绿地等，相对忽视「看不见」的工程，比如地下管网。

政府投资和土地金融的发展模式，一大弊端就是腐败严重。与土地有关的交易和投资往往金额巨大，且权力高度集中在个别官员手中。近些年查处的大案要案大多与土地有关，在最高检《检察日报》从2008年到2013年报道的腐败案例中，近一半与土地开发有关。
1994年分税制改革后，财权集中到了中央，但通过转移支付和税收返还，地方政府有足够的财力维持运转。但几乎所有省份，无论财政收入多寡，债务都在飞速扩张。可见政府债务问题根源不在收入不够，而在支出太多，因为承担了发展经济的任务，要扮演的角色太多。因此债务问题不是简单的预算约束问题，也不是简单修改政府预算框架的问题，而是涉及政府角色的问题。为了改善这些问题，未来的路径是逐渐简政放权，从生产投资型政府逐步转向服务型政府。

04 政府深度参与工业化经济

现实世界没有清楚的「市场」和「政府」分界，只有利益关系环环相扣的各种组合。中国经济的起点是计划经济，所以地方政府掌握着大量资源（土地、金融、国企等），不可避免会介入实业投资。

生产复杂产品的能力与法制和营商环境直接相关。从2000年到2018年，中国出口商品的复杂程度从世界第39位上升到了第18位。这不仅反映了技术能力和基础设施等硬件质量的提升，也反映了营商环境和法制环境等软件质量的提升。因为复杂的产品和产业链涉及诸多交易主体和复杂商业关系，投资和交易金额往往巨大，所以对合同的制订和执行、营商环境稳定性、合作伙伴间信任关系等都有很高要求。各国产品的复杂程度与本国法制和营商环境之间直接相关。

新型制造业如何选址？新兴制造业在地理上的集聚效应很强，因为扎堆生产可以节约原材料和中间投入的运输成本，而且同行聚集在一起有利于知识和技术交流，外溢效应很强。因此产业集群一旦形成，自身引力会不断加强，很难被外力打破。但在产业发展早期，究竟在哪个城市形成产业集群，却有很多偶然因素。大部分新兴制造业对自然条件要求不高，不会特别依赖先天自然资源，而且我国基础设施发达，物流成本低，所以一些内陆的中心城市虽然没有沿海城市便利，但条件也不是差很多。这些城市若能吸引一些行业龙头企业落户，就有可能带来一大片相关企业，在新兴产业的发展中占得一席之地，比如合肥的京东方和郑州的富士康等。

政府扶持行业的负面影响：引起产能过剩和重复投资

很多行业都有很强的周期性。市场价格高涨时很多企业进入，供给快速增加，推动价格大跌，让不少企业倒闭，而低价又会刺激和创造出更多新的需求和应用场景，推动需求和价格再次上涨。一个例子是显示面板，这种周期性的产能过剩已经清洗掉了很多企业，行业中心也在一轮轮的清洗中从美国转到日本，再到韩国和台湾，再到大陆。招商引资竞争所引发的重复建设确实屡见不鲜，尤其在那些技术门槛较低、投资额度较小的行业，比如曾经的光伏行业。

无论是欧美还是日韩，光伏的需求都是由政府补贴创造出来的。中国在开始进入这个行业时面临：需求和市场来自海外，关键技术和设备来自海外，关键原材料也来自海外。所以基本就是一个代工行业。但当时光伏发电成本太高，国内市场用不起。在地方政府廉价的土地和信贷资源支持下，大量本土光伏企业在海外用低价占领市场，并在这个过程中不断技术创新，逐步进入技术更复杂的产业链上游，以求在产能过剩导致的激烈竞争中占据优势。但由于最终市场在海外，所以一旦遭遇欧美「双反（反倾销、反补贴）」，就从需求端打击了全行业，导致大量企业倒闭。
但积累的技术、人才、行业知识和经验，并不会随企业破产而消失。一旦需求回暖，这些资源就又可以重新整合。2013年以后，国内市场需求打开，光伏发展进入新阶段。因为整条产业链都在国内，所以同行沟通成本更低，开始出现全产业链的自主和协同创新，各环节共同优化，加速了技术进步和成本下降。这又进一步扩大了我国企业的竞争优势，更好地打开了国外市场。2018年以后，低价高效的光伏技术刺激了全球需求的扩张。中国企业当年开拓海外市场的经验和渠道优势，现在又成了它们竞争优势的一部分。
从光伏产业的发展中，我们还可以看到「东亚产业政策模式」的另一个特点：强调出口。当国内市场有限时，海外市场可以促进竞争，迫使企业创新。补贴和优惠政策难免会产生一些低效率的企业，但这些企业在面对挑剔的海外客户时，是无法过关的。而出口量大的公司，往往是效率相对高的公司，它们市场份额的扩大，会吸纳更多的行业资源，压缩国内低效率同行的生存空间，淘汰一些落后产能。当然，中国要应对的国际局势变幻比小国更加复杂，所以不断扩大和稳定国内市场，才是行业长期发展的基础。另一方面，若地方政府利用行政手段阻碍落后企业破产，就会阻碍优胜劣汰和效率提升，加剧产能过剩的负面影响。

政府扶持行业的负面影响：资源错配和浪费

就算中央政府提倡的产业政策是普惠全行业的，并不针对特定企业，但到了地方政府，政策终归要落实到「特定」的本地企业头上。若地方政府保护本地企业，哪怕是低效率的「僵尸企业」也要不断输血和挽救，做不到劣汰，竞争的效果就会大打折扣，导致资源的错配和浪费。这是很多经济学家反对产业政策的主要原因。尤其是，我国地方政府有强烈的大项目偏好，会刺激企业扩张投资。企业一旦做大，就涉及就业、稳定和方方面面的利益，不容易破产重组。

重复投资的一个好处是能够「保持竞争」

所以在很长一段时间内，「成本创新」是本土创新的主流。虽然被西方讽为仿造和山寨，但其实成本创新和功能简化非常重要。因为很多在发达国家已经更新迭代了多年的产品，小到家电大到汽车，而当时中国消费者都是第一次使用。这些复杂精密的产品价格高昂，让试用者望而却步。如果牺牲一些功能和质量能让价格大幅下降，就有利于产品推广。当消费者开始熟悉这些产品后，会逐步提升对质量的需求。正因如此，很多国产货都经历了所谓「山寨 + 价格战」的阶段。但行业正是在这种残酷的竞争中迅速洗牌，将资源和技术快速向头部企业集中，质量迅速提高。就拿家电行业来说，国产货从起步到质优价廉、服务可靠、设计精美，占领了大部分国内市场，也就是20年的时间。市场经济的根本优势不是决策优势，而是可以不断试错，在竞争中优胜劣汰。

什么是「政府产业引导基金」？

政府产业引导基金既是一种招商引资的新方式和产业政策工具，也是一种以市场化方式使用财政资金的探索。与地方政府投资企业的传统方式相比，产业引导基金或投资基金不直接投资企业，而是做LP，把钱交给市场化的私募基金的GP去投资企业。一支私募基金的LP通常有多个，不止有政府引导基金，还有其他社会资本。因此通过投资一支私募基金，有限的政府基金就可以带动更多社会资本投资目标产业，故称为「产业引导」基金。同时，因为政府引导基金本身就是一支基金，投资对象又是各种私募基金，所以也被称为「基金中的基金」。

政府产业引导基金的弊端：财政资金的地域属性与资本无边界之间的矛盾。在成熟的资本市场上，机构类LP追求的就是财务回报，并不关心资金具体流向什么区域，哪里挣钱就去哪里。但地方政府引导基金源自地方财政，本质还是招商引资工具，所以不可能让投资流到外地去，一定要求把产业带到本地来。
无论是土地还是税收优惠，都无法改变招商引资的根本决定因素，即本地的资源禀赋和经济发展前景。在长三角、珠三角以及一些中心城市，大企业云集，各种招商引资工具包括引导基金，在完成招商目标方面问题不大。但在其他地区，引导基金招商作用其实不大，反而造成了新的扭曲。有些地方为吸引企业，把本该是股权投资的引导基金变成了债权工具。
比如说，引导基金投资一亿元，本应是股权投资，同赚同亏，但基金却和被投企业约定：若几年后赚了钱，企业可以低价回购这一亿元的股权，只要支付本金再加基本利率（2%—5%）就行；若企业亏了钱，可能也需要通过其他方式来偿还这一亿元本金。这就不是股权投资了，而是变相的低息贷款。
再比如，引导基金为吸引其他社会资本一起投资，承诺未来可以收购这些社会资本的股权份额，相当于给这些资本托了底，消除了它们的投资风险，但同时也给本地政府增加了一笔隐性负债。这种「名股实债」的方式违背了股权投资的原则，也违背了「去杠杆」和解决地方政府债务问题的初衷，是中央政府明确禁止的。

05 城市化与房地产

城市化的所需要的钱从哪里来？

城市化需要投入大量资金建设基础设施，而「土地财政」和「土地金融」是非常有效的融资手段。通过出让城市土地使用权，积累以土地为信用基础的原始资本，推动工业化和城市化快速发展。

中国特有的城市土地国有制度，为政府垄断土地一级市场创造了条件，将这笔隐匿的财富变成了启动城市化的巨大资本，但也让地方财源高度依赖土地价值，依赖房地产和房价。房价连着地价，地价连着财政，财政连着基础设施投资，于是经济增长、地方财政、银行、房地产之间就形成了「一荣俱荣，一损俱损」的关系。这种以土地为中心的城市化忽视了城市化的真正核心：人。地价要靠房价拉动，但房价要由老百姓买单，按揭要靠买房者的收入来还。所以土地的资本化，实质是个人收入的资本化。

房地产的供需矛盾

房地产常被称作「经济周期之母」，根源就在于其内在的供需矛盾：一方面，银行可以通过按揭创造几乎无限的新购买力；而另一方面，不可再生的城市土地供给却有限。这对矛盾常常会导致资产泡沫与破裂的周期循环，是金融和房地产不稳定的核心矛盾。而房地产不仅连接着银行，还连接着千家万户的财富和消费，因此影响很大。

缩小贫富差距的本质是让人和土地自由流动，价值才会增长

要实现地区间人均收入均衡、缩小贫富差距，就要增加低收入群体的流动性和选择权，帮他们离开穷地方，去往能为他的劳动提供更高报酬的地方，让他的人力资本更有价值。同时也要允许农民所拥有的土地流动，这些土地资产才会变得更有价值。

累积的财富差距一般远大于每年的收入差距，因为有财富的人往往更容易积累财富，资产回报更高，可选择的投资方式以及应对风险的手段也更多。按照中国人民银行对城镇居民的调查数据，2019年净资产最高的20%的家庭占有居民全部净资产的65%，而最低的20%只占有2%。在经济发达、资产增值更快的沿海省份，父母累积的财产对子女收入的影响，比在内地省份更大。当经济增速放缓、新创造的机会变少之后，年轻人间的竞争会更加激烈，而其父母的财富优势会变得更加重要。

中国的城市化的三个阶段

第一阶段是1994年之前，乡镇企业崛起，农民离土不离乡，城市化速度不快。第二阶段是1994年分税制改革后，乡镇企业式微，农民工进城大潮形成。这个阶段的主要特征是土地的城市化速度远远快于人的城市化速度，土地撬动的资金支撑了大规模城市建设，但并没有为大多数城市新移民提供应有的公共服务。第三个阶段是十八大以后，城市化的重心开始逐步从「土地」向「人」转移。

对于中国政治经济这个庞大复杂的课题，《置身事内》带我认识了一些最基础的概念，但实在还有太多需要学习的了，若笔记中有错漏偏颇之处，请大家评论指正。

怦然心动的人生整理魔法

May 07, 2023 in reading-notes

“经过整理，物品减量之后，自己在生活中重视的是什么，还有价值观，都变得一目了然。并非是要一味地追求物品减量，有效收纳，而是要去尝试用心动的感觉选择物品，并学会用自己的基准享受生活，这才是整理的奥义。” —— 近藤麻理惠

读近藤麻理惠的《怦然心动的人生整理魔法》的契机是因为近两年一直在思考怎么样建立一个简单清爽，可持续，又适合自己的生活和信息汲取系统，进而释放更多能量和精力给真正重要的事情。实际上，写这个订阅周报也源于想要建立一个更专注的信息汲取机制，给自己充分的理由在两周内只集中阅读某一方向的信息，而不会感到焦虑或信息过载。今年受好友的启发，开始尝试「断舍离」的生活方式，于是想认真了解这类生活方式背后的理论。一口气读完这本书后，对「整理」这件看似平平无奇的事情也有了全新的认识。

01 透过整理物品，去面对自己「过去的执着」和「对未来的不安」

在开始整理前，需要仔细思考整理的目的，这也可以说成是「思考理想的生活」。思考「为什么想要过这样的生活」时，对于自己说出的回答，要反复追问自己「为什么？」三到五次。如此一来，开始整理后该做的其实只有两件事，那就是「判断物品是否要丢掉」和「决定物品的定位」。判断物品该留下或是丢掉时，应该以「拥有这样物品是否幸福」作为标准，也就是说「拥有时是否感到心动」。把东西一个一个拿在手里「触碰时是否怦然心动？」是判断时最简单又正确的方法，因为只被心动的东西所围绕的生活才是我们想拥有的人生。按「物品类别」，以「正确的顺序」，只留下「心动的东西」。这件事要「一口气」，在「短时间」内「彻底」完成。

多数人不会整理的最大原因就是东西太多；而东西不断增加的最大原因是因为没有掌握自己现有物品的数量；而这其实是因为收纳场所分散所致。因此，整理的关键之一是按照物品类目，而不是房间来思考。把同一类目的物品集中在一处，会被迫发现一直逃避而不得不解决的问题。人们常常通过收纳把不要的东西盖上盖子，乍看之下误以为问题好像解决了，但其实只是装作没看见而已，并非真正的整理，这样就会陷入一种恶性循环。整理的过程中，透过用手触摸带着回忆的物品，才能与过去面对面。若一直被放在抽屉或箱子里，不管过了多久，都还是会被过去的回忆所牵制，而这些东西或许会在不知不觉之间变成现在的「包袱」。所谓的整理，就是整理每一个过去，让人生可以重新出发。

人们无法丢东西的原因其实只有两个，那就是「对过去的执着」与「对未来的不安」。掌握「自己拥有物品的确切数量」之所以重要，是因为这往往代表了自己生命里的价值观。拥有什么东西，就等同于你的生活态度。了解你拥有物品的方式，也能从中发现你在做一切选择时共通的原则和与人交往的模式，或是选择工作的方式。因为看不清对自己而言必要的东西或自己追求的东西，所以才更容易在不知不觉中增加了不需要的东西，让自己无论在物质或精神上都不断地被不需要的东西所淹没。那么，该怎么才能理清「现在对自己而言必要的东西」呢？不必到远处去寻找，也不必买新的。只要真心地面对自己所拥有的东西，减少不需要的东西即可。

02 认真倾听身体的声音

整理是一件完全不需要与他人比较，基准完全掌握在自己手上的事情。人要被什么样的环境所环绕才觉得幸福，只有当事人能决定。因此，对每一样物品都认真面对「自己的感受」就变得非常重要。占着大量的东西不丢，并不代表就是爱惜物品。恰恰相反，透过减量到自己能够确切掌握和面对的程度，物品与你的关系才会充满生命力。「用是否心动来判断」听起来很抽象，但实际上用某一个理想的数字，比如「两年没用就丢掉」，「买一样就丢一样」或「十件衬衫」才是会反复变乱的原因。因为采用的是他人提示的基准，并不一定符合自己内心觉得舒服的基准，就算暂时变得整齐，最后又会开始变乱。

认真整理时，虽谈不上是进入冥想状态，却会产生一种平静地与自己面对面的感觉。郑重其事地与自己拥有的物品面对面，一一地去感受是否心动，或是有其他的感觉，对已经完成任务的物品表达谢意之后，送走它们，就好像是透过物品与自己对话。面对自己拥有的物品并决定是否丢掉其实是痛苦的过程，因为你会看到过去选择背后的愚蠢，糊涂，无聊和缺点，比如那些明明不需要却因为虚荣买下的贵重的东西，或是逞强买下却完全不适合自己的衣服。东西之所以存在，就是自己的选择造成的结果，不能怪别人。最危险的是明知道这些东西的存在，却装作没看见，仿佛像否定自己的选择一样，粗鲁地把东西丢掉。唯有一一面对每一项物品，好好体验其中的情感之后，才能真正消化与物品的关系，看清对现在的自己而言真正重要的东西。

03 重新思考每件物品所具备的真正功能

「为什么会有这样东西呢？」有时候，如果在买下一件衣服的那一瞬间曾经让你心动，那它就完成了一项任务，就是赋予你「买下那一瞬间的感动」。如果这样的结果让你之后不再买同样的衣服，明白「这种衣服原来不适合自己」，也是这件衣服另一项重要的任务。那么，这件衣服已充分完成了自己的任务。每样东西都有它不同的任务，并非所有衣服都要被完全穿坏才来到你身边。这与人与人之间的缘分一样，所遇见的人并非都会变成挚友或恋人。正因为有些人让你觉得「我有点害怕这种人」或「我就是和这种人合不来」，你才会再次体会到「我还是比较喜欢这个人」，越珍惜与这个人的关系。对于「虽不心动，但就是没办法丢掉」的东西，尤其需要一一思考它们的任务。你就会出乎意料地发现，很多东西其实已经完成他们的任务了。我们要做的其实是好好面对物品为我们完成的任务，表示感谢然后放手痛快地解放它们。经过这个过程留下来的东西，才是你真正应该珍惜的东西。

比如书真正肩负的任务是阅读的体验。于是这周重新整理了书柜后，决定捐出42本不再需要的书。很多书陪伴了我快十年，从高中和本科时期就一直带在身边，每次搬家都觉得有它们在身边才比较安心。通过这次整理，在认真面对每一本书带给我的感受时，能观察到这些年自己兴趣的变化。不少要捐掉的书是本科读文学和政治专业课留下来的，如今只保留了对我影响深远的几本；一些商业创业类的书作为工具看电子版就足够；行为科学的知识我偏好直接看论文，所以通俗类的入门书也不再需要。反而是泛设计类，经济学，历史哲学，艺术史，和中英文古典著作都原封不动地保留下来了。书柜里收藏了各个版本的《红楼梦》收藏版和画册，光是看到它们在书架上就觉得「有这本书在这真幸福！」令人时时刻刻心动。当手边不放过多的信息时，对信息的敏感度反而会提高，更容易发现对自己而言必要的信息。除了书以外，也重新整理了礼物。礼物真正的任务是「接受」，送礼物更重要的是传递心意。因此，像近藤麻理惠说的，对一些此刻不再感到心动的礼物致谢后，就可以丢掉了。去体察「当下的心动」，而不是过去的心动。

04 训练判断力和重获决断的信心

人之所以无法丢东西，通常是因为还能用（功能上的价值），还有用（信息上的价值）或还有感觉（感情上的价值）。若再加上很难取得或难以取代的话（稀少价值），就更难以放手了。一开始从难度较低的东西（如衣服和书）开始丢，然后阶段性地培养在整理上的判断力，才比较容易有所进展。因此，顺利丢掉东西的基本顺序依次为：衣服，书籍，文件，小东西，最后才是纪念品。按照这个顺序整理，就能自然而然地训练出识别心动或不心动的感觉。整理魔法的效果之一，就是开始能对自己的判断有自信。在整理过程中，透过重复判断「是否觉得心动」这个瞬间几百次，几千次，判断力自然就被磨练的越来越敏锐。

透过不断地丢东西，就不会想把判断的责任交给别人。换句话说，在发生问题时，不再觉得「那个时候，那个人这么说」，而想把原因归咎于外部。开始能够觉得一切都应该靠自己的判断，重要的是现在该如何行动。有时人们也会因为手边随时都有信息，所以才不付诸行动。所以整理的重点是只留下「心动的」，而不是「可能会用到的」，比如囤积生活用品或者电器说明书之类的，其实只要付诸行动，就能在必要时得到自己需要的信息，比如打电话去电器维修就能找到说明书上相关的内容。这种「就算没有东西也总有办法」的感觉，一旦体验过了，一下子就会变得轻松许多。

你拥有的东西，会正确地诉说自己的选择历史。因为整理也是为了发现自己喜欢事物的自我盘点。达到整理彻底完成的状态时，就不用再想整理的事，所以对人生而言重要的课题自然也会变得明确。整理之后，也更能明白「什么叫做足够」，人能够以最自然的状态生活，珍惜对现在的自己而言真正重要的东西。因此整理房屋最好要迅速完成，因为整理并不是人生的目的，真正的人生在「整理之后」才开始。

The Art of Loving: Reading Notes

December 04, 2022 in reading-notes

I initially read The Art of Loving by Erich Fromm in July 2022, in the hope of reflecting and learning systematically about the theory, science, and best practices of love. The more I learn, the stronger I felt that the education of love is long overdue and missing from our conversations today. I love how Fromm explains the evolution of love as a concept in the context of our biological needs as humans and the Western capitalist society in which we live. In retrospect, many common misconceptions of love could have been avoided have I encountered this book earlier. I noted a few key themes that I deeply resonate with as I go through the book:

Fromm argues Love is Giving

1. Common misconception: Most people see the problem of love primarily as that of being loved, rather than that of loving, of one’s capacity to love. People think that to love is simple, but that to find the right object to love—or to be loved by—is difficult. Fromm argues love is the activity of giving, which lies the highest expression of vitality and productiveness.

2. In capitalist society, love becomes package and commodities of exchange, as being lovable and attractive usually means a package of qualities which are popular and sought after on the personality market for most people. Falling in love becomes a bargain; “the object should be desirable from the the standpoint of its social value, and at the same time should want me, considering my overt and hidden assets and potentialities.”

3. The education of love, and of mature, loving qualities, is missing. As in learning any other art (e.g. music, medicine, engineering), one must both learn the theory and the practice. However, “in spite of the deep-seated craving for love, almost everything else is considered to be more important than love: success, prestige, money, power—almost all our energy is used for the learning of how to achieve these aims and almost none to learn the art of loving.”

How might we develop the ability to love?

4. The ability to love as an act of giving depends on the character development of the person. It assumes the person has overcome dependency, narcissistic omnipotence, the wish to exploit others, or to hoard, and has acquired faith in his own human powers, courage to rely on his powers in the attainment of his goals.

5. The ability to love requires care, respect, responsibility, and knowledge. Respect (the root of the word respicere = to look at) is the ability to see a person as he is, to be aware of his unique individuality. Respect means the concern that the other person should grow and unfold as he is. Respect, thus, implies the absence of exploitation.

6. To respect a person is not possible without knowing him; care and responsibility would be blind if they were not guided by knowledge. I personally love this somewhat brutal analogy: “the child takes something apart, breaks it up in order to know it; or it takes an animal apart; cruelly tears off the wings of a butterfly in order to know it, to force its secret. The cruelty itself is motivated by something deeper: the wish to know the secret of things and of life.”

7. Common misconception: For most people, their own person, as well as others, is soon explored and soon exhausted. It’s easy to assume we already know our partner when we become familiar with each other. But there were more depth in the experience of the other person—if one can experience the infiniteness of his personality—the other person would never be so familiar. Then the experience of overcoming the barriers and separateness might occur everyday anew.

8. In modern society, man overcomes his unconscious despair by the routine of amusement, the passive consumption of sounds and sights offered by the amusement industry; furthermore by the satisfaction of buying ever new things, and soon exchanging them for others. Automatons cannot love; they can exchange their “personality packages” and hope for a fair bargain.

9. Love is possible only if two persons communicate with each other from the center of their existence. Real conflicts between two people, those which do not serve to cover up or to project, but which are experienced on the deep level of inner reality to which they belong, are not destructive. They lead to clarification, they produce a catharsis from which both persons emerge with more knowledge and more strength. There is only one proof for the presence of love: the depth of the relationship, and the aliveness and strength in each person concerned.

10. To master any art, anyone must begin by practicing disciplines, concentration and patience throughout every phase of his life. Concentration is a necessary condition for the mastery of an art. This lack of concentration is clearly shown in our difficulty in being alone with ourselves. To be able to concentrate means to be able to be alone with oneself—and paradoxically, this ability is precisely a condition for the ability to love. To learn concentration requires avoiding, as far as possible, trivial conversation, that is, conversation which is not genuine.

11. Love also requires rational faith. Just as the purpose of education is to help the child realize their full potentialities. The opposite of education is manipulation, which is based on the absence of faith in the growth of potentialities, and on the conviction that a child will be right only if the adults put into them what is desirable and suppress what seems to be undesirable. Having faith in another person means to be certain of the reliability and unchangeability of his fundamental attitudes, of the core of his personality, of his love. To have faith requires courage, the ability to take a risk, the readiness even to accept pain and disappointment.

Value of the Ordinary

February 14, 2018 in reading-notes

This semester, I take a year-long course on Chaucer's literature and we were assigned to read the Canterbury Tales for the spring term. We are now at the Miller's Tale from the first fragment, but I found it quite difficult to appreciate the value behind these medieval comedic stories, where its narration of the ordinary people and their lives are filled with jokes (and sadly I do not find it funny in anyways), adulteries, and superficial horseplays. The style of Medieval conversations for the lower class uses plenty of coarse and even "bawdy" language in their dialogue and storytelling.

Canterbury tales mural by Ezra Winter. North Reading Room, west wall, Library of Congress John Adams Building, Washington, D.C.

During this week's office hour, I asked my professor "what’s the value of comedy, beside serving as a satire and reflecting the state of society at the time? It seems like tragedy has more 'literary value,’ because the themes in tragedy seemed more eternal in humanity research." My professor replied, "the value of comedy lies exactly in the narration of the ordinary. Comedy reflects the social convention at the time, the thoughts, the emotions, the constraints, and the dialogue of the average people … the 'invisible' population from heroic or epic stories. The experience of the ordinary people may be a 'truer' reflection of the society in the history, as opposed to the exciting and heroic stories of the knights and kings. The ordinary has its own unique value, although it is not so easy to appreciate and resonate with what they cared about at the time." I silently agreed and I thought because the value of the ordinary is often "invisible" and "not-so-exciting-to-recount", it is often undervalued and out of sight.

In our modern society, along with our limited attention and mental resources, it is the wisest to place our attention on the more "significant" things and events, rather than spending time on the relatively trivial and mundane. With this mindset, it is great that we can act more efficiently, by attending to the most important and the most "valuable" aspects of the world. But with this focused and "filtered" mindset, we are also vulnerable to overlook the value of the ordinary, the "not-so-significant" events, and the trivial every day life that occupies a huge portion of our daily experience. A hundred years from now, the part of our experience that does not fit into the category of having "historical significance" may be forgotten and become irrelevant for the future, just as how we may find it difficult to appreciate the mundane life of the average medieval people narrated by Chaucer.