Showing posts with label book reviews. Show all posts
Showing posts with label book reviews. Show all posts

2021-09-30

Short reviews: biographies

Books reviewed (all by Walter Isaacson):
The Code Breaker: Jennifer Doudna, Gene Editing, and the Future of the Human Race
(2021)
Steve Jobs: The Exclusive Biography (2011)
Benjamin Franklin: An American Life
(2004)

3.5k words (about 12 minutes)


Why read biographies? If you want stories of people and interesting characters, fiction is better. If you want general, big truths, then you're probably better off reading the many non-fiction books that are about abstract truths and far-ranging concepts rather than the particulars of a single person's life.

Consider, for a moment, designing an algorithm for a problem. The classic way to do this is to think hard about the problem, and then write down a specific series of steps that take you from inputs to (hopefully the correct) outputs. In contrast, the machine learning method is to use statistical methods on a long list of examples to make a model that (hopefully) approximates the mapping between inputs and outputs.

Reading explicit abstract arguments is like the first method. Like explicit algorithm design, it comes with some nice properties – it's very clear exactly how it generalises and when it's applicable – to the point where it's easy to scoff at the less explicit methods: "it's just a black box that our pile of statistics spits out" / "it's just anecdotes about someone's life".

However, much like machine learning methods can extract subtle lessons from a long list of examples, I think there is implicit knowledge contained in the long list of detail about someone's life that you find in a biography (at least if you read about people who did interesting things in their life – but then again, if there's a biography of someone ...). Once you've read the details of how CRISPR was invented, Apple jump-started, or compromises reached at the1787 American Constitutional Convention, I think your model of how science, business, and politics work in the real world is improved in many subtle ways.

(Note that this argument also applies to reading history.)

And of course, since biographies deal strongly with character, there is an element of the novel-like thrill of watching things happen to people.

Walter Isaacson's biographies

I've read four of Walter Isaacson's biographies. Their subjects are Albert Einstein, Jennifer Doudna, Steve Jobs, and Benjamin Franklin.

The Einstein one I read years ago, and don't remember much detail about. It did earn a 6 out of 7 on my books spreadsheet though.

The Jennifer Doudna biography is the weakest. The main reason is that we don't get too much insight into Doudna herself or the way she carried out her scientific work, leaving Isaacson to spend many pages on other things: overviews of other players in the development of the gene-editing tool CRISPR that are more journalistic than biographical, and descriptions of the biology that are limited by Isaacson's lack of biological expertise (at least when compared to the best popular biology writing, like Richard Dawkins' in The Selfish Gene). Hand-wringing over James Watson's controversies takes up an alarming amount of space that is only partly justified by Watson's role as a childhood inspiration for Doudna. There's also a long section about the struggles behind the allocation of the CRISPR Nobel Prize (awarded in 2020) that is clearly balanced and thoroughly researched, but simply less interesting to me than similar segments in the Jobs or Franklin biographies, where the stakes are the fate of companies or nations, rather than who gets a shiny medal.

My guess is that these faults stem mainly from the more limited material Isaacson had access to. Albert Einstein and Benjamin Franklin are both among the most researched individuals in history. To the extent that Steve Jobs is behind, the interviews Isaacson personally conducted seem to have plugged the gap.

Doudna is still an inspiring person. She also has the enviable advantage of not being dead, and therefore may yet do even more and become the subject of further biographies. If you're interested in biotech, including the business side, or scientific careers that may one day win Nobel Prizes, the biography may well be worth reading.

Steve Jobs

A god-like experimenter who wants to figure out what traits make tech entrepreneurs succeed may proceed something like this: create a bunch of people with extreme strengths in some areas and extreme weaknesses in others, release them into the world to start companies, and see which extreme strengths can balance out which extreme weaknesses. Such an experiment might well create Steve Jobs.

Take one weakness: Jobs's emotional volatility and, for lack of a better word, general nastiness in some circumstances, including things from extremely harsh criticism of employees' work to horrible table manners at restaurants. This isn't unique to Jobs either: look at the Wikipedia pages for Bill Gates and Jeff Bezos, and you'll find that they brighten their subordinates' work days with such productive witticisms as "that's the stupidest thing I've ever heard" and "why are you ruining my life?" respectively.

Does this show that behaviour up to and including verbal abuse is a forgivable flaw, or even beneficial, in tech CEOs?

First, though verbal abuse is neither productive nor right, a culture of vigorous debate is a distinct thing with incredible benefits, and the idea that it serves only to hurt and marginalise is not just a misguided generalisation but sometimes diametrically wrong. The best example is Daniel Ellsberg recounting an anecdote from his early times at RAND Corporation in The Doomsday Machine (an unrelated book; my review here):

Rather than showing irritation or ignoring my comment [that he made at the first meeting], Herman Kahn, brilliant and enormously fat, sitting directly across the table from me, looked at me soberly and said, "You're absolutely wrong."

A warm glow spread through my body. This was the way my undergraduate fellows on the editorial board of the Harvard Crimson (mostly Jewish, like Herman and me) had spoken to each other; I hadn't experienced anything like it for six years. At King's College, Cambridge, or in the Society of Fellows, arguments didn't remotely take this gloves-off, take-no-prisoners form. I thought, "I've found a home."

Steve Jobs admittedly goes overboard with this. For example, people who worked with him had to learn that "this is shit" meant "that's interesting, could you elaborate and make the case for your idea further?". This is not just unnecessarily rude, but also unclear communication. The general impression that Isaacson gives is also not that Jobs was combative as a thought-out strategy, but rather that this was just his style of interaction.

I suspect that the famous combativeness of many tech CEOs is not itself a useful trait, but instead adjacent to several other traits that are, in particular disagreeableness (in the sense of willing to disagree with others and not feel pressure to conform) and perhaps also caring deeply about the product.

Consider another extreme Jobs trait: strange diets, and (in his youth), a belief that he didn't need to shower because of his dieting. This went so far that of the people Isaacson interviews about Jobs's youth, including those who hadn't seen him for decades, almost every one mentions something like "yeah, he stank". Yet while some leap to defend and (worse yet) emulate Jobs's verbal nastiness, presumably on grounds of its correlation with his success, far fewer do the same for his dieting and showering habits. (What conformists!)

I think the more general lesson is that Jobs was extreme in a lot of ways, including in the strength of his opinions and beliefs, and in not having a filter between them and his actions. He gets into eastern mysticism and goes off to India to become a monk. He gets into dieting and starts eating only fruit rather than just reading lifestyle magazines and half-heartedly trying diets for a week like most people might. He gets it into his head that the corner of a Mac isn't rounded enough and declares that in no uncertain terms.

So is that the key then: have firm convictions? We've gone from a maladaptive cliché to a trite one – and still not a very helpful one. Steve Jobs, with his "reality distortion field", may have been an expert at persuading people, but even he can't persuade reality to be another way. Even slightly wrong convictions tend to have nasty collisions with reality.

(It's worth noting that rather than being a stickler for one position or solution, Jobs tended to yo-yo back and forth between extremes, only slowly converging on a decision – something that often confused others at Apple until they learned to use a rolling average of his recent positions.)

The critical part, of course, was that Steve Jobs was right about a lot of things, despite several serious missteps (especially in regards to making over-expensive computers that no one wants to pay for). I think Jobs's success provides evidence that even in aesthetic matters, success has a surprisingly strong component of being actually right. And Jobs, who was all-around very bright despite not being a master of the technical side, seems to have mastered this.

Of course, the story of Jobs's success – which came in spite of his emotional volatility, and tendency to wish away problems rather than facing them – does not entirely fit the idea that success comes in large part from having well-calibrated beliefs about the world and going about achieving them in reasonable and rational ways.

I think there are three things worth keeping in mind.

First, it may well be that most successful people are successful "at random" (i.e. without having a rational strategy for achieving what they want to achieve), but that the probability of achieving your goals given that you have well-calibrated beliefs and a rational reality-accommodating plan is still very much higher than the probability of achieving them given any other strategy. That is, if is the event of being very successful (by some definition), the event that you follow a rational strategy and maintain well-calibrated beliefs and generally practice thought patterns that won't get you downvoted on LessWrong, the complement of that event, can be high (i.e. most successful people became successful in not particularly smart ways), while can be much higher than (following a rational strategy still gives you by far the best chances of success).

Second, Jobs's life illustrates the principle that you only have to be very right a small number of times – just like in general most of the return, especially in anything risky, comes from a small number of bets. He failed at managing, even when working under another CEO who had been brought in specifically to babysit him, to the extent that he was kicked out of his own company. He failed to build successful hardware after founding NeXT. However, he was really right about product design, and that was enough.

Third, though he did get away with ignoring many uncomfortable truths by simply willing them away, eventually reality hit back. He delayed dealing with the cancer threat when he was first told of it, and he trusted alternative treatments. The combination may well have killed him.

 

Benjamin Franklin

Benjamin Franklin was a newspaper publisher, writer, postmaster, ambassador, political leader, and scientist. He invented the lightning rod and realised that electric charge came in both a positive and negative form (and gave those names to them, as temporary ones until "[English] philosophers give us better").

He was one of the first or most influential pioneers of many other things as well; to take a random example, he thought up the idea of matched funding for a charitable project (and was quite proud of it too: "I do not remember any of my political maneuvers the success of which gave me at the time more pleasure, or that in after thinking about it I more easily excused myself for having made use of cunning").

More generally, he clearly enjoyed numbers and detail:

[...H]e loved immersing himself in minutiae and trivia in a manner so obsessive that it might today be described as geeky. He was meticulous in describing every technical detail of his inventions, be it the library arm, stove, or lightning rod. In his essays, ranging from his arguments against hereditary honors to his discussions of trade, he provided reams of detailed calculations and historical footnotes. Even in his most humorous parodies, such as his proposal for the study of farts, the cleverness was enhanced by his inclusion of mock-serious facts, trivia, calculations, and learned precedents

Do-gooders with time machines could do worse than giving him access to a spreadsheet program.

One of the best descriptions of Franklin's personality comes from Isaacson's comparison of him with John Adams (when they were both in Paris, late in Franklin's life):

Adams was unbending and outspoken and argumentative, Franklin charming and taciturn and flirtatious. Adams was rigid in his personal morality and lifestyle, Franklin famously playful. Adams learned French by poring over grammar books and memorizing a collection of funeral orations; Franklin (who cared little about the grammar) learned the language by lounging on the pillows of his female friends and writing them amusing little tales. Adams felt comfortable confronting people, whereas Franklin preferred to seduce them, and the same was true of the way they dealt with nations.

One striking things when reading about 18th century events is the informality and nepotism. For example, to become postmaster of the colonies, Franklin spent significant money on having a friend lobby on his behalf in London, and upon obtaining the position gave out cushy jobs to his son, brothers, brother's stepson, sister's son, and two of his wife's relatives.

Not only that, but the border between truth and fiction was also hazy in the press. Articles could be, without any differentiating label, either factual, obviously satirical, satirical in a way that takes a clever reader to spot, or outright hoaxes. Likewise Franklin often wrote and published letters to his own newspaper under pseudonyms, with various levels of disguise ranging from clearly transparent to purposefully anonymous (this, however, was normal, as it was often seen as unworthy of gentlemen to write such letters under their own names).

In other ways, the 18th century, and 18th century Franklin in particular, were surprisingly modern and liberal. Franklin took a very reasonable and liberal stance on the freedom of press:

“It is unreasonable to imagine that printers approve of everything they print. It is likewise unreasonable what some assert, That printers ought not to print anything but what they approve; since […] an end would thereby be put to free writing, and the world would afterwards have nothing to read but what happened to be the opinions of printers.”

He still exercised judgement over what he printed. When deciding whether to print something that violated his principles for money, he (reportedly) went through a process that many modern newspaper editors and Facebook engineers could well take to heart:

To determine whether I should publish it or not, I went home in the evening, purchased a twopenny loaf at the baker’s, and with the water from the pump made my supper; I then wrapped myself up in my great-coat, and laid down on the floor and slept till morning, when, on another loaf and a mug of water, I made my breakfast. From this regimen I feel no inconvenience whatever. Finding I can live in this manner, I have formed a determination never to prostitute my press to the purposes of corruption and abuse of this kind for the sake of gaining a more comfortable subsistence.

The 18th century offers some perspective about hostile politics too. After describing an extremely personal and angry election campaign (which Franklin lost), Isaacson writes:

Modern election campaigns are often criticized for being negative, and today’s press is slammed for being scurrilous. But the most brutal of modern attack ads pale in comparison to the barrage of pamphlets in the 1764 [Pennsylvania] Assembly election. Pennsylvania survived them, as did Franklin, and American democracy learned that it could thrive in an atmosphere of unrestrained, even intemperate, free expression. As the election of 1764 showed, American democracy was built on a foundation of unbridled free speech. In the centuries since then, the nations that have thrived have been those, like America, that are most comfortable with the cacophony, and even occasional messiness, that comes from robust discourse.

Isaacson points out that Franklin's popularity has come and gone, and explains this by making him the symbol of one side of a cultural and political dichotomy: tolerance and compromise rather than dogmatism and crusading, pragmatism rather than romanticism, social mobility rather than class and hierarchy, and secular material success over religious salvation. Thus, while immensely popular in the latter part of his life and after his death, once the Romantic Era got underway, he became seen as shallow, thrifty, and lacking in passion. For example, Franklin appears in Herman Melville's novel Israel Potter, a work that sounds like the most confusing Harry Potter fan-fiction of all time, as a precursor to today's shallow self-help gurus.

A perfect example of the type of cunning that made some people call him shallow comes from his time as a frontier commander. To get soldiers to attend worship services, he had the chaplain give out the daily rum rations right after the service. "Never were prayers more generally and punctually attended", Franklin proudly wrote.

Or: at the signing of the Declaration of Independence, John Hancock solemnly declared "There must be no pulling different ways; we must all hang together". Franklin reportedly responded, with a wit but not solemnity worthy of the historic occasion: "Yes, we must, indeed, all hang together, or most assuredly we shall all hang separately".

This oscillation between romantically-minded eras finding him shallow and business-minded eras finding him the godfather of all self-help gurus and thrifty entrepreneurs has continued to this day. It is true that his aphorism collections, as documented in his famous Poor Richard's Almanac, are more clever than insightful; that he was no moral philosopher; and that his virtue-cultivating efforts were often patchy. However, they are part of a crucial process: the separation of morality from theology during the Enlightenment, which "Franklin was [the] avatar" of. Franklin's foundational personal maxim, which he often repeated, is perhaps the single sentence that pre-modern religious countries most need to hear: “The most acceptable service to God is doing good to man".

The romanticists' criticisms are based on truths. Though sociable, founding and participating in many societies, his personal relationships tended to be intellectual but distant. Interestingly, despite his vast achievements, Franklin does not show signs of a deep unyielding inner ambition; he seems to have been driven by vague instincts to be useful, a sense of pride (which he tried to dull throughout his life), curiosity, and a delight in tinkering, planning, and organising. To his sister in 1771 he wrote "[...] I am much disposed to like the world as I find it, and to doubt my own judgment as to what would mend it" – a remarkable sentiment from the pen of someone who, not many years later, would be playing a key role in a revolution. And though even past the age of 75 he achieved a few minor things, like being instrumental in securing France's alliance to America, signing the peace treaty between the US and Britain, shaping the US Constitution, and being the head of Pennsylvania's government, he happily wiled away many of his latter days playing cards with only the occasional twinge of guilt. He specifically justified this in part based on a belief in the afterlife: "You know the soul is immortal; why then should you be such a niggard of a little time, when you have a whole eternity before you?"

However, even these traits seem to have made him exactly what America needed. He was a skilled diplomat in France partly because of his easy-going nature and lack of naked ambition. At the Constitutional Convention of 1787, he often hosted the (much younger) other leading revolutionaries at his house to talk about things in a less formal setting and soften their stances, and generally advocated tolerance and compromise. Isaacson cleverly summarises:

Compromisers may not make great heroes, but they do make democracies.

Perhaps the best known summary of Franklin's life is Turgot's epigram that "he snatched lightning from the sky and the sceptre from tyrants". Franklin himself had a go at this: he wrote an autobiography – then a rare form of book – and also proposed a cheeky epitaph for himself, including an exhortation to wait for a "new and more elegant edition [of him], revised and corrected by the Author".

He didn't just summarise himself, though. He also unwittingly wrote perhaps the pithiest summary of the spirit of the entire Enlightenment project, and consequently of the driving spirit of human progress since then. It was in a letter Franklin wrote to his wife, after narrowly escaping a shipwreck on the English coast in 1757:

Were I a Roman Catholic, perhaps I should on this occasion vow to build a chapel to some saint; but as I am not, if I were to vow at all, it should be to build a lighthouse.

2021-03-21

Review: Where is my Flying Car?

 Book: Where is my Flying Car?: A Memoir of Future Past, by J. Storrs Hall (2018)
Words: 9.3k (about 31 minutes)


In the 50s and 60s, predictions of the future were filled with big physical technical marvels: spaceships, futuristic cities, and, most symbolically, flying cars. The lack of flying cars has become a cliche, whether as a point about the unpredictability of future technological progress, or a joke about hopeless techno-optimism.

For J. Storrs Hall, flying cars are not a joke. They are a feasible technology, as demonstrated by many historical prototypes that are surprisingly close to futurists' dreams, and practical too: likely to be more expensive than cars, yes, but providing many times more value to owners.

So, where are they?

Above: not a joke. (Public domain, original here)

The central motivating force behind Where is my Flying Car? is the disconnect between what is physically possible with modern science, and what our society is actually achieving. The immediate objection to such points is to say: "well, of course some engineer can imagine a world where all this fancy technology is somehow economically feasible and widespread, but in the real world everything is more complicated, and once you take these complications into account there's no surprising failure".

Hall's objection is that everything was going fine until 1970 or so.

Many people complain that technological progress has slowed. Flying cars, of course, but also: airliner cruising speeds have stagnated, the space age went on hiatus, cities are still single-level flat designs with traffic, nuclear power stopped replacing fossil fuels, and nanotechnology (in the long run, the most important technology for building anything) is growing slowly. Peter Thiel sums this up by saying "we wanted flying cars, instead we got 140 characters".

It's not just technology. There's an entire website devoted to throwing graphs at you about trends that changed around 1970 (and selling you Bitcoin on the side), and, while a bunch of it is Spurious Correlations material, they include enough important things, like a stagnation in median wages, that it's worth thinking about.

Perhaps the most fundamental indicator is that the energy available per person in the United States was increasing exponentially (a trend Hall names the Henry Adams curve), until, starting around 1970, it just wasn't:


Is this just because the United States is an outlier in energy use statistics? No; other developing countries have plateaued too, with the exception of Iceland and Singapore:

(Source: Our World in Data, one of the best websites on the internet. You can play around with an interactive version of this chart here.)

 

Hall tries to estimate what percentage of future predictions in some technical area have come true as a function of the energy intensity of the technology, and finds a strong inverse correlation: in less energy intensive areas (e.g. mobile phones) we've over-achieved relative to futurists' predictions, while the opposite is true with energy intensive big machines (e.g. flying cars). (This is necessarily very subjective, but Hall at least says he did not change any of his estimates after seeing the graph.)

Of course, we have to contrast the stagnation in some areas with enormous advancements during the same time. The most obvious example is computing, something that futurists generally missed. In biotechnology, the price of DNA sequencing has dropped exponentially and in just the past few years we've gotten powerful tools like CRISPR and mRNA vaccines. Meanwhile the average person is now twice as rich as in 1970, and life expectancy has increased by 15 years (and the numbers are not much lower if we restrict our attention just to developed countries).

Perhaps we should be content; maybe Peter Thiel should stop complaining now that we have 280 characters? After all, the problem is not that things are failing, but that they might be improving slower than they could be. That hardly seems like the end of the world. So why should we focus on technological progress? Has it really slowed? And how can we model it? I discuss these questions in another post. In this post, however, I will move straight onto Hall's favourite topic.

 

Cool technology

Flying cars

You might assume the case for flying cars looks something like this:

  1. You get to places very fast.
  2. Very cool.

However, there's a deeper case to be made for flying cars (or rapid transportation in general), and it starts with the observation that barefoot-walkers in Zambia tend to spend an hour or so a day travelling. Why is this interesting? Because this is the same as the average duration in the United States (of course Hall's other example is the US) or any other society.

Flying cars aren't about the speed – they're about the distance that this speed allows, given universal human preferences for daily travel duration. Cars on the road do about 60 km/h on average for any trip ("you might think that you could do better for a long trip where you can get on the highway and go a long way fast", Hall writes, but "the big highways, on the average, take you out of your way by an amount that is proportional to the distance you are trying to go"). A flying car that goes five times faster lets you travel within twenty-five times the area, potentially opening up a lot of choice.

Hall goes through some calculations about the utilities of different time-to-travel versus distance functions, given empirical results from travel theory, to produce this chart (which I've edited to improve the image quality and convert units) as a summary:

(The overhead time means how long it takes to transition into flying mode, for example if you have to attach wings to it, or drive to an airport to take off.)

Even a fairly lame flying car would easily be three times more valuable than a regular car, mainly by giving you more choice and therefore letting you visit places that you like more.

In terms of what a flying car would actually look like, you have several options. Helicopters are obvious, but they are about ten times the price of cars, mechanically complex (and with very low manufacturing tolerances), and limited by aerodynamics (the advancing blade pushes against the sound barrier, and the retreating one pushes against generating too little lift due to how slowly it moves) to a speed of 250 km/h or so.

Historically, many promising flying car designs that actually flew where autogyros, which generate thrust with a propeller but lift through an unpowered freely-rotating helicopter-like rotor. They generally can't take off vertically, but can land in a very small space.

Another design is a VTOL (vertical take-off and landing) aircraft. Some have been built and used as fighter jets, but they've gained limited use because they're slower and less manoeuvrable than conventional fighters and have less room for weapons. However, Hall notes that one experimental VTOL aircraft in particular – the XV-5 – would "have made one hell of a sports car" and its performance characteristics are recognisable as those of a hypothetical utopian flying car. It flew in 1964, but was cancelled because the Air Force wanted something as fast and manoeuvrable as a fighter jet, rather than "one hell of a sports car".

Of current flying car startups, Hall mentions Terrafugia and AeroMobil, which produce traditional gasoline-powered vehicles (both with fuel economies comparable in litres/km to ordinary cars). There's also Volocopter and EHang, both of which produce electric vehicles with constrained ranges.

Hall divides the roadblocks (or should I say NOTAMs?) for flying cars into four categories.

The first is that flying is harder than driving. To test this idea, Hall learned to fly a plane, and concluded that it is considerably harder, but not insurmountably. Besides, we're not far from self-driving; commercial passenger flights are close to self-piloting already, the existing Volocopter is only "optionally piloted", and the EHang 184 flies itself.

The second is technological. The main challenges here are flying low and slow without stalling (you want to be able to land in small places, at least in emergencies), and reducing noise to manageable levels.

The third is economic. Even though the technology theoretically exists, it may be that we're not yet at a stage where personal flying machines are economically feasible. To some extent this is true; Hall admits that even on the pre-1970 trends in private aircraft ownership, the US private aircraft market would only be something like 30 000 - 40 000 per year (compared to the 2 000 or so that it currently is), about a hundredth of the number of cars sold. The economics means we should expect that the adoption curve is shallow, but not that it's necessarily non-existent.

The final reason is simple: even if you could make a flying car, you wouldn't be allowed to. Everything in aviation is heavily regulated, pushing up costs in a way that, Hall says, leads private pilots to joke about "hundred-dollar burgers". Of course, flying is hard, so you want standards high enough that at the very least you don't have to dodge other people's home-made flying motorbikes as they rain down from the sky, but in Hall's opinion the current balance is wrong.

And it's not just that the balance is wrong, but that the regulations are messed up. For example, making aircraft in the light sports aircraft category would be a great way to experiment with electric flight, but the FAA forbids them from being powered by anything other than a single internal combustion piston engine.

In particular, the FAA "has a deep allergy to people making money with flying machines". If you own a two-seat private aircraft, you can't charge a passenger you take on a flight more than half of the fuel cost, so no air Uber. Until the FAA stopped dragging its feet on drone regulation in 2016, drones were operated under model aircraft rules, and therefore could not be used for anything other than hobby or recreational purposes. Similar rules still apply to ultralights, with one suspicious exception: a candidate for a federal, state, or local election is allowed to pay for a flight.

(And of course, to all these rules it's usually possible to apply for a waiver – so if you're a big company with an army of lawyers, do what you want, but if you're two people in a garage, good luck.)

There's no clear smoking gun of one piece of regulation specifically causing significant harm to flying car innovation. However, the harms of regulation are often a death-by-a-thousand-cuts situation, where a million rules each clip away at what is permissible and each add a small cost. Hall's conclusion is harsh: "It’s clear that if we had had the same planners and regulators in 1910 that we have now, we would never have gotten the family car at all."

One particular effect of flying cars would be to weaken the pull of cities, another topic to which Hall brings a lot of opinions.

City design

"Designing a city whose transportation infrastructure consists of the flat ground between the boxes is insane."

This is true. Most traffic problems would go away if you could add enough levels. However, "[e]ven the recent flurry of Utopia-building projects are still basically rows of boxes sitting on the dirt plus built-in wifi so the self-driving cars can talk to each other as they sit in automated traffic jams".

As usual, Hall spies some sinister human factors lurking behind the scenes, delaying his visions of techno-utopia:

"There is a perverse incentive for bureaucrats and politicians to force people to interact as much as possible, and indeed to interact in contention, as that increases the opportunities for control and the granting of favors and privileges. This is probably one of the major reasons that our cities have remained flat, one-level no-man’s-lands where pedestrians (and beggars and muggers) and traffic at all scales are forced to compete for the same scarce space in the public sphere, while in the private sphere marvels of engineering have leapt a thousand feet into the sky, providing calm, safe, comfortable environments with free vertical transportation."

This is an interesting idea, and I've read enough Robin Hanson to not discount such perverse explanations immediately, but once again I'm not convinced how important this factor is, and Hall, as usual, is happy to paint only in broad to strokes.

However, he makes a clearly strong point here:

"Densification proponents often point to an apparent paradox: removing a highway which crosses a community often does not increase traffic on the remaining streets, as the kind of hydraulic flow models used by traffic planners had assumed that it would. On the average, when a road is closed, 20% of the traffic it had handled simply vanishes. Traffic is assumed to be a bad thing, so closing (or restricting) roads is seen as beneficial. Well duh. If you closed all the roads, traffic would go to zero. If you cut off everybody’s right foot and forced them to use crutches, you’d get a lot less pedestrian traffic, too."

Hall takes a liberal principle of being strongly in favour of giving people choice, arguing that the goal of city design and transportation infrastructure should be to maximise how far people can travel quickly, rather than trying to ensure that they don't need to travel anywhere other than the set of choices the all-seeing, all-knowing urban designer saw fit to place nearby. Of course, once again flying cars are the best:

"The average American commute to work, one way by car, ranges from 20 minutes to half an hour (the longer times in denser areas).  This gives you a working radius of about 15 miles [= 24 km], or [1800 square kilometres] around home to find a workplace (or around work to find a home). With a fast VTOL flying car, you get a [240-kilometre] radius or [180 thousand square kilometres] of commutable area. Cars, trucks, and highways were clearly one of the major causes of the postwar boom. It isn’t perhaps realized just how much the war on cars contributed to the great stagnation—or how much flying cars could have helped prolong the boom."

Nuclear power

I discuss nuclear power at length in another post.

Space travel?

What about the classic example of supposedly stalled innovation – we were on the moon in 1969, and won't return until at least 2024?

"With space travel, there’s a pretty straightforward answer: the Apollo project was a political stunt, albeit a grand and uplifting one; there was no compelling reason to continue going to the moon given the cost of doing so."

The general curve of space progress seems to be over-achievement relative to technological trends in the 60s, followed by stagnation, not because the technology is impossible – we did go to the moon after all – but because it just wasn't economical. Only now, with private space companies like SpaceX and Rocket Lab actually making a business out of taking things to space outside the realm of cosy costs-plus government contracts is innovation starting to pick up again.

(In the past ten years, we've seen the first commercial crewed spacecraft, reuse of rocket stages, the first methane-fuelled rocket engine ever flown, the first full-flow staged-combustion rocket engine ever flown, and the first liquid-fuelled air-launched orbital rocket, just to pick some examples.)

Hall has some further comments about space. First, in this passage he shows an almost-religious deference to trend lines:

"As you can see from the airliner cruising speed trend curve, we shouldn’t have expected to have commercial passenger space travel yet, even if the Great Stagnation hadn’t happened."

I don't think it makes sense to take a trend line for atmospheric flight speeds and use that to estimate when we should have passenger space travel; the physics is completely different, and in particular speeds are very constrained in orbit (you need to go 8 km/s to stay in orbit, and you can't go faster around the Earth without constant thrusting to stop yourself from flying off – something Hall clearly understands, as he explains it more than once).

Secondly, he is of course in favour of everything high-energy and nuclear.

For example: Project Orion was an American plan for a spacecraft powered (potentially from the ground up, rather than just in space) by throwing nuclear bombs out the back and riding the plasma from the explosions. This is a good contender for the stupidest-sounding idea that actually makes for a solid engineering plan; it's a surprisingly feasible way of getting sci-fi performance characteristics from your spacecraft. Other feasible methods have either far lower thrust (like ion engines, meaning that you can't use them to take off or land), or have far lower exhaust velocity (which means much more of your spacecraft needs to be fuel). The obvious argument against Orion, at least for atmospheric launch, is the fallout, but Hall points out it's actually not that bad – the number of additional expected cancer deaths from radiation per launch is "only" in the single digits, and that's under a very conservative linear no-threshold model of radiation dangers, which is likely wrong. (The actual reasons for cancellation weren't related to radiation risks, but instead the prioritisation of Apollo, the Partial Test Ban Treaty of 1963 that banned atmospheric nuclear tests, and the fact that no one in the US government had a particularly pressing need to put a thousand tons into orbit.) Hall also mentions an interesting fact about Orion that I hadn't seen before: "the total atmospheric contamination for a launch was roughly the same no matter what size the ship; so that there would be an impetus toward larger ones" – perhaps Orion would have driven mass space launch.

A more controlled alternative to bombing yourself through space is to use a nuclear reactor to heat up propellant in order to expel it out the back of your rocket at high speeds, pushing you forwards. The main limit with these designs is that you can't turn the heat up too much without your reactor blowing up. Hall's favoured solution is a direct fission-to-jet process, where the products of your nuclear reaction go straight out the engine without all this intermediate fussing around with heating the propellant. A reaction that converts a proton and a lithium-7 atom into 2 helium nuclei would give an exhaust velocity of 20 Mm/s (7% of the speed of light), which is insane.

To give some perspective: let's say your design parameters are that you have a 10 ton spacecraft, of which 1 ton can be fuel. With chemical rocket technology, this gives you a little toy with a total ∆V of some 400 m/s, meaning that if you light it up and let it run horizontally along a frictionless train track, it'll break the sound barrier by the time it's out of fuel, but it can't take you from a Earth-to-moon-intercept trajectory to a low lunar orbit even with the most optimal trajectories. With the proton + lithium-7 process Hall describes, your 10% fuel, 10-ton spaceship can accelerate at 1G for two days. If you want to go to Mars, instead of this whole modern business of waiting for the orbital alignment that comes once every 26 months and then doing a 9-month trip along the lowest-energy orbit possible, you can almost literally point your spaceship at Mars, accelerate yourself to a speed of 1 000 km/s over a day (for comparison, the speeds of the inner planets in their orbits are in the tens of kilometres per second range), coast for maybe a day at most, and then decelerate for another day. For most of the trip you get free artificial gravity because your engine is pushing you so hard. This would be technology so powerful even Hall feels compelled to tack on a safety note: "watch out where you point that exhaust jet".

Nanotechnology!

Imagine if machine pieces could not be made on a scale smaller than a kilometre. Want a gear? Each tooth is a 1km x 1km x 1km cube at least. Want to build something more complicated, say an engine? If you're in a small country, it may well be a necessarily international project, and also better keep it fairly flat or it won't fit within the atmosphere. Want to cut down a single tree? Good luck.

This is roughly the scale at which modern technology operates compared to the atomic scale. Obviously this massively cuts down on what we can do. Having nanotechnology that lets us rearrange atoms on a fine level, instead of relying on astronomically blunt tools and bulk chemical reactions, could put the capabilities of physical technology on the kind of exponential Moore's law curve we've seen in information technology.

There are some problems in the way. As you get to smaller and smaller scales:

  • matter stops being continuous and starts being discrete (and therefore for example oil-based lubrication stops working);
  • the impact of gravity vanishes but the impact of adhesion increases massively;
  • heat dissipation rates increase;
  • everything becomes springy and nothing is stiff anymore; and
  • hydrogen atoms (other atoms are too heavy) can start doing weird quantum stuff like tunnelling.

Also, how do we even get started? If all we have are extremely blunt tools, how do you make sharp ones?

There are two approaches. The first, the top-down approach, was suggested in a 1959 talk by Richard Feynman, which is credited as introducing the concept of nanotechnology. First, note that we currently have an industrial tool-base at human scales that is, in a sense, self-replicating: it requires human inputs, but we can draw a graph of the dependencies and see that we have tools to make every tool. Now we take this tool-base, and create an analogous one at one-fourth the scale. We also create tools that let us transfer manipulations – the motions of a human engineer's hands, for example – to this smaller-scale version (today we can probably also automate large parts of it, but this isn't crucial). Now we have a tool-base that can produce itself at a smaller scale, and we can repeat the process again and again, making adjustments in line with the above points about how the engineering must change. If each step is one-fourth the previous, 8 iterations will take us from a millimetre-scale industrial base to a tens-of-nanometres-scale one.

The other approach is bottom-up. We already have some ability to manipulate things on the single-digit nanometre scale: the smallest features on today's chips are in this range, we have atomic-scale microscopes that can also manipulate atoms, and of course we're surrounded by massively complicated nanotechnology called organic life that comes with pre-made nano-components. Perhaps these tools let us jump straight to making simple nano-scale machines, and a combination of these simple machines and our nano-manipulation tools lets us eventually build the critical self-sustaining tool-base at the atomic level.

Weather machines?!

Here's one thing you could do with nanotechnology: make 5 quintillion 1 cm controllable hydrogen balloons with mirrors, release them into the atmosphere, and then set sunlight levels to be whatever you want (without nanotechnology, this might also be doable, but nanotechnology lets you make very thin balloons and therefore removes the need to strip-mine an entire continent for the raw materials).

Hall calls this a weather machine, and it is exactly what it says on the tin, both on a global and local level. He estimates that it would double global GDP by letting regions set optimal temperatures, since "you could make land in lots of places on the earth, such as Northern Canada and Russia, as valuable as California". Of course, this is assuming that we don't care about messing up every natural ecosystem and weather pattern on the planet, but if the machine is powerful enough we might choose to keep the still-wild parts of the world as they are. I don't know if this would work, though; sunlight control alone can do a lot to the weather, but perhaps you'd need something different to avoid, for example, the huge winds from regional temperature differences? However, with a weather machine, the sort of subtle global modifications needed to reverse the roughly 1 watt per square metre increase in incoming solar radiation that anthropogenic emissions have caused would be trivial.

Weather machines are scary, because we're going to need very good institutions before that sort of power can be safely wielded. Hall thinks they're coming by the end of the century, if only because of the military implications: not only could you destroy agriculture wherever you want, but the mirrors could also focus sunlight onto a small spot. You could literally smite your enemies with the power of the sun.

Don't want things in the atmosphere, but still want to control the climate? Then put up sunshades into orbit, incentivising the development of a large-scale orbital launch infrastructure at the same time that we can afterwards use to settle Mars or whatever. As a bonus, put solar panels on your sunshade satellites, and you can generate more power than humanity currently uses.

As always, nothing is too big for Hall. He goes on to speculate about a weather machine Dyson sphere at half the width of the Earth's orbit. Put solar panels on it, and it would generate enormous amounts of power. Use it as a telescope, and you could see a phone lying on the ground on Proxima Centauri b. Or, if the Proxima Centaurians try to invade, you can use it as a weapon and "pour a quarter of the Sun’s power output, i.e. 100 trillion terawatts, into a [15-centimetre] spot that far away,  making outer space safe for democracy."

Flying cities?!?

And because why the hell not: imagine a 15-kilometre airplane shaped like a manta ray and with a thickness of a kilometre (so the Burj Khalifa fits inside), with room for 10 million people inside. It takes 200 GW of power to stay flying – equivalent to 4 000 Boeing 747s – which could be provided by a line of nuclear power plants every 100 metres or so running along the back. This sounds like a lot, but Hall helpfully points out the reactors would only be 0.01% of the internal volume, so you could still cluster Burj Khalifas inside to your heart's content, and the energy consumption comes out to only 20 kW per person, about where we'd be today if energy use had continued growing on pre-1970s trends.

If you don't want to go to space but still want to leave the Earth untouched, this is one solution, as long as you don't mind a lot of very confused birds.

Technology is possible, but has risks

I worry that Where is my Flying Car? easily leaves the impression that everything Hall talks about is part of some uniform techno-wonderland, which, depending on your prior about technological progress, is somewhere between certainly going to happen or permanently relegated to the dreams of mad scientists. Hall does not work to dispel this impression: he goes back and forth between talking about how practical flying cars are and exotic nuclear spacecraft, or between reasonable ideas about traffic layout in cities and far-off speculation about city-sized airplanes. Credible world-changing technologies like nanotechnology easily seem like just another crazy thought Hall sketched out on the back of the envelope and could not stop being enthusiastic about.

So should we take Hall's more grounded speculation seriously and ignore the nano-nuclear-space-megapolises? I think this would be the wrong takeaway. First, I'm not sure Hall's crazy speculation is crazy enough to capture possible future weirdness within it; he restricts himself mainly to physical technologies, and thus leaves out potentially even weirder things like a move to virtual reality or the creation of superhuman intelligence (whether AI or augmented humans).

Second, Hall does have a consistent and in some way realist perspective: if you look at the world – not at the institutions humans have built, or whatever our current tech toolbox contains, but at the physical laws and particles at our disposal – what do you come up with?

After all, our world is ultimately not one of institutions and people and their tools. The "strata" go deeper, until you hit the bedrock of fundamental physics. We spend most of our time thinking about the upper layers, where the underlying physics is abstracted out and the particles partitioned into things like people and countries and knowledge. This is for good reason, because most of the time this is the perspective that lets you best think about things important to people. Occasionally, however, it's worth taking a less parochial perspective by looking right down to the bedrock, and remembering that anything that can be built on that is possible, and something we may one day deal with.

This perspective should also make clear another fact. The things we care about (e.g. people) exist many layers of abstraction up from the fundamental physics, and are therefore fragile, since they depend on the correct configuration of all levels below. If your physical environment becomes inhospitable, or an engineered virus prevents your cells from carrying out their function, the abstraction of you as a human with thoughts and feelings will crash, just like a program crashes if you fry the circuits of the computer it runs on.

So there are risks, new ones will appear as we get better at configuring physics, and stopping civilisation from accidentally destroying itself with some new technology is not something we're automatically guaranteed to succeed at.

Hall does not seem to recognise this. Despite all his talk about nanotechnology, the grey goo scenario of self-replicating nanobots going out of control and killing everyone doesn't get a mention. As far as I'm aware, there's no strong theoretical reason for this to be impossible – nanobots good at configuring carbon/oxygen/hydrogen atoms are a very reasonable sort of nanobot, and I can't help but noticing that my body is mainly carbon, oxygen, and hydrogen atoms. "What do you replace oil lubrication with for your atomic scale machine parts" is a worthwhile question, as Hall notes, but I'd like to add that so is the problem of not killing everyone.

Hall does mention the problem of AI safety:

"The latest horror-industry trope is right out of science fiction [...]. People are trying to gin up worries that an AI will become more intelligent than people and thus be able to take over the world, with visions of Terminator dancing through their heads. Perhaps they should instead worry about what we have already done: build a huge, impenetrably opaque very stupid AI in the form of the administrative state, and bow down to it and serve it as if it were some god."

What's this whole thing with arguments of the form "people worry about AI, but the real AI is X", where X is whatever institution the author dislikes? Here's another example from a different political perspective (by sci-fi author Ted Chiang, whose fiction I enjoy). I don't think this is a useless perspective – there is an analogy between institutions that fail because their design optimises for the wrong thing, and the more general idea of powerful agents accidentally designed to optimise for the wrong thing – but at the end of the day, surprise surprise, the real AI is a very intelligent computer program.

Hall also mentions he "spent an entire book (Beyond AI) arguing that if we can make robots smarter than we are, it will be a simple task to make them morally superior as well." This sounds overconfident – morality is complicated, after all – but I haven't read it.

As for climate change, Hall acknowledges the problem but justifies largely dismissing it by citing “[t]he actual published estimates for the IPCC’s worst case scenario, RCP8.5, [which] are for a reduction in GDP of between 1% and 3%". This is true ... if you only consider the United States! (The EU is in the same range but the global estimates range up to 10%, because of a disproportionate effect on poor tropical countries.) As the authors of that very report also note, these numbers don't take into account non-market losses. If Hall wants to make an argument for techno-optimistic capitalism, he should consider taking more care to distinguish himself from the strawman version.

 

It's not the technology, stupid!

Hall does not think that we'd have all the technologies mentioned above if only technological progress had not "stagnated". The things he expects could've happened by now given past trends are:

  • The technological feasibility of flying cars would be demonstrated and sales would be on the rise; Hall goes as far as to estimate the private airplane market in the US could have been selling 30k-40k planes per year (a fairly tight confidence interval for something this uncertain); compare with the actual US market today, which sells around 16 million cars and a few thousand private aircraft per year.
  • Demonstrated examples of multi-level cities and floating cities.
  • Chemical spacecraft technology would be about where they are now, but some chance that government funding would have resulted in Project Orion-style nuclear launch vehicles.
  • Nanotechnology: basic things like ammonia fuel cells might exist, but not fancier things like cell repair machines or universal fabricators.
  • Nuclear power would generate almost all electricity, and hence there would be a lot less CO2 in the atmosphere (this study estimates 174 billion fewer tons of CO2 had reasonable nuclear trends continued, but Hall optimistically gives the number as 500 billion tons).
  • AI and computers at the same level as today.
  • A small probability that something unexpected along the lines of cold fusion would have turned out to work and been commercialised.
  • A household income several times larger than today.

So what went wrong? Hall argues:

"The faith in technology reflected in Golden Age SF and Space Age America wasn’t misplaced. What they got wrong was faith in our culture and bureaucratic arrangements."

He gives two broad categories of reasons: concrete regulations, and a more general cultural shift from hard technical progress to worrying and signalling.

Regulation ruins everything?

Hall does not like regulation. He estimates that had regulation not grown as it did after 1970, the increased GDP growth might have been enough to make household incomes 1.5 to 2 times higher than they are today in the US. I can find some studies saying similar things – here is one claiming 0.8% lower GDP growth per year since 1980 due to regulation, which would imply today's economy would be about 1.3 times larger had this drag on growth existed. As far as I can tell, these estimates also don't take into account the benefits of regulation, which are sometimes massive (e.g. banning lead in gasoline). However, I think most people agree that regardless of how much regulation there should be, it could be a lot smarter.

Hall's clearest case for regulation having a big negative impact on an industry is private aviation in the United States, which crashed around 1980 after more stringent regulations were introduced. The number of airplane shipments per year dropped something like six-fold and never recovered.

A much bigger example is nuclear power, which I will discuss in an upcoming post, and which Hall also has plenty to say about.

Strangely, Hall misses perhaps the most obvious case in modern times: GMOs pointlessly being almost regulated out of existence, a story told well in Mark Lynas' Seeds of Science (my review here). Perhaps this is because of Hall's focus on hard sciences, or his America-centrism (GMO regulation is worse in the EU than in the United States).

And speaking of America-centrism, the biggest question I had is why even if the US is bad at regulation, no country decides to do better and become the flying car capital of the world. Perhaps good regulation is hard enough that no one gets it right? Hall makes no mention of this question, though.

He does, however, throw plenty of shades on anything involving centralisation. For example:

"Unfortunately, the impulse of the Progressive Era reformers, following the visions of [H. G.] Wells (and others) of a “Scientific Socialism,” was to centralize and unify, because that led to visible forms of efficiency. They didn’t realize that the competition they decried as inefficient, whether between firms or states, was the discovery procedure, the dynamic of evolution, the genetic algorithm that is the actual mainspring of innovation and progress."

He brings some interesting facts to the table. For example, an OECD survey found a 0.26 correlation between private spending on research & development and economic growth, but a -0.37 between public R&D and growth. Here's Hall's once again somewhat dramatic explanation:

“Centralized funding of an intellectual elite makes it easier for cadres, cliques, and the politically skilled to gain control of a field, and they by their nature are resistant to new, outside, non-Ptolemaic ideas. The ivory tower has a moat full of crocodiles.”

He backs this up with his personal experiences of US government spending on nanotechnology lead to a flurry of scientists trying to claim that their work counted as nanotechnology (up to and including medieval stained glass windows) as well as trying to discredit anything that actually was nanotechnology, to make sure that the nanotechnologists wouldn't steal more federal funding in the future.

Studies, not surprisingly, find that the issue is more complicated (see for example here, which includes a mention of the specific survey Hall references).

Hall also includes a graph of economic growth vs the Fraser Institute's economic freedom score in the United States. I've created my own version below, including some more information than Hall does:

In general, it seems sensible to expect economic freedom to increase GDP: the more a person's economic choices are limited, the more likely the limitations are to prevent them from taking the optimal action (the main counterexample being if optimal actions for an individual create negative externalities for society). We can also see that this is empirically the case – developed countries tend to have high economic freedom. However, in using this graph as clear evidence, I think Hall is once again trying to make too clear a case on the basis of one correlation.

Effective decentralised systems, whether markets or democracy, are always prone to attack by people who claim that things would be better if only we let them make the rules. Maybe it takes something of Hall's engineer mindset to resist this impulse and see the value of bloodless systems and of general design principles like feedback and competition. (And perhaps Hall should apply this mindset more when evaluating the strength of evidence for his economic ideas.)

As for what the future of societal structure looks like, Hall surprisingly manages to avoid proposing flying-car-ocracy:

""[It] may well be possible to design a better machine for social and economic control than the natural marketplace. But that will not be done by failing to understand how it works, or by adopting the simplistic, feedback-free methods of 1960s AI programs. And if ever it is done, it will be engineers, not politicians, who do it."

He goes further:

"As a futurist, I will go out on a limb and make this prediction: when someone invents a method of turning a Nicaragua into a Norway, extracting only a 1% profit from the improvement, they will become rich beyond the dreams of avarice and the world will become a much better, happier, place. Wise incorruptible robots may have something to do with it."

Risk perception and signalling

Hall's second reason for us not living up to expectations for technological progress is cultural. He starts with the idea of risk homeostasis in psychology: everyone has some tolerance for risk, and will seek to be safer when they perceive current risk to be higher, and take more risks when they perceive current risk to be lower. In developed countries, risks are of course ridiculously low compared to historical levels, so most people feel safer than ever. Some start skydiving in response, but Hall suggests there's another effect that happens when an entire society finds itself living below their risk tolerance:

"One obvious way [to increase perceived risk] is simply to start believing scare stories, from Corvairs to DDT to nuclear power to climate change. In other words, the Aquarian Eloi became phobic about everything specifically because we were actually safer, and needed something to worry about."

I know what you're thinking – what the hell are "Aquarian Eloi"? Hall likes to come up with his own terms for things, and in this case he is making a reference to H. G. Wells' The Time Machine, in which descendants of humanity live out idle and dissolute lives (modelled on England's idle rich of the time), in order to label what he claims is the modern zeitgeist. Yes, this book is weird at times.

Another cultural idea he touches on is increased virtue signalling. Using the idea of Maslow's hierarchy of needs, he explains that as more and more of the population is materially well-off, more people invest more effort into self-actualisation. Some of this is productive, but, humans being humans, a lot of this effort goes into trying to signal how virtuous you are. Of course, there's nothing inherently wrong with that, as long as your virtue signalling isn't preventing other people climbing up from lower levels of Maslow's hierarchy – or, Hall would probably add, from building those flying cars.

Environmentalism vs Greenism

A particular sub-case of cultural change that Hall has a lot to say about is the "Green religion", something he distinguishes (though sometimes with not enough care) from perfectly reasonable desires "to live in a clean, healthy environment and enjoy the natural world".

This ideological, fear-driven and generally anti-science faction within the environmentalist movement is much the same thing as what Steven Pinker calls "Greenism", which I talked about in my review of Enlightenment Now (search for "Greenism") and also features in my review of Mark Lynas' Seeds of Science (search for "torpedoes"). Unlike Lynas or even Pinker, Hall does not hold back when it comes to criticising this particular strand of environmentalism. He explains it as an outgrowth of the risk-averseness and virtue signalling trends described above. The "Green religion", he claims, is now the "default religion of western civilization, especially in academic circles", and "has developed into an apocalyptic nature cult". To explain its resistance to progress and improving the human condition, he writes:

"It seems likely that the fundamentalist Greens started with the notion that anything human was bad, and ran with the implication that anything that was good for humans was bad. In particular, anything that empowered ordinary people in their multitudes threatened the sanctity of the untouched Earth. The Green catechism seems lifted out of classic Romantic-era horror novels. Any science, any engineering, the “acquirement of knowledge,” can only lead to “destruction and infallible misery.” We must not aspire to become greater than our nature."

There are troubling tendencies in ideological Greenism (as there is with anything ideological), but I think "apocalyptic nature cult" takes it too far, and as a substitute religion for the west, it has some formidable competitors. Hall is right to point out the tension between improving human welfare and Greenist desires to limit humans, but I'd bet that the driving factor isn't direct disdain for humans, but rather the sort of sacrificial attitudes that are common in humans (consider the people who went around whipping themselves during the Black Death to try to atone for whatever God was punishing them for). Probably there's some part of human psychology or our cultural heritage that makes it easy to jump to sacrifice, disparaging ourselves (or even all of humanity), and repentance as the answer to any problem. While this a nobly selfless approach, it's just less effective than, and sometimes in opposition to, actually building things: developing new technologies, building clean power plants, and so on.

Hall also goes too far in letting the Greenists tar his view of the entire environmentalist movement. Not only is climate change a more important problem than the 1-3% estimated GDP loss for the US suggests, but you'd think that the sort of big technical innovation that is happening with clean tech would be exactly the sort of progress Hall would be rooting for.

Hall does have an environmentalist proposal, and of course it involves flying cars:

"The two leading human causes of habitat destruction are agriculture and highways—the latter not so much by the land they take up, but by fragmenting ecosystems.  One would think that Greens would be particularly keen for nuclear power, the most efficient, concentrated, high-tech factory farms, and for ... flying cars. "

[Ellipsis in original]

Energy matters!

Despite being partly blinded by his excessive anti-Greenism, there is one especially important correction to some strands of environmentalist thinking that Hall makes well: cheap energy really matters and we need more of it (and energy efficiency won't save the day).

Above, I used the stagnation in energy use per capita as an example of things going wrong. This may have raised some eyebrows; isn't it good that we're not consuming more and more energy? Don't we want to reduce our energy consumption for the sake of the environment?

First, it is obviously true that we need to reduce the environmental impact of energy generation. Decoupling GDP growth from CO2 emissions is one of the great achievements of western countries over the past decades, and we need to massively accelerate this trend.

However, our goal, if we're liberal humanists, should be to give people choices and let them lead happy lives (while applying the same considerations to any sentient non-human beings, and ideally not wrecking irreplaceable ecosystems). In our universe, this means energy. Improvements in the quality of life over history are, to a large extent, improvements in the amount of energy each person has access to. This is very true:

“Poverty is ameliorated by cheap energy. Bill Gates, nowadays perhaps the world’s leading philanthropist, puts it, “If you could pick just one thing to lower the price of—to reduce poverty—by far you would pick energy.”"

Even in the United States, "[e]nergy poverty is estimated to kill roughly 28,000 people annually in the US from cold alone, a toll that falls almost entirely on the poor". 

Climate change cannot be solved by reducing energy consumption, because there are six billion people in the world who have not reached western living standards and who should be brought up to them as quickly as possible. This will take energy. What we need is to simultaneously massively increase the amount of energy that humanity uses, while also switching over to clean energy. If you think only one of these is enough, you have either failed to understand the gravity of the world's poverty situation or the gravity of its environmental one.

(Energy efficiency matters, because all else being equal, it reduces operating costs. It is near-useless for solving emissions problems, however, because the more efficiently we can use energy, the more of it we will use. Hall illustrates this with a thought experiment of a farmer who uses a truck to carry one crate of tomatoes at a time from their farm to a customer, and whose only expense is fuel for the truck. Double its fuel efficiency, and it's economical to drive twice as far, and hence service four times as many customers (assuming customer number is proportional to reachable area), plus each trip is twice as long on average. The net result is that the 2x increase in efficiency leads to 8x more kilometres driven and hence 4x higher fuel consumption. The general case is called Jevons paradox.)

So yes, we need energy, most urgently in developing countries, but the more development and deployment of new energy sources there is, the cheaper they will be for everyone – consider Germany's highly successful subsidies for solar power – so developed countries have a role to play as well. (Also, are we sure there would be no human benefits to turning the plateauing in developed country energy use back into an increase?)

You'd think this is obvious. Unfortunately it isn't. In a section titled ""AAUGHH!!", Hall presents these quotes:

“The prospect of cheap fusion energy is the worst thing that could happen to the planet. —Jeremy Rifkin

Giving society cheap, abundant energy would be the equivalent of giving an idiot child a machine gun. —Paul Ehrlich

It would be little short of disastrous for us to discover a source of clean, cheap, abundant energy, because of what we might do with it. —Amory Lovins”

They are what leads Hall to say, perhaps with too much pessimism:

"Should [a powerful new form of clean energy] prove actually usable on a large scale, they would be attacked just as viciously as fracking for natural gas, which would cut CO2 emissions in half, and nuclear power, which would eliminate them entirely, have been."

It is good to give people the choice to do what they want, and therefore good to give them as much energy as possible to play with, whether they want it to power the construction of their dream city or their flying car trips to Australia (I do draw the line at Death Stars, though).

Right now we're limited by the wealth of our societies, limiting us to about 10 kW/capita in developed countries, and by the unacceptable externalities of our polluting technology. The right goal isn't to enforce limits on what people can do (except indirectly through the likes of taxes and regulation to correct externalities), but to bring about a world where these limits are higher.

If energy is expensive, people are cheap – lives and experiences are lost for want of a few watts. This is the world we have been gradually dragging ourselves out of since the industrial revolution, and progress should continue. Energy should be cheap, and people should be dear.

 

Don't panic; build

Where is my Flying Car? is a weird book.

First of all, I'm not sure if it has a structure. Hall will talk about flying cars, zoom off to something completely different until you think he's said all he has to say on them, and just when you least expect it: more flying cars. The same pattern of presentation repeats with other topics. Also, sections begin and sometimes end with a long selection of quotes, including no less than three from Shakespeare.

Second, the ideas. There are the hundred speculative examples of crazy (big, physical) future technologies, the many often half-baked economic/political arguments, the unstated but unmissable America-centrism, and witty rants that wander the border between insightful social critique and intellectualised versions of stereotypical boomer complaints about modern culture.

Also, the cover is this:

Above: ... a joke?

However, I think overall there's a coherent and valuable perspective here. First, Hall is against pointless pessimism. He makes this point most clearly when talking about dystopian fiction, but I think it generalises:

"Dystopia used to be a fiction of resistance; it’s become a fiction of submission, the fiction of an untrusting, lonely, and sullen twenty-first century, the fiction of fake news and infowars, the fiction of helplessness and hopelessness. It cannot imagine a better future, and it doesn’t ask anyone to bother to make one. It nurses grievances and indulges resentments; it doesn’t call for courage; it finds that cowardice suffices. Its only admonition is: Despair more."

Hall's answer to this pessimism is to point out ten billion cool tech things that we could do one day. He veers too much to the techno-optimistic side by not acknowledging any risks, but overall this is an important message. Visions of the future are often dominated by the negatives: no war, no poverty, no death. Someone needs to fill in the positives, and while Hall focuses more on the "what" of it than the "how does it help humans" part, I think a hopeful look at future technologies is a good start.

In addition to being against pessimism about human capabilities, Hall also takes, at least implicitly, a liberal stand by being against pessimism about humans. His answer to "what should we do?" is to give people choice: let them travel far and easily, let them live where they want, let them command vast amounts of energy.

Hall also identifies two ways to keep a civilisation on track in terms of making technological progress and not getting consumed by signalling and politics: growing, and having a frontier.

On the topic of growth, he makes basically the same point as my post on growth and civilisation:

"One of the really towering intellectual achievements of the 20th Century, ranking with relativity, quantum mechanics, the molecular biology of life, and computing and information theory, was understanding the origins of morality in evolutionary game theory. The details are worth many books in themselves, but the salient point for our purposes is that the evolutionary pressures to what we consider moral behavior arise only in non-zero-sum interactions. In a dynamic, growing society, people can interact cooperatively and both come out ahead. In a static no-growth society, pressures toward morality and cooperation vanish; you can only improve your situation by taking from someone else. The zero-sum society is a recipe for evil."

Secondly, the idea of a frontier: something outside your culture that your society presses against (ideally nature, but I think this would also apply to another competing society). This is needed because"[w]ithout an external challenge, we degenerate into squabbling [and] self-deceiving".

"But on the frontier, where a majority of one’s efforts are not in competition with others but directly against nature, self-deception is considerably less valuable. A culture with a substantial frontier is one with at least a countervailing force against the cancerous overgrowth of largely virtue-signalling, cost-diseased institutions."

Frontiers often relate to energy-intensive technologies:

"High-power technologies promote an active frontier, be it the oceans or outer space. Frontiers in turn suppress self-deception and virtue signalling in the major institutions of society, with its resultant cost disease. We have been caught to some extent in a self-reinforcing trap, as the lack of frontiers foster those pathologies, which limit what our society can do, including exploring frontiers. But by the same token we should also get positive feedback by going in in the opposite direction, opening new frontiers and pitting our efforts against nature."

Finally, Hall's book is a reminder that an important measure to judge a civilisation against is its capacity to do physical things. Even if the bulk of progress and value is now coming from less material things, like information technology or designing ever fairer and more effective institutions, there are important problems – covid vaccinations, solving climate change, and building infrastructure, for example – that depend heavily on our ability to actually go out and move atoms in the real world. Let's make sure we continue to get better at that, whether or not it leads to flying cars.


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2020-12-17

Review: Foragers, Farmers, and Fossil Fuels

Book: Foragers, Farmers, and Fossil Fuels: How Human Values Evolve, by Ian Morris (2015)
7.8k words (about 26 minutes)

 

 This post has also been published here.

 

Two hundred years ago, most people lived in societies that considered slavery, war, and discrimination based on class, ethnicity, and gender to be justifiable. Today, most people live in societies that hold the opposite beliefs.

What changed? A simple and tempting narrative is that we have simply become wiser; that various Enlightenment philosophers, thoughtful activists, and other principled people figured out that the pre-industrial moral order is wrong and managed to persuade everyone to change.

It is true that many smart and principled people had good ideas and that this was a big proximate driver of better values. But is it a coincidence that this change in values happened around the same time as the industrial revolution?

What about the previous economic revolution, the agricultural one? Did that also coincide with a change in the values that people held? The evidence says yes – foraging societies tend to be more accepting of violence and far less accepting of hierarchy than farming ones.

The argument of Ian Morris' Foragers, Farmers, and Fossil Fuels is that these timings are not a coincidence. Societies that change their main method of getting energy also change their values, because some sets of values give greater success for a certain type of society. Farming societies that stick to anti-hierarchical forager attitudes won't survive competition with farming societies that learn to believe in hierarchies (maybe they won't be economically competitive and won't be able to field as big an army to defend themselves as the god-king next door can field to conquer them). Likewise, industrial societies that stick to inflexible hierarchies and elite-focused economies can't compete with more equal democracies that don't squander the talents of the non-elite, and maintain a well-looked-after middle-class of rich consumers and educated workers.

We can contrast two ways of trying to explain the history of values. The first says that the history of values is a history of ideas; a battle of ideas against other ideas, waged in the minds of people. The second says that the history of values is a history of what works best. The battle is between the benefits conferred by believing in certain ideas and those conferred by other ones, and it is waged out in the real world, where empires fall or rise based on whether they value the things that will lead them to success.

It is clear that neither style of explanation is enough on its own. No matter how persuasive it can be made, a sufficiently destructive idea – as an extreme example, that everyone should commit suicide – will not find its adherents in charge of the future (or coming from the opposite direction: why do you think many religions are so big on the "be fruitful and multiply" point?). On the other hand, no matter how practically useful a certain idea is, someone has to have the idea and persuade other people to adopt it as a value before it has a chance of spreading because of its practical benefits.

The question, then, is just how far can we push the deterministic account, where the methods of energy capture constrain values. In Ian Morris' telling, the answer is surprisingly far, and if his account of the history of values is correct, I agree with him (in particular, the similarities of farming society values across continents is hard to explain otherwise). However, I think Morris, along with most people who advance or accept similar arguments, goes too far with the moral pragmatism that these ideas may be thought to imply.

But first: what values did foragers, farmers, and fossil fuel users actually hold, and what is Morris' energy-based explanation of the changes between them?

 

Foragers

Everyone has some idea of what a forager or hunter-gatherer is, but since we want to deal with differences between foragers and farmers, we want a clear idea of where the line is. Morris cites a good definition by Catherine Panter-Brick: foragers are people who "exercise no deliberate alteration of the gene pool of exploited resources". If you plant and harvest a few naturally occurring plants, you're still a forager, but when you start refining the crops generation by generation or breeding the animals, that's the point when you become a farmer.

Of course, there is a vast amount of variance in culture, lifestyle, and values between different forager bands. To almost every generalisation about foragers, there exists some tribe that does the opposite. However, Morris argues that for each main type of human society (foraging/farming/industrial), it is useful to talk about the average set of values such societies held or tended to develop towards, at least in terms of the broad categories of tolerance of political/economic/gender hierarchy and propensity to violence. This covers up lots of important questions – different societies may have justified violence under different circumstances, or had different reasons for why economic inequality was acceptable, but such differences are sucked up into one category and ignored in this sort of analysis. That this makes sense will become apparent once we see that foragers, farmers, and fossil fuel users can be sensibly compared and contrasted even at this very general level.

In some ways, forager values are familiar. Even among foragers, possession and ownership are big deals, with every item generally having an owner. In other ways, they're surprisingly different.

Take violence. Though it's very difficult to come up with exact figures for anything to do with foragers (ancient foragers left behind only bones and tools, and modern foragers only live in places that farmers didn't want, so might not be a representative sample), the chance of dying by murder may have been around 10% in an average forager tribe, compared to 0.7% today, 1-2% across the 1900s (including all wars), roughly 5% in your average farming society or in the most murderous countries of today, and 20% for Poland during World War II.

This was not recognised by anthropologists until the 1990s or so because, as Morris explains:

"[T]he social scale imposed by foraging is so small that even high rates of murder are difficult for outsiders to detect. If a band with a dozen members has a 10% rate of violent death, it will suffer roughly one homicide every twenty-five years, and since anthropologists rarely stay in the field for even twenty-five months, they will witness very few violent deaths."

This is why Elizabeth Marshall Thomas' !Kung ethnography was called "The Gentle People", even though "their murder rate was much the same as what Detroit would endure at the peak of its crack cocaine epidemic".

Foragers are also extremely averse to hierarchy. Perhaps the best summary is given by a !Kung San forager asked about the absence of chiefs:

"Of course we have headmen! In fact we’re all headmen … Each one of us is headman over himself!"

It's not just that foragers don't have strict hierarchies and this behaviour falls out naturally as a result; they are actively opposed to any sort of hierarchy or inequality. Material inequality is considered morally wrong, and fairness essential. Pressure to share spoils is applied liberally. And as in any group of humans, you'll have upstarts who try to achieve greatness and power, but such people usually have opposition groups immediately form to hold them back. Anthropologist Christopher Boehm calls these "reverse dominance hierarchies"; Morris translates this as "coalitions of losers".

The one sort of inequality that foragers aren't opposed to is gender inequality, with the dominant role in politics and violence generally falling to men (as an example of this attitude, Morris cites a forager of the Ona people (also known as the Selk'nam or Onawo) saying "the men are all captains and the women are sailors"). However, the gender inequality in forager societies is still on a different level from the extreme gender inequality and regimentation of farmer societies, and attitudes about sex were looser too. Morris writes that "abused wives regularly just walk away [...] without much fuss or criticism, and attitudes towards marital fidelity and premarital virginity tend to be quite relaxed".

 

Farmers

As with foragers, Morris lumps together farming societies into one ideal type, labelled Agraria by Ernest Gellner. As before, this covers up a lot of variation (in particular, he identifies horticulturalists, city states like classical Athens or medieval Venice, and proto-industrial nations like Qing dynasty China, Mughal India, Ottoman Turkey, and Enlightenment Western Europe as the three extremes of Agraria), but Morris argues "the exceptions and sub-categories should not be allowed to obscure the reality of an ideal type representing in abstract terms the core features of peasant farming society". He cites Robert Redfield:

"[I]f a peasant from [any one of widely separated farming societies] could have been transported by some convenient genie to any one of the others and equipped with a knowledge of the language in the village to which he had been moved, he would very quickly come to feel at home. And this would be because the fundamental orientations of life would be unchanged. The compass of his career would continue to point to the same moral north."

So what is the moral north of farming societies? Perhaps surprisingly, it's almost as hard to make definite conclusions about what anyone other than the elite thought in agrarian societies as it is to make conclusions about foragers.

While the elite read and wrote a lot, they didn't care much about what the peasants thought, and peasants were not literate. The most literate ancient societies – for example Athens in the 4th and 5th centuries BCE – had a rudimentary literacy rate of 10%, so one person in ten might be able to glean some meaning from words, but how well they could set down their thoughts on moral values is a different question. To get higher literacy rates, you have to move in time to the early second millennium, and in space to urban China or western Europe. Morris writes that "genuine mass literacy, with half or more of the population able to read simple sentences, belongs to the age of fossil fuels”, and because of this, most of “our evidence for peasant experience comes from archaeology and accounts by twentieth-century anthropologists, rural sociologists, and development economists." If history is the written record of the past, then the majority of the population lived their lives outside history until the past century or two. (Perhaps we might even say that history in this sense only began with the internet age, when the private lives of everyone began being set down.)

Before going into the trickier question of values, we can compare foragers and farmers in some simple ways. First, their energy consumption was higher. Foragers, like all humans, need to eat about eight and a half megajoules (2000 kilocalories) of energy as food per person per day to stay alive. Add cooking, and total energy consumption roughly doubles. The energy use of agrarian societies starts out at a forager level of around 20 MJ/person/day (5000 kcal), and goes up to the 100-150 MJ/person/day level (compare to 500 MJ/person/day (120 000 kcal), plus/minus a factor of two or so, for modern rich industrial nations).

Second, farming societies have very roughly perhaps half as few violent deaths as foragers, due to the existence of governments that at least occasionally kept the peace.

However, their life wasn't better on most metrics. In contrast to the literature (both then and now) full of "tales of vagabonds, wandering minstrels, and young men striking out to make their fortunes", "most farmers lived in worlds much smaller than most foragers had done, and never went much more than a day or two’s walk from the villages they were born in". Not only this, but:

"Excavated skeletons suggest that ancient farmers tended to suffer more than foragers from repetitive stress injuries; their teeth were often terrible, thanks to restricted diets heavy on sugary carbohydrates; and their stature, which is a fairly good proxy for overall nutrition, tended to fall slightly with the onset of agriculture, not increasing noticeably until the twentieth century AD."

No farming society even managed to escape the repeating cycles of population growth and starvation that foragers were also prone to, despite having more direct control over their food supplies. Populations would increase to keep pace with the good times until all farmers were slaving way to stay at subsistence levels given the crowdedness and quality of the land. Then many would starve to death when the bad times came.

Another trend across the history of farming societies is three things coinciding: energy consumption rises above 40 MJ (twice the minimum agrarian level and the typical forager level), towns grow past 10 000 people, and a few people take charge and start bossing around the others with their governments.

In farming societies, widespread respect and reverence for hierarchy was internalised by everyone. Morris writes that “[f]arming society often seemed obsessed with the symbolism of rank”, and twentieth century anthropologists "regularly found that having a healthy respect for authority – knowing your place – was a key part of their informants’ sense of themselves as good people". This often came, and still comes, as a surprise to non-farmers:

"[W]hen European reformers began venturing outside their urban enclaves into the countryside in the eighteenth century, they were often astonished that instead of complaining about inequality and demanding the redistribution of property, peasants largely took it as right and proper that most people were poor and weak while a few were rich and strong."

Especially revered was the "Old Deal", Morris' term for the generalised social contract between classes in agrarian societies: that some have the duty to be commanders (or "shepherds of the people", in the preferred phrasing of many a king), others to obey those commands, and if everyone follows this script then things work fine.

Even when the powerful were questioned, the questioning didn't go as far as the Old Deal itself. In fact it rarely reached the king. “The tsar is good but the boyars [aristocrats] are bad", goes a Russian saying; even those who protested the powerful assumed that the highest levels of power must be good and holy, and the problems came from their will being incorrectly carried out by lesser lords. Even when the king himself came under fire, the Old Deal itself, or the inequality it entailed, were not questioned. The most common sort of rebellion against a king took what Morris calls a "good-old-days form": the justification was that the king had broken the Old Deal (or been abandoned by the gods or lost the Mandate of Heaven) and the urgent need was to restore the days when the right dictator was in charge, not abolish the dictatorship in the first place.

There were exceptions – in the 1640s some Chinese peasants called themselves "Levelling Kings" and went around questioning who gave their rulers the right to call them serfs, and of course there's the gradual English case and the rather more abrupt French case – but these only came when the societies in question started hitting energy consumptions of 150 MJ/day, the very highest end that agrarian societies could achieve without a full-on industrial revolution.

(Morris implies that the energy consumption is the cause. This seems backwards; an explanation running through the institutions and organisation needed to sustain this energy level seems much more reasonable. In general, perhaps when Morris talks about "energy consumption", you should read "the societal factors that enable higher energy consumption" in its place.)

Given how anti-hierarchy foragers were, how did this come to be? Were the peasants all forced into a rigid hierarchy by ruthless elites?

'“You may fool all the people some of the time; you can even fool some of the people all the time; but you can’t fool all the people all the time,” Abraham Lincoln is supposed to have said (unless it was P. T. Barnum). But Korsgaard and Seaford apparently think that Lincoln/Barnum was wrong, and that for ten thousand years everyone in Agraria was led by the nose—women by men, poor by rich, everyone by priests—and robbed blind. This I just cannot credit. Humans are the cleverest animals on the planet (for all we know, the cleverest in the whole universe). We have worked out the answers to almost every problem we have ever encountered. So how, if farming values were really just a trick perpetrated by wicked elites, did they survive for ten millennia? Most of the farmers I have met have been canny folk; so why could farmers in the past not figure out what was going on behind the wizard’s veil?

The answer, in my opinion, is that there was no veil. The veil is a figment of modern academics’ imaginations, made necessary by the assumption that only a tiny elite could possibly have thought that hierarchy was a good thing. In reality, farmers had farming values not because they fell for a trick but because they had common sense.'

It is clearly a mistake to think that farmers participated in farming societies and its values through gritted teeth. However, I don't think it was so much farmers' common sense that made them adopt farming values. Societies that brainwashed their members into sincerely accepting farming-era hierarchies did better, and eventually all farming societies mastered this art.

 

Specific inequalities: forced labour and patriarchy

In addition to the general extreme hierarchy of farming societies, there are two specific types of inequality that are both interesting in their causes and tragic in their consequences.

The first is slavery, and forced labour more generally. Both are almost entirely absent in foraging bands, which might take captives from other tribes but usually eventually integrate them into the tribe rather than keeping them forever as slaves. In contrast, some form of forced labour is found in almost every agrarian society.

Why? Because financial institutions weren't strong enough. Markets for labour existed almost everywhere, but there was a problem: “anyone who had enough land to support a family preferred to make a living by working it rather than by selling labor”, because, without reliable banks for everyone, keeping a good farm was the only robust way to accumulate and maintain wealth, especially for your children. When it was time for a big construction project (maybe the pharaoh died and you need a pyramid to bury him in), even wealthy employers like the state couldn't always hire enough workers. Often they resorted to violence to lower the costs of labour. Violence, after all, came cheap.

The second specific kind of inequality was male domination and strict gender roles. Morris offers a two-pronged explanation. First, farmer men had more reason than forager men to keep farmer/forager women under control:

“The main reason that male foragers generally care less than male farmers about controlling women [...] is that foragers have much less to inherit than farmers. [...] [Q]uestions about the legitimacy of children matter a lot less than they do when only legitimate offspring will inherit land and capital.”

(We might ask why farming societies were so strict about only legitimate offspring inheriting property, but perhaps this is a case of biological values limiting the space of cultural variation.)

Second, gender roles became more regimented out of necessity. Agricultural work – plowing, manuring, and irrigation – relies on brute upper body strength, which favours males. Farmers worked harder in general than foragers, so more male-specific strength-based work also pushed everything else – home upkeep (which foragers didn't need to do) and food processing – onto women. As early as 7000 BCE, skeletons from Syria suggest that both genders regularly carried heavy loads, but only women had an arthritic condition caused by kneeling and footwork, probably as a result of grinding grain.

Finally, child bearing is obviously restricted to women. With the advent of farming, the doubling time for populations fell by a factor of five, from ten thousand to two thousand years. Infant mortality seems not to have changed, so this is due to increased birth rates alone.

Morris writes that this decision on gender norms seems so obvious that "no farming society that moved beyond horticulture ever seems to have decided anything else". According to him, "if we sit theorizing in our fossil-fuel studies" we might imagine an alternative were women had the upper hand, "sending otherwise-useless men out to labor for them in the fields, but in reality, the organizational needs of farming societies gave men the means to inflict devastating economic pain on faithless wives while also raising the costs for men of failing to deter women from bringing cuckoos back to the nest". The empirical correlation between gender inequality and farming societies seems strong and Morris' arguments are plausible, but whether they're the final word is less clear.

Of course, you can't hold everyone down all the time. Morris lists many historical cases of people who were slaves and/or women, but nevertheless defied expectations and attained great success. For example, Morris tells the story of an Athenian slave banker called Pasion, who did so well that he was eventually not only able to buy his own freedom but also the bank itself.

(Interestingly, Wikipedia tells the story slightly differently, saying he was manumitted as a reward for his work, and inherited the bank after his former owners retired, rather than by buying it outright. Wikipedia cites the 1971 Athenian Propertied Families by J. K. Davies; Morris cites Edward Cohen's Athenian Economy and Society and Jeremy Trevett's Apollorodus Son of Pasion, both from 1992. I don't know who to believe, or whether a consensus exists.)

Morris' harsh conclusion is that both forced labour and patriarchy were "functionally necessary to farming societies that generated more than 10k kcal/cap/day [42 MJ/cap/day]”.

 

Fossil-fuel users

Many places underwent the agricultural revolution independently of each other, because farming spread slow enough that distant people could invent it on their own before the waves of someone else's discovery of farming reached them. In contrast, the industrial revolution happened in north-west Europe fast enough, and gave big enough advantages, that no other region had an independent industrial revolution.

The culture and values of the post-industrial West – democracy, human rights, individualism, market-orientedness, and so on – are often labelled Western. In some sense this is a tautology; by definition, these are the values that Western countries have at the moment. The label is also used in a deeper sense, to mean that there is some kernel of Westernness in these values that makes them the logical conclusion of pre-industrial Western thought, and perhaps incompatible with different cultural bases.

One consequence of Morris' arguments is that this perspective is wrong. What we might call Western values are no more Western values than farming-era values are Sumerian values (or Indus Valley values or Mesoamerican values or ...); the reason Western values are called Western values but farming values aren't called Sumerian values is that the industrial revolution spread faster than the agricultural one. To explain Western values we should look not at ancient Greek philosophers and whatnot but at the demands of industrialised societies.

This does not mean that every industrialised society will approach the West in its values, only that the pressures are there (and wily enough dictators or future technological trends may be enough to avoid them). It might also be that the reason that Europe underwent an industrial revolution while other societies at the edges of agrarian achievement did not is that, by accidents of history and geography, pre-industrial north-west European values were closer to modern industrial values than those of the other societies that have stood at the cusp of industrialisation.

But the overall conclusion remains: "Western" values are the universal values that industrialised societies tend towards. The conflict between Boko Haram or the Taliban and the West, to use two of Morris' examples, is not so much a conflict of culture versus culture, but of era versus era; a last stand of the hierarchy- and patriarchy-obsessed farming values that were held by everyone (except a forager here or there) until a few hundreds years ago. On a more granular level, the steady retreat of discrimination and formality from Western societies is simply the gradual acceptance that these vestiges of the farming era are no longer useful.

As with the transition to farming society, there's the question of how people eventually reached almost opposite stances of what their ancestors had believed. Unlike with the agricultural revolution, the question is especially pressing because the timescale of the changes is so short. But once again, a lot of it was driven by economics.

The first step was people moving from countryside farming to factory jobs:

"Nineteenth-century sources make it very clear that entering the wage-labor market could be a traumatic experience, requiring workers to submit to strict time discipline and factory conditions unlike anything they had known in the countryside; and yet millions chose to do so, because the alternative—hunger—was worse.

So eager were poor farmers for dirty, dangerous factory jobs that British employers only needed to increase wages by 5 percent (in real terms) between 1780 and 1830, although output per worker grew by 25 percent. Wage increases accelerated only in the 1830s, and even then only for urban workers. The great motor was productivity, which was now rising so high that employers began finding it cheaper to share some of their profits with their workers than to try to break strikes. (In another great irony, by the time that Dickens, Marx, and Engels were writing, wages were rising faster than ever before in history.) For the next fifty years, wages rose as fast as productivity; after 1880, they rose even faster. By then, incomes were beginning to rise in the countryside too.”

One resulting value change was the abolition of forced labour:

“By making wage labour attractive enough to draw in millions of free workers, higher wages made forced labor less necessary, and because impoverished serfs and slaves—unlike the increasingly prosperous wage labourers—could rarely buy the manufactured goods being churned out by factories, forced labour increasingly struck business interests as an obstacle to growth (especially when it was competitors who were using it).”

The farmer-era justifications for gender hierarchy also broke down. First, industrialised societies had less need for brute strength and more need for organisational work, in which there is no gender disparity. Second, birth rates eventually went down, reducing the amount of time women spent on children. As a result, almost universal male dominance during the farming era has given way to a world where 81% of people say gender equality is important, including 98% in Britain but also over 90% of Indonesians and Turks and even 78% of Iranians (India, with a very low 60% and a huge population, is probably the biggest drag on the average).

Morris offers a great summary of the principles of success in agrarian versus industrial societies:

“Agraria had worked by drawing lines, not just between elite and mass or men and women, but also between believers and nonbelievers, pure and defiled, free and slave, and countless other categories. Each group was assigned its place in a complex hierarchy of mutual obligations and privileges, tied together by the Old Deal and guaranteed by the gods and the threat of violence. Fossil-fuel societies, however, work best by erasing lines. The more a group replaces the rigid structure of figure 3.6 with the anti-structure of figure 4.7—a completely empty box, made up of interchangeable citizens—the bigger and more efficient its markets will be and the better it will function in the fossil-fuel world.”


The most successful agrarian social structure have a social structure like the one above; the most successful industrial societies look like this instead:

This, in a nutshell, is why agrarian societies tend towards extreme hierarchy while industrial societies tend towards a social structure of interchangeable mobile individuals, free to do what they want and incentivised to slot themselves wherever they create the most value (at least economically).

With industrialisation, we've managed to roll back the discrimination and hierarchy of the farming age. We've even gone back to valuing fairly flat political hierarchies like the foragers (though we maintain them through democratic institutions rather than "coalitions of losers"), and become more egalitarian about gender than the foragers were, all the while living in societies far less violent than the average hunter-gatherer band.

There is one area where we're more tolerant of hierarchy than foragers, though: economic inequality. Once again the reason is practical:

"[...] Industria can flourish only if it has affluent middle and working classes that create effective demand for all the goods and services that fossil-fuel economies generate, but on the other, it also needs a dynamic entrepreneurial class that expects material rewards for providing leadership and management. In response, fossil-fuel values have evolved across the last two hundred years to favor government intervention to reduce wealth equality—but not too much.”

However, even then we still abhor the farmer-era standard of seeing it as fair when the elite extract as much as they can from everyone under them. In fact, merely the fact that calling elites extractive has become a good political weapon shows how far we've come – as discussed in the farming section, farming-era people saw ruthlessly extractive elites as part of a fair social contract.

 

A summary of value evolution?

We've just gone over a lot of detail about foragers, farmers, and fossil-fuel user values, and some reasons why values might have developed in the way they did. Is this a story of a random path through the stages of technological development, with harsh selection pressures making sure that societal values are dragged along for the ride? Or is there some pattern to the madness?

Morris' summary table does a good job of summing up the "what" of it:

Two things leaps out from this table, especially if we plot it graphically: when it comes to attitudes towards hierarchy, fossil-fuel users are much closer to foragers than farmers are to anyone, and violence has gone down all along.

(Slide from a talk I gave at EA Cambridge)

 

Other people have noticed this; economist and futurist Robin Hanson has written about the modern conservative-liberal axis mapping onto how willing people are to abandon farming ways and revert to more forager-like lifestyles and values as societies grow richer (as some people inexplicably prefer writing in digestible chunks rather than monolithic book-length blog posts, it's hard to give just one or two key links, but see for example here, here, here, and here).

Perhaps we can tell a story like this: in the beginning there were foragers. They tended to live as people tend to do, and value the things that evolution had crafted people to want. Humans being humans, there was a lot of politicking, and with no institutions to restrain it, a fair amount of violence. The outside world was harsh and outside anyone's control.

Then the agricultural revolution slowly creeped across the world. At first people lived as before, but generation by generation it turned out that the societies that managed to best persuade people to accept a bit more hierarchy – to show a bit more obedience to the chiefs, grant a bit less non-reproductive status to women – did a bit better than the others. Over millennia, such societies either had their tricks independently discovered or copies by others, or then outright went warpath to subjugate over societies to their rule – and, of course, preach their values, which (given human adaptability) they held sincerely, and with no idea that they thought differently from their distant ancestors. Eventually, the big tricks – organised religion and the god-kings keeping power by letting their henchmen extract as much as they could from their subjects – became almost universal. They also lowered the level of violence by imposing some amount of internal order and perhaps a culture promoting peaceful conflict resolution, if only to spare more strength to throw at neighbouring societies.

Then came the industrial revolution, and suddenly what mattered is how well a society could harness the talents of its members and establish efficient, competitive markets to drive innovation. This created pressures to democratise and erase lines between people. Technology and wealth also increased people's ability to control their lives. Rich and comfortable industrialised people no longer needed to abide by strict farming-era social rules to survive, and so slowly gave up on them, reverting back to more forager-like ways, though with the added advantages of unprecedented peace and material wellbeing.

 

How selection pressures change values

The reasons why societies tend to adopt pragmatic values are subtle; it's not as if people go around cynically holding the values that will best contribute to their tribe's or society's long-term success. As a result, Morris' descriptions of how selection pressures do their work are worth quoting at length.

First, here's how farmers ended up dominating the world in the first place:

“The first farmers had free will, just like us. As their families grew, their landscapes filled up. […] For all we know, some foragers in the Jordan Valley ten thousand years ago [chose to remain foragers]. The problem, though, was that they were not making a one-time choice. Tens of thousands of other people were asking the same question, and each family had to revisit the decision of whether to intensify or go hungry multiple times every year. Most important of all, each time one family chose to work harder and intensify its management of plants and animals, the payoffs from sticking with the old ways declined a little further for everyone else. Every time cultivators started thinking of the plants and animals on which they lavished care and attention as their personal gardens and flocks, not part of a common stock, hunting and gathering would become that much more difficult for those who stuck to it. Foragers who clung stubbornly and/or heroically to the old ways were doomed because the odds kept tilting against them.”

But how did this result in a world of dictator kings? Morris:

“We should probably assume that people tried lots of different ways to solve the collective action problem of how to create larger, more integrated societies with more complex divisions of labor as they moved from foraging to farming, but almost everywhere, it seems that the solution that worked best was the idea of the godlike king.”

Morris isn't very clear on why godlike kings, out of all possible forms of social organisation, worked best. We can imagine that it's hard to coordinate big armies for defence or offence without one, or that the symbolism of a godlike figurehead is the most reliable way to unite masses in a largely illiterate society, or vaguely gesture like Morris at the challenges of managing complex societies, but there doesn't seem to be much hard evidence or reason for a precise mechanism one way or the other, at least in Foragers, Farmers, and Fossil Fuels.

In general, collective action problems are important in any large organisation, and the simplest solution is complete centralisation; effectively reducing collective action problems back into individual action problems. Of course, this comes with all the cruelties and inefficiencies of real-world non-omnibenevolent, non-omniscient centralised decision-making. Given this, was the centralisation-vs-decentralisation tradeoff really so simple in the farming era that "godlike kings everywhere" was the only effective answer? Perhaps the tradeoffs really were that one-sided in the farming age, and this became a trickier question only in the industrial age when nurturing human talent and prosperity became key societal goals, and we created effective decentralised institutions like free markets and democracy. Or maybe there was a high but not extreme level of optimal centralisation, but the greed of individual rulers often pushed their societies past this level despite selection pressures working in favour of more responsibly lead societies, and it was only with the industrial age that these pressures became high enough to force the world away from the godlike king model.

Morris also describes the rise of capitalism:

“Capitalism took off in early-modern Western Europe because practical people figured out that this was the most effective way to get things done in an increasingly energy-rich world. Other people disagreed, and did things differently. Conflicts and compromises ensued as the competitive logic of cultural evolution went to work and drove the less effective ways extinct.”

Once again, I think the concept of selection pressures is a powerful lens, but the details of what drives the relationship are missing. What exactly was it about an energy-rich environment that made capitalism ideal? Even by Morris' own account, it seems the methods (e.g. complex manufacturing chains, mature financial institutions, etc.) required to most effectively extract and use energy given a particular technology level are what matter, not the raw total of joules consumed per person per day.

 

Respondents

Foragers, Farmers, and Fossil Fuels originated from the Tanner Lectures at Princeton. As part of the format, the book includes four responses to Morris' arguments, by Richard Seaford, Jonathan Spence, Christine Korsgaard, and Margaret Atwood.

On the whole, these responses don't add much to book, though they are helpful in making Morris elaborate on his arguments in the final chapter (cheekily entitled "My Correct Views on Everything").

Seaford and Spence provide short chapters that seem to be more about their own interests than Morris' arguments, and have the tone of questions asked by professors who slept through the talk but are still trying to say something insightful at the questions session.

Atwood, of The Handmaid's Tale fame, brings an arsenal of literary flair to bear on the task. She manages to make some good points (what about horse-riding pastoralists, who may have been the first large-scale war-makers?), along with some ridiculous statements:

“Several billion years ago, marine algae produced the atmosphere that allows us to breathe, and these algae continue to produce from 60 to 80 percent of our oxygen. Without marine algae, we ourselves cannot survive. During the Vietnam War, huge vats of Agent Orange were being shipped across the Pacific. Should they have sunk and leaked, we would not be having this conversation today.”

Let's do some very rough calculations. If all the Agent Orange deployed in Vietnam had been uniformly distributed across the Pacific, the mass concentration of its component acids (making the highest assumptions about what concentration it was sprayed at) would have been lower than one part in tens of trillions, a hundred thousand times lower than the mass concentrations of either lead or mercury already in the oceans. I couldn't find any study of what happens to algae in oceans if you dump Agent Orange on them, but one article about using algaecide in swimming pools says applying one ten-thousandth of the pool volume is typical. Another article mentions 5-10% as a common concentration, giving an algae-killing active ingredient concentration of maybe 1 in 100 000 in water. Agent Orange would need to kill algae at ten million times lower concentrations in oceans than commercial algaecide does in swimming pools for the Pacific's oxygen production to be destroyed.

(Or maybe Atwood means the literal sense that, because of various butterfly effects, any such change in history makes any present event, including this conversation, unlikely?)

By far the most substantive response comes from the philosopher Christine Korsgaard. She also has the idea that the farming era was an aberration, with a fresh interpretation:

“Instead of thinking that values are determined by modes of energy capture, perhaps we should think that as human beings began to be in a position to amass power and property in the agricultural age, forms of ideology set in that distorted real moral values [i.e. the values a society should hold], distortions that we are only now, in the age of science and extensive literacy, beginning to overcome.”

More significantly, she makes a distinction between the values a society holds and values that should be held (“positive values” and “real moral values” respectively), in contrast to Morris' arguments that such a distinction is meaningless and the only real distinction is between biological values and the form they take in a given society. Her response manages to pick away at Morris' nonchalant bulldozing of all philosophical subtleties.

Responding to this in the last chapter, Morris quotes, and then dismisses, Ernest Gellner's response to a social theory presentation at an archaeology conference: "They tell me you're a good archaeologist, so why are you trying to be a bad philosopher?". Perhaps he should have taken the question more to heart.

 

The future

The experiment of how to switch from foraging to farming was run many times. Forager bands in many places adopted farming techniques. Some of them had good ideas about how to structure their now-farming societies and succeeded, while others had bad ideas and perished, or were forced to copy techniques from the more successful.

In contrast, today the entire world has been thrust into the industrial age in the space of a few hundred years. There is only one experiment going on, and only one chance to get it right. There's no one to copy from to see what we should do, and no one to pick up the job if our attempt fails.

A successful transition to the industrial world, and whatever we might mark as the next step after that, is therefore less certain than the successful transition from foragers to farmers. The values that industrial life imposes on us might be better than the those of the farming age, but it is not yet clear if they will become as universal as hierarchies and kings once were.

(Better by which standard? I think humans are similar enough that there is a context-independent universal human ethical framework.)

Morris' arguments also lead to the question of how values might change in the future. Will the set of values that a society tends towards continue to improve as technology and wealth increases, or is the cuddliness of industrial values (compared to farming ones) a fluke?

The significance of Foragers, Farmers, and Fossil Fuels for this question is that we won't necessarily be the ones deciding. Over a span of years or decades, we can maintain our values through argument and education. Over a span of centuries, though, we can argue all we like, just as countless luddites and aristocrats railed against industrial/Western values, but if the game has changed and someone else's values make them play it better, it won't be enough. The harsh logic of evolution-like selection pressures can't be resisted forever; those that are best at spreading themselves into the future will eventually claim it.

Yuval Noah Harari, author of Sapiens, says that once we can engineer desires, the question is not "what do we want to become?", but "what do we want to want?". Morris counters that the real question is instead "what are we going to want, whether we want it or not?", and his answer is bleak yet pragmatic: "each age gets the thought it needs" ("needs" referring to "survival needs").

I don't think we need to be either nihilistic (in thinking that every set of societal values is as good as any other; some do a better job of serving universal human wants), nor pessimistic (in thinking that we can't do anything about a slide to worse values; we've never had more control over the future of our world).

Morris writes:

“Trying to imagine people who are somehow divorced from the demands of capturing energy and then speculating about what their moral values would be is an odd activity.”

I disagree. Of course we can imagine people living without being constrained by energy needs. How many science fiction writers or futurists haven't imagined a post-scarcity society?

In fact, aren't we well on our way towards such a world? Forager and farmer lives were significantly shaped by the need to get food, water, light, and warmth. Today in developed countries, these aren't free, but our lives aren't shaped by worrying about them. Sure, you need to work a job, but what you worry about in the job is likely very far separated from survival needs, and provided you have one and aren't massively wasteful, the water and light flows exactly as you want it. Technological progress removes difficulty and scarcity. Ultimately, there's no physical limit stopping us from removing scarcity considerations from our lives (or, more precisely, making them trivial enough that we don't need to worry about them; nothing is ever entirely free in this universe).

Once we've done so, no longer have to make compromises between what we should do and what we as a society are forced to value in order to survive. And so I think it is reasonable to imagine humans whose values aren't warped by survival needs; in fact such values might be good ones to aim for.

(Or maybe the need to focus at least a bit on survival is the one anchor to objective reality that prevents societies from losing themselves entirely to petty politicking and status games.)

Of course, there's always the problem of competition. What happens to our happy post-scarcity society when the people next door ratchet up the competition, say by throwing off all the safeguards around capitalism, or developing AIs or nanomachines or Robin Hanson's emulated minds, and then outcompeting us by adopting values more suitable to exploiting those technologies? Even if we ourselves don't suffer – say we have a big enough wall – in the long run we'd give up the rest of the world (or solar system or galaxy) to the pragmatic-valued competitors. At best, the long-term future looks like an oasis of human flourishing, surrounded by a galaxy-spanning alien economy with weird but morally neutral ways. (Imagine a forager tribe considering the massive and weird industrialised world around them; now imagine we're the foragers.) At worst, any good in our oasis would be outweighed by the morally bad machinations that fuel the endless growth of that weird galaxy-spanning alien economy.

So will we be forced to compromise ever more and more to avoid being outrun by those with fewer scruples about changing their values? Or can we build a world where human values are a winning strategy?

Looking at our track record, I think we have a chance.

 

Related:
Growth and civilisation