资本主义的威胁
在《历史哲学》中,黑格尔发现了一个令人不安的历史模式——文明因自身第一原则的病态强化而崩溃和衰落。虽然我已在金融市场赚取了巨额财富,但我现在担心,不受约束的放任资本主义的强化,以及市场价值观向所有生活领域的蔓延,正在危及我们开放和民主的社会。我认为,开放社会的主要敌人不再是共产主义,而是资本主义的威胁。
In The Philosophy of History, Hegel discerned a disturbing historical pattern — the crack and fall of civilizations owing to a morbid intensification of their own first principles. Although I have made a fortune in the financial markets, I now fear that the untrammeled intensification of laissez-faire capitalism and the spread of market values into all areas of life is endangering our open and democratic society. The main enemy of the open society, I believe, is no longer the communist but the capitalist threat.
“开放社会”一词由亨利·柏格森在其 1932 年的著作中创造,并由奥地利哲学家卡尔·波普尔在其 1945 年的著作《开放社会及其敌人》中赋予了更大的影响力。波普尔指出,像共产主义和纳粹主义这样的极权意识形态有一个共同点:它们声称掌握了终极真理。由于终极真理是人类无法企及的,这些意识形态不得不诉诸压迫,以将它们的愿景强加给社会。波普尔将这些极权意识形态与另一种社会观并置,这种社会观承认没有人垄断真理;不同的人有不同的观点和不同的利益,因此需要建立允许他们和平共处的制度。这些制度保护公民的权利,并确保选择自由和言论自由。波普尔称这种社会组织形式为“开放社会”。极权意识形态是它的敌人。
The term “open society” was coined by Henri Bergson, in his book The (1932), and given greater currency by the Austrian philosopher Karl Popper, in his bookThe Open Society and Its Enemies (1945). Popper showed that totalitarian ideologies like communism and Nazism have a common element: they claim to be in possession of the ultimate truth. Since the ultimate truth is beyond the reach of humankind, these ideologies have to resort to oppression in order to impose their vision on society. Popper juxtaposed with these totalitarian ideologies another view of society, which recognizes that nobody has a monopoly on the truth; different people have different views and different interests, and there is a need for institutions that allow them to live together in peace. These institutions protect the rights of citizens and ensure freedom of choice and freedom of speech. Popper called this form of social organization the “open society.” Totalitarian ideologies were its enemies.
写于二战期间的《开放社会及其敌人》解释了西方民主国家所代表和为之奋斗的东西。这种解释高度抽象且富有哲学意味,而“开放社会”一词从未获得广泛认可。尽管如此,波普尔的分析是深刻的,当我在 1940 年代末作为学生读到它时,由于亲身经历过匈牙利的纳粹和共产主义统治,它对我产生了启示般的力量。
Written during the Second World War, The Open Society and Its Enemies explained what the Western democracies stood for and fought for. The explanation was highly abstract and philosophical, and the term “open society” never gained wide recognition. Nevertheless, Popper’s analysis was penetrating, and when I read it as a student in the late 1940s, having experienced at first hand both Nazi and Communist rule in Hungary, it struck me with the force of revelation.
我被驱使着更深入地探究卡尔·波普尔的哲学,并问道:为什么没有人能接触到终极真理?答案变得清晰:我们生活在我们试图理解的同一个宇宙中,我们的认知可以影响我们所参与的事件。如果我们的思想属于一个宇宙,而它们所研究的对象属于另一个宇宙,那么真理也许就在我们的掌握之中:我们可以制定与事实相符的陈述,而事实可以作为判断这些陈述是否为真的可靠标准。
I was driven to delve deeper into Karl Popper’s philosophy, and to ask, Why does nobody have access to the ultimate truth? The answer became clear: We live in the same universe that we are trying to understand, and our perceptions can influence the events in which we participate. If our thoughts belonged to one universe and their subject matter to another, the truth might be within our grasp: we could formulate statements corresponding to the facts, and the facts would serve as reliable criteria for deciding whether the statements were true.
资本主义失控
Capitalism Out of Control
有一个领域具备这些条件:自然科学。但在人类努力的其他领域,陈述与事实之间的关系则不那么明确。在社会和政治事务中,参与者的认知有助于决定现实。在这些情况下,事实不一定构成判断陈述真假的可靠标准。思想与事件之间存在一种双向联系——一种反馈机制——我称之为“反身性”。我利用它发展出了一套历史理论。
There is a realm where these conditions prevail: natural science. But in other areas of human endeavor the relationship between statements and facts is less clear-cut. In social and political affairs the participants’ perceptions help to determine reality. In these situations facts do not necessarily constitute reliable criteria for judging the truth of statements. There is a two- way connection—a feedback mechanism—between thinking and events, which I have called “reflexivity.” I have used it to develop a theory of history.
无论该理论是否有效,它在金融市场上都对我非常有帮助。当我赚到的钱超过了我的需要时,我决定成立一个基金会。我反思了自己真正关心什么。在经历了纳粹迫害和共产主义压迫之后,我得出的结论是,对我来说最重要的是开放社会。所以我将基金会命名为“开放社会基金”,并将其目标定义为:开放封闭的社会,使开放社会更具活力,并推广批判性思维模式。那是在 1979 年。
Whether the theory is valid or not, it has turned out to be very helpful to me in the financial markets. When I had made more money than I needed, I decided to set up a foundation. I reflected on what it was I really cared about. Having lived through both Nazi persecution and Communist oppression, I came to the conclusion that what was paramount for me was an open society. So I called the foundation the Open Society Fund, and I defined its objectives as opening up closed societies, making open societies more viable, and promoting a critical mode of thinking. That was in 1979.
我的第一个主要项目是在南非,但并不成功。种族隔离制度如此普遍,以至于我试图做的任何事情都让我成为该制度的一部分,而不是帮助改变它。然后我将注意力转向了中欧。在这里我取得了更大的成功。我于 1980 年开始支持捷克斯洛伐克的七七宪章运动,1981 年支持波兰的团结工会。我于 1984 年在我的祖国匈牙利建立了独立的基金会,1986 年在中国,1987 年在苏联,1988 年在波兰。随着苏联体制的崩溃,我的参与加速了。到现在,我已经建立了一个涵盖超过 25 个国家的基金会网络(不包括中国,我们于 1989 年在那里关闭了业务)。
My first major undertaking was in South Africa, but it was not successful. The apartheid system was so pervasive that whatever I tried to do made me part of the system rather than helping to change it. Then I turned my attention to Central Europe. Here I was much more successful. I started supporting the Charter 77 movement in Czechoslovakia in 1980 and Solidarity in Poland in 1981. I established separate foundations in my native country, Hungary, in 1984, in China in 1986, in the Soviet Union in 1987, and in Poland in 1988. My engagement accelerated with the collapse of the Soviet system. By now I have established a network of foundations that extends across more than twenty-five countries (not including China, where we shut down in 1989).
在共产主义政权统治下运作时,我从未觉得有必要解释“开放社会”意味着什么;那些支持基金会目标的人比我更理解它,即使他们不熟悉这个说法。例如,我在匈牙利的基金会的目标是支持另类活动。我知道盛行的共产主义教条是虚假的,恰恰因为它是一个教条,而且如果它暴露在另类选择面前,它将变得不可持续。这种方法证明是有效的。该基金会成为匈牙利公民社会的主要支持来源,随着公民社会的发展,共产主义政权也衰落了。
Operating under Communist regimes, I never felt the need to explain what “open society” meant; those who supported the objectives of the foundations understood it better than I did, even if they were not familiar with the expression. The goal of my foundation in Hungary, for example, was to support alternative activities. I knew that the prevailing Communist dogma was false exactly because it was a dogma, and that it would become unsustainable if it was exposed to alternatives. The approach proved effective. The foundation became the main source of support for civil society in Hungary, and as civil society flourished, so the Communist regime waned.
Individualism / Communitarianism
Individualism / Communitarianism
共产主义崩溃后,基金会网络的使命发生了变化。认识到开放社会是一种比封闭社会更先进、更复杂的社会组织形式(因为在封闭社会中只有一种蓝图被强加给社会,而在开放社会中,每个公民不仅被允许,而且被要求为自己思考),基金会从破坏性任务转向了建设性任务——当开放社会的信奉者习惯于破坏性活动时,这可不是一件容易的事。我的大多数基金会都做得很好,但不幸的是,它们没有多少同伴。西方的开放社会并没有强烈的意愿去促进前苏联帝国的开放社会。相反,普遍的看法是,人们应该被允许处理自己的事务。冷战的结束带来的反应与二战结束时的反应截然不同。甚至无法提出一个类似马歇尔计划的想法。当我在 1989 年春天于波茨坦(当时仍属东德)的一次会议上提出这样一个想法时,我确实遭到了嘲笑。
After the collapse of communism, the mission of the foundation network changed. Recognizing that an open society is a more advanced, more sophisticated form of social organization than a closed society (because in a closed society there is only one blueprint, which is imposed on society, whereas in an open society each citizen is not only allowed but required to think for himself), the foundations shifted from a subversive task to a constructive one—not an easy thing to do when the believers in an open society are accustomed to subversive activity. Most of my foundations did a good job, but unfortunately, they did not have much company. The open societies of the West did not feel a strong urge to promote open societies in the former Soviet empire. On the contrary, the prevailing view was that people ought to be left to look after their own affairs. The end of the Cold War brought a response very different from that at the end of the Second World War. The idea of a new Marshall Plan could not even be mooted. When I proposed such an idea at a conference in Potsdam (in what was then still East Germany), in the spring of 1989, I was literally laughed at.
共产主义的崩溃为普世开放社会奠定了基础,但西方民主国家未能挺身而出。在前苏联和前南斯拉夫出现的新政权与开放社会几乎毫无相似之处。西方联盟似乎失去了目标感,因为它无法再用共产主义的威胁来定义自己。它几乎没有表现出任何意愿去援助那些在波斯尼亚或其他任何地方捍卫开放社会理念的人。至于生活在原共产主义国家的人们,他们在遭受压制时可能曾向往开放社会,但现在共产主义体系已经崩溃,他们专注于生存问题。共产主义失败后,紧接着便出现了对普世概念的普遍幻灭,而开放社会正是一个普世概念。
The collapse of communism laid the groundwork for a universal open society, but the Western democracies failed to rise to the occasion. The new regimes that are emerging in the former Soviet Union and the former Yugoslavia bear little resemblance to open societies. The Western alliance seems to have lost its sense of purpose, because it cannot define itself in terms of a Communist menace. It has shown little inclination to come to the aid of those who have defended the idea of an open society in Bosnia or anywhere else. As for the people living in formerly Communist countries, they might have aspired to an open society when they suffered from repression, but now that the Communist system has collapsed, they are preoccupied with the problems of survival. After the failure of communism there came a general disillusionment with universal concepts, and the open society is a universal concept.
这些考虑迫使我重新审视我对开放社会的信念。柏林墙倒塌后的五六年时间里,我几乎所有精力都投入到原共产主义世界的转型中。最近,我将注意力重新转向了我们自己的社会。我创建的基金会网络继续做着有益的工作;尽管如此,我感到迫切需要重新审视指导我建立它们的概念框架。这种重新评估使我得出结论:开放社会的概念并未失去其相关性。相反,在理解当前的历史时刻以及为政治行动提供实践指南方面,它可能比卡尔·波普尔写书时更为有用——但它需要彻底的重新思考和重新阐述。如果开放社会要成为一个值得为之奋斗的理想,就不能再用共产主义的威胁来定义它。它必须被赋予更积极的内容。
These considerations have forced me to re-examine my belief in the open society. For five or six years following the fall of the Berlin Wall, I devoted practically all of my energies to the transformation of the formerly Communist world. More recently I have redirected my attention to our own society. The network of foundations I created continues to do good work; nevertheless, I felt an urgent need to reconsider the conceptual framework that had guided me in establishing them. This reassessment has led me to the conclusion that the concept of the open society has not lost its relevance. On the contrary, it may be even more useful in understanding the present moment in history and in providing a practical guide to political action than it was at the time Karl Popper wrote his book—but it needs to be thoroughly rethought and reformulated. If the open society is to serve as an ideal worth striving for, it can no longer be defined in terms of the Communist menace. It must be given a more positive content.
新敌人
The New Enemy
波普尔指出,法西斯主义和共产主义有很多共同点,尽管一个是极右翼,另一个是极左翼,因为两者都依赖国家权力来压制个人自由。我想扩展他的论点。我认为,开放社会也可能受到来自相反方向——即过度个人主义——的威胁。过多的竞争和过少的合作会导致无法容忍的不平等和不稳定。
Popper showed that fascism and communism had much in common, even though one constituted the extreme right and the other the extreme left, because both relied on the power of the state to repress the freedom of the individual. I want to extend his argument. I contend that an open society may also be threatened from the opposite direction—from excessive individualism. Too much competition and too little cooperation can cause intolerable inequities and instability.
资本主义的诱惑
Temptation to Capitalism
就当今我们社会的主流信念而言,它是对市场魔力的信念。放任资本主义的教条认为,对自我利益不受抑制的追求最能服务于公共利益。除非这种追求被一种认识所调和,即存在一种应当优先于特定利益的共同利益,否则我们目前的制度——尽管它并不完美,但称得上是一个开放社会——就有可能崩溃。
Insofar as there is a dominant belief in our society today, it is a belief in the magic of the marketplace. The doctrine of laissez-faire capitalism holds that the common good is best served by the uninhibited pursuit of self-interest. Unless it is tempered by the recognition of a common interest that ought to take precedence over particular interests, our present system—which, however imperfect, qualifies as an open society—is liable to break down.
然而,我想强调的是,我并没有将放任资本主义与纳粹主义或共产主义归为同一类别。极权意识形态蓄意摧毁开放社会;放任政策可能危及它,但这只是无意之举。弗里德里希·哈耶克,放任主义的信徒之一,同时也是开放社会的热情支持者。尽管如此,由于共产主义甚至社会主义已彻底名誉扫地,我认为如今来自放任主义的威胁比来自极权意识形态的威胁更为强大。我们正享受着一种真正的全球市场经济,其中商品、服务、资本甚至人员都相当自由地流动,但我们却未能认识到维持开放社会价值观和制度的必要性。
I want to emphasize, however, that I am not putting laissez-faire capitalism in the same category as Nazism or communism. Totalitarian ideologies deliberately seek to destroy the open society; laissez-faire policies may endanger it, but only inadvertently. Friedrich Hayek, one of the apostles of laissez-faire, was also a passionate proponent of the open society. Nevertheless, because communism and even socialism have been thoroughly discredited, I consider the threat from the laissez-faire side more potent today than the threat from totalitarian ideologies. We are enjoying a truly global market economy in which goods, services, capital, and even people move around quite freely, but we fail to recognize the need to sustain the values and institutions of an open society.
当前的情况与上世纪之交有相似之处。那时是资本主义的黄金时代,奉行自由放任原则;如今也是如此。早期的某些方面反而更加稳定。当时有一个帝国——英国——随时准备向遥远的地方派遣炮舰,因为作为该体系的主要受益者,它在维护这一体系上拥有既得利益。而今天,美国并不想充当世界警察。早期有金本位制;如今主要货币浮动,像大陆板块一样相互碰撞。然而,一百年前盛行的自由市场体制被第一次世界大战摧毁了。极权主义意识形态占了上风,到第二次世界大战结束时,国家之间几乎没有任何资本流动。除非我们汲取历史教训,否则当前的体制崩溃的可能性只会更大!
The present situation is comparable to that at the turn of the past century. It was a golden age of capitalism, characterized by the principle of laissez-faire; so is the present. The earlier period was in some ways more stable. There was an imperial power, England, that was prepared to dispatch gunboats to faraway places because as the main beneficiary of the system it had a vested interest in maintaining that system. Today the United States does not want to be the policeman of the world. The earlier period had the gold standard; today the main currencies float and crush against each other like continental plates. Yet the free-market regime that prevailed a hundred years ago was destroyed by the First World War. Totalitarian ideologies came to the fore, and by the end of the Second World War there was practically no movement of capital between countries. How much more likely the present regime is to break down unless we learn from experience!
尽管自由放任主义与马列主义或纳粹的种族纯洁论不同,并不与开放社会的原则直接相悖,但这些学说有一个共同的重要特征:它们都试图借助科学来为其终极真理的主张辩护。就极权主义学说而言,这种诉求很容易被驳斥。波普尔的成就之一,就是证明了像马克思主义这样的理论并不具备科学的资格。而自由放任主义的主张则更难辩驳,因为它建立在经济理论之上,而经济学是社会科学中最有声望的学科。人们不能简单地将市场经济与马克思主义经济学等量齐观。然而,我认为自由放任主义意识形态与马列主义一样,都是对所谓科学真理的扭曲。
Although laissez-faire doctrines do not contradict the principles of the open society the way Marxism-Leninism or Nazi ideas of racial purity did, all these doctrines have an important feature in common: they all try to justify their claim to ultimate truth with an appeal to science. In the case of totalitarian doctrines, that appeal could easily be dismissed. One of Popper’s accomplishments was to show that a theory like Marxism does not qualify as science. In the case of laissez-faire the claim is more difficult to dispute, because it is based on economic theory, and economics is the most reputable of the social sciences. One cannot simply equate market economics with Marxist economics. Yet laissez-faire ideology, I contend, is just as much a perversion of supposedly scientific verities as Marxism-Leninism is.
自由放任意识形态的主要科学基础是这样一种理论:自由竞争的市场能使供求达到均衡,从而确保资源的最佳配置。这被广泛视为一条永恒的真理,从某种意义上说也确实如此。经济学理论是一个公理体系:只要基本假设成立,结论就随之成立。但当我们仔细审视这些假设时,会发现它们并不适用于现实世界。最初提出的完全竞争理论——即供求自然均衡的理论——假设了完全的信息、同质且易于分割的产品,以及足够多的市场参与者,以至于没有任何单一参与者能影响市场价格。完全信息的假设后来被证明站不住脚,于是被一个巧妙的设计所取代。供求被当作独立给定的条件,这一点被呈现为方法论要求而非假设。理由是:经济理论研究的是供求之间的关系,因此必须把两者都当作给定条件。
The main scientific underpinning of the laissez-faire ideology is the theory that free and competitive markets bring supply and demand into equilibrium and thereby ensure the best allocation of resources. This is widely accepted as an eternal verity, and in a sense it is one. Economic theory is an axiomatic system: as long as the basic assumptions hold, the conclusions follow. But when we examine the assumptions closely, we find that they do not apply to the real world. As originally formulated, the theory of perfect competition—of the natural equilibrium of supply and demand—assumed perfect knowledge, homogeneous and easily divisible products, and a large enough number of market participants that no single participant could influence the market price. The assumption of perfect knowledge proved unsustainable, so it was replaced by an ingenious device. Supply and demand were taken as independently given. This condition was presented as a methodological requirement rather than an assumption. It was argued that economic theory studies the relationship between supply and demand; therefore it must take both of them as given.
正如我在其他场合所论述的,供给和需求独立给定的假设无法与现实相调和,至少在金融市场如此——而金融市场在资源配置中扮演着关键角色。金融市场中的买方和卖方试图对取决于他们自身决策的未来进行贴现。供给和需求曲线的形状无法被视为给定,因为二者都融入了对事件的预期,而这些预期本身又受到那些预期的影响。市场参与者的思考与他们所思考的情境之间存在双向反馈机制——“反身性”。它既解释了参与者认知的不完美性(对这种不完美的认识正是开放社会概念的基础),也解释了其所参与过程的不确定性。
As I have shown elsewhere, the condition that supply and demand are independently given cannot be reconciled with reality, at least as far as the financial markets are concerned—and financial markets play a crucial role in the allocation of resources. Buyers and sellers in financial markets seek to discount a future that depends on their own decisions. The shape of the supply and demand curves cannot be taken as given because both of them incorporate expectations about events that are shaped by those expectations. There is a two-way feedback mechanism between the market participants’ thinking and the situation they think about—“reflexivity.” It accounts for both the imperfect understanding of the participants (recognition of which is the basis of the concept of the open society) and the indeterminacy of the process in which they participate.
如果供给曲线和需求曲线不是独立给定的,市场价格又是如何决定的?当我们观察金融市场的表现时,会发现价格并非趋向均衡,而是持续根据买卖双方的预期波动。价格长期偏离任何理论均衡值的情况屡见不鲜。
If the supply and demand curves are not independently given, how are market prices determined? If we look at the behavior of financial markets, we find that instead of tending toward equilibrium, prices continue to fluctuate relative to the expectations of buyers and sellers. There are prolonged periods when prices are moving away from any theoretical equilibrium.
即使它们最终显示出回归的趋势,均衡状态也与没有这段插曲时不同。然而,均衡的概念依然存在。原因显而易见:没有它,经济学就无法解释价格是如何决定的。
Even if they eventually show a tendency to return, the equilibrium is not the same as it would have been without the intervening period. Yet the concept of equilibrium endures. It is easy to see why: without it, economics could not say how prices are determined.
在缺乏均衡的条件下,自由市场能实现资源最优配置的主张就失去了依据。那套曾被用来为这一主张辩护、号称科学的理论,其实不过是一种公理体系——其结论早已隐含在假设之中,未必能得到经验证据的支持。这与同样宣称其教条具有科学地位的马克思主义,相似程度高得令人不安。
In the absence of equilibrium, the contention that free markets lead to the optimum allocation of resources loses its justification. The supposedly scientific theory that has been used to validate it turns out to be an axiomatic structure whose conclusions are contained in its assumptions and are not necessarily supported by the empirical evidence. The resemblance to Marxism, which also claimed scientific status for its tenets, is too close for comfort.
我并非暗示经济理论出于政治目的故意扭曲现实。但在试图模仿自然科学的成就(并为自己赢得声望)的过程中,经济理论试图完成不可能的任务。社会科学理论与其研究对象之间存在反身性关系。也就是说,它们能以自然科学理论无法做到的方式影响事件走向。海森堡著名的测不准原理指出,观察行为可能干扰量子粒子的行为;但造成这种影响的是观察本身,而非测不准原理。在社会领域,理论有能力改变其相关的研究对象。经济理论故意将反身性排除在考量之外。如此一来,它扭曲了自身的研究对象,并让自己暴露在自由放任意识形态的利用之下。
I do not mean to imply that economic theory has deliberately distorted reality for political purposes. But in trying to imitate the accomplishments (and win for itself the prestige) of natural science, economic theory attempted the impossible. The theories of social science relate to their subject matter in a reflexive manner. That is to say, they can influence events in a way that the theories of natural science cannot. Heisenberg’s famous uncertainty principle implies that the act of observation may interfere with the behavior of quantum particles; but it is the observation that creates the effect, not the uncertainty principle itself. In the social sphere, theories have the capacity to alter the subject matter to which they relate. Economic theory has deliberately excluded reflexivity from consideration. In doing so, it has distorted its subject matter and laid itself open to exploitation by laissez-faire ideology.
让经济理论变成一种敌视开放社会的意识形态的,是对完美知识的假设——起初还公开陈述,后来就伪装成方法论的形式。市场机制有其强大的合理性,但这并非因为市场是完美的,而是因为在一个以不完美认知主导的世界里,市场为评估决策结果、纠正错误提供了有效的反馈机制。
What allows economic theory to be converted into an ideology hostile to the open society is the assumption of perfect knowledge—at first openly stated and then disguised in the form of a methodological device. There is a powerful case for the market mechanism, but it is not that markets are perfect; it is that in a world dominated by imperfect understanding, markets provide an efficient feedback mechanism for evaluating the results of one’s decisions and correcting mistakes.
无论以何种形式呈现,宣称拥有完美知识本身就与开放社会的理念相矛盾(开放社会承认我们对自身处境的理解天然就是不完美的)。由于这一观点过于抽象,我需要描述自由放任思想具体以何种方式对开放社会构成威胁。我将聚焦三个问题:经济稳定、社会正义与国际关系。
Whatever its form, the assertion of perfect knowledge stands in contradiction to the concept of the open society (which recognizes that our understanding of our situation is inherently imperfect). Since this point is abstract, I need to describe specific ways in which laissez-faire ideas can pose a threat to the open society. I shall focus on three issues: economic stability, social justice, and international relations.
Economic Stability
Economic Stability
经济学理论成功构建了一个人为世界:在这个世界里,参与者的偏好与所面临的机会互不相干,价格趋向一个能让两股力量达到平衡的均衡点。但在金融市场中,价格并非仅仅是独立给定的供需关系的被动反映;它还主动塑造着偏好和机会。这种反射性互动使得金融市场天生就不稳定。自由放任主义否认这种不稳定性,并反对任何旨在维护稳定的政府干预。历史已经证明,金融市场确实会崩溃,从而引发经济萧条和社会动荡。这些崩溃促使央行系统及其他监管形式的演变。自由放任主义者喜欢辩称,崩溃是由错误的监管造成的,而非不稳定的市场。他们的论点有一定道理——因为如果我们的理解本身就不完美,监管必然存在缺陷。但他们的论调空洞无力,因为它无法解释当初为何要实施这些监管。他们用另一个论点来回避问题:既然监管有缺陷,那么不受监管的市场就是完美的。
Economic theory has managed to create an artificial world in which the participants’ preferences and the opportunities confronting participants are independent of each other, and prices tend toward an equilibrium that brings the two forces into balance. But in financial markets prices are not merely the passive reflection of independently given demand and supply; they also play an active role in shaping those preferences and opportunities. This reflexive interaction renders financial markets inherently unstable. Laissez-faire ideology denies the instability and opposes any form of government intervention aimed at preserving stability. History has shown that financial markets do break down, causing economic depression and social unrest. The breakdowns have led to the evolution of central banking and other forms of regulation. Laissez-faire ideologues like to argue that the breakdowns were caused by faulty regulations, not by unstable markets. There is some validity in their argument, because if our understanding is inherently imperfect, regulations are bound to be defective. But their argument rings hollow, because it fails to explain why the regulations were imposed in the first place. It sidesteps the issue by using a different argument, which goes like this: since regulations are faulty, unregulated markets are perfect.
这一论点建立在完全信息的假设之上:如果一个解决方案是错误的,那么它的反面必定正确。然而,在缺乏完全信息的情况下,自由市场和监管都存在缺陷。只有刻意为之,稳定才能得以维持。即便如此,崩溃仍会发生,因为公共政策常常有缺陷。如果崩溃足够严重,就可能催生极权政权。
The argument rests on the assumption of perfect knowledge: if a solution is wrong, its opposite must be right. In the absence of perfect knowledge, however, both free markets and regulations are flawed. Stability can be preserved only if a deliberate effort is made to preserve it. Even then breakdowns will occur, because public policy is often faulty. If they are severe enough, breakdowns may give rise to totalitarian regimes.
不稳定性远远超出了金融市场:它影响着指导人们行动的价值观。经济学理论将价值观视为既定前提。在经济学理论诞生的时代——亚当·斯密、大卫·李嘉图和阿尔弗雷德·马歇尔的时代——这是一个合理的假设,因为人们的确拥有根深蒂固的价值观。亚当·斯密本人就将道德哲学与他的经济学理论结合在了一起。在通过市场行为表现出来的个人偏好之下,人们还受到一套道德原则的指引,这些原则体现在市场机制之外的行为中。这些原则深深植根于传统、宗教和文化,并不一定理性——并不代表人们在可选方案中的有意识选择。事实上,当其他选择出现时,它们往往难以立足。市场价值观恰好起到了削弱传统价值观的作用。
Instability extends well beyond financial markets: it affects the values that guide people in their actions. Economic theory takes values as given. At the time economic theory was born, in the age of Adam Smith, David Ricardo, and Alfred Marshall, this was a reasonable assumption, because people did, in fact, have firmly established values. Adam Smith himself combined a moral philosophy with his economic theory. Beneath the individual preferences that found expression in market behavior, people were guided by a set of moral principles that found expression in behavior outside the scope of the market mechanism. Deeply rooted in tradition, religion, and culture, these principles were not necessarily rational in the sense of representing conscious choices among available alternatives. Indeed, they often could not hold their own when alternatives became available. Market values served to undermine traditional values.
市场价值与其他更传统的价值体系之间一直存在冲突,激起了强烈的情绪和对立。随着市场机制的不断扩张,人们根据一套既定的非市场价值行事的虚构变得越来越难以维系。广告、营销,甚至包装,都旨在塑造人们的偏好,而不是像自由放任理论所认为的那样,仅仅是对偏好做出回应。由于不确定自己到底信奉什么,人们越来越依赖金钱作为衡量价值的标准。更贵的东西被认为更好。一件艺术品的价值可以通过其售价来判断。人们因为富有而值得尊重和钦佩。原本作为交换媒介的东西篡夺了基本价值观的地位,颠倒了经济理论所假定的关系。原本是职业的东西变成了生意。对成功的崇拜取代了对原则的信仰。社会失去了它的锚。
There has been an ongoing conflict between market values and other, more traditional value systems, which has aroused strong passions and antagonisms. As the market mechanism has extended its sway, the fiction that people act on the basis of a given set of nonmarket values has become progressively more difficult to maintain. Advertising, marketing, even packaging, aim at shaping people’s preferences rather than, as laissez-faire theory holds, merely responding to them. Unsure of what they stand for, people increasingly rely on money as the criterion of value. What is more expensive is considered better. The value of a work of art can be judged by the price it fetches. People deserve respect and admiration because they are rich. What used to be a medium of exchange has usurped the place of fundamental values, reversing the relationship postulated by economic theory. What used to be professions have turned into businesses. The cult of success has replaced a belief in principles. Society has lost its anchor.
Social Darwinism
Social Darwinism
将供给和需求条件视为既定,并将政府干预宣判为终极罪恶,自由放任主义意识形态实际上已经取消了收入或财富再分配。我可以同意所有再分配尝试都会干扰市场效率,但这并不意味着就不该做任何尝试。自由放任主义的论证与共产主义一样,都隐含着对完美的诉求。它声称,如果再分配导致低效率和扭曲,那么消除再分配就能解决问题——正如共产主义者声称竞争中的重复是浪费,因此我们应该实行中央计划经济。但完美是无法实现的。财富确实会聚集在所有者手中,如果没有再分配机制,不平等就会变得无法忍受。“金钱就像粪肥,只有撒开才有用。”弗朗西斯·培根是一位深刻的经济学家。
By taking the conditions of supply and demand as given and declaring government intervention the ultimate evil, laissez-faire ideology has effectively banished income or wealth redistribution. I can agree that all attempts at redistribution interfere with the efficiency of the market, but it does not follow that no attempt should be made. The laissez-faire argument relies on the same tacit appeal to perfection as does communism. It claims that if redistribution causes inefficiencies and distortions, the problems can be solved by eliminating redistribution— just as the Communists claimed that the duplication involved in competition is wasteful, and therefore we should have a centrally planned economy. But perfection is unattainable. Wealth does accumulate in the hands of its owners, and if there is no mechanism for redistribution, the inequities can become intolerable. “Money is like muck, not good except it be spread.” Francis Bacon was a profound economist.
反对收入再分配的自由放任主义论证,援引了适者生存的信条。这一论证被一个事实削弱了:财富通过继承传递,而第二代通常不如第一代那样适应。
The laissez-faire argument against income redistribution invokes the doctrine of the survival of the fittest. The argument is undercut by the fact that wealth is passed on by inheritance, and the second generation is rarely as fit as the first.
无论如何,将适者生存作为文明社会的指导原则是有问题的。这种社会达尔文主义基于一种过时的进化论,就像经济学中的均衡理论效仿牛顿物理学一样。指导物种演化的原则是突变,而突变以一种更复杂的方式运作。物种及其环境是相互作用的,一个物种是其他物种环境的一部分。存在一种类似于历史中反身性的反馈机制,区别在于,在历史中,驱动这一机制的不是突变,而是错误观念。我提到这一点,是因为社会达尔文主义正是当今驱动人类事务的错误观念之一。我想强调的主要观点是,合作与竞争一样是体系的一部分,而“适者生存”这一口号扭曲了这一事实。
In any case, there is something wrong with making the survival of the fittest a guiding principle of civilized society. This social Darwinism is based on an outmoded theory of evolution, just as the equilibrium theory in economics is taking its cue from Newtonian physics. The principle that guides the evolution of species is mutation, and mutation works in a much more sophisticated way. Species and their environment are interactive, and one species serves as part of the environment for the others. There is a feedback mechanism similar to reflexivity in history, with the difference being that in history the mechanism is driven not by mutation but by misconceptions. I mention this because social Darwinism is one of the misconceptions driving human affairs today. The main point I want to make is that cooperation is as much a part of the system as competition, and the slogan “survival of the fittest” distorts this fact.
International Relations
International Relations
自由放任主义意识形态分享了另一门伪科学——地缘政治学——的一些缺陷。地缘政治学家认为,国家没有原则,只有利益,而这些利益由地理位置和其他基本因素决定。这种决定论方法植根于过时的 19 世纪科学方法论观点,并且至少有两个明显的缺陷,而这些缺陷对自由放任主义的经济学说不具有同样的效力。其一,它将国家视为不可分割的分析单位,就像经济学将个人视为分析单位一样。一方面将国家从经济中驱逐,另一方面又将其奉为国际关系中终极权威的来源,这之间存在矛盾。但暂且不提这一点。问题还有一个更紧迫的实际方面。当一个国家解体时会发生什么?地缘政治现实主义者发现自己完全措手不及。这正是苏联和南斯拉夫解体时发生的情况。地缘政治学的另一个缺陷是,它不承认超越国家利益的共同利益。
Laissez-faire ideology shares some of the deficiencies of another spurious science, geopolitics. States have no principles, only interests, geopoliticians argue, and those interests are determined by geographic location and other fundamentals. This deterministic approach is rooted in an outdated nineteenth-century view of scientific method, and it suffers from at least two glaring defects that do not apply with the same force to the economic doctrines of laissez- faire. One is that it treats the state as the indivisible unit of analysis, just as economics treats the individual. There is something contradictory in banishing the state from the economy while at the same time enshrining it as the ultimate source of authority in international relations. But let that pass. There is a more pressing practical aspect of the problem. What happens when a state disintegrates? Geopolitical realists find themselves totally unprepared. That is what happened when the Soviet Union and Yugoslavia disintegrated. The other defect of geopolitics is that it does not recognize a common interest beyond the national interest.
随着共产主义的消亡,当前的事态——无论多么不完美——可以被描述为一个全球开放社会。它没有受到来自外部的威胁,即来自寻求世界霸权的极权主义意识形态的威胁。威胁来自内部,来自那些试图通过外部冲突建立内部统治的地方暴君。威胁也可能来自那些追求自身利益而损害共同利益的民主主权国家。国际开放社会可能是自己最大的敌人。
With the demise of communism, the present state of affairs, however imperfect, can be described as a global open society. It is not threatened from the outside, from some totalitarian ideology seeking world supremacy. The threat comes from the inside, from local tyrants seeking to establish internal dominance through external conflicts. It may also come from democratic but sovereign states pursuing their self-interest to the detriment of the common interest. The international open society may be its own worst enemy.
冷战是一个极其稳定的安排。代表两种对立社会组织理念的两大势力集团正在争夺霸权,但它们必须尊重彼此的切身利益,因为每一方都能够在全面战争中毁灭对方。这为冲突的程度设定了严格的限制;所有局部冲突反过来又被更大的冲突所控制。这种极其稳定的世界秩序随着一个超级大国的内部解体而终结。没有新的世界秩序取而代之。我们进入了一个混乱时期。
The Cold War was an extremely stable arrangement. Two power blocs, representing opposing concepts of social organization, were struggling for supremacy, but they had to respect each other’s vital interests, because each side was capable of destroying the other in an all-out war. This put a firm limit on the extent of the conflict; all local conflicts were, in turn, contained by the larger conflict. This extremely stable world order has come to an end as the result of the internal disintegration of one superpower. No new world order has taken its place. We have entered a period of disorder.
自由放任主义意识形态并没有让我们做好准备来应对这一挑战。它不承认对世界秩序的需求。秩序本应通过国家对其自身利益的追求而出现。但是,在适者生存原则的指导下,各国越来越专注于自身竞争力,不愿为共同利益做出任何牺牲。
Laissez-faire ideology does not prepare us to cope with this challenge. It does not recognize the need for a world order. An order is supposed to emerge from states’ pursuit of their self- interest. But, guided by the principle of the survival of the fittest, states are increasingly preoccupied with their competitiveness and unwilling to make any sacrifices for the common good.
无需对全球贸易体系的最终崩溃做出任何可怕的预测,就能证明自由放任主义意识形态与开放社会的理念不相容。只需考虑一下自由世界在共产主义崩溃后未能伸出援手就足够了。在俄罗斯扎根的强盗资本主义体系是如此不公,以至于人们很可能转而投向一位以牺牲公民自由为代价承诺民族复兴的魅力型领导人。
There is no need to make any dire predictions about the eventual breakdown of our global trading system in order to show that a laissez-faire ideology is incompatible with the concept of the open society. It is enough to consider the free world’s failure to extend a helping hand after the collapse of communism. The system of robber capitalism that has taken hold in Russia is so iniquitous that people may well turn to a charismatic leader promising national revival at the cost of civil liberties.
如果有什么教训可以吸取,那就是专制政权的崩溃并不会自动导致开放社会的建立。开放社会不仅仅是政府干预和压迫的缺席。它是一个复杂、精巧的结构,需要刻意的努力才能建立起来。由于它比它所取代的系统更复杂,快速转型需要外部援助。但自由放任理念、社会达尔文主义和地缘政治现实主义(在美国和英国盛行)的结合,阻碍了俄罗斯建立一个开放社会的任何希望。如果这些国家的领导人对世界有不同的看法,他们本可以为全球开放社会奠定坚实的基础。
If there is any lesson to be learned, it is that the collapse of a repressive regime does not automatically lead to the establishment of an open society. An open society is not merely the absence of government intervention and oppression. It is a complicated, sophisticated structure, and deliberate effort is required to bring it into existence. Since it is more sophisticated than the system it replaces, a speedy transition requires outside assistance. But the combination of laissez-faire ideas, social Darwinism, and geopolitical realism that prevailed in the United States and the United Kingdom stood in the way of any hope for an open society in Russia. If the leaders of these countries had had a different view of the world, they could have established firm foundations for a global open society.
在苏联解体之时,曾有机会让联合国按其最初设计发挥作用。米哈伊尔·戈尔巴乔夫 1988 年访问联合国,阐述了他关于两个超级大国合作,为世界带来和平与安全的愿景。自那以后,这个机会已经消逝。联合国作为一个维和机构已彻底失信。波斯尼亚正在对联合国做的事情,正如 1936 年阿比西尼亚对国际联盟所做的那样。
At the time of the Soviet collapse there was an opportunity to make the UN function as it was originally designed to. Mikhail Gorbachev visited the United Nations in 1988 and outlined his vision of the two superpowers cooperating to bring peace and security to the world. Since then the opportunity has faded. The UN has been thoroughly discredited as a peacekeeping institution. Bosnia is doing to the UN what Abyssinia did to the League of Nations in 1936.
我们的全球开放社会缺乏其存续所必需的制度和机制,但也没有建立这些制度和机制的政治意愿。我归咎于当前盛行的态度,即认为对自身利益不受阻碍的追求将最终带来国际均衡。我相信这种信心是错位的。我相信开放社会的理念(它需要制度来保护)可能提供更好的行动指南。就目前情况而言,不需要太多想象力就能意识到,当前盛行的全球开放社会很可能被证明是一个暂时的现象。
Our global open society lacks the institutions and mechanisms necessary for its preservation, but there is no political will to bring them into existence. I blame the prevailing attitude, which holds that the unhampered pursuit of self-interest will bring about an eventual international equilibrium. I believe this confidence is misplaced. I believe that the concept of the open society, which needs institutions to protect it, may provide a better guide to action. As things stand, it does not take very much imagination to realize that the global open society that prevails at present is likely to prove a temporary phenomenon.
可错性的承诺
The Promise of Fallibility
识别开放社会的敌人比赋予这个概念一个积极的意义更容易。然而,如果没有这样一个积极的意义,开放社会必将沦为敌人的猎物。必须有一种共同利益来凝聚一个社群,但开放社会并不是传统意义上的社群。它是一个抽象的理念,一个普世概念。诚然,存在一个全球社群;在全球层面上存在着共同利益,例如保护环境和防止战争。但与特殊利益相比,这些利益相对薄弱。在一个由主权国家组成的世界里,它们没有多少支持者。此外,开放社会作为一个普世概念,超越了所有边界。社会从共享价值中获得凝聚力。这些价值根植于文化、宗教、历史与传统之中。当一个社会没有边界时,共享价值去哪里寻找?我相信只有一个可能的来源:开放社会概念本身。
It is easier to identify the enemies of the open society than to give the concept a positive meaning. Yet without such a positive meaning the open society is bound to fall prey to its enemies. There has to be a common interest to hold a community together, but the open society is not a community in the traditional sense of the word. It is an abstract idea, a universal concept. Admittedly, there is such a thing as a global community; there are common interests on a global level, such as the preservation of the environment and the prevention of war. But these interests are relatively weak in comparison with special interests. They do not have much of a constituency in a world composed of sovereign states. Moreover, the open society as a universal concept transcends all boundaries. Societies derive their cohesion from shared values. These values are rooted in culture, religion, history, and tradition. When a society does not have boundaries, where are the shared values to be found? I believe there is only one possible source: the concept of the open society itself.
为了发挥这一作用,需要重新定义开放社会的概念。与其将社会分为开放与封闭两类,我认为开放社会占据一个中间地带,在那里,个人权利得到保障,但也有一些共享价值维系着社会。这个中间地带四面受敌。在一端,共产主义和民族主义信条将导致国家统治。在另一端,自由放任资本主义将导致巨大的不稳定和最终的崩溃。还有其他变体。新加坡的李光耀提出了一种所谓的亚洲模式,将市场经济与威权国家结合起来。在世界的许多地方,对国家的控制与私人财富的创造如此紧密地联系在一起,以至于人们可以将强盗资本主义或“流氓国家”视为对开放社会的新威胁。
To fulfill this role, the concept of the open society needs to be redefined. Instead of there being a dichotomy between open and closed, I see the open society as occupying a middle ground, where the rights of the individual are safeguarded but where there are some shared values that hold society together. This middle ground is threatened from all sides. At one extreme, communist and nationalist doctrines would lead to state domination. At the other extreme, laissez-faire capitalism would lead to great instability and eventual breakdown. There are other variants. Lee Kuan Yew, of Singapore, proposes a so-called Asian model that combines a market economy with a repressive state. In many parts of the world control of the state is so closely associated with the creation of private wealth that one might speak of robber capitalism, or the “gangster state,” as a new threat to the open society.
我将开放社会设想为一个对社会持开放态度的社会,一个乐于改进的社会。我们从承认自身的可错性开始,这种可错性不仅延伸到我们的思维构造,也延伸到我们的制度。不完美的东西可以通过试错过程得到改进。开放社会不仅允许这一过程,而且通过坚持言论自由和保护异见来实际鼓励这一过程。开放社会提供了无限进步的前景。在这方面,它与科学方法有相似之处。但科学拥有客观标准——即可以用来评判该过程的事实。不幸的是,在人类事务中,事实并不能提供可靠的真理标准,然而我们需要一些普遍认同的标准,用以评判试错过程。所有文化和宗教都提供这样的标准;开放社会不能没有它们。开放社会的创新之处在于,尽管大多数文化和宗教视其自身的价值为绝对,但一个意识到多种文化和宗教的开放社会,必须将其自身的共享价值视为辩论和选择的问题。为了使辩论成为可能,至少必须在一个点上达成普遍共识:开放社会是一种理想的社会组织形式。人们必须能够自由思考和行为,唯一的限制是共同利益所施加的。限制在哪里,也必须通过试错来决定。
I envisage the open society as a society open to improvement. We start with the recognition of our own fallibility, which extends not only to our mental constructs but also to our institutions. What is imperfect can be improved, by a process of trial and error. The open society not only allows this process but actually encourages it, by insisting on freedom of expression and protecting dissent. The open society offers a vista of limitless progress. In this respect it has an affinity with the scientific method. But science has at its disposal objective criteria—namely the facts by which the process may be judged. Unfortunately, in human affairs the facts do not provide reliable criteria of truth, yet we need some generally agreed-upon standards by which the process of trial and error can be judged. All cultures and religions offer such standards; the open society cannot do without them. The innovation in an open society is that whereas most cultures and religions regard their own values as absolute, an open society, which is aware of many cultures and religions, must regard its own shared values as a matter of debate and choice. To make the debate possible, there must be general agreement on at least one point: that the open society is a desirable form of social organization. People must be free to think and act, subject only to limits imposed by the common interests. Where the limits are must also be determined by trial and error.
《独立宣言》大概可以算作对开放社会原则相当不错的阐述,但我们不应声称那些原则是不言自明的,而应该说它们与我们的可错性是一致的。承认我们理解的不完善,能否使开放社会成为一种理想的社会组织形式?我相信是可以的,尽管这途中存在重重困难。我们必须将对我们自身可错性的信仰提升到通常赋予终极真理的那种地位。但假如终极真理无法企及,我们又怎能将可错性视为终极真理呢?
The Declaration of Independence may be taken as a pretty good approximation of the principles of an open society, but instead of claiming that those principles are self-evident, we ought to say that they are consistent with our fallibility. Could the recognition of our imperfect understanding serve to establish the open society as a desirable form of social organization? I believe it could, although there are formidable difficulties in the way. We must promote a belief in our own fallibility to the status that we normally confer on a belief in ultimate truth. But if ultimate truth is not attainable, how can we accept our fallibility as ultimate truth?
这看似一个悖论,但可以化解。第一个命题——我们的理解是不完善的——与第二个命题是一致的:我们必须将第一个命题当作一条信念来接受。需要信念,恰恰是因为我们的理解不完善。假如我们拥有完美的知识,就根本不需要信念。但要接受这一推理思路,需要深刻改变我们赋予信念的角色。
This is an apparent paradox, but it can be resolved. The first proposition, that our understanding is imperfect, is consistent with a second proposition: that we must accept the first proposition as an article of faith. The need for articles of faith arises exactly because our understanding is imperfect. If we enjoyed perfect knowledge, there would be no need for beliefs. But to accept this line of reasoning requires a profound change in the role that we accord our beliefs.
历史上,信念一直用来为特定的行为准则辩护。可错性则应催生一种不同的态度。信念应当用来塑造我们的生活,而不是让我们遵循一套给定的规则。如果我们认识到,信念是我们选择的表现,而非终极真理,我们就更可能容忍其他信念,并根据自身经历修正自己的信念。但这并非大多数人对待信念的方式。他们往往把自己的信念等同于终极真理。事实上,这种等同常常定义了他们自身的身份认同。如果他们在开放社会生活的经历迫使他们放弃对终极真理的主张,他们会感到一种失落。
Historically, beliefs have served to justify specific rules of conduct. Fallibility ought to foster a different attitude. Beliefs ought to serve to shape our lives, not to make us abide by a given set of rules. If we recognize that our beliefs are expressions of our choices, not of ultimate truth, we are more likely to tolerate other beliefs and to revise our own in the light of our experiences. But that is not how most people treat their beliefs. They tend to identify their beliefs with ultimate truth. Indeed, that identification often serves to define their own identity. If their experience of living in an open society obliges them to give up their claim to the ultimate truth, they feel a sense of loss.
我们以某种方式承载终极真理的观念,深深植根于我们的思维中。我们或许被赋予了批判能力,但我们与自己密不可分。我们可能发现了真理和道德,但最重要的是,我们必须代表自己的利益和自我。因此,如果存在诸如真理和正义这样的东西——我们已逐渐相信它们是存在的——那么我们就想拥有它们。我们向宗教,近来则向科学,要求真理。而对自身可错性的信仰是一个糟糕的替代品。它是一个极其复杂的概念,比“我的国家(或公司、家庭)无论对错”这类更原始的信念更难驾驭。
The idea that we somehow embody the ultimate truth is deeply ingrained in our thinking. We may be endowed with critical faculties, but we are inseparably tied to ourselves. We may have discovered truth and morality, but, above all, we must represent our interests and our selves. Therefore, if there are such things as truth and justice—and we have come to believe that there are—then we want to be in possession of them. We demand truth from religion and, recently, from science. A belief in our fallibility is a poor substitute. It is a highly sophisticated concept, much more difficult to work with than more primitive beliefs, such as my country (or my company or my family), right or wrong.
如果可错性这个概念如此难以接受,那么是什么让它有吸引力呢?支持它的最强有力的论据在于它所产生的结果。开放社会往往比封闭社会更繁荣、更具创新力、更令人振奋。但把成功作为持有信念的唯一依据存在危险,因为如果我的反身性理论成立,成功并不等同于正确。在自然科学中,理论必须正确(即其产生的预测和解释与事实相符)才能有效(即产生有用的预测和解释)。但在社会领域,有效的并不一定等同于正确的,因为思维与现实之间存在反身性联系。正如我之前暗示的,对成功的崇拜可能成为开放社会不稳定的根源,因为它会侵蚀我们的是非观。这正是当今我们社会正在发生的事。我们对是非的感受正因沉迷于成功——以金钱衡量——而受到威胁。只要你能逃脱惩罚,什么都行。
If the idea of our fallibility is so hard to take, what makes it appealing? The most powerful argument in its favor is to be found in the results it produces. Open societies tend to be more prosperous, more innovative, more stimulating, than closed ones. But there is a danger in proposing success as the sole basis for holding a belief, because if my theory of reflexivity is valid, being successful is not identical with being right. In natural science, theories have to be right (in the sense that the predictions and explanations they produce correspond to the facts) for them to work (in the sense of producing useful predictions and explanations). But in the social sphere what is effective is not necessarily identical with what is right, because of the reflexive connection between thinking and reality. As I hinted earlier, the cult of success can become a source of instability in an open society, because it can undermine our sense of right and wrong. That is what is happening in our society today. Our sense of right and wrong is endangered by our preoccupation with success, as measured by money. Anything goes, as long as you can get away with it.
如果成功是唯一标准,开放社会就敌不过极权主义意识形态——事实上,它确实在很多场合败下阵来。为自己的利益辩护,远比从可错性到开放社会概念经过整套抽象推理的繁琐过程要容易得多。
If success were the only criterion, the open society would lose out against totalitarian ideologies—as indeed it did on many occasions. It is much easier to argue for my own interest than to go through the whole rigmarole of abstract reasoning from fallibility to the concept of the open society.
开放社会的概念需要更坚实的基础。必须对开放社会有一种承诺,因为它是正确的社会组织形式。这样的承诺很难达成。
The concept of the open society needs to be more firmly grounded. There has to be a commitment to the open society because it is the right form of social organization. Such a commitment is hard to come by.
我相信开放社会,因为它比声称拥有终极真理的社会体系更能让我们发挥潜能。接受真理的不可企及性,比否认它为自由和繁荣提供了更好的前景。但我承认这里有一个问题:我对追求真理足够执着,以至于开放社会的理由让我信服,但我不确定其他人会分享我的观点。考虑到思维与现实之间的反身性联系,真理对成功并非不可或缺。通过扭曲或否认真理,或许能达成特定目标,人们可能更关心实现自己的具体目标而不是追求真理。只有在最高抽象层面,比如我们思考生命意义时,真理才具有极其重要的地位。即便如此,欺骗可能比真理更可取,因为生命包含死亡,而死亡难以接受。事实上,有人可能认为,开放社会是充分利用生命的最佳社会组织形式,而封闭社会则是最适合接受死亡的形式。归根结底,对开放社会的信仰是一个选择问题,而非逻辑必然。
I believe in the open society because it allows us to develop our potential better than a social system that claims to be in possession of ultimate truth. Accepting the unattainable character of truth offers a better prospect for freedom and prosperity than denying it. But I recognize a problem here: I am sufficiently committed to the pursuit of truth to find the case for the open society convincing, but I am not sure that other people will share my point of view. Given the reflexive connection between thinking and reality, truth is not indispensable for success. It may be possible to attain specific objectives by twisting or denying the truth, and people may be more interested in attaining their specific objectives than in attaining the truth. Only at the highest level of abstraction, when we consider the meaning of life, does truth take on paramount importance. Even then, deception may be preferable to the truth, because life entails death and death is difficult to accept. Indeed, one could argue that the open society is the best form of social organization for making the most of life, whereas the closed society is the form best suited to the acceptance of death. In the ultimate analysis a belief in the open society is a matter of choice, not of logical necessity.
这还不是全部。即使开放社会的概念被普遍接受,也不足以确保自由和繁荣盛行。开放社会仅仅提供了一个框架,在其中关于社会和政治问题的不同观点可以调和;它并没有提供关于社会目标的明确看法。如果它提供了,它就不是开放社会了。这意味着,除了对开放社会的信仰之外,人们还必须持有其他信念。只有在封闭社会中,开放社会的概念才足以成为政治行动的基础;在开放社会中,仅仅做一个民主主义者是不够的;一个人必须是自由民主主义者、社会民主主义者、基督教民主主义者或某种其他类型的民主主义者。对开放社会的共同信仰是自由、繁荣以及开放社会理应带来的所有美好事物的必要条件,但并非充分条件。
That is not all. Even if the concept of the open society were universally accepted, that would not be sufficient to ensure that freedom and prosperity would prevail. The open society merely provides a framework within which different views about social and political issues can be reconciled; it does not offer a firm view on social goals. If it did, it would not be an open society. This means that people must hold other beliefs in addition to their belief in the open society. Only in a closed society does the concept of the open society provide a sufficient basis for political action; in an open society it is not enough to be a democrat; one must be a liberal democrat or a social democrat or a Christian democrat or some other kind of democrat. A shared belief in the open society is a necessary but not a sufficient condition for freedom and prosperity and all the good things that the open society is supposed to bring.
可以看出,开放社会的概念似乎是困难的无尽来源。这在意料之中。毕竟,开放社会是基于对我们可错性的承认。事实上,我们关于开放社会的理想理所当然地无法实现。为它制定蓝图将是自相矛盾的。这并不意味着我们不应为之努力。在科学中,终极真理同样不可企及。但看看我们在追求它时所取得的进步。同样,开放社会可以在不同程度上被接近。
It can be seen that the concept of the open society is a seemingly inexhaustible source of difficulties. That is to be expected. After all, the open society is based on the recognition of our fallibility. Indeed, it stands to reason that our ideal of the open society is unattainable. To have a blueprint for it would be self-contradictory. That does not mean that we should not strive toward it. In science also, ultimate truth is unattainable. Yet look at the progress we have made in pursuing it. Similarly, the open society can be approximated to a greater or lesser extent.
从哲学、认识论的论证中推导出政治和社会议程,似乎是一项无望的事业。但它可以做到。有历史先例。启蒙运动是对理性力量的颂扬,并为《独立宣言》和《权利法案》提供了灵感。对理性的信仰在法国大革命中被推向了极致,产生了不良副作用;但它仍然是现代性的起点。我们如今已拥有理性时代 200 年的经验,作为理性的人,我们应当认识到理性有其局限。现在是时候基于我们的可错性发展一个概念框架了。理性失败之处,可错性或许仍能成功。
To derive a political and social agenda from a philosophical, epistemological argument seems like a hopeless undertaking. Yet it can be done. There is historical precedent. The Enlightenment was a celebration of the power of reason, and it provided the inspiration for the Declaration of Independence and the Bill of Rights. The belief in reason was carried to excess in the French Revolution, with unpleasant side effects; nevertheless, it was the beginning of modernity. We have now had 200 years of experience with the Age of Reason, and as reasonable people we ought to recognize that reason has its limitations. The time is ripe for developing a conceptual framework based on our fallibility. Where reason has failed, fallibility may yet succeed.