Great Powers in the 21st Century
The Rise and Fall of
the Great Powers in
the Twenty-ªrst
世纪
China’s Rise and the Fate of
America’s Global Position
斯蒂芬·G. 布鲁克斯
和
William C. 沃尔福斯
Unipolarity is argu-
ably the most popular concept analysts use to assess the U.S. position in the in-
ternational system that emerged in the wake of the demise of the Soviet Union
在 1991.1 The concept’s origins lie in a major academic literature devoted to ex-
plaining large-scale patterns of behavior in international systems. The basic in-
sight is that the number of powerful states or “poles” at the top signiªcantly
inºuences how international politics works. 最近几年, 然而, 这
concept has been more likely to serve a rather different purpose: to gauge
change in today’s international system. In response to the ªnancial crisis of
2008 and the continued economic ascent of China, pundits, policymakers, 政府-
ernment analysts, and scholars frequently and prominently argue that the
United States has tumbled from its dominant position and that a fundamental,
system-altering power shift away from unipolarity is occurring. “Unipolarity
is ending, has ended, or will soon end,” goes the gist of much commentary,
“and the system is reverting to multipolarity or bipolarity or apolarity” or
whatever neologism the analyst wishes to propound.2
斯蒂芬·G. Brooks is Associate Professor of Government at Dartmouth College. William C. Wohlforth is
Daniel Webster Professor of Government also at Dartmouth. This article draws upon their forthcoming book
美国海外: 美国在 21 世纪的全球角色 (牛津: 牛津大学
按).
The authors acknowledge with thanks written comments from Jeff Friedman, 安德里亚·吉利, Mauro
Gilli, Gardiner Kreglow, 亚历山大·拉诺斯卡, Jonathan Markowitz, Joseph Singh, and the anony-
mous reviewers, as well as feedback from participants in seminars at Aberystwyth University, 这
布鲁金斯学会, Brown University, the Cato Institute, 哥伦比亚大学, Dartmouth Col-
lege, George Washington University, Georgetown University, Johns Hopkins Applied Physics Lab-
oratory, the London School of Economics, Moscow State Institute of International Relations, 这
Massachusetts Institute of Technology’s Lincoln Laboratory, Northeastern University, Ohio State
大学, the Tobin Project, the University of Cambridge, 渥太华大学, the Univer-
sity of Oxford, 和美国. Naval War College. They are also grateful to Michael Beckley, Tai Ming
张, Thomas Culora, Allan Dafoe, Andrew Erickson, Taylor Fravel, Eugene Gholz, 查尔斯
Glaser, Lyle Goldstein, Jim Holmes, Adam Liff, Jon Lindsay, Austin Long, Stephen Macekura, 米-
chael Mastanduno, James Mattis, Evan Montgomery, William Murray, Keshav Poddar, Barry
波森, Daryl Press, Jeremy Shapiro, Andrew Winner, Thomas Wright, and Riqiang Wu for their
help at various stages of this project, and to Joanne Hyun, Holly Jeong, Ming Koh, Gardiner
Kreglow, Yerin Yang, and Yannick Yu for their excellent research assistance.
1. Notable initial contributions include Charles Krauthammer, “The Unipolar Moment,” Foreign
事务, 卷. 70, 不. 1 (冬天 1990/91), PP. 23–33; Ethan B. Kapstein and Michael Mastanduno,
编辑。, Unipolar Politics (纽约: 哥伦比亚大学出版社, 1999); and William C. 沃尔福斯,
“The Stability of a Unipolar World,” 国际安全, 卷. 24, 不. 1 (夏天 1999), PP. 5–41.
2. The approach of a post-U.S., multipolar world is envisioned in best-sellers by the likes of
国际安全, 卷. 40, 不. 3 (冬天 2015/16), PP. 7–53, 土井:10.1162/ISEC_a_00225
© 2016 由哈佛大学和麻省理工学院的校长和研究员撰写.
7
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国际安全 40:3 8
在本文中, we show that this approach to assessing changing power rela-
tions in today’s international system is irreparably ºawed, and we develop an
选择. The very qualities that make the concept of polarity helpful for
capturing some key differences in how international systems work render it
unhelpful for assessing changes within a given system. Use of the concept
helps analysts understand why a world with one superpower is different in
important ways from one with two superpowers or none, but it is too blunt an
instrument to track change from one kind of system to another. On glaring dis-
play as the Cold War neared its end in the late 1980s, this pitfall of polarity is
an even bigger problem today. Because China is unlike past rising powers and
because the world in which it is ascending is also different in important ways
from previous eras, careful thinking about how today’s one-superpower world
might change into something else is at a premium. Using a set of concepts and
measures geared precisely to this challenge, we show that the United States
will long remain the only state with the capability to be a superpower. 仍然,
China’s rise is real and change is afoot, and the arguments we develop herein
will help analysts assess and classify this change without either downplaying
or exaggerating its systemic signiªcance.
We begin by demonstrating the ways in which the concept of unipolarity
leads analysts astray when assessing changes in the distribution of capabilities
在国际体系中. Three analytical pitfalls stand out: (1) use of the
concept of polarity encourages dichotomous thinking—the world is either
unipolar or multipolar (or bipolar)—and thereby feeds an artiªcial debate
about whether everything is changing or nothing is changing;3 (2) it demands
Fareed Zakaria and Parag Khanna, as well as in forecasts by the National Intelligence Council and
numerous prominent private sector analysts from Goldman Sachs to the Eurasia Group. 看
Zakaria, The Post-American World (纽约: W.W. 诺顿, 2009); Khanna, The Second World: 如何
Emerging Powers Are Redeªning Global Competition in the Twenty-First Century (纽约: Random
房子, 2009); National Intelligence Council, Global Trends 2025: A Transformed World (华盛顿,
华盛顿特区: Government Printing Ofªce, 2008); and Ian Bremmer, Every Nation for Itself: Winners and
Losers in a G-Zero World (纽约: 企鹅, 2012). Prominent scholarly treatments include Chris-
topher Layne, “This Time It’s Real: The End of Unipolarity and the Pax Americana,“ 国际的
Studies Quarterly, 卷. 56, 不. 1 (行进 2012), PP. 203–213; Amitav Acharya, The End of American
World Order (纽约: 政体, 2014); 和巴里·R. 波森, “From Unipolarity to Multipolarity:
Transition in Sight?” in G. John Ikenberry, Michael Mastanduno, and William C. 沃尔福斯, 编辑。,
International Relations Theory and the Consequences of Unipolarity (纽约: 剑桥大学
按, 2012), PP. 317–341.
3. For studies that come closest to adopting the contrarian “nothing is changing” position, see Mi-
chael Beckley, “China’s Century? Why America’s Edge Will Endure,” 国际安全, 卷. 36,
不. 3 (冬天 2011/12), PP. 41–78; Michael Beckley, “The Unipolar Era: Why American Power Per-
sists and China’s Rise Is Limited,” 博士. dissertation, 哥伦比亚大学, 2012; 斯蒂芬·G.
布鲁克斯和威廉·C. 沃尔福斯, 世界失衡: International Relations and the Challenge of
American Primacy (普林斯顿大学, 新泽西州: 普林斯顿大学出版社, 2008); 斯蒂芬·G. Brooks and Wil-
liam C. 沃尔福斯, “Assessing the Balance,” Cambridge Review of International Affairs, 卷. 20, 不. 2
(六月 2011), PP. 201–219; 罗伯特·J. Lieber, Power and Willpower in the American Future: Why the
United States Is Not Destined to Decline (剑桥: 剑桥大学出版社, 2012); 罗伯特
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Great Powers in the 21st Century 9
broad, transhistorical measures of the distribution of capabilities that in-
evitably fail to capture crucial shifts in the wellsprings of state power across
时间; 和 (3) the concept is ill equipped to capture the relationship between
structure and agency—namely, how likely it is that state action can alter
系统.
The second section presents a systematic examination of the distribution of
capabilities tailored to twenty-ªrst-century global politics and the requisites
of superpower status. We ªnd that the United States will long remain the
world’s sole superpower, but that China’s economic ascent is a major change
that deserves the intense focus it has attracted. It has put China in a class by it-
自己, one that the polarity concept cannot capture: greater than other major
powers such as Germany, 日本, and Russia but nowhere near a peer of the
美国.
第三, we assess the speed with which China might transform the current
one-superpower system into a different kind of system. We delineate three key
differences from previous eras that invalidate analogies to the power transi-
tions chronicled in Paul Kennedy’s classic The Rise and Fall of the Great Powers.4
第一的, unlike past rising powers, China is at a much lower technological level
than the leading state. 第二, the distance China must travel is extraordi-
narily large because the size of the U.S. military advantage is much bigger than
the analogous gaps in previous eras. 第三, the very nature of power has
改变了: the greatly enhanced difªculty of converting economic capacity into
military capacity makes the transition from a great power to a superpower
much harder now than it was in the past. This analysis yields a new frame-
work for categorizing and assessing the stages China must traverse to rise
from a great power to a superpower. The ªnal section extracts the most impor-
tant implications of our argument for international relations theory, debates on
我们. grand strategy, and the United States’ military options for adjusting to
China’s rise.
如何 (不是) to Think About the Changing U.S. Global Position
For millennia, observers and practitioners have thought of states as occupying
different positions or ranks in the international system.5 By far the most atten-
tion has been directed toward the highest ranks: Which actors are at the
Kagan, The World America Made (纽约: 优质的, 2012); and Josef Joffe, The Myth of America’s
衰退: 政治, 经济学, and a Half Century of False Prophecies (纽约: Liveright, 2014).
4. Paul Kennedy, The Rise and Fall of the Great Powers (纽约: 优质的, 1989).
5. Adam Watson, The Evolution of International Society: A Comparative Historical Analysis (纽约:
劳特利奇, 1992); and Stuart J. 考夫曼, Richard Little, and William C. 沃尔福斯, 编辑。, The Bal-
ance of Power in World History (纽约: 帕尔格雷夫·麦克米伦, 2007).
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国际安全 40:3 10
top and how many states are close to them? In the mid-twentieth century, 这
line of thought led to the concept of polarity, best exempliªed by Kenneth
Waltz’s inºuential Theory of International Politics. For polarity scholars, the key
to analyzing any international system is determining how many poles there
are.6 Does one state stand alone at the top (unipolarity)? Do two roughly com-
parable states stand signiªcantly above all of the others (bipolarity)? Or do
three or more roughly comparable states occupy the highest rung in the sys-
TEM (multipolarity)?
Notwithstanding the oft-lamented disdain that practitioners are said to have
for political science concepts and decades of intense scholarly criticism of the
real explanatory power of polarity, the concept has never been more popular
both in academe and beyond.7 Since 1990, articles about unipolarity have ap-
peared at four times the rate that papers written on bipolarity during the Cold
War era did. And although there are at least nine books wholly devoted to
unipolarity, none has been written solely about bipolarity.8 Pundits and gov-
ernment analysts routinely advance assertions about polarity, 例如
National Intelligence Council’s widely noted 2012 assessment that the “‘unipo-
lar moment’ is over.”9 And unlike their Cold War predecessors, the highest-
level policymakers in some of the world’s most important countries do so as
出色地. Chinese President Xi Jinping and Russian President Vladimir Putin are
just two leaders who periodically put forward assessments about the polarity
of the system: 在五月 2014, Putin argued ºatly that “[t]he model of a unipolar
6. In addition to Kenneth N. 华尔兹, Theory of International Politics (Reading, 大量的。: 艾迪生-
韦斯利, 1979), see especially Morton A. 卡普兰, System and Process in International Politics (新的
约克: ECPR, 1957); Karl W. Deutsch and J. David Singer, “Multipolar Power Systems and Interna-
tional Stability,” 世界政治, 卷. 16, 不. 3 (四月 1964), PP. 390–406; Randall L. Schweller,
“Tripolarity and the Second World War,” International Studies Quarterly, 卷. 37, 不. 1 (行进
1993), PP. 73–103; 爱德华·D. Mansªeld, “Concentration, Polarity, and the Distribution of Power,”
International Studies Quarterly, 卷. 37, 1号 (行进 1993), PP. 105–128; 和特德·霍普夫, “Polarity, 这
Offense Defense Balance, and War,” American Political Science Review, 卷. 85, 不. 2 (六月 1991),
PP. 475–493. For a comprehensive discussion of the polarity literature, see Barry Buzan, 联合
States and the Great Powers: World Politics in the Twenty-First Century (剑桥: 政体, 2004).
7. Related theories of hegemony, power transition, and systemic leadership as applied to China’s
rise and the problem of systemic change have been critiqued and developed elsewhere. 他们
avoid some, but not all, of the pitfalls of the polarity framework. 看, 例如, William R.
Thompson and David P. Rapkin, Transition Scenarios: China and the United States in the Twenty-First
世纪 (芝加哥: 芝加哥大学出版社, 2013); Steve Chan, 中国, the U.S., and the Power-
Transition Theory: A Critique (纽约: 劳特利奇, 2008); and William C. 沃尔福斯, “Gilpinian
Realism and International Relations,” International Relations, 卷. 25, 不. 4 (十二月 2011),
PP. 499–511.
8. Article data are taken from Thomson Reuters Web of Science, http://wokinfo.com/; book count
is authors’ estimate.
9. National Intelligence Council, Global Trends 2030: Alternate Worlds (华盛顿, 华盛顿特区: Ofªce of
the Director of National Intelligence, 2012), p. X, http://globaltrends2030.ªles.wordpress.com/
2012/11/global-trends-2030-november2012.pdf.
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Great Powers in the 21st Century 11
world has failed. . . . The world is multipolar.”10 And in November 2014, 席
noted that there is a “growing trend toward a multipolar world.”11
Barry Buzan’s observation that the concept of “[p]olarity has been hugely
inºuential in public debates about international relations” thus applies much
more strongly to the era of unipolarity than to bipolarity’s heyday.12 Yet, 在一个
ironic twist, the concept is routinely used to discuss the very subject for which
it is particularly ill suited: change in the international system. 的确, 华尔兹
himself could not have been clearer on this point: “[右]ealist theory is better at
saying what will happen than in saying when it will happen.”13 That state-
ment followed the embarrassing experience of the 1980s, when no one seemed
to grasp that the bipolar era was drawing to a close. The concept of polarity
could not substitute for—and indeed often drew analysts away from—the
ªne-grained analysis of the distribution of power needed to estimate how
close the system was to structural change.14 Few engaged in today’s debate
about whether unipolarity is about to end think back to the latter Cold War
and ask whether scholars might be making the same mistakes again. Then the
issue was Soviet decline: How far did the Soviet Union have to fall for the sys-
tem to cease being bipolar? Now the issue is China’s rise: How high does
China need to climb before the system changes?
what’s wrong with (大学)polarity?
The context is new, but three interrelated analytical perils of polarity on dis-
play in the latter Cold War persist today. First is the bluntness of measures. 这
concept of polarity invites an exercise in comparative statics: measuring how
capabilities are distributed in multipolar versus bipolar versus unipolar set-
tings. That kind of analysis requires metrics that can be used over long spans
时间的, such as economic size, military spending or personnel, or composite
indicators that aggregate a number of different measures. Use of these metrics
10. “Vladimir Putin Warns Sanctions on Russia Will Backªre on West,” Telegraph, 可能 23, 2014,
http://www.telegraph.co.uk/news/worldnews/europe/russia/10851908/Vladimir-Putin-warns-
sanctions-on-Russia-will-backªre-on-West.html.
11. Jane Perlez, “Leader Asserts China’s Growing Importance on Global Stage,“ 纽约时报,
十一月 30, 2014, http://www.nytimes.com/2014/12/01/world/asia/leader-asserts-chinas-
growing-role-on-global-stage.html?_r(西德:2)0.
12. Buzan, The United States and the Great Powers, p. 45.
13. Kenneth N. 华尔兹, “Structural Realism after the Cold War,” 国际安全, 卷. 25, 不. 1
(夏天 2000), p. 27. See also Kenneth N. 华尔兹, “Reºections on Theory of International Politics:
A Response to My Critics,” in Robert O. 基奥哈内, 编辑。, Neorealism and Its Critics (纽约: Colum-
bia University Press, 1986), p. 343.
14. 斯蒂芬·G. 布鲁克斯和威廉·C. 沃尔福斯, “力量, Globalization, and the End of the Cold
战争: Reevaluating a Landmark Case for Ideas,” 国际安全, 卷. 25, 不. 3 (冬天 2000/
01), PP. 5–53.
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国际安全 40:3 12
requires making strong “all else being equal” assumptions. The wellsprings of
national power change over time, 然而, complicating the use of such mea-
sures for any but the most broadly conceived inquiry.15 Although it is possible
to address such objections by adding measures that account for historical con-
文本, as long as one is thinking in terms of polarity there are limits to how
much one can ªne-tune the measures to the military, 技术性的, 和
geopolitical realities of a given setting. As we demonstrate in detail elsewhere,
in the latter Cold War widely used capabilities indexes did not take into ac-
count the rising importance and complexity of technology in military capabili-
ties as well as implications of economic globalization for state power. 作为一个
结果, they overlooked crucial changes that were undermining Soviet power
and thus bipolarity.16
The second analytical problem concerns the interaction between structure
and agency. As Waltz stressed, polarity theory “cannot say when ‘tomorrow’
will come because international political theory deals with the pressures of
structure on states and not with how states will respond to the pressures.”17
Yet as the 1980s experience clearly showed, assessing the robustness or longev-
ity of any structure demands answers to questions about how sensitive that
structure is to policy choice.18 Determining the likely longevity of bipolarity in
the latter Cold War required an assessment of the nature and scale of the sys-
temic challenge the Soviet Union faced. The polarity concept was of little help
because it could not distinguish between the challenges of the mid-twentieth
世纪, which could be met with massive increases in raw industrial inputs,
and those of the century’s end, which could not.19 To be sure, no international
relations theory could be expected to predict the brittleness of the Soviet sys-
tem and thus the dramatic effects of Mikhail Gorbachev’s agency, 但事实
that Gorbachev did not have readily available policy options to sustain the
Soviet Union’s global position was hugely important.20 Similarly, international
relations theory cannot answer questions about the robustness of the Chinese
political or economic system. But to assess the longevity of a one-superpower
世界, we need know whether the Chinese leadership is now or is likely soon
15. Ashley J. Tellis et al., Measuring National Power in the Postindustrial Age (圣莫妮卡, 加利福尼亚州。:
RAND Corporation, 2000).
16. Brooks and Wohlforth, “力量, Globalization, and the End of the Cold War”; and Stephen G.
布鲁克斯, Producing Security: Multinational Corporations, Globalization, and the Changing Calculus of
Conºict (普林斯顿大学, 新泽西州: 普林斯顿大学出版社, 2005).
17. 华尔兹, “Structural Realism after the Cold War,” p. 27.
18. Robert Jervis, System Effects: Complexity in Political and Social Life (普林斯顿大学, 新泽西州: 普林斯顿大学
大学出版社, 1999).
19. See the analysis in Brooks and Wohlforth, “力量, Globalization, and the End of the Cold
战争”; and Brooks, Producing Security, PP. 112–125.
20. Brooks and Wohlforth, “力量, Globalization, and the End of the Cold War.”
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Great Powers in the 21st Century 13
to be in a position to match or negate the United States’ global power position
simply by allocating more resources to the generation of global power capabil-
ities.21 The polarity concept is not equipped to make this assessment.
第三, polarity focuses the mind on the major thresholds that deªne differ-
ent system structures and so fosters dichotomous thinking. 在 1989 Waltz in-
sisted that “the Cold War is rooted in the postwar structure of international
politics and will last as long as that structure endures.”22 The system was
either bipolar or multipolar. In Theory of International Politics, Waltz grappled
with the issue of Soviet decline, but the concepts he developed provided no
guidelines for determining the stages states must traverse to become—or cease
being—poles. The problem is even more salient now. Much has changed since
the mid-1990s as a result of the increase in China’s power. So is the current sys-
tem bipolar? Almost no one thinks so. Is it multipolar? Most scholars, 至少,
are not ready to afªrm that. 所以, is everything the same as it was in 1995 或者
2000? The answer is also clearly no. It follows that any conceptual framework
for addressing change in an international system dominated by one state
should not force dichotomous thinking.
As we show in greater detail elsewhere, contemporary conceptualizations of
unipolarity are little better at overcoming these analytical perils than their pre-
decessors of thirty years ago.23 Approaches to unipolarity are now legion, 和
they often lead to radically different answers to the question of whether the
world still is (or ever was) unipolar. But if they hew to the structural premises
of the theory, they all suffer from all or most of the three analytical perils we
have identiªed. Nuno Monteiro deªnes unipolarity as a system with only one
great power that can “engage unaided in sustained politico-military opera-
21. We focus on China’s agency because implicit assumptions about how rapidly Beijing might
transform latent into actual capabilities are widespread. The next most signiªcant potential agency
effect arguably might be a U.S. choice to cease maintaining the capabilities of a superpower. 然而
this is a remote possibility: even the most ardent proponents of grand strategic retrenchment do
not advocate such a course. 例如, Benjamin H. 弗里德曼, Brendan Rittenhouse Green, 和
Justin Logan describe a U.S. post-retrenchment defense posture as sustaining “a U.S. military with
global reach far exceeding any rival.” See Friedman, 绿色的, and Logan, “Debating American En-
保证: The Future of U.S. 大战略,” 国际安全, 卷. 38, 不. 2 (落下 2013),
p. 189. 巴里·R. Posen’s preferred grand strategy calls for a military posture that preserves U.S.
global “command of the commons,” and “retains the capability to reengage on the Eurasian land-
mass in a timely fashion and to organize coalitions against expansionist states” if need be, 还有
as to “retaliate quickly and effectively against direct attacks on the United States.” See Posen, 关于-
菌株: 美国的新基金会. 大战略 (伊萨卡岛, 纽约: 康奈尔大学出版社, 2014),
p. 162.
22. Kenneth N. 华尔兹, “The Origins of War in Neorealist Theory,” in Robert I. Rotberg and Theo-
dore K. Rabb, 编辑。, The Origin and Prevention of Major Wars (剑桥: 剑桥大学
按, 1989), p. 52.
23. See Stephen G. 布鲁克斯和威廉·C. 沃尔福斯, 美国海外: The United States’ Global Role
in the 21st Century (牛津: 牛津大学出版社, 即将推出), 小伙子. 3.
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国际安全 40:3 14
tions in at least one region of the globe beyond its own.”24 John Mearsheimer
agrees that unipolarity is a system with only one great power, but he argues
that to be a great power a state need only be able to put up a “serious ªght”
against the leading state.25 Other scholars treat unipolarity as a system with
one great power that has amassed more than half of the system’s capabilities
and therefore is impossible to counterbalance.26 In previous work, we argued
that “an international system is unipolar if it contains one state whose share of
capabilities places it in a class by itself compared to all other states.”27
这些 (和别的) approaches have utility for answering some questions, 但
when used to assess change in and robustness of the system, they hamstring
today’s analysts in the same ways as bipolarity led their predecessors astray in
20世纪80年代. Their broad sweep tends to compel the use of blunt measures of
力量, and they lack the conceptual apparatus to distinguish a structure easily
affected by agency from one resistant to such inºuence. Of necessity, they set
thresholds, have little to say about changes within the bounds of those thresh-
olds, and therefore induce dichotomous thinking. By Monteiro’s conceptual-
化, the system will remain unipolar so long as the United States remains
the only state with very substantial global power projection capacity. 中国
could grow to have an economy twice the size of the United States’—or even
ªve or ten times as large—and possess a comparable scientiªc-technological
容量, but as long as Beijing chooses not to use those resources to develop a
superpower’s military capability, the world will remain unipolar. Monteiro’s
theory thus cannot capture the difference between a world in which no state
has a realistic chance of matching or negating U.S. global power and a world
in which a rising state could potentially be in a position to bring about struc-
tural change. For Mearsheimer, the threshold for being a great power is so low
that the polarity concept can shed no light on any question having to do with
changes in international politics since 1991: the world was multipolar then,
in his view, and remains so today. The same is true for the 50-percent-of-
capabilities threshold: given that no state has ever achieved this, uniplolarity
24. Nuno P. Monteiro, Theory of Unipolar Politics (剑桥: 剑桥大学出版社, 2014),
p. 48.
25. 约翰·J. 米尔斯海默, The Tragedy of Great Power Politics (纽约: W.W. 诺顿, 2001), PP. 4,
404.
26. See the discussion in James Lebovic, “The Unipolar Elusion: The Neglected Limits to U.S.
Global Military Capability,” paper presented at the annual meeting of the International Studies
协会, 旧金山, 加利福尼亚州, March 26–29, 2008. For related arguments, see also R. Harri-
son Wagner, “What Was Bipolarity?” 国际组织, 卷. 47, 不. 1 (冬天 1993),
PP. 77–106; and David P. Rapkin, William R. 汤普森, and Jon A. Christopherson, “Bipolarity
and Bipolarization in the Cold War Era: 概念化, Measurement, and Validation,“ 杂志
of Conºict Resolution, 卷. 23, 不. 2 (六月 1979), PP. 261–295.
27. Brooks and Wohlforth, 世界失衡, p. 13.
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Great Powers in the 21st Century 15
remains irrelevant to ongoing changes in international politics. China’s rise re-
veals the main shortcoming of our previous approach: it does not specify how
much of a shift away from a lopsided concentration of power must occur be-
fore it is no longer reasonable to view the system as unipolar.
the solution: 1(西德:3)y(西德:3)X
We seek to capture the structural nature of debates about the current interna-
tional system. 同时, 然而, we want to avoid the three pitfalls
of polarity for assessing change.
Barry Buzan’s “1(西德:3)X” terminology for describing system structure helps in
this regard. On the basis of his formulation, his conclusion (as of 2004) 曾是
that the United States was the “only superpower and there are no other plausi-
ble candidates on the horizon for that status for at least a couple of decades”
and that there were four great powers.28 Key for Buzan, as for us, is the distinc-
tion between superpowers and great powers, which reduces to the formers’
“broad-spectrum capabilities exercised across the whole of the international
system.”29 Great powers, 相比之下, lack such capabilities, although they may
aspire to achieve them. The very notion of an “X” term for the great powers
means that the speciªc number does not alter the system’s basic properties.
The rise of, 说, India to great power status could increase the X term, 和
decline of an existing great power could decrease it—without altering the fun-
damental nature of the system. To do that, the number of superpowers has
to change.
这 1(西德:3)X framework needs modiªcation, 然而. In part because the gap
in capabilities between great power and superpower is so large in today’s sys-
TEM, it is necessary to carefully differentiate between great powers that are not
in a position to bid for superpower status and those that are. We need to be
open to the possibility of a 1(西德:3)是(西德:3)X system, in which one or more Y powers
28. Buzan, The United States and the Great Powers, p. 69. Buzan coded Russia, 中国, 日本, 和
欧洲联盟 (欧洲联盟) as great powers. Although there are understandable reasons to take issue
with his coding, the overall usefulness of his 1 (西德:3) X framework does not depend on it.
29. Buzan, The United States and the Great Powers, p. 69. We borrow the term but not the other parts
of Buzan’s framework, which melds behavior and capabilities and also adopts an overly blunt ap-
proach to measuring capabilities. Attempts to eschew the superpower category create a number of
conundrums. 因此, Monteiro’s superpower-like deªnition of a great power compels him to lump
states such as Russia, 印度, 以色列, 巴基斯坦, and North Korea into an unwieldy “major power”
类别. 反过来, Mearsheimer’s low bar for achieving great power status places, 例如,
Cold War–era Britain and Belize in the same rank. Mearsheimer also recognizes that the United
States today is no normal great power. According to the terms of his theory, the difference is that
the United States is the one great power that has attained regional hegemony, has the capability to
project power into other key regions, and pursues a grand strategy of preventing any other great
power from following suit. We prefer the term “superpower.”
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国际安全 40:3 16
have the potential to rise to superpower status or are moving in this direction
and thus need to be differentiated from the other great powers. 再次, this dis-
tinction is crucial because the main question is not the size of the X term, 但
whether the superpower term is 1, (西德:4)1, 或者 (西德:5)1. With alarmist rhetoric about
unipolarity’s end, observers are saying that China has risen and is no longer
just another X power. Missing thus far is a proper understanding of the more
germane questions: What position has China achieved and how quickly can it
further ascend the ladder?
Measuring the Distribution of Capabilities in the 21st Century
What capabilities make a state a superpower and, 更普遍, how should
the distribution of power in the system be measured today? We come to these
questions after more than a decade of thinking and research in which we have
employed a broad-based conception of measurement. Our previous efforts fo-
cused on three core elements of material power: (1) military capacity, (2) 生态-
nomic capacity, 和 (3) technological capacity.30 Such a broad-based approach
is imperative, in part because no single element of power can capture the full
array of resources a state may bring to the pursuit of its goals in international
政治. States with skewed portfolios of capabilities are less capable of acting
in different arenas and more dependent on a limited policy toolkit. 而且,
each of the core elements of power interacts with the others in potent ways.
Economic capacity is a necessary condition of military power, but it is insuf-
ªcient; technological prowess is also vital, especially given the nature of mod-
ern weaponry. Technological capacity also magniªes economic capability, 和
military capability also can have spinoffs in both the economic and technology
arenas. 此外, military capability can have indirect but important impli-
cations for furthering a leading state’s economic interests. To highlight any one
element at the expense of others is to miss these key interactions.
到底, assessing change today calls for a Goldilocks approach to meas-
urement: one conducted at a sufªcient level of generality to answer enduring
30. The literature on state power makes a basic distinction between power as material resources
and power as the ability to realize ends. 看, 尤其, 赋予生命. Baldwin, Paradoxes of Power
(纽约: 巴兹尔·布莱克威尔, 1989). Following the practice of many scholars, our measurement ef-
forts use the term power in the former sense, to denote the resources on which a government can
画. When discussing power in the latter sense, we bracket undeniably important elements that
are hard if not impossible to measure before they are used or tested (例如, the unity or resolve of a
人口, or the overall organizational competence of a government). For more on our ap-
普罗奇, see Brooks and Wohlforth, 世界失衡, PP. 12–13, 27–35, 40–44; 斯蒂芬·G. 布鲁克斯
and William C. 沃尔福斯, “American Primacy in Perspective,“ 外交事务, 卷. 81, 不. 4 (July/
八月 2002), PP. 21–23; and Wohlforth, “The Stability of a Unipolar World,” PP. 10–18.
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Great Powers in the 21st Century 17
桌子 1. Defense Expenditures for the Major Powers, 2014
Defense
Expenditures
($十亿) % Great Power Defense Expenditures % World Defense Expenditures Defense Expenditures % of GDP Defense R&D Expenditures ($十亿)
美国 610.0
216.0
中国
45.8
日本
46.5
德国
84.5
俄罗斯
62.3
法国
60.5
英国
50.0
印度
31.7
巴西
50.5
17.9
3.8
3.9
7.0
5.2
5.0
4.1
2.6
34.0
12.0
2.6
2.6
4.8
3.5
3.4
2.8
1.8
3.5
2.1
1.0
1.2
4.5
2.2
2.2
2.4
1.4
78.6
n.a.
1.0
1.2
n.a.
1.3
2.1
n.a.
n.a.
SOURCES: Sam Perlo-Friedman et al., “Trends in World Military Expenditure, 2014” (Stock-
holm: 斯德哥尔摩国际和平研究所), http://books.sipri.org/files/FS/
SIPRIFS1504.pdf; and Organization for Economic Co-operation and Development, 经合组织
Main Science and Technology Indicators, 2014 (巴黎: 经合组织, 2014), PP. 76–77.
NOTES: Data are estimated for China’s, Germany’s, and Russia’s defense expenditures for
2014 as well as for their defense expenditures as percentages of their gross domestic
产品 (GDP). Research and development (右&D) expenditures are for 2012.
questions about the nature of the international system, but much more de-
tailed and attuned to the requisites of superpower status in the twenty-ªrst
century than popular broad aggregates or single metrics. 尤其, our ap-
proach to measurement focuses not just on the size of the power gap, 但是也
on the overriding question of the speed with which it might be overcome. 在
the subsections that follow, we assess the core components of state capability,
moving beyond ªndings and measurements that are standard in the literature
to highlight new measures with novel implications.31
military capacity
The standard approach to measuring the distribution of military power is to
compare defense expenditures, as in table 1.32 Studies relying on this ap-
普罗奇, 然而, have thus far failed to address an important objection: 这
31. This section condenses the analysis in Brooks and Wohlforth, 美国海外, 小伙子. 2.
32. This is an updated version of the chart in Brooks and Wohlforth, 世界失衡, p. 29.
Data on China’s military research and development (右&D) expenditures, 也曾被
rising, are not available. A recent estimate suggests, 然而, that China’s spending may ap-
普罗奇 $6 billion per year, which would make China the second-highest-spending state in the world. 尽管如此, this spending would still only be around 7 percent of the United States’. See Richard Bitzinget et al., “Locating China’s Place in the Global Defense Economy,” in Tai Ming Cheung, 编辑。, Forging China’s Military Might: A New Framework for Assessing Innovation (巴尔的摩, 马里兰州。: Johns Hopkins University Press, 2014), p. 202. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 18 amount that a state decides to spend on its military is a choice, and it may be misleading to use such numbers to capture something that is supposed to be a constraint on choice.33 China’s military expenditures have increased rapidly since 2000, 和美国. military spending has taken a sharp downward turn since 2010. 因此, the ease with which states can alter their military spending sug- gests that using this measure to assess how the international setting shapes states’ decisions over time has signiªcant limitations. The degree to which this is a problem depends on the time frame one is thinking about and the speed with which other resources can be converted into military capabilities. No matter what a state decides, its ability to create new military capabilities in the short term—say, a year or two—is very limited. As the time horizon stretches to decades and generations, more and more elements of military capability become matters of choice as long as the state has the requisite pool of resources from which to draw. The length of that horizon—the gap between a choice to attain some capability and the creation of that capability—is a function of the technology of production. Some goods are intrinsically harder to produce than others. Monteiro makes a useful anal- ogy to Alfred Marshall’s theory of production in which, “[我]n the short term, price adjustments depend entirely on demand, because supply is ªxed. In the medium term, price adjustments can be made by increasing supply, within the limits of ªrms’ productive capacity. Increases in supply beyond this limit require investments in additional productive assets and can therefore only be achieved in the long term.” Monteiro consequently stresses that “we must dis- tinguish between a state’s present military capabilities, its ability to convert other elements of power into additional military capabilities, and its ability to generate additional elements of power that can then be converted into military capabilities.”34 The latter two components are not matters of choice but are powerfully constrained. Analysts of international politics can treat military ca- pability just as economists treat supply in some of their models: as a relatively inºexible external constraint in the short term, and even in the medium and longer terms in some sectors. Military spending therefore does reºect something important: long-term investment in the capacity to generate military power. Cumulated over years and decades, military spending can yield capabilities that are very hard to 33. This critique is advanced in Charles L. Glaser, “Why Unipolarity Doesn’t Matter (很多),” Cambridge Review of International Affairs, 卷. 24, 不. 2 (六月 2011), p. 135 n. 4; 和波森, “From Unipolarity to Multipolarity,” p. 320. 34. This quotation is drawn from an early draft of Monteiro, “Theory of Unipolar Politics,” Yale University, 一月 2013, p. 41. Monteiro’s analysis of this issue on p. 38 of the published version of Theory of Unipolar Politics omits the sentences that discuss Alfred Marshall. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 19 match even for a state with a lot of money to spend. This is especially true today, given the dramatically increased complexity and difªculty of both producing and using advanced weaponry. 总共, annual military expenditures measure a ºow—but ºows over many years produce a stock of military capability. To capture this dynamic, it is useful to examine the key military capacity that allows the United States to act as a superpower. The ideal place to start is Barry Posen’s inºuential study of the “command of the commons,” argu- ably the best overall guide to understanding the nature of military power among the top tier of states today. The command of the global commons—that is, the sea (outside littoral regions), 空间, and air (多于 15,000 脚)—is “the key military enabler of the U.S. global power position,” Posen stresses.35 He helpfully provides guidelines for measuring the United States’ command of the commons, identifying four components—command of the sea, command of space, command of the air, and the infrastructure of command—and notes the main elements of military capacity that are relevant for each. When Posen wrote his article in the early 2000s, 我们. command of the commons was so self- evident that it was essentially unnecessary to measure the different compo- nents of this index. Yet the rise of China has since so altered the conversation that it is important to take a close look at how the United States matches up with other states using Posen’s criteria. 数字 1 plots the full range of relevant indicators as a distribution, 展示- ing the share of each key component possessed by each of the six major powers. Regarding the United States’ command of the sea, in addition to the two indictors that Posen highlights—aircraft carriers and nuclear attack submarines—two other pertinent indicators of power projection capacity are amphibious ships and the number of cruisers and destroyers. Posen cites two indicators on command of the air: drones and military aircraft that allow for the use of precision-guided munitions. Regarding space, Posen zeroes in on ci- vilian and especially military satellites as providing vital sources of informa- tion for conducting military operations throughout the world.36 And regarding the infrastructure of command—a necessary condition of command of the commons—Posen highlights military installations in foreign countries, 米利- tary transport ships, long-range airlift aircraft, and aerial tankers as basic 35. 巴里·R. 波森, “下议院命令: 美国军事基金会. 霸权,” 国际安全, 卷. 28, 不. 1 (夏天 2003), p. 8. 36. Note that the United States “commands” space in the sense of having a commanding position in exploiting space for military purposes. In space, 然而, the United States is less able to deny entry to other states’ militaries, including Russian and Chinese antisatellite capabilities, than it is in the air and sea commons. 我们. command of the air is restricted to the air over the commons (it excludes airspace over the territory of the few states with top-end air defense). l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 数字 1. Command of the Commons, Distribution of Six Major Powers l D o w n o a d e d f r o m h t t p : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 SOURCES: International Institute for Strategic Studies, The Military Balance, 卷. 113, 不. 1 (伦敦: 国际空间站, 2013); and Union of Concerned Scientists, UCS卫星数据库, http://www.ucsusa.org/nuclear_weapons_and_global_security/solutions/space-weapons/ ucs-satellite-database.html (consulted on March 22, 2014). NOTES: Data for nuclear-powered submarines and cruisers and destroyers are from 2013. Air- craft carriers and principal amphibious ships are from 2014. Data for heavy unmanned ae- rial vehicles and attack helicopters are from 2014. Data on fourth- and fifth-generation tactical aircraft are from 2013. Satellite data include launches through January 31, 2014. Great Powers in the 21st Century 21 数字 2. Command of the Commons, the United States and China as Percentages of Six Major Powers l D o w n o a d e d f r o m h t t p : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 笔记: Calculated from data in Stephen G. 布鲁克斯和威廉·C. 沃尔福斯, “Moving Beyond Unipolarity? China’s Rise and the Fate of America’s Global Position,” 国际安全, 卷. 40, 不. 3 (冬天 2015/16), p. 20, fig. 1. building blocks of this infrastructure. The United States has a ramiªed net- work of military bases throughout the world and is peerless this regard. 如图- 乌尔 1 shows the extent of the gap between the United States and other countries for the other indicators. The inset in ªgure 1 also shows the distribution for the X powers, suggesting how large Russia’s military power would loom in a hypothetical world with- out the United States. 数字 2 then breaks out the U.S.-China comparison. Note that the raw counts in these ªgures account for neither the United States’ International Security 40:3 22 overall qualitative advantage nor its qualitative and quantitative advantages in nuclear weaponry.37 The key takeaway is that compared to any previous era except the years be- 补间 1991 and the early 2000s, the overall gap in the military realm remains unprecedented in modern international relations. Defense spending ªgures make this look obvious, but scholars caution that they may exaggerate the sig- niªcance of the gap because states with growing economies might decide to spend more to close it. Although Chinese military expenditures are rapidly increasing, our more ªnely grained measures show that, if anything, defense spending understates the global military gap. technological capacity Recent analyses by Michael Beckley and others have already undermined hy- perbole about the signiªcance of China’s technological rise.38 The implications of these analyses for the U.S.-China technological comparison are strength- ened when we foreground the key distinction between inputs and output. Inputs can be thought of as a country’s material investments in and infrastruc- ture for technological development as well as its stock of human capital (which reºects the education, 技能, tacit knowledge, and health of its populace39). The ªrst two columns of table 2 below show gross expenditures on research and development (右&D) 和R&D as a share of gross domestic product (GDP).40 The third column presents a broad information and communication technologies infrastructure index constructed by Cornell University, INSEAD, and the World Intellectual Property Organization (an agency of the United Nations). These numbers conªrm the United States’ unique combination of large-scale (massive gross expenditures) and highly developed infrastructure. China’s annual spending on R&D) is increasing rapidly, 然而, rocketing 37. A notable example in this regard concerns nuclear attack submarines (SSNs): Chinese SSNs are relatively noisy, whereas U.S. SSNs have “already reached absolute levels of silencing.” See Owen R. Coté, “Assessing the Undersea Balance between the U.S. 和中国,“ 工作文件 (凸轮- 桥, 大量的。: Security Studies Program, 麻省理工学院, 二月 2011), p. 28, http://web.mit.edu/ssp/publications/working_papers/Undersea%20Balance%20WP11-1 .pdf. See also the discussion in Ronald O’Rourke, “China Naval Modernization: Implications for U.S. Navy Capabilities—Background and Issues for Congress” (华盛顿, 华盛顿特区: Congressional Research Service, 六月 1, 2015), PP. 11–12. 38. Beckley, “China’s Century?” PP. 64–74. 39. United Nations University International Human Dimensions Programme on Global Environ- mental Change (UNU-IHDP) and United Nations Environment Programme (UNEP), Inclusive Wealth Report 2012: Measuring Progress toward Sustainability (剑桥: 剑桥大学出版社, 2012), p. 16. 40. On the trade-offs among different R&D measures, see National Science Foundation, Science and Engineering Indicators 2012 (Arlington, Va.: National Science Foundation, 2012), p. 3, http:// www.nsf.gov/statistics/seind12/c4/c4s8.htm. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 23 桌子 2. Technological Inputs Gross Expenditure on R&D as a Share of GDP (%) Gross Domestic Expenditures on R&D (PPP, in billions) Cornell/ INSEAD/WIPO Information & Communication Technologies 2014 Index Score (在......之外 100) Number of Scientific and Engineering Doctoral Degrees Granted per Year 2010 Human Capital Level (in billions of constant 2005 U.S.$)
美国
中国
日本
德国
俄罗斯
法国
英国
印度
巴西
2.85
1.84
3.39
2.88
1.09
2.24
1.77
0.76
1.16
429.1
208.2
146.5
93.1
35.0
51.9
39.6
24.3
25.3
83.0
36.1
78.1
74.3
60.6
72.7
86.5
25.9
51.6
32,649
31,410
7,396
11,989
15,714
8,220
11,055
7,982
5,470
99,641
13,447
33,645
25,576
6,391
19,118
19,079
9,355
8,968
SOURCES: National Science Board, Science and Engineering Indicators, 2014 (Arlington, Va.:
National Science Board, 2014), PP. 4–19;
International Monetary Fund, World Eco-
nomic Outlook Database, 十月 2013, http://www.imf.org/external/pubs/ft/weo/2013/02/
weodata/index.aspx; 康奈尔大学, INSEAD, and the World Intellectual Property Or-
ganization (WIPO), The Global Innovation Index, 2014: The Human Factor in Innovation
(Fontainebleau,
INSEAD, and WIPO, 2014),
PP. 135–282; and United Nations University—International Human Dimensions Program
and United Nations Environment Program, Inclusive Wealth Report, 2014: 测量
Progress toward Sustainability (剑桥: 剑桥大学出版社, 2014).
伊萨卡岛, and Geneva: 康奈尔大学,
NOTES: GDP stands for gross domestic product. PPP stands for purchasing power parity.
Gross expenditure on research and development (右&D) is for 2011, except for Brazil,
which is for 2010.
从 $25 billion to more than $200 billion between 2000 和 2011, 而
United States’ increased more gradually, 从 $260 billion to $425 billion.41
Beyond the magnitude of resources devoted to technological advancement,
the skill levels of the people who use a country’s resources and infrastructure
to generate technological innovation is another key input.42 The fourth column
of table 2 shows China’s eye-catching annual number of science and engineer-
ing doctoral degrees, a ªgure whose dramatic rise over the past decade has re-
ceived much attention. At this point, 然而, China is still only at 13 百分
41. National Science Foundation, “National Patterns of R&D Resources: 2011–12 Data Update”
(Arlington, Va.: National Science Foundation, 十二月 2013), http://www.nsf.gov/statistics/
nsf14304/content.cfm?pub_id(西德:2)4326&id(西德:2)2.
42. 看, 例如, Paul M. Romer, “Endogenous Technological Change,” Journal of Political
Economy, 卷. 94, 不. 5 (1990), PP. 1002–1037.
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国际安全 40:3 24
美国的. overall level of human capital, as is shown in the last column of ta-
布莱 2 (which reports the UN’s comprehensive human capital measure).43
As in the case of defense spending, the signiªcance of any increase in tech-
nological inputs by China depends on the size of the existing overall technol-
ogy gap and the speed with which increased inputs can be expected to yield
sufªciently increased output to begin to place China in the same technology
league as the United States. Where does China stand on technology output?
“High-technology exports” are frequently mentioned in stories highlighting
China’s rise.44 As Beckley correctly underscores, China’s technological capac-
ity should not be measured using high-technology exports given the extent to
which foreign companies drive Chinese exports.45 Half of all Chinese exports
currently consist of “processing trade” (in which parts are imported into China
for assembly into ªnished products and are then exported); the vast majority
of these exports (84 百分比在 2010) are not controlled by Chinese ªrms but
by foreign companies (mostly afªliates of multinational corporations from
highly developed countries).46
数字 3 presents technological output and inºuence measures that are reli-
ably national in origin for all the countries concerned. The number of triadic
patent families (which measure a set of patents taken out in the United States,
欧洲, and Japan to protect an invention) is widely accepted as a measure of
technological competitiveness. Even more probative are royalty and license
费用, which show that China has barely begun to register as a source of innova-
tive technologies. The recent geographic distribution of top-cited articles in sci-
ence and engineering tells the same story, as does the recent distribution of
Nobel Prizes in science.
合在一起, these indicators underscore the technological dominance
of the United States. Of all the ªgures noted above, this reality is arguably best
captured by royalty and license fee data, which reveal that the United States is
by far the leading source of innovative technologies (它是 $105 billion in receipts of royalty and license fees are four times higher than those of the next highest state, 日本), whereas China is a huge importer of these technologies and ex- ports almost nothing (少于 $1 十亿). As in the military realm, enough is
43. For a further discussion of the strategic signiªcance of this large gap in human capital, see Mi-
chael Beckley, “The Unipolar Era: Why American Power Persists,” book manuscript, Tufts Univer-
城市, 九月 2015, 小伙子. 5.
44. 看, 例如, David Wertime, “It’s Ofªcial: China Is Becoming a New Innovation Power-
房子,“ 对外政策, 二月 6, 2014, http://www.foreignpolicy.com/articles/2014/02/06/
its_ofªcial_china_is_becoming_a_new_innovation_powerhouse.
45. See the discussion in Beckley, “China’s Century?” PP. 67–69.
46. Organization for Economic Cooperation and Development (经合组织), China in Focus: Lessons and
挑战 (巴黎: 经合组织, 2012), p. 73.
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Great Powers in the 21st Century 25
数字 3. Technological Output and Inºuence Indicators
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SOURCES: National Science Board, Science and Engineering Indicators (Arlington, Va.: 国家的
Science Foundation: 2014). Data for individual European Union countries supplied by the
National Science Foundation; Russia data from Vladimir Pislyakov and Elena Shukshina,
“Measuring Excellence in Russia: Highly Cited Papers, Leading Institutions, Patterns of Na-
tional and International Collaboration,” Journal of the Association for Information Science
and Technology, 卷. 65, 不. 11 (十一月 2014), PP. 2321–2330; and Organization for
Co-operation and Economic Development; Nobel Media AB, Lists of Nobel Prizes and Laure-
ates, http://www.nobelprize.org/nobel_prizes/ (consulted on March 24, 2014).
NOTES: Science Nobel Prizes are for those awarded in physics, 化学, and physiology or
medicine; European Union and Russia data for cited articles are from 2008; 我们. data are
从 2012.
国际安全 40:3 26
changing to feed a narrative about China closing the technological gap. 这
key point, 然而, is that the core changes are on the input side—most nota-
布莱, China’s growing R&D expenditures—and not on the output side. 给定
that the overall technological gap between China and the United States is so
massive, the process of closing it will be lengthy. The United States’ unique
combination of massive scale and technological prowess will be a long-term
feature of the distribution of capabilities.
economic capacity
Converting economic output into military power and technological capacity is
a complex and time-consuming process, but to emphasize that undeniable re-
ality is not to gainsay the importance of raw economic heft in the measurement
of state power. The United States retains the world’s biggest, richest, and most
productive economy, but China is rapidly approaching it in economic size by
conventional measures and is entering the ranks of middle-income countries
(见表 3).47 如图 4 节目, China’s share of global GDP has grown dra-
机械地, 从 4.5 百分比在 2000 到 11.3 百分比在 2014. Projecting economic
growth is fraught with uncertainty, but analysts agree that China’s remarkable
sprint to middle-income status is actually the easy step; moving from middle-
income to high-income status is a much bigger challenge.48 Beyond the fact
that China now faces a wide range of pressing internal challenges—including
its polluted environment, 腐败, absence of a social safety net, inefªcient
state enterprises, rapidly aging population, and the rising demands of its
middle class—the more general point is that most countries fail to escape
the “middle-income trap,” and even those that do so then begin to grow
much more slowly. 因此, the debate concerns not whether but by how much
China’s growth rate will slow.49
47. 桌子 3 updates the chart in Brooks and Wohlforth, 世界失衡, p. 29. On our choice of
GDP estimators, see pp. 40–42.
48. 看, 例如, David Dollar, “China’s Rebalancing: Lessons from East Asian Economic His-
保守党,“ 工作文件 (华盛顿, 华盛顿特区: 布鲁金斯学会, 十月 2013), PP. 11–12, http://
www.brookings.edu/research/papers/2013/10/02-china-economic-lessons-dollar; Barry Eichen-
绿色的, Donghyun Park, and Kwanho Shin, “Growth Slowdowns Redux: New Evidence on the
Middle-Income Trap,” No. 18673 (剑桥, 大量的。: 国家经济研究局
[NBER], 一月 2013), http://www.nber.org/papers/w18673; Barry Eichengreen, Donghyun
公园, and Kwanho Shin, “When Fast-Growing Economies Slow Down: International Evidence and
Implications for China,” Asian Economic Papers, 卷. 11, 不. 1 (Winter/Spring 2012), PP. 42–87; 和
Homi Kharas and Harinder Kohli, “What Is the Middle Income Trap, Why Do Countries Fall into
它, and How Can It Be Avoided?” Global Journal of Emerging Market Economies, 卷. 3, 不. 3 (九月-
木材 2011), PP. 281–289.
49. A recent World Bank forecast of 6 percent average growth over the next ªfteen years probably
captures the mean assessment. See World Bank and Development Research Center of the State
理事会, People’s Republic of China, 中国 2030: Building a Modern, Harmonious, and Creative Soci-
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Great Powers in the 21st Century 27
桌子 3. Economic Indicators for the Major Powers, 2014
GDP,
当前的
Prices
($十亿) % Great Power GDP, Current Prices % World GDP, Current Prices United States 17,418 10,380 中国 4,616 日本 3,859 德国 1,857 俄罗斯 2,846 法国 2,945 英国 2,049 印度 2,353 巴西 36.0 21.5 9.6 8.0 3.8 5.9 6.1 4.2 4.9 22.5 13.4 6.0 5.0 2.4 3.7 3.8 2.7 3.0 GDP Per Capita, Current Prices 54,596 7,588 36,331 47,589 12,925 44,538 45,653 1,626 11,604 Public Debt (% GDP) Hours Worked (per person in employment) 生产率 ($ GDP per
小时
worked)
71.2
15.1
231.9
74.7
13.4
95.3
79.1
51.3
59.3
1,789
n.a.
1,729
1,371
1,985
1,489
1,677
n.a.
n.a.
67.4
n.a.
41.5
62.3
25.9
62.7
50.5
n.a.
n.a.
SOURCES: International Monetary Fund, World Economic Outlook Database (华盛顿,
华盛顿特区: International Monetary Fund, 四月 2015), http://www.imf.org/external/pubs/ft/weo/
2015/01/weodata/index.aspx; Central Intelligence Agency, CIA World Factbook, https://
www.cia.gov/library/publications/the-world-factbook/ (consulted August 8, 2015); Organi-
zation for Co-operation and Economic Development, “OECD Employment Outlook, 2015,
Statistical Annex” (巴黎: 经合组织, 2015); and Organization for Co-operation and Economic
发展, Level of GDP Per Capita and Productivity, http://stats.oecd.org/Index.aspx
?DataSetCode(西德:2)PDB_LV (consulted August 8, 2015).
NOTES: Gross domestic product (GDP) figures for China, 德国, and Russia are Interna-
tional Monetary Fund Staff staff estimates. GDP per capita figures for China, 德国,
俄罗斯, and India are International Monetary Fund staff estimates. Public debt is esti-
mated for 2014. Hours worked are for total employment and are for 2014 除了
法国, which is for 2013. Productivity figures for the United States, 日本, 俄罗斯,
and France are estimated.
What the existing literature has not yet done, 然而, is to adequately
scrutinize the validity of using GDP to assess the China-U.S. power gap on
the global stage. This exercise is crucial given the degree to which this one
measure drives the narrative of China’s rise. Yet as a way of gauging the
role a country plays in the world economy—with all the implications for a
state’s power that follow—using GDP is becoming increasingly problematic.
As Diane Coyle emphasizes, GDP “is a measure of the economy best suited to
an earlier era.”50 Developed in and for the era of mass production, GDP, Coyle
埃蒂 (华盛顿, 华盛顿特区: World Bank, 2013), p. 9. For a noteworthy lower-bound forecast (4 百分),
see Lant Pritchett and Lawrence H. Summers, “Asiaphoria Meets Regression to the Mean,”
不. 20573 (剑桥, 大量的。: NBER, 十月 2014), http://www.nber.org/papers/w20573. 为一个
prominent example of the upper-bound forecast (7.5–8 percent), see Jamil Anderlini, “Justin Lin
Criticizes China Growth Pessimists,“ 金融时报, 七月 29, 2013, http://www.ft.com/intl/cms/
s/0/3e62c9de-f83e-11e2-b4c4-00144feabdc0.html#axzz3MkxsfC7j.
50. Diane Coyle, GDP: A Brief but Affectionate History (普林斯顿大学, 新泽西州: 普林斯顿大学出版社,
2014), p. 121.
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国际安全 40:3 28
数字 4. Real Historical Gross Domestic Product, 1969–2014
来源: United States Department of Agriculture Economic Research Service, http://万维网
.ers.usda.gov/data-products/international-macroeconomic-data-set.aspx.
argues, is increasingly misleading because it does not adequately capture
the signiªcance of information, sustainability, and economic globalization.51
Coyle’s general argument echoes those made recently by numerous other
economists.52
Regarding information, Michael Mandel argues that “ofªcial economic sta-
tistics dramatically undercount the growth of data-driven activities.”53 The
more knowledge based an economy is, the more that GDP underestimates
its size. Mandel estimates that calculating GDP with information as a distinct
category alongside goods and services would have added slightly more than
0.5 percent to real U.S. GDP growth in 2012.54
反过来, economic globalization creates a key statistical problem for GDP be-
cause so many goods are no longer made in a single country but instead are
constructed using global supply chains. Estimating China’s economic weight
on the world stage is thus particularly difªcult because, as stressed above, 这
51. 同上。, p. 122.
52. 看, 例如, UNU-IHDP and UNEP, Inclusive Wealth Report 2012; and Joseph E. 斯蒂格利茨,
Amartya Sen, and Jean-Paul Fitoussi, Report by the Commission on the Measurement of Economic Per-
formance and Social Progress, 2009 (巴黎: Institut National de la Statistique et des Études
Économiques, 2009), http://www.insee.fr/fr/publications-et-services/default.asp?页(西德:2)dossiers
_web/stiglitz/documents-commission.htm.
53. Michael Mandel, “Beyond Goods and Services: 这 (Unmeasured) Rise of the Data-Driven
Economy” (华盛顿, 华盛顿特区: Progressive Policy Institute, 十月 2012), p. 2, http://万维网
.progressivepolicy.org/wp-content/uploads/2012/10/10.2012-Mandel_Beyond-Goods-and-Services
_The-Unmeasured-Rise-of-the-Data-Driven-Economy.pdf.
54. 同上.
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Great Powers in the 21st Century 29
huge presence of multinational corporations in China plays a signiªcant role
in how it engages with the global economy.55 The more general point here is
that there is a need to take into account the signiªcance of globalization when
analyzing the relative economic power of the world’s most powerful countries.
The premise of Sean Starrs 2013 study is indeed that a fundamental limita-
tion of recent discussions about the changing distribution of power “is not
taking globalization seriously. . . . We cannot rely on national accounts to
meaningfully assess power in the global political economy.”56 Starrs shows
那个美国. multinational corporations are at the forefront of geographically dis-
persing their production activities and that “American corporations account
for by far the most dominant proªt-shares across the most sectors than cor-
porations for any other country, especially in sectors at the technological fron-
tier.”57 He notes further that these proªt-share data signiªcantly underestimate
the extent of U.S. dominance in the global economy, because they are based
on the assumption that U.S. investors only own U.S. ªrms. Yet he shows that
我们. investors also own considerable amounts of the shares of corporations in
other countries; as Starrs underscores, the fact that “American ªrms combined
own 46 percent of all publicly listed shares of the top 500 corporations in
世界 . . . signiªes how globalized American economic power has be-
come. Chinese capital, 相比之下, is almost entirely nationally contained. . . .
Chinese ownership of non-Chinese-domiciled ªrms in the top 500 is negli-
55. A telling, well-documented example in this regard is the value of Apple iPhone and iPad, 两个都
of which are assigned to China because they undergo ªnal assembly there. In their careful analysis
of the iPhone’s and iPad’s global supply chain, Kenneth L. Kraemer, Greg Linden, and Jason
Dedrick conclude: “While these products, including most of their components, are manufactured
in China, the primary beneªts go to the U.S. economy as Apple continues to keep most of its prod-
uct design, software development, product management, marketing and other high-wage func-
tions in the U.S. China’s role is much smaller than most casual observers would think. . . . 仅有的 $10 or less in direct labor wages that go into an iPhone or iPad is paid to China workers. So although each unit sold in the United States adds from $229 到 $275 to the U.S.-China trade deªcit (the esti- mated factory costs of an iPhone or iPad), the portion retained in China’s economy is a tiny frac- tion of that amount.” See Kraemer, 林登, and Dedrick, “Capturing Value in Global Networks: Apple’s iPad and iPhone,” University of California, 尔湾, 加州大学, 伯克利, and Syracuse University, 七月 2011, PP. 2, 6, http://pcic.merage.uci.edu/papers/2011/value_ipad _iphone.pdf. 56. Sean Starrs, “American Economic Power Hasn’t Declined—It Globalized! Summoning the Data and Taking Globalization Seriously,” International Studies Quarterly, 卷. 57, 不. 4 (十二月 2013), p. 817, 825. 57. 同上。, p. 820. A recent report underscores how China is in a fundamentally different competi- tive position: “Although China has indigenous technological capabilities to produce competitive products in labour intensive sectors such as apparel, this capability is still limited in high technol- ogy sectors where it relies heavily on imported inputs. . . . China’s competitiveness within GVCs [global value chains] is still concentrated in processing and assembling activities. Its role as the world’s assembler, 然而, allows China to generate only limited value added compared to other countries engaging in more technology and knowledge intensive activities within GVCs.” See OECD, China in Focus, PP. 76–77. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 30 gible.”58 In turn, he ªnds that not only are U.S. shareholders by far the top owners of U.S. 公司, but that Americans are also top owners of the twenty largest European ªrms.59 Because American ªrms own such a large percentage of many of the world’s top corporations, and because American cit- izens own the vast majority of the shares of American ªrms, Starrs ªnds that 41 percent of all global household assets are held by Americans—a fact that, 他认为, further demonstrates the globalized nature of U.S. capital and eco- nomic power.60 Regarding sustainability, GDP statistics do not reliably reºect whether cur- rent economic growth occurs in ways that harm the environment and thereby comes at the expense of future growth. Although GDP does count the depreci- ation of man-made objects such as machines and roads, it does not count the depreciation of the physical environment. Decades ago, developed countries such as Japan and the United States were sufªciently prosperous to begin to address issues such as clean air, clean water, and the prevention of toxic waste dumping as the need became pressing. China is in a different situation: it “is more like a teenage smoker with emphysema. The costs of pollution have mounted well before it is ready to curtail economic development.”61 That China does far less to protect its local environment than more developed coun- tries is well acknowledged.62 What is less well acknowledged is that this lack of environmental protection leads to an overestimation of China’s economic growth rate. By how much would Chinese economic growth have to be adjusted down- ward if GDP better accounted for environmental damage? The Chinese gov- ernment itself answered with a “conservative” estimate in the mid-2000s, when it created a “Green GDP” measure that recalculated GDP to reºect the cost of pollution: “[这] ªrst report estimated that pollution in 2004 cost just over 3 percent of the gross domestic product, meaning that the pollution- adjusted growth rate that year would drop to about 7 百分比来自 10 每- cent.”63 Other estimates are much less conservative. 在 2006 Zhu Guangyao, deputy chief of China’s State Environmental Protection Agency (SEPA), 指出 58. Starrs, “American Economic Power Hasn’t Declined,” p. 824. 59. 同上. 60. 同上。, p. 825. 61. Joseph Kahn and Jim Yardley, “As China Roars, Pollution Reaches Deadly Extremes,“ 纽约时报, 八月 26, 2007, http://www.nytimes.com/2007/08/26/world/asia/26china.html ?pagewanted(西德:2)全部&_r(西德:2)0. 62. China ranks 118th (在......之外 178 国家) on the comprehensive Environmental Performance Index and 176th on air quality. See “Country Rankings,” Environmental Performance Index (新天堂, 康涅狄格州: Yale University, 2014), www.epi.yale.edu/epi/country-rankings. 63. Kahn and Yardley, “As China Roars, Pollution Reaches Deadly Extremes.” l D o w n o a d e d f r o m h t t p : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 31 that environmental damage was “roughly 10 percent of the country’s gross do- mestic product.”64 A 2001 World Bank study found that “pollution is costing China an annual 8–12% of its . . . GDP in direct damage, such as the impact on crops of acid rain, medical bills, lost work from illness, money spent on disas- ter relief following ºoods and the implied costs of resource depletion.”65 And a 2007 study produced by the World Bank and SEPA found that the total cost of just two forms of pollution—air and water pollution—by themselves amounted to 5.8 percent of China’s GDP.66 Ultimately, China’s long-term sig- niªcance on the world stage will not be as great as its current GDP growth sta- tistics would seem to indicate because they do not properly account for the economic costs of its present method of environmentally harmful growth and the extent to which current growth comes at the expense of the country’s long-term economic growth potential. 因此, although China’s economic rise is important, measuring it with GDP underestimates the economic gap between the United States and China. This is partly because the costs of environmental damage are not properly factored into GDP. 反过来, the more knowledge based and globalized a country’s pro- duction is, the more GDP underestimates its size; the more an economy resem- bles the mid-twentieth-century manufacturing model for which the GDP measure was originally developed, the fewer such distortions GDP entails. China’s economy is clearly of the latter type, while the U.S. economy is among the world’s most knowledge based and globalized.67 Given the signiªcance of these distortions associated with GDP, there would ideally be an alternative measure that could be used for making more appro- priate comparisons between states that are as divergent as the United States and China. A promising potential candidate that at least partially avoids some of these distortions is the UN’s newly inaugurated “inclusive wealth” meas- 乌尔. Although not without its ºaws, this measure represents economists’ most systematic effort to date to create a rigorous and transparent measure of a state’s stock of wealth. Inclusive wealth measures a country’s stock of assets in three areas: “(1) manufactured capital (roads, buildings, machines, equip- 64. “Pollution Costs Equal 10% of China’s GDP,” China Daily, 六月 6, 2006, http://www .chinadaily.com.cn/china/2006-06/06/content_609350.htm. 65. “A Great Wall of Waste,” Economist, 八月 19, 2004, http://www.economist.com/node/ 3104453. 66. World Bank and State Environmental Protection Administration of China, Cost of Pollution in China: Economic Estimates of Physical Damages (华盛顿, 华盛顿特区: World Bank, 2007), p. xvii, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/China_Cost_of _Pollution.pdf. 67. We develop additional arguments for why U.S. power on the world stage is augmented by its position in the global economy in Brooks and Wohlforth, 美国海外, 小伙子. 9–10. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 32 蒙特), (2) 人力资本 (技能, 教育, 健康), 和 (3) natural capital (sub-soil resources, ecosystems, the atmosphere).”68 Unlike GDP, which is a measure of the ºow of goods and services for a speciªed time period (typically a short one), inclusive wealth aims to provide information on the state of a country’s capital stock for generating wealth over the long term: “在- specting the stocks of produced capital, natural capital and human capital, it shows how much wealth a country can potentially create, not just how much is being made right now. . . . The index’s transition from measuring ºows to ac- counting stocks provides an intergenerational understanding of well-being and wealth.”69 Based on this inclusive measure, the United States’ wealth amounted to almost $144 trillion in 2010—a level 4.5 times higher than China’s
level of inclusive wealth in 2010 ($32 兆).70 Although economists did not create this inclusive wealth measure to capture what international relations scholars call “latent power”—that is, the key resources that exist within a state that a government can draw upon to build up military power and other- wise compete with other states geopolitically—it clearly captures this con- struct much better than GDP does.71 Why It Will Long Be a One-Superpower World Analysts are right to herald China’s rapid economic ascent as a harbinger of the country’s changing position in the international system. Superpowers are extremely uncommon, and only an exceedingly improbable combination of large-scale and rapid growth can put a state in a position such as China’s: moving in the direction of having the latent material capacity to match the su- perpower. There is no other candidate today. 的确, after China the most 68. UNU-IHDP and UNEP, Inclusive Wealth Report 2014: Measuring Progress toward Sustainability (剑桥: 剑桥大学出版社, 2014), p. 15. 69. This quotation is drawn from a description of the merits of the inclusive wealth measure pre- sented in Inclusive Wealth Project, “The Better Indicator” (Bonn: International Human Dimensions Programme on Global Environmental Change, 日期不详。), http://inclusivewealthindex.org/inclusive- wealth/#the-better-indicator. See also UNU-IHDP and UNEP, Inclusive Wealth Report 2014, p. xx. In discussing the inauguration of the inclusive wealth measure, the Economist usefully underscores in this regard that GDP “is a measure of income, not wealth. It values a ºow of goods and services, not a stock of assets. Gauging an economy by its GDP is like judging a company by its quarterly proªts, without ever peeking at its balance-sheet. Happily, the United Nations this month pub- lished balance-sheets for 20 nations [那] 包括 . . . [这] stock of natural, 人类, and physical assets. . . . By putting a dollar value on everything from bauxite to brainpower, the UN’s exercise makes all three kinds of capital comparable and commensurable.” See “The Real Wealth of Na- 系统蒸发散: A New Report Comes Up with a Better Way to Size Up Wealth,” Economist, 六月 30, 2012, http://www.economist.com/node/21557732. 70. UNU-IHDP and UNEP, Inclusive Wealth Report 2014, PP. 220, 226. 71. We thank Jonathan Markowitz for a series of helpful conversations on this issue. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 33 plausible candidate would be the European Union, but it is far from being a state and its integration trajectory has stalled; 而且, its economic trajec- 保守党 (like Japan’s and Russia’s) is moving in the wrong direction. 同时, 然而, moving toward having the latent material capacity to match the superpower and actually attaining this status are two different things. Whereas one might presume that approaching the economic size of the United States would position China to be able to seek superpower status, we conclude that the gap between economic parity and a credible bid for superpower status should be measured over many decades.72 If the scales are to level out such that there are two or more roughly comparable states at the top—as was the norm for centuries—we thus expect it will be a long time coming. Determining the precise economic and technological levels that a state must attain to have sufªcient latent material capacity to bid for superpower status is not a straightforward process. If a rising state’s economy and its technological level match the leading state’s, then it will obviously be in a position to bid for superpower status. What if, 然而, the rising state is not equal to the lead- ing state in one or both dimensions? If the rising state is comparable to the leading state technologically but is around half of the latter’s economic size, then history would suggest that it could be in a position to bid for superpower status; this was basically the situation regarding the Soviet Union during the ªrst half of the Cold War (though Moscow required a totalitarian state to distill the needed resources and also challenged the United States in a very different military technological environment than the current one). We have shown, 然而, that the relevant question today is: What if the rising state has attained a signiªcant level of economic size relative to the leading state but is at a fundamentally lower level technologically? There is no modern historical precedent to help answer this question: the recent rising states of note—namely, the United States in the nineteenth and early twentieth centuries, Germany in the early twentieth century, and the Soviet Union in the middle of the twentieth century—were not at dramati- cally different technological levels from that of the leading state. 因此, in assessments of the relative power of Germany or the United States vis-à- vis the United Kingdom and the Soviet Union vis-à-vis the United States, tech- nology essentially faded into the background: the crucial issues became the 72. Two prominent recent studies of the U.S.-China power relationship that also analyze multiple components of power reach overall assessments generally consistent with this conclusion. See Thomas J. Christensen, The China Challenge: Shaping the Choices of a Rising Power (纽约: W.W. 诺顿, 2014); and David Shambaugh, China Goes Global: The Partial Power (牛津: Oxford Uni- 大学出版社, 2013). l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 34 size of the economies of these rising states and how much they tried to distill their wealth into military power. But when the leading and rising states di- verge technologically to a dramatic degree, as is the case today, a critical ques- tion is whether the latter has the technological capacity to produce and ªeld a defense force that can effectively match up with the former’s. This question is relevant regardless of the era under examination; but for reasons that we discuss below, it is especially relevant now given the extraordinarily compli- cated nature of much modern weaponry. In this respect, Tai Ming Cheung underscores that China faces “an enormous task of remaking a defense estab- lishment that is still more suited to ªghting a Vietnam-era conºict than a 21st century engagement.”73 Posen’s analysis of the command of the commons again helps frame our as- sessment of the gap between China’s economic rise and its potential to attain the capabilities of a superpower. In his examination of the unique set of assets that the United States has developed to sustain this commanding position, he points to four central attributes: (1) a large scientiªc and industrial base; (2) the speciªc mix of military systems accumulated over the past few decades of pro- curement; (3) the ability acquired over decades to coordinate the production of needed weapons systems; 和 (4) the particular skills and associated techno- logical infrastructure the United States has painstakingly developed to be able to effectively employ these weapons in a coordinated manner.74 scientiªc and industrial base Posen stresses that the development of the “speciªc weapons needed to secure and exploit command of the commons . . . 依靠[s] on a huge scientiªc and industrial base.” Having a much larger scientiªc and industrial base than any other state has enabled the United States to “undertake larger projects than any other military in the world.”75 There is no reason to think that China will soon be able to develop anything comparable, mainly because it is at a funda- mentally different technological level from that of the United States. Although China is rapidly enhancing its technological inputs, it faces signiªcant limits on its ability to quickly translate them into a dramatic improvement in its overall technological capacity. Educating many more science and engineering students, 例如, requires increasing the number of institutions that can provide appropriate and useful training far beyond the level that China has 73. Tai Ming Cheung, “Modernizing the People’s Liberation Army: Aims and Implications,” in Shaun Breslin, 编辑。, Handbook of China’s International Relations (伦敦: 劳特利奇, 2010), p. 115. 74. 波森, “下议院命令,” p. 10. 75. 同上. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 35 现在. On this issue, the World Bank and Development Research Center of the State Council of China conclude bluntly that China’s “massive expansion of enrollment . . . has strained instructional capacity” and that “the quality of the training is weak, and many graduates are having difªculty ªnding employ- ment.”76 In turn, rapidly augmenting spending on R&D is unlikely to produce dramatically improved technological capacity if it is not embedded within an institutional structure that fosters innovation—something that China is very far from having. As the World Bank and Development Research Center of the State Council of China report, “China has seen a sharp rise in scientiªc patents and published papers, but few have commercial relevance and even fewer have translated into new products or exports. . . . A better innovation policy in China will begin with a redeªnition of government’s role in the national inno- vation system, shifting away from targeted attempts at developing speciªc new technologies and moving toward institutional development and an en- abling environment that supports economy-wide innovation efforts.”77 mix of weapons accumulated through decades of procurement The particular mix of weapons the United States has accumulated to sustain command of the commons has taken a long time to develop and procure. The main reason is that the ever-growing complexity of many top-end weapon sys- tems has greatly increased their development time. 例如, as the num- ber of parts and lines of code associated with the production of aerospace vehicles increased, the development time of these weapons concomitantly increased—from roughly 5 years in the 1960s to around 10 years in the 1990s. 今天, “combat aircraft projects take between 15 和 20 years from research to production,” while “the current development cycle for military and intelli- gence satellites from the initiation of basic research to ªeld deployment is ap- proximately twenty years.”78 As a result, even if another state has the scientiªc and industrial base and the skills needed to produce these military systems, it will necessarily be a very long time before it possesses them given the time they take to produce. Consider that it is projected to take up to seventeen years for the United Kingdom to develop a nuclear submarine successor to its current Trident sys- TEM. And the United Kingdom has some signiªcant advantages over China: 76. World Bank and Development Research Center of the State Council of China, 中国 2030, p. 176. 77. 同上。, PP. 35–36. 78. Tai Min Cheung, “Conclusions,” in Cheung, 编辑。, Forging China’s Military Might, p. 276; and Tai Ming Cheung, Fortifying China: The Struggle to Build a Modern Defense Economy (伊萨卡岛, 纽约: Cor- nell University Press, 2009), p. 249 l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 36 最为显着地, it has had a longer range of experience producing advanced sys- tems and it receives extensive, direct assistance from the United States in weapons production. In areas where China is far behind the United States in military technology and where the systems in question take a long time to develop, even if all goes well China will need many years of cumulative effort to be in a position to potentially close the gap created by the United States’ own cumulative effort over many decades. Nuclear attack submarines (SSNs) are a particularly telling case in point. China is now capable of producing SSNs that are roughly comparable to the kinds of SSNs the United States built in the 1950s; since then, 然而, the United States has invested hundreds of billions of dollars and six decades of effort to put itself in a position to design and manufacture its current generation of Virginia-class submarines, which have achieved absolute levels of silencing.79 “systems integration” in weapons systems’ design and production The third attribute Posen highlights is that the ability to supervise the produc- tion of the kinds of military systems that give the United States command of the commons requires “signiªcant skills in systems integration and the management of large-scale industrial projects.”80 Many top-end weapon sys- tems today demand an extraordinarily high level of precision in the design and production process—a requirement that has eluded China in many areas. As Richard Bitzinger and his colleagues conclude, “Aside from a few pockets of excellence, such as ballistic missiles, the Chinese military-industrial com- plex has appeared to demonstrate few capacities for designing and producing relatively advanced conventional weapons systems. Especially when it comes to combat aircraft, surface combatants, and ground equipment, the Chinese generally have confronted considerable difªculties in moving prototypes into production, which has resulted in long development phases, heavy program delays, and low production runs.”81 China’s successes in military modernization attract much more attention 79. Authors’ interview with William Murray, 我们. Naval War College, Newport, Rhode Island, 七月 9, 2015. For a thorough assessment of the large qualitative gap between U.S. and Chinese SSNs, see Coté, “Assessing the Undersea Balance between the U.S. and China.” See also the chart in O’Rourke, “China Naval Modernization” that systematically compares the acoustic quietness of current Chinese and Russian SSNs 80. 波森, “下议院命令,” p. 10. 81. Bitzinger et al., “Locating China’s Place in the Global Defense Economy,” p. 172. See also Tai Ming Cheung’s recent review of China’s defense production capacity, which concludes that “the Chinese defense industry presently lacks the necessary scientiªc and technological capabilities” to be able to “develop sophisticated . . . weapons that are able to match those of the United States and other advanced rivals.” See Cheung, “Conclusions,” in Cheung, Forging China’s Military Might, p. 277. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 37 than its failures—or its decisions not to attempt to compete. 因此, 他- lysts underestimate the difªculty of gaining the kind of system integration skill for managing the design and production of the range of top-end systems needed to project signiªcant military power globally. The actors involved in U.S. defense production decisions have painstakingly accumulated this kind of systems integration skill over decades.82 Just being “very good” in the pro- duction and/or design of many top-end systems will not be sufªcient—at least in a conºict with a technologically superior competitor.83 Fighter jets provide a telling example. Christina Larson underscores that the “problem with Chinese- and Russian-construction stealth ªghters is that if there’s a bolt out of place, it shows up on a radar signature. Russian and Chinese construction is typically much looser” than U.S. stealth ªghter construction.84 Notably, excellence in production and design must be achieved in all elements of a ªghter. China’s advanced aircraft program has attained many successes, but the signiªcance of these accomplishments is greatly undermined by China’s lack of ability to pro- duce a capable engine. Robert Farley stresses that “the problem with Chinese engines is that they’ve been remarkably unreliable. Engines require extremely tight tolerances in construction; even small errors can lead to the engine burn- ing out.”85 Regarding China’s ªfth-generation ªghter program, Jesse Sloman and Lauren Dickey underscore that “engines are a critically important compo- nent of any ªghter aircraft. . . . [瓦]ithout a reliable, high-performance turbofan engine to power them,” the ªfth-generation ªghter program “will be crip- pled.”86 Because of deªciencies in engine power, China’s fourth-generation ªghter, the J-15, can have only a partial fuel load or only a very low missile- load when it takes off from an aircraft carrier.87 As Gabe Collins and Andrew Erickson note, China’s “inability to domestically mass-produce modern high- 82. See Peter Dombrowski and Eugene Gholz, Buying Military Transformation: Technological Innova- tion in the Defense Industry (纽约: 哥伦比亚大学出版社, 2006), PP. 111–135; Harvey M. 萨波尔斯基, “Inventing Systems Integration,” in Andrea Prencipe, Andrew Davies, and Michael Hobday, 编辑。, The Business of Systems Integration (纽约: 牛津大学出版社, 2003), PP. 15–34; 和尤金·戈尔茨, “Globalization, Systems Integration, and the Future of Great Power War,” 安全研究, 卷. 16, 不. 4 (October/December, 2007), PP. 615–636. 83. A well-documented illustration of this dynamic comes from the 1991 Gulf War: various tech- nological advantages of U.S. M1 tanks meant that they were in a position to “detect and destroy Iraqi vehicles from outside the Iraqis’ maximum range.” See Daryl G. 按, “Lessons from Ground Combat in the Gulf: The Impact of Training and Technology,” 国际安全, 卷. 22, 不. 2 (落下 1997), p. 139. 84. As quoted in Christina Larson, “With a Stealth Fighter, China Points to Advances in Its Arms Industry,“ 纽约时报, 十一月 11, 2014. 85. As quoted in ibid. 86. Jesse Sloman and Lauren Dickey, “Why China’s Air Force Needs Russia’s SU-35,” Diplomat, 六月 1, 2015, http://thediplomat.com/2015/06/why-chinas-air-force-needs-the-su-35. 87. Wendell Minnick, “Chinese Media Takes Aim at J-15 Fighter,” Defense News, 九月 28, 2013. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 38 performance jet engines” means that the Chinese must continue to use Russian-made engines in its tactical aircraft; 然而, Russian jet engine pro- ducers are “a distant second in quality” to the “top jet engine producers [哪个] are all located in the U.S. and Western Europe.”88 Ultimately, there is a big difference between China’s ability to make im- provements in select areas where it was already in a strong position to become very capable and its ability to effectively design and produce systems across the range of key systems needed for global power projection; achieveing the latter goal will be very hard, and even if China succeeds, it will take an ex- tremely long time.89 A fundamental reason why is that attaining the necessary knowledge and experience to produce these kinds of top-end systems is “largely a product of a costly and time-consuming process of trial and error.”90 In general, China has most consistently made rapid advances in those kinds of weapons systems—such as missiles—in which the learning curve is relatively small. In a number of other areas that are more complicated and require much greater skill in design and production—such as aircraft engines—even ex- tremely high levels of effort and resources have so far not given China the ca- pability to mass-produce effective systems that are comparable even to the kinds that the United States and the Soviet Union began ªelding three decades ago in the ªnal phase of the Cold War.91 And in many other areas, perhaps most notably SSNs and antisubmarine warfare, Chinese decisionmakers ap- pear to have recognized that they are nowhere close to being in a position to manage the production of top-end systems and so have decided not to devote a signiªcant level of effort.92 As one of us has stressed previously, a related consideration is that having the requisite design skills and domestic production for modern weaponry must also be complemented by an ability to tap into global production net- 88. Gabe Collins and Andrew Erickson, “Is China about to Get Its Military Jet Engine Program Off the Ground?” China Wall Street Journal, 可能 14, 2012, http://blogs.wsj.com/chinarealtime/2012/ 05/14/is-china-about-to-get-its-military-jet-engine-program-off-the-ground. As Jesse Sloman and Lauren Dickey emphasize, the Russian engines that China relies on “are no longer cutting edge. The designs of these ªghter engines date back more than thirty years and they were intended to be used in aircraft that are much lighter than the new models being tested today.” See Sloman and Dickey, “Why China’s Air Force Needs Russia’s SU-35.” 89. We thank Tai Ming Cheung, Daryl Press, and Riqiang Wu for helpful conversations on this issue. 90. 布鲁克斯, Producing Security, PP. 121–122, 235. For a discussion of why stealing via cyber espio- nage will not allow China to sidestep this painstaking process, see the discussion in Mauro Gilli, “The Struggle for Military-Technological Superiority: Complexity Systems Integration and the Technological Challenges of Imitation,” 博士. dissertation, Northwestern University, 2015; and Brooks and Wohlforth, 美国海外, 小伙子. 3. 91. Collins and Erickson, “Is China about to Get Its Military Jet Engine Program Off the Ground?” 92. We thank Riqiang Wu for a series of very helpful conversations on the issues raised in the pre- vious three sentences. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 39 works in key dual technologies. States unable or unwilling to pursue global- ization in weapons-related production will not be on the leading edge in military technology given the complexity of much modern weaponry, whose production now generally demands access to a global supply base.93 In part because of restrictions on access to key technologies from Western countries, Chinese defense ªrms have thus far made only tentative steps toward pursu- ing globalization in weapons-related production.94 But even if Chinese defense ªrms had full access to needed inputs from Western ªrms and sought them out, it is highly doubtful that many of them would be able to fully exploit such linkages anytime soon: it is extremely difªcult, and thus requires a very long time, for ªrms to gain the requisite experience and capacity to manage the complex global supply chains associated with today’s leading-edge weapons, given that they typically involve a mind-bogglingly large number of subcon- tractors and technological partners.95 skills and infrastructure for effectively using advanced weaponry Finally, Posen highlights the particular set of personnel skills and technologi- cal infrastructure needed to effectively use weapons systems in the coordi- nated manner that gives the United States command of the commons. As he stresses, the “development of new weapons and tactics depends on decades of expensively accumulated technological and tactical experience embodied in the institutional memory of public and private military research and develop- ment organizations.”96 More speciªcally, Posen notes that the United States’ ability to use these kinds of weapons systems depends vitally on the “military exploitation of information technology,” and “the military personnel needed to run these systems are among the most highly skilled and highly trained in the world.”97 In the assessment of Chinese military analyst Ren Xiao, “because of the comparatively weak foundation and low starting point for modernization and the incomplete condition of mechanization, the process of informatiza- tion in the PLA [People’s Liberation Army] remains at an initial stage, and the modernization level still lags substantially behind that of the world’s mil- itary powers.”98 Using the kind of advanced weapons the United States has is so daunting in 93. 布鲁克斯, Producing Security, PP. 76–78, 80–128. 94. See Bitzinger et al., “Locating China’s Place in the Global Defense Economy”; and Cheung, Fortifying China, 特别是PP. 245–246. 95. See Brooks, Producing Security, p. 78. 96. 波森, “下议院命令,” p. 10. 97. 同上. 98. As quoted in Andrew S. Erickson and Michael S. Chase, “Informatization and the Chinese People’s Liberation Army Navy,” in Phillip C. Saunders et al., 编辑。, The Chinese Navy: Expanding Capabilities, Evolving Roles (华盛顿, 华盛顿特区: National Defense University Press, 2011), p. 263. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 40 part because the individual systems are so complex. But more important, these systems need to be used as part of a cohesive package, which places a pre- mium not just on information gathering but also on coordination and delega- 的. Whether China can develop an ability to employ advanced systems in a way that would allow its forces to effectively match up with U.S. forces is un- 清除. Any effort to do so, 然而, would involve a long-term process that would be hampered by the highly centralized, hierarchical structures of China’s military, which does not emphasize either delegation or ºexibility and thus impairs the ability of lower-level actors to make decisions.99 Moreover, China’s lack of warªghting experience, in combination with deªciencies in the training of Chinese military personnel, greatly impedes the military’s progress toward developing an ability to effectively coordinate during operations.100 tracking china’s trajectory We have argued that observers in the latter Cold War would have been on sounder analytical ground had they moved beyond bipolarity toward a ªner- grained analysis of the distribution of capabilities and the challenges the Soviet Union faced in keeping up with the United States. The analysis here puts us in a position to move today’s debate beyond the conªnes of the unipolarity concept by highlighting the three structural barriers that will make China’s path to peer status with the United States steeper and longer than those faced by rising states of the past. We already highlighted that China’s technological level is comparatively lower vis-à-vis the system’s lead- ing state than were those of previous rising states. The second structural barrier is the technological environment in which China is ascending: the level of difªculty and complexity of both developing and using top-end military equipment is higher than it was in previous eras; consequently it is now much harder to convert economic capacity into military capacity.101 Compare today’s situation to that of the 1930s, when Germany was in a position in a few short years to shift from being a largely disarmed power 99. Andrew S. Erickson and Michael S. Chase, “Information Technology and China’s Naval Mod- ernization” Joint Forces Quarterly, 卷. 50, 不. 3 (2008), PP. 24–30. See also the discussion of the crit- ical importance of delegation and ºexibility for using advanced systems in Dombrowski and Gholz, Buying Military Transformation, PP. 17–18. 100. 在这方面, a recent assessment by the People’s Liberation Army Navy concludes: “At present, the simulation devices used by naval units in their military training on the whole cannot satisfy the actual military training needs and still lag behind the development of armaments. The insufªciency of simulation training devices has become a major ‘bottleneck’ that restrains efforts to build ªghting capacity in naval units.” Quoted in Erickson and Chase, “Informatization and the Chinese People’s Liberation Army Navy,” p. 263. 101. This barrier is discussed in Brooks, Producing Security, 特别是PP. 234–240; and Brooks and Wohlforth, “力量, Globalization, and the End of the Cold War,” especially pp. 36–37. l 从http下载 : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 Great Powers in the 21st Century 41 to a state that was militarily capable of single-handedly conquering Europe and nearly subduing the Soviet Union. Today such rapid progress is possible in some select areas, and these are the kinds of areas in which China has con- centrated much of its effort. But in other domains—including those containing many of the kinds of systems needed to develop global power projection capacity—military expansion requires capacities that must be painstakingly developed and nurtured; even then, their acquisition cannot be taken for granted. And if China does someday develop these attributes and seeks to be- come a military peer of the United States, the long lead times for many of the systems that we have discussed mean that the results would not come to fruition for a long time, even if all goes well. Chinese defense planners clearly recognize this reality. As Tai Min Cheung writes, “While China’s lead- ers urge the PLA and defense economy to catch up with the world’s advanced military powers as quickly as possible, military planners are more cautious and do not envisage developing the mix of capabilities required to be an ad- vanced military information power until at least the middle of the 21st century at the earliest.”102 The third structural barrier in China’s path to superpower status is that the gap separating its military capabilities from those of United States is much bigger than analogous gaps were in previous eras.103 As Yan Xuetong under- scores, although China’s “economy has found global impacts. . . . [t]he compo- nents of Chinese national strength are imbalanced. . . . It is far more difªcult for Chinese comprehensive national strength to catch up with that of U.S. than for its economy to do so. . . . Its military capabilities, the weakest link in terms of national power, have hardly gone beyond perimeter defense.”104 The United States is the only state that has for decades made the investment in mil- itary capacity that allows it to produce and effectively use the full range of weapons systems and associated infrastructure needed for global power pro- jection. Particularly in today’s technological environment, the choices the United States has made over long spans of time regarding the development of its military capacity have created a structural goalpost that will not be easy for China to reach, especially given that many of the kinds of systems in which China lags take so long to produce.105 In combination with the current nature 102. 张, “Modernizing the People’s Liberation Army,” p. 124. 103. This was previously documented in Wohlforth, “Stability of a Unipolar World;” and Brooks and Wohlforth, 世界失衡, PP. 22–59. 104. Yan Xuetong, “A Bipolar World Is More Likely Than a Unipolar or Multipolar One,” China Focus (在线的), 四月 20, 2015, http://www.chinausfocus.com/foreign-policy/a-bipolar-world-is- more-likely-than-a-unipolar-or-multipolar-one/#sthash.A4ZC7TiS.dpuf. 105. Notwithstanding the fact that much U.S. military spending does not go toward the accumu- lation of a larger stock of weapons or the infrastructure for using them, the numbers do convey a l D o w n o a d e d f r o m h t t p : / / 直接的 . 米特 . 呃呃 / 我是c / 文章 – p d l f / / / / 4 0 3 7 1 8 4 3 6 4 8 / 我是 c _ a _ 0 0 2 2 5 压力 . 来宾来访 0 9 九月 2 0 2 3 国际安全 40:3 42 of military technology, decades of massive U.S. investments in key military ca- pabilities now present formidable barriers to entry.106 This would be true even if China were not chasing a moving target, but in reality “the technological goalposts of weapons development are constantly moving; as certain nations, particularly the United States, advance the state of the art in defense technol- 奥吉, they create new metrics for deªning what is meant by ‘advanced’ military systems.”107 That China has to chase a moving target represents a very sig- niªcant constraint on its quest for military competitiveness. Regarding naval capabilities, 例如, Bitzinger et al. conclude that “based on the current trajectory, it seems unlikely that China can catch up with the established naval [science and technology (S&时间)] leaders unless the latters’ defense S&T capabil- ities erode over time under ªnancial constraints.”108 This analysis yields three benchmarks between where China is now and when it will be in a position to emerge as something like a peer of the United States on the global stage. The ªrst benchmark is when it has enough economic resources to try to displace the United States as the sole superpower. With roughly 60 占美国的百分比. GDP, China appears to have met or to be in range of meeting this benchmark, although our analysis of the biases inherent in that measure as well as the huge gap in inclusive wealth between China and the United States are cautionary notes.109 And in any case, achieving this bench- mark is not as signiªcant as it was for past rising states. Without sufªcient technological capacity, a large pool of economic resources alone will not enable China to bring the one-superpower world to an end. 因此, the second benchmark is when China has enough economic resources and technological capacity to be in a position to attempt to match or negate U.S. global power. China has very far to go to reach this benchmark, and an sense of this gap: during the 2000–14 period, the United States cumulatively spent $8.7 trillion on
防御, whereas China spent $1.5 trillion in constant 2011 我们. 美元. See Stockholm Interna-
tional Peace Research Institute (SIPRI), “Military Expenditure Database” (斯德哥尔摩: SIPRI, 2015),
http://www.sipri.org/research/armaments/milex.
106. We underscored the signiªcance of this point in Brooks and Wohlforth, 世界失衡,
p. 38.
107. Bitzinget et al., “Locating China’s Place in the Global Defense Economy,” p. 172
108. 同上。, p. 184
109. Even the Soviet Union, which used totalitarianism to compensate for relative backwardness
through ruthless extraction of resources from its populace, was richer vis-à-vis the United States
during the peak of the Cold War than China is today. By Angus Maddison’s estimates, 在 1960 这
Soviet Union’s per capita GDP was 35 占美国的百分比. ªgure; today the International Monetary
基金 (IMF) puts China’s per capita GDP at 13 percent of that of the United States in exchange-rate
conversion and 22 percent by purchasing power parity (PPP) 转换. See Maddison Project
(2013 version), http://www.ggdc.net/maddison/maddison-project/home.htm; and IMF World
Outlook Database April 2015, http://www.imf.org/external/pubs/ft/weo/2015/01/weodata/
index.aspx.
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Great Powers in the 21st Century 43
ongoing task will be to carefully monitor its technological progression. 这样的
an effort will involve both quantitative measures of the kind surveyed in the
previous section as well as qualitative assessments. An especially important
indicator will be whether China can build effective, replicable prototypes of
the core military systems that it would need to be able to project power glob-
盟友. Within the context of two of the examples discussed above, it would be re-
vealing if China gains the capacity to mass-produce capable jet engines and
produce SSNs that are relatively quiet.
The third benchmark is when China does not merely have the latent eco-
nomic and technological capacity to develop the full range of systems needed
for global power projection, but has procured these systems and has also
learned how to use them effectively in a coordinated manner. This capability
would require not just the needed weapons systems but also the information
architecture that is now a requisite for effective battleªeld management.
Conceptually, 所以, the gap between China and the United States can
essentially be disaggregated as follows:
great power → emerging potential superpower →
potential superpower → superpower
In the 1990s and early 2000s, there was little need to differentiate China from
the other great powers, such as Russia. But with its dramatic economic ascent,
China has risen to the second level—what we term the “emerging potential
superpower” level—in which it either has or is on track to have enough
economic capacity to be able to bid for superpower status but does not yet
have the technological capacity to do so. If China can ascend technologically
to the point where it has both the requisite economic and technological capac-
ity to be capable of mounting a broad challenge to the United States in the mil-
itary realm, it would then reach the third level, or the “potential superpower”
等级. At this level, China would have sufªcient latent material capacity to
match the superpower. For the reasons discussed above, any effort by China
to rise still further and reach a comparable level to the United States—the
superpower level—will be fraught with difªculty and will require a lengthy
amount of time.
China has risen from the position that it held in the 1990s, a change that
eludes the unipolarity concept. In the terminology we borrowed from Barry
Buzan, the system has shifted from 1 superpower plus X great powers to
1(西德:3)1(西德:3)X, with China occupying a middle category as an emerging potential
superpower. Our more ªnely grained analysis of this distribution of capabili-
ties has shown that the past experience of rising powers is a poor guide for as-
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国际安全 40:3 44
sessing the longevity of this situation. For decades, the one-superpower
character of the system will not be vulnerable to a decision by China to seek a
superpower’s capabilities.
Implications for Theory, 大战略, 和美国. Military Posture
Does it matter all that much if the world has moved from 1(西德:3)X to 1(西德:3)1(西德:3)X,
with China in a class by itself as the one state that might someday emerge as
a potential superpower? To answer this question, we derive key implications
of China’s rise from great power to emerging potential superpower for in-
ternational relations theory, grand strategy, and the military posture of
美国.
balance of power theory in a 1(西德:3)1(西德:3)x world
Arguably the oldest theoretical proposition about international politics, 这
balance of power has been central to debates about the functioning of a one-
superpower world almost from its inception. The initial claim that uniplolarity
was especially unstable because it would invoke particularly strong balancing
reactions was ultimately largely supplanted by the opposite view: that by
making systemic counterbalancing prohibitively costly, the post-1991 distribu-
tion of capabilities renders balance of power theory essentially inoperative.110
This proposition rests on two key systemic features: the historically unprece-
dented power gap between the United States and the X powers, and the fact
that the former is located in North America while the latter are all clustered in
and around Eurasia.111
How does China’s rise affect this claim? Geography obviously remains con-
stant, but if the aggregate power gap is conceptualized and measured in
the standard way the polarity concept invites, then it might appear to be clos-
ing sufªciently to invalidate the argument that balance of power theory no
longer applies. We have shown that the critical “all else equal” assumptions
that approach requires are untenable. Unlike past rising powers, China is at a
110. For the initial argument, see Christopher Layne, “The Unipolar Illusion: Why New Great
Powers Will Rise,” 国际安全, 卷. 17, 不. 4 (春天 1993), PP. 5–51; and Kenneth N.
华尔兹, “The Emerging Structure of International Politics,” 国际安全, 卷. 18, 不. 2 (落下
1994), PP. 44–79. For the latter claim, see Wohlforth, “The Stability of a Unipolar World”; 布鲁克斯
and Wohlforth, 世界失衡; and Kier A. Lieber and Gerard Alexander, “Waiting for Bal-
ancing: Why the World Is Not Pushing Back,” 国际安全, 卷. 30, 不. 1 (夏天 2005),
PP. 109–139.
111. See Wohlforth, “The Stability of a Unipolar World.” Wohlforth stresses that because threat is a
function of distance, efforts by other powers to generate capabilities to match those of the United
States or to negate its ability to act as a superpower will elicit regional counterbalancing.
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Great Powers in the 21st Century 45
much lower technological level than the leading state, and thus its ability to
distill raw economic resources into top-end military capabilities is much more
constrained. 此外, the nature of technology itself has changed to make it
even harder for new entrants to match the military capabilities of the leading
state.112 Ultimately, the military and technological hurdles to internal balanc-
ing by China will remain formidably high for decades. Our analysis thus
conªrms that true counterhegemonic balancing—creating an equipoise in
the system by either matching or negating the United States’ superpower
capabilities—will long remain effectively out of reach for China, which alone
among states has the scale and raw economic heft to make counterbalancing
even a notional option. 而且, the absence of such global balancing mat-
特尔斯: it enables freedom of action for the United States and dramatically
constrains choices for all others.113 U.S. security policy remains essentially
unconstrained by a signiªcant Chinese ability to “channel a rivalry away from
[Chinese] territory and challenge [美国] in far-ºung locations,”114
while China and all the X powers must concentrate their resources on navigat-
ing a local security environment shaped by U.S. power.115
These barriers to balancing via internal efforts leave external balancing—
alliances—as the only potential route back to global equilibrium anytime soon.
Our move away from standard comparative statics measurements, 然而,
illustrates how improbable that option remains. If capabilities are presented as
simple aggregates such as GDP or military spending that can be added up as
states combine in alliances, it might seem easy to shift the polarity of the sys-
TEM. If we look instead at the number of superpowers and the underlying ca-
pabilities needed to produce them, 然而, a very different picture emerges.
The kinds of capabilities and investments needed to be a twenty-ªrst-century
superpower require the politically and organizationally integrated setting only
112. 为了确定, technological and organizational barriers to generating some kinds of capabilities
were still formidable in the nineteenth and twentieth centuries, requiring up to a generation of
concerted effort. 看, 例如, James R. Holmes and Toshi Yoshihara, “Hardly the First Time,”
我们. Naval Institute Proceedings, 卷. 139, 不. 4 (四月 2013), PP. 22–27; and Michael C. Horowitz,
The Diffusion of Military Power: Causes and Consequences for International Politics (普林斯顿大学, 新泽西州:
普林斯顿大学出版社, 2010).
113. “Global balancing” is the term Evan Braden Montgomery uses to denote systemwide balanc-
英, which he contrasts with what he calls “local balancing”—that is, balancing within a particular
地区. See Montgomery, “Contested Primacy in the Western Paciªc: China’s Rise and the Future
我们. Power Projection,” 国际安全, 卷. 38, 不. 4 (春天 2014), p. 125.
114. 同上.
115. Among other implications, this means the United States is still able to impose a “distant”
blockade on China. See the helpful discussion in Llewelyn Hughes and Austin Long, “Is There an
Oil Weapon? Security Implications of Changes in the Structure of the International Oil Market,”
国际安全, 卷. 39, 不. 3 (冬天 2014/15), PP. 178–180.
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国际安全 40:3 46
a state can foster. It remains exceedingly unlikely that any alliance of great
powers could replicate that kind of setting.
To say that balance of power theory is inoperative does not mean that there
are no other forces pushing the international system back toward balance or
that so-called local balancing is somehow precluded. The growth of China’s
economy has nothing to do with balance of power theory, but it is pushing in
the direction of balance. And as China has grown, so has its ability to defend
itself—not only territorially but also against some kinds of potential intimida-
tion by the United States. The claim that the United States is unconstrained by
global balancing means, 在实践中, that the barriers to balancing are so high
for China and the X powers that Washington would have to go to improbable
lengths to cause those states to seek to try overcome them. It follows that a
deep asymmetry in the system remains: the United States does not face, 在
实践, a systemic balancing constraint, whereas the other powers do.
In contrast to the unipolarity concept, 然而, the stages that bridge the
great power–superpower gap presented here suggest that the balancing con-
straint is not an either/or proposition. As an X power traverses the gap, 它是
costs of balancing decline and the constraint on the reigning superpower
comes gradually into play. 为了确定, a level-2 power—an emerging potential
superpower—lacks a realistic global balancing option vis-à-vis the system’s
sole superpower. As it acquires both the technological and economic requisites
and ascends to level 3—a potential superpower—it incrementally begins to
be in a position to choose whether to build counterbalancing capacity. 和
even in level 2, at some stage balance of power theory may come—notionally,
at least—into play, as the rising state’s efforts to advance its military capacity
in its own region may help create the preconditions that hasten the day when
true global balancing becomes feasible. Whether such local balancing speeds
or slows a power’s journey from level 2 到 3 remains an open question: 关于-
sources devoted to countering a superpower locally cannot be used immedi-
ately for countering its global power, yet they may lay the groundwork for
future global capacity. Moving beyond unipolarity thus opens a new research
agenda on the ways in which and degree to which balance of power theory
comes back into play as X powers rise.
The main implication of our analysis of the distribution of capabilities, 如何-
曾经, is that a massive lag exists between any systemic incentive to balance the
United States and the realistic ability of other powers to do so. 相比之下
to the current setting, the classical European systems in which balance of
power theory developed featured much smaller aggregate capabilities gaps
between leading states and challengers, technology that allowed for compara-
tively swift transformation of resources into top-end military capability, 骗局-
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Great Powers in the 21st Century 47
tending states at roughly the same technological level, and geography that
placed contenders in close proximity and thus vitiated the distinction between
local and global balancing. In such systems a leading state was often on tenter-
hooks, sensing that its position was inherently unstable and easily matched by
其他的. That was the kind of world in which balance of power dynamics could
quickly emerge against a leading state as an immediate, dangerous, and pow-
erful constraint. The contrast to today’s world is stark.
u.s. grand strategy in a 1(西德:3)1(西德:3)x world
As the global landscape shifts, so does the debate on U.S. grand strategy.
Scholars used to weigh “alternatives from neo-isolationism at one extreme to
neo-imperialism on the other,” Evan Montgomery observes, but now “there is
little support for a retreat from the world and little appetite for remaking for-
eign nations. 因此, the mainstream grand strategy debate has come
down to a pair of options: deep engagement or offshore balancing.”116 Indeed,
our analysis suggests further reªnement. The reining in of ambitions that
Montgomery detects is consistent with our assessment of the shift in the distri-
bution of capabilities over the last two decades, which is altering in ways that
incentivize a focus by the United States on its existing core of defensive com-
mitments that undergird the current international system. Deep engagement’s
academic defenders have confused matters, 然而, by conºating a focus on
these core commitments with the strategy the United States has actually fol-
lowed for the past quarter century. In our work with John Ikenberry, 为了考试-
普莱, we repeatedly refer to the “current grand strategy of deep engagement,”
but go on to describe the many virtues of a foreign policy stance that is con-
siderably more limited than Washington’s actual post–Cold War agenda: shor-
ing up the traditional alliances to defend core national security interests and
buttressing the institutional and economic order.117 Those essentially defen-
sive missions of securing allies and sustaining the favorable institutional and
economic order—have often taken a back seat in favor of a broader set of
aims that includes preventing humanitarian crises and spreading liberal val-
厄斯: a stance that might be called “deep engagement plus.” Hence the grand
strategic debate is not two-sided, but instead has three distinct options: A
pullback from existing commitments, a focus on deep engagement, and deep
engagement plus.118
116. 蒙哥马利, “Contested Primacy in the Western Paciªc,” p. 118.
117. 斯蒂芬·G. 布鲁克斯, G. John Ikenberry, and William C. 沃尔福斯, “Don’t Come Home, 阿梅尔-
伊卡: The Case against Retrenchment,” 国际安全, 卷. 37, 不. 3 (冬天 2012/13), PP. 7–
51.
118. Brooks and Wohlforth, 美国海外, 小伙子. 6, outlines this distinction in greater detail.
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国际安全 40:3 48
A systemic analysis such as ours cannot fully resolve such debates, 但它
does yield implications. When we assess the distribution of capabilities
through the 1(西德:3)X lens, it becomes clear that the United States is and will long
remain the only state that can pursue a grand strategy of deep engagement,
which requires the capacity to sustain credible security guarantees with allies
across oceans. China’s rise to the emerging potential superpower level does
not alter this structural reality. And the United States’ unique position is a pro-
foundly important background feature of the international system; 联合
States currently has defense pacts with sixty-eight countries—a security net-
work that spans ªve continents, contains a quarter of the earth’s population,
and accounts for nearly three-quarters of global economic output.119 Were an-
other state able to sustain a comparable network of alliances, or were the
United States unable to do so, the world’s security setting would be dramati-
cally altered. The unipolarity-is-ending narrative misses the fact that change of
that order is not likely for decades.
Change of a subtler kind has occurred, 然而. China’s rise to an emerging
potential superpower does not render deep engagement impossible, 作为
unipolarity-is-ending narrative would suggest. 同时, the counter-
claim that unipolarity is not ending misses the fact that China’s rise presents
the United States with trade-offs that did not exist in the 1990s. 尤其-
拉尔, as maintaining the core commitments gets more challenging, the trade-
offs between focusing on deep engagement versus a more expansive deep
engagement–plus stance become more severe. As Richard Betts argues, “For a
quarter century, Washington had the luxury of concentrating on second- 和
third-order challenges: rogue states, medium-sized wars, terrorists, peacekeep-
ing operations, and humanitarian relief. But the time has come to focus again
on ªrst-order dangers. Russia is back, and China is coming.”120 The changing
scales of global power do not make a more expansive deep engagement–plus
stance impossible, and the United States may decide that its security or values
require it, but they do raise the relative salience of sustaining the core commit-
评论. The result is to put the spotlight on the debate over whether the United
States can and should sustain those commitments or seek to extricate itself
from all or most of them, as advocates of retrenchment advise.121
This article cannot resolve the “should” question, but it does ratify Betts’s
answer to the “can” question.122 If, as Betts argues, the “United States’ top pri-
119. Michael Beckley, “The Myth of Entangling Alliances: Reassessing the Risks of U.S. Defense
Pacts,” 国际安全, 卷. 39, 不. 4 (春天 2015), p. 7.
120. Richard K. Betts, “Pick Your Battles: Ending America’s Era of Permanent War,” Foreign Af-
博览会, 卷. 93, 不. 6 (十一月十二月 2014), p. 23.
121. 看, 例如, 波森, 克制.
122. We develop a systematic answer to the “should” question in Brooks and Wohlforth, 美国
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Great Powers in the 21st Century 49
ority should be the defense of long-standing allies in Europe and Asia,” then
our analysis of the commanding U.S. power position supports his claim that
“[G]lobal primacy still gives the United States more room for maneuver than it
had during the Cold War.”123
u.s. military posture in a 1(西德:3)1(西德:3)x world
Military requirements that might seem daunting for deep engagement plus be-
come far more modest if the aim is to pursue the defensive goals of deep en-
保证. The term “unipolarity” came into widespread use at a time of
extraordinary U.S. military dominance, entailing not only command of the
commons, but also immense freedom of action in which the United States
could contemplate a wide array of military strategies against potential major
power adversaries. As we have discussed, this once unparalleled freedom of
action is now declining, especially in China’s near abroad. China’s rapid aug-
mentation of its antiaccess and area-denial (A2/AD) capabilities has greatly
raised the United States’ costs and risks of operating its aircraft and surface
船舶 (but not its submarines) in China’s near seas,124 foreclosing some mili-
tary options Washington retained in the past.125
The challenge that China’s newfound local military capability presents to
the United States depends on its strategic goals. If the United States’ aim is
to regain all military options that it enjoyed in the 1990s, then the challenge
can appear daunting, demanding potentially expensive and/or risky U.S.
counteraction. With its emphasis on a “disrupt, destroy, and defeat approach,”
the much debated AirSea Battle Concept reºects this mentality.126 Yet if the
United States focuses on reinforcing deep engagement, the military aim would
be defensive: securing regional allies and preserving the favorable institutional
国外, 小伙子. 5–10. Our initial answer to this question is provided in Brooks, Ikenberry, 和
沃尔福斯, “Don’t Come Home, America.”
123. Betts, “Pick Your Battles,” PP. 22, 24.
124. As Coté notes, quiet U.S. submarines can still “operate freely in Chinese coastal waters.”
Given the inherent difªculty of antisubmarine warfare (ASW) in shallow waters combined with
China’s very poor ASW capacity—as well as the lengthy amount of time required to upgrade this
capacity and the challenges that China would face in doing so—this situation is unlikely to change
很多年了. See Coté, “Assessing the Undersea Balance between the U.S. 和中国,” p. 3.
125. An excellent recent analysis is Montgomery, “Contested Primacy in the Western Paciªc.”
126. Sam LaGrone and Dave Majumdar, “The Future of Air Sea Battle,” USNI News, 十月 30,
2013, http://news.usni.org/2013/10/30/future-air-sea-battle. On escalation risks, see especially
Avery Goldstein, “First Things First: The Pressing Danger of Crisis Instability in U.S.-China Rela-
系统蒸发散,” 国际安全, 卷. 37, 不. 4 (春天 2013), PP. 49–89. See also the analysis of the
AirSea Battle strategy and alternatives to it in Aaron L. Friedberg, Beyond AirSea Battle: The Debate
超过美国. Military Strategy in Asia (纽约: 劳特利奇, 2014). Note that the AirSea Battle concept
did not initially include a role for the Army and that the Pentagon has now incorporated it within
the strategy and relabeled the strategy Joint Concept for Access and Maneuver in the Global Com-
mons (JAM-GC).
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国际安全 40:3 50
and economic order. The requirements for continuing such a defensive stance
出现, by all accounts, to be manageable and sustainable.
Reºecting the changed military reality owing to China’s rise—in particular,
its rapidly augmented capacity to strike targets with accurate missiles—a
growing number of analysts argue that the United States’ core defensive goals
of deterrence and security provision can be well served by a denial strategy.
Using terms such as “mutual denial,” “sea denial,” “maritime denial,” and the
“mutually denied battlespace strategy,” analysts posit that the United States
can and should develop strategies and postures to avoid the need to undertake
potentially escalatory strikes on the Chinese mainland of the type purport-
edly envisioned in AirSea Battle. They posit that the United States should
take advantage of maritime geography to “deter Chinese land or maritime
aggression and, failing that, deny China the use of the sea inside the ªrst
island chain (a conceptual line from Japan to Taiwan and the Philippines) dur-
ing hostilities.”127
A central notion undergirding the approach is A2/AD in reverse: to curtail
the ability of China’s military to operate within the ªrst island chain during a
conºict (and thereby prevent the Chinese from prevailing in scenarios such as
an attack on Taiwan or an effort to close or control key strategic waterways) 经过
employing the same basic strategy and mix of capabilities—mines, 移动的
antiship missiles, and so on—that China itself has used to effectively push U.S.
surface ships and aircraft away from its coast.128 These analysts also empha-
127. Jeffrey E. Kline and Wayne P. Hughes Jr., “Between Peace and the Air-Sea Battle: A War at Sea
战略,” Naval War College Review, 卷. 65, 不. 4 (秋天 2012), PP. 35–41. Of key strategic
signiªcance is that these islands are relatively closely grouped together and are all in friendly
hands. 看, 例如, James Holmes, “Defend the First Island Chain,” Proceedings, 四月
2014, http://www.usni.org/magazines/proceedings/2014-04/defend-ªrst-island-chain. As Coté
stresses, “The maritime geography in question is at least as favorable as that which the U.S. suc-
cessfully exploited during the Cold War.” See Coté, “Assessing the Undersea Balance between the
我们. 和中国,” p. 12.
128. On using a reverse A2/AD approach regarding China, 看, 例如, Holmes, “的-
fend the First Island Chain”; Toshi Yoshihara and James R. Holmes, “Asymmetric Warfare, 美洲人-
can Style,” Proceedings, 四月 2012, http://www.usni.org/magazines/proceedings/2012-04/
asymmetric-warfare-american-style; Toshi Yoshihara, “Going Anti-Access at Sea: How Japan
Can Turn the Tables on China” (华盛顿, 华盛顿特区: Center for a New American Security, 九月-
木材 2014), http://www.cnas.org/sites/default/ªles/publications-pdf/CNAS%20Maritime2
_Yoshihara.pdf; James R. Holmes, “Strategic Features of the South China Sea: A Tough Neighbor-
hood for Hegemons,” Naval War College Review, 卷. 67, 不. 2 (春天 2014), PP. 30–51; William S.
穆雷, “Revisiting Taiwan’s Defense Strategy,” Naval War College Review, 卷. 61, 不. 3 (夏天
2008), PP. 13–38; James Holmes and Toshi Yoshihara, Defending the Strait: Taiwan’s Naval Strategy in
21世纪 (华盛顿, 华盛顿特区: 詹姆斯敦基金会, 2011); Jim Thomas, “Why the U.S.
Army Needs Missiles: A New Mission to Save the Service,“ 外交事务, 卷. 92, 不. 3 (May/
六月 2013), https://www.foreignaffairs.com/articles/united-states/2013-04-03/why-us-army-
needs-missiles; Terrence Kelly et al., “Employing Land-Based Anti-Ship Missiles in the Western
Paciªc” (圣莫妮卡, 加利福尼亚州。: RAND Corporation, 2013), http://www.rand.org/pubs/
technical_reports/TR1321.html; and Michael D. Swaine, “Beyond American Predominance in the
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Great Powers in the 21st Century 51
size the need to turn the tables and focus on exploiting areas of Chinese rela-
tive vulnerability—most notably, by leveraging U.S. undersea dominance that
is poorly countered by China’s weak antisubmarine warfare capacity.129
最终, the premise of the denial strategy is that even if China is able to
effectively deny U.S. surface ships and aircraft access to the area close to its
coast, it can be prevented from using this geographic space as a launching pad
for projecting military power in a conºict. In this view, the geographic area
close to China’s coast is not poised to ºip from being a potential launching pad
for the United States to use surface ships and aircraft to project power against
China in a conºict to being a potential launching pad for China itself use these
military assets to project power. 反而, the zone close to China’s coast is
poised to turn into a “no man’s land” (or “no man’s sea”) in which neither
state can effectively use surface ships or aircraft for force projection during a
conºict.130 This change is notable but needs to be kept in perspective. 这
1990s baseline had China, a putative great power, incapable of preventing
the globe’s leading military power from having essentially unfettered access to
its airspace and ocean surface right up to its territorial border. That China has
begun to reverse this unusual vulnerability after spending tens of billions of
dollars over decades is hardly surprising.131
Given its proximity and importance to China, Taiwan might create the
greatest challenge to a denial strategy, especially given that the United
States faces limits on what kind of capabilities it can share with Taipei. 然而,
William Murray convincingly shows that there is a range of technologically
可行的, affordable steps that Taiwan can take on its own to turn itself into
a “porcupine” that would “offer Taiwan a way to resist PRC [Chinese] 米利-
tary coercion for weeks or months without presuming immediate U.S. 在-
tervention.”132 For different reasons, Japan would also create a potential
challenge: if it were to increase its self-imposed limit of 1 percent of GDP
its already highly strained diplomatic relationship
for defense spending,
Western Paciªc: The Need for a Stable U.S.-China Balance of Power” (华盛顿, 华盛顿特区: Carnegie
Endowment for International Peace, 四月 20, 2015), http://carnegieendowment.org/2015/04/20/
beyond-american-predominance-in-western-paciªc-need-for-stable-u.s.-china-balance-of-power.
It should be noted that pursuing reverse A2/AD has utility for any approach that the United
States takes in the region, including AirSea Battle.
129. A systematic analysis of the U.S. advantage in the undersea balance is Coté, “Assessing the
Undersea Balance between the U.S. and China.” See also Lyle Goldstein, “Beijing Confronts Long-
Standing Weaknesses in Anti-Submarine Warfare,” China Brief, 七月 29, 2011, http://万维网
.jamestown.org/single/?tx_ttnews%5Btt_news%5D(西德:2)38252&no_cache(西德:2)1#.ViaO_36rS71.
130. The authors thank Eugene Gholz for helpful conversations on these issues.
131. The authors thank Owen Coté for a helpful conversation on this issue.
132. See Murray, “Revisiting Taiwan’s Defense Strategy,” PP. 15–16. A complement to the porcu-
pine approach for Taiwan is the maritime strategy outlined in Holmes and Yoshihara, Defending
the Strait.
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国际安全 40:3 52
with China could degenerate into a dangerous spiral. Yet as Toshi Yoshihara
underscores, Japan can adopt a range of affordable and defensively oriented
measures to create “an anti-access strategy of its own. . . . Japan is well-
positioned and -equipped to draw lines on the map beyond which Chinese
anti-access/area-denial forces can expect to encounter stiff, deadly resistance.
Access and area denial works both ways.”133
Needless to say, there are other potential challenges that might call for tough
choices, especially surrounding maritime disputes. The main takeaway from
the burgeoning literature on denial strategies is to reinforce Betts’s point
that the United States’ sole superpower position gives the U.S. 政府
room to maneuver. China’s military rise can elicit strategic as well as military
responses from the United States and its allies. Thomas Christensen has ar-
gued that China can “pose problems without catching up.”134 The United
States’ position of global primacy gives it options to address those problems
other than by decisively countering each new Chinese military capability. 作为
strategic thinkers from B.H. Liddell-Hart to Thomas Schelling remind us, 我们-
ing military power to challenge a settled status quo is very hard to do. China’s
military rise may push the United States to recognize these old truths and ex-
ploit the advantages of standing on the defensive.
结论
The concept of polarity helps scholars understand some consequential differ-
ences in how historical international systems function, and the unipolarity
concept has productively shaped research on comparisons between the current
system and its predecessors. The concept, 然而, is more often used to in-
form debates about changes in the current one-superpower system and the
speed with which it might evolve into another kind of system. Pundits, 政府-
ernment analysts, and policymakers nearly always use the term in this way,
but scholars, 也, have tended to follow suit. We have shown that the polarity
concept is inherently ill suited to address how today’s system is changing. 它
pushes a minority of analysts to downplay consequential changes and a major-
ity to exaggerate change. Notwithstanding China’s dramatic economic growth
in the past few decades, the scope, signiªcance, and pace of its global ascent
must be kept in perspective. Historical precedent and standard measurement
approaches are not especially helpful for understanding the pace and sig-
133. Yoshihara, “Going Anti-Access at Sea,” PP. 4, 10.
134. 托马斯·J. Christensen, “Posing Problems without Catching Up: China’s Rise and Challenges
for U.S. Security Policy,” 国际安全, 卷. 25, 不. 4 (春天 2001), PP. 5–40.
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Great Powers in the 21st Century 53
niªcance of China’s rise because China is so unlike previous rising states and
the world in which it is rising is different in ways that hinder the ascent to
global power.
在本文中, we have developed a set of concepts and measures tailored to
understanding the systemic signiªcance of China’s rise and the longevity of
today’s one-superpower system. The world has moved from 1(西德:3)X to 1(西德:3)1(西德:3)X,
with the United States set to long remain the sole superpower, 其次是
China as an emerging potential superpower. That is an important harbinger. 它
generates new pressures on the United States to face the trade-offs inherent in
its grand strategic choices and the need to make adjustments to its military
姿势. This does not mean, 然而, that the one-superpower system is on
the cusp of structural change or that there has been a transformation in its fun-
damental operating dynamics.
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