当赶超变成冲突:人口、总体实力与无摩擦全球化的终结

Endogenous Diffusion Congestion:Population,Aggregate Power,and the Political Economy of Global Convergence

  • 摘要: 罗伯特·卢卡斯(Robert Lucas)的《21世纪的若干宏观经济学》一文为全球趋同(Convergence)提供了一个乐观的基准(Lucas,2000):随着工业革命的扩散,后发国家通过采用现有知识而快速增长,世界收入差异终将缩小。本文认为,卢卡斯机制依然强大,但并不完整,因为它将国际扩散环境视为外生。关键在于区分收入趋同(Income Convergence)与实力趋同(Power Convergence)。一个体量庞大的追随者(Populous Follower)在变得富裕之前,就可能早已具有了系统性重要地位:若其人口是前沿国家的四倍,则当它的人均收入仅为前沿国家水平的四分之一时,便已达到总量均势(Aggregate Parity)。当一个大型追随者接近总量均势时,前沿国家维持广泛开放的动机就会减弱,贸易、技术、金融、供应链和科学交流将变得更具选择性。其结果是内生的扩散拥堵(Endogenous Diffusion Congestion):赶超行为反而削弱了使赶超成为可能的秩序的开放性。这种拥堵会外溢到其他同样依赖以前沿国家为中心的扩散渠道的追随者身上。同时,大型追随者自身也可能成为与发展相关的扩散的一个中间来源。本文构建了一个包含前沿国家、大型追随者和其他追随者的简单框架,并探讨了世界经济如何从无摩擦全球化走向选择性、多元化或碎片化的扩散体制。

     

    Abstract: Robert Lucas's vision of global convergence emphasized the diffusion of modern knowledge and industrial capability from frontier economies to latecomers. Once modern growth had emerged somewhere,poorer countries could grow rapidly by adopting technologies,organizational forms,and production methods already developed at the frontier. Under this benchmark,world income differences would eventually narrow as more countries joined the process of modern economic growth. This paper argues that the Lucasian mechanism remains fundamentally correct but incomplete because it treats the international diffusion environment as exogenous. The central distinction introduced here is between income convergence and power convergence. Standard growth theory focuses primarily on relative per capita income. Yet international order responds not only to living standards,but also to aggregate economic scale. For a populous follower,aggregate power can converge long before income converges. If a follower has four times the population of the frontier country,aggregate parity emerges when its per capita income is only one quarter of the frontier level. Such an economy may still view itself as developing in terms of domestic productivity and living standards,while simultaneously becoming systemically consequential from the perspective of the frontier country. This arithmetic changes the political economy of diffusion. When a large follower is still relatively small in aggregate terms,openness is mutually beneficial:it expands markets,deepens specialization,strengthens supply chains,and reinforces a frontier-centered international order. However,as the follower's aggregate scale rises,the same openness increasingly generates strategic costs for the frontier country. Trade,foreign investment,scientific collaboration,technology transfer,financial integration,and production networks may accelerate the rise of a potential systemic rival. The paper therefore endogenizes the openness of the international diffusion environment. Rather than treating diffusion as a fixed background condition,the framework models openness as a strategic choice made by a forward-looking frontier country. As the follower approaches aggregate-power parity,the frontier country rationally reduces openness,especially in strategically sensitive sectors. The result is what the paper calls endogenous diffusion congestion:the very success of catch-up weakens the openness of the international order that made catch-up possible. The mechanism produces several broader implications. First,the congestion generated by a large follower spills over to other developing economies. Smaller followers may not themselves pose strategic threats,but they depend on the same frontier-centered channels of diffusion. As openness contracts in response to the rise of a large follower,these countries inherit a more restricted global learning environment. Second,the rise of a large follower may simultaneously create alternative channels of diffusion. A large follower that has recently industrialized can become an “intermediate frontier”, supplying development-relevant technologies,infrastructure,manufacturing systems,and organizational capabilities to poorer economies. The future of global convergence may therefore depend not only on whether the old frontier-centered order remains open,but also on whether multiple diffusion systems can coexist and remain interoperable. Third,the paper argues that the world economy is likely moving away from frictionless globalization toward a world of selective openness. Globalization does not necessarily disappear; rather,openness becomes differentiated across sectors,technologies,and political relationships. Some channels remain open,while others become increasingly restricted,politicized,or fragmented. The framework contributes to three strands of literatures simultaneously. It extends the growth and convergence literature by making the diffusion parameter endogenous to international order. It contributes to international political economy by formalizing how aggregate-power convergence alters the incentives of leading states to sustain openness. It also contributes to the fragmentation literature by explaining why restrictions emerge specifically when large followers approach systemic significance. The paper's broader implication is that the central challenge of the twenty-first century is no longer simply how to achieve convergence,but how to govern convergence once it becomes systemically consequential. The future of global development will depend not only on domestic absorptive capacity,but also on whether the international system can preserve broad channels of knowledge diffusion under conditions of growing aggregate-power competition.

     

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