GVCs 功能升级与国家间、国家内不平等关系研究

摘要/Abstract

摘要： 目前，各国参与全球价值链分工体系已经成为实现经济升级的重要目标。然而，成功的经济升级的社会结果能否在国家之间平等分配，又能否向国家内部的社会阶层平等地传递仍未得而知。本文考察了全球价值链功能升级对国家间不平等和国家内不平等的作用机制，为核心经济体和外围经济体不同升级前景带来的价值分配不平等和社会后果提供了新的实证评估。结果发现：首先，相较于GVCs生产功能，无形资产最密集的上游功能和下游功能最具增值潜力，更有助于减少国家间不平等；其次，GVCs上游和下游功能升级引致的积极经济后果未能转化为内部更平等的收入分配。然而，专注于GVCs生产功能更有利于缓解国家内部平等。最后，从影响机制来看，GVCs权力、有效结构变化分别是影响GVCs功能升级对国家间和国家内不平等关系的作用渠道。GVCs上游和下游功能知识垄断资本主义的存在通过构筑GVCs垄断权力，将进一步为占据该功能的行为者创造不成比例的租金。与此同时，GVCs上游和下游功能升级通过促进国内有效结构变化，扩大技能溢价，对国内收入不平等产生负向影响。本文研究结果为通过促进GVCs功能升级降低国家间不平等，实现更平等的国内收入分配的政策建议提供了经验依据。

Abstract: Nowadays, the involvement of countries in the global value chain （GVCs） has become a crucial objective for achieving economic upgrading. However, it remains uncertain whether the positive social outcomes of successful economic upgrading can be equally distributed among countries and whether they can be equitably transmitted to various social strata within countries. We explore the mechanisms by which functional upgrading in global value chains affects both inter-country and intra-country inequality. It provides a new empirical assessment of the unequal appropriation of value and social outcomes that stemming from divergent upgrading prospects of the world's global headquarters and peripheries. The results show that, firstly, compared to production functions within GVCs, upstream and downstream functions within GVCs, which are the most intensive in intangible assets, possess the greatest value-adding potential and are more conducive to reducing inter-country inequality. Secondly, the positive economic outcomes resulting from upstream and downstream functional upgrading within GVCs have not translated into more equitable income distribution internally. However, focusing on production functions within GVCs is more beneficial for alleviating intra-country inequality. Finally, from the perspective of impact mechanisms, GVCs power and effective structural change are the respective channels through which functional upgrading within GVCs affects inter-country and intra-country inequality relationships. The existence of knowledge monopoly capitalism in upstream and downstream functions of GVCs, by establishing monopolistic power within GVCs, further creates disproportionate value distribution for actors occupying these functions. Meanwhile, the upgrading of upstream and downstream functions in GVCs negatively impacts income inequality by promoting effective structures changes in domestic and widening skill premiums. Those findings provide empirical evidence for policy recommendations aimed at reducing inter-country inequality and achieving more equitable domestic income equality through the promotion of functional upgrading within GVCs.

范亚亚许治胡振绅周燕. GVCs 功能升级与国家间、国家内不平等关系研究[J]. 科学学研究, 2025, 43(5): 919-930.

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