经济学国际贸易

InternationalEconomics

TenthEditionFactorEndowmentsandtheHeckscher-OhlinTheory

DominickSalvatoreJohnWiley&Sons,Inc.CHAPTER

FIVE5Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.Inthischapter:5.1Introduction引言5.2AssumptionsoftheTheory赫克歇尔—俄林理论的假设5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier要素密集度﹑要素富裕度与生产可能性曲线Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.Inthischapter:5.4FactorEndowmentsandtheHeckscher-OhlinTheory要素禀赋和赫—俄理论5.5Factor-PriceEqualizationandeDistribution要素价格均等与收入分配5.6EmpiricalTestsoftheHeckscher-OhlinModel对赫克歇尔—俄林模型的经验检验Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.1Introduction

引言Extendingtrademodeltoinclude:本章将在两个方面扩展我们的贸易模型：Basisofcomparativeadvantage解释产生比较优势的基础Effectofinternationaltradeonreturntolabor分析国家贸易对劳动收入的影响Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.2AssumptionsoftheTheory

赫克歇尔—俄林理论的假设5.2A假设条件Heckscher-Ohlintheorybasedonfollowingassumptions:赫—俄理论建立在以下的假设基础之上：1.Twonations,twogoods,twofactorsofproduction贸易中有两个国家，两种商品（X与Y），两种生产要素（劳动与资本）2.Technologysameinbothnations

两国在生产中都使用相同的技术Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.AssumptionsoftheTheory

赫克歇尔—俄林理论的假设3.CommodityXislaborintensive,commodityYiscapitalintensiveinbothnations

商品X都是劳动密集型产品，商品Y都是资本密集型产品4.ConstantreturnstoscaleforXandYinbothnations

两种商品的生产都是规模报酬不变的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.AssumptionsoftheTheory

赫克歇尔—俄林理论的假设5.pletespecializationinproductioninbothnations两国在生产中均为不完全分工6.Tastesareequalinbothnations两国的需求偏好相同7.Bothcommoditiesandfactorsaretradedinperfectlycompetitivemarkets在两个国家中，两种商品和两种要素市场都是完全竞争的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.AssumptionsoftheTheory

赫克歇尔—俄林理论的假设8.Perfectfactormobilitywithineachnation,butnotbetweennations

在一国国内，要素可以自由的流动，但要素不能在国际间自由流动9.Notransportationcosts,tariffsorotherbarrierstofreetrade.

没有运输成本﹑关税或影响国际贸易自由进行的其他壁垒10.Allresourcesarefullyemployedinbothnations

两国资源得到充分利用11.Internationaltradebetweenthenationsisbalanced两国贸易是平衡的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3AFactorIntensity要素密集度Inamodity,twofactorworld,commodityYiscapitalintensiveifthecapital-laborratio(K/L)usedintheproductionofYisgreaterthanK/LusedintheproductionofX.在一个只有两种商品（X和Y）和两种要素（劳动和资本）的世界中，如果生产Y时的资本/劳动比率大于生产X时的资本/劳动比率，我们就说商品Y是资本密集型商品Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3AFactorIntensity要素密集度ItisnottheabsoluteamountofcapitalandlaborusedinproductionofXandY,buttheamountofcapitalperunitoflaborthatdeterminescapitalintensity.在衡量两种商品的劳动密集度和资本密集度时，重要的是1单位劳动所需资本（即K/L），而不是生产商品X与Y所需的劳动和资本的绝对数量FIGURE5-1FactorIntensitiesforCommoditiesXandYinNations1and2.Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3BFactorAbundance要素充裕度Intermsofphysicalunits

以实物单位定义:Nation2iscapitalabundantiftheratioofthetotalamountofcapitaltothetotalamountoflabor(TK/TL)availableinNation2isgreaterthanthatinNation1.如果国家2的可用总资本和可用总劳动的比率（TK/TL）大于国家1的这一比例，我们就说国家2是资本充裕的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3BFactorAbundance要素充裕度Intermsofphysicalunits

以实物单位定义:ItisnottheabsoluteamountofcapitalandlaborusedinproductionofXandY,buttheamountofcapitalperunitoflaborthatdeterminescapitalintensity.用这种方法定义，我们使用的是总资本和总劳动的比率，而不是可用资本和可用劳动的绝对数量Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3BFactorAbundance要素充裕度Intermsofrelativefactorprices

以相对要素价格定义：Nation2iscapitalabundantiftheratiooftherentalpriceofcapitaltothepriceoflabortime(PK/PL)islowerinNation2thaninNation1.如果国家2的资本租用价格和劳动时间价格的比率（PK/PL）小于国家1的这一比率，我们就说国家2是资本充裕的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3BFactorAbundance要素充裕度Intermsofrelativefactorprices

以相对要素价格定义：Rentalpriceofcapitalisusuallyconsideredtobetheinterestrate(r),whilethepriceoflabortimeisthewagerate(w),soPK/PL=r/w.一般来说，资本的租用价格就是利率（r），劳动时间就是工资率（w），而PK/PL=r/wSalvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.3FactorIntensity,FactorAbundance,andtheShapeoftheProductionFrontier

要素密集度﹑要素充裕度和生产可能性曲线形状5.3BFactorAbundance要素充裕度Intermsofrelativefactorprices

以相对要素价格定义：ItisnottheabsolutelevelofrthatdetermineswhetheranationisK-abundant,butr/w.同样的，决定一国是否资本充裕，并不是看r的绝对水平，而是看比率r/w值的大小FIGURE5-2TheShapeoftheProductionFrontiersofNation1andNation2.Nation1isL-abundant,andcommodityXisL-intensiveNation2isK-abundant,andcommodityYisK-intensiveSalvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.4FactorEndowmentsandtheHeckscher-OhlinTheory

要素禀赋和赫—俄理论

5.4AHeckscher-Ohlin(H-O)theoryisbasedontwotheorems:赫克歇尔—俄林理论有两种理论形式：1.TheH-Otheorem赫克歇尔—俄林定理2.Thefactorpriceequalizationtheorem要素价格均等定理Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.4FactorEndowmentsandtheHeckscher-OhlinTheory

要素禀赋和赫—俄理论1.TheH-OtheoremAnationwillexportthecommoditywhoseproductionrequirestheintensiveuseofthenation’srelativelyabundantandcheapfactorandimportthecommoditywhoseproductionrequirestheintensiveuseofthenation’srelativelyscarceandexpensivefactor.一国应当出口该国相对充裕的和便宜的要素密集型商品，进口该国相对稀缺和昂贵的要素密集型的商品。

Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.4FactorEndowmentsandtheHeckscher-OhlinTheory

要素禀赋和赫—俄理论1.TheH-OtheoremInshort,therelativelylabor-richnationexportstherelativelylabor-intensivecommodityandimportstherelatively简而言之，劳动相对充裕的国家应当出口劳动密集型的商品，进口资本密集型的商品。Explainscomparativeadvantageratherthanassumingit.赫克歇尔—俄林定理解释了比较优势产生的原因，而不只是假设其成立FIGURE5-3GeneralEquilibriumFrameworkoftheHeckscher-OhlinTheory.FIGURE5-4TheHeckscher-OhlinModel.Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配5.5AThefactorpriceequalizationtheorem要素价格均等定理Internationaltradewillbringaboutequalizationintherelativeandabsolutereturnstohomogenousfactorsacrossnations.国际贸易会使各国同质要素获得相同的相对与绝对收入Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配5.5AThefactorpriceequalizationtheorem要素价格均等定理Inshort,wagesandotherfactorreturnswillbethesameafterspecializationandtradehasoccurred.国家贸易和专业化分工会使贸易各国的同质要素获得等量的工资和收益Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配Thefactorpriceequalizationtheorem要素价格均等定理

InternationaltradecauseswtoriseinNation1(thelow-wagenation)andfallinNation2.(thehigh-wagenation),reducingthepretradedifferenceinwbetweennations.

国际贸易使国家1（低工资国家）的工资上升，使国家2（高工资国家）的工资下降。因此，国家贸易使得两国工资率与贸易前相比差距缩小了。Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配Thefactorpriceequalizationtheorem要素价格均等定理

Similarly,tradecausesrtofallinNation1(theK-expensivenation)andriseinNation2.(theK-cheapnation),reducingthepretradedifferenceinrbetweennations.

同样的，国家贸易降低了国家1（高利率国家）的利率，提高了国家2（低利率国家）的利率，也使两国的利率比贸易前相比差距缩小了FIGURE5-5RelativeFactor–PriceEqualization.Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配5.5DSpecificFactorsModel特定要素模型Tradewill:haveanambiguouseffectonanation’smobilefactors,贸易对一国的流动要素的影响是不确定的Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.5Factor-PriceEqualizationandeDistribution

要素价格均等化与收入分配Tradewill:benefittheimmobilefactorsspecifictoanation’sexportcommoditiesorsectors,andharmtheimmobilefactorsspecifictoanation’spetingcommoditiesorsectors.同时将有利于用于该国出口商品的非流动要素而不利于该国进口的非流动要素（有关这一定理的严谨证明参见附录A5.4）Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.6EmpiricalTestsoftheHeckscher-OhlinModel

对赫克歇尔—俄林模型的经验检验5.6A

TheLeontiefParadox里昂锡夫悖论A1951testoftheH-Otheory里昂锡夫在1951年利用美国1947年数据对于赫克歇尔—俄林模型进行经验检验。由于美国是世界上基本最充裕的国家，里昂锡夫希望得出美国出口资本密集型产品，进口劳动密集型产品的结论Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.6EmpiricalTestsoftheHeckscher-OhlinModel

对赫克歇尔—俄林模型的经验检验TheLeontiefParadox里昂锡夫悖论ShowedthatthepatternoftradedidnotfittheconclusionsoftheH-Otheorem.ExportsintheU.S.seemedtobelaborintensivewhentheyshouldhavebeencapitalintensive检验结果显示美国的贸易格局不符合Ｈ－Ｏ理论的结论，美国的出口呈现劳动密集型产品为主与预测结果完全相反，这就是里昂锡夫悖论Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.6EmpiricalTestsoftheHeckscher-OhlinModel

对赫克歇尔—俄林模型的经验检验５.６ＢSourceoftheLeontiefParadoxBias对里昂锡夫悖论的解释Assumedatwofactorworldwhichrequiredassumptionsaboutwhatiscapitalandwhatislabor.里昂锡夫使用的是两要素（劳动和资本）模型，对于劳动要素和资本要素的划分有可能混淆Salvatore:InternationalEconomics,10thEdition©2009JohnWiley&Sons,Inc.5.6EmpiricalTestsoftheHeckscher-OhlinModel

对赫克歇尔—俄林模型的经验检验SourceoftheLeontiefParadoxBias对里昂锡夫悖论的解释Mos