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1、International EconomicsTenth EditionFactor Endowments and the Heckscher-Ohlin Theory Dominick SalvatoreJohn Wiley & Sons, Inc.CHAPTER F I V E5Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.In this chapter:5.1 Introduction 引言5.2 Assumptions of the Theory 赫克歇尔俄林理论的假设5.3 F
2、actor Intensity, Factor Abundance, and the Shape of the Production Frontier 要素密集度要素富裕度与生产可能性曲线Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.In this chapter:5.4 Factor Endowments and the Heckscher-Ohlin Theory 要素禀赋和赫俄理论5.5 Factor-Price Equalization and Income Distributi
3、on 要素价格均等与收入分配5.6 Empirical Tests of the Heckscher-Ohlin Model 对赫克歇尔俄林模型的经验检验Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.1 Introduction 引言引言nExtending trade model to include:n本章将在两个方面扩展我们的贸易模型本章将在两个方面扩展我们的贸易模型：nBasis of comparative advantagen解释产生比较优势的基础nEffect of i
4、nternational trade on return to laborn分析国家贸易对劳动收入的影响Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.2 Assumptions of the Theory赫克歇尔赫克歇尔俄林理论的假设俄林理论的假设5.2A 假设条件假设条件 Heckscher-Ohlin theory based on following assumptions: 赫赫俄理论俄理论建立在以下的假设基础之上： 1.Two nations, two goods, two
5、 factors of production 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. Technology same in both nations 两国在生产中都使用相同的技术Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.Assumptions of the Theory赫克歇尔赫克歇尔俄林理论的假设俄林理论的假设3. Commodity X is labor intensive, commodity Y is capital intensive in b
6、oth nations 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.Constant returns to scale for X and Y in both nations 两种商品的生产都是规模报酬不变的Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.Assumptions of the Theory赫克歇尔赫克歇尔俄林理论的假设俄林理论的假设5. Incomplete specialization in production in both nations 两国在生产中均为
7、不完全分工6.Tastes are equal in both nations 两国的需求偏好相同7. Both commodities and factors are traded in perfectly competitive markets 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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.Assumptions of the Theory赫克歇尔赫克歇尔俄林理论的假设俄林理论的假设8. Perfect factor mobility
8、 within each nation, but not between nations 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.No transportation costs, tariffs or other barriers to free trade. 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.All resources are fully employed in both nations 两国资源得到充分利用11.International trade between the nations is balanced 两国贸易是平衡的Salvatore
9、: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3A Factor Intensity 要素密集度要素密集度nIn a two-commodity, two factor world, commodity Y is capital intensive if the ca
10、pital-labor ratio (K/L) used in the production of Y is greater than K/L used in the production of X.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the
11、Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3A Factor Intensity 要素密集度要素密集度nIt is not the absolute amount of capital and labor used in production of X and Y, but the amount of capital per unit of labor that determines capital intensity.n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
12、（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FIGURE 5-1 Factor Intensities for Commodities X and Y in Nations 1 and 2.Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5
13、.3B Factor Abundance 要素充裕度要素充裕度nIn terms of physical units 以实物单位定义:nNation 2 is capital abundant if the ratio of the total amount of capital to the total amount of labor (TK/TL) available in Nation 2 is greater than that in Nation 1.n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: Inte
14、rnational Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3B Factor Abundance 要素充裕度要素充裕度nIn terms of physical units 以实物单位定义:nIt is not the absolute amount of capital and labor
15、 used in production of X and Y, but the amount of capital per unit of labor that determines capital intensity.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the Shape of the Production
16、 Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3B Factor Abundance 要素充裕度要素充裕度nIn terms of relative factor prices 以相对要素价格定义：nNation 2 is capital abundant if the ratio of the rental price of capital to the price of labor time (PK/PL) is lower in Nation 2 than in Nation 1.n如果国家2的资本租用价格和劳动时间价格的比率（PK
17、/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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abundance, and the Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3B Factor Abundance 要素充裕度要素充裕度nIn terms of relative factor prices 以相对要素价格定
18、义：nRental price of capital is usually considered to be the interest rate (r), while the price of labor time is the wage rate (w), so PK/PL = r/w.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.3Factor Intensity, Factor Abund
19、ance, and the Shape of the Production Frontier要素密集度要素密集度要素充裕度和生产可能性曲线形状要素充裕度和生产可能性曲线形状5.3B Factor Abundance 要素充裕度要素充裕度nIn terms of relative factor prices 以相对要素价格定义：nIt is not the absolute level of r that determines whether a nation is K-abundant, but r/w.n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FIGURE
20、 5-2 The Shape of the Production Frontiers of Nation 1 and Nation 2.Nation 1 is L-abundant, and commodity X is L-intensiveNation 2 is K-abundant, and commodity Y is K-intensiveSalvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.4Factor Endowments and the Heckscher-Ohlin Th
21、eory要素禀赋和赫要素禀赋和赫俄理论俄理论 5.4A Heckscher-Ohlin (H-O) theory is based on two theorems: 赫克歇尔俄林理论有两种理论形式：1. The H-O theorem赫克歇尔赫克歇尔俄林定理俄林定理 2.The factor price equalization theorem要素价格均等定理要素价格均等定理Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.4Factor Endowments and the Hecks
22、cher-Ohlin Theory要素禀赋和赫要素禀赋和赫俄理论俄理论1. The H-O theoremnA nation will export the commodity whose production requires the intensive use of the nations relatively abundant and cheap factor and import the commodity whose production requires the intensive use of the nations relatively scarce and expensive
23、 factor.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.4 Factor Endowments and the Heckscher-Ohlin Theory要素禀赋和赫要素禀赋和赫俄理论俄理论 1. The H-O theoremnIn short, the relatively labor-rich nation exports the relatively labor-inten
24、sive commodity and imports the relatively n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。nExplains comparative advantage rather than assuming it.n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FIGURE 5-3 General Equilibrium Framework of the Heckscher-Ohlin Theory.FIGURE 5-4 The Heckscher-Ohlin Model.Salvatore: International
25、 Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配5.5 A The factor price equalization theorem 要素价格均等定理要素价格均等定理nInternational trade will bring about equalization in the relative and absolute returns to homogenous factors
26、across nations.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配5.5 A The factor price equalization theorem 要素价格均等定理要素价格均等定理nIn short, wages and other factor returns will
27、 be the same after specialization and trade has occurred.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配 The factor price equalization theorem 要素价格均等定理要素价格均等定理 I
28、nternational trade causes w to rise in Nation 1 (the low-wage nation) and fall in Nation 2. (the high-wage nation), reducing the pretrade difference in w between nations. 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: International Economics, 10th Edition 2009 John Wiley
29、& Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配 The factor price equalization theorem 要素价格均等定理要素价格均等定理 Similarly, trade causes r to fall in Nation 1 (the K-expensive nation) and rise in Nation 2. (the K-cheap nation), reducing the pretrade difference in r be
30、tween nations. 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FIGURE 5-5 Relative FactorPrice Equalization.Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配5.5D Specific Factors Mode
31、l 特定要素模型特定要素模型Trade will:nhave an ambiguous effect on a nations mobile factors, n贸易对一国的流动要素的影响是不确定的Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.5 Factor-Price Equalization and Income Distribution要素价格均等化与收入分配要素价格均等化与收入分配 Trade will:nbenefit the immobile factors speci
32、fic to a nations export commodities or sectors, and harm the immobile factors specific to a nations import-competing commodities or sectors.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.6 Empirical Tests of the
33、Heckscher-Ohlin Model对赫克歇尔对赫克歇尔俄林模型的经验检验俄林模型的经验检验5.6A The Leontief Paradox 里昂锡夫悖论里昂锡夫悖论 nA 1951 test of the H-O theoryn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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.6 Empirical Tes
34、ts of the Heckscher-Ohlin Model对赫克歇尔对赫克歇尔俄林模型的经验检验俄林模型的经验检验The Leontief Paradox 里昂锡夫悖论里昂锡夫悖论 nShowed that the pattern of trade did not fit the conclusions of the H-O theorem. Exports in the U.S. seemed to be labor intensive when they should have been capital intensiven检验结果显示美国的贸易格局不符合理论的结论，美国的出口呈现劳动
35、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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.6 Empirical Tests of the Heckscher-Ohlin Model对赫克歇尔对赫克歇尔俄林模型的经验检验俄林模型的经验检验. .Source of the Leontief Paradox Bias对里昂锡夫悖论的解释对里昂锡夫悖论的解释nAssumed a two factor world which required assumptions about wh
36、at is capital and what is labor.n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: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.6 Empirical Tests of the Heckscher-Ohlin Model对赫克歇尔对赫克歇尔俄林模型的经验检验俄林模型的经验检验Source of the Leontief Paradox Bias对里昂锡夫悖论的解释对里昂锡夫悖论的解释nMost heavily prote
37、cted industries in U.S. were L- intensive, reduced imports and increased domestic production of L-intensive goods.n美国的关税政策也是产生里昂锡夫悖论的一个原因，美国受贸易保护最严密的产业就是劳动密集型产业，这降低了美国进口替代品的劳动密集程度并且增加了本国劳动密集型产品产量Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.5.6 Empirical Tests of the H
38、eckscher-Ohlin Model对赫克歇尔对赫克歇尔俄林模型的经验检验俄林模型的经验检验Source of the Leontief Paradox Bias对里昂锡夫悖论的解释对里昂锡夫悖论的解释nOnly physical capital included as capital, ignoring human capital (education, job training, skills).n最重要的原因可能是里昂锡夫所定义的资本仅仅包括实物资本，完全忽视了人力资本人力资本（如机器，设备，厂房）FIGURE 5-6 Comparative Advantage with Skill
39、s and Land.Salvatore: International Economics, 10th Edition 2009 John Wiley & Sons, Inc.Appendix to Chapter 5第五章附录第五章附录A 5.1 The Edgeworth Box Diagram for Nation 1 and Nation 2Once Again国家1和国家2的埃奇沃思盒形图A 5.2Formal Proof of the FactorPrice 相对要素价格均等A 5.3Equalization Theorem绝对要素价格均等A 5.4Specific-Factors Model特定要素模型A 5.5Factor-Intensity Reversal对要素密集度颠倒的说明FIGURE 5-7 The Edgeworth Box Diagram for Nation 1 and Nation 2Once Again.FIGURE 5-8 Formal Proof of the FactorPrice Equalization Theorem.FIGURE 5-9 Specific-Factors Model.FIGURE 5-10 Factor-Intensity Reversal.
