1、外文翻译 原文 international trade theory Materia l S ource : Boston co llege A uthor :Ja mes E.A nderson Adam Smith (1776) held that a country could gain from free trade. He pointed out that if one country has an absolute advantage over the other in one production and the other country has an absolute adv
2、antage over the first in another production, both countries gain from trading. But Smith failed to create a convincing economic theory of international trade. It is generally agreed that David Ricardo is the creator of the classical theory of international trade. The theories of comparative advantag
3、e and the gains from trade are usually connected with his name, even though many concrete ideas about trade existed before his Principles (Ricardo, 1817). In this theory the crucial variable used to explain international trade patterns is technology. The theory holds that a difference in comparative
4、 costs of production is the necessary condition for the existence of international trade. But this difference reflects a difference in techniques of production. According to this theory, technological differences between countries determine international division of labor and consumption and trade p
5、atterns. It holds that trade is beneficial to all participating countries. The Ricardian theory failed to determine the terms of trade, even though it can be used to determine the limits in which the terms of trade must lie. It was recognized long ago that in order to determine the terms of trade, i
6、t is necessary to build trade theory which not only takes account of the productive side but also the demand side. The neoclassical theory holds that the determinants of trade patterns are to be found simultaneously in the differences between the technologies, the factor endowments, and the tastes o
7、f different countries. Preference accounts for the existence of international trade even if technologies and factor endowments were completely identical between countries. The Marshallian offer curve has been often used to analyze problems such as the existence of equilibrium, the stability of equil
8、ibrium, the gains from trade, and optimum tariffs and so on within static frameworks. Mill introduced the equation of international demand, according to which the terms of trade are determined so as to equate the value of exports and the value of imports. He argued: “the exports and imports between
9、the two countries (or, if we suppose more than two, between each country and the world) must in the aggregate pay for each other, and must therefore be exchanged for one another at such values as will be compatible with the equation of the international demand”. Mill initiated the theory of reciproc
10、al demand which is one of the earliest examples of general equilibrium analysis in trade theory. The Ricardian model and Heckscher-Ohlin model are two basic models of trade and production. They provide the pillars upon which much of pure theory of international trade rests. The so-called Heckscher-O
11、hlin model has been one of the dominant models of comparative advantage in modern economics. The Heckscher-Ohlin theory emphasizes the differences between the factor endowments of different countries and differences between commodities in the intensities with which they use these factors. The basic
12、model deals with a long-term general equilibrium in which the two factors are both mobile between sectors and the cause of trade is different countries having different relative factor endowments. This theory examines the impact of trade on factor use and factor rewards. The theory is different from
13、 the Ricardian model which isolates differences in technology between countries as the basis for trade. In the Heckscher-Ohlin theory costs of production are endogenous in the sense that they are different in the trade and autarky situatio ns, even when all countries have access to the same technolo
14、gy for producing each good. This model has been a main stream of international trade theory. According to Ethier (1974), this theory has four “core proportions”. In the simple case of two-commodity and two-country world economy, we have these four propositions (which are of course held under certain
15、 conditions) as follows: （ 1） factor-price equalization theorem by Lerner (1952) and Samuelson (1948, 1949), stating that free trade in final goods alone brings about complete international equalization of factor prices; (2) Stolper-Samuelson theory by Stolper and Samuelson (1941), saying that an in
16、crease in the relative price of one commodity raises the real return of the factor used intensively in producing that commodity and lowers the real return of the other factor; (3) Rybczyn ski theorem by Rybczynski (1955), stating that if commodity prices are held fixed, an increase in the endowment
17、of one factor causes a more than proportionate increase in the output of the commodity which uses that factor relatively intensively and an absolute decline in the output of the other commodity; and (4) Heckscher-Ohlin theorem by Heckscher (1919) and Ohlin (1933), stating that a country tends to hav
18、e a bias towards producing and exporting the commodity which uses intensively the factor with which it is relatively well-endowed. The Heckscher-Ohlin theory provides simple and intuitive insights into the relationships between commodity prices and factor prices, factor supplies and factor rewards,
19、and factor endowments and the pattern of production and trade. Although the Heckscher-Ohlin model was the dominant framework for analyzing trade in the 1960s, it had neither succeeded in supplanting the Ricardian model nor had been replaced by the specific-factor trade models. Each theory has been r
20、efined within small scales. Each theory is limited to a range of questions. It is argued that as far as general ideas are concerned, the Heckscher-Ohlin theory may be considered as a special case of the neoclassical theory mentioned before as it accepts all the logical promises of neoclassical metho
21、dology. The Heckscher-Olin theory may be seen as a special case of the neoclassical trade theory in which production technology and preferences are internationally identical. This loss of generality has long been held necessary in order to construct a clear picture of international trade patterns an
22、d division of labor and consumption. Ricardos initial discussion of the concept of comparative advantage is limited to the case when factors of production are immobile internationally. The Heckscher-Ohlin theory is similarly limited to the study of how movements of commodities can substitute for int
23、ernational movements of productive factors. It is obvious that if technologies are everywhere identical and if production is sufficiently diversified, factor prices become equalized between countries. But if production functions differ between countries, no presumption as to factor equalization rema
24、ins. Most of early contributions to trade theory deal with goods trade only and ignore international mobility of factors of production. For a long period of time since Ri-ardo, the classical mobility assumption had been well accepted. This assumption tells that all final goods are tradable between c
25、ountries whereas primary inputs are non-tradable, though they are fully mobile between different sectors of the domestic economy. In reality, this classical assumption is invalid in many circumstances. For instance, many kinds of final goods, services, are not-trade and capitals are fully mobile bet
26、ween countries as well as within domestic economies. A great deal of works on trade theory has been concerned with examining the consequences of departures from these assumptions. There is an extensive literature on various aspects of international factor mobility. It may be true to say that most of
27、 the pure theory of international trade emerged from Ricardos Principles. The further development of the subject by Mill, Marshall and Edgeworth remained largely within the bounds set by Ricardo. Since then, there had been much attention focused on the determination of the terms of trade by reciproc
28、al demand within frame-works of many goods, countries and factors under various forms of intervention. As mentioned by Findlay (1984), one topic that was almost entirely absent from the pure theory of international trade was any consideration of the connection between economic growth and internation
29、al trade in classical literature of economic theory. Almost all the trade models developed before the 1960s are static in the sense that the supplies of factors of production are given and do not vary over time; the classical Ricardian theory of comparative advantage and the Heckscher-Ohlin theory a
30、re static since labor and capital stocks (or land) are assumed to be given and constant over time. Although Marshall held that it is important to study international trade in order to be clear of the causes which determine the economic progresses of nations, it has only been in the last three or fou
31、r decades that trade theory has made some systematical treatment of endogenous capital accumulation or technological changes in the context of international economics. Eaton (1987) proposed a dynamic two-sector, three factors model of international trade. The dynamic specification of the model is ba
32、sed on Samuelsons (1958) overlapping generations model. The dynamic model at each point of time t proposed by Eaton is identical to the three-factor, two-commodity model examined in a static context by Jones (1971), Samuelson (1971) and Mussa (1974). The model tries to extend the Heck-scher-Ohlin th
33、eory to include endowments of factor as endogenous variables. In this model land and capital serve not only as factors of production but also as assets which individuals use to transfer income from working periods to retirement. The model shows that changes in the terms of trade and in the endowment
34、s of fixed factors do not necessarily have the same effects on factor prices and on the composition of output as they do in a static framework. Some results obtained from the specific-factors model about the relationships between commodity prices and factor prices, factor endowments and factor rewar
35、ds, and factor endowments and the pattern of production are not held in the dynamic model. For instance, a permanent increase in the relative price of one commodity does not necessarily lower the steady-state income of the factor specific to the industry producing the other commodity. 译文 国际贸易理论 资料来源
36、 :波士顿大学 作者： 詹姆斯 安德森 亚当 斯密（ 1776）认为，国家能够从自由贸易中获 益 。他指出，如果一个国家 在某一产品上有着相对于另一国家的 绝对优势 ，而另一个国家在另一种产品上拥有绝对优势 ， 则两个国家都能从贸易中获益。 但 史密斯却 未能创造一个有说服力的国际贸易经济理论。人们普遍认为， David Ricardo 是国际贸易古典理论的创造者 ，而相对优势 论和贸易 利益也 通常与他的名字 相联系 ， 虽然许多 有关贸易的 具体 观点都早于 他的原则（ David Ricardo， 1817） 而存在 。在这一理论 中，通常用来 解释国际贸易 模式的关键变量 是技术。该理
37、论认为，在生产 中 比较成本 的 差异是国际贸易存在的必要条件。但是，这种差异反映了不同的生产技术。根据这一理论，国家之间的技术差别决定了国际分工 ，消费 和贸易格局。它认为，贸易 对 所有参与国 皆有利 。 李嘉图的理论 虽然可以用来规定贸易条件的范围，却 未能 明确 贸易条件。很久以前人们 就 认识到有必要建 立一个 贸易理论，不仅要考虑生产 方面同时也要考虑 需求方面。新古典理论认为，贸易模式的决定因素 同时存在于不同国家之间的技术 差异 ， 要素禀赋 差异 ， 喜好差异 。即使国家之间 的 技术和要素禀赋是完全一致 的，喜好不同也能构成 国际贸易的存在。马歇尔价格曲线模型常常被用来分析
38、 例如 均衡的存在性 ，均衡稳定性，贸易利益以及最适合关税等静态结构内的 问题。 Mill 引进了 国际需求 方程式 ， 根据此方程确定贸易条件，使 出口值与进口值 相平衡 。他建议：两国之间的进出口（或者，我们假设多于两国之间的贸易）必须在双方的进出口总汇下支付，因此必须转换为另一方这样的价值为能适应方程的国际需求 。 米尔 提出了互惠需求 理论 ， 这是 在贸易理论上大体均衡分析的最早例子之一。 李嘉图模型和赫克歇尔一俄林模型是贸易和生产的 两个 基本模 式。他们 给绝大多数 国际贸易纯理论 提供了可以依赖的支柱 。所谓赫克歇尔一俄林模型一直是现代经济学 中 比较优势的主要模式之一。在赫克
39、歇尔一俄林理论强调不同国家之间要素禀赋的差异 以及 商品之间 利用这些要素的强度 差异。 这个基本模式处理长期一般均衡，在此均衡中，上述两个因素在各部门间是可变的。贸易的原因是不同的国家有着不同的相关要素禀赋。 这一理论探讨了贸易 在 要素的使用和要素报酬 上的 影响。这个理论 和把国家间的技术差异独立看做贸易基础的 李嘉图模型 是不同的。在 赫克歇尔一俄林理论 中，就他们在贸易和自给自足的情况上不同的意义而言，即 便当 所有国家都 能利用想同的技术 生产每种商品时，生产 成本 也是内因性的。 这种模式一直是国际贸易理论的主流。 据 艾舍 （ 1974），这一理论有四个 “ 核心比例 ” 。在
40、 只有 两种商品和两个国家的世界经济 的简单 例子 中 ，我们 以下 这四种命题（ 当然这是在 一定条件下）：（ 1）勒纳（ 1952） 和 萨缪尔森（ 1948， 1949） 的 要素价格均等定理 ，表 明单单在制成品 的自由贸易 上 带来 彻底的 国际要素价格均等化 ； （ 2）斯托尔帕 与 萨缪尔森的斯托尔珀 萨缪尔森理论（ 1941）， 认为 一种商品的相对价格上涨 提高了在生产该产品中较多使用的要素的真是回报率， 同时降低了其他要素的真是回报率。 （ 3） 雷布津斯基 的 雷布津斯基 定理（ 1955）， 认为 如果商品价格 保持稳定 ，在一个要素禀赋 上的 增加 会引起相对较多利用
41、该要素的产品出产量的过多比例增长以及其他产品出产量的绝对减少。 （ 4）赫克歇尔（ 1919） 和 俄林（ 1933）的赫克歇尔 -俄林定理，指出一个国家往往 偏向于生产 和出口 那些较多使用相对丰富的要素的产品。 在赫克歇尔一俄林 定理提供了对商品价格，要素价格，要素供应，要素回报，要素禀赋以及生产和贸易的模式之间关系的简易直观的深入了解。 虽然赫克歇尔一俄林 模式 是 20 世纪 60 年代 分析 贸易 最主要 的框架， 但它 既没有成功地取代李嘉图 模式 ，也 没被 特定因素贸易模式取代。每个理论 都在“小规模”范围内被更正， 每一个理论 都局限于一定范围的问题 。有人认为，就总体思路方
42、面，赫克歇尔一俄林理论可以看作是 之前提到过的新古典理论的特殊例子，因为它 接受 了新古典方法论的所有合逻辑的承诺。 在赫克歇尔 -奥林理论 中，全球产品科技和偏好是相同的，这被视为新古典贸易理论的特殊例子。人们一直认为，为了创建一个清楚的国际贸易模式以及国际分工消费轮廓， 这种 普遍性的 遗失是 必要的 。 李嘉图 刚开始对 比较优势概念 的探讨 仅限于国际间生产要素 稳定不变 。赫克歇尔一俄林理论同样 局限于对如何使 商品的 流通 替代生产要素国际流动的研究。 显然 ，如果 世界各地的 技术是相同的，生产 是 充分多元化 的 ， 那么国家间的 生产要素价格 也会相持平 。但是如果国家之间的
43、生产功能 不同 ， 那么 要素均衡 也必然不会 存在。 大多数 早期的 对 贸易理论的贡献 只涉及商品的交易 ，而忽略了生产要素的国际流动 性 。经典的流动性假设被广泛接受 已经很长一段时间，这一假设告诉我们所有最终产品在不同国家之间 是可 流通 贸易的 ， 然 而 基本 投入 是不可流通贸易的 ，尽管它们 可自由流通于 国内经济 各 部门 间 。事实上，这种 经典 假设在很多情况下 是 不合理的 。例如， 很多类型的最终产品和服务是不可贸易的，而资金在国家之间乃至国内经济中都是可充分流通的。人们关注这些在贸易理论上的研究结论是否能检验违背这些假设的后果。有关国际要素流通性的各方面研究的作品是
44、非常广泛的。 也许可以这么说，大多数的 国际贸易纯理论 都 来自李嘉图的原则。穆勒，马歇尔和埃奇沃斯 对国际贸易理论的进一步研究大部分还是保持在 Ricardo 设定 的界限 内 。正如芬德利（ 1984） 所说的 ， 有 一个主题 在国际贸易的纯理论中是几乎完全未被提及的就 是任何 有关 经济增长和 在有关经济理论的古典文学中提及的 国际贸易 的关系的考虑。因为生产要素的供给是被设定的并且不随时间改变所以 几乎所有 20 世纪 60 年代 之前发展的贸易 模 模式都是静态的。经典的李嘉图比较优势理论和赫克歇尔一俄林理论因为劳动力和 股本 （或土地）被认为是 已设定的并且不为时间改变，所以也是
45、静态的。 虽然马歇尔认为， 为了明确决定国家经济发展的原因 ， 研究国际贸易是非常重要的，但是也就是近三四十年，贸易理论才有了对内因性资金累计的系统处理，或者是在国际经济学内容上的技术变革。 伊顿（ 1987）提出了一个动态 的 两 个 部门，三个 要素的 国际贸易模式。该模型的动态规范 以 萨缪尔森的（ 1958）重叠一代的模型 为根据的 。由伊顿提议的 在每个 时间 T 点的动态模式与 琼斯（ 1971），萨缪尔森（ 1971）和穆萨（ 1974）在静态环境中检验的三个要素两种产品的模式是相同的。 该模型试图 扩大 H-O理论 到包括生产要素，作为 内生变量。在 该模式中， 土地和资金 不
46、单单 作为生产要素， 同时也 是个人 用来转化 从工作到退休期间 得到的 收入 的 资产。该模型说明 ，在贸易 条件 和固定 生产 要素 上 的变化并不一定 要 对生产要素价格和产出结构上产生与在静态框架中 相同的影响 。 从 固定要素模型中得出的有关 商品价格 和 要素价格 ， 要素禀赋 和 要素报酬 ， 要素禀赋和 生产模式 的关系的结果在动态模型中不被认可 。例如，一种商品的相对价格 的 永久 涨价并不一定要针对产业生产其他产品而降低要素稳定的收入。 它可能是真实地说，国际贸易纯理论的大部分来自李嘉图的原则出现了。拟由穆勒，马歇尔和埃奇沃斯问题的进一步发展仍然主要由 Ricardo 内设
47、置的界限。自那时以来，曾有过非常重视对贸易条件的框架内，许多商品，国家和工程因素相互的需求，各种形式的干预重点的决心。正如芬德利（ 1984），一个主题，几乎完全是从国际贸易纯理论没有提到的任何与经济增长和国际贸易在经济理论的古典文学方面的考虑。几乎 所有贸易 20 世纪 60 年代开发的模型前，在这个意义上是静态的生产要素的供应，并给出不随时间的推移，经典李嘉图比较优势理论和赫克歇尔一俄林理论是静态的，因为劳动力和资本存量（或土地）被认为是由于随着时间的推移不断。虽然马歇尔认为，重要的是要学习国际贸易，以便决定的原因，其中包括国家的经济进步明显，它只有在过去三，四十年来，贸易理论取得了一些资
48、本积累的内源性系统性治疗在国际经济环境或技术变革。 伊顿（ 1987）提出了一个动态两部门，有三个因素对国际贸易模式。该模型的动态规范是根据萨缪尔森的（ 1958）重叠一代的模 型。在每个由伊顿提议的时间 T 点的动态模型是相同的三要素，两种商品模型研究了在静态上下文琼斯（ 1971），萨缪尔森（ 1971）和穆萨（ 1974）。该模型试图 扩展了 H-O 理论，包括作为内生变量的生产要素。在此模型的土地和资金服务，不仅作为生产要素，而且是个人使用的资产转让，从工作到退休期间的收入。该模型表明，在贸易和在固定要素的禀赋条件的变化并不一定对生产要素价格和产出的构成相同的影响，因为他们在做一个静态的框架。从约之间的商品价格和要素价格，要素禀赋和要素报酬和要素禀赋和生产关系的具体模式，因素模型得到了一些结果不举行的动力学模型。例如，在一种商品的相对价格永久性地增加并不一定降低的因素具体到工业生产的其他商品稳定状态的收入。
