【作者】 李纪宁；

【导师】 刘则渊；

【作者基本信息】 东北大学 ， 科学技术哲学， 2008， 博士

【摘要】 随着经济全球化和贸易自由化的进展,技术性贸易壁垒(Technical Barriers to Trade, TBT)已成为当代经济社会发展中的重要问题。作为利用技术手段实现社会目标的产物,作为技术的社会现象,技术性贸易壁垒是典型的科技与社会(STS)研究需要关注的重要问题。本文在STS的视域下考察TBT,探讨TBT的发生、本质、以及全球治理问题。通过揭示技术性贸易壁垒的本质,剖析技术性贸易壁垒的双重功能和形成的社会建构过程,进而探讨基于技术社会建构论的全球治理的目标和机制。第二章在对技术性贸易壁垒的历史演变与特征进行剖析的基础上,从国际贸易活动的“主体-客体-主体”关系,揭示了技术性贸易壁垒的“社会一技术”本质。技术性贸易壁垒的主体是社会的,是由国家政府等社会主体制定并在主体之间发挥作用,而客体是技术的,它作用于具有技术含量的商品和工艺。技术性贸易壁垒的目标是社会的,是为了维护国家安全、保护人类健康和安全、保护动植物生命、保护环境等,而结果是技术的,它导致产品性能或工艺过程的改进。技术性贸易壁垒的内容是社会的,技术法规和标准等的内容是根据社会目标和风险水平确立的,而手段是技术的,它是对技术进行的规定。社会因素与技术因素在技术性贸易壁垒中相互渗透,联为一体。第三章探讨了技术性贸易壁垒的双重功能。技术性贸易壁垒具有社会属性和技术属性两种属性,在功能上具有积极性和消极性。在技术功能方面,技术性贸易壁垒对技术法规和标准的推行,有利于促进先进技术在全球的扩散,但同时也会导致各国必须采取某些国家的技术标准,形成技术垄断,阻碍技术进步。在社会功能方面,技术性贸易壁垒可以促进国际贸易结构的高级化,有利于社会进步,有助于环境、健康等社会目标的实现,并具有利于促进国际贸易的一面,但同时又会维系现阶段不平等的国际经济秩序,损害国际社会的公平,成为一些国家变相实施贸易保护主义的工具。第四章对技术性贸易壁垒进行了技术的社会建构论分析。STS理论以及技术的社会建构论认为,任何技术活动、技术行为乃至技术产品,并非纯技术性的活动,而是一种社会现象与社会行为,是社会主体依其社会目的进行社会建构的结果。技术性贸易壁垒也不例外。通过剖析技术性贸易壁垒的社会建构过程,揭示了国家政府、产业界、国际组织和专业机构在技术性贸易壁垒的社会建构中分别承担主导者、参与者、协调者、技术支撑着的角色。并通过案例剖析,揭示了技术性贸易壁垒从壁垒提出,经过冲突与协商,到合法化的社会建构过程。通过对WTO争端解决机构处理的第一起完整的案件——美国限制汽油进口案的剖析,揭示了技术性贸易壁垒从壁垒提出,经过冲突与协商,到合法化的社会建构过程。第五章对技术性贸易壁垒的全球治理机制进行探讨,对现有机制进行了评述,较为深入地剖析了技术性贸易壁垒中全球主义与国家主义、工具理性与价值理性两对冲突,揭示了国家政府、产业界和国际组织之间的博弈导致治理困境；由此,提出了基于社会建构的多方参与的技术性贸易壁垒的全球治理措施,构筑相对公平合理的全球技术性贸易壁垒体系。更多还原

【Abstract】 With the development of economic globalization and trade liberalization, technical barrier to trade (TBT) has become the important issue of economic and social development. As the product of using technical means to achieve social objectives, technical barrier to trade is a typical problem which science technology and society (STS) should study. In the view of STS,the author analyzes the formation, nature, and global governance of technical barrier to trade (TBT).Based on revealing the nature of TBT, to analyze the dual function and the social construction process of TBT, and explore the objectives and mechanism of global governance based on social construction of technology.In chapter 2,Drawing from the "object-subject-object"relations in international trade, the author reveals the "social-technical" nature of technical barrier to trade(TBT),which is the socio-technical ensembles, on the basis of analyzing historical evolution and characteristics of technical barrier to trade (TBT).Technical barrier to trade(TBT) is established by social main body, such as State Government etc, but TBT acts on goods which contain techniques and technical process.The goal of TBT is to safeguard national security, to protect human health and safety and to protect the life of animals and plants, however, TBS results a kind of technical consequence which leads to the improvement of product performance and technical process.TBT has social content, because the technical code and standard are established according to the social objectives and risk level,but it also has technical means which are the requirements for technology. The social factors and technical actors in the TBT are mutual penetration and united as one.Chapter 3 discusses the double function of TBT. TBT has social and technical attributes,and has positive and negative effects.In the aspect of technical function, TBT’s implementation to technical codes and standards will promote the global proliferation of advanced technology, but at the same time, it will lead to countries taking the technical standards of certain countries and form technological monopoly. In the aspect of social function, TBT can promote social progress, contribute to the environment, health and social goal realization and it is also conductive to promoting international trade.But it will also undermine social fairness and become tools of some countries implementing a disguised form of trade protectionism.Chapter 4 focuses on the social—construction process of TBT according to case analysis.According to Social construction of technology, all technical activities and artifacts are not pure technical but social phenomena and activities, which are the ends of the construction of goal-seeking actors.Government, industry, international organizations and professional bodies in the social construction of TBT play a role of leader, participant, coordinator and technical supporter. Through the analysis of the first integrative case dealt with by WTO dispute settlement body----the United States restricted the gasoline importing.The author reveals the social construction process, from the appearance of barrier, conflict and consultation to legalization.Chapter 5 talks about the global governance mechanism of TBT, review the existing mechanism and analyze double conflict in TBT:one is globalism and nationalism, the other is reason of tool and reason of value.So the paper points out the governance plight resulted by the conflicts among State Government, industry and international organization. It puts forward the positive function-based principles and social construction-based mechanism, and argues to build a global TBT system which is fair and reasonable.更多还原