植入“行为规范”的集体行动可能:一个理论分析框架

The Possibility of Incorporating Behavior Norms into Collective Action:a Theoretical Framework

本文围绕共享资源治理的集体行动情景,尝试构建纳入行为规范的效用函数,对行为规范如何影响集体行动进行了分析,以解释现实中新古典或社会偏好(结果分配偏好)所不能解释的"非理性"行为。当事人因偏离规范导致的负效用(心理成本)与物质收益一道决定其最优行为,进而影响合作均衡,并且因目睹规范偏离而愤怒,促使其实施非物质惩罚,有利于行为规范的维系,并探讨相关因素的边际影响。最后,应用该模型可以较好地解释现实中较大小区集体行动中划分业主小组的必要性,并提供了一个案例说明。纳入行为规范的效用框架,有益于优化机制设计,避免效率的无谓损失。

Based on the collective action scenarios of Common Pool Resuore,this article attempts to construct a utility function that incorporates behavior norms for analyzing how behavior norms affect collective action,which can explain the irrational phenomenon can not be interpreted by the theory of Neo-classical or Social Preference.The negative effect（psychological cost）caused by the deviations from the norms determines the optimal behavior together with the material benefits of involved parties,which affects the equilibrium of cooperation.Then we explore the marginal impact of relevant factors.Furthermore,witnessing the deviaion of others makes the agent anger and impels her to impose immaterial sanctions,which is conductive to the maintenance of the behavior norms.Finaly,the application of the model can better explain the difficult of collective acion in large groups and the necessity of dividing small owners group.Based on this,this aritcle provides a case study to test theory.The utility framework incorporating behavior norms is conductive to optimize the mechanism design and to avoid the unnecessary loss of efficiency.