心理科学进展, 2018, 26(12): 2249-2259 doi: 10.3724/SP.J.1042.2018.02249

研究前沿

从“理性人”到“行为人”:公共政策研究的行为科学转向

吕小康1, 武迪1, 隋晓阳1, 汪新建1, 程婕婷,2

1. 南开大学周恩来政府管理学院社会心理学系, 天津 300350

2. 山东大学(威海)法学院社会工作系, 威海 264209

From rational man to behavioral man: The behavioral turn of public policy

LÜ Xiaokang1, WU Di1, SUI Xiaoyang1, WANG Xinjian1, CHENG Jieting,2

1. Department of Social Psychology, Nankai University, Tianjin 300350, China

2. Department of Social Work, Shandong University at Weihai, Weihai 264209, China

通讯作者: 程婕婷, E-mail: chengjieting@126.com

收稿日期: 2017-11-13   网络出版日期: 2018-12-15

基金资助: *中信改革发展研究基金会项目.  QA170901
山东省社会科学规划青年项目资助.  18DSHJ03

Received: 2017-11-13   Online: 2018-12-15

摘要

伴随着行为经济学对“理性人”假设的质疑以及决策心理学领域的证据积累, 公共政策研究愈加关注现实状态中的民众心理与行为规律。此类行为科学化的公共政策研究与实践注重以满意度、信任感等体现公共利益与主观体验的心理学指标来判断公共政策的执行情况, 并利用相应的心理效应与技术以提升公共管理质量、提高政策执行效率、促进社会公平与公正。借鉴英国的行为洞察团队、美国的社会与行为科学团队等实体机构的运作经验, 进一步明晰行为公共政策研究的学科内涵, 组建实体智库、并立足中国国情展开针对性研究, 是推进今后我国行为公共政策研究及其实践的可行方向。

关键词: 理性人 ; 行为人 ; 行为科学 ; 行为公共政策

Abstract

With the criticism by behavioral economics on the rational man assumption and the accumulation of empirical evidences in the field of judgement and decision making, public policy researchers increasingly paying closer attention to the exploration of psychological and behavioral mechanism of human being in real life. These studies tend to use psychological measures, such as satisfaction and trust indicators that embody public interests and subjective feelings, to assess the performance of public policy. Besides, relevant psychological effects and technologies are employed to improve quality and efficiency of public administration and foster social fairness and justice. It is recommended that studies of public policy in China should learn the experience of two matured organizations, which are Behavioral Insights Team in UK and Social and Behavioral Sciences Team in US, clarify the connotations of this discipline, establish think tanks, and conduct researches based on China’s actual conditions.

Keywords: rational man ; behavioral man ; behavioral science ; behavioral public policy

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本文引用格式

吕小康, 武迪, 隋晓阳, 汪新建, 程婕婷. (2018). 从“理性人”到“行为人”:公共政策研究的行为科学转向. 心理科学进展, 26(12), 2249-2259

LÜ Xiaokang, WU Di, SUI Xiaoyang, WANG Xinjian, CHENG Jieting. (2018). From rational man to behavioral man: The behavioral turn of public policy. Advances in Psychological Science, 26(12), 2249-2259

1 引言

长期从事行为决策研究的经济学家理查德·塞勒(Richard H. Thaler, 又译理查德·泰勒)因在行为经济学(behavioral economics)领域的突出贡献获得2017年诺贝尔经济学奖, 又一次引发了学界和大众对行为经济学和决策心理学的热议。塞勒一直以来都提倡将心理学知识应用于公共政策, 各国政府也不断实践着这方面的观点。2010年英国政府成立专门的助推机构行为洞察团队(Behavioral Insights Team, BIT), 其他国家包括澳大利亚、德国、新西兰和新加坡也紧随其后, 美国奥巴马政府也于2015年成立社会与行为科学团队(Social and Behavioral Sciences Team, SBST), 各国政府的助推机构在推动养老金储蓄政策的实施、提高美国大学入学率、节约能源和提高疫苗注射率等方面均取得了显著的成果(Benartzi et al., 2017; Thaler, 2015)。这些公共政策的设计与实施, 明显以采纳或借鉴心理学等行为科学的理论与实践成果为主要特点。

从已有学术界定上看, 公共政策是由政府机关和政府官员所制定的一个有目的的活动过程, 使一个或一批行动者为解决某一问题及其有关事物而展开这些活动(Anderson, 2003)。它通常是公共权力机关为解决某一公共问题而推出, 以调解社会冲突、平衡各方利益、增进公共利益为目的(Bennett & Vedder, 2015; Lee, 2012; Schmitt & Schulze, 2011; Shi, Tsai, & Kao, 2009), 从而改变、保持或者创造有益于人类福祉的生活环境(Shafir, 2013)。它包含“做什么”与“不做什么” (决策)、“怎么做” (执行)、“做得如何” (评估)等多个相互连贯的动态过程(戴伊, 2004; 豪利特, 拉米什, 2006)。当前, 公共政策的内涵界定无论是对全社会的价值进行权威性分配(伊斯顿, 1993), 还是对社会中各种利益进行选择与整合(陈庆云, 2011), 普遍选择客观物质作为体现价值与利益的载体, 加之, 社会治理所面临的教育、福利、医疗卫生、环境、交通等核心问题, 离不开经济成本与治理效益的权衡, 导致公共政策领域对经济理论具有高度依赖性。

不仅如此, 在公共政策研究领域, 以公共政策为自变量, 分析或测度政策结果, 是该领域广义上的主要研究类别之一, 通过引入大量的经济学概念, 帮助决策者更好的设计和选择政策(薛澜, 林泽梁, 2013)。另外, 从既有政策评估的重点看, 其核心评估方式考察表征各种物质利益的宏观经济社会指标是否有所提升, 如将收入增长、失业率下降、发病率降低等作为公共利益提升的操作化标准, 却很少考虑政策满意度、利益获得感、主观幸福感等主观化的指标。但是, 随着行为科学被逐渐引入经济学研究, 个体与群体的行为规律可以矫正经济模型解释社会现实与预测社会发展之间的偏差, 令行为因素同样成为公共政策研究领域亟待验证与引入的关注点之一。

事实上, 为了保证公共政策的实施效果, 公共政策的出台与执行始终离不开对该政策适用范围内的各群体和个体的心理状态与规律的准确把握。但是长期以来, 公共政策作为政治学、经济学、管理学、法学、社会学等学科的主要研究内容, 注重从宏观视角(国家或组织)探讨公共政策的必要性、合法性和执行效率, 依据理论研究所提出的现象阐释和解决对策, 难以进行实践的检验与运用(郑肯, 勉闻光, 2016), 即使研究者能够注意到心理状态与规律的影响, 却受制于宏观层面的方法所限, 无法合理探讨民众欢迎或抵触某一公共政策的心理机制等社会心理学层面的问题。其实, 心理学在学科性质、研究方法、研究问题和实践技术上均与社会治理的现实需求有本质上的契合(杨玉芳, 郭永玉, 2017), 加之, 社会治理的主体是人, 并以人为中心的社会事务作为治理对象, 实践过程实际上就是群体决策的心理活动(辛自强, 2018)。只是, 心理学自身对公共政策研究的参与度较低, 对如何应用心理学理论、方法与技术参与社会治理的探讨还处于起步阶段(杨玉芳, 郭永玉, 2017), 但随着Kahneman和Tversky以及Thaler等人以决策过程为联结点, 将宏观的经济与社会现象具体化为中微观的个体与群体行为规律, 解决了行为科学应用于公共政策研究的方法与技术方面的主要障碍。

显然, 所有政策的制定和执行, 以及广义的治理过程, 都无法脱离具体的人和他们构成的群体。一旦政策的制定和执行偏离了人类自身的心理诉求和文化传统, 无论这些政策的出发点如何完美, 都很难取得成功(斯科特, 2017)。因此, 在公共政策研究领域, 注重引入心理学等行为科学的立场、观点与技术是必要之举。尤其是侧重政策结果的研究, 本身便具有实践导向, 即在实践中检验政策效果, 更是需要个体或群体的行为规律及其数据信息, 以完成政策的制定和执行。事实上, 许多西方的公共政策研究者和心理学研究者已经注意到这一问题, 并开展了诸多政策实践和学术研究, 从而逐渐发展出“行为公共政策研究” (behavioral public policy study)这一全新的交叉学科领域。虽然目前行为公共政策研究还较少作为一个专业术语而被人重视, 但已经在经济学、政治学、公共管理和心理学等领域分散性地积聚了大量的学术研究和政策的实践性尝试。总结西方相关领域的学术成果与实践经验, 可为结合中国国情开展类似的相关研究和政策实践提供有益的借鉴。

2 行为公共政策研究的发展历程

2.1 从行为经济学到行为公共政策研究

行为公共政策研究的产生与当代社会科学对新古典经济学的“理性人” (rational man)假设的批评密切相关。约束条件下的最大化行为是理性人的典型决策形式, 但未经深思熟虑与不符合常理的个体决策行为屡见不鲜, 个体对最优选择和决策环境存在理解差异, 这动摇了“理性人”假设的根基(Hodgson, 2012)。实际上, “理性人”假设并非承认人是“理性人”, 而旨在为讨论人的行为提供一个共同的起点(张翔, 2015)。只是, 为避免经济学研究者陷入人性争论而设置的假设前提, 反倒成为制约经济理论解释实际问题的根本性障碍。

对此, 经济学领域逐渐出现“行为人” (behavioral man)替代“理性人”的探索, 研究者普遍关注能力和动机的综合作用, 既探讨个体是否拥有实现某类最优决策的能力, 又侧重亲社会性、公正、声誉等社会性动机对个体决策的影响(莫志宏, 申良平, 2014)。从Simon (1955, 1982, 1986)论证个体基本心理过程是制约理性最大化决策的因素, 到Kahneman和Tversky (1979)针对不确定情境中的决策行为提出预期理论(prospect theory), 逐渐开启学者探讨描述方式(Tversky & Kahneman, 1981)、情绪(Bell, 1982; Loomes & Sugden, 1982)、偏好(Beshears, Choi, Laibson, & Madrian, 2008; Congdon, Kling, & Mullainathan, 2009; Golman, Hagmann, & Loewenstein, 2017)、时间感知(Loewenstein, 1988; 刘扬, 孙彦, 2014)等各种行为本身及影响行为的因素对个体决策的作用, 呈现心理学探究个体决策机制的专业性。

前文提到, 公共政策研究领域对经济理论存在高度依赖性, 所以, “行为人”假设对经济学领域的影响, 同样延伸至公共政策研究领域。事实上, 社会生活普遍包含各类经济现象, 许多经济学者本是利用各种社会事实检验“行为人”假设, 却同时为公共政策研究领域引入行为因素的可能性和必要性提供了依据, 为公共政策研究实现行为科学转向奠定了研究基础。比如, 消费者行为难以被正统经济模型所预测(Thaler, 1980), 还有储蓄选择、教育发展、法律约束、成瘾物质控制、公共物品获取、薪酬变动、健康保障等围绕经济问题的现象(Diamond & Vartiainen, 2007), 既是行为经济学进行应用研究的主要对象, 也是社会治理所要解决的各类问题。对于这些问题, 心理学领域并非从未予以关注, 甚至早已对公共政策的制定过程、政策环境、政策概念、政策研究方法展开了研究, 只是略显晦涩的研究成果, 始终难以被其他学科以及社会公共领域所接受(Task Force on Psychology & Public Policy, American Psychological Assn, Board of Social & Ethical Responsibility for Psychology, Washington, DC., 1986)。

行为公共经济学(Behavioral Public Economics)是公共政策研究领域受“行为人”假设影响的重要方面, 得以解决政府依据新古典经济理论无法有效调节经济行为所引发社会问题的困境(朱国玮, 左阿琼, 2010)。比如, 政府干预成瘾行为、制定禁毒政策、监禁等治理方式, 可根据神经科学领域对成瘾行为的脑机制研究, 通过了解成瘾者的行为实现降低成本、提升政策实用性的效果(Eagleman, Correro, & Singh, 2010)。还有社会福利、储蓄行为、公共品供给、集体决策时的投票行为、财政领域的政策选择行为, 均需要大量的公共政策分析, 只是“理性人”假设无法解释这些公共品供给的自愿情形以及公共领域合作等问题(周业安, 王一子, 2017)。所以, 公共政策研究、经济学、行为公共经济学等领域的研究者从凸显经济特征的社会公共领域着手, 以社会治安、健康保健、医疗保险、税收为核心研究内容, 着重从丰富政策的实施方案、改进政策的预测过程、创新福利的内涵解读等方面, 更新对人类经济行为规律的归纳与预测, 以实现影响公共政策的制定和改变(Chetty, 2015)。与此同时, 这一趋势扩展至公共管理研究领域, 自1996年至2015年期间, 该领域顶级综合性学术期刊涉及心理学内容的论文发表量呈现显著增长趋势(Grimmelikhuijsen, Jilke, Olsen, & Tummers, 2017)。

综上所述, 在公共政策研究领域, 理性模型本来具有不可替代的重要地位(De Neufville, 1983; Alexander, 1984)。但是, 行为经济学以及行为公共经济学的出现, 动摇了“理性人”假设的根基, 进而影响公共政策研究的理论模型基础。21世纪伊始, Madrian和Shea (2001)Thaler和Benartzi (2004)提出改善养老储蓄的行为经济学策略, Thaler和Sunstein (2008)提出政府应以“自由主义的温和专制主义” (libertarian paternalism)助推个体做出符合自身利益的选择和行为, 逐渐开启了行为科学推动公共政策发展的序幕。随后, 以Congdon、Thaler、Madrian等人及其团队为主要研究者(Benartzi et al., 2017; Congdon & Shankar, 2015; Madrian, 2014; Thaler, 2015; Mullainathan, Schwartzstein, & Congdon, 2012), 将公共政策研究推向了行为领域的新方向。塞勒获得诺贝尔经济学奖, 更标志着主流经济学和学术界对这一研究领域的重视与期待, 行为公共政策研究有望获得进一步的发展。他所极力主张并实践着利用个体认知规律而引导其行为发生微妙变化的助推策略, 已被验证有利于某些政策的执行以及社会现状的改善(Thaler, 2015), 为公共政策研究的行为科学转向提供了强有力的经验证据。

公共政策研究的行为科学转向, 也离不开判断与决策心理学家的参与。判断与决策学会前主席Jonathan Baron将决策理论按照性质分为了三种类型: 规范性模型(normative model)、描述性模型(descriptive model)和指导性模型(prescriptive model) (巴伦, 2009)。李纾(2016)将这三种决策理论类型分别对应三种社会制度或经济体制。规范性理论是关于什么思维可以最佳地实现思考者的目标的理论, 对应的是社会主义制度下的计划经济; 描述性理论是关于人们通常如何思考的理论, 对应的是资本主义制度下的市场经济; 指导性理论是“指导”或陈述我们应当如何思考的简单模型, 对应的是中国特色社会主义制度下的指导性的市场经济。行为公共政策研究, 可以说是一种基于规范性模型与描述性模型研究的基础上, 面向实际应用的指导性模型。

遗憾的是, 虽然零星见于报刊短文或口头交流中, 至今仍未有学者特别明确将“行为公共政策”作为一种严格意义上的学术概念, 并将之作为一个细分的研究领域加以推进。因此本文中所提到的“行为公共政策”, 应理解为“涉及人们行为规律与特征的公共政策”, 而“行为公共政策研究”则是“具有行为科学特征的公共政策研究”, 暂取一种宽泛松散的含义加以理解。但是, 公共政策模型从完全理性向有限理性的转变, 已经成为公共政策研究领域的主要发展趋势之一(蒋励佳, 2012; 赵俊男, 2014)。

2.2 中国行为公共政策研究的发展态势

与国外学界的情况类似, 我国行为公共政策研究也较为分散, 但也已逐步体现出明显的以心理学知识与技术服务于公共政策和社会治理的责任担当, 并呈现出一定的学科自觉意识。相比于行为科学所涉及的其他学科, 心理学已经成为参与社会治理的先行军。近些年来, 我国重大自然灾害事件和突发性社会危机事件不断出现, 环境治理、贫困治理、社会心态治理等领域也方兴未艾, 在客观上为心理学家投身于公共政策研究提供了丰富的机遇和实践场所。此类研究主要集中于对环境风险的认知过程与心理应对、对公共政策的公平性认知与满意度考评等心理学内容, 并以此提出改善公共政策制定与实施的建议。

例如, 我国2002年底至2003年春爆发的严重呼吸系统综合症(SARS)传染病这一公共卫生危机事件, 促进了对疫情信息的风险评价的研究和社会心理预警指标的建设(时勘等, 2003); 2008年5月四川汶川突发8.0级地震, 研究者发现越接近震中的个体, 心理反而越平静, 由此发现并命名了“心理台风眼” (psychological typhoon eye), 即在时间维度上, 越接近高风险时段, 心理越平静; 在空间维度上, 越接近高风险地点, 心理越平静(Li et al., 2009; Li et al., 2010; 李纾等, 2009); 类似SARS传染病和汶川地震等危机, 促进了突发公共安全事件的风险沟通研究(谢晓非, 郑蕊, 2003; 梁哲等, 2008); 对颇有争议的二甲苯化工(PX)项目的环境危害性感知导致的环境抗争群体性事件以及污染型产业的选址与地域转移问题, 促进了学界对环境领域的邻避效应的研究(陈昌容, 周林意, 2017; 王娟, 刘细良, 黄胜波, 2014; 王佃利, 王玉龙, 于棋, 2017; 张婧飞, 2015)和社会许可(Social License to Operate, SLO)的研究(王建, 黄煦, 崔周全, 栗欣, 胡克, 2016; Zhang et al., 2015), 以及对出台环境公共政策前的民意调研与分析的相关研究(刘立波, 2015; 唐啸, 胡鞍钢, 杭承政, 2016; 林丽梅, 刘振滨, 杜焱强, 苏时鹏, 郑逸芳, 2017; 王丽丽, 张晓杰, 2016); 城镇化进程的不断加速, 通过对城市、城镇及农村居民的住地依恋研究, 促进研究者发现了城镇化进程中的“城镇位错效应” (town dislocation effect), 启示在城镇化进程的评估中, 要综合使用客观指标与主观指标, 注重加强城镇居民的社会支持网络建设(李纾, 刘欢, 郑蕊, 2017)。

又如, 当下空气污染的严峻形势, 促使学界关注雾霾治理过程中的公众参与, 与政府和企业形成治污权力的相关议题(吕小康, 王丛, 2017; 张君, 孙岩, 陈丹琳, 2017); 中国政府对反贫困和社会公正问题的高度重视, 也催生了“心理扶贫”策略、即从心理学视角出发研究贫困群体的生理、认知、情绪等因素并提出相应的扶贫策略的研究(艾娟, 2017; 曹艳春, 2017; 陈坚, 2017; 杭承政, 胡鞍钢, 2017; 吕小康, 汪新建, 付晓婷, 2014; 王昶, 王三秀, 2016; 吴胜涛, 张建新, 2007; 徐富明等, 2017); 关于社会心态及其治理对策的研究也受到学界和政府的充分重视, 在社会学和心理学领域产生了一系列的理论成果(吕小康, 2017; 吕小康, 朱振达, 2016; 吕小康, 张慧娟, 2017; 王俊秀, 2014a, 2014b, 2016, 2017; 周晓虹, 2014)和系列调研结果(王俊秀, 杨宜音, 2013, 2014, 2015; 王俊秀, 陈满琪, 2016), 并正积极转化为相应的政策建议, 而且展示出一定的成为中国特色社会心理学理论范式的潜质。同时, 其他学科的研究者也不断从交叉视角的角度重视风险认知与沟通、舆情传播与民意建构、专家话语与受众接受度的相关研究(汪新建, 张慧娟, 武迪, 吕小康, 2017; 王丽萍, 2017; 徐蓉, 2009), 使得公共政策的行为科学视角有了充分的跨学科传播基础。

所有这些研究, 无一不是受当下中国社会转型过程中重大利益的重新分配、社会阶层的分化与流动、城镇化推进与问题以及社会治理的国际化接轨与本土化创新等宏观社会背景驱动, 有着鲜明的应用研究导向和政策输出的公共知识诉求, 引进了一系列西方行为科学成果和技术, 提出了一系列有针对性的心理学效应。但相对而言, 还欠缺成熟的理论框架, 也没有形成实体化的政府智库或公共政策导向型的学术研究团体, 因此要成为一个特色鲜明的应用心理学领域还有待进一步的理论整合和实践探索。

3 行为公共政策研究的主题

行为公共政策研究的主旨主要包括如何更有效的达到政策目标、如何更有效地评估政策效果等方面, 同时也关注公共政策的社会正义特性。

3.1 控制政策设计与执行的成本

成本是众多公共政策制定与执行时所必须考虑的指标。利用个体或群体的心理与行为规律, 可以降低公共政策的投入成本, 或者增加政策的经济收益, 从而提升公共政策的执行效率。应注意的是, 这里所谓的“成本”并不仅仅是狭义的经济成本, 还涉及认知成本。这一主题在行为经济学的系列研究中体现得最为明显, 也产生了丰富的成果。

英国的行为洞察团队旨在提升公共服务的经济性和便利性, 通过提供适用于特定政策的人类行为模型以促进服务效果的产生, 并使群众能作出最有利于自身的决定(Behavioral Insights Team, 2017), 分析行为科学在具体政策制定与实施中的作用, 包括避免儿童救助申请的重复频率和盲目增加救助规模情形的出现(Service et al., 2014), 为家长、老师、学校领导提供教育行为引导(O’Reilly, Chande, Groot, Sanders, & Soon, 2017), 邮寄信件即可影响年轻人的大学申请行为(Sanders, Chande, & Selley, 2017)等。美国的社会与行为科学团队(SBST, 2015)主要关注各类政府服务项目在降低运营成本时的行为规律, 着重从行为科学视角解读群众面对政策时的决定和反应, 强调服务于群众的各类项目只有容易接触、理解和使用, 才能令群众认识到其中的益处(White House, 2015), 重点考虑政府决策和个体行为影响政策执行效率, 在保证项目按规章执行的同时, 依据行为规律节约实施成本, 甄别出政府更易提升执行效率的项目。

另外, 有研究利用框架效应, 用惩罚降低高收入比奖励表彰更能激发教师用心提升学生表现的动机(Jr Fryer, Levitt, List, & Sadoff, 2012); 有研究利用默认效应(default effect)减轻决策者的心理负担, 提供潜在保证的暗示, 仅通过更改默认选项这一简单操作, 将直接影响机构的捐款政策、消费者的决策、退休计划的制定(Dinner, Johnson, Goldstein, & Liu, 2011; Madrian, 2014)、促进穷人的储蓄行为(Bertrand, Mullainathan, & Shafir, 2004), 通过简化选项、降低认知成本, 可以达到增加参与度的目的, 简化选择项亦能促进个体参与健康计划的决策(Gennetian & Shafir, 2015; Bhargava, Loewenstein, & Sydnor, 2017)。而提升政策的经济收益的研究则多与经济、财政、税收政策有关。比如, 有研究发现更改缴税规范的通知信件无法改变提升纳税行为, 但包含社会规范和公共产品等信息的通知邮件却可以(Hallsworth, List, Metcalfe, & Vlaev, 2017); 简化支付链接网址可提升医疗保险的在线还款率(SBST, 2015)等。

3.2 提升政策效果中的社会效益

当然, 也有些公共政策研究的主要目标并不在于提高经济效益, 而在于提升社会效益。同时, 经济利益的投入与产出也不是公共政策研究所关注与评估的唯一可操作性指标和方式。这方面行为公共政策研究同样有用武之地。美国的社会与行为科学团队为促进人们参与退休保障金计划、提升大学入学率、增加工人就业和小型企业创收的机会、推动人们完成健康保险的投保过程等直接改善人们参与项目的状态, 探索行为规律以促进社会效益的政策设计与实施方案。比如, 通过对比呈现清洁与非清洁能源的选项提升消费者对可再生资源的选择率, 以简化温室气体的年度报表形式增强社会大众对环境变化的理解, 均增强了相应政策的影响力(SBST, 2016)。英国的行为洞察团队试图分析降低卡路里摄入的政策实施与人们体重增加之间的矛盾现象(Harper & Hallsworth, 2016)。

还有, 一些研究利用社会比较(social comparison)效应, 把某家庭收到的水电煤气等能源消耗量与其邻居的相关信息进行对比, 可降低能源耗用量(Allcott, 2011); 为司机提供与其身份相似或驾驶高级轿车者的交通行为, 可以有效减少司机的交通违反行为(Chen, Lu, & Zhang, 2017); 向家庭提供简要的大学申请信息和帮助, 可提升其子女的大学入学率(Bettinger, Long, Oreopoulos, & Sanbonmatsu, 2012); 政府透明度可以提升低知识水平被试对政府的信任度, 但高知识水平被试对政府的信任程度却不受其透明度的影响(Grimmelikhuijsen & Meijer, 2014), 这说明对政府的信任既与政策的内容有关, 也与受众群体的特质有关, 如何以及何时推出相关政策, 需要更为精准的考量; 医疗服务的框架效应会显著影响被试的满意度(Olsen, 2015), 这提醒政府或组织在描述其所提供的公共服务时应谨慎使用相应的叙述框架。

3.3 促进社会公平与正义

此外, 公共政策是对抗社会不公、提升社会正义的重要工具。在推出这些政策时, 若正确地利用心理学知识, 有助于降低偏见、歧视、污名、刻板印象, 从而促进社会的公平公正。如果说前面的行为公共政策研究主要运用认知心理学的策略, 这一部分的公共政策研究则更多依赖社会心理学的研究成果。

改善群体接触状态和丰富信息获取途径, 是行为公共政策研究为提升社会公正感所普遍采取的干预措施。行为公共政策研究强调偏见源自个体对社会环境的特定认知, 并非无知、仇恨等个体意识或情感所致, 从而并不注重改变个体认知以影响偏见现象的干预路径, 而是从个体日常生活的一举一动中总结偏见影响个人社会判断和行为的规律, 期望通过制定公共政策以避免偏见侵害社会利益与破坏社会公平。例如, Graham和Lowery (2004)发现警察若接触与黑人有关的刻板印象词汇, 将明显增强对青少年盗窃或者暴力行为的有罪认定; 增加医患之间的接触时间和要求医务人员增加跨文化教育培训, 可以帮助各类病患获得平等的治疗待遇(Shelton, Richeson, & Dovido, 2013); 不同种族的大学生随机住在同一寝室, 可明显改变成员对外群体的偏见态度(Shook & Fazio, 2008; Van Laar, Levin, Sinclair, & Sidanius, 2005); 向学生讲解刻板印象威胁现象的原理, 可有效缓解这种偏见效应(Johns, Schmader, & Martens, 2005)等等。当然, 面对偏见与歧视等现象的复杂性, 心理学等行为科学尚处于探索其本质的研究阶段, 诸多心理与行为层面的干预策略普遍处于干预效果和生态效度有待提升的境地(杨廙, 胡金生, 2013), 即使提出向偏见者提供一对一的专业性意见、学校和社区采取干预措施、利用大众媒体的宣传功能、提升政治觉悟和意识等不同层面的改善措施(Guerin, 2005), 也是成效微弱且效能的持久性较差, 因此这一方面的规律仍有待总结和提升。

4 总结与展望

行为科学视角下公共政策研究之所以能够获得流行, 与其所使用的方法密不可分。行为科学擅长开展实验研究, 将各类公共政策现象以及参与者作为研究对象, 用被试的实际表现及其变化证实具体的行为规律, 体现科学的精细化、控制化的特征, 恰好满足当前社会治理更加注重细节和人性化效果(陆志孟, 于立平, 2014)的需要。传统实验室研究的外部推广效度一直广受批评, 为此, 行为科学也常采用现场实验(field study)的方式加以弥补。纵览行为经济学以及行为公共政策研究, 普遍以实验室研究结论为前提, 再运用实地研究验证真实环境中的表现, 缩减实验环境与真实环境之间的差距, 从而为公共政策研究提供经得住实践检验的实证支撑。在积累起精细化和确定性经验证据后, 行为科学研究者就有了更充分的信心去质疑传统“理性人”这一古典经济学的核心假设, 并能够获得更为广泛的支持。

行为公共政策研究受到欢迎的第二个原因在于其与生俱来的跨学科性。公共政策研究本身涉及法学、政治学、经济学、社会学、管理学等社会科学类学科, 同时像环境污染、公共卫生、信息安全等领域又同具体的化工、医药、网络等自然科学与工程技术类学科密不可分。心理学犹如一个催化剂, 在不同学科、不同背景之间起到粘合助推的作用。一旦某种心理学技术能够顺利应用于公共政策的制定、执行或评估, 就很容易在该政策涉及的多学科、多领域造成广泛的影响力。从这个意义上讲, 这是向政策制定者和民众推广心理学知识的最佳途径之一。

虽然行为科学研究已经涉猎各类公共政策研究领域, 呈现出蓬勃发展的研究态势, 但也暴露了研究主题过于分散、研究内容缺乏整合、研究结果存在矛盾、研究结论难以推广等问题。本质上讲, 这正是人类行为的多样化导致行为规律的总结与运用可能随时面临无法解释的现实情境。其实, 早在2005年, 多学科领域的行为科学家在分析行为科学对政策制定者的影响时, 曾提出三个有待解决的问题: (1)明确具体的研究分支和领域; (2)确定政策研究的可行性方向; (3)探索使研究结果有效影响政策制定者的途径(Amir et al., 2005)。这三点仍是目前行为公共政策研究所需面对和解决的。同时, 鉴于国内类似研究积淀较浅、实体机构较少且国内的公共管理实践有别于西方社会等现实, 我国的相关研究还需要特别注意立足中国国情而开展。为此, 本文拟从学术和实践层面提出如下三点应对思路。

第一, 进一步明确“行为公共政策”及“行为公共政策研究”的学术内涵, 提供一个有着相对清晰但又具有一定包容性的界定, 成为能够为主流学界认可的学术术语和学科领域。由于公共政策研究涉及的领域众多, 不同领域涉及的专业知识也各不相同, 因此, 就具体的研究导向而言, 仍宜根据各个国家与政府的发展规划和具体的社会需求, 以亟待解决的现实问题为切入点, 针对不同公共政策研究领域选取短期的研究主题和内容, 深度积累相关的政策研究成果。在此基础之上, 逐渐积累公共政策研究视角下的行为规律现象, 再确定长期的研究目标和研究价值, 同时提炼行为公共政策研究的核心框架和实践体系, 支持公共政策科学研究从“理性人”到“行为人”的根本性转向。同时, 行为公共政策研究不仅需要从事大量有别于传统政策研究的工作, 还要主动阐明研究结果与政策内涵的关系, 以减轻政策制定者的理解负担, 为公共权力部门采纳政策建议创造更为轻松的认知氛围, 从而增加自身结果为他人采纳的可能性。

第二, 组建不同领域的行为公共政策研究的实体性智库, 拓展行为科学家的参政建言渠道。公共政策研究具有天然的跨学科特色, 专家话语首先需要在专业群体中获得共鸣, 才能形成强有力的传播效应。目前, 国内带有明显心理学等行为科学特色的智库尚不多见, 尤其涉及心理学领域时, 心理学家更多地作为团队一员而非主导者参与智库建设与建言行为。这与传统心理学更加重视实验室研究和基础研究的导向有关。为更有效地进行知识输出与社会服务, 心理学家应更加积极地参与政策制定、执行、评估的全过程, 培养一批既有坚实学术基础、又有政府实践经验的高端政策人才, 为当代国家治理提供更为重要的智力支持, 从而也为行为科学争取更多的行政资源与更广阔的实践空间。

第三, 立足中国国情开展行为公共政策研究。公共政策的推出首先涉及一个国家的政治体制和权力运作方式。应该看到, 西方行为经济学和公共政策研究的所有理论与实践, 都离不开其所依存的政治体制与民主传统。不顾中国现实照搬其经验, 本身就是最不符合“行为人”假设的行为。中国社会转型中面临的治理问题, 既有与国际经验相近的一面, 也有突显自身特色、无法找到既有模板的一面。有些社会问题可能与西方历史发展中的类似进程较为接近, 比如环境污染问题、网络技术风险问题、公共卫生问题等; 有些问题则明显带有中国社会的浓厚印记, 比如医患关系问题、信访上诉问题、拆迁征地问题等。因此, 不能简单地认为某种行为技术已经成功应用于西方某项公共政策的制定与实施, 就主张将其直接应用于中国实践, 仍应考虑中国社会的实情与中国人的心理特征加以改善和调整。但也正因中国国情的特殊性, 中国社会的转型为行为公共政策研究提供了一个其他国家难以遇见的实验场。在这实验场中锻炼塑造的行为技术, 将为公共政策研究的学科发展注入明显的中国元素和中国经验, 当然这还有待于国内学者的进一步探索。

The authors have declared that no competing interests exist.
作者已声明无竞争性利益关系。

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老年精准扶贫对于当今我国应对扶贫、脱贫及老龄问题都具有特殊的意义。从整体上看,目前的扶贫方式、主体性取向及政策设计与老年精准扶贫的特殊需求存在脱节,使老年精准扶贫面临一定现实困境。积极老龄化政策理念为应对这一困境在理论研究和政策设计上提供了新的视野和思路,包括将老年人扶贫需求的精细识别与分层应对作为老年精准扶贫的策略框架,将促进老年人的主体性参与作为老年精准扶贫的关键路径,同时重构相关制度为老年精准扶贫提供根本的制度保障。

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从“邻避管控”到“邻避治理”: 中国邻避问题治理路径转型

中国行政管理, ( 5), 119-125.

URL     [本文引用: 1]

当前国内愈演愈烈的邻避困境背后,是地方管理者固守的“邻避管控”传统思维,将邻避看作社会发展的负面现象,采用自上而下的“灭火式”管理方式.伴随当今城市转向内涵式发展,公共设施建设引发的邻避现象将成为现代城市治理的常态问题.基于“增长联盟——社群联盟”的分析视角,本文认为,邻避现象实际上是增长联盟和社群联盟基于各自的利益诉求,从邻避设施建设、心理效应形成、利益诉求表达、决策参与到集体行动等阶段展开的互动博弈.要化解邻避困境,必须实现向“邻避治理”的转型,遵循现代治理理念,完善多元主体平等协商机制,构建公平正义的邻避问题处理机制,实现邻避设施建设中风险与收益、整体与局部的均衡协调发展.

王建, 黄煦, 崔周全, 栗欣, 胡克 . ( 2016)

矿业领域社会许可的产生与意义

中国矿业, 25( 6), 30-34.

URL     [本文引用: 1]

社会许可(Social License to Operate-SLO)是指企业与当地社区共同参与项目实施全过程中重大问题的决策,并就项目开发所涉及的相关问题达成一致意见,最终由当地社区赋予或确认企业从事项目开发的社会资格或社会权利的一种社会行为.本文论述了社会许可的定义、内涵以及在矿业领域社会许可的表现形式和意义,认为在我国矿业领域推行社会许可是十分必要的:它不仅是促进我国绿色矿山建设的有力手段,而且会对我国矿业的健康发展将起到积极的推动作用.

王娟, 刘细良, 黄胜波 . ( 2014).

中国式邻避运动: 特征、演进逻辑与形成机理

当代教育理论与实践, 6( 10), 182-186.

URL     [本文引用: 1]

当前我国城市化进程不断加快,大量公共基础设施的建设势在必行。由于社会意识形态发生变化,政府在一定程度上仍采取封闭式决策模式,公众的切身利益就会受到侵蚀,在利益诉求渠道不畅的情况下,受邻避情结的影响,极易引发邻避运动。分析中国式邻避运动的显著特征与演进逻辑,运用负外部性、集体行动逻辑等理论从社会意识形态、政治、经济、制度以及心理5个层面对我国邻避运动的多元形成机理进行深入探析,以期对中国式邻避运动的缓解与治理提供借鉴。

王俊秀 . ( 2014 a).

社会心态: 转型社会的社会心理研究,

社会学研究, ( 1), 104-124.

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在社会大转型的背景下,中国社会心理学应该关注社会转型下的现实问题,而研究转型社会的心理问题,应该采取宏观的社会心态的研究范式。本文分析了当前社会心态研究特点和社会心态对转型社会研究的现状和存在的问题,梳理了社会心态研究可以借鉴的历史学、社会学和心理学遗产;在此基础上,提出了转型社会的社会心态研究范式,分析了社会心态的分析水平和学科边界扩展问题,提出了社会心态的结构和测量方法。作者进一步提出,社会转型本身也是社会心态研究的核心对象,社会心态研究是一种社会发展研究的学科方向。

王俊秀 . ( 2014b).

社会心态理论: 一种宏观社会心理学范式

北京: 社会科学文献出版社.

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王俊秀 . ( 2016).

社会心态中的风险和不确定性分析

江苏社会科学, ( 1), 15-21.

URL     [本文引用: 1]

通过总结近年来社会心态的研究,本文从风险社会的角度分析了当前社会心态中存在的风险和不确定性。包括人口流动、社会流动、社会不公平、社会情绪和社会价值观中的风险和不确定性。加强对这些不确定性的分析,将有助于认识和理解社会心态中的风险,从而才可能找到规避和化解社会心态的措施和策略。这也是社会学研究责无旁贷的责任。

王俊秀 . ( 2017).

中国社会心态研究30年: 回顾与展望

郑州大学学报(哲学社会科学版), 50( 4), 10-16.

URL     [本文引用: 1]

1986年中国的社会心态研究开始出现,到2016年经历了三个阶段:第一个阶段是从1986年到1995年的起步阶段,第二个阶段是从1996年到2005年的积累阶段,第三个阶段是从2006年开始至今的崛起阶段。经过30年的发展,社会心态的研究范式基本形成,社会心态定位于转型社会下社会心理的宏观研究。社会心态的基本理论资源来自经典社会学、社会心理学以及当代的社会表征理论、社会认同理论和共享现实理论等。目前社会心态的概念和结构具有一定共识,但对于结构和机制的探讨还远未完成。未来社会心态的研究走向将以当下的社会治理为研究对象,在学科发展上将从关注社会转型到关注社会发展,也就是迈向一种发展的社会心理学。

王俊秀, 陈满琪 . ( 2016).

中国社会心态研究报告(2016)

北京: 社会科学文献出版社.

[本文引用: 1]

王俊秀, 杨宜音 . (2013).

中国社会心态研究报告 (2012~2013)

北京: 社会科学文献出版社.

[本文引用: 1]

王俊秀, 杨宜音 . ( 2014).

中国社会心态研究报告(2014)

北京: 社会科学文献出版社.

王俊秀, 杨宜音 . ( 2015).

中国社会心态研究报告( 2015)

北京: 社会科学文献出版社.

[本文引用: 1]

王丽丽, 张晓杰 . ( 2016).

公民环境信访行为影响因素的实证分析——基于规范激活理论

中国环境管理, 8( 6), 81-85.

URL     [本文引用: 1]

环境信访是中国公民环境利益表达的重要途径,也是其参与环境治理的重要通道,引导公民有序进行环境信访对于加强生态文明建设、深化环境治理、维护社会稳定具有重要意义。本研究从环境信访的参与主体——公民入手,基于社会心理学中规范激活理论的连续模型,构建了公民环境信访影响因素的理论模型,并运用AMOS20.0对S市9个行政区500位市民的问卷调研结果进行实证分析,探究公民环境信访行为的社会心理影响因素。研究结果表明:规范激活理论的连续模型能够较好地解释中国公民的环境信访行为,其中环境信访结果认知正向影响环境信访责任归属,公民的个体规范需要通过责任归属得以激活,从而影响公民环境信访行为意向。因此,政府可以通过环保知识的宣传教育和完善环境信访相关法律法规来提升公民环保意识和环境信访责任归属感,同时可以通过环保政策法规的宣传、畅通环境信访渠道以及对公民环境信访行为的有效处理来促进公民对环境信访行为积极意义的认知,从而推动公民有序进行环境信访。

王丽萍 . ( 2017).

认知民意: 政治学学科触角下的社会皮肤

天津社会科学, ( 2), 66-76.

URL     [本文引用: 1]

民意(公众意见)是政治学、社会学、传播学和心理学等诸多学科共同关注的问题,但不同学科都有各自的学科研究兴趣、目标以及不同的研究方式。在传统政治学研究中,对民意的关注和研究是一个重要传统,其中民意被视为民主理论的起点和基石。现代政治学中的民意研究已由政治学的传统研究主题发展为一个独立的研究领域,并在被作为规范研究主题的同时获得了经验研究的重要特征。其中,民意的多元化界定及民意的分布等构成了最为核心的问题领域。在今天可以被概括为“民意至上”的民粹主义社会氛围中,民意的力量以及民意对政府及其决策的影响都达到了最高点,民意应被置于政治学的学科透镜下得到更为全面和客观的检视,在治理理性的观照下实现其政治与社会资源价值。

吴胜涛, 张建新 . ( 2007).

贫困与反贫困: 心理学的研究

心理科学进展, 15( 6), 987-992.

URL     [本文引用: 1]

局部繁荣下的贫困问题已成为当今世界面临的最大挑战,理解贫困以及与贫困有关的心理模型和决策过程、并促进人类的幸福与公正,是心理学家的一项重要使命。文章旨在阐明心理学在理解贫困和减贫工作中的角色,并对贫困心理学的研究思路、贫困归因的测量方法及其影响因素作一介绍。最后,在总结成就与问题的基础上,建议未来的贫困心理学应对特殊的目标群体做更多关注,并发展更可靠的测量方法,挖掘更多影响贫困心理的人格、社会因素。

徐富明, 张慧, 马红宇, 邓颖, 史燕伟, 李欧 . ( 2017).

贫困问题: 基于心理学的视角

心理科学进展, 25( 8), 1431-1440.

[本文引用: 1]

徐蓉 . ( 2009).

群体性事件治理中的社会心理建设

探索与争鸣, 1( 11), 53-55.

URL     [本文引用: 1]

群体性事件中的群体之所以形成,有其客观的事件基础,也有组成群体之个体的心理特性使然。加强和推进社会的心理建设,是预防、抑制以及治理群体性事件的重要社会方略。

谢晓非, 郑蕊 . ( 2003).

风险沟通与公众理性

心理科学进展, 11( 4), 375-381.

URL     [本文引用: 1]

The panic induced by the sudden risk events is much more harmful than the risk events themselves. When risk events come, the extent of public rationality is an important foundation to cope with crisis. This article proposes the concept of public rationality, explains definition and its construct, and influence factors. Taking SARS as an example, this article also analysis the nature and characteristics of risk communization, and the possible ways and related conditions for risk communication to influence public rationality. This article provides the theory foundation to make an inclusion on SARS risk crisis, to study the psychological system in coping with risk events in order to promote the research and practice in risk communication field.

辛自强 . ( 2018).

社会治理中的心理学问题

心理科学进展, 26( 1), 1-13.

[本文引用: 1]

薛澜, 林泽梁 . ( 2013).

公共政策过程的三种视角及其对中国政策研究的启示

中国行政管理, 335( 5), 41-46.

URL     [本文引用: 1]

近年来中国公共政策形成过程受到各方高度关注.相关研究文献也很多.本文在系统梳理国内外解释政府决策理论的基础上,将其分为三种视角,分别是“利益权力视角”、“理性学习视角”和“理念视角”.这三种竞争性视角都为观察政府决策提供了具有洞察力的理论透镜.文章进一步考察了它们在中国研究中的应用,发现前两种视角已经普遍被吸收到解释中国政府决策的研究中,而相比之下基于理念视角的分析则少之又少.这也使得政治文化、意识形态、政策理念等对决策产生深刻影响的因素并没有得到足够的重视.同时,政治权威作为意识形态等理念的操控者,其在决策过程中的显著作用也没有得到足够的阐释.

杨廙, 胡金生 . ( 2013).

内隐种族偏见的干预策略

心理科学进展, 21( 11), 2064-2072.

URL     [本文引用: 1]

Implicit prejudice is often distinct from explicit prejudice when social norms are at work. With the rise of the research on implicit cognition, researchers begin to inspect the implicit part of racial prejudice. Intervention strategies of implicit racial prejudice have become a hot topic of racial prejudice research. The intervention strategies that reduce prejudice formation include evaluative conditioning, attribution training, intergroup contact, boundary reconstruction and the guidance of moral conviction. The intervention strategies that reduce prejudice expressing include providing counter-stereotypical exemplars, interference of egalitarian goals, improving perspective taking ability, mimicry of the discriminated and inducing positive affect. In the future, the research on motivation to control prejudice needs to be enhanced. Efforts should be made to improve the effectiveness of implicit racial prejudice intervention and ecological validity of experimental paradigm need to be emphasized.

杨玉芳, 郭永玉 . ( 2017).

心理学在社会治理中的作用

中国科学院院刊, 32( 2), 107-116.

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伊斯顿 . ( 1993).

政治体系——政治学状况研究 (马清槐译), 北京: 商务印书馆

[本文引用: 1]

张婧飞 . ( 2015).

农村邻避型环境群体性事件发生机理及防治路径研究

中国农业大学学报(社会科学版), 32( 2), 35-40.

URL     [本文引用: 1]

当前我国农村地区已经成为邻避型环境群体性事件的易发地和多发地,该类群体性事件已经成为影响农村地区社会稳定的主要因素之一。准确界定农村邻避型环境群体性事件的特征,对于治理该类事件意义重大。农村邻避型环境群体性事件特征表现为:冲突焦点具有不确定性和主观性、环境风险更多地由农民承担、农民多使用暴力进行非理性抗争。农村邻避型环境群体性事件的发生机理表现为:利益相关者在风险认知上的冲突、部分农民环境权受侵害、“专断-压制”型管控模式的合法性困境。由此提出的防治路径包括:进行有效的风险沟通、设置形式多样的公民参与机制、构建“参与-回应”型社会治理模式。

张君, 孙岩, 陈丹琳 . ( 2017).

公众理解雾霾污染——海淀区居民对雾霾的感知调查

科学学研究, 35( 4), 491-499.

[本文引用: 1]

张翔 . ( 2015).

“假设的真实性”: 科斯与弗里德曼的“和而不同”之处——兼谈社会学研究中的“理性人”假设

社会学评论, 3( 6), 17-27.

URL     [本文引用: 1]

笔者认为科斯和弗里德曼两人对"假设真实性"问题认识的差异其实并没有那么大,甚至比他们自己认为的更小.弗里德曼对话的主要对象是列斯特,重点在于作为公理的基础假设是否应该是真实的.科斯对话的对象是"黑板经济学",交易费用是科斯解释企业存在的自变量.科斯讲的假设是关于自变量的假设,不是基础假设或关于无关变量的假设.所以科斯更强调关于自变量的假设应该是真实的,而弗里德曼则更强调关于基础假设以及无关变量的假设不一定必须是真实的.厘清上述问题有助于我们更好地讨论"理性人"假设在社会学中的适用性问题.

赵俊男 . ( 2014).

公共政策模型的比较与思考

党政干部学刊, ( 6), 71-74.

[本文引用: 1]

郑肯, 勉闻光 . ( 2016).

中国医患关系的人类学解读

医学与哲学, 37( 8), 60-62.

[本文引用: 1]

周晓虹 . ( 2014).

转型时代的社会心态与中国体验——兼与《社会心态: 转型社会的社会心理研究》一文商榷

社会学研究, ( 4), 1-23.

URL     [本文引用: 1]

社会心态是一定时期内弥散在整个社会或某些社会群体中的宏观、变动和突生的社会心理态势。本文讨论了社会心态的概念界定和学科谱系,梳理了这一研究领域在社会心理学中兴起、沉匿和复兴的历史背景;结合心理学和社会学的双重视角,分析了在社会转型的特定历史时期,社会心态借由群体表征和个体认同等心理过程的形成机制;倡导通过对社会心态的分析,建立具有中国特色的社会心理学的研究范式;呼吁通过对“中国体验”这一转型期中国人社会心态的研究,在精神层面赋予中国社会的转型以完整的价值和意义。

周业安, 王一子 . ( 2017).

正在转型的公共经济学——基于行为公共经济学视角的讨论

教学与研究, 51( 1), 73-81.

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新古典范式下的公共经济学存在理论缺陷,无法解释公共品自愿供给和公共领域合作等问题。经济学家通过采用实验经济学的研究方法对这些难题展开了大量研究,行为公共经济学由此兴起。本文将从公共品供给行为、公共选择和公共财政三个层面评述行为公共经济学的核心思想,并基于这个理论提供政策建议,以解决我国社会经济转型中公共领域存在的问题。

朱国玮, 左阿琼 . ( 2010).

行为公共经济学的研究范畴与进展

经济学动态, ( 5), 136-140.

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近年来,学者们开始意识到新古典主义范式研究的局限性,纷纷采纳心理学和神经学知识的行为模型来研究公共经济学中的前沿问题,行为公共经济学应运而生。本文重点论述了行为公共经济学兴起的背景、主要发展路径、研究范畴及未来研究展望等问题。

Alexander, E.R. ( 1984).

After rationality, What? A review of responses to paradigm breakdown

Journal of the American Planning Association, 50( 1), 62-69.

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Abstract Rationality is identified as the paradigm that dominated planning and related disciplines until the mid-1950s. Responses to paradigm breakdown include 'the ritual response', 'avoidance', 'abandonment', and search for a new paradigm. Each response is described and examined for its potential to yield a usable replacement. No such replacement appears imminent, but a contingent approach within the framework of a new meta-theory of decision making may offer the best prospects.-from Author

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Consumers' perceptions and misperceptions of energy costs

The American Economic Review, 101( 3), 98-104.

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This paper presents three initial stylized facts from the Vehicle Ownership and Alternatives Survey (VOAS), a nationally representative survey that elicits consumers' beliefs about gasoline prices and the relative energy costs of autos with different fuel economy ratings. First, American consumers devote little attention to fuel costs when purchasing autos. Second, consistent with a cognitive bias called "MPG Illusion," consumers underestimate the fuel cost differences between low-MPG vehicles and overestimate the differences between high-MPG vehicles. Third, Americans' mean and median expected future gas prices were above current prices and predictions of the futures market at the time of the survey. Although it is often argued that misperceived energy costs justify policies to encourage the sale of energy efficient durable goods, these results show that misperceptions and expectations that differ from market information could either increase or decrease energy efficiency.

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Psychology, behavioral economics, and public policy

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Economics has typically been the social science of choice to inform public policy and policymakers. In the current paper we contemplate the role behavioral science can play in enlightening policymakers. In particular, we provide some examples of research that has and can be used to inform policy, reflect on the kind of behavioral science that is important for policy, and approaches for convincing policy-makers to listen to behavioral scientists. We suggest that policymakers are unlikely to invest the time translating behavioral research into its policy implications, and researchers interested in influencing public policy must therefore invest substantial effort, and direct that effort differently than in standard research practices.

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Benartzi S., Beshears J., Milkman K. L., Sunstein C. R., Thaler R. H., Shankar M., … Galing S . ( 2017).

Should governments invest more in nudging?

Psychological Science, 28( 8), 1041-1055

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Governments are increasingly adopting behavioral science techniques for changing individual behavior in pursuit of policy objectives. The types of “nudge” inter

Bennett, D.L., &Vedder, R.K . ( 2015).

Public policy, higher education, and income inequality in the United States: Have we reached diminishing returns?

Social Philosophy and Policy, 31( 2), 252-280.

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DESCRIPTION Public policy designed to promote greater college enrollment rates has often been justified as a means to reduce income inequalities, yet there is very little evidence that higher college attainment is associated with less inequality. Economic theory at best suggests that the relationship between college attainment and inequality is ambiguous. An overview of some of the unintended consequences of public policies designed to promote greater enrollment is described. One such consequence is that the growth in college completion, which is at least partially attributable to public policy, may have actually contributed to rising income inequality. We hypothesize the existence of a U-shaped relationship between college attainment and income inequality, and using panel data for the 50 U.S. states over the period 1970-2004 provide empirical evidence in support of the curve. Prior to the mid 1990 , increases in attainment were associated with less inequality for most states. Rapid growth in attainment since then has moved most states to the right of the inflection point such that attainment gains are associated with more inequality in most states.

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A behavioral-economics view of poverty

The American Economic Review, 94( 2), 419-423.

[本文引用: 1]

No abstract is available for this item.

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How are preferences revealed

Journal of Public Economics, 92( 8), 1787-1794.

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Retrieved December 27, 2017, from

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Bettinger E. P., Long B. T., Oreopoulos P., & Sanbonmatsu L . ( 2012).

The role of application assistance and information in college decisions: Results from the H&R Block FAFSA experiment

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Social comparisons, status and driving behavior

Journal of Public Economics, 155, 11-20.

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The establishment of desirable social norms is an integral part of a well-functioning civil society. While recent evidence has demonstrated that social comparison can affect behavior in a variety of contexts, it is not clear what type of comparative social information is most effective. Using a large-scale field experiment to study driving practices, we sent text messages containing different types of social information to drivers in Tsingtao, China. We find two types of social information to be particularly effective in reducing traffic violations: the driving behavior of those similar to oneself and the driving behavior of those with high-status cars. Our results indicate that the combination of descriptive norms with social status is a cost-effective yet powerful intervention for establishing better driving behavior in emerging markets.

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Behavioral economics and public policy: A pragmatic perspective

American Economic Review, 105( 5), 1-33.

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The debate about behavioral economics – the incorporation of insights from psychology into economics – is often framed as a question about the foundational assu

Congdon, W. J. & Shankar, M . ( 2015).

The white house social and behavioral sciences team: Lessons learned from year one

Behavioral Science & Policy, 1( 2), 77-86.

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Abstract Summary: On September 15, 2015, President Obama signed Executive Order 13707 titled “Using Behavioral Science Insights to Better Serve the American People.” The order directs federal agencies to integrate behavioral insights into their policies and programs and formally establishes the Social and Behavioral Sciences Team (SBST). Originally launched in 2014, SBST translates insights from behavioral science research into improvements in federal policies and programs. In its first annual report, SBST detailed results from projects that drew on behavioral insights to promote retirement security, expand college access and affordability, connect workers and small businesses with economic opportunities, improve health outcomes, and increase program integrity and government efficiency. The results of SBST projects offer important lessons for bringing a behavioral perspective to federal policy. The executive order provides a framework for future policy applications.

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Behavioral economics and tax policy

National Tax Journal, 62( 3), 375-386.

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Behavioral economics is changing our understanding of how economic policy operates, including tax policy. In this paper, we consider some implications of behavioral economics for tax policy, such as how it changes our understanding of the welfare consequences of taxation, the relative desirability of using the tax system as a platform for policy implementation, and the role of taxes as an element of policy design. We do so by reviewing the logic of specific features of tax policy in light of recent findings in areas such as tax salience, program take-up, and fiscal stimulus.

De Neufville, J. I . ( 1983).

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Diamond P. , & Vartiainen, H.(2007) .

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Princeton: Princeton University Press.

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Behavioral Economics and Its Applications by Peter Diamond, Hannu Vartiainen, B. Douglas Bernheim, Antonio Rangel, Sendhil Mullainathan, Christine Jolls, Truman F. Bewley, Richard G. Frank, Colin F. Camerer, Ulrike Malmendier. Read Behavioral Economics and Its Applications now at Questia.

Dinner I., Johnson E. J., Goldstein D. G., & Liu K . ( 2011).

Partitioning default effects: Why people choose not to choose

Journal of Experimental Psychology: Applied, 17( 4), 332-341.

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Default options exert an influence in areas as varied as retirement program design, organ donation policy, and consumer choice. Past research has offered potential reasons why no-action defaults matter: (a) effort, (b) implied endorsement, and (c) reference dependence. The first two of these explanations have been experimentally demonstrated, but the later has received far less attention. In three experiments we produce default effects and demonstrate that reference dependence can play a major role in their effectiveness. We find that the queries forniilated by defaults can produce differences in constructed preferences and further that manipulating queries can also mitigate default effects. The experimental context involves two environmentally consequential alternatives: cheap, inefficient incandescent light bulbs, and expensive, efficient compact fluorecent bulbs. Within this context we also measure the impact of each potential rationale for a default effect.

Eagleman D. M., Correro M. A., & Singh J . ( 2010).

Why neuroscience matters for rational drug policy

The Minnesota Journal of Law, Science & Technology, 11( 1), 7-26.

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Drug addiction reflects abnormal operation of normal neural circuitry. More than physical dependence, addiction represents changes in the brain that lead to inc

Gennetian, L.A., &Shafir, E . ( 2015).

The persistence of poverty in the context of financial instability: A behavioral perspective

Journal of Policy Analysis and Management, 34( 4), 904-936.

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We review recent findings regarding the psychology of decisionmaking in contexts of poverty, and consider their application to public policy. Of particular interest are the oft‐neglected psychological and behavioral consequences of economic scarcity coupled with financial instability. The novel framework highlights the psychological costs of low and unstable incomes, and how these can transform small and momentary financial hurdles into long‐lasting poverty traps. Financial instability, we suggest, not only has obvious economic ramifications for well‐being, but it also creates the need for constant focus and attention, and can distract from the very opportunities otherwise designed to alleviate the effects of poverty. We describe a variety of public policy strategies that emerge from this perspective that are not readily apparent in conventional theories that permeate the design of social programs.

Golman R., Hagmann D., & Loewenstein G . ( 2017).

Information avoidance

Journal of Economic Literature, 55( 1), 96-135.

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Graham, S., &Lowery, B.S . ( 2004).

Priming unconscious racial stereotypes about adolescent offenders

Law and Human Behavior, 28( 5), 483-504.

URL     PMID:15638206     

Two studies examined unconscious racial stereotypes of decision makers in the juvenile justice system. Police officers (Experiment 1) and juvenile probation officers (Experiment 2) were subliminally exposed to words related to the category Black or to words neutral with respect to race. In a presumably unrelated task, officers read 2 vignettes about a hypothetical adolescent who allegedly committed either a property crime (shoplifting from a convenience store) or an interpersonal crime (assaulting a peer). The race of the offender was left unstated and the scenarios were ambiguous about the causes of the crime. Respondents rated the hypothetical offender on a number of traits (e.g., hostility and immaturity) and made judgments about culpability, expected recidivism, and deserved punishment. They also completed a self-report measure of conscious attitudes about race. As hypothesized, officers in the racial prime condition reported more negative trait ratings, greater culpability, and expected recidivism, and they endorsed harsher punishment than did officers in the neutral condition. The effects of the racial primes were not moderated by consciously held attitudes about African Americans. The implications of the findings for racial disparity in the juvenile justice system and for changing unconscious stereotypes were discussed.

Grimmelikhuijsen, S.G., &Meijer, A.J . ( 2014).

Effects of transparency on the perceived trustworthiness of a government organization: Evidence from an online experiment

Journal of Public Administration Research and Theory, 24( 1), 137-157.

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Grimmelikhuijsen S., Jilke S., Olsen A. L., & Tummers L. G . ( 2017).

Behavioral public administration: Combining insights from public administration and psychology

Public Administration Review, 77( 1), 45-56.

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Abstract Top of page Abstract A Reemerging Call for Integrating Public Administration and Psychology Recent Developments in the Use of Psychology in Public Administration The Role of Psychology in Neighboring Disciplines Behavioral Public Administration: Theory and Methods An Agenda for Developing a Behavioral Public Administration Acknowledgments Funding Authors Note References Biographies Behavioral public administration is the analysis of public administration from the micro-level perspective of individual behavior and attitudes by drawing on insights from psychology on the behavior of individuals and groups. The authors discuss how scholars in public administration currently draw on theories and methods from psychology and related fields and point to research in public administration that could benefit from further integration. An analysis of public administration topics through a psychological lens can be useful to confirm, add nuance to, or extend classical public administration theories. As such, behavioral public administration complements traditional public administration. Furthermore, it could be a two-way street for psychologists who want to test the external validity of their theories in a political-administrative setting. Finally, four principles are proposed to narrow the gap between public administration and psychology .

Guerin, B. ( 2005).

Combating everyday racial discrimination without assuming racists or racism: New intervention ideas from a contextual analysis

Behavior and Social Issues, 14( 1), 46-71.

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ABSTRACT:The aim of this paper is to open up new forms of intervention against everyday...

Hallsworth M., List J. A., Metcalfe R. D., & Vlaev I . ( 2017).

The behavioralist as tax collector: Using natural field experiments to enhance tax compliance

Journal of Public Economics, 148, 14-31.

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61We present results from two large-scale natural field experiments that tested the effect of social norm messages on tax compliance.61Using administrative data from more than 200,000 individuals in the United Kingdom, we show that including social norms and public services messages in standard reminder letters increases payment rates for overdue tax.61Descriptive norms appear to be more effective than injunctive norms. This result offers a rare example of social norm messages affecting tax compliance behavior in a real world setting. The field experiments accelerated the collection of tax revenue at little cost.

Harper, H., &Hallsworth, M . ( 2016.

Counting calories: How under-reporting can explain the apparent fall in calorie intake. Behavioral Insights Team Research Report

Retrived December 27, 2017, from:.

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Hodgson, G.M. ( 2012).

On the limits of rational choice theory

Economic Thought, 1( 1), 1-5.

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In recent years rational choice approaches have come to be a major paradigm, perhaps the central emerging theoretical framework, within the political science profession. 1 Its proponents and practitioners can be found within virtually every subfield of research, including in the most unlikely of places, e.g. among those who think of themselves as Marxists and even in one recent book which purports to explain the development of the 1950s and 1960s civil rights movement in the United States. Many of its adherents claim that rational choice theory is the basis for a new science of politics (although a few of the leading practitioners are remarkably modest in their claims; note in this regard Fiorina and Shepsle 1982; Hardin 1982; although in contrast, see Ordeshook 1986). Most proponents, however, make a strong claim that rational choice models are the only valid basis for doing rigorous work in the social sciences. Rational choice theory is, thus, not merely posed as an alternative to other theories or as an attractive, emerging research program, but as a universally applicable, superior orientation the only one a reasonable , serious social science researcher ought to choose. 2 This chapter examines these claims, making some preliminary remarks.

Johns M., Schmader T., & Martens A . ( 2005).

Knowing is half the battle: Teaching stereotype threat as a means of improving women’s math performance

Psychological Science, 16( 3), 175-179.

URL     PMID:15733195      [本文引用: 1]

Abstract We tested whether informing women about stereotype threat is a useful intervention to improve their performance in a threatening testing situation. Men and women completed difficult math problems described either as a problem-solving task or as a math test. In a third (teaching-intervention) condition, the test was also described as a math test, but participants were additionally informed that stereotype threat could interfere with women's math performance. Results showed that women performed worse than men when the problems were described as a math test (and stereotype threat was not discussed), but did not differ from men in the problem-solving condition or in the condition in which they learned about stereotype threat. For women, attributing anxiety to gender stereotypes was associated with lower performance in the math-test condition but improved performance in the teaching-intervention condition. The results suggest that teaching about stereotype threat might offer a practical means of reducing its detrimental effects.

Jr Fryer R. G., Levitt S. D., List J., & Sadoff S . ( 2012).

Enhancing the efficacy of teacher incentives through loss aversion: A field experiment

(No. w18237). National Bureau of Economic Research.

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Kahneman, D., &Tversky, A . ( 1979).

Prospect theory: An analysis of decision under risk

Econometrica, 47( 2), 263-291.

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This paper presents a critique of expected utility theory as a descriptive model of decision making under risk, and develops an alternative model, called prospect theory. Choices among risky prospects exhibit several pervasive effects that are inconsistent with the basic tenets of utility theory. In particular, people underweight outcomes that are merely probable in comparison with outcomes that are obtained with certainty. This tendency, called the certainty effect, contributes to risk aversion in choices involving sure gains and to risk seeking in choices involving sure losses. In addition, people generally discard components that are shared by all prospects under consideration. This tendency, called the isolation effect, leads to inconsistent preferences when the same choice is presented in different forms. An alternative theory of choice is developed, in which value is assigned to gains and losses rather than to final assets and in which probabilities are replaced by decision weights. The value function is normally concave for gains, commonly convex for losses, and is generally steeper for losses than for gains. Decision weights are generally lower than the corresponding probabilities, except in the range of low probabilities. Overweighting of low probabilities may contribute to the attractiveness of both insurance and gambling.

Lee, T. ( 2012).

Race in America

Perspectives on Politics, 10( 3), 754-757.

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Li S., Rao L. L., Bai X. W., Zheng R., Ren X. P., Li J. Z., .. Zhang K . ( 2010).

Progression of the “Psychological Typhoon Eye” and variations since the Wenchuan earthquake

PLoS One, 5( 3), e9727.

URL     PMID:20305817      [本文引用: 1]

In 2008 after a massive earthquake jolted Wenchuan, China, we reported an effect that we termed a "Psychological Typhoon Eye": the closer to the center of the devastated area, the lower the level of concern felt by residents about safety and health. We now report on the progression of this effect and the development of new variations after the quake as well as investigating potential explanations.We conducted two sequential surveys of 5,216 residents in non-devastated and devastated areas in September-October 2008 and April-May 2009. Respondents were asked five questions to assess their concerns about safety and health. A MANCOVA showed a significant inverse effect of residential devastation level on the estimated number of medical and psychological workers needed, the estimated probability of an epidemic outbreak, and the estimated number of self-protective behaviors needed (Ps<0.001), in spite of the passage of one year. The level of post-earthquake concern decreased significantly with an increase in the residential devastation level. Additionally, we observed two variations in the "Psychological Typhoon Eye" effect, in that the respondents' concern decreased with increasing relational distance between a respondent and victims who had suffered either physical or economic damage.The previously reported effect of a "Psychological Typhoon Eye" remains robust over a 1-year period. We found that the "psychological immunization" theory did not provide a satisfactory explanation for these intriguing results. Our findings may be useful in understanding how people become resilient to threats.

Li S., Rao L-L., Ren X-P., Bai X-W., Zheng R., Li J-Z., .. Liu H . ( 2009).

Psychological typhoon eye in the 2008 Wenchuan earthquake

PLoS One, 4( 3), e4964.

URL     PMID:2654756      [本文引用: 1]

On May 12, 2008, an earthquake measuring 8.0 on the Richter scale jolted Wenchuan, China, leading to 69,227 deaths and 374,643 injured, with 17,923 listed as missing as of Sept. 25, 2008, and shook the whole nation. We assessed the devastating effects on people's post-earthquake concern about safety and health. From June 4 to July 15, 2008, we surveyed a convenience sample of 2,262 adults on their post-earthquake concern about safety and health. Residents in non-devastated areas (Fujian and Hunan Provinces, and Beijing) and devastated areas (Sichuan and Gansu Provinces) responded to a questionnaire of 5 questions regarding safety measures, epidemic disease, medical workers, psychological workers, and medication. The ANOVAs showed a significant effect of residential devastation level on the estimated number of safety measures needed, the estimated probability of the outbreak of an epidemic, and the estimated number of medical and psychological workers needed (Ps<0.001). The post-earthquake concern decreased significantly as the level of residential devastation increased. Because of the similarity with the meteorological phenomenon of the eye of a typhoon, we dubbed these findings a “Psychological Typhoon Eye”: the closer to the center of the devastated areas, the less the concern about safety and health a resident felt. Contrary to common perception and ripple effect that the impact of an unfortunate event decays gradually as ripples spread outward from a center, a “Psychological Typhoon Eye” effect was observed where the post-earthquake concern was at its lowest level in the extremely devastated areas. The resultant findings may have implications for Chinese governmental strategies for putting “psychological comfort” into effect.

Loewenstein, G.F. ( 1988).

Frames of mind in intertemporal choice

Management Science, 34( 2), 139-262.

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Recent research has demonstrated that choices between gambles are systematically influenced by the way they are expressed. Kahneman and Tversky's Prospect Theory (Kahneman, D., A. Tversky. 1979. Prospect theory: An analysis of decision under risk. Econometrica 47(2) 363--391.) explains many of these "framing" effects as shifts in the point of reference from which prospects are evaluated. This paper demonstrates the applicability of the reference point concept to intertemporal choice. Three experiments demonstrate that when people choose between immediate and delayed consumption, the reference point used to evaluate alternatives can significantly influence choice. The first study elicited relative preference for immediate and delayed consumption using three methods, each of which differently framed choices between alternatives offering identical end-state consumption. The conventional discounted utility model predicts that the three methods of elicitation should yield similar estimates of time preference, but preferences were found to differ in accordance with a reference point model. The second and third studies extend and replicate the results from the first, the third using real rather than hypothetical choices.

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The Economic Journal, 92( 368), 805-824.

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No abstract is available for this item.

Madrian, B.C. ( 2014).

Appling insights from behavioral economics to policy design

Annual Review of Economics, 6( 1), 663-688.

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Madrian, B.C., &Shea, D.F . ( 2001).

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Annual Review of Economics, 4, 511-540.

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Research in behavioral public finance has blossomed in recent years, producing diverse empirical and theoretical insights. This article develops a single framework with which to understand these advances. Rather than drawing out the consequences of specific psychological assumptions, the framework takes a reduced-form approach to behavioral modeling. It emphasizes the difference between decision and experienced utility that underlies most behavioral models. We use this framework to examine the behavioral implications for canonical public finance problems involving the provision of social insurance, commodity taxation, and correcting externalities. We show how deeper principles undergird much work in this area and that many insights are not specific to a single psychological assumption.

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“Simon Said, ” We didn’t jump

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Behavioural Insights Team Research Report. Retrieved May 2, 2017, from .

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Social and Behavioral Sciences Team 2015 Annual Report

Retrieved May 2, 2017, from .

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SBST. ( 2016).

Social and Behavioral Sciences Team 2016 Annual Report

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Choosing environmental policy instruments: An assessment of the ‘environmental dimension’ of EU energy policy. In Tosun, Jale, and Israel Solorio (eds) Energy and Environment in Europe: Assessing a Complex Relationship?

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EAST: Four simple ways to apply behavioural insights

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Princeton NJ: Princeton University Press.

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The growing importance of public health is evidenced by its increasing responsibilities. Public health was historically known for its contribution towards reduction and control of infectious diseases through such efforts as environmental sanitation (by securing safe air and water), hygienic practices, the elimination of smallpox and polio (through immunization), and reduction of overcrowding. A...

Shook, N.J., &Fazio, R.H . ( 2008).

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The effects of same-race versus interracial dormitory roommate relationships were explored with regard to relationship dissolution and academic achievement (i.e., grade point average). The present investigation made use of archival data spanning two academic years at a large, relatively diverse university. Of primary interest were White and African American first-year students assigned to White or African American roommates upon their arrival on campus. Another factor that was incorporated into this analysis was whether students requested to live with their roommates or were randomly assigned. Interracial roommate relationships were more likely to dissolve than either same-race White or same-race African American relationships. Randomly assigned living situations were less successful than ones in which roommates requested to share a room. Concerning grade point average at the end of the first academic quarter, African American first-year students tended to do better in interracial living situations, whereas White first-year students' academic success was not affected by roommate race. Instead, White first-year students were more sensitive to the academic abilities of their roommates. Results are discussed with regard to the implications for intergroup contact.

Simon, H.A. ( 1955).

A behavioral model of rational choice

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Simon H. A. ( 1982).

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Simon, H.A. ( 1986).

Rationality in psychology and economics

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The assumption that actors maximize subjective expected utility (economic rationality) supplies only a small part of the premises in economic reasoning, and that often not the essential part. The remainder of the premises are auxiliary empirical assumptions about actors' utilities, beliefs, expectations, and the like. Making these assumptions correctly requires an empirically founded theory of choice that specifies what information decision makers use and how they actually process it. This behavioral empirical base is largely lacking in contemporary economic analysis, and supplying it is essential for enhancing the explanatory and predictive power of economics.

Task Force on Psychology & Public Policy, American Psychological Assn, Board of Social & Ethical Responsibility for Psychology, Washington, DC.( 1986).

Psychology and public policy

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Thaler, R.H. ( 1980).

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The economic theory of the consumer is a combination of positive and normative theories. Since it is based on a rational maximizing model it describes how consumers should choose, but it is alleged to also describe how they do choose. This paper argues that in certain well-defined situations many consumers act in a manner that is inconsistent with economic theory. In these situations economic theory will make systematic errors in predicting behavior. Kanneman and Tversey's prospect theory is proposed as the basis for an alternative descriptive theory. Topics discussed are: undeweighting of opportunity costs, failure to ignore sunk costs, scarch behavior choosing not to choose and regret, and precommitment and self-control.

Thaler, R.H. ( 2015).

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Thaler, R.H., &Benartzi, S . ( 2004).

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Thaler R. H. , & Sunstein, C. R.(2008) .

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New Haven, CT: Yale University Press.

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Journal of Experimental Social Psychology, 41( 4), 329-345.

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This study examined the effect of living with White, Asian American, Latino, or African American roommates on affective, cognitive, and behavioral indicators of prejudice among university students. We used a five-wave panel study with approximately 2000 students to examine the effect of roommate contact in two ways: First, through a field experimental test by examining prejudice as a function of living with randomly assigned roommates during the first year of university. Second, net of pre-existing attitudes, we examined the effects of voluntary roommate contact during the second and third year of university on fourth year prejudice. Consistent with contact theory, both randomly assigned and voluntary contact decreased prejudice. Also, there was generalization to other outgroups, particularly from Black roommates to Latinos, and vice versa. Finally, an interesting exception was found for contact with Asian American roommates, whether randomly assigned or voluntary, which tended to make attitudes towards other groups more negative. Potential explanations for this result are discussed.

White House . ( 2015).

Fact sheet: President Obama signs executive order; White House anounces new steps to improve federal programs by leveraging research insights

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Zhang A., Moffat K., Lacey J., Wang J., GonzÁlez R., Uribe K., .. Dai Y . ( 2015).

Understanding the social license to operate of mining at the national scale: A comparative study of Australia, China and Chile

Journal of Cleaner Production, 108, 1063-1072.

URL    

61We examine the key predictors of public acceptance of mining at national level.61Comparisons are made between Australia, China, and Chile.61Perceptions of distributional and procedural fairness and governance were low.61Those factors' predicting power of acceptance of mining varied across countries.61Trust in the mining industry mediates the effects of those predictors on acceptance.

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