团队合作中兼顾效率与公平的机制设计: 理论和实验分析

It is of prominent challenge for an entrepreneurial group or an economy to make the “cake” bigger (efficiency) and allocate the “cake” fairer (fairness). Under the socialist market economy system, we promote “priority to efficiency, also consider fairness” as our guideline for resource allocation. At the same time, efficiency and fairness are the two guiding criteria to evaluate and promote team cooperation. In previous researches, the applicant investigated a mechanism that would maximise these two criteria in designing teamwork. To extend and apply these former results, this proposal aims at deepening our understandings for the fairness and efficiency in mechanism design, we ask whether such a mechanism can have both solid theoretical background and real-world application. Specifically, we develop theoretical models and design incentive compatible experiments investigate decision maker’s strategy under controlled environment via multiple aspects, such as back-door communication and heterogeneous endowment assumptions. Having a whole picture of people’s preference on efficiency and fairness in team work, we empower mechanism designer to better allocate resource, and we also provide trackable scientific evidence and policy implications for the betterment of reforming socialist market economy system.

如何做大“蛋糕” (效率) 以及如何分好“蛋糕” (公平) 是一个企业乃至一个经济体所面临的最大挑战之一。在社会主义市场经济的体制下，我们倡导“效率优先，兼顾公平”，而效率和公平也成为我们在建设团队中优先考量的两个标准。申请人在前期研究中原创性地探求了一种可以最大程度地兼顾效率与公平的团队机制，鉴于此，本项目旨在深入探讨效率和公平在团队机制中的影响，以及这种机制能否兼具坚实的理论基础和广泛的现实应用场景。本项目结合博弈论的理论模型及实验经济学的方法，通过设计激励相容的实验方案，观察可控条件下决策者的行为模式，围绕团队激励、禀赋差异、背地交流等多角度开展研究，综合考察在社会主义经济体制下，国人如何看待公平和效率，理解机制设计者可以如何利用国人的偏好优化资源配置，为推动国家深化市场经济体制改革提供科学依据和政策参考。

近年来，习近平总书记着重指出“中国要实现共同富裕，但不是搞平均主义，而是要先把‘蛋糕’做大，然后通过合理的制度安排把‘蛋糕’分好。“ 这对我国的财富分配方案提出新的挑战。申请人通过对一种可以兼顾效率和公平的团队合作机制进行研究，重点关注了两个问题：第一，求解加尔布雷斯机制能否在加入公平原则后促成最大化的团队合作效率。第二，在引入公平原则之后，如果让博弈中的玩家进行背地交流，那么团队成员会使用何种分配策略，以及合作倾向将会如何改变。基于对前两个问题的研究拓展，申请人还关注群体竞争和冲突。在课题资助的三年中，申请人的研究成果发表在《Management Science》, 《The Economic Journal》以及《Games and Economic Behavior》等经济学国际顶尖期刊上发表论文。