Theoretical Perspectives on Norms
My approach to understanding norm enforcement builds on and complements existing research. Dominant approaches to thinking about norms focus on the characteristics of the normative act. Each emphasizes a different feature of behavior as importantâits consequences for community members, the meaning attached to it, or its frequency. These approaches vary in the extent to which they explicitly address the enforcement problem, and none provides a complete explanation. Nonetheless, each suggests insights that have implications for understanding sanctioning.
The Consequentialist Approach
Behavior consequences approaches hold that norms emerge in response to problematic actions. Early functionalist explanations tended simply to assume the emergence of welfare-enhancing norms. More recent interestbased approaches seek to explain how instrumental individuals manage to produce them.
The standard instrumental argument is that when an individual does something, his behavior does not necessarily affect only him. It may also affect the people around him. Those behavior consequences create a demand for norms (Coleman 1990; see also Demsetz 1967). People who are affected by the behavior would like it to be controlled; they have an interest in regulating it (Heckathorn 1988, 1989). That interest leads them to react negatively to harmful behavior or positively to cooperative actions. Everyone benefits from such sanctioning.
Antismoking norms provide evidence of this dynamic (Ellickson 2001). Americans used to think that smoking was acceptable, even cool. Famed CBS news anchor Edward R. Murrow was shown smoking during his broadcasts. Movie stars smoked on screen. But, eventually, people began hearing about studies showing that secondhand smoke caused lung damage. Smoking was not just the smokerâs business anymore. People began reacting negatively to it. Now we hear much more criticism than defense of smokingâbecause we recognize the dangers.
Smoking is a specific behavior that hurts bystanders. A more general category of behavior that affects others is free-riding. Free-riding occurs in social dilemma situationsâthose in which the interests of individuals are at odds with those of the group. Such dilemmas are common in social life. For example, any individual might prefer not to make the effort to go to the polls on a cold, rainy night, but if everyone stays home to eat dinner, voter turnout is low and democracy is diminished. Norms researchers identify such social dilemmas in the field, or design studies that create them, and then observe the norms that emerge. They find that, as expected, people punish free-riders (see, for example, Fehr and Gächter 2002; Yamagishi 1986, 1988). Individual pursuit of self-interest in social dilemma situations is theoretically analogous to many specific, concrete behaviors.1 Just as people react negatively to free-riding and smoking, they will react to other behaviors that have consequences for them.
This argument suggests that as the consequences of a behavior become larger, peopleâs interest in regulating it becomes stronger. They will be more concerned about stopping murder than minor theft. They will be more worried about teenagers getting drunk and driving than about moderate social drinking around the dinner table. We would, therefore, expect stronger punishments to be directed against more damaging behavior (Yamagishi 1988). The benefits of punishing deviance (including the cessation of the harmful act) motivate people to sanction. The larger those potential benefits are relative to the costs, the more sanctioning occurs (Ostrom 1990).
There is a caveat to this argument, however. Rational individuals would presumably prefer to benefit from reductions in harmful behavior without having to make the effort to sanction themselves. They would prefer to avoid the costsâpossible retaliation, time, energy, and so forth. They are tempted to free-ride on othersâ sanctioning efforts. They hope that someone else will ask the smoker at the next table to stop. They hope that someone else will confront the person who cut into line. They hope that someone else will do something about the sugary snacks handed out at their childâs day-care center. Because norm enforcement is costly to the individual, but provides benefits to many, it is problematic.
To explain why people punish despite the temptation to do nothing, some researchers have turned to psychological traits. They have found evidence that many people have an innate tendency to react negatively to free-riding (Fehr and Gintis 2007; Gintis et al. 2005). Laboratory experiments have shown that people get angry. Their anger can motivate them to punish despite the costs (Fehr and Gächter 2002). Further, people actually feel good when they punish (Knutson 2004).
Psychological traits differ across individuals and can produce variation in sanctioning. For example, people who do not trust others will support sanctioning systems more than those who do (Yamagishi 1986). Some individuals are more inclined to cooperate than othersâcooperating if they expect that others will reciprocate and sanctioning antisocial behavior (Fehr and Gintis 2007) .2
Whatever the psychological trait of interest in a particular study, in general, approaches that focus on the consequences of behavior suggest that the damaging nature of an action triggers reactions to it.3 The implication of this view is that norms encourage individuals to cooperate rather than pursue their own self-interest at the expense of the group.4 Norms enhance group welfare.
But such a view is inconsistent with reality. Norms do not always benefit the group. Sometimes they regulate behaviors that appear to have no consequences at all (fashion in menâs ties, for example, or the color of their belts and shoes). And sometimes norms mandate harmful behavior rather than discourage it, as in the case of footbinding.
The Meanings Approach
In part for this reason, many argue that a focus on the consequences of behavior alone is inadequate. One must also examine the meaning of a behavior (see, for example, Fine 2001). These scholars point to instances in which actors do things that make no sense if we consider only the objective outcomesâsituations in which consequences alone do not fully explain behavior. Footbinding is only one such destructive practice. Norms of revenge (Elster 1990), rate-busting by workers (Elster 1989), and downward-leveling norms in some ethnic and socioeconomic groups (Portes 1998; Willis 1981) are other examples. It is not only individuals who appear to ignore outcomesâbusinesses and governments do as well. Countries, for example, may create educational systems that are out of sync with the work lives of their citizens, requiring agricultural workers to study fractions or rural villagers to learn about chemical reactions (Meyer et al. 1997; Meyer, Ramirez, and Soysal 1992).
Pointing to such examples, meanings scholars argue that our explanations will be improved if we consider not only a âlogic of consequencesâ but also a âlogic of appropriatenessâ (March and Olsen 1998; Risse 2000). In addition to (or instead of) weighing the possible costs and benefits of an action, people consider whether it is the right thing to do. Shared meanings become part of how they see the world and, in turn, affect their behavior. On this view, Chinese mothers had their daughtersâ feet bound because they felt that such behavior was appropriate. Footbinding was taken for granted; it was something that good Chinese families did. Once the practice was established, people had a hard time imagining anything different.
The Creation of Shared Meaning Scholars seek to explain how these shared meanings emerge. They argue that human beings are active participants in creating their world (Berger and Luckmann 1967). People interact and negotiate to produce views of behavior. They may rely on understandings drawn from previous experience (Dobbin 1994; Rydgren 2007). They may engage in discussions in which they try to determine the âright thingâ (Risse 2000). They may negotiate conflicts of interest (Fine 2001) and conflicts over meaning (Graham 2003). They may try to justify choices in a world of conflicting norms (Fine 2001).
Many scholars pay attention to these interaction and negotiation processes. Research suggests that children learn the meaning of friendship in the course of interacting with playmates (Davies 1982; Rizzo 1989, 105), and adolescents develop interpretations of events and establish routines unique to their group (Everhart 1983; Fine 1987; Willis 1981). Researchers interested in social movements describe framing processes and the negotiation of common identities (Cohen 1985, 707; Hunt, Benford, and Snow 1994; Johnston, Larana, and Gusfield 1994; McAdam, McCarthy, and Zald 1996, 6). Political scientists study the construction of norms against torture and other human rights abuses in the international arena (Finnemore 1996a, 1996b; Hawkins 2004). Across a range of substantive issues, interaction and negotiation are widely seen as important for explaining the development of shared meaning.
Shared Meaning Affects Behavior These shared meanings in turn are thought to affect behavior. Empirical studies seek to provide evidence of such effects.
For example, in the international arena, substantial amounts of research demonstrate that countries that are integrated into the world system are more likely to behave like other countries than those that are isolated. The assumption is that integrated nations have notions of what is appropriate that are consistent with world norms, and they behave accordingly. For example, such research finds that national welfare systems result from countriesâ involvement in intergovernmental organizations (Thomas and Lauderdale 1988). Purchases of military weapons reflect the meanings associated with particular military hardware and do not necessarily serve national security needs (Eyre and Suchman 1996). Public education programs grow from the symbolic meaning of state-provided education and not so much from the needs of individuals and businesses (Meyer, Ramirez, and Soysal 1992). Such findings are taken as evidence that particular practices or ideologies are taken for grantedâpart of the cognitive frame through which actors see the world. This meaning, in turn, drives behavior.
The mechanisms at work are not completely clear, however (for a relevant discussion, see Scott 1995). Some formulations of the meanings approach explicitly frame it in opposition to consequentialist theories. On this view, people do not rationally weigh the costs and benefits of their behavior. Rather, they internalize meanings and identities. Their sense of their identity and what is appropriate affects what they do (see, for example, March and Olsen 1998, 951).
Not all meanings scholars reject rational calculations outright. Some see both consequences and meaning as relevant. Many models are additive, showing that after taking consequences into account, meaning improves predictions (Schneiberg 2007). And some appear to acknowledge a role for external sanctionsâagain suggesting that interests matter. For example, Meyer and Rowan (1977) argue that the taken-for-granted nature of certain rules provides organizations with legitimacy that protects them from sanctions. That legitimacy may be necessary for an organization to survive (Schneiberg and Clemens 2006). Such views imply that actors consider the results of their decisions and that they prefer to avoid negative reactions. Even more explicitly, Powell (1991, 183) criticizes the t...