Strong reciprocity, human cooperation, and the enforcement of social norms

This paper provides strong evidence challenging the self-interest assumption that dominates the behavioral sciences and much evolutionary thinking. The evidence indicates that many people have a tendency to voluntarily cooperate, if treated fairly, and to punish noncooperators. We call this behavioral propensity “strong reciprocity” and show empirically that it can lead to almost universal cooperation in circumstances in which purely self-interested behavior would cause a complete breakdown of cooperation. In addition, we show that people are willing to punish those who behaved unfairly towards a third person or who defected in a Prisoner’s Dilemma game with a third person. This suggests that strong reciprocity is a powerful device for the enforcement of social norms involving, for example, food sharing or collective action. Strong reciprocity cannot be rationalized as an adaptive trait by the leading evolutionary theories of human cooperation (in other words, kin selection, reciprocal altruism, indirect reciprocity, and costly signaling theory). However, multilevel selection theories of cultural evolution are consistent with strong reciprocity.     

Participation costs can suppress the evolution of upstream reciprocity

Indirect reciprocity, one of the many mechanisms proposed to explain the evolution of cooperation, is the idea that altruistic actions can be rewarded by third parties. Upstream or generalized reciprocity is one type of indirect reciprocity in which individuals help someone if they have been helped by somebody else in the past. Although empirically found to be at work in humans, the evolution of upstream reciprocity is difficult to explain from a theoretical point of view. A recent model of upstream reciprocity, first proposed by Nowak and Roch (2007) and further analyzed by Iwagami and Masuda (2010), shows that while upstream reciprocity alone does not lead to the evolution of cooperation, it can act in tandem with mechanisms such as network reciprocity and increase the total level of cooperativity in the population. We argue, however, that Nowak and Roch's model systematically leads to non-uniform interaction rates, where more cooperative individuals take part in more games than less cooperative ones. As a result, the critical benefit-to-cost ratios derived under this model in previous studies are not invariant with respect to the addition of participation costs. We show that accounting for these costs can hinder and even suppress the evolution of upstream reciprocity, both for populations with non-random encounters and graph-structured populations.     

The evolution of strong reciprocity: cooperation in heterogeneous populations

How do human groups maintain a high level of cooperation despite a low level of genetic relatedness among group members? We suggest that many humans have a predisposition to punish those who violate group-beneficial norms, even when this imposes a fitness cost on the punisher. Such altruistic punishment is widely observed to sustain high levels of cooperation in behavioral experiments and in natural settings. We offer a model of cooperation and punishment that we call STRONG RECIPROCITY: where members of a group benefit from mutual adherence to a social norm, strong reciprocators obey the norm and punish its violators, even though as a result they receive lower payoffs than other group members, such as selfish agents who violate the norm and do not punish, and pure cooperators who adhere to the norm but free-ride by never punishing. Our agent-based simulations show that, under assumptions approximating likely human environments over the 100000 years prior to the domestication of animals and plants, the proliferation of strong reciprocators when initially rare is highly likely, and that substantial frequencies of all three behavioral types can be sustained in a population. As a result, high levels of cooperation are sustained. Our results do not require that group members be related or that group extinctions occur.     

Direct reciprocity on graphs

Direct reciprocity is a mechanism for the evolution of cooperation based on the idea of repeated encounters between the same two individuals. Here we examine direct reciprocity in structured populations, where individuals occupy the vertices of a graph. The edges denote who interacts with whom. The graph represents spatial structure or a social network. For birth-death or pairwise comparison updating, we find that evolutionary stability of direct reciprocity is more restrictive on a graph than in a well-mixed population, but the condition for reciprocators to be advantageous is less restrictive on a graph. For death-birth and imitation updating, in contrast, both conditions are easier to fulfill on a graph. Moreover, for all four update mechanisms, reciprocators can dominate defectors on a graph, which is never possible in a well-mixed population. We also study the effect of an error rate, which increases with the number of links per individual; interacting with more people simultaneously enhances the probability of making mistakes. We provide analytic derivations for all results.     

Emergence and resilience of cooperation in the spatial prisoner's dilemma via a reward mechanism

We study the problem of the emergence of cooperation in the spatial Prisoner's Dilemma. The pioneering work by Nowak and May [1992. Evolutionary games and spatial chaos. Nature 415, 424-426] showed that large initial populations of cooperators can survive and sustain cooperation in a square lattice with imitate-the-best evolutionary dynamics. We revisit this problem in a cost-benefit formulation suitable for a number of biological applications. We show that if a fixed-amount reward is established for cooperators to share, a single cooperator can invade a population of defectors and form structures that are resilient to re-invasion even if the reward mechanism is turned off. We discuss analytically the case of the invasion by a single cooperator and present agent-based simulations for small initial fractions of cooperators. Large cooperation levels, in the sustainability range, are found. In the conclusions we discuss possible applications of this model as well as its connections with other mechanisms proposed to promote the emergence of cooperation.     

Evolution of indirect reciprocity in groups of various sizes and comparison with direct reciprocity

Recently many studies have investigated the evolution of indirect reciprocity through which cooperative action is returned by a third individual, e.g. individual A helped B and then receives help from C. Most studies on indirect reciprocity have presumed that only two individuals take part in a single interaction (group), e.g. A helps B and C helps A. In this paper, we investigate the evolution of indirect reciprocity when more than two individuals take part in a single group, and compare the result with direct reciprocity through which cooperative action is directly returned by the recipient. Our analyses show the following. In the population with discriminating cooperators and unconditional defectors, whether implementation error is included or not, (i) both strategies are evolutionarily stable and the evolution of indirect reciprocity becomes more difficult as group size increases, and (ii) the condition for the evolution of indirect reciprocity under standing reputation criterion where the third individuals distinguish between justified and unjustified defections is more relaxed than that under image scoring reputation criterion in which the third individuals do not distinguish with. Furthermore, in the population that also includes unconditional cooperators, (iii) in the presence of errors in implementation, the discriminating strategy is evolutionarily stable not only under standing but also under image scoring if group size is larger than two. Finally, (iv) in the absence of errors in implementation, the condition for the evolution of direct reciprocity is equivalent to that for the evolution of indirect reciprocity under standing, and, in the presence of errors, the condition for the evolution of direct reciprocity is very close to that for the evolution of indirect reciprocity under image scoring.     

Evolutionary game theory meets social science: Is there a unifying rule for human cooperation?

Evolutionary game theory has shown that human cooperation thrives in different types of social interactions with a PD structure. Models treat the cooperative strategies within the different frameworks as discrete entities and sometimes even as contenders. Whereas strong reciprocity was acclaimed as superior to classic reciprocity for its ability to defeat defectors in public goods games, recent experiments and simulations show that costly punishment fails to promote cooperation in the IR and DR games, where classic reciprocity succeeds. My aim is to show that cooperative strategies across frameworks are capable of a unified treatment, for they are governed by a common underlying rule or norm. An analysis of the reputation and action rules that govern some representative cooperative strategies both in models and in economic experiments confirms that the different frameworks share a conditional action rule and several reputation rules. The common conditional rule contains an option between costly punishment and withholding benefits that provides alternative enforcement methods against defectors. Depending on the framework, individuals can switch to the appropriate strategy and method of enforcement. The stability of human cooperation looks more promising if one mechanism controls successful strategies across frameworks.     

A new route to the evolution of cooperation

The Prisoner's Dilemma (PD) constitutes a widely used metaphor to investigate problems related to the evolution of cooperation. Whenever evolution takes place in well-mixed populations engaged in single rounds of the PD, cooperators cannot resist invasion by defectors, a feature, which is somewhat alleviated whenever populations are spatially distributed. In both cases the populations are characterized by a homogeneous pattern of connectivity, in which every individual is equivalent, sharing the same number of neighbours. Recently, compelling evidence has been accumulated on the strong heterogeneous nature of the network of contacts between individuals in populations. Here we describe the networks of contacts in terms of graphs and show that heterogeneity provides a new mechanism for cooperation to survive. Specifically, we show that cooperators are capable of exploring the heterogeneity of the population structure to become evolutionary competitive. As a result, cooperation becomes the dominating trait in scale-free networks of contacts in which the few highly connected individuals are directly inter-connected, in this way contributing to self-sustain cooperation.     

Punishment and the Strategic Structure of Moral Systems

The problem of moral compliance is the problem of explaining how moral norms are sustained over extented stretches of time despite the existence of selfish evolutionary incentives that favor their violation. There are, broadly speaking, two kinds of solutions that have been offered to the problem of moral compliance, the reciprocity-based account and the punishment-based account. In this paper, I argue that though the reciprocity-based account has been widely endorsed by evolutionary theorists, the account is in fact deeply implausible. I provide three arguments that suggest that moral norms are sustained by punishment, not reciprocity. But in addition to solving the problem of moral compliance, the punishment-based account provides an additional important theoretical dividend. It points the way for how theorists might build an evolutionary account of a feature of human groups that has long fascinated and troubled social scientists and moral philosophers – the existence of moral diversity.     

Revisiting “The Evolution of Reciprocity in Sizable Groups”: Continuous reciprocity in the repeated n-person prisoner's dilemma

For many years in evolutionary science, the consensus view has been that while reciprocal altruism can evolve in dyadic interactions, it is unlikely to evolve in sizable groups. This view had been based on studies which have assumed cooperation to be discrete rather than continuous (i.e., individuals can either fully cooperate or else fully defect, but they cannot continuously vary their level of cooperation). In real world cooperation, however, cooperation is often continuous. In this paper, we re-examine the evolution of reciprocity in sizable groups by presenting a model of the n-person prisoner's dilemma that assumes continuous rather than discrete cooperation. This model shows that continuous reciprocity has a dramatically wider basin of attraction than discrete reciprocity, and that this basin's size increases with efficiency of cooperation (marginal per capita return). Further, we find that assortative interaction interacts synergistically with continuous reciprocity to a much greater extent than it does with discrete reciprocity. These results suggest that previous models may have underestimated reciprocity's adaptiveness in groups. However, we also find that the invasion of continuous reciprocators into a population of unconditional defectors becomes realistic only within a narrow parameter space in which the efficiency of cooperation is close to its maximum bound. Therefore our model suggests that continuous reciprocity can evolve in large groups more easily than discrete reciprocity only under unusual circumstances.     

A simple scaling of the effectiveness of supporting mutual cooperation in donor-recipient games by various reciprocity mechanisms

In donor-recipient games (DRG), one of the sub-classes of Prisoner's Dilemma (PD), it is well-known that a game structure is described by two parameters benefit (b) and cost (c) of cooperation. By means of a series of numerical experiments, we proved that the effectiveness of supporting mutual cooperation in DRG by various reciprocity mechanisms can be expressed in a single game structural parameter, b/c. This also implies that the dilemma strength in various donor-recipient games with various reciprocity mechanisms can be evaluated only by b/c, which is consistent with the previous novel finding by Nowak. It was also discussed whether this kind of parameterization idea can be extended to general games in PD game class.     

The option to leave: Conditional dissociation in the evolution of cooperation

Conditional dissociation, i.e. the option to leave an interacting partner in response to his behaviour, is a mechanism that has been shown to promote cooperation in several settings, but the fundamental features that make conditional dissociation work in this way are not yet fully understood. This paper identifies some of the key conditions that make conditional dissociation lead to high levels of cooperation, explains how this mechanism can support the evolutionary coexistence of cooperative and non-cooperative behaviour typically observed in nature, and provides an analytical formula to estimate the expected degree of cooperation thus achieved. Our model involves a population of individuals who are paired to play an iterated prisoner’s dilemma. All individuals share the same capacity to react to the action previously chosen by their partner and, without any other a priori constraint or exclusion, they may use any behavioural rule that is compatible with this capacity. The dynamic evolution of the population eventually enters either a non-cooperative or a partially cooperative regime, depending mainly on the expected lifetime of individuals. Whenever the partially cooperative regime materializes, the cornerstone of its long-run stability is the coexistence of defectors and “Out-for-Tat” strategists, the latter being those who start cooperating and respond to defection by merely leaving. We find, therefore, that conditional dissociation is the essential disciplinary device supporting cooperation, whilst other conditional strategies (such as Tit-for-Tat) remain present only in small population shares. These conclusions are obtained both by extensive numerical simulations and through analytical mean-field methods that approximate the stochastic simulation dynamics and deliver accurate predictions for general parameter configurations.     

The evolution of generalized reciprocity on social interaction networks

Generalized reciprocity (help anyone, if helped by someone) is a minimal strategy capable of supporting cooperation between unrelated individuals. Its simplicity makes it an attractive model to explain the evolution of reciprocal altruism in animals that lack the information or cognitive skills needed for other types of reciprocity. Yet, generalized reciprocity is anonymous and thus defenseless against exploitation by defectors. Recognizing that animals hardly ever interact randomly, we investigate whether social network structure can mitigate this vulnerability. Our results show that heterogeneous interaction patterns strongly support the evolution of generalized reciprocity. The future probability of being rewarded for an altruistic act is inversely proportional to the average connectivity of the social network when cooperators are rare. Accordingly, sparse networks are conducive to the invasion of reciprocal altruism. Moreover, the evolutionary stability of cooperation is enhanced by a modular network structure. Communities of reciprocal altruists are protected against exploitation, because modularity increases the mean access time, that is, the average number of steps that it takes for a random walk on the network to reach a defector. Sparseness and community structure are characteristic properties of vertebrate social interaction patterns, as illustrated by network data from natural populations ranging from fish to primates.     

A popular misapplication of evolutionary modeling to the study of human cooperation

To examine the evolutionary basis of a behavior, an established approach (known as the phenotypic gambit) is to assume that the behavior is controlled by a single allele, the fitness effects of which are derived from a consideration of how the behavior interacts, via life-history, with other ecological factors. Here we contrast successful applications of this approach with several examples of an influential and superficially similar line of research on the evolutionary basis of human cooperation. A key difference is identified: in the latter line of research the focal behavior, cooperation, is abstractly defined in terms of immediate fitness costs and benefits. Selection is then assumed to act on strategies in an iterated social context for which fitness effects can be derived by aggregation of the abstractly defined immediate fitness effects over a lifetime. This approach creates a closed theoretical loop, rendering models incapable of making predictions or providing insight into the origin of human cooperation. We conclude with a discussion of how evolutionary approaches might be appropriately used in the study of human social behavior.     

Upstream reciprocity and the evolution of gratitude

If someone is nice to you, you feel good and may be inclined to be nice to somebody else. This every day experience is borne out by experimental games: the recipients of an act of kindness are more likely to help in turn, even if the person who benefits from their generosity is somebody else. This behaviour, which has been called ‘upstream reciprocity’, appears to be a misdirected act of gratitude: you help somebody because somebody else has helped you. Does this make any sense from an evolutionary or a game theoretic perspective? In this paper, we show that upstream reciprocity alone does not lead to the evolution of cooperation, but it can evolve and increase the level of cooperation if it is linked to either direct or spatial reciprocity. We calculate the random walks of altruistic acts that are induced by upstream reciprocity. Our analysis shows that gratitude and other positive emotions, which increase the willingness to help others, can evolve in the competitive world of natural selection.     

The evolution of reciprocity in sizable human groups

The scale and complexity of human cooperation is an important and unresolved evolutionary puzzle. This article uses the finitely repeated n person Prisoners’ Dilemma game to illustrate how sapience can greatly enhance group-selection effects and lead to the evolutionary stability of cooperation in large groups. This affords a simple and direct explanation of the human “exception.”     

从合作的进化探讨植物与传粉者的相互作用

合作的进化为研究植物–传粉者相互关系提供了新的视角。植物与传粉者通过"报酬换服务"建立种间合作关系。这一合作关系从建立、维持到解体面临着3个关键问题:(1)在植物和传粉者不了解对方质量信息时,双方如何选择出最适伙伴,进而建立合作关系;(2)合作方如何限制欺骗策略(比如,盗蜜和欺骗性传粉)的扩散以维持合作关系;(3)什么过程可导致传粉合作关系的解体。植物与传粉者间信号博弈或筛选博弈可促进二者合作关系的建立。面对欺骗策略,传粉者和植物分别采用伙伴选择机制和防御机制加以应对。合作者与欺骗者的稳定共存也有助于植物–传粉者合作的维持。从合作转向对抗、转向新的伙伴和合作放弃3个过程可导致植物–传粉者的合作关系的解体。植物与传粉者合作关系的理论预期已经得到了部分实验结果支持,深化了我们对植物与传粉者合作过程中关键机制的理解。在今后的研究中,需要进一步探讨以下问题:(1)传粉者对植物信号诚实性的选择作用和植物对传粉者的筛选作用;(2)植物与传粉者各自应对欺骗策略的可能机制及其相对重要性;(3)合作者与欺骗者稳定共存的机制;(4)植物与传粉者合作系统对全球变化的响应。     

The economic approach to ‘theory of mind’

Theory of mind (ToM) is a great evolutionary achievement. It is a special intelligence that can assess not only one''s own desires and beliefs, but also those of others. Whether it is uniquely human or not is controversial, but it is clear that humans are, at least, significantly better at ToM than any other animal. Economists and game theorists have developed sophisticated and powerful models of ToM and we provide a detailed summary of this here. This economic ToM entails a hierarchy of beliefs. I know my preferences, and I have beliefs (a probabilistic distribution) about your preferences, beliefs about your beliefs about my preferences, and so on. We then contrast this economic ToM with the theoretical approaches of neuroscience and with empirical data in general. Although this economic view provides a benchmark and makes useful suggestions about empirical tendencies, it does not always generate a close fit with the data. This provides an opportunity for a synergistic interdisciplinary production of a falsifiable theory of bounded rationality. In particular, a ToM that is founded on evolutionary biology might well be sufficiently structured to have predictive power, while remaining quite general. We sketch two papers that represent preliminary steps in this direction.     

A game theoretical approach to the evolution of structured communication codes

Structured meaning-signal mappings, i.e., mappings that preserve neighborhood relationships by associating similar signals with similar meanings, are advantageous in an environment where signals are corrupted by noise and sub-optimal meaning inferences are rewarded as well. The evolution of these mappings, however, cannot be explained within a traditional language evolutionary game scenario in which individuals meet randomly because the evolutionary dynamics is trapped in local maxima that do not reflect the structure of the meaning and signal spaces. Here we use a simple game theoretical model to show analytically that when individuals adopting the same communication code meet more frequently than individuals using different codes—a result of the spatial organization of the population—then advantageous linguistic innovations can spread and take over the population. In addition, we report results of simulations in which an individual can communicate only with its K nearest neighbors and show that the probability that the lineage of a mutant that uses a more efficient communication code becomes fixed decreases exponentially with increasing K. These findings support the mother tongue hypothesis that human language evolved as a communication system used among kin, especially between mothers and offspring.     

The 'spiteful' origins of human cooperation

We analyse generosity, second-party ('spiteful') punishment (2PP), and third-party ('altruistic') punishment (3PP) in a cross-cultural experimental economics project. We show that smaller societies are less generous in the Dictator Game but no less prone to 2PP in the Ultimatum Game. We might assume people everywhere would be more willing to punish someone who hurt them directly (2PP) than someone who hurt an anonymous third person (3PP). While this is true of small societies, people in large societies are actually more likely to engage in 3PP than 2PP. Strong reciprocity, including generous offers and 3PP, exists mostly in large, complex societies that face numerous challenging collective action problems. We argue that 'spiteful' 2PP, motivated by the basic emotion of anger, is more universal than 3PP and sufficient to explain the origins of human cooperation.