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Positive political Theory: an introduction General information. Credits: 6 (40 hours) for both EPS curricula (EPA&PPP); 3 (20 hours) for Ph.D Students in Political Studies (Political Science) ‏ Period: 22 th September - 1 st December (no classroom 24 th Sept)

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slide1

Positive political Theory: an introduction

General information

Credits: 6 (40 hours) for both EPS curricula (EPA&PPP); 3 (20 hours) for Ph.D Students in Political Studies (Political Science)‏

Period: 22th September - 1st December (no classroom 24th Sept)

Instructor: Francesco Zucchini (francesco.zucchini@unimi.it )

Office hours: Tuesday 15.30-17.30, room 308, third floor, Dpt. Studi Sociali e Politici

1

slide2

Course: aims, structure, assessment

  • The course is an introduction to the study of politics from a rational choice perspective.
  • Students are introduced both to the analytical tools of the approach and to the results most relevant to the political science. We will focus on the institutional effects of decision-making processes and on the nature of political actors in the democracies.
  • All students are expected to do all the reading for each class session and may be called upon at any time to provide summary statements of it.
  • Evaluation of all students is based upon the regular participation in the classroom activities (30%) and a final written exam.
  • Evaluation of Ph.Studentsis also based upon individual presentations (30%).

2

slide4

Positive political Theory: An introduction

Lecture 1: Epistemological foundation of the Rational Choice approach

Francesco Zucchini

4

what the rational choice is not
What the rational choice is not

“NON RATIONAL CHOICE THEORIES

  • Theorieswith non rational actors:
  • Relative deprivation theory
  • Imitation instinct (Tarde)
  • False consciouness (Engels)
  • Inconscient pulsions (Freud)
  • Habitus (Bourdieu)
  • Theorieswithoutactors:
  • System analysis
  • Structuralism
  • Functionalism (Parsons)
what the rational choice is
What the rational choice is
  • Weak Requirements of Rationality:
  • 1) Impossibility of contradictory beliefs or preferences
  • 2) Impossibility of intransitive preferences
  • 3) Conformity to the axioms of probability calculus
weak requirements of rationality
Weak requirements of Rationality

1) Impossibility of contradictory beliefs or preferences:

if an actor holds contradictory beliefs she cannot reason

if an actor hold contradictory preferences she can choose any option

Important: contradiction refers to beliefs or preferences at a given moment in time.

weak requirements of rationality1
Weak requirements of Rationality

2) Impossibility of intransitive preferences:

if an actor prefers alternative a over b and b over c , she must prefer a over c .

One can create a “money pump” from a person with intransitive preferences.

Person Z has the following preference ordering:

a>b>c>a ; she holds a. I can persuade her to exchange a for c provided she pays 1$; then I can persuade her to exchange c for b for 1$ more; again I can persuade her to pay 1$ to exchange b for a. She holds a as at the beginning but she is $3 poorer

weak requirements of rationality2
Weak requirements of Rationality

3) Conformity to the axioms of probability calculus

A1 No probability is less than zero. P(i)>=0

A2 Probability of a sure event is one

A3 If i and j are two mutually exclusive events, then P (i or j)= P(i )+P(j)‏

slide10

A small quantity of formalization...

  • A choice between different alternatives
    • S = (s1, s2, … si)‏
  • Each alternative can be put on a nominal, ordinal o cardinal scale
  • The choice produces a result
    • R = (r1, r2, … ri)‏
  • An actor chooses as a function of a preference ordering relation among the results. Such ordering is
    • complete
    • transitive

10

slide11

Utility

  • A ( mostly) continuous preference ordering assigns a position to each result
  • We can assign a number to such ordering called utility
  • A result r can be characterized by these features (x,y,z) to which an utility value u = f(x,y,z) corresponds
  • Rational action maximizes the utility function

11

slide12

x

A

A

x

U

U

Single-peak utility functions

  • One dimension (the real line)‏
  • Actor with ideal point A, outcome x
  • Linear utility function:
    • U = - |x – A|
  • Quadratic utility function:
    • U = - (x – A)2

+

-

+

-

12

slide13

Expected utility

  • There could be unknown factors that could come in between a choice of action and a result
  • .. as a function of different states of the world M = (m1, m2, … mi)‏
  • Choice under uncertainty is based associating subjective probabilities to each state of the world, choosing a lottery of results L = (r1,p1;r2,p2; … ri,pi)‏
  • We have then an expected utility function
  • EU = u(r1)p1+u(r2)p2+ … u(ri)pi

13

strong requirements of rationality
Strong Requirements of Rationality

1) Conformity to the prescriptions of game theory

2) Probabilities approximate objective frequencies in equilibrium

3) Beliefs approximate reality in equilibrium

slide15

Strong Requirements of Rationality

1) Conformity to the prescriptions of game theory: digression..

  • Uncertainty between choices and outcomes could also result from the (unknown) decisions taken by other rational actors
  • Game theory studies the strategic interdependence between actors, how one actor’s utility is also function of other actors’ decisions, how actors choose best strategies, and the resulting equilibrium outcomes

15

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Principles of game theory

  • Players have preferences and utility functions
  • Game is represented by a sequence of moves (actors’ – or Nature – choices)‏
  • How information is distributed is key
  • Strategy is a complete action plan, based on the anticipation of other actors’ decisions
  • A combination of strategies determines an outcome
  • This outcome determines a payoff to each player, and a level of utility (the payoff is an argument of the player’s utility function)‏

16

slide17

Principles of game theory (2)‏

  • Games in the extensive form are represented by a decision tree
  • which illustrates the possible conditional strategic options
  • The distribution of information: complete/incomplete (game structure), perfect/imperfect (actors’ types), common knowledge

17

slide18

Principles of game theory (3)‏

  • Solutions is by backward induction, by identifying the subgame perfect equilibria
  • Nash equilibrium: the profile of the best responses, conditional on the anticipation of other actors’ best responses
  • A Nash equilibrium is stable: no-one unilaterally changes strategy

18

strong requirements of rationality1
Strong Requirements of Rationality

2) Subjective probabilities approximate objective frequencies in equilibrium.

Every “player” makes the best use of his previous probability assessments and the new information that he gets from the environment.

Beliefs are updated according to Bayes’s rule.

strong requirements of rationality2
Strong Requirements of Rationality

Bayesian updating of beliefs

strong requirements of rationality3
Strong Requirements of Rationality
  • 3) Beliefs should approximate reality
  • Beliefs and behavior not only have to be consistent but also have to correspond with the real world at equilibrium
rational choice only a normative theory
Rational Choice: only a normative theory ?
  • Usual criticism to the Rational Choice theory:
  • In the real world people are incapable of making all the required calculations and computations. Rational choice is not “realistic”
  • Usual answer (M.Friedman): people behave as if they were rational:
  • “In so far as a theory can be said to have “assumptions” at all, and in so far as their “realism” can be judged independently of the validity of predictions, the relation between the significance of a theory and the “realism” of its “assumptions” is almost the opposite of that suggested by the view under criticism. Truly important and significant hypotheses will be found to have “assumptions” that are wildly inaccurate descriptive representations of reality, and, in general, the more significant the theory, the more unrealistic the assumptions (in this sense). The reason is simple. A hypothesis is important if it “explains” much by little, that is, if it abstracts the common and crucial elements from the mass of complex and detailed circumstances surrounding the phenomena to be explained and permits valid predictions on the basis of them alone. To be important, therefore, a hypothesis must be descriptively false in its assumptions;it takes account of, and accounts for, none of the many other attendant circumstances, since its very success shows them to be irrelevant for the phenomena to be explained.
  • As if argument claims that the rationality assumption, regardless of its accuracy, is a way to model human behaviour Rationality as model argument (look at Fiorina article)
rational choice only a normative theory1
Rational Choice: only a normative theory ?
  • Tsebelis counter argument to “rationality as model argument” :
  • 1)“the assumptions of a theory are, in a trivial sense, also conclusions of the theory . A scientist who is willing to make the “wildly inaccurate” assumptions Friedman wants him to make admits that “wildly inaccurate” behaviour can be generated as a conclusion of his theory”.
  • 2) Rationality refers to a subset of human behavior. Rational choice cannot explain every phenomenon. Rational choice is a better approach to situations in which the actors’ identity and goals are established and the rules of interaction are precise and known to the interacting agents.
  • Political games structure the situation as well ; the study of political actors under the assumption of rationality is a legitimate approximation of realistic situations, motives, calculations and behavior.
  • 5 arguments
five arguments in defense of the rational choice approach tsebelis
Five arguments in defense of the Rational Choice Approach (Tsebelis)
  • Salience of issues and information
  • Learning
  • Heterogeneity of individuals
  • Natural Selection
  • Statistics
five arguments in defense of the rational choice approach tsebelis1
Five arguments in defense of the Rational Choice Approach (Tsebelis)
  • 3) Heterogeneity of individuals: equilibria with some sophisticated agents (read fully rational) will tend toward equilibria where all agents are sophisticated in the cases of “congestion effects” , that is where each agent is worse off the higher the number of other agents who make the same choice as he. An equilibrium with a small number of sophisticated agents is practically indistinguishable from an equilibrium where all agents are sophisticated
five arguments in defense of the rational choice approach tsebelis2
Five arguments in defense of the Rational Choice Approach (Tsebelis)
  • 3) Statistics: rationality is a small but systematic component of any individual , and all other influences are distributed at random. The systematic component has a magnitude x and the random element is normally distributed with variance s. Each individual of population will execute a decision in the interval [x-(2s), x+(2s)] 95 percent of the time. However in a sample of a million individuals the average individual will make a decision in the interval [x-(2s/1000), x+(2s/1000)] 95 percent of the time
rational choice a theory for the institutions
Rational choice: a theory for the institutions
  • In the rational choice approach individual action is assumed to be an optimal adaptation to an institutional environment, and the interaction among individuals is assumed to be an optimal response to each other. The prevailing institutions (the rules of the game) determine the behavior of the actors, which in turn produces political or social outcomes.
  • Rational choice is unconcerned with individuals or actors per se and focuses its attention on political and social institutions
advantages of the rational choice approach
Advantages of the Rational choice Approach
  • Theoretical clarity and parsimony
  • Ad hoc explanations are eliminated
  • Equilibrium analysis
  • Optimal behavior is discovered, it is easy to formulate hypothesis and to eliminate alternative explanations.
  • Deductive reasoning
  • In RC we deal with tautology. If a model does not work , as the model is still correct, you have to change the assumption (usually the structure of the game..).Therefore also the “wrong” models are useful for the cumulation of the knowledge.
  • Interchangeability of individuals
slide29

Positive political Theory: An introduction

Lecture 2: Basic tools of analytical politics

Francesco Zucchini

29

slide30

Spatial representation

  • In case of more than one dimension, we have iso-utility curves (indifference curves)
  • Utility diminishes as we move away from the ideal point
  • The shape of the iso-utility curve varies as a function of the salience of the dimensions

30

continuous utility functions in 1 dimension
Continuous utility functions in 1 dimension

Spatial representation

Utility

xi

Dimension x

slide32

..and in 2 Dimensions

Iso-utility curves or indifference curves

slide33

Spatial representation

  • In case of more than one dimension, we have iso-utility curves (indifference curves)
  • Utility diminishes as we move away from the ideal point
  • The shape of the iso-utility curve varies as a function of the salience of the dimensions

33

slide34

X

I

Y

P

Z

Indifference curve

Player I prefers a point which is inside the indifference curve (such as P) to one outside (such as Z), and is indifferent between two points on the same curve (like X and Y)‏

34

slide35

A basic equation in positive political theory

  • Preferences x Institutions = Outcomes
  • Comparative statics (i.e. propositions) that form the basis to testable hypotheses can be derived as follows:
  • As preferences change, outcomes change
  • As institutions change, outcomes change

35

slide36

A typical institution: a voting rule

  • Committee/assembly of N members
  • K = p Nminimum number of members to approve a committee’s decision
  • In Simple Majority Rule (SMR) K > (1/2)N
  • Of course, there are several exceptions to SMR
    • Filibuster in the U.S. Senate: debate must end with a motion of cloture approved by 3/5 (60 over 100) of senators
    • UE Council of Ministers: qualified majority (255 votes out of 345, 73.9 %)
    • Bicameralism

36

slide37

A proposition: the voting paradox

  • If a majority prefers some alternatives to x, these set of alternatives is called winset of x, W(x); if an alternative x has an empty winset , W(x)=Ø, then x is an equilibrium, namely is a majority position that cannot be defeated.
  • If no alternative has an empty winset then we have cycling majorities
  • SMR cannot guarantee a majority position – a Condorcet winner which can beat any other alternative in pairwise comparisons. In other terms SMR cannot guarantee that there is an alternative x whose W(x)=Ø

37

condorcet paradox
Condorcet Paradox

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

  • Imagine 3 legislators with the following preference’s orders
  • Alternatives can be chosen by majority rule
  • Whoever control the agenda can completely control the outcome
slide39

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

1,2 choose z against x but..

slide40

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

2,3 choose y against z but again..

slide41

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

1,3 choose x against y..

z defeats x that defeats y that defeats z.

whoever control the agenda can completely control the outcome
Whoever control the agenda can completely control the outcome

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

  • Imagine a legislative voting in two steps. If Leg 1 is the agenda setter..

y

x

x

z

z

whoever control the agenda can completely control the outcome1
Whoever control the agenda can completely control the outcome

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

  • If Leg 2 is the agenda setter..

x

z

z

y

y

whoever control the agenda can completely control the outcome2
Whoever control the agenda can completely control the outcome

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

  • If Leg 3 is the agenda setter.

y

z

y

x

x

slide46

Median voter theorem

  • A committee chooses by SMR among alternatives
  • Single-peak Euclidean utility functions
  • Winset of x W(x): set of alternatives that beat x in a committee that decides by SMR
  • Median voter theorem (Black): If the member of a committee G have single-peaked utility functions on a single dimension, the winset of the ideal point of the median voter is empty. W(xmed)=Ø

46

slide47

When the alternatives can be disposed on only one dimension namely when the utility curves of each member are single peaked then there is a Condorcet winner: the median voter

ranking

Leg.1

Leg.2

Leg.3

z

z

x

x

y

z

y

x

y

Utility

y

z

x

slide48

When the alternatives can be disposed on only one dimension namely when the utility curves of each member are single peaked then there is a Condorcet winner: the median voter

ranking

Leg.1

Leg.2

Leg.3

x

z

y

y

y

z

z

x

x

Utility

x

y

z

slide49

When there is a Condorcet paradox (no winner) then the alternatives cannot be disposed on only one dimension namely the utility curves of each member are not single peaked

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

2 peaks

Utility

x

y

z

slide50

When there is a Condorcet paradox (no winner) then the alternatives cannot be disposed on only one dimension namely the utility curves of each “legislator” are not ever single peaked

ranking

Leg.1

Leg.2

Leg.3

z

y

x

x

z

y

y

x

z

2 peaks

Utility

y

x

z

In 2 or more dimensions a unique equilibrium is not guaranteed

slide52

Theorems

  • Chaos Theorem (McKelvey): In a multi-dimensional space, there are no points with a empty winset or no Condocet winners, if we apply SMR (with one exception, see below). There will be chaos and the agenda setter (i.e. which controls the order of voting) can determine the final outcome
  • Plot Theorem: In a multi-dimensional space, if actors’ ideal points are distributed radially and symmetrically with respect to x*, then the winset of x* is empty
  • Change of rules, institutions (bicameralism, dimension-by-dimension voting) can produce a stable equilibrium

52

how institutions can affect the stability and the nature of the decisions example with bicameralism
How institutions can affect the stability (and the nature) of the decisions ? Example with bicameralism

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

x

z

z

y

w

w

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y

y

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x

x

x

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w

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Imagine 6 legislators in one chamber and the following profiles of preferences.

slide58

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

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w

y

y

w

x

x

x

w

w

x

z

z

2,3,5,6 prefer x to z but..

slide59

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

w

w

y

y

w

x

x

x

w

w

x

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z

1,4,5,6 prefer w to x, but..

slide60

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

w

w

y

y

w

x

x

x

w

w

x

z

z

all prefer y to w, but..

slide61

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

w

w

y

y

w

x

x

x

w

w

x

z

z

1,2,3,4 prefer z to y, ….CYCLE!

slide62

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

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w

w

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x

x

x

w

w

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z

Imagine that the same legislators are grouped in two chambers in the following way (red chamber 1,2,3 and blue chamber 4,5,6) and that the final alternative must win a majority in both chambers.

2, 3, and 5, 6 prefer x to z

slide63

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

w

w

y

y

w

x

x

x

w

w

x

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z

However now w cannot be preferred to x as in the Red Chamber only 1 prefers w to x. …once approved against z , x cannot be defeated any longer

What happen if we start the process with y ?

All legislators prefer y to w..

slide64

ranking

Leg.1

Leg.2

Leg.3

Leg.4

Leg.5

Leg.6

z

x

x

z

y

y

y

z

z

y

w

w

w

y

y

w

x

x

x

w

w

x

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z

However now z cannot be chosen against y as in the Blue Chamber only 4 prefers z to y. …once approved against w , y cannot be defeated any longer.

We have two stable equilibria: x and y. The final outcome will depend on the initial status quo (SQ)‏

If x (y) is the SQ then the final outcome will be x (y)‏

If z (w) is the SQ then the final outcome will be x (y)‏