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From robla@eskimo.com Thu Aug 1 05:10:51 1996
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Date: Thu, 01 Aug 1996 02:06:28 -0700
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From: Rob Lanphier <robla@eskimo.com>
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Reply-To: robla@eskimo.com
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X-Mailer: Mozilla 3.0b5aGold (Win95; I)
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Mime-Version: 1.0
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To: orwant@media.mit.edu
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Cc: landerso@ida.org, seppley@alumni.caltech.edu, dfb@bbs.cruzio.com
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Subject: Final Draft (sans figures)
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Content-Type: multipart/mixed; boundary="------------45A665BC72CD"
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This is a multi-part message in MIME format.
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Content-Type: text/plain; charset=us-ascii
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Hi Jon,
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Margaret will be working on some figures tomorrow, but I think the res\
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t
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of this is a done deal. I'm more than willing to do more editing as
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needed (and I could continue to work on this forever and still not be
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satisfied), but I at least have something here that I've run the spell
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checker over :)
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Bruce, Steve, and Mike, thank you for all of your help. I think this \
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is
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a much stronger article for it.
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--
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Rob Lanphier
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robla@eskimo.com
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http://www.eskimo.com/~robla
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Content-Type: text/plain; charset=us-ascii; name="pjarticle.txt"
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Content-Transfer-Encoding: 7bit
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Content-Disposition: inline; filename="pjarticle.txt"
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Perl, Politics, and Pairwise Voting: Perl as the Activist's Friend
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The U.S. Presidential elections once again draw near, and once again
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we see that it will come down to one of two men, each representing the
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two major U.S. political parties. So it goes with the two-party
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system.
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What is it that makes the two-party system a two-party system? The two
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party system is a direct consequence of plurality voting, the
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predominant form of balloting used in the United States where the
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highest vote getter wins an election. This relationship between the
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two-party duopoly and plurality voting is known as "Duverger's Law",
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after the 20th century political scientist who had the guts to call it
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a "law" (Riker, 1982).
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Duverger's Law has some disturbing consequences which leaves many
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voters dissatisfied with the status quo. Politicians will always
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claim to "feel our pain", but at least in the U.S., two-party skeptics
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abound. Recent polls have shown that nearly 60% of the American
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people would support the formation of a new major party (Barrett, 1996\
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).
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The main reason Duverger's Law rings so true is that we have a binary
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ballot that groups people into two categories: a winner and one or
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more losers. The resulting dilemmas that voters are faced with in
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siding with a winner manifest themselves several ways:
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* Because you can't please all of the people all of the time, it is
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in politicians' best interest to build divisions, and then build
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consensus among slightly over 50% of the electorate, giving them
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roughly 49% of the electorate to use as a convenient scapegoat.
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* Along the same line, specific-issue-oriented voters are encouraged
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to ally with just enough people to give themselves a majority. Thi\
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s
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gives politicians a "path of least resistance" toward which they
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can target their campaigns.
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* Ultimately, since voters are powerless to state any more than one
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preference, they are forced to take sides even when they stand in
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the middle.
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The bottom line is that the ballot doesn't let people state what they
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really feel. They can only make a crude approximation of their
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preference, and then hope that somehow, the politicians will "get
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it".
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Voters are often forced into a choice between the lesser of two
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evils. They may not like either candidate, but rather than make a
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principled stand and vote for none of the above or perhaps a lesser
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known candidate with no chance of winning, they make the strategically
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correct decision and vote.
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Have the strategy problems above ever demonstrably taken the
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electorate where it didn't want to go? Yes it has. Abraham Lincoln
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is widely considered to be the best U.S. president in history. Yet,
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for better or worse, it was largely a function of the strategic error
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of his foes that he won the gnarled four-way 1860 election with the
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smallest plurality of any president (39% of the vote), and the result
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of that election led to U.S. Civil War. (However, the numbers
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probably would have been substantially different had slaves the right
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to vote).
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In our century, the most famous three-way strategy dilemma was when
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Theodore Roosevelt, angry from losing the Republican nomination, split
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the Republican Party vote for their 1912 Nominee (and incumbent
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president) Howard Taft by creating the Bull Moose Party. This allowed
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Woodrow Wilson to win handily with a mere 42% of the vote (as opposed
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to Roosevelt's 27% and Taft's 23%). This inspired many states to
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create "sore loser" laws that keep candidates who fail to win major
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party nominations from forming third parties, and by making
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third-party ballot access much more difficult.
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Even recently, presidential politics were affected by the three-way
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split. In 1966, Thomas Finan and Carlton Sickles, two relatively
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liberal candidates from the left-of-center state of Maryland split the
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vote within the state Democratic party nominations for governor. This
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led to conservative George P. Mahoney winning the Democratic
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nomination, only to be beaten by Spiro Agnew, who went on to be Vice
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President under Richard Nixon. When Agnew resigned in 1973, it opened
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the door for Gerald Ford to be appointed Vice President, and then
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later President. A tenuous connection to the presidency, albeit, but
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a very real one, nonetheless. (Anderson, 1994)
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Much more serious threats to democracy have been the candidacies that
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"might have been". Since our system discourages anything but a
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two-candidate race, we seldom see more. Rosenstone, Behr, and Lazarus
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point out that that few qualified candidates would run under a
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third-party label because of the disadvantages they are often faced
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with (1984). For instance, they point out the bias that third-party
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candidacies face in the media by quoting James M. Perry of The Wall
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Street Journal:
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We base [our decision] on the simple proposition that readers
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don't want to waste their time on someone who won't have a role in
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the campaign. We're not going to run a page-one spread on a fring\
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e
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candidate. We don't have a multiparty system. Until we do,
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nobody's going to cover these candidates. (Rosenstone, et. al,
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1984).
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With such biases built into the system, it is little wonder that third\
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-
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party candidates can't gain the critical mass of support necessary to
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become a credible threat. A pragmatic, intelligent potential
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candidate might look at the seemingly insurmountable odds and not run
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as a third-party candidate. Thus, the dearth of credible third-party
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candidates becomes the self-fulfilling prophecy, and the two-party
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duopoly maintains control of the system.
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The Preference Ballot
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The key to breaking this lock is to allow voters the ability to vote
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for candidates regardless of their perceived odds of winning. To do
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this, we must expand the power of the ballot. This can be done many
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ways, but the method that I will discuss here is the ranked ballot, or
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"preference ballot" as shown below:
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<table>
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<tr><td rowspan=2>2</td><td>Fred Flintstone&\
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lt;/td></tr>
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<tr><td>Wilma Flintstone</td></tr>
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<tr><td>3</td><td>Barney Rubble</td>&l\
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t;/tr>
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<tr><td>1</td><td>Betty Rubble</td><\
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;/tr>
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</table>
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The great thing about preference votes is that preference votes
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express a voter's thoughts much better than a vote-for-one ballot,
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allowing them to "bargain for a compromise" should their top choice
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not be very popular. This allows people greater flexibility in
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casting protest votes, while not throwing the election to the evilest
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candidate (not that Wilma Flintstone is evil; this is just an
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example).
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The ranked ballot does a great job at limiting strategy, but it
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doesn't eliminate it completely, no matter which way you count it.
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Political scientists have debated the relative merits of ranked
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ballots for years, and many of the discussions have centered around
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Arrow's Impossibility Theorem.
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Impossibility Theorems
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Political scientists have been debating for some time now about
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whether or not it's even possible to come up with a way to tally
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preference votes. Most of the debate started with Arrow's
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Impossibility Theorem, which claims that any system where people are
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allowed to freely and exactly list their preferences has a major
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defect in it. Arrow proves this by showing a series of conditions for
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fairness, not all of which may be satisfied simultaneously.
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Arrow's criteria are a bit too complicated to be easily summarized
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here, but other mathematicians have tweaked and fiddled with the
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conditions, and have come up their own sets of conditions. Fishburn
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and Brams (1983) came up with a particularly concise set, which are
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listed below:
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<U>No-Show Paradox</U>: The addition of identical ball\
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ots with
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candidate x ranked last may change the winner from another
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candidate to x.
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<U>Thwarted-Majorities Paradox</U>: A candidate who ca\
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n defeat
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every other candidate in direct-comparison majority votes may lose
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the election. [This is also known as the <i>Condorcet
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criterion</i>, named after the 18th century election theoris\
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t who
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popularized it.]
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<U>Multiple-Districts Paradox</U>: A candidate can win\
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in each
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district separately, yet lose the general election in the combined
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districts.
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<U>More-is-less Paradox</U>: If the winner were ranked\
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higher by
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some voters, all else unchanged, then another candidate might have
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won.
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Fishburn and Brams maintain in their 1983 paper that at least one of
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these four paradoxes will be possible in any election method that uses
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a ranked ballot. One may make the case that since all voting systems
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are vulnerable to at least one of these paradoxes, that a perfect
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system doesn't exist. However, there are those that question just how
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reasonable satisfying all of possible criteria are, and thus question
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the pragmatic value of this line of reasoning. (Anderson, 1994).
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In preference voting as in anything else, it's not going to be
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possible to please all of the people all of the time. This means we
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are stuck with the task of merely minimizing the sticking points
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rather than pursuing the holy grail of a perfect system. There are
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many (myself included) who believe that we can reduce the flaws to
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rare circumstances.
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The Borda Method
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This is probably the best known method within the United States for
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tallying ranked ballots. It is used by the Associated Press and the
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United Press International to determine the champions in NCAA college
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sports. Sports writers or coaches are asked to rank the 25 best
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teams, and then the top team on each ballot gets 25 votes, the second
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team gets 24, and so on. The top vote getters are ranked by votes
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received.
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This relatively simple method is easy to understand, hence, its
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appeal. However, it discourages people from ranking anything but
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their top preference, thus making it difficult to derive compromise
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candidates from their vote. Consider a three way election between Joe
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Left, Sally Middle, and Martha Right. I will use this example to
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describe an election where a reasonable compromise (Sally Middle)
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exists between two somewhat popular extremes. Given that the seat in
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question must go to one person and only one, it seems reasonable that
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the middle candidate be chosen. Let's say the sincere wishes of these
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voters are shown in Figure A:
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Insert rl-FigA.gif here:
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Figure A
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If Borda's method is used, where the first place candidate on the
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ballot receives two points per ballot, and the second place candidate
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receives one point per ballot, then the following result will occur:
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Borda Points Awarded
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Joe Sally Martha
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Left Middle Right
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================================
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+---------------------+
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40 | Joe Left |
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ballots | 2 Sally Middle | 40 80
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| 1 Martha Right |
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+---------------------+
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+---------------------+
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9 | Joe Left |
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ballots | 1 Sally Middle | 18 9
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| 2 Martha Right |
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+---------------------+
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+---------------------+
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16 | 2 Joe Left |
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ballots | 1 Sally Middle | 16 32
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| Martha Right |
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+---------------------+
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+---------------------+
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35 | 1 Joe Left |
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ballots | 2 Sally Middle | 70 35
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| Martha Right |
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+---------------------+
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===============================
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86 125 89
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Figure B
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The good news here is that Borda's method does indeed choose the
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compromise <i>when everyone votes sincerely</i>. However,
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strategically speaking, if Martha Right supporters have a good idea of
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what the poll numbers are, they can (and should) drop Sally Middle off
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of their ballot. If all Martha Right supporters do this, they cause a
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40 point drop in Sally Middle's Borda score, causing Martha Right to
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win.
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Even if some Martha Right supporters don't do this, it is likely many
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Joe Left supporters will do the same thing in absence of 100% accurate
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polling numbers. (i.e. if they think that Joe Left has a shot at
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winning.) Thus Borda picks a compromise when voters naively list all
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of their preferences, but fails when voters catch on to how to "game"
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the system.
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The biggest problem with Borda's method is that it fails to meet the
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"thwarted majorities" criterion that Fishburn and Brams listed. This
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is arguably one of the most important criterion in determining the
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winner in a single-winner method, and thus, many examples like the one
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above can be created.
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The "Hare" Method
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The Hare method is perhaps the best known method for tabulating
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"preference ballots" outside of the United States. It was invented in
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1860 by Thomas Hare. It's used in Australia and Ireland for
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single-office elections. Preference ballots are tabulated counting
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only the first-place candidate on each ballot. The candidate with the
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fewest number of first place votes is eliminated, and these ballots
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are transferred to their second place counterparts.
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The Hare method is a popular way of eliminating primaries and allowing
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people to vote for potentially unpopular alternatives to the two
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"major" candidates without fear of "wasting" one's vote. It does a
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pretty good job of eliminating strategy and in many ways is a
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substantial improvement over winner-takes-all.
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Using Hare to tally the results from Figure A, we tally the first
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choices to find that Martha Right receives 40% of the vote, Joe Left
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receives 35% of the vote and Sally Middle is eliminated with only 25%
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of the vote. The votes for Sally Middle are redistributed based on the
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second choice of those voters and Joe Left then wins with 51% of the
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vote.
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Thus, Hare falls short when considering popular compromises, such as
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Sally Middle, also because it fails the Condorcet criterion.
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Pairwise Election Methods
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Under a class of election methods known as "pairwise" methods the
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election above would result in a different winner. The relative
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election results of every possible combination of two candidates is
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tallied and the winner of every relevant pairwise election is declared
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winner of the overall election.
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In the above example, the results of the pairwise elections would be
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as follows:
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Joe Left (51%) vs Martha Right (49%)
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Sally Middle (60%) vs Martha Right (40%)
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Sally Middle (65%) vs Joe Left (35%)
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Sally Middle beats both Joe Left and Martha Right, and therefore wins
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the election overall.
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What distinguishes the different pairwise election methods from one
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another is how they deal with circular preferences. A circular
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preference is one where the outcome results in one candidate defeating
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another who in turn defeats our original winner. This isn't
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necessarily a flaw in pairwise systems. One may say that this is a
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sign that the electorate is ambivalent about who should be the winner.
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Some theorists, such as Charles Dodgson (a.k.a. Lewis Carroll, author
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of _Alice in Wonderland_), claim that if a single winner can't be
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found, then the election should be called off (Levin and Nalebuff,
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1995).
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Nonetheless, many pairwise methods have been designed to deal with
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this problem. This is a list of descriptions of pairwise elections,
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and how the various methods deal with that case:
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* Condorcet's Method
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Condorcet's method is probably the most well known of these
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methods. Each voter's list is used to simulate how that voter
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would have voted in pairwise elections between each of the
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candidates listed on the ballot, and between those listed on the
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ballot and those that aren't. Separate tallies of every possible
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two-way election are kept, and the winner is the candidate that
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wins all two-way elections. Circular preferences are resolved in
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Condorcet's method by choosing the candidate whose largest
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pairwise defeat is the smallest, as measured by how many voters
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explicitly voted for another candidate over said candidate.
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The reason why many election reformers prefer this method is that,
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under most plausible circumstances, it solves the "lesser of two
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evils" problem described above, which many consider to be
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<i>the</i> litmus for determining a good pairwise meth\
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od.
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However, as Bruce Anderson, a mathematician for the Institute for
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Defense Analyses notes, in presumably rare circumstances, it may
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produce unexpected results.
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* Smith's Method
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Smith's Method isn't so much pairwise tie breaker as it is a
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method of determining which candidates should qualify to be in a
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tie-breaker. The "Smith Set" is the smallest non-zero set of
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candidates who beat all the candidates outside the set in all
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pairwise elections. Not all pairwise methods will pick a member
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of the Smith Set (most notably, Condorcet's method) yet
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intuitively, one would hope that the winner is picked from this
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set. Smith's method, therefore, makes a good precondition to a
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tie-breaker such as Condorcet's.
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* Copeland's Method
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Copeland's Method computes the winner of the election by
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counting the number of pairwise wins, losses, and ties for each
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candidate. The candidate with the best "record" wins the
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election, much in the same way that a sports team with the best
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record gets the top seed in that sport's playoffs. The easy
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analogy to sports makes this method much easier to explain and
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comprehend than other methods.
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One problem with Copeland's Method, much like Smith's method, is
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prone to ties, and so is often paired with another tie breaker.
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Also, it is vulnerable to a problem where if there are three
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parties that are locked in a three-way tie, the party that has the
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most candidates on the ballot will probably have the winning
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candidates. This is because they win the most pairwise matchups,
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even though many of their victories will come from intraparty
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matchups. This may encourage parties with sufficient funds to
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run very large numbers of similar candidates in order to skew the
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election in their favor.
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There are several other methods that exist for choosing a winner in a
|
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preference balloted election, many of which provide a defensible set
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of criteria which they satisfy. For those of us trying to educate
|
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people on alternative election methods, our goal has been to come up
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with the most important criterion and find the election method which
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best meets those criteria.
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What's this got to do with Perl?
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For many of us who aren't mathematicians by trade, it becomes
|
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difficult to debate the relative merits of the different methods
|
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without a way of visualizing some examples. The solution was to write
|
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a program which shows the data in an easy to understand format.
|
|
Now it's time to do a little preaching to the choir. I chose to write
|
|
this program in Perl for several reasons, many of which are all too
|
|
familiar to Perl affectiondos. However, they bear repeating in the
|
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context of programs for elections:
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* Perl is freely available, with source code - This is a particularly
|
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crucial feature for something that may serve in the public sphere.
|
|
Though there are relatively few voters with the knowledge or
|
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initiative to dig down into the source code, there is a certain
|
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peace-of-mind that can be derived from knowing that anyone can dig
|
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into the underbelly of this vote-counting machine at any time (or
|
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pay for someone to do it on their behalf.)
|
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|
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* Perl is available on many platforms - Since Perl is available on so
|
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many platforms, very few people with a computer are shut out from
|
|
using it. This means election results can be verified on a very
|
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wide range of computers. Having the source available also ensures
|
|
that it will be possible to port it to new platforms as they become
|
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available.
|
|
* Limitless arrays - Since array sizes don't need to be
|
|
predetermined, I was able to easily write this such that it will
|
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accept as many candidates and votes as the host computer will
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allow.
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* CGI Standard - CGI programming has become today's standard in
|
|
cross-platform GUI development, and Perl is the standard for
|
|
writing CGI programs. Using HTML tables made this task so much
|
|
easier, since most web browsers that support tables can be counted
|
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on to display the information produced by my program clearly.
|
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* Speed of development - My initial prototype really wasn't that
|
|
tough to write, and constituted very little source |