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Multiple votes, multiple candidacies and polarization

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Abstract

We use the citizen-candidate model to study the differential incentives that alternative voting rules provide for candidate entry, and their effect on policy polarization. In particular, we show that allowing voters to cast multiple votes leads to equilibria which support multiple candidate clusters. These equilibria are more polarized than those obtained under the Plurality Rule. This result differs from the one obtained in the existing literature, where the set of candidates is exogenous. Thus, our paper contributes to the scholarly literature as well as public debate on the merits of using different voting rules by highlighting the importance of endogenous candidacy.

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Notes

  1. Under Approval Voting, every citizen can vote for as many candidates as she wishes, and the candidate with the most votes is elected. Approval Voting was popularized by Brams and Fishburn (1978). It is currently used by several professional and academic associations to elect their officers, and by the UN to elect its secretary general. For recent scholarship on this topic see Laslier and Sanver (2010) edited handbook.

  2. The phenomenon we call multiple candidacies has been previously referred to as “duplicate candidacies” in Myerson (2002) and is related to the concept of “clone candidates” in Tideman (1987).

  3. The assumption of a unidimensional policy space is made to facilitate comparison with related contributions (e.g., Cox 1987, 1990; Myerson and Weber 1993), in which the policy space is assumed to be a closed interval on the real line.

  4. A continuum of citizens is assumed in order to be consistent with the sincere voting assumption. Indeed, a sincere voting profile (as any other voting profile) is then a Nash equilibrium given that no vote can ever be pivotal.

  5. Formally, we endow \(\mathcal {N}\) with the structure of a probability space \((\mathcal {N}, \Sigma , \mu )\) with a sigma algebra \(\Sigma \) and a probability measure \(\mu \). Let a \(\Sigma \)-measurable function \(\chi {:}\, \mathcal {N} \rightarrow X\) assign to each citizen \(n \in \mathcal {N}\) an ideal policy \(x_n \in X\). The probability measure \(\mu \) then induces a cumulative distribution function \(F(\cdot )\) on X such that \(F(y)=\mu \{n \in \mathcal {N}:x_n \le y\}.\)

  6. Lee et al. (2004) provides empirical support for this assumption. Moreover, our main conclusion—i.e., \(\left( s,t\right) \)-rules can support more, not less, policy polarization than the Plurality Rule—would become trivial if we were to relax this assumption. Indeed, if candidates can commit on implementing policies other than their ideal ones, then only policies close to the median are supported by equilibria under the Plurality Rule; polarization is then minimal in Plurality Rule elections. Relatedly, Dellis and Oak (2007) adopts the citizen-candidate approach, as in the current paper, but with strategic voting behavior. They show that when candidates cannot commit on implementing policies other than their ideal ones, Approval Voting supports less policy polarization than the Plurality Rule, while the reverse is true when candidates can commit on implementing any policy. The key feature underlying this result is again the possibility for multiple candidate clusters.

  7. All the results and proofs for an arbitrary finite number of positions are available from the authors upon request.

  8. Assuming a finite number of potential candidates provides a justification for why potential candidates are strategic when making their candidacy decision, but sincere when making their voting decision.

  9. Observe that \(s\ge 1\) rules out complete abstention. Such abstention can be ignored here since voting is costless and information is complete; with a finite (possibly large) electorate, complete abstention would be weakly dominated by a sincere vote.

  10. To give an example, if three candidates are standing for election (i.e., \( c=3 \)), then each voter must vote for exactly one candidate if \(s=t=1\), for exactly two candidates if \(t\ge s\ge 2\), and for at least one candidate and at most two candidates if \(s=1\) and \(t\ge 2\).

  11. i.e., measurable with respect to \(\Sigma \), the sigma algebra defined on \(\mathcal {N}\).

  12. In Sect. 5 of the paper we discuss alternatives to this definition of sincere voting.

  13. Formally, if every citizen in a set A is indifferent between casting h votes among k (\(>h\)) candidates, then each of these k candidates receives a mass \(\frac{h}{k}\mu \left( A\right) \) of votes from the citizens in A.

  14. If \(y<1/3\), he loses outright. If \(y=1/3\), all three candidates tie for first place. In this case, the candidate at \(x_{M}\) does not want to enter the race since his expected utility gain is equal to \(\left( 1/3\right) \left( 1/3\right) =1/9\), which is smaller than the candidacy cost \(\delta =1/5\).

  15. This extreme case follows from the uniform distribution of ideal tax rates, which is used here for expositional purposes.

  16. Observe that this cannot be possible under the Plurality Rule since \(t=1\) and, as noted above, there cannot be more than t candidates at a position. Hence, we already have the contradiction in the case of the Plurality Rule.

  17. Example 1 in the supplementary material contains a 3-position equilibrium under Approval Voting.

  18. This observation, together with the fact that the set of policies supported by 1- and 2-position equilibria is an interval centered around the median m, is proven formally in Lemma 4 in the Appendix.

  19. Observe that, as stated in Proposition 1, an \(\left( s,t\right) \)-rule where \(1<s=t\le p\) can, for some distributions of citizens’ ideal policies, support the same level of polarization as the Plurality Rule. This happens for example when the distribution of ideal policies is so concentrated around the median m that only 1-position equilibria exist.

  20. Observe that all \(\left( s,t\right) \)-rules with \(s=t>p\) support the same level of polarization. This is because their equilibrium sets are equivalent. This is easily seen given that: (1) their 1-position equilibrium sets are equivalent (by Lemma 1); (2) a pair \(\left\{ x_{L},x_{R}\right\} \) is supported by a 2-position equilibrium under any \(\left( s,t\right) \)-rule where \(s=t>p\) if and only if \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2} \ge \delta >-u\left( \left| x_{L}-x_{M}\right| \right) \), with p candidates at each of the two positions, a condition which is identical for all \(\left( s,t\right) \)-rules with \(s=t>p\) (by Lemma 2); and (3) there are no 3-position equilibria (by Lemma 3). This observation, together with Proposition 1 (and Proposition 2 below), implies that the \(\left( s,t\right) \)-rules with \(s=t>p\) are the ones in the family of \(\left( s,t\right) \)-rules that support the least polarization.

  21. Situations where \(p<t\) are easier to understand. Since \(p<t\), a candidate at \(x_{M}\) entering the race would receive a vote from every citizen and win the election outright. Only the less polarized 2-position equilibria can therefore be supported under the \(\left( t,t\right) \)-rule. It follows trivially that the \(\left( s,t\right) \)-rule can support more polarized 2-position equilibria.

  22. Observe that the voting profile under the \(\left( t,t\right) \)-rule (as described in the discussion of Proposition 1) differs only in that the citizens in the middle vote for \(\left( t-1\right) \) of the t candidates at \(x_{L}\) (if they are centre-leftists) or for \(\left( t-1\right) \) of the t candidates at \(x_{R}\) (if they are centre-rightists); they do not vote for all the t candidates standing at that position.

  23. Observe that the key difference between \(\left( s,t\right) \)-rules that allow partial abstention and \(\left( s,t\right) \)-rules that do not, and a driving force behind Proposition 2, is the greater multiplicity of sincere vote profiles under the former rules. Interestingly, the desirability of the greater multiplicity of voting profiles under Approval Voting as compared to the Plurality Rule has been the object of a heated debate. On the one hand, Donald Saari argues that the greater multiplicity of voting profiles is a detriment since it makes the election outcome under Approval Voting highly indeterminate (e.g., Saari and Newenhizen 1988; Saari 2001). On the other hand, Steven Brams argues that the greater multiplicity of voting profiles is beneficial since it makes Approval Voting responsive to voters’ preferences (e.g., Brams et al. 1988; Brams and Sanver 2006).

  24. One may object that the result in Proposition 2 follows because the notion of sincere voting does not put enough restrictions on exactly how many candidates a citizen votes for. One may then want to consider an alternative definition of sincere voting, namely, pure sincerity (to use a terminology proposed in Merrill and Nagel 1987). A voting decision for a citizen is purely sincere if (1) she votes for as many as possible of the candidates from whom she gets at least as much utility as the average utility over the whole set of candidates, and 2) she votes for as few as possible of the candidates for whom she gets less utility than the average utility over the whole set of candidates. (Fishburn and Brams 1981 argues that this is the way citizens should be voting under Approval Voting). Under pure sincerity, we find that (1) the level of polarization supported by \(\left( s,t\right) \)-rules where \(p<t\), whether \(s<t\) or \( s=t \), is smaller than, or the same as, the level of polarization supported by the Plurality Rule, whereas (2) the level of polarization supported by \(\left( s,t\right) \)-rules where \(p\ge t>s=1\), is greater than, or the same as, the level of polarization supported by the Plurality Rule. (A complete characterization of equilibria under pure sincerity is available from the authors.) This is because in the second group the same logic as under the assumption of sincere voting applies, whereas in the first group a candidate at \(x_{M}\) running against candidates at \(x_{L}\) and at \(x_{R}\) would necessarily receive a vote from every citizen and win outright. Observe that Approval Voting belongs to the first group (\(t=3p>p\ge s=1\)). It follows that whether Approval Voting would support more or less polarization than the Plurality Rule depends on the way citizens would vote. Whether citizens would vote sincerely, purely sincerely or otherwise is an empirical question.

  25. When \(\beta \ge 2\delta \), the differences in candidacy incentives across voting rules get (partly) dominated by the effect of office-motivation, muddying the analysis. With \(\beta \ge 2\delta \), the set of 1-position equilibria need no longer be equivalent under every voting rule. This is because two or more candidates want to stand for election. As a result, the characterization of 1-position equilibria involves sets of candidates of cardinality three or more (at least two candidates, plus one entrant). With three or more candidates, different \(\left( s,t\right) \)-rules may elect different candidates. Hence, 1-position equilibria need no longer be equivalent under all voting rules. Moreover, with \(\beta \ge 3\delta \), 2-position equilibria may involve candidates at \(x_{M}\), and 3-position equilibria may exist even under \(\left( s,t\right) \)-rules where \(s=t\).

  26. An example illustrating the above discussion (Example 3) is provided in the online appendix.

  27. The Alternative Vote Rule is a voting rule which is currently used for lower House elections in Australia and for presidential elections in Ireland. Moreover, it has recently gained popularity in the electoral reform debate, having been proposed as a replacement to the Plurality Rule (e.g., in British Columbia, Canada in 2009 and in the UK in 2011). Under the Alternative Vote Rule, every voter ranks the candidates from first to last. A candidate is elected if he is ranked first on a majority of ballots. Otherwise, the candidate who receives the smallest number of first-place votes is eliminated and his first-place votes are transferred to the candidates who are ranked next on those ballots. If one of the remaining candidates now receives a majority of first-place votes, he is elected. Otherwise, a second candidate is eliminated and the process is repeated until one candidate receives a majority of first-place votes.

  28. Throughout the proofs we shall use the tilde to refer to a situation in which a potential candidate has deviated from his candidacy strategy.

  29. This follows from \(c_{R}>c_{L}\ge s\) and the definition of sincere voting (according to which a citizen who is not indifferent between all candidates votes for as many of her most-favorite candidates and for as few of her least-favorite candidates as possible). This property is used repeatedly throughout the proof.

  30. This follows straightforwardly if \(\widehat{c}_{L}=\widehat{c}_{R}=s\). If \( \widehat{c}_{L}=\widehat{c}_{R}>s\), it follows from \(\widehat{c}_{L}= \widehat{c}_{R}>1\) and \(-\frac{u\left( \left| \widehat{x}_{L}-\widehat{x} _{R}\right| \right) }{2\left( \widehat{c}_{L}+\widehat{c}_{R}-1\right) } \ge \delta \).

  31. To see this, assume by way of contradiction that \(F\left( \overline{x} ^{\prime }\right) \ge \frac{1}{2}+\frac{t}{1+t}F\left( \underline{x} ^{\prime }\right) \). Observe that \(F\left( \overline{x}\right) \ge 1-F\left( \underline{x}\right) \) and \(F\left( \overline{x}\right) \le \frac{ 1}{2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) - \frac{1}{2}\right] \) imply \(F\left( \underline{x}\right) \ge \frac{1}{2} \frac{t+1}{2t+1}\). Also, \(F\left( \overline{x}^{\prime }\right) <1-F\left( \underline{x}^{\prime }\right) \) and \(F\left( \overline{x}^{\prime }\right) \ge \frac{1}{2}+\frac{t}{1+t}F\left( \underline{x}^{\prime }\right) \) imply \(F\left( \underline{x}^{\prime }\right) <\frac{1}{2}\frac{t+1}{2t+1}\). Taken together, these two implications give \(F\left( \underline{x}\right) >F\left( \underline{x}^{\prime }\right) \); a contradiction.

  32. To see this, assume by way of contradiction that \(F\left( \overline{x} ^{\prime }\right) \ge \frac{1}{2}+F\left( \underline{x}^{\prime }\right) \). Since \(F\left( \underline{x}\right) <F\left( \underline{x}^{\prime }\right) \) and \(F\left( \overline{x}\right) >F\left( \overline{x}^{\prime }\right) \), we then get \(F\left( \overline{x}\right) >\frac{1}{2}+F\left( \underline{x} \right) \). The latter, together with \(F\left( \overline{x}\right) \le \frac{ 1}{2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) - \frac{1}{2}\right] \), implies \(F\left( \underline{x}\right) >1/2\); a contradiction.

  33. This is illustrated for some \(\left( s,t\right) \)-rules in the examples presented in the paper and in the online appendix. More generally, this happens for example when: 1) \(s<t\le p\); 2) there is a 2-position equilibrium under the \(\left( s,t\right) \)-rule where \(s\le c_{L}=c_{R}<t\) under the \(\left( s,t\right) \)-rule; and 3) \(F\left( \overline{x}\right) < \frac{1}{2}+F\left( \underline{x}\right) \), \(F\left( \overline{x}\right) \ge 1-F\left( \underline{x}\right) \), \(F\left( \overline{x}\right) >\frac{1 }{2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{ 1}{2}\right] \) and \(\delta \le -u\left( \left| x_{L}-x_{M}\right| \right) \). In this case a potential candidate at \(x_{M}\) would want to enter against candidates at \(x_{L}\) and \(x_{R}\) when the election is held under the \(\left( t,t\right) \)-rule. As a result, a 2-position equilibrium would not exist under the \(\left( t,t\right) \)-rule.

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Correspondence to Arnaud Dellis.

Additional information

We would like to thank, for their valuable comments, Steve Brams, Gary Cox, Jean-François Laslier, Matias Nunez and an anonymous referee. We would also like to thank seminar participants at University of Queensland, Toulouse School of Economics, University of Heidelberg, Universite de Cergy-Pontoise–THEMA and University of Bologna as well as the participants at the CIRPEE-IAST-TSE-IUF Workshop “Elections and Electoral Institutions”. Part of this work was carried out while Dellis was visiting the Toulouse School of Economics. The hospitality of this institution is gratefully acknowledged. Similarly, Oak would like to acknowledge the hospitality of the Indian Institute of Management, Bangalore.

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Appendix

Appendix

Proof of Lemma 1

Let \(\left( e,\alpha \right) \) be a 1-position equilibrium. If two or more candidates with the same ideal policy were standing for election, one of them would be strictly better off deviating from his candidacy strategy and not stand for election since his ideal policy would still be adopted with probability one and he would save on the candidacy cost \(\delta \). Hence, a single candidate stands for election.

(Necessity) Let e be a candidacy profile such that \(e_{i}=1\) for potential candidate \(i\in \mathcal {P}\) and \(e_{j}=0\) for every \(j\in \mathcal {P}\), \(j\ne i\). Suppose \(x_{i}=x_{L}\). If a potential candidate j with \(x_{j}=x_{R}\) were to enter the race, candidates i and j would split the votes equally (since \(u\left( \left| x_{L}-m\right| \right) =u\left( \left| x_{R}-m\right| \right) \)) and each would be elected with probability 1/2. As a result, if Condition (2) were to fail, candidate j would want to run against candidate i and would be better off deviating from his candidacy strategy. The same argument applies if \( x_{i}=x_{R}\).

(Sufficiency) If \(x_{i}=x_{M}\) (i.e., Condition (1) is satisfied), then no potential candidate at \(x_{L}\) or \(x_{R}\) wants to enter the race since he would be defeated. If \(x_{i}=x_{L}\) (resp. \(x_{R}\)), then Condition (2) implies no \(j\in \mathcal {P}\) with \(x_{j}=x_{R}\) (resp. \(x_{L}\)) wants to enter the race. Moreover, the concavity of \(u\left( .\right) \) implies \( u\left( \left| x_{L}-x_{M}\right| \right) \ge \frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\) which, together with Condition (2), implies no candidate \(j\in \mathcal {P}\) with \(x_{j}=x_{M}\) wants to stand against candidate i. \(\square \)

Proof of Lemma 2

Let \(\left( e,\alpha \right) \) be a 2-position equilibrium. With only two positions, sure losers would be better off deviating from their candidacy strategy and not run for election. Hence all candidates must be tying for first place. The proof is in four parts.

We first establish the necessity of Condition (1). Assume, by way of contradiction, that \(x_{i}\in \left\{ x_{L},x_{M}\right\} \) for every candidate \(i\in \mathcal {C}\left( e\right) \). Denote by \(c_{L}\) (resp. \( c_{M} \)) the number of candidates at \(x_{L}\) (resp. \(x_{M}\)). We proceed in four steps to establish the contradiction.

Step 1 \(c_{h}\le t\) for every \(h\in \left\{ L,M\right\} \). Assume, by way of contradiction, that \(c_{M}>t\). To simplify notation, we denote by \(V_{h}\equiv V_{h}\left( \mathcal {C},\alpha \right) \) the vote total of a candidate at \(x_{h}\). Since all candidates tie for first place, it must be that \(V_{L}=V_{M}\). Suppose a candidate i at \(x_{M}\) were to deviate by not running for election. We let \(\widetilde{\mathcal {C}}\equiv \mathcal {C}{\backslash } \left\{ i\right\} \) and denote by \(\widetilde{V} _{h}\equiv V_{h}\left( \widetilde{\mathcal {C}},\alpha \right) \) the vote total of every remaining candidate at \(x_{h}\) following candidate i’s deviation.Footnote 28 Given \(c_{M}>t\), the vote total of each candidate at \(x_{L}\) would remain unchanged, i.e., \(\widetilde{V}_{L}=V_{L}\). At the same time, the vote total of each candidate at \(x_{M}\) would strictly increase, i.e., \(\widetilde{V} _{M}=\frac{c_{M}}{c_{M}-1}V_{M}>V_{M}\). It follows that \(\widetilde{V}_{M}> \widetilde{V}_{L}\), and \(x_{M}\) is now adopted with probability one. Candidate i is therefore strictly better off deviating since his ideal policy is adopted with higher probability and he saves on the candidacy cost; a contradiction. Hence \(c_{M}\le t\). A similar argument implies \( c_{L}\le t\).

Step 2 \(c_{h}<s\) for every \(h\in \left\{ L,M\right\} \). Given \(c_{M}\le t\), \(V_{M}\ge 1-F\left( \underline{x}\right) \). If \( c_{M}\ge s\), then no citizen with ideal policy \(x>\underline{x}\) casts a vote for a candidate at \(x_{L}\). This, together with \(c_{L}\le t\), implies \( V_{L}=F\left( \underline{x}\right) \). Since \(F\left( \underline{x}\right) <1/2\), \(V_{M}>V_{L}\); a contradiction. Hence, \(c_{M}<s\).

If \(c_{L}\ge s\), then vote totals are equal to

$$\begin{aligned} \left\{ \begin{array}{l} V_{L}=F\left( \underline{x}\right) +\left( \frac{s-c_{M}}{c_{L}}\right) \left[ 1-F\left( \underline{x}\right) \right] \\ V_{M}=1-F\left( \underline{x}\right) . \end{array} \right. \end{aligned}$$

Moreover, \(V_{L}=V_{M}\) implies \(x_{M}\) is adopted with probability \(\pi _{M}=\frac{c_{M}}{c_{L}+c_{M}}<1/2\). Suppose another potential candidate at \( x_{M}\) were to enter the race. (We know he exists since \(c_{M}<s\le c_{L}\le p\).) Vote totals would become

$$\begin{aligned} \left\{ \begin{array}{l} \widetilde{V}_{L}=F\left( \underline{x}\right) +\left( \frac{s-c_{M}-1}{c_{L} }\right) \left[ 1-F\left( \underline{x}\right) \right] <V_{L} \\ \widetilde{V}_{M}=1-F\left( \underline{x}\right) =V_{M}. \end{array} \right. \end{aligned}$$

It follows that \(\widetilde{V}_{M}>\widetilde{V}_{L}\), and \(x_{M}\) is adopted with probability \(\widetilde{\pi }_{M}=1\). Given \(\pi _{M}<1/2\), a potential candidate at \(x_{M}\) is strictly better off entering the race; a contradiction. Hence \(c_{L}<s\).

Step 3 \(c_{M}<c_{L}\). Given that \(c_{h}<s\) for every \( h\in \left\{ L,M\right\} \), candidates’ vote totals are given by

$$\begin{aligned} \left\{ \begin{array}{l} V_{L}=F\left( \underline{x}\right) +\frac{\min \left\{ c_{L}+c_{M}-1,s\right\} -c_{M}}{c_{L}}\left[ 1-F\left( \underline{x}\right) \right] \\ V_{M}=\frac{\min \left\{ c_{L}+c_{M}-1,s\right\} -c_{L}}{c_{M}}F\left( \underline{x}\right) +\left[ 1-F\left( \underline{x}\right) \right] . \end{array} \right. \end{aligned}$$

Simple algebra and \(F\left( \underline{x}\right) <1/2\) establish that \( V_{M}=V_{L}\) only if \(c_{M}<c_{L}\). Observe that \(c_{M}<c_{L}\) implies \( x_{M} \) is adopted with probability \(\pi _{M}=\frac{c_{M}}{c_{M}+c_{L}}<1/2\).

Step 4 Suppose another potential candidate at \(x_{M}\) were to enter the race. (We know he exists since \(c_{M}<c_{L}\le p\).) There are two possibilities.

One possibility is \(\left( c_{L}+c_{M}\right) \le s\), in which case every citizen casts \(\left( c_{L}+c_{M}\right) \) votes instead of \(\left( c_{L}+c_{M}-1\right) \). In this case the vote totals become

$$\begin{aligned} \left\{ \begin{array}{l} \widetilde{V}_{L}=V_{L}=F\left( \underline{x}\right) +\left( \frac{c_{L}-1}{ c_{L}}\right) \left[ 1-F\left( \underline{x}\right) \right] \\ \widetilde{V}_{M}=\frac{c_{M}}{c_{M}+1}F\left( \underline{x}\right) +\left[ 1-F\left( \underline{x}\right) \right] >\frac{c_{M}-1}{c_{M}}F\left( \underline{x}\right) +\left[ 1-F\left( \underline{x}\right) \right] =V_{M}. \end{array} \right. \end{aligned}$$

Thus, \(\widetilde{V}_{M}>\widetilde{V}_{L}\) and \(\widetilde{\pi }_{M}=1\).

The other possibility is \(\left( c_{L}+c_{M}\right) >s\), in which case every citizen will cast exactly s votes before and after the entry of another candidate at \(x_{M}\). In this case the vote totals become

$$\begin{aligned} \left\{ \begin{array}{l} \widetilde{V}_{L}=F\left( \underline{x}\right) +\left( \frac{s-c_{M}-1}{c_{L} }\right) \left[ 1-F\left( \underline{x}\right) \right] <F\left( \underline{x} \right) +\left( \frac{s-c_{M}}{c_{L}}\right) \left[ 1-F\left( \underline{x} \right) \right] =V_{L} \\ \widetilde{V}_{M}=\frac{s-c_{L}}{c_{M}+1}F\left( \underline{x}\right) +\left[ 1-F\left( \underline{x}\right) \right] <\frac{s-c_{L}}{c_{M}}F\left( \underline{x}\right) +\left[ 1-F\left( \underline{x}\right) \right] =V_{M}. \end{array} \right. \end{aligned}$$

Simple algebra establishes that \(V_{L}=V_{M}\) implies \(\widetilde{V}_{M}> \widetilde{V}_{L}\) and, therefore, \(\widetilde{\pi }_{M}=1\).

In both cases, \(\widetilde{\pi }_{M}=1\) and \(\pi _{M}<1/2\) imply another potential candidate at \(x_{M}\) wants to enter the race; a contradiction. Hence, it cannot be that \(x_{i}\in \left\{ x_{L},x_{M}\right\} \) for every \( i\in \mathcal {C}\left( e\right) \). A similar argument applies to \(x_{i}\in \left\{ x_{M},x_{R}\right\} \) for every \(i\in \mathcal {C}\left( e\right) \).

Secondly, we establish the necessity of Condition (2). That \(c_{h}\le p\) for every \(h\in \left\{ L,R\right\} \) is obvious. That \(c_{h}\le t\) is shown as in Step 1 above. We now establish \(c_{h}\ge \min \left\{ s,p\right\} \). W.l.o.g. suppose \(c_{R}\ge c_{L}\), which implies that \(x_{L}\) is adopted with probability \(\pi _{L}=\frac{c_{L}}{c_{L}+c_{R}}\le \frac{1}{2}\). Assume by way of contradiction that \(c_{L}<\min \left\{ s,p\right\} \). Proceeding as in Step 4 above (replacing M by R and making a minor adjustment if \(c_{R}\ge s\)), we can establish that another potential candidate at \(x_{L}\) (whom we know to exist since \(c_{L}<p\)) would be better off entering the race; a contradiction. Hence \(c_{R}\ge c_{L}\ge \min \left\{ s,p\right\} \).

Given the discussion above, it is obvious that when \(s=t\), we have \( c_{L}=c_{R}\). Now consider the voting rules with \(s<t\), and suppose it were that \(c_{L}<c_{R}\). Given the discussion above, it must be that \(s\le c_{L}<c_{R}\le t\). Vote totals are \(V_{L\ }=V_{R}=1/2\). Note that if a candidate at \(x_{R}\) were to deviate by not standing for election, vote totals of the remaining candidates would be left unchanged,Footnote 29 and the probability that \(x_{R}\) is adopted would drop from \(\pi _{R}=\frac{c_{R}}{c_{L}+c_{R}}\) to \(\widetilde{\pi }_{R}= \frac{c_{R}-1}{c_{L}+c_{R}-1}\). Thus, a candidate at \(x_{R}\) does not want to deviate only if

$$\begin{aligned} \delta \le -\frac{c_{L}}{c\left( c-1\right) }u\left( \left| x_{L}-x_{R}\right| \right) , \end{aligned}$$
(1)

where \(c=c_{L}+c_{R}\). If another potential candidate at \(x_{L}\) were to enter the race, vote totals would be left unchanged (given \(c_{L}<t\), \( c_{R}>s\) and the definition of sincere voting) and the probability that \( x_{L}\) is adopted would increase from \(\pi _{L}=\frac{c_{L}}{c_{L}+c_{R}}\) to \(\widetilde{\pi }_{L}=\frac{c_{L}+1}{c_{L}+c_{R}+1}\). Thus, another potential candidate at \(x_{L}\) does not want to deviate by entering the race only if

$$\begin{aligned} \delta >-\frac{c_{R}}{c\left( c+1\right) }u\left( \left| x_{L}-x_{R}\right| \right) . \end{aligned}$$
(2)

Simple algebra shows that (1) and (2) cannot hold simultaneously, which gives us a contradiction. Hence \(c_{L}=c_{R}\).

Suppose \(c_{L}=c_{R}=\min \left\{ s,p\right\} \). If a candidate, say at \( x_{L}\), were to deviate by not running for election, then every citizen preferring \(x_{L}\) would have to cast more votes for the candidates at \( x_{R} \) than the number of votes every citizen preferring \(x_{R}\) would have to cast for the candidates at \(x_{L}\). As a result, vote totals would be such that \(\widetilde{V}_{R}>\widetilde{V}_{L}\), and the probability that \(x_{L}\) would be adopted would drop from \(\pi _{L}=1/2\) to \(\widetilde{\pi }_{L\ }=0\). Thus, a candidate at \(x_{L}\) does not want to deviate only if \(\delta \le -\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\).

Suppose \(c_{L}=c_{R}>s\). If a candidate, say at \(x_{L}\), were to deviate by not running for election, then again, as discussed, the vote totals would be left unchanged, i.e., we would have \(\widetilde{V}_{L}=\widetilde{V}_{R}=1/2\) and the probability with which \(x_{L}\) would be adopted would drop from \(\pi _{L\ }=1/2\) to \(\widetilde{\pi }_{L}=\frac{c_{L}-1}{c_{L}+c_{R}-1}\). Thus, a candidate at \(x_{L}\) does not want to deviate only if \(\delta \le -\frac{ u\left( \left| x_{L}-x_{R}\right| \right) }{2\left( c-1\right) }\).

Suppose \(c_{L}=c_{R}<\min \left\{ t,p\right\} \). If another potential candidate, say at \(x_{L}\), were to enter the race (we know he exists since \( c_{L}<p\)), vote totals would be left unchanged, i.e., we would have \( \widetilde{V}_{L}=\widetilde{V}_{R}=1/2\) and the probability with which \( x_{L}\) would be adopted would increase from \(\pi _{L}=1/2\) to \(\widetilde{ \pi }_{L}=\frac{c_{L}+1}{c_{L}+c_{R}+1}\). Thus, a candidate at \(x_{L}\) does not want to deviate only if \(\delta >-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2\left( c+1\right) }\).

Thirdly, we establish the necessity of Condition (3). For \(\left( e,\alpha \right) \) to be an equilibrium, it must be that no potential candidate at \( x_{M}\) wants to stand for election. Suppose a potential candidate i at \( x_{M}\) were to enter the race, i.e., \(\widetilde{e}_{i}=1\) for some \(i\in \mathcal {P}\) with \(x_{i}=x_{M}\) and \(\widetilde{e}_{j}=e_{j}\) for all \(j\in \mathcal {P}\), \(j\ne i\). Given Condition (2) above, there are three cases to consider.

Case 1 \(c_{L}=c_{R}=t\). Let the voting profile \( \alpha \left( \mathcal {C}\left( \widetilde{e}\right) \right) \) be as followed: for every citizen n with ideal policy \(x_{n}<\underline{x}\), \( \alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) for every candidate j with \(x_{j}=x_{L}\); for every citizen n with ideal policy \(x_{n}\in \left( \underline{x},1/2\right) \), \(\alpha _{i}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) and \(\alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) for \( \left( t-1\right) \) of the candidates with \(x_{j}=x_{L}\); for every citizen n with ideal policy \(x_{n}\in \left( 1/2,\overline{x}\right) \), \(\alpha _{i}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) and \( \alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) for \(\left( t-1\right) \) of the candidates with \(x_{j}=x_{R}\); and, finally, for every citizen n with ideal policy \(x_{n}>\overline{x}\), \(\alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) for every candidate j with \(x_{j}=x_{R}\). Observe that this vote profile maximizes the vote totals of candidates at \(x_{L}\) and \(x_{R}\), and minimizes the vote total of the candidate at \(x_{M}\). Candidates’ vote totals are given by

$$\begin{aligned} \left\{ \begin{array}{l} \widetilde{V}_{L}=F\left( \underline{x}\right) +\frac{t-1}{t}\left[ \frac{1}{ 2}-F\left( \underline{x}\right) \right] \\ \widetilde{V}_{M}=F\left( \overline{x}\right) -F\left( \underline{x}\right) \\ \widetilde{V}_{R}=\frac{t-1}{t}\left[ F\left( \overline{x}\right) -\frac{1}{2 }\right] +\left[ 1-F\left( \overline{x}\right) \right] . \end{array} \right. \end{aligned}$$

Suppose that \(F\left( \overline{x}\right) \ge 1-F\left( \underline{x} \right) \), which implies \(\widetilde{V}_{L}\ge \widetilde{V}_{R}\). (A similar argument holds for \(F\left( \overline{x}\right) <1-F\left( \underline{x}\right) \).) There are four sub-cases to consider.

Case 1(i) If \(F\left( \overline{x}\right) >\frac{1}{2} +\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{2 }\right] \), then we have \(\widetilde{V}_{M}>\widetilde{V}_{L}\), and candidate i at \(x_{M}\) is elected outright. For him to not be willing to enter the race, it must be that the candidacy cost \(\delta \) exceeds his expected utility gain \(\left[ 0-u\left( \left| x_{L}-x_{M}\right| \right) \right] \).

Case 1(ii) If \(F\left( \overline{x}\right) =\frac{1}{2 }+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{ 2}\right] \) and \(F\left( \overline{x}\right) >1-F\left( \underline{x}\right) \), then we have \(\widetilde{V}_{M}=\widetilde{V}_{L}>\widetilde{V}_{R}\), and candidate i at \(x_{M}\) ties with the t candidates at \(x_{L}\). For him to not be willing to enter the race, it must be that the candidacy cost exceeds his expected utility gain, which is equal to

$$\begin{aligned} \left[ \frac{t}{t+1}u\left( \left| x_{L}-x_{M}\right| \right) -u\left( \left| x_{L}-x_{M}\right| \right) \right] . \end{aligned}$$

Case 1(iii) If \(F\left( \overline{x}\right) =\frac{1}{ 2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1 }{2}\right] \) and \(F\left( \overline{x}\right) =1-F\left( \underline{x} \right) \), then we have \(\widetilde{V}_{M}=\widetilde{V}_{L}=\widetilde{V} _{R}\), and candidate i at \(x_{M}\) ties with the 2t candidates at \(x_{L}\) and \(x_{R}\). For him to not be willing to enter the race, it must be that the candidacy cost exceeds his expected utility gain, which is equal to \( \left[ \frac{2t}{2t+1}u\left( \left| x_{L}-x_{M}\right| \right) -u\left( \left| x_{L}-x_{M}\right| \right) \right] \).

Case 1(iv) If \(F\left( \overline{x}\right) <\frac{1}{2 }+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{ 2}\right] \), then we have \(\widetilde{V}_{M}<\widetilde{V}_{L}\), and candidate i at \(x_{M}\) is not elected and does not want to enter the race.

These four sub-cases exhaust all possibilities.

Case 2 \(s\le c_{L}=c_{R}<t\). Let the voting profile \( \alpha \left( \widetilde{e}\right) \) be as follows: for every citizen n with ideal policy \(x_{n}<\underline{x}\), \(\alpha _{j}^{n}\left( \mathcal {C} \left( \widetilde{e}\right) \right) =1\) for every candidate j with \( x_{j}=x_{L}\); for every citizen n with ideal policy \(x_{n}\in \left( \underline{x},1/2\right) \), \(\alpha _{i}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) and \(\alpha _{j}^{n}\left( \mathcal {C} \left( \widetilde{e}\right) \right) =1\) for every candidate j with \( x_{j}=x_{L}\); for every citizen n with ideal policy \(x_{n}\in \left( 1/2, \overline{x}\right) \), \(\alpha _{i}^{n}\left( \mathcal {C}\left( \widetilde{e} \right) \right) =1\) and \(\alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e }\right) \right) =1\) for every candidate j with \(x_{j}=x_{R}\); and, finally, for every citizen n with ideal policy \(x_{n}>\overline{x}\), \( \alpha _{j}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =1\) for every candidate j with \(x_{j}=x_{R}\). Otherwise, \(\alpha _{k}^{n}\left( \mathcal {C}\left( \widetilde{e}\right) \right) =0\) for every other candidate k. Observe that this vote profile maximizes the vote totals of candidates at \(x_{L}\) and \(x_{R}\), and minimizes the vote total of the candidate at \( x_{M}\). Candidates’ vote totals are given by

$$\begin{aligned} \left\{ \begin{array}{l} \widetilde{V}_{L}=\widetilde{V}_{R}=1/2 \\ \widetilde{V}_{M}=F\left( \overline{x}\right) -F\left( \underline{x}\right) . \end{array} \right. \end{aligned}$$

Proceeding as in Case 1 above, we obtain the three conditions in the statement.

Case 3 \(c_{L}=c_{R}=p<s\). In any voting profile, every citizen casts a vote for the candidate at \(x_{M}\). At the same time, every citizen n with ideal policy \(x_{n}<1/2\) (resp. \(x_{n}>1/2\)) does not vote for at least one of the candidates at \(x_{R}\) (resp. \(x_{L}\)). As a result, vote totals are such that \(\widetilde{V}_{M}=1>\max \left\{ \widetilde{V}_{L},\widetilde{V}_{R}\right\} \), and candidate i at \(x_{M}\) is elected outright. For him to not be willing to enter the race, it must be that the candidacy cost \(\delta \) exceeds his expected utility gain, which is equal to \(\left[ 0-u\left( \left| x_{L}-x_{M}\right| \right) \right] \).

Finally, it is easy to check that together the conditions in Lemma 2 are sufficient for a 2-position equilibrium to exist. \(\square \)

Proof of Lemma 3

Consider an election held under an \(\left( s,t\right) \)-rule where \(s=t\). Let \(\left( e,\alpha \right) \) be a 3-position equilibrium. We denote by \( c_{h}\) the number of candidates at \(x_{h}\) for \(h=L,M,R\). We start by establishing that \(\max \left\{ c_{L}+c_{M},c_{M}+c_{R}\right\} >s=t\). Suppose the contrary. Given that \(c_{L}+c_{M}\le s\), every citizen n with ideal policy \(x_{n}<1/2\) casts a vote for each of the candidates at \(x_{M}\) and does not vote for at least one of the candidates at \(x_{R}\). Likewise, \( c_{M}+c_{R}\le s\) implies that every citizen n with ideal policy \( x_{n}>1/2\) casts a vote for each of the candidates at \(x_{M}\) and does not vote for at least one of the candidates at \(x_{L}\). Vote totals are therefore such that \(V_{M}=1>\max \left\{ V_{L},V_{R}\right\} \); \(x_{M}\) is thus adopted with probability \(\pi _{M}=1\). A candidate at \(x_{L}\) would be better off not running for election since it would still be the case that \( \widetilde{V}_{M}>\max \left\{ \widetilde{V}_{L},\widetilde{V}_{R}\right\} \) and \(\widetilde{\pi }_{M}=1\), but he would save on the candidacy cost. This contradicts that \(\left( e,\alpha \right) \) is an equilibrium.

We then establish that \(\min \left\{ c_{L}+c_{M},c_{M}+c_{R}\right\} \le s=t\). Suppose the contrary. We start by observing that all candidates must then be tying for first place. Indeed, if \(\pi _{M}=0\), a candidate at \( x_{M} \) would get his least-preferred policy (\(x_{L}\) or \(x_{R}\)) adopted; he would therefore be better off not running since he would save on the candidacy cost and could not get a worse policy adopted. Likewise, if \(\pi _{L}=0\), a candidate at \(x_{L}\) would be better off not running for election. This is because \(c_{L}+c_{M}>t\) implies that neither of the votes he would have received would go to the candidates at \(x_{R}\). Vote totals would then be such that \(\widetilde{V}_{L}\ge V_{L}\), \(\widetilde{V} _{M}>V_{M}\) and \(\widetilde{V}_{R}=V_{R}\), the inequality is strict because \( c_{L}\le t\) (more than t candidates at a position would split votes). This, together with \(\pi _{M}>0\), implies \(\widetilde{\pi }_{R}=0\), and either \(x_{L}\) or \(x_{M}\) would be adopted. As a result, a candidate at \( x_{L}\) would want to deviate and not run for election since he would get a weakly preferred policy adopted and would save on the candidacy cost. Hence, it must be that \(\pi _{L}>0\). Likewise, it must be that \(\pi _{R}>0\).

Without loss of generality, suppose \(c_{L}\le c_{R}\). Since all candidates tie for first place, \(x_{h}\) (for \(h=L,M,R\)) is adopted with probability \(\pi _{h}=\frac{ c_{h}}{c_{L}+c_{M}+c_{R}}\). Since \(c_{L}\le c_{R}\), we then have \(\pi _{L}\le \pi _{R}\). If a candidate at \(x_{L}\) were to deviate by not running for election, \(c_{L}+c_{M}>t\) and \(c_{L}\le t\) imply again that vote totals would be such that \(\widetilde{V}_{L}\ge V_{L}\), \(\widetilde{V}_{M}>V_{M}\) and \(\widetilde{V}_{R}=V_{R}\). This, together with \(\pi _{M}>0\), implies \( \widetilde{\pi }_{R}=0\). Given the concavity of \(u\left( .\right) \), we have

$$\begin{aligned} \sum _{h\in \left\{ L,M,R\right\} }\widetilde{\pi }_{h}u^{L}\left( x_{h}\right) \ge \sum _{h\in \left\{ L,M,R\right\} }\pi _{h}u^{L}\left( x_{h}\right) . \end{aligned}$$

A candidate at \(x_{L}\) would therefore be better off not running since it would increase his expected utility over policy outcomes and he would save on the candidacy cost. Hence, it must be that \(\min \left\{ c_{L}+c_{M},c_{M}+c_{R}\right\} \le s=t\).

We are now ready to establish that \(\left( e,\alpha \right) \) cannot be an equilibrium. This is obvious for \(\left( s,t\right) \)-rules where \(t\ge 2p\) since \(\max \left\{ c_{L}+c_{M},c_{M}+c_{R}\right\} >t\) cannot hold. From now on, consider \(\left( s,t\right) \)-rules where \(t<2p\). Without loss of generality, suppose \( c_{L}+c_{M}>t\ge c_{M}+c_{R}\). Vote totals are equal to

$$\begin{aligned} \left\{ \begin{array}{l} V_{L}=F\left( \underline{x}\right) +\left( \frac{t-c_{M}}{c_{L}}\right) \left[ \frac{1}{2}-F\left( \underline{x}\right) \right] +\left( \frac{ t-c_{M}-c_{R}}{c_{L}}\right) \frac{1}{2} \\ V_{M}=\left( \frac{t-c_{L}}{c_{M}}\right) F\left( \underline{x}\right) + \left[ 1-F\left( \underline{x}\right) \right] \\ V_{R}=\frac{1}{2}. \end{array} \right. \end{aligned}$$

Since \(F\left( \underline{x}\right) <1/2\), it must be the case that \( V_{M}>1/2=V_{R}\), and \(x_{R}\) is adopted with probability \(\pi _{R}=0\). By the same argument as above, \(\pi _{M}>0\) and \(\pi _{L}>0\) (the latter since \( c_{L}+c_{M}>t\)), which requires \(V_{L}=V_{M}\). Simple algebra shows that \( V_{L}=V_{M}\) only if \(c_{L}>c_{M}\) and \(t>\left( c_{M}+c_{R}\right) \).

If another potential candidate at \(x_{R}\) (we know he exists since \( c_{R}<c_{L}\le p\)) were to enter the race, vote totals would be such that \( \widetilde{V}_{L}<V_{L}\), \(\widetilde{V}_{M}=V_{M}\) and \(\widetilde{V} _{R}=V_{R}\). Since \(V_{L}=V_{M}>V_{R}\), \(x_{M}\) would be implemented with probability \(\widetilde{\pi }_{M}=1\). Thus, no other potential candidate at \( x_{R}\) wants to enter the race only if

$$\begin{aligned} \delta >\frac{c_{L}}{c_{L}+c_{M}}\left[ u\left( \left| x_{R}-x_{M}\right| \right) -u\left( \left| x_{R}-x_{L}\right| \right) \right] . \end{aligned}$$
(3)

If a candidate at \(x_{R}\) were to deviate by not running for election, vote totals would be such that \(\widetilde{V}_{L}>V_{L}\), \(\widetilde{V} _{M}=V_{M} \) and \(\widetilde{V}_{R}=V_{R}\). Since \(V_{L}=V_{M}>V_{R}\), \( x_{L} \) would be implemented with probability \(\widetilde{\pi }_{L}=1\). Thus, a candidate at \(x_{R}\) does not want to deviate by not running only if

$$\begin{aligned} \delta \le \frac{c_{M}}{c_{L}+c_{M}}\left[ u\left( \left| x_{R}-x_{M}\right| \right) -u\left( \left| x_{R}-x_{L}\right| \right) \right] . \end{aligned}$$
(4)

Taken together, (3) and (4) imply \(c_{M}>c_{L}\), which contradicts our earlier finding that \(c_{L}>c_{M}\). \(\square \)

The following lemma will be useful to prove Propositions 1 and 2. It establishes that under an \(\left( s,t\right) \)-rule, we have that: (1) every policy which is supported by a 1-position equilibrium is strictly less polarized than any policy which is supported by a 2-position equilibrium; and (2) the set of policies which can be supported by 1- or 2-position equilibria is an interval centered around the median m.

Lemma 4

Let the election be held under an \(\left( s,t\right) \)-rule.

  1. (1)

    For every \(x\in X\) supported by a 1-position equilibrium and every \( y\in X\) supported by a 2-position equilibrium, we have that \(\left| x-m\right| <\left| y-m\right| \).

  2. (2)

    The set of policies which can be supported by 1- or 2-position equilibria is an interval centered around m.

Proof of Lemma 4

(1) We start by establishing that every 1-position equilibrium is strictly less polarized than any 2-position equilibrium. Pick a 1-position equilibrium \(\left( e,\alpha \right) \). We know from Lemma 1 that a single candidate i runs unopposed. One possibility is \(x_{i}=x_{M}\), in which case the result follows directly from \(x_{j}\in \left\{ x_{L},x_{R}\right\} \) for every candidate j in a 2-position equilibrium (by Condition (1) of Lemma 2). The other possibility is that \(x_{i}\in \left\{ x_{L},x_{R}\right\} \), in which case Condition (2) of Lemma 1 implies \(\delta >-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2 }\). Pick a 2-position equilibrium \(\left( \widehat{e},\widehat{\alpha } \right) \). We know from Condition (1) of Lemma 2 that \(x_{j}\in \left\{ \widehat{x}_{L},\widehat{x}_{R}\right\} \) for every candidate \(j\in \mathcal { C}\left( \widehat{e}\right) \). Moreover, Condition (2) of Lemma 2 implies \(- \frac{u\left( \left| \widehat{x}_{L}-\widehat{x}_{R}\right| \right) }{2}\ge \delta \).Footnote 30 We then have \(u\left( \left| x_{L}-x_{R}\right| \right) >u\left( \left| \widehat{x}_{L}-\widehat{x}_{R}\right| \right) \). Since \(u\left( .\right) \) is a strictly decreasing function, the latter inequality implies \(\left| \widehat{x}_{L}-m\right| >\left| x_{L}-m\right| \). Hence, the 1-position equilibrium \(\left( e,\alpha \right) \) is strictly less polarized than the 2-position equilibrium \(\left( \widehat{e},\widehat{\alpha }\right) \).

(2) We continue by establishing that the set of policies supported by 1- or 2-position equilibria is an interval centered around m. We know from Lemma 1 that \(x_{M}=m\) is supported by a 1-position equilibrium. Moreover, given the symmetry of \(x_{L}\) and \(x_{R}\) around the median \(m=1/2\), we can restrict attention to left positions \(x\in \left[ 0,\frac{1}{2}\right) \). Pick any \(x\in \left[ 0,\frac{1}{2}\right) \), and suppose it is supported by an equilibrium (for the platform configuration \(\left\{ x,\frac{1}{2} ,1-x\right\} \)). Pick any \(x^{\prime }\in \left( x,\frac{1}{2}\right) \). We must show that \(x^{\prime }\) can be supported by an equilibrium (for the platform configuration \(\left\{ x^{\prime },\frac{1}{2},1-x^{\prime }\right\} \)). There are two cases to consider.

Case 1 x is supported by a 1-position equilibrium. Condition (2) of Lemma 1 implies that \(\delta >-\frac{u\left( \left| x-\left( 1-x\right) \right| \right) }{2}\). Moreover, \(\left| x^{\prime }-\frac{1}{2}\right| <\left| x-\frac{1}{2}\right| \) and \(u\left( \cdot \right) \) strictly decreasing, imply \(u\left( \left| x^{\prime }-\left( 1-x^{\prime }\right) \right| \right) >u\left( \left| x-\left( 1-x\right) \right| \right) \). Hence \(\delta >-\frac{ u\left( \left| x^{\prime }-\left( 1-x^{\prime }\right) \right| \right) }{2}\); \(x^{\prime }\) is therefore supported by a 1-position equilibrium.

Case 2 x is supported by a 2-position equilibrium. There are two possibilities. One possibility is that \(\delta >-\frac{u\left( \left| x^{\prime }-\left( 1-x^{\prime }\right) \right| \right) }{2}\), in which case \(x^{\prime }\) is supported by a 1-position equilibrium (for the platform configuration \(\left\{ x^{\prime },\frac{1}{2},1-x^{\prime }\right\} \)). Another possibility is that \(\delta \le -\frac{u\left( \left| x^{\prime }-\left( 1-x^{\prime }\right) \right| \right) }{2}\). In this case, there is a pair \(c_{L}^{\prime }\) and \(c_{R}^{\prime }\) that satisfies Condition (2) of Lemma 2 for \(x^{\prime }\). To establish that \( x^{\prime }\) is supported by a 2-position equilibrium, it is therefore sufficient to show that Condition (3) of Lemma 2 is satisfied as well. By assumption, Condition (3) of Lemma 2 is satisfied for x. Moreover, \( u\left( \left| x^{\prime }-\left( 1-x^{\prime }\right) \right| \right) >u\left( \left| x-\left( 1-x\right) \right| \right) \) and Condition (2) of Lemma 2 imply that \(c_{L}^{\prime }=c_{R}^{\prime }\le c_{L}=c_{R}\). There are three subcases to consider.

Case 2(i) Condition 3(c) is satisfied for x. Condition 3(c) is then satisfied for \(x^{\prime }\) as well.

Case 2(ii) Condition 3(b) is satisfied for x. Condition 3(b) applies for \(x^{\prime }\) as well. Let \(\underline{x}^{\prime }\equiv \frac{x^{\prime }+x_{M}}{2}\) and \(\overline{x}^{\prime }\equiv \frac{ x_{M}+\left( 1-x^{\prime }\right) }{2}\). Since \(x<x^{\prime }<\frac{1}{2} =x_{M}\), we have \(\underline{x}<\underline{x}^{\prime }\) and \(\overline{x}> \overline{x}^{\prime }\), implying \(F\left( \underline{x}\right) <F\left( \underline{x}^{\prime }\right) \) and \(F\left( \overline{x}\right) >F\left( \overline{x}^{\prime }\right) \). This, together with \(c_{L}^{\prime }=c_{R}^{\prime }\le c_{L}=c_{R}\), implies that Condition 3(b) is satisfied for \(x^{\prime }\).

Case 2(iii) Condition 3(a) is satisfied for x. Suppose \(F\left( \overline{x}\right) \ge 1-F\left( \underline{x}\right) \). (A similar argument holds for \(F\left( \overline{x}\right) <1-F\left( \underline{x}\right) \).) There are three possibilities to consider.

One possibility is that \(c_{L}^{\prime }=c_{R}^{\prime }=t\) and \(F\left( \overline{x}^{\prime }\right) \ge 1-F\left( \underline{x}^{\prime }\right) \). Since \(F\left( \underline{x}\right) <F\left( \underline{x}^{\prime }\right) \), \(F\left( \overline{x}\right) >F\left( \overline{x}^{\prime }\right) \) and \(u\left( \left| x^{\prime }-x_{M}\right| \right) >u\left( \left| x-x_{M}\right| \right) \), Condition 3(a) is necessarily satisfied for \(x^{\prime }\).

The second possibility is that \(c_{L}^{\prime }=c_{R}^{\prime }=t\) and \( F\left( \overline{x}^{\prime }\right) <1-F\left( \underline{x}^{\prime }\right) \). If \(F\left( \overline{x}\right) \le \frac{1}{2}+\frac{1}{t} \left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{2}\right] \), then simple algebra establishes that \(F\left( \overline{x}^{\prime }\right) < \frac{1}{2}+\frac{t}{1+t}F\left( \underline{x}^{\prime }\right) \).Footnote 31 If \(F\left( \overline{x} \right) >\frac{1}{2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x }\right) -\frac{1}{2}\right] \), then \(\delta >-u\left( \left| x-x_{M}\right| \right) \) which, together with \(u\left( \left| x^{\prime }-x_{M}\right| \right) >u\left( \left| x-x_{M}\right| \right) \), implies \(\delta >-u\left( \left| x^{\prime }-x_{M}\right| \right) \). In any case, Condition 3(a) is satisfied for \(x^{\prime }\).

The third possibility is that \(s\le c_{L}^{\prime }=c_{R}^{\prime }<t\). If \( F\left( \overline{x}\right) \le \frac{1}{2}+\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{2}\right] \), then simple algebra establishes that \(F\left( \overline{x}^{\prime }\right) <\frac{1}{2} +F\left( \underline{x}^{\prime }\right) \).Footnote 32 If \(F\left( \overline{x}\right) >\frac{1}{2}+\frac{1}{t} \left[ \left( t+1\right) F\left( \underline{x}\right) -\frac{1}{2}\right] \), then \(\delta >-u\left( \left| x-x_{M}\right| \right) \) which, together with \(u\left( \left| x^{\prime }-x_{M}\right| \right) >u\left( \left| x-x_{M}\right| \right) \), implies \(\delta >-u\left( \left| x^{\prime }-x_{M}\right| \right) \). In any case, Condition 3(b) is satisfied for \(x^{\prime }\).

These three subcases exhaust all possibilities. In each case, Condition (3) of Lemma 2 is satisfied. Since we have already shown that the other two conditions of Lemma 2 are satisfied, we have established that \(x^{\prime }\) is supported by a 2-position equilibrium. \(\square \)

Proof of Proposition 1

At the risk of a slight abuse of notation, we shall call the equilibrium set the set of policies which are supported by equilibria for the corresponding platform configurations. We establish the result by comparing the equilibrium set under an \(\left( s,t\right) \)-rule where \( s=t>1 \) with the equilibrium set under the Plurality Rule.

We know from Lemma 3 that there are no 3-position equilibria under either of the two rules. Hence, all equilibria are 1- and 2-position equilibria. Moreover, we know from Lemma 4 that every 1-position equilibrium is strictly less polarized than any 2-position equilibrium and that the set of policies supported by 1- or 2-position equilibria is an interval centered around m.

We start by considering an \(\left( s,t\right) \)-rule where \(1<s=t\le p\). We know from Lemma 1 that the sets of 1-position equilibria are equivalent under the Plurality Rule and the \(\left( s,t\right) \)-rule. Given Lemma 4 and the non-existence of 3-position equilibria, the result stated in Proposition 1 is then established by showing that the set of 2-position equilibria under the \(\left( s,t\right) \)-rule is a superset of the set of 2-position equilibria under the Plurality Rule. This is trivial if there are no 2-position equilibria under the Plurality Rule. So suppose \(\left( e,\alpha \right) \) is a 2-position equilibrium under the Plurality Rule. Denote the two positions by \(x_{L}\) and \(x_{R}\). Condition (2) of Lemma 2 implies \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \) and \(c_{L}=c_{R}=1\). Moreover, Condition 3(a) must hold with \(t=1\). To prove the result, it is sufficient to construct an equivalent equilibrium under the \(\left( s,t\right) \)-rule. Let the number of candidates at each position be \(\widehat{c}_{L}=\widehat{c}_{R}=s\)(\(=t\)) and \(\widehat{c}_{M}=0\). Thus, Condition (1) of Lemma 2 is satisfied. Given \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \), Condition (2) of Lemma 2 is satisfied as well. Finally, given \(\widehat{c}_{L}=\widehat{c} _{R}=t\), Condition 3(a) applies. Since \(t>1\), the fact that this subcondition is satisfied for the Plurality Rule implies it is satisfied for the \(\left( s,t\right) \)-rule as well. Finally, \(c_{L}=c_{R}\) and \(\widehat{ c}_{L}=\widehat{c}_{R}\) imply that \(x_{L}\) and \(x_{R}\) are each adopted with probability 1/2 under either of the two rules. Hence, we have constructed an equivalent 2-position equilibrium.

We now consider an \(\left( s,t\right) \)-rule where \(s=t>p\). We show that the set of 2-position equilibria under the \(\left( s,t\right) \)-rule is a subset of the set of 2-position equilibria under the Plurality Rule. This is trivial if there are no 2-position equilibria under the \(\left( s,t\right) \)-rule. So suppose \(\left( e,\alpha \right) \) is a 2-position equilibrium under the \(\left( s,t\right) \)-rule. Denote the positions by \(x_{L}\) and \( x_{R}\). Condition (2) of Lemma 2 implies \(c_{L}=c_{R}=p\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \). Moreover, Condition 3(c) must be satisfied, implying \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \). We now construct an equivalent equilibrium under the Plurality Rule. Let the number of candidates at each position be \( \widehat{c}_{L}=\widehat{c}_{R}=1\) and \(\widehat{c}_{M}=0\). Thus, Condition (1) of Lemma 2 is satisfied. Since \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \), Condition (2) is satisfied as well. Finally, Condition 3(a) applies. Since \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \), this condition is satisfied as well. Hence, we have constructed an equivalent 2-position equilibrium. \(\square \)

Proof of Proposition 2

(1) Consider the \(\left( s,t\right) \)- and \(\left( t,t\right) \)-rules where \(s<t\). We start with a pair of observations. First, we know from Lemma 1 that 1-position equilibria are equivalent under both rules. Second, we know from Lemma 4 that under both rules, every 1-position equilibrium is strictly less polarized than any 2-position equilibrium and the set of policies supported by 1- or 2-position equilibria is an interval centered around m.

We now establish that the set of 2-position equilibria is more (or equally) polarized under the \(\left( s,t\right) \)-rule than under the \(\left( t,t\right) \)-rule. Given our observations above, it is sufficient to show that the set of policies which are supported by 2-position equilibria under the \(\left( s,t\right) \)-rule is a superset of the corresponding set under the \(\left( t,t\right) \)-rule. Let \(\left( e^{\prime },\alpha ^{\prime }\right) \) be a 2-position equilibrium under the \(\left( t,t\right) \)-rule. Denote by \(x_{L}\) and \(x_{R}\) the two positions. We now construct an equivalent equilibrium under the \(\left( s,t\right) \)-rule. There are three cases to consider.

Case 1 \(s<t\le p\). Condition (2) of Lemma 2 implies \( c_{L}^{\prime }=c_{R}^{\prime }=t\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \). Moreover, Condition 3(a) must be satisfied.

Suppose now that the election is held under the \(\left( s,t\right) \)-rule. Let there be \(c_{L}=c_{R}\in \left\{ s,s+1,\ldots ,t\right\} \) candidates at \( x_{L}\) and at \(x_{R}\) such that Condition (2) of Lemma 2 is satisfied. (This is possible since \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \).) Also, let \(c_{M}=0\), which implies Condition (1) of Lemma 2 is satisfied as well. It remains to show that Condition (3) is satisfied. This is obvious if \(c_{L}=c_{R}=t\) since the condition is already satisfied under the \(\left( t,t\right) \)-rule. In case, \(s\le c_{L}=c_{R}<t\), Condition 3(b) applies. Observe that \(F\left( \underline{x}\right) >\frac{1 }{t}\left[ \left( t+1\right) F\left( \underline{x}\right) -1/2\right] \) and \( F\left( \underline{x}\right) >\frac{t}{1+t}F\left( \underline{x}\right) \). This, together with the fact that Condition 3(a) is satisfied for \( c_{L}^{\prime }=c_{R}^{\prime }=t\), implies Condition 3(b) is satisfied for \( s\le c_{L}=c_{R}<t\). Hence, all three conditions of Lemma 2 are satisfied.

Case 2 \(s\le p<t\). Condition (2) of Lemma 2 implies \( c_{L}^{\prime }=c_{R}^{\prime }=p\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \). Also, Condition 3(c) must be satisfied, which implies \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \).

Suppose now that the election is held under the \(\left( s,t\right) \)-rule. Proceeding in the same fashion as in Case 1 above, let \(c_{M}=0\) and \( c_{L}=c_{R}\in \left\{ s,\ldots ,p\right\} \) such that Conditions (1) and (2) of Lemma 2 are satisfied. (Again, this is possible since \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \).) Since \(s\le c_{L}=c_{R}\le p<t\), Condition 3(b) applies. Observe that this condition is necessarily satisfied since \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \).

Case 3 \(p<s<t\). As in Case 2 above, we have \( c_{L}^{\prime }=c_{R}^{\prime }=p\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta >-u\left( \left| x_{L}-x_{M}\right| \right) \).

Suppose now that the election is held under the \(\left( s,t\right) \)-rule. Let \(c_{M}=0\) and \(c_{L}=c_{R}=p\); Conditions \(\left( 1\right) \) and \(\left( 2\right) \) of Lemma 2 are therefore satisfied. Moreover, since \( c_{L}=c_{R}=p<s\), Condition 3(c) applies, and is satisfied since \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \).

These three cases exhaust all possibilities. In each case we have constructed a 2-position equilibrium under the \(\left( s,t\right) \)-rule which is equivalent to \(\left( e^{\prime },\alpha ^{\prime }\right) \) since \( c_{L}^{\prime }=c_{R}^{\prime }\) and \(c_{L}=c_{R}\) imply \(x_{L}\) and \(x_{R}\) are each adopted with probability 1/2 in both equilibria. Hence, we have shown that any 2-position equilibrium under the \(\left( t,t\right) \)-rule has an equivalent equilibrium under the \(\left( s,t\right) \)-rule. However, the reverse is not true.Footnote 33 Hence, the set of 2-position equilibria is more polarized under the \(\left( s,t\right) \)-rule than under the \(\left( t,t\right) \)-rule.

Finally, we know from Lemma 3 that there are no 3-position equilibrium under the \(\left( t,t\right) \)-rule. 3-position equilibria may however exist under the \(\left( s,t\right) \)-rule (e.g., see Example 1 in the online appendix). Since the set of policies supported by 1- or 2-position equilibria is an interval centered around m (by Lemma 4), the only policies that can be supported only by 3-position equilibria are more polarized than policies supported by 1- and 2-position equilibria.

We have thus established that an \(\left( s,t\right) \)-rule where \(s<t\) can support more polarization than the \(\left( t,t\right) \)-rule.

(2) We now prove that an \(\left( s,t\right) \)-rule where \( s<t\) supports more (or as much) polarization than the \(\left( s,s\right) \)-rule. For the same reason as in part (1) of the proof, we only need to show that the set of policies which are supported by 2-position equilibria under the \(\left( s,t\right) \)-rule is a superset of the corresponding set under the \(\left( s,s\right) \)-rule. Let \(\left( e^{\prime },\alpha ^{\prime }\right) \) be a 2-position equilibrium under the \(\left( s,s\right) \)-rule. Denote by \(x_{L}\) and \(x_{R}\) the two positions. We now construct an equivalent equilibrium under the \(\left( s,t\right) \)-rule. There are two cases to consider.

Case 1 \(s\le p\). Condition (2) of Lemma 2 implies \( c_{L}^{\prime }=c_{R}^{\prime }=s\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta \). Moreover, Condition 3(a) must be satisfied.

Suppose the election is held under the \(\left( s,t\right) \)-rule. Let there be \(c_{L}=c_{R}\in \left\{ s,\ldots ,\min \left\{ t,p\right\} \right\} \) candidates at \(x_{L}\) and at \(x_{R}\) such that Condition (2) of Lemma 2 is satisfied. Also, let \(c_{M}=0\), which implies Condition (1) of Lemma 2 is satisfied. It remains to show that Condition (3) is satisfied. One possibility to consider is \(c_{L}=c_{R}=t\), in which case Condition 3(a) applies. Since \(\frac{1}{t}\left[ \left( t+1\right) F\left( \underline{x} \right) -1/2\right] \) and \(\frac{t}{1+t}F\left( \underline{x}\right) \) are both strictly increasing in t and \(t>s\), the fact that Condition 3(a) is satisfied for \(c_{L}^{\prime }=c_{R}^{\prime }=s\) implies it is satisfied for \(c_{L}=c_{R}=t\) as well. The other possibility is \(s\le c_{L}=c_{R}<t\), in which case Condition 3(b) applies. Since \(F\left( \underline{x}\right) > \frac{1}{t^{\prime }}\left[ \left( t^{\prime }+1\right) F\left( \underline{x} \right) -1/2\right] \) and \(F\left( \underline{x}\right) >\frac{s}{1+s} F\left( \underline{x}\right) \), the fact that Condition 3(a) is satisfied for \(c_{L}^{\prime }=c_{R}^{\prime }=s\) implies Condition 3(b) is satisfied for \(s\le c_{L}=c_{R}<t\). Hence, all three conditions of Lemma 2 are satisfied.

Case 2 \(p<s\). Condition (2) of Lemma 2 implies \( c_{L}^{\prime }=c_{R}^{\prime }=p\) and \(-\frac{u\left( \left| x_{L}-x_{R}\right| \right) }{2}\ge \delta >-u\left( \left| x_{L}-x_{R}\right| \right) \).

Suppose the election is held under the \(\left( s,t\right) \)-rule. Let \( c_{M}=0\) and \(c_{L}=c_{R}=p\); Conditions (1) and (2) of Lemma 2 are therefore satisfied. Moreover, since \(c_{L}=c_{R}=p<s\), condition 3(c) applies, and is satisfied since \(\delta >-u\left( \left| x_{L}-x_{M}\right| \right) \).

These two cases exhaust all possibilities. In each case we have constructed a 2-position equilibrium under the \(\left( s,t\right) \)-rule which is equivalent to \(\left( e^{\prime },\alpha ^{\prime }\right) \) since \( c_{L}^{\prime }=c_{R}^{\prime }\) and \(c_{L}=c_{R}\) imply \(x_{L}\) and \(x_{R}\) are each adopted with probability 1/2 in both equilibria. By the same argument as in part (1) of the proof we have then established the result.   \(\square \)

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Dellis, A., Oak, M. Multiple votes, multiple candidacies and polarization. Soc Choice Welf 46, 1–38 (2016). https://doi.org/10.1007/s00355-015-0900-9

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