Otto-suhr-institute

Part 1: The theory of the prize draw in politics

(Kleros)

" I would propose the creation of what might be called a mini-populus. Its members would be a group of randomly selected citizens, who would serve for a limited period: let us say a thousand citizens serving for a year, when they would be replaced with a new mini-populus. More than one mini-populus would be desirable. One might decide on the agenda of issues, while several others might each pesticidal concerned with one of the major issues. A mini-populus could exist at any level of government, national, regional, or local. ... During their year members would be attended, again by means of telecommunications, by an advisory committee of scholars, and has staff monitored by the advisory committee. At the end of its year, has mini-populus would indicate the preference ordering of its members among the most under alternatives in the policy area assigned to it. A mini-populus would not be a lawmaking body, however, goal would director-generalor what the public would prefer pesticidal if the public were as well informed as their fellow citizens in the mini-populus had become during their period of service. If decision makers were to disagree with a mini-populus, they would need to explain the reasons for their disagreement. ≪

Dahl (1987, 205-206).

Chapter 1: a typology of the prize draw

The concept of drawing lots seems at first sight intuitive because it is known to all of us and used in everyday life. As well, during a loto, of a jury or judicial before a football match, lots are drawn. However, quote these three examples is sufficient to sow doubt: we realize that it is in fact a procedure that takes the faces greatly different to the consequences extremely varied. Understand the draw need therefore to be interested has its multiple uses, has what the differential treatment, the closer, allows you to compare, define. To enter the nature simple and yet complex of the draw we will choose a modular approach and we will begin by defining it as a procedure of choice based on the use artificial and controlled of the random (1.1 and 1.2 ). We will then forward its specificity in relation to other types of procedures (1.3 and 1.4 ) This will open the " black box " of the process to clarify the operation " physical " on, hardware drawing (2). We focus then has the intellectual environment that surrounds any concrete use of draw (3). To finish, we will be discussing the possibility of formulating a typology (4) based on the work already achieved (4.1 ) and propose the formulation of " prototype " on drawing (4.2 ).

Chapter 1: a typology of the prize draw

1. The drawing within the procedures of choice

1.1 "Who gets what, when and how? "

" But we will try now to deal with a background of the establishment of the judiciaries. The differences may relate only to three terms various whose combinations should give all possible modes of organization. These three terms are: first the voters, in the second place the eligible, finally the mode of appointment. " On Aristotle (Politics, book IV, chapter 12).

During the democratic era of the ancient Athenian, the 500 advisers of the trackball  were chosen according to a procedure which we today is well known: its members (the boulotai or bouleutes) were drawn out each year from among all the citizens of the city, older than 30 years, through shelves of bronze coins minted in their name1. Suite has this draw the citizens chosen spent the dokimasia (docimasie), a procedure during which the potential bouleutes should respond has a series of questions before the outgoing Council regarding their family, their ambitions but also any question that the Council saw fit to ask. The end of the docimasie consisted in a vote has freehand on the approval or rejection of the candidate. If one thinks in terms of procedure, such a conduct raises at least four questions in echo has those posed by Aristotle: what is distributed / allocated? How, that is-a-say between which, by whom and on what terms? Why? And with what consequences? To answer, you have to be interested in the concept of procedure of choice which is - according to the formula remained famous - the same definition of the policy as activity of distribution of limited resources, also called items. In short, "  who gets what, when, and how " (Lasswell 1935). The items shall take three forms: that of batches, that of posts and that of decisions,2. Even prior to detail these three alternatives, it is necessary to clarify what is meant by " limited resources " on. In effect, in a theoretical framework or the resources are endless and completely equal, the problem of the distribution does not arise real1See

(Blackwell 2003 ; Hansen 1999 ; Headlam 1891). The example of the ball will serve as a wireless operator to the developments in this chapter.

2Elster (1987, 108) speaks of decisions, of resources, of stains and loads. The last two words seem to refer to the same object, a post office, but interpreted in a neutral manner in the first case and negative in the second. See infra, p. 37.

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1. The drawing within the procedures of choice

Faithfully. In contrast, when the items are different and/or are not infinite (or divisible has the infinite) and/or that it is important to know that the will in the first, it is located in the presence of limited resources (Goodwin 2005, 59).

The group of batches is divided classically between batches hardware (a computer) and intangible (a right of entry has a computer fair). The group of posts is an area much more vast but that the you can enter in a functionalist perspective as a set of tasks to be accomplished. We can divide between political posts (concerning therefore mainly the distribution of limited resources) and non-political. The posts not policies represent the vast majority of this category and correspond to the jobs (jobs). The theory is granted has distinguish 6 groups of functions in the political posts. The statutory items (1) whose proponents have to stain to formulate and adopt the whole of the laws governing a political body. When it comes to the law supreme, there is talk of posts of the constituent power (2). The executive posts (3) whose purpose is for the persons exercising to implement the laws. The judicial positions (4) whose proponents have to function to check the adequacy of laws has the law supreme (constitutional judge) and punish non compliance with the laws in force (judicial court). The advisory positions (5) which the holders have to role of help by the discussion and deliberation the proponents of the other functions in their work, without having them-even a power of decision. The elective posts (6) which allocate has their holders the function to carry out a procedure of choice concerning another node3 authority. The group of decisions returns as he was the concept of adoption of an alternative that is-a-say of a course of action plan4. Lots, positions and decisions are therefore the three types of items that can be subjected to a procedure of choice. We will talk about in the first two cases of distribution and decision-making in the third.

As will be seen later in detail, but it is not useless to clarify now, that the name given to the items varies according to the interpretation positive, negative or neutral only in font the actors in the presence during the distribution. When it comes to the distribution of the lots, there will be talk of " goods " or " evils " ; with regard to posts we will be talking of honors or of loads. The decisions may sometimes receive the qualifier of " tragic " (Calabresi & Bobbit 1978) or " difficult " ( Ullman-Margalit 2007). Finally, an item may be divisible or not and indi3The

Posts giving the function to distribute the lots would be of an executive nature (administrative).

4And to know if we will go to the left or right at the next junction, we can draw a stack or face or watch the signs. In the first case the decision is made by a drawing and in the second by an examination.

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Chapter 1: a typology of the prize draw

Individual or collective. If the second case includes by itself - there is a fundamental difference between individual decisions and collective decisions or private lots and lots collective - the divisibility called a note. People advance in effect often that a well divisible is not a problem of distribution, because that it is enough to divide it into as many parts as there are pretenders. This assertion is valid but neglected that we might want to give more has some that has other or that it may be important to know who will be the item first.

These elements allow you to answer the question of " what " on, concerning the procedure for the selection of bouleutes: it was a post, consultative and individual. The consultative nature coming from the fact that the Council had for role to prepare the proposals of law which were then submitted to the people's assembly (Bleicken 1995).

1.2Selection Procedures and procedural blocks

Repeating now the complete process, one can be interested in the second question related to the activity of distribution of limited resources, that of the " how? ≪. The literature is granted has define a procedure of choice or selection, also called allocation procedure (Buchstein 2009a) as a process of reduction of a set of items has a single item, "  moving from many options to just one "5. Elster offers a definition based on two successive filters: the first allows you to limit the number of possible items to that of plausible items and the second to reduce has a these derniers6. By applying these definitions, the distribution of posts of bouleutes comprised three distinct stages and successive reduction to arrive at the final set: the drawing of the names of potential bouleutes on the lists of citizens, a docimasie conducted by the outgoing council and a vote has freehand for rejection or acceptance. This distinction is however problematic given that it is located face has three different procedures within the same in a larger process, which opens the door has a regression has infinity (spiral without end) concerning the beginning and the end of the procedure5Ullmann-

Margalit & Morgenbesser (1977). This definition also applies when one chooses several items of the set if it is considered that the choices are successive (the first bouleute, the second, etc). See also Stone (2007b) and Thiele (2008).

6Elster (1984, 76): " To explain why a person in a given situation behaves in one way rather than another, we can see his action as the result of two successive filtering processes. The first has the effect of limiting the set of abstractly possible actions to the feasible set, i.e. the set of actions that simultaneously satisfy a number of physical, technical, economic and politico-legal constraints. The second has the effect of singling out one member of the feasible set as the action which is to be carried out. ≪ We will come back on this process in 2.1 and 2.2 , p. 45 and following).

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1. The drawing within the procedures of choice

Lasts: who establishes the lists of citizens? According to what procedures? Who decides on the criteria for the review and by what procedure? How this vote has freehand? With what majority rule? As the note Dowlen (2008a, 219), the draw has been - from a historical point of view - used most of the time in combination with other procedures and it must take into account this context. In fact it seems necessary to differentiate between two levels - that of the procedure and that of the procedure within the procedure - what we propose to do in introducing the concept of procedural block which corresponds to a logical articulation of one or several procedural steps7 and that we can illustrate using the example of the bouleutes:

Step concrete

Verification of the nationality and age

Draw in the medium of bronze plaques

Docimasie

Vote has hand lifted

Procedures

Review on political criteria and biological

Prize Draw

Consideration on the basis of a maintenance

Vote

Procedural Block

Selection of bouleutes

Illustration 1: The procedural block.

Two additional examples should help to clarify this idea. During the years 60, the United States government was distributing plots of land that can contain the oil through a draw against the purchase of a ticket at a fixed price. The winners of the plots had the right to resell them at the end of a year (Haspel 1985). In this block we sees a draw procedure surrounded by two market procedures. Another good example is the procedure for the selection of jurors in France which begins with a review (nationality, age), continues through the drawing and ends by a review (capacity, empechements). The advantage of the concept is that it allows you to cut out the actual procedures in order to analyze, without losing sight of that they fit together in the reality.

The use of such a tool requires however the census of the different types of procedures that can articulate in a block. The literature regarding the types of procedure of choice is, as the note Buchstein (2009a, 232), relatively diffuse. Itself distinguishes seven methods: the vote, the drawing, the cooptation, the auction, the strict rotation, the temporality and the monopolized distribution (distribution on the basis of benefits, of abilities or

7Elster ( 1987,108 ) speaks of " higher-order decision " but its concept focuses on the fact of knowing which decides to use the draw and under what procedure. It does not take into account the procedural sets real, nor does it include the steps subsequent to the decision.

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Chapter 1: a typology of the prize draw

Needs). Elster as has offered him a division between drawing, egalitarian distribution, allocation according to the needs, productivity or contributions, market procedures, queue, rotation and statut8. Kornhauser & Sager (1988) distinguish four types: the vote, the tender (on the merit or need), the market and the tirage9. Saunders (2008, 361) distinguishes between selection, draw and auction. The intersection of these four lists and consolidation of their common categories allows you to propose a typology centered around four procedures. The first - that we have already discussed in the example of bouleutes - is the vote, that the Greeks were appointing psephos (Delannoi 2003). The vote has been widely studied and explored in its procedural aspects, but also historical, mathematical, social and cultural rights.10 however. This is the standard procedure of selection of the representatives in the liberal democracies and we will see that it is strongly linked to the draw procedure in some frameworks/contexts. The second procedure corresponds to what Buchstein calls the auction and Elster the market and that the Greeks were appointing agora. This type was not present in the choice of the bouleutes but is often central during distribution process. A procedure of market based on the allocation through the meeting of an offer and a request, all expressed in the form of prices. Market procedures have been and are still the subject of much research and controversy that it is not for us here to detail. The third type of procedure is the consideration or the dokimasia11. A review is a procedure during which the candidates are judges on a list of criteria that they must fulfill in order to be chosen. This type covers categories co-optation, strict rotation, temporality and monopolized distribution developed by Buchstein and the egalitarian distribution, the allocation according to the needs, of the productivity or of contributions as well as the queue, the rotation and the statute described by Elster. This broad coalition is understandable if one considers that all of these categories are in fact of the criteria for a review procedure. As well, we may have a review which the criterion is the merit, or the fact of being come first (queue at8Elster

(1987, 128) does not consider its list as complete and is only concerned with the first four.

9Kornhauser & Sager (1988, 483) : " In Western, industrial societies thesis procedures fall into three somewhat crudely drawn categories. Two of these are common and carry with them familiar justifications from political philosophy. Adjudicatory mechanism measure claims for benefits or for relief from burdens against standards of social value gold entitlement ... Markets permit persons to trade toward benefits gold away from burdens ... The third category of allocative device is neither common nor easy to locate on the map of political philosophy. Lotteries are distinguished most prominently by the fact that they eschew "rather than embrace identifiable elements of personal desert gold social value; lotteries are driven by chance, not reason " on.

10It is impossible to do here is an overview of the literature concerning the vote as it is vast.

11Dowlen (2008a) speaks of screening, Delannoi (2003, 2) of appointment and Molino ( 1987,144 ) review.

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1. The drawing within the procedures of choice

Attempts) or even the fact of not yet having had the item (rotation or strict rotation). The fourth type of procedure is the one that we are most interested: it is the pulling or kleros. As we shall see later, it is based on the principle of the random, i.e. on a moment of indeterminacy.

How can we differentiate now these procedures (psephos, agora, dokimasia, kleros) of each other? The stain is much more difficult than it seems. That is why, while we will try to demonstrate the particularity of the kleros in detail, we will confine itself to a of elements of an approach to the other selection procedures.

In the first place the vote. It is a procedure which goes through a time of choice - the vote itself - during which individual preferences will aggregate to become a collective preference (Thiele 2008, 22). Following the vote and by the application of a rule of count (for example the simple majority or consensus or even the proportional), one obtains the collective choice which will be retained. The market process has the same processing operation of a preference in choice through a price and suite has an auction. The review is a procedure more difficult to enter because the transformation of preferences in choice is done through the application of criteria very varied, cumulative and highly subjective. In the three types as well defined, one sees the implementation of a process of transformation of the preference in choice by using a tool (the vote, the price or a series of criteria). This process is, in the case of the draw, interrupted.

1.3The specificity of the draw: the random moment

In any drawing not rigged12 there is a moment of complete indeterminacy. This time is the specificity of the draw, its originality deep. Dowlen (2008a, 11-30) is called the blind estate (the moment blind). Stone (2011, 22) speaks of non-predictability: " It is unpredictability, then, that characterizes a lottery, setting it apart from other processes. " On The draw is a time the actors lose control completely on the procedure. They cannot - at this precise moment - not the influence. The draw is " completely free of intent " on and is opposed to the other procedures which " melt the result intentionally. ≪13 It is not a tool that

12Given that we thought about here " all things being equal ", this accuracy is made only once. We are talking here of prints not fudged but also of votes or markets not fudged.

13Schmidt (2000, 369) : " In man dem Selbstverstandnis ... der Moderne, dann is connected ihre Zuruckhaltung gegenuber Losentscheiden vor german Master Corporal Daran, dass sie anspruchsvoller ist, es besser machen will ( ... ). Man begnugt sich nicht mit irgendeiner Regierung, irgendeinem Tater, irgendeinem Gelehrten, es sollen) for nach Mog41

Chapter 1: a typology of the prize draw

Can transform the preferences in choice. That is why it seems justified to draw a line between the drawing and the other three methods of selection. Whereas in the vote, the market and the examination, the actors keep control throughout the process, they are brought has the losing in a draw, would-what a fraction of a second. This property of the draw comes from the fact that it is a procedure of " chance organized ≪, a " spacecraft " or " mechanism of chance " ; it " reflects an intentional choice to take a decision through a mechanism not intentional " on14. In short, the specificity of the prize draw is that it appeals to the principle random. We will define this last crossing in two dimensions which the first returns to the formula of Cournot (1851, 30) that reduces a random event has the " meeting of two causal chains independent " on. The second is based on the approach of Chaitin which defines a series of random numbers such as that which cannot be described by a simpler formula that it itself, i.e. which cannot be reduced to an algorithm: it is not possible to put in place a method of prediction of the result. Chaitin takes as example two sets of figures: 01010101010101 and 011010110111100. While the first series can be written " 7x01 " on the second must remain such that elle15. These two elements - the independent channels and the inability to predict - represent the heart even of the concept of random.

As to the word coincidence often used to describe the same phenomenon, it seems to be equivalent, even if it may have in French a connotation less neutral in French. We will therefore by the suite of preference the second term, that of random, leaving to one side the adjective risky and password randomization which have a connotation negative16.

Lichkeit die richtigen breast, und welches die jeweils gegebenen richtigen sind, ergibt sich aus der Know selbst, der Kompetenz und Eignung der Bewerber, unserem gemeinschaftlichen bekundeten Willen, usw. ; Kurz, aus Grunden, die das Ergebnis begrunden intentionnelle, vom ersten bis zum letzten Schritt auf bewusst getroffene identifiable zuruckzufuhren konnen, statt es der Willkur against eines bestimmten Richtung folgenden, ganz und gar intentionsfrei funktionierenden Entscheidungssubstituts zu uberlassen. ≪

14The first expression, organized chance is to Goodwin (1984, 190), the second, chance device ,of Aubert (1959, 2). The quote is from Elster (1987, 108) : " Lotteries reflect year intentionnelle choice to make the decision by a nonintentional mechanism. ≪

15In the first case it was a transmission of the message in terms of understanding and the second in terms of expansion: the first leaves place has an interpretation, the second non- (Christmas 1991, 201).

16What the passage shows an interesting paradox of the French language: the FTAA is risky and the random is random.

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1. The drawing within the procedures of choice

1.4" Lotteries natural' and 'artificial'

The draw is therefore a procedure by which the reduction of the set of options has a unique option is done by using the random. But it must still clarify what exactly we mean recourse has the random. There seems to be two options. The first corresponds to what most of the writers call the " lottery " on artificial and corresponds to the procedures in which the involved to agree has the time on the appeal in the random principle but also on the overall results possibles17. Has the reverse in some prints the parties agree only on the use has the random; these are the are the " natural lottery ≪. An illustration of this dichotomy is given by Molino (1987, 140) : " There is the trace of a fundamental opposition between the procedures for drawing (of, buds) and the procedures based on the production of a configuration (divination by the sand, the reve, scales). ≪ If found in both cases a random moment, in the second, the margin left has the interpretation is much stronger. When a process based on the reading in the bowels of an animal (haruspice), we do not know the number of options and the person in charge of the interpretation of the result a great deal of freedom. In the case of a launch of in contrast we formalized the procedure in terms of probabilities. If the latter has six faces, the probability of obtaining each of the faces is 1/6: it is, if we resumed the term of Stone, in a lottery uncertain. If the two types of draw can also be random one than the other, that which changes, it is the control of actors on the procedure. In a draw " natural " on, the limits of the control are blurred, in a draw artificial, the actors set the set of limits of their influence. We must therefore introduce a distinction even from within the group of procedures for drawing. In one case, one can refer to the word kleros (cleros) that the Greeks used to designate the draw in the framework of the distribution of legacies but also of political posts (among other the trackball)18. It is located opposite has a procedure containing a random moment, but whose possible outcomes are known, it is the lottery artificial. In the second case it refers rather has the interpretation of an event which has been produced by the random and that the Greeks were appointed by the name of kleromanteia, the

17Elster speaking of lotteries formal and informal (1987, 107). Stone offers the same dichotomy in differentiating between the " lotteries uncertain " on which are those where the number of exits is known and the " lotteries has risk " or they are not (Stone 2008a, 21).

18It should be noted in this connection that, initially, the word kleros meant has both the land distributed by drawing and the drawing itself. An analogy which is found with the English word "batch" which comes from the Germanic hlot designating also the field allocated by draw. Cf. Fienberg (1970, 255).

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Chapter 1: a typology of the prize draw

Cleromancie, i.e. the divination (mantike - semantics) based on a draw (kleros - cleros), it is the lottery naturelle19.

1.5Balance Sheet

Thus, the draw or artificial cleros is one of the four methods of choice has available to distribute batches, positions and decisions within a community politique20. In opposition with the other types of procedure - vote, market and review - it contains a time more or less important to indeterminacy during which the actors voluntarily lose control on the procedure. In practice, the drawing is nested with other types of procedures in procedural blocks.