Yale University

Department of Political Science

Photo Alastair Smith
Department of Political Science 
Yale University 
124 Prospect St. 
PO BOX 208301 
New Haven CT 06520-8301 
FAX: 203/432-6196
Phone: 203/432-5234
email: Alastair.smith@Yale.edu
 
Alastair Smith is an associate professor of political science at Yale University.  He obtained his PhD in political science from theUniversity of Rochester in 1995, and his BA in chemistry from Oxford University in 1990. Prior to arriving at Yale he taught at Washington University in St Louis. His main research interests are formal models of international behavior. 

Courses
Working Papers
Curriculum Vitae



Courses

PLSC 343a/506a: Game Theory and Politics

 

PLSC 154a: Domestic Determinants of International Relations

 

PLSC150b: Theories of International Relations

 

PLSC 653b: Models of International Processes



Working Papers

Political Institutions, Policy Choice and the Survival of Leaders
Coauthored with Bruce Bueno de Mesquita, James Morrow and Randolph Siverson. in PDF
Abstract: Institutional arrangements influence the type of policies that leaders pursue. We examine two institutional variables: the size of the selectorate (S)--the set of people who have an institutional say in choosing leaders--and the size of the winning coalition (W)--the minimal set of people whose support the incumbent needs in order to remain in power. The larger the winning coalition, the greater the emphasis leaders place on effective public policy. When W is small, leaders focus on providing private goods to their small group of supporters at the expense of the provision of public goods. The size of the selectorate influences how hard leaders work on behalf of their supporters. The greater the size of the selectorate, the more current supporters fear exclusion from future coalitions. This induces a norm of loyalty that enables leaders to reduce their effort and still survive. As a first step towards a theory of endogenous selection of institutions, we characterize the institutional preferences of the different segments of society based on the consequences of these institutions for individual welfare. We conclude by examining the implication of the model for the tenure of leaders, public policy, economic growth, corruption, taxation and ethnic politics.

Honest Threats: The Interaction of Reputation and Political Institutions in International Crises
Alexandra Guisinger and Alastair Smith
Journal of Conflict Resolution
Main text in pdf.
The mathematical appendix to this article was exclude at the resquest of the editor. It appears head as a pdf file.

 Abstract. We examine the role of an honest record in the credibility of diplomatic communications: why, on the brink of a crisis, an aggressive state may be deterred by a claim to resist. In contrast to traditional arguments linking credibility to a reputation for resolve, power, or strength, we posit that credibility arises from the expectation of future, continued gains from retaining an honest record. Diplomatic statements are believed only if a country's or leader's credibility is unmarred. Leaders keep their word so that they are believed in later crises. Two environments are contrasted: one in which a country's record for honesty resides within the country as a whole and another in which reputation resides with individual leaders. In this later case, citizens have an incentive to remove leaders caught bluffing. More robust than previous reputation theories, this model also offers comparative statics for when diplomacy will be more effective, namely when leaders are domestically accountable.

Election Timing in Majoritarian Parliaments. in pdf and ps
Abstract I propose and test an informational theory of endogenous election timing. I assume leaders have more accurate estimates of future outcomes that the citizens. The prospect of declining future performance spurs leaders to call early elections. Since leaders condition their timing decisions on their expectations of future performance, early elections signal a leader’s lack of confidence in future outcomes. The earlier elections occur, relative to expectations, the stronger the signal of demise. Using data on British parliaments from 1945, I test the theories predicted relationship between the timing of elections, electoral support and subsequent economic performance. As predicted, leaders who call elections early, relative to expectations, experience a decline in their popular support (relative to  re-announcement levels). The theory also relates post-electoral measures of performance and the timing election. As predicted, snap elections signal a decline in
subsequent performance.
 
 

Testing Theories of Strategic Choice: The Example of Crisis Escalation. The data and statistical routines for this paper.
Abstract. If we believe that politics involves a significant amount of strategic interaction then classical statistical tests, such as Ordinary Least Squares, Probit or Logit, cannot give us the right answers. This is true for two reasons: The dependent variables under observation are interdependent-- that is the essence of game theoretic logic-- and the data is censored -- that is an inherent feature of off the path expectations that leads to selection effects. I explore the consequences of strategic decision making on empirical estimation in the context of international crisis escalation. I show how and why classical estimation techniques fail in strategic settings. I develop a simple strategic model of decision making during crises. I ask what this explanation implies about the distribution of the dependent variable: the level of violence used by each nation. Counterfactuals play a key role in this theoretical explanation. Yet, conventional econometric techniques take no account of unrealized opportunities. For example, suppose a weak nation (B) is threatened by a powerful neighbor (A). If we believe that power strongly influences the use of force then the weak nation realizes that the aggressor's threats are probably credible. Not wishing to fight a more powerful opponent, nation B is likely to acquiesce to the aggressor's demands. Empirically, we observe A threaten B. The actual level of violence that A uses is low. However, the theoretical model suggests that B acquiesced precisely because A would use force. Although the theoretical model assumes a strong relationship between strength and the use of force, traditional techniques find a much weaker relationship. Our ability to observe whether nation A is actually prepared to use force is censored when nation B acquiesces. I develop a Strategically Censored Discrete Choice (SCDC) model which accounts for the interdependent and censored nature of strategic decision making. I use this model to test existing theories of dispute escalation. Specifically, I analyze Bueno de Mesquita and Lalman's (1992) dyadically coded version of the Militarized Interstate Dispute data (Gochman and Moaz 1984). I estimate this model using a Bayesian Markov chain Monte Carlo simulation method. Using Bayesian model testing, I compare the explanatory power of a variety of theories. I conclude that strategic choice explanations of crisis escalation far out-perform non-strategic ones.
 

 Cooperating Democrats, Defecting Autocrats, by Fiona E.S. McGillivray and Alastair Smith
Postscript, PDF, zipfile(various versions)
Abstract
Using the infinitely repeated prisoners' dilemma as a modeling platform, we examine how the domestic political institutions of nations affect their ability to cooperate internationally. We propose a strategy, the Leader Specific Grim Trigger, in which leaders direct punishments for past defections at the leader responsible rather than at the nation she represents. Leaders refuse to cooperate with those leaders that have cheated them in the past. However, by being prepare to cooperate with new leaders, cooperation can be restored. The focus of punishment on specific leaders rather than the nation means that domestic electorates want to remove leaders that defect. Hence, leaders that are held domestically accountable pay audience costs for failing to cooperate. In addition to showing that democratic dyads can cooperate to a greater extent than other pairs of nations, the model produces hypotheses about both the domestic consequences of international cooperation and the relationship between leadership change and the restoration of cooperative agreements.
 

 An Institutional Explanation of the Democratic Peace, by Bruce Bueno de Mesquita, James D. Morrow, Randolph Siverson and Alastair Smith.
postscript, pdf
Abstract
We examine formally the link between domestic political institutions and policy choices in the context of eight empirical regularities that constitute the democratic peace. We demonstrate that democratic leaders, when faced with war, are more inclined to shift extra resources into the war effort than are autocrats. This follows  ecause the survival of political leaders with larger winning coalitions hinges on successful policy. The extra effort made by democrats provides a military advantage  ver autocrats. This makes democrats unattractive targets since their institutional constraints cause them to mobilize resources toward the war effort.  In addition to trying harder, democrats are also more selective in their choice of targets. Since defeat is more likely to lead to domestic replacement for democrats than for utocrats, democrats only initiate wars they expect to win. These two factors lead to the interactions between polities that is often referred to as the democratic peace.

Election Timing
I have a variety of projects that fall under this title.
I have a forthcoming article in the British Journal of Political Science. Due to space constraints the editors requested that I suppress part of the analysis from that article. It is imcluded here as an electronic appendix.
I have also written a book on election timing. The manuscript and the data can be found here.
Election Timing