Presidential Election Predictions by Election Keys

L. David Roper (roperld@vt.edu)

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Historian Allan J. Lichtman has developed a system for predicting presidential elections, which is explained in his book: Keys to the White House: A Surefire Guide to Predicting the Next President. (Also, see http://lionhrtpub.com/orms/orms-10-96/white-house.html)

The Keys are:

KEY 1 Incumbent-party mandate: After the midterm elections, the incumbent party holds more seats in the U.S. House of Representatives than it did after the previous midterm elections
KEY 2 Nomination-contest: There is no serious contest for the incumbent party nomination.
KEY 3 Incumbency: The incumbent-party candidate is the sitting president.
KEY 4 Third party: There is no significant third-party or independent campaign.
KEY 5 Short-term economy: The economy is not in recession during the election campaign.
KEY 6 Long-term economy: Real annual per-capita economic growth during the term equals or exceeds mean growth during the two previous terms.
KEY 7 Policy change: The incumbent administration effects major changes in national policy.
KEY 8 Social unrest: There is no sustained social unrest during the term.
KEY 9 Scandal: The incumbent administration is untainted by major scandal.
KEY 10 Foreign or military failure: The incumbent administration suffers no major failure in foreign or military affairs.
KEY 11 Foreign or military success: The incumbent administration achieves a major success in foreign or military affairs.
KEY 12 Incumbent charisma: The incumbent-party candidate is charismatic or a national hero.
KEY 13 Challenger charisma: The challenging-party candidate is not charismatic or a national hero.

A prediction is made by answering True or False to each of the Keys and then assigning True=0 and False=1. If the um of all thirteen answers is greater than or equal to 6 the incumbent party will lose the popular vote in the presidential election under consideration, if the sum is less than or equal to 5 the incumbent party will win.

2000 Presidential Election:
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A week before the 2000 election I decided to try to use the Keys to predict that election. I and my wife, Jeanne Roper, both politically oriented, answered the keys to the best of our abilities and we widely disagreed on the prediction. So I contacted many of my e-mail contacts and asked them to answer the Keys. Sixteen, including me and my wife, responded.

I modified the possible answers to include "I am not sure" to count 0.5 in addition to the True and False answers.

Some of the Keys are factual and have only one possible correct answer; e.g., Key 1 is True for the 2000 Election (See the bottom part of http://clerkweb.house.gov/elections/1998/TABLE.HTM) After correcting the sixteen answers for the Keys for the factual Keys (1, 3, 6 & 8), the following result was obtained:

Key: 1 2 3 4 5 6 7 8 9 10 11 12 13 Total
Rep 1 0 0 1 1 0 0 1 0 1 0 1 1 0 6
Rep 2 0 0 1 0.5 0 0 0 0 0.5 0 0.5 1 0 3.5
Rep 3 0 0 1 1 0 0 1 0 1 0 1 1 0 6
Rep 4 0 0 1 1 0 0 0 0 1 0 1 1 1 6
Rep 5 0 1 1 1 0 0 0 0 1 1 1 1 0 7
Rep 6 0 0 1 1 0 0 0.5 0 1 0 1 1 1 6.5
Rep 7 0 1 1 1 0 0 1 0 1 0 1 1 0 7
Rep 8 0 1 1 1 0 0 0.5 0 1 0 0.5 1 1 7
Rep 9 0 0 1 1 0 0 0.5 0 1 1 1 1 0 6.5
Rep 10 0 0 1 0 0 0 0.5 0 0 0 0 0 0 1.5
Rep 11 0 1 1 1 0 0 0 0 1 0 0 1 1 6
Rep 12 0 0 1 1 0 0 0 0 1 0 0.5 1 1 5.5
Rep 13 0 0 1 1 0 0 0 0 1 0 1 1 0 5
Rep 14 0 0 1 0 0 0 1 0 1 0 0.5 1 1 5.5
Rep 15 0 0 1 0 0 0.5 0 0 1 1 1 1 1 6.5
Rep 16 0 0 1 0 0 0 1 0 1 0 1 1 0 5
Average 0.0 0.3 1.0 0.7 0.0 0.0 0.4 0.0 0.9 0.2 0.8 0.9 0.4 5.7
Std. Dev. 0.0 0.4 0.0 0.4 0.0 0.1 0.4 0.0 0.3 0.4 0.4 0.3 0.5 1.4

So we have a near tied popular vote prediction, with a standard deviation that could go either way.

After studying the Keys for some time I came to the conclusion that Key 3 Incumbency should be 0.5 for an incumbent Vice President as a candidate, especially in this modern time when a Vice President has more duties and power than in earlier times. Making the change the result is:

Key: 1 2 3 4 5 6 7 8 9 10 11 12 13 Total
Rep 1 0 0 0.5 1 0 0 1 0 1 0 1 1 0 5.5
Rep 2 0 0 0.5 0.5 0 0 0 0 0.5 0 0.5 1 0 3
Rep 3 0 0 0.5 1 0 0 1 0 1 0 1 1 0 5.5
Rep 4 0 0 0.5 1 0 0 0 0 1 0 1 1 1 5.5
Rep 5 0 1 0.5 1 0 0 0 0 1 1 1 1 0 6.5
Rep 6 0 0 0.5 1 0 0 0.5 0 1 0 1 1 1 6
Rep 7 0 1 0.5 1 0 0 1 0 1 0 1 1 0 6.5
Rep 8 0 1 0.5 1 0 0 0.5 0 1 0 0.5 1 1 6.5
Rep 9 0 0 0.5 1 0 0 0.5 0 1 1 1 1 0 6
Rep 10 0 0 0.5 0 0 0 0.5 0 0 0 0 0 0 1
Rep 11 0 1 0.5 1 0 0 0 0 1 0 0 1 1 5.5
Rep 12 0 0 0.5 1 0 0 0 0 1 0 0.5 1 1 5
Rep 13 0 0 0.5 1 0 0 0 0 1 0 1 1 0 4.5
Rep 14 0 0 0.5 0 0 0 1 0 1 0 0.5 1 1 5
Rep 15 0 0 0.5 0 0 0.5 0 0 1 1 1 1 1 6
Rep 15 0 0 0.5 0 0 0 1 0 1 0 1 1 0 4.5
Average 0.0 0.3 0.5 0.7 0.0 0.0 0.4 0.0 0.9 0.2 0.8 0.9 0.4 5.2
Std. Dev. 0.0 0.4 0.0 0.4 0.0 0.1 0.4 0.0 0.3 0.4 0.4 0.3 0.5 1.4

So we have again a prediction of a near tied popular vote, but now with a leaning toward the incumbent party. If the actual popular vote holds at what it was on 11 November 2000, this prediction is correct. However, note that the standard deviation again would allow the incumbent party to lose the popular vote. It would have been interesting to have had a thousand such respondents to narrow down the standard error. Perhaps someone will do this for future elections.

The Keys Predictions for Past Presidential Elections:
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Lichtman's book (Keys to the White House: A Surefire Guide to Predicting the Next President) gives a table of his Keys predictions of recent presidential elections and retroactive "predictions" of elections back to 1984. (Those elections were actually used to formulate the Keys.) The 1996 prediction is from http://lionhrtpub.com/orms/orms-10-96/white-house.html. The 2000 prediction is from above.

Incumbent Wins and Losses, 1860-1992  
Incumbent victories:   President Elected
Year 1 2 3 4 5 6 7 8 9 10 11 12 13 Total  
1864 0 0 0 0 0 1 0 1 0 0 0 1 0 3 Abraham Lincoln(R) vs George McClellan
1868 0 0 1 0 0 0 0 1 0 0 0 0 0 2 Ulysses Grant(R) vs Horatio Seymour
1872 1 0 0 0 0 0 1 1 0 0 0 0 0 3 Ulysses Grant(R) vs Horace Greeley (Died after election but before Electoral College met.)
1880 0 1 1 0 0 0 0 0 0 0 1 1 0 4 James Garfield(R) vs Winfield Hancock
1888* 1 0 0 0 0 0 1 1 0 0 1 1 0 5 Benjamin Harrison(R) vs Grover Cleveland
1900 1 0 0 0 0 0 0 0 0 0 0 1 1 3 William McKinley(R) vs William Bryan
1904 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Theodore Roosevelt(R) vs Alton Parker
1908 0 0 1 0 0 1 0 0 0 0 0 1 0 3 William Taft(R) vs William Bryan
1916 1 0 0 0 0 1 0 0 0 0 0 1 0 3 Woodrow Wilson(D) Charles Hughes
1924 1 0 0 1 0 0 0 0 1 0 0 1 0 4 Calvin Coolidge(R) vs James Davis
1928 0 0 1 0 0 0 1 0 0 0 0 1 0 3 Herbert Hoover(R) vs Alfred Smith
1936 0 0 0 0 0 0 0 0 0 0 1 0 0 1 Franklin Roosevelt(D) vs Alfred Landon
1940 1 0 0 0 0 0 0 0 0 0 1 0 0 2 Franklin Roosevelt(D) vs Wendell Willkie
1944 1 0 0 0 0 0 0 0 0 1 0 0 0 2 Franklin Roosevelt(D) vs Thomas Dewey
1948 1 0 0 1 0 1 0 0 0 1 0 1 0 5 Harry Truman(D) vs Thomas Dewey
1956 0 0 0 0 0 0 1 0 0 0 0 0 0 1 Dwight Eisenhower(R) vs Adlai Stevenson
1964 1 0 0 0 0 0 0 0 0 1 0 1 0 3 Lyndon Johnson(D) vs Barry Goldwater
1972 1 0 0 0 0 1 1 0 0 0 0 1 0 4 Richard Nixon(R) George McGovern
1984 0 0 0 0 0 1 0 0 0 0 1 0 0 2 Ronald Reagan(R) vs Walter Mondale
1988 0 0 1 0 0 0 1 0 0 0 0 1 0 3 George Bush(R) vs Michael Dukakis
1996 1 0 0 1 0 0 1 0 0 0 1 1 0 5 William Clinton(D) vs Robert Dole
2000 0.0 0.3 0.5 0.7 0.0 0.0 0.4 0.0 0.9 0.2 0.8 0.9 0.4 5.2  
Challenger victories:    
Year 1 2 3 4 5 6 7 8 9 10 11 12 13 Total  
1860 0 1 1 1 0 0 1 1 0 0 1 1 0 7 Abraham Lincoln(R) vs Stephen Douglas
1876* 1 1 1 0 1 1 1 0 1 0 1 1 0 9 Rutherford Hayes(R) vs Samuel Tilden
1884 1 1 1 0 1 1 1 0 0 0 1 0 0 7 Grover Cleveland(D) vs James Blaine
1892 1 1 0 1 0 0 0 1 0 0 1 1 0 6 Grover Cleveland(D) vs Benjamin Harrison
1896 1 1 1 0 1 1 1 1 0 0 1 0 0 8 William McKinley(R) William Bryan
1912 1 1 0 1 0 0 1 0 0 0 1 1 0 6 Woodrow Wilson(D) vs T. Roosevelt(P) vs W. Taft(R)
1920 1 1 1 0 1 1 0 1 0 1 0 1 0 8 Warren Harding(R) vs James Cox
1932 1 0 0 0 1 1 1 1 0 0 1 1 1 8 Franklin Roosevelt(D) vs Herbert Hoover
1952 0 1 1 0 0 1 1 0 1 1 0 1 1 8 Dwight Eisenhower(D) vs Adlai Stevenson
1960 1 0 1 0 1 1 1 0 0 1 1 1 1 9 John Kennedy(D) vs Richard Nixon
1968 1 1 1 1 0 0 0 1 0 1 1 1 0 8 Richard Nixon(R) vs Hubert Humphrey
1976 1 1 0 0 0 1 1 0 1 1 1 1 0 8 James Carter(D) vs Gerald Ford
1980 1 1 0 1 1 0 1 0 0 1 0 1 1 8 Ronald Reagan(R) vs James Carter
1992 1 0 0 1 1 1 1 0 0 0 0 1 0 6 William Clinton(D) vs George Bush
Tie Prediction:
2000 0.0 0.3 0.5 0.7 0.0 0.0 0.4 0.0 0.9 0.2 0.8 0.9 0.4 5.2  
*Electoral vote did not coincide with popular-vote results.

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