WZB Report 2013

www.wzb.eu WZB WZB Report 2013

Essays on: WZB Berlin Democracy, law, international Report 2013 relations, human Social Science Center behavior, innovation, social inequality and education

The WZB Berlin Social Science Center (Wissenschaftszentrum Berlin für Sozialforschung, WZB) is housed in the historic building of the Reich’s Insurance Council (Reichsversicherungsamt), which was the highest supervisory and legal authority of social insurance in the German Empire. At the end of World War II, the building was severely damaged. The British architects James Stirling, Michael Wilford & Associates renovated the main building in the 1980s and added a complex of colorful annexes inspired by classical forms from architectural history: amphitheater, campanile, stoa, and basilica. When the building was completed in 1988, it was located close to the Berlin Wall. Today, it is part of the vibrant Potsdamer Platz city center. [Photo: David Ausserhofer] Management Youth and Trainee Representative

The WZB is headed by an Academic Director (President) and a Managing Director. Niklas Weber

Prof. Jutta Allmendinger Ph.D. President (since April 2007) Equal Opportunities Commissioner Heinrich Baßler Managing Director (since April 2005) Anke Geßner

Research Council Representative of Disabled The Research Council is a body consisting of elected representatives of WZB researchers, the heads of research units, and Employees the Academic Director (President) who heads the Council. The Managing Director is a non-voting advisory member. Ralf Künster (confidential person) Jutta Höhne, Reinhard Pollak (alternates)

Chair Prof. Jutta Allmendinger Ph.D.

Heinrich Baßler (advisory member) Prof. David Brady Ph.D. (since August 2012) Ombudsperson Dr. Weert Canzler David N. Danz (since April 2012) Dr. Matthias Ecker-Ehrhardt Jan Paul Heisig Dr. Maria Oppen Marcel Helbig Prof. Steffen Huck (since April 2012) Frank Hüber (until March 2012) Prof. Michael Hutter Prof. John Keane Ph.D. Data Protection Commissioner Dr. Sascha Kneip (speaker) Prof. Kai A. Konrad Prof. Ruud Koopmans Dr. Martin Krzywdzinski Dr. Roland Habich Prof. Dorothea Kübler Prof. Mattias Kumm Prof. Wolfgang Merkel Paula Protsch Prof. Rolf Rosenbrock (until May 2012) Contact Person for the Prevention Dr. Julia Schmid Dr. Ulrich Schreiterer of Corruption Dr. Dagmar Simon Prof. Heike Solga Prof. Michael Zürn Prof. em. Gunnar Folke Schuppert

Works Council Committee on Further Education

Head and Training Axel Tröster-Grönig

Udo Borchert Florian Fliegner Prof. em. Hedwig Rudolph Jutta Höhne Dr. Paul Stoop (executive member) Dagmar Kollande Friederike Theilen-Kosch Ralf Schaefer Sabine Schmidt Friederike Theilen-Kosch Sigurt Vitols Ph.D.

WZB Report 2013 83 WZB Report 2013 Contents

Cover photo: 5 Editorial 36 A Matter of Confidence Getty Images / Grant Faint Jutta Allmendinger and Heinrich Baßler Schools Have Difficulty Reaching Parents of Turkish Origin 6 The WZB in 2012 Anna Ute Dunkel

Democracy Education and Training

10 Toward the Two-Thirds Democracy 39 “We Are Making a Film out of Stills.” Ways Out of the Participation Crisis NEPS Long-term Poll Records Education Alexander Petring and Wolfgang Merkel of Tens of Thousands Interview with Reinhard Pollak 13 It’s the Banks, Stupid! The Euro Crisis As a Crisis of 43 Long-term Investments Democracy In-house Vocational Training Works – Mattias Kumm with Binding Regulations Philip Wotschack 16 In the Absence of Choice What the Euro Crisis Means for 46 Specialization Has Its Price Southern European Democracies Vocational Training and Labor-Market Sonia Alonso Opportunities Christian Ebner

International Relations Economics and Choice 20 The Disappearing Power of Majorities Why Conflicts over Legitimation Will 49 The Carbon Economy Increase in Democracies The Impact of the Financial Industry Michael Zürn on European Emissions Trading Sebastian Botzem 24 Discussing Europe Online Debates on the Union Are 53 Deals with Friends and Strangers Plural and Mostly Civilized Trust in a Cairo Slum Pieter de Wilde Dietmar Fehr

27 The Autonomy of States Is Being Undermined Innovation and Knowledge International Tax Competition Is Undemocratic and Unjust 56 From Having to Grasping Interview with Peter Dietsch and En route toward the Online Society Thomas Rixen Michael Hutter

60 Digitalizing Urban Lighting Social Inequality and Integration Technological Change Raises Political Issues by Transforming City Spaces 31 The Politics of Security Nona Schulte-Römer How Germany and the United States Protect Their Citizens from Slipping 63 Breaking the Mould into Poverty Learning with Artists at Work Ulrich Kohler and Martin Ehlert Ariane Berthoin Antal

34 When Religiosity Matters Integration of Second Generation 68 Publications Immigrants Is Determined by Their Parents’ Beliefs 82 Bodies, Boards, Committees Fenella Fleischmann

WZB Report 2013 3 Imprint About the WZB

WZB Report 2013 The WZB Berlin Social Science Center conducts basic research ISSN 2195-5182 with a focus on problems of modern societies in a globalized

Publisher world. The research is theory-based, problem-oriented, often The President of the WZB Berlin Social Science long-term and mostly based on international compa risons. Center (WZB) Professor Jutta Allmendinger Ph.D. Key research topics include: Reichpietschufer 50 – democracy and civil society 10785 Berlin – migration and integration and intercultural conflicts Germany – markets, competition, and behavior

Phone: +49 - 30 - 25 491 0 – education, training, and the labor market Fax: +49 - 30 - 25 491 684 – inequality and social policy – gender and family www.wzb.eu – international relations Editorial staff – transnationalization and the rule of law Dr. Paul Stoop (editor-in-chief) – innovation and science policy Gabriele Kammerer Claudia Roth Kerstin Schneider 160 German and international researchers work at the WZB, including sociologists, political scientists, economists, legal Documentation scholars, and historians. Martina Sander-Blanck Translations Research results are published for the scientific community Carsten Bösel as well as for experts in politics, business, the media, and civic Aleksandra Kulesza organizations. Nancy du Plessis Teresa Go As a non-university research institute, the WZB is member of Photo the Leibniz-Association. The WZB closely cooperates with Page 5: David Ausserhofer Berlin universities. Its directors also hold chairs at universi- Layout ties in Berlin and beyond. Kognito Gestaltung, Berlin The WZB was founded in 1969 by members of the German Printing Bonifatius GmbH, Druck · Buch · Verlag, parliament from all parties. The WZB is funded by the Federal Paderborn government and the state of Berlin.

4 WZB Report 2013 Reaching out

When the WZB was formally founded in 1969 by members of the German Bundestag and established itself as an institute for basic research in the 1970s, one of the core objectives was to strengthen the international dimension of Germany’s research in the social sciences. From the beginning, the WZB has had directors from abroad. PhD. candidates and post-docs from most continents have been part of research teams, and scores of international guests joined the WZB community for a few weeks, a semester, or a sabbatical. Needless to point out that most WZB research is conducted from an internationally comparative perspective and often involves intense cooperation with partners around the globe.

While a substantial share of its scholarly work is published in English, the WZB also addresses broader audiences in Ger- man through its quarterly journal WZB-Mitteilungen (WZB Reports), thematic briefs on education, labor issues, and aspects of civic engagement, and through essays and op-eds in the general media. The findings of WZB research can be relevant for experts in politics, business, in NGO’s and civic organizations, but also to individual teachers, activists, and citizens interested in issues discussed in the political arena.

In times of growing transnational communication beyond the scientific community, the WZB will present an outline of institutional developments during the past year, a list of publications, and a selection of concise articles based on current research in English in its annual WZB Report. We offer it to our international readership like a business card: It’s only a token of what the WZB is, but it might lead to more.

Jutta Allmendinger and Heinrich Baßler

WZB Report 2013 5 WZB Research

Education, Work, Life Chances Dynamics of Political Systems

Research Unit Skill Formation and Labor Market Research Unit Democracy and Democratization Director: Professor Heike Solga Director: Professor Wolfgang Merkel

Research Unit Inequality and Social Policy Research Professorship Theory, History and Future of Director: Professor David Brady Democracy Professor John Keane Project Group Demography and Inequality Research Professorship Structural Problems of Liberal Head: Professor Anette Eva Fasang Political Systems Professor Kurt Biedenkopf Project Group National Educational Panel Study: Vocational Training and Lifelong Learning Project Group Civic Engagement Head: Dr. Reinhard Pollak Head: Dr. sc. Eckhard Priller Junior Research Group Work and Care Head: Lena Hipp Ph.D. Migration and Diversity

Research Unit Migration, Integration, Market and Choice Transnationalization Director: Professor Ruud Koopmans Research Unit Market Behavior Director: Professor Dorothea Kübler Emmy-Noether-Junior Research Group Immigration Policies in Comparison Research Unit Economics of Change Head: Dr. Marc Helbling Director: Professor Steffen Huck

Junior Research Group Risk and Development Trans-Sectoral Research Head: Ferdinand Vieider Ph.D. WZB Rule of Law Center Managing Head: Professor Mattias Kumm Society and Economic Dynamics Bridging Project – Recruitment Behavior of Companies Research Unit Cultural Sources of Newness in Vocational Training and Labor Markets Director: Professor Michael Hutter Heads: Professor Dorothea Kübler, Professor Heike Solga

Research Group Science Policy Bridging Project – Cultural Framing Effects in Head: Dr. Dagmar Simon Experimental Game Theory Heads: Professor Michael Hutter, Professor Dorothea Project Group Globalization, Work and Production Kübler Head: Dr. Martin Krzywdzinski Bridging Project – The Political Sociology of Project Group Modes of Economic Governance Cosmopolitanism and Communitarianism Head: Sigurt Vitols, Ph.D. Heads: Professor Ruud Koopmans, Professor Wolfgang Merkel, Professor Michael Zürn International Politics and Law

Research Unit Global Governance Director: Professor Michael Zürn

Research Professorship Rule of Law in the Age of Globalization Professor Mattias Kumm Structure as of January 2013

6 WZB Report 2013 WZB Report 2013 2 The WZB in 2012

For the first time in our joint management of were therefore happy to accept the offer to ex- the WZB since 2007, all research units were in tend our contracts. Heinrich Baßler began his place. Michael Hutter and Heike Solga arrived second term in 2011, as did Jutta Allmendinger in 2008; Dorothea Kübler, in 2009. In 2012 Stef- in 2012. Looking back, we express our special fen Huck (previously of University College Lon- thanks to Peter J. Katzenstein on behalf of the don) took up his position as director of the Re- WZB Advisory Board, from which he stepped search Unit on the Economics of Change, and down as chair in 2012 after two terms of in- David Brady (previously of Duke University in sightful, passionate, serious, and spirited lead- Durham, NC) became director of the Research ership. He is succeeded by Dieter Grimm, for- Unit on Inequality and Social Policy. mer judge of the Federal Constitutional Court, Professor Emeritus of Public Law at Humboldt The junior research groups, whose first gener- University in Berlin, and Rector of the Institute ation of scholars has already left the WZB, were of Advanced Study, Berlin, from 2001 to 2007. also fully staffed. In the successful years since the creation of these groups in 2007, all the researchers who headed them have accepted Career Development and Compat- calls to universities. Three new such groups ibility between Family and Career are now working at the WZB: the Emmy-No- ether Junior Research Group on Migration Pol- In 2012 we continued refining our code of con- icy, created in 2011 and currently led by Marc duct for career development, especially for the Helbling, and the two groups headed by Lena doctoral and postdoctoral phase. The purpose Hipp and Ferdinand M. Vieider. The members of a second code of conduct was to promote the of Lena Hipp’s Junior Research Group on Work compatibility between career and family. We and Care, which is funded by the German Fed- took an array of measures for this purpose, eral Ministry of Education and Research, have such as designing a room to meet the needs of been studying care markets. Ferdinand M Vie- parents and children alike, offering child care ider commenced his work as the head of the at conferences and evening events, and shift- Junior Research Group on Risk and Develop- ing meetings to times that accommodated ment, the first team of its kind to be funded by family schedules. The WZB has now also for- the WZB itself. Through experiments and field mally reserved places in a nearby nursery work in developing countries, he is investigat- school, especially for emergencies. Upon leaving the relation between economic growth and ing the WZB, Yaman Kouli, an A.SK fellow and attitudes toward risk. father of a 1-year-old, wrote: “I would like to take this opportunity to praise the superb child Two WZB project groups underwent changes of care offered by the WZB. Short-term baby-sit- senior personnel. In July 2012 Martin Krzy- ting at the WZB, the availability of a children’s wdzinski succeeded Ulrich Jürgens as the head room, and the possibility of using a day-care of the Project Group on Globalization, Work, center at Checkpoint Charlie really helped me and Production, which inquires into perfor- several times. In particular, the unquestioning mance policy and career systems in multina- provision of child-care during conferences and tional automotive companies and which is conferences should be a model for other uni- funded by the Volkswagen-AutoUni and the versities and research institutes.” WZB. Ulrich Jürgens remains with the WZB as a visiting researcher. Reinhard Pollak succeeded Kathrin Leuze in October 2012 as head of the Berlin as a Place of Science Project Group on the National Educational Pan- el Study: Vocational Training and Lifelong The WZB is keen on enhancing Berlin as a locus Learning after she accepted a call to the Uni- of scientific endeavor as much as possible versity of Hannover. through substantive networking and the cooperative development of new facilities that can The structure of the WZB’s research units was pool research competence in certain fields. reorganized. This thematic bridging throughout Berlin has meanwhile become exemplary, especially in As the managers, we look forward to the inter- the field of economics. Breaking new ground, play of existing and new circumstances. We the network of Berlin’s behavioral economists

WZB Report 2013 7 also coordinated the recruitment of postdoc- A third institute is in the planning stage, for a toral scholars. Two WZB research units (one di- wide gap in research on social movements has rected by Dorothea Kübler, the other by Steffen opened throughout Germany since Dieter Huck), Humboldt University of Berlin, and the Rucht’s departure from the WZB in 2011. To- German Institute for Economic Research (DIW) gether with the Technical University of Berlin, advertised and filled five positions in a joint the WZB is therefore supports the founding of process that attracted 300 applicants. this institute and cooperates with the Verein für Protest- und Bewegungsforschung (Associ- The Berlin Behavioral Economics Seminar ation for Research on Protest and Social Move- serves the exchange of ideas in experimental ments), which was largely conceived by Dieter and behavioral economics. In the winter se- Rucht and created in August 2012. This non- mester of 2012–2013, the series organized by profit organization is to be the cornerstone of the DIW, the European School of Management an Institute for Research on Protest and Move- and Technology (ESMT), the Technical Universi- ment, which in Germany is to function as a ty of Berlin, and the WZB was took place here clearing-house for scholarly work in this field on Reichpietschufer. Speakers included re- of inquiry. nowned scientists such as Rani Spiegler (Uni- versity of California, Los Angeles), Johann Graf Lambsdorff (University of Passau), and Roberto Internationalization Weber (University of Zurich). Selected new activities are expected to contin- The Berlin Doctoral Program in Economics and ue encouraging and systematizing interna- Management Science addresses excellent tionalization. We seek to development net- young scholars in the areas of political eco- works and links primarily in three directions: nomics, finance, and business economics. It is to the European Commission, to Asian univer- supported by the three major Berlin universi- sities, and to internationally outstanding insti- ties, the DIW, the European School for Manage- tutions. The intentions of our endeavor are ment and Technology, and the WZB. Combining correspondingly diverse. In Brussels we wish forces, Heike Solga and Katharina Spieß (DIW) to help ensure that the humanities and social succeeded in raising approximately €1.7 mil- sciences receive due consideration in the Eu- lion through the Einstein Foundation. As full ropean Commission’s new Research Frame- professors, both of them are also linked with work Program (Horizon 2020). For that reason the Free University of Berlin, making addition- we are also on the program committee for the al fellowships and other money available for conference entitled “Beyond Horizon: Input of research travel, invitations to visiting re- SSH to European and Global Development.” searchers, and events until 2015. An initial delegation of WZB representatives The Berlin Graduate School of Social Sciences traveled to Singapore in October 2012 to be- addresses aspiring political scientists and so- come acquainted with the research and struc- ciologists. The WZB closely cooperates with tures of the scientific community there. Mem- partner institutions in this respect as well, bers of the management, senior researchers, mentoring on average two doctoral students and the Office of International Affairs visited per entry cohort. Nanyang Technological University, the National University of Singapore, the National Institute Along with our part in these thematic net- of Education, and the S. Rajaratnam School for works, we have been engaged in start-ups in International Studies. The host institutions ex- areas that are important for and compatible pressed their interest in joint workshops and with the research at the WZB. The Innova- conferences. In the medium term, we are striv- tionszentrum für Mobilität und gesellschaftli- ing to involve these contracts in the project chen Wandel (Innovation Center for Mobility entitled “Markets, Democracy, and Social Order and Societal Change) was set up in 2005 as a in the Asia-Pacific,” which is being prepared by research, testing, and consulting company. A John Keane, who is both a research professor at second spin-off, the Alexander von Humboldt the WZB and a professor at the University of Instituts für Internet und Gesellschaft (Alexan- Sydney. The WZB–Sydney doctoral fellowship der von Humboldt Institute for Internet and exchange program was extended. Annika Wer- Society), was built in 2012, in which the WZB, ner from the WZB was awarded the opportuni- Humboldt University of Berlin, and the Berlin ty to study for four months at the University of University of the Arts hold one third of the Sydney, with Huon Curtis and Derya Ozkul shares each, the Hans Bredow Institute in Ham- coming to the WZB as visiting researchers. burg is an associated cooperation partner. The new institute, whose launch phase is being We have prepared the way for doctoral and funded by Google, aims to improve the under- postdoctoral exchanges with French and Cana- standing of the societal changes the Internet is dian institutes. The WZB and the Institute for triggering and reinforcing. Advanced Studies at the University of Toulouse

8 WZB Report 2013 will jointly announce the Research-in-Pair A good deal of WZB research attracted the at- Program in the spring of 2013. The objective of tention of the informed public and the general this cooperation is to have scholars of the two media. Examples were the Susanne Veit’s ex- institutions work together on projects for periment on trust (WZB-Mitteilungen, vol. 135, three months at the one site and then the oth- pp. 9–12) and Steffen Huck’s interpretation of er. In Canada we now have relations with the Richard Wagner’s Ring as a drama about finan- University of Toronto’s Munk School of Global cial crisis (WZB-Mitteilungen, vol. 137, pp. 38– Affairs. A two-day visit in December 2012 cul- 40). The latter article also appeared in advance minated in a cooperation agreement, particu- in the Frankfurter Allgemeine Zeitung and in larly in the areas of international relations and English in The Spectator. research on migration, disparities, and the welfare state. Finances and Personnel

Honors and Awards As in previous years, the financial perspective was shaped in 2012 by the Joint Initiative for As in the past, WZB scholars received an im- Research and Innovation, of which the WZB is a pressive number of calls to universities in part as a member institution of the Leibniz As- 2012—twelve in total, including two for asso- sociation. Institutional funding from the Ger- ciate professorships and one for a junior pro- man federal government and the Land (state) fessorship. WZB work was similarly honored. government of Berlin totaled €15.2 million in We are especially pleased about the awards for 2012 (compared to €14.1 million in 2011). The the dissertations by young academics. Chris- WZB also received €3.6 million (as opposed to tian Ebner received the Austrian Award for Re- €4.2 million in 2011) in external funding from search on Vocational Education; Janina Söhn, organizations promoting research and from the Dissertation prize given by the Education federal ministries, the European Commission, Section of the German Sociological Associa- public and private foundations, and industry. tion; and Christian Brzinsky-Fay, the Universi- The 92 externally funded projects that were in ty of Tampere Foundation Prize for the best progress on December 31, 2012, accounted for dissertation completed there in 2011. Claudia 19.8% of the WZB’s total expenditures (24.1% in Finger received the Ulrich Teichler Award of 2011). the Gesellschaft für Hochschulforschung (Soci- ety of Higher Education Research). Alexander The number of people employed by the WZB at Petring and his coauthors Martin Höpner, Daniel the end of 2012 came to 363. In December Seikel, and Benjamin Werner (the latter three all 82.7% of the institution’s 150 researchers were from the Max Planck Institute for the Study of on temporary contracts. Doctoral candidates Societies, Cologne), received the Fritz Thyssen made up 24.7% of the scientific staff, and 14 Foundation Award for essays in the field of doctorates were completed in 2012. By Decem- social science. Jutta Allmendinger was appoint- ber 31, 9 apprentices had finished their trained as an honorary professor of the Free Univer- ing at the WZB. sity of Berlin and received the 2012 Waldemar von Knoeringen Prize of the Georg von Vollmar The WZB actively pursues a policy of equal op- Academy as well as the award of Soroptimist portunity and seeks to continue raising the International Deutschland. Heike Solga was ap- percentage of its women academics. At the end pointed as a DIW research professor. of 2012, women accounted for 33.3% of the senior research positions, 48.7% of all scientific employees, and 60.9% of all staff members. To Output increase the share of women academics significantly by 2017, all institutes of the Leibniz In 2012 the WZB acquired 23 externally funded Association, including the WZB, were requested projects, accounting for a total of approximate- to agree on binding targets within the scope of ly €5.6 million. The number of WZB publica- their program budgets. The resulting estab- tions was also notable. In all, 28 monographs lishment of quotas differentiated by pay grade and 19 volumes of collected readings edited by was based on the Deutsche Forschungsgemein- WZB researchers were published. A total of 261 schaft’s “cascade model,” according to which articles appeared, 136 of them in refereed the stipulated target is determined by the cur- journals. They included such reputed ones as rent percentage of women in the next lowest the American Journal of Sociology, the Journal pay grade. of Economic Behavior & Organization, and In- ternational Sociology.

WZB Report 2013 9 Democracy. Research on democracy has long been a staple of WZB scholarship. At- tention focuses on the parliamentary system, elections, political parties, the interaction of democracy and the rule of law, the social basis of political participation, and the democratically legitimated control of economic power. This inquiry into democracy is designed as international comparative research that also addresses forms of autocracy and dictatorship. WZB topics related to democracy are explored primarily in the Research Area on the Dynamics of Political Systems.

Toward the Two-Thirds Democracy Ways Out of the Participation Crisis

Alexander Petring and Wolfgang Merkel

Political participation is a key component of any democracy. It is not about arbi- Summary: Pol itical participation in trary, but liberally designed and guaranteed participation in pluralist competi- developed democracies is steadily de- tion. Freedom through political participation should be secured against political creasing. Voter turnout is in decline, turf or authoritarian encroachments. Jürgen Habermas has described this phe- social selectivity of political participa- nomenon as a normative as well as a functional co-originality of political and tion is on the rise. The major political liberal rights. A substantive, and not merely formal, concept of democracy must parties face the challenge of dwin- take the practical reality of these rights into account. The reality is that most dling membership. Strengthening ele- Western democracies are currently characterized by asymmetric and declining ments of direct democracy or foster- participation and representation: ing alternative methods of political involvement are insufficient. On the Voter turnout is declining – this threatens the core of participatory democracy. contrary, these forms of participation Social selectivity of participation increases – this violates the democratic prin- are even more prone to exclude the ciple of equality. The voter turnout of catch-all parties is in decline, and thus poor and less well educated. What is their political integration capabilities are being reduced; this happens in a time needed is a broad range of preventive when increasingly heterogeneous and fragmented societies are in a greater social, fiscal and educational policies need of the integrative capacity of catch-all parties. Parties are losing members which counteract social exclusion of a and thus their roots in a society. significant part of the population.

What can be done? In recent years, several antidotes have been proposed against these elements of crisis. We want to take a closer look at four reform proposals:

Strengthening of Civil Society?

A decline of conventional political participation in representative democracies (that is above all participation in elections) could, in principle, be compensated by other forms of direct participation. Referenda, plebiscites, social movements, civic associations, petitions and demonstrations are examples of alternative and complementary non-conventional forms of political participation. Boycotts of certain products or a critical consumer behavior in general are examples of broadly conceived alternative forms of participation.

It turns out that social selectivity of the non-conventional forms of participation is even more substantial than social selectivity of the conventional forms

10 WZB Report 2013 of political participation. For this reason alone, civic associations and initiatives could never be a democratic compensation for the declining (catch-all) parties. Despite many positive participation impulses stemming from civil society, it generally increases the exclusion of the lower classes from the political sphere. While in general elections the middle and upper income groups participate more frequently at times; other civic activities drive a visible divide in participation to the disadvantage of the lower classes. If one includes the overwhelming dominance of well-educated young people in the NGOs to the general participation balance, the social imbalance increases. In simple terms: The growing activities of civil society exacerbate the exclusion “disease” of our democracy instead of healing it. Civil society organizations cannot be a substitute for strong political parties and trade unions; they only can compli- ment them. Alexander Petring is a senior research fellow at the research unit Democracy and Democratization. In his dissertation he analyzed the capacity of welfare states for reform. The year 2011/12 he spent as A.SK Daring More Direct Democracy? fellow in Buenos Aires (Argentina). [photo: David Ausserhofer] Are recently reawaken hopes for direct democracy justified? Our empirical [email protected] knowledge about direct democracy gives us little reason for hope. Referenda produce visibly greater social bias than general elections: The more affluent and better-educated citizens represent “the people” in referenda. Exponents of an elitist democracy argue that this outcome is highly desirable. Irrational decisions by the “incompetent” part of the population are less likely because of this “natural” selection. The lack of substance of this argument is obvious. Expertise does not automatically indicate a personal orientation for the common good. The better-educated voters represent their self-interests just as much as the less educated represent theirs. This can be seen in referenda on fiscal issues: The most likely outcome in the past has been reduction of tax-rates and public expenditures.

There should be no doubt that referenda can be a participatory enrichment for representative democracies. We should not overlook its legitimating function through direct voting on policies. However, direct democratic procedures cannot in anyway solve the problems of social selectivity within a democratic system; they tend to exacerbate it.

Introduction of Compulsory Election?

Voting in general elections is a form of political participation that generates the lowest social selectivity. Nevertheless, even voting is not free from social selection. The extent of an electoral abstention among different social groups trans- lates into a socio-economic bias – especially when the turnout is low. Compul- sory voting is a mechanism, which leads to a high voter turnout and reduces the strong social bias. It has been practiced in many countries in Europe, and exists until this day in: Greece, Luxembourg, Belgium and Cyprus, and worldwide in over 30 countries. We do not need draconian punishments to effectively increase the turnout. In order to make abstention an exception it would be enough to require a small monetary fee or symbolic shaming, such as a record in an appropriate nonvoter register. The very low “costs” of voting explain the high electoral participation of the citizens: A polling place is, at least in Europe, usually within a walking distance, the election process takes a little time to complete and is possible throughout an entire election day without queuing.

In addition, we can expect other positive side effects of compulsory voting. Par- ties do not have to invest in mobilization campaigns anymore, and instead they can put more emphasis on the content of the campaign. Citizens who were previously alienated from politics are obliged to think about which party they are going to vote on. Compulsory voting becomes, therefore, also a measure of political education. One can argue that one of the basic ideas of proportional electoral system – the Parliament as a representative mirror of the people’s interest’s and values – becomes realized only when all citizens have voted. When only a certain portion of the population casts their votes, it distorts the appropriate representation of “the people”.

WZB Report 2013 11 But there are also arguments against the introduction of compulsory voting. Perhaps the strongest counter-argument is the encroachment of compulsory voting on individual liberties. Although the trespass is minimal, the problem cannot be entirely dismissed. However, before we postulate that the introduction of compulsory voting equals with the destruction of liberal democracy, it is worthwhile to identify the actual loss of freedom and the associated dan- gers. Even in a compulsory election, all citizens are free not to choose any party or cast a blank ballot. Ballots with a category of “none of the above” (none of the parties or candidates) exist and existed in some countries.

The actual “loss of freedom” comes down to a loss of merely 30 – 60 minutes of time, the cost of the ballot and the application and execution of absentee voting. These costs to freedom seem negligible when one considers the democratic Wolfgang Merkel is director of the research unit equality and quality gains by the introduction of compulsory voting. The demo- Democracy and Democratization and a Professor of cratic exchange of goods is: minimal freedom restrictions against considerable Comparative Politics and Democracy Studies at Hum- boldt University Berlin, Institute of Social Sciences. equality gains. However, any introduction of a measure limiting any civil free- His research interests include democracy and democ- dom should only be decided after an intensive public debate. ratization, political regimes, social democracy and social justice. [Photo: David Ausserhofer] [email protected] Sharpening of Programmatic Profile?

This approach does not focus on procedures and institutions like in the previous cases; instead it focuses on the supply side of the political system, i.e., political parties. Studies have shown that clear programmatic offers of the competing parties have a positive impact on mobilization of the electorate. The more parties differ, the higher is the turnout. In the past three to four decades, the traditional core constituencies of the parties have dissolved. The lack of parties› will is not the only cause explaining the absence of the clear programmatic profile. Differentiation of the social milieu and heterogenization of previously relatively coherent social groups have also made it increasingly difficult for the parties to focus on their core constituency.

Insofar, parties have to deal with considerably more heterogeneous groups of voters, values and interests than thirty or forty years ago; although in recent years they have done relatively little to respond to these changing circumstances. A phrase that Angela Merkel repeated several times before Bundestag elections in 2009 is a clear manifestation of this attitude: “The CDU is liberal, Chris- tian-social and conservative.” It is an attempt to occupy the widest political space possible. The fact that there are considerable tensions, inconsistencies, if not incompatibilities between the Social, conservative and liberal orientations is considered acceptable. Uncertain is, however, whether catch-all parties consider it desirable to sharpen their contours. Clear programmatic profiles, for References example in the form of concrete (and: constant!) middle range and long term goals would have certainly helped the parties in their efforts to increase voter Merkel, Wolfgang/Alexander Petring: “Partizipati- participation. If voters have the impression they have choices and choose be- on und Inklusion”. In: Friedrich Ebert Stiftung tween clearly identifiable alternatives, they tend to engage in elections more (Ed.): Demokratie in Deutschland 2011. Berlin: intensively. Friedrich Ebert Stiftung 2011: http://www.demokratie-deutschland-2011.de/partizipation- Perhaps formulation and implementation of such goals would be far more effec- und-inklusion.php tive than all the legal and organizational reforms of the core democratic institutions taken altogether. Instead of waging a hopeless battle against symptoms, Jürgen Habermas (1992): Faktizität und Geltung. we must address the causes. To change the cause of the divide, first and fore- Beiträge zur Diskurstheorie des Rechts und des most, we should change the educational, social, fiscal and economic policies. If demokratischen Rechtsstaates, Frankfurt a.M. there was evidence that politics is still able to reduce inequalities, tame markets and exercise a democratic control – in short, that politics can design the eco- Weßels, Bernhard/Schmitt, Hermann (2008): “Mea nomic conditions and not vice versa – part of the citizenry would be motivated ningful Choices, Political Supply, and Institutional to engage politically again, and to politically defend themselves. These days, Effectiveness”. In: Electoral Studies, Vol. 27, No. 1, more and more these citizens have turned away, frustrated and hopeless. p. 19-30.

12 WZB Report 2013 It’s the Banks, Stupid! The Euro Crisis As a Crisis of Democracy Mattias Kumm

The crisis of the euro zone is also a crisis of democracy, although the central Summary: The central cause of the problem is not the threatened loss of European Union member states’ democrat- crisis in Europe is not undisciplined ic statehood should they ratify the European Stability Mechanism (ESM) and the spending by profligate states, but fiscal pact—as Germany’s Federal Constitutional Court has ruled. Democracy is rather the structural symbiosis be- also not primarily threatened by the fact that individual member states have tween states and banks. Under the used the opportunities that resulted from the monetary union and the common current European regime, states are market and now are requesting support to unload the costs of their irresponsi- “lenders of last resort” for banks and ble economic policies on outsiders. Rather, the euro crisis has become a chal- banks are lenders of last resort for lenge to democracy because of the asymmetric symbiotic relationships between states. That symbiotic relationship public spending and the European banking system. should not exist in a future fiscal and banking union in which the ECB, in Deficient banking regulations make it possible for failing banks to force the cooperation with the ESM, would state to rescue them in order to prevent the real economy from being contam- function as the lender of last resort inated. Thus profits remain privatized while losses are socialized. Yet this for- for states and banks would no longer mula should not be dismissed as populist just because it helps mobilize political be able to count on public bailouts. forces: it actually describes reality very well. Between October 2008 and October Banks and the financial sector must 2011 the European Commission authorized Member States to make available be so regulated that they can manage EUR 4.5 trillion (37 percent of the European gross national product, GNP and without massive transfers of public more than six times the ESM’s common capital stock) as government aid for fi- funds. nancial institutions. The practice of saving banks—the economically costly ex- ternalities of a poorly regulated banking sector—are a major cause of the growing sovereign debt of most of the euro zone countries that need help.

At the same time, for legal reasons, euro-zone countries cannot rely on any central bank as the “lender of last resort” like other highly indebted countries such as Japan or the United States. This creates financial market insecurity that quickly leads to higher costs for borrowing and creates overall volatility because of susceptibilities to speculate against weaker states. After the financial markets have forced a country to its knees, the banks are at risk. There are strong incentives for banks to invest in government bonds because as purchasers of government bonds, banks are not subject to rules regarding capital requirements and can use the bonds as collateral at the European Central Bank (ECB) that supplies them with cheap credit. Should it all go wrong, the banks are recapitalized by the public sector—thereby closing the circle of organized irresponsibility that must be broken by an appropriately structured bank and fiscal union.

That euro-zone countries’ difficulties in obtaining financing are not necessarily the result of member states’ undisciplined fiscal policies nor the result of a high level of public debt, is shown by current examples. In early August 2012, the rating agencies Moody’s and Standard and Poor’s slashed Slovenia’s creditwor- thiness, thereby jacking up its financing costs. Why? Slovenia was viewed as a model country when it entered the European Union in 2004 and the euro zone in 2007, and the country’s total debt continues to be less than 60 percent of the gross domestic product (GDP). Slovenia was downgraded mostly because of its banks’ bad debts that amount to billions of euros. Moody’s claims a high probability that Slovenia’s three largest banks, Nova Ljubljanska banka, Nova Kreditna banka Maribor and Abanka Vipa, will need a public-sector capital injection of up to 8 percent of the GDP. These circumstances make it unlikely that the government will be able to manage the deficit. Returns on Slovenian government bonds have risen significantly. In addition, public spending is suffering from the slow growth resulting from the crisis. Slovenia is expected either to take recourse to the euro-stabilization package or to follow Spain’s example of requesting EU aid for its banks.

WZB Report 2013 13 The situation of Spain, which is politically more significant for Europe, is partly similar to that of Slovenia. Until the beginning of the financial crisis in 2008, Spain was less indebted than Germany. That gradually began to change with the financial crisis and the bursting of Spain’s housing bubble, which also led to considerable public capital flows to its banking sector. The up to EUR 100 billion that were granted Spain in July 2012 by the EFSM/EFSF (European Financial Stability Mechanism/European Financial Stability Facility, the forerunners of the ESM), only went to troubled Spanish banks. Ireland, too, had no big difficulties fulfilling the Maastricht criteria—until the moment its government had to pump capital into failing banks.

Even Greece does not provide evidence that a lack of discipline in fiscal policy is a core problem for the euro zone although it is true that Greece, with the help of Goldman Sachs and clever accounting tricks, obtained its widely favored membership in the euro zone under dubious circumstances (see Kurt Bieden- kopf’s description on page 7 of this publication). Furthermore, Greece’s important tourism and shipping sectors were particularly hard hit by the 2008– 2009 recession. What is it that makes Greece’s insolvency problem a European problem? First of all, the common currency is a special problem for Greece, which does not have the option of reducing its debt burden by devaluing the national currency in socially responsible ways. For other member states, Greek’s possible default is a particular problem because European big banks, especially French and German banks, owned Greek government bonds. The Greek debt swap agreed in March 2012—that demanded considerable sacrifice from the participating banks—is the reason that Cypress now needs help: its banks held EUR 22 billion of Greek government bonds. Banks don’t only get into trouble because housing bubbles burst (as in Ireland, Spain or Slovenia), but also because, as owners of government bonds, they are directly affected by government payment defaults. But banks hold onto large amounts of government bonds because the ECB lends them cheap money that they are encouraged to use to buy government bonds whose purchase is not subject to the rules on capital requirements.

In order to restore the primacy of democratically responsible policy regarding the financial markets, the symbiosis between public spending and banks must be broken and the relationship between countries and financial markets reversed. This involves guaranteeing that countries will no longer be compelled to save banks and that in certain circumstances they will be able to rely on the ECB in cooperation with the ESM. Adequate regulation should ensure that not only countries but also banks and other financial market actors are adequately controlled and disciplined. This requires the creation of two things: an appropriately structured fiscal union and a banking union.

The fiscal union must guarantee states’ recourse to the ECB as “lender of last resort” through the ESM. On financial markets, it must be very clear that specu- lating on a country’s insolvency is pointless: this helps control volatility and build trust. The liquidity guaranteed by the ECB must be accompanied by fiscal competencies that are sufficiently robust to oversee and control national budgets. This could happen within the framework of the ESM through an ECB Board of Governors decision acknowledging the ESM as a commercial bank. The ESM could then grant practically unlimited credit and, under the proper conditions, also purchase government bonds directly from troubled countries and pledge them as security at the ECB. Private banks, however, should not be enticed to purchase government bonds through misguided incentives, such as the non-ap- plicability of rules on capital requirements and cheaper loans. Either government bonds would be placed on the financial market under general conditions or the ECB would supply the countries with money.

A European banking union must also be established. Even if in many cases, the European sovereign debt problem is principally due to an externality problem of the commercial banking sector, governance structures must be created within the framework of a European banking union to ensure that the failure of one or even several banks does not become a problem for the whole economy and public spending. A bank’s failure should—like a failure of any other private company—primarily affect its executives, shareholders and creditors. One approach

14 WZB Report 2013 would reduce the risk of banks failing by new regulations—partly through de- Mattias Kumm is the leveraging, in particular by raising the equity ratio (Basel III) by prohibiting par- Irmgard Coninx Founda- ticularly high-risk business dealings, introducing a ban on proprietary trading tion Professor of the Rule of Law in the Age of by commercial banks and changing the incentives for executive bonuses. In the Globalization at the WZB words of economist and Nobel Prize winner Paul Krugman: “Banking has to be and executive member of boring again.” The introduction of a prohibitively high tax on financial transac- the WZB Rule of Law Cen- tions to steeply reduce specific practices, such as the algorithm-driven, auto- ter. His research areas mated high-frequency low-margin trading that can promote volatility and un- include the rule of law, dermine trust in financial markets, is still being discussed. European law, international law, comparative constitutional law and In addition to such preventive rules, a European supervisory body that could legal philosophy. intervene early should be authorized, and Europe-wide regulations for the re- [Photo: private] structuring or liquidation of failed banks should be established that immunize [email protected] against their effects and also work to ensure that the costs remain internalized. At the same time, other suggestions such as breaking up big privately owned banks (“too big to fail is too big to exist”) should be examined.

An appropriately structured fiscal and banking union can ensure the politically responsible legal capacity of democratic communities and also integrate financial markets and banks into a legal framework that guarantees that financial markets will fulfill their allocative function and not be dependent on massive transfers of public funds.

WZB Report 2013 15 In the Absence of Choice What the Euro Crisis Means for Southern European Democracies Sonia Alonso

Democracy is about choice. This is why unpopular policies are unsustainable in Summary: Presenti ng voters with a the medium- and long-term. If governments persist in pressing on their unpop- choice between policy alternatives is ular policies, one of two things will happen: the government falls (the democrat- a core characteristic of democracy. ic solution) or the regime falls (the democratic failure). This is also the reason However, during the Euro crisis, na- why the democratic process turns farcical when the opposition, upon taking tional governments often claim that office, defends the same unpopular policies that caused the fall of the govern- „there is no alternative“ (TINA). Deci- ment. Some politicians justify this behavior with the argument that there is no sions are taken by non-elected tech- alternative (TINA). There is an element of truth in this. Politicians have volun- nocratic institutions at the suprana- tarily renounced the degrees of freedom they once enjoyed for the sake of tional level. Particularly in Southern greater efficiency. Politics—and not just jobs—have been offshored, to borrow Europe, there is no real choice any an expression from Joseph Stiglitz. Economic policy has been increasingly insu- more in economic policy. Democratic lated from domestic democratic politics and/or transferred to nonelected supra- principles are undermined, and pro- national bodies. As Wolfgang Merkel has put it, the “trade-off between democra- test against TINA politics and against cy and technocracy” is being solved in favor of technocracy. national governments – both from the left and the right – and against National governments which are democratically elected are being held account- the European project is becoming able for something over which they do not control one of the main levers, mon- harsher. etary policy, which is in the hands of independent central banks and international agencies. Governments of the Eurozone, moreover, only partly control the other main lever, fiscal policy, constrained by European treaties. The consequence seems to be that democratic politics has ceased to be an arena of choice. The political impotence of governments is more than just an excuse intended to produce exoneration at the polls for their unpopular policies; as long as national governments prefer to respect their supranational and international commit- ments rather than respond to their domestic constituencies, TINA is the real thing.

This scenario has been unfolding with particular crudeness in Southern Europe since the outbreak of the economic crisis in 2008. National democracy has been temporarily suspended. As Joseph Stiglitz has put it, “there may be free elections, but, as presented to the voters, there are no real choices in the matters that they care most about—the issues of economics.” Government turnovers have followed one another but the austerity programs remain unchanged. Right-wing or left-wing governments, it has made almost no difference. Cuts in public services, wages, pensions and trade union rights have been carried out by Social Democratic governments as much as by Conservative ones. Publics have had the opportunity to see that the change of government has produced no change of policies. They now know. What will happen in the next electoral round? Will peo-

Table: Percentage of “tend not to trust” respondents. Political National National European European European Parties Govern- Parlia- Union Commis- Central ment ment sion Bank Greece 94 91 89 81 77 81 Italy 88 77 82 53 42 46 Portugal 79 74 73 58 45 50 Spain 91 86 85 72 64 75 EU 27 80 68 66 57 44 49 Source: Standard Eurobarometer 78 (autumn 2012).

16 WZB Report 2013 ple who feel deceived vote at all? It seems unlikely, given the levels of trust in political parties in these countries. More likely, Southern European citizens will take refuge either in abstention or in new—anti-system or extremist—parties.

The loss of control by Southern European debtor countries of their own destiny —turning over power to creditors—is unfolding before the citizens’ eyes against a background of dramatic disillusionment with their own political systems (see Table above) and increasing social and political unrest outside representative institutions. The euro crisis, by creating many losers, temporarily ho- mogenizes the demos into a quasi-unanimous rejection of austerity. Fairness has begun to replace economic efficiency as the primary criterion for choosing between policy alternatives. A recent survey in Spain has shown that those who prefer that the costs of the crisis are fairly distributed even at the expense of Sonia Alonso is researcher at the WZB research unit economic growth are a majority, irrespective of partisan identity. This goes in Democracy and Democratization. Her research focus line with experiments in political psychology that have demonstrated that most is on issues of democracy, ethnic politics and transition to democracy. [Photo: David Ausserhofer] individuals would rather accept an inefficient outcome than an unfair one. [email protected]

What happens in a situation without real choices when election time comes? Until now in Southern Europe governments which persist in implementing austerity packages are falling one after another. Regime stability holds in spite of the Great Recession. Fortunately for the future of democracy in Southern Eu- rope, domestic politics are getting increasingly in the way of the Eurozone ‘Golden Straitjacket’, as Thomas Friedman calls it. Unfortunately for the Europe- an project, the pressure on the semi-sovereign governments of Southern Eu- rope is coming from social movements and radical parties, on the right and on the left, that are increasingly—if not outright—Eurosceptic. Populism is becoming an electoral force.

Parties are emerging and growing that claim to represent the people against a corrupt elite made up of an alliance of politicians and bankers. Among the favor- ite targets of this anti-elitism are Brussels’ bureaucrats. The populist movements and parties—as heterogeneous as Movimento 5 Stelle in Italy, Syriza in Greece, or the Indignados movement in Spain—claim for more and better democracy, for political regeneration. Their pledge as defenders of democracy is credible in the eyes of an increasing number of voters in Southern Europe, for they are the only ones who openly criticize the primacy of economic bureaucrats and financiers over democratic politics. Movements and parties as heterogeneous as those mentioned would all agree with the words by the Member of the European Parliament (MEP) Nigel Farage, leader of the right-wing populist United Kingdom Independence Party (UKIP), at a debate in the European Parlia- ment last September 2012: “If you rob the people of the most powerful thing they possess in a free society, their ability to vote for and to fire their governments, their ability to be the masters of their own destiny, if you take that from them, all they are left with is civil disobedience and violence. And so what you are doing in the name of economic governance is something that is incredibly dangerous and, far from this European project being something that will engen- der peace, it is likely to do the very opposite.”

It is difficult to disagree with those words, when one takes them in isolation from the UKIP’s complete electoral platform. Civil disobedience is spreading in Spain; violence is spreading in Greece. National governments in Southern Eu- rope —and the parties behind them—will soon have to face up to the fact that “democracy without choices”, to speak with Bulgarian intellectual Ivan Krastev, is inherently unsustainable.

EU decision-makers are aware of this risk. The TINA preachers in Brussels and in creditor countries identify the debtor countries’ national democracies as part of the problem in the solution of the economic crisis. They do so in a way rem- iniscent of the neoliberal predicament that blames state intervention for the inefficiencies of the markets. There are many examples of this. The proposal by Greek Prime Minister Papandreou in late October 2011 to submit the second austerity program prepared by the Troika to a popular referendum was greeted by the European Commissioner Ollie Rehn with the words: “We felt that the unilateral announcement of the referendum was a breach of confidence by Greece

WZB Report 2013 17 in relation to its European partners.” Whether the austerity program might have been a breach of confidence with the Greek electorate did not seem to be of consequence. After a representative of Italy’s Lega Nord said it would not support the country’s prospective technocratic new government and called for a general election, European Council President Van Rompuy responded: “The country needs reforms, not elections.” These two EU bureaucrats seem to share the rating agency Goldman Sachs’ view, expressed in a Guardian report on Spain, that governments that pause to listen to the preferences of their national constituencies are “indulging domestic political interests.”

Skepticism is not limited to national democracy. Respect for supranational (i.e. European) democracy is absent too. The European Parliament, the only directly elected institution of the EU, is not allowed any influence in decisions concerning the economic crisis. According to the news platform European Voice (10.11.2011), a European Central Bank (ECB) official dismissed the idea of giving MEPs a greater say in moves to resolve the crisis: “I don’t know whether the MEPs have the necessary technical expertise and interest in the crisis to take a pertinent role,” he said. Plans to give the European Commission real rights of intervention in national budgets have been enthusiastically pushed ahead by the government of the main creditor country in the EU, Germany. The German Chancellor, Angela Merkel, told the Bundestag in October 2012 about the need to combine the European Fiscal Pact with the establishment of a “super-empow- ered European currency commissioner.” This move does not seem to go in the direction of strengthening direct democratic oversight at the European level.

It is all about timing. The longer the crisis lingers and the social costs continue to increase the more difficult it will be for Southern European governments to isolate themselves of the pressures from below. So far, the idea that outside the EU things would be worse seems to hold, but barely so. Majorities in Southern Europe still believe that they face a better future inside the EU: A Eurobarome- ter survey showed 59 percent in Greece, 56 percent in Italy, 52 in Portugal, and

Discontent about current developments like the EU`s dealing with the financial crisis, fuels support for new movements like the 5 Stelle in Italy, led by the popular entertainer Beppe Grillo, here speaking at a rally in Verona in April 2012. (Photo: picture alliance / Bolzoni Davide)

18 WZB Report 2013 60 in Spain in the year 2012. However, among the intervened countries—Greece and Portugal—35 and 36 percent of respondents, respectively, think that they would be better off outside the EU. According to a Pew Research Center survey from May 2012, 40 percent of Italians and 36 percent of Spaniards would prefer to return to their own currency. Will government political parties continue to ignore these numbers?

How long can a democracy remain temporarily suspended by a state of economic emergency and still be called democratic? Democracy is incompatible with the ‘Golden Straitjacket’ that is being imposed on debtor countries by three unelected institutions (ECB-EC-IMF) strongly influenced by creditor countries. Domestic politics will eventually win out, as many democracies facing similar challenges in the past have demonstrated, or else democracy will cease to exist in any meaningful sense. The next two years will be decisive. In the absence of a legitimate democratic process at the European level, Southern European countries might have to choose between remaining in the euro and saving democracy in their respective countries.

References Fernández-Albertos, José/Kuo, Alexander/Balcells, Laia: Economic Crisis, Globaliza- tion, and Partisan Bias: Evidence from Spain. Juan March Institute Working Paper. Madrid 2012.

Friedman, Thomas: The Lexus and the Olive Tree. New York: Anchor Books 2000.

Krastev, Ivan: “The Balkans: Democracy without Choices.” In: Journal of Democracy, 2002, Vol. 13, No. 3, pp. 39-53.

Merkel, Wolfgang: “Demokratie und europäische Integration: ein Trade-off?” In: Neue Gesellschaft/Frankfurter Hefte, 2013, Vol. 60, No. 1-2, pp. 4-9.

Rodrik, Dani: The Globalization Paradox. New York: W.W. Norton & Company 2011.

Stiglitz, Joseph: The Price of Inequality. New York: W.W. Norton & Company 2012.

WZB Report 2013 19 International Relations are no longer a matter primarily for nation-states. Inter- national organizations and supranational institutions have taken root as well. Nongovernmental actors participate in political processes, and national publics closely follow developments outside their own countries. The interplay of national and supranational policies, issues surrounding the juridification of international relations, and questions of global governance, are examined at the WZB predominantly in the Research Area on International Politics and Law.

The Disappearing Power of Majorities Why Conflicts over Legitimation Will Increase in Democracies Michael Zürn

In fall 2012, Germany’s Federal Constitutional Court ruled that the European Summary: Inherentl y democratic Stability Mechanism (ESM) is compatible with the German Basic Law. The sources of political legitimacy are de- Court’s decision was only superficially about whether Germany is permitted clining in significance; unelected bod- to contribute money to save the euro. In fact, it was really about the distribu- ies and decision-makers are becom- tion of authority: Would the transfer of certain competencies to a European ing increasingly important. The author- institution violate the Basic Law by restricting the German Parliament’s au- ity of courts and central banks, as well thority over budgetary law? This issue is part of a broader challenge for mod- as international organizations and re- ern democracies about the extent to which the competencies of an elected gimes, is largely accepted while trust parliament can be transferred to a panel of experts that gains its legitimacy is sinking in political parties and par- because of its economic or legal expertise instead of through popular partic- liaments. This shift appears to be ipation. weakening the foundation of democracy’s legitimacy and will increase re- In recent decades, research on comparative democracies has diagnosed a slack- flexive conflicts about fundamental ening of political participation. Since the late 1960s, in all countries belonging issues regarding democracy: What are to the Organization for Economic Cooperation and Development (OECD), elector- the sources of political authority? al participation and numbers of political party members have dropped notice- Who has the right to exercise political ably; party politicians, governments and parliaments are all less trusted. A 2009 authority? survey conducted in Germany by Infratest dimap about trust in institutions found that only 23 percent of Germans have “very great” or “great” trust in their political parties—putting parties at the tail end of institutions included in the survey.

Germany is not a special case. In the USA and the European Union (EU), political parties were the least trusted of public institutions—even less than large companies and the media. Parliaments are also far down the list, averaging fourth from last in a list of 12 public institutions. At the same time, institutions such as central banks and constitutional courts that are authorized to make decisions affecting all of society but which do not take part in any political competition clearly have better reputations than core democratic institutions. This was true for all 22 countries in the 2008 European Social Survey, which found that legal systems were much more trusted than parliaments and political parties.

20 WZB Report 2013 This data about attitudes is strikingly reflected in institutional reality. The significance of institutions that do not follow majority rule but rather make collec- tively binding decisions based on expertise has clearly increased. Worldwide, independent central banks have gained in significance in recent decades: after gradually being introduced in many countries—and, with the European Central Bank, throughout the EU as well—their independence was reinforced. Between 1990 and 2008, 84 countries passed laws strengthening the formal autonomy of central banks. As monetarism gained acceptance, monetary policy also assumed greater importance in the toolkit of economic management.

At least as significant is the increased importance of constitutional courts that in recent decades have been strengthened in over 80 countries—along with central banks. Both cases concern non-majoritarian institutions that can be Michael Zürn is the director of the Global Gover- termed ‘expertocratic’ since their right to exercise authority is not based on nance research unit and Professor of Transnational citizen participation, but rather on the specialized knowledge of their expert Conflicts and International Institutions at the Free University of Berlin. He is also the co-director of the panels (epistemic authority). WZB Rule of Law Center. He mostly researches about the theory and political sociology of international re- The shift of relevance and trust from democratic majoritarian institutions to lations. [Photo: David Ausserhofer] institutions that have mostly been legitimized by technocrats has also been [email protected] pushed by developments beyond the nation state. In reaction to the societal process of denationalization, a dense web of international regulations and organizations has grown that, in quality and quantity, stand out from long-established international institutions. The EU, for example, is a political institution that exercises autonomous authority and is respected as legitimate and important, yet justifies itself only secondarily with reference to the basic sources of democratic legitimacy.

Many other international institutions are also becoming deeply engaged in domestic affairs, thereby subverting democratic sovereignty. International institutions can evade interstate consensus by making decisions through a form of majority voting or the informal dominance of hegemonic powers. Furthermore, countries are increasingly delegating their competencies to international organizations. In this way, the World Bank and other international organizations are able to implement policies independently. But transnational and international institutions also play significant roles in other stages of the policy process. Monitoring the implementation of international norms is often assumed by transnational non-governmental organizations (NGOs) like Human Rights Watch, and is no longer left to reporting by the country in question. Should disputes about compliance arise in the course of controls, it is now usual to delegate res- olution of the conflict to an international tribunal for arbitration.

In order to exercise authority, international institutions must be legitimated. Generally, these international institutions enjoy a remarkable degree of recognition: in western consolidated democracies, the United Nations (UN) enjoys more political trust than national political parties and parliaments. Worldwide, 49.2 percent of respondents positively assess the UN (trusting it “a great deal” or “quite a lot”); when EU members are excluded, this figure drops slightly to 48.1 per cent.

Data about how international institutions are assessed in Germany clearly show that citizens consider it desirable for international institutions to solve problems caused by globalization, and ascribe these institutions considerable influence in terms of real politics. It is not surprising that Germans judge the legitimacy of big international organizations like the EU and the UN by the same criteria used for national political systems, and rate them much like their national political system.

However, the legitimacy of international institutions that is expressed by this data is not based on the direct political participation of those affected by the regulations or on public deliberations. International institutions do not provide opportunities for direct political participation—aside from the consultation mechanisms of transnational NGOs. With the exception of the European Parlia- ment, international institutions do not hold direct elections, and international public deliberation is not very developed. Essentially, international institutions

WZB Report 2013 21 base their claims of legitimacy largely on their expertise and impartiality, and partly on the protection of individual rights. This development substantiates the shift in meaning to the detriment of the primary sources of democratic legitimation.

Political institutions that once justified themselves through participation, majority decisions and publicness (through parliaments, political parties and governments) are losing ground to institutions such as those mentioned above that either justify themselves technocratically (based on expertise, problem-solving and accountability) or liberally (based on the defense of individual rights and legality). Worldwide, technocratic and liberal institutions have gained in significance and enjoy much more trust and support than those that primarily justify themselves as being democratic majoritarian institutions.

This has resulted in a paradox of democracy. At the level of the general political regime or the whole political system, the principle of democracy is upheld worldwide, although political systems authorize political institutions that do not appear to be inherently democratic.

As a result, we increasingly see conflicts about reflexive legitimation, that is, conflicts over which justification is appropriate for which form of political authority. In such reflexive legitimation conflicts not just the “What” (What counts as the more effective basis for legitimation?) must be disputed, but also the “Who” (Who decides?) and the “How” (How and under which conditions can we answer these questions and institutionalize the answers?).

My explanation for this development is that the current structural deficits of majority decisions in democratic institutions challenge a society’s normative core beliefs. This thesis opposes two variations of the crisis thesis that is discussed in comparative political science, and considers that the crisis of trust is caused by a growing gap between democratic claims. One school of thought is represented by, for example, Pippa Norris’s thesis of “critical citizens,” whose claims of democracy are excessive; another is offered by Colin Crouch’s writings on “post-democracy,” in which he refers to the elites’ (un-)democratic practices as the reason for the gap between claim and reality.

The thesis about the aforementioned conflicts regarding reflexive legitimation states that, notwithstanding the principled approval for this method of decision-making, the inherently democratic decisions in democracies are increasingly producing results that contradict society’s normative fundamental convic- tions.

Two structural deficits of majority decisions result from the current blurring of the boundaries of time and space. First, we know more today about the long- term effects of decisions and experience the blurring of time. This greatly shortens the timeframe of a politics that is dependent on voting. Whether it is about the public debt, the neglect of education or climate change, most benefi- ciaries of the status quo appear very willing to block necessary changes at the expense of minorities and future generations.

These cases point to a new relationship between majority decision-making and problem-solving. The major social issues of the 20th century could be solved through majority decisions; in a welfare state, the majority’s short-term interests corresponded with the vision of long-term social welfare. It is precisely this relationship that seems to have become at least partly perverted: majority interests are often special vested interests that will prove costly for the common good and future generations.

Second, given the denationalization of structures for social action—that is, the blurring of spatial boundaries—the national level seems to be too limited for political processes that concern the common good. Let us assume that the judg- es in Karlsruhe had ruled that the ESM required a referendum for a constitutional amendment in Germany. Such a decision would have had wide-ranging effects on all of Europe. But such a unilateral decision violates the principle of

22 WZB Report 2013 democratic legitimacy if it is understood to mean that everyone affected by a decision should have a say.

The euro zone is not uniquely affected. Is a majority decision in the United States to not lower CO2 emissions still democratic when it means that Pacific Islands dwellers will lose their homes? In the age of globalization, not only do the national policies of democratic states lose their effectiveness—often they are no longer capable of reaching their goals without international cooperation—but their perceived normative dignity also suffers.

Majority decisions in democratic states are not just sometimes incorrect and wrong—like all decisions, they have always been. Rather, in a denationalized knowledge world, the defective condition is increasingly systemic. That could be the explanation—though not the justification—why, worldwide, the inherent democratic legitimation of majority decisions seems to be diminishing compared with technocratic and liberal legitimation, and why citizens seem to welcome the weakening of majority decision-making democratic methods although they still champion democracy as an organizing principle.

References Beetham, David: The Legitimation of Power. Atlantic Highlands: Humanities Press International 1991.

Crouch, Colin: Postdemocracy. Frankfurt a. M.: Suhrkamp 2008.

Guggenberger, Bernd/Offe, Claus (Eds.): An den Grenzen der Mehrheitsdemokratie [At the Limits of Majoritarian Democracy]. Opladen: Westdeutscher Verlag 1984.

Hay, Colin: Why We Hate Politics. Cambridge: Polity Press 2007.

Norris, Pippa: Democratic Deficit: Critical Citizens Revisited. Cambridge: Cambridge University Press 2011.

Zürn, Michael: “Autorität und Legitimität in der postnationalen Konstellation [Autho- rity and Legitimacy in the Postnational Constellation].” In: Anna Geis/Frank Null- meier/Christopher Daase (Eds.): Der Aufstieg der Legitimitätspolitik. Rechtfertigung und Kritik politisch-ökonomischer Ordnungen [The Rise of the Policy of Legitimacy. Justification and critique of the political-economic orders]. Leviathan Sonderband 40/27 [Leviathan Special Volume]. Baden-Baden: Nomos 2012, pp. 41–62.

WZB Report 2013 23 Discussing Europe Online Debates on the Union Are Plural and Mostly Civilized Pieter de Wilde

The internet presents a revolution in communication. It allows instant commu- Summary: The EU is a widely contest- nication across the globe at low cost. It represents a change in political commu- ed issue on the internet, even before nication from a ‘one-to-many’ logic where professional news corporations the Eurocrisis broke out in full force. transmit news to the wider public to a ‘many–to-many’ logic in which everyone We find lively debates between Euro- can easily communicate with everyone else. philes and Eurosceptics on many interactive websites throughout Europe. People working in the field of political communication have spent considerable The voice of Eurosceptics is stronger, time debating what implications these new media have. Optimists consider it a with particularly fierce criticism lev- major step towards more open or democratic political communication. They hail eled at EU institutions and the lack of the opening up of the field and the decreasing monopoly of major news corpo- democratic accountability. Internet rations on political communication. Pessimists tend to think that the logic of optimists are right in expecting plu- news making does not change much and that the patterns of news making and ralist debate of decent quality while political communication we know from traditional mass media such as newspa- pessimists are right in expecting the pers, television and radio will simply be replicated on the internet. Furthermore, continued dominance of traditional they fear the disappearance of quality investigative journalism, as fewer and news corporations in political com- fewer people are willing to pay for access to news. As professional journalists munication. lose control over newsmaking, the quality of discussion may decline toward a stage of communication ‘sewage’. Finally, pessimists fear that – without professional journalists moderating the news – some loud voices may come to dominate less forceful ones and political actors will no longer be forced to provide adequate justifications for the policies they make.

In a recent study funded by the 6th framework program of the EU, Hans-Jörg Trenz (Copenhagen), Asimina Michailidou (Oslo) and Pieter de Wilde (WZB) analyzed internet debates on European integration and the legitimacy of the Euro- pean Union. Debates about Europe on frequently visited websites in twelve EU member states were analyzed during the 2009 European parliamentary election campaigns. Frequently visited professional journalism websites and independent blogs were sampled from Austria, Belgium, the Czech Republic, Finland, France, Germany, Greece, Hungary, the Netherlands, Poland, Sweden, and the UK. To illustrate, this sampling included the online portals of quality newspapers like Süddeutsche Zeitung, Le Monde and The Guardian; of tabloids like Bild, Kronen- zeitung and De Telegraaf; and blogs like Blogy iDnes, Le Blog Politique and Geen Stijl. All websites included in the study used interactive features known as Web 2.0 where readers are able to post comments in response to articles and other readers comments.

We did not focus on how elections and political candidates were presented, but rather on evaluations of the European Union as polity. That is, we investigated how actors in the news politicians, EU institutions, individual citizens, civil society and others evaluate the EU. We differentiated between three targets of evaluation: European integration as a core principle (in the sense of whether European countries should collaborate in some form or another); the EU as political system (as it now exists in terms of competencies, membership and institutions); and possible future steps in European integration towards a more federal union.

What we find is that both politicians making the news and readers responding to the news frequently engage in discussing European integration and the EU polity. In other words, even before the Eurocrisis truly broke out in late 2009, the EU was a widely contested subject. Particularly striking is the very similar balance of positive and negative evaluations across EU member states. There are many more negative opinions than positive ones in all EU member states stud-

24 WZB Report 2013 ied. Thus, the traditional assumption that some member states are more Euro- Pieter de Wilde is Senior phile while others are more Eurosceptic should be reconsidered. In fact, citizens Researcher at the WZB responding to news stories in online discussions across the EU are highly criti- research unit Global Gov- ernance and member of cal. Though participants in the debates criticize the EU; they are supportive of the bridging project The the principle of integration. That is, citizens – more than politicians – support Political Sociology of the idea of European integration, but are, at the same time, very dissatisfied with Cosmopolitanism and the result of the integration process. They strongly criticize the institutions that Communitarianism. He currently exist and their competencies. earned his Ph.D. in political science at ARENA, A particular bone of contention is the level of democracy in the EU. Many com- Centre for European Studies, University of plain that their voices aren’t heard, that they cannot influence what is being Oslo on the politicization decided in the EU and that unelected bureaucrats within EU institutions have of European integration. too much power. Yet, very few advocate a complete dissolution of the EU or even [Photo: Udo Borchert] that their own country should give up membership. In that sense, the existence [email protected] of the EU and our inclusion are taken for granted across Europe. So far, a remarkable consensus across EU member states is apparent. In short, European citizens and politicians alike agree in their arguments on the internet that we want Europe, but not this Europe.

These arguments clearly identify a problem, but not a solution. In effect, such arguments may best be labeled an expression of diffuse Euroscepticism con- taining a voiced grievance but no indication of what would alleviate the grievance. Few participants in online debates offer solutions, and the ones that do rarely agree with each other. While some advocate less Europe, others want more of it. Some see a solution in reverting back to the EU as a common market where we get rid of all the political integration and state-like symbolism. Others want to democratize Europe, for instance by directly electing the President of the European Commission or by making the Commission fully accountable to a majority in the European Parliament. The advocates of such changes accept that this democratization will probably come with a transfer of even more power to EU institutions.

Debates of unexpected good quality

The conclusion is that the internet is quite capable of hosting a lively and nu- anced debate about a complex issue, such as European integration and the legitimacy of the EU. Not only do many people participate in online discussions, but the arguments are generally fairly well presented in terms of decency and ar- gumentation. Furthermore, most websites presented a space for both Europhiles and Eurosceptics to voice their arguments. The debates were thus inclusive and of fairly good quality. This is a far cry from the characterization of political communication on the internet as sewage. So far, our study supports the expectations of internet optimists rather than those of the pessimists.

Yet, the debates predominantly unfold on websites that belong to traditional news corporations. That is, the most frequently visited political news websites in Europe tend to be the online portals of traditional offline media, like newspapers and broadcasting companies. As a result, these companies continue to control the flow of news and remain powerful agenda setters. To that extent, the internet pessimists are right to believe that the internet does not yet constitute a revolution in political communication. Instead, the political news as we already knew it, is replicated onto a new platform. For discussions on topics like Euro- pean integration , the innovation of the internet does not lie in the content of news or the way it is presented. The innovation lies in the opportunity for readers to directly respond for all other readers to see. Through their public contri- butions, these readers contribute actively to the debate and become part of the news-making enterprise.

Although debates on the internet clearly identify the problem of an undemocratic yet powerful EU, they do not present us with a solution. In other words, there is no clear collective will presented in online debates on European integration that could be translated into a political reality to satisfy everyone. In- stead, we are presented with a cacophony of different preferences. Given this

WZB Report 2013 25 dissensus and the recent history of European integration, we deem it likely that the EU will continue to evoke opposition as a simple result of its tremendous influence on the daily lives of EU citizens. Efforts by the political elite to publi- cally justify European integration simply provide fuel to the fire of online Euro- scepticism. Euroscepticism may well be here to stay for as long as the EU exists and for as long as political elites try to justify it. Thus we will continue to observe a lively debate about the EU on the internet.

References Michailidou, A., Trenz, H.-J. and De Wilde, P. (2012) ‘W(e) the Peoples of Europe: Re- presentations of the European Union Polity during 2009 European Parliamentary Elections on the Internet’, in T. Evas, U. Liebert and C. Lord (eds) Multilayered Repre- sentation in the European Union. Parliaments, Courts and the Public Sphere, Baden- Baden: Nomos Verlagsgesellschaft, pp. 215-232.

De Wilde, P., Trenz, H.-J. and Michailidou, A. (2010) ‘Contesting EU Legitimacy: The Prominence, Content and Justification of Euroscepticism during 2009 EP Election Campaigns’, RECON Online Working Paper, 2010/22, ARENA, University of Oslo, http://www.reconproject.eu/main.php/RECON_wp_1022.pdf?fileitem=5456424

De Wilde, P. and Trenz, H.-J. (2012) ‘Denouncing European Integration: Euroscepti- cism as Polity Contestation’, European Journal of Social Theory. DOI: 10.1177/1368431011432968

De Wilde, P., Michailidou, A. and Trenz, H.-J. (Forthcoming) ‘Online Euroscepticism. Contesting Europe in European Parliament Election Campaigns. ECPR Press

26 WZB Report 2013 The Autonomy of States Is Being Under- mined International Tax Competition Is Undemocratic and Unjust An interview with Peter Dietsch and Thomas Rixen

Not long ago in Great Britain, the media pilloried prominent figures—soccer player Steven Gerrard, pop star Cheryl Cole, and comedian Jimmy Carr—for failing to report their earnings to tax authorities and hiding the money in the British tax havens of Guernsey and Jersey. Campaigns against the tax practices of major corporations such as Vodafone are likewise on the rise. Cheating on taxes has become a national pastime for many firms and wealthy private citizens, and not only in the Great Britain. Both legal and illegal forms of tax evasion are promoted by the international tax competition spawned as governments try to attract foreign capital by lowering taxes rates on corporate profits and investment income. According to the international non-profit organization Tax Justice Network, Swit- zerland, the Cayman Islands, and Luxemburg lead the list of the world’s tax havens. But what impact does capital-friendly taxation have in a globalized world? Who are the winners and who the losers? Kerstin Schneider asked Peter Dietsch and Thomas Rixen what a more just international tax regime could look like.

Why is tax competition so detrimental?

Peter Dietsch: First, tax competition undermines the self-determination of those states experiencing capital outflows. After all, countries make democratic decisions on how they want to tax and what they would like to achieve with the revenues. Capital outflows prevent them from effectively pursuing their desired policy goals. Second, income inequalities are growing because low taxes on capital benefit those people who already have a great deal of money. That goes for income inequalities both within individual countries and between them. Third, tax competition leads to inefficiency. The losses of revenue mean that fewer public goods can be produced. This particularly hits developing countries because they lack financial resources for things like education and health.

What happens when people evade taxes?

Thomas Rixen: We distinguish between three kinds of tax competition. In one of them investors shift their portfolio capital—that is, their savings and investments in securities—abroad. For instance, Germans hold deposits in Swiss banks, where their accruing income on the investments is kept hidden from German tax authorities. That’s illegal, but various tax havens compete intensely for such money from tax evasion. In the second kind of tax competition, firms use inge- nious financial structures to move their profits to a low-tax country, where they pay fewer taxes, if any, often maintaining only a front company there. This is usually legal and is possible because international tax law does not forbid these transactions. These two kinds of tax competition are called virtual because they are not about relocating real business activities, such as production sites, to countries with attractive tax rates. Instead, the states compete with each other over paper profits. Third, there is real tax competition, in which companies make direct investments in countries in which they are taxed the least.

When did tax competition begin to increase?

Thomas Rixen: The movement of capital began to liberalize in the mid-1970s, with controls on it being gradually dismantled. The event that triggered tax

WZB Report 2013 27 competition was the U.S. tax reform under Ronald Reagan in 1986, which dras- tically reduced corporate taxes. It led to outright chain reactions in other industrialized countries. The effects of tax competition sparked back then have been a subject of discussion among policy-makers and economists ever since.

To what extent has it contributed to the international financial crisis?

Peter Dietsch: Tax competition is not the cause of the crisis, but it does have reinforcing effects. Because we have an international system in which states manage capital in very dissimilar ways, investors have taken advantage of these tax differentials. For example, preferential tax treatment of foreign Thomas Rixen is professor of political science at the capital had a part in the development of the credit bubble. Moreover, tax com- Otto Friedrich University in Bamberg and specializes petition blocks a possible way out of the crisis. The main view at the moment in international and comparative political economy. As a fellow in the research unit on Transnational is that you can navigate the crisis by going the route of spending cuts and Conflicts and International Institutions, he has fo- fiscal retrenchment; but you could also raise taxes. When dealing with tax cused on change in economic and fiscal policy regu- competition, however, hiking taxes on capital is very difficult because it en- lation under globalization. [Photo: David Ausserhofer] tails the risk that capital will flow to somewhere else. States want to avoid [email protected] that.

Are states prepared to accept regulation? Surely they profit from competition.

Thomas Rixen: In the states that could potentially benefit from regulation or an eradication of tax competition, the tax structure is changing. The pressure on capital is being eased; the pressure on immobile factors is being increased. That’s how most industrialized countries have managed to escape serious losses of revenue. The problem lies in distribution. A less just tax system is emerging in those states. This is what could create the political pressure necessary for regulating tax competition. Yet collective action poses a problem. The states would have to come together and find a consensus. Organized interest groups in business and the finance industry are anxious to see the states fail at any such effort.

In your project you have described “principles of a just international tax regime.” Please spell them out.

Peter Dietsch: We distinguish between two approaches. The first is an attempt at reform not altogether unlike the provisions in international tax law in effect today. The idea is to keep companies and individuals from shifting their profits or investment capital to other countries and having it taxed there. They are free-riding because they benefit from the public infrastructure and goods in one country without paying their share of the costs. Individuals and companies have to pay their taxes where they live and operate respectively. The second approach has to do with foreign direct investments, which must be closely examined. In this matter we go beyond existing principles. It is worth underlining that our approach differs from many others because we do not regard international taxation as a solution.

How can a more just tax regime be achieved?

Thomas Rixen: With virtual tax competition it is enough to install a functioning exchange of information between the countries. For instance, the German tax authorities do not know that money of a given person or company lies in Swit- zerland. But if the Swiss authorities were to report it, the German side could open investigations and follow up. The current international standard is to share information upon request. But that arrangement is not sufficient. We call for an automatic exchange of information at the international level.

28 WZB Report 2013 Isn’t it enough to appeal to the business community’s sense of duty?

Thomas Rixen: It’s part of corporate responsibility, but politically I wouldn’t rely on companies to pay their taxes voluntarily. Taxes are coercive levies—though they have a moral foundation. It is right to pillory businesses when they don’t pay their taxes, but in a certain sense businesses are compelled to behave that way because they are in competition, and their rivals, too, are dodging taxes. There is systemic competitive pressure to minimize tax payments. Under these circumstances it’s essential that it be possible to collect taxes by force.

How can countries be pressured to address these systemic Peter Dietsch is associate professor of philosophy at issues? the University of Montreal, Canada. He worked for several months in the Research Unit on Transnation- al Conflicts and International Institutions, partly in Peter Dietsch: Certain states or associations of states could consider which sanc- collaboration with Thomas Rixen on the project enti- tions they will use to protect their fiscal self-determination. With which unilat- tled Tax Competition and Global Background Justice. eral or multilateral instruments do you proceed against tax havens? The United [Photo: Udo Borchert] States has shown that it can be done. The United States passed the Foreign Ac- [email protected] count Tax Compliance Act, which regulates the obligation of foreign financial institutions to report to U.S. tax authorities.

But you go a step further . . .

Thomas Rixen: We call for an international tax organization. Our goal is not to create supranational taxes but rather to enable states to lodge a complaint if they feel harmed by another state’s tax policies. It would be analogous to the possibility that states have to press charges through the World Trade Organiza- tion if they feel disadvantaged by the trading practices of another state. An independent organization of that kind instills awareness that you can’t implement tax policies just any way you like in a global economy. You have to keep interde- pendencies in mind. A state has to show consideration for the fiscal self-determination of other states when pursuing its fiscal policies.

What tasks would such an organization have?

Peter Dietsch: A key mandate would be to ensure compliance. In addition, it would have the task to develop and monitor mechanisms to impede the transfer of profits. Ideally, we would like to see an international tax organization whose mandate extends to real tax competition and therefore to overseeing foreign direct investment. It should be noted that restricting virtual tax competition only increases the incentive for real tax competition. When firms can no longer move their profits, they tend to relocate their real business activities out of the country. That’s why we find it important that principles be developed for both kinds of competition.

Are there initial steps being taken toward the creation of a worldwide tax organization?

Thomas Rixen: Few. The OECD has been looking into the matter for a couple of years but has made no appreciable progress. There is a call from civil society to set up such an authority under the aegis of the United Nations.

Doesn’t a global authority interfere with state sovereignty?

Thomas Rixen: Yes, it does. But it’s important to realize that it affects only formal (de jure) sovereignty. States would no longer be able to pass their tax laws independently of each other. But our proposal is precisely to promote real (de facto) sovereignty, genuine autonomy, by imposing constraints on formal sovereignty

WZB Report 2013 29 and the ability to engage in harmful tax competition. They would be able to tax more effectively, would receive more money, and would thus be able to broaden their own policy options.

Peter Dietsch: Philosophically, it should be stressed that sovereignty is not an absolute right; it comes with certain strings attached. Germany’s sovereignty ends where another country’s sovereignty begins. A country’s fiscal policy may not extend to the point where it impinges on the same fiscal prerogatives of another country. With our proposal for reform, we want to identify the bound- ary that precisely marks the limits of a country’s fiscal self-determination so as to ensure the justification and functioning of the international taxation system.

Your project links a variety of disciplines. What do you expect to come of it?

Peter Dietsch: We want to give due attention to the various aspects of tax competition. Research on this topic has often focused on perspectives from within single disciplines. In economics, the question is whether tax competition is efficient, in political science the discussion is about institutional design, and in philosophy the subject is justice. What is needed, however, is an approach that links all these perspectives, and that is what we’re trying to accomplish in this project.

30 WZB Report 2013 Social Inequality and Integration. Aspects of migration, social inequality, and integration are core WZB research topics that cut across disciplines and units. The study of migration takes place mainly in the Research Area on Migration and Diversi- ty. Inquiry into matters relating to the welfare state and inequality is pursued in the Research Area on Education, Work, and Life Chances. A common denominator of this work is the interplay of policies, institutions, and attitudes. Most of the projects are cross-nationally comparative and include quantitative, qualitative, and experimental methods.

The Politics of Security How Germany and the United States Protect Their Citizens from Slipping into Poverty Ulrich Kohler and Martin Ehlert

All modern welfare states share one minimum goal: they want to protect their Summary: The German and the Amer- citizens from falling into poverty because of major life events, such as family ican welfare state differ much in breakup, job loss, or retirement. Social scientists use the term critical life events terms of the strategies applied to to refer to such periods of crisis. However, if we compare the ways in which the avoid poverty after adverse life various welfare states seek to accomplish that minimum goal, we find strategies events. The actual impact of such that could hardly be any more different. Two examples of this diversity are the events depends on the nature of the liberal and the conservative welfare state. event. In addition, the consequences of the events change over time. Un- The liberal welfare state encourages individuals to take matters into their own employment results in poverty more hands. This strategy intentionally accepts the fact that critical life events may often than family breakup or retire- lead to a severe loss of income in the short term. It is precisely this loss of ment in both countries. However, the income that, according to the liberal welfare state model, serves as an incen- risk of entering poverty in the U.S. tive for people to show initiative. Because they need money, individuals affect- depends to a greater extent on the ed by critical life events are assumed to go out and find ways of liberating economic cycle than in Germany. themselves from their precarious situation. To find new opportunities after losing their job, for example, people will put up with longer travel times to work or lower-quality jobs. Direct welfare state benefits are provided only for a short amount of time and cover only the bare minimum, with the single exception of those groups of whom it would be utterly impossible to expect efforts of their own.

The conservative welfare state, by contrast, is based on helping individuals to maintain their status. The goal is to avoid a severe loss of income following critical life events as much as possible. Persons affected by such events should have the opportunity to re-order their lives without any hurry and without any further financial loss. After losing their job, for example, individuals receive public social security benefits to balance out their loss of income over a longer period of time. As a result, job seekers are better able to turn down job offers that would involve disadvantages compared to their previous situation.

WZB Report 2013 31 To be successful, the liberal strategy of fighting economic hardship due to critical life events would have to enable individuals to quickly make up for the loss of income caused by such critical events. We refer to this ideal-typical income trajectory following a critical life event as the “dream of liberal social policy.” The opposite scenario, the nightmare as it were, would feature a trajectory that also involves a severe loss of income due to critical life events, but that situation would continue for a prolonged period of time, for instance because the affected individuals do not get on their feet to change it, or do so unsuccessfully. The “dream of conservative social policy,” conversely, would involve a situation in which a person’s loss of income after a critical life event were initially less severe than in the liberal system and would be made up for in the medium term. The nightmare would be if the conservative system were to undermine individual initiative. In that case, welfare recipients would remain in that status for a Martin Ehlert joi ned the WZB in 2009 as a research long time, meaning that although they suffer less severe losses in the short fellow in the project “The Economic Consequences of term, they are unable to recover in the long term. Key Life Risks in Germany and the US and Their Evo- lution since the 1980s,” conducted by the research unit Inequality and Social Integration. In October To what extent do these ideal-typical income trajectories following critical life 2012 he became a research fellow in the research events actually occur? This is the question that researchers in the WZB research unit Skill Formation and Labor Markets, working on a unit Inequality and Social Integration recently explored in an article to be pub- panel on the transition from secondary to tertiary lished by Kölner Zeitschrift für Soziologie und Sozialpsychologie. The study com- education (BEST-UP). [Photo: David Ausserhofer] pares the United States, as an example of the liberal welfare state, and Germany, [email protected] as an example of the conservative welfare state. The question is whether or not each of these two welfare policies produces the desired effect on citizens’ income trajectories. Using data from both countries, we explored whether people formerly well-protected against poverty become poor as a result of one of the following critical life events: job loss, retirement, and family breakup. Poverty was defined by referring to the household net income, taking account of household size. According to a widely used definition, individuals are defined as poor if their income is below 60 percent of the median. We wanted to know how many of those who were not poor for three consecutive years fell into poverty as a result of one of these three life events. In contrast to comparable studies, we also examined the ways in which the consequences of these events have changed over the course of the past thirty years.

Incorporating this temporal comparison is important, as we cannot assume the economic consequences of life events to remain the same over prolonged periods of time. On the one hand, this is simply because welfare states keep evolv- ing. In fact, our study has shown that at least one social policy reform was adopted each year over the past thirty years. On the other hand, the general macroeconomic conditions keep changing as well. The liberal welfare state model in particular relies on the market when it comes to overcoming economic hardship. This suggests that the extent to which people suffer from loss of income depends, among other things, on market trends.

Our comparison of Germany and the United States produced the following results. The economic consequences of critical life events are strongest with regard to job loss, followed by retirement, whereas the least pronounced effects were found to occur in connection with family breakups. In the case of job loss, the risk of falling into poverty in the United States goes up steeply at first, and then drops again. In Germany, by contrast, the risk of poverty rises somewhat less steeply initially but then even tends to increase slightly. This pattern by and large corresponds to the liberal dream and the conservative nightmare outlined above. It is with regard to retirement that the U.S. data most strongly diverge from the liberal dream. As expected, the risk of falling into poverty in the year of the event is much stronger in the United States than it is in Germany; yet instead of decreasing in subsequent years, it can even be seen to increase somewhat. And finally, family breakup: again, the U.S. trajectory is one of initially strong and then decreasing loss of income. The original loss of income is so strong, however, that even three years after the event, U.S. citizens are still more likely to be poorer than most Germans immediately after the breakup. Even though the liberal welfare state may provide incentives for people to take matters into their own hands, this is not sufficient for avoiding poverty to a degree similar to that achieved in Ger many.

32 WZB Report 2013 The temporal comparison revealed that the consequences of losing one’s job have become more severe in both countries since the 1980s. In Germany, however, this trend is only marginal, whereas in the United States, we see a steep increase starting roughly in the year 2000. This comparison leads us to a more sophisticated diagnosis of the dreams and nightmares of social policy. The fact that Germany used to see a slight increase in poverty after people lost their jobs even at a time when the welfare state still provided unchanging benefits suggests that it is not so much a lack of incentives that leads to this development (as in the nightmare scenario) but rather the adverse situation on the labor market. The same may be said about the United States, where unemployment goes up rapidly in times of economic recession. In other words, the liberal welfare state only succeeds in protecting its citizens against the effects of critical life events in times of favorable economic conditions. Ulrich Kohler, wh o joined the WZB in 2003, managed the project “The Economic Consequences of Key Life The economic effects of retirement have gone in opposite directions in Germa- Risks in Germany and the US and Their Evolution since the 1980s” and was the managing research fel- ny and the United States. In Germany, the risk of falling into poverty has de- low of the unit Inequality and Social Integration from creased somewhat, whereas the United States have seen strong fluctuation and, fall 2011 to August 2012. In September 2012 he be- at least since the 1990s, a pronounced increase. This can be explained with the came a professor of Methods of Empirical Social Re- stronger role of private retirement schemes in the United States, which make search at the University of Potsdam. people’s post-retirement income more subject to market fluctuations. Regard- [Photo: David Ausserhofer] ing the temporal evolution of the risk of poverty due to family breakups, no [email protected] systematic trend could be observed, but again, stronger fluctuation was found in the U.S. time series.

How do modern welfare states perform in terms of protecting citizens affected by critical life events against poverty, and which of these events involve a particularly high risk of becoming poor? The study has produced the following answers to these questions. First, neither Germany nor the United States offer complete protection against poverty. At least events such as losing one’s job or going into retirement involve a significant increase in the risk of poverty for previously economically stable groups; the same is true of family breakups in the United States. Second, poverty is permanent. There is a small trend for Americans affected by critical life events to escape from poverty after a few years, but even three years after the event, their economic situation is still worse than it would have been had the event not happened.

Now which of the two countries, Germany or the United States, provides better protection against poverty to its citizens? This question cannot be answered in general terms. Over the past thirty years, it seems that Americans on average enjoyed better protection after losing their jobs, whereas Germans fared better with regard to the other life events. However, the degree of protection was much more subject to fluctuation in the United States than it was in Germany. Regard- ing all three types of life events, there were periods in which Americans were better or at least as well protected against poverty as Germans. At other times, Americans had less, or even dramatically less, protection. It seems that what causes these phases is not so much welfare state reform but a complex interplay of economic and other historical factors. One key achievement of the German welfare state is to have made the protection of its citizens much more independent of the unstable economic conditions under which they experience a critical life event than the U.S. welfare state.

WZB Report 2013 33 When Religiosity Matters Integration of Second Generation Immigrants Is Deter- mined by Their Parents’ Beliefs Fenella Fleischmann

The connection between integration and religion—especially Islam—is an im- Summary: Is the structural integra- portant aspect of research on migration and in public debate. While religion tion of second-generation Turkish im- serves as an instrument for social integration in the United States, for immi- migrants directly related to their de- grants in Europe it is primarily seen as a barrier to integration. creased religiosity? Survey data from Berlin, Amsterdam, Brussels and Only a few empirical studies have been conducted on the relationship between Stockholm was analyzed to ascertain the degree of integration and the religiosity of immigrants and their descen- whether the various approaches to dants, and until recently there was hardly any survey data of adequate sample the institutionalization of Islam affect size. Most German research had focused on foreign citizens and excluded the this relationship. Only in Berlin, growing group of Germans with immigrant backgrounds. Furthermore, studies where Islam is institutionally most of integration and religiosity in Europe were restricted to separate countries: disadvantaged, was a negative associ- major variations in institutional recognition and support for Islam by the variation found between religiosity and ous European states had not been addressed. integration, with the least integrated second-generation Turks the most re- Now, for the first time, data from the TIES (The Integration of the European Sec- ligious. ond Generation) project enables cross-country comparisons, using children of Turkish ‘guestworkers’ to explore the connection between structural integration and Islamic religiosity in four European capitals: Berlin, Amsterdam, Brussels and Stockholm.

Two contrasting theses were examined in the country comparisons. The key question was if structural integration—higher educational qualifications, increased employment and inter-ethnic partnerships—is accompanied by secularization or reduced religiosity, meaning that Muslim minorities in Western Europe would become less religious over the generations as a result of their greater integration.

Or is just the opposite the case? Does religiosity remain constant or increase over the generations because children are brought up with religion, attending places of worship with their parents and Koran lessons? The competing hypothesis posited a possible increase in religiosity in the second generation due to a reactive orientation of the Muslim identity. This thesis arises from the expanded notion of reactive ethnicity adopted by the study of religion to interpret increased religiosity as a reaction to social exclusion and discrimination. Accord- ing to the hypothesis of reactive religiosity, second-generation Turks who have experienced a greater amount of unequal treatment or hostility will be more religious than those who have experienced less.

Another consideration was the effect of the institutional recognition of Islam in the four countries. It was expected that religiosity decreases or secularization through integration occurs mostly when Islam is discriminated against as a mi- nority religion. This assumption is based on the fact that a lack of institutional recognition and support for Islam affords Muslims few possibilities to combine living out their religion with successful integration. Wherever Islam is accorded equal rights and is recognized and supported by the government, individual religiosity does not hinder integration.

Survey data from 2007 and 2008 of young adults of the Turkish second generation was used to analyze their affiliation to the Muslim religious community as well as their personal religiosity—measured by the strength of the subject’s identification with Islam, frequency of performing various religious practices

34 WZB Report 2013 (praying, fasting, visiting the mosque and observing dietary guidelines) and views about the role of religion in society and politics. These indicators were examined in relation to the individual’s educational qualifications, employment and relations with Turkish or non-Turkish partners. In acknowledgment of the role of the transmission of religion over generations, the frequency with which parents visited the mosque and childhood attendance at Koran lessons were analyzed. Also investigated was the connection between religiosity and the experience of discrimination related to the hypothesis of reactive religiosity.

The study results show a clear difference between Berlin and the other three cities. In Amsterdam, Brussels and Stockholm structural integration is accompanied by the privatization of religion, with no relation indicated between religiosity and educational qualifications, employment and inter-ethnic relations. Fenella Fleischmann studies various aspects of the Although in all four cities, both more and less integrated and more and less re- integration of immigrants in Europe. She was a religious young adults of Turkish origin were questioned, only in Berlin was a searcher with the Migration, Integration, Transna- tionalization research unit until December 2011 and relation established between integration and religiosity. Better-educated mem- became Assistant Professor at the European Research bers of the second generation less often described themselves as “Muslim” and Centre on Migration and Ethnic Relations (ERCOMER), when they did, they were less religious. In contrast, young people who had not Utrecht University, The Netherlands, in January 2012. passed the academic secondary school examination (Abitur) most strongly iden- [Photo: Udo Borchert] tified with Islam, practiced their religion more often and favored Islam having [email protected] greater influence in society and politics.

This finding is probably due to the different levels of institutional recognition and respect for Islam in the four countries. In Germany, Islam is discriminated against in comparison with the established religious communities in terms of its legal status as a corporation of public law and financial (tax) support. In the comparison countries of Belgium, The Netherlands and Sweden, Islam benefits from the same legal status and federal support and legislation as established religions—albeit to different degrees.

In all four cities it was also clear that young adults of Turkish origin are religious if they were raised with religion. The strong influence of parental religiosity on children is well established in the sociology of religion, and the results of this study indicate that it also plays a part in the context of migration and religious minorities. It is this—rather than reactive religiosity—that explains differences in the degree of individual religiosity. The religiosity of Muslim minorities of Turkish origin is preserved over the generations first and foremost through the transmission of culture, tradition and religion. Individual religiosity is not primarily influenced by (either successful or unsuccessful) structural integration nor by the widespread experience of discrimination and exclusion of second-generation Turks, but rather mostly results from family religiosity.

References Diehl, Claudia/Koenig, Matthias: “Religiosität türkischer Migranten im Generationen- verlauf: ein Befund und einige Erklärungsversuche [The religiosity of Turkish migrants over the generations: The results and some attempts at explanation].” In: Zeitschrift für Soziologie [Journal of Sociology], 2009, Vol. 38, No. 4, pp. 300-319.

Fleischmann, Fenella/Phalet, Karen: “Integration and Religiosity among the Turkish Second Generation in Europe: A Comparative Analysis across Four Capital Cities.” In: Ethnic and Racial Studies, 2012, Vol. 35, No. 2, pp. 320-341.

Foner, Nancy/Alba, Richard: “Immigrant Religion in the U.S. and Western Europe: Bridge or Barrier to Inclusion?” In: International Migration Review, 2008, Vol. 42, No. 2, pp. 360-392.

Portes, Alejandro/Rumbaut, Ruben G.: Legacies. The Story of the Immigrant Second Generation. Berkeley: University of California Press 2001.

Statham, Paul/Koopmans, Ruud/Giugni, Marco/ Passy, Florence: “Resilient or Adapt- able Islam? Multiculturalism, Religion and Migrants’ Claims-Making for Group De- mands in Britain, the Netherlands and France.” In: Ethnicities, 2005, Vol. 5, No. 4, pp. 427-549.

WZB Report 2013 35 A Matter of Confidence Schools Have Dif- ficulty Reaching Parents of Turkish Origin Anna Ute Dunkel

Faced with strapped budgets, Berlin schools increasingly must depend on par- Summary: At schools with children ents to volunteer. However, especially in ethnically very diverse inner-city from different ethnic backgrounds, neighborhoods, ever fewer parents are making an effort for their children’s parents typically reserved when it schools. For this reason, the “Freiwillig macht Schule [Volunteering is Catching comes to participating in school life. On]” project has been soliciting volunteers for Berlin schools since 2010. The On the other hand, ethnic homogene- Berlin scene exhibits sociologist Robert D. Putnam’s ground-breaking finding of ity does not simply lead to greater 2007 in which, comparing some 40 American cities and regions, he observed parent participation. At Turkish domi- that ethnic diversity was likely to inhibit individuals engaging for the common nated schools in particular, parents good. People in heterogeneous communities dedicate themselves more to – and have little faith in the potential of for – their own ethnic group and participate less in public life in general. When their collaboration, but rather with- confronted with greater ethnic heterogeneity, do parents in Berlin also retreat draw in passivity. To explain this phe- rather than put themselves out for the school community? nomenon, the social milieu and cultural traditions must be taken into The willingness to make a voluntary commitment to the community is based on account beyond ethnic composition. trust that others will also get involved to successfully cooperate on a common goal. In ethnically heterogeneous communities, such trust is not a given. Diffi- culties in communicating verbally, as well as the cultural misunderstandings that may come from different manners, impede confidence-building.

Another important basis for trusting in a society’s collective strength is its members’ social networking. Potential collaborators can be mobilized through daily contact, while reciprocal social monitoring increases the certainty that others will be motivated to get involved. Thus, people’s proven tendency to seek contact with those who are socially – and especially ethnically – similar, should contribute to people in ethnically homogeneous societies far more often trusting in collective commitment for the common good than those in ethnically heterogeneous societies.

In a study sponsored by the German Federal Ministry for Family Affairs, Senior Citizens, Women and Youth on parental involvement at Berlin elementary schools, WZB researchers in the ‘Ethnic Diversity, Social Trust and Civil Engage- ment’ project studied the link between ethnic diversity and parents’ readiness to cooperate for the good of their children’s schools, comparing two Turkish-dominated and three ethnically mixed elementary schools in the Kreuzberg and Neukoelln districts. In qualitative guided interviews, 28 mothers of Turkish origin reflected on their experience and attitudes. Meetings with various education professionals at the schools provided additional information about parents’ typical behavior patterns and common perceptions. The observations from these five case studies were interpreted in light of the results of a survey of parents at 40 elementary schools in West Berlin.

The observation by parents and teachers at all five schools that parents over- whelmingly seek contact within their own language group or culture – whether in the schoolyard or nearby playgrounds – was of little surprise. The results of the parents’ survey also showed that their number of acquaintances drops with the rise in ethnic diversity.

The concerned parents of Turkish origin did not blame language barriers or the fears of other lifestyles that are partly expressed by religious families. Instead, they often interpreted German families’ efforts to make contact as “half-heart- ed”. One example was the way invitations are made to children’s birthday parties: German parents of young pupils gladly use the parties to make contact with other parents, while Turkish parents expect to have deeper contact with other

36 WZB Report 2013 parents before allowing their offspring to visit their homes. As a result, German children at schools that are predominantly Turkish often celebrate their birth- days with almost no guests – a case of obvious, but different, expectations resulting in lost opportunities to establish contact for both parties.

Difficulties in communication, as well as the fact that it is generally easier to network within one’s own ethnic group, cause parents of Turkish origin to be most likely to get involved in Turkish-dominated parents’ associations when it comes to cooperating with other parents on specific goals for the school. The results of the parents’ survey show that increased ethnic heterogeneity leads to decreased confidence in parents’ joint efforts to solve problems – whether it’s violence between pupils or the threat of a school festivity being cancelled. Anna Ute Dunkel is a sociologist who has been work- However, the situation at the two Turkish-dominated schools in the study makes ing with the WZB’s Migration, Integration, Transna- one sit up and take notice. Against expectation, the mothers of Turkish origin tionalization research unit from October 2009 to De- cember 2012. Her main research project concerned interviewed at both schools had little confidence of being able to achieve any- the effects of ethnic heterogeneity and institutional thing for the school and their children with the parents’ association dominated regulations on parents’ associations in German and by their own ethnic group, meaning that a single ethnic group’s dominance is no French schools. [Photo: David Ausserhofer] guarantee for parental engagement. One Turkish mother who regularly helps [email protected] out at school events responded: “What do I think of the other parents? I hardly notice them. Now that I think of it, I realize that other parents are there – and I also know that they don’t do anything.” The perception of Turkish parents who always complain but never actually do anything recurs in the interviews. What accounts for this lack of confidence in one’s ability to make a difference at school when cooperating with parents of the same ethnic background?

Another glance at the results of the parents’ survey regarding their ability to cooperate is eye-opening: Parents’ confidence in their ability to act together for the good of their children’s school not only drops with increased ethnic diversity, but also with the rise in the share of pupils exonerated from paying for learning materials, an indication of socioeconomic disadvantage. In Berlin schools, children with migration backgrounds are disproportionately poor, with the share of socially disadvantaged children at most elementary schools in West Berlin the same as that of children with immigrant backgrounds. The mothers we interviewed regarded a large portion of the parents, and especially those from their ethnic group, as being unable to cope with many tasks involving parental participation because of their social problems, poor education, and to some degree, inadequate language skills as well.

The mothers who do get involved also often blamed the generally low participation rate of parents of Turkish origin on their traditional view of the passive role of the family at schools. One schoolteacher of Turkish background explained this deep-seated attitude: “In Turkey, parents often tell the teachers: ‘The flesh belongs to you, the bones to me.’ That is, ‘My child belongs to you flesh and blood. You can do whatever you want with them.’ I find that very revealing. It says, ‘I don’t want to be bothered with everything else. Let’s see how you educate and shape my child.’” It is likely that at the two Turkish-dominated schools in the case study, Turkish parents’ culturally rooted reluctance to get involved in the school concerns of their children is very widespread – if only because of the large share of socially disadvantaged parents who have little experience of the German educational system.

One might think that middle-class parents of Turkish origin would be able to spur their ethnic group to participate more, but the case study shows that this assumption flaunts reality: In both Turkish-dominated schools education-con- scious parents seldom seize the initiative to introduce other Turkish parents to the German school system. One school principal says that the Turkish middle-class parents would be “like fish in water with the German parents”. That is, Turkish middle-class parents appear to be little networked with their own group of origin and more with the German middle class.

Secular middle-class Turkish parents find few commonalities with the majority of their ethnic group who generally are little educated and very religious. Fre- quent reports of tensions between religious and worldly lifestyles, such as de-

WZB Report 2013 37 bates about pork-sausage sandwiches, do the rest – so that the middle-class parents with secular lifestyles often prefer to associate with German parents. Parents of Turkish background who want to do something for their children’s schools often appear to have so little confidence in cooperating with other parents of Turkish origin that they gradually begin to react like the German middle class and seek other schools.

Literature Bandura, Albert: “Exercise of Human Agency through Collective Efficacy”. In: Current Directions in Psychological Science, Vol. 9, No. 3, 2000, pp. 75–78.

Koopmans, Ruud/Dunkel, Anna/Schaeffer, Merlin/Veit, Susanne: Ethnische Diversität, soziales Vertrauen und Zivilengagement. Projektbericht [Ethnic Diversity, Social Trust and Civic Engagement. Project Report]. Berlin: Bundesministerium für Familie, Senioren, Frauen und Jugend [German Federal Ministry for Family Affairs, Senior Citizens, Women and Youth], 2011.

McPherson, Miller/Smith-Lovin, Lynn/Cook, James M.: “Birds of a Feather: Ho- mo-phily in Social Networks”. In: Annual Review of Sociology, Vol. 27, No. 1, 2001, pp. 415–444.

Putnam, Robert D.: “E Pluribus Unum: Diversity and Community in the Twenty-first Century”. In: Scandinavian Political Studies, Vol. 30, No. 2, 2007, pp. 137–174.

38 WZB Report 2013 Education and Training over the life course and issues of gender and family are explored primarily in the Research Area on Education, Work, and Life Chances and in the President’s project group. The WZB is a partner of the network engaged in the National Educational Panel Study, which for the first time is addressing the role of education and training throughout the life span, including effects of social inequality and gender as well as policy and institutional aspects.

“We Are Making a Film out of Stills.” NEPS Long-term Poll Records Education of Tens of Thousands Interview with Reinhard Pollak

The National Education Panel is for German education research what the decades-long documentation “Die Kinder von Golzow” is for cinema—but significantly larger. The NEPS (short for National Educational Panel Study) plans to follow 60,000 people throughout their lives. At the center of this scientific interest are the forms, timing and results of education. An interdisciplinary network of 33 research institutions makes up the foundation of the large-scale project; Heike Solga and Jutta Allmendinger are responsible for WZB participation. Ga- briele Kammerer spoke with education researcher Reinhard Pollak, who is di- recting the WZB education panel project group.

Can you fit your concerns into three sentences?

Maybe in three questions. The education panel is trying to find out: What learning environments help people become educated? In educational matters who sets the junctures, at what point and what are the effects? And what knowledge and competencies are acquired and where? Those are things that change in the course of life. And that is why we observe people throughout their entire lives. We begin with newborns; look to see what developmental steps they make, continue through preschool, primary and secondary school. The contexts, caregivers and educators constantly change. Learning does not end with adulthood. It continues in companies and with adult further education. We examine all of that as well.

What do you mean by “We examine all of that as well”? What kind of methods are you applying?

Many different ones. Of course you can’t give a six-month-old child a questionnaire. So we record videos. The children are given very specific stimuli and we observe how they react to them. No one has ever made video recordings of such a large group—we have 3,000 six-year-olds. For the preschoolers we use various games. When the children are school age, we emphasize scholastic content,

WZB Report 2013 39 that is, the traditional subjects of German, mathematics, in part natural sciences, in part foreign languages. At this level, we conduct testing with something like an exam—with the adults too, by the way.

So a 40-year-old has to take a math exam?

Yes, sort of. Surprisingly, it works well. We weren’t so sure if the adults would want to quasi go back to school for an hour, but they bravely play along. It is a gift to science. In this way we can trace the developments throughout life. Ideal- ly, if we really do accompany the same people over a long time, we could see how they develop from childhood to advanced adulthood. We could ask, for example: Do those who start well simply always stay better? Or is there a chance for those who started in unfavorable conditions to catch up later on?

So that means you are now planning for 80 years?

The education panel started in 2009, support from the Federal Ministry for Ed- ucation and Research is effective for five years at first. So we are now approach- ing a critical waypoint: Is there a possibility to continue the study long-term? We are hoping for a time span of 20, 25 years in which we visit or call the same people in a particular rhythm, usually once a year.

How did you find the people?

We drew from a random nationwide sample. Since we wanted to examine various central points in the biographies as quickly as possible, we drew from various cohorts, that is birth years. The youngest were the newborns, and then preschool children, fifth graders, ninth graders, college students and adults. We didn’t place equal weight throughout. With the ninth graders we saw to it that more Haupt- schulen (secondary schools) and more special-needs schools were included. The background behind this so-called oversample is as follows: We know from previous studies that people from this group have a particularly hard time finding good apprenticeships or jobs. In order to be able to make sound statements about this—shrinking—group of people, we topped up the pool a little bit.

How high is the willingness to participate?

It varies greatly. In the schools most students cooperate. It’s not so easy to mo- tivate adults to participate. In the adult group we reach quotas of 30-40 percent for the first questionnaire. Unfortunately, in international comparison that is very low. It isn’t that people here are particularly afraid of participating specif- ically because of the subject of education. Rather, there are indications in our data that show that our random sample is representative for Germany, even if barely 1 out of 3 selected persons actually participate. We’re proud that we’re able to keep the people at it, once they first participate. But we work at it. We try to provide interesting content for the respondents; we maintain variety. Besides that, we write to the people between enquiries to maintain contact. And a significant point is that participants receive payment.

The project has intimidating dimensions. Who is working on it and what role does the WZB play?

The University of Bamberg centrally coordinates the National Education Panel. In addition, nineteen institutes—the primary actors in education research in Germany—are consortial partners. The WZB has two primary roles, since we are responsible for two age groups: youths who enter the vocational training system following school, and adults and their lifelong learning. We work together with the University of Siegen for youth research and the Institute for Employ- ment Research (IAB) in Nuremberg for adult research.

40 WZB Report 2013 Assessment only happens at the end. But where do the initial hypotheses come from?

The education panel is an interdisciplinary cooperation—we have educators, we have economists, we have sociologists on board, psychologists are also with us. Everyone brings their own ideas on what the correlations could be and we develop the questions from there. The idea is for each of the respective disciplines to look at the central content from different perspectives: competencies, living environments, educational decisions and gains from education.

That means that as a group we pursue what individual scientists do not necessarily find so convincing. But s/he knows that one of the groups in the scientific community has particular interest in an approach, and as a result, data is Reinhard Pollak heads the Project Group “National surveyed for that approach. The education panel considers itself a service insti- Educational Panel Study: Vocational Training and tution: We collect the data for others. Of course we want to work with the data Lifelong Learning”. His research focus is on social mobility, educational disparities and gender inequali- ourselves too—but we may only do that when it is available to everyone. ty. [Photo: David Ausserhofer] [email protected] What can I expect as a researcher, in what form and when?

If you would like to work with the data, you can already analyze almost all of the age groups—except for the newborns. We want to post the data as quickly as possible, normally within 18 months following the enquiries. And since we take surveys annually, new data is added every year—new data or additional data that builds on earlier data sets. To get access you have to submit an application for data usage with the University of Bamberg user service.

What does such a complicated longitudinal section show that a sum of cross-sections does not?

I can explain that using the PISA Study. That study took a snapshot of ninth-graders and showed how good they are in math and German. We don’t know how good they were before or how good they became later. We don’t know what led to their being good or bad. We don’t know what they can do later on with their adequate or inadequate possession of competencies. The NEPS doesn’t just take a snapshot like that. Instead we make a film out of a lot of stills. From there we can see and understand exactly the individual developments; why the snapshot resulted the way it did and why in half a year it will already look different. And keeping to the comparison to film: We help the data find its feet. This way we can illustrate dynamic processes; we get much more detailed impressions.

On the one hand, NEPS should provide an important contribution to research and provide advice for politics on the other. Do both work?

Our expectation is to conduct problem-oriented basic research. The research project should raise the understanding of educational processes, education results, competency development and similar. That is, of course, highly political. For example, we can say what leads adults to pursue more adult education, or which measures must accompany students with special-education needs to perform well at regular schools. Things like that have a very practical field of application. It is simply helpful to have good explanations for some processes. Since nothing is more practical than a good theory.

Are there initial results that you were not expecting?

We’ve only had the adult random samples available since last year and only then the first surveys. This is only a snapshot of the beginning, but interesting things are already showing up here. For example, with the adults we do a particularly

WZB Report 2013 41 detailed questionnaire about activities in further education. We don’t just ask “Have you participated in further education in the last 12 months?” We connect the question to various areas of life. We ask “Have you, during the employment we just discussed, participated in further education in any form?” The same applies for other phases of life like unemployment, parental leave etc. And it comes out that we receive reports of many more further education activities than reflected by most other data sets on continued education. Often, there is also a significant underestimation of the dimension of life-long learning in Germany.

Where could your work become particularly politically explosive?

We can give a lot of impetus about inclusion of children with special-education needs. I also see great potential in the adult education area. The data we are collecting offers a unique possibility to see who is taking part in further education activities, why people take an interest in it and with what consequences. We’ll be able to show under which circumstances people can profit from various forms of further education.

The third greatest point of influence lies in early childhood. Whether or not we can show how small children develop competencies and how that affects educational decisions later on, also dependent on different contexts. That is: Were the children kept at home or sent to daycare? That has immediate political relevance.

42 WZB Report 2013 Long-term Investments In-house Voca- tional Training Works–with Binding Reg- ulations Philip Wotschack

Life-long learning and further training at the workplace are generally regarded Summary: Firms and employees who as important. But there is a big gap between the public debate and the actual wish to invest in further training face performance of companies. According to Germany´s Institute for Labor Market serious constraints in terms of costs and Employment Research (Nuremberg), in 2011 only 50 percent of businesses and uncertainty about the return on promoted continuing education by making time or money available, and less their investment. A study of ten com- than a third of all employees pursued further training. The WZB project “Compa- panies well-known for their good nies’ training and working time policies in a life course perspective,” funded by training opportunities shows how in- the Hans Böckler Stiftung, studies barriers to further training at the workplace stitutional arrangements help over- and the institutional conditions needed to overcome them. come these barriers. Stable employment relationships prove to be very Continuing education implies costs and risks for both businesses and employees important in promoting further train- that can be understood as a problem of transaction costs. Organizing and attending. ing training takes time; trainers and suitable infrastructure mean costs, which come due in the present, while the benefits of further training for employees and businesses often cannot be precisely calculated. For small businesses or businesses in difficult economic situations, these factors can be obstacles to any further; among employees, generally the low skilled and women with care obligations participate less in further training.

The problem of transaction costs in further training at the workplace can be solved, as demonstrated by businesses where groups of disadvantaged employees also regularly pursue further training. Our project has studied the institutional framework conditions that pioneering companies are contributing to good practice for further training at the workplace. According to the theory of transaction costs, institutional arrangements (or governance structures) can provide solutions for transaction-cost problems through agreements, regulations or standards that reduce uncertainties—and the costs and risks—that are associated with training for businesses and employees alike. Agreements and standards need not always be written; they can also be informal—in verbal agreements, company culture or normal operating procedures.

Research design and company selection

Extensive research led to the selection of ten different pioneering companies for the Hans Böckler Stiftung-funded WZB project—businesses which stand out because of their intensive further training activities that are also addressed to low-skilled employees or women with families. Characteristics such as size, employee structure and economic sector were also considered in making the selection. Between April 2010 and April 2012, the solutions of ten companies and their contexts were recorded. In five businesses, more detailed studies were conducted that included employee interviews as well as conversations with personnel managers and employees’ representatives to determine which in-house and external conditions produce a high level of participation in further training at the workplace. Early results of the qualitative case studies are presented below. The complete findings, along with an analysis of data about the businesses, will be available in Fall 2013.

How are decisions made for or against further training? Businesses and employees are assumed to anticipate costs (such as investments of time and money) and risks (such as the possible loss of investment or the failure to realize its

WZB Report 2013 43 goals and advantages). Reference points refer to the costs and risks that are linked to the decision to forgo further training: for businesses, these include skills and worker shortages and recruiting costs, and for employees, possible job loss and disadvantages regarding career or income.

It is obvious: The businesses have more pressure to engage more in further training, with the failure to do so shown in rising costs and risks. Many companies are confronted by acute or threatening demands for skilled workers. But demand alone does not cause pioneering firms to change their practices regarding further training: for this, other institutional framework conditions are needed.

Pioneering firms use existing structures

Business costs for further training can be reduced through support for vocational training and education that comes from the company or regional institutions, or through state subsidies. Most of the ten businesses actively conduct further training and have the necessary infrastructure, personnel resources and experience. To qualify its employees, the port authority can use the holding’s own educational and training center and a professional school that is owned by the concern, as well as a continuing education center for maritime professions that is located at the harbor. During the crisis of 2008–2009, a big offensive for short-time work and further training was supported by the Bundesagentur für Arbeit (Federal Employment Agency) in which most of the port authority’s un- and semi-skilled workers were able to qualify as port- or ware- house-logistics specialists, thereby raising the skills level at the lower end of the port’s hierarchy. Close cooperation with the regional employment agency as well as the business actors’ experience collaborating helped insure the program’s success. We discovered that personnel departments and work councils often jointly shape policy on further training, with the work council’s engagement resulting in subjects and approaches that were originally developed for highly qualified employees and management also being used for the commercial branch and groups of less-qualified employees.

External institutional regulations also help promote further training in companies. Often business thinking is blind to the long-term advantages of investing in further training, only calculating costs and benefits for shorter periods and dismissing the long-term risks and costs that result from skills shortages. The pioneering businesses in our study show how external regulations can help broaden this limited perspective. At the clinic, for example, further training is promoted through Medical and Nursing Association regulations that mandate a certain amount of annual training for employees. Doctors and nursing staff must prove to their respective professional associations that they have obtained a specific number of advanced-training credits. Binding standards assure broad participation in further training, even if it is on a small scale.

At the port authority, wage agreements have a positive influence. The signato- ries to the group-wage tariff agreement, “Demographic Change, Global Competi- tion and Business Social Policy”, pledge to develop instruments for age-appropriate social policy. The agreement stipulates needs-based qualified training, the development and cost absorption of basic and further training and professional courses of study, the development of guidelines for promoting education and efforts to stimulate the domestic labor market.

Regulations create commitment

The insecurities and risks associated with further training can be reduced through regulations and agreements that stimulate commitment and transpar- ency and mitigate employee and business risks. Security is conveyed through successful cooperation between actors concerned with the company’s works policy, transparent business and wage regulations regarding further training, as well as mandatory training-need analyses and employee appraisals. One chem-

44 WZB Report 2013 ical plant that we studied has a form for the compulsory annual employee appraisals conducted with superiors, in which the employee’s training needs and long-term professional interests are discussed and planned. The employer pledges to conduct annual training sessions and assure the initial training of new employees, as well as assume all costs of skills training needed by the business. For further training that does not respond to an acute business need, the employer pays in proportion to the degree the training benefits the business. For example, for chemical workers’ further training the company pays between 75 and 100 percent of the time and financial costs, while for foreman/master craftsman training, it usually pays 50 percent. A catalog specifies the time and costs for both business and employee. The employer is insured against the possible investment loss through separate contracts for further training that set out how the costs will be repaid within two years after the training is finished Philip Wotschack received his doctorate in sociology should the employee change jobs. from the University of Groningen and has been a researcher in the WZB’s Skills Formation and Labor Markets research unit since 2008. He studies new ap- The port authority provides another example of the influence of informal regu- proaches for working with personnel that take ac- lations: competing businesses at the harbor have a verbal ‘gentlemen’s agree- count of demography and life issues in the project ment’ that prohibits them recruiting each others’ specialists or trained workers, “Companies’ training and working time policies in a thus reducing the risk that investments in basic and further training will be lost life course perspective.” [Photo: David Ausserhofer] through a change of employers. [email protected]

All the pioneering businesses that we studied have regulations and standards that promote long-term business and employee collaboration, which make investing in further training meaningful for both parties. Important preconditions include secure employment, good opportunities for professional development at the business and a high degree of solidarity. The ten businesses mostly References offer their workers unlimited contracts and avoid large-scale dismissals—often Bechmann, Sebastian/Dahms, Vera/Tschersich, through the united efforts of workplace parties. At many businesses we also Nikolai/Frei, Marek/Leber, Ute/Schwengler, Bar- found strong displays of community feeling and solidarity, which help low- bara: Fachkräfte und unbesetzte Stellen in einer skilled or part-time employees—who are usually overlooked in personnel poli- alternden Gesellschaft. Problemlagen und betrie- cy—receive more consideration in training policies. bliche Reaktionen. [Skilled personnel and vacant positions in an aging society. Problematic situa- At the clinic, personnel managers promote in-house solidarity by emphasizing tions and business reactions.] IAB-Forschungs- cooperation and team spirit over competition and individual prestige. Skilled bericht [IAB Research Report] 13/2012. specialists and ‘team players’ are preferred to doctors with big reputations. Su- pervisors are recruited in-house and, as far as possible, necessary professional Gillen, Julia/Elsholz, Uwe/Meyer, Rita: Soziale expertise is imparted in further training and personnel development programs. Ungleichheit in der beruflichen und betrieblichen Mutual support, trust and fair dealing characterize the clinic’s work environ- Weiterbildung [Social inequality in professional ment. Similar situations are found at the port authority and the chemical and and workplace further training]. Arbeitspapier automobile factories, which view the enterprise as a ‘big family’. With such com- [Working Paper] 191. Düsseldorf: Hans-Böckler- pany culture, decisions about further training are guided more by solidarity and Stiftung 2010. long-term goals than by pure business criteria. Wotschack, Philip/Scheier, Franziska/Schul- Our study shows that further training can be promoted by reducing related te-Braucks, Philipp/Solga, Heike: “Zeit für Leb- costs and uncertainties through institutional frameworks. Bonds of solidarity enslanges Lernen. Neue Ansätze der betrieblichen between business and employees prove to be important preconditions for long- Arbeitszeit- and Qualifizierungspolitik [Time for term, joint action. The port authority also demonstrates how further-training life-long learning. New approaches to firm poli- policy can stimulate company culture: its massive skills offensive stimulated cies regarding working time and further train- many employees to pursue further training, while the business actors who par- ing].” In: WSI-Mitteilungen, 2011, Vol. 64, No. 10, ticipated were also encouraged to make more efforts regarding further training. pp. 541–547.

WZB Report 2013 45 Specialization Has Its Price Voca tional Training and Labor-Market Opportunities Christian Ebner

The critical phase of young peoples’ transition from training to the labor market Summary: The possibilities of finding has often been the focus of international comparative research. Studies tend to a suitable job after vocational training compare countries with different economic structures or institutional regula- vary greatly among the countries tions, such as protection against dismissal. The results repeatedly show that a with dual-training systems. For exam- country’s training system is crucial for successful labor-market integration. ple, Germany’s occupation-specific dual training tends to hinder young Roughly three country groups can be distinguished: first, countries that train on people finding permanent jobs, where- the job, where competencies are geared to the particular company. Second, as the rather general training in Den- countries that prepare young people for the working world in vocational schools, mark decreases the chances that where content can be more easily transferred between businesses but there is young people will find skilled jobs. little or no practical training. Third, countries with highly developed dual-training systems, where young people divide their time between companies and vocational schools, thereby acquiring both theoretical know-how and practical training. Young people from this group of countries—Germany, Austria, Swit- zerland and Denmark—manage to enter the labor market comparatively easily and have relatively low rates of unemployment.

The different experiences of young people entering the labor market in countries with dual-training systems have not been satisfactorily examined. My study, “Erfolgreich in den Arbeitsmarkt? Die duale Berufsausbildung im internationalen Vergleich [From Training to the Labor Market. Dual vocational training in international comparison],” which is available in print since 2013, should fill this information gap. For the first time, the educational and vocational training systems of Germany, Austria, Switzerland and Denmark have been compared. Are there differences between the countries’ dual training systems? How does dual training perform in comparison with other courses of study—for example, with academic study? I also wanted to learn if dual-training systems really present different labor market opportunities and risks in different countries. Do the dual-training systems of Germany, Austria, Switzerland and Denmark function like safety nets and protect against unemployment and precarious employment? Can graduates from the dual training system enter high occupational ranks?

Just investigating the four countries’ educational systems revealed differences: many younger people in all four countries have dual vocational qualifications. In Austria however, comparatively large numbers of young people obtain full-time formal qualifications, especially from five-year secondary vocational schools [Berufsbildenden Höhere Schulen, BHS] that also award the university-entrance qualification (Matura). Many graduates in Switzerland have ‘Tertiary Level B’ qualifications—from higher professional schools, for example—while in Den- mark, the higher education sector (Tertiary Level A) appears to dominate.

The individual dual-training systems in Germany, Austria, Switzerland and Den- mark also have distinguishing characteristics. The following indicators were used to determine occupational specialization within the dual-training system: the number of recognized training occupations, the practice of teaching vocational basic education before any dual-vocational training, and the possibility of being trained for numerous occupations. With roughly 350 recognized occupations Germany leads the group numerically, followed by Switzerland and Austria, each with around 250, and Denmark with nearly 150. As the number of recognized occupations grows, training is likely to become more specialized and the range of professions that can be practiced narrows. Programs of basic education—as provided in Denmark and Austria—help increase the scope of the

46 WZB Report 2013 training. Another remedy against excessive specialization is to become official- ly qualified for two occupations. But so far this is only possible in Austria.

Thus, the degree of occupational specialization can be described as follows: Training in Denmark is the least specialized—in clear contrast to Germany, Austria and Switzerland. Germany has a very high degree of specialization, with Switzerland and Austria with median degrees. But does great occupational specialization help young people—or might it actually restrict their mobility on the labor market? How easily do graduates in the various countries find work—and which jobs do they find?

In order to accurately measure and compare the effects of the various training systems on the labor markets, the risk of being unemployed or finding just a temporary or low-skilled job was measured for each country. An international ranking system was also used to compare the status of the various jobs. Finally, framework conditions such as business and industry structures and labor-market flexibility were considered.

The study of younger people’s status in the labor market revealed commonalities and clear differences among the four countries. In all four, people with dual training certificates are less at risk of being unemployed than people with no professional qualifications. They are also less likely to obtain only precarious employment in the form of temporary and low-skilled jobs. This finding should be taken as a challenge to increase efforts to offer vocational training to as many young people as possible in all four countries.

Vocational training does not eliminate all the risks for young people. The risk of getting a low-skilled job even when holding a dual training certificate is much higher for graduates in Denmark than for graduates of the dual-training systems in the other countries. This could be because in Denmark the relatively high number of academics might crowd out other job applicants and the comparatively low level of specialization in dual training can block access to skilled jobs that require specialized training.

A very high degree of specialization in dual training, as in Germany, might well account for the high risk of getting only temporary jobs and even being unemployed. Highly specialized graduates can’t be widely employed, have more limited access to certain jobs and as a result, get fewer open-ended contracts. This makes the mid-level vocational specialization offered in Austria and Switzer- land seem optimal. Graduates of Austrian secondary vocational schools that have had limited practical training do remarkably well on the labor market, which makes one wonder if more theory shouldn’t be taught for certain occupa-

The German system of learning at vocational school and being trained on the job, like these apprentices in Ludwigsfelde near Berlin, has its strengths but later could be disadvantageous when entering the labor market. (Photo: picture alliance/ZB)

WZB Report 2013 47 tional fields once the relevance of the training content to the labor market has been established.

In all four countries, academics (Tertiary Level A) and graduates of further training in the Tertiary Level B (for example, master craftsmen/foremen and techni- cians) enter the highest occupational ranks. Thus, investing in formal (further) training pays off for an individual. This is connected to the question of the educational system’s permeability. The possibility of rising through the training system and thereby creating upward mobility in the labor market should be investigated in a follow-up study of countries with dual-training systems. There is also the question whether more general vocational training, as offered in Denmark is a good basis for work-based learning and helps older employees adapt to labor-market developments. Flexible learning is assumed to build on Christian Ebner is a researcher with the National Ed- broad knowledge rather than on highly specialized expertise. ucation Panel Study: Vocational Training and Lifelong Learning project group and the WZB President’s project group. He conducts international comparative re- Closer observation of countries with similarly structured training systems research on vocational training, transitions to the labor veals unexpectedly large differences—in terms of the training systems them- market, and demography and work. [Photo: David Ausser- selves, as well as the experience of young people entering the labor market. But hofer] comparing similar systems is not just meaningful to academics: Since it is easier [email protected] to change a system’s individual components than to change the whole system, studying related systems can be beneficial for the development of educational policy.

References Allmendinger, Jutta: “Educational Systems and Labor Market Outcomes.” In: Europe- an Sociological Review, 1989, Vol. 5, No. 3, pp. 231–250.

Breen, Richard: “Explaining Cross-national Variation in Youth Unemployment. Mar- ket and Institutional Factors.” In: European Sociological Review, 2005, Vol. 21, No. 2, pp. 125–134.

Ebner, Christian: Erfolgreich in den Arbeitsmarkt? Die duale Berufsausbildung im internationalen Vergleich [From training into the labor market. Dual vocational training in international comparison]. Frankfurt/New York: Campus 2013.

Ebner, Christian: “Die duale Berufsausbildung als ‘Sicherheitsnetz’? Ein Vergleich der Länder Deutschland, Österreich, Schweiz und Dänemark [Dual vocational training as ‘safety net’? A comparison of Germany, Austria, Switzerland and Denmark].” In: Stock, Michaela et al. (Eds.): Neue Lernwelten als Chance für alle. Beiträge zur Be- rufsbildungsforschung. Wien: Studienverlag 2013a, pp 143-164.

Shavit, Yossi/Müller, Walter: “Vocational Secondary Education. Where Diversion and Where Safety Net?” In: European Societies, 2000, Vol. 2, No. 1, pp. 29–50.

48 WZB Report 2013 Economics and Choice. The inclusion of economics is a unique feature of the WZB among social science institutes. Its Research Area on Markets and Choice centers on economic decision making and its societal consequences, combining psychological and economic perspectives. Applications include the analysis of political processes and market design, particularly for matching problems. The study of economic governance and aspects of labor relations has a long tradition at the WZB. Inquiry into these topics is one focus of the Research Area on Society and Econo- mic Dynamics.

The Carbon Economy The Impact of the Financial Industry on European Emissi- ons Trading Sebastian Botzem

The state of the world’s climate remains troubling. Water and air temperatures Summary: Global climate governance continue to rise, and the related weather extremes are becoming more and is based primarily on the idea of cre- more frequent. Diverse initiatives are underway to keep the effects of climate ating a market for carbon credits, rep- change at a minimum. The wide-ranging variety of policy instruments reflects resenting an allowance to emit green- the scope of the global climate problem. The repertoire of tools to reduce greenhouse gases. This strategy aims at house gas emissions includes information campaigns, climate-friendly mobility, reconciling economic growth with ef- subsidies for building refurbishment and environmentally friendly power gen- fective climate protection. Though it is eration, voluntary and compulsory standards for the production and consump- too early to make sound judgment tion of goods, as well as government interventions through law and guidelines. about the effects this system of car- Last but not least, taxes and fees are being raised to make the consumption of bon credits has on the climate, it is greenhouse gases more expensive. clear that the financial industry has discovered carbon trade as a field of A similar degree of diversity can be found in other policy areas as well. But cli- business. They have developed finan- mate policy’s focus on market-based governance is exceptional: the system of cial products and trade with and bet emissions trading has become a key element in European climate policy. With on carbon credits, thus endangering that approach, policy makers have created a market in which allowances for the potential of environmental gover- emitting greenhouse gases can be bought and sold. The core idea is to put a price nance intended by the Kyoto protocol. tag on environmental damage and thereby encourage economic actors to act in more responsible ways.

There are various private and public markets for emissions allowances worldwide, but the preeminent one is the European Union Emissions Trading System (EU ETS). Europe has been a driving force in global climate policy, seeking to achieve more than half of its carbon dioxide reductions by means of the emissions trading system. Introduced in 2005, the system requires the operators of the more than 11,000 factories, power stations, and other installations in Europe to submit a sufficient number of EU ETS allowances to the authorities to cover their CO2 emissions. A company emitting a large amount of greenhouse gases must have a sufficient amount of permits. The core idea is to make environmental damage a burden on a company’s budget.

WZB Report 2013 49 When the trading system was introduced, however, Member States allocated most emissions allowances for free. The evolution of a functioning market for carbon credits was supposed to take place slowly. A future increase in carbon credit prices is expected to create incentives for the accelerated reduction of CO2. The basic idea is that trading with pollution permits will cause operators to find efficient solutions, that is, to reduce greenhouse gas emissions where savings are expected to be greatest. The core ingredient of European climate policy thus represents a political innovation, based on a market for pollution permits, in which the originators of CO2 emissions buy these permits and later submit them to the authorities to cover their emissions. In other words, an emissions allowance constitutes a right to destroy the world’s climate, or a compensation payment for doing so, depending on your perspective.

The crisis of the European emissions trading system

The aim of market-based governance is to promote the reduction of greenhouse gas emissions by applying monetary costs to it, thereby introducing a logic of economic efficiency, as is suggested in the relevant EU directive. European emissions trading is part of a mixed cap-and-trade system made up of politically determined national caps on carbon dioxide emissions on the one hand and trading scheme for pollution permits on the other hand. Additional allowances may be generated by reducing CO2 emissions in other countries (Clean Develop- ment Mechanism). Similarly, allowances are given out for the amount of carbon dioxide not emitted (e.g. by closing down outdated chemical facilities in China). CDM allowances may then be bought by companies in Europe to emit greenhouse gas. By validating international climate protection projects, European climate policy allows governments and private companies to support carbon off- sets in developing countries and use allowances in the EU ETS. This policy is designed to keep European companies from moving their operations overseas and to allow them to invest in CO2 emission reductions where they deem it most cost efficient. The Clean Development Mechanism is part of the 1997 Kyoto Protocol, which defines binding greenhouse gas emission caps in accordance with international law.

At this point, an assessment of the cap-and-trade system up calls for some skepticism. The fact that Member States initially provided allowances for free thereby driving down the price of emissions permits, has drawn a lot of criticism. The current price for emitting one metric ton of carbon dioxide is between €5 and €6, far below its 2008 peak of €30. The over-allocation of emissions allowances to industrial companies is now regarded as a mistake that has severely compromised the environmental effectiveness of the cap-and-trade system. Compa- nies, by contrast, took double advantage of these lax policies, especially when they were able to bill their clients for these gifts. Germany’s four major electric- ity providers, for instance, managed to generate windfall profits of several billions Euros by raising their prices and making their clients pay for the nominal value of emissions permits they themselves had been given for free.

But it was not only the over-allocation of pollution permits that tarnished the reputation of the emissions trading approach; there were also a series of scan- dals. Tax fraud and EU Member States’ illegal handling of allowances further undermined the credibility of the EU ETS. By evading VAT through carbon trading in several European countries, internationally organized crime deprived these countries of at least €500 million. In 2011, computer hackers managed to log onto the national registries for emissions trading of several European countries, digitally stealing several million euros worth of pollution permits and sell- ing them. Moreover, there are allegations of using EU ETS for money laundering purposes.

Even if misuse and market failure might be corrected by stricter regulation and closer monitoring, it is becoming clear even at this early stage that the EU ETS is not simply a market-based instrument of environmental governance. Instead, emissions trading has given rise to a new financial market, on which derivatives are traded. As elsewhere, professional financial actors are engaged to offer fi-

50 WZB Report 2013 nancial services, to hedge or to speculate. In doing so, financial service providers, derivatives brokers, or banks do not need to be concerned about climate change. Instead of focusing on the reduction of emissions, their interest predominantly lies in financial service provision and the financial profit generated from this new field of business.

The carbon economy: Hijacked by financial service providers?

Proponents of the cap-and-trade system often point out that market-based governance is able to deliver the most efficient reduction potential, both in Europe and in other countries. To economists and most policy makers, flexible and de- centralized regulations are welcome features of the emissions trading system. Sebastian Botzem was a research fellow of the proj- However, so far little is known about what happens on these markets and which ect group Modes of Economic Governance until Janu- consequences derive from creating and distributing these newly created prop- ary 2014. Since February 2014, he is professor at the University of Bremen, where he heads the junior re- erty rights. The distributive dimensions of this realignment of power is only search group Transnational Political Ordering in partially understood. This is the starting point for political economists and eco- Global Finance at the Institute for Intercultural and nomic sociologists who not only look at various market actors but also show International Studies (InIIS). His research interests that the European emissions trading market is in danger of fostering a new include transnational standardization, cross-border market whose actors are primarily interested in financial service provision governance, and the regulation of financial markets. subordinating environmental concerns to business interests. [Photo: David Ausserhofer] [email protected] The permits traded in the EU ETS are property rights, entitling their owners to emit carbon dioxide. One permit allows the owner to emit one ton of CO2 per year. These property rights are clearly defined, even though they are a political and legal construction and have attracted criticism. Property rights, however, are not only traded between companies emitting greenhouse gas but they also serve as the basis for additional financial transactions. They may be used as insurances to hedge against price fluctuations or for speculation. Or they might become the object of speculation such as any other security.

Emissions trading is already characterized by financial market influences. This shows in the emergence of products that require financial and legal expertise, provided for the most part by large, international law firms. These firms create emissions permits both as tradable allowances and as financial products derived from allowances such as futures, options or swaps. For newly established markets, it is especially important to create trust in new products. In the case of emissions trading, trust is generated primarily by well-established financial service providers who acquired expertise in related business areas before expanding to the carbon market.

In 2009 and 2010, trading volume and the price of European emissions allowances saw little changes. Part of this resulted from the economic crisis in Eu- rope, which we may presume to account for a much larger share of the emissions reductions in Europe than the pricing signals of the emissions trading system. Last year, by contrast, trading activities picked up again. However, as the World Bank has noted, a major share of those activities was based on insurance transactions, portfolio streamlining, and profit taking, as well as on transactions that were predominantly performed to take advantage of price differences. The interest of most market actors is less in pollution permits themselves but first and foremost in business with financial derivatives. As a result, the financial services industry is shaping many activities on the carbon credit market. Finan- cial service providers are interested in developing and trading financial products as a key source of business. Reducing CO2 emissions through high carbon prices is not a prime intention. Such a financialization of the emissions trading system may lead to unexpected results including, for example, endangering the environmental potential of this new mode of governance if speculation becomes the driving force of trading activities.

The influence of the financial industry is evident from its ongoing efforts to develop a new field of business. Major stock exchange operators have succeeded in becoming the key trading platforms for emissions allowances (BlueNext in Paris) or emissions derivatives (European Climate Exchange in London). Large international banks, for example the British Barclays Bank, are involved in this

WZB Report 2013 51 business as well and have come to dominate the carbon credit market. Initially, hopes were high the carbon market may evolve to become the world’s largest derivatives market. From this perspective, carbon finance is predominantly of interest for a financial industry seeking opportunities to grow.

European climate policy continues to focus on market-based governance despite much discontent with the current version of EU ETS. The cap-and-trade approach, conceived as a mixed system, has generated grand expectations. Today, however, a sober assessment seems to be called for, not only with regard to the system’s environmental effects. Even if governments manage to change the allocation of allowances and crack down on criminal activity, the strong involvement of the financial industry draws our attention to a question that has been largely neglected: Is market-based governance possible without subjecting global climate policy to the logic of financial markets?

References Knox-Hayes, Janelle: “The Developing Carbon Financial Service Industry: Expertise, Adaptation and Complementarity in London and New York.” In: Journal of Economic Geography, 2009, Vol. 9, No. 6, pp. 749-777.

Lohmann, Larry: “Kohlenstoffmärkte und Finanzmärkte: Variationen über Polanyi.” In: Das Argument, 2009, No. 283, pp. 723-735.

Larry Lohmann: “Regulatory Challenges for Financial and Carbon Markets.” In: Car- bon and Climate Law Review, 2009, Vol. 3, No. 2, pp. 161-171.

The World Bank: State and Trends of the Carbon Market 2012. Washington 2012.

52 WZB Report 2013 Deals with Friends and Strangers Trust in a Cairo Slum Dietmar Fehr

Economic activities require trust. For example, bilateral trade flourishes when Summary: Whi le strong social ties trust is high among participating countries or more people are active on finan- help individuals cope with the ab- cial markets when trust prevails. Trust facilitates transactions when it is other- sence of formal institutions, trade is wise difficult to enforce rights through formal routes or when certain partici- essentially limited to those who are pants possess less information than others. part of the social network. Trust is, however, important to overcome such In developing countries, formal institutions are often weakly established, if they limitations. This experiment in a Cairo exist at all. In their place, social ties and networks appear which minimize inse- slum compares the determinants of curities, provide access to services and goods, and facilitate transactions. Social trust toward strangers and people networks provide better opportunities to control each other, and members are who are close socially. Indeed, trust is more apt to adhere to agreements in order to not lose access to it. However, higher among people who have a so- there is one critical disadvantage: Transactions are limited to the members of a cial relationship, explained mainly by network. To carry out transactions beyond the respective network, trust in expectations and not other factors strangers plays an important role. like other-regarding preferences. However, individuals poorly predict In order to better understand the differences and determinants of trust within their friends’ trustworthiness, leading a social network and toward strangers, we conducted a controlled experiment in to a loss in social welfare. Manshiet Nasser, an informal housing area in Cairo. Like many other large cities in developing countries, Cairo is currently undergoing a process of urbanization, which can also be seen in the enormous growth of slums. Manshiet Nasser is one of the oldest and most densely populated areas of this type. It is difficult to estimate the population but it is believed to hover between 400,000 and one million people. Slum dwellers are typically dependent on social networks and rely on mutual solidarity to ensure their daily existence and survival, but the urbanization process is becoming more of a challenge to these systems. On the one hand this process creates new opportunities, which reduce the dependence of individual network members, but a larger network also means less opportunity to control each other.

Residents of various neighborhoods in Manshiet Nasser were recruited for the experiment and asked to bring an acquaintance or friend along who would also participate. With the help of actual social relationships we wanted to vary the social distance between participants in order to more closely observe the effects it had on trust. The participants were not representative of the residents of Manshiet Nasser but did demonstrate how heterogeneous the informal housing area is. The illiteracy rate among participants, for example, was circa 30 percent, while approximately ten percent had received a college education. Only 40 percent claimed to have a regular average income of 12 Egyptian pounds per day (1.40 Euro at the time of the study).

To measure trust in our experiment, we employed a trust game in which we assigned the participants the roles of a principal and an agent. In this game the principal can invest a sum of money with the expectation that the agent rein- vests it; however, the principal does not have complete control over the agent’s actions, even when he is a friend. The principal can also decide not to invest his starting capital, which would immediately end the game. If he chooses to invest his capital, however, the agent can react in two different ways: If the agent chooses to be cooperative, he returns the bulk of the money to the principal and thus both are better off than without the principal’s investment. But he can also decline to reward the principal for his investment and repay only a minimal amount in which case the principal is worse off than when he would have chosen to not invest. The game also involves a twist: If the agent rewards the principal’s trust there is a small probability that the principal only receives the

WZB Report 2013 53 minimal amount back. This means that in such cases, the principal does not know if he was cheated or if he was simply unlucky and the agent had actually intended to reciprocate his trust. Since it is impossible for the principal to enforce repayment, his investment is based on his trust in the agent. On average, trust should be higher among friends, because a principal may rely on shared experience and better information about the agent.

Participants played the game either as a principal or as an agent. In order to measure the effect of social distance on trust, each participant had to make two decisions in his role as principal or agent. That is, a participant played the game once with his friend and once with a stranger whose identity was revealed only at the end of the game. At the end, one of the two decisions was randomly implemented and the participants were paid according to the outcome of their decisions. (They earned an average of 34 pounds, approximately two to three times more than the average daily wage). In addition, expectations and other potential factors which could have an effect on trust were surveyed in a questionnaire.

As a supplement, we measured social preferences in a simple distribution game with a decision maker and a recipient. Each participant received a certain amount of money and had to decide how much he would give to the recipient. Again, the recipient was once the friend and once a stranger. There were also two different set-ups in which the decision maker either remained anonymous or in which his identity was revealed afterwards to the recipient. The results of the distribution experiment showed a high willingness to share money and to help others. On average, participants were willing to give 36 percent of their capital to a stranger and 44 percent of their capital to a friend, even when they were unable to find out where the money had come from. This result indicates a high degree of solidarity. Motives of reciprocity also play a role when the decision makers are non-anonymous and can rely on future transactions. In this constellation, transfers slightly increased again by four percentage points

Who can be trusted? A young man observes garbarge collectors (zabbaleen) in Manshiet Nasser, an informal housing area in Cairo, Egypt. [Photo: Katharina Eglau]

54 WZB Report 2013 (strangers) and, respectively two percentage points (friend) in the hope that the recipient would act in the same way. This can be regarded as a type of informal insurance, commonly seen in developing countries.

In the first part of the experiment, the trust game, we observed that a decrease in social distance led to more trust. While only 24 percent of the players trusted a stranger, the willingness to trust an acquaintance increased 16 percentage points to 40 percent. The agents showed a high degree of cooperativeness. 55 percent of the agents repaid the investment to a stranger and therefore acted in a cooperative manner. Here, the percentage was also higher when the principal was also a friend (72 percent). Efficiency gains can be only achieved when a principal trusts and invests his money and the agent cooperates, since only then the entire capital is divided. This result was more often achieved when the game Dietmar Fehr is a postdoctoral researcher in the WZB was played among friends (28 percent). research unit Market Behavior. He often applies laboratory and field experiments to explore behavior in a social and economic context. His research currently Surprisingly, this extent of cooperativeness was not recognized or expected by focuses on communication in coordination problems. the principals. They even expected a slightly higher degree of cooperativeness [Photo: David Ausserhofer] from agents they did not know. However, the difference is not statistically sig- [email protected] nificant and can perhaps be attributed to the fact that the principals did not exactly know what kind of reliability they could expect from a stranger. Trust in unfamiliar agents is more likely explained by social preferences than by expectations.

In comparison, principals more likely followed their expectations when the agent was a friend; i.e. when they believed their friends were cooperating, they were more willing to place trust in them. Other factors such as risk aversion, social preferences or social network characteristics did not appear to have any influence. It seems that principals with precise expectations were more likely to follow their expectations. Overall, however, principals underestimated the cooperativeness of their friends; only 40 percent expected their friends to cooperate, although 72 percent of them were actually willing to do so. If starting from the premise that expectations are more easily influenced than preferences, then there would be a considerable potential to influence expectations in such a way that principals place more trust in the agents so that an efficient result, namely trust and cooperation, could be achieved.

The experiment shows which factors play a role for trust within and beyond a social network if one is unable to perfectly anticipate the decision of the other. A majority of the agents would have cooperated if the principals had trusted them, but the principals do not seem to have realized this. They did not expect their friends to cooperate often enough. The overall result shows that even social relationships do not necessarily transcend information asymmetries. To what extent this result is valid in other contexts remains open.

References Binzel, Christine/Fehr, Dietmar: “Social Distance and Trust: Experimental Evidence from a Slum in Cairo.” In: Journal of Development Economics, 2013, Vol 103, pp. 99-106.

Binzel, Christine/Fehr, Dietmar: “Giving and Sorting Among Friends: Evidence from a Lab-in-the-Field Experiment.” In: Economics Letters (forthcoming 2013).

WZB Report 2013 55 Innovation and Knowledge. Issues of innovation, science policy, and Internet governance figure among the key themes of the Research Area on Society and Economic Dynamics, which focuses on the societal conditions of economic change. The work in this unit stresses values, mentalities, education, and knowledge as important elements of change. Both industrial and political environments are considered, with innovative forms of cooperation receiving particular attention. The researchers in this unit understand nontechnical drivers of newness, such as culture and the arts, as potential sources of economic progress that have been under estimated in innovation studies thus far.

From Having to Grasping En route toward the Online Society Michael Hutter

Information processing equipment connected to digital networks is revolution- Summary: Digital ly available works izing our ways of life. As literacy and book printing did in the past, digitalization are increasingly easy to access. Thus, is experienced as liberation and catastrophe at the same time: liberation from the possibilities for controlling infor- the limitations taken for granted, a catastrophe for existing models of power and mation goods shift. Practices of deal- business. Until just recently, only simple lines of text could be cheaply produced ing with content and knowledge dis- and copied. Today, image sequences from video games played on the internet engage from a private property involve up to a hundred million participants simultaneously. The cost of produc- culture and find new forms in a cul- ing, distributing and processing data programs have fallen by orders of magni- ture of rights to access and grasp con- tude. Access to digitally formatted works is open; protective laws for authors tent. This process, in its effects com- and corporate rights-holders can only be upheld through significant effort, or parable to the advent of the printing not at all. The consequences for many of the current copyright holders are di- press, is reflected in the current de- sastrous. As a result, the discussion about dealing with copyrights is embittered. bate on copyright law reforms.

The conflict is not limited to the legal departments of governments and to the relevant lobbyists, but is taking place in the public eye, in mass media in particular. The gradient of fronts in discussions, campaigns and counter-campaigns is unclear. Four groups are affected by the upheaval in information control: producers, authors, users and collecting societies. All four have inherently conflict- ing interests.

Amongst producers, the losers are those who produce works that are distributed in digital format, like films or video games, whereas producers of the equipment needed to play or record the works continue to pocket earnings. Through the Kopierabgabe, a levy on all printing hardware, these earnings finance around 40 percent of the payments distributed by GEMA, Germany’s collecting society for rights to music.

Amongst the creators of works, established ensembles and studios are the losers, but independent (often amateur) authors, musicians and programmers gain attention and wealth. Amongst current authors, opinions are divided most. Many

56 WZB Report 2013 opt for the stance taken by the musician and blogger Jonathan Coulton: “I believe in copyright. I benefit from it. […] But if I had to give up one thing, if I had to choose between copyright and the wild west, semi-lawless, innovation-fest that is the internet? I’ll take the internet every time.” (www.jonathancoulton. com/2012/01/21).

Amongst users, the division of interest runs between generations: the generation used to the passive consumption of content sent through mass media, is less affected by rigorous measures of copyright protection than the younger generation that creates its own new works from the relicts and releases, that surround them, and shares them with others.

The collecting societies show a clear profile. They at least offer a model how, in Michael Hutter, professor of economics, is director of a self-organizing manner, earnings can be distributed as flat fees from the win- the WZB research unit Cultural Sources of Newness ners of the digital revolution to the authors. However, the price for this import- since 2008 and research professor at the Institute for Sociology at the Technical University Berlin. His re- ant mechanism of redistribution is an almost complete monopolization of na- search is focused on innovations in creative indus- tional parafiscal enterprises, i.e. organizations that take on public functions and tries as well as historical interdependency between are financed by compulsory fees. At the same time, because of their simple, as- economy and art. [Photo: David Ausserhofer] sociation-like decision-making structure, they are susceptible to the factual [email protected] take-over by market-dominating production companies. It remains thus unclear if the collecting societies for works of music, of image and of text, although blessed with completely new areas of business through the technological developments, will survive in their present form due to the increase in public and private interest in the distribution mechanisms.

All of these parties are engaged—partly with considerable means—in dealing with the further development of copyright law. The arguments are supported by every legally available method, severe sanctions for “piracy” in the form of fines and imprisonment are advocated. But ultimately, all of the defense mechanisms are missing their target: While a few abusers are arrested, new networks and access possibilities sprout up.

The direction in which institutional change is moving is clear and inevitable: digital access to works is getting easier, whereas the complexity of defending existing copyrights is increasing. Thus, the dynamic is towards less protection. Pressure in this direction is so strong that it is politically organized in some European countries and—in the form of a parliamentary faction—directly influences lawmaking. Methods of financing authors and producers that are organized through collective funding or basic fees instead of individual payments are being tried out. However, it is not unlikely that the number of artists who are able to live from the sale or distribution of their work will decrease.

The change in the perception of authors’ rights to their work is reflected in the shift of terms employed. Three different perspectives are formulated in three conceptions: Eigentum - Zugang - Zugriff (property – entry - access).

The term “intellectual property” denotes entitlements to protection, for works ranging from patents to design patterns. The proprietary character of immaterial work is thus presumed, though the difference to objects is obvious: Materi- al goods are private, therefore exclusive goods. Their usage must be contested because physical bodies can only be at one place at a time. Information goods, on the other hand, are public goods because their content, like the advantages of a newly invented machine, can be in many places at the same time. That is why exclusive legal protection for these kinds of information goods is always limited by public interest in the broadest possible distribution and use of the information. Therefore, protective rights are either limited in time, or they are tied to compulsory licenses, or they do not apply to certain user groups.

With things—which used to include people—the owner can largely do and allow whatever he wants. Dominium is based on a century-old culture of rights to physical property. In connection with this culture of law, copyright law has been further developed in the last century, in the European version of droit d’auteur as well as in the Anglo-American version as copyright. For a long period, the dynamic was one of imitating physical property law as closely as possible: the

WZB Report 2013 57 period of protection was extended to 70 years following the author’s death and digital rights management by audio, image and data carriers enabled precise technical control. But inspite of the normative pressure and the technical devic- es, access to formally protected works has increased. To counter that development, obsolete arguments are generated. They place copying digital documents on a par with stealing bicycles, and they compare appropriators of brand logos for handbags with pirates robbing cargo from ships.

While this chorus of interested parties still wants to achieve the most complete protection of individual rights possible, another chorus has begun to raise its voice, demanding exactly the opposite: a reduction of claims, differentiated forms of support or even completely free access to data sources. All of these demands are based on the viewpoint that these immaterial goods consist of information. To follow the definition of Hal Varian, former economics professor at UC Berkeley and today chief economist for Google Inc., information is “everything that can be digitalized.” By the Access to Knowledge movement, the denial of access to information is likened to the denial of freedom of speech. The heightened protective measures of private users are interpreted as increased control over the public sphere.

A somewhat different argument demands access for individuals, amateurs in particular. They should be allowed to create their own “remix” from the pool of existing information resources. Deterring examples are cases in which the de- tection of protected sounds or image forms in private recordings was pursued with criminal charges. Private individuals, following their own creative impulses, inevitably come across data complexes whose terms of use are unclear. Therefore, Lawrence Lessig demands lowering claims against amateurs and changing legal appraisal away from the simple number of copies to the purpose of the copies. Lessig is the initiator of the Creative Commons movement whose open content licenses have created an optional alternative to standard protection rights.

The discourse about entry to data complexes is based on the metaphor of a physical path and thus does not suit the unique character of digital communication forms. Closer to the information character of the works would be to talk about calling up or accessing. It also appears in more recent discussions, but still does not have a uniform profile. Such a profile could be isolated if the words around the term greifen (seize, grasp, catch) are sorted through.

We speak about er-greifen (to seize, capture) when addressing commercial use of work by third parties, for which a licensing fee is paid. A large part of revenue is obtained in only a few years, within a period of time that is far shorter than that of copyright claims. This corresponds to renting or leasing physical property. What has been taken can be returned.

Be-greifen (to understand, comprehend) corresponds with users experiencing the meaning of a work’s content. That is the fundamental unique characteristic of intellectual property: they are “grasped” by cognitive perception and interpreted within the semantic and memory structure of individual consciousness. Thus experiences come into being that the user wants to sample in continuous- ly new variations. Strolling through the abundance of digital supply, they learn to compare and appreciate experiences and impressions. Far more than in fields of analogue media, the phenomenon of asymmetrical attentiveness shows up in the highly digitalized branches: minor differences in information are enough to turn obscure works into bestseller products, because professional information media no longer make a pre-selection, rather individual call-ups and evaluations tip the scales. In these markets a spectrum of payment options is form- ing—from micropayments for single events to flat rates, with which a bundle of offerings, similar to a festival, can be tried out.

The term ein-greifen (to intervene, participate) means participation in joint networks. Users have access to each other’s accounts, post comments, copy and modify retrievable material. The networks can be composed of experts, like networks that develop operating systems and programs in open-source modus, or

58 WZB Report 2013 of participants in social networks—with a number of small, inter-networked communities—in which digitally recorded impressions and digitally saved dis- coveries are shared with each other. The variety and density of networks that have developed in the past decades are perhaps the strongest indication of change that digitalization brings with it. The exchange in these networks is rarely coordinated through payment. Participants are connected through mutual obligations: acknowledgments, references, but above all evaluative comments replace the role of certificates of debt. This is where new moral attitudes appropriate to the creation and evaluation of digital content emerge. Due to the success of markets, social coordination through mutual obligations was rather for- gotten in the last century. Under the conditions of digital communication, bonds like gratitude and indebtedness deploy new possibilities to organize creative processes collaboratively.

“The internet,” writes the pioneering programmer and law professor Eben Mo- glen, “is not a thing, but a social condition.” Thus dealings with knowledge and content are liberated from the property culture and find new forms in a culture in which privileges to access and obligations to share are more relevant than exclusive rights.

References Baecker, Dirk: “Communication with Computers, or How Next Society Calls for an Understanding of Temporal Form.” In: Soziale Systeme, 2007, Vol. 13, No. 1+2, pp. 407-418.

Kapczynski, Amy/Krikorian, Gaëlle (Eds.): Access to Knowledge in the Age of Intel- lectual Property. Cambridge, MA: Zone Books 2010.

Lessig, Lawrence: Remix. Making Art and Commerce Thrive in the Hybrid Economy. New York: Bloomsbury Press 2011.

Moglen, Eben: “Anarchism Triumphant: Free Software and the Death of Copyright.” In: Neil W. Netanel/Niva Elkin-Koren (Eds.): The Commodification of Information. Den Haag/New York: Kluwer Law International 2002, pp. 107-132.

WZB Report 2013 59 Digitalizing Urban Lighting Technological Change Raises Political Issues by Transforming City Spaces Nona Schulte-Römer

“The digitalization of lighting is picking up speed”, so the press release for the Summary: Recent technical develop- 2012 Light+Building, the world’s leading annual trade fair for lighting in Frank- ments serve to promote the digitali- furt/Main, Germany. Cities and municipalities are already testing so-called intel- zation of public lighting. Along with ligent lighting concepts in pilot projects. In such experiments, streets or walk- these technical innovations sociopo- ways are minimally lit until a vehicle or pedestrian triggers a sensor signal, litical questions arise that reach far thus causing the lights to peak for a brief period. The selection of conceivable beyond such functional aspects as systems is large, ranging from presence detectors and video cameras to inter- security, or the need for a certain linked lighting and energy infrastructures that take traffic volume as well as the light color or product design. The feed-in of renewable energy sources into account. The main aim of these new growing demand for ‘intelligent’ con- lighting concepts is to save energy. trol systems and high-quality light give rise to more general questions: The light emitting diode, or LED, plays a key role in any discussion about the Which criteria should be used to future of public lighting. The beaming chips mark the transformation from evaluate public lighting, and what is electric lighting to electronics. While in traditional light sources gas is dis- the basis for discussing and negoti- charged or a glowing filament radiates light and heat, solid state lighting tech- ating the various concerns? nology like LEDs and the organic OLEDS is based on electroluminescence. Diodes are especially advantageous for lighting control and system solutions because they can be gradually dimmed from zero to one hundred percent or quickly switched on and off. In contrast, gas-discharge lamps take minutes until they reach their full level of brightness, therefore making high switching frequen- cies impossible.

LEDs are also part of the European Commission’s future-oriented lighting solutions as presented in its “Digital Agenda for Europe”. In December 2011, the Commission published the Green Paper “Lighting the Future” to advance the market uptake for solid state lighting products. “Expanding LED lighting is a ‘no-brainer’”, explained Neelie Kroes, the European Commission’s Vice Presi- dent. “It means more money in your pocket, and a healthier planet.” The new technology also allows the Commission to align its European innovation policy with its climate change policy. After outphasing incandescent light bulbs and high-pressure mercury-vapour streetlamps, LEDs are expected to meet high energy efficiency standards as they are laid out in the European Ecodesign Direc- tive.

The pressure to act is complemented by national and European support schemes and incentives such as the ESOLi (Energy Saving Outdoor Lighting) programme, running from 2010 until 2013. The initiative for intelligent outdoor lighting systems promises a 64 percent reduction in energy consumption if European cities and municipalities implement “modern street lighting”. German federal ministries have set up grants and awards for municipalities that refit their aging infrastructures with LED technology.

Despite political support and the impressive developments in solid-state technology, the digitalization of public lighting is not self-evident. The new challenges and chances in the field of public lighting raise political issues in that highly technical province of engineers and electricians. Developing sensor technology and standards for LED products is the key to commercializing innovation. Solv- ing organizational constraints and establishing best practices is the key to the future of public lighting. How should digital electronic systems that light our cities be programmed and managed in the long term without interrupting operations and in view of staff resources and competencies?

60 WZB Report 2013 The intelligent control of public lighting offers a great energy saving potential. However, the history of public lighting suggests that energy efficiency has never been the sole criteria for appropriate public lighting systems: were that so, the most effective solution would be to just switch off the lights! While those who prefer a dark night sky might support this step, it conflicts with security concerns, urban lifestyles, and economic and sales interests.

Thus, the new options for lighting night-time public spaces raise basic social questions that go beyond technical savvy and skill. Whose sense of security can be compromised under which circumstances to reduce public energy consumption? The new flexibility calls for new considerations and decision-making. While the criteria for switching on the lights between dusk and dawn can be determined quite objectively, ‘intelligent’ systems concern more heterogeneous Nona Schulte-Römer is a researcher in the research needs. Arguments like cost- and energy-efficiency, security aspects and surveil- unit Cultural Sources of Newness. She is concerned lance options now compete with more subjective quests for high quality urban with innovative lighting planning in European cities. For her Ph.D. project she studies innovation in public spaces and atmospheres and might conflict with concerns regarding light pollu- lighting by looking at LED projects and the role of lo- tion. cal actors. [Photo: David Ausserhofer] [email protected] Measuring the value of feeling safe opposed to that of a dark sky is a difficult task. There is no universal solution, nor is there only one method to assess these different aspects of light and their relevance for a particular place. Wherever offices of city planning, city marketing and cultural heritage preservation cooperate with civil engineering authorities and energy providers, the challenge of public lighting exceeds mere technical requirements.

Meanwhile, lighting concepts and master plans have abounded in European cities and municipalities since the 1990s. A WZB survey of 38 large German cities has shown that integrated urban light planning nearly doubled between 2000 and 2010. Such cross-divisional urban policy can improve the perceived quality of urban spaces. However, existing examples differ considerably in scope and success.

“The right light at the right time in the right place”, is a goal that lighting designers, city planners, manufacturers and politicians can agree on. But it is not yet clear who is to judge and decide which light is considered to be the best suited one. Light sensitivity varies not just from person to person but also in a cultural sense. What methods should be used to identify the ‘right light’, and where and when it can be dimmed or even switched off?

Depending on whom you ask, the responses may differ – not only because of the opposing interests of city planners, manufacturers and lighting designers, but also because of their different approaches and their various instruments for producing knowledge.

The European road lighting standard EN 13201, for example, proposes important scientific guidelines for measuring the brightness of public spaces and lighting for various types of streets. The recommendations regarding the photometric values are based on physical and physiological findings like the scientific fact that for the human eye the sensation of brightness is highest in the green spec- tral range.

While this knowledge about our sight is documented by laboratory experiments, it is generally more difficult to explain other empirical findings such as northern Europeans’ common preference for warmer light colors. In our regions, city administrations regularly receive complaints when more efficient –‘cold’ – street lighting is installed, whereas in southern European countries, lighting manufacturers’ sales figures reveal greater acceptance for cold white light. Al- though the phenomenon has not yet been conclusively explained, the color of street lighting clearly has an effect on the perceived quality of public spaces. This is reinforced by local initiatives that campain for preserving gas lithing in Berlin and Düsseldorf as a cultural heritage.

From the viewpoint of those concerned, the definition of appropriate light also varies at the local level. An expert workshop, held at the WZB in 2010, revealed

WZB Report 2013 61 that lighting designers resort to an expanded repertoire of methodologies in their effort to understand the nighttime habits and needs of residents and tour- ists, of adolescents and older people. Extensive on-site observations and nighttime tours with resident groups complement photometric calculations. A key to good design is the importance attached to the illumination of public squares, streets, underpasses and parks. Identifying ‘scary places’ or meeting places that should be better lit is as important as information about unused or over-lit spaces where lighting could be reduced.

Sociological studies on the light perception of users of public spaces take a position between scientific knowledge and far broader subjective design practices. The light evaluation EVALUM offers an example. Using an experimental research design, urban geographers at the National Institute of Applied Sciences in Lyon have confirmed the assumption that people feel uneasy with public lighting that focuses on traffic zones only while leaving facades and surroundings in the dark. They found that test persons felt uncomfortable when walking on lit streets and pathways that were surrounded by darkness. The results have implications for the use of LEDs. With the diodes it is technically possible to exactly direct the light flux to selected spaces, thereby saving energy. But with regard to a perceived sense of security and urban atmospheres a certain amount of ambi- ent brightness is desirable – and therefore relevant to the issue of appropriate lighting.

In contrast, another field test showed that the participants did not object and sometimes did not even realize when the street lighting was dimmed in order to save energy. In this case, the discussions only begin when local feedback suggests that light levels could be dimmed below the technical standards as they are scientifically tested in laboratories and negotiated in committees. But who should have the last word? Citizens on the street who do not even notice when the lights have been dimmed and are in favor of environmental protection or experts, including manufacturers, who recommend compliance with standards for traffic safety and visual comfort?

The contestation of lighting practices and conflicts over methods for determin- ing the quality of light in public spaces can be seen as an opportunity with regard to the proposed digitalization of light systems. They raise awareness for the variety of claims and propose an interdisciplinary and cross-divisional development of lighting concepts. New networking platforms also enable and support the productive exchange of ideas. Such a forum is offered by LUCI, the international network of cities, founded in 2002, with its regular meetings where cities present their lighting projects on site and discuss them with manufacturers, researchers and designers.

Looking at a particular urban space, the question of appropriate lighting is as complex as the specific local situation. Public lighting infrastructures can only be linked and controlled when, in addition to the organizational and technical hurdles, urban spaces are also considered as meaningful places that fulfill social functions. Aware of the challenges ahead, light planners and developers are showing an interest in social science research on the nighttime city and the nighttime activities of users of public spaces. “We need sociological research in order to develop scripts for digital lighting solutions”, stated a light manufactur- er at the 2012 Light+Building. Thus, the digitalization of public lighting also offers a new and challenging field for social and urban studies.

References Deleuil, Jean-Michel (Ed.): Eclairer la ville autrement. Innovations et expérimenta- tions en éclairage public [Another way to illuminate the city. Innovations and experiments in public lighting]. Lausanne/Lyon: Presses Polytechniques et Universi- taires Romandes 2009.

Schulte-Römer, Nona: ”Light for Remaking Cities. Trends and reflections on Urban Design”. In: PLDC 3rd Global Lighting Design Convention. Madrid: VIA-Verlag 2011, pp. 60-63.

62 WZB Report 2013 Breaking the Mould Learn ing with Artists at Work Ariane Berthoin Antal

Although learning is usually associated with classrooms in schools, technical Summary: New approaches to devel- colleges and universities, a great deal of it actually takes place in non-education- oping individual and organizational al settings, particularly the workplace—at which employees spend far more learning are being introduced in Eu- time than in the formal education system. And although training in engineering rope. For example, organizations are and management has traditionally been considered the primary source of ex- experimenting with artistic interven- pertise for innovation, managers in organizations of all sizes and in all sectors tions to stimulate innovative thinking are breaking the mould by bringing in people, practices and products from the about products, services and process- world of the arts for a few hours, days, months, even years. es, as well as to improve communication and leadership. A WZB project is The findings from studies on artistic interventions in organizations conducted using interviews, web-based surveys, in the Research Unit Cultural Sources of Newness suggest that this learning and participant observation to map form is expanding. One indicator is that the number of intermediaries that the scope of this trend and to find out bridge between the world of the arts and the world of organizations to initiate what the stakeholders (managers, em- and support artistic interventions in Europe is growing from a small handful in ployees and artists) expect and value 2005 to approximately forty in 2012. In order to observe how the actors are from the experience. It finds a multi- establishing the field institutionally, we are currently mapping the intermediar- plicity of outcomes that the partici- ies via a web-based survey and engaging in participant observation. pants value, often beyond the benefits they had expected from the artistic Our research shows that stakeholders associate a range of different learning intervention. objectives with artistic interventions. Managers introduce artistic interventions into their organizations for a variety of reasons, some of which relate to individual and collective learning (such as to discover and try out different modes of leadership, to practice creativity techniques, to improve communication skills), and some of which are oriented to organizational development (for example to question assumptions and routines that have become embedded in the organizational culture, to overcome barriers between organizational units).

The phenomenon of artistic interventions in organizations is not driven by management alone: artists, too, are seeking opportunities to work in organizational contexts outside the art world. Their motives are as diverse as those of managers: for example, some are interested in sharing their skills with employees, others want to try out different approaches to and places for making art, and some want to engage in organizations as a means of stimulating change in society. This article illustrates some forms of artistic interventions and presents data about what the participating managers, artists, and employees value about the experiences. It closes with a reflection on the implications for evaluating expected and unexpected outcomes of learning initiatives.

Short and long-term artistic interventions

Artistic interventions can take many forms. One is workshop-based. For example, a case chosen for investigation is a German retailer that has integrated several weeks of heatre-based modules into its apprenticeship program. The training workshops with actors culminate in the performance of a play that the apprentices develop themselves. The company has been pursuing this approach for years and the management believes that is effective not only in developing the young people’s communication and presentation skills, but also in increasing their self-confidence, which then shows up in their ability to engage with customers. Given the current pressure in the formal education system to measure learning outcomes, it is interesting to note that the management of this company refuses to introduce quantitative evaluation instruments; instead, it relies on informal feedback from the supervisors of the young people who no-

WZB Report 2013 63 tice changes when they return to the workplace and on comments from the young people about how they feel about themselves.

The workshop format for artistic interventions is also used by companies for their middle and senior managers. For example, a large German pharmaceutical company regularly brings in a conductor in the context of a week-long international management development program. He spends an evening working with the participants on observing the features and effects of different ways of leading an orchestra. Together they explore the implications for their own leadership styles in the organizational context. Interviews with the artist and with the consultant responsible for the overall program suggest that the approach works well to stimulate the participants’ appreciation of the importance of listening and watching while leading. Both the artist and the consultant comment that a particularly valuable dimension of the session is a side-effect: the opportunity it creates afterwards over dinner for conversations with deep personal reflection that do not fit into the normal agenda and workshop discussion mode. The company requires the participants in the management development program to assess the learning experience using a short questionnaire informally referred to as “happy sheets.” The fact that the company continues to work with the artist suggests that the management are happy with the feedback, but no data is available on the learning outcomes back at work. This gap exists in almost all kinds of management development workshops, it is not unique to those with the arts.

While it is still quite unusual to have actors teach apprentices or conductors develop managers’ leadership skills, the workshop remains a relatively traditional educational format. There are many more formats for artistic interventions, to which we have gained research access through a series of EU-funded partnership projects with intermediaries operating in the field.

The intermediary with the longest experience in this field is TILLT, based in Sweden. Its portfolio offers a variety of artistic intervention formats, but it is most well-known for its 10-month program that matches an artist with an organization in a multi-phase mutual learning process. The key phases are: research on site by the artist (6 weeks), action planning in a team of employees working with the artist (2-3 months); implementation of activities (4-5 months); harvesting the learning within and across organizations (1-2 months). Each artistic intervention project is unique, because it is designed and implemented by the employees with the artist. When asked about the benefits they gained from the experience, employees mention specific skills, including communication. Sometimes the skills are arts-base, like photography or sound recording when the employees chose to address the question of professional and organizational identity by representing their workplace visually or aurally. The kind of learning that they appear to value most highly is the learning about others in the organization, learning to see and do things differently at work.

The managers interviewed so far also emphasize the human learning effects they observe happening during an artistic intervention. For example a manager at a production plant cited the satisfaction of seeing individuals blossom, take new initiatives, and dissolve barriers between units in the organization. He added that the external auditors had written into their report that they had been struck by the difference in the way the employees had communicated with them on site, appearing far more willing than in the past to talk about their work.

One might expect that the participants would highlight the value of the new ideas artists brought to the project, but the TILLT approach emphasizes that the ideas need to be generated internally. Interviews reveal that what the participants particularly appreciate as a factor supporting learning and innovation is the energy the artists bring into the organization, opening space for ideas to emerge and be tried out, instead of being shunted aside as unthinkable and impossible in their organization.

The artists report learning a great deal during their initial research phase in which they seek to discover the language codes, the practices, the underlying

64 WZB Report 2013 assumptions, the meaning behind rituals they observe in the organizational culture and subcultures, and they often find inspiration for artworks that they then follow up on outside the project, because these projects are not intended to be sites for art. For example, after observing the movement of forklifts in the company storehouse, a dancer choreographed a ballet. In turn, the performance offered the employees a fresh way of seeing their work, bringing to the fore an aesthetic dimension of which they had been unaware.

Artistic interventions in SMEs

Large companies were the first to work with artistic interventions, so essentially nothing is known about how small and medium sized organizations (SMEs) Ariane Berthoin Antal leads the research stream “Ar- can benefit from artistic interventions. We designed a web-based survey instru- tistic Interventions in Organizations” in the research ment to study the artistic interventions produced for SMEs in the Basque region unit Cultural Sources of Newness. She is also honorary professor at the Technical University Berlin and of Spain by Conexiones improbables, an intermediary organization that special- Distinguished Research Professor at Audencia Nantes izes in artistic interventions. The study seeks to reveal what the stakeholders School of Management. In 2012 she was a fellow at expect from this new kind of interaction before they embark on the interven- the Konstanz Institute for Advanced Study tion, and what kinds of value they believe it generates after they have experi- (Photo: David Ausserhofer) enced working. Therefore there are pre- and post-experience versions of the [email protected] questionnaire for each group—the managers, the employees, and the artists, with partially overlapping questions to permit a comparison of results. The instrument uses a combination of open questions that allow the participants to formulate their thoughts and feelings freely in their language (Spanish, Basque or English), and multiple choice questions that we derived from our previous case studies. These artistic interventions, which the intermediary calls Creative Pills, last for 3-4 months, during which time the artists meet with members of the organization in several half-day working sessions to generate ideas relating to a need that has been previously defined by the company.

This study breaks new ground not only by focusing on SMEs but also by asking employees about their expectations before entering an artistic intervention. Most employees in the 31 cases we analysed wrote that they hoped the intervention would bring new perspectives, new ideas, and new energy. Several ad- mitted that they did not know why the company was engaging in the project. In their responses to the post-experience questions, the overwhelming majority of employees and project managers indicated that the collaboration with the artist had had an impact on them personally, on other people, and on the organization. Only 2 respondents reported no effect on them personally and 3 indicated that they did not think it had affected others. Using a multiple-choice format to elic- it the kinds of benefits they had particularly noticed, the employees highlighted “more energy” and “new perspectives” particularly frequently and they appreci- ated having developed better relations with clients and with the local community. The project managers emphasized that the experience had given them “new ideas” and “new perspectives” and had expanded their contacts in the local community.

Many respondents identified specific new skills they had learned, as well as ideas that they discovered through the collaboration in the Creative Pills. Among the skills employees and managers mentioned in the open questions are technical ones like how to use new media to communicate with customers, how to formulate the specific needs of the organization, how to organize work more effectively, and how to generate new ideas. Many responses refer to social, rather than technical learning, such as to respect the opinions of others, to get to know suppliers better, to discover how customers see the company from the outside, and to develop social networks.

Asked whether they would recommend such an artistic intervention to others, all the respondents wrote yes. The most frequent terms employees and managers used to explain why they would recommend it were: “enriching” and “different perspectives”. The words the artists used most frequently in their reasons also include “enriching” and “other,” and they often wrote “experiment” and “both”—thereby highlighting the value they attach to moving from words to practice and to mutual learning among the participants. This is an ongoing proj-

WZB Report 2013 65 ect (for updates on our data analysis, see “improbable literature” on www.conex- ionesimprobables.com).

Implications for evaluation

The research documents the many different kinds of value that artists, project managers, employees and intermediaries have drawn from artistic interventions, including learning new skills, improving processes and communication in organizations, and stimulating innovation. An indicator of the effectiveness and attractiveness of artistic interventions is in the twofold message from many respondents: they wish they had taken more time, and they are surprised how much was achieved within the time they spent on the process. However, the respondents also note that neither all organizations nor all artists are necessarily well suited for the experience. The distinguishing features are not as simple as organizational size, industry, or ownership structure, because the sample contains all kinds of organizations reporting positive experiences. All forms of art are also possible. The difference lies primarily in the openness to collaborative learning. The research therefore highlights the importance of a careful selection and matching process, and the need for intermediaries to manage expectations. In particular, the managers and employees need to understand that benefitting from the learning opportunities artistic interventions afford pre- supposes a willingness to engage in an open process whose outcomes cannot be defined at the outset. This finding suggests that the current pressure to evaluate education and training programs on the basis of pre-set objectives may overlook and undervalue the unforeseeable benefits that the participants discover in the experience.

References Berthoin Antal, Ariane: Research Report: Research Framework for Evaluating the Effects of Artistic Interventions in Organizations. Gothenburg: TILLT Europe 2009, online: http://www.wzb.eu/sites/default/files/u30/researchreport.pdf (retrieval date 13.03.2014).

Berthoin Antal, Ariane: “Manifeste, corporel et imprévisible: L’apprentissage organi- sationnel de la Résidence d’artistes.” In: La Résidence d’artistes Eurogroup Consult- ing, Catalogue 5. Puteaux: Eurogroup Consulting 2011, pp.10-19.

Berthoin Antal, Ariane: “Artistic Intervention Residencies and Their Intermediaries: A Comparative Analysis.” In: Organizational Aesthetics, 2012, Vol. 1, No. 1, pp. 44-67.

Berthoin Antal, Ariane/Strauß, Anke: Artistic Interventions in Organisations: Finding Evidence of Values-added. Creative Clash Report. Berlin: WZB 2013, online: http:// www.wzb.eu/sites/default/files/u30/effects_of_artistic_interventions_final_re- port.pdf (retrieval date 12.03.2014).

After studying the activities carried out by the small and medium enterprises to build customer loyalty and create community, and after weigh- ing up several possibilities of action, the Catalan organization Conexiones Improbables developed the idea to mark the routes that every customer made who entered this store in one afternoon. Each particular age group was given a different color. This helped to see which areas in the store were most visited, with younger customers visiting the skateboard department and adults heading to the second floor. The coloured lines aroused the curiosity of customers, who followed the routes and revisited the areas where others had been. [Photo: Maider López, Creative pill with Deportes Gonzalez, BidasoaLab, Conexiones improbables 2012, Spain]

66 WZB Report 2013

Publications All English language publications of the year 2012 are listed, categorized according to the 2012 research structure. Some publications are included which have 2013 as official publication year but were already available in 2012. For a complete list of publications cf. WZB Bericht 2012: wzb.eu/de/ publikationen/wzb-jahresbericht

Research Area Edu- Powell, Justin J.W. (2012): „Small (Eds.): The Political Economy of Research Unit Inequality State, Large World, Global Univer- Collective Skill Formation. Oxford/ and Social Policy cation, Work, and Life sity? Comparing Ascendant Natio- New York, NY: Oxford University nal Universities in Luxembourg Press, pp. 284-313. and Qatar“. In: Current Issues in Chances Essays in WZB Reports Comparative Education, Special Is- Wotschack, Philip (2011): „Wor- sue „Education in Small States. king-time Options over the Life Brady, David/Finnigan, Ryan Fragilities, Vulnerabilities, and Course. Challenges and Company Research Unit Skill (2012): „Multicultural Welfare Poli- Strengths“, edited by Tavis D. Jules, Practices“. In: Ralf Rogowski/Ro- Formation and Labor tics. Immigration Mostly Has no Vol. 15, No. 1, pp. 100-113. bert Salais/Noel Whiteside (Eds.): Effect on Welfare Attitudes“. In: Markets Transforming European Employ- WZB Reports, No. 1/Winter Powell, Justin J.W./Bernhard, Nadi- ment Policies. Labour Market Tran- 2012/13, pp. 37-39. Monographs ne/Graf, Lukas (2012): „The Emer- sitions and the Promotion of Capa- gent European Model in Skill For- bility. Cheltenham/Northampton, Powell, Justin J.W. (2011): Barriers mation. Comparing Higher Educa- MA: Edward Elgar, pp. 96-114. Reviews to Inclusion: Special Education in tion and Vocational Training in the the US and Germany. Boulder, CO: Bologna and Copenhagen Proces- Brady, David (2012): „[Rezension] Paradigm, 327 p. ses“. In: Sociology of Education, Working and Discussion Papers Sarah Babb: Behind the Develop- Vol. 85, No. 3, pp. 240-258, advance ment Banks. Washington Politics, Richardson, John G./Powell, Justin access, 03.01.2012, online: http:// Dieckhoff, Martina/Gash, Vanessa World Poverty and the Wealth of J.W. (2011): Comparing Special dx.doi.org/10.1177/00380407114 (2012): The Social Consequences of Nations. Chicago, IL: University of Education: Origins to Contempora- 27313. Unemployment in Europe. A Two- Chicago Press 2009“. In: Interna ry Paradoxes. Stanford, CA: Stan- stage Multilevel Analysis. CCSR tional Journal of Comparative So- ford University Press, 346 p. Powell, Justin J.W./Graf, Lukas/ Working Paper Series 2012-04. ciology, Vol. 53, No. 2, pp. 142-143. Bernhard, Nadine/Coutrot, Lau- Manchester: Cathie Marsh Center rence/Kieffer, Annick (2012): „The for Census and Survey Research Articles in Refereed Journals Shifting Relationship between Vo- (CCSR), 30 p, online: www.ccsr. cational and Higher Education in ac.uk/documents/Unemplo- Buis, Maarten L. (2012): „Stata Tip France and Germany. Towards yedCCSR_WORKINGPAPER_ Research Group Public 112. Where Did My p-Values Go? Convergence?“. In: European Jour- edits_12ofJuly Health (Part 2)“. In: The Stata Journal, Vol. nal of Education – Research, Deve- 2012b.pdf (Last access: 23.07.2012). 12, No. 4, pp. 759-760. lopment and Policy, Special Issue Monographs „The Bologna Process Revisited“, Dieckhoff, Martina/Steiber, Nadia Vol. 47, No. 3, pp. 405-423, online: Research Unit Inequality Unger, Hella von/Gangarova, Tanja (2012): „Institutional Reforms and http://dx.doi.org/10.1111/j. (2012): PaKoMi Handbook. HIV Pre- Age-graded Labour Market Inequa- 1465-3435.2012.01534.x. and Social Integration vention for and with Migrants. lities in Europe“. In: International Berlin: Deutsche AIDS-Hilfe, 142 Articles in Refereed Journals Journal of Comparative Sociology, p. (PaKoMi Handbuch – HIV-Prä- Vol. 53, No. 2, pp 97-119, online: Articles in Unrefereed Journals vention für und mit Migrant/inn/ Delhey, Jan/Kohler, Ulrich (2012): http://dx.doi.org/10.1177/002071 en, in English), online: www.pako- „Happiness Inequality. Adding 5212452285. Legewie, Joscha/Solga, Heike mi.de (Last access: 02.10.2012). Meaning to Numbers – A Reply to (2012): „Social Class Returns to Veenhoven and Kalmijn“. In: Social Herman, Melissa R./Campbell, Higher Education. Comments on a Science Research, Vol. 41, No. 3, Mary E. (2012): „I Wouldn’t, but You Paper by Bukodi and Goldthorpe pp. 731-734. Project Group National Can. Attitudes toward Interracial with a Response from the Authors Relationships“. In: Social Science – Commentary by Joscha Legewie Educational Panel Study: (2012): „Buffering Research, Vol. 41, No. 2, pp. 343- and Heike Solga“. In: Longitudinal Ehlert, Martin Vocational Training and Income Loss Due to Unemploy- 358, advance access, 18.11.2011, and Life Course Studies, Vol. 3, No. ment. Family and Welfare State In- Lifelong Learning online: http://dx.doi.org/10.1016/j. 2, pp. 289-291. ssresearch.2011.11.007. fluences on Income after Job Loss in the United States and Western Articles in Refereed Journals Pape, Simone/Rössel, Jörg/Solga, Germany“. In: Social Science Re- Chapters in Edited Collections of Hennig, Marina/Gatermann, Dör- Heike (2012): „Do We See Class search, Vol. 41, No. 4, 843-860, ad- Readings the/Hägglund, Anna Erika (2012): Membership and How?“. In: Poetics vance access, 17.02.2012, online: „Pros and Cons of Family Policies – Journal of Empirical Research http://dx.doi.org/10.1016/j.ss Graf, Lukas/Lassnigg, Lorenz/Po for Mothers’ Labour Market Parti- on Culture, the Media and the Arts, research.2012.02.002. well, Justin J.W. (2012): „Austrian cipation. Editorial“. In: Internatio- Vol. 40, No. 4, pp. 317-336, advance Corporatism and Institutional nal Journal of Sociology and Social access, 30.06.2012, online: http:// Change in the Relationship bet- Policy, Special Issue „Welfare State dx.doi.org/10.1016/j.poetic.2012. WZB Discussion Papers ween Apprenticeship Training and Regulations and Mothers’ Labour 05.002. School-based VET“. In: Marius R. Delhey, Jan/Kroll, Christian (2012): Market Participation in an Interna- Busemeyer/Christine Trampusch tionally Comparative Perspective“, Powell, Justin J.W. (2012): „From A „Happiness Test“ for the New (Eds.): The Political Economy of edited by Marina Hennig, Vol. 32, Ableism to Accessibility in the Measures of National Well-Being. Collective Skill Formation. Oxford/ No. 9-10, pp. 502-512, online: Universal Design University“. In: How Much Better than GDP Are New York, NY: Oxford University http://dx.doi.org/10.1108/ Review of Disability Studies – An They? WZB Discussion Paper SP I Press, pp. 150-178. 01443331211257625. International Journal, Vol. 8, No. 4, 2012-201. Berlin: WZB, 28 p. pp. 29-41, online: www.rds.hawaii. Powell, Justin J.W./Trampusch, edu/counter/count.php?id=64 (Last Christine (2012): „Europeanization access: 16.01.2013). and Varying Responses of Collecti- ve Skill Systems“. In: Marius R. Bu- semeyer/Christine Trampusch

68 -Bericht 2013 Project Group Demography advance access, 30.04.2012, online: Research Unit Economics of Evidence from a Field Experiment and Inequality http://dx.doi.org/10.1016/j.econ Change and a Structural Model. WZB Dis- let.2012.04.077. cussion Paper SP II 2012-303. Ber- lin: WZB, 31 p. Articles in Refereed Journals Articles in Refereed Journals Danz, David/Fehr, Dietmar/Kübler, Dorothea (2012): „Information and Huck, Steffen/Valasek, Justin Mat- Fasang, Anette E./Aisenbrey, Sil- Huck, Steffen/Kübler, Dorothea/ Beliefs in a Repeated Normal-form tias (2012): Institutionalizing Eu- ke/Schömann, Klaus (2012): Weibull, Jörgen (2012): „Social Game“. In: Experimental Econo- rozone Exit. A Modified NEWNEY „Women’s Retirement Income in Norms and Economic Incentives in mics, Vol. 15, No. 4, pp. 622-640, Approach. WZB Discussion Paper Germany and Britain“. In: Euro- Firms“. In: Journal of Economic advance access, 10.03.2012, online: SP II 2012-304. Berlin: WZB, 6 p. pean Sociological Review, advance Behavior & Organization, Vol. 83, http://dx.doi.org/10.1007/s10683- access, 31.10.2012, online: http:// No. 2, pp. 173-185, advance access, 012-9317-9. Simon, Jenny/Valasek, Justin Mat- dx.doi.org/10.1093/esr/jcs075. 26.05.2012, online: http://dx.doi. tias (2012): Efficient Fiscal Spen- org/10.1016/j.jebo.2012.05.005. Dargnies, Marie-Pierre (2012): ding by Supranational Unions. WZB Fasang, Anette E. (2012): „Retire- „Men Too Sometimes Shy Away Discussion Paper SP II 2012-305. ment Patterns and Income Inequa- Huck, Steffen/Lünser, Gabriele K./ from Competition. The Case of Berlin: WZB, 41 p. lity“. In: Social Forces, Vol. 90, No. 3, Tyran, Jean-Robert (2012): „Com- Team Competition“. In: Manage- pp. 685-711, advance access, petition Fosters Trust“. In: Games ment Science – A Journal of the 05.05.2011, online: http://dx.doi. and Economic Behavior, Vol. 76, No. Institute for Operations Research Essays in WZB Reports org/10.1093/sf/sor015. 1, pp. 195-209, online: http://dx. and the Management Sciences, Vol. doi.org/10.1016/j.geb.2012.06.010. 58, No. 11, pp. 1982-2000, advance Huck, Steffen (2012): „Meltdown in Fasang, Anette E./Geerdes, Sara/ access, 18.07.2012, online: http:// Valhalla. Wagner’s ‚Ring‘ and the Schömann, Klaus (2012): „Which Huck, Steffen/Müller, Wieland dx.doi.org/10.1287/mnsc.1120. Financial Crisis“. In: WZB Reports, Type of Job Mobility Makes People (2012): „Allais for All. Revisiting 1542. No. 1/Winter 2012/13, pp. 42-43. Happy? A Comparative Analysis of the Paradox in a Large Represen- European Welfare Regimes“. In: In- tative Sample“. In: Journal of Risk Huck, Steffen/Kübler, Dorothea/ ternational Sociology, Vol. 27, No. and Uncertainty, Vol. 44, No. 3, Weibull, Jörgen (2012): „Social 3, pp. 349-383, advance access, pp. 261-293, online: http://dx.doi. Research Professorship The Norms and Economic Incentives in 09.02.2012, online: http://dx.doi. org/10.1007/s11166-012-9142-8. Firms“. In: Journal of Economic Future of Fiscal Federalism org/10.1177/0268580911423048. Behavior & Organization, Vol. 83, Valasek, Justin M. (2012): „Get out Edited Collections of Readings No. 2, pp. 173-185, advance access, the Vote. How Encouraging Voting 26.05.2012, online: http://dx.doi. Working and Discussion Papers Changes Political Outcomes“. In: org/10.1016/j.jebo.2012.05.005. Schön, Wolfgang/Konrad, Kai A. Economics and Politics, Vol. 24, No. (Eds.) (2012): Fundamentals of In- Fasang, Anette E. (2012): Institu 3, pp. 346-373, online: http://dx. ternational Transfer Pricing in Mechtenberg, Lydia/Münster, Jo- tional Change and Family Forma doi.org/10.1111/j.1468-0343.2012. Law and Economics. MPI Studies in hannes (2012): „A Strategic Media- tion. The Reunification of East and 00404.x. Tax Law and Public Finance, Vol. 1. tor Who is Biased in the Same Di- West Germany in 1989. CIQLE Wor- Berlin/Heidelberg: Springer, 304 p., rection as the Expert Can Improve king Paper 2012-01. New Haven, online: http://dx.doi.org/10.1007/ Information Transmission“. In: CT: Center for Research on Inequa- Articles in Unrefereed Journals 978-3-642-25980-7. Economics Letters, Vol. 117, No. 2, lities and the Life Course at Yale pp. 490-492, online: http://dx.doi. University (CIQLE), 49 p., online: Huck, Steffen (2012): „Meltdown in org/10.1016/j.econlet.2012.06.050. www.yale.edu/ciqle/papers.html Valhalla. Steffen Huck Draws Par- Articles in Refereed Journals (Last access: 01.03.2012). allels between Wagner’s Ring Cycle and Today’s Economic Crisis“. In: WZB Discussion Papers Elsayyad, May/Konrad, Kai A. Zielonka, Markus/Skopek, Jan/ The Spectator, Vol. 320, No. 9607, (2012): „Fighting Multiple Tax Ha- Raab, Marcel (2012): Data Manual. online: http://bibliothek.wzb.eu/ vens“. In: Journal of International Braun, Sebastian/Dwenger, Nadja/ NEPS Additional Study – Organiza- fulltext/open_access/2012/f-17 Economics, Vol. 86, No. 2, pp. 295- Kübler, Dorothea/Westkamp, Ale tional Reform Study in Thuringia 444.pdf. 305, advance access, 17.09.2011, xander (2012): Implementing Quo- (NEPS TH 1.0.0). NEPS Research online: http://dx.doi.org/10.1016/j. tas in University Admissions. An Data Paper. Bamberg: National jinteco.2011.09.002. Experimental Analysis. WZB Dis- Educational Panel Study Data Cen- WZB Discussion Papers cussion Paper SP II 2012-201. Ber- ter. lin: WZB, 45 p. Kalb, Alexander/Geys, Benny/Hei- Costa-Gomes, Miguel A./Huck, nemann, Friedrich (2012): „Value Steffen/Weizsäcker, Georg (2012): for Money? German Local Govern- Kesten, Onur/Kurino, Morimitsu Beliefs and Actions in the Trust ment Efficiency in a Comparative (2012): On the (Im)possibility of Game. Creating Instrumental Vari- Perspective“. In: Applied Econo- Improving upon the Student-pro- Research Area Mar- ables to Estimate the Causal Effect. mics, Vol. 44, No. 2, pp. 201-218, posing Deferred Acceptance Me- WZB Discussion Paper SP II 2012- advance access, 24.06.2011, online: kets and Choice chanism. WZB Discussion Paper SP 302. Berlin: WZB, 39 p. http://dx.doi.org/10.1080/0003684 II 2012-202. Berlin: WZB, 13 p. 6.2010.502110. Friedman, Daniel/Huck, Steffen/ Market Behavior Oprea, Ryan/Weidenholzer, Simon Essays in WZB Reports Ke, Changxia/Konrad, Kai A./Mo- (2012): From Imitation to Collu rath, Florian (2012): „Brothers in Articles in Refereed Journals sion. Long-run Learning in a Low- Arms. An Experiment on the Alli- Fehr, Dietmar (2012): „Deals with information Environment. WZB ance Puzzle“. In: Games and Econo- Beresford, Alastair R./Kübler, Do- Friends and Strangers. Trust in a Discussion Paper SP II 2012-301. mic Behavior, advance access, rothea/Preibusch, Sören (2012): Cairo Slum“. In: WZB Reports, No. Berlin: WZB, 44 p. 10.09.2012, online: http://dx.doi. „Unwillingness to Pay for Privacy. 1/Winter 2012/13, pp. 9-11 org/10.1016/j.geb.2012.08.011. A Field Experiment“. In: Economics Huck, Steffen/Rasul, Imran/Shep Letters, Vol. 117, No. 1, pp. 25-27, hard, Andrew (2012): Comparing Konrad, Kai A. (2012): „Information Charitable Fundraising Schemes. Alliances in Contests with Budget

-Bericht 2013 69 Limits“. In: Public Choice, Vol. 151, Summer Series. Cambridge, MA/ tition for Firms. WZB Discussion Chapters in Edited Collections of No. 3/4, pp. 679-693, advance ac- London: MIT Press, pp. 71-118. Paper SP II 2012-113. Berlin: WZB, Readings cess, 18.01.2011, online: http:// 27 p. dx.doi.org/10.1007/s11127-011- Trautmann, Stefan T./Vieider, Fer- 9764-4. WZB Discussion Papers Ke, Changxia/Konrad, Kai A./Mo- dinand M. (2012): „Social Influen- rath, Florian (2012): Alliances in ces on Risk Attitudes. Applications Konrad, Kai A. (2012): „Dynamic Daniele, Gianmarco/Geys, Benny the Shadow of Conflict. WZB Dis- in Economics“. In: Sabine Roeser/ Contests and the Discouragement (2012): Public Support for Institu- cussion Paper SP II 2012-104. Ber- Rafaela Hillerbrand/Per Sandin/ Effect“. In: Revue d’économie poli- tionalised Solidarity. Europeans’ lin: WZB, 39 p. Martin Peterson (Eds.): Handbook tique, Vol. 122, No. 2, pp. 233-256. Reaction to the Establishment of of Risk Theory. Epistemology, De- Eurobonds. WZB Discussion Paper Lohse, Tim/Robledo, Julio R. cision Theory, Ethics, and Social Konrad, Kai A./Kovenock, Dan SP II 2012-112. Berlin: WZB, 19 p. (2012): Public Self-insurance and Implications of Risk, Vol. 1. Dord (2012): „The Lifeboat Problem“. In: the Samaritan’s Dilemma in a Fe- recht u.a.: Springer, pp. 575-600. European Economic Review, Vol. Dechenaux, Emmanuel/Kovenock, deration. WZB Discussion Paper SP 56, No. 3, pp. 552-559, advance ac- Dan/Sheremeta, Roman M. (2012): II 2012-103. Berlin: WZB, 25 p. cess, 30.12.2011, online: http:// A Survey of Experimental Re- WZB Discussion Papers dx.doi.org/10.1016/j.euroeco search on Contests, All-pay Auc- Murdoch, Zuzana/Trondal, Jarle rev.2011.12.004. tions and Tournaments. WZB Dis- (2012): Contracted Government. Pahlke, Julius/Strasser, Sebastian/ cussion Paper SP II 2012-109. Ber- Unveiling the European Commis Vieider, Ferdinand M. (2012): Res- Konrad, Kai A./Morath, Florian lin: WZB, 94 p. sion’s Contracted Staff. WZB ponsibility Effects in Decision Ma- (2012): „Evolutionarily Stable In- Discussion Paper SP II 2012-106. king under Risk. WZB Discussion Group Favoritism and Out-Group De Witte, Kristof/Geys, Benny Berlin: WZB, 18 p. Paper SP II 2012-402. Berlin: WZB, Spite in Intergroup Conflict“. In: (2012): Citizen Coproduction and 33 p. Journal of Theoretical Biology, No. Efficient Public Good Provision. Vermeir, Jan/Geys, Benny (2012): 306, pp. 61-67, online: http:// Theory and Evidence from Local Party Cues in Elections under Mul- Vieider, Ferdinand M./Chmura, dx.doi.org/10.1016/j. Public Libraries. WZB Discussion tilevel Governance. Theory and Thorsten/Martinsson, Peter jtbi.2012.04.013. Paper SP II 2012-108. Berlin: WZB, Evidence from US States. WZB Dis- (2012): Risk Attitudes, Develop- 27 p. cussion Paper SP II 2012-107. Ber- ment, and Growth. Macroeconomic Konrad, Kai A./Qari, Salmai (2012): lin: WZB, 34 p. Evidence from Experiments in 30 „The Last Refuge of a Scoundrel? De Witte, Kristof/Geys, Benny/So- Countries. WZB Discussion Paper Patriotism and Tax Compliance“. londz, Catharina (2012): Public Ex- SP II 2012-401. Berlin: WZB, 40 p. In: Economica, Vol. 79, No. 315, penditures, Educational Outcomes Articles in WZB-Mitteilungen pp. 516-533, advance access, and Grade Inflation. Theory and 22.09.2011, online: http://dx.doi. Evidence from a Policy Interven Geys, Benny (2012): „When Schools org/10.1111/j.1468-0335.2011. tion in the Netherlands. WZB Dis- Cheat on Exams. Additional Funds 00900.x. cussion Paper SP II 2012-111. Ber- for Education Make a Difference – Research Area So- lin: WZB, 31 p. if They Are Substantial“. In: WZB- Konrad, Kai A./Skaperdas, Ster- Mitteilungen, No. 138, pp. 21-23. ciety and Economic gios (2012): „The Market for Pro- Exbrayat, Nelly/Geys, Benny Dynamics tection and the Origin of the Sta- (2012): Trade Integration and Busi- te“. In: Economic Theory, Vol. 50, ness Tax Differentials. Evidence No. 2, pp. 417-443, advance access, from OECD Countries. WZB Discus- Junior Research Group Risk Research Unit Cultural 06.10.2010, online: http://dx.doi. sion Paper SP II 2012-110. Berlin: Sources of Newness org/10.1007/s00199-010-0570-x. WZB, 28 p. and Development Articles in Refereed Journals Lohse, Tim/Robledo, Julio R./ Geys, Benny (2012): Association Articles in Refereed Journals Schmidt, Ulrich (2012): „Self-insu- Membership and Generalised Berthoin Antal, Ariane (2012): „Ar- Lefebvre, Mathieu/Vieider, Ferdi- rance and Self-protection as Pub- Trust. Are Connections between tistic Intervention Residencies and nand M. (2012): „Reining in Exces- lic Goods“. 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In: Pu- Discussion Paper SP II 2012-102. ternative Energy Technologies as a derate Stake Variations for Risk blic Choice, Vol. 151, No. 3-4, Berlin: WZB, 14 p. Cultural Endeavor. A Case Study of and Uncertainty, Gains and Losses. pp. 695-717, advance access, Hydrogen and Fuel Cell Develop- Methodological Implications for 21.01.2011, online: http://dx.doi. Geys, Benny/Mause, Karsten ment in Germany“. In: Energy, Sus- Comparative Studies“. In: Econo- org/10.1007/s11127-011-9765-3. (2012): Delegation, Accountability tainability and Society, Vol. 2, No. 2, mics Letters, Vol. 117, No. 3, & Legislator Moonlighting. Agency pp. 1-10, online: http://dx.doi. pp. 718-721, advance access, Problems in Germany. WZB Discus- org/10.1186/2192-0567-2-2. Chapters in Edited Collections of sion Paper SP II 2012-105. Berlin: 20.12.2011, online: http://dx.doi. org/10.1016/j.econlet.2011.12.028. Readings WZB, 17 p. Galich, Ante/Marz, Lutz (2012): „Does the Development of Alterna- Werding, Martin/Konrad, Kai A. Geys, Benny/Osterloh, Steffen tive Energy Technologies Allow for (2012): „Reforming the European (2012): Borders as Boundaries to New Forms of Coopetition?“. In: Welfare State“. In: Thiess Buettner/ Fiscal Policy Interactions? An Em- Organizacija, Vol. 45, No. 2, pp. 50- Wolfgang Ochel (Eds.): The Contin pirical Analysis of Politicians’ 58, online: http://dx.doi.org/ uing Evolution of Europe. CESifo Opinions on Rivals in the Compe- 10.2478/v10051-012-0006-4.

70 -Bericht 2013 Hofmann, Jeanette (2012): „Private Jung, Arlena (2012): „Medialization Reviews Project Group Globalization, Ordering in the Shadow of Copy- and Credibility. Paradoxical Effect Work, and Production right Law. Google Books as a Blue- or (Re)-Stabilization of Bounda Berthoin Antal, Ariane (2012): print“. In: Politische Vierteljahres- ries? Epidemiology and Stem Cell „[Rezension] Nancy J. Adler (Ed.): Edited Collections of Readings schrift, Sonderheft 46 „Politik und Research in the Press“. In: Simone Leadership Insight. London/New die Regulierung von Information“, Rödder/Martina Franzen/Peter York, NY: Routledge 2010“. In: Eu- Jürgens, Ulrich (Ed.) (2012): Human herausgegeben von Andreas Weingart (Eds.): The Sciences’ Me- ropean Journal of International Resource Management and Labour Busch/Jeanette Hofmann. Baden- dia Connection. Public Communi- Management, Vol. 6, No. 1, pp. 128- Relations in the BRICs. 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-Bericht 2013 73 In Focus New Publications from the WZB

Measuring Democracy Marc Bühlmann, Wolfgang Merkel et al. In a collaborative project, Swiss and German scholars have developed a new instrument to assess the quality of democracy—the Democracy Barometer. This instrument aims to overcome the conceptual and methodological shortcomings of previous indices. It describes and compares differences in the democratic quality of established democracies. The Democracy Barometer is based on a comprehensive concept of democracy and used for the step-by-step deduction of measures and indicators on different levels of abstraction. Starting out with basic principles of freedom, equality and control, nine basic functions are identified. Every function is further disaggregated into components, which are measured by several sub-components and indicators. This article presents the underlying concept of democracy as well as details of the deduction process. A second part focuses on methodology, and lastly, initial results and several tests for validation are presented, which underline the new instrument’s potential for future comparative analyses. Marc Bühlmann/Wolfgang Merkel/Lisa Müller/Heiko Giebler/Bernhard Weßels: “Demokratiebarometer: ein neues Instrument zur Messung von Demokratiequalität (Democracy Barometer: A New Instrument for Measuring the Quality of Democracy).” In: Gerd Pickel/Susanne Pickel (Eds.): Indizes in der Vergleichenden Politikwissenschaft. Wiesbaden: VS Verlag 2012, pp. 115-159. Sociology of Education at a Glance Heike Solga, Rolf Becker One of the leading German journals in the social sciences, the Kölner Zeitschrift für Soziologie und Sozialpsychologie published a special issue – the first after 53 years – focusing on educational research in sociology. The issue offers an overview of recent research findings in this field, pointing out opportunities for future research projects using new methods and datasets that have recently been made accessible. The full range of education and training over the life course is addressed, from pre-school to further education and training. Analyses of social inequality in education, inclusive education, migration issues as well as current developments in European higher education following the Bologna and Copenhagen processes. Senior researchers as well as a significant number of junior scholars have contributed to the issue, including seven WZB researchers. Rolf Becker/Heike Solga (Eds.): Soziologische Bildungsforschung (Educational Research – A Sciological Perspec- tive). Sonderband der Kölner Zeitschrift für Soziologie und Sozialpsychologie, No. 52. Wiesbaden: Springer VS Verlag 2012. Job Security Is Not for Everyone Jutta Allmendinger, Johannes Giesecke et al. Women, the young, and people with little education are the groups in Europe most likely to be employed on a temporary basis and/or part time. Today, people under 30 years of age and those with a low level of education are less likely to have a full-time tenured job than in the mid-nineties. Another trend is the increase of flexible forms of employment parallel to increasing labor market participation of women and people aged 50 to 64. These are some of the results of a WZB research project documenting developments in atypical employment in 20 European countries between 1969 and 2009. Key findings are published in the WZB Letter on Labor (WZBrief Arbeit). Jutta Allmendinger/Johannes Giesecke/ Lena Hipp/Kathrin Leuze/Stefan Stuth: Mehr Jobs oder nur mehr schlechte Jobs? Die Entwicklung atypischer Beschäftigung in Europa (More Jobs or Just More Simple Jobs? The Development of Atypical Employment in Europe). WZBrief Arbeit 13/August 2012. Berlin: WZB.

74 -Bericht 2013 How Open Networks Help Immigrants on the Job In Focus Market Bram Lancee Many immigrants find a job by making use of their personal networks – but mainly these jobs are in the low-skilled sector with modest pay. Bram Lancee analyzes the role of immigrants’ social capital for their job search, their income and New Publications from the WZB their professional status in Germany and the Netherlands, differentiating between types and qualities of social capital. He finds that bridging social capital (contacts beyond the own ethnic community) helps immigrants make headway on the labor market, but bonding social capital (ties in the own community) does not. This ist he case both in Germany and the Netherlands. Among those employed, bridging social capital is associated with higher income and higher occupational status. Bonding social capital has only marginal efects in this respect. Bram Lan- Measuring Democracy Marc Bühlmann, Wolfgang Merkel cee: Immigrant Performance in the Labour Market: Bonding and Bridging Social Capital. Amster- et al. In a collaborative project, Swiss and German scholars have developed a new instrument dam: Amsterdam University Press 2012. to assess the quality of democracy—the Democracy Barometer. This instrument aims to overcome the conceptual and methodological shortcomings of previous indices. It describes and compares differences in the democratic quality of established democracies. The Democracy Barometer is based on a comprehensive concept of democracy and used for the step-by-step deduction of measures and indicators on different levels of abstraction. Starting out with basic principles of freedom, equality and control, nine basic functions are identified. Every function is further disaggregated into components, which are measured by several sub-components and indicators. This article presents the underlying concept of democracy as well as details of the deduction process. A second part focuses on methodology, and lastly, initial results and several tests for validation are presented, which underline the new instrument’s potential for future comparative analyses. Marc Bühlmann/Wolfgang Merkel/Lisa Müller/Heiko Giebler/Bernhard Weßels: “Demokratiebarometer: ein neues Instrument zur Messung von Demokratiequalität (Democracy Barometer: A New Instrument for Measuring the Quality of Democracy).” In: Gerd Pickel/Susanne Pickel (Eds.): Indizes in der Vergleichenden Politikwissenschaft. Wiesbaden: VS Verlag 2012, pp. 115-159. Sociology of Education at a Glance Heike Solga, Rolf Becker One of the leading German journals in the social sciences, the Kölner Zeitschrift für Soziologie und Sozialpsychologie published a special issue – the first after 53 years – focusing on educational research in sociology. The issue offers an overview of recent research findings in this field, pointing out opportunities for future research projects using new methods and datasets that have recently The specific type of immigrants‘ networks is essential - not all networks help in getting been made accessible. The full range of education and training over the life course access to the labor market. This worker from Vietnam has found work in the production is addressed, from pre-school to further education and training. Analyses of soci- of concrete sleepers in Coswig, Saxony. [Photo: picture alliance/dpa] al inequality in education, inclusive education, migration issues as well as current developments in European higher education following the Bologna and Copenhagen Are Unions Perceived as Efficient? Rebecca Kolins Givan, processes. Senior researchers as well as a significant number of junior scholars have contributed to the issue, including seven WZB researchers. Rolf Becker/Heike Solga Lena Hipp How do members feel about labor unions in comparison to nonunion members? (Eds.): Soziologische Bildungsforschung (Educational Research – A Sciological Perspec- How do former union members feel about unions in comparison with those who were never mem- tive). Sonderband der Kölner Zeitschrift für Soziologie und Sozialpsychologie, No. 52. bers? The authors answer these questions by analyzing large-scale, cross-national survey data on Wiesbaden: Springer VS Verlag 2012. perceptions of unions in 24 countries. They conclude that union-membership status (both current and past) and gender matter. Union members feel more positive about the ability of unions to Job Security Is Not for Everyone Jutta Allmendinger, improve working conditions and job security than nonunion members. Former members tend to be more positive than those who never were union members. Among nonunion members, women tend Johannes Giesecke et al. Women, the young, and people with little education to hold a more positive view of the effect of unions on job security than men. Rebecca Kolins Givan/ are the groups in Europe most likely to be employed on a temporary basis and/or part time. Lena Hipp: „Public Perceptions of Labor Union Efficacy: A Twenty-Four Country-Study“. In: Labor Stu- Today, people under 30 years of age and those with a low level of education are less likely to dies Journal, Vol. 37, No. 7, 2012, S. 7-32. have a full-time tenured job than in the mid-nineties. Another trend is the increase of flexible Participation and Health Rolf Rosenbrock, forms of employment parallel to increasing labor market participation of women and people People who are actively involved in decisi- aged 50 to 64. These are some of the results of a WZB research project documenting develop- Susanne Hartung ons concerning their life circumstances are better off, health wise. This idea ments in atypical employment in 20 European countries between 1969 and 2009. Key findings is one part of many theories and practices in health prevention and health are published in the WZB Letter on Labor (WZBrief Arbeit). Jutta Allmendinger/Johannes Giesecke/ care. In this volume, researchers from a broad range of disciplines examine Lena Hipp/Kathrin Leuze/Stefan Stuth: Mehr Jobs oder nur mehr schlechte Jobs? Die Entwicklung empirical evidence behind this idea and ask which conditions are favorable atypischer Beschäftigung in Europa (More Jobs or Just More Simple Jobs? The Development of for participation by those who are traditionally just patients. New forms of Atypical Employment in Europe). WZBrief Arbeit 13/August 2012. Berlin: WZB. participation are presented, ways of enabling participation and obstacles to introducing participatory elements in health care. Rolf Rosenbrock/Susanne Hartung (Eds.): Handbuch Partizipation und Gesundheit (Handbook of Partici- patory Health Research). Verlag Hans Huber 2012.

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Human Journal of Social Theory, Vol. 15, Frankfurt a.M./Madrid: Iberoame- ledge Advances in International Rights Protection in United Na- No. 4, pp. 537-554, advance access, ricana Vervuert Verlag, pp. 111- Relations and Global Politics, No. tions Sanctions Policy“. In: Euro- 14.03.2012, online: http://dx.doi. 138. 96. London/New York, NY: Rout- pean Journal of International Re- org/10.1177/1368431011432968. ledge, 196 p. lations, advance access, 06.02.2012, online: http://dx.doi.org/10.1177/ Wilde, Pieter de/Zürn, Michael Working and Discussion Papers 1354066111426621. (2012): „Can the Politicization of Edited Collections of Readings European Integration Be Rever- Weßels, Bernhard (2012): The Hirschmann, Gisela (2012): „Orga- sed?“. In: Journal of Common Mar- Voter’s Choosy Heart Beats Left of Zürn, Michael/Nollkaemper, An nizational Learning in United Na- ket Studies, Special Issue, guest Centre. 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In: International files/id/ipa/09084.pdf (Last access: building in UN Peacekeeping Exit Theory – A Journal of Internatio- 28.02.2013). Dietsch, Peter (2011): „Rethinking Strategies. Organized Hypocrisy nal Politics, Law and Philosophy, Sovereignty in International Fiscal and Institutional Reform“. In: In- Vol. 4, No. 1, pp. 69-106, online: Policy“. In: Review of International ternational Peacekeeping, Vol. 19, http://dx.doi.org/10.1017/ WZB Discussion Papers Studies, Vol. 37, No. 5, pp. 2107- No. 2, pp. 170-185, online: http:// S1752971912000012. 2120, advance access, 14.10.2011, dx.doi.org/10.1080/13533312.201 Alonso, Sonia/Volkens, Andrea/ online: http://dx.doi.org/10.1017/ 2.665686. Cabeza, Laura/Gómez, Braulio S0260210511000349. Chapters in Edited Collections of (2012): The Content Analysis of Reinold, Theresa (2012): „Constitu- Readings Manifestos in Multilevel Settings. Ecker-Ehrhardt, Matthias (2012): tionalization? Whose Constitutio- Exemplified for Spanish Regional „Cosmopolitan Politicization. How nalization? Africa’s Ambivalent Gemkow, Tim/Zürn, Michael Manifestos. WZB Discussion Paper Perceptions of Interdependence Engagement with the Internatio- (2012): „Constraining International SP IV 2012-201. Berlin: WZB, 53 Foster Citizens’ Expectations in In- nal Criminal Court“. In: Internatio- Authority through the Rule of Law. p. (updated edition of the 2010 pu- ternational Institutions“. In: Euro- nal Journal of Constitutional Law, Legitimatory Potential and Politi- blished WZB Discussion Papers SP pean Journal of International Re- Vol. 10, No. 4, pp. 1076-1105, on- cal Dynamics“. In: Michael Zürn/ IV 2009-202). lations, Vol. 18, No. 3, pp. 481-508, line: http://dx.doi.org/10.1093/ André Nollkaemper/Randall Pee- advance access, 22.02.2011, online: icon/mos031. renboom (Eds.): Rule of Law Dyna- http://dx.doi.org/10.1177/13540 mics. In an Era of International Articles in WZB-Mitteilungen 66110391823. Rixen, Thomas/Schwarz, Peter and Transnational Governance. (2012): „How Effective Is the Euro- Cambridge/New York, NY: Cam- Hermann, Tamar (2012): „A New Ecker-Ehrhardt, Matthias (2012): pean Union’s Savings Tax Directi- bridge University Press, pp. 68-89. Quality of Protest. The Hot Sum- „‚But the UN Said so ...‘. Internatio- ve? Evidence from Four EU Mem- mer of 2011 Changed Israel’s Poli- nal Organisations as Discursive ber States“. In: Journal of Common Heupel, Monika (2012): „Rule of tical Agenda“. In: WZB-Mitteilun- Authorities“. In: Global Society, Vol. Market Studies, Vol. 50, No. 1, Law Promotion through Interna gen, No. 135, pp. 66-67. 26, No. 4, pp. 451-471, advance ac- pp. 151-168, online: http://dx.doi. tional Organizations and NGOs“. In: cess, 24.08.2012, online: http:// org/10.1111/j.1468-5965.2011. 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76 -Bericht 2013 Union Polity During 2009 Euro- Zürn, Michael (2012): „Multi-level WZB Discussion Papers Research Professorship pean Parliamentary Elections on Governance als conditio politica Wendler, Frank (2012): The Politi- Theory, History and Future the Internet“. In: Tatjana Evas/Ulri- der Politik im Zeitalter der Globa- cisation of European Treaty Re- ke Liebert/Christopher Lord (Eds.): lisierung“. In: Ines Härtel (Hg.): Fö- form. Public Justification and Par- of Democracy Multilayered Representation in deralismus in Europa und der Welt. ty Polarisation in the German the European Union. Parliaments, Handbuch Föderalismus – Födera- Bundestag and UK House of Com- Monographs Courts and the Public Sphere. lismus als demokratische Rechts- mons Debates over Revision of the Schriftenreihe des Zentrums für ordnung und Rechtskultur in EU Treaties. WZB Discussion Paper Keane, John (2012): Why Democra- Europäische Rechtspolitik, Vol. 64. Deutschland, Europa und der Welt, SP IV 2012-301. 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-Bericht 2013 77 Articles in WZB-Mitteilungen Carbonell/Agustín José Menéndez/ Chapters in Edited Collections of Euro. RSCAS Policy Paper 2012/08. John Erik Fossum (Eds.): Hope, Re- Readings Florence: Robert Schuman Centre Keane, John (2012): „Tuning the luctance or Fear? The Democratic for Advanced Studies (RSCAS) at People. China’s Delicate Balance Consequences of the Case Law of Kumm, Mattias (2012): „Represen- the European University Institute, between Digital Freedom and Re- the European Court of Justice. tativeness and Independence of 46 p., online: http://cadmus.eui.eu/ pression“. In: WZB-Mitteilungen, Arena Report, No. 5/11. Oslo: Arena Courts“. In: Adriana Silvia Dreyzin bitstream/handle/1814/23981/ No. 136, pp. 29-32. Centre for European Studies at the de Klor/Miguel Poiares Maduro/ RSCAS_PP_2012_08.pdf?sequ University of Oslo, pp. 115-165. Antoine Vauchez (Eds.): Courts, So- ence=1 (Last access: 09.11.2012). cial Change and Judicial Indepen- Essays in WZB Reports Kumm, Mattias (2012): „Rethinking dence. RSCAS Policy Paper, No. Constitutional Authority. On the 2012/07. Florenz: Robert Schuman WZB Discussion Papers Keane, John (2012): „Tuning the Structure and Limits of Constituti- Centre for Advanced Studies People. China’s Delicate Balance onal Pluralism“. In: Matej Avbelj/ (RSCAS) at the European Universi- Kis, János (2012): State Neutrality. between Digital Freedom and Re- Jan Komárek (Eds.): Constitutional ty Institute, pp. 53-55, online: WZB Discussion Paper SP IV 2012- pression“. In: WZB Reports, No. 1/ Pluralism in the European Union http://cadmus.eui.eu/bitstream/ 801. Berlin: WZB, 25 p. Winter 2012/13, pp. 21-24. and beyond. Studies of the Oxford handle/ Institute of European and Compa- 1814/22562/RSCAS_PP_2012_ Nolte, Georg/Aust, Helmut Philipp rative Law, Vol. 14. Oxford/Port- 07.pdf?sequence=1 (Last access: (2012): European Exceptionalism? Other Publications land, OR: Hart Publishing, pp. 39- 15.08.2012). WZB Discussion Paper SP IV 2012- 65. 802. Berlin: WZB, 33 p. Keane, John (2012): „Will China’s Kumm, Mattias (2012): „The Moral Communist Party Prove James Ma- Kumm, Mattias (2012): „The Idea of Point of Constitutional Pluralism. dison Wrong? Unlikely“. In: The Thick Constitutional Patriotism Defining the Domain of Legitimate Articles in WZB-Mitteilungen Christian Science Monitor, and Its Implications for the Role Institutional Civil Disobedience 15.02.2012, online: www.csmoni and Structure of European Legal and Conscientious Objection“. In: Kumm, Mattias (2012): „It’s the tor.com/Commentary/Global-View History“. In: Helle Porsdam/Tho- Julie Dickson/Pavlos Eleftheriadis Banks, Stupid! Die Euro-Krise als point/2012/0215/Will-China-s- mas Elholm (Eds.): Dialogues on (Eds.): Philosophical Foundations Demokratiekrise“. In: WZB-Mittei- Communist-Party-prove-James- Justice. European Perspectives on of European Union Law. Oxford: lungen, No. 137, pp. 10-12. Madison-wrong-Unlikely (Last ac- Law and Humanities. Law & Litera- Oxford University Press, pp. 216- cess: 31.01.2013). ture, Vol. 3. Berlin/Boston, MA: Wal- 246. ter de Gruyter, pp. 108-137. Schumpeter Junior Re- Poiares Maduro, Miguel/De Witte, search Group Position Research Professorship Bruno/Kumm, Mattias (2012): „The Articles in WZB-Mitteilungen Euro-Crisis and the Democratic Formation in the EU Com- Rule of Law in the Age of Governance of the Euro. Legal and mission Globalization Mann, Roni (2012): „The Regula Political Issues of a Fiscal Crisis“. tory Road not Taken. The Proposed In: Miguel Poiares Maduro/Bruno Articles in Refereed Journals Financial Transaction Tax in a His- De Witte/Mattias Kumm (Eds.): The Chapters in Edited Collections of torical Context“. In: WZB-Mitteilun- Democratic Governance of the Hartlapp, Miriam (2012): „Decon Readings gen, No. 137, pp. 13-16. Euro. RSCAS Policy Paper, No. structing EU Old Age Policy. Asses- 2012/08. Florence: Robert Schu- sing the Potential of Soft OMCs Kumm, Mattias (2012): „Alexy’s man Centre for Advanced Studies and Hard EU Law“. In: European In- Theory of Constitutional Rights Essays in WZB Reports (RSCAS) at the European Universi- tegration Online Papers, Special and the Problem of Judicial Re- ty Institute, pp. 3-11, online: http:// Mini-Issue 1 „EU Law, Governance view“. In: Mathias Klatt (Ed.): Insti- Mann, Roni (2012): „The Regulato- cadmus.eui.eu/bitstream/handle/ and Social Policy“, edited by Jean- tutionalized Reason. The Jurispru- ry Road not Taken. The Proposed 1814/23981/RSCAS_PP_2012_ Claude Barbier, Vol. 16, No. 1, Arti dence of Robert Alexy. Oxford/New Financial Transaction Tax in a His- 08.pdf?sequence=1 (Last access: cle 3, online: http://dx.doi.org/10. 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-Bericht 2013 81 Management, Bodies, Boards

Shareholders Advisory members Prof. Peter J. Katzenstein Ph.D., Chairperson of the Advisory Board The WZB is a non-profit limited liability company (gGmbH). The Federal Republic of Germany and the State of Berlin are the Dr. Christian Brzinsky-Fay, WZB two shareholders. In particular, they appoint and dismiss the Dr. Weert Canzler, WZB management and the members of the Board of Trustees and hold control over the budget.

Advisory Board Board of Trustees A board consisting of outstanding international scientists from The Board of Trustees, whose members also include the share- a broad range of disciplines advises the Board of Trustees in all holders, determines the WZB’s basic research policy and is relevant scientific matters. involved in all structural decisions on research policy and financial issues. Chair Prof. Peter J. Katzenstein Ph.D. Cornell University, Ithaka, NY, USA Voting members Prof. Han Entzinger Chair Erasmus University, Rotterdam Ulrich Schüller Head, Department of the Science System, Prof. Rainer Forst Federal Ministry of Education and Research Goethe-University, Frankfurt on the Main

Deputy Chair Prof. Bruno S. Frey Dr. Jutta Koch-Unterseher (since March 2012) University of Zurich Senat for Economics, Technology and Research Prof. Dieter Grimm LL.M. (since July 2012) Permanent Fellow, Wissenschaftskolleg zu Berlin Prof. Peter-André Alt President, Free University of Berlin Prof. Christine Landfried University of Hamburg Prof. Sir Anthony Atkinson Nuffield College, Oxford, UK Prof. Stephan Leibfried University of Bremen Ulla Burchardt MdB SPD parliamentary group, German Bundestag Dr. Zdenka Mansfeldová Czech Academy of Sciences, Prague Prof. Gerda Falkner University of Vienna Prof. Steffen Mau Bremen International Graduate School of Social Sciences, Prof. Dieter Grimm LL.M. (until March 2012) University of Bremen Permanent Fellow, Wissenschaftskolleg Berlin Prof. Juan Díez Medrano (since January 2012) Dr. Wilhelm Krull (since April 2012) Universidad Carlos III de Madrid Secretary General of the Volkswagen Foundation Prof. Paul Nolte Prof. Jan-Hendrik Olbertz Free University of Berlin President, Humboldt University Berlin Prof. Anne Peters LL.M. Prof. Gesine Schwan University of Basel Humboldt-Viadrina School of Governance Prof. Stein Ringen Prof. Jörg Steinbach University of Oxford, UK President, Technical University Berlin Prof. Joel Rogers Ph.D. Prof. Kathleen Thelen Ph.D. University of Wisconsin, Madison, WI, USA Massachusetts Institute of Technology, Cambridge, MA, USA Prof. Klaus M. Schmidt Klaus-Peter Willsch MdB Ludwig Maximilians University, Munich MP, CDU/CSU parliamentary group, German Bundestag Prof. Sabine von Schorlemer (suspended from office since March 2010) Minister of Sciences and Arts, the Free State of Saxony

Prof. Petra Stanat Ph.D. Humboldt University Berlin

82 WZB Report 2013 1 Management Youth and Trainee Representative 2 Management, Bodies, Boards 3 The WZB is headed by an Academic Director (President) and a 4 Managing Director. Niklas Weber 5 6 7 Prof. Jutta Allmendinger Ph.D. 8 President (since April 2007) Equal Opportunities Commissioner 9 Advisory members Shareholders Heinrich Baßler 10 Prof. Peter J. Katzenstein Ph.D., Chairperson of the Advisory Board Managing Director (since April 2005) 11 The WZB is a non-profit limited liability company (gGmbH). The Anke Geßner 12 Federal Republic of Germany and the State of Berlin are the Dr. Christian Brzinsky-Fay, WZB 13 two shareholders. In particular, they appoint and dismiss the Dr. Weert Canzler, WZB 14 management and the members of the Board of Trustees and hold Research Council 15 control over the budget. Representative of Disabled 16 The Research Council is a body consisting of elected represen- 17 tatives of WZB researchers, the heads of research units, and Employees 18 Advisory Board the Academic Director (President) who heads the Council. The 19 Board of Trustees Managing Director is a non-voting advisory member. 20 A board consisting of outstanding international scientists from Ralf Künster (confidential person) 21 The Board of Trustees, whose members also include the share- a broad range of disciplines advises the Board of Trustees in all Jutta Höhne, Reinhard Pollak (alternates) 22 holders, determines the WZB’s basic research policy and is relevant scientific matters. Chair 23 involved in all structural decisions on research policy and Prof. Jutta Allmendinger Ph.D. 24 financial issues. Heinrich Baßler (advisory member) 25 Chair Prof. David Brady Ph.D. (since August 2012) Ombudsperson 26 Prof. Peter J. Katzenstein Ph.D. Dr. Weert Canzler 27 Cornell University, Ithaka, NY, USA Voting members David N. Danz (since April 2012) 28 Dr. Matthias Ecker-Ehrhardt Prof. Han Entzinger Jan Paul Heisig Dr. Maria Oppen 29 Chair Erasmus University, Rotterdam Ulrich Schüller Marcel Helbig 30 Prof. Steffen Huck (since April 2012) 31 Head, Department of the Science System, Prof. Rainer Forst Federal Ministry of Education and Research Frank Hüber (until March 2012) Goethe-University, Frankfurt on the Main Prof. Michael Hutter 32 Prof. John Keane Ph.D. 33 Deputy Chair Data Protection Commissioner Prof. Bruno S. Frey Dr. Sascha Kneip (speaker) 34 Dr. Jutta Koch-Unterseher (since March 2012) University of Zurich Senat for Economics, Technology and Research Prof. Kai A. Konrad 35 Prof. Ruud Koopmans Prof. Dieter Grimm LL.M. (since July 2012) Dr. Martin Krzywdzinski Dr. Roland Habich 36 Permanent Fellow, Wissenschaftskolleg zu Berlin Prof. Peter-André Alt Prof. Dorothea Kübler 37 President, Free University of Berlin Prof. Mattias Kumm 38 Prof. Christine Landfried Prof. Wolfgang Merkel University of Hamburg Paula Protsch 39 Prof. Sir Anthony Atkinson 40 Nuffield College, Oxford, UK Prof. Rolf Rosenbrock (until May 2012) Contact Person for the Prevention Prof. Stephan Leibfried Dr. Julia Schmid 41 University of Bremen Ulla Burchardt MdB Dr. Ulrich Schreiterer of Corruption 42 SPD parliamentary group, German Bundestag Dr. Dagmar Simon Dr. Zdenka Mansfeldová Prof. Heike Solga 43 Czech Academy of Sciences, Prague Prof. Gerda Falkner Prof. Michael Zürn 44 Prof. em. Gunnar Folke Schuppert University of Vienna Prof. Steffen Mau 45 Bremen International Graduate School of Social Sciences, 46 Prof. Dieter Grimm LL.M. (until March 2012) University of Bremen Permanent Fellow, Wissenschaftskolleg Berlin 47 48 Prof. Juan Díez Medrano (since January 2012) Works Council Dr. Wilhelm Krull (since April 2012) Universidad Carlos III de Madrid Committee on Further Education 49 Secretary General of the Volkswagen Foundation 50

Prof. Paul Nolte Head and Training 51 Prof. Jan-Hendrik Olbertz Free University of Berlin President, Humboldt University Berlin Axel Tröster-Grönig 52 Prof. Anne Peters LL.M. Udo Borchert 53 Prof. Gesine Schwan University of Basel Prof. em. Hedwig Rudolph Humboldt-Viadrina School of Governance Florian Fliegner 54 Jutta Höhne Dr. Paul Stoop (executive member) 55 Prof. Stein Ringen Dagmar Kollande Friederike Theilen-Kosch Prof. Jörg Steinbach University of Oxford, UK 56 President, Technical University Berlin Ralf Schaefer Sabine Schmidt 57 Prof. Joel Rogers Ph.D. Friederike Theilen-Kosch 58 Prof. Kathleen Thelen Ph.D. University of Wisconsin, Madison, WI, USA Massachusetts Institute of Technology, Cambridge, MA, USA Sigurt Vitols Ph.D. 59 Prof. Klaus M. Schmidt 60 Klaus-Peter Willsch MdB Ludwig Maximilians University, Munich MP, CDU/CSU parliamentary group, German Bundestag 61 Prof. Sabine von Schorlemer 62 (suspended from office since March 2010) 63 Minister of Sciences and Arts, the Free State of Saxony 64 65 Prof. Petra Stanat Ph.D. Humboldt University Berlin 66 67 WZB Report 2013 83 68 69 70 www.wzb.eu WZB WZB Report 2013

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